The time for campaigning is not the same as the time for soliciting under Canon 7B. The Canons do not set forth the time when campaigning can begin. On July 21, 1999 the Judicial Ethics Committee rescinded its Formal Opinion 90‑1 which had held that the time when a candidate for judicial office was permitted to begin to campaign was the same as the time when the candidate's campaign committee was permitted to begin to solicit funds under Canon 7B (2) of the Code of Judicial Conduct. See 25 Pa. Bulletin 4535.

1/11c/99
7B (1)(b)
reliance on advisory opinions
public officials or employees
campaign conduct
720 A.2d advance sheet January 1, 1999, reporting 201 Judicial Administration Docket No. 1 (order of November 24, 1998) also published at 28 Pa. Bulletin 6068 (December 12, 1998) which amended 82 Judicial Administration Docket No. 1 (order of June 29, 1987) Supreme Court Guidelines Regarding Political Activity by Court-Appointed Employees (order of June 29, 1987 and the guidelines are set forth in In re Dobson,517 Pa. 19, 21-22, 22 n.2, 534 A.2d 460, 461-62, 462 n.2 (1987))
court-appointed employees
political activity and political conduct

A law clerk inquires whether he may voluntarily participate in the campaign of his judge who is expected to be a candidate for election to judicial office. The law clerk is informed that the Ethics Committee answers inquiries from an officer of the judicial system performing judicial functions or a candidate for such office and that because he is not such a person the Ethics Committee will not answer his inquiry. However, the law clerk's judge would have standing to seek an advisory opinion particularly because Canon 7B (1)(b) requires a judge to "prohibit public officials or employees subject to his direction or control from doing for him what he is prohibited from doing under this Canon...."

1/11d/99
7B (1)(c)
announce views
pledges or promises of conduct

A candidate for election to judicial office states that his opponent, another candidate for election to the same judicial office, is stating the opponent's views that he will strictly uphold a recent law which is currently being challenged in the Pennsylvania courts and that he will not tolerate certain specified persons who commit a specified type of offense. The candidate inquires whether he may announce his views on these issues.

The Ethics Committee refers the candidate to Canon 7B (1)(c) (candidates cannot announce their views on disputed legal or political issues), encloses its Formal Opinion 94-1 on campaign advertising and informs the candidate that the Ethics Committee's Rules, Guidelines, and Regulations prohibit giving advice pertaining to the conduct of third persons.

1/12/99
3B(3)
disciplinary measures

A judge has reported a lawyer to the Disciplinary Board for misconduct. The Canons do not require the judge to inform the lawyer.

1/13a/99
2B
prestige of office
recommendations
letters of reference
character witness

A judge may not write a letter attesting to a person's character for use in pending litigation.

1/13b/99
1
2
2A
2B
integrity and independence
integrity and impartiality
appearance of impropriety
prestige of office
gifts
financial disclosure

A judge may accept from a former legal intern a token gift given as an expression of Christmas greetings.

If the value of the gift was more than $200, the gift must be disclosed on the financial disclosure form.

1/15/99
7A (1)(c)
attend political gatherings

A judge who is not a candidate for election to judicial office may not attend a political fundraiser at which past chairs of a political party committee will be honored. The judge was such a chair before becoming a judge. The letters of solicitation, advertising, or other publicity would not have mentioned the judge's name or the names of any other chairs. The judge's name would have been listed on a program which would have been given to those who attended the event.

1/19/99
1
2A
3C (1)(c)
3C (1)(d)
integrity and independence
appearance of impropriety
recusal and disqualification
family and spouse
former law firm

A candidate for election to judicial office inquires to what extent he must recuse himself from cases involving his law firm if he is elected. The candidate is one of several owners of a small law firm. The candidate and owner X of the law firm are also owners of a business which rents office space to the law firm. The candidate and owner X also jointly own other businesses. The candidate's spouse is an associate in the law firm. The law firm consists of the candidate's spouse, owner X, other owners of the law firm, and other lawyers. If the candidate is elected, the candidate will be one judge of a court which has few judges. The candidate must recuse himself in any matter in which his law firm represents a party.

1/20a/99
1
2
2A
2B
integrity and independence
integrity and impartiality
appearance of impropriety
prestige of office
gifts
financial disclosure

Before the judge was elevated to the bench, a friend had given the judge superbowl tickets. After the judge was elevated to the bench, he may continue to accept a gift of superbowl tickets from the friend. There is no appearance of impropriety. The friend has no case pending before the judge and has no case pending in the county in which the judge presides.

1/20b/99
7A (2)
7B (3)
attend political gatherings
campaign conduct
retention

A candidate for election to retention may attend political gatherings thirty days before the last day for filing a declaration of intention to seek reelection on a retention basis.

1/21/99
2B
4A
5C
prestige of office
speak, write, lecture, teach
financial activities
outside activities

A judge may be a co-author of a book on a legal subject with a lawyer.

1/22a/99
2B
4A
5C
prestige of office
speak, write, lecture, teach
financial activities
outside activities

A judge inquires if he can narrate an audiotape on general legal matters for educational purposes as part of a broad for profit tape production on numerous subjects. If someone else has written the narration, the judge may not be identified as a judge because then the judge would be serving as an actor and the prestige of the office would be used to advance the private interests of others.

If a judge has written the narration, the judge may be identified as a judge the same as a judge who had written a book.

The judge may not use his position to market the tape or allow the marketing process to interfere with judicial duties. Marketing material should contain only facts. The judge should retain a measure of control over the advertising so that it does not exploit the judicial position.

1/22b/99
5D
5D (1)
5D (2)
fiduciary activities
family and spouse

A judge may act as executor of his grandfather's estate if the judge complies with 5D (1) and (2).

1/27/99
5B
5B (1)
5B (2)
civic and charitable activities
outside activities

A judge may serve as chairman of a nonprofit organization which is not likely to be engaged in adversary proceedings in any court. The judge may not personally engage in fundraising activities.

1/28/99
5D
5D (1)
5D (2)
fiduciary activities

A judge may serve as trustee of a trust created by a person with whom the judge maintained a "close familial relationship" provided such service would not interfere with judicial duties and Canon 5D (1) is not violated. "Close familial relationship" is explained in In re Horgos, 682 A.2d 447, 451-52 (Pa. Ct. Jud. Disc. 1996). In the instant case the word "court" in Canon 5D (1) refers to the Court of Common Pleas and not merely to a division of the Court of Common Pleas. If an adversary action is brought in the Court of Common Pleas on which the judge serves, even though the judge does not sit in the division in which the action is brought, the judge may not serve as trustee.

2/2/99
2B
prestige of office

A business has asked a judge to perform a renewal wedding vow ceremony which will be broadcast. The judge may not do so. The business would be using the prestige of the judge's office to advance its private interests. However, the judge could do so if the couples had so requested or if the judge was the judge on duty to perform weddings.

2/4/99
720 A.2d advance sheet January 1, 1999, reporting 201 Judicial Administration Docket No. 1 (order of November 24, 1998) also published at 28 Pa. Bulletin 6068 (December 12, 1998) which amended 82 Judicial Administration Docket No. 1 (order of June 29, 1987) Supreme Court Guidelines Regarding Political Activity by Court-Appointed Employees (order of June 29, 1987 and the guidelines are set forth in In re Dobson, 517 Pa. 19, 21-22, 22 n.2, 534 A.2d 460, 461-62, 462 n.2 (1987))
court-appointed employees
political activity and political conduct

A judge's employee was formerly active in politics. A business organization has invited the employee to attend and buy a ticket for a testimonial dinner for a governmental official. Because this does not appear to be partisan political activity, it is permitted.

2/5/99
5B (2)
civic and charitable activities
outside activities
prestige of office
guest of honor

A judge may attend a nonprofit organization's fundraising event. Whether the judge must pay to attend is for the organization to decide. However, if the judge is given a free ticket, it is likely that the organization intends to showcase the judge, which is prohibited because Canon 5B (2) forbids a judge to permit the use of the prestige of his office to solicit funds. Canon 5B (2) also prohibits a judge from being "the" or "a" guest of honor.

2/8/99
1
2A
5A
5B
integrity and independence
integrity and impartiality
social and recreational activities
civic and charitable activities
outside activities

Several groups are planning to hold a reception to honor some judges whose decisions have been attacked by the media. A judge may attend. It is not improper to receive support if that support cannot be viewed as an endorsement of a controversial decision or view. For instance, it would be improper to receive an award for leniency by a prisoner's rights group or an award for toughness by the Fraternal Order of Police.

2/9/99
7B (1)(c)
misrepresent
campaign conduct
candidate for election

A judicial candidate who is not a judge and who intends to prepare a campaign logo inquires whether it is necessary for the word "elect" to precede his name and the word "judge" and whether the word "for" is necessary before the word "judge" (e.g. Elect John Doe Judge and Doe for Judge).

Under Canon 7B (1)(c) a candidate for election to judicial office may not "misrepresent his identity, qualifications, present position, or other fact." The Ethics Committee does not express an opinion whether a particular advertisement does or does not violate the Code of Judicial Conduct. However, the candidate should use language which is clear and unambiguous.

2/15/99
4B
5B
7A (4)
consult
civic and charitable activities
outside activities
political activity and political conduct

May a judge be a member of "Government in Exile" which is a nonprofit organization of retired Pennsylvania legislators, former members of the General Assembly of Pennsylvania, their staff, former members of the Pennsylvania executive branch, or persons in private enterprise who would have need, during the course of their business duties, to have contact with members of the General Assembly. The organization is nonpartisan.

The judge may be a member if membership does not reflect adversely upon his impartiality or interfere with the performance of judicial duties. The judge may not solicit funds for the organization. Serving in a leadership position may violate the Code because the members include persons in private enterprise who would have need, during the course of their business duties, to have contact with members of the General Assembly.

2/16/99
7B (2)
7B (3)
campaign funds and campaign contributions
family and spouse
retention

The spouse of a candidate for election to retention may serve as campaign committee treasurer, but may not solicit campaign contributions.

2/17/99
2B
prestige of office
recommendations
letters of reference

A judge inquires whether he may write a letter of recommendation for a college scholarship for a person whom he adjudicated dependent some time ago.

In determining whether writing such a letter is proper, the judge should consider: whether the letter is the type which would be written in the ordinary course of business and personal relationship; whether it is not for a person with whom the judge has an insubstantial relationship; whether it is for a person who is attempting to use the judge's office to enhance personal interest. If the judge has not had contact with the person for some time, that may be determinative.

2/18/99
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

The judge is the complaining witness in a criminal case for stalking. The accused was a party in a custody case before the judge. The judge has recused himself on the custody case. Must the judge recuse himself on all cases in which the accused's court appointed lawyer represents a party?

Recusal is not required merely because the lawyer's client threatened the judge. However, recusal may be required. The judge should review the Ethics Committee's addendum on recusal and decide the issue for himself.

3/1/99
3B (3)
disciplinary measures

The district attorney also is employed part-time for a law firm which in the past has represented criminal defendants. A judge seeks advice regarding the judge's duties in this situation. The judge should call the district attorney and inform him that the judge will be sending him a letter stating that the law firm is prohibited from representing any criminal defendants throughout the Commonwealth and if the district attorney does not comply, the matter will be reported to the Disciplinary Board pursuant to Canon 3B (3) and Rules of Professional Conduct 1.10(a) and 1.7(a).

3/2/99
2A
comply with the law
marriage

A judge may perform a marriage ceremony in a church with a minister present and may refer to God, such as "in the presence of God and this company" and "what God has joined together, let no man put asunder."

3/5a/99
7A (2)
7A (4)
7B (1)
7B (2)
campaign conduct
publicly stated support

A candidate for election to judicial office may personally circulate his nominating petitions.

3/5b/99
1
2
2A
2B
integrity and independence
integrity and impartiality
appearance of impropriety
prestige of office
gifts
financial disclosure

May a judge accept as a gift use of a hotel room and two tickets for a wrestling tournament? The donor is the district attorney who was the judge's boss when the judge was employed in the district attorney's office. The donor had intended to use these items for himself, but cannot. The judge may accept the gifts, but should report them on the financial disclosure report.

3/8/99
7B (1)(b)
reliance on advisory opinions
public officials or employees
720 A.2d advance sheet January 1, 1999, reporting 201 Judicial Administration Docket No. 1 (order of November 24, 1998) also published at 28 Pa. Bulletin 6068 (December 12, 1998) which amended 82 Judicial Administration Docket No. 1 (order of June 29, 1987) Supreme Court Guidelines Regarding Political Activity by Court-Appointed Employees (order of June 29, 1987 and the guidelines are set forth in In re Dobson, 517 Pa. 19, 21-22, 22 n.2, 534 A.2d 460, 461-62, 462 n.2 (1987))
court-appointed employees
political activity and political conduct

A court employee asks whether he may accept a civil service commission position without violating the Supreme Court guidelines prohibiting partisan political activity. The Ethics Committee will answer such a question from a president judge, but not from the employee.

3/16/99
4A
7A (1)(b)
7A (4)
speak, write, lecture, teach
publicly endorse a candidate
political activity and political conduct

A judge may participate in a high school educational forum even though another participant is a candidate for district attorney.

3/18/99
5E
mediation and arbitration

A judge may act as an arbitrator when he is assigned by the court to conduct arbitration as part of his duties during regular working times for no additional compensation and an appeal is permitted only for a corrupt result.

3/23a/99
7A (2)
7B (1)(a)
7B (1)(c)
campaign conduct
dignity
pledges or promises of conduct
announce views

A candidate for election to judicial office may run a campaign advertisement stating the history of his practice and the facts of some of the high profile cases he has prosecuted and may appear in the advertisement arguing to a jury if the advertisement is dignified, does not state or imply his views on disputed legal or political issues, does not state or imply pledges or promises of conduct in office, and does not misrepresent his identity, qualifications, present position, or other fact. See also Ethics Committee Formal Opinion 94-1.

3/23b/99
7A (2)
7B (1)(a)
7B (1)(c)
campaign conduct
dignity
pledges or promises of conduct
announce views

A candidate for election to judicial office asks about the ethical propriety of the specific content of a campaign advertisement he proposes to run. The candidate is referred to Ethics Committee Formal Opinion 94-1.

4/6/99
2B
7A (4)
prestige of office
political activity and political conduct

A judge may not permit a former law clerk to use his chambers to meet with bar association committee members to obtain their endorsement of the law clerk as a candidate for election to judicial office.

4/7/99
2B
prestige of office

A judge may permit his photograph to appear in a nonfiction book which is based upon a highly publicized trial over which the judge presided.

4/12a/99
5B (2)
7A (1)(c)
civic and charitable activities
outside activities
attend political gatherings

A judge may attend a dinner honoring a person who has been politically active and was formerly a committee person of a political party. The honoree is ill and does not have health insurance. The purpose of the dinner is to raise funds for his medical expenses. The dinner will occur two days before the primary election.

4/12b/99
7B (1)(b)
public officials or employees
720 A.2d advance sheet January 1, 1999, reporting 201 Judicial Administration Docket No. 1 (order of November 24, 1998) also published at 28 Pa. Bulletin 6068 (December 12, 1998) which amended 82 Judicial Administration Docket No. 1 (order of June 29, 1987) Supreme Court Guidelines Regarding Political Activity by Court-Appointed Employees (order of June 29, 1987 and the guidelines are set forth in In re Dobson, 517 Pa. 19, 21-22, 22 n.2, 534 A.2d 460, 461-62, 462 n.2 (1987))
court-appointed employees
political activity and political conduct

A president judge inquires whether because of the Supreme Court guidelines he must prohibit a court employee from seeking appointment to the civil service commission. The commission is involved in hiring, promoting, and resolving grievances of police officers and as such is intimately involved in politics, i.e. guiding or influencing government policy. Appointment is by the vote of elected officials and is therefore political. Under the Supreme Court guidelines a person may not seek nomination and appointment to that position unless he terminates his court employment.

4/14/99
2B
3A (6)
4A
5A
5C
prestige of office
public comment
speak, write, lecture, teach
financial activities
dignity of office
exploit judicial position
outside activities

May a judge be employed as an actor on television reenacting cases which have been tried in various jurisdictions? Because of the various Canons which may be involved, the judge is requested to provide additional details if he wishes to obtain the Ethics Committee's advice.

4/15/99
3A (7)
broadcasting, televising, recording or taking photographs

A judge may permit a television station to record civil nonjury proceedings (not involving custody, support, or divorce) under the conditions specified in Canon 3A (7) and the Supreme Court order referred to at the end of Canon 3A (7).

4/16/99
7A (2)
7B (2)
7B
reliance on advisory opinions
campaign conduct

A candidate for election to judicial office submits several inquiries regarding campaign conduct. It is not clear whether the candidate intends to engage in the conduct or instead desires to use the Ethics Committee's advice against his opponents. The candidate is requested to ask specific questions about his proposed conduct, state that he is not inquiring about past or possible future conduct of others and that he does not intend to and will not use the advice in a negative campaign against his political opponents.

4/22/99
2B
4C
5B (2)
prestige of office
solicit funds and fundraising
outside activities

A judge may not appear and speak in a bar association video presentation which is intended to solicit new members and reinforce the benefits of membership to existing members.

4/26a/99
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

The lawyer representing the defendant in a criminal case has informed a judge that the defendant sued the judge more than ten years ago and the suit was dismissed. The judge was unaware of the lawsuit. The defendant is litigious and has sued several judges. The judge was given the addendum on recusal and informed that he should consider the three questions in the addendum and make a decision based upon the facts and law. The Ethics Committee member's opinion is that recusal is not required.

4/26b/99
5B (1)
civic and charitable activities
outside activities

A judge may be a member of the board of directors of a nonprofit organization which is a funding source for programs which promote family planning. The organization is not a one issue organization which would cast reasonable doubt on the judge's impartiality. It is nonpartisan and apolitical.

5/3/99
5A
5B (2)
7A (1)(c)
social and recreational activities
attend political gatherings
purchase tickets
political activity and political conduct
outside activities

May a judge attend and buy a ticket for a dinner honoring the retirement of an officer of a political party? If the dinner is an award/fundraiser, the judge may not attend. However, if the dinner is an award with no partisan political activity, then the judge may attend.

5/6/99
2B
7A (1)(b)
7A (4)
prestige of office
publicly endorse a candidate
political activity and political conduct
retention

Judges and district justices may not be active in the campaign of a judge who is a candidate for election to retention.

5/17/99
1
2A
3A
3C (1)
3C(1)(c)
adjudicative responsibilities
integrity and independence
appearance of impropriety
recusal and disqualification

A taxpayer has filed a real estate tax assessment appeal which challenges the assessment system in the county. The judicial district is small and all of the judges own property in the county. The judge was given the addendum on recusal. The judge was also advised that recusal was not required, but that if the judge chose to recuse, the judge would not be violating Canon 3's directive that a judge perform the duties of his office diligently.

5/21/99
4B
appear at a public hearing
outside activities

A judge may testify at legislative hearings on child care. Child care is a matter "concerning the law, the legal system, and the administration of justice" within the meaning of Canon 4B.

5/25/99
5C
financial activities
senior judge

A senior judge may start a family business which would sell products by mail order. The focus of the business would not be the legal community. The business would not use a trade name which would be identified with the judge.

5/26/99
5B
5B (2)
5B (3)
solicit funds and fundraising
prestige of office
civic and charitable activities
outside activities
investment advice

A judge may serve as a member of the board of a foundation even though the foundation engages in fundraising. However, the judge may not be involved in fundraising, the judge's name may not appear on letters soliciting funds, and the judge may not give investment advice.

6/1/99
7A (1)(c)
7B (1)(a)
political activity and political conduct
spouse and family
campaign funds and campaign contributions

A judge should not encourage his spouse to make a campaign contribution, but he is not required to discourage his spouse from making a campaign contribution. However, if the spouse makes a contribution, the judge's name should not appear on the check.

6/7/99
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

In cases in which a Philadelphia judge is a party the custom and practice in Philadelphia County is that the president judge requests the Supreme Court to appoint an out of county judge. It is not necessary for a judge to recuse for the practice to be followed.

6/11/99
7A (1)(b)
7A (2)
7B (3)
attend political gatherings
contribute to a political party or organization
publicly endorse a candidate
campaign conduct
campaign funds and campaign contributions
retention

A candidate for election to retention may attend a political event for a candidate for a nonjudicial office and may speak on his own behalf, but may not speak on behalf of the other candidate. The retention candidate may purchase a ticket to the event if by doing so the retention candidate's name will not be required to appear on the other candidate's campaign finance report. Otherwise, a contribution which would be required to be disclosed would appear to be an endorsement of the other candidate and Canon 7A (1)(b) prohibits a judge from endorsing a candidate.

6/15/99
4A
4C
5G
7A (4)
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
extrajudicial appointments
political activity and political conduct
outside activities

A judge may serve as a member of an ad hoc committee concerning another court whose existence and funding is being debated by the executive and legislative branches of government. Such service is an activity "concerning the law, the legal system, and the administration of justice" permitted by Canon 4A.

7/8/99
2A
integrity and impartiality

A judge has received an unsolicited letter from a person whom he does not know stating that the person killed someone and reported to the authorities that another person did the killing. The other person was convicted and is serving a life sentence.

The Ethics Committee's Formal Opinion 95-1 holds that a judge who hears testimony of obvious and egregious tax fraud may be required to report the fraud under Canon 2 which requires a judge to act "at all times in a manner that promotes public confidence in the integrity ... of the judiciary." The judge is required to submit the letter to the district attorney.

7/9/99
4C
5B (2)
recommendations to public and private fund-granting agencies
solicit funds and fundraising
prestige of office
outside activities

A nonprofit organization which solicits funds for distribution to other organizations has requested a judge to be interviewed for its newsletter. The interview will be about certain organizations which do work with the court and which receive funds from the nonprofit. The newsletter does not solicit funds. The judge may do so.

8/6/99
4B
appear at a public hearing
outside activities

A judge may testify at a public hearing before a state legislative committee regarding the reach and extent of regulation of a certain subject. The legislative committee will use the testimony to determine whether additional legislation is appropriate.

8/10/99
2A
2B
Pennsylvania Rules of Judicial Administration 1701
appearance of impropriety
prestige of office
character witness
witness

A judge may not appear as a character witness in an administrative proceeding.

8/11/99
7A (1)(b)
7A (2)
campaign conduct
publicly endorse a candidate

A candidate for election to judicial office may not participate in a group photograph, to be included in political literature and otherwise disseminated with non-judicial candidates for office and may not display his photograph in public places beside photographs of non-judicial candidates for office if the candidate sponsors the photograph or if the top of the ticket sponsors the photograph. However, the candidate may do so if the political party sponsors the photograph.

8/18/99
1
2A
3A (1)
3A (4)
3C (1)
3C (1)(c)
Judicial Ethics Committees Rules, Practices, and Guidelines 27
high standards of conduct
integrity and independence
appearance of impropriety
ex parte communication
recusal and disqualification
unswayed by partisan interests, public clamor, or fear of criticism
confidential
confidentiality

The judge rendered a decision in a lawsuit involving a dispute among shareholders. The case is now on appeal. In the course of the lawsuit the judge appointed a receiver who is continuing to act while the case is on appeal. A person who has been identified as a potential witness in the lawsuit has written a letter to the judge stating that the potential witness has an idea for a new lawsuit which can result in a large damage award against one of the parties in the lawsuit which was before the judge. The letter also states that the potential witness has knowledge of business opportunities which can be profitable. The witness requests that the judge share in the expected damage award and share profits from the business opportunities. The business opportunities would not require the judge to perform any services. In exchange, the potential witness requests that the judge provide him with protection and support.

The judge has sent a copy of the letter with an explanation of the facts to the district attorney, the state attorney general's office, and counsel for the AOPC. The judge inquires whether he must do anything else. The judge is not required to do anything else. The judge has complied with Canon 1's requirement that a judge observe high standards of conduct so that the integrity and independence of the judiciary may be preserved. The judge has also complied with Canon 3A (1)'s requirement that he be unswayed by partisan interests, public clamor, or fear of criticism.

The judge also asks whether he may cooperate with an investigating authority by wearing a wire, i.e. listening device. The judge has complied with the Code of Judicial Conduct by reporting the matter to the authorities. The Code does not require the judge to wear a wire. The judge has the discretion to wear or not wear a wire.

The judge asks whether he must recuse himself from the pending lawsuit. A question of recusal is a mixed question of ethics and law. The Ethics Committee does not advise whether a judge should recuse, but rather points out the appropriate considerations. See the Ethics Committee's Addendum on Recusal.

If the judge becomes more involved in the investigation of a potential criminal action against the witness, the judge should consider how the judge's involvement would affect the public's perception of the judge's impartiality in the pending lawsuit.

The judge also asks whether he should inform the lawyers for the parties about the letter. The judge should inform the lawyers about the contents of the letter in camera and on the record.

The Ethics Committee's rules require that the Committee keep confidential the judge's inquiry and the Committee's response. However, the judge is free to disclose the inquiry and the Committee's response to anyone, including a law enforcement agency.

8/23a/99
7A (1)(b)
7A (2)
campaign conduct
publicly endorse a candidate

A candidate for election to judicial office and another candidate for election to the same judicial office may have joint television commercials in which the qualifications of each are discussed or in which one candidate speaks about the qualifications of the other; and joint lawn signs and joint palm cards which will have photographs and short biographies of both candidates. The expenses for these will be paid either jointly by both campaign committees or by the political party.

8/23b/99
7A (1)(c)
7A (4)
contribution to a political organization
attend political gatherings
political activity and political conduct

A judge who is not a candidate may not attend a picnic sponsored by a political party ward and may not contribute to the ward for the picnic. Sponsorship of the event is not determinative. Although the invitation states that the picnic is not a political affair, the invitation contains information that indicates that it is partisan.

9/3/99
4A
6
speak, write, lecture, teach
decide impartially
compensation
outside activities

A judge may speak at a seminar sponsored by a national organization of prosecuting attorneys about a database project in the judge's district concerning a particular area of the law. The judge should not make any statements which might cast doubt on his impartiality. The judge may also accept reimbursement for transportation, meals, and lodging expenses.

9/8/99
5B (2)
solicit funds and fundraising

A judge may not ask another judge to contribute to a charity.

9/27/99
7A (1)(c)
7A (2)
7B (1)(b)
7B (2)
7B (3)
solicit funds for a political organization
candidate for election to retention
contribute to a political party or organization
campaign funds and campaign contributions
expenditure of funds

Under Canon 7A (2) a candidate for election to retention may buy tickets to a political party fundraising event, and may contribute to a political party from personal funds rather than the candidate's campaign committee funds. A candidate for election to retention and the candidate's campaign committee may not sell tickets to a political party fundraising event.

9/28/99
4A
7B (1)(c)
7B (3)
speak, write, lecture, teach
decide impartially
pledges or promises of conduct
announce views
campaign conduct
candidate for election to retention

A candidate for election to retention may answer a question asking for suggestions for reforming campaign funding for judicial elections if in doing so the candidate does not cast doubt on his impartiality.

10/12/99
7A (1)(b)
7A (1)(c)
7A (4)
publicly endorse a candidate
solicit funds
attend political gatherings
political activity and political conduct
candidate for election to retention

A judge who is not a candidate may not act as a worship leader at the judge's church for a retention candidate's fundraising event.

10/14/99
1
2A
3C (1)
5C (1)
5C (3)
5F
Pa. Constitution Article 5, section 17(a)
42 Pa.C.S. section 3301
integrity and independence
appearance of impropriety
recusal and disqualification
financial activities
exploit judicial position
practice of law
sale of law practice

A lawyer who has been elected judge, i.e., a judge elect, may transfer his active and inactive files to another lawyer if the client consents. The judge may receive legal fees for work performed before becoming a judge even if the matter is not completed before becoming a judge. The judge may not receive any fees for matters which were not pending when the judge left the practice of law. The judge may receive a portion of contingent fees on matters which the judge handled before becoming a judge and which the judge transferred to another lawyer. The judge may receive legal fees for the time it reasonably takes to collect the fees and for contingency matters for the time involved in orderly disposing the matters.

Except for the judge's interest in legal fees, the judge's interest in the clients' files should end when the judge takes office. The judge must be sure that his appearance is withdrawn and may not allow the prestige of the judge's office to be used to advance the private interest of the client or the new lawyer.

The judge must recuse himself on those matters for which he has agreed to receive fees and in any litigation in any way related to former representation of a client.

As to matters involving the new lawyer and unrelated to former clients or previous cases, the judge should disclose the financial interest with the new lawyer and then be guided by the Ethics Committee's Addendum on Recusal.

Fees collected after taking office must be reported on the Supreme Court's financial interest statement.

11/8/99
4A
5C
6
speak, write, lecture, teach
financial activities
exploit judicial position
compensation
outside activities

During working hours but on the judge's own time a judge may privately consult outside the Commonwealth (meaning not official court business) regarding the administration of justice. The judge may receive compensation.

11/9/99
2B
4A
5C
6
prestige of office
speak, write, lecture, teach
financial activities
exploit judicial position
compensation
outside activities

A judge may co-author a book on a legal subject with a lawyer. The judge may sell the book through a publisher. An advertisement for the book may identify the judge as a co-author and state the judge's background.

11/10/99
2B
5C (1)
5F
compliance with the Code of Judicial Conduct
effective date of compliance
prestige of office
Pa. Constitution Article 5, section 17(a)
42 Pa.C.S. section 3301
financial activities
exploit judicial position
practice of law

A lawyer who has been elected judge, I. e. a judge elect, may try a high profile case after the election but before taking office. The lawyer should seek the client's decision on the matter. The lawyer must wind down his practice and keep his commitments to clients.

11/19/99
2A
2B
3A (5)
4
5A
Pennsylvania Rules of Judicial Administration 1701
comply with the law
prestige of office
character witness
expert witness
witness
subpoena
dispose promptly of the business of the court
subject to the proper performance of his judicial duties
interfere with the performance of his judicial duties

The Judicial Conduct Board has asked an administrative judge to cooperate in an investigation of another judge. The judge inquires whether the Code requires the judge to cooperate voluntarily or only by subpoena. If time spent cooperating voluntarily would interfere with judicial duties, a subpoena would be necessary, but if the time would not be burdensome, a subpoena would not be necessary; a judge is not permitted to testify voluntarily as a character witness and Supreme Court permission must first be obtained to testify as a character witness; if character testimony is sought, the judge should not testify unless Supreme Court permission has been obtained first; if the Judicial Conduct Board is seeking expert testimony, the judge cannot be compelled to give it and that decision is for the judge to make; because the judge is aware of some facts, the judge would be required to provide the JCB with those facts limited by the demands imposed upon the judge by the judge's duties; the judge is not required to investigate the facts.

12/3/99
5A
5B
5B (1)
social and recreational activities
reflect adversely upon his impartiality
outside activities

Two judges inquire about the application of the Code of Judicial Conduct on their participation in an organization. One judge is a member and the other judge is an officer of an organization of judges and lawyers of a certain religion. The organization is considering issuing a statement reaffirming the religion's opposition to abortion and opposing the opening of a certain abortion clinic. The statement would be made through a press release and would not have individual names listed on it. Public statements of a judge's position on abortion reflect adversely on a judge's impartiality. For example, the Orphans' Court decides whether a minor who seeks an abortion without parental consent may have an abortion, 18 Pa. C.S. section 3206(c) and an abortion clinic may be involved in injunction suits or criminal actions against protesters or in zoning disputes.

Canon 5B (1) restricts a judge from serving as an officer (as distinguished from being a member) of certain organizations. Canon 5B (1)'s distinction between being an officer and a member is a recognition that an officer is more closely identified with the activities and statements of an organization than a member.

A judge cannot be an officer of the organization. A judge who is a member of the organization must opt out of any statement against abortion or the abortion clinic by having the organization list those who support the statement (excluding the judge) or list the judge as not participating in the decision to make the statement.

12/14/99
5C (1)
5C (3)
5F
Pa. Constitution Article 5, section 17(a)
42 Pa.C.S. section 3301
financial activities
exploit judicial position
practice of law
sale of law practice

A lawyer who has been elected judge, i.e., a judge elect, who refers personal injury cases to other lawyers before taking office may receive referral fees for such cases after taking office.

12/17/99
3B (3)
disciplinary measures

A judge who is presiding over an investigating grand jury may disclose investigating grand jury testimony to the Disciplinary Board to comply with Canon 3B (3).

12/29/99
2B
prestige of office
recommendations
letters of reference

A judge inquires whether he may write a letter of recommendation for the child of a lawyer who is seeking admission to the college which the judge attended. The judge has known the child for some time. The judge is referred to the Ethics Committee's Formal Opinion 98-1, particularly paragraphs 1, 4, and 5.

1/5/00
3B
3B (2)
720 A.2d advance sheet January 1, 1999, reporting 201 Judicial Administration Docket No. 1 (order of November 24, 1998) also published at 28 Pa. Bulletin 6068 (December 12, 1998) which amended 82 Judicial Administration Docket No. 1 (order of June 29, 1987) Supreme Court Guidelines Regarding Political Activity by Court-Appointed Employees (order of June 29, 1987 and the guidelines are set forth in In re Dobson, 517 Pa. 19, 21-22, 22 n.2, 534 A.2d 460, 461-62, 462 n.2 (1987))
administrative responsibilities
staff and court officials
court-appointed employees
political activity and political conduct

After a judge gave his law clerk a copy of the Supreme Court guidelines prohibiting political activity, the law clerk worked at a polling place. The judge inquires about his responsibilities.

Although paragraph 4 of the Supreme Court guidelines refers only to the president judge's duty to enforce the guidelines, it may be inferred from paragraph 4 and Canon 3B that a judge has similar responsibilities regarding the judge's personal staff. The Ethics Committee is not in a position to interpret the guidelines beyond paragraph 4 which makes enforcement an ethical issue. Therefore, the Ethics Committee cannot give advice as to what constitutes enforcement.

Without obtaining the judge's permission a lawyer has informed the Governor's committee for judicial selection that the lawyer appeared before the judge. The lawyer did not state that the judge would recommend the lawyer. The judge asks whether the lawyer has immersed the judge into political activity and whether the judge should inform the Governor's committee that the judge will not serve as a source of information regarding the lawyer.

Canon 4B permits a judge to provide information which would assist in the evaluation of a lawyer who is seeking appointment to the bench. The judge should not seek out the Governor's committee, but instead should await its inquiry. The lawyer's listing of the judge cannot be reasonably construed as constituting the judge's endorsement.

A judge who is serving as a senior judge may not accept appointment to a school board.

A judge inquires whether he may appear in his robes in a photograph with others, including the district attorney and chief of police, in a newspaper advertisement intended to raise public awareness of the consequences of drinking and driving. The advertisement will emphasize that drunk driving involves many others besides the driver. Because appearing in the advertisement would tend to cast doubt upon the judge's ability to decide cases impartially, the judge could not appear.

The Office of Disciplinary Counsel has requested a judge to testify on its behalf in a lawyer's hearing to be reinstated to the practice of law. Before becoming a judge, the judge prosecuted the lawyer for a crime involving the Court of Common Pleas. The Office of Disciplinary Counsel has asked the judge to testify, among other things, regarding the judge's present perception about the impact of the lawyer's conduct on the reputation of the Court of Common Pleas.

The judge is advised that he should not permit a party seeking his testimony to waste his time to testify needlessly or to use the prestige of the judge's office to advance the party's interest.

The judge is advised to send a copy of any subpoena which may be served upon him to the Administrative Office of Pennsylvania Courts so its lawyers may seek a protective order against requiring the judge to testify as a character witness or to bolster a party's case when other witnesses are available.

A judge and the judge's spouse may accept an invitation to a free dinner at a restaurant which has invited leaders of the community to a dinner to get to know one another to benefit the community. No member of the public has been invited and the event has not been publicized beyond the invitees. The judge was invited because the judge had received leadership awards from different community groups in the past. If the judge is required to recuse himself in the future, there will not be a burden on the other members of the court. Depending upon the value of the dinner the judge may be required to report the gift on the financial disclosure form.

A judge may not submit a letter to the Board of Pardons concerning the conduct and behavior of a long time friend. A judge may not do so even if the judge would use his personal stationery and would not identify himself as a judge.

During a trial a party testified that he had not reported between $10,000 and $40,000 of income for 4 or 5 years, for a total of unreported income of $40,000 to $200,000. The trial judge inquired whether he was required to report the omission of income to the taxing authorities. The judge was given a copy of the Judicial Ethics Committee's Formal Opinion 99-2 and advised that it is in the judge's discretion to submit a report to the taxing authorities.

A judge may serve on an international tribunal which will conduct hearings which have the aim of promoting awareness about the rights of certain people under a certain international convention and ensuring compliance with the convention. Service would not interfere with the judge's performance of his judicial duties.

A court officer who was a losing party in a trial before the judge and whose post-trial motions are pending was recently assigned to work in the judge's courtroom. The judge inquires whether he has an obligation to ask that the court officer be re-assigned until his case is resolved. There are many other court officers who are available to serve in the judge's courtroom. A reasonable person may think that because a court officer serves the judge in the courtroom there is ex parte interaction. The judge has an obligation to ask that the court officer be re-assigned.

A judge is permitted to produce a show for jurors with a venue near a certain restaurant. A public authority is donating the venue. Although money will be raised for the production, the judge will not be involved in solicitation of funds. The show will be announced by the jury commissioner and not by presiding judges to avoid the notion that judges are steering jurors to the restaurant. If and when the restaurant appears on the list of approved service providers, then the presiding judges may announce the show because the restaurant would be eligible to sell box lunches to the Court for deliberating jurors. The restaurateur and the judge should not hold themselves out as if they were in business together or people will assume that they are and that would be improper.

A judge may not participate in a seminar to identify and screen potential donors to the judge's college alma mater. Doing so would be using the prestige of the judge's office for fundraising.

A judge may permit the judge's law clerk to room with an assistant district attorney who is a friend and with whom the law clerk went to law school. The law clerk and the assistant district attorney want to save money and split expenses. The law clerk can work on cases prosecuted by the assistant district attorney and the judge can hear cases prosecuted by the assistant district attorney. The judge must instruct the law clerk that there is to be no shop talk or he must move out.

Under the circumstances, a judge may submit an affidavit in a family court matter in lieu of live testimony. The judge may serve as a fact witness provided that judge is not permitting a party to use the judge's status for the party's benefit and provided that the matter is not distracting the judge from performing judicial duties. The judge is attempting to minimize the distractions and is a fact witness.

If a lawyer who is representing the Court of Common Pleas appears before one of the judges of the Court, must the judge recuse himself?

A question of recusal is a mixed question of ethics and law. The Ethics Committee does not generally advise whether a judge should recuse, but rather points out the appropriate considerations.

The judge should consider whether under Canon 1 he can fairly decide the case on the facts and law; whether under Canon 2A recusal is required to avoid the appearance of impropriety; whether the judge's impartiality can be reasonably questioned because the judge has an interest that could be substantially affected by the outcome of the proceeding. The judge must decide for himself. If either the integrity of the system or the appearance of impropriety requires recusal, then the judge must recuse.

Recusal should not be taken lightly. A judge has an ethical duty to dispose of cases assigned to the judge. A judge should not recuse to avoid a difficult case. A judge should not permit a party to gain an unfair advantage by fabricating spurious reasons for recusal.

3/15/00
5B
7A (1)(c)
7A (4)
civic and charitable activities
contribution to a political organization
political activity and political conduct
outside activities

A judge may directly contribute to a charity in response to a solicitation written on the letterhead of a political party.

A senior judge who resides out of state part of the year may not practice law on a pro bono basis out of state for a legal clinic. A senior judge may teach law out of state.

A judge may attend a testimonial dinner honoring labor officials and sponsored by a labor union. A judge may also buy an advertisement in the program booklet, but the advertisement may not state that the judge was endorsed by labor in the judge's recent election and may not contain the court seal.

A judge may not be a member of the host committee of a fundraising event for a charity, be listed on the invitation, encourage attendance, or greet guests at the event. A judge may attend the event and contribute to the charity.

3/28/00
5D
fiduciary activities

A judge who drew a will which appoints him trustee of a testamentary trust inquires whether he may serve as a trustee. The judge describes the nature of the relationship between him and the settlor and beneficiaries of the trust. The judge is advised that the question of whether the judge has a "close familial relationship" is for the judge to decide. However, the judge should be mindful that the Judicial Conduct Board filed a complaint against a judge on the basis that the judge did not have a "close familial relationship." Although the Court of Judicial Discipline, after making detailed findings of fact, dismissed the complaint, the judge was subjected to the risk and expense of defending against the complaint. In re Horgos, 682 A.2d 447 ( Pa. Ct. Jud. Disc. 1996).

A president judge inquires whether he and the other judges in the judicial district must recuse when a district justice in the judicial district appears in court in a civil case representing a party. Under Rule 17 of the Rules Governing Standards of Conduct of District Justices a president judge shall exercise general supervision and administrative control over district justices within his judicial district.

A question of recusal is a mixed question of ethics and law. The Ethics Committee does not generally advise whether a judge should recuse, but rather points out the appropriate considerations.

The judge should consider whether under Canon 1 he can fairly decide the case on the facts and law; whether under Canon 2A recusal is required to avoid the appearance of impropriety; whether the judge's impartiality can be reasonably questioned because the judge has an interest that could be substantially affected by the outcome of the proceeding. The judge must decide for himself. If either the integrity of the system or the appearance of impropriety requires recusal, then the judge must recuse.

Recusal is not warranted simply because of the president judge's supervisory duties and is not necessary by the other Common Pleas judges of judicial district. Consideration should be given to the realistic supervisory role of the president judge (which is often minimal), whether the judge or district justice has a vested interest in the outcome of the case; the Common Pleas judge's relationship with the district justice (e. g. ministerial, close, or strained with animus); the effect of oversight of the district justice in other matters, such as domestic relations and probation.

A judge inquires whether he may participate in a marathon race which requires that he raise a certain amount of funds for a charity. The judge may not solicit others for fund raising, but may pay the amount to the charity himself.

administration of justice
civic and charitable activities
outside activities

A judge may be a member of the American Trial Lawyers Association as a judicial fellow and attend continuing judicial legal education programs at the annual convention.

A judge may be a member of the board of directors of a country club which is a private club which has nondiscriminatory membership policies and adheres to those policies in practice.

A judge may teach a bar association sponsored continuing legal education course in exchange for law clerks to attend such courses without paying tuition.

administration of justice
consult
extra-judicial appointments

A judge may not be a member of a committee which is responsible for reconciling two versions of a proposed new county code. The proposed county code will include terms of employment for court employees and may subject them to an ethics code.

The commentary to Canon 5G expresses the "need to protect the courts from involvement in extra-judicial matters that may prove to be controversial." Each of two branches of government has proposed a new county code. Published reports state that elected officials and interest groups have threatened litigation.

However, because court employees and court related offices, such as the prothonotary, will be affected by the proposed county code, the judge may testify about or submit a memorandum of his views. Canon 4B permits a judge to consult with a legislative or executive body about matters concerning the administration of justice.

A judge may not testify as a character witness in a criminal case involving the judge's neighbors. A judge may not file a petition for allowance of a subpoena under Pennsylvania Rule of Judicial Administration 1701 to permit the judge to testify as a character witness.

A judge may give the proceeds of late fines to a charity whose sole purpose is to provide free child care to parties who attend court. This is permitted under Canon 4 because the sole purpose is to improve the administration of justice and is not prohibited under Canon 5B (2) as fund raising for an educational, religious, charitable, fraternal or civic organization.

Under the present circumstances a newly elected judge may continue to own a building with the judge's former law partner. The former law partner's practice is almost entirely nonlitigation matters although the former law partner currently has two litigation matters, one before a district justice, which could be appealed to the judge's court, and the other before the judge's court which the judge had worked on. The judge is a member of a judicial district which has few judges. Based upon the current facts, under Canon 5C (3) divestiture would not be required. However, it may be required if circumstances change in the future.

A judge may appear on a religious television program and speak about a certain religion's teaching about freedom, the role of a judge in society, and the judge's manner of performing the judge's duties in the context of the judge's religion. The judge will not speak about abortion. There will be no fundraising during the show. The television station is a general television station; it is not a religious station.

A judge may give a person from the Pennsylvania Commission on Sentencing researching the judge's sentencing practices anything which was part of the public record of a case which is pending on appeal or PCRA. However, the judge may not state his thought processes or provide any other explanation.

A judge may not write a letter of support or recommendation for a lawyer who is one of several lawyers being considered for an award given by a bar association. Each candidate may submit only a few letters of support. The activity is akin to political activity which is prohibited by the Code of Judicial Conduct.

A judge's spouse may contribute to a political candidate. It is not necessary that the judge object to such a contribution. Any contribution should be made without associating the judge with it. If a check from a joint account is used, the judge's name should be masked on the check.

administration of justice
outside activities

A university professor has asked a judge to participate in a survey about a certain aspect of litigation. The judge and a party to the litigation are required to separately complete the survey. The response of the judge and the party will be kept confidential and all of the responses will be analyzed in aggregate form only.

The judge may participate in the survey because it is an activity that would improve the law, the legal system, or the administration of justice. However, to avoid casting doubt on the judge's impartiality and avoid the prohibition against public comment, the judge should complete the survey after all appeals have been exhausted or the time for appeal has expired.

The court administrator or someone acting for the administrator, not the judge, should ask in open court whether the party wishes to participate and explain that participation is voluntary and participation or nonparticipation will not be disclosed to the judge until after the judge renders a decision so the judge will know whether to complete the survey.

A nonjudge requests an opinion about other judges. Under the Judicial Ethics Committee's rules the Committee may decline to answer questions from a nonjudge and generally will decline to answer questions about another judge's conduct. Because the inquirer is not a judge and is not asking about his own conduct, the Committee declines to answer the inquiry.

A judge may not head or organize a fundraising drive among other judges or judicial employees. A judge may not endorse a fundraising effort and the fundraising organization should not state that a judge endorses it. A judge's name may not appear on the letterhead of a letter soliciting funds. A judge should not give out a list of judges names and addresses to a fundraising organization. A judge may contribute to an organization, attend a fundraising event (with certain limitations), and may be on the board of directors of a nonprofit organization.

A judge receives monthly payments from his former law firm for the buy out of his interest in the firm. His former law firm has merged with another law firm. A lawyer employed by the merged firm serves as a dependency master. The judge reviews all of the dependency master's reports and decides whether to approve or disapprove the recommendations. The board of judges will be considering a proposal to increase the duties and compensation of the dependency master. The judge recuses himself from matters involving his former law firm. The judge inquires whether he must recuse hearing matters in which lawyers of the merged law firm are involved, in acting on the proposal to increase the duties and compensation of the dependency master, and in reviewing the dependency master's reports.

A question of recusal is a mixed question of ethics and law. The Ethics Committee does not generally advise whether a judge should recuse, but rather points out the appropriate considerations.

The judge should consider whether under Canon 1 he can fairly decide the case on the facts and law; whether under Canon 2A recusal is required to avoid the appearance of impropriety; whether the judge's impartiality can be reasonably questioned because the judge has an interest that could be substantially affected by the outcome of the proceeding. The judge must decide for himself. If either the integrity of the system or the appearance of impropriety requires recusal, then the judge must recuse.

However, while the judge is receiving monthly payments, it appears recusal is warranted in hearing matters in which lawyers of the merged law firm are involved and in acting on the proposal to increase the duties and compensation of the dependency mqster. Because the dependency master and the new law firm have no interest in the outcome of the dependency reports, recusal is not required in reviewing the dependency master's reports.

A possible candidate for judicial office may explore the viability of seeking such office at any time. Under Canon 7A (2) a judge may attend political gatherings and speak to such gatherings on his own behalf when he is a candidate. To be a candidate the judge must do something to alert the public that he is attending political gatherings in support of himself only. This could be done by a public announcement of candidacy, fundraising through a duly constituted committee, or circulating nominating petitions. Informal activities to determine whether there is support and attendance at political gatherings to showcase oneself are not sufficient. A judge who begins campaigning for judicial office immediately after being sworn into office should be cautious about the time spent. Canon 3A (5) requires a judge to promptly dispose the business of the court and Canon 3B (1) requires a judge to diligently discharge administrative responsibilities. Under Pennsylvania Rule of Judicial Administration 703 a judge must report matters which are awaiting decision and which have been outstanding for a certain period of time. Thus, Canon 3 and Rule 703 provide some constraints on the time that a judge may campaign.

Engaging in campaigning is protected by Pennsylvania Constitution Article 1 section 5 and the right to a republican form of government.

A judge who is a shareholder of a bank and who recuses himself whenever the bank is a party may not serve as a director on the bank's board.

A judge may testify at the arbitration of a former law clerk who was injured in an accident while employed as a law clerk. The judge has knowledge of the former law clerk's physical condition and inability to perform his duties.

Two judges inquire whether both may attend the inauguration of the president of a university and related social events and whether one of them may speak at the inauguration to welcome the president. The university is a party in two pending cases before the court on which the judges sit and in the past has been a party to lawsuits before the court. The university is located in the judicial district in which the judges sit. One of the judges was a teacher at the school at the time of the events underlying the pending lawsuits. That judge has recused himself from the lawsuits. If permitted to attend the inauguration and related events, the other judge intends to inform counsel in the pending lawsuits of that fact.

The judges may engage in the activities. The activities are mere social and ceremonial occasions for the benefit of the community. However, the judges should not permit their attendance to be used to advance the financial interests of the university. The judges should inform the university that any pictures taken at the events cannot be used for fund raising purposes.

A judge may receive an honorarium for giving an educational lecture if the honorarium is not excessive.

A judge may cut the ribbon at a ceremony to open a mental health day care facility which is publicly funded and nonprofit and into which the court regularly makes placements provided that there is no fundraising at that time or use of the judge's words or image to raise funds.

A judge may not testify as a character witness unless he is subpoenaed pursuant to Pennsylvania Rule of Judicial Administration 1701.

9/29b/00
4A
4C
5B (2)
other activities concerning the law, the legal system, and the

administration of justice
assist in raising funds
solicit funds and fundraising
prestige of office
outside activities

A judge may act as co-chair of a bar association conference. Although a silent auction will take place at the conference, it is merely incidental to the other activities at the conference and the judge will not be involved with the silent auction. Moreover, although as co-chair the judge will sign a letter inviting lawyers to the conference and the letter will refer to the silent auction, because the principal purpose of the letter is to attract lawyers to attend the conference, signing the letter is permissible.

