DIGESTS OF INFORMAL
OPINIONS-- See Introduction and Caveat
1/7/99
7B
(1)(c)
campaign
conduct
An appointed judge who is a candidate for
election to judicial office may use the title "judge" with his name,
e.g. "Judge John Doe," in campaign material.
1/11a/99
7B
campaign
conduct
candidate
for election
A judge who is a candidate for election to
judicial office inquires whether he may include in his television advertisement
a segment of film in which the judge meets with the president judge and the
sheriff regarding a court program.
Would the sheriff's presence in the film and the description
of the program suggest the judge is a "law and order" candidate?
The judge may not use the image and title of the president
judge in the film because a reasonable viewer may assume that the president
judge has given his permission, and, thus, his endorsement.
1/11b/99
7B
(2)
campaign
conduct
candidate
for election
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1999 the Judicial Ethics Committee rescinded its Formal Opinion 90‑1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.
1/12/00
2B
4B
prestige
of office
recommendations
letters
of reference
consult
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.
1/20/00
5G
Compliance
with Code of Judicial Conduct
Pennsylvania
Constitution, article 5, section 17(a)
42
Pa. C.S. section 3301
extra-judicial
appointments
senior
judge
A judge who is serving as a senior judge may not
accept appointment to a school board.
1/21/00
4A
5A
5B
speak,
write, lecture, teach
decide
impartially
reflect
adversely upon his impartiality
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.
1/24/00
2B
3A
(5)
Pennsylvania
Rules of Judicial Administration 1701
prestige
of office
character
witness
witness
subpoena
dispose
promptly of the business of the court
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.
2/8/00
1
2
2A
2B
3C
5A
5B
integrity
and independence
integrity
and impartiality
appearance
of impropriety
prestige
of office
recusal
and disqualification
social
and recreational activities
avocational
activities
reflect
adversely upon his impartiality
gifts
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.
2/10/00
2B
Pennsylvania
Rules of Judicial Administration 1701
prestige
of office
character
witness
witness
subpoena
recommendations
letters
of reference
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.
2/14/00
2A
integrity
and impartiality
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.
2/28/00
4A
5G
Pa.
Constitution article 5, section 17(a)
42
Pa. C.S. section 3301
speak,
write, lecture, teach
extra-judicial
appointments
outside
activities
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.
3/1a/00
2A
3A
(4)
integrity
and impartiality
ex
parte communication
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.
3/1b/00
2B
5A
5B
(2)
prestige
of office
social
and recreational activities
civic
and charitable activities
solicit
funds and fundraising
outside
activities
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.
3/7/00
5B
(2)
solicit
funds and fundraising
prestige
of office
outside
activities
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.
3/8/00
1
2
2A
3B
(2)
3C
integrity
and independence
appearance
of impropriety
staff
and court officials
recusal
and disqualification
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.
3/9a/00
2B
Pennsylvania
Rules of Judicial Administration 1701
prestige
of office
character
witness
witness
subpoena
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.
3/9b/00
1
2A
3C
(1)
3C
(1)(c)
integrity
and independence
appearance
of impropriety
recusal
and disqualification
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.
3/16/00
Pa.
Constitution article 5, section 17(a)
42
Pa. C.S. section 3301
4A
5F
Compliance
with the Code of Judicial Conduct
practice
of law
senior
judge
speak,
write, lecture, teach
outside
activities
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.
3/17/00
1
2A
2B
3C
(1)
5A
5B
(2)
integrity
and independence
appearance
of impropriety
special
position to influence
recusal
and disqualification
social
and recreational activities
civic
and charitable activities
outside
activities
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.
3/20/00
5A
5B
(2)
solicit
funds and fundraising
social
and recreational activities
outside
activities
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).
4/5/00
1
2A
3B
3C
(1)
3C
(1)(c)
integrity
and independence
appearance
of impropriety
administrative
responsibilities
recusal
and disqualification
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.
4/7a/00
5B
(2)
solicit
funds and fundraising
outside
activities
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.
4/7b/00
4A
5B
decide
impartially
other
activities concerning the law, the legal system, and the
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.
4/10/00
5B
civic
and charitable activities
outside
activities
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.
4/14/00
4A
6
speak,
write, lecture, teach
compensation
outside
activities
A judge may teach a bar association sponsored
continuing legal education course in exchange for law clerks to attend such
courses without paying tuition.
5/4/00
4
4A
4B
5G
Pennsylvania
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
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.
5/9/00
2A
2B
Pennsylvania
Rules of Judicial Administration 1701
appearance
of impropriety
prestige
of office
character
witness
witness
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.
5/15/00
4C
5B
(2)
assist
in raising funds
solicit
funds and fundraising
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.
5/19/00
1
2A
3C
5C
5C
(1)
5C
(3)
integrity
and independence
appearance
of impropriety
recusal
and disqualification
financial
activities
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.
5/21/00
4A
5A
speak,
write, lecture, teach
outside
activities
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.
5/26/00
3A
(6)
public
comment
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.
6/7/00
2B
7A
prestige
of office
recommendations
letters
of reference
political
activity and political conduct
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.
6/8/00
7A
(1)(c)
7B
(1)(a)
contribution
to a political organization
political
activity and political conduct
family
and spouse
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.
7/17/00
3A
(6)
4A
public
comment
decide
impartially
other
activities concerning the law, the legal system, and the
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.
7/25/00
Judicial
Ethics Committee Rules, Practices, and Guidelines 20, 24, 25
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.
7/31/00
5B
5B
(2)
civic
and charitable activities
solicit
funds and fundraising
outside
activities
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.
