Federal Ethics and Judicial Conduct - Ethics Advisory Opinions - Code of Conduct of United States Judges Judicial Conference of the United States - United States District Court - Federal

8/9/2019 Federal Ethics and Judicial Conduct - Ethics Advisory Opinions - Code of Conduct of United States Judges Judicial Co

1/241

Guide to Judiciary Policy

Vol2:EthicsandJudicialConductPtB:EthicsAdvisoryOpinions

Ch 2: Published Advisory Opinions

210IndexofAdvisoryOpinions

220TextofAdvisoryOpinions

Note.Allpublishedopinionsarelistedhereandretaintheiroriginalnumbering.Withdrawnopinionsareomitted.

2. ServiceonGoverningBoardsofNonprofitOrganizations

3. ParticipationinaSeminarofGeneralCharacter7. ServiceasFacultyMemberoftheNationalCollegeofStateTrialJudges9. TestifyingasaCharacterWitness11. DisqualificationWhereLong-TimeFriendorFriendsLawFirmIsCounsel17. AcceptanceofHospitalityandTravelExpenseReimbursementsFrom

Lawyers19. MembershipinaPoliticalClub20. DisqualificationBasedonStockholdingsbyHouseholdFamilyMember24. FinancialSettlementandDisqualificationonResignationFromLawFirm26. DisqualificationBasedonHoldingInsurancePolicyfromCompanythatis

aParty

27. DisqualificationBasedonSpousesInterestasBeneficiaryofaTrustfromwhichDefendantLeasesProperty

28. ServiceasOfficerorTrusteeofHospitalorHospitalAssociation29. ServiceasPresidentorDirectorofaCorporationOperatingaCooperative

ApartmentorCondominium32. LimitedSolicitationofFundsfortheBoyScoutsofAmerica33. ServiceasaCo-trusteeofaPensionTrust34. ServiceasOfficeroronGoverningBoardofBarAssociation35. SolicitationofFundsforNonprofitOrganizations,IncludingListingof

JudgesonSolicitationMaterials36. CommentingonLegalIssuesArisingbeforetheGoverningBoardofa

PrivateCollegeorUniversity37. ServiceasOfficerorTrusteeofaProfessionalOrganizationReceiving

GovernmentalorPrivateGrantsorOperatingFunds38. DisqualificationWhenRelativeIsanAssistantUnitedStatesAttorney40. ServiceonGoverningBoardofNonprofitOrganizationthatTendsto

BecomeInvolvedinCourtProceedings

Last revised (Transmittal 02-019) November 24, 2014


2/241

Guide to Judiciary Policy,Vol.2B,Ch.2 Pageii

42. ParticipationinFundRaisingforaReligiousOrganization43. ServiceasaStatutoryMemberofaCitizensSupervisoryCommissionof

theCountyPersonnelBoard

44. ServiceonGoverningBoardofaPublicCollegeorUniversity46. AcceptanceofPublicTestimonialsorAwards47. AcceptanceofComplimentaryorDiscountedClubMemberships48. ApplicationofJudicialConferenceConflict-of-InterestRulesforPart-Time

MagistrateJudges49. DisqualificationBasedonFinancialInterestinMemberofaTrade

Association50. AppearanceBeforeaLegislativeorExecutiveBodyorOfficial51. LawClerkWorkingonCaseinWhichaPartyIsRepresentedbySpouses

LawFirm52. AmericanBarAssociationorOtherOpen-MembershipBarAssociation

AppearingasaParty53. PoliticalInvolvementofaJudgesSpouse55. ExtrajudicialWritingsandPublications57. DisqualificationBasedonStockOwnershipinParentCorporationofa

PartyorControlledSubsidiaryofaParty58. DisqualificationWhenRelativeisEmployedbyaParticipatingLawFirm59. ProvidingEvaluationofJudicialCandidatetoScreeningorAppointing

Authority60. AppointmentofSpouseofanAssistantUnitedStatesAttorneyas

Part-TimeMagistrateJudge61. AppointmentofLawPartnerofJudgesRelativeasSpecialMaster

63. DisqualificationBasedonInterestinAmicusthatisaCorporation64. EmployingaJudgesChildasLawClerk65. ProvidingaRecommendationforPardonorParole66. DisqualificationFollowingConductComplaintAgainstAttorneyorJudge67. AttendanceatIndependentEducationalSeminars69. RemovalofDisqualificationbyDisposalofInterest70. DisqualificationWhenFormerJudgeAppearsasCounsel71. DisqualificationAfterOralArgument72. UseofTitleJudgebyFormerJudges73. ProvidingLettersofRecommendationandSimilarEndorsements74. PendingCasesInvolvingLawClerksFutureEmployer

75. DisqualificationBasedonMilitaryorOtherGovernmentalPensions76. ServiceofStateEmployeesasPart-timeUnitedStatesMagistrateJudges78. DisqualificationWhenJudgeIsaUtilityRatepayerorTaxpayer79. UseofChambers,Resources,andStaffforLaw-RelatedActivities

PermittedbyCanon480. UseofChambers,Resources,andStaffforActivitiesPermittedbyCanon

4thatareNotRelatedtotheLaw81. UnitedStatesAttorneyasLawClerksFutureEmployer


3/241

Guide to Judiciary Policy,Vol.2B,Ch.2 Pageiii

82. JoiningOrganizations83. PaymentstoLawClerksfromFutureLawFirmEmployers84. PursuitofPost-JudicialEmployment

85. MembershipandParticipationintheAmericanBarAssociation86. ApplyingtheHonoraria,Teaching,andOutsideEarnedIncomeLimitations87. ParticipationinContinuingLegalEducationPrograms88. ReceiptofMementoesorOtherTokensUndertheProhibitionAgainstthe

ReceiptofHonorariaforAnyAppearance,Speech,orArticle89. AcceptanceofHonorsFundedThroughVoluntaryContributions90. DutytoInquireWhenRelativesMayBeMembersofClassAction91. SolicitationandAcceptanceofFundsfromPersonsDoingBusinessWith

theCourts92. PoliticalActivitiesGuidelinesforJudicialEmployees93. ExtrajudicialActivitiesRelatedtotheLaw

94. DisqualificationBasedonMineralInterests95. JudgesActinginaSettlementCapacity96. ServiceasFiduciaryofanEstateorTrust97. DisqualificationofMagistrateJudgeBasedonAppointmentor

ReappointmentProcess98. GiftstoNewlyAppointedJudges99. DisqualificationWhereCounselIsInvolvedinaSeparateClassActionin

WhichtheJudgeoraRelativeIsaClassMember100. IdentifyingPartiesinBankruptcyCasesforPurposesofDisqualification101. DisqualificationDuetoDebtInterests102. DisqualificationIssuesRelatingtoJudgeBeingSuedinOfficialCapacity,

IncludingRepresentationbyDepartmentofJustice103. DisqualificationBasedonHarassingClaimsAgainstJudge104. ParticipationinCourtHistoricalSocietiesandLearningCenters105. ParticipationinPrivateLaw-RelatedTrainingPrograms106. MutualorCommonInvestmentFunds107. DisqualificationBasedonSpousesBusinessRelationships108. ParticipationinGovernment-SponsoredTrainingofGovernmentAttorneys109. ProvidingConflictListstoDepartingLawClerks110. SeparatelyManagedAccounts111. Interns,ExternsandOtherVolunteerEmployees112. UseofElectronicSocialMediabyJudgesandJudicialEmployees

113. EthicalObligationsforRecall-EligibleMagistrateandBankruptcyJudges114. PromotionalActivityAssociatedwithExtrajudicialWritingsand

Publications


4/241

Guide to Judiciary Policy,Vol.2B,Ch.2 Pageiv

210 Index

Subject Advisory Opinion

Amicus Curiae No.63. DisqualificationBasedonInterestinAmicusthatisaCorporation

Chambers Staff No.79. UseofChambers,Resources,andStaffforLaw-RelatedActivitiesPermittedbyCanon4

No.80. UseofChambers,Resources,andStaffforActivitiesPermittedbyCanon4thatareNotRelatedtotheLaw

No.111.Interns,ExternsandOtherVolunteer

EmployeesNo.112. UseofElectronicSocialMediabyJudgesandJudicialEmployees

Character Witness No.9. TestifyingasaCharacterWitness

Class Actions No.90. DutytoInquireWhenRelativesMayBeMembersofClassAction

No.99. DisqualificationWhereCounselIsInvolvedinaSeparateClassActioninWhichtheJudgeoraRelativeIsaClassMember

Clubs No.47. AcceptanceofComplimentaryorDiscountedClubMemberships

Compensation/Honoraria No.86. ApplyingtheHonoraria,Teaching,andOutsideEarnedIncomeLimitations

No.88. ReceiptofMementoesorOtherTokensUndertheProhibitionAgainsttheReceiptofHonorariaforAnyAppearance,Speech,orArticle

Director of Nonprofit

Organization

No.2. ServiceonGoverningBoardsofNonprofit

OrganizationsNo.28. ServiceasOfficerorTrusteeofHospitalorHospitalAssociation

No.34. ServingasOfficeroronGoverningBoardofBarAssociation


5/241

Guide to Judiciary Policy,Vol.2B,Ch.2 Pagev

210 Index


No.36. CommentingonLegalIssuesArisingbeforetheGoverningBoardofaPrivateCollegeorUniversity

No.37. ServiceasOfficerorTrusteeofaProfessionalOrganizationReceivingGovernmentalorPrivateGrantsorOperatingFunds

Disqualification/ Recusal Business, Personal and

Organization Relationships

No.11. DisqualificationWhereLong-TimeFriendorFriendsLawFirmIsCounsel

No.24. FinancialSettlementandDisqualificationonResignationFromLawFirm

No.52. AmericanBarAssociationorOtherOpen-MembershipBarAssociationAppearingasaParty

No.70. DisqualificationWhenFormerJudgeAppearsasCounsel

No.102. DisqualificationIssuesRelatingto

JudgeBeingSuedinOfficialCapacity,IncludingRepresentationbyDepartmentofJustice

Disqualification/Recusal Family Relationships

No.20. DisqualificationBasedonStockholdingsbyHouseholdFamilyMember

No.27. DisqualificationBasedonSpousesInterestasBeneficiaryofaTrustfromwhichDefendantLeasesProperty

No.38. DisqualificationWhenRelativeIsanAssistantUnitedStatesAttorney

No.51. LawClerkWorkingonCaseinWhichaPartyIsRepresentedbySpousesLawFirm

No.58. DisqualificationWhenRelativeisEmployedbyaParticipatingLawFirm

No.90. DutytoInquireWhenRelativesMayBeMembersofClassAction


6/241

Guide to Judiciary Policy,Vol.2B,Ch.2 Pagevi

210 Index


No.99. DisqualificationWhereCounselIsInvolvedinaSeparateClassActioninWhichtheJudgeoraRelativeIsaClassMember

No.107. DisqualificationBasedonSpousesBusinessRelationships

Disqualification/Recusal Financial Interests

No.20. DisqualificationBasedonStockholdingsbyHouseholdFamilyMember

No.24. FinancialSettlementandDisqualification

onResignationFromLawFirmNo.26. DisqualificationBasedonHoldingInsurancePolicyfromCompanythatisaParty

No.49. DisqualificationBasedonFinancialInterestinMemberofaTradeAssociation

No.57. DisqualificationBasedonStockOwnershipinParentCorporationofaPartyorControlledSubsidiaryofaParty