A judge may be one of several speakers at an event celebrating the anniversary of granting women the right to vote. The event is also intended to encourage people to vote at the upcoming election.

A judge requests advice on how to deal with reporting a matter which had been inadvertently omitted from a Pennsylvania Rule of Judicial Administration 703 report. The Judicial Ethics Committee takes no position on interpreting Pennsylvania Rule of Judicial Administration 703. However, Canon 3A (5) requires a judge to promptly dispose of court business. If the judge has complied with Canon 3A (5), then the judge has not violated the Code of Judicial Conduct.

A judge inquires about the extent to which the judge may serve as the chair of a regional board of the Anti-Defamation League.

The judge was advised that the judge must disclaim any participation in any public position which might be the subject of litigation; that it was assumed that the organization will not be involved in proceedings which would come before the judge and would not be regularly engaged in adversary proceedings in any court (Canon 5B (1)); and that the judge should not serve if the organization would make policy decisions which would have political significance.

A judge may attend and buy a ticket for a retirement dinner for a state legislator sponsored by a major political party. The cost of attending will be used to pay for the dinner and provide a gift for the state legislator; although the check for attendance is to be made payable to a major political party none of the money will be used to raise funds for the party.

A judge may sign an affidavit for a former client which will describe what the judge did for the client as a lawyer. The purpose in obtaining the affidavit is not to use the prestige of the judge's office. Obtaining such an affidavit is standard in the type of proceeding involved.

A judge may serve as a treasurer and write checks for disbursements for a nonprofit organization. The judge will not be involved in fundraising or giving investment advice.

A judge may testify as a fact witness as to damages which the judge's adult child sustained. The judge's knowledge cannot be compared to other non-relative witnesses and it cannot be reasonably argued that the sole purpose of having the judge testify is to use the prestige of the judge's office.

A judge who will be a candidate for retention next year may not contribute money to a political party to obtain a picture with an elected law enforcement official to use in a retention campaign as an endorsement by the elected law enforcement official. The judge is prohibited from contributing to a political party. The picture will make it appear that the judge is aligned with the law enforcement official. Using a picture as an endorsement would be improper if there is no actual endorsement.

A judge inquires whether he may correct misrepresentations made by a newspaper regarding a matter over which the judge presided and which is still pending. Canon 3A (6) prohibits a judge from publicly commenting about a pending case. However, a judge may explain for the public information about the procedures of the court. The judge may send the newspaper a transcript and a cover letter stating that the transcript is the best evidence of what occurred in court. The judge may also explain procedure if it does not constitute comment about the pending case.

11/15/00
2B
prestige of office

A judge may permit his former law firm to issue a press release marking a significant anniversary of the firm's existence and stating a history of the law firm, including the name and biographical facts of the current and former members of the firm. The press release is truthful, factual, and unsensational and does not seek to unduly showcase or highlight the judge's present status.

A candidate for election to retention may not be the honoree at a political party's general fund raising event.

A judge may declare himself to be a candidate at any time and after such declaration may attend political functions and engage in political activities to advance his candidacy. The judge's campaign committee may raise funds as of 30 days before the first day for filing nominating petitions. A judge or his campaign committee may contribute to parties and associations. A judge or his campaign committee may not contribute to other candidates for political office except 1) a judge or his campaign committee may contribute to the campaign committee of a candidate for the same judicial office which the judge is seeking and 2) the judge or his campaign committee may contribute to the campaign of another by buying tickets to events so that the judge may attend the events and promote the judge's candidacy. After the judge declares his candidacy, he may spend money to attend political fundraisers or contribute money to his campaign committee to spend money to attend political fundraisers.

A Register of Wills who is a candidate for election for judge may not wear judicial robes in campaign advertisements.

A Register of Wills regularly conducts hearings which are governed by the Pennsylvania Rules of Civil Procedure and the Pennsylvania Rules of Evidence. The hearings are held on the record. After the hearing the Register issues a written order and usually issues a written opinion. The Pennsylvania Supreme Court has issued an opinion stating that the duties of a Register of Wills include a judicial function and that a person holding such an office "is a judge." In re Sebik's Estate, 300 Pa. 45, 47, 150 A. 101, 102 (1930). See Lennox v. Clark, 372 Pa. 355, 372, 93 A.2d 834, 841 (1953). The inquirer wears a judicial robe at every hearing.

A candidate for election to retention may become politically active after declaring his candidacy. When a judge publicly declares his candidacy, such that his motives for engaging in political activity are unmistakably those of self-interest to win election or retention, then political activity may begin.

administration of justice
campaign funds and campaign contributions
campaign conduct
candidate for election to retention

A candidate for retention may form a campaign committee which will solicit campaign funds from lawyers.

As a condition to rating a retention candidate as "recommended" a bar association requires a retention candidate to sign a pledge not to solicit funds from lawyers. Although such a requirement may be viewed as a "political" reform, a retention judge may sign the pledge because if soliciting funds from lawyers is ethical, then refraining from soliciting is also ethical even if it may be characterized as political. Also, such a "political" reform may be viewed as an improvement of the law or legal system and thus, permitted under Canon 7A (4).

A bar association's rating of "not recommended" is likely to be perceived by the public as a rating of "not qualified." Thus, a retention judge could view the bar association's imposition of the pledge as an improper measure of judicial qualifications or lack of judicial qualifications. If so, this would raise an issue of impropriety for such a judge, who may properly refuse to sign the pledge to avoid the appearance of impropriety. Like the issue of recusal, each judge must determine whether participation would create an issue of impropriety. If so, the judge should refrain from participation to comply with Canon 2's requirement that a judge avoid the appearance of impropriety.

A county law librarian is a court-appointed employee within the meaning of the Supreme Court order prohibiting partisan political activity. Therefore, a county law librarian may not engage in partisan political activity in support of the librarian's spouse who is a candidate for election to judicial office.

In the Supreme Court order the definition of court-appointed employee includes a person "serving the judiciary." The county law library is part of the unified judicial system. 42 Pa. C.S. sections 3724, 102, 3721. Under 16 P.S. section 1925 (which has been repealed and supplanted by 42 Pa. C.S. section 2301) the president judge had the authority to appoint the county law librarian. Under 42 Pa. C.S. section 2301 the court has the authority to appoint necessary administrative and central staff. Although 42 Pa. C.S. section 2301 does not specifically refer to the county law librarian, it does provide that its provisions are intended solely to codify and consolidate former statutes on the same subject and is not to be construed to limit or deny existing powers as "have been heretofore authorized by law." In County of Allegheny v. Allegheny Court Association of Professional Employees, 22 Pa. D. & C. 3d 166, aff'd, 466 A.2d 1370 (Pa. Cmwlth. 1982), a bargaining unit of all court-appointed employees included the county law librarians.

12/12/00
5C
financial activities

A judge who is a co-owner of real estate with the judge's spouse, the judge's former law partner and former law partner's spouse may rent the real estate to the county for domestic relations offices. The judge is not the president judge or administrative judge and the judge's calendar is not solely domestic relations matters. The judge is not involved in the preparation of the budget for the judicial district or county. The judge will not be engaged in the negotiations other than to approve or disapprove the final rental negotiated by the other owners and as a signatory to the lease. There are other judges in the judge's judicial district.

administration of justice
outside activities
extra-judicial appointments

A judge may serve on a committee to recommend candidates for U. S. Attorney and U. S. Marshall if such service will not interfere with the performance of his judicial duties.

1/6/01
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

A judge who has a dispute with an insurance company inquires about his duty to recuse. A question of recusal is a mixed question of ethics and law. The Ethics Committee does not generally advise whether a judge should recuse, but rather points out the appropriate considerations.

The judge should consider whether under Canon 1 he can fairly decide the case on the facts and law; whether under Canon 2A recusal is required to avoid the appearance of impropriety; whether the judge's impartiality can be reasonably questioned because the judge has an interest that could be substantially affected by the outcome of the proceeding. The judge must decide for himself. If either the integrity of the system or the appearance of impropriety requires recusal, then the judge must recuse.

In cases in which the insurer is involved the judge should disclose the existence of the dispute before settlement negotiations and before bench trials. There is no need to disclose before a jury trial.

1/8/01
2A
comply with the law

In a shopping mall a judge saw a person who at an earlier time was wanted on a bench warrant. The judge was not certain whether the bench warrant was still outstanding. The most the judge could have done was to ask the sheriff or police to check whether the bench warrant was still outstanding. The judge had not issued the bench warrant. Before the judge could have checked, the person was gone. The judge does not know where the person is now. The judge has no ethical obligation to do anything now.

1/11/01
2B
prestige of office
recommendations
letters of reference

A judge may write a letter of recommendation for a lawyer who is seeking appointment as U. S. Attorney if the letter complies with the Judicial Ethics Committee's Formal Opinion 98-1.

1/12/01
5G
Pennsylvania Constitution article 5, section 17(a)
42 Pa.C.S. section 3301
extra-judicial appointments
governmental commission

A judge may not serve on a county library system board. It appears from the facts submitted that the board is a governmental agency appointed by the county commissioners and is responsible for setting policy for the library system.

1/17/01
7A (2)
7B (3)
attend political gatherings, speak
campaign conduct
candidate for election to retention

A candidate for retention may attend and speak at an event sponsored by a major political party.

1/22/01
2
7B
appearance of impropriety
integrity and impartiality
campaign conduct
candidate for election

A judge who is a candidate for judicial office may not use judicial stationery to thank contributors because the judge's impartiality might be questioned. Campaign or personal stationery may be used. A government seal may not be placed on campaign or personal stationery because it would create an ambiguity. It would not be permissible to buy judicial stationery with personal funds and so state on the stationery.

Judicial stationery may be used to thank politicians and bar officers. Such thank you's are not part of the campaign proper, but are more akin to informal exploration of the viability of candidacy. The judge's identity is known to them, the use is de minimis and there is no exploitation.

A judge may explore candidacy without becoming a candidate. A candidate may choose not to raise money. It would be absurd to have personal or campaign stationery specially made for the purpose of exploration.

1/25a/01
7B (1)(c)
campaign conduct
candidate for election

A candidate for judicial office who has served as a juvenile master asks whether he may state in campaign advertisements "proven judicial experience." The Judicial Ethics Committee does not approve or disapprove any particular campaign advertisement, but rather refers the inquirer to its Formal Opinion 99-1. If a candidate obtains advice from the Judicial Ethics Committee regarding campaign advertising, the candidate may not state that the Committee's advice constitutes an endorsement or approval of a particular advertisement.

1/25b/01
2B
5B (2)
family, social, or other relationships
prestige of office
special position to influence
family and spouse
solicit funds and fundraising
outside activities

A judge's daughter may participate in a marathon to raise money for a charity. The judge should request that his daughter refrain from making any reference to the judge or the judge's position in any fund raising activity.

1/25c/01
7
candidate for election

A county solicitor who is a candidate for judicial office inquires whether he must step down as county solicitor or whether he can delegate his duties to his assistant to avoid the conflict between his being a candidate and his being the legal advisor to the County Board of Elections. The State Board of Elections will decide any questions about the judicial office for which the inquirer is a candidate.

The only provision of the Code of Judicial Conduct which applies to a lawyer candidate is Canon 7. Canon 7 does not apply to the inquiry. The Judicial Ethics Committee will not express an opinion about any other rule (such as Rule of Professional Conduct 1.7(b)(conflict of interest)), regulation, or law which may apply.

1/29a/01
5B
civic and charitable activities
outside activities

A judge may be a member of the board of a nonprofit corporation whose purpose is to communicate and educate youth about the accomplishments of a former state legislator.

1/29b/01
5B
civic and charitable activities
outside activities

A judge may serve on the reunion planning committee of the judge's law school class and the judge's name may be placed on the committee's letterhead. The letterhead will not be used for fundraising.

1/30/01
7B (2)
expenditure of funds
campaign funds and campaign contributions

The treasurer of a judge's campaign committee asks whether the committee may pay the small surplus in campaign funds to Interest On Lawyers' Trust Accounts (IOLTA). The inquiry involves the interpretation of the Election Code which the Judicial Ethics Committee has no authority to do.

2/1a/01
7B (1)(c)
campaign conduct
misrepresent

A candidate for election to an appellate court who is a judge may print campaign material which says, "Elect Judge [judge's name] to [appellate] Court.

2/1b/01
5B
5B(2)
civic and charitable activities
outside activities

A judge asks whether the judge may serve as a board member and officer of a neighborhood organization and as co-chair of the organization's ball. The judge will not solicit funds, permit the judge's name to be used in fundraising, and the judge's title will not appear on the organization's letterhead. The ball is not a fundraiser. The judge may do so.

2/6/01
4A
other activities concerning the law, the legal system, and the

administration of justice
outside activities

A judge whose assigned cases are usually a certain type of negligence case has been asked to serve as the facilitator of an exchange of information among the plaintiffs' bar, the defense bar, and an organization of which many defendants are members. The parties have requested the judge and another judge to serve as facilitator because the judges are neutral in the matter and none of the parties wishes to be perceived as the instigator of the exchange. The exchange of information will be general, will benefit the parties and the administration of justice, and will take place in the courthouse or will use court facilities. The judge may do so. However, it is suggested that after the program gets off the ground, subsequent meetings take place at the bar association or rotate at a party's site to avoid the appearance of partiality.

2/9/01
2B
prestige of office
recommendations
letters of reference

A judge may permit a lawyer to list the judge as a reference on an application to a commission which recommends prospective judges if the judge has knowledge about the lawyer, such as presiding over trials conducted by the lawyer, trying cases against the lawyer when the judge was practicing law, or knowing about the lawyer's community activities.

2/12/01
5C
exploit judicial position

A retired judge who is serving as a commissioner on a government agency appeal board may use the words, "Judge [judge's name], Retired" above the word "Commissioner" on the judge's official stationery. The retired judge is not practicing law or using the title to solicit business.

2/13/01
2B
prestige of office
recommendations
letters of reference

A judge may permit a lawyer to list the judge as a reference on an application to a commission which recommends prospective judges if the judge has knowledge about the lawyer, such as presiding over trials conducted by the lawyer, trying cases against the lawyer when the judge was practicing law, or knowing about the lawyer's community activities.

2/14a/01
2B
4A
prestige of office
other activities concerning the law, the legal system, and the

administration of justice
outside activities

A judge may permit the judge's picture to appear in a brochure promoting diversity in the makeup of the law school from which the judge graduated.

2/20/01
3B (3)
disciplinary measures

A judge asks what he must do if he concludes that a lawyer who regularly practices before the judge is using the media in a propaganda campaign against the judge to influence the judge's court decisions.

The judge should examine Rules of Professional Conduct 3.5 and 3.6. The Code of Judicial Conduct provides that the judge take appropriate action if the judge concludes that a lawyer is violating the Rules of Professional Conduct. However, the judge should be mindful of the First Amendment rights of the lawyer and the public's interest in court matters and that motives are ethereal in nature. Also, the Bar Association has pledged to respond to unfair treatment of judges.

2/21/01
1
2
2A
2B
5A
avocational activities
integrity and independence
integrity and impartiality
appearance of impropriety
prestige of office
gifts

A judge may attend a ceremonial and social function of a bar association of a lawyers who represent plaintiffs. A judge may accept tickets to such event paid for by one of the members of the association. The judge should report the gift on the financial disclosure form.

2/26/01
7B (2)
campaign funds and campaign contributions

A judge who does not intend to file a nomination petition, may not form a campaign committee to raise funds to retire a past campaign debt. A judge may not form a campaign committee to raise funds if the judge does not genuinely intend to be a candidate for office. Even if the judge filed a nomination petition, if the purpose was to raise funds, withdraw as a candidate, and pay off an old campaign debt, such fundraising would be prohibited. Such fundraising would deceive the contributors.

3/6a/01
7B (1)(c)
pledges or promises of conduct
announce views
campaign conduct

A candidate for election may state that he favors consolidating certain types of court matters and scheduling them before a single judge. The candidate may also propose ideas to reduce court filing fees and costs to litigants.

3/6b/01
2A
4A
integrity and impartiality
other activities concerning the law, the legal system, and the

administration of justice
decide impartially

A judge may speak at a program on the prevention of child abuse which will be held at the courthouse. The judge handles most of the dependency cases in his court and intends to limit his remarks to describing how the court handles child abuse and dependency cases.

3/8/01
2B
prestige of office
recommendations
letters of reference
character witness

Because a judge may not voluntarily testify as a character witness, a judge may not write a letter of character reference.

3/16/01
2A
4A
integrity and impartiality
speak, write, lecture, teach
other activities concerning the law, the legal system, and the

administration of justice
decide impartially

A judge may explain the law of driving under influence as part of a student run program to discourage students from driving under the influence of alcohol. The judge could also portray a judge for a videotape of a mock trial if it was clear that it was a mock trial and if the content of the drama did not call into question the judge's impartiality.

3/22a/01
4A
4C
5B
other activities concerning the law, the legal system, and the

administration of justice
civic and charitable activities
outside activities

A judge may vote in a bar association election.

3/22b/01
5C
financial activities
exploit judicial position
outside activities

A judge may not engage in the business of introducing a seller to state and local officials with whom the judge became acquainted before the judge became a judge. The judge would be compensated by receiving a commission for each sale. The judge would be exploiting his judicial position and it would be highly likely that litigation would ensue in which the judge would become involved.

3/23/01
4A
5B
other activities concerning the law, the legal system, and the

administration of justice
civic and charitable activities
outside activities

A judge may attend a meeting of professionals and others who will be discussing the resources and means to strengthen the family.

3/26a/01
7A (1)(b)
7A (2)
7B (3)
publicly endorse a candidate
attend political gatherings
retention

A candidate for election to retention may attend a fundraiser for a candidate for election to the legislature. However, the judge may not contribute to the candidate or the candidate's election committee because that would be perceived as an endorsement.(This does not prohibit a candidate for election to retention from buying a ticket to attend a fundraiser for a candidate for election to the legislature).

3/26b/01
4A
5B
other activities concerning the law, the legal system, and the

administration of justice
decide impartially
civic and charitable activities
reflect adversely upon his impartiality
outside activities

A judge may join the American Trial Lawyers Association as a fellow and attend continuing education programs at its annual convention.

4/16/01
2B
4A
prestige of office
special position to influence
other activities concerning the law, the legal system, and the

administration of justice
outside activities

A judge may attend a bar association event held at a private law firm if the law firm does not showcase the judge for some purpose.

4/24/01
2B
5B (2)
prestige of office
civic and charitable activities
solicit funds and fundraising
outside activities

Although a judge may be chair of a nonprofit organization, the judge may not ask community leaders to fund raise and the judge may not permit another person on behalf of the judge to ask community leaders to fund raise and may not permit another person to inform the community leaders who are asked to fund raise that the judge is chair.

5/17/01
5A
6
write, lecture, teach, and speak
compensation
outside activities

A judge may speak at a nondenominational prayer breakfast on a topic chosen by the judge and may be paid a stipend. The event is not a fund raiser.

5/24/01
5A
5B (2)
write, lecture, teach, and speak
speaker
civic and charitable activities
solicit funds and fundraising
outside activities

A judge may speak as a cancer patient at a race held to raise funds for cancer research. The judge's name does not appear on any correspondence regarding the event and the judge is not involved in planning the event. The judge may not make any statements about fund raising.

5/25/01
5B
5B (1)
civic and charitable activities
outside activities

A newly appointed judge may not continue to serve on the board of a bank. Under Canon 5B a judge may serve as a director of an organization not conducted for the economic or political advantage of its members. A bank is not such an organization. Moreover, contrary to Canon 5B (1) a bank will be regularly engaged in adversary proceedings in a court.

6/4/01
5A
5B (2)
write, lecture, teach, and speak
speaker
civic and charitable activities
solicit funds and fundraising
outside activities

A judge who is a member of a board of a charitable organization may speak on a videotape about a board committee of which the judge is a member. The videotape will be used for training and will not be used for fund raising or recruitment.

6/6/01
5D
fiduciary activities

A judge may serve as executor and trustee under a will which was written before the judge became a judge. The decedent was a person with whom the judge maintained a close familial relationship. The judge had looked after the decedent because she had no family in the area. The decedent was originally the judge's next door neighbor. The judge considered the decedent to be the equivalent of the judge's aunt or grandmother.

6/15/01
7A (1)(b)
7A (2)
publicly endorse a candidate
campaign conduct
candidate for election

A judicial candidate for election may not agree to a request by a candidate for nonjudicial office to appear in a photograph with that candidate and with other candidates on that candidate's slate. The photograph would create the appearance that the judicial candidate was endorsing the nonjudicial candidates.

6/18/01
720 A.2d advance sheet January 1, 1999, reporting 201 Judicial Administration Docket No. 1 (order of November 24, 1998) also published at 28 Pa. Bulletin 6068 (December 12, 1998) which amended 82 Judicial Administration Docket No. 1 (order of June 29, 1987) Supreme Court Guidelines Regarding Political Activity by Court-Appointed Employees (order of June 29, 1987 and the guidelines are set forth in In re Dobson, 517 Pa. 19, 21-22, 22 n.2, 534 A.2d 460, 461-62, 462 n.2 (1987))
court-appointed employees
political activity and political conduct

A president judge may not appoint a person who is a candidate for school board to a law clerk position because the candidate is engaging in partisan political activity which Supreme Court guidelines prohibit court appointed employees from doing.

6/19/01
7A (1)(c)
7A (2)
campaign conduct
candidate for election
political activity and political conduct
attend political gatherings

A nonjudicial elected official has invited politicians, friends, and a judge to an event which will have food, music, and other entertainment. The invitation to the judge waives the admission charge. Because the event is a political gathering, the judge may attend only if he is a candidate for retention or for election to other judicial office.

6/21/01
7A (2)
7B (1)(b)
7B (2)
campaign conduct
candidate for election
campaign funds and campaign contributions
public officials or employees

A candidate for election asks whether he may hire a media consultant which another judicial candidate is employing. This inquiry does not involve judicial ethics.

6/25a/01
5F
practice of law
Pa. Constitution Article 5 section 17(a)
42 Pa. C. S. section 3301
judge elect
lawyer who has been elected judge
referral fees
former law firm

A judge elect may receive legal fees from his former law firm after he is sworn in if the payment or share is fixed before he is sworn in. For example, if the judge's percentage of contingent fees not yet received is agreed to before the judge is sworn in, the judge may receive the fees after he is sworn in.

6/25b/01
2A
2B
appearance of impropriety
prestige of office

A judge may not attend his brother's sentencing hearing, including sitting in the gallery. However, partially paralleling Canon 5D a judge may attend the sentencing of a spouse, child grandchild, parent, and grandparent.

6/26a/01
5F
Compliance with the Code of Judicial Conduct
practice of law
Pa. Constitution Article 5 section 17(a)
42 Pa. C. S. section 3301
senior judge

A senior judge who is performing the duties of judge may not provide legal advice to a nonprofit organization.

6/26b/01
2B
prestige of office
recommendations
letters of reference

A judge's close, long time friend, who is a lawyer is seeking employment. Before becoming a judge the judge practiced in the same area of the law and the judge has contacts with other lawyers practicing in that area of the law. The judge asks how the judge may assist the friend. In accordance with the Judicial Ethics Committee Formal Opinion 98-1 the judge may write a letter of reference on the judge's official stationery and also may act as a reference. The judge may not call lawyers on the friend's behalf.

6/29/01
7 A(4)
7 B(3)
720 A.2d advance sheet January 1, 1999, reporting 201 Judicial Administration Docket No. 1 (order of November 24, 1998) also published at 28 Pa. Bulletin 6068 (December 12, 1998) which amended 82 Judicial Administration Docket No. 1 (order of June 29, 1987) Supreme Court Guidelines Regarding Political Activity by Court-Appointed Employees (order of June 29, 1987 and the guidelines are set forth in In re Dobson, 517 Pa. 19, 21-22, 22 n.2, 534 A.2d 460, 461-62, 462 n.2 (1987))
court-appointed employees
political activity and political conduct
candidate for election to retention
campaign conduct

The court employees of a retention judge may not participate in the judge's retention campaign. In re Cicchetti, 743 A.2d 431, 442 (Pa. 2000).

7/5/01
3A (6)
public comment

The media has stated that a judge is responsible for a murder committed in another state because the judge did not keep the accused in custody when the accused was before the judge in another matter. The judge may contact the chancellor of the bar association to respond pursuant to the Commentary to Rule of Professional Conduct 8.2. The judge should abstain from public comment about the case if it might affect the outcome or impair the fairness of a case pending in another jurisdiction. However, the judge can explain the procedures the judge followed.

7/6/01
4A
speak, write, lecture, teach
outside activities

A judge may co-author a book on substantive law. The judge may write a chapter on practice tips.

8/7a/01
5B
5B (1)
civic and charitable activities
reflect adversely upon his impartiality
regularly engaged in adversary proceedings in any court
engaged in proceedings that would ordinarily come before him

A judge may serve on a nonprofit citizens' advisory board which makes non-binding recommendations to a municipality to improve efficiency and responsiveness to citizens' needs.

8/7b/01
5B
civic and charitable activities

A judge may serve on a nonprofit citizens' advisory board which makes non-binding recommendations to a municipality to improve efficiency and responsiveness to citizens' needs. .

10/1/01
4
4A
5B
decide impartially
speak, write, lecture, teach
other activities concerning the law, the legal system, and the administration of justice
reflect adversely upon his impartiality
civic and charitable activities

Whether a judge's picture may appear on a billboard with the caption, "It's against the law to beat a spouse" depends on the facts, which are not sufficiently set forth in the inquiry. It depends on whether the judge's impartiality or appearance of impartiality may be adversely affected. Such facts as whether the sponsoring organization appears in court in an adversary fashion or whether the judge will be appearing with the district attorney, may bear on the appearance of impartiality.

10/4/01
5F
Pa. Constitution article 5, section 17(a)
42 Pa. C.S. section 3301
practice of law

A judge may not give legal advice to a close personal friend regarding the friend's offspring's pending criminal charges.

10/17/01
7B (2)
campaign funds and campaign contributions
campaign conduct and political activity
candidate for election

A judge may sign thank you's to contributors before and after the election.

10/19/01
5F
Pa. Constitution Article 5, section 17(a)
42 Pa.C.S. section 3301
practice of law

If a Juvenile Delinquency special master is permitted to practice law, the master may accept a referral fee for referring a personal injury case to a lawyer.

10/21/01
2
2A
appearance of impropriety
integrity and impartiality
candidate for election to retention

Because of the appearance of impropriety a president judge may not assign retention candidate judges to election court.

10/26/01
7A (2)
7B (2)
attend political gatherings, speak
identify self as member of a political party
contribute to a political party or organization
expenditure of funds
solicit funds
campaign funds and campaign contributions
campaign conduct and political activity
candidate for election

A judge may now publicly announce his candidacy for a judicial election which will be held in 2003. After announcing his candidacy the judge may attend political gatherings, speak to such gatherings on his own behalf, identify himself as a member of a political party, contribute to a political party or organization, and contribute to the campaign of another by buying tickets to events so that the judge may promote his candidacy. The judge may not raise funds until the time specified in Canon 7B (2).

11/27a/01
5
5A
5B
avocational activities
civic and charitable activities
outside activities
reflect adversely upon his impartiality

A judge may accept an award from law students for being a good judge.

11/27b/01
2B
prestige of office
advance the private interests of others
character witness

A lawyer was held in contempt for failing to appear for a case in which the lawyer was a party. At that time the lawyer was in court on another case conducting voir dire. The voir dire was not recorded. Because the voir dire was not recorded there is no record that the lawyer was present at the voir dire. At the lawyer’s request the judge may write a letter stating that the lawyer was present at voir dire at the time in question.

12/3a/01
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

A judge who is a witness in lawsuits or is a party to lawsuits arising out of the judge's duties is sometimes represented by lawyers who are members of law firms rather than lawyers employed by the Administrative Office of Pennsylvania Courts. The judge inquires whether he must recuse himself from unrelated cases in which the lawyers who represent the judge or other lawyers from their law firms represent parties in such unrelated cases.

A question of recusal is a mixed question of ethics and law. The Ethics Committee does not generally advise whether a judge should recuse, but rather points out the appropriate considerations.

The judge should consider whether under Canon 1 he can fairly decide the case on the facts and law; whether under Canon 2A recusal is required to avoid the appearance of impropriety; whether the judge's impartiality can be reasonably questioned because the judge has an interest that could be substantially affected by the outcome of the proceeding. The judge must decide for himself. If either the integrity of the system or the appearance of impropriety requires recusal, then the judge must recuse.

Recusal should not be taken lightly. A judge has an ethical duty to dispose of the cases assigned to him. A judge should not recuse to avoid a difficult case. Also, a judge should not permit a party to try to obtain an advantage by fabricating spurious reasons for recusal.

The judge was advised to disclose the relationship and decide whether recusal was required. Factors to be considered are whether the lawyer is to be paid from the court's budget, whether the judge chose the lawyer, whether the matter involves acts or omissions of the judge in his official capacity, and the nature of the attorney/client relationship, such as, whether the judge discloses to the lawyer information which would be helpful to a lawyer appearing before the judge, whether the judge discusses the lawsuit with the lawyer, whether the judge is apprised of the details of the lawsuit as it progresses.

12/3b/01
3C
recusal and disqualification

A judge is not required to recuse from hearing cases in which a lawyer of the law firm in which the judge’s law clerk practices appears for a party. The judge has taken substantial steps to screen the law clerk from the decision making process in such cases.

12/4/01
5E
mediation and arbitration

A judge may not serve as a member of a panel of a private college. The panel will evaluate whether students have violated the social code. Penalties for violating the social code include expulsion.

12/17/01
7A (1)(c)
7A (2)
7A (4)
7B (2)
attend political gatherings
political activity and political conduct
campaign conduct
campaign funds and campaign contributions

A lawyer who has been elected a judge may attend a fundraising event held by his campaign committee after the November election and no later than December 31.

A judge may attend an elected official's inaugural ball. It is a social event, it is not partisan and is not a fundraiser.

12/19/01
2B
5A
5B
prestige of office
avocational activities
write, lecture, teach, and speak
civic and charitable activities
outside activities

A judge may not appear in a television announcement which will be broadcast periodically requesting people to nominate their favorite teacher for an award. The announcement would show persons of a variety of occupations with a graphic superimposed on their image stating the name of their favorite teacher. Because a private for profit business is sponsoring the award and its name is part of the award, the judge may not appear.

12/28/01
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

After a judge recused from hearing cases filed by the same party, the cases were reassigned to the inquiring judge. The party had previously been represented by a variety of counsel. When the party was represented by a lawyer who had been the chairman of the judge's campaign committee, the inquiring judge ruled on a number of issues, some favorable, some unfavorable to the party. Subsequently, when that lawyer sought to withdraw, the party, who knew that the lawyer had been chairman of the judge's campaign committee, opposed the motion. After a hearing on the motion the judge permitted the lawyer to withdraw and ordered the party to reimburse the lawyer for his costs. There was no on the record discussion of the lawyer's previous service as chairman and the potential conflict or appearance of conflict. Subsequently, new counsel requested recusal on other issues on the ground that because the previous lawyer was a quasi-party the judge may have a prejudice against the party.

The Judicial Ethics Committee does not advise about past conduct, it advises about prospective conduct. Therefore, the Judicial Ethics Committee will not advise about the motion to withdraw. The Judicial Ethics Committee's response to the other question is as follows:

A question of recusal is a mixed question of ethics and law. The Ethics Committee does not generally advise whether a judge should recuse, but rather points out the appropriate considerations.

The judge should consider whether under Canon 1 he can fairly decide the case on the facts and law; whether under Canon 2A recusal is required to avoid the appearance of impropriety; whether the judge's impartiality can be reasonably questioned because the judge has an interest that could be substantially affected by the outcome of the proceeding. The judge must decide for himself. If either the integrity of the system or the appearance of impropriety requires recusal, then the judge must recuse.

Recusal should not be taken lightly. A judge has an ethical duty to dispose of the cases assigned to him. A judge should not recuse to avoid a difficult case. Also, a judge should not permit a party to try to obtain an advantage by fabricating spurious reasons for recusal.

1/11/02
7B (2)
campaign funds and campaign contributions

The campaign committee of a lawyer who was an unsuccessful candidate for election to judge may not raise funds after December 31 of the year of the election.

The Judicial Ethics Committee will not express an opinion on how to resolve the campaign debt on the campaign finance reports because that question does not involve ethics.

1/18/02
5B(2)
solicit funds and fundraising
prestige of office
guest of honor
outside activities

A judge is one of five people who are to be given an award at a dinner of a nonprofit organization. The other honorees are not lawyers or judges. The invitations will state that a specified part of the cost of a dinner ticket will be deductible as a charitable donation. The invitations will be sent to the people on the organization's usual mailing list. The mailing list will not be supplemented by the names of lawyers who might desire to attend because the judge is being honored.

The judge may attend and receive the award if the invitations and promotional materials do not state that the judge will given an award. Otherwise the organization would be using the prestige of the judge's office to fund raise and the judge would be considered the guest of honor, both of which are prohibited.

1/24a/02
2B
Pennsylvania Rules of Judicial Administration 1701
prestige of office
character witness
witness
subpoena

A judge who saw an accident to the judge's employee may testify at the employee's personal injury trial about how the accident happened and may testify about the extent of the employee's injuries if the judge knows about them. The judge may not testify as a character witness.

1/24b/02
5D
fiduciary activities

A judge may not serve as co-executor of the will of a person who is not a "spouse, child, grandchild, parent, grandparent, or other relative or person with whom the judge maintains a close familial relationship." The judge has known the person for many years, but does not have a particular friendship with him or his family.

1/24c/02
2A
2B
3B
appearance of impropriety
Pennsylvania Rules of Judicial Administration 1701
prestige of office
character witness
witness
subpoena
administrative responsibilities
staff and court officials

A member of the judge's staff may testify as a character witness on behalf of the staff member's sibling.

2/4/02
3C
recusal and disqualification

As part of a judge's course work as a medical student a judge intends to observe psychiatrists interview criminal defendants. The judge intends to recuse himself from matters involving those defendants. The judge asks whether any ethical difficulties are presented by the facts and whether all judges of the same division as the inquiring judge must recuse. No ethical difficulties are presented.

2/5/02
3A(6)
public comment


While a case is pending a judge may write a letter to the editor to correct an error in a news report about a case the judge handled. The letter will state the facts which were on the record regarding the offense, the sentence, and the sentencing guidelines. It will contain no argument.

2/11/02
3C
3C(1)(d)(iii)
recusal and disqualification

A judge has completed one week of a complex tort trial. One of the defense counsel has informed the judge that the judge's spouse's brother-in-law referred to case to plaintiffs' trial counsel. The brother-in-law's appearance is not of record. Before the suit the brother-in-law settled with another person. If the judge determines that the brother-in-law may receive a referral fee which is substantial, then the judge should recuse. If the judge determines that the brother-in-law's interests would not be substantially affected by the outcome of the case, for example, he has renounced any referral fee and has no other interest which would be substantially affected by the outcome of the case, then the judge may proceed.

2/28/02
2B
prestige of office
recommendations
letters of reference
character witness

A judge has been contacted by the bar association about a candidate for gubernatorial appointment to the bench. The judge may state the judge's knowledge of the candidate's courtroom experience in response to an inquiry or if the judge is listed by the candidate as a person to be contacted. However, the judge may not initiate contact with the Governor's chief counsel.

3/25/02
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

A judge is not mandated to recuse hearing a real estate assessment tax appeal under the following facts. The judge is a resident of two of the three tax authorities, to which more than 75 per cent of the tax at issue would be due and eleven years ago was solicitor for the third tax authority. The appealing taxpayer is a large corporation and is a significant taxpayer in the county.

Also, the parties may waive their right to request recusal and if so, it would be improper for the judge to recuse unless the judge concludes that he cannot be fair.

The Judicial Ethics Committee must decline to answer the judge's question of whether the judge should conduct a hearing on recusal if a party requests recusal, because it is solely a question of law and not of judicial ethics.

A question of recusal is a mixed question of ethics and law. The Ethics Committee does not generally advise whether a judge should recuse, but rather points out the appropriate considerations.

The judge should consider whether under Canon 1 he can fairly decide the case on the facts and law; whether under Canon 2A recusal is required to avoid the appearance of impropriety; whether the judge's impartiality can be reasonably questioned because the judge has an interest that could be substantially affected by the outcome of the proceeding. The judge must decide for himself. If either the integrity of the system or the appearance of impropriety requires recusal, then the judge must recuse.

Recusal should not be taken lightly. A judge has an ethical duty to dispose of the cases assigned to him. A judge should not recuse to avoid a difficult case. Also, a judge should not permit a party to try to obtain an advantage by fabricating spurious reasons for recusal.

5/7a/02
5B(2)
solicit funds and fundraising
prestige of office
outside activities

A judge may not serve as chair of United Way. Its principal function is to raise funds. By being chair the judge would be lending the prestige of the judge's office to United Way because of the highly visible nature of the position and the high profile fund raising activity of the organization.

5/7b/02
5B
civic and charitable activities
outside activities

A judge may serve on a committee of the judge's undergraduate school, a private college. The committee will study student life and make recommendations to the board.

5/14/02
1
2B
high standards of conduct
integrity and independence
family, social, or other relationships

A judge is an administrative judge of a judicial district whose judges vote on appointments to certain boards and commissions. The judge's spouse is a candidate for appointment to such a board or commission. Voting is by secret ballot. The judge asks whether the judge may vote. The judge may vote. The judge will not campaign for the judge's spouse and is not a member of the nominating committee of judges which recommends appointments to the judges.

5/30a/02
2B
4
4A
5A
prestige of office
advance the private interests of others
speak, write, lecture, teach
other activities concerning the law, the legal system, and the administration of justice
dignity of office
reflect adversely upon his impartiality

A judge may appear on television during nonwork time overseeing people who are renewing their wedding vows. The judge is not being paid to appear.

5/30b/02
7A (2)
7B (2)
attend political gatherings, speak
identify self as member of a political party
campaign conduct
publicly stated support
expenditure of funds
candidate for election

A lawyer who intends to be elected to judicial office in 2003 may announce his candidacy now. After announcing his candidacy the judge may establish a campaign committee, attend political gatherings, speak to such gatherings on his own behalf, and identify himself as a member of a political party. The committee may seek public statements of support for the lawyer's candidacy, but may not raise funds until the time set forth in Canon 7B (2).

6/6/02
2B
prestige of office
recommendations
letters of reference

A judge's former law clerk is being considered for judicial appointment by the governor's appointment committee. The judge may write a reference letter on behalf of the former law clerk and recommend the law clerk for the position. The judge should address the letter to the governor's appointment committee and state that the recommendation is for appointment and is not to be considered as an endorsement for the subsequent election.

6/20/02
2B
prestige of office
outside activities

A judge may not permit his name to be used in a newspaper advertisement as a person who intends to attend a religious retreat because the purpose of listing the judge's name is to increase attendance. It does not matter whether or not the judge's title is listed.

6/25/02
4A
4C
5G
Pa. Constitution Article 5, section 17(a)
42 Pa. C.S. section 3301
other activities concerning the law, the legal system, and the administration of justice
extra-judicial appointments
outside activities

A judge may serve on an advisory committee of a task force formed pursuant to legislation. The purpose of the advisory committee is to study certain types of inmates of prisons and make recommendations to the legislature. The advisory committee does not set policy and the legislation does not require a judge to be a member of the committee. The committee does not perform duties of a judicial nature. Therefore, Canon 5, not Canon 4 is involved. The committee's duties are concerned with improving the law or the legal system. The comment to Canon 5 notes that a judge should not accept appointments "that could interfere with the effectiveness and independence of the judiciary." If service on the committee does not involve the risk of any untoward influence on the judge's ability to render decisions without bias, the judge may serve.

7/9/02
7B (2)
campaign conduct
campaign debt
candidate for election
campaign funds and campaign contributions
expenditure of funds

A lawyer who intends to run in 2003 for judge of the Court of Common Pleas may publicly declare his candidacy now and thereafter, may create a campaign committee, and the lawyer himself may provide money to the campaign committee. The campaign committee may not solicit campaign contributions before the time stated in Canon 7B (2).

7/17/02
2B
prestige of office
recommendations
letters of reference

Under Formal Opinion 98-1 a judge may write a letter of recommendation on behalf of a candidate for a bar association office. However, the letter cannot exceed a factual record and cannot actively promote the lawyer because Canon 2B, which prohibits lending the prestige of a judge's office to advance the private interests of another, would be violated.

7/18/02
2B
5
advance the private interests of others
write, lecture, teach, and speak
outside activities

A judge may give a brief interview to the media as part of a piece involving people of different occupations taking art classes. The judge's status as a judge is not being used to advance the private interests of the art school.

7/29/02
2B
Pennsylvania Rules of Judicial Administration 1701
prestige of office
character witness
witness
subpoena

A lawyer who is being investigated by a discipline committee has requested a judge to write a letter in support of the lawyer and give the letter to the lawyer who will submit it to the discipline committee. The judge's name has not been given to the discipline committee. Under these circumstances the judge was prohibited from writing a letter because the judge would be using the prestige of his office. However, the lawyer could submit the judge's name to the discipline committee and if the committee contacted the judge, the judge could respond to inquiries.

8/6/02
5B
5B (2)
civic and charitable activities
outside activities
solicit and fund raising
prestige of office

A judge is permitted to model clothes from a particular clothing store at a fashion show to raise funds for a charitable organization. The judge is not a member of the charitable organization. The judge's name, title, and likeness will not be used to promote the show and the judge will not be introduced to the audience as a judge. The audience will not bid on the clothes. The judge had acted as a model for this show for years before becoming a judge.

8/19/02
3B (3)
disciplinary measures

A defendant in a case pending before a judge has testified that his lawyer filed a false petition to assist the defendant in obtaining funds from an escrow account. The defendant has also testified similarly in a deposition. It is appropriate for the judge to report the information to disciplinary counsel.

9/18/02
7A (1)(c)
political activity and political conduct
contribution to a political organization

A judge who is not a candidate for office may not contribute to the campaign of a candidate for governor.

10/10/02
7A (2)
7B (2)
attend political gatherings
solicit funds
publicly stated support
expenditure of funds
campaign funds and campaign contributions
campaign loans
candidate for election

A person need not make a formal announcement and/or form a campaign committee before appearing at public gatherings to seek support. A person may "test the waters" without becoming a candidate. There is no time restriction on when a lawyer may become a candidate for judge, but when the lawyer becomes a candidate, the lawyer is subject to Canon 7. A campaign committee may be formed at any time. The only time restrictions on campaign committees are for fund raising. A campaign committee may solicit public statements of support for the candidate at any time. A candidate is prohibited from personally soliciting or accepting campaign funds and from soliciting publicly stated support. However, the campaign committee may solicit or accept campaign funds and may solicit publicly stated support. A candidate may ask persons to be members of the campaign committee. A candidate is permitted to seek support for his candidacy from anyone in the community, including lawyers, on a one to one basis. A campaign consultant/manager may be hired and literature may be printed at any time. A campaign committee is prohibited from soliciting funds earlier than 30 days before the first day when nominating petitions may be filed. A campaign committee is prohibited from soliciting future commitments for funds earlier than 30 days before the first day when nominating petitions may be filed. However, a candidate may spend his personal funds at any time. A candidate may lend his campaign committee funds at any time, including earlier than 30 days before the first day when nominating petitions may be filed.

1/7/03
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

In the past the president judge has criticized the inquiring judge. The inquiring judge has been presiding over a case for some time. Recently the actions of the president judge in his employment before becoming a judge have been raised as an issue and the president judge is expected to be called as a witness in the case. Recusal seems to be mandatory.

1/8/03
3B
3B (2)
720 A.2d advance sheet January 1, 1999, reporting 201 Judicial Administration Docket No. 1 (order of November 24, 1998) also published at 28 Pa. Bulletin 6068 (December 12, 1998) which amended 82 Judicial Administration Docket No. 1 (order of June 29, 1987) Supreme Court Guidelines Regarding Political Activity by Court-Appointed Employees (order of June 29, 1987 and the guidelines are set forth in In re Dobson, 517 Pa. 19, 21-22, 22 n.2, 534 A.2d 460, 461-62, 462 n.2 (1987))
administrative responsibilities
staff and court officials
court-appointed employees
political activity and political conduct
nomination petition

A president judge asks whether under the Supreme Court order prohibiting partisan political activity, court employees may sign a nominating petition. Signing nominating petitions is not partisan political activity. Some members of the committee believe that the state may not prohibit court employees from signing nominating petitions because that is an aspect of the right to vote, which is a fundamental right, and there is no compelling state interest which justifies prohibiting the signing of nominating petitions. The rule of reliance applies to the committee's advice to the president judge. However, the rule of reliance does not extend to the court employees because they are not subject to the Code of Judicial Conduct. It may be prudent for the court employees to obtain advice from the AOPC or other counsel.

2/3/03
7B
7B (1)
campaign conduct
public officials or employees

A sitting judge may receive campaign related mail at chambers. The judge's staff's handling of the mail is de minimis. If the volume of mail reached a level that the staff was converted into campaign handlers, that would be prohibited.

3/14/03
5B(1)
5B(2)
5B(3)
5C
5C(1)
5F
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
outside activities
prestige of office
investment advice
financial activities
interfere with the performance of his judicial duties
reflect adversely on his impartiality
exploit judicial position
practice of law

Under the facts presented a judge was advised that he could participate in facilitating a merger/acquisition of an ongoing business, serve on the board of the business, and be compensated for his services if the judge's business activity does not reflect adversely on the judge's impartiality or interfere with the performance of judicial duties. The business is far removed from the judge's judicial district, it is not likely that any legal matters concerning the business would come before the judge, and the judge would not be rendering legal opinions or giving legal advice. The judge may not use or permit the use of the prestige of his office or give investment advice and must not violate Canon 5C(1).

3/17/03
7A(1)(a)
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
candidate for election

An elected official of a political subdivision is not required to resign his position when he becomes a candidate for election to judicial office. Although Canon 7A(1)(a) bans a judicial candidate from acting as a leader or holding any office in a political organization, an elected office in government is not an office in a political organization.

3/24/03
2A
2B
3B
3C
integrity and impartiality
prestige of office
recommendations
letters of reference
special position to influence
administrative responsibilities
staff and court officials
court-appointed employees
recusal and disqualification

A tipstaff who will soon be graduating from law school intends to seek employment with civil litigation law firms. The judge hears civil cases. Some firms who appear before the judge have suggested that the tipstaff submit a resume to them. The judge may not use the prestige of the judge's office to advance the interest of the tipstaff other than to provide a reference if one is requested. The judge should instruct the tipstaff in writing that it would be unethical for the tipstaff to use the court position to obtain employment as a lawyer. The tipstaff should be asked to inform the judge if the tipstaff is under consideration for a position with a firm which has a case before the judge.

3/26/03
3A(6)
3C
7A(2)
7B(1)(c)
public comment
recusal and disqualification
campaign conduct
speak
commit or appear to commit
pledges or promises of conduct
candidate for election

A judge who is a candidate for election to judicial office asked whether he could respond to letters requesting his views on certain subjects, such as reproductive freedom, access to health services, the election or appointment of county judges, registration of handguns, medical malpractice award caps, capital punishment as a deterrent, and the current Supreme Court. The response discusses several court opinions (including Republican Party of Minnesota v. White, 122 S. Ct. 2528 (2002), which struck down the "announce clause"), the recent deletion of the announce clause and the addition of a ban on statements which commit or appear to commit the candidate on issues that are likely to come before the court in the Pennsylvania Code of Judicial Conduct, and other authorities. The response also discusses the "pledges and promises" clause, the ban on statements pertaining to pending cases, the duty to decide cases impartially, the potential for statements to create an issue of recusal, and the candidate's First Amendment right to speak. The response states that the judge should consider the judge's obligations as a sitting judge and the effect campaign speech may have on the judge's time on the bench and the ethical concerns it may raise during the judge's judicial career. The response notes that White does not address whether campaign speech may violate provisions of the canons other than the "announce clause."

4/7a/03
7B(1)(c)
misrepresent
campaign conduct
candidate for election

The campaign committee of a judge who is a candidate for election and who is running on the Democratic and Republican party tickets may use the words, "Democrats for [the candidate's name]" in some instances and "Republicans for [the candidate's name]" in other instances in advertisements.

4/7b/03
4
4A
5A
5B
5B(2)
7A(1)(b)
speak, write, lecture, teach
other activities concerning the law, the legal system, and the
            administration of justice
outside activities
civic and charitable activities
solicit funds and fundraising
prestige of office
publicly endorse a candidate

In the past when the bar association presented a theatrical production spoofing the legal system, lawyers, and judges it did not publicize in advance the names of those participating. A judge who had participated in the past agreed to participate this time. When the judge learned that the bar association was publicizing the names of the participants in advance and soliciting paid advertisements to support cast members by name, the judge requested the bar association to send a mailing removing the judge's name as a person for whom an advertisement could be purchased and to return any money paid for an advertisement supporting the judge. Also, some lawyers who were candidates for judicial office were members of the cast and the judge requested the production be revised so that it did not appear that the judge was endorsing the cast members who were candidates. Under these circumstances, the judge's participation  in the production was not prohibited.

4/8/03
7B(2)
campaign funds and campaign contributions
candidate for election

The campaign committee of a candidate for election to judicial office who has withdrawn as a candidate has funds remaining from the committee's fund raising activities. The campaign committee may remain open, but cease all fund raising and may spend the funds when the candidate seeks election to judicial office in the future.

4/10/3
4
4A
5A
5B
decide impartially
speak, write, lecture, teach
other activities concerning the law, the legal system, and the
            administration of justice
outside activities
reflect adversely on his impartiality
civic and charitable activities

A judge may not present to police officers law enforcement awards given by a law and order committee of an organization.

4/23a/03
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

A judge handled a case involving a criminal defendant who subsequently filed a direct appeal and several petitions for postconviction relief. The defendant has stated that he has signed and sent to the judge a promissory note promising to wire money into the judge's bank account if the judge files a notice of intent to dismiss the petitions for postconviction relief or disposes of the defendant's other motions or petitions which are pending. The judge believes that the judge can fairly decide the matters. The judge is not required to recuse.

