Advisory Committee on Judicial Ethics Subject Matter Index

Subject Matter Index

On these pages, we have formed a rough subject matter index by categorizing our more recent opinions by subject matter, starting with Opinion 15-01. We hope this will help make the Committee's recently broadcast opinions more accessible.

In the interim, you may search for words on each page using your web browser's search function (e.g., Ctrl+F).

Additional Subject Matter Index pages: 

Subject Matter Index: Conflicts; Disqualification - 100.3(E)
Subject Matter Index: Practice of Law (part-time judges) - 100.6(B)
Subject Matter Index: Business and Financial Activities - 100.4(D)
Subject Matter Index: Disciplinary Obligations - 100.3(D)
Subject Matter Index: Extra-Judicial Activities - 100.4
Subject Matter Index: Political Activity - 100.5
Subject Matter Index: Full-Time Judges and the Practice of Law - 100.4(G) (winding down; appearing pro se; advising family; teaching vs legal advice)
Subject Matter Index: Performance of Judicial Duties (sentencing, mail pleas, diversion programs, control of courtroom, etc.)
Subject Matter Index: Judicial Independence (separation of powers; alignment with prosecution or law enforcement; impartiality and independence generally; proper role or function of judge)

Ex Parte Communications

(22 NYCRR 100.3[B][6])

This section collects recent opinions about ex parte communications, such as which ex parte communications are permissible; avoiding or limiting impermissible ex parte communications; and whether ex parte communications must be disclosed. 

For opinions focusing on whether disqualification is required, see Conflicts - Ex Parte Communications.

For opinions focusing on the permissibility of one-sided or private meetings (not necessarily connected with a particular case), see Impartiality and Independence Generally; Alignment with Defense or Other Interests; Proper Role or Function of Judge.

Opinion 25-37 (1) During the period after a motion is heard and before the judge has issued a decision, the judge need not disclose that court personnel asked him/her for a status update on the motion for administrative purposes; or that the judge was exposed to a brief non-substantive comment about the motion which will not affect the judge’s decision. (2) Where a letter from a party’s counsel to the judge about a pending motion is copied to all parties, it is not an ex parte communication. Whether the judge may consider it is a legal question we cannot address.

Opinion 25-17 A judge need not disclose the contents of an ex parte communication from a litigant unless it contains substantive information related to the underlying dispute.

Opinion 25-09 A judge may contact another court and request a copy of charges pending against a defendant who is being arraigned before the judge, if the judge has learned in the course of their official judicial duties that there are such charges pending in another court and the nature of such charges may bear on the judge’s bail decision.

Opinion 24-162 (1) When a supervising judge receives an ex parte communication from a guardian ad litem in a pending case that expresses the view that a judge under the supervising judge’s supervision is applying an incorrect legal standard in the case, the supervising judge may not serve as a conduit for this ex parte communication. (2) The supervising judge may, if he/she wishes, respond to the ex parte communication by reminding the guardian ad litem that it is the responsibility of the parties or their representatives to bring legal authorities to the attention of the judge presiding in the matter, on notice to the other parties.

Opinion 24-155 A judge may consult a disinterested expert on the law regarding a legal issue that is currently before the judge, provided the judge gives notice to the parties of the expert consulted, provides a copy of such advice if the advice is given in writing or the substance of the advice if it is given orally, and affords the parties a reasonable opportunity to respond. The judge must exercise caution to ensure that the judge does not delegate judicial decision-making to the expert, since the expert should be consulted only on the law and not on the outcome of the legal issue.

Opinion 24-146 (1) On these facts, disclosure of ex parte communications to both sides is sufficient to dispel an appearance of impropriety. (2) Where a JHO receives a signed letter from jurors, designated as a “formal complaint,” with a detailed factual account of how the plaintiff’s counsel berated them for their verdict in the jury room, the JHO must report the attorney to the grievance committee. (3) After reporting the attorney, the JHO is disqualified from all matters where the attorney appears both while the disciplinary matter is pending and for two years thereafter. Remittal is unavailable unless the attorney waives confidentiality or the grievance committee issues a public opinion.

Opinion 24-117 Provided no adverse action is contemplated against the treatment participant and both the prosecutor and defense counsel are given notice and a reasonable opportunity to participate, a judge may conduct treatment court sessions with only the participant present. When engaging in discussions with a treatment court participant in the absence of counsel, the judge may discuss the participant’s progress and other matters pertaining to treatment court, without discussing the underlying criminal case. If the judge believes that matters raised in these discussions could potentially trigger adverse consequences, the judge should ensure that defense counsel is present before addressing them. 

Opinion 24-116 A judge presiding in a family treatment court may engage in ex parte communications with the court’s case managers. If the content involves outside information obtained from a non-court source, then notice should be given to the parent’s attorney. Otherwise there is no need to disclose the content of those communications to treatment court participants. 

Opinion 24-50 A judge presiding in a drug treatment court may engage in ex parte communications with the court’s resource coordinator. If the content involves outside information obtained from a non-court source, then notice should be given to the defense attorney. Otherwise there is no need to disclose the content of those communications to court participants.

Opinion 23-128 A judge may consult with another judge on a matter over which the other judge has appellate jurisdiction without violating the Rules Governing Judicial Conduct, but the practice is ill-advised.

Opinion 22-85 Where a judge believes an attorney may be engaging in unprofessional and/or unethical conduct that is causing unnecessary delays and disruption to court proceedings, but lacks substantial first-hand knowledge of the alleged misconduct, the judge is not required to take any action, but may do so in the judge’s discretion. The propriety of a judge’s determinations about granting continuances, entering scheduling orders, and sanctioning clients are legal questions beyond our authority to address. However, the judge may not engage in impermissible ex parte communications by sending a letter exclusively to an attorney on one side of the case cautioning them that their requests for continuances will be carefully monitored and subject to scrutiny.

Opinion 22-56/22-67 A judge who appoints fiduciaries in a guardianship part (1) may direct court staff to update the Part 36 fiduciary list by contacting the listed individuals to inquire whether they are currently accepting such assignments; (2) may personally inquire whether a prospective appointee is available to accept assignment in a particular case, even if the Alleged Incapacitated Person is indigent, provided the judge avoids undue pressure or coercion; and (3) may also direct court staff to make such inquiry on the judge’s behalf.

Opinion 22-34 A judge who receives ex parte correspondence from an inmate claiming that the conviction was obtained through perjured police testimony: (1) may not forward the correspondence to the Conviction Integrity Unit, but may instead treat this correspondence as the judge treats other impermissible ex parte communications; and (2) need not disqualify if an application seeking to vacate the conviction is eventually filed and assigned to the judge.

Opinion 21-182 A judge may co-chair a committee to educate the judiciary on implicit bias through a volunteer court observation project, and may meet as a group with other participating judges and committee members to receive feedback from the volunteer observers, but may not meet privately with volunteer observers to discuss their feedback on the judge’s own court sessions.

Opinion 21-165 1) Where court staff have relayed to a judge certain remarks made openly by a physician witness while waiting for the case to be called, and the judge concludes those remarks reflect gender and other bias and a lack of professionalism to a level that could directly impact the doctor’s credibility and/or might be relevant in evaluating the conclusions reached in the physician’s report, the judge ... (b) must disclose the remarks to all parties so that they may be heard on the matter.

Opinion 21-99 A judge may not monitor police communications on police scanners or police scanner apps for the purpose of learning who has been arrested in the judge's jurisdiction and will likely come before the judge's court, as such activity deliberately and purposefully exposes the judge to ex parte information about pending or impending cases in the judge's court, exclusively from a law enforcement perspective.

Opinion 20-195 (1) A judge need not disclose, in a matter currently pending before the judge, a prosecutor’s ex parte communication asking if the judge would honor a grand jury subpoena concerning a related but now-concluded case, where the communication contained no information pertaining to the merits of the pending matter. (2) The judge may continue to preside unless the judge believes they cannot be impartial.

Opinion 20-107 May a town court provide only a copy of the weekly town court calendar to only the Assigned Counsel Program on an on-going basis?

Opinion 20-80 A court-attorney referee may set up an email auto-response to provide general legal and ethical information to unrepresented litigants and others, provided the message is consistent with the Rules Governing Judicial Conduct. However, the referee should not refer to him/herself as a “jurist” in this auto-response message.

Opinion 20-58 A part-time lawyer judge must not publish his/her judicial decisions on his/her personal social media website, where doing so may appear to (1) invite discussion, comment, or other input from members of the public or (2) indirectly promote his/her law practice.

Opinion 20-38 (1) A judge may discuss pending or impending matters with other judges and court clerks at a magistrate’s association meeting, assuming this is a confidential setting with no others present. (2) Where a judicial association’s email contact list includes individuals who are not judges or court personnel, a judge cannot assume the emailed discussions are confidential or private and therefore must take particular care to observe generally applicable limitations on judicial speech.

Opinion 19-117 If authorized by law, a town or village justice may notify criminal defendants of court appearances without simultaneously notifying defense counsel.

Opinion 19-107 (1) On these facts, where a judge, in the course of his/her judicial duties, becomes aware of a party’s apparent attempt to undermine the judge’s judicial decision by filing a declaratory judgment action in another court and seeking a default judgment without disclosing related actions, the judge may, but is not required to, inform the other judge of the relevant facts. If the judge chooses to contact the other judge, he/she must do so in writing and copy both sides. ...

Opinion 19-08 A judge may consult ex parte with duly elected or appointed judges, even if they preside in courts other than the Unified Court System, concerning cases before him/her. In doing so, the judge should make reasonable efforts to preserve confidentiality.

Opinion 19-03 (1) A judge may not email governmental agencies to obtain evidence in a disputed litigation. (2) A judge may invite attorneys to email motion papers directly to him/her, but should require that opposing counsel be copied on the email.

Opinion 18-99 A judge was inadvertently exposed to an ex parte communication concerning a case. He/she terminated the communication as quickly as possible, discouraged further contact, and promptly disclosed the information to counsel at arraignment. The judge believes he/she can be fair and impartial. Need the judge take any further action?

Opinion 18-51 (1) On notification from an arresting agency that a defendant requires immediate arraignment, is it ethically permissible for the judge to “call attorneys from a list provided by the county 18B program to inquire if the attorney is willing to appear on behalf of the defendant?” (2) If so, may the judge then preside over the arraignment once the defendant and the defense attorney are present? (3) Must notice be given to the District Attorney of an immediate arraignment and, if so, may the judge proceed with the arraignment if the prosecutor declines to appear or is unavailable? (4) Does a judge’s effort to effectuate a criminal defendant’s right to counsel at arraignment (or at any other time where the defendant’s civil liberties are impacted) automatically create an impermissible appearance of partiality or otherwise disqualify the judge from presiding in the case? (5) May the judge preside over an arraignment if a “good faith effort” is made to find counsel but no attorney is available? (6) May the judge refuse to proceed with an arraignment if a defendant is not represented by counsel during the arraignment?

Opinion 18-38 Absent any factors that would create an appearance of impropriety, a judge who has taken over a case on another judge’s retirement due to age may initiate ex parte communications with the retired judge concerning that case, and may discuss legal and factual issues with him/her. The judge need not disclose such communications to the parties or their counsel.

Opinion 17-112 May a judge grant the probation department's ex parte request to exempt from disclosure the victim impact statement contained in the pre-sentence investigation report?

Opinion 17-107 A judge must not permit or consider a witness's ex parte request to dismiss a traffic summons for a moving violation, unless the judge determines that applicable law specifically authorizes him/her to do so.

Opinion 17-53 What are the obligations of a judge presiding in a juvenile delinquency matter, who receives a social media message from the victim's first-degree relative containing substantive discussion of the case?

Opinion 17-15 May a Family Court judge send a sympathy card to the family of a decedent who was formerly the subject of juvenile delinquency proceedings before the judge?

Opinion 16-140 May a judge consider a defendant's written form application for assigned counsel ex parte and make a determination of financial eligibility on an ex parte basis, where the form focuses solely on the defendant's financial information and does not invite substantive communications? What factors distinguish Opinion 16-68 and Opinion 16-140?

Opinion 16-156 A judge should not send a thank you note in response to a laudatory ex parte letter from an attorney who recently appeared before the judge.

Opinion 15-209 May a part-time judge consult ex parte with court personnel who staff the City, Town and Village Courts Resource Center? Must there be notice and/or disclosure to the parties in the case?

Opinion 15-178 In a court where judges repeatedly receive attempted ex parte communications from elected officials on behalf of their constituents, what steps should the judges take?

Opinion 16-155 What steps should a judge take on learning that his/her second-degree relative has, in his/her capacity as a member of a religious institution, commenced an informal counseling relationship with a defendant who is appearing before the judge in a long-running high-profile criminal matter?

Opinion 15-148 May a judge who formerly represented a particular category of litigants in the specialized court where he/she now sits remain on the private e-mail list for a former colleague's summaries, commentary, and compilations of recent cases?

Opinion 15-106 Must a judge disclose that he/she engaged in a brief and non-substantive conversation with an attorney at a bar association function, while the attorney had a case pending before the judge? 

Opinion 15-85 May a judge sua sponte review a defendant's driving history before accepting or rejecting a proposed plea agreement? If so, must the judge disclose the contents of the driving history to the parties and counsel?

Opinion 15-47 May a judge require, as a condition of joining a treatment court program, that the defendant must agree to participate in an exercise program? If so, may the judge thereafter attend or participate in the exercise program together with treatment court participants?

Opinion 17-109 A judge who has received a copy of a disciplinary complaint letter filed by a litigant's relative against opposing counsel, but has not read the substance of the letter, has no obligation to disclose the communication. The judge may continue to preside over the case provided the judge believes he/she can be fair and impartial.

Opinion 14-140 Must a judge report his/her co-judge after learning from his/her court clerks that they overheard the co-judge engaging in ex parte, off-the-record communications with a prosecutor and his/her witness, advising them how to present certain evidence at the next phase of the case?

Opinion 13-124/13-125/13-128/13-129 (1) A judge may not meet privately with the public defender concerning implementation of a new counsel-at-arraignment program for indigent defendants unless the district attorney consents, but may meet jointly with the public defender and the district attorney to discuss such matters, and may attend an open forum concerning implementation of the program, provided that the district attorney is expressly invited to attend. (2) A judge may speak ex parte with a defendant on topics relevant to determine the defendant’s financial eligibility for the counsel-at-arraignment program, where the program is, by its terms, restricted to indigent defendants. (3) Provided that the district attorney is on notice that the counsel-at-arraignment program is in effect, the district attorney’s failure to send, designate or otherwise reasonably make available a representative to attend or participate in such arraignments, may be treated as implied consent for the judge to conduct such arraignments ex parte. (4) A judge may not accede to a public defender’s request that the judge should contact the defender’s office for representation under the counsel-at-arraignment program only in cases where bail may be imposed and incarceration is a possibility.

Opinion 11-85 A judge may not participate in a private meeting with the representatives of a local victims’ advocacy group, where the representatives’ stated goal is to educate the judge about the importance of the group and the group’s role in the community, and to establish a “mutually respectful relationship” between the organization and the court system.

Opinion 09-242 .... While this disqualification is subject to remittal, except where a party appears without counsel or if a matter is before the judge ex parte, the judge should seriously consider recusal where his/her first degree relative holds such a high ranking supervisory law enforcement position. [NOTE: Modified by Opinion 21-22(A), which abolishes the "pro se remittal" rule, and by 22 NYCRR 100.3(E)(1)(i).]

Opinion 09-216 A judge may explain to the parties why the judge has rejected a proposed plea agreement, as long as the explanation is based upon legitimate concerns and does not involve the judge in improper ex parte communications.

Opinion 09-97 .... Because an application for a search warrant is an ex parte proceeding, remittal of the disqualification is not permitted....

Opinion 09-71 In a situation where a judge disclosed the contents of an ex parte conversation to all counsel and parties, addressed disqualification and discussed contacting the Administrative Judge for guidance, whether or not the judge initially disqualified him/herself is a factual determination to be made by the judge. A question concerning whether a judge has the authority to change his/her mind regarding a previously determined disqualification is a legal question outside of the authority of this Committee to address. A judge should exercise his/her discretion regarding whether or not the judge need disqualify him/herself after receiving an ex parte communication about a case pending before the judge.

Opinion 09-46 A judge may visit his/her third degree relative in jail and/or discuss that relative’s case with the relative’s Public Defender, as long as the judge does not have any ex parte contact with the judge presiding in the matter and does not invoke his/her judicial office or otherwise lend the prestige of his/her judicial office for his/her relative’s benefit. [NOTE: Opinion 18-120 states: "A full-time judge may provide informal, uncompensated legal advice to adult relatives involved in pending or impending civil or criminal proceedings, but may not participate in discussions with their retained counsel, as that constitutes the prohibited practice of law. To avoid even the appearance of impropriety, the judge must not attend meetings with counsel."]

Public Comment Rule

(See 22 NYCRR 100.3[B][8])

Numerous opinions mention or discuss the public comment rule in the course of addressing specific questions about speech-related extra-judicial activities.  This section attempts to collect a few recent opinions that contain an extended discussion on specific aspects of the public comment rule. 

Full Text of Section 100.3(B)(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.”

See also generally "Judicial Speech Primer".

When is a proceeding "Pending or Impending"?

Opinion 26-16 A part-time judge who is a former police officer may participate as an interviewee and consultant for a commercially produced documentary concerning a homicide case that occurred more than a decade ago, provided that the case has completely terminated and no related proceedings are pending or impending. The judge must abide by generally applicable limitations on speech and conduct.

Opinion 23-205 A judge may not participate as a panelist in a bar association’s Continuing Legal Education program about a recently settled civil action in which the judge presided, together with attorneys who appeared in the case, unless: (1) the time for appeals has expired; (2) no collateral proceedings are reasonably foreseeable; and (3) the panel includes attorneys from both the plaintiff’s side and the defense side. 