No.63. DisqualificationBasedonInterestin

AmicusthatisaCorporation

No.69. RemovalofDisqualificationbyDisposalofInterest

No.75. DisqualificationBasedonMilitaryorOtherGovernmentalPensions

No.78. DisqualificationWhenJudgeIsaUtilityRatepayerorTaxpayer

No.94. DisqualificationBasedonMineral

InterestsNo.99. DisqualificationWhereCounselIsInvolvedinaSeparateClassActioninWhichtheJudgeoraRelativeIsaClassMember

No.100. IdentifyingPartiesinBankruptcyCasesforPurposesofDisqualification


7/241

Guide to Judiciary Policy,Vol.2B,Ch.2 Pagevii

210 Index


No.101. DisqualificationDuetoDebtInterests

No.106. MutualorCommonInvestmentFunds

No.110. SeparatelyManagedAccounts

Disqualification/Recusal Reasonable Basis reImpartiality

No.66. DisqualificationFollowingConductComplaintAgainstAttorneyorJudge

No.70. DisqualificationWhenFormerJudgeAppearsasCounsel

No.71. DisqualificationAfterOralArgument

No.97. DisqualificationofMagistrateJudgeBasedonAppointmentorReappointmentProcess

No.103. DisqualificationBasedonHarassingClaimsAgainstJudge

Disqualification/Recusal Timing and Procedures

No.69. RemovalofDisqualificationbyDisposalofInterest

No.71. DisqualificationAfterOralArgument

No.90. DutytoInquireWhenRelativesMayBeMembersofClassAction

No.100. IdentifyingPartiesinBankruptcyCasesforPurposesofDisqualification

Divestiture No.69. RemovalofDisqualificationbyDisposalofInterest

Expense Reimbursement No.3. ParticipationinaSeminarofGeneralCharacter

No.17. AcceptanceofHospitalityandTravelExpenseReimbursementsFromLawyers

No.67. AttendanceatIndependentEducationalSeminars

Extrajudicial Activities No.2. ServiceonGoverningBoardsofNonprofitOrganizations


8/241

Guide to Judiciary Policy,Vol.2B,Ch.2 Pageviii

210 Index


No.40. ServiceonGoverningBoardofNonprofitOrganizationthatTendstoBecomeInvolvedinCourtProceedings

No.43. ServiceasaStatutoryMemberofaCitizensSupervisoryCommissionoftheCountyPersonnelBoard

No.44. ServiceonGoverningBoardofaPublicCollegeorUniversity

No.50. AppearanceBeforeaLegislativeorExecutiveBodyorOfficial

No.79. UseofChambers,Resources,andStaffforLaw-RelatedActivitiesPermittedbyCanon4


No.82. JoiningOrganizations

No.85. MembershipandParticipationinthe

AmericanBarAssociation

No.93. ExtrajudicialActivitiesRelatedtotheLaw

No.112. UseofElectronicSocialMediabyJudgesandJudicialEmployees

For-profit Activities No.29. ServiceasPresidentorDirectorofaCorporationOperatingaCooperativeApartmentorCondominium

Former and Retired Judges No.70. DisqualificationWhenFormerJudge

AppearsasCounselNo.72. UseofTitleJudgebyFormerJudges

No.84. PursuitofPost-JudicialEmployment

No.113.EthicalObligationsforRecall-EligibleMagistrateandBankruptcyJudges


9/241

Guide to Judiciary Policy,Vol.2B,Ch.2 Pageix

210 Index


Fund Raising No.32. LimitedSolicitationofFundsfortheBoyScoutsofAmerica

No.35. SolicitationofFundsforNonprofitOrganizations,IncludingListingofJudgesonSolicitationMaterials

No.42. ParticipationinFundRaisingforaReligiousOrganization

No.91. SolicitationandAcceptanceofFunds

fromPersonsDoingBusinessWiththeCourtsGifts, Mementoes No.88. ReceiptofMementoesorOtherTokens

UndertheProhibitionAgainsttheReceiptofHonorariaforAnyAppearance,Speech,orArticle

No.98. GiftstoNewlyAppointedJudges

Historical Societies No.104. ParticipationinCourtHistoricalSocietiesandLearningCenters

Honors/Awards No.46. AcceptanceofPublicTestimonialsorAwards

No.89. AcceptanceofHonorsFundedThroughVoluntaryContributions

Law Clerks No.51. LawClerkWorkingonCaseinWhichaPartyIsRepresentedbySpousesLawFirm

No.64. EmployingaJudgesChildasLawClerk

No.74. PendingCasesInvolvingLawClerksFutureEmployer

No.83. PaymentstoLawClerksfromFutureLawFirmEmployers

No.109.ProvidingConflictListstoDepartingLawClerks

No.112. UseofElectronicSocialMediabyJudgesandJudicialEmployees


10/241

Guide to Judiciary Policy,Vol.2B,Ch.2 Pagex

210 Index


Law Firm/Former Law Firm No.24. FinancialSettlementandDisqualificationonResignationFromLawFirm

Law-related ExtrajudicialActivities

No.7. ServiceasFacultyMemberoftheNationalCollegeofStateTrialJudges

No.79. UseofChambers,Resources,andStaffforLaw-RelatedActivitiesPermittedbyCanon4

No.105. ParticipationinPrivateLaw-RelatedTrainingPrograms

Magistrate Judges No.48. ApplicationofJudicialConferenceConflict-of-InterestRulesforPart-timeMagistrateJudges

No.76. ServiceofStateEmployeesasPart-timeUnitedStatesMagistrateJudges

No.97. DisqualificationofMagistrateJudgeBasedonAppointmentorReappointmentProcess

No.113.EthicalObligationsforRecall-EligibleMagistrateandBankruptcyJudges

Non-law-related ExtrajudicialActivities


Political Activities No.19. MembershipinaPoliticalClub

No.53. PoliticalInvolvementofaJudgesSpouse

No.92. PoliticalActivitiesGuidelinesforJudicialEmployees

Post-judicial Employment No.84. PursuitofPost-JudicialEmployment


11/241

Guide to Judiciary Policy,Vol.2B,Ch.2 Pagexi

210 Index


Recommendations No.59. ProvidingEvaluationofJudicialCandidatetoScreeningorAppointingAuthority

No.65. ProvidingaRecommendationforPardonorParole

No.73. ProvidingLettersofRecommendationandSimilarEndorsements

Representation by DOJ No.102. DisqualificationIssuesRelatingtoJudgeBeingSuedinOfficialCapacity,Including

RepresentationbyDepartmentofJusticeScholarships No.89. AcceptanceofHonorsFundedThrough

VoluntaryContributions

Seminars and Training No.3. ParticipationinaSeminarofGeneralCharacter

No.67. AttendanceatIndependentEducationalSeminars

No.87. ParticipationinContinuingLegalEducationPrograms

No.105. ParticipationinPrivateLaw-RelatedTrainingPrograms

No.108. ParticipationinGovernment-SponsoredTrainingofGovernmentAttorneys

Settlement No.95. JudgesActinginaSettlementCapacity

Special Master No.61. AppointmentofLawPartnerofJudgesRelativeasSpecialMaster


12/241

Guide to Judiciary Policy,Vol.2B,Ch.2 Pagexii

210 Index


Trusts, Trustee No.27. DisqualificationBasedonSpousesInterestasBeneficiaryofaTrustfromwhichDefendantLeasesProperty

No.33. ServiceasaCo-trusteeofaPensionTrust

No.44. ServiceonGoverningBoardofaPublicCollegeorUniversity

No.96. ServiceasFiduciaryofanEstateorTrust

United States Attorneys No.38. DisqualificationWhenRelativeIsanAssistantUnitedStatesAttorney

No.60. AppointmentofSpouseofanAssistantUnitedStatesAttorneyasPart-timeMagistrateJudge

No.81. UnitedStatesAttorneyasLawClerksFutureEmployer

No.102. DisqualificationIssuesRelatingtoJudgeBeingSuedinOfficialCapacity,Including

RepresentationbyDepartmentofJustice

Writings and Publications No.55. ExtrajudicialWritingsandPublications

No.114. PromotionalActivityAssociatedwithExtrajudicialWritingsandPublications


13/241

Guide to Judiciary Policy,Vol.2B,Ch.2 Page2-1

220 The Advisory Opinions

Committee on Codes of ConductAdvisory Opinion No. 2

Service on Governing Boards of Nonprofit Organizations

Judgesareofteninvitedtoserveonthegoverningboardsofnonprofitreligious,civic,charitable,educational,fraternal,orsocialorganizations.ThisopinionaddressestheproprietyunderCanon4Bofajudgeservingontheboardofanonprofitorganization. Thisopiniondoesnotaddressjudgesinvolvementwithlaw-relatednonprofitorganizations,whichiscoveredbyCanon4A(3). See alsoAdvisoryOpinionNo.34(ServiceasOfficeroronGoverningBoardofBarAssociation).

Judgeswhowishtoparticipateintheircommunitiesthroughserviceonnonprofitboardsareatlibertytodoso,subjecttocertainrestrictionsdiscussedbelowandinCanon4oftheCodeofConductforUnitedStatesJudges. Indecidingwhethertoserveonaparticularnonprofitboard,judgesshouldbearinmindtheCodesbasicimperativethat[a]judgeshouldavoidimproprietyandtheappearanceofimproprietyinallactivities. Canon2. Thejudgeshouldalsoconsiderthefollowingfactors:

Thejudgemustnotreceiveanycompensationforservicetotheorganization,althoughthejudgemayreceivereimbursementforexpensesreasonablyrelatedtothatservice.

Thejudgesservicemustnotinterferewiththepromptandproperperformanceofjudicialduties.Thedutiesofjudicialofficetakeprecedenceoverallotheractivities. Canon3. Accordingly,ajudgeshouldconsiderexistingjudicialandextrajudicialobligationsbeforeacceptingmembershiponanonprofitboard.

Thejudgemaynotserveontheboardofanyorganizationthatpracticesinvidiousdiscrimination.Canon2C.

Thejudgeshouldnotserveontheboardofanonprofitcivic,charitable,

educational,religiousorsocialorganizationifitislikelythattheorganizationwilleitherbeengagedinproceedingsthatwouldordinarilycomebeforethejudgeorberegularlyengagedinadversaryproceedingsinanycourt. Canon4B(1). Thisproscriptionwouldlikelyprecludejudgesservingonboardsforcertaintypesofnonprofitorganizations,suchaslegalaidbureaus.See alsoAdvisoryOpinionNos.28(ServiceasOfficerorTrusteeofHospitalorHospitalAssociation)and40(Serviceon


14/241


GoverningBoardofNonprofitOrganizationthatTendstoBecomeInvolvedinCourtProceedings).

Thejudgemustnotpersonallyengageinfund-raisingfortheorganization,subjecttotheexceptionsnotedinCanon4Cregardingfamilymembersandcertainjudicialcolleagues.Thejudgeshouldnotuseorpermittheuseoftheprestigeofofficeforfund-raisingpurposes.Canon4C.However,ajudgemayassistanonprofitorganizationinplanningfund-raisingactivities. Id. Further,theorganizationsletterheadmaylistthejudgesnameandtitleifcomparableinformationanddesignationsarelistedforothers. CommentarytoCanon4C. See alsoAdvisoryOpinionNo.35(SolicitationofFundsforNonprofitOrganizations,IncludingListingofJudgesonSolicitationMaterials).

