 |
PART 100.
Judicial Conduct
(Version as of 09/08/04) |
| Commercial
reuse of the Rules as they appear on this web site is
prohibited. The official version of the Rules published
in the NYCRR is available on Westlaw. |
|
Preamble
100.0 Terminology
100.1 A judge shall uphold the integrity and
independence . . .
100.2 A judge shall avoid impropriety and the
appearance . . .
100.3 A judge shall perform the duties of judicial
office . . .
100.4 A judge shall so conduct the judge's
extra-judicial . . .
100.5 A judge or candidate for elective judicial
office shall . . .
100.6 Application of the rules of judicial
conduct
100.7 [Repealed]
100.8 [Repealed] |
|
Preamble
The rules governing judicial conduct are rules of reason. They should be applied consistently with constitutional requirements, statues, other court rules and decisional law and in the context of all relevant circumstances. The rules are to be construed so as not to impinge on the essential independence of judges in making judicial decisions.
The rules are designed to provide guidance to judges and candidates for elective judicial office and to provide a structure for regulating conduct through disciplinary agencies. They are not designed or intended as a basis for civil liability or criminal prosecution.
The text of the rules is intended to govern conduct of judges and candidates for elective judicial office and to be binding upon them. It is not intended, however, that every transgression will result in disciplinary action. Whether disciplinary action is appropriate, and the degree of discipline to be imposed, should be determined through a reasonable and reasoned application of the text and should depend on such factors as the seriousness of the transgression, whether there is a pattern of improper activity and the effect of the improper activity on others or on the judicial system.
The rules are not intended as an exhaustive guide for conduct. Judges and judicial candidates also should be governed in their judicial and personal conduct by general ethical standards. The rules are intended, however, to state basic standards which should govern their conduct and to provide guidance to assist them in establishing and maintaining high standards of judicial and personal conduct. |
|
| Section
100.0 Terminology.
The following terms used in this Part are defined as follows:
(A) A "candidate" is a person seeking selection for or retention
in public office by election. A person becomes a candidate
for public office as soon as he or she makes a public announcement
of candidacy, or authorizes solicitation or acceptance of
contributions.
(B) "Court personnel" does not include the lawyers in a proceeding
before a judge.
(C) The "degree of relationship" is calculated according to
the civil law system. That is, where the judge and the party
are in the same line of descent, degree is ascertained by
ascending or descending from the judge to the party, counting
a degree for each person, including the party but excluding
the judge. Where the judge and the party are in different
lines of descent, degree is ascertained by ascending from
the judge to the common ancestor, and descending to the party,
counting a degree for each person in both lines, including
the common ancestor and the party but excluding the judge.
The following persons are relatives within the fourth degree
of relationship: great-grandparent, grandparent, parent, uncle,
aunt, brother, sister, first cousin, child, grandchild, great-grandchild,
nephew or niece. The sixth degree of relationship includes
second cousins.
(D) "Economic interest" denotes ownership of
a legal or equitable interest, however small, or a relationship
as officer, director, advisor or other active participant
in the affairs of a party, except that
(1) ownership of an interest in a mutual or common investment
fund that holds securities is not an economic interest in
such securities unless the judge participates in the management
of the fund or a proceeding pending or impending before the
judge could substantially affect the value of the interest;
(2) service by a judge as an officer, director, advisor
or other active participant in an educational, religious,
charitable, cultural, fraternal or civic organization, or
service by a judge's spouse or child as an officer, director,
advisor or other active participant in any organization does
not create an economic interest in securities held by that
organization;
(3) a deposit in a financial institution, the proprietary
interest of a policy holder in a mutual insurance company,
of a depositor in a mutual savings association or of a member
in a credit union, or a similar proprietary interest, is not
an economic interest in the organization, unless a proceeding
pending or impending before the judge could substantially
affect the value of the interest;
(4) ownership of government securities is not an economic
interest in the issuer unless a proceeding pending or impending
before the judge could substantially affect the value of the
securities.
(E) "Fiduciary"includes such relationships as executor, administrator,
trustee, and guardian.
(F) "Knowingly", "knowledge", "known" or "knows" denotes
actual knowledge of the fact in question. A person's knowledge
may be inferred from circumstances.
(G) "Law" denotes court rules as well as statutes, constitutional
provisions and decisional law.
(H) "Member of the candidate's family" denotes a spouse, child,
grandchild, parent, grandparent or other relative or person
with whom the candidate maintains a close familial relationship.