Opinion 20-81(B) excerpt: The rule prohibiting public comment on “pending or impending proceedings” within the United States or its territories requires some discussion. Of particular note, a proceeding is “impending” when it is “reasonably foreseeable but has not yet been commenced” (22 NYCRR 100.0[V]). As explained in Opinion 15-100 (citations omitted): The ban on public comment on pending or impending proceedings is very broad because “a matter remains ‘pending or impending’ at least until the time for appeals has expired and often longer,” that is, “as long as any appeal or collateral proceeding in the case is pending or likely.” Indeed, the Committee has advised that “a judge may not comment even on previously decided aspects of a matter that have been rendered moot, because the ‘case remains pending, regardless of the disposition of a particular issue and that suffices to maintain the prohibition against public comment.’” 

Opinion 20-31 A judge may teach a law school course based on a now-concluded homicide trial in his/her jurisdiction only if the time for appeals is exhausted and no related matters are pending or reasonably foreseeable. In teaching the class, the judge may only use materials from the public record. 

Opinion 18-134 A judge may not participate in an interview with a former juror who wishes to write a book about a case over which the judge presided, where related proceedings remain pending or impending. 

Opinion 04-110 It is permissible for a judge to discuss a case which the judge had tried as a prosecutor, with an author, where the appellate process and post-conviction challenges to the conviction have been exhausted, and there has been no litigation involving the matter for five years.

Confidential Setting with No Outsiders Present

Opinion 20-38 (1) A judge may discuss pending or impending matters with other judges and court clerks at a magistrate’s association meeting, assuming this is a confidential setting with no others present. (2) Where a judicial association’s email contact list includes individuals who are not judges or court personnel, a judge cannot assume the emailed discussions are confidential or private and therefore must take particular care to observe generally applicable limitations on judicial speech.

Special Roles: Speaking as Attorney for a Client

Opinion 21-133 Where a part-time lawyer judge's client invited the media to reach out to his/her attorney “for information and comment,” may the lawyer judge provide a substantive response to the media? 

Opinion 19-133 (1) A part-time attorney judge who is opposing a motion to remove him/her as an attorney in a pending case may respond to media questions concerning the motion in his/her capacity as an attorney, provided he/she makes no reference to his/her status as a judge. (2) If the judge believes governing law prohibits him/her from providing certain details concerning the litigation, he/she may say so publicly.

Opinion 13-09/13-52 (1) A judge may respond to media inquiries about military law and justice issues, and participate in educational programs on such topics, subject to the public comment rule. (2) A part-time lawyer/judge who is acting on behalf of a client (a) may respond to media inquiries concerning issues addressed in an amicus brief that the lawyer/judge submitted on behalf of the client and (b) may attend military proceedings as a non-governmental observer on behalf of his/her client and prepare reports for his/her client, solely in his/her capacity as a lawyer representing a client, provided that the judge does not refer to or use his/her judicial status. (3) A judge may publicly explain and comment on the structure and procedures of certain types of military proceedings, subject to certain limitations. (4) A judge may publicly offer opinions on proposals for the improvement of military justice at public education programs, news panels, and Congressional briefings. 

Opinion 07-47 A part-time judge who is permitted to practice law and who currently represents a client in a highly-publicized litigation may respond to media inquiries concerning the litigation in his/her capacity as a lawyer, but should not refer to or otherwise utilize his/her status as a judge in so responding.

Special Roles: Speaking as a Litigant

• “This paragraph does not apply to proceedings in which the judge is a litigant in a personal capacity.”

Opinion 18-74 When an administrative judge learns that a full-time judge, in his/her capacity as a parent, has provided legal advice to other parents and impermissibly commented on pending litigation beyond the bounds of the judge’s own direct, personal interest in his/her minor child’s education, the administrative judge (1) must take appropriate action but (2) has full discretion to determine what action is appropriate under the circumstances. 

Opinion 11-10 A judge who is the victim of a crime in his/her judicial capacity may respond to inquiries from the media about how the crime has affected him/her, both personally and officially, while the individual who committed that crime is awaiting sentencing in federal court, but may not comment about the prosecution of the case or the sentencing while the case is pending, including any comment indicating or speculating as to how he/she might have conducted the case or what sentence he/she would impose. 

Opinion 07-193 A judge who is the victim of a crime perpetrated by an individual the judge had sentenced to prison for a different crime may appear in court when the defendant is sentenced for the crime and speak about any matter relevant to sentence. 

Opinion 04-123 A judge should not write a letter to a public official of the county that states the judge’s position on a legal question growing out of the judge’s former role as a county legislator when the proposed letter, which is likely to become public, relates to a substantial political controversy; and, in addition, the controversy is likely to lead to litigation.

Special Roles: Academic Exception (Teaching a Regular Course of Study)

• NOTE: The public comment rule ordinarily applies even “while lecturing on or participating in panel discussions about current trends in the law,” including during Continuing Legal Education (CLE) programs (Opinion 11-77).  The narrow “academic exception” applies only where the judge is "a teacher of a regular course of study"

Opinion 23-112 (2) The “academic exception” to the public comment rule applies when a judge is applying for employment as a full-time law professor, and therefore the judge may discuss pending or impending cases in other jurisdictions. (3) With respect to pending or impending cases in the judge’s jurisdiction, the judge may, during the application process, (a) respond to questions by guiding a discussion that seeks to examine all sides of an issue without offering a personal opinion or predicting how the matter should or will be decided and/or (b) provide minimal and essentially factual commentary on changes in the law by noting the nature and extent of changes, unresolved questions, regional differences, and procedural impacts that are clear on the face of the decision, provided the judge does not resolve ambiguities or otherwise interpret the opinions described and does not express subjective praise or criticism of them. 

Opinion 23-02 A part-time town justice, who is a high school teacher, may comment in the classroom on a pending or impending case arising in another jurisdiction. The judge may not reference specific cases in the judge’s court unless and until those cases are completely resolved, including any appeals that are pending. However, if students ask about matters relating to a pending or impending case in the judge’s court, the judge may respond by guiding a discussion that seeks to examine all sides of any issue without offering a personal opinion or predicting how the matter should or will be decided. 

Opinion 20-64 May a part-time judge, as a full-time college professor, comment on cases, regulations, or politics? 

Opinion 20-31 A judge may teach a law school course based on a now-concluded homicide trial in his/her jurisdiction only if the time for appeals is exhausted and no related matters are pending or reasonably foreseeable. In teaching the class, the judge may only use materials from the public record.

Opinion 13-82 A judge may not teach a law school course on the prosecution of a highly publicized local criminal case, where the criminal trial recently occurred in the judge’s jurisdiction and a related civil case is pending.

Public Advocacy; Fund-Granting Recommendations 

(See e.g. 22 NYCRR 100.4[C][1]-[2]; 100.4[C][3]b][iii]; 100.5; 100.2[C]; et al.)

See also generally "Judicial Speech Primer".  

NOTE: Other judicial speech topics, covered in a subsequent section, include writing reference letters (for job, school, award); serving as a character witness; and intervention in ongoing applications or proceedings.

Special Factors: Cognizable Personal Interest

Public Advocacy - General / Uncategorized

Opinion 26-44 (1) During the course of his/her campaign for election or re-election to judicial office, a judge may make comments and recommendations concerning the Commission on Judicial Conduct which, in the judge’s view, will help improve the law, legal system and the administration of justice. The judge may also respond to personal attacks, provided such response is truthful and not misleading. In so doing, the judge must respect and comply with the law. Thus, where the judge’s proposed comments, recommendations, or responses pertain to his/her prior experience in filing a disciplinary complaint against another judge, he/she may not disclose information about his/her complaint that would breach confidentiality. The judge must also ensure that his/her statements do not cast reasonable doubt on his/her ability to be impartial. (2) The judge may publicly disclose our published judicial ethics opinions, including those that, in the judge’s view, affect his/her conduct or ability to comment.

Opinion 26-17 (1) A judge may make recommendations concerning the Commission on Judicial Conduct which are intended to improve the law, the legal system or the administration of justice. (2) Where the judge’s recommendations are based on his/her experience in filing a disciplinary complaint against another judge, he/she may not disclose information about the complaint that would breach confidentiality.

Opinion 25-68 A judge may write a letter to the editor about “recent attacks by public officials against judges,” but must not respond directly to the public officials, nor comment on the specific pending or impending cases which ostensibly occasioned the officials’ inflammatory rhetoric. Among other generally applicable limitations, the judge’s letter must not detract from the dignity of judicial office and must be consistent with judicial integrity and impartiality. 

Opinion 25-62 (1) Where a traffic diversion program does not involve a reduced sentence or negotiated plea, but only comes before the court when the District Attorney files a notice of election not to prosecute and motion to dismiss, the program’s propriety is primarily a legal question, which is beyond the purview of this Committee. (2) A judge may, but is not ethically required to, raise concerns about the program to court administrators, the District Attorney, and/or the public. 

Opinion 23-99 On these facts, as candidates for a non-judicial office have made the judge’s ethical obligations an issue in their election campaign and any attempt by the judge to correct the record will be readily perceived as partisan political activity, the judge must abstain from direct or indirect public comment on the situation.

Opinion 23-47 A town justice may accept an invitation from the town board to attend a town board meeting and address questions “for public information” concerning the court’s procedures and limitations with respect to the collection of fees and court security, to help explain and clarify the court’s role in these matters. The judge may not comment on any pending or impending cases and should be careful not to cast doubt on their integrity, impartiality, and independence in adjudicating matters that could result in revenue for the town.

Opinion 23-35 A magistrates association may send a letter to the District Attorney outlining the association’s concerns about the District Attorney’s policy concerning appearances and plea bargaining in vehicle and traffic law matters.

Opinion 22-97 A full-time judge may teach a law school clinic that will research and draft proposed legislation to create civil liability for encouraging, assisting or facilitating racially motivated crimes. A judge may also propose such legislation to legislators.

Opinion 22-41 May a judge write a law review article "that would review statutory, regulatory and administrative efforts to address the intersection of domestic violence and child protection in NY and 3 other states"?

Opinion 22-04 Subject to certain limitations, a full-time judge may share with the head of a children’s services agency the judge’s observations of agency operations and procedures used when removing children from their homes.

Opinion 21-90 May a town justice, either individually or together with a county magistrates' association, lobby the state legislature for a law which would permit centralized arraignments to be handled via electronic means on a local level?

Opinion 20-136 A judge may write and submit an opinion article to a legal publication outlining what the judge considers flaws in an instrument that judges are currently required to use to assess the potential risk of re-offense.

Opinion 20-112 Where multiple high-profile, racially-charged incidents of police violence have resulted in ongoing or reasonably foreseeable litigation and intense local and national controversy, a judge may not participate in an initiative designed to (a) promote trust and open dialogue between activists and police concerning those incidents and/or (b) recommend changes to current police force deployments, strategies, policies, procedures, and practices. [NOTE: This opinion addresses Executive Order 203.]

Opinion 20-96 A part-time judge may serve on a county executive’s working group to review training at the county police academy, where the group’s membership is balanced and its goal is to help reduce and eliminate implicit bias. The judge must, however, be mindful of the need to maintain public confidence in his/her impartiality and must take particular care not to comment on any pending or impending case in the United States or its territories.

Opinion 20-92/20-93 On these facts, a judge may not participate in a silent “walk for justice.”

Opinion 20-70 Where a not-for-profit, non-partisan town Grange engages in significant educational initiatives to promote rural interests and an appreciation of agriculture but also engages in advocacy and lobbying with local governments concerning local laws, policies and regulations, a town judge (1) may join the entity as a regular member but (2) must not assume leadership roles in the entity or otherwise publicly associate him/herself with organizational positions on controversial issues.

Administrative Hearings, Proceedings, or Applications

See also Character Witness and Intervention in Ongoing Applications or Proceedings.

Opinion 24-128 A judge may not write a letter in support of an attorney who faces discipline from an assigned counsel panel for violation of the panel’s rules and directives.

Opinion 24-63 A judge may not participate in efforts to honor a trailblazing physician with a postage stamp, where such efforts include petitioning the U.S. Postal Service and/or elected officials, and have no connection to the law, the legal system, or the administration of justice.

Opinion 20-205 On these facts, a full-time judge may not accept a speaking engagement to discuss a not-for-profit organization’s experience in navigating a highly controversial licensing application and appeal process.

Opinion 19-152 May a full-time judge appear at an upcoming agency meeting in support of a not-for-profit entity’s license application, where the judge is a co-founder, officer and director of the entity, and has specialized professional skills and training relevant to the license application?

Opinion 19-133 (3) A judge who is running for election to judicial office may respond to personal attacks or attacks on his/her record in his/her capacity as a judicial candidate, provided the response is truthful and not misleading. Thus the judge may, for example, (a) share copies of ethics opinions he/she believes authorize the criticized conduct, (b) disclose the length of his/her employment as an attorney and a part-time judge, (c) disclose facts and circumstances concerning his/her seeking a judicial ethics opinion, and/or (d) explain how his/her conduct has been influenced and guided by such opinions.

Opinion 19-126 May a full-time judge, as one of two directors of a not-for-profit entity, speak at a public hearing before a regional EMS council concerning the entity's application for a license to own and operate an emergency vehicle?

Opinion 15-92(B) May a judge write and forward a consular letter of invitation inviting family members to visit the judge in the United States, where this letter will set forth facts concerning the judge's income and its source in order to demonstrate that the judge is a responsible person who is able to meet the material and accommodation needs of the persons invited? If so, may the judge use judicial stationery for such a letter?

Amicus Briefs

Opinion 26-31 (2) A judicial association may not submit an amicus curiae brief.

Opinion 22-91 May a full-time judge or quasi-judicial official work on an amicus brief that a bar association will file in a high-profile federal appeal?

Opinion 22-37 On these facts, an administrative judge may not authorize a court-sponsored committee or commission to file an amicus curiae brief.

Opinion 19-159 A judicial association may not submit an amicus curiae brief in an Article 78 proceeding against an individual judge.

Opinion 16-178 A judicial association may not submit an amicus brief to the Court of Appeals in a pending appeal to express its members' concern, as trial judges, about the practical effects of a recent Appellate Division decision that trial judges lack statutory authority to take a particular action in connection with sentencing. The judicial association and/or individual judges may instead propose changes to applicable statutes which affect sentencing procedures in their courts. However, if it is not possible to advocate for the desired statutory change without publicly commenting on a specific, identifiable case, they must wait until the case is completely resolved.

Assigned Counsel Plan

Opinion 21-167  A judge may respond to the county comptroller’s survey concerning the county’s assigned counsel program, subject to generally applicable limitations on judicial speech and conduct.

Opinion 16-145 May a county Magistrates Association, at the request of a bar association and the county executive, comment on the bar association's proposed assigned counsel plan before it is implemented by the county?

Bail Reform

Opinion 20-42 Subject to generally applicable limits on judicial speech and conduct, a judge may publicly comment on the recently enacted bail reform legislation to identify perceived strengths and weaknesses and to suggest the legislature seek additional comments or testimony to improve the law. On these facts, given the controversial nature of the topic, the judge should not refer to his/her current or prior affiliation with a court committee or judicial association unless that entity authorizes him/her to do so.

Opinion 18-78 May a magistrates' association issue a resolution supporting or opposing changes in the law concerning a local judge's ability to set bail in various misdemeanor cases? If so, is it also ethically permissible to send the resolution to local legislators and/or the press?

Opinion 18-15 A judge may not serve on a local committee to address bail reform whose membership will consist exclusively of defense representatives and community members since the organizers have declined to invite any prosecutorial, police, or law enforcement agency representatives.

Clemency, Parole, or Pardon

Cf. also Intervention in Ongoing Applications or Proceedings.

Opinion 25-118 A judge may write a letter on behalf of their child for inclusion in a mitigation packet to be reviewed by another judge, a probation department, and a district attorney in connection with the child’s pending criminal cases, where the letter (a) will reflect only a parent’s views of the child’s history, rehabilitation, and family support, and (b) will contain no reference whatsoever to the judge’s judicial title or status.

Opinion 23-82 After a judge’s adult child has been convicted and sentenced, a judge may attend and participate in the child’s subsequent parole hearing, provided they do so in the obvious role of a parent and without reference to their judicial status or otherwise invoking the prestige of judicial office.

Opinion 19-95 May a judge write a letter in support of an inmate’s clemency application at the request of the inmate or his/her attorney, describing the judge’s personal observations of the inmate’s participation and leadership role in a youth outreach program offered at the correctional facility where the inmate is incarcerated?

Opinion 19-21 A judge may not suggest or recommend that an inmate make an application to the governor’s office of clemency nor may the judge take affirmative actions in furtherance of that suggestion or recommendation.

Opinion 17-77 A judge may be a housing resource for a third-degree relative on parole, but may not use the prestige of judicial office to seek exceptions to the parole board's procedures.

Opinion 16-27 May a judicial hearing officer write a letter supporting an inmate's efforts to gain parole and/or clemency?

Constitutional Convention

Opinion 19-120 (1) A full-time judge and a judicial association may publicly support or oppose proposed legislative or constitutional changes affecting court structure, court operations or the terms or conditions of judicial service, and may do so by (a) writing and submitting letters, articles, or editorials to newspapers and other publications; (b) advocating in person or in writing to public officials, governmental bodies, and labor unions; (c) testifying at public hearings; and (d) speaking at public or private forums, other than partisan political gatherings or meetings of a political party or committee. (2) A judge and judicial association should use discretion when expressing a position on social media.

Opinion 16-94 May a judge take a public position on whether a constitutional convention should be convened in an upcoming referendum?

Opinion 16-60 May a judge join an informal discussion group with politically connected people to develop detailed proposals for redistricting reform, comprehensive election and voting reforms, restructuring the legislature, changes in school funding, and other highly controversial or political matters?

Court Structure, Operations, or Funding; Terms/Conditions of Judicial Service

• 22 NYCRR 100.4(C)(3)(b)(iii) says a judge "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." 

Opinion 25-62 (1) Where a traffic diversion program does not involve a reduced sentence or negotiated plea, but only comes before the court when the District Attorney files a notice of election not to prosecute and motion to dismiss, the program’s propriety is primarily a legal question, which is beyond the purview of this Committee. (2) A judge may, but is not ethically required to, raise concerns about the program to court administrators, the District Attorney, and/or the public. 