Thejudgemaynotgiveinvestmentadvicetotheorganization,althoughitisacceptabletositonaboardthatisresponsibleforapprovinginvestmentdecisions. Canon4B(2).

Thejudgeshouldnotserveontheboardofanonprofitorganizationifthejudgeperceivesthereisanyotherethicalobligationthatwouldprecludesuchservice. Forexample,iftheorganizationtakespublicpositionsoncontroversialtopics,associationwiththegroupmightraiseareasonablequestionregardingthejudgesimpartiality.Thejudgeshouldbearinmindthatthepublicwillnormallybeuninformedofanyrestrictionorqualificationthatthejudgemayhaveplacedonaffiliationwiththeorganization.

Thejudgeshouldremainknowledgeableaboutthegroupsactivitiesinordertoregularlyreassesswhetherparticipationintheorganizationcontinuestobeappropriate.

Withthesecautionsinmind,theCommitteereiteratesthatjudgesmaycontributetotheircommunitiesthroughserviceonnonprofitboards,subjecttocertainethicalobligations.

June2009


15/241



Participation in a Seminar of General Character

Thisopiniondiscussesparticipationbyjudgesinseminarsofgeneralcharacter.Canon4HoftheCodeofConductforUnitedStatesJudgesprovidesthat[a]judgemayacceptcompensationandreimbursementofexpensesforthelaw-relatedandextrajudicialactivitiespermittedbythisCodeifthesourceofpaymentsdoesnotgivetheappearanceofinfluencingthejudgeinthejudgesjudicialdutiesorotherwisegivetheappearanceofimpropriety,subjecttothefollowinglimitations:...(2)Expensereimbursementshouldbelimitedtotheactualcostsoftravel,food,andlodgingreasonablyincurredbythejudgeand,whereappropriatetotheoccasion,bythejudgesspouseorrelative. Anyadditionalpaymentiscompensation. Forexample,judges

mayproperlyacceptalimitedscholarshipforpartialreimbursementoftravelandsubsistenceexpensesincurredwhileattendingandparticipatingintheAppellateJudgesSeminarconductedeachsummerundertheauspicesoftheNewYorkUniversityLawSchool. Attheseminar,federalandstatejudgesinattendanceaddresssubjectsrelatingtotheoperationandfunctioningofappellatecourts.Participatingjudgesarenotcompensated. TheCommitteeadvisesthatthereisnoimproprietyundertheCodeintheattendancebyafederaljudgeatsuchaseminar,orthejudgesacceptanceofsuchascholarship.

Asanadditionalexample,theCommitteealsoadvisesthatitispermissibleforajudgetoparticipateasafacultymemberinatwo-weekseminaronhumaniststudies.

Thecontentoftheseminarisbroadlybased,philosophicinnature,andintendedtopromotediscussionindepthamongfacultyandparticipants. Nocompensationispaidtothejudge,butthejudgeisreimbursedforthetravel,foodandlodgingexpensesofthe

judgeandthejudgesspouseduringtheperiodoftheinstitute. TheCommitteeisoftheopinionthatthejudgemayproperlyparticipatesolongasthecommitmentdoesnotinterferewithofficialdutiesandprovidesnogroundforanyreasonablesuspicionthatthejudgepersuadedotherstopatronizeorcontributetotheseminarsponsor.See also

AdvisoryOpinionNo.67(relatingtoattendanceatprivately-fundedseminars).

June2009


16/241



Service as Faculty Member of the National College of State Trial Judges

ThisopinionaddressestheproprietyofservingasamemberofthefacultyoftheNationalCollegeofStateTrialJudges.Thejudgewouldreceivenocompensationforsuchservices,butwouldbereimbursedfortravelandsubsistenceforthejudgeandthe

judgesspouse. Weassumethatthemembershipwouldnotinterfereorimpingeuponthefullperformanceofjudicialduties.

TheCommitteeisoftheopinionthatthereisnoimproprietyinajudgeparticipatingasafacultymemberoftheNationalCollegeofStateTrialJudges.Canon4A(1). Wealsobelievethatthejudgeandthejudgesspouseorrelativemayaccept

reimbursementfortravelandsubsistence,solongasthatreimbursementdoesnotexceedtheactualcostsoftravel,food,lodgingandrelatedexpenses.Canon4H(2).However,thejudgeshouldmakeanyrequiredfinancialdisclosures.Canon4H(3).

June2009


17/241



Testifying as a Character Witness

Thisopinionaddressestheissueofajudgetestifyingasacharacterwitness.Bywayofexample,weconsiderthefollowingsituation:Astatecourttrialjudgeisontrialonfederalfraudcharges. Thedefendantproposestoaskoneormoreofthefederal

judgesofthedistrictcourtinwhichtheprosecutionisproceedingtotestifyasacharacterwitness. Thedistrictjudgesholddifferingviewsastotheproprietyofappearingasawitness,especiallyinthejudgesowndistrict.

Canon2oftheCodeofConductforUnitedStatesJudgesanditsCommentaryprovidevaluableguidance.Canon2Bstatesthat[a]judgeshouldnottestifyvoluntarily

asacharacterwitness. TheCommentaryelaboratesfurtheronthisadvice:

Testimonyasacharacterwitnessinjectstheprestigeofthejudicialofficeintotheproceedinginwhichthejudgetestifiesandmaybeperceivedasanofficialtestimonial. Ajudgeshoulddiscourageapartyfromrequiringthejudgetotestifyasacharacterwitnessexceptinunusualcircumstanceswhenthedemandsofjusticerequire. ThisCanondoesnotcreateaprivilegeagainsttestifyinginresponsetoanofficialsummons.

TheCommitteebelievesthatthepracticeofjudgesappearingascharacterwitnessesshouldbediscouraged,exceptwherejusticedemands,butweaffirmthata

judgemustrespondtoasubpoena.Ifajudgetestifiesinresponsetoasubpoena,someoftheotherwiseunfortunateeffectsofprovidingcharactertestimonymaybedissipatedifthetrialjudge,eitherondirectorcross-examination,makesitclearthatthe

judge-witnessistestifyinginresponsetoofficialsummons. Moreover,totheextentthatthetrialcourthasdiscretiontolimitcharacterevidencegenerally,thetrialjudgeshouldconsiderlimitingthenumberofjudgesprovidingthatevidence.

June2009


18/241



Disqualification Where Long-Time Friend or Friends Law Firm Is Counsel

Thisopinionaddresseswhetherajudgeshouldrecuseinacasewhereoneoftheattorneysiseitheralong-timefriendofthejudgeorfromalong-timefriendslawfirm. Asanexample,weconsiderwhetherajudgeshouldrecuseincaseswhereoneoftheattorneysisafriendoflongstandingandisalsoagodfatherofoneofthejudgeschildren. Wefurtherdiscusswhetherthejudgeshouldsitincaseswhereapartyisrepresentedbyamemberorassociateofthatfriendsfirm.

Thefirstquestionisnotcapableofanswerbycrispformulation. Canon2Bprohibitsajudgefromallowingfamily,socialorvariousotherrelationshipstoinfluence

judicialconductorjudgment. Itlikewisedirectsjudgesnottoconveyorallowotherstoconveytheimpressionthatanotherpersonisinaspecialpositiontoinfluencethejudge.Inasimilarvein,Canon3Crequiresajudgetorecusewhenthejudgesimpartialitymightreasonablybequestioned,includingbutnotlimitedtoanumberofenumeratedcircumstances,includingtheappearanceofrelativeswhoarewithinthethirddegreeofrelationshipascounseloraparty.

AgodfatherisnotarelativewithinthemeaningofCanon3C(1)(d)andisnototherwisecoveredbyanyoftheenumeratedcircumstancesrequiringrecusal.Recusalmaynonethelessberequiredifthecircumstancesaresuchthatthejudgesimpartialitycouldreasonablybequestioned.Nosuchquestionwouldberaisediftherelationship

weresimplyoneofhistoricalsignificance,thegodfatherbeingmerelywithinthewidecircleofthejudgesfriends,andtheobligationhavingbeenperfunctorilyassumed.Bycontrast,ifthegodfatherisaclosefriendwhoserelationshipislikethatofacloserelative,thenthejudgesimpartialitymightreasonablybequestioned. Ultimately,thequestionisonethatonlythejudgemayanswer.

Thequestionregardingmembersorassociatesofthefirmofthefriendandgodfatherposesnoproblem. Wedonotbelievethatjudgesmustrecusefromallcaseshandledbyalawfirmsimplybecausejudgeshavelawfirmmembersforfriends.

Althoughtheremaybespecialcircumstancesdictatingdisqualification,afriendlyrelationshipisnotsufficientreasoninitself.

June2009


19/241



Acceptance of Hospitality and Travel Expense Reimbursements From Lawyers

Thisopinionaddressesajudgesacceptanceofhospitalityextendedbylawyers.ThepertinentcanonsoftheCodeofConductforUnitedStatesJudgesareCanon2,whichrequiresajudgetoavoidtheappearanceofimpropriety,Canon2B,whichprovidesthatajudgeshouldnotlendtheprestigeofjudicialofficetoadvancetheprivateinterestsofthejudgeorothers,norconveyorpermitotherstoconveytheimpressionthattheyareinaspecialpositiontoinfluencethejudge,andCanon4H(2),whichpermitsreimbursementforextrajudicialactivitiespermittedbytheCode,limitedtotheactualcostoftravel,food,andlodgingreasonablyincurredbythejudgeand,whereappropriatetotheoccasion,bythejudgesspouseorrelative. Alsorelevantarethe

EthicsReformActGiftRegulations.Sections3(a)and(b)oftheGiftRegulationsexcludefromthedefinitionofagiftsocialhospitalitybasedonpersonalrelationshipsandmodestitems,suchasfoodandrefreshments,offeredasamatterofsocialhospitality. Sections5(b)(3)and(b)(4)permitjudgestoacceptinvitationstobar-relatedfunctionsandappropriategiftsfromrelativesandfriends.

Canon4HoftheCodeprovides:

Ajudgemayacceptcompensationandreimbursementofexpensesforthelaw-relatedandextrajudicialactivitiespermittedbythisCodeifthesourceofthepaymentsdoesnotgivetheappearanceofinfluencingthejudgeinthejudges

judicialdutiesorotherwisegivetheappearanceofimpropriety,subjecttothefollowingrestrictions:...(2)Expensereimbursementshouldbelimitedtotheactualcostoftravel,food,andlodgingreasonablyincurredbythejudgeand,whereappropriatetotheoccasion,bythejudgesspouseorrelative. Anyadditionalpaymentiscompensation.

Applicationofthesestandardstothecontextofhospitalityextendedbylawyersrequiresrecognitionofboththeneedtoavoidtheappearanceofimproprietyandtheappropriatenessofencouragingjudgestomaintaincollegialrelationshipswithmembersofthebar. Weconsidertheissueseparatelywithrespecttolawyerorganizations,lawfirms,andindividuallawyers.