4/11/03
3C
recusal and disqualification
candidate for election to retention

A judge who is a candidate for retention asked whether he must recuse himself from cases in which the lawyer who is the chair of his retention campaign committee represents a party. The response provided the judge with the Committee's Addendum on Recusal informing the judge of the considerations on whether to recuse.

4/23b/03
7B(1)(c)
campaign conduct
pledges or promises of conduct
commit or appear to commit
candidate for election

A candidate for election to judicial office who is a sitting judge may directly ask other candidates questions at a debate. However, the candidate cannot ask questions that would require an answer of "pledges or promises of conduct in office other than the faithful and impartial performance of the duties of the office" or an answer of "statements that commit or appear to commit the candidate with respect to cases, controversies, or issues that are likely to come before the court."

4/24a/03
7B(1)(c)
campaign conduct
pledges or promises of conduct
commit or appear to commit
misrepresent
candidate for election

In a debate among candidates for election to judicial office a sitting judge may not make "pledges or promises of conduct in office other than the faithful and impartial performance of the duties of the office," make "statements that commit or appear to commit the candidate with respect to cases, controversies, or issues that are likely to come before the court," or knowingly or recklessly misrepresent the candidate's "identity, qualifications, present position, or other fact."

4/24b/03
5B(2)
solicit funds and fundraising
prestige of office
guest of honor
outside activities

A judge may accept an award given at an event by a nonprofit organization in recognition of advocacy of behalf of children struggling with poverty and emotional difficulties. The publicity, promotions, and invitations for the event do not mention the award or the judge's name.

4/25/03
7B(2)
campaign funds and campaign contributions
solicit funds
expenditure of funds
candidate for election

A sitting judge who is a candidate for election to judicial office may not serve as chair or treasurer of the judge's own campaign committee.

4/30/03
720 A.2d advance sheet January 1, 1999, reporting 201 Judicial Administration Docket No. 1 (order of November 24, 1998) also published at 28 Pa. Bulletin 6068 (December 12, 1998) which amended 82 Judicial Administration Docket No. 1 (order of June 29, 1987) Supreme Court Guidelines Regarding Political Activity by Court-Appointed Employees (order of June 29, 1987 and the guidelines are set forth in In re Dobson, 517 Pa. 19, 21-22, 22 n.2, 534 A.2d 460, 461-62, 462 n.2 (1987))
court-appointed employees
political activity

A judge's law clerk is permitted to appear in a campaign photograph next to the law clerk's spouse who is running for election.

5/1a/03
7A(2)
attend political gatherings
speak
contribute to a political party or organization
candidate for election
campaign conduct

A candidate for election to judicial office has won a primary election as a Democrat candidate and as a Republican candidate. To further the judicial candidate's campaign, the judicial candidate may attend a fund raiser for a Democratic candidate for nonjudicial office, may speak at the event on his own behalf, may contribute to the nonjudicial candidate's political organization, but may not endorse or speak on behalf of the nonjudicial candidate.

5/1b/03
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

A judge will be signing a agreement to sell his home to the district attorney. The agreement was negotiated privately and no real estate agent was involved. The price to be paid is in excess of appraisals and market analyses the judge has received. It is believed that there is no contingency for financing.

If the price is far in excess of recent appraisals and market analyses the judge has received, it may appear that the district attorney is paying a substantial premium because the seller is a judge or because the district attorney desires to curry favor with the judge. That would raise a potential appearance of impropriety and may cause at least a significant minority of the public who if informed of the facts, to reasonably question the judge's impartiality in cases involving the district attorney, which in turn would require recusal. If these are the facts, then at a minimum the judge must disclose the facts in all cases involving members of the district attorney's office. The judge must decide whether the price is the fair market value or is in excess of the fair market value because the seller is a judge.

If the transaction is an arm's length, good faith bargain, and the price is the fair market value, the judge is not automatically disqualified from hearing cases involving the district attorney or other members of his office as counsel. Moreover, although the judge is not required to disclose the facts, the better practice is to do so.

As to recusal, a question of recusal is a mixed question of ethics and law. The Ethics Committee does not generally advise whether a judge should recuse, but rather points out the appropriate considerations.

The judge should consider whether under Canon 1 he can fairly decide the case on the facts and law; whether under Canon 2A recusal is required to avoid the appearance of impropriety; whether the judge's impartiality can be reasonably questioned because the judge has an interest that could be substantially affected by the outcome of the proceeding. The judge must decide for himself. If either the integrity of the system or the appearance of impropriety requires recusal, then the judge must recuse. The judge must decide whether he can decide the case fairly. Recusal may sometimes be required to avoid even the appearance of impropriety.

Recusal should not be taken lightly. A judge has an ethical duty to dispose of the cases assigned to him. A judge should not recuse to avoid a difficult case. Also, a judge should not permit a party to try to obtain an advantage by fabricating spurious reasons for recusal.

5/6/03
1
2A
3C (1)
3C (1)(c)
integrity and independence
integrity and impartiality
appearance of impropriety
recusal and disqualification

A judge cannot directly or indirectly suggest to a lawyer that a contribution to a charity may be made in exchange for judicial action or inaction.  A lawyer who sua sponte suggests that the lawyer will contribute to a charity to avoid or promote judicial action or inaction would be bribing the judge, which would create the appearance of impropriety and therefore require the judge to recuse.

5/15/03
7A(1)(b)
7A(1)(c)
7A(4)
publicly endorse a candidate
attend political gatherings
political activity and political conduct

After the polls have closed, a judge may not attend a primary election night event for one of three candidates for a single judicial vacancy. If the candidate wins, the candidate will remain a candidate for the general election.

5/16a/03
5B
5B(1)
5B(2)
reflect adversely upon his impartiality
solicit funds and fundraising
prestige of office
outside activities

A judge who was previously diagnosed with a certain disease may appear in advertisements to educate the public about the disease. The judge will not be wearing robes and will not be identified as a judge and no soliciting for funds will be involved. However, the judge may not participate if it is likely that the organization will be engaged in proceedings that would ordinarily come before the judge or will be regularly engaged in adversary proceedings in any court.

5/16b/03
7A(1)(b)
publicly endorse a candidate

A member of a political party's committee has sent a letter to voters urging them to vote for one of the candidates for that party's nomination for judicial office, stating, among other things, that the candidate has the same beliefs as other named public officials of that party and of a named sitting judge. The named judge asks whether the judge is permitted to send a letter to all of the judicial candidates to inform them that the judge is not endorsing any of the candidates and had nothing to do with the party's letter. The judge may do so, but is not required to do so.

6/14/03
4
4C
5B
5B(1)
decide impartially
member, officer, or director of an organization
civic and charitable activities
reflect adversely upon his impartiality
regularly engaged in adversary proceedings in any court

A judge may serve on nonprofit board in which the judge's role will be to identify areas of the community that are underserved by lawyers and direct initiatives to meet their legal needs.

6/23/03
2B
prestige of office
recommendations
letters of reference

A judge may write a recommendation letter for a lawyer who seeks to be placed on a federal court appointments list if the judge complies with Formal Opinion 98-1.

7/1/03
7A (1)(b)
7A (2)
publicly endorse a candidate
identify self as a member of a political party
campaign conduct
candidate for election

A judge who is a candidate for election may permit a political party to run an advertisement in which the judge's photograph, name, and lever number appear with the photographs, names, and lever numbers of other candidates of the political party. The advertisement may also have a slogan, such as vote for good government.

7/11/03
7B (2)
campaign funds and campaign contributions
campaign debt
candidate for election
solicit funds

A committee of an unsuccessful candidate for judge may continue to raise funds until the campaign debt is extinguished or end of the year in which the election was held, whichever comes first. The committee may continue in existence after the year in which the election is held and if the candidate runs again for judge, may solicit funds for the new campaign no earlier than thirty days before the first day for filing nominating petitions and may use the funds to pay the old campaign debt. If the campaign committee has funds remaining after the candidate ceases to be a candidate, the committee may dispose of the funds as provided by 25 P.S. section 3250.

7/15/03
7A (4)
political activity and political conduct

A judge may attend a neighbor's event for a nonpartisan political organization that fosters the education and active participation of citizens in government. The governor of Pennsylvania is also expected to attend the event. The judge will  not be participating in the program.

7/16/03
7A (2)
7B (2)
7B (3)
campaign conduct
candidate for election to retention
attend political gatherings
contribute to a political party or organization
solicit funds
expenditure of funds

A judge may announce his intention to seek retention in 2005 now. After announcing his intention to seek retention, under Canon 7B (3) as a candidate for retention the judge may campaign. Campaigning includes attending political fund raisers to promote the judge’s candidacy. However, the judge may not raise funds until the time set forth in Canon 7B (2).

8/1/03
5B (2)
civic and charitable activities
solicit funds and fundraising
prestige of office

A judge may not solicit others (through court stationery or otherwise) to donate school supplies for the homeless. A judge also may not permit others to use the judge's name for such a purpose.

9/2/03
7A (2)
7A (4)
attend political gatherings
political activity and political conduct

A judge may attend a political party's state committee meeting in support of his parent who will be honored at the meeting. The judge cannot speak on behalf of or lend the judge's support to any political party or any candidate.

9/3a/03
5B (2)
civic and charitable activities
solicit funds and fundraising
prestige of office

A judge may not serve on a committee whose purpose is to honor a member of the community and raise funds for a charitable organization. As a member of the committee the judge's name would appear on the dinner invitation soliciting others to attend.

9/3b/03
5A
7A (1)(b)
7A (4)
write, lecture, teach, speak
publicly endorse a candidate
political activity and political conduct

A judge may serve as a moderator of a political debate among candidates for nonjudicial offices. The sponsor is the Chamber of Commerce. The judge would ask questions that are prepared by others and enforce the time limits within which the candidates may respond.

9/8/03
2B
4
4A
special position to influence
decide impartially
speak, write, lecture, teach

A judge may not serve as a keynote speaker on the civil litigation system before an insurance industry group.

9/10/03
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

A judge who may refer a lawyer to the Disciplinary Board is not required to recuse himself from hearing a case in which the lawyer represents a party.

A question of recusal is a mixed question of ethics and law. The Ethics Committee does not generally advise whether a judge should recuse, but rather points out the appropriate considerations.

The judge should consider whether under Canon 1 he can fairly decide the case on the facts and law; whether under Canon 2A recusal is required to avoid the appearance of impropriety; whether the judge's impartiality can be reasonably questioned because the judge has an interest that could be substantially affected by the outcome of the proceeding. The judge must decide for himself. If either the integrity of the system or the appearance of impropriety requires recusal, then the judge must recuse.

Recusal should not be taken lightly.

A judge has an ethical duty to dispose of the cases assigned to him. A judge should not recuse to avoid a difficult case. Also, a judge should not permit a party to try to obtain an advantage by fabricating spurious reasons for recusal.

9/24a/03
5B(1)
5B(2)
civic and charitable activities

A judge is not per se prohibited from serving on a board. Under Canon 5B(1) a judge should not serve on a board if it is likely that the organization will be engaged in a proceeding that would ordinarily come before him or will be regularly engaged in adversary proceedings in any court. Because a health insurer frequently appears before the court on which the inquiring judge sits and will probably continue to do so in the future, the judge cannot serve on its board.

9/24b/03
7A(2)
7B(2)
7B(3)
attend political gatherings
speak
identify self as a member of a political party
contribute to a political party or organization
solicit funds
candidate for election
candidate for election to retention

The Pennsylvania Code of Judicial Conduct does not state a specific time when a candidate for judicial office may begin to campaign. A judge may now announce his intention to seek retention in an election that will be held 2 years from now and his intention to run for another judicial office whose primary will be held in that year. After announcing his intention to seek retention and to run for another judicial office, the judge becomes a candidate and under Canon 7B (3) and Canon 7A (2) the judge may campaign. Campaigning includes attending political gatherings, speaking to such gatherings on the candidate's own behalf, identifying himself as a member of a political party, contributing to a political party or organization, and contributing to the campaign of another by buying tickets to events so that the judge may attend the events and promote his candidacy. However, the judge may not raise funds until the time set forth in Canon 7B (2).

10/2/03
7A(2)
7B(2)
contribute to a political party or organization
campaign funds and campaign contributions
expenditure of funds
candidate for election

An unsuccessful judicial candidate asks whether his campaign committee may give excess campaign funds to nonjudicial candidates. The campaign committee cannot do so because the contribution would benefit the private interest of the candidate which Canon 7B(2) forbids.

10/6/03
3B(3)
power of appointment
law clerk

A president judge may appoint a lawyer as staff attorney who would act as solicitor for the Domestic Relations Office; solicitor for Children, Youth and Family Services; a master in divorce; and court appointed counsel in a limited number of criminal cases, none of which would be of major significance. The Canons do not prohibit such an appointment especially if the judge informs those who would have standing to object, such as the district attorney’s office and those whose interests are adverse to the appointee’s clients with regard to the Domestic Relations Office and Children, Youth and Family Services appointments. However, the lawyer could not perform as an advisor, such as recommending a policy for a particular department, or as a law clerk.

10/10/03
7B(1)(c)
campaign conduct and political activity
misrepresent
candidate for election

A judicial candidate asks whether his campaign advertisement may include comments that presiding judges made about his ability and work ethic at the end of several cases he tried. The Ethics Committee does not answer such inquiries, but rather refers the inquirer to the Ethics Committee's Formal Opinion 99-1 concerning campaign advertising.

10/12/03
7B(1)(c)
campaign conduct and political activity
misrepresent candidate for election

A district justice may include in a campaign advertisement words of praise a judge made about the district justice's qualifications to perform the tasks of a committee on which the district justice and the praising judge served. The quotation is not an improper character reference, a political endorsement, or the declarant's effort to use the prestige of office to advance the private interests of the district justice. The campaign advertisement must state the date of the praise (the praise was given before the district justice was campaigning for election).

10/15/03
1
2
4A
integrity and independence
comply with the law
other activities concerning the law, the legal system, and the
            administration of justice

A lawsuit has been filed against a prison. Unless the material is privileged, a judge may, but is not required to, send counsel for the prison certain material the judge possesses, such as letters from prisoners and relatives, memoranda from other judges or the inquiring judge, and excerpts from trial transcripts pertaining to the allegations of the lawsuit.

10/21/03
5B
5B(1)
5B(2)
5C(1)
civic and charitable activities
exploit judicial position

A judge may not serve as president of a chamber of commerce. Because a chamber of commerce is "conducted for the economic or political advantage of its members," it is not an organization described in Canon 5B. Also, because it is likely that the organization "will be regularly engaged in adversary proceedings in any court," Canon 5B(1) would forbid serving. Further, Canon 5C(1) requires a judge to refrain from "business dealings that tend to reflect adversely on his impartiality" or "exploit his judicial position."

10/29/03
7B(2)
campaign funds and campaign contributions
expenditure of funds
solicit funds
candidate for election

A judge who has won a retention election may hold a victory party after the election, such as in December, but any fund raising must end by December 31.

11/3b/03
7A(1)(b)
7A(1)(c)
7A(4)
publicly endorse a candidate
attend political gatherings
political activity and political conduct

A judge may attend a general election night event for a judicial candidate after the polls have closed. Because the event will not begin until after the polls have closed, the judge is not endorsing the candidate. Also, because the celebration is like an inaugural (which judges are permitted to attend), it is not considered a political event and therefore, attendance is permitted.

11/4/03
2B
4A
5A
prestige of office to advance the private interests of others
speak, write, lecture, teach
write, lecture, teach, speak

Because the publisher has stated that it will use some of the judge's comments to promote sales, a judge may not write a review of a book on a legal subject.

11/6/03
2B
7B(1)
7B(3)
special position to influence him
campaign conduct and political activity
candidate for election to retention

The judges of a judicial district who won retention may write a joint letter on judicial stationery (modified to contain the names of the retention judges) thanking the members of a party political committee that helped them win retention.

11/17a/03
5D
fiduciary activities

A judge asks whether he can serve without compensation as executor of an estate of a close friend. If the judge had a "close familial relationship" with the decedent within the meaning of Canon 5D, then the judge may serve. In re: Horgos, 687 A.2d 306 (Pa. Ct. Jud. Discip. 1996), discusses the meaning of "close familial relationship."

11/17b/03
7B(2)
solicit funds
campaign funds and campaign contributions
candidate for election

A judge's campaign committee may hold fundraisers after the election. However, all fundraising must end by December 31, the fundraising efforts must be commensurate with the campaign debt (the committee is not permitted to raise funds for a future campaign), and the judge (as opposed to a lawyer) may not attend the fundraisers. The judge asks what hidden pitfalls may exist. The pitfalls  are being too aggressive or too successful either by obtaining amounts from lawyers or persons who regularly appear before the court such that it could reasonably appear to a significant minority of the lay community that the judge would be influenced by their generosity or by ending up with funds substantially more than the amount of the debt.

12/4/03
3C
7B(2)
disqualification and recusal
solicit funds
campaign funds and campaign contributions
candidate for election

A judge's campaign committee has received contributions from  political action committees of corporations whose members regularly appear before the judge. The judge did not learn about these contributions until after the election. The amounts of the contributions are not greater than $1,500. The judge has won election to an appellate judgeship and between the date of the judge's discovery and the date of the judge's assumption of the judge's duties as an appellate judge, the corporations will not be appearing before the judge. The judge is not required to return the contributions.

12/5/03
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

A question of recusal is a mixed question of ethics and law. The Ethics Committee does not generally advise whether a judge should recuse, but rather points out the appropriate considerations.

The judge should consider whether under Canon 1 he can fairly decide the case on the facts and law; whether under Canon 2A recusal is required to avoid the appearance of impropriety; whether the judge's impartiality can be reasonably questioned because the judge has an interest that could be substantially affected by the outcome of the proceeding. The judge must decide for himself. If either the integrity of the system or the appearance of impropriety requires recusal, then the judge must recuse. Also, recusal should occur if a "significant minority of the lay community could reasonably question the judge's impartiality."

Recusal should not be taken lightly.

A judge has an ethical duty to dispose of the cases assigned to him. A judge should not recuse to avoid a difficult case. Also, a judge should not permit a party to try to obtain an advantage by fabricating spurious reasons for recusal.

A judge is advised to recuse from hearing a case in which a county elected official is suing another county elected official. One of the parties to the suit appears almost daily, through his employees, before the inquiring judge. Because a "significant minority of the lay community could reasonably question the judge's impartiality," both in the instant case, and in future cases that come before the judge in which the employees appear, the judge should recuse in the instant case which will avoid the need to recuse in the future cases.

12/12/03
4C
recommendations to public and private fund-granting agencies

A judge may write a recommendation in support of a grant for a substance abuse treatment program that will serve inmates of a jail.

12/22/03
4A
5A
other activities concerning the law, the legal system, and the
            administration of justice
social and recreational activities

A judge may attend a conference on a subject that the judge may encounter in cases assigned to him. The conference is sponsored by an organization that publishes information on legal topics and organizes conferences.

1/5/04
7A (1)(c)
7A (4)
attend political gatherings
political activity and political conduct

A judge may attend the inaugural ball for the county commissioners, but because the judge is not a candidate, the judge cannot attend the fund raiser that precedes the ball.

1/7/04
7A(2)
7B(2)
contribute to a political party or organization
campaign funds and campaign contributions
expenditure of funds
candidate for election

A judge's campaign committee may deposit into the campaign committee's bank account contributions solicited and made before the end of the year of the election, but received during the first several days of the year after the election. The campaign committee cannot contribute any excess campaign funds to a candidate or a committee for a candidate. The campaign committee is permitted to retain the excess campaign funds in the campaign committee's account for the judge's future election or retention to judicial office, contribute any of the excess campaign funds to a political party, such as the Democratic or Republican party, or return the excess, pro rata to the contributors.

1/20a/04
2B
4A
5A
5B (2)
prestige of office
speak, write, lecture, teach

A  judge may speak to students and teachers at a public elementary school on the subject of good character and attend a reception in the judge's honor.

A judge may make an anonymous donation to a nonprofit organization, but should not allow the donation to be used to lend the prestige of the judge's office to the organization.

1/20b/04
720 A.2d advance sheet January 1, 1999, reporting 201 Judicial Administration Docket No. 1 (order of November 24, 1998) also published at 28 Pa. Bulletin 6068 (December 12, 1998) which amended 82 Judicial Administration Docket No. 1 (order of June 29, 1987) Supreme Court Guidelines Regarding Political Activity by Court-Appointed Employees (order of June 29, 1987 and the guidelines are set forth in In re Dobson, 517 Pa. 19, 21-22, 22 n.2, 534 A.2d 460, 461-62, 462 n.2 (1987))
court-appointed employees
political activity

A tip staff may not serve as a judge of election at a polling place on election day.

1/22/04
7B (2)
expenditure of funds

A judge was elected to judicial office and the judge's campaign committee had a deficit. Thereafter the judge successfully ran for another judicial office. The first campaign committee continued in existence after the first campaign, but the chair and treasurer were changed and the name of the committee was changed to reflect the different office sought. The campaign committee can use the surplus from the second campaign to pay the deficit from the first campaign.

1/26/04
2B
5B
5B (2)
advance the private interest of others
write, lecture, teach, speak
solicit funds and fundraising
prestige of office

A judge who is an adjunct professor at a school may not assist the school in its marketing efforts by signing a letter that requests prospective students to enroll at the school.

1/28/04
2B
5C
5F
prestige of office
financial activities
exploit judicial position
practice of law
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301

A judge may attend and participate in a zoning board hearing pertaining to property that the judge co-owns.

1/30/04
1
2A
high standards of conduct
integrity and independence
comply with the law
integrity and impartiality

A judge's spouse is a suspect for alleged misappropriation of funds and may have commingled such funds with the judge's. The judge has not been named as a person of interest, a suspect, or a target, etc. and need not report the situation to the Judicial Conduct Board.

2/5/04
2B
3A (6)
prestige of office
public comment
family and spouse

A judge's spouse who is a lawyer may attend, participate in, and speak at a bar association meeting that will discuss action that the bar association may take concerning a judge who has a criminal case pending against the judge. The lawyer will not purport to be speaking on behalf of the judge.

2/12/04
5B (1)
civic and charitable activities
outside activities

A judge may serve on the board of directors of a nonprofit organization that helps low income persons to achieve or maintain economic self sufficiency. The organization receives some funds from the county, state, and federal governments. A judge may serve on the board of directors of a nonprofit organization that deals with state agencies that might come before the judge in litigation.

2/17/04
5B (2)
solicit funds and fundraising

A judge may be one of several signers of a letter to fellow graduates of a college inviting them to attend reunion activities if the reunion activities are not being used to raise funds. If the reunion activities are being used to raise funds, then the judge may not sign the letter.

5C
5D
6
financial activities
exploit judicial position
fiduciary activities
compensation

A judge may not serve as executor for a person who was not a member of the judge's family and was not a person with whom the judge maintained a close familial relationship. The judge may accept the residuary interest given to the judge by the will.

3/3/04
4B
4C
7A (4)
consult
assist in raising funds
recommendations to public and private fund-granting agencies
political activity and political conduct

A judge may meet and consult with members of the legislature to recommend a grant of funds for a model court program one of the sites of which would be the judge's county.

3/4a/04
7B (2)
solicit funds
expenditure of funds
campaign loans
campaign debt
campaign funds and campaign contributions
campaign finance report
candidate for election

The campaign committee accounts of an unsuccessful candidate for judicial office may remain open after the election and carry a negative or positive balance. However, the campaign committee must comply with the election law reporting requirements and cannot raise funds after the end of the year in which the election was held.

3/4b/04
7B (2)
solicit funds
campaign funds and campaign contributions
candidate for election

The First Amendment of the United States Constitution as applied to the following facts requires that a candidate's campaign committee be permitted to raise funds after the December 31 deadline set forth in Canon 7B (2). Because of the small number of votes separating the winner from the loser, the general election result for the judicial office was certified in the year following the election and there is a lawsuit pending that if successful would change the result. The expense to maintain the lawsuit has been and will be substantial. To maintain and succeed in that lawsuit the candidate's committee or others must raise additional funds. See Zeller v. Florida Bar, 909 F. Supp. 1518 (N. D. Fla. 1993)(holding unconstitutional a provision of a code of judicial conduct that prohibited raising funds earlier than one year before the general election).

3/4c/04
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

A judge asks numerous questions about a variety of fact situations regarding conflicts of interest, recusal, and disclosure, including the employer of the judge's spouse and law firms with which the judge, a relative, or an in law was or is associated.

A question of recusal is a mixed question of ethics and law. The Ethics Committee does not generally advise whether a judge should recuse, but rather points out the appropriate considerations.

The judge should consider whether under Canon 1 he can fairly decide the case on the facts and law; whether under Canon 2A recusal is required to avoid the appearance of impropriety; whether the judge's impartiality can be reasonably questioned because the judge has an interest that could be substantially affected by the outcome of the proceeding. The judge must decide for himself. If either the integrity of the system or the appearance of impropriety requires recusal, then the judge must recuse.

Recusal should not be taken lightly. A judge has an ethical duty to dispose of the cases assigned to him. A judge should not recuse to avoid a difficult case. Also, a judge should not permit a party to try to obtain an advantage by fabricating spurious reasons for recusal.

3/16a/04
5
5A
5B (2)
avocational activities
civic and charitable activities
speaker
guest of honor

A judge may attend an event in honor of a particular legislative office throughout history. The judge may not be a speaker or guest of honor.

3/16b/04
4A
speak, write, lecture, teach
other activities concerning the law, the legal system, and the
            administration of justice

A judge may serve on a committee to update the criminal law for a commission established by statute to provide training to the police. Among the judge's duties will be teaching the instructors who will train the police and providing materials and test questions that will be compiled into training materials.

3/22/04
2B
prestige of office
character witness
witness

A judge may not write a letter in support of a presidential pardon for someone the judge knows. However, if the pardoning authority solicits the judge's opinion, the judge may respond with factual information about the person, but not with character testimony.

4/13/04
2B
Pennsylvania Rules of Judicial Administration 1701
prestige of office
character witness
witness
subpoena

A judge may testify as a fact witness. The judge should determine whether there is a witness with the same knowledge and whether testifying will unduly interfere with judicial duties. If the answer to both questions is yes, then a motion to quash the subpoena should be filed. If the judge will testify, arrangements should be made to avoid unduly interfering with judicial duties and to avoid using the prestige of the judge's office to bolster the judge's testimony. It is suggested that the Administrative Office of Pennsylvania Courts make the arrangements.

4/15/04
5B
5B (1)
civic and charitable activities
reflect adversely upon his impartiality

A judge may serve on the board of directors of a charitable organization that provides legal services to the homeless and to non-profit groups developing affordable housing and other services to the homeless. The organization is not likely to be "engaged in proceedings that would ordinarily come before" the judge and will not be "regularly engaged in adversary proceedings in any court." It also appears that the organization does not "make policy decisions that may have political significance or imply commitment to causes that may come before the courts for adjudication."

4/20/04
2B
4A
5C
prestige of office
speak, write, lecture, teach
exploit judicial position

A judge may use the judge's official stationery to write a letter to other judges that would accompany the gift of a book the judge has written.

4/22/04
2B
4B
5C
5C (1)
prestige of office
advance the private interests of others
speak, write, lecture, teach
financial activities
exploit judicial position

A judge who has written a book on a legal subject may engage in activities to sell the book that could not be construed as macing. The judge's publisher and former law partner may sponsor a reception celebrating the publication of the book. The judge can be present at the reception, but should not solicit sales or be in the immediate vicinity of a sales pitch.

5/3/04
2B
5B (2)
prestige of office
advance the private interests of others
solicit funds and fundraising

A judge is prohibited from serving on a ball committee because the judge's name will be on the solicitation letter or literature and the judge's duties are to find new people to attend the ball. The judge should not place himself in a position in which a reasonable, prudent member of the public could conclude that the judge might be impressed for a person to attend the ball because the judge asked the person to do so.

5/10a/04
2B
5B (2)
prestige of office
advance the private interests of others
solicit funds and fundraising

If the judge believes that the judge's participation will not assist a nonprofit organization in fund raising, a judge may serve as honorary chair of an event. At the event the judge will give medals to the winners of athletic contests. The organization is not one which would regularly be engaged in adversary proceedings. The funds will be raised before the public receives the program book which contains the judge's name and photograph.

5/10b/04
3B(3)
disciplinary measures

A lawyer appeared before a judge as a party to a support matter. The lawyer owed child support and had been ordered to pay a lump sum and maintain current payments. Off the record, the lawyer stated to the judge, an assistant district attorney, and others that the lawyer had taken funds from the lawyer’s escrow account to pay the lump sum child support to avoid being in contempt of court for not paying child support. The judge asked the lawyer if the lawyer knew the consequence of using the escrow funds and the lawyer responded, “disbarment.” The judge told the lawyer to correct the problem that day and the lawyer stated that funds were coming in and he would correct the problem. Canon 3B (3) requires a judge to take or initiate appropriate disciplinary measures against a lawyer for unprofessional conduct of which the judge becomes aware. Such measures may include reporting the lawyer to the disciplinary board. The inquiring judge is to determine the appropriate action to take.

5/13/04
4B
5B
5B (1)
appear at a public hearing
reflect adversely upon his impartiality
engaged in proceedings that would ordinarily come before him

A judge may not comment on a television program about a proposed statute. Such comments may reflect adversely upon the judge's impartiality in violation of Canon 5B and would be considered participation in a matter that might come before the judge which would violate Canon 5B (1). Canon 4B which permits a judge to speak at a public hearing before a legislative or executive body or official on matters concerning the law, the legal system, or the administration of justice does not apply to the inquiry.

5/17/04
7
7B (2)
publicly stated support
expenditure of funds
solicit funds
candidate for election
campaign loans
campaign funds and campaign contributions

There is no time restriction on when a lawyer may become a candidate for judge, but when the lawyer becomes a candidate, the lawyer is subject to Canon 7. A campaign committee may be formed at any time. The only time restrictions on campaign committees are for fund raising. A campaign committee may solicit public statements of support for the candidate at any time. A candidate is prohibited from personally soliciting or accepting campaign funds and from soliciting publicly stated support. However, the campaign committee may solicit or accept campaign funds and may solicit publicly stated support. A candidate may ask persons to be members of the campaign committee. A candidate is permitted to seek support for his candidacy from anyone in the community, including lawyers, on a one to one basis. A campaign consultant/manager may be hired and literature may be printed at any time. A campaign committee is prohibited from soliciting funds earlier than 30 days before the first day when nominating petitions may be filed. A campaign committee is prohibited from soliciting future commitments for funds earlier than 30 days before the first day when nominating petitions may be filed. However, a candidate may spend his personal funds at any time. A candidate may lend his campaign committee funds at any time, including earlier than 30 days before the first day when nominating petitions may be filed.

There is no manual regarding permissible judicial campaign activities for Pennsylvania. However, the Judicial Ethics Committee has issued Formal Opinions on certain campaign activities, Formal Opinion 99-1 Campaign Advertising and Formal Opinion 2002-1 Time Withdrawn Judicial Candidates Must End Fund Raising.

5/25/04
2B
prestige of office
recommendations
letters of reference
character witness

A judge may allow a friend to list the judge as a reference on a bar admission application. If the bar admissions committee contacts the judge, the judge may state the facts, but cannot voluntarily give character testimony.

6/1a/04
3B(3)
3C
5B
5C(1)
family and spouse
power of appointment
reflect adversely upon his impartiality
interfere with the performance of the judge's judicial duties
recusal and disqualification
financial and business dealings that tend to reflect adversely on impartiality
involve them in frequent transactions with lawyers or persons likely to come before the court on which they serve

The inquiring judge is responsible for appointing a new permanent divorce master who will be hearing all economic claims. For a conference the county pays the master a stated hourly rate. If there is no settlement at the conference, there is a hearing for which the parties equally pay the stated hourly rate. If a party files exceptions to the master’s report, the inquiring judge reviews the exceptions like an appeal. A permanent divorce master is not permitted to practice family law. There is a limited number of lawyers in the county who have the experience to serve as permanent master. The inquiring judge does not wish to appoint one of those lawyers because in so doing the already small number of family lawyers will be reduced. The inquiring judge’s spouse has experience practicing family law and is no longer working full time because of child care responsibilities.
The inquiring judge may appoint the judge’s spouse as master because the appointment is based on merit, not favoritism, the appointment is not unnecessary, the compensation approved will not be more than the fair value for services rendered, the assignment of a master will occur only when requested by a party, and the judge will not exercise discretion over assignment of cases.
The judge may hear and decide exceptions. The inquiring judge will not discuss cases with the spouse and will not allow the family relationship to influence the judge’s judgment or conduct. Before hearing exceptions the judge must disclose the family relationship to the parties and counsel. If there is no objection, the judge may hear the exceptions. If there is an objection, the judge must review Canon 3C and determine whether the judge can hear the exceptions.
The judge’s spouse may not write appellate and trial court briefs for payment at an hourly rate for lawyers who regularly practice before the judge. The spouse would be involved in financial and business dealings that would tend to reflect adversely on the judge and indirectly the judge would become involved in frequent transactions with lawyers or other persons likely to come before the judge’s court.
The judge may serve as a local official of the Boy Scouts. The activity will not reflect adversely on the judge’s impartiality and will not interfere with performance of the judge’s judicial duties; it does not appear that the Boy Scouts will be engaged in proceedings that would ordinarily come before the judge or will be regularly engaged in adversary proceedings in any court, the judge will not solicit funds or permit the use of the prestige of the office for that purpose, and will not be giving investment advice.

6/1b/04
3B(4)
family and spouse
A judge is permitted to appoint the judge's spouse as a permanent master under these circumstances. The appointment is based on merit, not favoritism, the appointment is not unnecessary, the compensation approved will not be more than the fair value for services rendered, that assignment of a master will occur only when requested by a party, and the judge will not exercise discretion over assignment of cases.

6/20/04
2B
5B (2)
prestige of office
advance the private interests of others
solicit funds and fundraising

A judge may not consent to allow a nonprofit organization to use a photograph of the judge taken at a recent event and use the judge's name in promotional materials.

6/29/04
2B
5B (1)
5B (2)
prestige of office
advance the private interests of others
engaged in proceedings that would ordinarily come before him
solicit funds and fundraising

A judge may appear in a photograph with other elected officials in advertisements to promote awareness of use of a medical device that could save lives. The organization sponsoring the advertisement will not be regularly engaged in litigation. The advertisement and photograph and the judge's participation will not be used for fund raising and will not be used to promote the interests of any manufacturer of the medical device.

7/2/04
5F
practice of law
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
nomination
confirmation

A lawyer who has been nominated by the governor to a judgeship and confirmed by the Senate may act as trial counsel for a case which has been pending and which will be completed before the lawyer is sworn in as judge.

7/7/04
2B
3A (6)
4
4A
5F
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
prestige of office
advance the private interest of others
public comment
decide impartially
speak, write, lecture, teach
other activities concerning the law, the legal system, and the administration of justice
practice of law
outside activities

A judge who is a member of a nonprofit organization may not participate in the organization’s filing of an amicus brief and must disclaim participation in the decision to file the brief.

7/8/04
2B
Pennsylvania Rules of Judicial Administration 1701
prestige of office
character witness
witness

A judge may not serve as a character witness for a person seeking a pardon without the permission of the Supreme Court. A judge may respond to questions from the pardon board, but a judge may not sua sponte submit a letter supporting the grant of a pardon, attesting to the good character of the person seeking the pardon, and analyzing the adequacy of the person’s legal representation and conviction.

8/16/04
5B (2)
solicit funds and fundraising
prestige of office

A judge is a member of the board of directors of a nonprofit corporation. The nonprofit plans to raise funds by selling theater/dinner tickets, by holding a silent auction, and by obtaining cash and in‑kind contributions. The members of the board will be submitting a list of invitees, but the invitees will not be informed of who listed them. Although some board members will write personal notes to the invitees, the judge will not do so. A letter of solicitation for funds may be sent signed by the administrator with the judge’s name on the letterhead. Another document to be sent with the letter of invitation concludes with, "We, the Board of Directors deeply appreciate your support." The second document becomes an invitation from the board of directors and implies that every member of the board will deeply appreciate those who support the fundraiser. This violates Canon 5B(2) which prohibits a judge from soliciting funds and from permitting the use of the prestige of the judge’s office for that purpose.

9/3/04
5A
5B
civic and charitable activities
interfere with the performance of his judicial duties
reflect adversely upon his impartiality
outside activities

A judge may be a member of and attend a reception and speech sponsored by a lobbying organization that lobbies the U. S. Congress on issues relating to a certain nation. There is little likelihood that the organization would appear before the judge’s court.

9/8/04
2B
prestige of office
advance the private interest of others
special position to influence him
outside activities

A judge may not participate in a legal seminar that is being conducted solely for the members of the sponsoring law firm. The seminar does not fulfill the continuing legal education requirements and is not approved by the Supreme Court Continuing Legal Education Board.

Participation in the seminar that is restricted to attendance by members of the law firm conveys to the public that the law firm has a special relationship with the judge.

9/16/04
5B (2)
solicit funds and fundraising
prestige of office

A judge who is a member of the board of a civic organization should not allow the judge’s name to be used for funding proposals or fundraising materials.

9/24/04
2B
prestige of office
recommendations
letters of reference

A judge asks whether the judge may write a letter of recommendation for a person to attend school. The Committee’s formal opinion on references, Formal Opinion 98-1, was given to the inquirer.

10/1/04
2B
7A (1)(b)
prestige of office
advance the private interest of others
publicly endorse a candidate
family and spouse
political activity and political conduct

A judge’s spouse may serve as a member or chair of a committee to elect a person a judge on the judge’s court.

10/6/04
6
Pa. Constitution, Article 5, section 17(c)
compensation

The Code of Judicial Conduct does not prohibit a judge from receiving a fee for performing a wedding. However, the Pennsylvania Constitution Article 5, section 17(c) appears to prohibit a judge from receiving a fee for performing a wedding. Canon 6  should be considered in determining whether the inquirer may accept payment for speaking at a commencement.

10/12/04
5B (2)
solicit funds and fundraising
prestige of office
guest of honor
outside activities

A nonprofit organization asked a judge’s spouse whether it could honor the spouse at a fund raising event and the spouse consented. Without obtaining the judge’s permission the nonprofit organization included the judge’s name on the fund raising invitation as an honoree. When the judge learned about it, the judge informed the organization that it could not honor the judge at a fund raising event and asked the organization to write a letter to all invitees informing them of the error. The judge believes that the organization will write such a letter. The judge need not take any other steps.

10/13/04
7A (2)
candidate for election
attend political gatherings

A person who has been appointed a judge and is a candidate for election in 2005 may attend political gatherings.

10/15a/04
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

A law firm represents a party who has sued a judge’s spouse. It is mandatory for the judge to disqualify himself or herself from presiding in any cases in which the law firm represents a party. If the law firm withdraws from representing the party who has sued the judge’s spouse and states that it will not represent the party in that suit in the future, the judge may hear cases in which the law firm represents a party.

10/15b/04
5A
5B
5B (1)
5C (1)
6
interfere with performance of his judicial duties
reflect adversely on his impartiality
regularly engaged in adversary proceedings in any court
exploit judicial position
involve him in frequent transactions with lawyers or persons likely to come before the court on which he serves
appearance of influencing the judge in his judicial duties or otherwise give the appearance of impropriety
compensation
outside activities

A judge asks whether the judge may serve on the board of directors of a national corporation. The response requests the following additional information: whether the corporation is profit or nonprofit; if the corporation is nonprofit, facts necessary to determine whether the corporation will be regularly engaged in adversary proceedings in any court; if the corporation is profit, facts necessary to determine whether serving on the board will tend to "exploit [the judge’s] judicial position" or "involve [the judge] in frequent transactions with lawyers or persons likely to come before the court on which [the judge] serves;" facts to determine whether serving on the board will "reflect adversely on [the judge’s] impartiality" or "interfere with performance of [the judge’s] judicial duties;" if the judge is to receive payment, facts necessary to determine whether the payments are reasonable and whether the source of the payments gives the "appearance of influencing the judge in his judicial duties or otherwise give[s] the appearance of impropriety;" the name of the national corporation and the amount of the payments to be made and expenses to be reimbursed. The inquiring judge did not submit additional information.

10/18a/04
7A (1)(a)
7B (2)
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
hold any office in a political organization
solicit funds
publicly stated support
contribute to a political party or organization
candidate for election
nomination petition

The Code of Judicial Conduct does not state a particular time period when a person may declare his or her candidacy. Fundraising may not begin earlier than 30 days before the time for circulating nominating petitions. The Code of Judicial Conduct does not prohibit a candidate for election from circulating his or her own nominating petitions. A declared candidate may contribute to the campaign committee of another candidate to promote the judicial candidate's candidacy. Before declaring as a judicial candidate, the person must resign as a committee person, which is an elected office in a political party. The inquiry may also involve election law that the inquirer should review because the Committee cannot give a binding opinion on such law.

10/18b/04
3A (6)
5A
5B
7A (1)(b)
public comment
write, lecture, teach, and speak
reflect adversely upon his impartiality
publicly endorse a candidate

A judge may participate in a town meeting to discuss current issues including the upcoming election. The meeting  will be shown on television. However, the judge cannot make statements endorsing a candidate or discuss matters pending in the courts.

11/8/04
5B
reflect adversely upon his impartiality

A judge may not serve on the board of a hospital and sign orders that require parents to use the hospital’s services as a custody evaluator.

11/22/04
2B
5C(1)
6
financial activities
compensation

A person who intends to be a judicial candidate may continue to serve on the board of a publicly held corporation if  the person is elected judge. Canons 2B, 5C(1) and 6 do not appear to be violated by service on the board.

12/10/04
7B (2)
campaign conduct and political activity

A campaign committee for election to a judgeship may be formed at any time.

12/14a/04
5B
civic and charitable activities
outside activities

A judge may serve on the board of directors of a nonprofit organization that provides housing, health care, and services to those who have a particular disease.

12/13/04
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

The judge’s law clerk’s father practices before the judge.

A question of recusal is a mixed question of ethics and law. The Ethics Committee does not generally advise whether a judge should recuse, but rather points out the appropriate considerations. The judge should consider whether under Canon 1 he can fairly decide the case on the facts and law; whether under Canon 2A recusal is required to avoid the appearance of impropriety; whether the judge's impartiality can be reasonably questioned because the judge has an interest that could be substantially affected by the outcome of the proceeding. The judge must decide for himself. If either the integrity of the system or the appearance of impropriety requires recusal, then the judge must recuse.

Recusal should not be taken lightly. A judge has an ethical duty to dispose of the cases assigned to him. A judge should not recuse to avoid a difficult case. Also, a judge should not permit a party to try to obtain an advantage by fabricating spurious reasons for recusal.

12/14b/04
1
2
2A
2B
4A
integrity and independence
integrity and impartiality
appearance of impropriety
prestige of office
gifts
other activities concerning the law, the legal system, and the administration of justice
financial disclosure
outside activities

A judge may attend a judicial symposium conducted by a nonpartisan group and accept as a gift lodging, meals, and money to defray the expense of transportation. The gift will be reported on the financial disclosure form. Also, there is no ethical prohibition against attending privately funded seminars that have a partisan agenda if the identity of the sponsors is publicized.

12/15a/04
7B (1)(c)
7B (2)
misrepresent
publicly stated support
solicit funds
campaign funds and campaign contributions
campaign conduct and political activity

A lawyer who is a candidate for election may send a letter to the county committees of both political parties that accurately sets forth the candidate’s qualifications. At a press conference announcing the candidate’s candidacy the candidate must avoid personally soliciting or accepting campaign funds or publicly stated support; however, the candidate’s campaign committee can do so.

12/15b/04
5A
5B (2)
6
6A
6B
write, lecture, teach, and speak
interfere with the performance of his judicial duties
speaker
outside activities
compensation

A judge may speak at a private school on the subject of history and receive a gratuity under these circumstances: the event is not a fund raiser; speaking would not interfere with the performance of the judge’s judicial duties; the source of the payment does not give the appearance of impropriety (an appearance of impropriety would exist if the school is engaged in litigation before the judge or before the court on which the judge sits); the payment is reasonable and would not exceed the amount a nonjudge would receive; any expense reimbursement would be limited to actual expenses reasonably incurred by the judge, and where appropriate, the judge’s spouse.

12/16/04
2B
5B (2)
prestige of office
advance the private interests of others
solicit funds and fundraising
outside activities

A judge may not consent to the use of the judge’s biography, picture, and favorite quotation in a publication that will be produced by a for profit entity that will solicit payment for advertisements in the publication from corporations and others. The publication will be given out for free to students with the judge and other judges who would be featured serving as inspirational role models. Use of the judge’s biography, picture, and favorite quotation would lend the prestige of the judge’s office to advance the private interests of the for profit entity either to obtain a profit from the publication or to promote its interests in producing future publications. The solicitation of for profit advertisers involves the same ethical problems.

12/17/04
5B (2)
solicit funds and fundraising
outside activities

A judge may not receive an award at a fund raising event.

12/28/04
7B (2)
publicly stated support
solicit funds
campaign funds and campaign contributions
campaign conduct and political activity

Earlier than 30 days before the first day for filing nominating petitions a candidate for election to judge may personally send letters asking committee persons and private individuals for private support, but the candidate must make it clear that the candidate is not asking for financial support. At no time can the candidate personally solicit or accept campaign funds or solicit publicly stated support. Earlier than 30 days before the first day for filing nominating petitions the candidate’s campaign committee may ask for publicly stated support from others including organizations. Thirty days before the first day for filing nominating petitions the candidate’s campaign committee may solicit campaign funds.

1/3/05
3B (3)
4
5B
disciplinary measures
decide impartially
reflect adversely upon his impartiality

A president judge is aware that judges under his or her supervision are participating in the county drug task force golf tournament and attending the annual dinner theater for the county crime stoppers. Members of the drug task force frequently testify in criminal drug cases. Canons 4 and 5 prohibit participation in activities that impair the appearance of impartiality. The opinions from other jurisdictions applying to similar situations come to varying conclusions. Under Canon 3B (3) the president judge is advised to minimally consider informing the judges involved that the president judge has concerns about potential violations of Canons 4 and 5.

1/11/05
7A (1)(b)
7A (1)(c)
7A (4)
publicly endorse a candidate
attend political gatherings
political activity and political conduct
family and spouse

A judge may appear next to the judge’s spouse when the spouse announces her candidacy for judicial office.

1/13/05
3C
4
5A
5B
recusal and disqualification
decide impartially
other activities concerning the law, legal system, and the administration of justice
social and recreational activities
interfere with performance of his judicial duties
civic and charitable activities
reflect adversely upon his impartiality

Members of Neighborhood Legal Services appear regularly before the judge and the other members of the bench. Canon 4 permits a judge to participate in activities to improve the law, legal system, and the administration of justice. Canon 5 permits a judge to engage in charitable activities. However, the judge may not engage in such activities if the activities reflect adversely on the judge’s impartiality. In light of the large budgets of Neighborhood Legal Services a judge’s contribution would de minimis. Further it could be restricted to overhead and general expenses and not be used for salaries of lawyers. If contributing would subjectively render the judge incapable of being fair and impartial, then either the judge should not contribute or should recuse. If subjectively the judge would not have to recuse, then the question would be whether a significant minority would conclude there is an appearance of impropriety in contributing and hearing Legal Services' cases. If the judge restricts the contribution to general expenses, but not salaries and if the contribution is de minimis to the operating budget, then the judge may contribute. The judge should disclose such contributions in any case in which Legal Services lawyers' appear in order to permit a party to move to recuse.

1/26/05
7A (1)(a)
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
hold any office in a political organization
candidate for election

The inquirer is a committee person and chair of a political party committee. The inquirer has not formed a campaign committee and has not filed any papers with the state to form a committee. The inquirer will not run for judicial office if the party does not endorse the inquirer. The endorsement process is private. The inquirer has not publicly announced his or her intention to run for office. The Committee’s opinions have distinguished between activities to gauge support and attendance at political gatherings for that purpose, which would not be sufficient to be a candidate, and alerting the public that the person is attending political gatherings for support, publicly announcing a candidacy, fundraising for office, circulating nominating petitions, which would be sufficient to be a candidate. If the person is a candidate, the person must resign the positions. The person is a candidate: when a person goes to an endorsement meeting and is not just floating his or her name; when a person’s name is on the list of potential candidates; when a person goes to a business meeting at which there will be endorsements.

2/4a/05
2
2A
2B
6
6A
6B
Pa. Constitution, Article 5, section 17(c)
integrity and independence
integrity and impartiality
appearance of impropriety
prestige of office
gifts
compensation
expense reimbursement

A judge may not receive any money or gift for performing a wedding. However, a judge may receive reimbursement of expenses, such as travel expenses to perform the wedding.

2/4b/05
2B
prestige of office
character witness
recommendations
letters of reference

A judge may answer written questions from a bar association that is evaluating a candidate for judgeship and can discuss personal observations of the candidate, but should not discuss the candidate’s character.

2/9/05
720 A.2d advance sheet January 1, 1999, reporting 201 Judicial Administration Docket No. 1 (order of November 24, 1998) also published at 28 Pa. Bulletin 6068 (December 12, 1998) which amended 82 Judicial Administration Docket No. 1 (order of June 29, 1987) Supreme Court Guidelines Regarding Political Activity by Court-Appointed Employees (order of June 29, 1987 and the guidelines are set forth in In re Dobson, 517 Pa. 19, 21-22, 22 n.2, 534 A.2d 460, 461-62, 462 n.2 (1987))
court-appointed employees
political activity

A judge asks whether the judge's law clerk must resign if the law clerk runs for district justice. The response is that president judges are required to comply with the Supreme Court order of November 24, 1998 and if they do not, they would be committing an ethics violation.

2/14/05
5B (2)
solicit funds and fundraising
prestige of office
guest of honor

A judge may not be the honoree at a nonprofit organization's silent auction fund raiser. Persons who attend must buy tickets and the organization's invitation and publicity for the event will state that the judge will be receiving an award.

2/16a/05
2B
prestige of office
recommendations
letters of reference

A judge has been nominated for the federal bench. Another judge may write a letter of recommendation for a judge whom the judge has known for a long time, outlining the judge's knowledge of the other judge and the judge's background and qualifications and recommending that the judge be appointed.