Opinion 25-60 (1) A judge may publicly support or oppose proposed legislative changes affecting the terms or conditions of judicial service, and therefore may contact his/her state representatives and urge them to abolish the so-called “death gamble” for judges. (2) A judge who is a naturalized citizen may speak to government officials, including federal legislators, to urge them to oppose proposed or enacted executive orders, policies, or legislation which seek to rescind citizenship of naturalized citizens based on their performance of judicial duties, including their judicial decisions or other statements made in their official capacity as judges. In doing so, however, the judge should not comment on what positions the legislators should take with respect to unrelated legislation and therefore the judge should not suggest filibustering every vote on all legislation. (3) A judge may speak publicly about the importance of judicial independence and the rule of law, and thus may speak to federal legislators on this topic. In doing so, however, the judge should not comment on what positions the legislators should take with respect to unrelated legislation. (4) Whether a particular federal executive or congressional decision affects a judge personally requires a fact-specific analysis.

Opinion 25-51 A judge may be a member of a federal judiciary study group organized by the League of Women Voters. If the group becomes involved in partisan political activity or discussion, the judge must resign.

Opinion 25-85 On these facts, a judge must not speak at a high-profile “rally” [for the rule of law] which has become a heavily politicized “call to action” against the current presidential administration and will be held in a location that is regularly used for political rallies. 

Opinion 24-142 A town court may produce a year-end report about its activities and accomplishments, subject to generally applicable limitations on judicial speech and conduct. The report must be issued in the name of the entire court, rather than on behalf of any individual judge(s), and any discussion of recently decided cases, including the resolution of a longstanding local dispute, should be limited to a head-note style summary.

Opinion 24-114 City Court judges who are statutorily authorized to appoint city marshals in a judicial district may (1) organize and participate in an informational and/or training program to encourage applicants for city marshal positions, and (2) promote the program, subject to generally applicable prohibitions on judicial speech and conduct. 

Opinion 24-68 Although a magistrates association, as well as individual judges, may publicly oppose a court reorganization that would replace local town and village courts with a district court, they may not do so by undertaking traditional “campaign activity” such as campaign advertisements, lawn signs, palm cards, or raising funds from the public.

Opinion 23-223 (1) A town justice may advocate for the judge’s preferred schedule and scheduling policies for use of the town’s multi-purpose room as a courtroom, subject to generally applicable limitations on judicial speech and conduct. (2) On these facts, while the judge may pursue lawful avenues to challenge the resolution, the judge may not simply disregard the resolution and schedule court sessions as if it had not been issued.

Opinion 23-212 (1) A part-time judge may serve on the legislative committee of a lawyers’ association, provided its agenda and activities are limited to improvement of the law, the legal system, or the administration of justice.

Opinion 23-200 The Chief Judge may, as the chief judicial officer of the Unified Court System, represent the judiciary's interests by accepting an invitation to speak at a legislative conference sponsored by a 501(c)(3) not-for-profit entity, at a specific session focused on the judiciary's operational needs and/or experience with respect to developing technologies. The judge may not otherwise attend or participate in the legislative conference.

Opinion 23-99 On these facts, as candidates for a non-judicial office have made the judge’s ethical obligations an issue in their election campaign and any attempt by the judge to correct the record will be readily perceived as partisan political activity, the judge must abstain from direct or indirect public comment on the situation.

Opinion 21-158  May a county magistrates’ association comment on the District Attorney’s proposal to the county legislature to abolish local justice courts in favor of a district court system in the county?

Opinion 21-147  A judicial association may publicly condemn the deliberate and unauthorized disclosure of a judge's residential address, as such disclosures may compromise the personal safety and security of judges and/or court personnel and thus affect the administration of justice.

Opinion 21-121   May a full-time judge write to members of the county legislature to emphasize the urgency of completing certain repairs to the courthouse, to encourage them to proceed promptly, and to suggest using certain federal monies the county has received?  If so, may the judge also encourage other local judges to express support for completing these courthouse repairs? 

Opinion 21-91 May a judge contact their legislators in order to ascertain what steps are necessary to initiate legislation in order to create an additional judgeship in the judge’s court to handle the increased caseload and enlist their support in obtaining such legislation?

Opinion 20-202 After receiving any administrative approvals that may be required, judges may collaborate with the Historical Society of the New York Courts on a project to contextualize existing art and memorials at the courthouse and install new thematic artworks created by artists from marginalized groups.

Opinion 19-120 (1) A full-time judge and a judicial association may publicly support or oppose proposed legislative or constitutional changes affecting court structure, court operations or the terms or conditions of judicial service, and may do so by (a) writing and submitting letters, articles, or editorials to newspapers and other publications; (b) advocating in person or in writing to public officials, governmental bodies, and labor unions; (c) testifying at public hearings; and (d) speaking at public or private forums, other than partisan political gatherings or meetings of a political party or committee. (2) A judge and judicial association should use discretion when expressing a position on social media.

Opinion 18-08 A judge, who is working with prosecutors and defense lawyers to establish a local problem-solving court addressing mental health issues, may ask state legislators for financial support for this project.

Opinion 17-123 A judge who presides in veterans treatment court may write to legislators asking for names of potential peer mentors to work with veteran-defendants in the program, provided the judge avoids both actual coercion and its appearance when requesting participation. Alternatively, the judge may authorize his/her resource coordinator or mentor coordinator to write such a letter.

Opinion 16-116 May a full-time judge who presides over criminal arraignments appear at public meetings of the county legislature and other governmental boards or agencies to advocate for: ... (2) "a centralized district court or arraignment court to speed the process and assure that the People and the defendant are represented"?

Opinion 16-89 Where a municipality has previously declined to add court officers' names to a memorial honoring first responders who died during rescue efforts following a terrorist attack, may a judge nonetheless write a letter urging the municipality to add those names?

Opinion 15-98 May a magistrates' association send a letter expressing its position on legislation addressing a perceived disparity in the distribution of monies collected by New York's town and village courts, which affects the operation of such courts?

Opinion 15-48 May a magistrates' association publicly support a resolution urging a legislative change to assist local taxpayers in funding their local justice courts?

Executive or Legislative Policy

Opinion 26-24 Judges may not write a letter to their Congressional representatives in response to high-profile and intensely controversial federal immigration actions in Minneapolis, asking the legislators to take immediate action to guarantee that the rule of law will be preserved and that the government of the United States will follow its own rules with rigor and good faith.

Opinion 25-185 A court attorney-referee may not participate in the legislative affairs committee of a not-for-profit organization, where this involves advocating for government funding of medical research.

Opinion 25-152 A part-time judge may serve on a regional commission for the New York State Council of Parks, but must not personally participate in soliciting funds for the parks or park projects from legislators or the public and thus may not meet with legislators about the need to complete a park project and its benefits to the community. 

Opinion 23-212 (1) A part-time judge may serve on the legislative committee of a lawyers’ association, provided its agenda and activities are limited to improvement of the law, the legal system, or the administration of justice.

Opinion 20-209 A full-time judge may not be a member of a bar association task force organized to monitor and discuss fiscal and human rights issues faced by residents of a United States territory.

Opinion 19-106 A judge may not write or join an article or editorial on issues of substantial public controversy involving American foreign policy and military operations.

Opinion 17-38  ... (2) May a judge (a) call a Senate Committee to express an opinion on a pending federal executive branch appointment; (b) sign a MoveOn.org petition concerning a federal executive branch appointment; and/or (c) participate in a local political rally, march or demonstration sponsored by grassroots organizations? 

Funding Recommendations

• 22 NYCRR 100.4(C)(3)(b)(iii) says a judge "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." 

Opinion 25-185 A court attorney-referee may not participate in the legislative affairs committee of a not-for-profit organization, where this involves advocating for government funding of medical research.

Opinion 25-152 A part-time judge may serve on a regional commission for the New York State Council of Parks, but must not personally participate in soliciting funds for the parks or park projects from legislators or the public and thus may not meet with legislators about the need to complete a park project and its benefits to the community. 

Opinion 24-113 A judge who makes direct and indirect referrals to mental health and substance abuse services may write a letter in support of a local counseling agency’s application for approval as a certified behavioral health clinic. The judge should not simply sign a form letter, as the judge’s letter should reflect the judge’s observations and judgment.

Opinion 24-71 A judge may not contact state legislators regarding funding for the judge’s alma mater.

Opinion 23-237 A full-time judge may serve on a Department of Criminal Justice Services advisory board that will make recommendations about distributing federal funds, provided that (1) the advisory board’s membership is balanced and (2) the judge’s involvement is limited to reviewing and making recommendations on distributing funds to the courts, and not to law enforcement organizations.

Opinion 23-217 A judge (4) may serve on a library board organized as a not-for-profit charitable, educational, or civic entity, but may not be involved in lobbying efforts or in seeking to influence legislation affecting the library.

Opinion 20-202 After receiving any administrative approvals that may be required, judges may collaborate with the Historical Society of the New York Courts on a project to contextualize existing art and memorials at the courthouse and install new thematic artworks created by artists from marginalized groups.

Opinion 20-144 A judge may not lend the prestige of judicial office to unequivocally support a grant application of a transition program without addressing any necessary objective facts, qualifications and/or information concerning the judge’s perspective, and personal knowledge and experience with the program.

Opinion 18-185 A judicial association and its members may express views supporting or opposing a funding increase for the Commission on Judicial Conduct in next year's budget both (1) in writing to the Governor and members of the legislature; and (2) in meetings with members of the Executive Chamber or members of the legislature.

Opinion 16-116 May a full-time judge who presides over criminal arraignments appear at public meetings of the county legislature and other governmental boards or agencies to advocate for: (1) increased staffing for the District Attorney and Public Defender so they can appear at criminal arraignments and perform their other duties and/or (2) "a centralized district court or arraignment court to speed the process and assure that the People and the defendant are represented"?

Opinion 16-95/16-107 May a judge write a letter on behalf of a not-for-profit organization's grant application to improve the law, the legal system and the administration of justice, where the application (if granted) will specifically assist crime victims?

Opinion 16-02 May a judge partner with, or commit the court to partner with, entities applying for a grant to create a domestic violence advocacy program? May the judge or the court participate in the ongoing administration of the resulting advocacy program?

Opinion 15-48 May a magistrates' association publicly support a resolution urging a legislative change to assist local taxpayers in funding their local justice courts?

Legislative Advisory Committee

Opinion 25-185 A court attorney-referee may not participate in the legislative affairs committee of a not-for-profit organization, where this involves advocating for government funding of medical research.

Opinion 23-212 (1) A part-time judge may serve on the legislative committee of a lawyers’ association, provided its agenda and activities are limited to improvement of the law, the legal system, or the administration of justice.

Opinion 16-127 May a judge serving on an official court-sponsored legislative advisory committee participate in committee discussions relating to an ongoing proceeding?

Law or Policy

Opinion 25-49 A judge may meet with a legislator to discuss the judge’s views about the strengths and weaknesses of New York’s discovery law and possible improvements.

Opinion 22-97 A full-time judge may teach a law school clinic that will research and draft proposed legislation to create civil liability for encouraging, assisting or facilitating racially motivated crimes. A judge may also propose such legislation to legislators.

Opinion 22-44 A part-time town justice also employed full-time by a private employer may respond to another town’s request for public input on its zoning laws which prohibit that employer’s operations. In so doing, the judge must not reference the judge’s judicial title or status.

Opinion 20-198 A town justice may suggest that the town board amend the local leash law to include an additional, alternative sanction for violations of the ordinance, that would allow the court to order defendant dog owners to confine their repeat offender dogs in a manner that will prevent future violations.

Opinion 20-193 (1) A town justice may not speak at a town board meeting concerning a proposed town resolution opposing extension of the big game hunting season. (2) The judge may share a copy of the proposed resolution with others if it is a public record or if the town board has otherwise made it available to the public.

Opinion 19-137 A town justice may not write the town board expressing his/her personal view that a newly enacted local law was poorly drafted and offering proposed amendments to solve the problem.

Opinion 19-135 A town justice must not lobby the town board to adopt a policy prohibiting civil immigration arrests in the town court while a lawsuit challenging the legitimacy of such arrests in New York's courthouses remains pending or impending.

Opinion 17-18 A part-time judge may suggest that local legislators amend a penal statute to include a potential jail sentence so that, for alleged violations after the effective date, the court may issue an arrest warrant to produce recalcitrant defendants.

Opinion 16-135 May a judge publicly advocate for a change in the Penal Law by writing to executive and legislative bodies and/or officials, as well as other potentially interested parties? Must the judge notify local prosecutors and/or defense counsel of his/her proposal so they can respond to it?

Opinion 16-78 May a town judge express his/her views to the town board concerning a proposed change to a local speed limit and its likely effect on public confidence in the courts?

Litigation

Opinion 25-172 A judge who is an officer of a bar association may not personally participate in the association’s advocacy letters urging rejection of a bar applicant or prosecution of certain crimes. Should the association decide, without the judge’s involvement, to send such letters, the judge must take appropriate action to dissociate him/herself from the letters. Provided that the judge’s non-participation is made clear, the judge need not resign as an officer of the association.

Opinion 21-133 Where a part-time lawyer judge is representing a client on a litigated matter, may the judge respond to media requests for information and comment on that matter? 

Opinion 20-179 A judge may not send a letter describing the court’s issuance of a bench warrant, where defense counsel has suggested the warrant was improper and could result in civil liability.

Opinion 20-150 A judge who appointed a receiver in a now-concluded case may not, either at the receiver's request or on his/her own initiative, intervene or support the receiver's petition for representation by the Attorney General's office in a civil lawsuit alleging the receiver committed fraud. However, if the AG's office contacts the judge concerning the receiver's application, the judge may properly respond to questions within his/her personal knowledge.

Opinion 19-133 (1) A part-time attorney judge who is opposing a motion to remove him/her as an attorney in a pending case may respond to media questions concerning the motion in his/her capacity as an attorney, provided he/she makes no reference to his/her status as a judge. (2) If the judge believes governing law prohibits him/her from providing certain details concerning the litigation, he/she may say so publicly.

Opinion 16-127 May a judge serving on an official court-sponsored legislative advisory committee participate in committee discussions relating to an ongoing proceeding?

Opinion 16-33 May a judge write a letter on behalf of a family member who has a criminal case pending in another state? Does it make a difference if the judge does not reveal his/her judicial status but writes solely in his/her personal capacity as the defendant's relative and as an individual who has previous professional experience as a prosecutor, a defense attorney, and a quasi-judicial official?

Opinion 16-62 May a judge who is a respondent in a CPLR Article 78 proceeding seeking to annul/vacate the judge's order in a pending criminal case comment on the criminal case in his/her answer or appearance in the proceeding?

Opinion 15-61 May a judge appear on a panel program to discuss a decision recently issued by the judge, when the time to appeal has not expired and an attorney who argued the case before the judge would be a fellow panelist?

Media

Opinion 21-133    Where a part-time lawyer judge is representing a client on a litigated matter, may the judge respond to media requests for information and comment on that matter? 

Opinion 15-165 May a judge provide the court's internal weekly case summaries to a newspaper for publication?

Penal Law

Opinion 16-135 May a judge publicly advocate for a change in the Penal Law by writing to executive and legislative bodies and/or officials, as well as other potentially interested parties? Must the judge notify local prosecutors and/or defense counsel of his/her proposal so they can respond to it?

Redistricting

Opinion 16-60 May a judge join an informal discussion group with politically connected people to develop detailed proposals for redistricting reform, comprehensive election and voting reforms, restructuring the legislature, changes in school funding, and other highly controversial or political matters?

Opinion 15-188 May a judge become involved in legislative redistricting under the facts presented?

Substantial Local Controversy

Opinion 26-24 Judges may not write a letter to their Congressional representatives in response to high-profile and intensely controversial federal immigration actions in Minneapolis, asking the legislators to take immediate action to guarantee that the rule of law will be preserved and that the government of the United States will follow its own rules with rigor and good faith.

Opinion 24-58 (1) A judge may not sign petitions that would publicly associate the judge with non-legal matters of substantial public and political controversy.

Opinion 22-160 On the facts presented, a judge may not participate in a public demonstration against gun violence.

Opinion 22-106 A town judge should not accompany town board members and/or engineers to visit property owners and provide information about a project that benefits the judge’s outside employer.

Opinion 22-54 A part-time village justice: (1) may serve as chair of a village traffic and safety committee, where the committee's role is strictly advisory concerning matters such as the location of signs and the judge's involvement will not involve the judge in political issues or matters of great public controversy that are likely to raise reasonable questions about the judge's ability to be fair and impartial; (2) may not serve on the board of the New York Bicycling Coalition, where the entity engages in advocacy and takes positions on issues of great public controversy; (3) may serve on the New York Coalition for Transportation Safety, where that entity focuses on educating the public and is not engaged in lobbying or involved in matters of great public controversy.

Opinion 20-105 Under the circumstances presented, a full-time judge should not participate, in any capacity, on a bar association subcommittee tasked with addressing issues concerning the upcoming elections.

Opinion 19-106 A judge may not write or join an article or editorial on issues of substantial public controversy involving American foreign policy and military operations.

Opinion 19-29 A full-time judge ... (2) may not volunteer as an escort for individuals unknown to the judge who are visiting an abortion clinic in the presence of pro-life protesters.

Opinion 17-70 (1) A court attorney-referee who is an ordained rabbi may teach, preach, and write on Israel-related issues concerning the law, the legal system or the administration of justice, but not on non-legal matters of substantial public and political controversy, such as the Israeli-Palestinian conflict.

Opinion 17-38 (1) May a judge participate in the upcoming March for Science?

Opinion 16-89 Where a municipality has previously declined to add court officers' names to a memorial honoring first responders who died during rescue efforts following a terrorist attack, may a judge nonetheless write a letter urging the municipality to add those names?

Opinion 16-60 May a judge join an informal discussion group with politically connected people to develop detailed proposals for redistricting reform, comprehensive election and voting reforms, restructuring the legislature, changes in school funding, and other highly controversial or political matters?

Union Contract Renewal

Opinion 15-120 May a judge join in an advertising campaign intended to lobby political support and funding for union contract renewals for the judge's alma mater?