Whenhospitalityisextendedbylawyerorganizations,theriskofanappearanceofimproprietyismarkedlyreduced,comparedtohospitalityconferredbyaparticularlawfirmorlawyer.Section5(b)(3)oftheGiftRegulationsspecificallyauthorizesacceptanceofaninvitationandtravelexpensesforthejudgeandafamilymembertoattendbar-relatedfunctions. Weseenoimproprietyifajudgeandspousearereimbursedforhotelandtravelexpensesreasonablyrequiredfortheirattendanceatdinnersandsimilarsocialeventssponsoredbylawyerorganizationssuchasbar


20/241


associations. Anappearanceofimproprietymightarise,however,ifthehospitalitywasextendedbylawyerorganizationsidentifiedwithaparticularviewpointregularlyadvancedinlitigation.

Hospitalityextendedbyalawfirmobviouslycanmorereadilyraisequestionsabouttheappearanceofimpropriety. Also,section5(a)oftheGiftRegulationsrestricts

judgesfromacceptinggiftsfrompersonswhoareseekingofficialactionfromordoingbusinesswiththecourt,orwhoseinterestsmaybesubstantiallyaffectedbytheperformanceornonperformanceofthejudgesofficialduties.Inthiscontext,webelievethatajudgeandspousemayattendcocktailpartieshostedbylawfirmsinconnectionwithbarassociationgatheringsandaninfrequentdinnercommemoratingafirmssignificantanniversary,butshouldnotaccepthotelandtravelexpensereimbursement.

Hospitalityofanindividuallawyerisamatterofprivatesocialrelationships.

Sections3(a)and(b)oftheGiftRegulationsexcludefromthedefinitionofgiftsocialhospitalitybasedonpersonalrelationshipsandmodestitems,suchasfoodandrefreshments,offeredasamatterofsocialhospitality,andsection5(b)(4)permits

judgestoacceptordinarysocialhospitalityandappropriategiftsfromrelativesandfriends. Individualdeterminationsmustbemadeastotheappropriateextentofsuchrelationshipsandthepointatwhichsuchrelationshipswarrantrecusalfromcasesinwhichthelawyerappears.

Finally,attentionshouldbecalledtoAdvisoryOpinionNos.3and67, whichrelatetoparticipationinandattendanceatseminars,andincludeconsiderationofacceptingreimbursementforrelatedexpenses.

June2009


21/241



Membership in a Political Club

Thisopinionaddressestheproprietyofajudgecontinuingmembershipinapoliticalclub.Weconsiderasanexample: Aclubscertificateofincorporationstatesthatoneofthemainpurposesoftheclubisadvocatingandmaintainingtheprinciplesofthenamedpoliticalparty. Theclubisveryactivepolitically,butthejudgedoesnotactivelyparticipateintheclub. Thejudgesparticipationislimitedtoeatinglunchattheclubonanaverageofonceayear.

Canon5oftheCodeofConductforUnitedStatesJudgesprovides:

A. General Prohibitions. Ajudgeshouldnot:

(1) actasaleaderorholdanyofficeinapoliticalorganization;

(2) makespeechesforapoliticalorganizationorcandidateorpubliclyendorseoropposeacandidateforpublicoffice;or

(3) solicitfundsfor,payanassessmentto,ormakeacontributiontoapoliticalorganizationorcandidate,orattend

orpurchaseaticketforadinnerorothereventsponsoredbyapoliticalorganizationorcandidate.

B. Resignation upon Candidacy. Ajudgeshouldresignthejudicialofficeifthejudgebecomesacandidateinaprimaryorgeneralelectionforanyoffice.

C. Other Political Activity. Ajudgeshouldnotengageinanyotherpoliticalactivity. Thisprovisiondoesnotpreventa

judgefromengaginginactivitiesdescribedinCanon4.

TheCommentarytoCanon5states:Thetermpoliticalorganizationreferstoapoliticalparty,agroupaffiliatedwithapoliticalpartyorcandidateforpublicoffice,oranentitywhoseprincipalpurposeistoadvocatefororagainstpoliticalcandidatesorpartiesinconnectionwithelectionsforpublicoffice.

Theethicalproscriptiononjudgesengaginginpartisanactivitiesislongstanding.TheAmericanBarAssociationadoptedtheCanonsofJudicialEthicsin1923;Canon28


22/241


ofthoseCanonswasapredecessorofCanon5oftheCodeofConduct. IninterpretingCanon28,theABACommitteeonProfessionalEthicsstatedinitsFormalOpinion113:

Ajudgeisentitledtoentertainhispersonalviewsofpoliticalquestions,butshouldnotdirectlynorindirectlyparticipateinpartisanpoliticalactivities.Itisgenerallyacceptedinarationalphilosophyoflifethatwitheverybenefitthereisacorrespondingburden. Accordingly,onewhoaccepts

judicialofficemustsacrificesomeofthefreedominpoliticalmattersthatotherwisehemightenjoy.Whenheacceptsa

judicialposition,ex necessitate rei,hetherebyvoluntarilyplacescertainwellrecognizedlimitationsuponhisactivities.

TheclubemployedasanexamplehereisapoliticalorganizationunderCanon

5,andthusajudgesmembershipcouldbeconsideredasgivingtheappearanceofpartisanactivities. Atalltimesajudgesconductistobefreeoftheappearanceofimpropriety. Canon2. AstheCommentarytoCanon2Ainstructs,inpart,[a]judgemustavoidallimproprietyandappearanceofimpropriety. Thisprohibitionappliestobothprofessionalandpersonalconduct.Ajudgemustexpecttobethesubjectofconstantpublicscrutinyandacceptfreelyandwillinglyrestrictionsthatmightbeviewedasburdensomebytheordinarycitizen. TheCommitteeadvisesthatajudgeshouldresignsuchamembershipinapoliticalclub.

June2009


23/241



Disqualification Based on Stockholdings by Household Family Member

Thisopinionaddressesrecusalissuesrelatedtostockinvestmentsbyajudgeshouseholdfamilymember. TheCommitteetakesasanexampleadistrictjudgewhosespouseowns150sharesofstockworthabout$10,000inoneofthelargestAmericancorporations. Weconsiderinthisopinionwhetheritwouldbeproperforthatjudgetohearanddecideacasetowhichthestock-issuingcorporationisaparty,wherethe

judgetoldallthelawyersinadvanceofthespousesholdings,askediftheyobjectedtothejudgehearingthecase,andwastoldbythelawyersforbothsidesthattheyhadnoobjection.

Canon3oftheCodeofConductforUnitedStatesJudgesprovides,[a]judgeshouldperformthedutiesoftheofficefairly,impartiallyanddiligently,andCanon3Cfurtherprovides:

(1) Ajudgeshalldisqualifyhimselforherselfinaproceedinginwhichthejudgesimpartialitymightreasonablybequestioned,includingbutnotlimitedtoinstancesinwhich:

* * *

(c) thejudgeknowsthatthejudge,individually

orasafiduciary,orthejudgesspouseorminorchildresidinginthejudgeshousehold,hasafinancialinterestinthesubjectmatterincontroversyorinapartytotheproceeding,oranyotherinterestthatcouldbeaffectedsubstantiallybytheoutcomeoftheproceeding[.]

Theseprovisionsaresimilartothosefoundin28,UnitedStatesCode,section455(b)(4),whichrequiresajudgetodisqualifyunderthecircumstancessetforthabove. WhiletheCommitteeisnotauthorizedtointerpretthestatute,theCommitteedoeshaveauthoritytointerprettheprovisionsofthecanon,whicharesubstantially

identicaltosection455(b)(4).

ItisclearthatundertheprovisionsofCanon3C(1)(c)ajudgemustdisqualifyhimselforherselfinanycaseinwhichthejudgesspouseorminorchildresidinginthehouseholdownsstockinapartytotheproceeding.(Further,theCommentarytoCanon3Cexplainsthat,forpurposesofrecusal,considerationsapplicabletoajudgesspouseshouldbeconsideredwithrespecttoapersonotherthanaspousewithwhomthejudgemaintainsbothahouseholdandanintimaterelationship.)Canon3C(3)(c)provides


24/241


thatafinancialinterestmeansownershipofalegalorequitableinterest,howeversmall,withcertainexceptionsnotapplicabletothissituation.Ownershipofevenoneshareofstockbythejudgesspousewouldrequiredisqualification.

DuetothemandatorylanguageofCanon3,remittalofdisqualificationinthesecircumstancesisnotpermitted.

June2009


25/241



Financial Settlement and Disqualification on Resignation From Law Firm

Thisopinionaddresseshowanewly-appointedfederaljudgewhoiswithdrawingfromprivatepracticeatalawfirmshouldaddressrelatedfinancialsettlementanddisqualificationissues.Asanexample,weconsiderthefollowingsituation:Thenewly-appointedjudgeisinactivepracticeinalawpartnership.Thepartnershipagreementprovidesforpaymentofanagreedamountrepresentingtheretiringpartnersinterestinthefirm.Someofthepaymentsaretobepaidintheyearsfollowingthepartnersappointmentasajudge.

Apartnerwholeavesalawfirmtobecomeafederaljudgeshould,ifpossible,

agreewiththepartnersonanexactamountthatthejudgewillreceiveforhisorherinterestinthefirm,whetherthatsumistobepaidwithintheyearoroveraperiodofyears.

Suchagreed-uponpaymentsmaybemadetothejudgeprovided(1)itisclearthatthejudgeisnotsharinginprofitsofthefirmearnedafterthejudgesdeparture,asdistinguishedfromsharinginanamountrepresentingthefairvalueofthejudgesinterestinthefirm,includingthefairvalueofthejudgesinterestinfeestobecollectedinthefutureforworkdonebeforeleavingthefirm,and(2)thejudgedoesnotparticipateinanycaseinwhichanyattorneyintheformerfirmiscounseluntilthefirmhaspaidthefullamountthejudgeisentitledtoreceiveundertheagreement.

Apartfromrecusalduringtheperiodwhenthejudgeisreceivingpaymentsfromaformerlawfirm,thereisabroaderquestionoftheappearanceofimproprietyinthe

judgeshearingcasesinvolvingthatfirm. Manyjudgeshaveaself-imposedautomaticruleofdisqualificationforaspecifiednumberofyearsafterleavingthelawfirm.Howlongajudgeshouldcontinuetorecusedependsuponvariouscircumstances,suchastherelationshipthejudgehadatthelawfirmwiththelawyerappearingbeforethe

judge,thelengthoftimesincethejudgeleftthelawfirm,andtherelationshipbetweenthejudgeandtheparticularclient,andtheimportanceofthatclienttothefirmspractice. TheCommitteerecommendsthatjudgesconsiderarecusalperiodofatleasttwoyears,recognizingthattherewillbecircumstanceswherealongerperiodismore

appropriate. Inallcasesinwhichthejudgesformerlawfirmappearsbeforethejudge,thejudgeshouldcarefullyanalyzethesituationtodeterminewhetherhisorherparticipationwouldcreateanyappearanceofimpropriety.

June2009


26/241



Disqualification Based on Holding Insurance Policy from Company that is a Party

Occasionally,casesariseinwhichaninsurancecompanyisapartyandthejudgehasarelationshiptothatcompany,generallyintheformofaninsurancepolicyinvolvingthejudge,thejudgesspouseorthejudgeschildren.Thepolicymaybeforhealthinsurance,lifeinsuranceorothertypesofcoverage.Thisopinionaddresseswhetherajudgeshouldrecuseinthatsituation.