8/1/00
1
2A
3C
(1)
3C
(1)(c)
integrity
and independence
appearance
of impropriety
recusal
and disqualification
former
law firm
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 master. 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.
8/15/00
3A
(5)
3B
(1)
7A
(2)
Pennsylvania
Rules of Judicial Administration 703
Pennsylvania
Constitution Article 1 section 5
dispose
promptly of the business of the court
administrative
responsibilities
attend
political gatherings, speak
campaign
conduct
candidate
for election
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.
8/28/00
2B
5B
5C
prestige
of office
civic
and charitable activities
financial
activities
outside
activities
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.
9/6a/00
2A
2B
Pennsylvania
Rules of Judicial Administration 1701
appearance
of impropriety
prestige
of office
character
witness
witness
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.
9/6b/00
2
2A
2B
5A
5B
(2)
appearance
of impropriety
integrity
and impartiality
family,
social, or other relationships
avocational
activities
write,
lecture, teach, and speak
interfere
with the performance of his judicial duties
outside
activities
prestige
of office
solicit
funds and fundraising
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.
9/25a/00
4A
6
speak,
write, lecture, teach
compensation
outside
activities
A judge may receive an honorarium for giving an
educational lecture if the honorarium is not excessive.
9/25b/00
4A
5A
5B
(2)
avocational
activities
solicit
funds and fundraising
prestige
of office
outside
activities
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.
9/29a/00
2A
2B
Pennsylvania
Rules of Judicial Administration 1701
appearance
of impropriety
prestige
of office
character
witness
witness
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.
10/3/00
5A
5B
write,
lecture, teach, and speak
social
and recreational activities
reflect
adversely upon his impartiality
outside
activities
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.
10/10/00
3A
(5)
3B
(1)
Pennsylvania
Rules of Judicial Administration 703
dispose
promptly of the business of the court
administrative
responsibilities
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.
10/17a/00
5B
5B
(1)
reflect
adversely upon his impartiality
civic
and charitable activities
outside
activities
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.
10/17b/00
5B
7A
(1)(c)
7A
(4)
reflect
adversely upon his impartiality
civic
and charitable activities
outside
activities
political
activity and political conduct
contribution
to a political organization
attend
political gatherings
purchase
tickets
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.
10/18/00
2A
2B
Pennsylvania
Rules of Judicial Administration 1701
appearance
of impropriety
prestige
of office
character
witness
witness
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.
10/31/00
5B
5B
(2)
5B
(3)
civic
and charitable activities
outside
activities
solicit
funds and fundraising
investment
advice
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.
11/9a/00
2A
2B
Pennsylvania
Rules of Judicial Administration 1701
appearance
of impropriety
prestige
of office
character
witness
witness
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.
11/9b/00
2A
7A
(1)(c)
7A
(2)
7B
(1)(c)
7B
(3)
integrity
and impartiality
candidate
for election to retention
campaign
conduct
campaign
funds and campaign contributions
contribution
to a political organization
contribute
to a political party or organization
misrepresent
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.
11/13/00
3A
(6)
public
comment
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.
11/21/00
2A
2B
7A
(1)(c)
7B
(2)
7B
(3)
integrity
and impartiality
prestige
of office
special
position to influence
solicit
funds
campaign
conduct
candidate
for election to retention
A candidate for election to retention may not be
the honoree at a political party's general fund raising event.
11/27/00
7A
(2)
7B
(2)
attend
political gatherings, speak
contribute
to a political party or organization
expenditure
of funds
campaign
funds and campaign contributions
campaign
conduct
candidate
for election
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.
11/30/00
7B
(1)(c)
misrepresent
campaign
conduct
candidate
for election
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.
12/6/00
7A
(2)
7B
(3)
attend
political gatherings, speak
campaign
conduct
candidate
for election to retention
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.
12/7/00
2
4A
7A
(4)
7B
(2)
7B
(3)
appearance
of impropriety
other
activities concerning the law, the legal system, and the
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.
12/11/00
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
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.
1/5/01
4A
5G
Pennsylvania
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
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/1
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/1
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.
3/8/1
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.
3/16/1
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/1
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/1
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.
3/23/1
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/1
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/1
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
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/p>
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.
10/4/1
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.
10/26/01
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).
11/27/1
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.
12/3/1
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.
12/4/01
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.
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
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).
7/17/2
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.
7/29/2
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.
8/6/2
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.
8/19/2
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.
9/18/2
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.
2/3/3
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.
3/14/3
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).
3/17/3
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.
3/24/3
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.
3/26/3
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/3
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/3
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.
4/8/3
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/3
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.
4/23b/3
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/3
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/3
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.
4/25/3
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.
4/30/3
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
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/3
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/3
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.
5/6/3
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.
5/15/3
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/3
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/3
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.
6/14/3
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/3
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.
9/10/03
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/3
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/3
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).
10/2/3
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.
10/10/3
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.
10/12/3
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).
10/15/3
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.
10/21/3
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."
10/29/3
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/3
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.
11/4/3
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.
11/6/3
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/3
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/3
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.
12/4/3
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.
12/5/3
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.
12/12/3
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.
12/22/3
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.
1/7/4
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.
1/5/4
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.
1/20a/4
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/4
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.
1/22/4
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.
1/26/4
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.
1/28/4
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.
1/30/4
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.
2/5/4
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.
2/12/4
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.
2/17/4
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.
3/3/4
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/4
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.
3/4a/4
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/4
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/4
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/4
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.
3/22/4
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.
4/13/4
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.
4/15/4
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."
4/20/4
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.
5/10/04
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.
5/13/04
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.
6/20/04
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)
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 rec