Special Factor: Cognizable Personal Interest

Opinion 25-60  (2) A judge who is a naturalized citizen may speak to government officials, including federal legislators, to urge them to oppose proposed or enacted executive orders, policies, or legislation which seek to rescind citizenship of naturalized citizens based on their performance of judicial duties, including their judicial decisions or other statements made in their official capacity as judges. In doing so, however, the judge should not comment on what positions the legislators should take with respect to unrelated legislation and therefore the judge should not suggest filibustering every vote on all legislation. (4) Whether a particular federal executive or congressional decision affects a judge personally requires a fact-specific analysis.

Opinion 23-114 (1) A full-time judge may not serve as an officer or director of a not-for-profit community group organized to oppose a municipality's proposed changes to a public park by litigation and other means, and may not engage in community outreach or fund-raising on behalf of the group. However, the judge may make charitable donations to the group and may engage in certain public advocacy activities on the judge's own behalf where the judge has a clear and direct personal interest at stake.

Opinion 23-26 (1) A judge who is concerned about violations of property maintenance regulations in the judge’s neighborhood may publicly express the judge’s personal views as a private citizen whose personal interests are affected by the lack of zoning enforcement, including at a public meeting of the city council or in a letter to the editor. (2) On these facts, the judge may also draw on the judge’s prior experiences as a city prosecutor and a city court judge to propound suggestions to the mayor and city council about how the local court could address these quality-of-life issues, but should not refer to the judge’s present judicial status in doing so.

Opinion 23-15 A full-time judge may not request that federal and state legislators protect the power grids from electromagnetic nuclear attack, as this does not relate to the improvement of the law, the legal system or the administration of justice, and does not involve an identified cognizable personal interest. Further, issues generated by the legislation the judge seeks could be controversial or political.

Opinion 23-61 (1) A judge may not serve as the director of environment and legislation for a not-for-profit organization which seeks to promote scuba-diving. (2) Although the judge may engage in certain public advocacy activities where the judge has a clear and direct personal interest at stake, the judge may not spearhead the organization’s efforts to protest a planned discharge of substances into a local waterway.

Opinion 21-24 On these facts, a judge may not participate in an interview with a local news station regarding the experiences of the judge’s first-degree relative at a local nursing home.

Reference Letters (Job, School, Award); Fact Witness; Character Witness; Testimonials; Miscellaneous Intervention in Ongoing Applications or Proceedings

(See 22 NYCRR 100.2[C].)

Reference for Job, School or Award

Opinion 25-06(A) A judge may send a letter to a law school admissions office to provide additional support for an applicant who has been waitlisted, if the letter reflects the judge’s personal knowledge and observations of the applicant. Although such contact should be made in writing rather than by telephone, the judge may nonetheless invite the admissions office to call the judge for further discussion.

Opinion 24-172 A judge who participated in a non-profit judicial internship program may sign a letter of support for the program’s application for a non-monetary bar association award.

Opinion 24-109 An appellate judge, who is also an adjunct law professor, may write letters of recommendation based on personal knowledge for current or former law students seeking judicial clerkships in other courts. The letter should be addressed directly to the hiring judge, unless that judge presides in a lower court subject to the appellate judge’s jurisdiction. If the judge uses judicial stationery, he/she must clearly mark it “Personal and Unofficial.”

Opinion 21-177 May a judge, at the request of an assistant district attorney who regularly appears before them, write a letter of recommendation in support of the attorney's application for employment as a federal prosecutor? 

Opinion 21-160 May a judge with relevant personal knowledge write a letter supporting a nonjudicial court employee’s request for a promotion?

Opinion 21-130 May a judge write a letter in support of a court clerk's request for promotion within the court system, based on personal knowledge?

Opinion 21-68 A judge in a large urban court may write a letter of reference for a sheriff’s deputy supervisor seeking to be promoted, based on the judge’s personal knowledge of the deputy, where the deputy supervises others who provide court security and is thus unlikely to appear before the judge.

Opinion 20-196 A town justice may respond to an inquiry from the town board and/or town supervisor concerning the performance of a town employee who has appeared before the judge for several years. The judge may comment on matters within the judge’s personal knowledge and observation, which may include their opinion about the employee’s ability to apply the law, knowledge of the law, and overall quality of work.

Opinion 19-116 Where a judge has relevant personal knowledge of a job applicant, a familial relationship between them is no bar to providing an employment reference. Thus, a judge may write an employment reference letter for a relative just as he/she would for other applicants unrelated to the judge.

Opinion 19-118 May a judge send an employment reference letter on behalf of a longtime friend to a prospective employer that does not appear before him/her?

Opinion 17-134 (2) May a judge provide an employment reference for an attorney who is a former colleague? What are the judge's ethical obligations in matters involving the attorney and his/her new employer if he/she does provide a reference?

Opinion 16-38 May a judge presiding in a large urban criminal court write a reference for a police officer seeking to be promoted based on personal knowledge of the officer, which predates the judge's assumption of judicial office?

Opinion 15-173 May a judge write a letter supporting a court officer's request to be assigned to the judge's courthouse?

Opinion 15-139/15-140 May a judge serve as a reference for someone who recently appeared before the judge as a defendant/participant in a treatment-oriented problem-solving court?

Opinion 15-101 May a judge who presides in a treatment-oriented problem solving court serve as a job reference for a defendant/participant who recently appeared before the judge, where the judge would merely provide objective observations based on reliable personal knowledge about the individual, drawn from many months of regular court appearances, reports and discussions?

Opinion 15-64 May a judge permit two defense attorneys who regularly appear before him/her to include the judge's name as a reference on an application nominating the judge's court attorney for an award from a legal publication?

Opinion 14-151 A judge may not serve as a reference for an individual who has recently appeared before the judge as a defendant/participant in a treatment-oriented problem-solving court.

Opinion 10-07 (1) Subject to certain limitations, a judge may write a letter of reference for an attorney who regularly appears in the judge’s court who is seeking other legal employment. 

Fact Witness

Opinion 25-102 A judge who has hired a citizen of another country as a personally appointed law clerk may write a letter to the appropriate immigration authorities in support of the law clerk’s visa renewal application, verifying the requested factual details of the employment.

Opinion 25-91 Where a judge’s spouse has commenced a lawsuit in the spouse’s own name and the judge, as co-owner of the marital home, previously engaged in communications with a neighboring property owner that are apparently material and relevant to the lawsuit, the judge may attend the ensuing court proceedings as an interested party and potential witness.

Opinion 25-73 Where a case the judge had prosecuted before assuming the bench is now in post-conviction proceedings, the judge: (1) may provide a factual affidavit stating that the judge never suborned perjury and that the witness never gave the judge reason to question the validity of the prosecution; (2) may discuss his/her recollections and other historical information about the case with a successor assistant district attorney, but may not offer any legal or tactical advice; and (3) may testify as a fact witness in post-conviction proceedings, either voluntarily or pursuant to a subpoena. 

Opinion 23-209 A judge may sign a family tree affidavit for the estate of the judge's long-time close friend, based upon facts within the judge's personal knowledge.

Opinion 21-174    (1) Provided the judge can be fair and impartial in the underlying criminal case, the judge need not disqualify if the judge or their law clerk cooperate as fact witnesses in a police investigation concerning a bench conference in which an active state trooper was identified solely as defense counsel’s “associate.” (2) The judge also need not insulate the law clerk, provided the judge is satisfied the law clerk can be fair and impartial.

Opinion 21-96 May a full-time judge provide, at the request of a lawyer representing the estate of a former client the judge knew professionally for many years, a “family tree affidavit” to be submitted in Surrogate's Court?

Opinion 20-196 A town justice may respond to an inquiry from the town board and/or town supervisor concerning the performance of a town employee who has appeared before the judge for several years. The judge may comment on matters within the judge’s personal knowledge and observation, which may include their opinion about the employee’s ability to apply the law, knowledge of the law, and overall quality of work.

Opinion 19-79 A supervising judge who received a request from the Commission on Judicial Conduct for counseling memos, corrective action plans, and personal notes related to his/her supervision of certain judges currently under disciplinary investigation is not ethically required to provide such materials voluntarily.

Opinion 18-176/18-176(A)/18-177 ... (7) A judge who is a potential fact witness in the case may, but is not required to, volunteer objective factual information concerning his/her personal observations to counsel for either side.

Opinion 18-138 (1) A judge with personal knowledge of relevant facts may testify as a fact witness in an attorney disciplinary proceeding, either voluntarily or pursuant to a subpoena. (2) The judge may provide a written factual statement at the request of the attorney’s lawyer, but its admissibility is a legal question.

Opinion 18-115 A judge may provide a letter to both sides in an ongoing proceeding which includes an excerpt from the transcript indicating that a particular issue has been resolved with no finding of medical abuse or neglect.

Opinion 18-128 May a full-time judge with relevant personal knowledge provide a factual affidavit attesting to the “bona fide good faith marriage” of a long-time friend to his/her immigrant spouse who seeks permanent residency?

Opinion 18-22 A new full-time judge who previously served as guardian ad litem in a federal case may (1) voluntarily provide a factual statement or affidavit about his/her former service as guardian ad litem; (2) respond to the federal judge’s questions about whether a new guardian ad litem should be appointed; and (3) appear pro se concerning his/her fees for work previously performed as guardian ad litem.

Opinion 16-106 May a full-time judge with relevant personal knowledge concerning a neighbor complete a Department of Social Services "Residency Verification" form which (a) requests strictly factual information concerning the names of all adults and children in the home; (b) requires the form be filled out by a professional who knows the applicant and his/her family; and (c) requires the signer to state his/her profession?

Opinion 14-103 (2) A judge may attest to and affirm facts within his/her personal knowledge and observation, including the judge’s recollection of witnessing the execution of a family member’s testamentary instrument, and the judge’s recognition of certain signatures or handwriting on the instrument.

Opinion 13-179 A judge may swear in an attorney to another state’s bar, where the other state’s board of bar examiners lists judges as one of several categories of acceptable witnesses.

Opinion 13-111 May a full-time judge who is a candidate for re-election, witness signatures on the judge’s own nominating petitions as a Notary Public?

Opinion 12-10 A judge may witness and authenticate a relative's signature on a foreign pension document, where the document lists "judges" as one of several categories of acceptable witnesses.

Character Witness

Opinion 26-03 A judge may not submit a letter in support of an applicant’s appointment to a judgeship at the request of the applicant.

Opinion 25-172 A judge who is an officer of a bar association may not personally participate in the association’s advocacy letters urging rejection of a bar applicant or prosecution of certain crimes. Should the association decide, without the judge’s involvement, to send such letters, the judge must take appropriate action to dissociate him/herself from the letters. Provided that the judge’s non-participation is made clear, the judge need not resign as an officer of the association.

Opinion 24-176 A judge may not voluntarily write a letter to the attorney grievance committee, whether at the request of the respondent attorney or their counsel. The judge may nonetheless comply with a subpoena or provide information at the direct request of the grievance committee.

Opinion 24-128 A judge may not write a letter in support of an attorney who faces discipline from an assigned counsel panel for violation of the panel’s rules and directives.

Opinion 24-98 (1) Although a judge may not voluntarily provide a character reference at the request of the applicant for a pistol permit, a judge with relevant personal knowledge, who is not a firearm licensing officer, may permit the applicant to list the judge as a character reference in connection with his/her pistol permit application. Should the firearm licensing officer then choose to contact the judge for information about the applicant’s character, the judge may respond to the licensing officer’s questions based on personal knowledge. (2) A judge who is a firearm licensing officer may not authorize an applicant for a pistol permit to list him/her as a reference on their pistol permit application.

Opinion 23-234 A judicial hearing officer may not voluntarily serve as a character reference or submit a letter attesting to the character of a judge undergoing a pending or impending disciplinary proceeding.

Opinion 22-80 A judge in a problem-solving court may not write a letter at the request of a criminal defendant or their counsel attesting to the importance of the defendant’s court-related employment. Where the court coordinator is employed by a not-for-profit entity, the judge should not take any position on whether the court coordinator may write such a letter.

Opinion 22-69 A judge with relevant personal knowledge may provide a character reference for a longtime friend’s application to open a bank account overseas where the bank’s form requires a reference from certain designated professions, including judges.

Opinion 19-95 May a judge write a letter in support of an inmate’s clemency application at the request of the inmate or his/her attorney, describing the judge’s personal observations of the inmate’s participation and leadership role in a youth outreach program offered at the correctional facility where the inmate is incarcerated?

Opinion 18-135 May a judge submit a character reference letter on behalf of a long-time friend who has been charged with a federal crime?

Opinion 16-41 May a judge, at the request of an attorney who recently appeared before him/her as the subject of a Treatment Court proceeding, voluntarily testify in the attorney's disciplinary proceeding?

Opinion 16-18 May a judge serve as a character reference for a court intern who has applied for a pistol permit?

Opinion 10-17 A part-time town justice may not serve voluntarily as a character reference for a friend who is applying for a pistol permit.

Opinion 09-202 May a judge, if subpoenaed, testify as a character witness in a criminal case pending in another state?

Bar Admissions

Note: We have included some older opinions here. 

Opinion 25-172 A judge who is an officer of a bar association may not personally participate in the association’s advocacy letters urging rejection of a bar applicant or prosecution of certain crimes. Should the association decide, without the judge’s involvement, to send such letters, the judge must take appropriate action to dissociate him/herself from the letters. Provided that the judge’s non-participation is made clear, the judge need not resign as an officer of the association.

Opinion 23-152 May a judge with relevant personal knowledge provide an affirmation of good moral character on behalf of a first-time applicant for admission to the bar?

Opinion 13-179 A judge may swear in an attorney to another state’s bar, where the other state’s board of bar examiners lists judges as one of several categories of acceptable witnesses.

Opinion 10-62 May a judge sponsor and move the admission of the judge's child to practice in federal district court?

Opinion 08-127 A full-time judge may appear in the United States District Court for the limited purpose of sponsoring an attorney for admission to the Court and may move the Court to grant the attorney’s application for admission.

Opinion 04-31 A judge may write a letter of reference on behalf of an attorney seeking admission to the bar of another state on motion, which state requires such a letter from a judge. 

Opinion 95-75 A judge should not write a letter of character reference on behalf of a disbarred attorney who is seeking readmission to the bar.

Opinion 88-166 A judge may submit an affidavit of good character for an applicant to the New York bar if it contains an accurate reflection of the judge’s opinion.

Other Ongoing Applications or Proceedings

Opinion 26-03 A judge may not submit a letter in support of an applicant’s appointment to a judgeship at the request of the applicant.

Opinion 25-102 A judge who has hired a citizen of another country as a personally appointed law clerk may write a letter to the appropriate immigration authorities in support of the law clerk’s visa renewal application, verifying the requested factual details of the employment.

Opinion 25-91 Where a judge’s spouse has commenced a lawsuit in the spouse’s own name and the judge, as co-owner of the marital home, previously engaged in communications with a neighboring property owner that are apparently material and relevant to the lawsuit, the judge may attend the ensuing court proceedings as an interested party and potential witness. (See also "Fact Witness", above.)

Opinion 24-98 (1) Although a judge may not voluntarily provide a character reference at the request of the applicant for a pistol permit, a judge with relevant personal knowledge, who is not a firearm licensing officer, may permit the applicant to list the judge as a character reference in connection with his/her pistol permit application. Should the firearm licensing officer then choose to contact the judge for information about the applicant’s character, the judge may respond to the licensing officer’s questions based on personal knowledge. (2) A judge who is a firearm licensing officer may not authorize an applicant for a pistol permit to list him/her as a reference on their pistol permit application.

Opinion 23-83 Where a court-sponsored committee on racial equality in the courts has been directed to interact with the local community and develop projects that highlight local history, judges on the committee may publicly support an effort to rename a local geographic feature that currently bears a racially offensive name, but must not assume a leadership role in the effort or use judicial or court resources to file the name change application with federal authorities.

Opinion 23-82 After a judge’s adult child has been convicted and sentenced, a judge may attend and participate in the child’s subsequent parole hearing, provided they do so in the obvious role of a parent and without reference to their judicial status or otherwise invoking the prestige of judicial office.

Opinion 22-178 May a judge, who serves as a mentor at a law school, write a letter of recommendation in support of a mentee student's application for permanent residence in the United States?

Opinion 22-80 A judge in a problem-solving court may not write a letter at the request of a criminal defendant or their counsel attesting to the importance of the defendant’s court-related employment. Where the court coordinator is employed by a not-for-profit entity, the judge should not take any position on whether the court coordinator may write such a letter.

Opinion 22-69 A judge with relevant personal knowledge may provide a character reference for a longtime friend’s application to open a bank account overseas where the bank’s form requires a reference from certain designated professions, including judges.

Opinion 20-144 A judge may not lend the prestige of judicial office to unequivocally support a grant application of a transition program without addressing any necessary objective facts, qualifications and/or information concerning the judge’s perspective, and personal knowledge and experience with the program.

Opinion 19-126 May a full-time judge, as one of two directors of a not-for-profit entity, speak at a public hearing before a regional EMS council concerning the entity's application for a license to own and operate an emergency vehicle?

Opinion 19-95 May a judge write a letter in support of an inmate’s clemency application at the request of the inmate or his/her attorney, describing the judge’s personal observations of the inmate’s participation and leadership role in a youth outreach program offered at the correctional facility where the inmate is incarcerated?

Opinion 19-21 A judge may not suggest or recommend that an inmate make an application to the governor’s office of clemency nor may the judge take affirmative actions in furtherance of that suggestion or recommendation.

Opinion 15-92(B) May a judge write and forward a consular letter of invitation inviting family members to visit the judge in the United States, where this letter will set forth facts concerning the judge's income and its source in order to demonstrate that the judge is a responsible person who is able to meet the material and accommodation needs of the persons invited? If so, may the judge use judicial stationery for such a letter?

Opinion 15-74 May a judge who has personal knowledge of a convicted defendant awaiting sentencing in federal court, in response to a subpoena, submit an affidavit in letter form to the sentencing judge requesting leniency for the defendant?

Opinion 14-33 A judge may not, at the request of a friend who is seeking permission from a government agency to enter a foreign country, provide a letter of recommendation for submission to the government agency.