2/16b/05
4
4A
decide impartially
other activities concerning the law, legal system, and the administration of justice

The ABA has passed a resolution establishing the Death Penalty Moratorium Project. A judge may serve on a committee to assess whether Pennsylvania’s death penalty systems comport with ABA protocols establishing minimum standards of fairness and due process.

3/7a/05
2B
prestige of office
recommendations
letters of reference

A judge may ask other judges who are familiar with the judge's qualifications and experience to write letters of recommendation for the federal bench.

3/7b/05
2B
5C
6
financial activities
compensation

A judge may serve on the board of directors of a club that has a gym, pool, and dining facilities. The club does not restrict its membership in any way.

3/14/05
5D
fiduciary activities

A judge may serve as co-executor of the judge's parent's estate. The judge and the co-executor are the only testate beneficiaries. The estate appears to be modest and the judge expects it to be settled informally. It appears that service as an executor will not interfere with the proper performance of the judge's judicial duties. It is not likely that the judge will be engaged in proceedings that would ordinarily come the judge and it is not likely that the estate will become involved in adversary proceedings in the court on which the judge serves.

3/18/05
7A (1)(b)
7A (2)
publicly endorse a candidate
speak on behalf of any judicial candidate for the same office
candidate for election
campaign conduct and political activity

Judicial candidates for the same office may conduct a joint election campaign, including joint direct mail and radio and television advertising. Each candidate would also conduct his or her individual campaign. Each judge must have a separate campaign committee and separately file campaign finance statements.

4/8a/05
4A
7A (4)
speak, write, lecture, teach
political activity and political conduct

Newspapers and a radio station are sponsoring a candidates' debate for candidates for judicial offices. The media will ask the questions. A judge who is not a candidate may speak at the close of the debate, thanking the sponsors, the participants, and the audience. The judge will not speak in support of any candidate.

4/8b/05
7B (1)(c)
pledges or promises of conduct
candidate for election
campaign conduct and political activity

A judicial candidate may not answer the questionnaires of special interest groups unless the answers do not constitute pledges or promises of conduct in office other than the faithful and impartial performance of the duties of the office and do not commit or appear to commit the candidate with respect to cases, controversies or issues that are likely to come before the court.

4/11/05
1
2
2A
2B
5B (2)
integrity and independence
integrity and impartiality
appearance of impropriety
prestige of office
advance the private interests of others
special position to influence
gifts
solicit funds and fundraising
attend

A judge asks whether the judge may accept free tickets to charitable events as a guest of a person who has bought more tickets than the person can use. Canon 5B (2) permits a judge to attend charitable events, but it prohibits a judge from permitting others to use the prestige of the judge's office to raise funds. Canon 2B prohibits a judge from lending the prestige of the judge's office to advance the private interests of another or permitting the impression that others are in a special position to influence the judge. Although a judge can attend charitable events, the judge must be sensitive as to whether the judge is being "showcased" as a means to encourage others to contribute or to advance the private interest of the host. A judge may receive gifts. If the charity gives the judge a free ticket, the judge must consider whether accepting the free ticket might reflect adversely on the judge's impartiality, interfere with the judge's ability to perform the judge's duties, or give the appearance of impropriety or of being influenced. The ticket has some value, if not the price of the ticket, the value of the meal or other items received. A judge may be required to disclose such a gift on the financial disclosure form.

4/12/05
7B (2)
solicit funds
candidate for election
campaign funds and campaign contributions

A candidate's campaign committee may solicit the candidate's present or former clients for contributions or other support.

4/13/05
2B
5F
prestige of office
practice of law
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301

A judge may represent himself in traffic court, is not required to inform the traffic court that he is a judge, but may choose to do so, and should not expect or encourage special treatment because he is a judge.

4/21a/05
7B 1(a)
7B 1 (c)
commit or appear to commit
pledges or promises of conduct
dignity
campaign conduct and political activity
candidate for election

A judge who is a judicial candidate may participate in a League of Women's Voters debate if the judge adheres to Canon 7B 1(a) and (c).

4/21b/05
4
5A
5B (2)
speak, write, lecture, teach
other activities concerning the law, the legal system, and the administration of justice
write, lecture, teach, and speak
solicit funds and fundraising

A judge may not write governmental officials asking them to maintain the current funding of adult education and "Even Start" programs. Canon 4 does not apply because it does not involve the law, the legal system, or the administration of justice. Canon 5B (2) prohibits the activity because it forbids a judge from soliciting funds for a charitable organization.

4/22/05
3A (7)
3A (7)(b)
broadcasting, televising, recording or taking photographs
investitive, ceremonial, or naturalization proceedings

A judge may permit photographing, recording, and televising from the courtroom the graduation of persons from a drug treatment court program. The graduation ceremony will consist of   the award of a certificate and the speeches of the graduates; the formal legal proceedings of the withdrawal of the charges will not be photographed or televised.

4/29/05
2B
prestige of office

A judge may not give an interview to a nonprofit organization that would feature the judge’s interview, and other interviews, in a national promotion because doing so would lend the prestige of the judge’s office to advance the private interests of another. However, a   judge may contribute to the nonprofit organization.

5/16/05
7A(2)
7B(2)
contribute to a political party or organization
campaign funds and campaign contributions
expenditure of funds
candidate for election

A judge who was a candidate for judicial office cannot distribute unspent campaign funds to: the campaign of other public officials in local or statewide elections; the campaign of other judges in local or statewide elections; a political action committee; an organization supporting law related activities, such as, Philadelphia Bar Foundation, Pennsylvanians for Modern Courts, IOLTA, Client Security Fund, Lawyers for Lawyers; law schools; charities. The residual funds can be given to political parties, retained for the judge's future election or retention, or returned to the contributors pro rata.

5/23/05
7B (1)(b)
7B (1)(c)
reliance on advisory opinions
Judicial Ethics Committee bylaws V, 1(a)
public officials or employees
misrepresent
campaign conduct and political activity
Formal Opinion 99-1

For lack of jurisdiction the response declined to express an opinion regarding the ethical propriety of the campaign literature of the inquirer’s opponent and the activities of the opponent’s campaign committee and supporters. The Judicial Ethics Committee will not render an ethics opinion to a lawyer who lost the primary election for judicial office because the lawyer is no longer a candidate and thus, no longer subject to the Code of Judicial Conduct. Also, because the inquiry concerns the past conduct of another person, the Committee will not render an ethics opinion; the Committee renders ethics opinions as to prospective conduct of the inquirer. Also, the Judicial Ethics Committee will not render an opinion on the specific content of campaign literature.

6/20/05
2B
prestige of office

A judge may not participate in a seminar which will be given only for members of a certain law firm at the law firm’s office. To do so would lend the prestige of the judge’s office to the law firm.

7/7/05
7B (2)
expenditure of funds
campaign funds and campaign contributions
candidate for election to retention

Without forming a campaign committee a candidate for retention he can make a contribution to a political party by sponsoring an event at the party's meeting.

7/25/05
Judicial Ethics Committee bylaws I, V 1(a), V 1(e)

A person who had read the summary of an informal opinion on the Judicial Ethics Committee's website asked for a copy of the full text of the response to the inquiry. The Judicial Ethics Committee will not respond to an inquiry from a person who is not a judge and who is not a judicial candidate. The Judicial Ethics Committee will not disclose the name of a past inquirer and will not provide the Judicial Ethics Committee's response to another person.

8/4/05
7 A(1)(a)
hold any office in a political organization
candidate for election

A lawyer has created a website whose address has the phrase [last name]for judge and the website states that the lawyer will be running for judge. The lawyer is a candidate and, therefore, must resign his office in a political organization.

9/12/05
7 B(1)(c)
misrepresent
candidate for election
campaign conduct

The Judicial Ethics Committee will not approve or disapprove any particular campaign advertisement. See Formal Opinion 99-1. If the Judicial Ethics Committee renders an opinion about a campaign advertisement, the candidate cannot assert that the Committee's advice constitutes an endorsement or approval of the campaign advertisement.

9/13/05
2B
prestige of office
character witness
recommendations
letters of reference

A judge cannot write a letter to a sentencing judge in support of his son's former coach.

9/16/05
2B
prestige of office
character witness
recommendations
letters of reference

If the letter is based upon facts, a judge may write a letter of recommendation for a former law school roommate in support of the lawyer’s request for admission as an arbitrator with a dispute resolution organization. The judge may use official stationery. The inquirer is also referred to the Committee’s formal opinion on letters of recommendation.

9/20/05
Judicial Ethics Committee bylaws V 1(a)

The Judicial Ethics Committee will not issue an opinion about the conduct of a person who is not the inquirer. Therefore, the Judicial Ethics Committee would not issue an opinion that a judicial candidate sought about another judicial candidate's conduct.

10/18/05
5A
7A (1)(c)
social and recreational activities
attend political gatherings
purchase tickets

A judge may attend and contribute to a luncheon sponsored by a law association to honor a federal judge. The luncheon is not a fundraiser or a political event.

11/1/05
Judicial Ethics Committee bylaws V 1(a)
Reliance on Advisory Opinions

The Judicial Ethics Committee will not render advice to a person who is not subject to the Code of Judicial Conduct, in the instant case, a party.

11/16/05
7B (2)
solicit funds
campaign debt
campaign funds and campaign contributions
judge elect

The campaign committee of an appointed judge who won election may engage in fundraising after the election, but such fundraising must be commensurate with the campaign debt (the campaign committee cannot raise funds for a future election) and must end on December 31 of the election year. A sitting judge, as opposed to a lawyer who has been elected, cannot attend post election fundraisers.

12/8/05
2A
3C
appearance of impropriety
recusal and disqualification

A judge may employ a law clerk who is also employed by a nonprofit organization that among other things, advocates through litigation for a certain group. The judge’s impartiality is not impaired by the law clerk’s employment.

12/23/05
2B
prestige of office
advance interest of others
former law firm
lawyer who has been elected judge

A lawyer who has been elected judge may permit the judge’s former law firm to use some of the letters of the judge’s last name as part of the domain name and web site address of the law firm. This domain name and web site address preexisted the judge’s election to the bench.

12/29/05
2A
appearance of impropriety
comply with law
law clerk
court appointed employees
Supreme Court order
senior judge

The Supreme Court has issued an order or directive prohibiting law clerks from practicing in the division to which their judges are assigned. The purpose of such directive is to avoid the appearance of impropriety. A law clerk to a senior judge who is regularly assigned to a county that does not have court divisions may not practice before that court, even if the law clerk is employed on a per diem basis, performing legal research and drafting opinions only occasionally. However, because the issue is not strictly an ethics question, but rather the interpretation of a Supreme Court order or directive, the inquirer is urged to contact the State Court Administrator for guidance.

1/13/06
2B
5A
5B (1)
5G
write, lecture, teach, and speak
prestige of office
advance the private interests of others
civic and charitable activities
reflect adversely upon his impartiality
engaged in proceedings that would ordinarily come before him
regularly engaged in adversary proceedings in any court
governmental commission
Pa. Constitution Article 5, section 17(a)
42 Pa. C.S. section 3301

A judge may attend school board meetings at the judge's children's school and express opinions as to matters of family concern at the meetings and the judge may also participate in citizen's groups and as a volunteer on a school committee key communicator group if doing so does not violate 5B (1) relating to organizations that are likely to be engaged in proceedings that would ordinarily come before the judge or that would be regularly engaged in adversary proceedings in any court; Canon 5G regarding extrajudicial appointments; or Canon 2B regarding lending the prestige of the judge's office to advance the private interests of others. The response assumes that the key communicator group is designed to promote citizen involvement in the school district and to disseminate information to about school matters and that there is no political agenda beyond this.

1/23/06
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification
family and spouse

A judge’s spouse is employed by a domestic violence organization that assists persons in obtaining protection from abuse orders and counseling for abusive relationships. The judge reviews petitions for temporary orders, decides whether to grant temporary relief, and after a hearing officer hears the matter, if the hearing officer recommends a final order, the judge signs the final order. There is no discussion or interaction between the spouse and judge at any time. It could be reasonably questioned whether the spouse’s employment would continue if the judge issued adverse rulings. Therefore, the judge’s impartiality could be reasonably questioned.

A question of recusal is a mixed question of ethics and law. The Ethics Committee does not generally advise whether a judge should recuse, but rather points out the appropriate considerations.

The judge should consider whether under Canon 1 he can fairly decide the case on the facts and law; whether under Canon 2A recusal is required to avoid the appearance of impropriety; whether the judge's impartiality can be reasonably questioned because the judge has an interest that could be substantially affected by the outcome of the proceeding. The judge must decide for himself. If either the integrity of the system or the appearance of impropriety requires recusal, then the judge must recuse.

Recusal should not be taken lightly. A judge has an ethical duty to dispose of the cases assigned to him. A judge should not recuse to avoid a difficult case. Also, a judge should not permit a party to try to obtain an advantage by fabricating spurious reasons for recusal.

1/27/06
5A
7A (1)(c)
7A (4)
social and recreational activities
contribution to a political organization
attend political gatherings
purchase tickets
political activity and political conduct

A judge may attend a bipartisan, nonpolitical tribute dinner for a state representative. It is not a political fund raiser and corporations are among those who will be contributing. If there is any profit from the dinner it will be used to create a nonprofit organization that will develop and train minorities for participation in government internships.

2/8/06
5B (2)
Committee bylaws V 1(a)
solicit funds and fundraising
prestige of office

A judge who is administrative head of a drug treatment court has created a nonprofit to raise funds for training, education, and counseling pertaining to those needing treatment. The judge is a director of the nonprofit and will not engage in direct fundraising. The Committee cannot express an opinion about the formation of the nonprofit because the Committee renders opinions on prospective conduct, not past conduct. The judge’s picture may appear in a brochure about the nonprofit, but the judge cannot engage in the direct soliciting of funds.

2/10/06
5B (2)
solicit funds and fundraising
prestige of office

Pre-event fund raising literature states that the judge’s spouse (without identifying that the spouse is married to a judge) will be given an award at the fundraiser. A judge should not give permission for the literature to also state that because the judge is a judge the judge is not able to accept such an award.

2/21/06
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification
family and spouse

This is an inquiry by a president judge concerning a judge of the president judge’s court and the spouse of such a judge. A judge’s spouse is employed by a domestic violence organization that assists persons in obtaining protection from abuse orders and counseling for abusive relationships. The judge reviews petitions for temporary orders, decides whether to grant temporary relief, and after a hearing officer hears the matter, if the hearing officer recommends a final order, the judge signs the final order. If there is an appeal from the hearing officer’s decision, a trial de novo is heard before the judge. If the police file an indirect criminal contempt hearing, the judge will hear that matter. The judge’s spouse is one of two persons who may interview the alleged abuse victim in connection with preparing a petition for protection from abuse, accompany the alleged abuse victim to the judge’s office to obtain a temporary order, to the hearing, to the trial (if there is a trial de novo), and to the indirect criminal contempt hearing. Under Canon 3C(1)(d)(iii)(spouse “is known by the judge to have an interest that could be substantially affected by the outcome of the proceeding”) the judge should disqualify himself; also under Canon 3C (1) the judge’s impartiality might reasonably be questioned.

2/22/06
5F
practice of law
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301

A Common Pleas judge may represent himself/herself in an action before a magisterial district judge of the county in which the judge sits. If the case is appealed to Common Pleas Court, the judge will ask the president judge to take action to have the matter heard by an impartial tribunal.

2/28/06
5A
5B
5B (1)
5B (2)
interfere with the performance of his judicial duties
civic and charitable activities
reflect adversely upon his impartiality
engaged in proceedings that would ordinarily come before him
prestige of office
guest of honor

A judge may attend a Citizen’s Crime Commission cocktail party as a guest of a long time nonlawyer friend. The Citizen’s Crime Commission is a 501(c)(3) nonprofit, does not appear before the judge, and does not have a victim accompaniment program. The judge is not on the program and is not an honoree. The county district attorney will be the keynote speaker.

3/15/06
5B (2)
solicit funds and fundraising
prestige of office
speaker
guest of honor
attend

A judge may attend a 501(c)(3) nonprofit organization’s fund raising event if the judge does not solicit funds for the organization, permit the use of the prestige of the judge’s office for fund raising purposes, speak, or be the guest of honor at the event. The nonprofit organization provides educational programs and scholarships for youth.

3/20/6
2B
4A
6
prestige of office
advance the private interests of others
speak, write, lecture, teach
compensation

A judge asks whether the judge can teach a legal course in another state for the National Institute of Trial Advocacy. The course will be given at a large law firm. If the course is being presented for one law firm, the judge should consider whether the prestige of the judge's office is being exploited. If the course is being held at a large law firm for use of the conference space, but the course is open to all lawyers in the area, then the judge may teach. The judge is reminded to report any honoraria or compensation on the statement of financial interest.

3/24/06
7A (1)(c)
7A (2)
7A (4)
7B (3)
attend political gatherings
political activity and political conduct
candidate for election to retention
campaign conduct

A political party plans to honor the deceased father of a judge at a meeting/dinner. The father was a chair of the party. If the meeting is solely an event to honor the father, and is not a fund raiser or political gathering, the judge may attend. If the event is a political meeting, the judge may attend if the tribute occurs before the beginning of the meeting and the judge leaves once the meeting begins. Next year is the judge’s retention year. If the judge is a declared candidate for judicial office, the judge may attend a political gathering.

3/27a/06
5D
fiduciary activities

A judge may serve as the executor of a friend’s estate if the friend is more than an acquaintance, is someone with whom the judge has a close familial relationship, such as sharing religious and secular holidays, serving as a god parent to the friend’s children, and being named to make medical decisions if the friend could not do so.

3/27b/6
7A (1)(b)
7A (4)(b)
publicly endorse a candidate
political activity and political conduct

A judge may appear in a sweater in spouse's campaign photo of spouse with children; judge cannot be listed as judge in caption, but as spouse.

4/5/06
2B
5C(1)
prestige of office
advance the private interests of others
special position to influence
involve judge in frequent transactions with lawyers or persons likely to come before the court on which the judge serves

A judge's spouse is a partner in a law firm. The law firm is holding a partners' retreat in another state. Spouses are invited. The judge asks whether the judge may attend the dinners and social events to which spouses are invited. The law firm has stated it will pay for the spouses' airfare, lodging, and food. Alternatively, the judge asks whether the judge may attend if the judge pays for the judge's airfare, lodging, and food. The judge also asks whether the judge may attend a dinner if the judge's spouse is entertaining a client and the judge attends as a guest or the judge pays for himself/herself.
The judge would be willing to recuse in any case in which the law firm is counsel and if a client with whom the judge attended an event with the judge's spouse was involved in a case before the judge. The recusals would not burden the judge's court since to the best of the judge's knowledge the law firm does not handle the type of cases that the judge is currently assigned to hear. The judge's spouse does not handle litigation matters.
The judge may not engage in the proposed conduct. Under Canon 2B judges "should not lend the prestige of their office to advance the private interests of others; nor should they convey or knowingly permit others to convey the impression that they are in a special position to influence the judge."
Under Canon 5C(1) "Judges should refrain from financial and business dealings that tend to reflect adversely on their impartiality, interfere with the proper performance of their judicial duties, exploit their judicial position, or involve them in frequent transactions with lawyers or persons likely to come before the court on which they serve."

4/11/06
3B (3)
disciplinary measures

The Pennsylvania Supreme Court has issued an order suspending a lawyer from the practice of law for five years. Within fifteen days of the order, the lawyer entered his appearance in a matter and sent a letter to the judge about the entry of appearance. A judge who has knowledge of the Supreme Court order should report the lawyer’s act to the disciplinary board. Under Pa.R.D.E. 217 a lawyer should not engage as attorney in any new case after the order of suspension is entered.

4/28/06
4A
5A
5C
speak, write, lecture, teach
other activities concerning the law, the legal system, and the administration of justice
financial activities

A judge may serve as education leader for legal study tours in a foreign country for a private corporation. The value of honoraria and the trip should be reported on the financial disclosure statement.

5/2/06
1
2A
2B
3C (1)
3C (1)(c)
Pennsylvania Rules of Judicial Administration 1701
integrity and independence
appearance of impropriety
recusal and disqualification
prestige of office
character witness
witness
subpoena

A judge has been subpoenaed to testify in a PCRA matter before the inquiring judge. Both judges are from the same judicial district. The judge was properly subpoenaed and as far as the inquiring judge knows, will be called as a fact witness. The judge was an assistant district attorney in the underlying trial and is the only person with knowledge of certain facts. The inquiring judge is not required to take any action, but should consider whether recusal would be appropriate.

The judge is not required to recuse and no party has asked for recusal. The inquiring judge also served as an assistant district attorney, but not at the time of the events at issue so recusal is not required for that reason.

A question of recusal is a mixed question of ethics and law. The Ethics Committee does not generally advise whether a judge should recuse, but rather points out the appropriate considerations.

The judge should consider whether under Canon 1 he can fairly decide the case on the facts and law; whether under Canon 2A recusal is required to avoid the appearance of impropriety; whether the judge's impartiality can be reasonably questioned because the judge has an interest that could be substantially affected by the outcome of the proceeding. The judge must decide for himself. If either the integrity of the system or the appearance of impropriety requires recusal, then the judge must recuse.

Recusal should not be taken lightly. A judge has an ethical duty to dispose of the cases assigned to him. A judge should not recuse to avoid a difficult case. Also, a judge should not permit a party to try to obtain an advantage by fabricating spurious reasons for recusal.

5/10/06
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification
rule of necessity

All of the judges of a judicial district will be recusing themselves from hearing a lawsuit concerning the construction of a courthouse. All of the judges of the judicial district have expressed objections to certain plans for the construction. As part of the commencement of the lawsuit, a petition and rule will be filed. Under the rule of necessity a judge of that judicial district may perform the ministerial act of signing such a rule to show cause and setting a hearing date. After the lawsuit is filed, the president judge will request the appointment of an out-of-county judge.

6/1/06
2A
1
2A
3C (1)
integrity and independence
appearance of impropriety
recusal and disqualification
comply with the law
law clerk
Supreme Court order
Law Clerks Employed by Judges of the Courts of the Unified Judicial System of Pennsylvania, No. 267, Judicial Administration Docket No. 1 December 21, 2004

A law clerk may perform work for a lawyer pertaining to a case pending in federal court.

As to the lawyer’s appearing before the judge in the future, the issue is not mandatory disqualification, but rather recusal. The recusal addendum language was submitted. At a minimum the relationship between the law clerk and lawyer should be disclosed to all parties on the record.

6/23/06
1
2A
2B
3C (1)
3C (1)(d)
integrity and independence
family, social, or other relationships
special position to influence
appearance of impropriety
recusal and disqualification
family and spouse

A judge’s spouse is expected to be appointed chief public defender. If the judge’s spouse will have substantial supervisory or policy responsibilities in a government office, the judge is disqualified from cases involving that office even if the spouse lawyer does not make an appearance in court. If the government lawyer’s supervisory capacity goes beyond mere administration to the extent that the supervisor provides advice to the subordinate lawyers, there is also grounds for disqualification.

8/21/06
7B (2)
publicly stated support
campaign conduct and political activity

A lawyer who is a candidate for election may not personally solicit publicly stated support; however, the candidate’s campaign committee can do so.

8/23/06
7A (2)
7B (2)
solicit funds
campaign funds and campaign contributions
campaign conduct and political activity
candidate for election

In response to a lawyer's inquiry it was stated that the lawyer can declare as a candidate at any time and begin active campaigning, but that the lawyer could not raise funds until the time specified in Canon 7 and could not personally solicit or accept campaign funds, but a campaign committee could do so.

10/12/06
7A(2)
7B(2)
contribute to a political party or organization
campaign funds and campaign contributions
expenditure of funds
candidate for election

The campaign committee is permitted to retain the excess campaign funds in the campaign committee's account for the judge's future election or retention to judicial office, contribute any of the excess campaign funds to a political party, such as the Democratic or Republican party, or return the excess, pro rata to the contributors.

11/2/06
5B
5B (2)
5B (3)
solicit funds and fundraising
prestige of office
civic and charitable activities
outside activities
investment advice

A judge may serve on the advisory board of a school district foundation. The organization does not engage in proceedings that would ordinarily come before the judge. The judge should not solicit funds for the organization and should refrain from giving investment advice to the organization.

12/18/06
2
7B
7B (2)
appearance of impropriety
integrity and impartiality
campaign funds and campaign contributions
solicit funds
campaign conduct and political activity
expenditure of funds
candidate for election

A candidate may sign thank you notes to contributors. A judge asks whether the judge's spouse may serve as chair of the judge's campaign committee. Canon 7 does not purport to regulate who may serve on the campaign committee except by implication the candidate cannot serve on the campaign committee. The judge is encouraged to review the election laws to determine whether they provide an answer.

1/17/07
5B
5B (1)
5B (2)
5B (3)
civic and charitable activities
outside activities
engaged in proceedings that would ordinarily come before him
regularly engaged in adversary proceedings in any court
solicit funds and fundraising
prestige of office
investment advice

A judge may serve as a director of an organization that is not conducted for the economic or political advantage of its members if the organization is not likely to appear as a party in adversary proceedings before any judge in the judge’s court. The judge cannot participate in fund raising and may not permit the use of the prestige of the judge’s office for fund raising. The judge cannot provide investment advice to the organization.

1/24/07
5A
5B
7A (4)
7A (1)(c)
write, lecture, teach, and speak
reflect adversely upon the judge’s impartiality
will not interfere with the performance of judicial duties
political activity and political conduct
speak
attend political events

A judge may participate as a speaker and panel member for a discussion on women and politics sponsored by a business organization. The panel members will not be invited as a representative of a political organization and will not be speaking from a partisan political perspective. The panel members will be providing insights into running for and holding public office. It is not a political event. Participation will not reflect adversely upon the judge’s impartiality and will not interfere with the performance of judicial duties.

3/19/07
2B
prestige of office
character witness
recommendations
letters of reference

A judge should not initiate a communication with the Disciplinary Board on behalf of a disbarred lawyer seeking reinstatement. The appropriate practice would be for the disbarred lawyer to petition the Supreme Court pursuant to Pa. R. Jud. Admin. 1701 for the allowance of a subpoena for the judge to testify.

3/27/07
7B (1)(c)
pledges or promises of conduct
commit or appear to commit
candidate for judicial office

The Ethics Committee cannot advise a candidate for judicial office about the content of campaign advertisements or speeches or about answering questionnaires. The inquirer should decide for himself what is or is not permitted. See Republican Party of Minnesota v. White, 536 U.S. 765, 122 S. Ct. 2528 (2002) and Canon 7B (1)(c). The inquirer is also referred to Formal Opinion 99-1.

5/27/07
2B
5A
prestige of office
advance the private interest of others
write, lecture, teach and speak
social and recreational activities

A judge may attend a reception for summer associates given by the law firm of which the judge’s spouse is a partner. The reception will be at the home of one of the firm’s partners and no clients will attend. All spouses and significant others are invited.

6/4/07
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

A judge has sent a letter to the Disciplinary Board about a criminal lawyer who appears before regularly the judge. There is no requirement that the judge disclose that the judge has sent the letter. There is no per se prohibition that the judge recuse. There is an issue of whether the judge feels comfortable having the lawyer appear before the judge. The judge has not specified the reasons for writing the letter, therefore, the response cannot be specific about whether the judge should disqualify from all cases or on a case by case basis. The judge should consider the following:

The judge should consider whether under Canon 1 he can fairly decide the case on the facts and law; whether under Canon 2A recusal is required to avoid the appearance of impropriety; whether the judge's impartiality can be reasonably questioned because the judge has an interest that could be substantially affected by the outcome of the proceeding. The judge must decide for himself. If either the integrity of the system or the appearance of impropriety requires recusal, then the judge must recuse. When a significant majority of the lay community could reasonably question the court’s impartiality, recusal is required.

Recusal should not be taken lightly. A judge has an ethical duty to dispose of the cases assigned to him. A judge should not recuse to avoid a difficult case. Also, a judge should not permit a party to try to obtain an advantage by fabricating spurious reasons for recusal.

6/5/07
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

May a judge who has been named as one of several defendants filed by a person who is a defendant in a jury and a nonjury criminal matter preside over those matters? The judge has no doubt that the judge can preside fairly and impartially.

A question of recusal is a mixed question of ethics and law. The Ethics Committee does not generally advise whether a judge should recuse, but rather points out the appropriate considerations.

The judge should consider whether under Canon 1 he can fairly decide the case on the facts and law; whether under Canon 2A recusal is required to avoid the appearance of impropriety; whether the judge's impartiality can be reasonably questioned because the judge has an interest that could be substantially affected by the outcome of the proceeding. The judge must decide for himself. If either the integrity of the system or the appearance of impropriety requires recusal, then the judge must recuse.

Recusal should not be taken lightly. A judge has an ethical duty to dispose of the cases assigned to him. A judge should not recuse to avoid a difficult case. Also, a judge should not permit a party to try to obtain an advantage by fabricating spurious reasons for recusal.

The judge has no mandatory duty to recuse.

7/25/07
5B (2)
7A (2)
civic and charitable activities
outside activities
solicit funds and fundraising
prestige of office
speaker
attend political gatherings
speak
campaign conduct and political activity
candidate for election

A judicial candidate may participate in a "candidates' night" comedy event that will also raise money for a charity.

8/13/07
5C
5C (1)
5C (3)
financial activities
exploit judicial position
involve judge in frequent transactions with lawyers or persons likely to come before the court on which the judge serves
minimize the number of cases in which the judge is disqualified

A judicial candidate who has been a sole practitioner with a broad general practice asks whether if he becomes “of counsel” to a law firm and is elected to the bench, he and the law firm may agree that the law firm will buy the value of his tangible assets with a lump sum cash payment and pay him periodically twenty percent of the fees that the candidate’s clients pay to the law firm for five years beginning with the assumption of judicial duties. The law firm has the ability to serve all of the candidate’s clients, i. e. the law firm will not “cherry pick” the clients. The clients would be notified in writing of the “of counsel” status and, if the candidate is elected, to the location of their files. The firm would take custody of the clients’ files. No lawyer from the firm would appear before the candidate while the financial arrangement existed and the candidate would not be involved in the law firm management and would not communicate with clients. During the five year period the candidate’s communications with the firm would be limited to a periodic review of the financial matters pertaining to the agreement.

The number of years in which a judge will be disqualified should be limited. Canon 5C (3). Five years is a reasonable period of time.

Payments cannot be based on a percentage of profits. The payments at issue are not based on profits; they are based on gross fees without regard to expenses.

The payments must be a sum certain, which is satisfied because the percentage is fixed.

The difficult aspect of the inquiry is the twenty percent payment for fees performed on behalf of the candidate’s clients during five years. The candidate should consider the following.

Does the payment apply to new work that the clients generate? An ethics opinion has held that a judge may not receive any fees for matters which were not pending when the judge left the practice of law. It has also been opined that the work must be performed before becoming a judge.

It has been stated that an account receivable created by an executory buyout or separation agreement to share in the law firm's profits would be prohibited. Pa. Judicial Ethics Committee informal opinion digest 6/6/94. It is not clear from the digest whether the term “executory buyout” modifies the phrase a share in the law firm’s profits. If so, that informal opinion is consistent that a judge not be paid a percentage of profits.

It is not clear how the statements that require that payments be based on work performed before becoming a judge and not be based on matters that were not pending when the lawyer became a judge relate to other statements, such as a judge may be paid in an arms length transaction based upon the best reasonable estimates of the present value of the practice and that a judge may not share in profits of the firm earned after the judge's departure, as distinguished from sharing in an amount representing the fair value of the judge's interest in the firm. Unlike a partnership, an “of counsel status” typically does not fix a fair value of a judge’s interest in a firm such that it includes at least some revenue that is expected to be earned in the future.

In 2005 the Pennsylvania Rules of Professional Conduct were amended to permit a lawyer or law firm to sell the practice and among other things, receive a payment for goodwill. Pennsylvania Rules of Professional Conduct 1.17. The payments in the instant inquiry can be considered goodwill. Although compliance with the Pennsylvania Rules of Professional Conduct do not necessarily mean that the conduct will be permitted under the Pennsylvania Code of Judicial Conduct, that the lawyers’ ethics code permits the conduct should be a consideration.

8/14/07
5A
5B
5B (1)
5B (2)
5B (3)
write, lecture, teach, and speak
dignity of office
interfere with performance of judicial duties
civic and charitable activities
outside activities
engaged in proceedings that would ordinarily come before him
regularly engaged in adversary proceedings in any court
solicit funds and fundraising
prestige of office
speaker
reflect adversely upon the judge’s impartiality
will not interfere with the performance of judicial duties

A judge may speak at women’s business association event. One of the purposes for speaking is to highlight the judge as a role model for other women. Speaking at the event will not detract from the dignity of the judicial office or interfere with judicial duties. The association is not ordinarily engaged in adversary proceedings in any court. The event is not a fund raiser.

9/13/07
5B (2)
civic and charitable activities
outside activities
solicit funds and fundraising
prestige of office
attend

A judge who was a member and president of the board of a nonprofit organization may attend a dinner celebrating an anniversary of the organization and may be recognized at the dinner as a past president. The event is not a fund raiser and the prestige of the judge's office will not be used to solicit funds.

10/3/07
3A(6)
4A
7A(4)
public comment
speak, write, lecture, teach
political activity and political conduct

A judge may submit an op-ed article to a newspaper that advocates citizens to learn about each judge who is a candidate for retention election and to not vote no for all of the retention judges. Doing so does not violate Canon 3A (6) and is permitted under Canon 4A which permits a judge to write about the law, the legal system, and the administration of justice.

10/24/07
2B
Pennsylvania Rules of Judicial Administration 1701
appearance of impropriety
prestige of office
character witness
witness

A judge may not submit a character reference to defense counsel for a neighbor's son who has been charged with a crime in New Jersey. If the judge is subpoenaed to provide character testimony, the judge will be required to obtain permission from the Pennsylvania Supreme Court to testify.

10/29/07
7A(1)(c)
contribution to a political organization

A judge who is not a candidate for election or re-election may not contribute to an out-of-state candidate for political election.

11/30/07
7A(1)(c)
contribution to a political organization

A judge may not contribute to a political action committee, including a political action committee of the Pennsylvania Bar Association.

12/7a/07
3A(5)
3B(1)
7A (2)
7B (2)
dispose promptly of the business of the court
diligently discharge administrative responsibilities
attend political gatherings
speak
campaign conduct and political activity
candidate for election

A judge who has announced that the judge is a candidate for election to a judicial office may participate in the activities set forth in Canon 7 for announced candidates, such as speaking and attending political events to present the judge and the judge's qualifications. The judge should be cautious about the time spent campaigning so as to meet the Canon 3A(5) requirement of prompt disposal of the business of the court and the Canon 3B(1) requirement of diligent discharge of administrative responsibilities.

12/7b/07
7A(2)
7B(2)
contribute to a political party or organization
campaign funds and campaign contributions
expenditure of funds
candidate for election

The campaign committee is permitted to use the excess campaign funds in the campaign committee's account for a thank you party for the supporters, can contribute any of the excess campaign funds to a political party, such as the Democratic or Republican party, can return the excess, pro rata to the contributors, or can keep the campaign account open. The funds may not a given to a particular candidate.

12/13/07
7A(2)
7B(2)
contribute to a political party or organization
campaign funds and campaign contributions
expenditure of funds
candidate for election

The campaign committee is permitted to contribute any of the excess campaign funds to a political party, such as the Democratic or Republican party, to return the excess, pro rata to the contributors. The funds may not a given to another candidate for political office.

12/26/07
2B
7A(1)(c)
7A(4)
prestige of office to advance the private interests of others
special position to influence
attend political gatherings
political activity and political conduct

A judge who is not a candidate for election may not attend a political event, such as a reception honoring elected officials sponsored by a political organization, or permit the use of the judge's name in promotional materials for the event.

1/16/08
7A (1)(c
contribution to a political organization
political activity and political conduct

A judge may not contribute to the campaign of a friend who is seeking elective office out of state.

2/20/08
2A
2B
3B(2)
3C
integrity and impartiality
special position to influence
staff and court officials
court appointed employees
disqualification and recusal

A judge may hire a law clerk who, before becoming the judge's law clerk, represented a government entity in the type of cases that the judge hears, but the prospective law clerk did not appear before the judge. The law clerk is subject to Pennsylvania Rules of Professional Conduct 1.11 regarding conflicts of interest.

2/21/08
2B
5B(2)
prestige of office
advance the private interest of others
solicit funds and fundraising
speaker
guest of honor

A judge may not be the honorary co-chair of a nonprofit organization's fund raising event and may not be a speaker or guest of honor at the event.

2/25/08
4
4C
5B
5B(1)
decide impartially
member, officer, or director of an organization
reflect adversely upon his impartiality
regularly engaged in adversary proceedings in any court

A new judge may not continue to serve as an officer or member of a nonprofit organization that provides legal services to the indigent. The organization has appeared before the judge's court 5 times in the past three years. Although such activity may be permitted under Canon 4C, it is prohibited under Canon 5B (1) because the organization will be regularly engaged in adversary proceedings in courts including those within the Commonwealth of Pennsylvania.

2/26/08
2A
3B(3)
7A (1)(b)
7A (1)(c)
comply with the law
disciplinary measures
publicly endorse a candidate
contribution to a political organization

A judge charged a campaign contribution to his credit card and then realized that making a campaign contribution would be prohibited by the Code of Judicial Conduct and contacted the campaign committee and credit card company to cancel the contribution. The credit card company blocked the contribution. The judge is not required to file a complaint against himself with the Judicial Conduct Board or do anything else.

2/29/08
1
2
2A
2B
6A
integrity and independence
integrity and impartiality
appearance of impropriety
prestige of office
gifts
financial disclosure
compensation

A judge may keep a gift (a briefcase) the judge received from a law school for acting as a moot court judge of high school students. The other judges on the moot court panel also received a briefcase.

3/12a/08
2A
2B
appearance of impropriety
prestige of office
recommendations
letters of reference
character witness
witness

A judge is not permitted to write a letter to the district attorney as to the good reputation and good character of a close friend who has been arrested for driving while intoxicated.

3/12b/08
2A
2B
3B(3)
5B(2)
comply with the law
disciplinary measures
prestige of office
advance the private interest of others
solicit funds and fundraising
speaker
guest of honor

A judge accepted an invitation of a nonprofit organization to be the keynote speaker at a fund raising event. Later, the judge realized that Code of Judicial Conduct prohibited him from being a speaker at a fund raising event. To rectify the situation the judge has called the chair of the event and the person who invited the judge to speak, informing them that the judge must withdraw as a speaker; requested that no additional letters or documents be sent with the judge's name on them, that the judge's name not appear on the dinner brochure or other documents, and that a mailing be sent to those persons who have already be sent the letters/invitations to inform them that the judge will not be a speaker. The judge asks whether the judge may offer to pay for the expenses for the mailing and re-printing; the judge may do so. The judge also asks whether any particular language should be used. It is suggested that the mailing be issued by the organization and state that the judge will not be a speaker, and if desired, state the name of the new speaker. The judge should ask the organization to honor any request for a refund of any person who desires a refund because the judge will not be the speaker. The judge should confirm all of these instructions and requests promptly and in writing. The judge asks whether the judge should report the matter to the Judicial Conduct Board or any other person or entity. The judge is not required to do so; the judge has taken reasonable and appropriate steps to rectify the matter before the event occurs.

3/27/08
5B
5B (1)
civic and charitable activities
outside activities
engaged in proceedings that would ordinarily come before him
regularly engaged in adversary proceedings in any court

A judge may not serve on the board of directors of a non-profit health insurance company because the civil docket for the county shows that in the past 5 years the company has been a party to 20 lawsuits.

5/23a/08
7A(1)(c)
7A(4)
attend political gatherings
political activity and political conduct

A judge may not attend the 2008 Democratic party presidential convention as an observer.

5/23b/08
2B
3A(7)
3A(7)(b)
3A(7)(c)(ii)
prestige of office
advance the private interests of others
investitive, ceremonial, or naturalization proceedings
consent

A judge may swear in animal control officers and permit the filming of the ceremony for broadcast on television. Canon 3A(7)(b) and Pa. R. Crim. Pro. 112 permit the filming of investitive proceedings. The persons who are being recorded must consent to the recording. The judge is not lending the prestige of the judge's office to the television show by performing an adjudicative function which is permitted by the Pennsylvania Code of Judicial Conduct and the Pennsylvania Rules of Civil and Criminal Procedure.

6/10/08
4C
5B(2)
assist in raising funds
personally participate in public fund raising activities
civic and charitable activities
outside activities
solicit funds and fundraising
prestige of office
guest of honor

If an event is a fundraiser, a judge may not be the honoree at an event for a non-profit organization that provides training for homeownership, access to homeowner counseling resources, and advocacy for policies that increase homeownership opportunities.
7/3/08
5D
5D(1)
fiduciary activities

A judge's mother's will names the judge and her sister as co-executors. The judge may serve as co-executor unless it is likely that as a fiduciary the judge will be engaged in proceedings that would ordinarily come before the judge, or if the estate becomes involved in adversary proceedings in the court on which the judge serves or a court under the judge's appellate jurisdiction. If the estate becomes involved in adversary proceedings in the court on which the judge serves, the judge must resign in favor of another personal representative and the Register of Wills will make the decision of the successor personal representative unless the will names a successor.

7/14a/08
3A(5)
3B(1)
7A (2)
7B (2)
dispose promptly of the business of the court
diligently discharge administrative responsibilities
attend political gatherings
speak
campaign conduct and political activity
candidate for election

A judge who is serving by appointment and who has announced that the judge is a candidate for election to a judicial office in 2009 may participate in the activities set forth in Canon 7A (2) and 7B (2), such as attending political gatherings, speaking to such gatherings on the judge's own behalf and on behalf of others running for the same office, identifying the judge as a member of a political party, and contributing to a political party or organization.

The candidate may not solicit publicly stated support, such as a public endorsement. However, the candidate's committee may solicit publicly stated support and there is no time limit on when a candidate's campaign committee may begin to solicit publicly stated support. At no time may a candidate personally solicit or accept campaign funds; only the candidate’s campaign committee may do so. A candidate's campaign committee may solicit funds for a campaign no earlier than thirty days before the first day for filing nomination petitions. A candidate may form a campaign committee at any time.

A candidate or his campaign committee may not contribute to other candidates for political office except 1) a candidate or his campaign committee may contribute to the campaign committee of a candidate for the same judicial office which the candidate is seeking and 2) to promote the candidate's candidacy, the candidate or his campaign committee may contribute to the campaign of another by buying tickets to events so that the candidate may attend the events. After a person becomes a candidate, earlier than thirty days before the first day for filing nomination petitions, to promote the candidate’s candidacy, the candidate may spend the candidate’s own money to attend political fundraisers or contribute the candidate's own money to his campaign committee to spend money to attend political fundraisers.

7/14b/08
2B
3A (6)
3C
5F
Pa. Constitution Article 5, section 17(a)
42 Pa.C.S. section 3301
prestige of office to advance the private interest of others
public comment about a pending proceeding
recusal and disqualification
practice of law

A judge may not serve as an expert witness to express an opinion about what a judge would do in a particular situation. The reasons are that the case may be pending or impending; the judge would be lending the prestige of the judicial office to advance the private interest of another; the lawyer practices before the judge regularly and the judge may have to recuse in other cases; and participating as an expert may be considered as practicing law.

7/16/08
3C
3C(1)
4A
4C
5(B)
disqualification and recusal
decide impartially
member, officer, or director
civic and charitable activities
reflect adversely upon his impartiality
interfere with performance of judicial duties
outside activities

A judge who is assigned to family law matters may not serve on the board of directors of a nonprofit gay, lesbian, bisexual, and transgender civil rights organization with an educational focus. The organization also takes positions on issues that are controversial and that are the subject of litigation, such as gay marriage. Because board membership would cast doubt on the judge's impartiality to decide such issues, the judge may not serve on the board. However, in the future the organization may seek to advance other issues that would not preclude the judge from serving on the board. At such time the judge can submit another inquiry.

7/18/08
3C
3C(1)
disqualification and recusal

A judge's spouse is employed by the district attorney and handles exclusively juvenile delinquency matters. The judge is not per se precluded from hearing adult criminal cases. The judge has a duty to make sure that the judge's spouse has not participated in any way with the case before the judge; in a jury trial the judge may be required to inquire whether the defendant has a juvenile record and to disclose to counsel that the judge's spouse is an assistant district attorney in the juvenile delinquency division. It is suggested that the inquirer inform the president judge to make sure that the judge informs the court administrator not to assign the judge to cases in which the judge's spouse had been involved in a juvenile matter involving a defendant. If there is a motion for recusal it is suggested that the judge make a detailed record to support the judge's decision.

7/21/08
3A(5)
3B(1)
7A (2)
7B (2)
dispose promptly of the business of the court
diligently discharge administrative responsibilities
attend political gatherings
speak
campaign conduct and political activity
candidate for election

A judge who is serving by appointment and who has announced that the judge is a candidate for election to a judicial office in 2009 may participate in the activities set forth in Canon 7A (2) and 7B (2), such as attending political gatherings, speaking to such gatherings on the judge's own behalf and on behalf of others running for the same office, identifying the judge as a member of a political party, and contributing to a political party or organization.

The candidate may not solicit publicly stated support, such as a public endorsement. However, the candidate's committee may solicit publicly stated support and there is no time limit on when a candidate's campaign committee may begin to solicit publicly stated support. At no time may a candidate personally solicit or accept campaign funds; only the candidate’s campaign committee may do so. A candidate's campaign committee may solicit funds for a campaign no earlier than thirty days before the first day for filing nomination petitions. A candidate may form a campaign committee at any time.

A candidate or his campaign committee may not contribute to other candidates for political office except 1) a candidate or his campaign committee may contribute to the campaign committee of a candidate for the same judicial office which the candidate is seeking and 2) to promote the candidate's candidacy, the candidate or his campaign committee may contribute to the campaign of another by buying tickets to events so that the candidate may attend the events. After a person becomes a candidate, earlier than thirty days before the first day for filing nomination petitions, to promote the candidate’s candidacy, the candidate may spend the candidate’s own money to attend political fundraisers or contribute the candidate's own money to his campaign committee to spend money to attend political fundraisers.

7/28/08
7A(3)
arbitrator
resign
Compliance with the Code of Judicial Conduct

A lawyer who is appointed to serve as a member of a Board of Arbitrators for two years is not subject to Canon 7A(3). The Code of Judicial Conduct provision, Compliance with the Code of Judicial Conduct, does not include the word, "arbitrator." Rule of Professional Conduct 2.4 for lawyers addresses the conduct of lawyers who serve as arbitrators. The Explanatory Comment states that "lawyer neutrals" may be subject to another Code of Ethics, such as those of the American Arbitration Association. Any lawyer appointed as an arbitrator should familiarize himself with the various rules of the Code of Professional Responsibility, particularly Rule 1.10(g) , 1.12, and 3.3.

8/8/08
5B
5B(2)
civic and charitable activities
outside activities
solicit funds and fundraising

A judge who is the president of a charitable organization may not be the author of the president's message which is part of a newsletter that also solicits donations and is accompanied by a donation envelope.

8/20a/08
7
7A (2)
7B (2)
Judicial Ethics Committee bylaws article V
campaign conduct and political activity
candidate for election
lawyer
noncandidate

A lawyer who has not yet declared himself to be a candidate, who has not filed any papers to become a candidate, and has not registered a campaign committee, requests an opinion about the application of the Code of Judicial Conduct to candidates.

The Judicial Ethics Committee does not provide advisory opinions to lawyers who are not candidates for judicial office. If the lawyer later becomes such a candidate, the Judicial Ethics Committee will provide an advisory opinion to the lawyer candidate.

8/20/08
2
3C(1)
7A(4)
appearance of impropriety
disqualification and recusal
political activity and political conduct
family and spouse

A judge's spouse is permitted to be employed by a state representative. However, the judge should be alert to any matters that might come before the judge in which the state representative may have an interest, private or public.

8/21/08
2
3C(1)
5A
7A(1)(c)
7A(4)
appearance of impropriety
disqualification and recusal
avocational activities
attend political gatherings
political activity and political conduct

A judge may march in a Labor Day parade. Although there will be politicians in the parade, the Labor Day parade is a celebration of working people and is not a political gathering. Trade and labor organizations do not appear before the judge.

8/29/08
7
7A (2)
7B (2)
Judicial Ethics Committee bylaws article V
campaign conduct and political activity
candidate for election
lawyer
noncandidate

A lawyer who has not yet declared himself to be a candidate, who has not filed any papers to become a candidate, and has not registered a campaign committee, requests an opinion about the application of the Code of Judicial Conduct to candidates.

The Judicial Ethics Committee does not provide advisory opinions to lawyers who are not candidates for judicial office. If the lawyer later becomes such a candidate, the Judicial Ethics Committee will provide an advisory opinion to the lawyer candidate.

9/4/08
2
4A
appearance of impropriety
speak, write, lecture, teach

A judge may not speak to those who have completed the certified training for municipal police officers on the subject of the necessity and components of preparation when appearing in court. Doing so would create an appearance of impropriety, i.e. that the judge was advising the police in the best way to successfully prosecute their cases.

9/5/08
2
3B(2)
5B(1)
appearance of impropriety
staff and court officials
civic and charitable activities
outside activities
engaged in proceedings that would ordinarily come before him
engaged in adversary proceedings in any court

Whether a judge's administrative assistant may participate in a local crime watch organization depends on the role the assistant will play. If the assistant will merely be on the look out for crime, then the assistant may participate. However, if the assistant will assume a proactive role with law enforcement agencies, then there may be a problem. If the assistant participates in planning with the District Attorney's office, acts as a victim advocate, or campaigns for a higher police presence in the community, then it may appear that the judge's office is closely allied with local law enforcement agencies.

9/8/08
5B
5B(2)
civic and charitable activities
outside activities
solicit funds and fundraising
guest of honor
speaker

A judge may speak and accept an award for the judge's community service at a nonprofit's business meeting, which is not a fundraiser.

9/12/08
7A (2)
7B (2)
attend political gatherings
speak
campaign conduct and political activity
candidate for election

A sitting judge who has publicly declared to be a candidate for an appellate court may attend partisan political gatherings and meetings even though the judge has not yet formed a campaign committee and the time for forming such a committee has not yet occurred.