Canon3C(1)oftheCodeofConductforUnitedStatesJudgesprovides:

(1) Ajudgeshalldisqualifyhimselforherselfina

proceedinginwhichthejudgesimpartialitymightreasonablybequestioned,includingbutnotlimitedtoinstancesinwhich:

* * *

(c) thejudgeknowsthatthejudge,individuallyorasafiduciary,orthejudgesspouseorminorchildresidinginthejudgeshousehold,hasafinancialinterestinthesubjectmatterincontroversyorinapartytotheproceeding,oranyotherinterestthat

couldbeaffectedsubstantiallybytheoutcomeoftheproceeding[.]

Thus,inanylitigationinwhichaninsurancecompanyisaparty,iftheoutcomeofthelitigationcouldsubstantiallyaffectthevalueofthejudgesinterest,i.e.thepolicyinthecompanyinvolved,thejudgeshouldrecuse. Thejudgeshouldalsorecuseifanyotherinterest(otherthanafinancialinterest)couldbeaffectedsubstantiallybytheoutcomeoftheproceeding. Thesamerulesapplytopoliciesheldbythejudgesspouseorminorchildrenresidinginthejudgeshousehold.(Notethatforpurposesofrecusal,considerationsapplicabletoajudgesspouseshouldbeconsideredwithrespecttoapersonotherthanaspousewithwhomthejudgemaintainsbotha

householdandanintimaterelationship.Canon3CCommentary.)

Thisissueinitiallyarosein1973whenweconsideredwhetherjudgeswhoholdBlueCrosspoliciescouldsitinacasebroughtbyaninsurancecompanyagainstalocalBlueCrossorganization.Atthetime,allbuttwoofthecircuitjudgesthroughoutthecountry,whetherinactiveorseniorstatus,participatedinvarioushealthbenefitplanswithBlueCross-BlueShieldorsomeotherinsurancecompanyorassociationasthecarrier. ThefederalgovernmentwouldnegotiatecoveragebyBlueCross-BlueShield,


27/241


andtheAdministrativeOfficewouldpayalumpsumforthecoverageprovidedthejudiciary. Thefederalgovernmentdidnotdobusinesswithlocalorganizations.Thistypeofpracticewasfollowedwithrespecttotheotherinsurersparticipatinginthefederalemployeeshealthbenefitsprogram.ItappearedthatpracticallyallcircuitjudgescouldbeaffectedinaslightdegreebytheresultofthependingcaseinwhichBlueCrosswasaparty.

TheCommitteedeterminedthattheintereststhatthejudgeshadintheBlueCrosspolicieswouldnotbeconsideredfinancialinterestswithinthemeaningofthattermasitisusedintheCodeofConductforUnitedStatesJudges.Weconcludedtheinterestwasanalogoustotheproprietaryinterestofapolicyholderinamutualinsurancecompany,oradepositorinamutualsavingsassociation,orasimilarproprietaryinterest,whichCanon3C(3)(c)(iii)statesisafinancialinterestintheorganizationonlyiftheoutcomeoftheproceedingcouldsubstantiallyaffectthevalueof

theinterest.Werenderedsimilaradviceregardingjudgeswhowereinsuredunderagovernment-wideindemnityplanwrittenbytheAetnaCasualtyandSuretyCompany.

Insum,theCommitteeadvisesthatwhenaninsurancecompanyisaparty,thejudgeordinarilyneednotrecuseunlessthejudgehasafinancialinterestinthecompany. Thejudgehasafinancialinterestinthecompanyonlyiftheoutcomeoftheproceedingcouldsubstantiallyaffectthevalueofthejudgesinterestinthecompany.Thiscouldoccurif,asaresultofajudgmentagainsttheinsurancecompanyintheparticularcase,thejudgespremiumscouldbesignificantlyincreasedorcoveragesubstantiallyreduced. Conceivably,ahugejudgmentagainstamedicalinsurercouldmakeitimpossiblefortheinsurertocontinuetooperateatall,oratitspriorlevel.

June2009


28/241



Disqualification Based on Spouses Interest as Beneficiary of a Trust from whichDefendant Leases Property

Thisopinionconsiderswhetherajudgeshouldrecuseinacaseinwhichthejudgesspouseisthebeneficiaryofatrustfromwhichthedefendantleasesproperty.Bywayofexplanation,weconsiderthefollowingcircumstances:Ajudgeisassignedaclassactioncaseallegingfederalandstateantitrustallegationsandvariousstatutoryandconstitutionalviolations.Defendantsarevariousmajordistillingcompanies,localwholesalers,retaildrugstores,thestatethroughitsalcoholicbeveragecommission,andtheStateWholesaleLiquorDealersAssociation.

Oneofthedrugstoredefendantsisalesseeinashoppingcenter.Thelessorisanationalbank,actingastrustee. Thejudgesspouseisthesolebeneficiaryofthetrustasitrelatestotheshoppingcenteroperation.Theleasewasinexistenceatthetimethespouseacquiredtheinterest,andwillcontinueforseveralyearsinthefuture.Theannualrentalincomeissubstantial,butbarelyexceedsfivefigures.Thepropertyismanagedbyarealestatefirm.

Canon3C(1)(c)oftheCodeofConductforUnitedStatesJudgesprovides:

Ajudgeshalldisqualifyhimselforherselfinaproceedinginwhichthejudgesimpartialitymightreasonably

bequestioned,includingbutnotlimitedtoinstancesinwhich:

***

(c) thejudgeknowsthatthejudge,individuallyorasafiduciary,orthejudgesspouseorminorchildresidinginthejudgeshousehold,hasafinancialinterestinthesubjectmatterincontroversyorinapartytotheproceeding,oranyotherinterestthatcouldbeaffectedsubstantiallybytheoutcomeofthe

proceeding[.]

Canon3C(3)(c)statesthatafinancialinterestmeansownershipofalegalorequitableinterest,howeversmall....Itwouldappearthatthespousedoesnothaveafinancialinterestinthesubjectmatterincontroversyorinapartytotheproceeding,asfinancialinterestisdefinedinCanon3C(3)(c).


29/241


Whetherthespousehas[an]otherinterestthatcouldbeaffectedsubstantiallybytheoutcomeoftheproceedingcannotbedeterminedonthefactsusedinthisexample.Informationastotheextentoftheoperationsofthedrugstorelesseeandthepotentialeffectofanadversejudgmentwouldhelptodeterminewhethertheinterestofthe

judgesspousecouldbesubstantiallyaffectedbytheoutcomeoftheantitrustaction.However,suchadeterminationwouldnotcompletelyresolvethequestion,asdisqualificationisnotlimitedtothespecificallyenumeratedinstancesunderCanon3C(1),ofwhich(c)isbutone.

Canon3C(1)isclearthatajudgeshoulddisqualifyinanyproceedinginwhichhisorherimpartialitymightreasonablybequestioned. ThisdirectiveistobereadinconnectionwithCanon2,whichstatesthat[a]judgeshouldavoidimproprietyandtheappearanceofimproprietyinallactivities. Topresideinacaseinvolvingadefendantwhopaysasubstantialamountofrentthatisultimatelycreditedtothejudgesspouse

might,inouropinion,raiseareasonablequestionregardingthejudgesproprietyandimpartiality. However,ifrecusalisrequiredpursuanttoanappearanceofimproprietyoraquestionofimpartiality,butisnotmandatoryunderoneofthespecificcircumstancessetoutinCanon3C(1)(a)through(e),theremittalprocedureunderCanon3Dremainsavailable.

June2009


30/241



Service as Officer or Trustee of Hospital or Hospital Association

AjudgeispermittedundertheCodeofConductforUnitedStatesJudgestoparticipateincivicandcharitableactivities,suchasserviceasanofficerortrusteeofahospitalorhospitalassociation.Thecanonsdo,however,imposelimitsonsuchparticipation. Canon4generallyprovidesthatajudgemayparticipateinextrajudicialcivicandcharitableactivitiesthatdonotdetractfromthedignityofthejudgesoffice,reflectadverselyuponthejudgesimpartiality,interferewiththeperformanceofa

judgesofficialduties,orleadtofrequentdisqualification.Canon4Breads:

Ajudgemayparticipateinandserveasanofficer,director,

trustee,ornonlegaladvisorofanonprofitcivic,charitable,educational,religious,orsocialorganization,subjecttothefollowinglimitations:

(1) Ajudgeshouldnotserveifitislikelythattheorganizationwilleitherbeengagedinproceedingsthatwouldordinarilycomebeforethejudgeorberegularlyengagedinadversaryproceedingsinanycourt.

(2) Ajudgeshouldnotgiveinvestmentadvicetosuchanorganizationbutmayserveonitsboardofdirectorsor

trusteeseventhoughithastheresponsibilityforapprovinginvestmentdecisions.

Canon4Cfurtherprovidesthatajudgemayassistinplanningfund-raisingactivitiesforsuchnonprofitorganizationsandmaybelistedasanofficer,director,ortrustee,butajudgeshouldnotpersonallysolicitfundsoruseorpermittheuseoftheprestigeofjudicialofficeforthatpurpose.Further,[a]judgeshouldnotpersonallyparticipateinmembershipsolicitationifthesolicitationmightreasonablybeperceivedascoerciveorisessentiallyafund-raisingmechanism.

Canon4Falsoimposesalimitationonthejudgesserviceintermsof

governmentalappointments: [a]judgeshouldnot...accept...anappointment[toagovernmentalcommittee,commission,orotherpositionconcerningthelaw]ifthe

judgesgovernmentaldutieswouldtendtounderminethepublicconfidenceintheintegrity,impartiality,orindependenceofthejudiciary.

TheCommentarytoCanon4Bnotesparticularconcernsforajudgetoconsiderindeterminingwhethertoserveahospitalorhospitalorganizationinsomecapacity:


31/241


Thechangingnatureofsomeorganizationsandtheirexposuretolitigationmakesitnecessaryforajudgeregularlytoreexaminetheactivitiesofeachorganizationwithwhichthejudgeisaffiliatedtodetermineifthejudgescontinuedassociationisappropriate.Forexample,inmany

jurisdictionscharitable hospitals are in court more often nowthan in the past. (Emphasisadded.)

Additionalissuesspecifictohospitalofficersortrusteessuchaschallengesundertheemploymentlaws,theminimumwagelaws,taxexemptionsandthelikeshouldalsobeconsideredindecidingwhethertotakeonsucharesponsibility.

Insum,ajudgeshouldcarefullyevaluateCanon4Bslimitationswhendeterminingwhethertoacceptapostasanofficerortrusteeofahospitalorhospital

association. Also,assuggestedbyCanon4BsCommentary,ajudgeshouldcontinuallyre-evaluatetheorganizationtoensurethatcontinuedinvolvementisconsistentwiththejudgesethicalobligationsunderthecanons.

June2009


32/241



Service as President or Director of a Corporation Operating a CooperativeApartment or Condominium

Thisopinionconsiderswhetherajudgemayholdaposition,suchasanofficerordirector,ofacorporationthatcontrolstheoperationsofacooperativeapartmentorcondominiuminwhichthejudgeresides.Thefollowingprescriptionsarepertinenttothisquestion:

1. Thestill-effective1963formalresolutionoftheJudicialConferenceoftheUnitedStates(seeJudicialConferenceoftheUnitedStates,Report of the Proceedings62(Sep.1963))states:

NojusticeorjudgeappointedundertheauthorityoftheUnitedStatesshallserveinthecapacityofanofficer,director,oremployeeofacorporationorganizedforprofit.