Opinion 11-16 A judge may not, at the request of a court employee, provide a letter for use in the employee’s disciplinary proceeding before the Office of Court Administration, but may authorize the employee to provide the judge’s name as a reference. Based on his/her personal knowledge and observations of the employee, the judge may then respond to a request from the Office of Court Administration for information about the employee.

Opinion 10-188 A judge may not provide a character reference letter to the District Attorney at the request of a relative of the defendant, even if the judge would write solely in a non-judicial capacity, without revealing his/her judicial status. The judge may provide such a letter to the District Attorney only in response to the District Attorney’s direct request.

Opinion 10-175 A judge who receives a letter from another judge in support of an application that is pending in the receiving judge’s court, under circumstances that indicate to the receiving judge that the letter was not solicited by an appropriate agency, must report the letter writer to the Commission on Judicial Conduct.

Opinion 10-07 (2) A judge may comply with a District Attorney’s request to prepare a Victim Impact Statement setting forth the judge’s views as to sentence only, for use when the defendant who forged the judge’s signature to court documents is sentenced.

Opinion 09-202 May a judge, if subpoenaed, testify as a character witness in a criminal case pending in another state?

Opinion 09-198 Do the Rules Governing Judicial Conduct preclude a judge's spouse from writing a letter to a Presiding Justice of the Appellate Division to support reinstatement of a disbarred attorney?

Testimonials; Feedback; Reviews 

(22 NYCRR 100.2[C])

see also Promotion of Business or Commercial Interests; Misuse of Judicial Prestige

Opinion 23-78 A judicial association may not consent to have its name listed as a client on a consultant’s website.

Opinion 20-108 A full-time judge who underwent surgery at a not-for-profit hospital may not participate in a web program concerning performance of the hospital during the pandemic, pursuant to a comprehensive release which authorizes the program’s use of the judge’s name, likeness, picture, image, voice, personality, personal identification information and/or protected health information for any purpose whatsoever in perpetuity.

Opinion 19-87 A judge may not write and publish an online review of a personal vacation or a professional vacation organized by a bar association or other professional organization.

Opinion 17-131 A judge may participate in an interview with a not-for-profit entity which provides mediation services in a court where the judge formerly presided, subject to certain limitations.

Opinion 15-193 A judge may write to the director of a federally funded medical facility expressing appreciation for care provided to the judge’s deceased parent, and may use judicial stationery marked “personal and unofficial” for this purpose. The judge may not send copies to federal legislators.

Opinion 15-103 A judge may not write a review of the professional services of his/her divorce lawyer on an online ratings service that displays individual reviews directly to the public, even if the judge’s review were anonymous with no reference to his/her judicial status.

Opinion 15-42  A judge and his/her family may, at a not-for-profit religious organization’s request, share their experience with its summer camp with other families who are considering sending their children to the camp. The judge’s family may thereafter accept the camp’s offer of a discount or a t-shirt or sweatshirt.

Opinion 15-21 A judge need not object to the county executive’s proposal to mention, during an upcoming state of the county address, that the judge is a satisfied user of a county-run public transportation system.

Opinion 14-85 (1) A judge may not provide a testimonial for the judge’s former campaign manager to use in advertisements, but may permit the former campaign manager to provide the judge’s name as a reference to prospective clients, subject to certain limitations.

Opinion 11-82 May the justices of a town court present a letter to the town board to be read into the minutes which recognizes and thanks all the individuals responsible for the upgrade of the court facilities?

Judge's Alma Mater

Opinion 21-170    A judge who completed a mediation skills program at a law school’s mediation clinic may permit the clinic to post the judge’s comments about the course and the judge’s experiences with alternative dispute resolution on its Instagram account for general advertising and recruitment efforts, provided the judge is satisfied the judge’s name, words, and image will not be used for fund-raising.

Media Relations; Participation in Interviews or Documentaries; Participation in Fictional Shows or Films

(See also various topics on the Extra-Judicial Activities page, such as "Speaking" and "Judge as Artist, Writer, Musician, Inventor".)

Opinion 26-16 A part-time judge who is a former police officer may participate as an interviewee and consultant for a commercially produced documentary concerning a homicide case that occurred more than a decade ago, provided that the case has completely terminated and no related proceedings are pending or impending. The judge must abide by generally applicable limitations on speech and conduct.

Opinion 24-153 Subject to generally applicable limits on judicial speech and conduct, judges who make a charitable donation to a not-for-profit entity may provide the entity with a brief statement about the donation.

Opinion 24-142 A town court may produce a year-end report about its activities and accomplishments, subject to generally applicable limitations on judicial speech and conduct. The report must be issued in the name of the entire court, rather than on behalf of any individual judge(s), and any discussion of recently decided cases, including the resolution of a longstanding local dispute, should be limited to a head-note style summary.

Opinion 23-30 May a full-time judge appear in a short documentary film by a non-profit filmmaker about a state statute, describing their work with a judicial association in support of that statute’s adoption?

Opinion 22-165 A full-time judge who participated in writing a screenplay before assuming judicial office (1) may be credited by name as a writer in the ensuing fictional film, notwithstanding that the judge's contributions were based on the judge's prior unsuccessful efforts to seek judicial office and other experiences but (2) may not participate in a question and answer session following the screening of the film, even in an academic setting.

Opinion 22-159 A full-time judge may participate, without compensation, in an interview for a documentary about the life and career of a now-deceased judge who served as the inquirer’s mentor.

Opinion 21-133 Where a part-time lawyer judge is representing a client on a litigated matter, may the judge respond to media requests for information and comment on that matter?

Opinion 21-24 On these facts, a judge may not participate in an interview with a local news station regarding the experiences of the judge’s first-degree relative at a local nursing home.

Opinion 20-215 A full-time judge may participate, without compensation, as an interviewee and consultant for a commercially-produced documentary concerning a case the judge prosecuted several decades ago, provided the case has completely terminated and no related proceedings are pending or impending.

Opinion 20-81(B) A part-time judge may appear as legal commentator/analyst on television or online streaming shows, provided he/she does not comment on any pending or reasonably foreseeable cases in the United States or its territories.

Opinion 20-59 May a full-time judge publish his/her autobiography, and name specific out-of-state doctors or medical entities the judge credits for helping him/her recover from life-threatening medical conditions? May the judge participate in an audiotaped interview and radio program, organized by the publisher, to promote the book?

Opinion 20-49 A full-time judge may volunteer as a disc jockey for a not-for-profit college radio station.

Opinion 19-133 (1) A part-time attorney judge who is opposing a motion to remove him/her as an attorney in a pending case may respond to media questions concerning the motion in his/her capacity as an attorney, provided he/she makes no reference to his/her status as a judge. (2) If the judge believes governing law prohibits him/her from providing certain details concerning the litigation, he/she may say so publicly.

Opinion 19-120 (1) A full-time judge and a judicial association may publicly support or oppose proposed legislative or constitutional changes affecting court structure, court operations or the terms or conditions of judicial service, and may do so by (a) writing and submitting letters, articles, or editorials to newspapers and other publications....

Opinion 19-101 A full-time judge who has written a law book may permit his/her volunteer assistant to reach out to a relative’s contact at a newspaper for the legal community to ask if they would be interested in reviewing or mentioning the judge’s book.

Opinion 18-59 May a judge be interviewed by a news station about an alternatives to incarceration program?

Opinion 17-163/18-03/18-21 Subject to certain limitations, a full-time judge may, without compensation, (1) participate in an interview for a commercially produced television documentary series concerning a case he/she prosecuted over a decade ago, provided the case has completely terminated and no related proceedings are pending or impending; (2) appear occasionally on a commercially produced news program hosted by his/her first-degree relative, to share family-friendly jokes or riddles; and (3) appear on a commercially produced news segment in honor of the achievements of individuals who share a particular racial, ethnic, or cultural background or heritage. In each instance, the judge need not conceal his/her identity as a judge or his/her participation in the program but should not personally promote the program to the public at large.

Opinion 17-84 May a judge give a regionally exclusive newspaper interview about his/her life story, religious activity, career path and work-life balance?

Opinion 16-26 A Court of Claims judge has no duty to disclose or disqualify him/herself from cases involving the Attorney General’s office, based only on media efforts to link the judge and his/her spouse with a person whom the Attorney General is investigating.

Opinion 15-182 ...  Although the judge may permit a commercial television producer to make a television series based on the judge’s book for a commercial television station, the judge may not serve as a host for the series or be interviewed for the series.

Opinion 15-165 In these circumstances, a judge may not provide the court’s internal weekly case summaries to a newspaper for publication.

Opinion 15-100 A judicial association may respond to public criticism of a judge for making statements about a juror in a written decision, provided that the response does not involve comment on a pending or impending proceeding, and subject to certain additional limitations.

Opinion 15-30 A judge should not affirmatively assist a newspaper in improving the accuracy of its reporting by regularly supplying factual information to the newspaper about cases in the judge’s court.

Opinion 15-24 May a judge agree to be profiled in a local, bimonthly publication and featured on its cover where the resulting article would address the judge's legal career, current judicial position, personal life and possibly prior public service?

Opinion 14-99 What topics is a judge ethically permitted to discuss on a local radio station and public access shows?

Opinion 14-37 Is it ethically permissible for a judge to write articles about legal procedure for quarterly publication in a local newspaper with limited circulation?

Opinion 14-08 Is it ethically permissible for a judge to participate in a local public radio station's on-air fund drives?

Opinion 13-31 May a judge agree to be interviewed for an article in the local weekly newspaper about the judge's background as a police officer, prosecutor and judge?

Opinion 12-146 A judge may submit the judge's decision in a criminal case to a local newspaper for publication, subject to any applicable statutory provisions concerning sealed records, after the judge files the decision with the clerk of the court and without commenting about the decision in any way.

Opinion 12-112 (1) May a judge be a guest of honor or honoree at a small local newspapers' non-fund raising event and accept the newspaper's Award in Political Leadership? (2) May a judge assist a not-for-profit entity in organizing a non-fund raising community event honoring successful women?

Opinion 11-154/11-155 Subject to appropriate administrative approvals, a full-time trial court judge may permit a for-profit video production company to film regular court proceedings for a documentary, and may permit a local public access television channel to video selected court hearings for broadcast at a later time, as long as the judge will merely perform his/her regular judicial duties while being filmed, will not receive compensation from the filming company or broadcaster, and will not allow the filming process to interfere with the court’s proceedings.

Opinion 11-138 A judge may participate in an interview with a graduate student in connection with the student’s dissertation research on a particular legal issue, and answer questions about the judge’s judicial experience with a form of court-ordered treatment, provided the judge does not comment on a pending or impending proceeding, does not disclose any non-public information acquired in a judicial capacity and does not express any predisposition to decide matters in a certain way.

Opinion 11-100 A part-time judge may be employed full-time as a news reporter, subject to certain limitations. As for subject matter, a reporter/judge may not cover cases pending or impending in the United States or its territories nor cover politically sponsored events.

Opinion 11-37 A judge who accepts a previously unannounced award at a charitable fund-raiser may thereafter also be included in a photograph of award recipients at the event and need not object to publication of the photograph in a local newspaper.

Opinion 10-206 A judge may be interviewed for a documentary film produced by a not-for-profit organization about a well-known former prosecutor who is a former colleague of the judge, provided that the judge does not discuss any matter that is pending or impending in any court in the United States or its territories, and further provided that the judge’s comments do not cast reasonable doubt on the judge’s capacity to act impartially.

Opinion 10-131 May a judge answer questions on a survey and participate in a follow-up interview on the topic of “Justices’ Perspectives on the Changes in Their Courts”?

Opinion 10-102 A judge may appear monthly on a local television news broadcast to answer questions about a predetermined topic relating to the criminal justice system, subject to certain limitations.

Opinion 09-187 May a full-time judge appear in an episode of a television series?

Opinion 09-98 May a judge appear one time on a weekly radio show hosted by a local attorney, who regularly appears before the judge, to explain what the Integrated Domestic Violence Court is and how it operates in the judge's county?

Opinion 09-83 May a part-time City Court judge ... (2) participate in a local newspaper interview regarding their tenure on the bench?

Opinion 09-37 A judge may be interviewed and photographed for an on-line commercial magazine article about personal grooming decisions. The judge should not endorse any particular products, and must otherwise comply with the Rules Governing Judicial Conduct in participating in the interview.

Opinion 09-05 May a judge appear on a radio program in which the participants will discuss the Rotary Club’s humanitarian and public service projects?

Judge as Litigant (Pro Se etc.)

This section collects recent opinions concerning what a judge may do when involved in a case as a litigant, in various capacities, whether appearing through counsel or pro se, and otherwise advancing the judge's own interests pro se before a tribunal or agency. 

• For opinions focusing on a judge's disclosure or disqualification obligations in one matter, based on the judge's involvement as a litigant in another (unrelated) matter, see "Conflicts - Disciplinary Complaints; Lawsuits; Criticism."
• For opinions focusing on a full-time judge's ability to "act pro se" under Section 100.4(G) notwithstanding the prohibition on practicing law, see "Full-Time Judges and the Practice of Law - Pro Se Exception." 

Opinion 26-55 Provided the judge has a good-faith basis to believe the asserted causes of action are legally proper, a judge may commence a lawsuit in his/her personal capacity for monetary damages against a litigant who filed a fictitious “judgment” against the judge with a county clerk, separate and apart from any expungement proceedings. The judge may proceed either pro se or through counsel, but must not use judicial stationery, court staff, or other court resources in pursuing such private causes of action.

Opinion 26-47 A full-time judge may appear in local court pro se to challenge a parking ticket, but must not invoke his/her judicial title and should not volunteer the information that he/she is an attorney.

Opinion 26-01 A judge whose spouse is a party in a Family Court proceeding should not voluntarily disclose his/her judicial status in that proceeding, even if he/she becomes a non-party participant in the proceeding.

Opinion 25-55 A judge who files a lawsuit must not voluntarily disclose his/her judicial status to the presiding judge, unless relevant, related, or necessary to the proceeding. Instead, disclosure should be made to the other side, through counsel where possible, so that both sides can decide jointly on the best course of action to take under the circumstances.

Opinion 25-02 A full-time judge may file for letters of administration and, if granted, may appear as a pro se litigant for the administration of the judge’s deceased spouse’s estate.

Opinion 24-110 A new full-time judge may engage in activities designed to wind down his/her prior professional corporation and collect previously earned legal fees. The judge may represent him/herself in negotiating a fee splitting or quantum meruit agreement with a successor law firm regarding legal fees earned prior to assuming the bench, although the fee agreement must be permissible under the Rules of Professional Conduct. Where the professional corporation's bank account remains open to pay expenses in winding down the practice, a check for the judge's share of legal fees may be made payable to the professional corporation.

Opinion 23-135 A town justice may commence an action against the town regarding a personal matter unrelated to the business of the court.

Opinion 23-88 (1) A full-time judge who is, along with their siblings, a beneficiary of their parent’s estate may (a) assist the sibling who is serving as executor in selecting an attorney for the estate; (b) review documents relating to the estate and the probate proceedings; (c) discuss the estate and the proceedings with the other sibling beneficiaries; and (d) provide free legal advice to their siblings, including the executor, regarding the estate and the proceedings. However, the judge may not represent their siblings or the estate, nor participate in meetings with estate counsel. (2) Where the judge, as beneficiary, has a direct personal interest in the estate proceeding, the judge must disqualify in all matters involving the attorney for the estate, both during the representation and for a period of two years from its termination.

Opinion 22-46 A judge who is experiencing apparent acts of retaliation from a self-identified "sovereign citizen" litigant may write to the county clerk on judicial stationery to advise them of the situation and request they authenticate any lien/judgment filings prior to recording.

Opinion 22-02 ... (2) Where a judge has been warned that court administrators will deem the judge “unfit for service” if the judge does not comply with the court system’s vaccination policies, the judge may communicate their opposition to this position, provided that such communication comports with the dignity of judicial office and eschews personal attacks on government officials.

Opinion 21-188 May a full-time judge serve as a class representative in a federal court action against a multi-national corporation?

Opinion 21-150 A judge may accept a law firm’s offer of pro bono representation for the purpose of filing a lawsuit to challenge the Unified Court System’s vaccine mandates, where the law firm has not come and is not likely to come before the judge, subject to a reporting requirement if the value of the waived legal fees exceeds $150. The judge, however, may not disseminate a blanket email to all judges asking if any are interested in joining the proposed lawsuit. See AO-347 (PDF) for rule change.

Opinion 20-156 A full-time judge may consult with an attorney regarding the judge’s possible medical malpractice case, even if the attorney regularly appears before the judge. If the consultation is more than strictly brief and preliminary, the judge will ordinarily be disqualified, subject to remittal where permitted, in matters involving the attorney and others from the same law office.

Opinion 20-75 Where a full-time judge has been sued by a former ward, may the judge provide his/her current attorneys with financial information he/she obtained during the guardianship, to assist them in collecting an award of attorneys’ fees from the former ward?

Opinion 20-60 A judge may ask the Commission on Judicial Conduct if they received any complaints against the judge's deceased spouse, but must not use or invoke his/her own judicial title or status in making this request.

Opinion 19-34 May a judge ethically undertake, as a Medicaid planning tool, the process of spousal refusal set out in the Social Services Law?

Opinion 18-160 A full-time judge may bring an Article 81 guardianship proceeding and, if successful, serve as court-appointed guardian for his/her first-degree relative.

Opinion 18-22 A new full-time judge who previously served as guardian ad litem in a federal case may (1) voluntarily provide a factual statement or affidavit about his/her former service as guardian ad litem; (2) respond to the federal judge’s questions about whether a new guardian ad litem should be appointed; and (3) appear pro se concerning his/her fees for work previously performed as guardian ad litem.

Opinion 17-82 A full-time judge, in his/her capacity as administrator of a first-degree relative's estate, may act pro se at the closing for the estate's solely owned real property, where he/she will transfer an administrator's deed conferring ownership from the estate to the buyer, deposit the buyer's down payment into a title company's escrow account, compute and adjust routine home expenses such as taxes and utilities, and exchange checks payable by or to the estate.