(I) "Member of the judge's family" denotes a spouse, child,
grandchild, parent, grandparent or other relative or person
with whom the judge maintains a close familial relationship.
(J) "Member of the judge's family residing in the judge's
household" denotes any relative of a judge by blood or marriage,
or a person treated by a judge as a member of the judge's
family, who resides in the judge's household.
(K) "Nonpublic information" denotes information that, by law,
is not available to the public. Nonpublic information may
include but is not limited to: information that is sealed
by statute or court order, impounded or communicated in camera;
and information offered in grand jury proceedings, presentencing
reports, dependency cases or psychiatric reports.
(L) A "part-time judge", including an acting part-time judge,
is a judge who serves repeatedly on a part-time basis by election
or under a continuing appointment.
(M) "Political organization" denotes a political party, political
club or other group, the principal purpose of which is to
further the election or appointment of candidates to political
office.
(N) "Public election" includes primary and general elections;
it includes partisan elections, nonpartisan elections and
retention elections.
(O) "Require". The rules prescribing that a judge
"require" certain conduct of others, like all of the rules
in this Part, are rules of reason. The use of the term "require"
in that context means a judge is to exercise reasonable
direction and control over the conduct of those persons
subject to the judge's direction and control.
(P) "Rules"; citation. Unless otherwise made
clear by the citation in the text, references to individual
components of the rules are cited as follows:
"Part"-refers to Part 100.
"Section"-refers to a provision consisting of 100 followed
by a decimal (100.1).
"Subdivision"-refers to a provision designated by a capital
letter (A).
"Paragraph"-refers to a provision designated by an arabic
numeral (1)
"Subparagraph"-refers to a provision designated by a
lower-case letter (a).
(Q) "Window Period" denotes a period beginning
nine months before a primary election, judicial nominating
convention, party caucus or other party meeting for nominating
candidates for the elective judicial office for which a
judge or non-judge is an announced candidate, or for which
a committee or other organization has publicly solicited
or supported the judge's or non-judge's candidacy, and ending,
if the judge or non-judge is a candidate in the general
election for that office, six months after the general election,
or if he or she is not a candidate in the general election,
six months after the date of the primary election, convention,
caucus or meeting.
Historical Note
Sec. filed Feb. 1, 1996 eff. Jan. 1, 1996. |
|
| Section
100.1 A judge shall uphold the integrity and independence
of the judiciary
An independent and honorable judiciary is indispensable
to justice in our society. A judge should participate in
establishing, maintaining and enforcing high standards of
conduct, and shall personally observe those standards so
that the integrity and independence of the judiciary will
be preserved. The provisions of this Part 100 are to be
construed and applied to further that objective.
Historical Note
Sec. filed Aug. 1, 1972; renum. 111.1, new added by renum.
and amd. 33.1, filed Feb. 2, 1982; repealed, new filed Feb.
1, 1996 eff. Jan. 1, 1996. |
|
| Section
100.2 A judge shall avoid impropriety and the appearance of
impropriety in all of the judge's activities.
(A) A judge shall
respect and comply with the law and shall act at all times
in a manner that promotes public confidence in the integrity
and impartiality of the judiciary.
(B) A judge shall not allow family, social, political or
other relationships to influence the judge's judicial conduct
or judgment.
(C) A judge shall not lend the prestige of judicial office
to advance the private interests of the judge or others; nor
shall a judge convey or permit others to convey the impression
that they are in a special position to influence the judge.
A judge shall not testify voluntarily as a character witness.
(D) A judge shall not hold membership in any organization
that practices invidious discrimination on the basis of age,
race, creed, color, sex, sexual orientation, religion, national
origin, disability or marital status. This provision does
not prohibit a judge from holding membership in an organization
that is dedicated to the preservation of religious, ethnic,
cultural or other values of legitimate common interest to
its members.
Historical Note
Sec. filed Aug. 1, 1972; renum. 111.2, new added by renum.
and amd. 33.2, filed Feb. 2, 1982; repealed, new filed Feb.
1, 1996 eff. Jan. 1, 1996. |
|
| Section
100.3 A judge shall perform the duties of judicial office impartially
and diligently.
(A) Judicial duties in general. The judicial
duties of a judge take precedence over all the judge's other
activities. The judge's judicial duties include all the duties
of the judge's office prescribed by law. In the performance
of these duties, the following standards apply.
(B) Adjudicative Responsibilities.