2. Canon4oftheCodeofConductforUnitedStatesJudgesinstructsthat[a]judgeshouldnotparticipateinextra-judicialactivitiesthat...interferewiththeperformanceofthejudgesofficialduties.

3. Canon4B,concerningajudgescivicandcharitableactivities,provides:

B. Civic and Charitable Activities. Ajudgemayparticipateinandserveasanofficer,director,trustee,ornonlegaladvisorofanonprofitcivic,charitable,educational,religious,orsocialorganization,subjecttothefollowinglimitations:

(1) Ajudgeshouldnotserveifitislikelythattheorganizationwilleitherbeengagedinproceedingsthatwouldordinarilycomebeforethejudgeorberegularlyengagedinadversaryproceedingsinanycourt.

4. Canons4D(1)and(2),relatingtoajudgesfinancialactivitiesprovide:

(1) Ajudgemayholdandmanageinvestments,includingrealestate,andengageinotherremunerativeactivity,butshouldrefrainfromfinancialandbusinessdealingsthatexploitthejudicialpositionorinvolvethejudgeinfrequenttransactionsorcontinuingbusinessrelationshipswithlawyersorotherpersonslikelytocomebeforethecourtonwhichthejudgeserves.


33/241


(2)Ajudgemayserveasanofficer,director,activepartner,manager,advisor,oremployeeofabusinessonlyifthebusinessiscloselyheldandcontrolledbymembersofthejudgesfamily. Forthispurpose,membersofthe

judgesfamilymeanspersonsrelatedtothejudgeorthejudgesspousewithinthethirddegreeofrelationshipasdefinedinCanon3C(3)(a),anyotherrelativewithwhomthe

judgeorthejudgesspousemaintainsaclosefamilialrelationship,andthespouseofanyoftheforegoing.

Weassume,ofcourse,thatthejudgewhoservesasanofficerordirectorofthecorporationcontrollingtheoperationsofthecooperativeapartmentorcondominiumreceivesnocompensationforthisservice. SeeJudicialConferenceEthicsReformActRegulationsonOutsideEarnedIncome,Honoraria,andOutsideEmployment5(a)

(prohibitingserviceforcompensationasanofficer,boardmember,orfiduciary).Wefurtherassumethatthedutiesareconfinedtoactivitiesunrelatedtoprofit-making,inthesensethattheyrelateonlytotheoperationandmaintenanceofthemembersresidencefacility. Theactivities,althoughrelatinginparttoresidentsotherthanthejudge,areequivalenttothosethejudgewouldfindnecessarytoundertakewerethejudgelivinginaprivatelyowned,single-familyresidence.

Ontheseassumptions,theCommitteeisoftheopinionthatthejudgesserviceasanofficerordirectorofthistypeofcorporationdoesnot,inandofitself,violatethe1963Resolution.

TheCommitteeisalsooftheopinion,however,thatserviceinthiscapacityisnotreadilycharacterizedeitherascivicorcharitableactivitywithinthepermissivereachofCanon4BorasabusinessdealingwithinthecontemplationofCanon4D(1).Theendeavorpossessescertaincommercialfeaturesthatmakeitunlikeacivicorcharitableactivity. Theserviceis,however,directedatthesavingofexpenseandwiseexpenditureoffundsratherthantothemaximizationofincome.Theservicedoesnotappearakintotheforbiddentypeofbusinessdealingthatexploitsthejudicialoffice;itmaymorecloselyapproximatepermissiblerealestateinvestment.

TheCommitteeisoftheviewthateachcasedependsuponitsfacts.Ifthecooperativeorcondominiumisnotlargeorsubstantial,andifthedutiesofbeingan

officerordirectorareroutineandprimarilyinternal(allocatingresponsibilities;employingmaintenance,security,andessentialpersonnel;providingforservices;passingonprospectiveoccupants;formulatingoccupancyrules;andthelike),theactivitywouldnotappeartoviolatetheprovisionsorspiritofthe1963ResolutionortheCode. If,however,thedutiesentailsubstantialornumerousbusiness-typecontactswithoutsideenterprises,particularlyofthekindthatcouldresultinlitigation,ajudgesparticipationbecomesquestionable.Thejudgeshouldthenconsiderleavingthoseresponsibilitiestoothers. Throughout,thejudgeshouldkeepinmindthebasicrequirementsofCanon2


34/241


(thatthejudgeshouldavoidimproprietyandtheappearanceofimproprietyinallactivities)andCanon3(that[t]hedutiesofjudicialofficetakeprecedenceoverallotheractivities). Thejudgemustalsobearinmindthatpositionsheldbyafederal

judgeshouldnotbesogreatinnumberastojeopardizetheperformanceofjudicialduties.

June2009


35/241



Limited Solicitation of Funds for the Boy Scouts of America

ThisopinionconsiderstheproprietyofajudgesolicitingfundsfortheBoyScoutsofAmerica. Asanexample,weconsiderwhetherajudge,whochairsthefinancecommitteeforanareacounciloftheBoyScouts,maysolicitfinancialsupportfromboardmembersandtrustfunds.

Canon4CoftheCodeofConductforUnitedStatesJudgesstates,inpertinentpart:

Ajudgemayassistnonprofitlaw-related,civic,charitable,

educational,religious,orsocialorganizationsinplanningfund-raisingactivitiesandmaybelistedasanofficer,director,ortrustee.Ajudgemaysolicitfundsforsuchanorganizationfromjudgesoverwhomthejudgedoesnotexercisesupervisoryorappellateauthorityandfrommembersofthejudgesfamily.Otherwise,ajudgeshouldnotpersonallyparticipateinfund-raisingactivities,solicitfundsforanyorganization,oruseorpermittheuseoftheprestigeofjudicialofficeforthatpurpose.

InAdvisoryOpinionNo.2,westateinsubstancethatajudgemayservewithout

compensationongoverningboardsoforganizationsthataresimilartotheBoyScouts,providedthejudgedoesnotsolicitfundsfortheorganization. Canon4Cdoesnotmakeanyexceptionforpersonswhommaybesolicited.ThesolicitationbyajudgeoffundsforanareacounciloftheBoyScouts,eventhoughthesolicitationisofalimitedclassofpersons,isthusforbiddenbytheCode.

June2009


36/241



Service as a Co-trustee of a Pension Trust

Thisopinionaddresseswhether,followingappointment,ajudgemaycontinuetoserveasco-trusteeofafederalsavingsandloanpensiontrust. ThegeneralsubjectoftheserviceofajudgeasafiduciaryofanestateortrustisalsoaddressedinAdvisoryOpinion96. Bywayofexample,weconsiderthefollowingcircumstances:

Thepensiontrustisalmostadrytrust.ItisatrustapprovedbytheInternalRevenueService,andhencetherearenopolicydeterminationsrelatingtothetrust.Thejudgerendersnolegaladvicetothetrust;thetrusthasneverbeenin

litigationandisnotlikelytobeasnodifficultyhasbeenexperiencedduringitsalmost17yearsofoperation.Thetrustcoverstheofficersandemployeesoftheassociationwhoqualifyunderitsterms.Thejudgereceivesnocompensationnoranyexpensesattendanttothefiduciaryobligation,whichthejudgecontinuedafterappointmentasa

judgeasamatterofpastloyaltytoavaluedformerclient.Thedutiesentailedarenominalandconsistofsigningabouttwochecksayeartotheinsurancecompany.

Suchatrustwouldappeartobeapartofanarrangementdeemednecessaryfor

managingtheaffairsofabusiness,withinthemeaningofCanon4D(1)oftheCodeofConductforUnitedStatesJudges;thetrustcanbeviewedasasegmentofabusiness.

Thedutiesofaco-trusteeare,whilenominal,fiduciaryinnature.Canon4Ewouldseemtoruleoutserviceasafiduciaryforatrustotherthanthetrustofafamilymember. Serviceasafiduciaryforotherthanafamilymemberispermittedtocontinueinlimitedcircumstances,asprovidedintheCodesApplicableDateofCompliancesection,butthissectionseemstocontemplatearelationshipwithanindividualratherthanwithapensionplan.Inanyevent,evensuchapermissiblenonfamilyfiduciaryrelationshipistobeterminated,asstatedintheCompliancesection,ifitwouldnotunnecessarilyjeopardizeanyfinancialinterestofthebeneficiary.

Canon4B(2),whichprohibitsajudgegivinganyinvestmentadvicetoacivicorcharitableorganizationthatthejudgemayserveastrusteeordirector,isalsoimplicated. Inthepensiontrustconsideredhere,itmightbepresumedthattherecouldbesomeresidualdutyofgivingadviceoninvestments.


37/241


If,infact,nodutiesotherthantheministerialoneofchecksigningareinvolved,thepracticallikelihoodofconflictorlitigationmayberemote. Butthecanonstakentogetherappeartobarthisco-trusteerelationship.

June2009


38/241



Service as Officer or on Governing Board of Bar Association

Weaddresswhetherajudgemayserveonthegoverningboardofabarassociation. Indoingso,weconsiderthispolicystatementadoptedbytheJudicialConferenceoftheUnitedStatesinOctober1971:

Federaljudgesshouldnotserveasofficersordirectorsoforganizations,national,regionalorlocal,whicharepresentorpotentiallitigantsinthefederalcourtsorarethepromoters,sponsorsorfinanciersoforganizationssponsoringlitigationinthefederalcourts.

Weexaminetwoaspectsofthisissueinparticular:(1)whetheritisaviolationofthestatementofpolicyforajudgetoserveasamemberofthegoverningboardofabarassociationwhentheassociationmightbeinvolvedinlitigationandtheboarddetermineswhethertheassociationshouldfileamicus curiaebriefs;and(2)whetherthespiritandintentofthestatementofpolicyissatisfiedbythejudgeabstainingfromdiscussion,debateandvoteonmattersbeingconsideredbytheboardofgovernorsthatpresentaconflictofinterestorthatmightgivetheappearanceofimproprietyifthejudgeparticipatedinthedebateandvote.

Canon4oftheCodeofJudicialConductreads,inpertinentpart:

Ajudgemayengageinextrajudicialactivities,includinglaw-relatedpursuitsandcivic,charitable,educational,religious,social,financial,fiduciary,andgovernmentalactivities,andmayspeak,write,lecture,andteachonbothlaw-relatedandnonlegalsubjects.However,ajudgeshouldnotparticipateinextrajudicialactivitiesthatdetractfromthedignityofthe

judgesoffice,interferewiththeperformanceofthejudgesofficialduties,reflectadverselyonthejudgesimpartiality,leadtofrequentdisqualification,orviolatethelimitationssetforthbelow.

Morespecifically,underCanon4A(3):

Organizations. Ajudgemayparticipateinandserveasamember,officer,director,trustee,ornonlegaladvisorofanonprofitorganizationdevotedtothelaw,thelegalsystem,ortheadministrationofjusticeandmayassistsuchanorganizationinthemanagementandinvestmentoffunds. A


39/241


judgemaymakerecommendationstopublicandprivatefund-grantingagenciesaboutprojectsandprogramsconcerningthelaw,thelegalsystem,andtheadministrationofjustice.