Opinion 17-72 May a judge interpose a pro se answer in a real estate case in which the judge and his/her siblings are named defendants?

Opinion 15-131 May a judge who is a party litigant make a legal argument that relies on the judge's judicial status?

Opinion 15-96 May a judge receive, as part of an equitable distribution, a percentage of the future legal fees earned by his/her former spouse upon the settlement or verdict of any cases deemed part of the former spouse's law practice?  If so, what are the judge's obligations when adverse counsel from those cases appear before the judge on unrelated matters?

Opinion 15-08 Where a judge is (or recently has been) a party in a contested matrimonial action, and his/her spouse (or ex-spouse) is a private attorney, what are the judge's obligations (1) when the spouse's law firm colleagues appear before the judge on other matters; (2) when the judge's attorney or the spouse's attorney appears; and (3) when an expert who evaluated a marital asset appears?

Opinion 14-141 A judge who is currently a defendant in a criminal case involving domestic violence charges should not preside over other domestic violence cases during the pendency of his/her own case and, if convicted, during the term of any sentence that may be imposed. If the judge is acquitted or if the judge completes his/her sentence and/or probation, the judge may preside over other domestic violence cases provided the judge concludes he/she can be fair and impartial.

Opinion 14-119 Under the circumstances presented, a judge may use official court stationery for correspondence in the judge’s pro se proceeding to expunge a frivolous multi-million dollar lien which a litigant appearing before the judge filed against the judge’s property.

Opinion 14-83 What avenues of relief may a judge ethically pursue in response to actions the judge believes to be harassing and bullying?

Opinion 14-58 When a pro se criminal defendant files a multi-million dollar lien against a judge’s property and the sole basis for the lien filing is the judge’s performance of his/her official judicial duties: (1) the judge may take all lawful steps necessary to clear his/her title and may pursue all lawful avenues to put an end to the vexatious lien filing; (2) it is not unethical for the judge to use the court’s clerical and other resources to assist in preparing a pro se expungement proceeding; and (3) the judge may continue to preside in the criminal case, provided the judge determines he/she can be fair and impartial, a matter confined solely to the conscience of the particular judge.

Opinion 13-188 A judge may permit his/her court attorney to commence a special proceeding to remove a public officer, subject to certain limitations.

Opinion 13-38 A judge may, in his/her capacity as a parent, express his/her concerns about the conduct of his/her child’s public school teacher by (a) signing a petition addressed to the principal, along with other parents; (b) speaking directly with the teacher; and (c) writing to the principal about the teacher, provided the judge does not invoke his/her judicial status in doing so.

Opinion 12-162 Under the circumstances presented, where a judge believes in good faith that certain municipal employees have deliberately sought to interfere with the judge's ability to perform his/her judicial duties and such alleged conduct has caused the judge to file a Notice of Claim against the municipality, the judge may continue to preside in matters involving the municipality, provided that the judge believes he/she can be fair and impartial in such matters. However, the judge is disqualified, subject to remittal, if one of the municipal employees identified in the Notice of Claim as allegedly engaging in offending conduct appears before the judge as a witness or an attorney.

Opinion 12-96 A judge charged with violating the vehicle and traffic law may negotiate with the prosecutor for reduction or dismissal of the charged violation, either pro se or through an attorney but must not use or invoke his/her judicial title/status in the negotiations.

Opinion 12-41 May a part-time attorney judge continue to commence or defend civil actions as a self-represented litigant in various justice courts in the same county where the judge practices law and presides?

Opinion 10-193 (1) A full-time judge may not take an active role in the management or operation of any real property that he/she co-owns as a tenant-in-common with a person who is not a member of his/her family and may not appear in court on matters relating to such property to the extent that he/she would be representing not only his/her own interest, but also that of his/her tenant-in-common. (2) A full-time judge may manage real estate as the sole member of the limited liability corporation that owns the property. To the extent legally permitted, the judge may appear pro se on behalf of the limited liability corporation unless the corporation is required by law to appear by or through counsel.

Opinion 10-43/10-44 (1) A part-time town justice may be a named plaintiff in the town’s insurer’s lawsuit against criminal defendants whose cases are pending in the same court where the judge presides and also may initiate his/her own lawsuit against the same defendants concerning their conduct as it relates to the town court criminal cases. 

Opinion 09-157 May a village justice appear before the village planning or zoning board to represent the judge's personal interests as an individual owner of real property and as the president of a corporation which owns real property?

Opinion 09-14 May a part-time lawyer judge or their law firm file a criminal complaint against a client who tendered an invalid check in payment of a fee? What if the judge's court has jurisdiction over such a complaint?

Opinion 09-12 A full-time judge who owns a condominium unit may act pro se to assert his/her personal rights as an individual owner in an action against the condominium board, but may not lead or advise the other condominium owners in making litigation decisions or give advice to legal counsel hired to represent a group of condominium owners in the dispute against the condominium board.

Practice of Law

(22 NYCRR 100.6[B]; 100.4[G]; NY Const art VI, 20[b][4].)

APRIL 2025 NOTE: Our new standalone Practice of Law and Legal Advice page reorganizes the material in an effort to make it easier to review, access, and search. The material for full-time judges starts with a section on winding down one's practice.

Some related/overlapping topics for full-time judges:

• Judge as Litigant (Pro Se etc.).
• Winding Down - Opinion Digests, which includes opinions as early as 1989.
• For additional issues faced by new judges, see New Judges.

Fiduciary Activities; Appointment Powers

Sub-Topics: Serving as Fiduciary; Receiving Court Appointments | Exercise of Appointment Powers

Serving as Fiduciary; Receiving Court Appointments

(22 NYCRR 100.4[E]; 100.6[B][1]; Part 36; NY Const art VI, 20[b][4])

Opinion 25-02 A full-time judge may file for letters of administration and, if granted, may appear as a pro se litigant for the administration of the judge’s deceased spouse’s estate.

Opinion 24-80 A full-time judge who served as guardian for a disabled sibling may retain funds remitted to him/her by a law firm handling the sibling’s social security disability matter, provided the amount (1) is reasonable and (2) does not exceed what a non-judge would receive for the same activity. If a non-judge would not have been compensated by a law firm for non-legal services rendered as a temporary guardian in the context of a social security disability claim, then the judge must return those funds to the law firm.

Opinion 22-157 Where the remaining tasks are essentially ministerial and do not involve legal work, a new full-time judge may complete their service as a referee in foreclosure, pursuant to a court appointment that was made before the judge assumed the bench. Thus, the judge may, if necessary, conduct closings after January 1st, hold the proceeds in escrow pending a court order directing their release, and seek a court order regarding disposition of unresolved monies remaining in an escrow account.

Opinion 22-149 A judicial candidate, if elected, may appoint their campaign treasurer as their principal law clerk, provided that (1) any remaining duties of the treasurer are strictly ministerial and the treasurer is no longer involved in political fund-raising or other prohibited political activity at the time of the appointment and (2) the appointment is based on merit.

Opinion 22-130 (1) Where a judge's non-attorney child is employed as an assistant/"runner" with a law firm, the judge is disqualified, subject to remittal, whenever an attorney from the law firm appears in the judge's court. This obligation continues throughout the child's employment with the law firm. (2) The judge may not appoint attorneys from the law firm to fiduciary positions during the relative's employment with the law firm.

Opinion 22-98 May a full-time judge serve as the trust protector of a supplemental needs trust for the judge's fourth-degree relative by marriage?

Opinion 22-18 May a part-time lawyer judge complete the Part 36 assignments they received as a receiver and referee before assuming the bench, even though they may not accept any new Part 36 assignments?

Opinion 21-123 A full-time court attorney-referee who receives a commission of over $150 for serving as executor of a family member's estate must report it to the clerk of the court as required by Section 100.4(H)(2).  See AO-347 (PDF) rule change.

Opinion 20-210 Where a law firm’s managing partner is the sibling of a New York State judge, a Surrogate’s Court judge in a county specified in Section 36.1(a)(11) may not appoint any attorney of the law firm to serve as the Public Administrator, nor may the Surrogate appoint the law firm as counsel to the Public Administrator. The Surrogate may nonetheless appoint eligible members of the law firm who are on the Part 36 list to serve in other fiduciary positions except as Public Administrator and counsel to the Public Administrator.

Opinion 20-197 A principal court attorney who hears and reports cases in foreclosure and matrimonial matters may not serve as executor of a former client’s estate, unless they establish to the Chief Administrative Judge’s satisfaction that they maintained a “longstanding personal relationship of trust and confidence” with the decedent and the Chief Administrative Judge approves the appointment in writing.

Opinion 20-174 A full-time judge may not serve as power of attorney for an elderly former client, unless the judge maintained a "longstanding personal relationship of trust and confidence" with them and obtains written permission from the Chief Administrative Judge..

Opinion 20-27 A full-time judge may serve as an executor under the will of relatives within the sixth degree of relationship, provided that such fiduciary activities do not interfere with performance of his/her judicial duties and do not constitute the practice of law, and need not formally seek permission to do so.

Opinion 19-125 A part-time attorney judge may continue to represent a client as guardian pursuant to a Part 36 assignment made before the judge assumed the bench. Where the appointment is a continuing one, the representation need not be completed within one year.

Opinion 18-180 May a full-time judge serve as an alternate trustee of the estate of a long-time family acquaintance and former client?

Opinion 18-160 A full-time judge may bring an Article 81 guardianship proceeding and, if successful, serve as court-appointed guardian for his/her first-degree relative.

Opinion 18-130 If the criteria of 22 NYCRR 36.1(b)(2)(I) are met, a full-time judge may allow a part-time judge to serve as a court-appointed guardian, and the part-time judge may so serve.

Opinion 17-82 A full-time judge, in his/her capacity as administrator of a first-degree relative's estate, may act pro se at the closing for the estate's solely owned real property, where he/she will transfer an administrator's deed conferring ownership from the estate to the buyer, deposit the buyer's down payment into a title company's escrow account, compute and adjust routine home expenses such as taxes and utilities, and exchange checks payable by or to the estate.

Opinion 17-33 May a newly elected full-time judge complete his/her service as executor of a former client’s will by signing a deed necessary to transfer title to an heir?

Opinion 16-164 A new full-time judge may continue to serve as a receiver in foreclosure pursuant to an appointment received before assuming the bench, provided his/her duties are ministerial in nature and completed within one year, if possible.

Opinion 15-142 May a part-time town judge, who is also executor of an estate that owns real property within the town, retain counsel and petition the town for approval of the beneficiaries' requested subdivision of the property? If so, may the judge thereafter preside when assistant town attorneys appear before the court?

Opinion 14-76 May a full-time judge perform additional, unexpected duties as the receiver for a matter the judge thought had been concluded before the judge assumed the bench?

Opinion 14-03 A full-time judge may serve as the executor of a parent’s estate, and may give uncompensated legal advice to his/her parent, but may not serve as the attorney for the estate.

Opinion 13-164 A newly elected full-time judge, who was involved in two final accountings as a court-appointed fiduciary before assuming the bench, may respond to requests from the appointing court for additional information or revisions and may contact the appointing court to determine the status of a previously requested order, but must complete his/her service or secure a substitute within one year after assuming the bench, if possible.

Opinion 13-141 A full-time judge must not serve as a friend’s health care agent unless he/she obtains the Chief Administrative Judge’s approval under Section 100.4(E)(1).

Opinion 11-117 On these facts, may a full-time judge serve as co-trustee of a testamentary trust?

Opinion 11-07 May a judge execute a final accounting affidavit relating to work which the judge performed as a receiver prior to taking judicial office and seek a statutory commission for those services?

Opinion 10-203(B) (1) A judge may continue to serve as trustee of a trust that benefits the judge’s first cousin.

Opinion 10-183 May a part-time judge complete their responsibilities as a referee in a foreclosure pursuant to an appointment made before the judge assumed the bench?

Opinion 10-169 May a judge complete certain necessary tasks to terminate two conservatorships that the judge held before taking the bench?

Opinion 10-47 May a judge, who had been previously appointed as guardian for an incapacitated person before assuming the bench, prepare and submit an application to be discharged as guardian, together with the final accounting, in a Supreme Court proceeding?

Opinion 10-16 May a judge, who served as co-executor of a relative's estate 10 years ago, pursue and distribute apparently undistributed assets of that estate which have recently come to light?

Opinion 09-227 May a part-time judge continue to serve as a referee and law guardian for matters in which the judge was appointed a fiduciary pursuant to 22 NYCRR part 36 prior to assuming judicial office?

Opinion 09-213 May a part-time judge continue to serve as a referee on matters to which they were previously appointed before assuming judicial office?

Opinion 09-168 A part-time lawyer judge who presides in a court located in the Third Judicial Department may be assigned or accept appointment as a law guardian unless such assignment involves a legal or ethical conflict of interest.

Opinion 09-103 Where a town justice was appointed to certain Part 36 fiduciary appointments before assuming the bench, may they complete the work and accept compensation for those assignments after the effective date of their appointment as town justice?

Opinion 09-85 A full or part-time judge may be a compensated trustee of his/her parents’ trusts. 

Opinion 09-72 A full-time judge may serve as legal guardian for his/her parent.

Exercise of Appointment Powers

(22 NYCRR 100.3[C][3]; Part 8; Part 36)

Opinion 25-93 A judge may appoint the child of a judicial hearing officer as his/her full-time law clerk or court attorney, provided the appointment is made impartially and on the basis of merit. There is no ethical impropriety even if the judge later assumes judicial office in the same court where the judicial hearing officer is assigned.

Opinion 25-34 A judge may host summer internships for vulnerable youths and inform bar associations of the existence of the program. 

Opinion 25-24 Subject to generally applicable limitations on speech and conduct, a judge has discretion to inquire about and ultimately engage a student intern who has made public comments which would be inappropriate if made during the internship.

Opinion 25-06(B) (1) A new judge may hire a law student who previously interned at the judge’s prior law firm as a judicial intern.

Opinion 24-202/24-203 A judge may participate in the appointment or reappointment of the county jury commissioner, even if the commissioner’s first-degree relative was the judge’s election opponent.

Opinion 23-226 (1) If a judge is currently disqualified in matters involving an attorney, he/she may not appoint that attorney as assigned counsel or attorney for the child during any such disqualification period. (2) A judge who is not disqualified from matters involving an attorney must exercise his/her discretion impartially when deciding whether to appoint the attorney, with an eye to avoiding even the appearance of any improper motivation.

Opinion 23-104 A Surrogate’s Court judge is not required to remove a Public Administrator who has served for many years if an associate in the Public Administrator’s law firm marries the child of a New York State judge.

Opinion 23-95 A judge (1) is disqualified, subject to remittal, in all cases in which a party is represented by an attorney from the small law firm that represents the judge’s family’s real estate business and (2) may not appoint an attorney from that firm as a guardian ad litem.

Opinion 23-41 A judge need not take any further action after being inadvertently exposed to a list of campaign contributors and should not investigate whether a prospective appointee was a campaign contributor.

Opinion 22-56/22-67 A judge who appoints fiduciaries in a guardianship part (1) may direct court staff to update the Part 36 fiduciary list by contacting the listed individuals to inquire whether they are currently accepting such assignments; (2) may personally inquire whether a prospective appointee is available to accept assignment in a particular case, even if the Alleged Incapacitated Person is indigent, provided the judge avoids undue pressure or coercion; and (3) may also direct court staff to make such inquiry on the judge’s behalf.

Opinion 22-59 A judge is disqualified from appointing their personal financial manager to a fiduciary position.

Opinion 21-181 A full-time judge may hire a fifth-degree relative as their secretary.

Opinion 20-210 Where a law firm’s managing partner is the sibling of a New York State judge, a Surrogate’s Court judge in a county specified in Section 36.1(a)(11) may not appoint any attorney of the law firm to serve as the Public Administrator, nor may the Surrogate appoint the law firm as counsel to the Public Administrator. The Surrogate may nonetheless appoint eligible members of the law firm who are on the Part 36 list to serve in other fiduciary positions except as Public Administrator and counsel to the Public Administrator.

Opinion 19-130 A judge (1) may appoint a retired judge to the roster of neutrals for the same trial-level court in which he/she previously served, provided the appointment is made impartially and on the basis of merit; (2) may refer matters to the retired judge for mediation, unless he/she determines their relationship would create an appearance of impropriety; (3) may consider and decide the retired judge’s fee applications for mediation services, unless the judge determines their relationship might improperly influence the judge’s conduct or judgment.

Opinion 19-22 After Election Day, a judge may appoint an attorney who merely hosted a single campaign fund-raiser for the judge to a Part 36 position for which the attorney is qualified, provided the appointment is made impartially and on the basis of merit.

Opinion 19-11 May a judge appoint an otherwise eligible attorney to a Part 36 appointment in a pending proceeding, where the attorney’s former representation of the judge’s first-degree relative completely terminated over a year ago?

Opinion 18-130 If the criteria of 22 NYCRR 36.1(b)(2)(I) are met, a full-time judge may allow a part-time judge to serve as a court-appointed guardian, and the part-time judge may so serve.

Opinion 17-127 May a Surrogate appoint his/her former law firm associate as public administrator?

Opinion 16-168 May a judge appoint his/her former campaign treasurer to serve as a referee in a foreclosure action?

Opinion 16-65 May a judge who has the duty of appointing special prosecutors appoint an attorney who is related to his/her co-judge?

Opinion 15-126 May a judge appoint his/her former partners to fiduciary positions?

Opinion 15-63 May a judge who was "of counsel" to a law firm five years ago, and its tenant a decade ago, appoint a partner of that firm to a Part 36 fiduciary appointment?

Opinion 14-48 May a judge permit his/her third-degree relative to serve as an unpaid summer intern in the judge’s chambers?

Opinion 14-30 A judge who listed an attorney as a reference in the judge’s application for appointment or re-appointment need not disclose that fact and is not thereby disqualified from cases in which that attorney appears or that attorney’s partners and/or associates appear, provided the judge can be fair and impartial. The judge is not prohibited from appointing the attorney or his/her partners and/or associates to positions for which the attorney is eligible or his/her partners and/or associates are eligible, provided the judge exercises the power of appointment impartially and on the basis of merit.