(1) A judge shall be faithful to the law and maintain professional
competence in it. A judge shall not be swayed by partisan
interests, public clamor or fear of criticism.
(2) A judge shall require order and decorum in proceedings
before the judge.
(3) A judge shall be patient, dignified and courteous to
litigants, jurors, witnesses, lawyers and others with whom
the judge deals in an official capacity, and shall require
similar conduct of lawyers, and of staff, court officials
and others subject to the judge's direction and control.
(4) A judge shall perform judicial duties without bias or
prejudice against or in favor of any person. A judge in the
performance of judicial duties shall not, by words or conduct,
manifest bias or prejudice, including but not limited to bias
or prejudice based upon age, race, creed, color, sex, sexual
orientation, religion, national origin, disability, marital
status or socioeconomic status, and shall require staff, court
officials and others subject to the judge's direction and
control to refrain from such words or conduct.
(5) A judge shall require lawyers in proceedings before
the judge to refrain from manifesting, by words or conduct,
bias or prejudice based upon age, race, creed, color, sex,
sexual orientation, religion, national origin, disability,
marital status or socioeconomic status, against parties, witnesses,
counsel or others. This paragraph does not preclude legitimate
advocacy when age, race, creed, color, sex, sexual orientation,
religion, national origin, disability, marital status or socioeconomic
status, or other similar factors are issues in the proceeding.
(6) A judge shall accord to every person who has a legal
interest in a proceeding, or that person's lawyer, the right
to be heard according to law. A judge shall not initiate,
permit, or consider ex parte communications, or consider other
communications made to the judge outside the presence of the
parties or their lawyers concerning a pending or impending
proceeding, except:
(a) Ex parte communications that are made for scheduling
or administrative purposes and that do not affect a substantial
right of any party are authorized, provided the judge reasonably
believes that no party will gain a procedural or tactical
advantage as a result of the ex parte communication, and the
judge, insofar as practical and appropriate, makes provision
for prompt notification of other parties or their lawyers
of the substance of the ex parte communication and allows
an opportunity to respond.
(b) A judge may obtain the advice of a disinterested expert
on the law applicable to a proceeding before the judge if
the judge gives notice to the parties of the person consulted
and a copy of such advice if the advice is given in writing
and the substance of the advice if it is given orally, and
affords the parties reasonable opportunity to respond.
(c) A judge may consult with court personnel whose function
is to aid the judge in carrying out the judge's adjudicative
responsibilities or with other judges.
(d) A judge, with the consent of the parties, may confer
separately with the parties and their lawyers on agreed-upon
matters.
(e) A judge may initiate or consider any ex parte communications
when authorized by law to do so.
(7) A judge shall dispose of all judicial matters promptly,
efficiently and fairly.
(8) A judge shall not make any public comment about a pending
or impending proceeding in any court within the United States
or its territories. The judge shall require similar abstention
on the part of court personnel subject to the judge's direction
and control. This paragraph does not prohibit judges from
making public statements in the course of their official duties
or from explaining for public information the procedures of
the court. This paragraph does not apply to proceedings in
which the judge is a litigant in a personal capacity.
(9) A judge shall not commend or criticize jurors for their
verdict other than in a court order or opinion in a proceeding,
but may express appreciation to jurors for their service to
the judicial system and the community.
(10) A judge shall not disclose or use, for any purpose
unrelated to judicial duties, nonpublic information acquired
in a judicial capacity.
(C) Administrative Responsibilities.
(1) A judge shall diligently discharge the judge's administrative
responsibilities without bias or prejudice and maintain professional
competence in judicial administration, and should cooperate
with other judges and court officials in the administration
of court business.
(2) A judge shall require staff, court officials and others
subject to the judge's direction and control to observe the
standards of fidelity and diligence that apply to the judge
and to refrain from manifesting bias or prejudice in the performance
of their official duties.
(3) A judge shall not make unnecessary appointments. A
judge shall exercise the power of appointment impartially
and on the basis of merit. A judge shall avoid nepotism
and favoritism. A judge shall not approve compensation of
appointees beyond the fair value of services rendered. A
judge shall not appoint or vote for the appointment of any
person as a member of the judge's staff or that of the court
of which the judge is a member, or as an appointee in a
judicial proceeding, who is a relative within the sixth
degree of relationship of either the judge or the judge's
spouse or the spouse of such a person. A judge shall refrain
from recommending a relative within the sixth degree of
relationship of either the judge or the judge's spouse or
the spouse of such person for appointment or employment
to another judge serving in the same court. A judge also
shall comply with the requirements of Part 8 of the Rules
of the Chief Judge (22 NYCRR Part 8) relating to the appointment
of relatives of judges.1 Nothing in this paragraph shall
prohibit appointment of the spouse of the town or village
justice, or other member of such justice's household, as
clerk of the town or village court in which such justice
sits, provided that the justice obtains the prior approval
of the Chief Administrator of the Courts, which may be given
upon a showing of good cause.