TheCommentarytoCanon4reads,inpart:

Asajudicialofficerandpersonspeciallylearnedinthelaw,ajudgeisinauniquepositiontocontributetotheimprovementofthelaw,thelegalsystem,andtheadministrationofjustice,includingrevisingsubstantiveandprocedurallawandimprovingcriminalandjuvenilejustice.Totheextentthatthejudgestimepermitsandimpartialityisnotcompromised,thejudgeisencouragedtodoso,eitherindependentlyor

throughabarassociation,judicialconference,orotherorganizationdedicatedtotheimprovementofthelaw.Subjecttothesamelimitations,judgesmayalsoengageinawiderangeofnon-law-relatedactivities.

AlthoughCanon4A(3)doesnotcontainanexplicitlimitationregardinglaw-relatedorganizationsinvolvementwithlitigation(seeCanon4Blimitingparticipationincivicandcharitableorganizationsthatregularlyengageinadversaryproceedings),asimilarconcernanimatesparticipationinbarassociationactivities.UndertheprovisionofCanon4coveringallextrajudicialactivity,thejudgeshouldnotparticipateinlaw-relatedactivitiesthatreflectadverselyonthejudgesimpartiality,andsoshouldrefrain

fromparticipationindeterminingwhetherthebarassociationshouldbecomeinvolvedinlitigationasapartyorasamicus curiaeifanappearanceofpartialitycouldreasonablyarise. Forexample,ajudgeshouldnotberesponsiblefordevelopingpositionsoncontroversialpoliticalorsocialmattersthatarefrequentlythesubjectoffederalcourtlitigation,andshouldabstainfromdebatingorvotingonsuchmatters.Further,ajudgesittingonaboardofalaw-relatedorganizationmustrefrainfromofferinglegaladvicethatcouldconstitutethepracticeoflawunderCanon4A(5).

Inconclusion,weareoftheopinionthatajudgemayproperlyserveasanofficerormemberofaboard,councilorcommitteeofabarassociation,subjecttotherestrictionssetforthinCanon4.ThespiritandintentoftheCodeandofthe1971

JudicialConferencepolicystatementaresatisfiedifthejudgeabstainsfromdiscussion,debateandvoteonmattersthatmaypresentaconflictofinterestormaygivetheappearanceofimproprietyifthejudgedidparticipateinthediscussionandvote. SeealsoAdvisoryOpinionNo.85(MembershipandParticipationintheAmericanBar

Association)andAdvisoryOpinionNo.93(ExtrajudicialActivitiesRelatedtotheLaw).

June2009


40/241



Solicitation of Funds for Nonprofit Organizations, Including Listing of Judges onSolicitation Materials

Judgesareofteninvolvedintheircommunitiesthroughnonprofitorganizations,whicharefrequentlyengagedinfund-raisingactivities.Thisopiniondiscusseslimitationonjudgesinvolvementinsolicitingfundsfornonprofitorganizations.Itincludesguidanceregardinghowjudgesmaybeidentifiedonletterheadandinothersolicitationmaterials.

InAdvisoryOpinionNos.2and82,theCommitteeaffirmsthatajudgemaybeamemberoforserveonthegoverningboardofanonprofitorganization,subjectto

certainrestrictionsimposedbytheCodeofConductforUnitedStatesJudges. Canon4Csetsouttheacceptablelimitstojudgesinvolvementinsolicitingfunds:

Ajudgemayassistnonprofitlaw-related,civic,charitable,educational,religious,orsocialorganizationsinplanningfund-raisingactivitiesandmaybelistedasanofficer,director,ortrustee.Ajudgemaysolicitfundsforsuchanorganizationfromjudgesoverwhomthejudgedoesnotexercisesupervisoryorappellateauthorityandfrommembersofthe

judgesfamily. Otherwise,ajudgeshouldnotpersonallyparticipateinfund-raisingactivities,solicitfundsforanyorganization,oruseorpermittheuseoftheprestigeofjudicialofficeforthatpurpose. Ajudgeshould

notpersonallyparticipateinmembershipsolicitationifthesolicitationmightreasonablybeperceivedascoerciveorisessentiallyafund-raisingmechanism.

AlthoughtheCodeprecludespersonalsolicitationoffundsbyjudges,ajudgemayassistinplanningfund-raisingactivitiesfornonprofitorganizations,ifthatparticipationisnotprohibitedbasedonanyotherethicalobligation.Internalbrainstormingoffund-raisingideasisanexampleofsuchapermittedplanningactivity.

TheCommentarytoCanon4Cexplainsthat[u]seofajudgesname,positionintheorganization,andjudicialdesignationonanorganizationsletterhead,including

whenusedforfund-raisingorsolicitingmembers,doesnotviolateCanon4Cifcomparableinformationanddesignationsarelistedforothers.Inotherwords,the

judgesnameandofficemaynotbeselectivelyemphasizedbytheorganization.

TheCommentarytoCanon4Cfurtherstatesthat[a]judgemayattendfund-raisingeventsoflaw-relatedandotherorganizationsalthoughthejudgemaynotbeaspeaker,aguestofhonor,orfeaturedontheprogramofsuchanevent.


41/241


Finally,theCommitteeadvisesthatajudgemaybeincludedinalistofcontributorsdisseminatedbyanonprofitorganization. Thelistmayusethejudgestitle,aslongasthejudgeisdesignatedinasimilarmannertoothercontributors,andisinnowayspeciallyemphasized.

June2009


42/241



Commenting on Legal Issues Arising before the Governing Board of a PrivateCollege or University

Thisopinionaddressestheproprietyofajudge,whoisamemberofagoverningboardofaprivatecollegeoruniversity,commentingonlegalissuesarisingbeforethatboard. Ourdiscussionisinformedbythefollowingtwoexamples:

1. AjudgeservesasamemberofaLayAdvisoryCommitteeofacollege.Althoughthejudgeparticipatesinnofund-raisingactivitiesfortheorganization,thejudgehasonoccasion,asaboardorcommitteemember,expressedviewsastothelegaleffectofcontemplatedactionunderdiscussion.

2. Ajudgeservesasatrusteeofacollege.Althoughthecollegehasitsowncounsel,thejudgehas,withotherboardmembers,reviewedandcommentedonlegalaspectsofleasesandotherinstruments.

OnefederalstatuteandtwoprovisionsofCanon4oftheCodeofConductforUnitedStatesJudgesmustbeconsideredregardingthisissue.

Section454oftitle28,UnitedStatesCode,provides:

Anyjusticeorjudgeappointedundertheauthorityofthe

UnitedStateswhoengagesinthepracticeoflawisguiltyofahighmisdemeanor.

Canon4provides,inpertinentpart:

A(5).Practice of Law. Ajudgeshouldnotpracticelawandshouldnotserveasafamilymemberslawyerinanyforum.

Ajudgemay,however,actproseandmay,withoutcompensation,givelegaladvicetoanddraftorreviewdocumentsforamemberofthejudgesfamily.

* * *

B.Civic and Charitable Activities. Ajudgemayparticipateinandserveasanofficer,director,trustee,ornonlegaladvisorofanonprofitcivic,charitable,educational,religious,orsocialorganization,subjectto[certain]limitations[.]


43/241


SubjecttootherrestrictionsinCanon4,ajudgemayserveasamemberofthegoverningboardofaprivatecollegeoruniversity,andmayvote,asanyothermember,toapproveordisapproveleasesandotherinstruments. Butajudgeshouldleavetocounselforthecollegetheresponsibilityforreviewing,passinguponandcommentingonthelegalaspectsoftheproposedleasesandotherinstruments. Ajudgemaywithproprietysuggestthattherearelegalquestionsinvolvedinaproposedinstrumentorcourseofaction,andsuggestthatthematterbereferredtocounselforalegalopinion.See alsoAdvisoryOpinionNo.44(ServiceonGoverningBoardofaPublicCollegeorUniversity).

June2009


44/241


45/241



Disqualification When Relative Is an Assistant United States Attorney

Overtheyears,theCommitteeonCodesofConducthasreceivedanumberofinquiriesregardingrecusalconsiderationswhenajudgesspouse,child,orotherrelativeservesasanAssistantUnitedStatesAttorney(AUSA).ThisopinionsummarizestheCommitteesadviceonthattopic.

Canon3C(1)(d),CodeofConductforUnitedStatesJudges,providesinpart:

C. Disqualification.

(1) Ajudgeshalldisqualifyhimselforherselfinaproceedinginwhichthejudgesimpartialitymightreasonablybequestioned,includingbutnotlimitedtoinstancesinwhich:

* * *

1(d) thejudgeorthejudgesspouse,orapersonrelatedtoeitherwithinthethirddegreeofrelationship,orthespouseofsuchapersonis:

* * *

(ii) actingasalawyerintheproceeding[.]

TheCommentaryundersubsection3C(1)(d)(ii)provides:

Thefactthatalawyerinaproceedingisaffiliatedwithalawfirmwithwhicharelativeofthejudgeisaffiliateddoesnotofitselfdisqualifythejudge.However,ifthejudgesimpartialitymightreasonablybequestionedunderCanon3C(1),ortherelativeisknownbythejudgetohaveaninterestinthelawfirmthatcouldbesubstantially

affectedbytheoutcomeoftheproceedingunderCanon3C(l)(d)(iii),thejudgesdisqualificationisrequired.

WenotefirstthatserviceasanAUSAisdistinguishablefromserviceasanattorneyinaprivatelawfirmorrepresentationofaprivatelitigant.AstheUnitedStatesSupremeCourthasexplained:


46/241


TheUnitedStatesAttorneyistherepresentativenotofanordinarypartytoacontroversy,butofasovereigntywhoseobligationtogovernimpartiallyisascompellingasitsobligationtogovernatall;andwhoseinterest,therefore,inacriminalprosecutionisnotthatitshallwinacase,butthatjusticeshallbedone.Assuch,heisinapeculiarandverydefinitesensetheservantofthelaw,thetwofoldaimofwhichisthatguiltshallnotescapeorinnocencesuffer.

Berger v. United States,295U.S.78,88(1934).AsimilardualaimappliesincivillitigationadvancedbytheUnitedStatesAttorneysOffice.Forthesereasons,itwouldbeunreasonabletoquestionajudgesimpartialitymerelybecausethejudgesrelativeisanAUSA. Likewise,anAUSAdoesnothaveaninterestintheUnitedStates

AttorneysOfficeinthesamesensethatapartner,memberorshareholdermayhaveaninterestinaprivatelawfirm.

Specificcircumstancesmay,however,requirerecusal. Themostfrequentcircumstancesareaddressedbelow.

1. Acting as an attorney. RecusalisrequiredbyCanon3C(1)(d)(ii)iftherelativehasactedasanattorneyinorrelatingtotheproceeding.Thisrestrictionincludescasesinwhichtherelativehasdoneanyworkorgivenanyadvice,whetherthatadvicewasgivenorworkdonebeforeoraftertheactionwasfiled.RecusalforthisreasonisnotsubjecttoremittalunderCanon3DbecausethebasisforrecusalfallswithinthespecificdisqualifyingcircumstancesdescribedinCanon3C(1)(a)-(e).

2. Acting as a supervisor. Recusalisalsonecessaryiftherelativehassupervisoryresponsibilityovertheattorneyhandlingacasebeforethejudge,eveniftherelativeisnotpersonallyinvolvedandhasnoknowledgeofthecase.SuchacircumstancefallswithinCanon3C(1)scatch-allprovisionrequiringdisqualificationinaproceedinginwhichthejudgesimpartialitymightreasonablybequestioned. Disqualificationunderthiscatch-allprovisionissubjecttoremittalunderCanon3D.