9/15/08
2
2B
5A
appearance of impropriety
prestige of office to advance the private interest of others
special position to influence
avocational activities
social and recreational activities

A judge may not attend an event at a law firm that features a speaker who is a well known political commentator even if the event can be characterized as a women's event or an educational event. The judge cannot attend if the event is not at the law firm if attendance is private. The event includes a period of networking. If the law firm's clients or prospective clients are present, the law firm can use the judge's presence to enhance the law firm's credibility with them. By attending, the judge would be lending the prestige of the judge's office to advance the private interests of others and would be conveying or knowingly permitting others to convey the impression that they are in a special position to influence the judge.

10/14/08
3A(5)
3B(1)
7A (1)(a)
7A (2)
7B (2)
dispose promptly of the business of the court
diligently discharge administrative responsibilities
hold any office in a political organization
attend political gatherings
speak
campaign conduct and political activity
candidate for election

A lawyer who has been appointed to the bench will take office at the end of the month. The lawyer has announced that the lawyer is a candidate for election to the judicial office in 2009. The lawyer may participate in the activities set forth in Canon 7A (2) and 7B (2), such as attending political gatherings, speaking to such gatherings on the judge's own behalf and on behalf of others running for the same office, identifying the judge as a member of a political party, and contributing to a political party or organization.

The candidate may not solicit publicly stated support, such as a public endorsement. However, the candidate's committee may solicit publicly stated support and there is no time limit on when a candidate's campaign committee may begin to solicit publicly stated support. At no time may a candidate personally solicit or accept campaign funds; only the candidate’s campaign committee may do so. A candidate's campaign committee may solicit funds for a campaign no earlier than thirty days before the first day for filing nomination petitions. A candidate may form a campaign committee at any time.

A candidate or his campaign committee may not contribute to other candidates for political office except 1) a candidate or his campaign committee may contribute to the campaign committee of a candidate for the same judicial office which the candidate is seeking and 2) to promote the candidate's candidacy, the candidate or his campaign committee may contribute to the campaign of another by buying tickets to events so that the candidate may attend the events. After a person becomes a candidate, earlier than thirty days before the first day for filing nomination petitions, to promote the candidate’s candidacy, the candidate may spend the candidate’s own money to attend political fundraisers or contribute the candidate's own money to his campaign committee to spend money to attend political fundraisers.

The lawyer is an officer of a political action committee. The lawyer must resign when the lawyer assumes judicial office at the end of the month.

10/20/08
2
5A
5B
5B(1)
appearance of impropriety
avocational activities
engaged in proceedings that would ordinarily come before him
regularly engaged in adversary proceedings in any court
civic and charitable activities
outside activities

A judge is not required to resign from the board of a nonprofit that is being investigated by law enforcement authorities and that is late in paying or failing to pay its debts.

Canon 5B (1) provides that judges should not serve on the board of a nonprofit if "it is likely that the organization will be engaged in proceedings that would ordinarily come before them or will be regularly engaged in adversary proceedings in any court." This has not yet occurred. If, however, it appears that the organization will imminently become involved in litigation, the judge may wish to resign.

10/21/08
3A (6)
4A
public comment about a pending proceeding
speak, write, lecture, teach

A judge may arrange to have published an article that supports the implementation of "drug courts" as a response to another judge's article opposing implementation of "drug courts." This is permitted by Canon 4A. Also, it is not banned by Canon 3A (6) because Canon 3A (6) permits judges to make public statements in the course of their official duties to explain for public information the procedures of the court. By so writing the judge is contributing to an informed community by providing information about another side of the issue.

10/27/08
2B
Pennsylvania Rules of Judicial Administration 1701
prestige of office
character witness
witness
subpoena

A judge may not testify as a character witness at the criminal trial of a long time friend. If the judge received a subpoena, the judge should contact the Administrative Office of Pennsylvania Courts because the judge must obtain the Pennsylvania Supreme Court's permission before the judge would be permitted to testify. Absent a compelling reason, such as no one else could provide such testimony, it is unlikely that the Pennsylvania Supreme Court would grant permission especially because the judge is a member of the court of the judicial district in which the trial is being held.

11/12/08
5D
5D(1)
5F
fiduciary activities
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
practice of law

A judge's friend died 9 or 10 years ago. The friend's surviving spouse has recently informed the judge that the spouse discovered 25 handguns which were property of the decedent and does not want to touch them.
The judge asks whether the judge can take possession of the guns, prepare an inventory of them including their serial numbers, and give the inventory to the police so the police can determine whether the guns have been reported stolen or used in a crime.
By doing so the judge may be violating Canon 5D and 5F. It is suggested that the spouse either open or reopen the estate and/or hire someone to perform the acts that the judge had intended to do.

11/18a/08
7B(1)(c)
Candidate's Financial Statement
candidate for election to retention
campaign conduct and political activity
misrepresent

A judge must file a judge's retention declaration by January, 2009 and must file with it a Candidate's Financial Statement. If the judge files in 2008, the Candidate's Financial Statement should be based on 2007 information. If the judge files in 2009, because the judge does not yet have documentation for 2008, the judge can file with 2007 information and later amend the statement with 2008 information.

11/18b/08
7
7A (2)
7B (2)
Judicial Ethics Committee bylaws article V
campaign conduct and political activity
candidate for election
lawyer
noncandidate

One lawyer is seeking an opinion on behalf of his client, another lawyer, who is considering running, but has not yet declared himself to be a candidate, has not filed any papers to become a candidate, and has not registered a campaign committee. The requested opinion is about the application of the Code of Judicial Conduct to candidates.

The Judicial Ethics Committee does not provide advisory opinions to lawyers who are not candidates for judicial office. If the lawyer later becomes such a candidate, the Judicial Ethics Committee will provide an advisory opinion.

11/26/08
2B
prestige of office
recommendations
letters of reference
character witness

A judge may not write a letter recommending a pardon for a former county deputy even though the judge was not the presiding judge on the case. However, if the investigating entity contacted the judge, the judge could comment.

12/10/08
7A(1)(b)
7A(4)
publicly endorse a candidate
political activity and political conduct

A judge may permit the 9th grade son of a long time friend to serve as an intern during winter break. The friend may soon announce his candidacy to elective office. Even if the friend had announced his candidacy, the answer would be the same, because this is for a high school project, the connection is personal and the internship is not related to the friend's aspirations. If the son worked in the judge's office for a significant period, such as a semester, the son would be subject to the same restrictions as the judge's staff.

12/16a/08
2B
5B
5B(2)
prestige of office to advance the private interest of others
civic and charitable activities
outside activities
solicit funds and fundraising
guest of honor
speaker

A judge may not appear in a documentary film that will be used to raise funds for a nonprofit even if the judge is not identified as a judge. The documentary film may be shown at a fundraising banquet or otherwise used to raise funds.

12/16b/08
7B (2)
campaign conduct and political activity
candidate for election
solicit funds
expenditure of funds

Earlier than thirty days before the first day for filing nominating petitions (which is the time that fundraising may begin) a judicial candidate may spend the candidate's own money to hire a media consultant to conduct a poll.

12/18/08
2
3C(1)
5A
5B
5B(1)
appearance of impropriety
disqualification and recusal
avocational activities
social and recreational activities
outside activities

A judge may use the police firing range for shooting. The judge is not receiving any special favors by doing so and the range is open to non-police personnel. The judge used the range before becoming a judge.

A judge may shoot on the pistol team of the sheriff's office in a league that includes employees of other government agencies. Private individuals are also involved in this league. The sheriff's office provides security for the judge and the other judges on the judge's court. If the sheriff's office appears before the judge as a party, the judge should disclose his connection to the sheriff's office and follow the Pennsylvania Code of Judicial Conduct in ruling on a recusal motion.

12/23/08
2
December 21, 2004 Pennsylvania Supreme Court Judicial Administration Docket No. 1

A part time law clerk to a senior judge wishes to also serve as the lawyer for the Domestic Relations Office. As such lawyer the clerk would appear before all of the judges except for the senior judge. The court does not have divisions or sections. The part time law clerk may not practice before the court per the Supreme Court order.

1/7/09
7A (2)
7B (2)
attend political gatherings
speak
campaign conduct and political activity
candidate for election

A lawyer who has announced that the lawyer is a candidate for election to a judicial office in 2009 may participate in the activities set forth in Canon 7A (2) and 7B (2), such as attending political gatherings, speaking to such gatherings on the lawyer's own behalf and on behalf of others running for the same office, identifying the lawyer as a member of a political party, and contributing to a political party or organization.

The candidate may not solicit publicly stated support, such as a public endorsement. However, the candidate's committee may solicit publicly stated support and there is no time limit on when a candidate's campaign committee may begin to solicit publicly stated support. At no time may a candidate personally solicit or accept campaign funds; only the candidate’s campaign committee may do so. A candidate's campaign committee may solicit funds for a campaign no earlier than thirty days before the first day for filing nomination petitions. A candidate may form a campaign committee at any time.

A candidate or his campaign committee may not contribute to other candidates for political office except 1) a candidate or his campaign committee may contribute to the campaign committee of a candidate for the same judicial office which the candidate is seeking and 2) to promote the candidate's candidacy, the candidate or his campaign committee may contribute to the campaign of another by buying tickets to events so that the candidate may attend the events. After a person becomes a candidate, earlier than thirty days before the first day for filing nomination petitions, to promote the candidate’s candidacy, the candidate may spend the candidate’s own money to attend political fundraisers or contribute the candidate's own money to his campaign committee to spend money to attend political fundraisers.

1/8/09
2A
Reliance On Advisory Opinions
comply with the law

A judge who is currently serving discipline specified in an order of the Court of Judicial Discipline has asked whether the judge can do certain things. The activities that the judge lists can give rise to two main issues. One, are they prohibited by the order of the Pennsylvania Court of Judicial Discipline? Two, are they permitted or prohibited by the Pennsylvania Code of Judicial Conduct and other ethics law?

Canon 2A provides in pertinent part that “judges should respect and comply with the law.” Under a Canon 2A a judge must comply with an order of the Pennsylvania Court of Judicial Discipline directed to the judge. Thus, the Judicial Ethics Committee has the authority to render an opinion about whether the activities that the judge asks about would violate Canon 2A insofar as the activities would violate the order of the Pennsylvania Court of Judicial Discipline. However, such an opinion would by the express language of the rule of reliance have effect only insofar as Canon 2A or any other “ethical concerns” are involved. Note also that the rule of reliance does not provide that the Judicial Ethics Committee opinions on matters of ethical concerns are binding upon the Court of Judicial Discipline; rather the opinions shall be “taken into account.”

Additional facts are needed to render an opinion on some of the activities. Other activities involve the interpretation of the Court's order. As a matter of prudence, the responding judge of the Judicial Ethics Committee has decided to abstain at this time from rendering an opinion on the questions posed until the Pennsylvania Court of Judicial Discipline has given guidance or a ruling on these questions or has declined to do so. This is particularly so because it appears that the judge wishes to avoid being subject to sanctions for engaging in the activities listed and to avoid sanctions guidance from the Pennsylvania Court of Judicial Discipline should be sought because its order is involved. If, however, the judge believes that the Judicial Ethics Committee should render an opinion now under these circumstances, the judge is requested to state the reasons therefor and the responding judge of the Judicial Ethics Committee the will reconsider the matter.

1/9/09
7B(1)(c)
candidate for election to retention
campaign conduct and political activity
misrepresent

A judge who is not sure whether the judge will seek election to retention may file the declaration of candidacy for retention and later decide not to seek election to retention. The Election Code permits a candidate to withdraw. If the judge files the appropriate withdrawal papers with the governmental entities, the judge will not be in violation of the Pennsylvania Code of Judicial Conduct.

1/13/09
2A
comply with the law

A judge may choose, but has no duty, to report to the Pennsylvania Department of State that a licensed practical nurse pleaded guilty before the judge. The prosecuting attorney was from the state attorney general's office and that office would have the duty to make such a report.

1/21a/09
7A (2)
7B (2)
attend political gatherings
campaign conduct and political activity
expenditure of funds
candidate for election to retention

A judge who has publicly announced his intention to run for retention may purchase a ticket for and attend a fundraising event for the clerk of courts who is running for office.

1/21b/09
2B
5B
5B(2)
7B(1)(a)
prestige of office to advance the private interest of others
civic and charitable activities
outside activities
solicit funds and fundraising
prestige of office
guest of honor
speaker
candidate for election to retention
campaign conduct and political activity
dignity

A retention candidate may dance in a "Dancing with the Stars" type fundraiser under the following circumstances: the judge's name will not be used in any advance publicity materials; at the dance the judge will be identified by name, but not by title; in the program that will be distributed to guests at the event the judge will be identified only as "guest dancer;" the judge will purchase the judge's own ticket; attendees will not bid on the judge's dance or otherwise pay extra money because the judge is participating.

1/22a/09
5A
5C
avocational activities
interfere with the performance of his judicial duties
exploit judicial position
involve him in frequent transactions with lawyers or persons likely to come before the court on which he serves

Under the facts, a judge may serve on the board of a bank. The judge states that for more than 20 years the judge does not recall that the bank ever had a proceeding in court. The judge understands that serving on the board cannot interfere with the performance of the judge's judicial duties or give any public perception that would diminish the independence and impartiality of the judiciary, that the judge will recuse if any bank cases arise in the future, and if the bank became involved in significant litigation or had a number of cases, the judge would promptly resign from the board.

1/22b/09
1
2A
3C
3C (1)(c)
3C (1)(d)
integrity and independence
appearance of impropriety
recusal and disqualification

A judge is not required to recuse under the following circumstances, but the ultimate determination is to be made by the judge. An assistant district attorney who is assigned to the judge's courtroom is a client of the judge's spouse's business. The spouse has many other clients and the assistant district attorney's patronage of the business is not significant financially or otherwise. The assistant district attorney's patronage does not yield a substantial financial interest to the judge or spouse, they have no substantial financial interest in the subject matter in court proceedings in which the assistant district attorney appears, and they have no other interest that could be substantially affected by the outcome of such proceedings.

1/23/09
2B
5B
5B(2)
prestige of office to advance the private interest of others
civic and charitable activities
outside activities
prestige of office
solicit funds and fundraising
guest of honor
speaker
attend

A nonprofit proposes to list a judge's name in the invitation and program book and give the judge a special name tag identifying the judge's important role in the success of a fundraising event. Those activities are banned by the Code of Judicial Conduct. However, if the judge wishes to donate, the judge must do so anonymously so that the judge's name does not appear in the program book under the list of donors. The judge may attend the fundraiser.

1/29/09
7A (2)
7B (1)(c)
speak
pledges or promises of conduct
commit
campaign conduct and political activity
candidate for election

An announced candidate for election to judicial office may express his beliefs on issues, but is prohibited from expressing how the candidate would rule on any potential case involving those issues.

2/10a/09
2B
5B
5B(2)
prestige of office to advance the private interest of others
civic and charitable activities
outside activities
solicit funds and fundraising
prestige of office
guest of honor
speaker

A judge intends to retire from the bench and thereafter not work as a senior judge or in any other judicial capacity. A bar association intends to honor the judge who has announced the judge's intention to retire at a luncheon. If the luncheon is a fundraiser, the invitations cannot be sent until after the judge retires.

2/10b/09
1
2A
3A (6)
3C
3C (1)(c)
3C (1)(d)
integrity and independence
appearance of impropriety
recusal and disqualification
public comment about a pending proceeding

Litigants have written a letter to the inquiring judge's president judge alleging the inquiring judge was "unethical" and exercised "improper judicial conduct" in failing to disclose a campaign contribution from a person who was not a party to a case, but who will apparently benefit from the case. The Judicial Ethics Committee does not render advice about past conduct, but is rendering the instant advice to the extent the posture of the case affords the judge the opportunity to take further action regarding the case.

Although the nonjury trial is over, there still may be jurisdiction to enter posttrial relief and the appeal period has not expired. Therefore, the case is pending and the judge may not make public comments except in the course of official duties in the form of a written opinion.

To the extent that the judge has jurisdiction over the case, the issue of recusal is a viable subject. The letter does not allege any of the specific instances in Canon 3C(1)(a) through (d). Moreover, the campaign contribution appears to have been done legally. Nothing in the Code of Judicial Conduct categorically requires the disqualification of a judge where a litigant or a litigant's lawyer contributes to the judge's campaign. Here the allegation does not involve a litigant or a litigant's lawyer. Non-parties may benefit from the outcome of litigation, but their relationship to the judge provides no categorical basis for disqualification. Although the letter seems to assume that the judge was aware of the contribution, in fact the judge may not have been aware.

A question of recusal is a mixed question of ethics and law. The Ethics Committee does not generally advise whether a judge should recuse, but rather points out the appropriate considerations.

The judge should consider whether under Canon 1 he can fairly decide the case on the facts and law; whether under Canon 2A recusal is required to avoid the appearance of impropriety; whether the judge's impartiality can be reasonably questioned because the judge has an interest that could be substantially affected by the outcome of the proceeding. The judge must decide for himself. If either the integrity of the system or the appearance of impropriety requires recusal, then the judge must recuse. Recusal is appropriate when a significant minority of the lay community could reasonably question the court’s impartiality.

Recusal should not be taken lightly. A judge has an ethical duty to dispose of the cases assigned to him. A judge should not recuse to avoid a difficult case. Also, a judge should not permit a party to try to obtain an advantage by fabricating spurious reasons for recusal.

If the judge can fairly decide the case notwithstanding the contribution, then the question is whether there is an appearance of impropriety. Because the judge is not aware of the contribution and the potential benefit accruing to the contributor, the better practice is for the judge to disclose that information.

2/11/09
3C
3C(1)(c)
recusal and disqualification

The judge must recuse from hearing a case in which one of the parties has been appointed by the judge to serve as an expert in another similar type case. The judge's appointment of the party as an expert indicates that the judge finds the party to be credible, which is likely to be an issue in the case in which the party is a party.

2/17/09
3B(1)
3B(4)
administrative responsibilities
diligently discharge administrative responsibilities
power of appointment
candidate for election

A president judge appointed a lawyer to represent a criminal defendant because the Public Defender had a conflict. Subsequently, the lawyer announced his candidacy for judicial office. It is not necessary for the judge to terminate the appointment because the lawyer is a candidate. Although the lawyer's fees will paid by the county, the lawyer has a duty under Rule of Professional Conduct 5.4(c) to exercise independent judgment on behalf of the client. Once the lawyer is appointed, all control by the Court ceases and all duties performed are for the benefit of the client, not the Court.

2/18/09
7A (2)
7B (2)
attend political gatherings
speak
publicly stated support
expenditure of funds
solicit funds
campaign conduct and political activity
candidate for election

A candidate for election to judicial office may a) attend an open house for a federal congressperson to celebrate the renovation of his office; the open house is open to the public, is not for campaign purposes or for endorsing any candidates; b) attend a pancake breakfast open to the public, including any candidates and their committees circulating petitions, but the candidate cannot personally solicit campaign contributions; the candidate can personally ask for votes; c) the judge's campaign committee may sponsor a fundraiser in conformity with Canon 7B(2).

2/23/09
7A (2)
7B (2)
attend political gatherings
speak
publicly stated support
campaign conduct and political activity
candidate for election

A judge may not speak to the boards or memberships of organizations for the purpose of seeking public statements of support of the judge's candidacy, but the judge's campaign committee may do so.

A judge may speak to the boards for the limited purpose of asking them to endorse the judge's candidacy to the members only, as opposed to the general public. However, if there is the possibility that the boards will make public statements of support, then the judge should not attend.

A judge may speak at an organization's candidates' night, because the judge would be seeking the votes of individual members, but the judge could not do so to seek the public endorsement of the organization.

3/2/09
2
3C(1)
appearance of impropriety
impartiality might reasonably be questioned
disqualification and recusal

Must a judge recuse when lawyers appear before the judge and those lawyers represented the judge in civil litigation arising out of the judge's previous service in public office or represent the judge in labor relations lawsuits brought against the judge in the judge's official capacity? No blanket rule applies to all of the cases.
The judge should make a self assessment whether 1) the judge has a personal bias or prejudice concerning any issue or party in the case, or personal knowledge of disputed evidentiary facts and whether the prior association with a lawyer would prevent the judge from appearing fair and impartial and 2) whether the judge's impartiality might reasonably be questioned by a significant minority of the lay community who are fully informed of the facts underlying the grounds which have caused the judge to consider recusal. It is recommended that the judge make a record of informing all parties in the litigation of the judge's consideration of the foregoing and the conclusions reached.

3/3/09
3A(6)
4A
7B(1)(c)
public comment about a pending proceeding
speak, write, lecture, teach
decide impartially
pledges or promises of conduct
commit
campaign conduct and political activity
candidate for election

The Judicial Ethics Committee does not comment on the appropriateness or inappropriateness of specific publications or campaign literature. However, the inquiring judge may wish to review Canons 3A(6), 4A, 7B(1)(c) in reaching the decision. A judge may author an article on a legal subject if these Canons are not violated.

3/10a/09
3A(5)
3B(1)
7A (2)
7B (2)
dispose promptly of the business of the court
diligently discharge administrative responsibilities
attend political gatherings
speak
campaign conduct and political activity
candidate for election to retention

A judge who has publicly announced his candidacy for retention may engage in the activities set forth in Canon 7A (2) even though it refers to public elections between competing candidates. The judge may also engage in the activities set forth in Canon 7B (2)

3/10b/09
3A(6)
4A
public comment about a pending proceeding
speak, write, lecture, teach

A judge may appear on public television to explain in general terms and for information purposes the procedures of the division of the court on which the judge sits. The judge will not comment about any pending case.

3/11a/09
3A(6)
7A (2)
7B(1)(c)
7B (2)
public comment
speak
pledges or promises of conduct
commit
solicit funds
campaign conduct and political activity
candidate for election

The Judicial Ethics Committee does not comment on the appropriateness or inappropriateness of campaign literature. However, the inquiring judge may wish to review Canons 3A(6) and 7B(1)(c) in reaching the decision. Campaign contributions that a judge personally receives or that were received before the time for fund raising to begin should be returned.

3/11b/09
2B
4C
prestige of office to advance the private interest of others
recommendations to public and private fund-granting agencies
civic and charitable activities
outside activities

Before becoming a judge and as a judge a judge worked with a nonprofit organization that advocates for and provides services to a certain category of crime victims. The judge may write a letter on court stationery to a funding source recommending funding for the nonprofit, but may not personally solicit such funds.

3/12a/09
7B (1)(a)
7B (2)
solicit funds
campaign funds and campaign contributions
campaign conduct and political activity
candidate for election
family and spouse

The spouse of a judge who is a candidate for election may serve as campaign treasurer provided that the spouse is not directly involved in soliciting funds and the judge has taken appropriate steps to discourage the impression that the spouse is soliciting contributions.

3/12b/09
7B (2)
expenditure of funds
solicit funds
campaign funds and campaign contributions
campaign conduct and political activity
candidate for election

A joint campaign committee of certain candidates for the same judicial office may not be formed to solicit and expend funds from donors and from the individual campaign committees of the individual candidates to promote the group. Each candidate has established a separate individual campaign committee to solicit and expend funds on behalf of such candidate and each such individual campaign committee will also forward funds to the joint campaign committee which will act on behalf of the group and have a different chairperson and treasurer than each of the individual candidate's campaign committee. One of the problems that would be created by a joint campaign committee is if there is an ethical conflict between a donor and an individual judge, must all of the other judges in the group also recuse?

3/16a/09
7A (2)
7B (1)(a)
7B (2)
speak
dignity
campaign conduct and political activity
candidate for election

A judge who is a candidate for election asks whether the judge may use the judge's chambers as a stage or prop for a campaign commercial. The judge states that the commercial will not identify the place and will not refer to the place as the judge's chambers. The Pennsylvania Code of Judicial Conduct does not ban this. However, under Canon 7B (1)(a) the judge should maintain his dignity. This opinion does not address any local rules or public property policies that may apply and the judge is urged to seek legal counsel's advice on those matters.

3/16b/09
2A
3A(1)
3A(6)
3C(1)
appearance of impropriety
comply with the law
integrity and impartiality
unswayed by partisan interests, public clamor, or fear of criticism
public comment about a pending proceeding
impartiality might reasonably be questioned
disqualification and recusal

A president judge asks whether the judge has a duty about the following: a judge has a certain photograph in the judge's courtroom that a criminal defendant might reasonably conclude that the judge is biased in favor of law enforcement even if that is not what the judge intends to communicate.
The courtroom should be free from any and all personal statements by the court that could lead a reasonable litigant (plaintiff, prosecution, or defendant) to believe that the judge was biased to a particular point of view. The president judge has an ethical duty to review these facts and set protocol in the courtroom.

3/25/09
2
2A
5B
5B (1)
appearance of impropriety
integrity and impartiality
reflect adversely upon his impartiality
interfere with the performance of judicial duties
engaged in proceedings that would ordinarily come before him
regularly engaged in adversary proceedings in any court
civic and charitable activities
outside activities

A judge may not contribute to be a sponsor of an activity that is part of a nonprofit's fundraising activity where the nonprofit provides services to those who are likely to appear in court before the judge. The reason is that a reasonable opposing party would conclude that the judge could not be fair.

3/27/09
2B
prestige of office
recommendations
letters of reference
character witness

Whether a judge may send reference letters to a branch of the government for individuals who are seeking voluntary positions depends on whether the letter is the type of letter that would be written in the ordinary course of business (such as for a law clerk or similar position); whether it is for a person with whom the judge has a not insubstantial relationship; and whether it is for the purpose of attempting to use the judge's office to advance the personal interest of another. For example if the person is requesting the judge to write the letter solely because the judge is a judge, then it would not be appropriate. On the other hand, if the person is asking because the judge is in the best position to evaluate the person's talents and the judge's relationship is such that the judge would have to recuse if the person was a party in a case before the judge, then it would be appropriate. If it is appropriate to write the letter, the judge may use judicial stationery.

3/31/09
2B
3B(3)
5B
5B(2)
prestige of office to advance the private interest of others
disciplinary measures
civic and charitable activities
outside activities
solicit funds and fundraising
prestige of office

A judge has been actively involved with a youth sports team for a number of years. The judge assisted the team by ghost-writing a fundraising letter which did not have the judge's name attached to it. Without the judge's knowledge or permission, the individual in charge of fundraising modified the draft, signed the judge's name to the letter, and sent it to prospective donors. After the letter was mailed, the judge learned about the letter and immediately contacted legal counsel who instructed the organization to cease sending the letter with the judge's name on it. No money was raised from the letter. The judge is not required to take any further corrective action and because the judge did not violate the Pennsylvania Code of Judicial Conduct, the judge is not required to make any report to the Judicial Conduct Board.

4/3a/09
5A
5B(2)
avocational activities
write, lecture, teach, and speak
civic and charitable activities
outside activities
solicit funds and fundraising
prestige of office
guest of honor
speaker

A judge may be a keynote speaker at an event that is not a fundraiser.

4/3b/09
2A
2B
5A
5B
integrity and impartiality
prestige of office
avocational activities
write, lecture, teach, and speak
reflect adversely upon his impartiality
interfere with the performance of his judicial duties
civic and charitable activities
outside activities

A judge who is a member of a religion based organization may not be one of the signers of a letter (without using the title judge) to a newspaper responding to criticism of the religion's leader. A significant minority of the lay public may perceive the letter as being biased toward certain issues that sometimes arise in court, particularly family court.

4/8a/09
2
3C(1)
appearance of impropriety
impartiality might reasonably be questioned
disqualification and recusal

The judicial district's court administrator has assigned a matter to the judge in which a party alleges that the judge's supervising judge forged the party's name on a document in the case file involving the party. In a previous proceeding an out of county judge was assigned to the matter. The judge asks whether the judge should recuse.

The judge should make a self assessment whether 1) the judge has a personal bias or prejudice concerning any issue or party in the case, or personal knowledge of disputed evidentiary facts and 2) whether the judge's impartiality might reasonably be questioned by a significant minority of the lay community who are fully informed of the facts underlying the grounds which have caused the judge to consider recusal.

Because it is likely that the judge will be required to determine the credibility of the judge's supervising judge, the judge should give special consideration and analysis to number 2 above and to the fact that previously an out of county judge was appointed to decide this issue.

4/8b/09
4A
4C
5B(2)
other activities concerning the law, the legal system, and the administration of justice
personally participate in public fund raising activities
solicit funds and fundraising
prestige of office

One of the programs of a nonprofit is to train volunteers to advocate for certain persons who are involved in court proceedings. The program appears to improve the legal system and the administration of justice. A judge may appear in an advertisement that highlights the benefits of the program and informs the public that the nonprofit's website can be contacted for more information. One of the links has a reference on how to donate money. The advertisement must not have any reference to fundraising or solicitation of funds. Also the judge should seek assurance that the judge's name will not appear on the website to which there is a reference to donations.

4/8c/09
2A
2B
4A
integrity and impartiality
other activities concerning the law, the legal system, and the administration of justice
prestige of office
advance the private interests of others

A nonprofit organization provides services to certain victims who are involved in litigation and the nonprofit regularly appears in court before the judge. The judge may not participate in the nonprofit's ceremony recognizing the judge's contributions to improve an aspect of the court system in which the nonprofit's victims are involved. If the judge were to participate in the ceremony recognizing the judge, the judge would be identified with the nonprofit and the nonprofit would be identified with the judge. This would tend to erode the public's confidence in the integrity and impartiality of the judiciary and the nonprofit would bask in the recognition of the judge.

4/20/09
2A
4A
5F
Pa. Constitution Article 5, section 17(a)
42 Pa.C.S. section 3301
integrity and impartiality
speak, write, lecture, teach
other activities concerning the law, the legal system, and the administration of justice
practice law

Before becoming a judge, the judge was an assistant district attorney and as such prosecuted a certain defendant. An assistant United States Attorney is prosecuting the same defendant and has asked to speak with the judge about the case the judge prosecuted. The judge may do so, but should not give the assistant United States Attorney any advice. The judge should be willing to discuss the case with defense counsel if so requested.

4/21a/09
2B
5A
5B
5B(2)
prestige of office
advance the private interests of others
avocational activities
social and recreational activities
reflect adversely upon his impartiality
civic and charitable activities
outside activities
solicit funds and fundraising
prestige of office
guest of honor

A judge may attend an Anti-Defamation League dinner. The dinner is not a fundraiser, it is not advertised as being held for an unusual purpose, such a controversial cause, and the judge's presence is not being promoted for fundraising.

4/21b/09
3B(3)
7B(2)
disciplinary measures
solicit funds
campaign funds and campaign contributions
candidate for election
campaign conduct and political activity

A judicial candidate sent a letter to persons explaining the candidate's experience and at the end of the letter requested the persons to sign up as supporters and send contributions to an address or through the candidate's website. It is believed that the candidate made a personal solicitation of funds, which is prohibited by Canon 7B(2), through an oversight. If the candidate received any contributions personally or the candidate or his committee received them before the time for soliciting funds is to begin, such contributions should be returned.

4/24/09
3A(5)
3C(1)(a)
dispose promptly of the business of the court
recusal and disqualification

A group of pro se civil defendants have filed suits against virtually all persons in county government directly or indirectly involved in the civil actions filed against the defendants and the sale of the defendants' property. It appears that the pro se litigants are attempting to delay the actions in which they are defendants by any means possible, including suits against government officials, motions to recuse the entire bench, and vituperative personal attacks. The president judge's previous request for assignment of an out of county judge has been denied. A judge who has been assigned to the suits asks whether the judge must recuse.

The judge should make a self assessment whether 1) the judge has a personal bias or prejudice and 2) whether the judge's impartiality could reasonably be questioned by a significant minority of the lay community.

In light of the duty under Canon 3A(5) to dispose of cases assigned to a judge, the rule of necessity, and the denial of the request for an out of county judge, the judge's bench must decide the matter. Although the litigants have sued some of the members of the judge's bench, the judge has not been sued. It is therefore, better that the judge preside. The judge has issued an order notifying all parties of their right to seek the judge's recusal.

4/29/09
7A(1)(b)
7A(1)(c)
7A(2)
publicly endorse a candidate
contribution to a political organization
contribute to a political party or organization
expenditure of funds
publicly stated support
campaign conduct and political activity
candidate for election

A judge candidate's name may appear on a sample ballot printed by a candidate for a nonjudicial office. By doing so the judicial candidate is not endorsing the nonjudicial candidate. However, because under Canon 7A(2) a judicial candidate may only "contribute to a political party or organization," the candidate cannot merely pay the amount requested by the nonjudicial candidate, but rather the candidate's campaign committee can only pay the judicial candidate's pro rata share for direct printing cost of the ballot.

5/1/09
7A(1)(b)
7A(1)(c)
7A(2)
publicly endorse a candidate
contribution to a political organization
contribute to a political party or organization
expenditure of funds
publicly stated support
campaign conduct and political activity
candidate for election

A judge candidate's name may appear on a sample ballot printed by a candidate for a nonjudicial office. By doing so the judicial candidate is not endorsing the nonjudicial candidate. However, because under Canon 7A(2) a judicial candidate may only "contribute to a political party or organization," the candidate cannot merely pay the amount requested by the nonjudicial candidate, but rather the candidate's campaign committee can only pay the judicial candidate's pro rata share for direct printing cost of the ballot.

6/30a/09
7A(1)(c)
7A(4)
attend political gatherings
political activity and political conduct
noncandidate

A judge who submitted the judge's name for nomination to a higher court may attend political gatherings for the purpose of meeting the judge's political party's state committee members. Canon 7 permits a judge to inquire as to private support during the process of seeking the nomination of the committee.

6/30b/09
1
2
2A
2B
Pa. Constitution Article 5, section 17(c)
integrity and independence
integrity and impartiality
appearance of impropriety
prestige of office
gifts

A judge may not keep gift certificates that were given to the judge as a thank you for organizing programs for a judicial conference. The sponsors of the program paid for the gift certificates. The judge did the organizing as part of the judge's judicial duties. The judge should return them to one of the sponsors. The judge may not make a contribution to the program's nonprofit organization instead of returning the gift certificates because it is not the sponsor. The judge may keep the gift bag that all attendees received if the value is de minimis.

7/2/9
1
2A
3C
3C (1)
integrity and independence
appearance of impropriety
recusal and disqualification

A criminal defendant has filed a quo warranto action against a judge to whom the defendant's PCRA petition has been assigned. The Addendum on Recusal was given to the inquiring judge. It was noted that the nature of the action filed against the judge was significant. The action did not question the judge's character, integrity, impartiality, or ability. The defendant did not seek the judge's recusal. There also did not seem to be a due process issue. See Caperton v. A.T. Massey Coal Co., Inc., 129 S.Ct. 2252 (2009). There was no "direct, personal, substantial, pecuniary interest in a case." The quo warranto action did not lead to a reasonable conclusion that "the probability of actual bias" is too high to be constitutionally tolerated as an objective matter in the judge's case. The fact that the quo warranto action was filed did not determine that the interest posed "such a risk of actual bias or prejudgment" that the judge's continuing on the case "must be forbidden if a guaranty of due process is to be adequately implemented."

7/14/9
4A
4C
5B
decide impartially
civic and charitable activities
reflect adversely upon his impartiality
interfere with performance of judicial duties

A judge may serve on an ad hoc committee to advise or help in the restructuring of a nonprofit organization that advocates for sexual orientation issues.

7/27/09
5B
5B (1)
5C
5C(1)
5C(2)
5C(3)
reflect adversely upon his impartiality
interfere with performance of judicial duties
engaged in proceedings that would ordinarily come before him
regularly engaged in adversary proceedings in any court
minimize the number of cases in which he is disqualified
civic and charitable activities
financial activities

A newly appointed judge may continue to serve on the board of a bank and receive compensation for such service. The bank has no shareholders and historically there have been almost no contested mortgage foreclosure actions in the judge's county. If the circumstances change, the judge may have to reconsider the matter. For example, if the bank is acquired by another bank which had many cases in court or if the number of cases in which the bank is a party in the judge's court increases, reconsideration may be required.

7/30/09
5A
5B(2)
avocational activities
write, lecture, teach, and speak

A judge may appear and speak on a television program that is intended to find the person who murdered the judge's child. However, the judge may not discuss the judge's position.

8/5/09
4A
7A (1)(c)
7A (4)
speak, write, lecture, teach
attend political gatherings
political activity and political conduct

A judge may speak before a social club about the anatomy of the judge's past campaign for judicial office. The club has no political action committee and does not endorse candidates. The judge is not a candidate for election.

8/11a/09
5B
5B(2)
civic and charitable activities
solicit funds and fundraising
prestige of office

A judge may not personally solicit funds. Thus, at a church fund raising event a judge may not work at a booth at which items are sold. However, a judge may work at the event out of sight of the public, such as cooking or dishwashing.

8/11b/09
5B
5B(2)
civic and charitable activities
solicit funds and fundraising
prestige of office
guest of honor
attend

A charitable organization plans to list the judge as an honoree of an award to promote a fund raising event. The judge may not accept the award and may not allow the charity to use the judge's name to promote the event. The judge may attend the event.

8/17/09
5D
fiduciary activities

A judge may serve as the co-executor of the judge's aunt's estate. The aunt was a mentor to the judge and the judge had a close familial relationship with the aunt. However, the judge should discontinue to serve if the estate will be engaged in proceedings that would ordinarily come before the judge or if the estate becomes involved in adversary proceedings in the court on which the judge serves.

8/24/09
7A(4)
political activity and political conduct
family and spouse

A judge may not accompany the judge's spouse to a fund raising event for a candidate to elective office.

8/31/09
3A(6)
4A
4B
5G
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
public comment
speak, write, lecture, teach
appear at a public hearing
governmental commission

A judge has been appointed to serve on a commission formed by the legislative, executive, or judicial branches of government to ascertain how certain failures occurred in the administration of justice, to restore confidence in the administration of justice, and to propose action to prevent future failures in the administration of justice. Civil and criminal litigation is pending regarding the matters that the commission is reviewing and a master will be preparing a report for a court to consider. In the course of fulfilling the judge's duties on the commission the judge may speak and write a report about commission matters.

9/1/09
7B (2)
campaign funds and campaign contributions
candidate for election
solicit funds
publicly stated support
family and spouse

The campaign committee of a judge who is running for election may hold a fund raising event at the judge's home and the judge may attend. However, the judge may not solicit funds or publicly stated support. Only the campaign committee may solicit funds or publicly stated support.

9/17/09
3A(6)
7B(1)(c)
public comment
pledges or promises of conduct
commit
candidate for election

A judge running for election should not directly or inferentially make pledges or promises of conduct in office other than the faithful and impartial performance of the duties of the office and should not make statements that commit the candidate with respect to cases, controversies or issues that are likely to come before the court. However, within those limits the judge may statements or announcements about the judge's personal views. However, if the judge makes statements or announcements about the judge's personal views, the judge may have to recuse if that issue comes before the judge. The judge should not knowingly engage in conduct that would put the judge in a position that would require recusal. The test is whether a reasonable person looking at the totality of the statements would believe that the judge has specifically undertaken to reach or is committed to reach a particular end result. If the judge is asked whether the judge agrees with particular federal or state court decisions, the judge must obey Canon 3A(6) which bans public comment about a pending proceeding in any court.

9/21/09
4A
6
speak, write, lecture, teach
compensation

A judge may serve on the panel for a continuing legal education program. The program will give the judge the right to invite two persons to attend without payment. The judge should report the value of the rights on the Supreme Court of Pennsylvania statement of financial interest form.

9/25/09
1
2A
3C (1)
3C (1)(c)
integrity and independence
appearance of impropriety
recusal and disqualification

For the following reasons it would be unwise for a judge not to recuse from presiding over a jury trial in which one of the expert witnesses is a treating physician of the judge.

Caperton v. A.T. Massey Coal Co., Inc., 129 S.Ct. 2252 (2009), does not apply because the judge does not have a direct, substantial, pecuniary interest in the case.

In accordance with the Judicial Ethics Committee's Addendum on Recusal, the judge should make a self assessment of whether there can be a fair and impartial trial. If the judge decides that the judge's objectivity will not be compromised, then the judge must consider whether the judge's impartiality might be reasonably questioned. In deciding this issue the test to apply is whether "a significant minority of the lay community could reasonably question the court’s impartiality." Commonwealth v. Darush, 459 A.2d 727, 732 (Pa. 1983). The judge may be required to rule on objections to the witness' testimony and if a motion for a new trial is filed the judge may be required to consider the witness' credibility. If those circumstances occurred, Darush might require recusal. Moreover, if the judge chose not to disclose or recuse before trial and the foregoing circumstances occurred, disclosure at a later time might prove embarrassing especially if the condition for which the physician is treating the judge is deeply personal.

10/1/09
2
2A
4
4A
5A
appearance of impropriety
integrity and impartiality
decide impartially
other activities concerning the law, the legal system, and the administration of justice
social and recreational activities
civic and charitable activities
reflect adversely upon impartiality
prestige of office
attend

There is no per se ban on a judge from attending a plaintiffs' bar association fund raising event. In deciding whether to attend the judge should consider that it is a plaintiffs' bar association event and a fund raising event, that the judge's appearance may be noted, and whether the judge would attend if it were a defense bar event.

10/6a/09
5A
5B(2)
7A(4)
social and recreational activities
solicit funds and fundraising
prestige of office
attend
political activity and political conduct
attend political gatherings
family and spouse

A judge may attend a union banquet at which the judge's child will receive a scholarship. The event is not a fundraising event and is not a political gathering. Although candidates for elective public office will speak, no such candidate is the keynote speaker and the union will not make endorsements at the event. The judge's name will not appear on the program or in the advertising and will not be used in the sale of tickets.

10/6b/09
1
2
2A
3C (1)
3C(1)(b)
3C (1)(c)
5F
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
integrity and independence
appearance of impropriety
recusal and disqualification
appearance of impropriety
disqualification and recusal
practice of law
fees from former firm
lawyer who has been elected judge

A lawyer who has won the nominations of both parties may receive fees from clients after the lawyer is sworn in as judge for work done before the lawyer is sworn in as judge. The judge's interest in the client files should end when the lawyer is sworn in as judge. The judge should recuse on matters for which the judge has agreed to accept payments after being sworn in and on any matters that the lawyer started, but which are continuing with representation by another lawyer. The judge should also recuse on any new matters of clients that are making payments because there may be the appearance of impropriety. Fees collected after taking office should be reported on the Supreme Court of Pennsylvania statement of financial interest form.

A lawyer provided legal services for challengers to the nomination petition of another candidate for the same judicial office that the inquiring judge sought. This was done with the consent of the judge. Although the lawyer agreed to provide the services for free, the judge is considering voluntarily paying the lawyer a portion of the lawyer's fees from the judge's personal funds. The judge asks about the judge's reporting duties under the campaign finance law. That inquiry is beyond the scope of the Judicial Ethics Committee's duties. However, the inquirer may wish to review 25 P.S. sections 3246(a), 3241 and In re: Audit of Campaign Expenses, 747 A.2d 1262 (Pa. Cmwlth. 2000).

The judge asks about recusal when the lawyer who represented the challengers appears before the judge. The judge should consider Canon 3C, In Re Zupsic, 893 A.2d 875, 891 (Pa. Ct.Jud.Disc. 2005), and Commonwealth v. Darush, 459 A.2d 727, 732 (Pa. 1983). The judge should make a self assessment of whether there can be a fair and impartial trial. If the judge decides that the judge's objectivity will not be compromised, then the judge must consider whether the judge's impartiality might be reasonably questioned. In deciding this issue the test to apply is whether "a significant minority of the lay community could reasonably question the court’s impartiality." Commonwealth v. Darush, 459 A.2d 727, 732 (Pa. 1983). It would be prudent for the judge to make a record advising all parties of the judge's consideration of the foregoing and the judge's conclusions.

The judge must also consider the effect of Caperton v. A.T. Massey Coal Co., Inc., 129 S.Ct. 2252 (2009)(holding that the Due Process Clause required recusal because of a large campaign contribution to the judge’s campaign). In accordance with Caperton the judge should consider whether the facts of the lawyer's services as viewed in the judge's county and community would offer a temptation to the judge that would lead the judge to be unfair to any who are appearing before the judge in a case in which the lawyer is involved.

10/20/9
1
2
2A
3C
3C(1)(b)
5F
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
integrity and independence
appearance of impropriety
recusal and disqualification
practice of law
fees from former firm
lawyer who has been elected judge

A lawyer who has won the nominations of both parties may receive fees from clients after the lawyer is sworn in as judge for work done before the lawyer is sworn in as judge. The judge's interest in the client files should end when the lawyer is sworn in as judge. The judge should recuse on matters for which the judge has agreed to accept payments after being sworn in and on any matters that the lawyer started, but which are continuing with the representation of another lawyer. The judge should also recuse on any new matters of clients that are making payments because there may be the appearance of impropriety. Fees collected after taking office should be reported on the Supreme Court of Pennsylvania statement of financial interest form. The judge should not continue to maintain a law office or pay support staff after the judge is sworn in.

10/21/09
7B(2)
campaign conduct and political activity
campaign funds and campaign contributions
campaign finance report
candidate for election to retention

A judge need not form a campaign committee solely for the non-receipt of political action funds which may be applied to the judge's proportionate share of expenses in getting out the vote for retention judges. The funds were raised by a bar association for all judges it deemed qualified and the judge did not participate in raising the funds. The judge should report the funds on the judge's personal financial statement and on the candidate's campaign finance report.

10/26/09
7A (2)
7B (2)
attend political gatherings
speak
identify self as member of a political party
campaign conduct
publicly stated support
expenditure of funds
candidate for election

A judge who intends to seek election in 2011 may announce his candidacy now. After announcing his candidacy the judge may attend political gatherings. The judge may not personally solicit or accept campaign contributions. However, the judge's campaign committee may do so, but may do so no earlier than thirty days prior to the first day for filing nominating petitions.

11/2/09
2
5G
7A(4)
appearance of impropriety
political activity and political conduct
extra-judicial appointments

A judge may not lead the transition team of a newly elected executive of an out of state local government. The judge will not be compensated. The judge believes that the duties will not involve partisan activity. The reasons that the judge may not serve include: Service would be intertwined with political activity. Many decisions of a transition team are politically motivated, e.g., recognition of support or lack thereof, positioning of a staff that will provide the best chance for reelection, not only from a competence standpoint, but from a need for political sensitivity. Also service identifies the judge as part of the executive's team.

11/4/09
1
2
2A
3C
3C(1)(b)
4
4A
5F
7B(2)
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
integrity and independence
appearance of impropriety
recusal and disqualification
subject to the proper performance of judicial duties
decide impartially
speak, write, lecture, teach
practice of law
fees from former firm
solicit funds
candidate for election
campaign funds and campaign contributions
lawyer who has been elected judge

A lawyer who has been elected judge may receive fees from clients after the lawyer is sworn in as judge for work done before the lawyer is sworn in as judge. The judge's interest in the client files should end when the lawyer is sworn in as judge. The judge should recuse on matters for which the judge has agreed to accept payments after being sworn in and on any matters that the lawyer started, but which are continuing with representation by another lawyer. The judge should also recuse on any new matters of clients that are making payments because there may be the appearance of impropriety. Fees collected after taking office should be reported on the Supreme Court of Pennsylvania statement of financial interest form.

The judge may write a book about the judge's experience in campaigning for judge subject to the proper performance of the judge's judicial duties and if it does not cast doubt on the judge's capacity to decide impartially any issue that may come before the judge.

The judge's campaign committee may conduct fundraising to retire campaign debt, but the fundraising must end by the end of the year of the election.

11/30/09
2B
5B
5B(2)
advance the private interests of others
civic and charitable activities
solicit funds and fundraising
prestige of office
guest of honor
attend

An organization plans to give an award to a judge at a non-fundraising event. There is no basis for concluding that the organization selected the judge to advance a private interest. The judge may attend and accept the award.

12/1/09
7A(1)(c)
contribution to a political organization
attend political gatherings

A judge may not attend an event that is labeled as a holiday reception, but which is held by the campaign committee of a judge elect and which is a fund raiser.

12/2/09
1
2A
3
3C (1)
3C(1)(a)
5C
integrity and independence
appearance of impropriety
precedence over all other activities
recusal and disqualification
financial activities
judge elect

A judge may continue certain nonjudicial employment in a nonlegal field being mindful that the judicial duties take precedence over all other activities.

The judge should consider recusal of criminal cases in which the judge had previous contact as a magisterial district judge, including those in which the judge approved search warrants and appeals from summary convictions over which the judge presided.

The standard of proof for approval of criminal complaints (probable cause) and the binding over after a preliminary hearing (prima facie case) provide a more subtle issue. Although the jury in a criminal case would ultimately decide guilt, the judge would have to rule during trial whether there is sufficient evidence for the case to go to the jury. While it would appear that as a magisterial judge the judge previously ruled on the sufficiency of the evidence for a prima facie case, the trial evidence may be more or less than that presented at the magisterial judge level.

The judge should make a self assessment of whether there can be a fair and impartial trial considering the judge's previous actions. If the judge decides that the judge's objectivity will not be compromised, then the judge must consider whether the judge's impartiality might be reasonably questioned. In deciding this issue the test to apply is whether "a significant minority of the lay community could reasonably question the court’s impartiality." Commonwealth v. Darush, 459 A.2d 727, 732 (Pa. 1983). It would be prudent for the judge to make a record advising all parties of the judge's consideration of the foregoing and the judge's conclusions.

With regard to previously presiding over preliminary arraignments, there would appear to be a minimal possibility for conflict requiring recusal since the only discretionary determination would have been setting bail and bail conditions, which the judge could have reviewed and revised at the preliminary hearing, and which a Common Pleas judge has the authority to review at the time the case comes under the Common Pleas judge's jurisdiction. The judge should review the Judicial Ethics Committee's Addendum on Recusal to decide this issue.

Regarding recusal when a lawyer who appeared in a campaign commercial for the judge appears before the judge, the judge should review the Addendum on Recusal. As a magisterial district judge the judge has presided over treatment court and will continue to do so as a Common Pleas judge. Regarding recusal in such matters, the judge should review the Addendum on Recusal. The treatment court issue can be difficult because the usual deliberations regarding the imposition of an appropriate sentence are complicated by considerations of the impact of an individual sentence on the other participants in the treatment court program and the impact on the program itself. The judge should consider these cases on an individual basis and if after applying the recusal analysis the judge finds that he can proceed to sentencing, the judge should set forth on the record the reasons for the sentencing just as in any other case that the judge imposes a sentence.