Opinion 13-41 A judge who is a defendant in federal court in his/her official capacity based on his/her prior judicial acts in a particular case ... (3) is not precluded from appointing an attorney to Part 36 or other appointments merely because the judge and the attorney are co-defendants in the federal action.

Opinion 12-37 ... (2) A former judge is ineligible for appointments governed by Part 36 of the Rules of the Chief Judge for two years after the judge leaves judicial office in any court within the jurisdiction where the judge served....

Opinion 11-43 A Surrogate whose spouse is a partner in a law firm that frequently appears in the Surrogate’s Court ... (2) may not appoint his/her spouse’s partners or associates to serve as fiduciaries except in very limited circumstances.

Opinion 10-107/10-158 (1) Provided a judge’s former law clerk is otherwise qualified, a judge may appoint his/her former law clerk to Part 36 positions, except where the case was pending before the judge during the law clerk’s term of employment. However, if a former law clerk the judge so appointed to a Part 36 position appears before his/her former judge in an adversarial role within one year after his/her employment with the judge ended, the judge must disclose that employment relationship, but has the discretion to grant or deny any subsequent request for recusal based on all the facts of the relationship and the particular case. (2) Assuming the law clerk is otherwise qualified, a judge may appoint his/her former law clerk as a referee to hear and report findings of fact and conclusions of law pursuant to Surrogates Court Procedure Act §506 and as a referee to supervise disclosure pursuant to Civil Practice Law and Rules §3104(a) anytime after the law clerk retires, but need not disclose their former employment relationship.

Opinion 10-52 (1) A judge must exercise disqualification, subject to remittal, when the judge’s spouse’s first cousin, who is an attorney, appears in the judge’s court. The judge may not appoint him/her as a law guardian, nor should the judge ask his/her co-judge to assign the judge’s spouse’s first cousin to the judge’s part. 

Opinion 10-41 May a judge give assignments pursuant to County Law article 18-B to a judge who recently retired from the same court? Does it make a difference that the judge's current law clerk previously worked for that recently-retired judge for ten years?

Opinion 09-191 A judge who was admonished by the Commission on Judicial Conduct, but who does not know the identity of the complainant, need not disclose that the disciplinary action occurred when an attorney who could be the complainant subsequently appears in the judge’s court; nor is the judge precluded from appointing such attorney to fiduciary positions for which the attorney otherwise qualifies.

Opinion 09-136 Where a judge does not know the identity of the complainant, the judge need not disqualify him/herself or disclose the disciplinary proceeding when one of several possible complainants appears as an attorney, and the judge is not precluded from appointing the attorney to serve as assigned counsel or attorney for the child or in any other fiduciary position.

Opinion 09-82 May a judge appoint a current judicial hearing officer who serves in Family Court to a fiduciary position in the same county’s Supreme Court?

Opinion 09-60 Assuming it is legal to do so, a judge who is subject to §36.1(a)(11) of the Rules of the Chief Judge concerning appointments by the court may permit a public administrator who practices law with the judge’s former campaign treasurer to remain in office and is not required to disclose the public administrator’s relationship to the judge’s former campaign treasurer.

Opinion 09-43 ... (2) The judge should not appoint the attorney who is his/her personal secretary’s child to serve as assigned counsel or as a law guardian.

Serving as Arbitrator or Mediator

(22 NYCRR 100.4[F]; 100.6[B][1]; NY Const art VI, 20[b][4].)

Opinion 25-182 A court attorney-referee may not serve on a fraternal organization’s ad hoc investigatory committee, where the investigation may involve allegations of sexual harassment.

Opinion 24-144 A full-time judge who serves on the board of a not-for-profit private school may not attend or participate in a private mediation concerning a school employee’s potential legal claims against the school.

Opinion 23-144 A full-time support magistrate in one county may serve as a volunteer arbitrator in the small claims part of a different court in another county.

Opinion 22-68 A part-time town justice may simultaneously serve as an administrative law judge for a town code administrative bureau in the same town.

Opinion 21-84 A part-time lawyer judge may serve as a non-partisan hearing officer for the state board of elections to conduct civil enforcement hearings.

Opinion 21-43 May a judge sit on the board of a local human rights commission, which is involved in investigating, conciliating, and adjudicating employment, housing, public accommodation and credit discrimination claims?

Opinion 20-178 May a full-time judge, who served as a referee in foreclosure before assuming the bench, continue to hold the monies in escrow pending a court order directing their release?

Opinion 20-79 As long as a JHO remains listed on a court’s assignment panel, he/she may not serve as an arbitrator or mediator for any contested matter in a court in a county where he/she serves on a JHO panel for such court, unless appointed by the court to so serve.

Opinion 18-145 A part-time judge may serve as a volunteer judge for a Peer Court in the judge’s county, subject to certain restrictions.

Opinion 17-25 May a full-time judge serve on the tribunal of a not-for-profit entity as the representative of one of its constituent members, where the tribunal has "jurisdiction to hear and determine controversies and disputes" among various constituent members?

Opinion 14-142 May a judge serve as a hearing officer for the New York State Joint Commission on Public Ethics?

Opinion 13-121 A part-time judge may accept appointment as an arbitrator in a mandatory arbitration program established pursuant to the Rules of the Chief Judge in another local court of broader jurisdiction.

Opinion 13-72 A part-time attorney/judge who occasionally performs arraignments for a neighboring municipality’s court, but is not an “acting” member of that court and continues to sit as a judge of his/her own court when performing such arraignments, may be included on a list of attorneys who are willing to serve as compensated arbitrators in that municipality.

Opinion 12-123 Unless prohibited by law, a former judge who is designated as a judicial hearing officer in a particular court may also accept an appointment as a special referee to supervise discovery in a matter pending in the same court and may accept compensation for the fair value of services rendered. [Note: Opinion 20-79 states "Significantly the 2019 amendment to Section 122.10(c) effectively modifies Opinion 12-123 with respect to compensation. Although a JHO in a particular court may still accept an appointment as a special referee to supervise discovery in a matter pending in the same court, his/her compensation is now limited by Section 122.8."]

Opinion 11-15 A JHO may serve as hearing officer for a municipality’s disciplinary hearing involving a police officer if the JHO is not on the JHO panel for the municipality’s court and does not preside in criminal or other police related matters.

Opinion 09-91 May a part-time judge serve as a hearing officer for the County Health Department?

Opinion 09-88 A part-time town justice may volunteer as a mediator for a mediation program the Unified Court System funds, as the program charges no fee for its services.

Opinion 09-23 May a Court of Claims judge sit as an arbitrator in Small Claims Court, notwithstanding Court of Claims Act §3?

Application of Part 100; Authority of Advisory Committee on Judicial Ethics

Sub-Topics: Incoming and Outgoing Judges; Start or End of Judicial Term | Legal or Administrative Questions | Past Conduct; Conduct of Third Parties; Hypothetical or Speculative Questions | Disclosure by Inquiring Judge of Advisory Committee Opinions | Application to Judge's Family

(See 22 NYCRR 100.6[A].)

Incoming and Outgoing Judges; Start or End of Judicial Term

Opinion 23-203 Questions about a former quasi-judicial official's return to the private practice of law after retirement from the court system raise primarily legal questions beyond our jurisdiction.

Opinion 18-16 After fully retiring from all positions in the court system, may a part-time judge who also serves as law clerk for an administrative or supervising judge appear in courts in the same county and municipality and accept assigned counsel appointments?

Opinion 16-136 May a sitting judge who will be retiring at the end of the year agree to be the guest of honor at a not-for-profit educational institution's fund-raising dinner to be held next year?

Opinion 16-63 When does a non-judge who has been appointed to judicial office become subject to the Rules Governing Judicial Conduct?

Opinion 15-01 May a non-judge who is seeking election or appointment to judicial office remain employed as a police officer until he/she takes and files his/her oath of office as a judge?

Legal or Administrative Questions

Opinion 26-48 A town justice may impose a sentence that requires a defendant to perform community service with the town highway department, provided it is lawful to do so. We cannot comment on legal issues and thus cannot advise on the propriety of a proposed memorandum of understanding and participant’s contract.

Opinion 26-31 (1) Whether a judicial association may use court-provided funds to reimburse a member for legal fees and/or litigation expenses incurred in a lawsuit against the court system is a legal question beyond our jurisdiction.

Opinion 25-153 On these facts, where a village has contracted with a third-party vendor to manage alleged parking ticket violations in the vendor’s software platform as specified herein: (1) If the village maintains complete administrative control over parking tickets in the vendor’s platform, the justice court may not access or use the vendor’s online portal or software platform, but may do so if the village access is changed to “read only.” (2) Once the village access is changed to “read only,” the justice court may also receive training from the vendor on the parking software platform. (3) As a matter of ethics, a judge must not certify the “truth and completeness” of a month-end report the judge in fact knows or believes to be incorrect. Questions about what the judge can or must do after declining to certify an incorrect or incomplete month-end report involve legal and/or administrative issues we cannot address. 

Opinion 25-144 A judge may not issue an order directing a criminal defendant to make a monetary donation to a not-for-profit agency in lieu of his/her community service obligation, even if such request is made by defense counsel with the consent of the prosecution. 

Opinion 25-135 The Committee cannot address legal questions. 

Opinion 25-87 (1) The propriety of an attorney’s use of a standard subpoena duces tecum form to seek documents from non-parties in connection with a pending case is primarily a legal question, even where the form is labeled “Judicial Subpoena Duces Tecum” and prompts the signing attorney to identify the judicial or quasi-judicial officer presiding in the matter after the word “WITNESS.” (2) Absent a court directive, ethics rule, or statute prohibiting attorneys from using this form, a support magistrate need not take any action on learning that an attorney has prepared and served such a form, where the attorney has clearly identified him/herself as the sole signatory with the attorney’s own signature block.

Opinion 25-62 (1) Where a traffic diversion program does not involve a reduced sentence or negotiated plea, but only comes before the court when the District Attorney files a notice of election not to prosecute and motion to dismiss, the program’s propriety is primarily a legal question, which is beyond the purview of this Committee. (2) A judge may, but is not ethically required to, raise concerns about the program to court administrators, the District Attorney, and/or the public. 

Opinion 24-193 (1) While it is ethically permissible for a judge to receive accommodations to which he/she may be legally entitled under the Americans with Disabilities Act, the Committee cannot comment on any legal questions, including the suitability or lawfulness of a specific proposed accommodation. (2) If a private individual, who is not a government employee, is hired to assist a judge with court-related duties or functions, the judge must ensure that the assistant abides by all appropriate ethical limitations for court personnel, including the obligation of confidentiality. (3) Regardless of the nature or extent of any legally required accommodations, a judge must retain full control of judicial decision-making and ensure that he/she delegates only strictly ministerial tasks.

Opinion 24-183 Assuming the proceeding is lawfully commenced, a town or village justice may ethically participate in a county’s school bus stop-arm violation monitoring program under VTL § 1174-a, where (a) the court schedules the hearing, (b) the District Attorney appears and prosecutes violations, and (c) the court performs judicial functions without any need to use or access a commercial vendor’s online portal. However, we cannot comment on any legal questions.

Opinion 24-139 (2) Whether a letter to all counsel, directing an allegedly delinquent attorney to provide proof of compliance with attorney registration requirements, must be electronically filed to the case in which the original motion was filed is a legal/administrative question we cannot address.

Opinion 24-119 Whether a support magistrate may conduct an inquiry into an attorney’s declared conflict of interest presents a legal question beyond the jurisdiction of this Committee. 

Opinion 24-108 We cannot comment on an inquiry while there is a pending investigation by the Commission on Judicial Conduct.

Opinion 24-72 (1) When a court interpreter is needed for an off-hours arraignment and the judge determines that an interpreter approved by the Unified Court System is unavailable, it is ethically permissible for the judge to use an independent third-party interpreting service with the consent of the parties or their counsel. If the service requires use of a paid account which is not paid for by the Unified Court System or the municipality, the accountholder’s identity should be disclosed on the record. (2) The use and selection of any interpreting service raises primarily legal or administrative issues beyond our purview to address.

Opinion 23-232 Whether materials sought by the Commission on Judicial Conduct are shielded by attorney-client privilege presents a legal question beyond our jurisdiction.

Opinion 23-203 Questions about a former quasi-judicial official's return to the private practice of law after retirement from the court system raise primarily legal questions beyond our jurisdiction.

Opinion 23-94 Whether a judge may ask a defendant questions about court-ordered treatment when the defendant appears before the judge for a status review is a legal issue beyond our jurisdiction. It is, however, ethically permissible for the judge to ask legally permissible questions.

Opinion 23-100 May a full-time judge invest in a cannabis company which has an active state license to operate a retail dispensary in New York? May the judge’s spouse and other relatives, who are neither judges nor employees of the Unified Court System, invest in, consult for, or be employed by a cannabis company?

Opinion 23-21 Although a judge must respect and comply with the law, the Advisory Committee on Judicial Ethics cannot resolve legal or administrative questions and declines to comment on past conduct, hypothetical conduct, or the conduct of third parties.

Opinion 23-08 The inquiring judge is the successor judge in a civil matter which was decided by another judge before their term ended. The prevailing party has submitted a judgment for signature by the successor judge, consistent with the ruling of the ex-judge. However, the successor judge believes that the ruling and judgment are contrary to the law. The successor judge asks 1) whether the ethics rules require the judge to sign the judgment; 2) what alternative steps the inquiring judge may take; and 3) whether the ex-judge may sign the judgment in their current quasi-judicial capacity.

Opinion 22-156 Whether a full-time judge’s activities as a mentor-in-residence at a SUNY/CUNY college may take place during regularly scheduled court hours, with time charged to annual leave, are administrative questions to be determined by the appropriate Administrative Judge.

Opinion 22-153 (3) We cannot respond to questions about past conduct, legal issues, conduct of another judge, or interpretation of another judge's decisions/rulings.

Opinion 22-65 Application and enforcement of the Office of Court Administration’s work schedule policies to non-judicial court personnel are primarily administrative matters, which the Committee cannot address.

Opinion 22-62 (2) We cannot address legal or administrative questions, such as the allocation of authority to select, hire, assign and supervise various non-judicial personnel to work in the local justice courts, or whether a municipality may establish an appointive administrative judge position to handle certain matters.

Opinion 22-45 May a town justice accept a salary increase approved by the town board partway through the judge's current term of office?

Opinion 22-21 Whether a judge must or may conduct an inquiry into a potential conflict of interest arising from the pending prosecution of a criminal defense attorney presents a legal question beyond the jurisdiction of this Committee.

Opinion 22-02 (1) The Committee cannot address legal/administrative issues relating to the court system’s vaccination policies, such as whether a judge may delay vaccination beyond the deadline after denial of their exemption request and use various categories of leave during the judge’s chosen delay period. ...

Opinion 21-168 Whether an administrative judge may direct a court attorney-referee to comply with a memorandum from OCA Counsel does not raise any ethical issues, but instead only legal/administrative matters, which are outside the Committee’s jurisdiction.

Opinion 21-165 Where court staff have relayed to a judge certain remarks made openly by a physician witness while waiting for the case to be called, and the judge concludes those remarks reflect gender and other bias and a lack of professionalism to a level that could directly impact the doctor’s credibility and/or might be relevant in evaluating the conclusions reached in the physician’s report, ... [w]hether the judge may rely on these remarks in a published decision is a legal question on which we cannot comment.

Opinion 21-135 May a judge conduct off-hour arraignments at a county jail, pursuant to a proposed county-wide change in arraignment procedures?

Opinion 21-119 Whether a judge may, in the exercise of discretion, reduce or waive certain Vehicle and Traffic Law surcharges regardless of a defendant's ability to pay is a question of law which this Committee has no authority to address.

Opinion 21-108 Whether or not a judge may unilaterally substitute the owner/registrant for the operator of an alleged overweight vehicle is a legal question, which is beyond this Committee's jurisdiction. Similarly, whether or not any or all of the interested parties need to request or consent to the substitution is also a legal question beyond the jurisdiction of this Committee.

Opinion 21-97 We decline to comment on the appropriate scope of disclosure of a recusing judge under Judiciary Law § 9, as this is a legal question beyond our jurisdiction.

Opinion 21-86 (2) What the judge must state on the record or in writing pursuant to Judiciary Law § 9, when confidentiality has not been waived, is a legal question we cannot resolve.

Opinion 21-56 (1) This Committee, unlike an individual judge, cannot determine the constitutionality of the enabling statute for a school bus stop-arm violation monitoring program nor whether any resulting guidelines, requirements, directives, forms, notifications or advisements emanating from that statute are lawful and thus ethically permissible. (2) A judge must comply with legal mandates. Absent a legal requirement to do so, a judge should not voluntarily comply with guidelines that are not directly enabled by the law, to the extent that they require a judge to engage in ethically impermissible conduct.

Opinion 21-54 The Advisory Committee on Judicial Conduct cannot comment on whether Part 8 of the Rules of the Chief Judge precludes a county jury board from appointing or reappointing a jury commissioner whose spouse has assumed full-time judicial office within the same county.

Opinion 21-49 Whether a judge may order the disqualification of an attorney because of an ethical conflict, instead of deciding a pending motion filed by the attorney on behalf of the attorney’s client, is a question of law which this Committee therefore has no authority to address.

Opinion 21-45 (1) Whether a judge who has reported an attorney to an attorney grievance committee may publicly disclose the reason for recusal, when confidentiality has not been waived, is a legal question we cannot resolve. (2) The judge may communicate privately with the reported attorney to advise them that a disciplinary complaint has been filed.

Opinion 20-164 Whether or not a judge may hold two part-time judicial positions in the same municipal court is a legal question beyond this Committee’s jurisdiction. If it is determined that the dual service described is legally permissible, such serving would not otherwise violate any ethics rules or principles under Part 100. If there is a legal impediment to such service, the judge may not so serve.

Opinion 19-142 Must a judge recall warrants on a defendant’s failure to pay a fine and/or surcharge due to recent revisions in the Criminal Procedure Law? May the judge enter a civil judgment for the unpaid amount?

Opinion 19-124 ... (2) A town justice must attend the town's sexual harassment prevention training program if legally required to do so.