(D) Disciplinary Responsibilities.
(1) A judge who receives information indicating a substantial
likelihood that another judge has committed a substantial
violation of this Part shall take appropriate action.
(2) A judge who receives information indicating a substantial
likelihood that a lawyer has committed a substantial violation
of the Code of Professional Responsibility shall take appropriate
action.
(3) Acts of a judge in the discharge of disciplinary responsibilities
are part of a judge's judicial duties.
(E) Disqualification.
(1) A judge shall disqualify himself or herself in a proceeding
in which the judge's impartiality might reasonably be questioned,
including but not limited to instances where:
(a) (i) the judge has a personal bias or prejudice concerning
a party or (ii) the judge has personal knowledge of disputed
evidentiary facts concerning the proceeding;
(b) the judge knows that (i) the judge served as a lawyer
in the matter in controversy, or (ii) a lawyer with whom
the judge previously practiced law served during such association
as a lawyer concerning the matter, or (iii) the judge has
been a material witness concerning it;
(c) the judge knows that he or she, individually or as a
fiduciary, or the judge's spouse or minor child residing in
the judge's household has an economic interest in the subject
matter in controversy or in a party to the proceeding or has
any other interest that could be substantially affected by
the proceeding;
(d) the judge knows that the judge or the judge's spouse,
or a person known by the judge to be within the sixth degree
of relationship to either of them, or the spouse of such a
person:
(i) is a party to the proceeding;
(ii) is an officer, director or trustee of a party;
(iii) has an interest that could be substantially affected
by the proceeding;
(iv) is likely to be a material witness in the proceeding;
(e) The judge knows that the judge or the judge's spouse,
or a person known by the judge to be within the fourth degree
of relationship to either of them, or the spouse of such a
person, is acting as a lawyer in the proceeding.
(f) Notwithstanding the provisions of subparagraphs (c)
and (d) of this section, if a judge would be disqualified
because of the appearance or discovery, after the matter was
assigned to the judge, that the judge individually or as a
fiduciary, the judge's spouse, or a minor child residing in
his or her household has an economic interest in a party to
the proceeding, disqualification is not required if the judge,
spouse or minor child, as the case may be, divests himself
or herself of the interest that provides the grounds for the
disqualification.
(2) A judge shall keep informed about the judge's personal
and fiduciary economic interests, and make a reasonable effort
to keep informed about the personal economic interests of
the judge's spouse and minor children residing in the judge's
household.
(F) Remittal of Disqualification. A judge disqualified
by the terms of subdivision (E), except subparagraph (1)(a)(i),
subparagraph (1)(b)(i) or (iii) or subparagraph (1)(d)(i)
of this section, may disclose on the record the basis of
the judge's disqualification. If, following such disclosure
of any basis for disqualification, the parties who have
appeared and not defaulted and their lawyers, without participation
by the judge, all agree that the judge should not be disqualified,
and the judge believes that he or she will be impartial
and is willing to participate, the judge may participate
in the proceeding. The agreement shall be incorporated in
the record of the proceeding.
1.
A new Part 8 of the Chief Judge's Rules has been proposed that prohibits the
appointment of court employees who are relatives of any judge of the same
court within the judicial district in which the appointment is to be made.
|
|
| Section
100.4 A judge shall so conduct the judge's extra-judicial
activities as to minimize the risk of conflict with judicial
obligations
(A) Extra-Judicial Activities in General. A judge shall
conduct all of the judge's extra- judicial activities so
that they do not:
(1) cast reasonable doubt on the judge's capacity to act
impartially as a judge;
(2) detract from the dignity of judicial office; or
(3) interfere with the proper performance of judicial duties
and are not incompatible with judicial office.
(B) Avocational Activities. A judge may speak, write,
lecture, teach and participate in extra- judicial activities
subject to the requirements of this Part.
(C) Governmental, Civic, or Charitable Activities.
(1) A full-time judge shall not appear at a public hearing
before an executive or legislative body or official except
on matters concerning the law, the legal system or the administration
of justice or except when acting pro se in a matter involving
the judge or the judge's interests.