12/4/09
1
2
3
3C (1)
3C(1)(a)
5F
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
integrity and independence
appearance of impropriety
precedence over all other activities
recusal and disqualification
practice of law
judge elect

A Common Pleas judge who as a magisterial district judge found there was a prima facie case and decided a summary conviction may recuse when such cases come before the judge as a Common Pleas judge.

It is also recommended that the judge consider recusing in hearing suppression motions in which the judge previously granted search warrants since the judge would have previously ruled on the credibility of the affiants and the sufficiency of the allegations to justify the issuance of the search warrants.

The judge may allow the judge's former private law office to remain open under the supervision of another lawyer to wind down the business, receive accounts receivable, and allow the distribution files to clients. However, the judge should avoid the appearance that the judge is engaged in the practice of law or that someone is engaging in the practice of law on the judge's behalf.

12/7/09
5C
financial activities
fees from former firm
lawyer who has been elected judge

A lawyer who has been elected judge may sell his law practice in accordance with Rule of Professional Conduct 1.17. The Judicial Ethics Committee does not have the authority to determine whether the terms of the sale are in accord with Rule of Professional Conduct 1.17. The lawyer may receive payment from the sale of the practice after the lawyer is sworn in as judge. Such payments should be reported on the Supreme Court of Pennsylvania statement of financial interest form.

12/8/09
2B
prestige of office
recommendations
letters of reference

A judge may write a letter of recommendation for a business person on the judge's judicial letterhead if the judge personally knows the person, sets forth the basis for that knowledge, and states that the basis for the recommendation is that knowledge.

12/16/09
4C
5B(2)
assist in raising funds
personally participate in public fund raising activities
solicit funds and fundraising

A judge may not express support of a nonprofit provider of legal services for the indigent at its fund raising event.

12/22/09
2B
4C
5B
5B(1)
5B(1) commentary
advance the private interests of others
member, officer, or director
not conducted for the economic or political advantage of its members
lawyer who has been elected judge

A lawyer who has been elected judge is an officer of a bar association. When the lawyer is sworn in as judge he or she may not continue serve as an officer in the bar association. Bar associations are involved in recommending and evaluating judicial candidates, adopt policies that may have political significance, may seek competitive bids from insurance companies for the benefit of its members, may become active in community affairs and commit to causes that may come before the court. An officer is responsible in creating and advancing these causes. A bar association is conducted for the economic or political advantage of its members and thus, is not an organization referred to in Canon 5. However, a judge may serve on a bar association committee whose purpose is to advance the improvement of the law, the legal system, or the administration of justice.

12/24/09
3B
3B (2)
Supreme Court order December 21, 2004
Judicial Administration Docket No. 1, No. 267
administrative responsibilities
staff and court officials
court-appointed employees

By Supreme Court of Pennsylvania order law clerks are not permitted to appear as counsel in the division/section of the court in which the judge by whom they are employed serves. Law clerks must use vacation time when appearing in court.

1/5a/10
Judicial Ethics Committee Bylaws Article V

A government official of a county election office requested advice regarding the manner by which judges, who were recently sworn in, could raise funds to retire campaign debt. The Judicial Ethics Committee bylaws permit the Judicial Ethics Committee to answer inquiries only from those who are subject to the Pennsylvania Code of Judicial Conduct. Therefore, the response declined to address the inquiry and suggested that a judge submit the inquiry.

1/5b/10
5C
financial activities

A judge may maintain a real estate broker's license and place it in escrow with the Pennsylvania Real Estate Commission.

1/6/10
3C (1)
3C(1)(b) Note
3C(1)(d)(ii)
3C(1)(d)(ii) Commentary
recusal and disqualification

A judge's spouse is a part time assistant district attorney. The judge must recuse in any cases in which the spouse is acting as a lawyer or in any cases in which the spouse may appear in the future. The judge may preside over cases in which other lawyers of the district attorney's office appear. Canon 3C(1)(d)(ii) Commentary states that "The fact that a lawyer in a proceeding is affiliated with a law firm with which a lawyer-relative of the judge is affiliated does not of itself disqualify the judge." Canon 3C(1)(b) Note states in pertinent part "A lawyer in a governmental agency does not necessarily have an association with other lawyers employed by that agency within the meaning of this subsection." However, there may be specific situations in which recusal is appropriate. The judge was given a copy of the Judicial Ethics Committee's Addendum on Recusal.

1/7/10
4C
5B(1)
5B(3)
member, officer, or director
engaged in proceedings that would ordinarily come before him
investment advice

A judge may serve as an officer and president of a nonprofit organization that provides funding to other organizations that provide legal services to low income people or victims of domestic violence. The organization sets general policy for types of cases legal services organizations are to handle and does not intervene in a particular case. Thus, it is not likely that the organization will be engaged in proceedings that would ordinarily come before the judge. See Canon 5B(1). The judge may assist the organization in raising funds but should not personally participate in public fund raising activities. See Canon 4C. The judge should not give investment advice. See Canon 5B(3).

1/8/10
5B
5B(2)
civic and charitable activities
solicit funds and fundraising
prestige of office
guest of honor
attend

A judge may not be a speaker or guest of honor at a fundraising event of a nonprofit. However, the judge may attend the event and receive a recognition or honor at the event provided the judge is not being "billed" or "highlighted" beforehand as an honoree so the tickets will be sold or donations will be requested on the strength of the judge's name or judicial position.

1/21/10
2B
3B(4)
3C(1)(c)
3C(1)(d)
3C(2)
4A
family, social, or other relationships
power of appointment
substantial financial interest
recusal and disqualification
other activities concerning the law, the legal system, and the administration of justice

A judge's spouse serves as a part time consultant to a professional who provides services in a juvenile program to the Court of Common Pleas of an adjoining county. The judge may invite the professional to present an education program to the juvenile program staff (which program the judge administers) and other judges of the court on which the judge sits.

However, to the extent that the presentation is for purposes of marketing the professional's services to the branch of the court that the judge administers or a part of it, Canons 2B, 3B(4), 3C(1)(c) and (d) suggest caution if a decision will inure to the benefit of the judge's spouse. Although not obligated to do so, the judge could exclude himself or herself from making such a decision. If the judge chose to participate in the decision, the judge should inform himself or herself of the spouse's financial interest in any such arrangement (see Canon 3C(2)) and disqualify himself or herself only if the spouse had a substantial financial interest in the matter or if the judge's impartiality might reasonably be questioned.

1/25/10
4A
5B(1)
other activities concerning the law, the legal system, and the administration of justice
engaged in proceedings that would ordinarily come before him

A judge may not serve on a feasibility study committee for a school district. Other members will be members of the school board, school administration and faculty. Serving on the committee is not an activity "concerning the law, the legal system, and the administration of justice." Therefore, Canon 4 does not apply. It is likely that the committee will be engaged in proceedings that are likely to come before the court.

1/27/10
4C
recommendations to public and private fund-granting agencies

A judge may write a letter that would be included in applications that a bar association would submit for foundation grants and charitable funding for legal services to the indigent. The judge's letter would be informative only, and explain the value to the administration of justice generally and to the courts specifically of providing legal services to the indigent. The letter would not directly or indirectly make a reference to a funding request.

2/1/10
4A
speak, write, lecture, teach

A judge may participate in discussing an idea for a new specialty court model and developing the model with elected and non-elected community leaders.

2/2a/10
5A
5B
social and recreational activities
civic and charitable activities

A judge may attend a local town hall meeting on disinvestment, reinvestment, and gentrification. The judge does not intend to offer any input, but intends to observe.

2/2b/10
5B
civic and charitable activities

A judge may serve on a committee that will review resumes for the position of executive director of a nonprofit organization and select four for the board to consider. The judge will not rank the candidates and will not have any input on the final selection.

2/5/10
5F
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
practice of law
lawyer who has been elected judge

A judge who was recently elevated to the bench may respond to a court notice for a case that the judge handled before becoming a judge by informing the court that the judge is no longer practicing law, that the notice should have been to someone else, and that the missent notice has a factual error.

2/11a/10
5F
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
practice of law
fees from former firm
lawyer who has been elected judge

A lawyer who has been elected judge may receive fees after the lawyer is sworn in as judge for work done before the lawyer is sworn in as judge. The fees must not be clearly excessive. Payment for work done on a contingency fee matter that was pending at the time the judge assumed the bench must reasonably reflect the amount of work the judge did on the case. Two approaches are generally accepted. The judge may estimate a fixed percentage at the time the case is transferred to successor counsel based on work already performed and estimated future services and enter into an agreement with successor counsel on that basis or the judge may allow successor counsel to make the pro rata determination at the conclusion of the matter. In either case the entire fee must be reasonable and the judge's portion must be determined on the basis of actual work actually performed before taking the bench. Fees collected after taking office should be reported on the Supreme Court of Pennsylvania statement of financial interest form.

2/11b/10
7A(1)(b)
publicly endorse a candidate

An elected official who is running for election may not be the judge's guest at a table purchased by the judge's spouse at an organization's banquet. It is obvious that the official's attendance is at least partially politically motivated. For the official to appear as the judge's guest would be at least an implied endorsement.

2/22/10
2B
prestige of office
recommendations
letters of reference

A judge may serve as a reference for a lawyer to enable Martindale Hubbell to assign a rating to the lawyer if the judge is familiar with the lawyer's work or if the lawyer has appeared before the judge and the judge is therefore able to comment on the lawyer's ability. Martindale Hubbell will send the judge a form to complete.

3/10/10
5A
7A(1)(b)
7A(1)(c)
7A(4)
social and recreational activities
publicly endorse a candidate
contribution to a political organization
political activity and political conduct
attend political gatherings

A judge may attend and purchase a table at a union's banquet at which the keynote speaker is an out of town union official. The banquet concerns the rights and dignities of all workers. Although the banquet does not involve endorsements being made or announced, candidates for elective public office may briefly speak. There is no indication that the event is a fundraiser or that its proceeds are to be applied to any political action committees or political activities. The judge's guests may not be announced candidates for office or re-election. If the price of the table or tickets is set to provide money for political action by the union, then the judge is not permitted to purchase a table or ticket because that would be a political contribution and that would also make the event a political fundraiser which the judge is not permitted to attend.

3/12/10
5A
7A(1)(c)
7A(4)
social and recreational activities
contribution to a political organization
political activity and political conduct
attend political gatherings

A judge may attend a union's banquet which will honor certain persons in the labor movement and a retiring union officer. Money from the dinner will go into the general fund and not the political action committee.

3/18/10
3B(3)
disciplinary measures

A lawyer has informed the inquiring judge who is not a president judge that a trial transcript does not accurately reflect certain statements by the presiding judge that the lawyer states indicate bias and an inability to fairly hear the case. According to the lawyer the court reporter stated that the presiding judge directed the court reporter to take out those statements because they were off the record. The lawyer has stated that he is filing a complaint with the Judicial Conduct Board. The inquiring judge has told the lawyer the rules of procedure for challenging the accuracy of a transcript. The inquiring judge is not required to take any other action. The inquiring judge is not aware of all of the facts and is not obligated to investigate. Investigation is a matter for the Judicial Conduct Board to perform. However, if the judge ascertained that the facts were as the lawyer has stated, the judge should report the matter to the Judicial Conduct Board, which has already occurred.

4/1a/10
2B
4A
5A
5C
6A
advance the private interests of others
speak, write, lecture, teach
financial activities
write, lecture, teach, and speak
compensation

A judge may not join a speaker's bureau which would create a website identifying the judge as a judge through which persons could directly contact the judge. A judge may give an occasional speech and receive reasonable compensation. However, in this matter the website which uses the judge's title would violate Canon 2B by lending the prestige of the judge's office to advance the private interests of others. There might be additional ethical considerations depending on the type or nature of the groups the judge would be addressing, but that information was not provided in the inquiry.

4/1b/10
4A
5A
7A(4)
speak, write, lecture, teach
write, lecture, teach, and speak
political activity and political conduct

A judge may not add the judge's name to a letter that will also be signed by others and sent to the news media. The letter criticizes both political parties' elected officials; expresses a preference for a particular economic policy; and calls for new leaders. The phrase "political activity" in the Code of Judicial Conduct is not limited to partisan political activity. "Political" refers to the making of government policy. A judge may not engage in public political activity except as to activities concerning the law, the legal system, and the administration of justice. For example, a judge is permitted to make a public presentation or otherwise publicly support issues or measures including those that increase or reduce taxes only to the extent that they impact on the court (build or make repairs to a courthouse or jail) or the manner or method by which judges are selected, paid, or organized, but not for other governmental services (libraries, roads) or activities.

4/1c/10
2B
advance the private interests of others

A judge is permitted to provide information about housing opportunities to the judge's law clerk who will be moving to the area. The judge's spouse may assist the law clerk in finding an apartment, but the spouse may not use the prestige of the judge's office to advance any financial interest of third parties.

4/8/10
3C(1)(a)
recusal and disqualification

A judge has knowledge that a lawyer committed an illegal act regarding evidence in the lawyer's client's case and that act will be relevant in a hearing on the client's case that is scheduled before the judge and the lawyer will be representing the client. The lawyer has been reported to the Disciplinary Board. The judge is disqualified from presiding over the case. Canon 3C(1)(a).

4/12a/10
5F
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
practice of law
fees from former firm
lawyer who has been elected judge

A lawyer who has been elected judge may receive fees after the lawyer is sworn in as judge for work done before the lawyer is sworn in as judge. The judge may bill for past work at the appropriate rate and may collect that fee even after assuming office. Two approaches are possible for contingency fees. The judge may estimate a percentage at the time the case is transferred to successor counsel and enter into an agreement with successor counsel on that basis or the judge may allow successor counsel to make the pro rata determination at the conclusion of the matter. In either case the entire fee must be reasonable and the judge's portion must be determined on the basis of actual work actually performed before taking the bench. Fees collected after taking office should be reported on the Supreme Court of Pennsylvania statement of financial interest form.

4/12b/10
1
3A(6)
4A
integrity and independence
public comment
speak, write, lecture, teach

A judge requests an ethics opinion about the judge's comments in a proposed newspaper article written by a local newspaper reporter. Because the article is the work product of a newspaper reporter, it is not a matter for review by the Judicial Ethics Committee. Although there are quotation marks around certain words, it is uncertain whether the reporter quoted the judge verbatim, therefore, this response cannot comment on those quotations. Regarding speaking or making public comment Canons 1, 3A(6), and 4A address any public comments a judge makes. Comments concerning the legal system, the administration of justice, and court procedures are controlled by Canon 3A(6) and promote the public's understanding of the legal system.

4/13/10
3C
recusal and disqualification

The inquiring judge presided over a criminal jury trial. After conviction, another judge permitted defense trial counsel to withdraw and appointed a new lawyer. After the inquiring judge sentenced the defendant, the new defense counsel filed post sentence motions challenging the effectiveness of trial counsel. The inquiring judge scheduled an argument/hearing on that issue to determine whether the issue should be handled on direct appeal or as a motion for post conviction collateral relief. Before the hearing the defendant informed the inquiring judge that the defendant had filed a complaint against the judge with the Judicial Conduct Board alleging that the judge had permitted the judge's staff to have certain interactions with the jury. The judge states that this is not true. The judge asks whether recusal is required. The judge states that the judge can be fair and impartial and that there is no challenge to the judge's handling of the case other than the allegations about the staff. The appellate courts have recognized that a party should not be able to judge shop by simply filing an ethics complaint against a judge. Considering whether to recuse requires a two step process. In the first step, the judge must subjectively determine whether the judge can handle the case in a fair and impartial manner. The inquiring judge has decided that the judge can do so. In the second step, the judge must objectively determine whether the judge's impartiality might reasonably be questioned by a significant minority of the lay community under the facts. The first step is subjective, the second step is objective. The issue of recusal may also involve federal due process. Caperton v. A.T. Massey Coal Co., Inc., 129 S.Ct. 2252 (2009). The due process issue arises when "the probability of actual bias . . . is too high to be constitutionally tolerable." The first and second steps and the due process questions are to be decided by the inquiring judge, not by the Judicial Ethics Committee. The inquiring judge will be given the Judicial Ethics Committee's Addendum on Recusal.

4/14a/10
5B
5B(2)
civic and charitable activities
solicit funds and fundraising
prestige of office
guest of honor
attend

A judge may not be a speaker at an out of state fundraising event of a nonprofit. However, the judge may attend the event.

4/14b/10
3C
Canon 3C(1)(d)(ii)
Canon 3C(1)(d)(ii) note
Canon 3C(1)(d)(iii)
recusal and disqualification

A judge's child is a law student and will serve as an intern for a law firm that handles criminal and civil cases. The judge is assigned to hear criminal cases. Under Canon 3C a judge must disqualify himself or herself if the judge's impartiality might be reasonably questioned. Canon 3C also specifies particular situations in which disqualification is required. Under Canon 3C(1)(d)(ii) and (iii) a judge must disqualify if the judge's child "is acting as a lawyer in the proceeding" or "is known by the judge to have an interest that could be substantially affected by the outcome of the proceeding." The Note to Canon 3C(1)(d)(ii) states the "fact that a lawyer in a proceeding is affiliated with a law firm with which a lawyer-relative of the judge is affiliated does not of itself disqualify the judge." The judge's child is not a lawyer and will not be acting as a lawyer in any proceeding. Even if the child was a lawyer, that fact would not in and of itself require the judge to be disqualified from hearing cases of the law firm. The judge would be required to disqualify if the judge learned that the child's interest could be affected by the outcome of a case. More generally the judge must determine whether the child's involvement with the law firm might reasonably cause the judge's impartiality to be questioned. To limit any appearance of impropriety the judge should disclose the relationship in any case involving the firm. Disqualification or recusal is a mixed question of law and ethics and often depends on the particular circumstances. The Judicial Ethics Committee generally does not advise an inquiring judge whether to recuse, but has prepared an Addendum on Recusal for a judge to consider.

4/16a/10
2B
5C
advance the private interests of others
financial activities

A judge who is a board member of a homeowners' association and is the only member of the board who has knowledge of the facts (because of changes in the membership of the board ) may sign a verification to a civil complaint.

4/16b/10
5B(2)
civic and charitable activities
attend

A judge may attend a banquet that is a fundraising event for a nonprofit and is not a political event. The judge's relative is one of several politicians and private citizens who will be honored.

4/20/10
2B
5A
5B(1)
5B(2)
advance the private interests of others
dignity of office
interfere with the performance of his judicial duties
engaged in proceedings that would ordinarily come before him
solicit funds and fundraising
prestige of office

A judge is being solicited to be a sponsor. It is unclear whether the organization is for profit or nonprofit. If the organization is nonprofit, the judge may contribute. However, in the solicitation the judge is invited to advertise and set up displays. It is possible that this could be interpreted to allow the organization to use the judge's name to solicit funds which is banned by Canon 5B(2). It would also be inappropriate for the organization to advertise in advance that the judge is a sponsor or would be attending.

On the other hand, if the organization is for profit, then the judge may invest if the nature of the business does not detract from the dignity of the judge's office or interfere with the performance of the judge's judicial duties and the business will not be engaged in proceedings that would ordinarily come before the judge. The business would not be permitted to use the judge's name to encourage others to invest or advertise.

4/22a/10
1
2A
5B
integrity and independence
integrity and impartiality
reflect adversely upon their impartiality

The Code of Judicial Conduct does not prohibit a judge from merely attending a conference of a police association of a certain ethnic group. However, if the judge presides over criminal cases, the judge should consider the effect of Canons 1, 2, and 5B which address issues of integrity, independence, and impartiality in fact and appearance.

4/22b/10
1
2A
2B
3A(6)
integrity and independence
integrity and impartiality
advance the private interests of others

Under the circumstances a judge may not donate money to a trust fund established to assist a friend in defending against pending criminal charges. The fund plans to publish the names of donors and a newspaper article has stated that the trust fund's solicitation letter states that the friend has been wrongly accused and that financial support is an indication of that belief. The publication of the judge's name could create the appearance with a substantial minority of the public that the judge is trying to influence the judge presiding over the case. Given the statement in the solicitation letter, a donation could be viewed as a statement by the judge of the friend's character and a comment on the pending case.

4/27a/10
7A (1)(c)
7A (2)
purchase tickets
attend political gatherings
speak
campaign conduct and political activity
candidate for election

If a judge who intends to seek election in 2011 announces his candidacy, the judge may attend political gatherings, purchase tickets, and speak in support of his candidacy.

4/27b/10
5B(2)
civic and charitable activities
solicit funds and fundraising
prestige of office
guest of honor
attend

A judge may serve on the panel of and judge a beauty pageant. However, the organization cannot promote the judge's participation to raise funds or induce persons to attend.

4/28/10
4
4A
decide impartially
other activities concerning the law, the legal system, and the administration of justice

A judge may attend a continuing legal education program conducted by a criminal defense organization. That the program has been approved for continuing legal education credit, is open to the general bar, and will be held in a public forum militates against any suggestion that the judge's attendance will compromise the judge's impartiality. The program is free to judges, but others must pay.

5/3a/10
4A
4C
other activities concerning the law, the legal system, and the administration of justice
personally participate in public fund raising activities

A judge may participate with other community leaders in researching, developing, and formulating a nonprofit corporation whose purpose would be to develop a specialty court, in donating money to that endeavor, and in serving on the board of the nonprofit corporation. However, the judge cannot personally participate in public fund raising activities.

5/3b/10
2
2A
2B
Reliance on Advisory Opinions
appearance of impropriety
integrity and impartiality
prestige of office
advance the private interests of others
character witness

A judge who is a party to a lawsuit may testify about facts concerning a transaction involving the judge and the other party's employees. The judge is the person who had the contact with the other party's employees.

Because the judge is a necessary fact witness, Canon 2 does not preclude the judge from testifying. The Pennsylvania Code of Judicial Conduct, Reliance on Advisory Opinions, provides in part although opinions of the Judicial Ethics Committee "are not per se binding upon the Judicial Conduct Board, the Court of Judicial Discipline or the Supreme Court of Pennsylvania, action taken in reliance thereupon and pursuant thereto shall be taken into account in determining whether discipline should be recommended or imposed."

5/4a/10
5B(1)
5F
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
engaged in proceedings that would ordinarily come before him
regularly engaged in adversary proceedings in any court
practice of law

A judge cannot provide intake and legal assistance services in specific substantive areas of the law to actual or prospective clients of a community legal clinic.

5/4b/10
4
5B
decide impartially
civic and charitable activities
reflect adversely upon his impartiality

A judge cannot appear in a photograph as part of a truancy poster project. Although the project's goals include discouraging truancy, rewarding students' achievement and encouraging students to aim higher, the goals also include enforcement of the truancy laws. The enforcement involves prosecution under the Pennsylvania Crimes Code which may result in such proceedings before the judge or the judge's court. If the judge appeared in the photograph, it might reflect adversely upon the judge's impartiality in the prosecution of a merchant for aiding. abetting, or encouraging a minor to commit truancy in violation of 18 Pa.C.S, section 6301 when the judge has taken a public role in campaigning against such conduct.

5/4c/10
2B
7A(1)(b)
prestige of office
recommendations
letters of reference
publicly endorse a candidate

A judge cannot write a recommendation letter to United States senators in support of a lawyer for appointment to a federal judgeship.

5/4d/10
4A
4C
other activities concerning the law, the legal system, and the administration of justice
personally participate in public fund raising activities

A judge may participate with other community leaders in researching, developing, and formulating a nonprofit corporation whose purpose would be to develop a specialty court, in donating money to that endeavor, and in serving on the board of the nonprofit corporation. However, the judge cannot personally participate in public fund raising activities.

5/6/10
1
2A
3
3C(1)(a)
4C
5G
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
integrity and independence
integrity and impartiality
precedence over all his other activities
personal knowledge
recusal and disqualification
governmental agency
governmental commission

A judge may not serve on a team of a courts/reentry program created by the Pennsylvania Board of Probation and Parole (Board). The purpose of the program is to reduce crime and assist offenders in making a successful reentry into their communities. The program is designed for parolees determined by the Board to be more serious offenders who require more intensive supervision than other parolees. The Board determines which of their parolees must attend and participate in the program. The parolee is brought before a team of one or more persons. All of the decisions of the team would be made by the nonjudge team members. Some of the parolees may have been sentenced by the judge on the team. There are no lawyers or court stenographers present, the participating parolee has no counsel and the proceedings are not of record. The only time a parolee would re-appear before the original sentencing judge is if there is a consecutive sentence of probation and the Board alleged a probation violation. In that situation a hearing would be held before the judge, presumably on the record, with the parolee, his/her counsel, and a state parole officer present.

Canon 4C permits a judge to serve on a "governmental agency devoted to the improvement of the law, the legal system, or the administration of justice." However, under Canon 5G "Judges should not accept appointment to a governmental committee, commission, or other position that is concerned with issues of fact or policy on matters other than the improvement of the law, the legal system, or the administration of justice." The program does not appear to meet the requirements of Canon 5G. Judges who are proposed to participate in the program would not be merely making recommendations on how to improve the parole system, but rather would be involved in the actual supervision of parolees, including potentially dealing with fact issues specific to a parolee's case.

Canon 3C(1)(a) requires a judge to recuse when the judge has personal knowledge of disputed evidentiary facts. This would be the case if a parolee who appeared before the judge while participating in the program would appear before the judge again. Canon 3 requires that the "judicial duties of judges take precedence over all their other activities." This means judges should not put themselves in the position of inviting disqualification or undermining the independence and impartiality of the judiciary.

If a judge would monitor and enforce a parolee's activities as proposed, the judge would be departing from the judge's adjudicative functions and would be discharging the duties of the executive branch of government and thereby be undermining the independence and impartiality of the judiciary in violation of Canon 2A.

5/7/10
prestige of office
advance the private interests of others
special position to influence him

A judge may attend a charity concert held at a public venue open to the public. The judge's spouse is a lawyer whose firm has purchased the tickets for the judge and the judge's spouse. The judge's spouse has made a contribution to the charity. The judge will be sitting with the other lawyers of the law firm and their spouses and will not be sitting with the law firm's clients. The fair value of the ticket should be reported on the Supreme Court of Pennsylvania statement of financial interest form. It is not clear whether the judge may attend the after concert party. If the purpose of the party is to entertain the law firm's clients and the party is exclusively for the law firm and its invited guests, then the judge cannot attend.

5/10/10
1
2
2A
2B
integrity and independence
integrity and impartiality
appearance of impropriety
prestige of office
gifts

At the conclusion of its services a jury left a small statue in the jury room intending it to be given to the presiding judge. In the judge's instructions to the jury the judge had referred to the mythical person associated with the law who is depicted in the statue. However, the judge is not comfortable in keeping the statue. Because the jury has already dispersed, it is appropriate and not unethical for the judge to donate the statue to the court system by leaving it in the courtroom or placing it in the court law library.

5/12/10
3C
recusal and disqualification

A judge and the judge's spouse owns a vacation property. For the past few years the property is rented part of the time to a lawyer. The lawyer will be appearing before the judge in an upcoming case. The judge asks whether recusal is required. Considering whether to recuse requires a two step process. In the first step, the judge must subjectively determine whether the judge can handle the case in a fair and impartial manner. The inquiring judge has decided that the judge can do so. In the second step, the judge must objectively determine whether the judge's impartiality might reasonably be questioned by a significant minority of the lay community under the facts. The first step is subjective, the second step is objective. The issue of recusal may also involve federal due process. Caperton v. A.T. Massey Coal Co., Inc., 129 S.Ct. 2252 (2009). The due process issue arises when "the probability of actual bias . . . is too high to be constitutionally tolerable." The first and second steps and the due process questions are to be decided by the inquiring judge, not by the Judicial Ethics Committee. The inquiring judge will be given the Judicial Ethics Committee's Addendum on Recusal.

5/20/10
5B
5B(2)
civic and charitable activities
solicit funds and fundraising
prestige of office
guest of honor
attend

A judge may attend a fundraising event for a nonprofit and buy a ticket to attend. A judge may not challenge select guests to inspire the nonprofit's donors.

6/15/10
2B
5B(2)
prestige of office
advance the private interests of others
solicit funds and fundraising

A judge may not arrange for the free use of judicial facilities by a teacher who wishes to teach a subject to judicial interns and judges for a fee and may not solicit students for such a teacher.

6/17a/10
5F
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
practice of law
fees from former firm

A judge may receive a commission from the judge's former law firm for generating a personal injury matter while the judge was a lawyer pursuant to a law firm partnership agreement that provided for the payment of a commission to be paid to the generating attorney at the conclusion of the case and upon receipt of funds. If the agreement was entered into before any consideration that the judge would become a judge, the agreement establishes the fact and basis upon which the commission would be determined, and the commission would be payable to the judge regardless of the reason for leaving the firm, then the judge may accept it. On the other hand if these assumptions are not correct, the situation is akin to receiving payment for work on a contingency matter that was pending at the time the judge assumed the bench, and, in that case, the concern would be that the judge would be receiving compensation from a law firm disproportionate to the work the judge performed. In that case the division of fees must reasonably reflect the amount of work the judge did on the case. Two approaches are generally accepted. The judge may estimate a fixed percentage at the time the case is transferred to successor counsel based on work already performed and estimated future services and enter into an agreement with successor counsel on that basis or the judge may allow successor counsel to make the pro rata determination at the conclusion of the matter. In either case the entire fee must be reasonable and the judge's portion must be determined on the basis of actual work actually performed before taking the bench. Fees collected after taking office should be reported on the Supreme Court of Pennsylvania statement of financial interest form.

6/17b/10
Canon 2A
Canon 3B (3)
comply with the law
integrity and impartiality
disciplinary measures

A judge asks what ethical obligations apply if a judge has reason to believe that a person has submitted false information on a tax return or if a judge has reason to believe that a person is undocumented or otherwise in the country illegally. The Ethics Committee Formal Opinion 99-2 addresses the tax return situation and the same rationale applies to the immigration situation. Any decision as to whether to report should be made by the judge on a case by case basis.

7/1/10
3A(6)
5B
5B(1)
public comment
civic and charitable activities
reflect adversely on his impartiality
regularly engaged in adversary proceedings in any court

A judge may wish to consider whether to continue to serve on the board of directors of a nonprofit that has begun to publish positions on legal issues affecting its constituency community. These positions include commenting about a case that is pending before a court on which the judge does not serve. It also seems that the nonprofit is heading in the direction of taking positions on controversial legal issues.

7/7/10
3B(2)
5B(2)
administrative responsibilities
staff and court officials
civic and charitable activities
solicit funds and fundraising
prestige of office

A judge asks whether the judge's name may appear on a flier soliciting funds for school supplies for homeless children. It may not. The judge asks whether the courthouse can be used as a drop off facility. The courthouse is a public building owned by the local government. The organizers are free to make whatever arrangements they can make with the local government. However, any judge, judicial staff, or "court system" may not be involved in the solicitation and collection.

7/16a/10
5F
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
practice of law
fees

A judge may accept a referral fee calculated on a stated percentage of the gross lawyers' fees. The referral fee agreement was negotiated and entered into before the judge became a judge. Under the agreement the fee was due at the conclusion of the case which occurred after the judge became a judge. Fees collected after taking office should be reported on the Supreme Court of Pennsylvania statement of financial interest form.

7/16b/10
2
2B
3B(4)
3C(1)(d)(iv)
appearance of impropriety
family, social, or other relationships
power of appointment
material witness
recusal and disqualification

As part of a judge's administrative duties the judge determined from the response to a published request for proposals that a private entity that had been providing services to the court system for years was qualified to continue to do so and the judge recommended that the government have the work done either by government employees or by the private entity. Subsequently while a contract was being negotiated with the private entity, the judge became aware that the judge's sibling was seeking employment with the private entity. Because of the judge's sibling's pending employment application, the judge may not continue to participate in the matter. There would be an appearance of impropriety and conflict of interest.

7/19/10
2A
4A
5A
5B
integrity and impartiality
speak, write, lecture, teach
write, lecture, teach, and speak
civic and charitable activities
reflect adversely upon his impartiality

A judge attending a public community forum regarding the formation of a new model of a community court may express the judge's views of the advantages and disadvantages of the new community court model; may express the judge's views of the existing community court models; and may take a public position of the judge's personal feelings of the new community court model and state the reasons for that position if doing the foregoing does not undermine the public's confidence in whatever model of community court is ultimately adopted and does not undermine the judge's impartiality.

7/21/10
3C
impartiality might reasonably be questioned
recusal and disqualification

A judge who has been assigned to a family court matter has had dealings with one of the parties to the matter. The party serves as one of several part time hearing officers/masters and the judge oversees such matters and it is assumed that the party has appeared as a lawyer before the judge. Recusal or disqualification is a mixed question of law and ethics and often depends on the particular circumstances in a given proceeding. Although the Ethics Committee does not generally advise the inquiring judge whether to recuse, given the inquiring judge's apparent belief that the judge's impartiality might reasonably be questioned, together with the part time hearing officer/master's status as a county employee in a court related function, and the reasonable inference that the judge has had professional contact with the part time hearing officer/master in the capacity of a lawyer and in the discharge of the part time hearing officer/master's duties as part time hearing officer/master, the judge may wish to seriously consider disqualification under these circumstances. The Ethics Committee's Addendum on Recusal is provided to the inquiring judge.
The judge also inquires whether the other judges on the court must recuse. The Ethics Committee cannot give advice to a non-inquiring judge. However, if this matter does arise, the part time hearing officer/master appears to be an adjunct to a judicial process involving the entire court and as might reasonably be inferred, the part time hearing officer/master is engaged in the regular practice of law in front of all judges of the court, all factors that a judge might seriously consider in weighing the need for recusal.

7/26/10
5B(2)
civic and charitable activities
attend

A judge may attend a nonprofit community development organization's event.

7/27/10
2A
2B
appearance of impropriety
prestige of office
recommendations
letters of reference
character witness
witness

A judge may write a letter to a tribunal setting forth the judge's personal knowledge of a person that is a member of the judge's extended family and that the judge represented as a lawyer before the judge became a judge. The tribunal customarily receives evidence by letter instead of live testimony. The lawyer for the person stated that there is not sufficient time to serve a subpoena on the judge. Because the evidence is customarily submitted by letter, the tribunal might perceive that the judge would be trying to use the prestige of the judge's office if the judge appeared as a witness. The judge may use judicial stationery because it identifies who the judge is, including the judge's occupation, and answers the question which is asked virtually of all witnesses to a proceeding.

7/29/10
4C
member, officer, or director

A judge may serve on a joint state government commission studying the criminal justice system of a county.

7/30/10
4C
5B(2)
recommendations to public and private fund-granting agencies
civic and charitable activities
solicit funds and fundraising
prestige of office
guest of honor

A judge may write a letter of support for an organization to be included in the organization's application for a grant from a private foundation if the project or program concerns the law, the legal system, or the administration of justice. A judge may not serve as a chef in a one chef against another chef competition at a nonprofit's fund raising event.

8/2/10
2B
7A(4)
prestige of office
recommendations
letters of reference
political activity and political conduct

A judge may not write a letter of reference in support of a police officer's application to become chief of police because that would be engaging in political activity. The judge has known the police officer for many years.

8/8/10
3A(7)(a)
3A(7)(d)
perpetuation of a record
prior objection

In a mixed nonjury and jury trial, a judge has the discretion to permit a party to videotape witnesses' trial testimony for use during closing argument even though a party objects. Because the videotape will only be used at trial and is not for publication to the media or reproduction for the general public, the videotape is permitted under Canon 3A(7)(a) and the objection under Canon 3A(7)(d) does not apply.

8/10/10
5B(2)
civic and charitable activities
solicit funds and fundraising
prestige of office
speaker
attend

A judge may not be a speaker at an event to raise funds for a nonprofit. The inquiring judge states that the judge would probably be listed as a speaker. The judge may attend the event and contribute to the nonprofit.

8/11/10
7A (2)
7B (2)
solicit funds
campaign funds and campaign contributions
campaign conduct and political activity
candidate for election

A judge who has declared as a candidate for the May, 2011 primary may form a campaign committee, hire consultants, and pay the consultants from the judge's own funds. However, there can be no fundraising until the time specified in Canon 7B(2) and after that time the judge cannot personally solicit or accept campaign funds, but a campaign committee can do so.

8/16/10
5B
5B(1)
5B(2)
5B(3)
civic and charitable activities
reflect adversely upon his impartiality
interfere with the performance of judicial duties
engaged in proceedings that would ordinarily come before him
regularly engaged in adversary proceedings in any court
solicit funds and fundraising
prestige of office
speaker
guest of honor
attend
investment advice

A judge may serve on the board of a charter school. Judges may participate in civic and charitable activities that do not reflect adversely upon their impartiality or interfere with the performance of their judicial duties.

Judges should not serve if it is likely that the organization will be engaged in proceedings that would ordinarily come before them or will be regularly engaged in adversary proceedings in any court. Judges should not solicit funds for the organization or use or permit the use of the prestige of their office for that purpose, but they may be listed as an officer, director, or trustee of such an organization. They should not be a speaker or the guest of honor at an organization's fund raising events, but they may attend such events.

Judges should not give investment advice to such an organization, but they may serve on its board of directors or trustees even though it has the responsibility for approving investment decisions.

8/19/10
2B
prestige of office
advance the private interests of others
character witness
recommendations
letters of reference

A judge asks whether the judge may write a letter about a former client concerning facts surrounding his removal from active duty as a law enforcement officer. It is possible that there could be future litigation surrounding his removal. If the content of the letter involves the judge's previous representation and the judge alone has knowledge of the pertinent facts, the judge may write the letter and use judicial stationery. However, if the letter is in the nature of a recommendation and does not involve facts pertaining to the previous representation, the judge may not. If the judge does not have personal factual knowledge, the judge should not become involved in a matter that is headed for litigation. The Committee's formal opinion 98-1 regarding letters of recommendation is provided to the inquirer.

8/23/10
5A
5B
5B(2)
7A(1)(b)
7A(4)
write, lecture, teach, and speak
civic and charitable activities
reflect adversely upon his impartiality
interfere with the performance of judicial duties solicit funds and fundraising
prestige of office
speaker
publicly endorse a candidate
political activity and political conduct

A judge may attend a public meeting of a municipal council and speak in support of the erection of a monument to a retiring state elected official. Simply attending and speaking at the meeting does not reflect adversely upon the judge's impartiality or interfere with the performance of judicial duties. Although the state elected official is supporting the election of his successor, that does not mean that the judge is participating in those activities or endorsing them. The judge would simply be supporting the erection of a monument. However, if the judge does attend and speak in favor of erecting the monument, the judge should ensure that the judge's comments cannot be reasonably construed as endorsing the political activities of the state elected official or as soliciting funds for the monument.

8/26/10
2A
2B
integrity and impartiality
prestige of his office
advance the private interests of others
convey the impression that they are in a special position to influence the judge

A nonprofit organization that provides pro bono legal services is sponsoring an event at a private law firm.

The event is open to all members of the bar and is intended to encourage pro bono work. The title of the event indicates that judges will be the featured attendees. Because the event will be held at a private law firm a judge may not attend.

Publicizing judges' attendance would advance the private interest of the law firm. The law firm could showcase the judges to clients or prospective clients which would advance the private interest of the law firm, convey the impression that the law firm is in a special position to influence the judges, and undermine the public confidence in the integrity and impartiality of the judiciary.

9/13/10
4A
7A(1)(c)
7A(4)
other activities concerning the law, the legal system, and the administration of justice
attend political gatherings
political activity and political conduct

A judge may administer the oath of office to elected ward leaders and other officials at a ward meeting, but should leave promptly after administering the oath.

9/27/10
5C
5C(1)
5C(2)
5C note
financial activities
involve him in frequent transactions with lawyers or persons likely to come before the court on which they serve
Pennsylvania Race Horse Development and Gaming Act

A judge is prohibited from investing in the stock of a Pennsylvania casino. See Canon 5C, note.

10/15/10
3C
Canon 3C(1)(d)(ii)
recusal and disqualification
acting as a lawyer

A judge is not required to recuse in sentencing a person over whose trial the judge presided. After the trial was over, but before sentencing, the judge's spouse began working part time for the district attorney's office. The judge disclosed that fact to the parties. The defendant requested recusal. The spouse does not work in the unit that prosecutes the type of crime that was involved in the trial. The spouse may consult on investigations of closed "cold" case files that may eventually be prosecuted by the unit involved in the instant case.

Under Canon 3C(1)(d)(ii) the judge would be required to disqualify in a case that the judge's spouse personally prosecutes or investigates. However, that is not likely to occur because the spouse is a part time employee. Considering whether to recuse requires a two step process. In the first step, the judge must subjectively determine whether the judge can handle the case in a fair and impartial manner. The inquiring judge has decided that the judge can do so.

In the second step, the judge must objectively determine whether the judge's impartiality might reasonably be questioned by a significant minority of the lay community under the facts. The first step is subjective, the second step is objective. The issue of recusal may also involve federal due process. Caperton v. A.T. Massey Coal Co., Inc., 129 S.Ct. 2252 (2009). The due process issue arises when "the probability of actual bias . . . is too high to be constitutionally tolerable."

The first and second steps and the due process questions are to be decided by the inquiring judge, not by the Judicial Ethics Committee. The inquiring judge will be given the Judicial Ethics Committee's Addendum on Recusal.

10/21a/2010
5B(2)

A judge may not ask other judges to contribute to a fund of a bar association to commission a portrait of a retired judge.

10/21b/2010
2A
5B
integrity and impartiality
reflect adversely upon his impartiality

A judge may not attend fundraising events of an advocacy organization that provides a person to accompany a party to court in the type of cases that the judge hears.

10/29/2010
5C

Whether a new judge may keep his or her retirement account at the judge's former law firm depends on a number of factors. If any lawyer of the former law firm will regularly appear the judge and thus require frequent disqualification, then the judge should remove the retirement account. If frequent disqualification is not an issue, then the judge should considering creating a subaccount within the firm's account in which the judge pays the judge's management fees and into which the firm makes no further contributions. If this is not possible, the judge should consider withdrawing the judge's account. To the extent that investment decisions are no longer made by the trustee, but are made by members of the former law firm, the judge should withdraw the judge's account. If the judge decides that it is prudent to withdraw the account, the Code of Judicial Conduct permits the judge to maintain the account for a reasonable time to avoid serious financial detriment.
The judge is permitted to receive installments for the agreed upon value of the judge's interest in the law practice including fees earned before the judge took the oath of office. It is advisable to maintain minimal contact with members of the firm and to keep the payout short. It is permissible for the firm to sign a promissory note for the deferred payments.
The judge is disqualified from any matters in which the judge has agreed to receive fees and in any litigation in any way related to former representation of a client. The judge must be sure that the judge's appearance is withdrawn and may not allow the prestige of the judge's office to be used to advance the private interest of a client or the lawyer who has purchased the judge's practice.

10/29/2010
2B
character witness
fact witness

A judge may testify as a fact witness at a Pennsylvania Board Law Examiners Fitness Committee hearing for a former judicial intern and answer questions of a factual nature such as when the person worked for the judge, whether the person completed assignments timely, and whether the person grasped legal issues, etc. all of which are within the judge's personal knowledge. The judge may not voluntarily testify as a character witness.

11/1/2010
2
appearance of impropriety

A judge may attend a meeting of a bar association committee at the offices of an advocacy group that provides a person to accompany a party into court because all members of the bar association are invited to attend. However, because there may be the appearance of impropriety and the judge may see or learn something about one of the group's clients that may cause recusal, the judge should not want to attend meetings there on a regular basis. If the judge is concerned about this, the judge may wish to meet other committee members ahead of time and go to the meeting together. The inquiry did not state anything about the issues on the agenda so the responding judge is not able to comment whether such issues may raise ethical concerns.

11/4/2010
2B
prestige of office

A judge may accept a prize that the judge won in a business card drawing. The vendor may not use the judge's name or office in any advertisement or promotional campaign and the judge should report the prize on the financial disclosure statement.

11/16/2010
2B
5B (2)

A judge's child, who has the same first and last name as the judge, but who has a different middle name, may participate in a required high school project with another classmate even though the project involves fund raising. That the child is a high school student participating with another classmate should by its context be clear to all that it is a high school project and should not confuse the child with the judge. The child is an independent person with the right to pursue personal interests and the similarity of names does not impose a limitation on the independence. However, no one should do anything to create confusion or indicate in any way that the judge is conducting the fund raising.

11/30a/2010
2A
3C
recusal and disqualification
integrity and impartiality

A judge may not serve as a voting appointed member of the board of a bar association because the judge would be required to take public positions on partisan political matters, controversial issues, and matters that might come before the court. If the judge chose to be a nonvoting member, the judge would be disenfranchising the section of the bar association that appointed the judge to the board and that section is composed of many lawyers who appear before the judge.

11/30b/2010
political activity

A judge may attend a swearing in ceremony for a member of the legislature.

11/30c/2010
7A(1)(c)
make a contribution to a political organization or candidate

A judge asks whether the judge's spouse may contribute to causes and political campaigns if the spouse uses an account in the spouse's name alone. Yes.

11/30d/2010
3A (6)
4A

A judge may write a law review article about the constitutionality of a law if in doing so the judge does not cast doubt on the judge's impartiality and if the constitutionality of the law is not the subject of litigation or if the judge does not know it will be. If the judge may write the article, the judge may discuss the constitutional issues, but may not express an opinion on the constitutionality of the law.

12/3a/2010
5B
5B(2)
fundraising

A judge may swear in the board of a civic organization that receives government funding if the event is not a fundraiser at which the judge's attendance is being highlighted and if the organization does not regularly appear before the judge.

12/3b/2010
5B(2)
fundraising

A judge may not be a member of an honorary committee for a fund raising event because committee members' names will appear on the fundraising materials.

12/3c/2010
3B (3)
recusal and disqualification

A judge who has heard three cases involving a business has received an anonymous letter setting forth in detail alleged improper and criminal conduct of the business. The judge is advised to provide a copy of the letter to the lawyers for the parties of the cases (and pro se parties, if any). One of the parties is the state Attorney General. If anyone requests that the judge recuse, the judge should apply the two part analysis that the Ethics Committee recommends for recusal. The judge, who has no personal knowledge of the allegations, is not required to send the letter to the prosecution authorities. (Because the Attorney General is a party, the Attorney General will receive the letter as a party). However, if the judge chooses to send the letter to the prosecution authorities, then the judge must disqualify himself from participating in the cases as being the cause of a criminal investigation of a party before the judge.

12/16/2010
campaigning
time for campaign fund raising

A lawyer who is a candidate for judge may use the lawyer's own money to buy an advertisement, buttons, and stickers to campaign for judge at any time. However, the time a judicial campaign committee may solicit or accept money is specified in Canon 7B (2).

12/20/2010
5B(1)
board membership

A judge may be a member of a nonprofit organization pertaining to the performing arts. Judges may serve on nonprofit boards if such service will not reflect adversely upon their impartiality or interfere with the performance of their judicial duties. Judges should not serve if it is likely that the organization will be engaged in proceedings that would ordinarily come before them or will be regularly engaged in adversary proceedings in any court. Judges may not be involved in the solicitation of funds.

12/30/2010
Compliance with the Code of Judicial Conduct

Under the following circumstances a custody conference officer is not subject to the Pennsylvania Code of Judicial Conduct. The conference officer meets with the parties (and their lawyers if they have lawyers), they state their cases, if no agreement is reached, the officer makes a recommended order and sends the recommended order to the assigned judge and either a follow up conference or a custody hearing is scheduled. No court reporter is present and none of the information given or received can be disclosed at the custody hearing before the judge. It is recommended that the custody conference officer be familiar with Rules of Professional Conduct 1.10(g), 1.12, and 3.3. The inquirer asks whether the inquirer may practice family law in the county in which the inquirer will be serving as a custody conference officer. It is recommended that the inquirer ask the president judge about this issue. If the inquirer will be an employee, the inquirer should review the Code of Conduct for Employees issued by the Chief Justice in September, 2010.

1/4/2011
family and spouse
campaign contribution
appearance of allowing the judge's family, social, or other relationships to influence the judge's judicial conduct or judgment 2B
recusal and disqualification

A judge's spouse who has a bank account that does not include the judge's name may make a campaign contribution from that account if the spouse does not use the judge's name in making the contribution. The spouse may serve as a member of the district attorney candidate's campaign, but the judge should request that the judge's name and position as a judge not be used by the spouse, the candidate, or the campaign committee. If the candidate appears before the judge or is elected district attorney, the judge is urged to review Pennsylvania Code of Judicial Conduct Canon 2B, to assure there is no appearance of allowing the judge's family, social, or other relationships to influence the judge's judicial conduct or judgment, and Canon 3C(1)(c) to determine whether disqualification may be applicable. Recusal may also be applicable if a significant minority of the lay community would believe that the judge could not be fair and impartial.

1/5/2011
2B
3C
prestige of office
recusal and disqualification

A lawyer has made a donation to a bar association foundation in the name of a judge. The judge informed the lawyer that the judge thought the donation was inappropriate and repeatedly indicated to the lawyer that the judge thought the donation would be inappropriate. The Ethics Committee is concerned with the conduct of judges, not with the conduct of lawyers. Therefore the Ethics Committee will not comment on the lawyer's actions.
The judge should consider whether Canon 2B or 3C applies. The judge's name may not be used in any publications to solicit others. Accordingly the judge should request that the foundation not use the judge's name in any solicitations by the bar.
If the lawyer appears before the judge, the judge should determine whether a significant minority of individuals would conclude that the lawyer is in a special position to influence the judge. The judge should also consider disclosing that the lawyer has made a donation in the judge's name and state whether the judge believes that the judge can be fair and not biased against opposing counsel.

1/6a/2011
recusal and disqualification because of former law firm

There is no set time period during which a judge must recuse from hearing matters handled by lawyers from the firm for which the judge served in an "of counsel" capacity.
Recusal is a mixed question of law and fact. At any time after the judge assumed the bench, it was for the judge to determine whether or not to recuse. As time passes and the judge's connection to the firm becomes more attenuated, the need to recuse and/or to disclose and not recuse, may change. The time period will depend on the judge's social and professional interactions with members of the firm and/or firm clients. Any proceeding touching in any way on any matters in which the judge advised the firm would require disqualification, rather than recusal.
The Ethics Committee has prepared an Addendum on Recusal a copy of which is incorporated in the response. The first step is for the judge to determine subjectively whether the judge can handle the case in a fair and impartial manner. The judge has determined that the judge can do so. The second step is for the judge to determine objectively whether the judge's impartiality might reasonably be questioned by a significant minority of the lay community under the facts.
The issue of recusal may involve federal due process. The due process issue arises where "the probability of actual bias on the part of the judge … is too high to be constitutionally tolerable.” Caperton v. A. T. Massey Coal Co., Inc., 129 S.Ct. 2252, 2257 (2009).
The answers to these questions must be considered by the judge and not by the Ethics Committee.