3. Acting United States Attorney. IftherelativeservesaseithertheUnitedStatesAttorneyorActingUnitedStatesAttorney,thejudgeshouldrecuseinall

casesinwhichtheofficeappears.

Recusaldecisionsarealsogovernedbytherecusalstatutes,28U.S.C.455and144,andthecaselawinterpretingthem. AlthoughtheCommitteeonCodesofConductisnotauthorizedtorenderadvisoryopinionsinterpreting455and144,Canon3CoftheCodeofConductforUnitedStatesJudgescloselytracksthelanguageof455,andtheCommitteeisauthorizedtoprovideadviceregardingtheapplicationoftheCode.


47/241


Note for Advisory Opinion No. 38

1Forpurposesofrecusal,considerationsapplicabletoajudgesspouseshouldalsobeconsideredwithrespecttoapersonotherthanaspousewithwhomthe

judgemaintainsbothahouseholdandanintimaterelationship.Canon3CCommentary.

June2009


48/241


49/241


considerationsareapplicabletoandgovernmembershipinsuchorganizations.SeealsoAdvisoryOpinionNos.82(JoiningOrganizations)and93(ExtrajudicialActivitiesRelatedtotheLaw).

June2009


50/241



Participation in Fund Raising for a Religious Organization

Thisopinionconsiderswhethertheparticipationofajudgeinthefund-raisingactivitiesofareligiousorganizationbytakingpartintheevery-membercanvass(eachyearortwoyears)isinviolationoftheCodeofConductforUnitedStatesJudges.

ThequestionisdealtwithbyourAdvisoryOpinionNos.2and35,inwhichtheCommitteeadvisesthatajudgeshouldnotengageinanypersonalsolicitationoffundsforanonprofitreligious,civic,charitable,educationalorsocialorganization,exceptaspermittedbyCanon4C. TheCommitteebelievesthatthisruleappliestothesolicitationoffundsinanevery-membercampaignforachurch.SeeCanon4Candits

Commentary.

Totheextent,however,thattakingpartmeanscontributingfunds,ajudgemaycertainlyparticipateinthefund-raisingbycontributingfundstoareligiousorganization.

June2009


51/241



Service as a Statutory Member of a Citizens Supervisory Commission of theCounty Personnel Board

Thisopinionconsiderstheproprietyofajudgeservingasanex officiomemberofacitizenssupervisorycommissionofthepersonnelboardofthecountyofthejudgesresidence.

Thecommission,whichsupervisesthestatecivilservicesystem,iscreatedbyanactofthestatelegislature.TheactdesignatesUnitedStatesdistrictjudgesasmembersofthecommission.

Canon4FoftheCodeofConductforUnitedStatesJudgesprovidesthatajudgemayacceptappointmenttoagovernmentalcommissiononlyifitisonethatconcernsthelaw,thelegalsystem,ortheadministrationofjustice.The CommentarytoCanon4Fstatesthattheappropriatenessofacceptingextrajudicialassignmentsmustbeassessedinlightofthedemandonjudicialresourcesandtheneedtoprotectthecourtsfrominvolvementinmattersthatmayprovetobecontroversial,andthat[j]udgesshouldnotacceptgovernmentalappointmentsthatcouldinterferewiththeeffectivenessandindependenceofthejudiciary,interferewiththeperformanceofthe

judgesjudicialduties,ortendtounderminethepublicconfidenceinthejudiciary.

Thecitizenssupervisorycommissionofthepersonnelboardisnotconcerned

withtheimprovementofthelaw,thelegalsystem,ortheadministrationofjusticeasthosetermsareusedinCanon4F.Indischargingitsstatutoryduties,thecommissionwillofnecessitydealwithissuesoffactorpolicy.WeconcludethatitwouldbeimproperunderCanon4FforaUnitedStatesdistrictjudgetoserveasamemberofthisgovernmentalsupervisorycommission. See alsoAdvisoryOpinionNo.93(ExtrajudicialActivitiesRelatedtotheLaw).

June2009


52/241



Service on Governing Board of a Public College or University

Thisopinionconsiderstheproprietyofservingonthegoverningboardofapubliccollegeoruniversity,forexampleaboardofvisitorsoraboardofregents.

Canon4oftheCodeofConductforUnitedStatesJudgesprovides,inpart:

[A]judgeshouldnotparticipateinextrajudicialactivitiesthatdetractfromthedignityofthejudgesoffice,interferewiththeperformanceofthejudgesofficialduties,reflectadverselyonthejudgesimpartiality,[or]leadtofrequent

disqualification....

B.CivicandCharitable Activities. Ajudgemayparticipateinandserveasanofficer,director,trustee,ornonlegaladvisorofanonprofitcivic,charitable,educational,religious,charitable,fraternal,orsocialorganization....

IfCanon4Bstoodalone,therewouldbenoapparentobjectiontoajudgesserviceontheboardofapubliccollegeoruniversity;however,thisauthoritytoserveisapartofasectionaddressingcivicandcharitableactivities.Thoseactivitiesmustbe

distinguishedfromgovernmentalappointments,whicharetreatedunderCanon4F.

Canon 4Fprovides:

Ajudgemayacceptappointmenttoagovernmentalcommittee,commission,orotherpositiononlyifitisonethatconcernsthelaw,thelegalsystem,ortheadministrationof

justice,oriftheappointmentofajudgeisrequiredbyfederalstatute. Ajudgeshouldnot,inanyevent,acceptsuchanappointmentifthejudgesgovernmentaldutieswouldtendtounderminethepublicconfidenceintheintegrity,impartiality,

orindependenceofthejudiciary.Ajudgemayrepresentthejudgescountry,state,orlocalityonceremonialoccasionsorinconnectionwithhistorical,educational,andculturalactivities.

Canon4Flimitsservicebyajudgetogovernmental(federal,stateorlocal)institutionsconcerningthelaw,thelegalsystem,ortheadministrationofjustice.TheCommentarytoCanon4Aspecificallyinstructsthat[t]eachingandservingontheboard


53/241


54/241



Acceptance of Public Testimonials or Awards

Thisopinionconsiderstheissueofacceptancebyjudgesofpublictestimonialsorawards. TheCommitteefrequentlyreceivesinquiriesregardingthistopic.

Judgeswhohaveachievedapreeminencepromptingpublicrecognitionshouldordinarilybeabletoacceptsuchhonors.Inadditiontothepersonalgratificationinvolved,theentirejudiciarybenefitsfrompublicrecognitionofoneofitsmembers.

Beforeacceptingsuchrecognition,however,ajudgeshouldtakecertainfactorsintoconsideration. Ajudgemustconsiderwhetheracceptanceoftheawardwouldraise

theappearanceofimproprietyorpartiality,asenjoinedbyCanon2oftheCodeofConductforUnitedStatesJudges. Forexample,notwithstandingthespiritinwhichitisproffered,anawardshouldnotbeacceptedfromanorganizationwhosepublicimageembodiesaclearlydefinedpointofviewoncontroversiallegal,socialorpoliticalissues.Neithershouldanawardbeacceptedfromanorganizationthatisapttocomebeforethecourtsasalitigant. SeeAdvisoryOpinionNo.40(ServiceonGoverningBoardofNonprofitOrganizationthatTendstoBecomeInvolvedinCourtProceedings).

Finally,ajudgemustbecautiousiftheawardispresentedinconjunctionwithafund-raisingdinnerorevent. TheCommentarytoCanon4Cstatesthat[a]judgemayattendfund-raisingactivitiesoflaw-relatedandotherorganizationsalthoughthejudge

maynotbeaspeaker,aguestofhonor,orfeaturedontheprogramofsuchanevent.Whenajudgeischosentoreceiveanaward,itwouldappearlikelythatthejudgewouldbeeitheraguestofhonororaspeakeratsuchanevent.Additionally,thejudgeshouldconsiderwhetherthejudgespresenceisbeingemployedasadevicetopromotepublicityandthesaleoftickets.

Thenatureofthesecautions,andthevarietyofsituationstowhichtheyapply,makeitclearthatthedecisionineachcasemustremainwithintheconscientiousdiscretionofthejudge,consistentwiththeobligationtoavoidtheappearanceofimproprietyorpartiality.

June2009


55/241



Acceptance of Complimentary or Discounted Club Memberships

CongresspassedalaweffectiveOctober13,2008,restrictingjudgesacceptanceofhonoraryclubmemberships. Inparticular,thelawspecifiesthata

judicialofficermaynotacceptagiftofanhonoraryclubmembershipwithavalueofmorethan$50inanycalendaryear. Pub.L.No.110-402,2,122Stat.4255(Oct.13,2008),codifiedatnoteto5U.S.C.7353.Thisopinionprovidesguidanceonwhetherunderthelawajudgemayaccept,orcontinuetohold,acomplimentaryordiscountedmembershipinagivenclub.

Shortlyfollowingthepassageof5U.S.C.7353,theDirectorofthe

AdministrativeOfficeoftheCourtsissuedamemorandumonthenewclubmembershiplaw. MemorandumfromA.O.DirectortoUnitedStatesJudges,October20,2008.TheDirectoraddressedthreequestionsregardingthelaw:(1)applicability;(2)effectivedate;and(3)coveredclubs. Thememorandumconcludedthatthestatuteappliestoall

judicialofficers,includingbankruptcyandmagistratejudges.Thememorandumnotedthatthelawbecameeffectiveimmediatelyandfurtheradvisedthatjudgesshouldceaseacceptingthebenefitofanyongoinghonoraryclubmembershipthatwasacceptedbeforetheeffectivedate. Finally,thememorandumconcludedthatthehonoraryclubmembershipprohibitionextendstorecreationalandsocialclubssuchascountryclubs,athleticclubs,oreatingclubsbutdoesnotrestrictjudgesfromacceptingdiscountedorcomplimentarymembershipsinprofessionalorganizations,includingbar

associations.

Sincethelawsenactment,theCommitteeonCodesofConducthasreceivedanumberofinformalandformalrequestsforopinionsrelatingtocompliancewiththeclublegislation.TheseinquirieshaveincludedquestionsaboutdiscountedorcomplimentarymembershipsinprofessionalgroupssuchasInnsofCourt,serviceclubssuchasRotary,andarangeofmembershiparrangementsinsocialclubs,eatingclubsandathleticclubs.

Inprovidingadvicetoindividualjudges,theCommitteehasreferredtothetermsofthestatuteitself,theDirectorsinitialguidancememorandum,andtheJudicial

ConferenceRegulationsConcerningGifts(GiftRegulations).TheGiftRegulationsprovidehelpfulguidanceforevaluatingwhethercertainclubmembershipsmightrunafoulofthenewrestriction. Inparticular,theGiftRegulationsdefineagifttomeananygratuity,favor,discount,entertainment,hospitality,loan,forbearance,orothersimilaritemhavingmonetaryvalue. GiftRegulations3.TheRegulationsexcludefromthedefinitionofgiftopportunitiesandbenefits,includingfavorableratesandcommercialdiscounts,thatareavailablebasedonfactorsotherthanjudicialstatus,


56/241


andanythingforwhichmarketvalueispaidbythejudicialofficeroremployee. GiftRegulations3(e)&(h).

Applyingtheseprinciples,theCommitteehasadvisedthatinsomeci

Documents

Federal Ethics and Judicial Conduct - Ethics Advisory Opinions - Code of Conduct of United States Judges Judicial Conference of the United States - United States District Court - Federal