(2)
(a) A full-time judge shall not accept appointment to a
governmental committee or commission or other governmental
position that is concerned with issues of fact or policy in
matters other than the improvement of the law, the legal system
or the administration of justice. A judge may, however, represent
a country, state or locality on ceremonial occasions or in
connection with historical, educational or cultural activities.
(b) A judge shall not accept appointment or employment as
a peace officer or police officer as those terms are defined
in section 1.20 of the Criminal Procedure Law.
(3) A judge may be a member or serve as an officer, director,
trustee or non-legal advisor of an organization or governmental
agency devoted to the improvement of the law, the legal system
or the administration of justice or of an educational, religious,
charitable, cultural, fraternal or civic organization not
conducted for profit, subject to the following limitations
and the other requirements of this Part.
(a) A judge shall not serve as an officer, director, trustee
or non-legal advisor if it is likely that the organization
(i) will be engaged in proceedings that ordinarily would
come before the judge,
or
(ii) if the judge is a full-time judge, will be engaged regularly
in adversary proceedings in any court.
(b) A judge as an officer, director, trustee or non-legal
advisor, or a member or otherwise:
(i) may assist such an organization in planning fund-raising
and may participate in the management and investment of the
organization's funds, but shall not personally participate
in the solicitation of funds or other fund-raising activities;
(ii) may not be a speaker or the guest of honor at an organization's
fund-raising events, but the judge may attend such events.
Nothing in this subparagraph shall prohibit a judge from
being a speaker or guest of honor at
a court employee organization, bar association or law school
function or from accepting at another organization's fund-raising
event an unadvertised award ancillary to such event;
(iii) may make recommendations to public and private fund-granting
organizations on projects and programs concerning the law,
the legal system or the administration of justice; and
(iv) shall not use or permit the use of the prestige of judicial
office for fund-raising or membership solicitation, but may
be listed as an officer, director or trustee of such an organization.
Use of an organization's regular letterhead for fund-raising
or membership solicitation does not violate this provision,
provided the letterhead lists only the judge's name and office
or other position in the organization, and, if comparable
designations are
listed for other persons, the judge's judicial designation.
(D) Financial activities.
(1) A judge shall not engage in financial and business dealings
that:
(a) may reasonably be perceived to exploit the judge's judicial
position;
(b) involve the judge with any business, organization or
activity that ordinarily will come before the judge; or
(c) involve the judge in frequent transactions or continuing
business relationships with those lawyers or other persons
likely to come before the court on which the judge serves.
(2) A judge, subject to the requirements of this Part, may
hold and manage investments of the judge and members of the
judge's family, including real estate.
(3) A full-time judge shall not serve as an officer, director,
manager, general partner, advisor, employee or other active
participant of any business entity, except that:
(a) the foregoing restriction shall not be applicable to
a judge who assumed judicial office prior to July 1, 1965,
and maintained such position or activity continuously since
that date; and
(b) a judge, subject to the requirements of this Part, may
manage and participate in a business entity engaged solely
in investment of the financial resources of the judge or members
of the judge's family; and
(c) any person who may be appointed to fill a full-time
judicial vacancy on an interim or temporary basis pending
an election to fill such vacancy may apply to the Chief Administrator
of the Courts for exemption from this paragraph during the
period of such interim or temporary appointment.
(4) A judge shall manage the judge's investments and other
financial interests to minimize the number of cases in which
the judge is disqualified. As soon as the judge can do so
without serious financial detriment, the judge shall divest
himself or herself of investments and other financial interests
that might require frequent disqualification.
(5) A judge shall not accept, and shall urge members of
the judge's family residing in the judge's household not to
accept, a gift, bequest, favor or loan from anyone except:
(a) a "gift" incident to a public testimonial, books, tapes
and other resource materials supplied by publishers on a
complimentary basis for official use, or an invitation to
the judge and the judge's spouse or guest to attend a bar-related
function or an activity devoted to the improvement of the
law, the legal system or the administration of justice;
(b) a gift, award or benefit incident to the business, profession
or other separate activity of a spouse or other family member
of a judge residing in the judge's household, including gifts,
awards and benefits for the use of both the spouse or other
family member and the judge (as spouse or family member),
provided the gift, award or benefit could not reasonably be
perceived as intended to influence the judge in the performance
of judicial duties;
(c) ordinary social hospitality;
(d) a gift from a relative or friend, for a special occasion
such as a wedding, anniversary or birthday, if the gift is
fairly commensurate with the occasion and the relationship;
(e) a gift, bequest, favor or loan from a relative or close
personal friend whose appearance or interest in a case would
in any event require disqualification under section 100.3(E);
(f) a loan from a lending institution in its regular course
of business on the same terms generally available to persons
who are not judges;
(g) a scholarship or fellowship awarded on the same terms
and based on the same criteria applied to other applicants;
or
(h) any other gift, bequest, favor or loan, only if: the
donor is not a party or other person who has come or is
likely to come or whose interests have come or are likely
to come before the judge; and if its value exceeds $150.00,
the judge reports it in the same manner as the judge reports
compensation in Section 100.4(H).