1/6b/2011
recusal and disqualification because of law clerk

The same judge in inquiry 1/6a/2011 has added another fact. The judge's law clerk is listed on the letterhead of the law firm as being "of counsel." The law clerk uses the firm's conference room to meet with clients. The law clerk does not work for the law firm. The law clerk is receiving a financial benefit of advertising by being listed on the law firm's letterhead. The law clerk should not do any work for the judge on the law firm's cases before the judge. The judge has decided to recuse himself from hearing the law firm's cases while the law clerk maintains the relationship with the law firm. The judge is not disqualified and not required to recuse from hearing the law firm's cases merely because of the law clerk's association. To decide the issue of recusal disqualification the judge should do the analysis set forth in digest 1/6a/2011. If the judge is recusing because of the law clerk's relationship and not because of concerns about the ability to be fair, pursuant to Canons 2B and 3B(1) and (2) the judge should consider whether recusal and disqualifications are having a negative impact on the judge's colleagues or the court's caseload.

1/7a/2011
2A
3B (3)

A judge, who serves as supervisor of judges and court employees, has received information from a court employee that a subordinate employee informed the court employee that a judge gave permission to a person to sell unlicensed clothing bearing the name of a sports franchise team ("knock off" goods) to court employees from courthouse facilities accessible to the judge. If such selling occurred, it would be illegal. Under the Code of Conduct For Employees of the Unified Judicial System the court employees were required to report such conduct. Because the judge is the supervisor of the court employees and the judge, the judge should investigate to determine the facts and take appropriate disciplinary action. The judge should determine whether under Canon 3B(1) the diligent discharge of the judge's administrative duties would require reporting or merely counseling the judge. If the allegations are true, under Canon 3B (3) the judge should take appropriate disciplinary measures that may include reporting the matter to the Judicial Conduct Board. Canon 2A requires the judge to act in a manner that promotes public confidence in the integrity of the judiciary.

1/7b/2011
candidate for election

A lawyer who is an announced candidate for judicial office asks whether he may publicly disclose that representatives of the Judicial Conduct Board interviewed him in their investigation of a judge and the facts that the lawyer provided to the representatives. Lawyers who are announced candidates for judicial office are subject to Canon 7 of the Pennsylvania Code of Judicial Conduct. Canon 7 does not prohibit the lawyer from making such disclosures. However, Rule 17 of the Judicial Conduct Board Rules of Procedure provides, "Except as provided in Rule 18, all information and proceedings relating to a complaint and records of the Board’s deliberations shall be confidential."

1/10/2011
2B

A lawyer who regularly appeared before the judge requested the judge to complete a form to submit to a government agency to verify that the lawyer was married. The judge was not present at the marriage. The lawyer had informed the judge and courtroom staff that the lawyer was going on vacation and during that time would be married. After the lawyer returned, the lawyer showed the judge and courtroom staff pictures of the wedding. Canon 2B provides in part, that "judges should not lend the prestige of their office to advance the private interests of others; nor should they convey or knowingly permit others to convey the impression that they are in a special position to influence the judge. Judges should not testify voluntarily as a character witness." Because of Canon 2B's prohibitions, the judge may not complete the form.

1/12/2011
2A
3B (3)

A president judge has received a written complaint from a lawyer regarding a judge's telephone conversation with the lawyer to schedule a hearing when the lawyer was not available because of previous commitments. Because the judge is the president judge, under Canon 3B(1) and (3) the judge should investigate to determine the facts and take appropriate disciplinary action if the facts so warrant. If the allegations are true, under Canon 3B (3) the judge should take or initiate appropriate disciplinary measures. The Note to Canon 3B(3) provides that disciplinary measures may include reporting a judge's misconduct to an appropriate disciplinary body which is the Judicial Conduct Board. Canon 3B(3) does not require every complaint to be reported to the Judicial Conduct Board.
Based on the judge's investigation the judge should determine whether the diligent discharge of the judge's administrative duties would require reporting or merely counseling the judge or taking such other measures the judge deems appropriate. Canon 3B(1). In making such a decision regarding appropriate disciplinary action, if any, Canon 2A requires the judge to act in a manner that promotes public confidence in the integrity of the judiciary.

1/21/2011
5A
5B(1)
speak

A judge asks whether the judge may appear in a promotional video on the importance of being a volunteer mentor for a nonprofit whose mission is to empower economically disadvantaged populations and improve the quality of their lives.
Under Canon 5A and 5B(1) a judge may speak on non- legal subjects if doing so does not detract from the dignity of the office, interfere with the performance of the judge's judicial duties, reflect adversely upon the judge's impartiality, and it is not likely that the organization will be engaged in proceedings that would ordinarily come before the judge or any court. Under Canon 5B(2) a judge may not solicit funds or permit the prestige of the judge's office for that purpose. Therefore, the judge may appear in a promotional video expressing the importance of being a volunteer mentor, but may not permit the judge's comments or the judge's promotional video to be used to raise funds.

1/24/2011
ex parte
recusal and disqualification discussion with parent of crime victim

In response to a request from the parent of a deceased crime victim a judge may not meet the parent to speak about the case. The judge presided over the trial. The defendant was found guilty and is serving a sentence. At some time the defendant may be become eligible for parole. The Board of Probation and Parole is likely to contact the judge when considering to grant parole or placement in a pre-release program. The judge's response to such an inquiry would be part of the judge's judicial duties. Canon 3A(4) prohibits judges from considering ex parte communications concerning a pending matter and Canon 3C(1)(a) requires disqualification in a proceeding in which one's impartiality might reasonably be questioned, including where the judge has personal knowledge of disputed evidentiary facts. Canon 3 requires the judicial duties of judges to take precedence over all of their other activities. Therefore, the judge should not permit himself to be placed in a position that would invite disqualification.

1/27/2011
6
compensation

A judge who serves on the board of a university asks whether it is improper for his daughter to receive free tuition at the university. The university's policy is to provide free tuition to the dependents of faculty, staff, and board members. Under Canon 6 judges may receive compensation for extra-judicial activities if the source of such payments does not give the appearance of influencing judges in their judicial duties or otherwise give the appearance of impropriety and if the compensation does not exceed a reasonable amount nor does it exceed what a person who is not a judge would receive for the same activity. The judge should report the amount on the annual Statement of Financial Interest form.

1/28/2011
5
extrajudicial activities

A judge may appear on a radio talk show to talk about the judge's life in a professional sport and the judge's life after participating in the professional sport. The judge is asked to read Canon 5. From the facts the judge has submitted, it does not appear that the prohibitions of Canon 5 apply.

2/2/2011
recusal and disqualification-competitors for same judicial office

A judge is serving as an appointed judge. The judge is a candidate for election to the position. The judge asks whether the judge must recuse when lawyers who are candidates for election to the same position appear before the judge. Canon 3C(1) requires judges to disqualify from "a proceeding in which their impartiality might reasonably be questioned."
Recusal is a mixed question of law and fact. It is for a judge to determine whether or not to recuse. The Ethics Committee does not tell judges whether they should disqualify themselves.
The Ethics Committee has prepared an Addendum on Recusal a copy of which is attached to the response. The first step is for the judge to determine subjectively whether the judge can handle the case in a fair and impartial manner. If the judge has decided that the judge can, the second step is for the judge to determine objectively whether the judge's impartiality might reasonably be questioned by a significant minority of the lay community under the facts. If the judge determines that the judge's impartiality might reasonably be questioned by a significant minority of the lay community under the facts, the judge should disqualify himself.
The issue of recusal may involve federal due process. The due process issue arises where "the probability of actual bias on the part of the judge … is too high to be constitutionally tolerable.” Caperton v. A. T. Massey Coal Co., Inc., 129 S.Ct. 2252, 2257 (2009).
In the instant case the judge should consider the nature of the judicial campaign, such as the number of vacancies, the size of the county, and whether the clients will have confidence in the impartiality and integrity of the judge's rulings even if the rulings are not favorable to them. At the very least the judge should disclose on the record and give the parties the opportunity to object to or waive recusal.
The answers to these questions must be considered by the judge and not by the Ethics Committee.

2/7/2011
5
extrajudicial activities

A judge may appear in a magazine issue that is devoted to health and beauty. The magazine is free and is not involved in fundraising or promotions. The judge's participation will not detract from the dignity of the judge's office or interfere with the performance of the judge's judicial duties. See Canon 5.
A judge may serve as a model in fashion shows by a particular clothing store to raise funds for various organizations. The people who buy tickets to the fashion show will see the judge on the runway and hear the judge's name (without the judge's title) at the time each outfit is being modeled. The judge's name or office will not be used to promote the show, to sell tickets, or to raise funds for any organization.

2/9a/2011
5B(2)
award at fundraiser

Because of the mission of the nonprofit a judge may not receive an award at a fundraising event for a nonprofit that provides support and assistance to crime victims. Under Canon 5 a judge may not allow others to use the prestige of judicial office to raise funds and a judge may not be the guest of honor at a fundraiser. However, there is no per se ban on a judge's receiving an award at a fundraiser. A judge may receive an award at a fundraising event if the judge is not the "draw" and the judge's name is not being used to solicit attendance and/or contributions.
Under Canon 5 "judges may participate in civic and charitable activities that do not reflect adversely upon their impartiality or interfere with the performance of their judicial duties." Under Canon 2 "judges should avoid impropriety and the appearance of impropriety in all their activities;" judges "should conduct themselves at all times in a manner that promotes public confidence in the integrity and impartiality of the judiciary;" "judges should not allow their . . . relationships to influence their judicial conduct or judgment" and they "should not lend the prestige of their office to advance the private interests of others; nor should they convey or knowingly permit others to convey the impression that they are in a special position to influence the judge."

2/9b/2011
2A
3A(6)

A judge who has supervision over other judges and court employees may issue a press release indicating that at the conclusion of a pending criminal trial there will be an inquiry to determine whether there has been any misconduct or impropriety by court employees whose names have been mentioned in the trial. The trial is against a defendant for alleged criminal activities as a court official. The media have been asking the inquiring judge for the judge's position regarding court employees whose names have been mentioned in the trial. Canon 3A(6) provides in part, "judges should abstain from public comment about a pending proceeding in any court." The press release does not express or imply any opinion about the trial of the case or about any possible outcome. The press release is intended to promote "public confidence in the integrity and impartiality of the judiciary." Canon 2A.

2/10/2011
campaign use of a judge's courtroom

A judge may allow the judge's courtroom to be used by a candidate for judge for a campaign commercial. The courtroom is a public building. The judge has a duty to ensure that neither the judge nor any of the trappings of the courtroom identifies the judge or otherwise gives the impression that the judge is endorsing the candidate. A judge has a duty to establish and maintain high standards of conduct so that the integrity and independence of the judiciary is preserved. In that respect the judge should take reasonable steps to ensure that the courtroom will not be used in a way that brings discredit, ridicule, or embarrassment upon the institution of the judiciary.

2/15/2011
election

A lawyer may not run for an executive local governmental position and judge at the same time. Canon 7A and 7B restrict the activities of judicial candidates which are inconsistent with the activities of nonjudicial candidates. For example, under Canon 7B a judicial candidate cannot personally solicit campaign funds, but a candidate for an executive local governmental position can. Campaigning for an executive local governmental position can create the appearance of impropriety while campaigning for judicial office. One could create the appearance that the candidate is campaigning and soliciting contributions and voter support for both offices at the same time.
Canon 2A requires judges to "conduct themselves at all times in a manner that promotes public confidence in the integrity and impartiality of the judiciary." The lawyer could create the appearance either through statements or actions while campaigning for township supervisor that the lawyer could have a bias for or against township matters that could arise if elected judge.

2/16/2011
retention candidate

A candidate for retention may attend a major party's political event, speak on the candidate's retention campaign, and purchase a ticket to attend. The candidate may not be the honoree or "draw" for the event if it is a fundraiser.

2/18/2011
letter of recommendation

A judge may write a letter on personal stationery in support of an inmate who is seeking pre-release. The inmate appeared before the judge more than 15 years ago in juvenile court. The letter would state that the judge has seen an improvement in the inmate's level of maturity and commitment to change, in part shown by completion of behavior modification courses and courses toward a post high school degree, and the inmate's good behavior in prison. It will also state that the inmate has stated in person to the judge and in correspondence that the inmate intends to comply with the terms of any release. The letter is not being written in response to an inquiry from the institution.

2/22/2011
financial activities

Subject to the qualifying language of Canons 3 and 5C a judge may own real property as an investment. Under Canon 3 the judge's judicial duties take precedence over all of the judge's other activities and the judge would be required to disqualify himself from any case dealing with the properties or the servicing of the properties. Under Canon 5C judges must "refrain from financial and business dealings that tend to reflect adversely on their impartiality, interfere with the proper performance of their judicial duties, exploit their judicial position, or involve them in frequent transactions with lawyers or persons likely to come before the court on which they serve;" judges must "manage their investments and other financial interests to minimize the number of cases in which they are disqualified;" and "information acquired by judges in their judicial capacity should not be used or disclosed by them in financial dealings or for any other purpose not related to their judicial duties."

3/4/2011
retention

A retention candidate may make a contribution to sponsor a table to the event of or to contribute to an organization that is helpful in assisting candidates in obtaining the endorsement of a major political party if the judge's name is not used for fundraising or for promoting other candidates.
If at the event the judge is asked questions about the judge's background or positions on matters related to the special interest of the organization, the judge can decide whether to respond.
Republican Party of Minnesota v. White, 536 U.S. 765 (2002), held that a canon of judicial conduct prohibiting judicial candidates from “announcing their views on disputed legal or political issues” violates the First Amendment.
The Pennsylvania Supreme Court amended Canon 7B(1)(c) in light of the U.S. Supreme Court decision in Republican Party of Minnesota v. White, supra. In pertinent part, Canon 7B(1)(c) provides that a candidate for a judicial office: "should not make pledges or promises of conduct in office other than the faithful and impartial performance of the duties of the office; make statements that commit the candidate with respect to cases, controversies or issues that are likely to come before the court; or misrepresent their identity, qualifications, present position, or other fact."
Pursuant to Canon 7B(1)(c), a candidate for judicial office may state personal views on legal, political or other issues, but may not make pledges or promises of conduct in office other than the faithful and impartial performance of the duties of the office, or make commitments with respect to cases, controversies or issues that are likely to come before the court. In other words, the general principle is that one may make statements or announcements about personal views, but may not make pledges or promises about future decision making. It is axiomatic that a judicial candidate or judge should overwhelmingly acknowledge the judicial obligation to apply the law, without regard to his or her personal views in a fair and impartial manner. A candidate who chooses to state his or her personal views, should consider qualifying such comments with “regardless of my personal views, my obligation as a judge would be to keep an open mind and apply and uphold the law faithfully and impartially, even if it would conflict with my personal views,” or some variation of such language.

3/11/2011
5B(2)
awardee at event

A judge may receive an award at a nonprofit's event that is not a fundraiser and the organization is not selling sponsorships on the basis of giving the judge the award.

3/24/2011
recusal and disqualification
ex parte

One of the parents in a child custody case is acting pro se. The pro se party has sent a letter to the judge requesting a continuance and also enclosed a letter from the Disciplinary Board dismissing a complaint the pro se party filed against the lawyer for the other party. The case has been postponed for other reasons. The judge is advised to return the letter and inform the pro se party that the judge cannot accept any ex parte communications and that if there is any future attempt at an ex parte communication, the judge will copy the contents of the communication, place it in the court file, and send a complete copy to opposing counsel.
The judge surmises that the pro se party filed a complaint against the judge with the Judicial Conduct Board. That complaint has been recently dismissed. The judge inquires about recusal. The judge is not required to recuse. The issue of recusal is a mixed question of law and fact that each judge must decide for him or herself, keeping in mind the ability to be fair and impartial, but also that disgruntled litigants should not be able to judge shop by filing unfounded complaints. The judge has been handling the case and is best prepared to proceed. However, if the judge does not feel that the judge can be fair, the judge should recuse.
The Ethics Committee's Addendum on Recusal is being provided to the inquirer. Deciding recusal is a two step process.
The first step is for the judge to determine subjectively whether the judge can handle the case in a fair and impartial manner. The second step is for the judge to determine objectively whether the judge's impartiality might reasonably be questioned by a significant minority of the lay community under the facts.
The issue of recusal may involve federal due process. The due process issue arises where "the probability of actual bias on the part of the judge … is too high to be constitutionally tolerable.” Caperton v. A. T. Massey Coal Co., Inc., 129 S.Ct. 2252, 2257 (2009).
The answers to both these questions and the due process question must be considered by the judge under the above standards and not by the Ethics Committee.

3/25/2011
attending event
speaking at event
guest of honor

A judge may not make remarks or accept an award at a luncheon of an organization that advocates on behalf of victims that may appear before the judge in court. Under Canon 5 "Judges may participate in civic and charitable activities that do not reflect adversely upon their impartiality..." Making remarks at the organization's event or accepting an award from the organization identifies the judge with a position that the organization espouses. Merely attending the event may not reflect adversely upon the judge's impartiality. However, repeatedly attending the event may might reasonably raise questions about the judge's impartiality. Therefore, it is difficult to give a definitive response whether the judge may attend. If the judge wishes to attend the event to learn more about the organization or its issues or to honor individuals, the judge may attend; otherwise the judge should not.

4/5/2011
7B(2)

A candidate for election to judge is an elected official (not a judge). The Pennsylvania Code of Judicial Conduct does not prohibit the candidate's elected official campaign account to contribute funds to the candidate's judicial campaign account during the time Canon 7B(2) permits fundraising.

4/8/2011
character testimony

Certain court employees have written letters to the sentencing judge in support of a defendant about whom they had personal knowledge. The employees are not law clerks or members of a judge's staff. The sentencing judge does not sit in the same jurisdiction as the court employees.
The media has asked the judge who supervises the employees about the propriety of the employees' actions. The judge may respond that the matter is a personnel matter that would be investigated and dealt with as any personnel matter.

4/14a/2011
4C

A judge may write a letter to a funding source in support of a CASA (Court Appointed Special Advocates) program. Under Canon 4C judges "may make recommendations to public and private fund-granting agencies on projects and programs concerning the law, the legal system, and the administration of justice." The CASA program is such a program.

4/14b/2011
letters of reference

A judge asks whether the judge may write a general letter of endorsement for the spouse of a judge's former employee. The letter is in support of an employment position with a high school that the judge attended. The judge has no hesitation in recommending the person.

In deciding whether the judge may write the letter the judge should consider Canon 2B and the Committee's Formal Opinion 98-1 Letters of Reference, including whether the letter is the type of letter that would be written in the ordinary course of a business or personal relationship; whether it is not for a person with whom the judge has an insubstantial relationship; whether it is for a person who is attempting to use the judge's office to enhance personal interest. The judge should also consider whether to use personal stationery or judicial stationery.

4/20a/2011
4A
4B

A judge may not appear at a press conference with state legislators who are proposing legislation requiring a person to pay court fines and costs before being able to renew a motor vehicle registration. One of the reasons for proposing the legislation is to fund the state budget.
Under Canon 4 judges may engage in specified quasi-judicial activities, if in doing so they do not cast doubt on their capacity to decide impartially any issue that may come before them. Those activities include speaking, writing, lecturing, teaching, and participating in other activities concerning the law, the legal system, and the administration of justice; appearing at a public hearing before an executive or legislative body or official on matters concerning the law, the legal system, and the administration of justice; and otherwise consulting with an executive or legislative body or official, but only on matters concerning the administration of justice. The proposed legislation does not come within the limitations of Canon 4. Rather it involves the public debate on funding the state budget. That debate is outside the scope of Canon 4 and would draw judges into the budget controversy, which would detract from the judicial office and might cast doubt on judges' capacity to decide impartially certain issues. It would invite interest groups to enlist the support of judges and the prestige of their office on all sides of the debate. That would be unseemly for the judiciary which should remain neutral on such broad matters of policy that do not affect narrowly and directly the law, the legal system, or the administration of justice.

4/20b/2011
5C

A judge and the judge's spouse practiced law together before the judge became a judge. The judge and the spouse are getting divorced and do not wish to place a value on the law firm. Instead they wish to agree to divide equally the proceeds of a large personal injury lawsuit if it generates a referral fee. They are not recalculating a referral fee after the judge assumed the bench, but rather are attempting to divide marital assets. The judge may do so. Canon 5C does not prohibit the proposed agreement. The judge will be required to recuse in hearing the referral law firm's cases, but the law firm practices only in civil cases and the judge does not hear civil cases at this time.

4/25/2011
2
5A
prestige of office
appearance of impropriety

A judge may attend a debate of candidates for executive branch office. It is assumed that all of the candidates will be in the debate and that the sponsor is a neutral organization.
A judge may not attend an unemployment compensation hearing for the judge's spouse who is represented by a lawyer. The judge will not be a witness. The judge is from a small judicial district. In light of the judge's prominence, the judge's attendance would create the strong likelihood of an attempt to influence the decision of the unemployment compensation referee. Under Canon 2 judges should avoid the appearance of impropriety in all their activities.

5/2/2011
5B(1)
5B(3)

Under the facts a judge may serve on a nonprofit board. Under Canon 5B(1) judges should not serve on the board of a nonprofit "if it is likely that the organization will be engaged in proceedings that would ordinarily come before them or will be regularly engaged in adversary proceedings in any court." The nonprofit organization was created as a result of a sale of an organization to another organization. The buyer has agreed to perform certain obligations after the sale. If the buyer breaches its agreement, the seller has the right to seek enforcement. However, if the seller does not seek enforcement, the nonprofit also has the right to seek enforcement of the agreement.
The judge will not be involved in fundraising. Under Canon 5B(3) judges are prohibited from giving a nonprofit investment advice.
The judge is advised of the obligation to recuse if the board becomes involved in adversary proceedings in the future. The judge is given the Commitee's Addendum on Recusal for the judge's consideration if a recusal issue arises in the future.

5/5/2011
2
2A
integrity and impartiality
appearance of impropriety

A judge may not hire the child of the district attorney as the judge's law clerk. A law clerk is an important member of a judge's staff and is in a position to influence the judge's decisions. Although the law clerk may be able to serve impartially, there is the appearance that the law clerk could influence the judge in favor of the Commonwealth. Canon 2A requires judges to conduct themselves in a manner that "promotes public confidence in the integrity and impartiality of the judiciary." Canon 2 requires judges to avoid the appearance of impropriety in all their activities.

5/10a/2011
5B(2)

Under Canon 5B(2) judges should not solicit funds for any educational, religious, charitable, fraternal, or civic organization, or use or permit the use of the prestige of their office for that purpose and they should not be a speaker or the guest of honor at an organization's fund raising events, but they may attend such events. A judge may attend a dinner sponsored by an organization and receive an award under the facts. The dinner is not typically viewed as a fundraiser, but if there are any excess proceeds from the dinner, they are donated to a local charity. The judge's name will not be on the invitation and will not be in any pre-event publicity.

5/10b/2011
4C

Under Canon 4C judges "may serve as a member, officer, or director of an organization or governmental agency devoted to the improvement of the law, the legal system, or the administration of justice. They may assist such an organization in raising funds and may participate in their management and investment, but should not personally participate in public fund raising activities. They may make recommendations to public and private fund-granting agencies on projects and programs concerning the law, the legal system, and the administration of justice."
A certain organization provides information to the public and the legal profession on the important role a former United States Supreme Court justice played in the development of the United States legal system and on the current relevance of the justice's ideas on freedom and justice. That is an organization "devoted to the improvement of the law, the legal system, or the administration of justice" as provided by Canon 4C. A judge is permitted to be president of the organization.
Canon 4C's language that judges "may assist such an organization in raising funds," does not in itself authorize judges to engage in non-public fundraising. However, under other language in Canon 4C the judge may sign grant applications and write letters in support of grant applications. Can the judge do more in fund raising?
The introductory language of Canon 4 directs judges not to become involved in activities that would interfere with the "proper performance of their judicial duties" or that "cast doubt on their capacity to decide impartially any issue that may come before them." The language on the proper performance of judicial duties implicates Canon 2 on the appearance of impropriety and the use of "the prestige of office to advance the private interests of others."
By making direct contact with representatives of fund granting agencies the judge would not be advancing the private interests of others, rather the judge would be advancing projects and programs for the improvement of the law and the legal system. That is permissible. Assuming the agencies would not be appearing as parties in court, the judge would not be casting doubt on the judge's ability to decide issues impartially. Therefore, the judge may directly contact staff of funding agencies to determine whether the interests of the agencies encompass those of the organization, orally request funding support, prepare written applications for funding, sign applications for funding, conduct follow up contact by telephone and have face to face meetings to inquire about funding or the status of applications.
Canon 4C's ban on personally participating in public fund raising activities includes direct contact with all prospective donors, except as previously noted as to fund granting agencies. Therefore, the judge may not personally solicit funds through broad based appeals with mass mailings or widespread advertising or through personal contacts with individuals. However, the judge's name may appear on the letterhead and literature that is generally used by the organization, but should not appear on letters and other materials used exclusively for fund raising.

5/12/2011
5C(1)
5(2)
investment

A judge owns less than five per cent of the stock of two for profit companies. One of the companies sold a product to the county in which the judge is employed. The judge was not involved in the planning, preparation, or negotiation of the contract. The product is of a type that could be used by the judiciary. It is possible that the company will have negotiations with the county involving expansion of the business and that could result in income to the inquirer. The executive branch of the county will be conducting any such negotiations. Also the court system may wish to purchase or license the product. The judge should recuse from any involvement in negotiations between the company and the county and should disclose the judge's investment if the judge becomes aware of negotiations. Caution should be taken to recuse in such a way as to minimize any attempt to interpret recusal as an attempt to exploit the judge's position as prohibited by Canon 5C(1). The judge is not prohibited from receiving income from the investments, but should report the income on the annual financial interest statement. The judge should disclose the investment if one of the companies appears before the judge as a party and should consider whether the judge should recuse. The judge is being given a copy of the Committee's Addendum on Recusal.

6/10/2011
5B(1)
5(2)
board member of nonprofit

A judge may serve on the board of a local Meals on Wheels. The judge will not solicit funds for the organization, or use or permit the use of the prestige of the judge's office for that purpose.

6/17/2011
2B
prestige of office
advancing the interests of others
recommendations

A judge who is an adjunct professor at a law school may write a letter to other judges who are of equal status and position as the judge (the judge is not a supervisor of other judges, an administrative judge, or a president judge) suggesting that they consider the graduates of the law school when they hire law clerks. The judge is knowledgeable about the academic program and the quality of the law students and would not be referring to any particular graduate.

6/24/2011
2
3
appearance of impropriety
recusal and disqualification

There is no ethical rule precluding a judge from disclosing to the lawyers and parties in a postconviction hearing that the judge's spouse represented a child of a person who was a witness for the Commonwealth in the underlying criminal case. The spouse's representation is a matter of public record.

6/27/2011
recusal and disqualification

A judge asks whether the judge must recuse in hearing a case in which a governmental entity is a party or in which members of the governmental entity are parties. A member of the governmental entity is a good friend of the judge. The Ethics Committee does not advise inquirers whether they should recuse. The Committee's Addendum on Recusal is being provided to the judge. The Addendum states the recusal analysis is a two step process. The judge decides himself or herself whether the judge can be fair and impartial, If the judge believes that the judge can be fair and impartial, then the judge should make an objective determination whether the judge's impartiality might reasonably be questioned by a significant minority of the lay community. The judge must also determine whether a refusal to recuse would violate due process under Caperton v. Massey Coal Co., Inc., 129 S. Ct. 2252 (2009).
The judge is a president judge and also asks whether the judge has a duty to require an associate judge to hear cases involving a governmental party from which the associate judge is recusing because the associate judge believes his or her relative will be retaliated against if the associate judge rules against the governmental entity. The Committee does not rule on an individual judge's decision of recusal. Canon 3B(3) states that "judges should take or initiate appropriate disciplinary measures against a judge ... for unprofessional conduct of which the judge may become aware." The Note thereto says, "disciplinary measures may include reporting a judge's ... misconduct to an appropriate disciplinary body." However, neither the Committee nor the judge has the duty or authority to require a judge who has recused to hear that case.

7/12/2011
recusal and disqualification

A lawyer asked a judge whether the judge should recuse because the judge was a complaining witness in a criminal case that had been filed against him. The judge had previously provided information to the district attorney and state police who investigated the matter and subsequently filed a criminal action against the lawyer. The matter involving the lawyer is not related to the matter that is before the judge. The decision on whether or not to recuse is a mixed question of law and fact that each judge must decide for him or herself, keeping in mind the ability to be impartial, but also that a disgruntled litigant should not be allowed to judge shop by filing unfounded complaints. If the judge feels that the judge cannot be fair, the judge should recuse. The Ethics Committee has prepared an Addendum on Recusal a copy of which is incorporated in the response. The first step is for the judge to determine subjectively whether the judge can handle the case in a fair and impartial manner. The judge has determined that the judge can do so. The second step is for the judge to determine objectively whether the judge's impartiality might reasonably be questioned by a significant minority of the lay community under the facts.
The issue of recusal may involve federal due process. The due process issue arises where "the probability of actual bias on the part of the judge … is too high to be constitutionally tolerable.” Caperton v. A. T. Massey Coal Co., Inc., 129 S.Ct. 2252, 2257 (2009).
The answers to these questions must be considered by the judge and not by the Ethics Committee.

7/19/2011
recusal and disqualification

A judge's child will be employed soon by a law firm after the child takes the bar examination this month. Under Canon 3C(1)(d)(ii) judges should disqualify themselves in a proceeding in which their impartiality might reasonably be questioned, including where they or their spouse, or a person within the third degree of relationship to either of them, or the spouse of such a person is acting as a lawyer in the proceeding. The note to that section provides: "the fact that a lawyer in a proceeding is affiliated with a law firm with which a lawyer-relative of the judge is affiliated does not of itself disqualify the judge." Because the child would be affiliated with the law firm, but would not be a partner or principal in the law firm, the judge is not required to disqualify himself from presiding over cases involving the firm. However, although there is no blanket requirement preventing the judge from presiding over cases involving the law firm, there may be circumstances in which the judge's impartiality might be reasonably questioned. Therefore, the Committee's Addendum on Recusal is being provided to the judge. The judge should disclose to all parties the judge's child's employment. If the child becomes a principal of the firm, the judge should consider reevaluating the judge's position and this opinion.

7/25/2011
2B
prestige of office

A lawyer has asked a judge to testify at an administrative hearing about statements the lawyer made to the judge about the lawyer’s intention regarding employment. Under Canon 2B judges should not lend the prestige of their office to advance the private interests of others. The judge should testify only if the judge is responding to an official summons. To avoid being used by the lawyer to advance the lawyer’s personal interests, perhaps the judge should ask the lawyer whether there were other persons that can testify that the lawyer made the same statements. If the lawyer made the statements to others who can testify, then those others can testify. However, as noted in the commentary to Canon 2B the Canon does not excuse a judge from testifying if the judge is served with an official summons.

7/26/2011
candidate activities

A lawyer candidate for judicial election is currently a state legislator. The candidate may continue to co-host with another state legislator a free community event that promotes education in a particular subject and various children’s services. The inquiry also indicates the candidate intends to circulate flyers to promote the event. Although there is no prohibition of that activity under the Code of Judicial Conduct, there is a state legislative rule concerning mass communications within a certain time before an election. Because the state legislative rule falls outside of the Code of Judicial Conduct, and is beyond the ken of the Ethics Committee, no opinion thereon is rendered.

8/15/2011
4A
speak

A judge may speak before an organization of government officials responsible for a certain government subject about the state of the law in that subject and the current issues on that subject appearing in the courts. Doing so would not cast doubt on the judge's ability to decide impartially future cases. Greater caution would be urged if the organization was formed to advocate a particular position. However, the judge should be aware that some future litigant may request the judge's recusal because of the judge's speech before the organization. In the event that situation should arise, the Committee's Addendum on Recusal is being enclosed.

8/17a/2011
recusal and disqualification

A lawyer who represents the child of the judge's staff in one case is appearing before the judge in another case. Must the judge recuse? The decision on whether or not to recuse is a mixed question of law and fact that each judge must decide for him or herself, keeping mind the ability to be partial, but also that a disgruntled litigant should not be allowed to judge shop by filing unfounded complaints. If the judge feels that the judge cannot be fair, the judge should recuse. The Ethics Committee has prepared an Addendum on Recusal a copy of which is incorporated in the response. The first step is for the judge to determine subjectively whether the judge can handle the case in a fair and impartial manner. The second step is for the judge to determine objectively whether the judge's impartiality might reasonably be questioned by a significant minority of the lay community under the facts.
The issue of recusal may involve federal due process. The due process issue arises where "the probability of actual bias on the part of the judge … is too high to be constitutionally tolerable.” Caperton v. A. T. Massey Coal Co., Inc., 129 S.Ct. 2252, 2257 (2009).
The answers to these questions must be considered by the judge and not by the Ethics Committee.

8/17b/2011
2A
2B
3B(3)

A judge may not play in a golf tournament that is a fund raising event for an organization that appears in court always advocating for a particular side and may not donate money to an organization that appears in court always advocating for a particular side. Canon 2A provides in part, judges should "conduct themselves at all times in a manner that promotes public confidence in the integrity and impartiality of the judiciary." Canon 2B provides in part, judges "should not lend the prestige of their office to advance the private interests of others; nor should they convey or knowingly permit others to convey the impression that they are in a special position to influence the judge."
A president judge or administrative judge may have a responsibility if judges under the judge's supervision engage in such activities. Canon 3B(3) provides, "judges should take or initiate appropriate disciplinary measures against a judge or lawyer for unprofessional conduct of which the judge may become aware." The note to that subsection provides, "disciplinary measures may include reporting a judge's or lawyer's misconduct to an appropriate disciplinary body."
Magisterial district judges may direct ethical inquiries to the advisory committee for them.

8/22/2011
4A
speak
cast doubt

A judge may not be a speaker at a legal education conference that permits only lawyers representing one side in a particular type of litigation to attend. Canon 4A permits a judge to speak on the law but only if "in doing so they do not cast doubt on their capacity to decide impartially any issue that may come before them."

8/23/2011
recusal and disqualification

A judge who was a statewide candidate for judicial office asks whether two years after the election the judge may institute a policy of recusing when major contributors (those who contributed more than a specified amount), appear before the judge.
The Ethics Committee does not have specific recommendations on recusal for judges who were recently candidates. The Ethics Committee has prepared an Addendum on Recusal a copy of which is being given to the inquirer. The first step is for the judge to determine subjectively whether the judge can handle the case in a fair and impartial manner. The second step is for the judge to determine objectively whether the judge's impartiality might reasonably be questioned by a significant minority of the lay community under the facts.
The issue of recusal may involve federal due process. The due process issue arises where "the probability of actual bias on the part of the judge … is too high to be constitutionally tolerable.” Caperton v. A. T. Massey Coal Co., Inc., 129 S.Ct. 2252, 2257 (2009). Caperton held that a West Virginia Supreme Court justice should have recused himself from a case involving a very large contributor to his Supreme Court election campaign, which contribution had a significant and disproportionate effect on the election.
In determining whether a particular contribution had a significant and disproportionate effect on the election, the judge may wish to consider such factors as the source of the contribution, the amount of the contribution in relation to the judge's overall contributions and expenses, the timing of the contribution in relation to its impact on the election and the timing of the contribution in relation to the matter before the judge.

9/7/2011
2B
5B(2)

A nonprofit is fund raising by auctioning off prizes. A judge may not permit a prize to be the opportunity to sit in the judge's courtroom and afterward meet with the judge privately to have a general discussion. Although the courtroom is open to the public and the judge could do this with a group of school children, Canon 2B and 5B(2) prohibit it under the facts. Under Canon 2B judges should not lend the prestige of their office to advance the private interests of others. Canon 5B(2) provides in pertinent part, "judges should not solicit funds for any educational, religious, charitable, fraternal, or civic organization, or use or permit the use of the prestige of their office for that purpose, but they may be listed as an officer, director, or trustee of such an organization. They should not be a speaker or the guest of honor at an organization's fund raising events, but they may attend such events.

9/14/2011
3A(5)
3B(1)
3B(2)
3C(1)

A county has one domestic relations hearing officer. The hearing officer has become a party to a domestic relations case and has engaged a local law firm to represent the officer. The law firm has a substantial domestic relations practice in the county. The judicial district has a small number of judges and it would be too burdensome to assign the other judges the hear the firm's cases. A senior judge is not available to handle the cases.
Canon 3B(1) provides that "judges should diligently discharge their administrative responsibilities, maintain professional competence in judicial administration, and facilitate the performance of the administrative responsibilities of other judges and court officials." Canon 3A(5) provides that "judges should dispose promptly of the business of the court."
Canon 3B(2) provides that "judges should require their staff and court officials subject to their direction and control to observe the standards of fidelity and diligence that apply to judges." Canon 3C(1) provides in part "judges should disqualify themselves in a proceeding in which their impartiality might reasonably be questioned."
Under the ethics rules it is not necessary to replace the hearing officer. For example, it may be possible to "trade" the hearing officer with the hearing officer of another judicial district in the region or to solicit lawyers to serve pro bono as hearing officer until the conflict is resolved.

9/22/2011
5B(2)
political activity

A judge may attend an event of a nonprofit at which one of the honorees is a high officer of a major political party if the event does not reflect adversely upon the judge's impartiality or interfere with the judge's performance of the judge's judicial duties. There is nothing on the invitation that indicates that the event is a political activity.

9/23/2011
2B
witness
convey the impression that they are in a special position to influence the judge

The judge's spouse's former law partner will be pleading guilty to crimes against the law firm's clients and the law partner. The judge may attend the proceeding as a supportive spouse, an indirect victim of the crime, and a fact witness as to facts to which only the judge can testify. The judge cannot flaunt the fact the judge is a judge because that would be conveying the impression that the judge is in a special position to influence the judge.

9/27/2011
5B(1)
5B(2)
5B(3)

A judge may serve on the board of a state university. It is not likely that the organization will be engaged in proceedings that would ordinarily come before the judge or will be regularly engaged in adversary proceedings in any court. The judge may not solicit funds or use or permit the use of the prestige of the judge's office for that purpose and may not give investment advice to the organization.

9/29a/2011
5F
42 Pa.C.S. section 3301
Pa. Const. Article 5, section 17(a)
practice of law

A judge may not receive a referral fee for referring a case to a lawyer while the judge was a judge. One of the reasons is that a judge may not practice law.

9/29b/2011
letter of recommendation

A judge may write a letter of recommendation to the Board of Law Examiners in support of a lawyer based on the judge's personal knowledge of the lawyer. For years the judge has seen and met with the lawyer regularly at an organization of which both are members and the judge has had occasional dinners with the lawyer and other members of the organization. The judge is also referred to the Committee's Formal Opinion 98-1 on letters of reference.

9/29c/2011
letter of recommendation

If the proposed letter of reference for a position with the court is based on the judge's personal knowledge, which must be specified in the letter, the judge may write the letter. The judge is also referred to the Committee's Formal Opinion 98-1 on letters of reference.

10/4/2011
5A
5B
not political activity
attending event

A judge may attend an event concerning human rights sponsored by a union. The judge has been informed that the event is not a political event, although candidates will be attending.

10/11a/2011
5B(2)
fund raising

At a fund raising event a judge may not be the guest of honor, a guest speaker, or otherwise permit the judge's presence at the event or the fact that the judge will be receiving an award at it to be used to promote the event itself. The judge may not solicit funds or use or permit the use of the judge's office to solicit funds. The important thing is not to permit the organizers of the event to exploit the judge's attendance at or participating in the event by advertising that fact, issuing invitations citing the judge's attendance or participation in the event, or selling ads on the basis of the judge's involvement in it.
Based on the price charged for attending the event, it appears that the event is not a fund raiser. The judge may attend and receive an award at the event. The judge may inform the organizers of identifying information of friends and family to invite to the dinner. However, the judge may not allow the judge's name to be used to sell advertisements in the program (which is used to fund scholarships), should not provide information to the committee on who should be solicited for ads, or otherwise permit the judge's name on any requests that committee is making for soliciting funds for the scholarship.

10/11b/2011
7A(1)(b)
7A(1)(c)
7A(4)
political gatherings
endorsement
political activity

A judge may attend an election night party to celebrate the expected retention election of a judge. The party will be held at a private residence after the polls have closed. Because the event begins after the polls have closed and it is a general election, as opposed to a primary election, the judge's presence cannot be construed as an endorsement of a particular candidate. Celebratory gatherings, such as inaugural events, are not considered to constitute political gatherings because their purpose is not to support a specific political party or promote the election or appointment of a particular candidate for public office.

10/17/2011
3A(2)
3B(3)

A lawyer who was court appointed as a child advocate appeared to be intoxicated in the evening outside the courthouse while a jury was deliberating on the case. A judge instructed the staff to tell the lawyer not to enter the courtroom. Nevertheless the lawyer entered the courtroom and was present when the verdict was returned. The lawyer was unstable and swaying when standing. Canon 3A(2) provides, "judges should maintain order and decorum in proceedings before them." Canon 3B(3) provides, "judges should take or initiate appropriate disciplinary measures against a judge or lawyer for unprofessional conduct of which the judge may become aware." The note to that subsection provides, "disciplinary measures may include reporting a judge's or lawyer's misconduct to an appropriate disciplinary body."
The Code does not define "unprofessional conduct." However, it would be hard to defend a lawyer's presence in court who was "visibly intoxicated" as was the lawyer. Nevertheless, the lawyer was not representing a party and was at that time acting as an observer. It would be a difficult matter to assess from a cold record and the judge would have to make the subjective determination as to whether the lawyer's appearance, as well as defiant presence in the courtroom, was such that it prevented the judge from maintaining order and decorum as required by Canon 3A(2). If the judge determines that the lawyer's conduct met that standard, then Canon 3B(3) permits, but does not require, the judge to file a formal complaint with the Disciplinary Board.

10/24/2011
2
2B
appearance of impropriety
prestige of office

A judge may not recruit fellow members of a religious organization to serve on a committee that would solicit funds for the organization. Canon 2 prohibits judges from engaging in activities that create an appearance of impropriety and in this case, from using the prestige of the judge's office to encourage other members to agree to participate in the fundraising activity.

11/3/2011
5B(2)
solicit funds

A judge who has pledged a gift to the judge’s law school may not permit the law school to print a photograph of the judge and the judge’s name in its alumni magazine with language soliciting others to make a gift, with other language pertaining to how a legacy gift may be made, or with any other language that may suggest a solicitation of funds. See Canon 5B(2). The judge’s picture alone with solicitation language or an interview of the judge with the tone of solicitation would be akin to the judge’s being a guest of honor at a fund raising event, which is banned by Canon 5B(2). A picture of the judge with a brief story why the judge is making the gift would not be a soliciting article and would not violate Canon 5B(2).

11/4/2011
residual campaign funds

A campaign committee may disburse excess or residual campaign funds for an "expenditure" as defined or return them pro rata to the donors. 25 P.S. section 3250. The Election Code provides that an "expenditure" has to be for the purpose of influencing the outcome of an election or otherwise connected to an election or a political committee. 25 P.S. section 3241(d). Although the Election Code permits disbursement to a political committee, it does not permit disbursement to a section 501(c)(3) nonprofit. The Code of Judicial Conduct also does not authorize the disbursement to a nonprofit. Under the Election Code and Code of Judicial Conduct the campaign committee is permitted to disburse the excess funds pro rata to the donors or to a political party or political committee.

11/7/2011
1
2
5B(2)
solicit funds

A judge may allow the judge’s law school to interview the judge and place the judge’s picture in an advertisement in the alumni magazine under the following conditions. Under Canon 1 the interview must be done with high standards of conduct to preserve the integrity and independence of the judiciary. Under Canon 2 the responses must be at all times in a manner that promotes public confidence in the integrity of the judiciary. The judge may not allow the judge’s relationship with the alumni association to influence the judge’s conduct during the interview. The judge should not lend the prestige of the judge’s office to advance the private interest of the association or permit the association to convey the impression that it is in a special position to influence the judge. Under Canon 5B(2) the advertisement should not be of a tenor that would solicit funds or allow the judge, the use of the interview, or the prestige of the judge’s office to solicit funds. Also, the interview cannot be cast in a fashion that would be parallel to the judge’s being a guest of honor at the school’s fund raising events.

11/18/2011
3A(6)
public comment

A judge asks whether the judge may appear on a television program with lawyers under the following circumstances. The expected subject of the program will be a highly publicized pending case. The judge is being invited to appear because the judge is a recognized expert and author on the substantive and procedural area of the law involved. The program is a talk show for legal issues. The judge has taken steps and received assurances that the judge will not be asked and will not offer any statements or comments about the case or matters related thereto. The judge has made it clear that the judge will simply explain generally the legal process in that subject area and assure the public that the judiciary is equipped and well prepared to handle high profile cases including any cases that may arise out of the subject case and related matters. The judge will not participate in any discussion of the case itself, any specific judicial actions in the case or comparisons between actions there and what others might have done.
Canon 3A(6) provides, "judges should abstain from public comment about a pending proceeding in any court, and should require similar abstention on the part of court personnel subject to their direction and control. This subsection does not prohibit judges from making public statements in the course of their official duties or from explaining for public information the procedures of the court."
The judge may appear and explain for public information the procedures and legal processes applicable as set forth above; and assure the public that the Commonwealth’s judicial system and the judiciary are capable and qualified to handle high profile cases.

12/1/2011
3C
recusal and disqualification

A judge has denied a motion for recusal. One of the parties has appealed. The newspapers have criticized the judge’s decision. The AOPC has declined to represent the judge or pay for counsel because the case is an appeal of a judge’s decision and is not a matter in which the judge has an adversarial role. A prominent lawyer has offered to act as pro bono counsel to the judge on the recusal issue or to file papers as a friend of the court.
There is nothing in the Code of Judicial Conduct that would preclude a private lawyer from acting as a friend of the court. In fact, the judge would have no control over the lawyer.
Usually when there is a motion for recusal, the judge rules. If a party appeals, the judge usually writes an opinion stating the basis for the decision and the matter is taken from there by the parties. The judge is then out of the picture so to speak.
There does not appear to be anything for the lawyer to do to represent the judge pro bono. In this context it would be improper for the lawyer to represent the judge solely on the recusal issue on appeal as there is no basis for the lawyer to represent the judge in law or otherwise, notwithstanding the controversial ruling.

12/2a/2011
7B(2)
fund raising post election

A judge elect may attend a post election fund raiser to retire the judge’s campaign debt. Canon 7B(2) provides in pertinent part, “candidates should not themselves solicit or accept campaign funds, or solicit publicly stated support, but they may establish committees of responsible persons to secure and manage the expenditure of funds for their campaign. . . . [A]ll fundraising activities in connection with such judicial campaign shall terminate no later than the last calendar day of the year in which the judicial election is held. Enclosed is a copy of the Ethics Committee’s Frequently Asked Questions Regarding Elections. The judge should note paragraphs 37, 39, and 42.

12/2b/2011
2
3C
5B(1)
appearance of impropriety
recusal and disqualification
regularly engaged in adversary proceedings

A judge may not be a member of a nonprofit board of an organization that provides a residential program and counseling for certain defendants who are court sentenced or paroled. That organization appears to be an organization that will be involved in court proceedings, which if the judge serves on the board, will have the appearance of impropriety. See Canon 2. Some of the judge’s colleagues will likely sentence defendants to the program. Such acts would be a source of financial gain for the organization, thereby creating a conflict of interest. Also the organization is likely to be regularly involved in adversary proceedings (in probation or parole violations) in the court to which the judge is assigned. See Canon 5B(1).
A judge may not be a member of a nonprofit board of an organization that works with the police and another government agency in the investigation and prosecution of cases in a particular subject area. The organization also provides experts who assist in obtaining statements from victims for use in court. The judge’s relationship with the organization may not be ascertained by the parties or counsel before trial or well into trial. There would be a conflict of interest when members of the organization testify about the statements before the judge or there would be the appearance of impropriety when they testify before other judges in the same judicial district. Also, because the organization will be engaged in proceedings that would ordinarily come before the judge or will be regularly engaged in adversary proceedings in any court , Canon 5B(1) would preclude the judge from serving.
A judge may not be a member of a review board of an organization under the following facts. The review board investigates cases in a certain subject area and the treatment of victims and offenders. The organization assists in the investigation and prosecution of cases in the subject area. Although the organization reviews cases involving conduct not rising to the level of criminality, lacking sufficient evidence, or barred by the statute of limitations, the judge’s participation may reflect adversely upon the judge’s impartiality under Canon 5B(1). The board’s role involves a quasi-prosecutorial role and quasi-judicial proceeding. Moreover, the judge may be subject to appearing as a witness before federal and state grand juries or in civil matters, which would be burdensome.
In determining whether a judge can participate in extra judicial activities, the appearance of impropriety and partiality must be considered. Canon 5 requires judges to regulate their activities to minimize the risk of conflict with their judicial duties. That provides another reason the judge may not serve on these three boards.

12/6/2011
2
3C
appearance of impropriety
recusal and disqualification

A member of a judge’s staff has a domestic relations matter pending, but the matter is not yet before a judge. The staff member is represented by a lawyer.
The issue of whether a judge should recuse from deciding a case is personal to the judge and is a mixed question of law and fact. If a case involving the judge’s staff member is listed before a fellow judge, that judge can decide whether to recuse. As to whether the judge should recuse in cases involving the staff member’s lawyer, the judge can be impartial toward that lawyer, rule fairly on the facts, and not create an appearance of impropriety.
One of the matters a judge should consider in whether to recuse and thus, not fulfill a judge’s ethical duty to decide cases assigned to the judge, is to assess whether a request by a lawyer is based on an attempt to gain an advantage by seeking assignment to another judge. Any decision on recusal should be stated in detail on the record in case there is a challenge to the decision. The Ethics Committee’s Addendum on Recusal is provided to the inquirer and incorporated into the response. The judge should also read Caperton v. A.T. Massey Coal Co., Inc., 129 S.Ct. 2252 (2009).