(E) Fiduciary Activities.
(1) A full-time judge shall not serve as executor, administrator
or other personal representative, trustee, guardian, attorney
in fact or other fiduciary, designated by an instrument executed
after January 1, 1974, except for the estate, trust or person
of a member of the judge's family, or, with the approval of
the Chief Administrator of the Courts, a person not a member
of the judge's family with whom the judge has maintained a
longstanding personal relationship of trust and confidence,
and then only if such services will not interfere with the
proper performance of judicial duties.
(2) The same restrictions on financial activities that apply
to a judge personally also apply to the judge while acting
in a fiduciary capacity.
(3) Any person who may be appointed to fill a full-time
judicial vacancy on an interim or temporary basis pending
an election to fill such vacancy may apply to the Chief Administrator
of the Courts for exemption from paragraphs (1) and (2) during
the period of such interim or temporary appointment.
(F) Service as Arbitrator or Mediator. A full-time judge
shall not act as an arbitrator or mediator or otherwise
perform judicial functions in a private capacity unless
expressly authorized by law.
(G) Practice of Law. A full-time judge shall not practice
law. Notwithstanding this prohibition, a judge may act pro
se and may, without compensation, give legal advice to a
member of the judge's family.
(H) Compensation, Reimbursement and Reporting.
(1) Compensation and reimbursement. A full-time judge may
receive compensation and reimbursement of expenses for the
extra- judicial activities permitted by this Part, if the
source of such payments does not give the appearance of influencing
the judge's performance of judicial duties or otherwise give
the appearance of impropriety, subject to the following restrictions:
(a) Compensation shall not exceed a reasonable amount nor
shall it exceed what a person who is not a judge would receive
for the same activity.
(b) Expense reimbursement shall be limited to the actual
cost of travel, food and lodging reasonably incurred by the
judge and, where appropriate to the occasion, by the judge's
spouse or guest. Any payment in excess of such an amount is
compensation.
(c) No full-time judge shall solicit or receive compensation
for extra- judicial activities performed for or on behalf
of: (1) New York State, its political subdivisions or any
office or agency thereof; (2) school, college or university
that is financially supported primarily by New York State
or any of its political subdivisions, or any officially recognized
body of students thereof, except that a judge may receive
the ordinary compensation for a lecture or for teaching a
regular course of study at any college or university if the
teaching does not conflict with the proper performance of
judicial duties; or (3) any private legal aid bureau or society
designated to represent indigents in accordance with article
18-B of the County Law.
(2) Public Reports. A full-time judge shall report the
date, place and nature of any activity for which the judge
received compensation in excess of $150, and the name of
the payor and the amount of compensation so received. Compensation
or income of a spouse attributed to the judge by operation
of a community property law is not extra-judicial compensation
to the judge. The judge's report shall be made at least
annually and shall be filed as a public document in the
office of the clerk of the court on which the judge serves
or other office designated by law.
(I) Financial Disclosure. Disclosure of a judge's income,
debts, investments or other assets is required only to the
extent provided in this section and in section 100.3(F),
or as required by Part 40 of the Rules of the Chief Judge
(22 NYCRR Part 40), or as otherwise required by law.
Historical Note
Sec. filed Aug. 1, 1972; amd. filed Nov. 26, 1976; renum.
111.4, new added by renum. and amd. 33.4, filed Feb. 2, 1982;
repealed, new filed Feb. 1, 1996; amds. filed: Feb. 27, 1996;
Feb. 9, 1998 eff. Jan. 23, 1998. Amended (C)(3)(b)(ii). |
|
| Section
100.5 A judge or candidate for elective judicial office shall
refrain from inappropriate political activity.
(A) Incumbent judges
and others running for public election to judicial office.
(1) Neither a sitting judge nor a candidate for public election
to judicial office shall directly or indirectly engage in
any political activity except (i) as otherwise authorized
by this section or by law, (ii) to vote and to identify himself
or herself as a member of a political party, and (iii) on
behalf of measures to improve the law, the legal system or
the administration of justice. Prohibited political activity
shall include:
(a) acting as a leader or holding an office in a political
organization;
(b) except as provided in Section 100.5(A)(3), being a
member of a political organization other than enrollment
and membership in a political party;
(c) engaging in any partisan political activity, provided
that nothing in this section shall prohibit a judge or candidate
from participating in his or her own campaign for elective
judicial office or shall restrict a non- judge holder of public
office in the exercise of the functions of that office;
(d) participating in any political campaign for any office
or permitting his or her name to be used in connection with
any activity of a political organization;
(e) publicly endorsing or publicly opposing (other than
by running against) another candidate for public office;
(f) making speeches on behalf of a political organization
or another candidate;
(g) attending political gatherings;
(h) soliciting funds for, paying an assessment to, or making
a contribution to a political organization or candidate; or
(i) purchasing tickets for politically sponsored dinners
or other functions, including any such function for a non-political
purpose.
(2) A judge or non-judge who is a candidate for public
election to judicial office may participate in his or her
own campaign for judicial office as provided in this section
and may contribute to his or her own campaign as permitted
under the Election Law. During the Window Period as defined
in Subdivision (Q) of section 100.0 of this Part,
a judge or non-judge who is a candidate for public election
to judicial office, except as prohibited by law, may:
(i) attend and speak to gatherings on his or her own behalf,
provided that the candidate does not personally solicit contributions;
(ii) appear in newspaper, television and other media advertisements
supporting his or her candidacy, and distribute pamphlets
and other promotional campaign literature supporting his or
her candidacy;
(iii) appear at gatherings, and in newspaper, television
and other media advertisements with the candidates who make
up the slate of which the judge or candidate is a part;
(iv) permit the candidate's name to be listed on election
materials along with the names of other candidates for elective
public office;
(v) purchase two tickets to, and attend, politically sponsored
dinners and other functions even where the cost of the ticket
to such dinner or other function exceeds the proportionate
cost of the dinner or function.
(3) A non-judge who is a candidate for public election to
judicial office may also be a member of a political organization
and continue to pay ordinary assessments and ordinary contributions
to such organization.
(4) A judge or a non-judge who is a candidate for public
election to judicial office:
(a) shall maintain the dignity appropriate to judicial office
and act in a manner consistent with the integrity and independence
of the judiciary, and shall encourage members of the candidate's
family to adhere to the same standards of political conduct
in support of the candidate as apply to the candidate;
(b) shall prohibit employees and officials who serve at
the pleasure of the candidate, and shall discourage other
employees and officials subject to the candidate's direction
and control, from doing on the candidate's behalf what the
candidate is prohibited from doing under this Part;
(c) except to the extent permitted bySection 100.5(A)(5),
shall not authorize or knowingly permit any person to do
for the candidate what the candidate is prohibited from doing
under this Part;
(d) shall not:
(i) make pledges or promises of conduct in office other than
the faithful and impartial performance of the duties of the
office;
(ii) 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
(iii) knowingly make any false statement or misrepresent the
identity, qualifications, current position or other fact concerning
the candidate or an opponent; but
(e) may respond to personal attacks
or attacks on the candidate's record as long as the response
does not violate subparagraphs 100.5(A)(4)(a) and (d).
(5) A judge or candidate for public election to judicial
office shall not personally solicit or accept campaign contributions,
but may establish committees of responsible persons to conduct
campaigns for the candidate through media advertisements,
brochures, mailings, candidate forums and other means not
prohibited by law. Such committees may solicit and accept
reasonable campaign contributions and support from the public,
including lawyers, manage the expenditure of funds for the
candidate's campaign and obtain public statements of support
for his or her candidacy. Such committees may solicit and
accept such contributions and support only during the window
period. A candidate shall not use or permit the use of campaign
contributions for the private benefit of the candidate or
others.
(B) Judge as candidate for nonjudicial office. A judge shall
resign from judicial office upon becoming a candidate for
elective nonjudicial office either in a primary or in a general
election, except that the judge may continue to hold judicial
office while being a candidate for election to or serving
as a delegate in a state constitutional convention if the
judge is otherwise permitted by law to do so.