12/8/2011
3A(4)
ex parte

By mistake a judge has reviewed in part an ex parte communication concerning a criminal defendant that is scheduled to appear before the judge. The judge should either disqualify from hearing the case or disclose the communication to all counsel, including the nature of the judge’s exposure to it, and then address any motions that may arise.

12/15/2011
confidentiality
appropriate inquirer

A judge who receives advice from the Ethics Committee is permitted to provide a copy of the advice to another person. The Ethics Committee keeps the identity of the judge who submits an inquiry confidential, but the inquirer is free to disclose the inquiry and response to another person. The judge who responded to a judge’s inquiry has received a letter from a person, not the original inquirer, and not a judge, purporting to correct the facts on which the response, which advised the judge not to engage in the activity, was based and urging the responding judge to change the advice. The Ethics Committee bases its advice on the facts submitted by an inquirer. If the inquirer desires additional information, the inquirer should submit it in writing himself or herself, not through a third party. Because the inquirer was not the person who submitted the letter, the responding judge will not consider the letter and is providing the inquirer with a copy of the letter.

12/19/2011
5F
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
practice of law

A judge may not serve on the review board of a certain nonprofit organization. The board will advise an organization’s official on the official’s assessment of certain allegations in a particular subject area and whether employees that are the subject of the allegations should be assigned duties in certain situations; review the organization’s policies for dealing with matters in a certain subject area; and offer advice on all aspects of matters in a particular subject area. The board is advisory only, providing advice to the actual decisionmaker. A member can recuse in any case before the board in which an appearance of impropriety could be raised. An appellate court in another jurisdiction has permitted an appellate judge to be a member of a similar board.
Offering advice "on all aspects" of certain matters can be considered to include the practice of law. Canon 5F prohibits judges from practicing law. Most of the advice to be given is legal advice. In the judge’s judicial district there are several pending cases involving the subject area. The subject area involved is a subject area of cases that are likely to come before the judge. Under Canon 5 "judges should regulate their extra-judicial activities to minimize the risk of conflict with their judicial duties." Under Canon 5B "judges may participate in civic and charitable activities that do not reflect adversely upon their impartiality or interfere with the performance of their judicial duties." Under Canon 5B (1) "judges should not serve if it is likely that the organization will be engaged in proceedings that would ordinarily come before them or will be regularly engaged in adversary proceedings in any court." Under Canon 4 judges, may engage in the certain quasi-judicial activities, "if in doing so they do not cast doubt on their capacity to decide impartially any issue that may come before them." Canon 2 provides that "judges should avoid impropriety and the appearance of impropriety in all their activities." Under Canon 3C (1) "judges should disqualify themselves in a proceeding in which their impartiality might reasonably be questioned," including "where they served as a lawyer in the matter in controversy … or the judge or such lawyer has been a material witness concerning it."
Involvement on the review board may require the judge’s testimony in unemployment compensation cases, workers’ compensation cases, Equal Employment Opportunity cases, and civil suits in state and federal court.
The effect of recusal and disqualification on appellate judges is much different from that on trial judges. For example, the grounds for recusal in a trial court may occur after much of the trial has been conducted when the testimony reveals a connection to issues related to the review board.

12/21/2011
4
5A
5C(1)
6A
teach
compensation
financial activities

Under Canon 4 judges, subject to the proper performance of their judicial duties, may engage in certain specified quasi-judicial activities, "if in doing so they do not cast doubt on their capacity to decide impartially any issue that may come before them." Canon 4A includes teaching as one of the activities. Under Canon 5A judges may teach if doing so does not "detract from the dignity of their office or interfere with the performance of their judicial duties." Under Canon 6A "compensation should not exceed a reasonable amount nor should it exceed what a person who is not a judge would receive for the same activity." Assuming that these canons are not exceeded, the judge may be an adjunct professor at a university.
A judge asks whether the judge can join an investment club. The judge should be mindful of the following Canons. Canon 5C(1) provides , "judges should refrain from financial and business dealings that tend to reflect adversely on their impartiality, interfere with the proper performance of their judicial duties, exploit their judicial position, or involve them in frequent transactions with lawyers or persons likely to come before the court on which they serve." Canon 5C (3) provides in part , "judges should manage their investments and other financial interests to minimize the number of cases in which they are disqualified." The judge must determine whether the number of lawyers who may join the club is such that the judge is having to disqualify in an unacceptable number of cases. To aid the judge in deciding recusal issues in the future the judge is being given a copy of the Committee’s Addendum on Recusal.
The judge will be required to research a stock and speak about the advantages and disadvantages in investing in the stock. The judge is advised to consider Canon 5C (4) which provides, "information acquired by judges in their judicial capacity should not be used or disclosed by them in financial dealings or for any other purpose not related to their judicial duties."

12/29/2011
2
3C
appearance of impropriety
recusal and disqualification

A judge has engaged a lawyer to represent the judge in a civil matter that is largely concluded. Canon 2 provides, “judges should avoid impropriety and the appearance of impropriety in all their activities. Canon 2B provides in part, “judges should not allow their family, social, or other relationships to influence their judicial conduct or judgment. Canon 3C(1) provides, "judges should disqualify themselves in a proceeding in which their impartiality might reasonably be questioned." The judge has been recusing in cases in which the lawyer represents a party. Because of the large number of cases in which the lawyer is involved, the recusal is placing a burden on the judge who is hearing the recused cases. Therefore, the judge asks if the judge terminates the lawyer from representing the judge, may the judge hear the lawyer’s cases. If that occurred, the judge’s impartiality could not be reasonably questioned and there would not be an appearance of partiality. Therefore, if the judge believes the judge can be impartial, the judge need not continue to recuse if the judge terminates being represented by the lawyer.

1/5/2012
3B(2)
court employee

An employee whom a judge supervises has been appointed to an executive branch office in a local government. Canon 3B(2) provides, "judges should require their staff and court officials subject to their direction and control to observe the standards of fidelity and diligence that apply to judges." Under Canon 5 judges may participate in certain activities if the activities "do not reflect adversely upon their impartiality or interfere with the performance of their judicial duties." Under Canon 5B(1) "judges should not serve on a board if it is likely that the organization will be engaged in proceedings that would ordinarily come before them or will be regularly engaged in adversary proceedings in any court."
The Code of Conduct for Employees of the Unified Judicial System similarly provides that "employees may participate in civic and charitable activities that do not detract from the impartiality of the judiciary or interfere with the performance of their judicial duties or the functioning of the workplace."
Presumably the local government is a party before the court in various capacities. The office to which the employee has been appointed is a policy making office. Therefore, it would be inappropriate for a person in that office to remain a court employee. Therefore, the judge should terminate the employee from his position as a court employee or require the employee to terminate his office as a condition of continued employment with the court.

1/17/2012
5B(1)
board

A judge may serve on the advisory board of a group of medical professionals who provide advice, medical services, and training to a certain segment of the population. Although some of the segment of the population may involve dependent children, historically the medical professionals have not testified in court. Under Canon 5 judges may be members of the board of nonprofits if serving does "not reflect adversely upon their impartiality or interfere with the performance of their judicial duties." Under Canon 5B(1) "judges should not serve on a board “if it is likely that the organization will be engaged in proceedings that would ordinarily come before them or will be regularly engaged in adversary proceedings in any court." Serving on the board in this case would not violate these canons. The judge should be aware that the judge cannot solicit funds for the organization or provide investment advice.

1/20a/2012
4
4A
5A
5B(1)
3C
teach
recusal and disqualification

Under the facts a judge may teach a course on local government to graduate and undergraduate students at a university. Under Canon 4 and 4A 'judges, subject to the proper performance of their judicial duties", may engage in teaching if in doing so they "do not cast doubt on their capacity to decide impartially any issue that may come before them." Under Canon 5A judges may teach if doing so does not "interfere with the performance of their judicial duties." This requirement includes consideration of whether the teaching would interfere with the functioning of the judge or with the bench as a whole. If the university has matters pending before the court, the judge must consider whether the cases can be heard by the judge or by another judge. The judge may consider discussing this with other judges. Canon 5B(1) provides that judges should not serve as board members of a nonprofit if it is likely that the organization will be engaged in proceedings that would ordinarily come before them or will be regularly engaged in adversary proceedings in any court. Considering the subject of the course and that the students may be graduate students, it may be that the students will be employed by local governments and may appear in court on behalf of the local governments. Depending on the circumstances the judge may need to disclose that the judge did teach or is teaching the person. If the university appears as a party before the judge, the judge may be required to disclose that the judge is a paid teacher of the university.

1/20b/2012
3C(1)
5B(1)
5C
board
investment
recusal and disqualification

A judge may not be a member of a board of a nonprofit that serves persons who are likely to appear before the judge. There is a high likelihood that the identity of certain individuals will be discussed at board meetings. Such information may include facts that will be at issue before the judge. Canon 5B provides in part, "judges may participate in civic and charitable activities that do not reflect adversely upon their impartiality or interfere with the performance of their judicial duties."
A judge may not be a member of a board of a nonprofit retirement community. The entity occasionally appears in court on powers of attorney and guardianships. The entity is also involved in workers’ compensation issues. These are matters that are likely to be discussed by the board. For the reasons above, the judge may not be a member of the board. Additionally, regarding board membership Canon 5B(1) provides, "judges should not serve if it is likely that the organization will be engaged in proceedings that would ordinarily come before them or will be regularly engaged in adversary proceedings in any court."
A judge is not required to liquidate the judge’s interest in a building whose tenants include a law firm and three other tenants. The judge was a member of the law firm and will be recusing from hearing the law firm’s cases for 2 years. See Canon 5C.
Under Canon 3C(1)(d)(ii) a judge is not required to be disqualified from hearing cases of an assistant district attorney who is related by marriage to a relative of the judge. The reason disqualification is not required because the lawyer is not within the third degree of relationship as specified in Canon 3C(1)(d) and 3C(3)(a).

1/23/2012
2B
3C(1)(c)
3C(1)(d)(iii)
spouse
disqualify
family, social, or other relationships to influence [the judge's] judicial conduct or judgment
political activity

A judge's spouse may participate in the campaign of another person for office, but the judge should request that the judge's name and position as judge not be used in the campaign by the spouse, the candidate, or the campaign committee. The spouse may donate to the candidate using funds separate and apart from the judge's and should not use the judge's name in the donation. The judge should review Canon 2B to be sure that there is no appearance of allowing "family, social, or other relationships to influence [the judge's] judicial conduct or judgment." In any cases in which the candidate is involved, the judge should disqualify himself or herself. See Canon 3C(1)(c) and 3C(1)(d)(iii).

2/3a/2012
1
2
2A
2B
4
5
6
6A
7A(4)
integrity and independence
appearance of impropriety
respect and comply with the law ad conduct themselves at all times in a manner that promotes public confidence in the integrity and impartiality of the judiciary
special position to influence the judge
prestige of office
activities concerning the law, the legal system, and the administration of justice
regulate their extra-judicial activities to minimize the risk of conflict with their judicial duties
activities that "do not reflect adversely upon their impartiality or interfere with the performance of their judicial duties
compensation
compensation
political activity

A judge and judge's spouse wish to create a program at a law school that would teach law students certain principles which would involve partnering with law firms, ethical practices in a particular subject area, legislative lobbying, and policy making.
Canon 4 allows judges to particiate in "activities concerning the law, the legal system, and the administration of justice." Canon 5 provides that "judges should regulate their extra-judicial activities to minimize the risk of conflict with their judicial duties." Under Canon 5B judges may engage in activities that "do not reflect adversely upon their impartiality or interfere with the performance of their judicial duties." If the judge's participation would give the appearance of impropriety, then the judge should not participate. See Canon 2.7A(4)
Canon 6 allows compensation for activities permitted by the Code of Judicial Conduct "if the source of such payments does not give the appearance of influencing judges in their judicial duties or otherwise give the appearance of impropriety", but the compensation should not exceed a reasonable amount nor should it exceed what a person who is not a judge would receive for the same activity.
From the facts it appears that there will be no political activity (Canon 7A(4) bans political activity).
The judge's involvement must not interfere with the judge's ability to uphold the intergrity and independence of the judge. Canon 1. Under Canon 2 the judge's conduct must not be influenced by others involved in the project.
The judge may not lend the prestige of the judge's office to advance the project and may not allow others to convey the impression that by way of this project they are in a special position to influence the judge. Canon 2B.
The judge should review Canon 4 regarding the judge's ability to hear cases of the type involving this project and whether the judge's involvement may cast doubt on the judge's capacity to decide impartially any issue that may come before the judge.
The judge may not solicit funds for any educational or other purpose of the organization and may not use or permit the use of the judge's name or office for that purpose. However, the judge may be listed as an officer or affiliated with the organization. See Canon 5B(2).
Regarding the judge's spouse, Canon 2A requires that judges respect and comply with the law and conduct themselves at all times in a manner that promotes public confidence in the integrity and impartiality of the judiciary. The spouse's involvement must not give the appearance of impropriety to the extent that the spouse's involvement may give the appearance to influence the judge. See Canon 2B. The judge's spouse should not lend the prestige of the judge's office to advance the spouse's own interests or the interests of the organization and the judge should not knowingly permit the spouse to convey the impression that the spouse is in a position to influence the judge in this regard. See Canon 2B. The judge should also be mindful of the ability of the spouse to hold the spouse out as speaking for the judge on this project.
A member of the Ethics Committee is not situated to set forth guidelines as to what the judge can and cannot do on such a committee. The member of the Ethics Committee can only answer specific questions. However, the responding judge hopes the foregoing is helpful.

2/3b/2012
1
2
integrity and independence
appearance of impropriety

A judge has been criticized in the media for a decision the judge made in a criminal case. A criminal defense lawyer has written a letter to a newspaper supporting the judge's decision. A supervising judge asks whether the supervising judge may write a letter to the criminal defense lawyer thanking the lawyer and stating facts that support the decision-making judge's decision.
The judge may not write the letter. It would potentially violate Canon 1 because it may be perceived as impugning the integrity of the judiciary and not upholding its independence. It also may be a violation of Canon 2 by creating the appearance of impropriety because the letter is addressed to a noted criminal defense lawyer. The letter can be construed as the judge's transmitting the judge's thoughts through the defense lawyer.

2/7/2012
1
2
3
integrity and independence
appearance of impropriety
impartiality
gift

A judge may accept a gift of money from a long time friend of the judge's family who lives outside of the jurisdiction. The friend has been like a parent to the judge. The gift cannot affect the judge's integrity and independence (Canon 1), create the appearance of impropriety (Canon 2), or affect the judge's performance of the judge's duties impartially (Canon 3).

2/21/2012 2B
3
5C
prestige of office
judicial duties of judges take precedence
financial activities

There is no per se prohibition against a judge's serving on a for profit board. The judge should be mindful of not violating applicable provisions of the Pennsylvania Code of Judicial Conduct, including Canon 2B (not lending the prestige of office to advance the private interests of others), Canon 3 (judicial duties take precedence over all other activity), and most particularly, Canon 5C (financial activities).

2/28/2012
gifts

A judge may accept gift certificates given to the judge by the judge's former law firm for the judge's retirement. The gifts were given to the judge near the end of the year, before the judge was sworn into office. The judge used the gift certificates after the judge had been sworn in. The judge should report the gifts on the statement of financial interest.

3/5/2012
3C
5C(1)
5C(2)
5C(3)
investment
recusal and disqualification

A lawyer-parent of a judge owns real estate in which most of the tenants are law firms. The judge asks whether the judge, the judge's spouse, or a trust benefiting the judge's children may own one half of the real estate.
The number of judges in the judicial district is small and the number of lawyers in the judicial district is also small.
The Code of Judicial Conduct does not prohibit a judge from investing in real estate. However, under the facts of this inquiry a judge must consider certain provisions in the Code. Canon 5C(1) provides, "judges should refrain from financial and business dealings that tend to reflect adversely on their impartiality, interfere with the proper performance of their judicial duties, exploit their judicial position, or involve them in frequent transactions with lawyers or persons likely to come before the court on which they serve."
Canon 5C(2) provides, "subject to the requirement of subsection (1), judges may hold and manage investments, including real estate, and engage in other remunerative activity including the operation of a family business."
Canon 5C(3) provides in part, "judges should manage their investments and other financial interests to minimize the number of cases in which they are disqualified."
Canon 2B provides, "judges should not allow their family, social, or other relationships to influence their judicial conduct or judgment.
The facts present several issues. The judge's parent is a part owner of the real estate and a lawyer and practices in the judge's judicial district. Another issue is that the judge could financially benefit from the monies generated by the law firm tenants of the real estate. Another issue is whether these lawyers would appear in front of the judge and the frequency of those appearances. Another issue is whether ownership by the judge's parent, spouse, or trust would possibly disqualify the judge, impacting on the other judges in the judicial district.
The judge should review whether any of the lawyers will appear before the judge and whether any conflict would exist as to any or all of the lawyers. The judge should also consider whether any income from the investment would affect the judge's ability to be fair and impartial.
Considering the parent's ownership and the possible ownership by the judge's spouse and trust, the judge should be careful on how the investment is structured. Canons 3C(1)(c), 3C(1)(d), 3C(2), 3C(3) requires a judge to inform the judge about the financial interests of certain family members and be aware of financial benefits accruing to the family. If a family member invests in real estate, the judge would have to consider the effect the investment would have on the judge.
The overall concern regardless of the financial path taken, is whether the judge's involvement could create the appearance that the judge's impartiality might be reasonably questioned by a significant minority of the public. As to whether the judge should recuse as to any cases that may involve lawyers renting from the judge and the judge's father, the judge should review Caperton v. Massey Coal Co., Inc., 129 S. Ct. 2252 (2009). The first step is for the judge to determine subjectively whether the judge can handle the case in a fair and impartial manner.
The second step is for the judge to determine objectively whether the judge's impartiality might reasonably be questioned by a significant minority of the lay community under the facts. A copy of the Ethics Committee's Addendum on Recusal is being given to the inquirer.
The inquiry is particularly complex considering that the parent is a lawyer renting to other lawyers and the parent would become partners with the judge or members of the judge's immediate family. The affinity with the judge's parent, spouse, and children could create the appearance of impropriety. Another issue is whether if the judge declined to hear a case because of any of the above reasons, that decision would be an imposition upon members of the judge's bench.
After considering the above factors, if the judge concludes that such investment would be an imposition on the bench, the judge should not invest.

3/16/2012
3
3A(4)
impartially
ex parte

A judge has discovered errors in computing the amount of judgment and interest that a party's lawyer has made in a stipulation that is submitted for court approval. Under the ethical rules what must or may the judge do?
Canon 3 provides, "judges should perform the duties of their office impartially and diligently." Canon 3A(4) provides, "judges should accord to all persons who are legally interested in a proceeding, or their lawyers, full right to be heard according to law, and, except as authorized by law, must not consider ex parte communications concerning a pending proceeding." Under these Canons the judge is prohibited from communicating only with one side of the case about the errors. Otherwise, provided the parties are accorded the full right to be heard as required by due process under the applicable rules and laws, the Code of Judicial Conduct provides no specific guidance in this situation. Therefore, as long as the judge acts in an impartial manner, such that adjudication of the error or silence in the face thereof would follow irrespective of whether the plaintiff or defendant had made the mistake, there are no specific prohibitions or mandates under the Code favoring one course of action over another.
Beyond that, guidance on the proper role of the court in this matter would be derived from the procedural, evidential, decisional, and statutory law regarding the court's discretion in approving or rejecting stipulations of facts or conclusions of law. However, these are legal issues, not ethical issues, and as such are beyond the scope of the Ethics Committee's mandate.

3/20/2012
5A
5B
7A(2)
7A(4)
political activity
political gathering
dignity of the judge's office
interfere with the performance of the judge's judicial duties
reflect adversely upon the judge's impartiality

A union is hosting a meal and after that a memorial service to honor workers who have been injured or died while working. A judge may attend. It is not a political gathering. Mere attendance will not detract from the dignity of the judge's office, interfere with the performance of the judge's judicial duties, or reflect adversely upon the judge's impartiality.

4/11/2012
recusal and disqualification

A judge asks for advice concerning the judge's denial of a recusal motion. Under the bylaws of the Ethics Committee the Committee does not give advice about a judge's past conduct. However, in the event recusal may arise in the future, the inquirer is given the Committee's Addendum on Recusal.

5/1/2012
2B
5A
5B
7A(2)
7A(4)
prestige office
dignity of the judge's office
interfere with the performance of the judge's judicial duties
reflect adversely upon the judge's impartiality
political activity
political gathering

A judge who graduated from a military academy and who serves in the reserves of a branch of the military asks whether the judge may be a member of a Congressperson's panel to recommend candidates for admission to the military academies. The judge should consider whether serving would interfere with the performance of the judge's judicial duties, reflect adversely upon the judge's impartiality, or pose conflicts with the judge's judicial duties.
The judge should also determine whether the Congressperson would use the judge's involvement for political purposes because a judge may not be involved in political events. The judge should also determine whether the names of the panel are published as the judge may face the problem of people contacting the judge to solicit favors.
A judge's friend has a picnic that is attended by a large number of people, including local and state legislators and executive branch officials who are members of one political party. The picnic is not a fund raiser and does not have a political program or partisan activity. The judge has been routinely invited to the picnic. The judge may attend.

5/18a/12
5B
5B(1)
reflect adversely upon their impartiality or interfere with the performance of their judicial duties
ordinarily come before them or will be regularly engaged in adversary proceedings in any court

A group of people from a community is organizing a project to reduce the violence that has been occurring. May a judge participate in the project?
Canon 5B provides, "judges may participate in civic and charitable activities that do not reflect adversely upon their impartiality or interfere with the performance of their judicial duties." Although every member of the community should be committed to the safety and quality of life of children in the community, the judge should exercise caution in participating in the project, especially if the organization is expected to be an ongoing presence in the community.
Canon 5B(1) permits judges to serve on nonprofit boards, with the restriction that, "judges should not serve if it is likely that the organization will be engaged in proceedings that would ordinarily come before them or will be regularly engaged in adversary proceedings in any court. It is likely that a criminal defendant will raise recusal in a future proceeding. In the event that occurs, the Ethics Committee's Addendum on Recusal is being given to the inquirer.

5/18b/12
5B(2)
solicit funds

A judge will be retiring at the end of the year. A bar association wishes to celebrate the occasion by having an event. The judge would prefer that there be no event or that the event be inexpensive to attend and that those who wished could contribute to an unnamed charity of the judge's choice.
An event at which those who wished could contribute to an unnamed charity of the judge's choice would violate Canon 5B(2) which provides in part, "judges should not solicit funds for any educational, religious, charitable, fraternal, or civic organization, or use or permit the use of the prestige of their office for that purpose."
The judge asks for a suggestion to comply with the Code of Judicial Conduct. Those who are inclined to donate, may donate to a charity of the donor's choice.

5/29/12
5D
executor

A judge asks whether the judge may serve as executor of Wills that the judge prepared when the judge practiced law. Judges may not serve as executors except for a member of their family, and "then only if such service will not interfere with the proper performance of their judicial duties." "Member of their family" includes a spouse, child, grandchild, parent, grandparent, or other relative or person with whom the judge maintains a close familial relationship." Canon 5D. Thus, a judge cannot serve as executor of an estate of a friend unless the relationship with the friend meets the definition of "member of their family." Regarding nonfamily members, the judge should contact the judge's former law office so that the office can inform the clients to replace the judge as fiduciary.

6/5/12
confidentiality of Judicial Conduct Board

A judge who is a president judge, administrative judge, or supervising judge was requested to review a decision and opinion of a subordinate judge. Enclosed with those items was a copy of a complaint made against the judge and another judge filed with the Judicial Conduct Board. The judge asks whether the judge is required to provide a copy of all that has been sent to the judge to the two judges involved.
It is assumed that the sender is not a judge or a lawyer. The confidentiality of a complaint filed with the Judicial Conduct Board runs from the Judicial Conduct Board to the complainant. The complainant is not required to keep the complaint confidential. The Code of Judicial Conduct does not require the judge to provide a copy of the documents to the judges and does not prohibit the judge from providing a copy to the judges. Perhaps the judge should consider the reason for confidentiality of judicial complaints and whether the sender thought he or she was sending the complaint to the judge confidentially.

6/11/12
5F
Pa. Constitution, Article 5, section 17(a)
42 Pa. C.S. section 3301
practice of law
referral fee

Although Article 5, section 17 of the Pennsylvania Constitution prohibits a judge from practicing law, there is no prohibition against a collecting legal fees earned before becoming a judge. Assuming the fee satisfies the requirements of Rule of Professional Conduct 1.5, the judge may accept the fee to which the judge was entitled at the time the judge became a judge.
The judge asks whether the judge may preside over the case of a child of the lawyer paying the referral fee. Although this situation is not one of the specific circumstances under Canon 3C under which disqualification is automatically required, it may raise reasonable questions about the judge's impartiality that may justify recusal and disqualification. The judge is given a copy of the Ethics Committee's Addendum on Recusal for the judge to consider whether the judge's impartiality can be reasonably questioned and which presumes a disclosure of the judge's relationship with the child's parent.

6/14/12
5B
not conducted for the economic or political advantage of its members

A judge may not serve on the statewide board of the American Association of Retired People (AARP) because it is a membership organization conducted for the economic or political advantage of its members. Canon 5B permits a judge to be a board member of a certain organizations not conducted for the economic or political advantage of its members.

7/17/12
4A
4C
activities concerning the law, the legal system, and the administration of justice
personally participate in public fund raising activities

A bar association is holding an event to raise money for a legal services organization that provides legal services for the indigent. The notice states that a judge, identified by name and title, will be a member of the band that will be providing the musical entertainment at the event. Canon 4A permits judges to participate in activities concerning the law, the legal system, and the administration of justice. However, Canon 4C provides that a judge may not "personally participate in public fund raising activities" of such organizations. Identifying the judge as a member of the band that will provide musical entertainment at the event means that the judge is personally participating in a public fund raising activity; it encourages bar members and the public to support the event because the judge is participating in it.
The judge should make every effort to withdraw participating in the fundraiser and encourage the bar association to announce that the judge will not be participating in it so that tickets will not be sold or funds otherwise raised on the strength of the judge's name or office. The judge may also wish to consider reporting the situation to the Chief Counsel of the Judicial Conduct Board explaining it was done without the judge's knowledge or authorization, that the judge sought the advice of the Ethics Committee, and has taken action consistent with that advice to ameliorate, if not correct, the situation.

8/7/12
letter of recommendation

A judge who has known a licensed professional, professionally and personally for many years, may write a letter to a professional board in support of the professional. The judge is given a copy of the Committee's Formal Opinion 98-1 on letters of recommendation.

9/14/12
law clerk
partisan political activity
Pennsylvania Supreme Court November 24, 1998 order

If a law clerk runs for magisterial district judge, the clerk cannot continue to be a court employee. This is true even if the election is considered nonpartisan. The Pennsylvania Supreme Court's November 24, 1998 order, 28 Pa. Bulletin 6068, prohibits court appointed employees from engaging in "partisan political activity" which is defined to include running for public office.

9/19/12
2
2B
5
5A
appearance of impropriety
permit others to convey the impression that they are in a special position to influence the judge
minimize the risk of conflict with their judicial duties
the dignity of their office or interfere with the performance of their judicial duties

All of the judges of a small judicial district which has a relatively small number of lawyers have been invited to a social event celebrating a significant nonlegal event for a local lawyer. Although it is the practice of the Ethics Committee to answer inquiries only from the judge posing the question, all of the other judges have agreed to waive confidentiality and for efficiency submit one inquiry. The lawyer is the former law clerk of one of the judges. The judges do not intend to buy a gift for the lawyer. The lawyer practices before all of the judges. This type of invitation could come from any of the lawyers that practice in the judicial district.
Canon 2 provides in part, "judges should avoid impropriety and the appearance of impropriety in all their activities." Canon 2B provides in part, "judges should not allow their family, social, or other relationships to influence their judicial conduct or judgment. They should not lend the prestige of their office to advance the private interests of others; nor should they convey or knowingly permit others to convey the impression that they are in a special position to influence the judge." Canon 5 provides in part, "judges should regulate their extra-judicial activities to minimize the risk of conflict with their judicial duties." Canon 5A provides in part, "judges may attend social activities, "if such avocational activities do not detract from the dignity of their office or interfere with the performance of their judicial duties."
In deciding whether to attend each judge should consider 1) whether the lawyer is currently before the judge; 2) whether the judges' individual or collective appearances will convey the impression that the honoree is in a special position to influence the judge; 3) whether the judge would likewise accept similar invitations the judges acknowledge could be forthcoming from other members of the relatively small bar; and 4) whether the judge's attendance would interfere with the performance of the judge's judicial duties. The judge for whom the lawyer served as law clerk may attend because the honoree is a former law clerk with whom the judge had a pre-existing relationship, and the lawyer is not currently on trial before the judge. The other judges should individually analyze the questions to determine whether the judge may attend.

10/11/2012
4C
5B(1)
improvement of the law, the legal system, or the administration of justice
engaged in proceedings that would ordinarily come before them or will be regularly engaged in adversary proceedings in any court

A judge may not serve on the board of a state agency that is concerned with enforcing certain laws. The agency is regularly engaged in adversary proceedings before the judge's court. Canon 4C permits judges to "serve as a member, officer, or director of an organization or governmental agency devoted to the improvement of the law, the legal system, or the administration of justice." The agency is not that type of agency. Under Canon 5B(1) judges may not serve on the boards of nonprofits if the "organization will be engaged in proceedings that would ordinarily come before them or will be regularly engaged in adversary proceedings in any court."

10/15/2012
2
3C(1)(c)
3(d)
appearance of impropriety
recusal and disqualification

After a judge's child was arrested, the judge recused from hearing criminal cases. It now appears that the child, like the other juveniles who were arrested for doing the same acts, will be offered an informal adjustment and will be supervised by the juvenile probation office. The judge does not hear juvenile cases and does not have any involvement with the juvenile probation office.
The judge is not presiding over the child's case and the child's case is not even in the part of the court on which the judge sits. The judge's situation does not require absolute disqualification as anticipated by Canon 3C(1)(c) and (d). By recusing from hearing criminal cases the judge has removed the appearance of any ability to influence or chill the appropriate exercise of prosecutorial discretion. If there is an informal adjustment, the opportunity for prosecutorial discretion is removed, and the matter becomes one of supervision by the juvenile probation office. There would then be no issues that would warrant disqualification under Canon 3C and Canon 2 involving the appearance of impropriety. In the event that the matter is not concluded as anticipated, the inquirer is being given a copy of the Committee's Addendum on Recusal for consideration and the inquirer is free to contact the responding judge if there is a change in the facts.

10/16/2012
5C(1)
5C(2)
6
6A

A judge who has a rental real estate business asks whether the judge may broker a sale of real estate and tangible personal property between two persons who are not likely to appear before the judge and receive a broker's fee.
There is no general prohibition against a judge's engaging in such activity and being compensated for it. However, Canon 5C(1) provides that "judges should refrain from financial and business dealings that tend to reflect adversely on their impartiality, interfere with the proper performance of their judicial duties, exploit their judicial position, or involve them in frequent transactions with lawyers or persons likely to come before the court on which they serve." Although Canon 5C and 6 permit a judge to receive compensation, Canon 6 requires that "the source of such payments does not give the appearance of influencing judges in their judicial duties or otherwise give the appearance of impropriety" and Canon 6A requires that "compensation should not exceed a reasonable amount nor should it exceed what a person who is not a judge would receive for the same activity." The judge has not submitted specific facts upon which to opine whether the situation falls within the restrictions of Canons 5 and 6.

10/23/2012
2
2A
6
appearance of impropriety
public confidence in the integrity and impartiality of the judiciary
compensation

A judge should not submit for payment by the county government the invoices for the private legal fees of a judge under the judge’s supervision. The invoices are not for legal advice which was work related or directly related to the judge’s work on the court. The county may not have an obligation to pay a state employee’s legal fees. Under Canon 2 “judges should avoid impropriety and the appearance of impropriety in all their activities.” Under Canon 2A “judges should respect and comply with the law and should conduct themselves at all times in a manner that promotes public confidence in the integrity and impartiality of the judiciary.” Under Canon 6 “judges may receive compensation and reimbursement of expenses for the quasi-judicial and extra-judicial activities permitted by this Code, if the source of such payments does not give the appearance of influencing judges in their judicial duties or otherwise give the appearance of impropriety.”
As a general policy individuals pay their own legal fees and as a rule the county does not pay the legal fees of its employees. The submission of the invoices by the inquiring judge and subsequent payment by the county would give the appearance of favorable treatment of a judge and may compromise the integrity of the Court or lessen public confidence in the judicial system. Moreover, the county appears before the court in various capacities. The judge’s submission of the invoices and the county’s subsequent payment may give the appearance of attempting to influence the court to favor the county in its matters before the court. This could raise the potential appearance of impropriety and may cause the public to question the court’s impartiality.

10/26/2012
7A(2)
attend political gatherings

A judge is sitting by appointment. A judge becomes a candidate when the judge declares or states publicly that the judge is a candidate. The judge has informed another that the judge will be a candidate to the judicial office in the primary which will be held next year. The judge may attend a pre-election (general election) gala of a major political party that is held this year. Moreover, before formally filing a "Declaration of Candidacy" with the Department of State a person can test the waters as to whether a campaign would be viable. A judge would also be able to attend the event if the judge was not a declared candidate and was testing the waters.

1/16/2013
1
2A
3C (1)(c)
3C (1)(d)
integrity and independence
appearance of impropriety
recusal and disqualification
former law firm

The judge has been handling a certain civil case since 2008. Defendant has recently retained new counsel who has moved for the judge's recusal based on the judge's affiliation with lawyers or the law firm that represents the plaintiff. The judge last practiced law with that firm in 1998. The judge was appointed to the bench in 2003. The judge has heard other cases involving the law firm and the judge's impartiality was not questioned in those cases.
The facts do not rise to the level of disqualification. However, if the judge's impartiality may be reasonably questioned, the judge should recuse. The judge is provided with the Addendum on Recusal and those factors are reviewed. The length of time that has passed since the judge practiced with the law firm, the intervening positions the judge had with other law firms, and the judge's time on the bench may have a bearing on whether the judge's impartiality can be reasonably questioned. Also, that the judge has presided over other cases involving the law firm and the judge's impartiality was not questioned may have a bearing on the determination. It is suggested that there be a hearing and decision on the record.

4/15a/2013
Canon 5B (2)
Canon 2B

A judge asks whether the judge may host a short television program regarding issues faced by veterans in the judge's community. It does not appear that hosting the program would detract from the dignity of the judge's office or interfere with the judge's judicial duties. However, the judge must decide whether it might reflect adversely upon the judge's impartiality in the event a veteran or non-veteran, whether litigant or lawyer, should appear before the judge. The judge is being provided with the Ethics Committee's Addendum on Recusal to assist the judge in making that determination. The judge must also ensure that neither the judge nor the station promotes the judge's involvement in the program to raise money or otherwise advance the interests of the television station in violation of Canons 5B (2) or 2B.

4/15b/2013
Canon 4
Canon 6B

A judge may attend the Pa. Bar Association annual installation of officers' dinner, with the Bar Association paying the expenses for the dinner and lodging for one night. The event is not a fundraiser. Under Canon 4 judges are permitted to participate in activities concerning the law, the legal system, and the administration of justice. Canon 6B permits reimbursement for these kinds of extrajudicial activities.

4/15c/2013
Canons 7A(1)(b)
Canons 7A(1)(c)
7A (2)
7B (2)
Canon 2B

A retention judge may not be listed as a special guest, with the judge's name and title on a flyer for a fund raising event for judicial candidates for election. It is also unclear whether the political party sponsoring the fundraiser benefits from the fundraiser. Because the judge would be the "draw" for the fundraiser, the judge may not be listed as the special guest. A judicial candidate may not personally solicit funds for the judge's campaign and also may not be the honoree at a political party's general fundraising event.

4/16/2013
Canon 5B(1)
Canon 5B(2)
Canon 5B(3)

A judge may serve as the treasurer of the judge's synagogue. The judge will not be involved in raising funds, permitting the use of the judge's name to raise funds, or giving investment advice. The synagogue is not likely to be engaged in proceedings that would ordinarily come before the judge and will not be regularly engaged in adversary proceedings in any court.

4/21/2013
Canon 5B(2)

May the judge and other judges who wish to do an oral history project about certain judges and lawyers seek foundation funding to hire a professional video company for the project? No, because Canon 5B(2) prohibits judges from soliciting funds "for any educational, religious, charitable, fraternal, or civic organization, or use or permit the use of the prestige of their office for that purpose."
Alternatively, may the judges enter into a joint venture with various lawyer organizations to seek funds? The judges may not enter into such a joint venture if the judges would be soliciting funds or if the lawyer organizations used judges or the prestige of the judges' offices for the purpose of soliciting funds for the project.

4/23/2013
Canon 5B(2)

A judge may not receive an annual award given by a charitable organization at a dinner because the organization sends out invitations identifying the honoree and inviting persons to attend the dinner and place ads in the dinner booklet with the goal of raising funds for the organization.

5/1/2013
Canon 2B

A judge may not write a letter to the Disciplinary Board on behalf of a lawyer who appeared before the judge. Canon 2B prohibits a judge from using the prestige of the judge's office to advance the private of others. However, if the Board contacted the judge requesting factual information, the judge would be able to provide the information.

5/2/2013
Canon 2A
Canon 2B
Canon 3C
Canon 4A

A judge may address a medical malpractice seminar that will be held in the offices of a defense oriented law firm, but will offer continuing legal education credit, be open to all lawyers, and have representation by members of the plaintiffs' personal injury bar in attendance and as a presenter. Because the program is open to all lawyers and will have representation by both the plaintiffs' and defense bar mitigates any concern that the judge's impartiality would be reasonably questioned merely because the venue is the office of a law firm that represents one side of the issue. However, the judge should be mindful not to be put in a position of being shopped around to clients, prospective clients, or other lawyers to the effect that the firm has the ability to bring judges into its office or has a special relationship with the judge.

5/13a/2013
Canon 5B(2)

A judge agreed to accept an award from an organization. Thereafter, the judge received a written invitation to the event and learned for the first time that the event was a fundraiser. Canon 5B(2) prohibits judges from soliciting funds for any educational, religious, charitable, fraternal, or civic organization, or using or permitting the use of the prestige of their office for that purpose. The judge should not attend the fundraiser, should not allow the award to be given in the judge's name, and should inform the organization that it may not use the judge's name to advertise the event beyond what has already occurred.

5/13b/2013
Canon 7B(2)

The Ethics Committee does not give advice about past conduct. The candidate also asked about future conduct. A candidate cannot personally accept in kind contributions, even if unsolicited, such as campaign buttons from a relative. If the relative made an independent expenditure that is properly reported on the financial disclosure form, then a campaign committee would not need to be formed for that contribution. A candidate also cannot personally solicit publicly stated support, such as asking another to write a letter of support to a newspaper or to put up banners or signs. That must be done by a campaign committee. It is not necessary to form a campaign committee to organize volunteers to distribute campaign materials. The Election Code excludes the use of the personal residence of a volunteer that does not exceed $250 from the definition of "valuable thing." Thus, it would not be necessary for a candidate to pay rent to volunteers who post campaign signs in their yards to avoid forming a campaign committee. The candidate is not required to form a campaign committee to spend the candidate's funds to buy stickers to put on donut and pizza boxes. Because the Ethics Committee does not approve campaign ads, the candidate should decide whether the stickers maintains the dignity appropriate to judicial office and accurately showcases the candidate's credentials.

5/16a/2013
Canon 2B
Canon 5B(2)

A legal publication is holding a dinner at which an award will be given to a person. A judge who has been informed that the judge is a finalist. The purpose of the dinner is to celebrate legal history and the achievements of certain judges and lawyers. It appears that the price of the dinner is close to the actual cost of holding the event. There is no indication that the publication is seeking to raise funds or to directly solicit business for itself or any particular law firms. Although the publication is promoting its own business through the dinner, it appears that financial gain is not the purpose of the dinner. It appears to have a genuine interest in the history and achievements due to the nature of its business. The advertisement mentions the judge as an honoree and a possible award recipient, but is not worded in such a way to use the judge as a means of selling tickets or promoting its business. Under these circumstances, by attending the dinner and receiving the award the judge will not be lending the prestige of the judge's office to advance the private interests of or to raise funds for the publication. However, it would be inappropriate to permit other judges or the court staff to purchase congratulatory ads since the publication may benefit financially from the judge's position as a judge.

5/16b/2013
5F
practice of law

A lawyer who had tried 2 cases before a judge has asked the assignment judge not to assign any of the lawyer's cases to the judge. The lawyer did not like the verdicts. The judge would like to talk with the lawyer. Because judges are not allowed to practice law, the judge cannot advise the lawyer how to obtain higher verdicts. The judge may talk about general presentation style, but should be careful not to inadvertently give the lawyer grounds for recusal as the lawyer is attempting to avoid trying future cases before the judge. It would be advisable to have another person present during the conversation, such as a court officer, law clerk, or assignment judge.

5/20/2013
Canon 5

Under Canon 5C (1) "Judges should refrain from financial and business dealings that tend to reflect adversely on their impartiality, interfere with the proper performance of their judicial duties, exploit their judicial position, or involve them in frequent transactions with lawyers or persons likely to come before the court on which they serve." A judge may have an ownership interest in a for profit group that invests in staging certain events open to the public if such ownership does not violate the provisions of Canon 5.

5/22/2013
Canon 2A
appearance of impropriety

Under the circumstances a judge who worked in a district attorney's office before becoming a judge may attend a retirement party for a member of the district attorney's office with whom the judge previously worked. The party will be held in the DA's office. Because the office is located in a public building containing offices other than the DA's office, including court offices, the judge's entry into the building should not be problematic. Also the event is not limited to present ADA's and the person is leaving the office.

5/23/2013
Canon 1
Canon 2A
Canon 2B

A judge has been invited to attend an event a law firm is sponsoring to give an award to former U.S. Supreme Court Justice Sandra O'Connor and will be honoring other women of distinction. The event will not be at the law firm's office, but some of the firm's clients will be present. It appears that the law firm may be implying that the firm is in a special position to influence the judge. The judge's attendance may further that goal, may lend the prestige of the judge's office to advance the private interests of another, and may also be contrary to promoting the public confidence, integrity, and impartiality of the judiciary. The judge should not attend.

5/30a/2013
Canon 2A
Canon 4A
Canon 5B(1)
Canon 5B(2)
Canon 5B(3)

A judge asks whether the judge may attend a meeting of the Trial Lawyers Association. The association is a professional organization concerned with the law. Under Canon 4 a judge may participate in activities concerning the law if participation does not cast doubt on the judge's impartiality. This may depend on whether the judge is a regular attendee or participant at its functions or whether this is an isolated occurrence, and whether the judge attends meetings or functions of other professional organizations that would lend a balance to the positions espoused by the Trial Lawyers Association. The judge may attend if this is an isolated event or if the judge attends on a comparable basis other organizations that provide a balance to the viewpoints espoused by the Trial Lawyers Association. It is important that the judge not be perceived as a partisan or tool of any organization that espouses a particular viewpoint that is contained the litigation over which the judge presides.
If the requirements of Canon 5B are fulfilled, a judge may serve on the board of the local chapter of the Jewish National Fund. The judge's name may appear on the stationery, the stationery may identify the judge as a judge or "The Honorable;" and the organization need not use a separate letterhead without the judge's name for fundraising purposes. The judge may not solicit funds for the organization, allow it to use the judge's name or office for fundraising, or give it investment advice.

5/30b/2013
Canon 3C
Canon 5C
recusal and disqualification
former law firm

Should a judge recuse from hearing cases involving a former law partner of the judge more than ten years ago who was also a partner in a side business that has been terminated and receipt of the K-1's for the wrap up of the partnership will occur this calendar year. The only connection that remains is that both the judge and the former partners will be receiving payments directly from the buyer. There is no mandatory requirement to disqualify under Canon 3C beginning in 2014, and Canon 5C does not preclude the judge's involvement. The ultimate decision whether to recuse is for the judge to make, considering whether the judge can fairly and impartially hear the cases and whether the judge's impartiality may be reasonably questioned by a significant minority of the lay community.

6/13/2013
Canon 5B

A judge may attend a conference of leaders, business, civic, and governmental organizations where the purpose is to make a particular geographic region world class if attendance does not reflect adversely on the judge's impartiality or interfere with the judge's performance of judicial duties.

6/28/2013
Canon 2B

A judge may write a letter of recommendation to the Board of Law Examiners on behalf of a recent graduate whom the judge encouraged to attend law school and who clerked for the judge at various times over the past two years. The judge may use judicial stationery. The judge is given the Ethics Committee's Formal Opinion 98-1 regarding letters of reference.

7/1/2013
Canon 3C
Canon 4A

May a judge appear as a member of a panel of judges at a conference organized by the National Association of Retail Collection Attorneys and if so, be reimbursed for transportation expenses.
If the association consists of only lawyers on one side of the partisan divide, the conference is limited only to those members, and the judge will, in effect, assist them in performing their function better, the judge may not participate. However, if the conference is open to lawyers on both sides of the partisan divide, the judge may participate. Whether the program has qualified for continuing legal education may be a factor in determining whether it is open to all lawyers. The key is for the judge to be and be perceived as impartial. If the judge may participate, the association may reimburse the judge for transportation and related expenses.

7/2/2013
Canon 3B (3)

A criminal defendant has claimed that the defendant was required to perform sexual favors by the lawyer who represented in a case before the judge. While the judge has no way of verifying the allegation and cannot investigate the allegation, the judge should have a member of the judge's staff contact the defendant to assist the defendant in filing a formal complaint with the Disciplinary Board through the Court Administrator's office.

7/8/2013
Canon 5B(2)

A judge may draw the winning tickets for a raffle conducted by a school district as a fundraiser under the circumstances. That is the judge's only involvement. The judge should make sure that the school district does not advertise that the judge will draw the tickets and that the judge's name not be announced until the time when the judge is actually doing the drawing.

7/18/2013
Canon 2B

Under the circumstances a judge may write a letter of recommendation for a consulting organization with whom the court system contracted. The organization is applying for certification from another private organization to allow the consultant organization to engage in certain business. The organization will not use the letter as a testimonial on its website, but merely as part of the application process which requires letters of recommendation. The judge may use judicial stationery. The letter may only contain the judge's factual observations and opinions of the specific work product the organization provided the court.

7/30/2013
4C

An officer of the Pennsylvania Conference of State Trial Judges may be a member of the house of delegates of the Pennsylvania Bar Association. Whether serving as a member of the house of delegates of the Pennsylvania Bar Association may conflict with the judge's duties as an officer of the Pennsylvania Conference of State Trial Judges is beyond the purview of the Ethics Committee.

8/13/2013
Canon 3B(3)

A president judge has received in the mail a complaint form of the Judicial Conduct Board containing the original signature of the complainant. The judge who is the subject of the complaint is a judge on the president judge's court. The judge thinks the complaint may have been sent to the judge by mistake and asks whether the judge should conduct an investigation. The judge should contact the sender in writing, inform the sender that the judge has received what appears to be the original and the judge is concerned it was sent by mistake. Because the Judicial Conduct Board conducts its own investigation, the judge should not conduct an investigation.

8/21/2013
Canon 2A
Canon 3A(1)
respect and comply with the law

A judge who asks whether the judge can preside at a same sex wedding must decide for himself/herself whether the ethical considerations would permit the judge to do so. An official has issued a marriage license. Under 23 Pa. C.S. section 1503(a) a judge is authorized to solemnize a marriage between persons who have a marriage license. Title 23 Pa. C.S. section 1503(c) provides that no one who is qualified to officiate at a marriage ceremony unless the parties have a marriage license. Under 23 Pa. C.S. section 1301(a) no person shall be joined in marriage until a marriage license has been obtained. The provisions that pertain to the issuance of marriage licenses, 23 Pa. C.S. section 1301-1310, have no express provisions prohibiting the issuance of a marriage license to a same sex couple. Title 23 Pa. C.S. section 1704 states that the public policy of this Commonwealth that marriage shall be between one man and one woman and that a marriage between persons of the same sex which was entered into in another state or foreign jurisdiction, even if valid where entered into, shall be void in this Commonwealth.
Officiating a wedding for a couple whose license a judge knows or believes to be legally invalid would place the jurist in a position of not acting in compliance with the law. Conversely, if a judge knows or believes a license issued to a same-sex couple to be legally valid, the avoidance of performing such a ceremony solely because of public clamor or merely to avoid the prospect of criticism would also be in derogation of the Code of Judicial Conduct. Thus, the determination of whether the issuance of a marriage license would legally be precluded in the case of a same-sex couple would be germane to the salient questions of whether the judge's conduct in officiating in a ceremony involving such a license, would, as Canons 2A and 3A (1) require, (1) be in compliance with the law, 2) uphold the public confidence in the integrity and impartiality of the judiciary, and 3) be unswayed by public clamor or the prospect of criticism. Analysis and resolution of the merits of the critical legal issues underlying those determinations, including any relevant constitutional, statutory, and decisional law, are beyond the purview of the Ethics Committee.

8/23/2013
Canon 2B

A judge may not write a letter to the Pardons Board in support of a distant relative of the judge. Under Canon 2B a judge should not voluntarily testify as a character witness. This ban applies to the letter the judge would write to the Pardons Board.

8/27/2013
Canon 2B
Canon 7A(1)(c)
Canon 7A(4)
political gathering
political activity

A judge who is not a candidate may not attend an event sponsored by certain ward leaders.
A judge asks whether the judge may testify as a fact witness at a hearing concerning a local government's towing of the judge's car. Under Canon 2B a judge may not lend the prestige of the judge's office to advance the private interests of another and may not voluntarily testify as a character witness. It is not clear whether the judge's testimony would be necessary. If the issue is whether the report did not state that the car was towed from a handicapped area, the report speaks for itself. It is also not clear how what the judge saw on the report would be relevant. However, if the issue is where the car was parked and the judge has personal knowledge of where the car was parked, the judge's testimony may be relevant and necessary. If the judge does testify, the judge should be careful not to try to influence the court by presenting the judge as a judge.