(C) Judge's staff. A judge shall prohibit members of the
judge's staff who are the judge's personal appointees from
engaging in the following political activity:
(1) holding an elective office in a political organization,
except as a delegate to a judicial nominating convention or
a member of a county committee other than the executive committee
of a county committee;
(2) contributing, directly or indirectly, money or other
valuable consideration in amounts exceeding $500 in the aggregate
during any calendar year to all political campaigns for political
office, and other partisan political activity including, but
not limited to, the purchasing of tickets to political functions,
except that this $500 limitation shall not apply to an appointee's
contributions to his or her own campaign. Where an appointee
is a candidate for judicial office, reference also shall be
made to appropriate sections of the Election Law;
(3) personally soliciting funds in connection with a partisan
political purpose, or personally selling tickets to or promoting
a fund-raising activity of a political candidate, political
party, or partisan political club; or
(4) political conduct prohibited by section 25.39 of the
Rules of the Chief Judge (22 NYCRR 25.39).
Historical Note
Sec. filed Aug. 1, 1972; renum. 111.5, new added by renum.
and amd. 33.5, filed Feb. 2, 1982; amds. filed: Dec. 21, 1983;
May 8, 1985; March 2, 1989; April 11, 1989; Oct. 30, 1989;
Oct. 31, 1990; repealed, new filed; amd. filed March 25, 1996
eff. March 21, 1996. Amended (A)(2)(v). |
|
| Section
100.6 Application of the rules of judicial conduct.
(A) General application.
All judges in the unified court system and all other persons
to whom by their terms these rules apply, e.g., candidates
for elective judicial office, shall comply with these rules
of judicial conduct, except as provided below. All other persons,
including judicial hearing officers, who perform judicial
functions within the judicial system shall comply with such
rules in the performance of their judicial functions and otherwise
shall so far as practical and appropriate use such rules as
guides to their conduct.
(B) Part-time judge. A part-time judge:
(1) is not required to comply with section 100.4(C)(1),
100.4(C)(2)(a), 100.4(C)(3)(a)(ii), 100.4(E)(1), 100.4(F),
100.4(G), and 100.4(H);
(2) shall not practice law in the court on which the judge
serves, or in any other court in the county in which his or
her court is located, before a judge who is permitted to practice
law, and shall not act as a lawyer in a proceeding in which
the judge has served as a judge or in any other proceeding
related thereto;
(3) shall not permit his or her partners or associates to
practice law in the court in which he or she is a judge, and
shall not permit the practice of law in his or her court by
the law partners or associates of another judge of the same
court who is permitted to practice law, but may permit the
practice of law in his or her court by the partners or associates
of a judge of a court in another town, village or city who
is permitted to practice law;
(4) may accept private employment or public employment in
a Federal, State or municipal department or agency, provided
that such employment is not incompatible with judicial office
and does not conflict or interfere with the proper performance
of the judge's duties.
(C) Administrative law judges. The provisions of this Part
are not applicable to administrative law judges unless adopted
by the rules of the employing agency.
(D) Time for compliance. A person to whom these rules become
applicable shall comply immediately with all provisions of
this Part, except that, with respect to section 100.4(D)(3)
and 100.4(E), such person may make application to the Chief
Administrator for additional time to comply, in no event
to exceed one year, which the Chief Administrator may grant
for good cause shown.
(E) Relationship to Code of Judicial Conduct. To the extent
that any provision of the Code of Judicial Conduct as adopted
by the New York State Bar Association is inconsistent with
any of these rules, these rules shall prevail, except that
these rules shall apply to a non-judge candidate for elective
judicial office only to the extent that they are adopted by
the New York State Bar Association in the Code of Judicial
Conduct.
Historical Note
Sec. filed Aug. 1, 1972; repealed, new added by renum. 100.7,
filed Nov. 26, 1976; renum. 111.6, new added by renum. and
amd. 33.6, filed Feb. 2, 1982; repealed, new filed Feb. 1,
1996 eff. Jan. 1, 1996. |
|
| Section
100.7 [Repealed]
Historical Note
Sec. filed Aug. 1, 1972; renum. 100.6, new filed Nov. 26,
1976; renum. 111.7, new added by renum. and amd. 33.7, filed
Feb. 2, 1982; amd. filed July 14, 1986; repealed, filed Feb.
1, 1996 eff. Jan. 1, 1996. |
|
| Section
100.8 [Repealed]
Historical Note
Sec. filed Aug. 1, 1972; renum. 111.8, filed Feb. 2, 1982
eff. Jan. 1, 1982. |
|
|