Opinion 19-117 If authorized by law, a town or village justice may notify criminal defendants of court appearances without simultaneously notifying defense counsel.

Opinion 19-45 A support magistrate may report a litigant’s apparently criminal conduct to law enforcement but is not ethically required to do so. Whether and how he/she may do so in compliance with applicable statutes and regulations raises a legal question, not one of judicial ethics.

Opinion 19-35 Where an attorney who practices in a specialized part manifests extremely rude, malicious, and belligerent behavior that, if true, appears to raise serious concerns about the attorney’s fitness to practice law: (1) the propriety of transferring the attorney’s cases to another venue is a legal or administrative question the Committee cannot address; ...

Opinion 19-20 A judge who decides in good faith he/she may legally execute and file an undertaking can do so without violating the Rules Governing Judicial Conduct.

Opinion 19-19 If a judicial candidate determines he/she is legally permitted to repay his/her personal loan after the election, it is ethically permissible for him/her to use his/her remaining unexpended campaign funds, raised before election day, to do so.

Opinion 19-06 Whether a part-time town justice, who is also a US Air Force Reservist, may continue in office as judge while on extended military orders outside New York raises legal questions the Committee cannot address.

Opinion 18-171 (3) Whether the judge may hold a hearing to determine if a party is attempting to engage in judge-shopping presents a legal question beyond our jurisdiction. 

Opinion 18-139 (2) We decline to answer legal questions and/or questions about a co-judge’s conduct.

Opinion 18-138 (1) A judge with personal knowledge of relevant facts may testify as a fact witness in an attorney disciplinary proceeding, either voluntarily or pursuant to a subpoena. (2) The judge may provide a written factual statement at the request of the attorney’s lawyer, but its admissibility is a legal question.

Opinion 18-73 The Committee cannot determine whether judges have the legal authority to introduce new steps or procedures for defendants who plead guilty by mail under Vehicle and Traffic Law 1805, as this presents a strictly legal question.

Opinion 18-49 Whether a judge is authorized to act on certain declarations of delinquency from the probation department raises primarily legal questions beyond the Committee’s jurisdiction. However, a judge who makes a good-faith legal determination concerning his/her legal authority to act on these submissions necessarily acts ethically, even if the decision is reversed on appeal.

Opinion 18-45 What are the ethical obligations, if any, of a judge who believes his/her administrative judge’s order assigning him/her to preside in a particular court is legally insufficient?

Opinion 18-25 (1) A judge does not violate the Rules Governing Judicial Conduct by fulfilling his/her statutory powers, functions, and duties as a licensing officer in good-faith reliance on statutory authority and administrative guidance on how to exercise that authority. (2) The Committee cannot address legal questions such as whether or how a judge, in his/her capacity as a firearm licensing officer, may consider an applicant’s request to lift the suspension of a firearm license or which persons must be notified and given an opportunity to participate.

Opinion 17-176 Before seeking ethics advice on how to interact with unrepresented litigants, a New York City Housing Court judge should first consult with his/her supervising or administrative judge concerning applicable policies, procedures, and resources.

Opinion 16-159 (1) A judge who is dissatisfied with an attorney’s explanation of the propriety of his/her conduct in connection with a proposed default divorce decree must determine, based on the facts and circumstances known to the judge, whether there is a substantial likelihood that the attorney’s actions constitute a substantial violation of the Rules of Professional Conduct and, if so, must take appropriate action. (2) If the judge determines in good faith that he/she is legally permitted and/or legally required to sign the decrees, he/she may do so without violating the Rules Governing Judicial Conduct, assuming he/she can be fair and impartial and is not otherwise disqualified from presiding in matters involving the attorney. The Committee suggests the judge consult with an administrative judge for assistance in navigating any applicable legal or administrative issues.

Opinion 16-105 A judge subject to article VI, section 20 of the state constitution may not sign a separate oath of office for a county legislature’s law-related advisory board without an opinion from OCA’s Counsel’s Office advising the oath’s execution is legally permissible.

Opinion 16-56 (1) Unless a judge is required by law or rule to perform marriages, a judge may adopt a policy to decline to perform all weddings. (2) A judge who declines to perform weddings may permit court staff to refer couples to another incumbent public official who is authorized to solemnize marriages.

Opinion 16-55 (1) Absent a legal requirement, a town justice must not sign a statement (a) acknowledging an obligation to comply with a town ethics code, or otherwise agreeing to be bound by such code where it is more stringent than the Rules Governing Judicial Conduct, or (b) acknowledging that willful violation of the town ethics code may be a basis for suspension, dismissal, or removal, or otherwise agreeing to allow the town board remove, suspend, or dismiss the judge. (2) A judge who determines in good faith that he/she is legally required to sign such a statement may do so without violating the Rules Governing Judicial Conduct.

Opinion 16-52 The Committee cannot comment on any legal questions. However, if controlling law permits voter registration forms to be made available at court facilities, it is ethically permissible to do so in a strictly neutral, non-partisan and informational manner, subject to any applicable legal requirements.

Opinion 16-42 Whether a judge may sign a final decree of judicial settlement pursuant to SCPA § 2602(1)(b), following disqualification of the judge who issued the underlying decision, is a legal question the Advisory Committee cannot address.

Opinion 16-08 Whether a full-time City Court judge may accept a temporary appointment as a Family Court judge is a legal issue the Committee has no authority to resolve.

Opinion 15-232 The Committee cannot comment on legal questions, such as whether a judge may, on his/her own initiative and before the parties’ first appearance, request and review grand jury minutes and/or discovery materials produced to the defense. Should the judge determine such conduct is legally permitted, however, the judge must be careful to avoid any impermissible ex parte communications

Opinion 15-220 The Committee cannot comment on any legal questions. However, if applicable law permits judges to delegate authority, to accept guilty pleas and set fines, to court clerks who serve in a municipality’s traffic violations bureau, then it would also be ethically permissible for the judges to delegate that authority under the applicable statutory scheme.

Opinion 15-200 Whether a full-time judge may serve in the U.S. Army Reserve Judge Advocate General Corps raises legal questions the Committee may not address.

Opinion 15-188 (1) The Committee cannot suspend the Rules Governing Judicial Conduct or issue legal opinions interpreting the state and federal constitutions.

Opinion 15-74 The proper format of the judge’s response to a subpoena is a legal or procedural question which the Committee cannot address.

Opinion 15-47 (1) Whether a judge may require, as a condition of joining a treatment court program that the individual must agree to participate in an exercise program raises primarily administrative and/or legal questions which the Committee cannot answer.

Opinion 14-195 Whether a part-time judge may continue to practice law, while he/she is serving temporarily as a full-time judge pursuant to Uniform City Court Act §2104(e)(2), depends on whether the judge is legally a full-time judge during that period. It thus presents a legal question beyond the jurisdiction of the Advisory Committee on Judicial Ethics.

Opinion 14-159 Whether a judge may use his/her official court mailing address, telephone number and e-mail address to conduct bar association business is primarily a question of administrative policy.

Opinion 14-109 Will the Committee reconsider Opinion 03-129, which states that a judge who is constitutionally barred from holding "another public office or trust" (NY Const art VI §20[b]) may not serve as a notary public; and, therefore, may not carry petitions to be designated by other parties in his/her re-election efforts?

Opinion 14-79 May a judge adopt a policy requiring parties to an action to appear before the judge for allocution and explanation before entering into an out-of-court stipulation, when one of the parties is unrepresented?

Opinion 14-34 Under the circumstances presented, where the judge has made a good-faith interpretation of governing law concerning the appointment of counsel for indigent defendants, it would be inappropriate for the judge to defer to an inconsistent legal interpretation offered by another branch of government which would require the judge to participate in conduct the judge has concluded is unlawful.

Opinion 14-01 Whether a judge may preside over an arraignment, in which a defendant is not represented by counsel, raises primarily legal questions; however, if a judge acts in conformity with governing law the judge will not violate the Rules Governing Judicial Conduct.

Opinion 13-50 If it is legal for an administrative law judge of a traffic bureau to accept a guilty plea from a pro se defendant that includes incarceration, then it is also ethical for a part-time judge to do so in his/her separate capacity as an administrative law judge.

Opinion 13-48 Must a village justice enforce a local law which he/she believes to be lacking in legal standing and precedent"?

Opinion 12-115 May a judge who is a retired Law Enforcement Officer carry a concealed firearm in accordance with the Law Enforcement Officers Safety Act?

Opinion 12-68 (2) Whether a judge must review the affidavit a defendant must submit to the District Attorney when requesting a reduction of an alleged Vehicle and Traffic Law violation before ruling on the proposed plea agreement is a question of law that is beyond the Committee's jurisdiction.

Opinion 11-92 (2) Whether a part-time town judge [in a court with one judge and two court clerks] may also be appointed to serve as a co-court clerk is a question of law that is beyond the Committee’s jurisdiction. 

Opinion 11-87 (1) Unless a judge is required by law to perform marriages, a judge may adopt a policy of performing marriages for friends and relatives only or may decline to perform all marriages. (2) Whether a judge may adopt a policy with respect to performing marriages that distinguishes between same-sex and opposite-sex couples raises primarily legal questions; however, if a judge acts in conformity with governing law the judge will not violate the Rules Governing Judicial Conduct. [Note: Some previously unsettled legal issues relating to statutory and constitutional interpretation were resolved by the United States Supreme Court. See Obergefell v. Hodges, 576 U.S. 644 (2015).]

Opinion 11-17 A full-time judge, who is also an adjunct professor at a community college and member of the adjunct faculty association, may fully engage in all legal activities of the faculty association. The judge should not participate in a strike which violates the Taylor Law.

Opinion 11-09/11-12 (1) A judge may conduct after-hours arraignments in a public area of a police facility if there are valid security reasons to do so and if holding such proceedings at the police facility rather than the local court facility is not in violation of law. (2) A judge may conduct after-hours arraignments in other areas that are open to the public, such as outdoors, only if such locations are legally permitted and administratively approved and if it is likely that the judge will be able to maintain order and decorum. (3) Other questions relating to where a judge may conduct after-hours arraignments are primarily legal and administrative in nature.

Opinion 10-170/11-03 Whether a judge may permit a lay complainant to prosecute an alleged criminal violation is a question of law which is beyond this Committee’s jurisdiction. If a judge determines that the district attorney’s implicit or explicit delegation of authority to prosecute a particular matter is not lawful, then the judge should decline to preside over such matters. But, if a judge determines that such delegation is lawful, then the judge may preside in such matters, although the judge must remain fair and impartial and may not provide either side with guidance on procedural or substantive issues.

Opinion 10-201 (5) The question of whether a court attorney may pay a “much reduced rate” for private legal services received during his/her employment with the courts raises questions of non-judicial ethics that are beyond this Committee’s jurisdiction.

Opinion 10-196 A judge may ask a criminal defendant any questions that the judge has determined are legally permissible or legally required, including questions about a defendant’s immigration status, but the judge should not accede to the district attorney’s request that the judge conduct plea allocutions in a particular manner and should not distribute notices furnished by the prosecutor to criminal defendants.

Opinion 10-193 (2) A full-time judge may manage real estate as the sole member of the limited liability corporation that owns the property. To the extent legally permitted, the judge may appear pro se on behalf of the limited liability corporation unless the corporation is required by law to appear by or through counsel.

Opinion 10-185 Whether a part-time judge may take an extended vacation is an administrative question to be determined by the appropriate administrative judge.

Opinion 10-154 Unless otherwise prohibited by law, the village justice may have the Village Clerk assist the village court clerk in verifying court bank deposits.

Opinion 10-142 (2) The propriety of a prosecutor’s exercise of discretion in deciding whether and how to prosecute offenses raises legal issues beyond the Committee’s jurisdiction. 

Opinion 10-124 (1) Absent special circumstances that would create an appearance of impropriety, a part-time village justice may, to the extent it is legally permissible to do so, mandate that youthful offenders of Vehicle and Traffic laws attend a specific defensive driving program which is co-sponsored by a not-for-profit entity and a governmental agency and is specifically geared to offenders in that age group. 

Opinion 10-26 A judge who believes that he/she can continue to preside in a judicial proceeding “fairly and impartially” need not disqualify him/herself after a court employee, without authorization, accessed the recording of a confidential (Lincoln) hearing held during such proceeding. However, if it is legally permissible to do so, the judge should disclose that the incident occurred to the adult parties and the attorneys involved in the judicial proceeding.

Opinion 09-164 What should a judge do on realizing that they may have been without jurisdiction to hear and adjudicate certain proceedings?

Opinion 09-140 A part-time village justice is prohibited by law from serving in both an elective and an appointive village office.

Opinion 09-137 Whether a judge who receives a defendant's plea of "not guilty" by mail to a Vehicle and Traffic Law charge may schedule a pre-trial conference is a question of law, not ethics, and thus beyond the Committee's jurisdiction.

Opinion 09-130 Do the Rules Governing Judicial Conduct address whether a judge may issue warrants or bench warrants in certain "relatively minor matters," including non-misdemeanor Navigation Law matters, which may or may not carry a jail sentence?

Opinion 09-124 May a sitting judge seek to qualify and carry a firearm within the guidelines of the Law Enforcement Officers Safety Act of 2004?

Opinion 09-96 A judge may consider a defendant’s criminal record and/or driver’s abstract during an arraignment for the purpose of setting bail if he/she is authorized to do so by law or if both the defense and prosecution have access to the same information. If a defendant’s criminal history and/or driving record is otherwise available, the judge should give copies to the defendant’s counsel or, if the defendant appears without counsel, to the defendant.

Opinion 09-76 Must judges assign counsel for unlawful possession of marijuana cases where the defendant cannot afford counsel?

Opinion 09-71 A question concerning whether a judge has the authority to change his/her mind regarding a previously determined disqualification is a legal question outside of the authority of this Committee to address. A judge should exercise his/her discretion regarding whether or not the judge need disqualify him/herself after receiving an ex parte communication about a case pending before the judge.

Opinion 09-60 Assuming it is legal to do so, a judge who is subject to §36.1(a)(11) of the Rules of the Chief Judge concerning appointments by the court may permit a public administrator who practices law with the judge’s former campaign treasurer to remain in office and is not required to disclose the public administrator’s relationship to the judge’s former campaign treasurer.

Opinion 09-49 A judge who learns during a sealed grand jury proceeding that the attorney who was the subject of the proceeding intends to report his/her own misconduct to the appropriate lawyer disciplinary authority need not take any further action if he/she can verify that the attorney has done so. If the attorney does not report his/her own misconduct, the judge must determine whether he/she may legally disclose information he/she learned during the sealed grand jury proceedings. If not, then the judge has no further disciplinary responsibility under the Rules Governing Judicial Conduct. If the judge may legally disclose the information, he/she then must determine whether the conduct constitutes a substantial or nonsubstantial violation of the Rules of Professional Conduct and thereafter take appropriate action.

Opinion 09-34 The Advisory Committee on Judicial Ethics is authorized to issue advisory opinions concerning one or more issues related to ethical conduct or proper execution of judicial duties or possible conflicts between private interests and official duties. The Committee, therefore, has no authority to respond to a question of law concerning the propriety of referring a juvenile delinquent to a local faith-based organization as part of the disposition of a case.

Opinion 09-24 Must judges assign counsel for unlawful possession of marijuana cases where the defendant cannot afford counsel?

Opinion 09-23 May a Court of Claims judge sit as an arbitrator in Small Claims Court, notwithstanding Court of Claims Act §3?

Opinion 09-22 Are the Rules Governing Judicial Conduct implicated by the District Attorney's policy authorizing any village police officer to prosecute vehicle and traffic tickets in the village court, whether or not the particular officer who appears to prosecute the ticket actually wrote the ticket?

Opinion 09-13 Whether a judge must advise a defendant that a sentence imposed upon conviction after trial may include incarceration, and whether a judge is obligated to ensure that a defense attorney has so advised his/her client, is a question of law the Committee cannot answer. If the law permits or requires a judge to do either, he/she must do so impartially, without coercing the defendant to accept a negotiated plea.

Past Conduct; Conduct of Third Parties; Hypothetical or Speculative Questions

Opinion 26-43 The Committee does not answer hypothetical or speculative questions.

Opinion 26-22(B) The Committee does not answer hypothetical or speculative questions.

Opinion 24-158 The Committee does not answer hypothetical or speculative questions.

Opinion 24-108 We cannot comment on an inquiry while there is a pending investigation by the Commission on Judicial Conduct.

Opinion 23-133 (1)(a) We cannot provide blanket guidance about attending various public events that invite participants to “stand with Israel,” as the answer requires fact-specific determinations. (6) We cannot comment on any remaining issues, as they are subject to multiple factual variations.

Opinion 23-21 Although a judge must respect and comply with the law, the Advisory Committee on Judicial Ethics cannot resolve legal or administrative questions and declines to comment on past conduct, hypothetical conduct, or the conduct of third parties.

Opinion 23-18 (4) Whether a judicial association or an individual judge has the authority to adopt this form is a legal issue the Committee declines to answer.

Opinion 23-11 ... We decline to comment on questions that are unduly speculative and hypothetical.

Opinion 22-153 (3) We cannot respond to questions about past conduct, legal issues, conduct of another judge, or interpretation of another judge's decisions/rulings.

Opinion 21-171 (1) The Committee does not answer hypothetical or speculative questions.

Opinion 21-169 The Committee does not answer hypothetical or speculative questions.

Opinion 21-66 We cannot comment on a pending investigation of the Commission on Judicial Conduct, even at the Commission’s request.

Opinion 21-10 The Advisory Committee on Judicial Ethics cannot comment on past conduct.

Opinion 20-170 The Committee does not answer hypothetical or speculative questions.

Opinion 19-17 The Committee is authorized to answer questions from judges about their own conduct, and, therefore, we do not answer hypothetical or speculative questions.

Opinion 18-139 (2) We decline to answer legal questions and/or questions about a co-judge’s conduct.

Opinion 17-140 Where a prosecutor has provided certain Brady materials involving a particular police officer in one case, what should the judge do in a hypothetical future case involving the same police officer, if the prosecutor fails to make the same disclosure?

Opinion 17-64 May the Committee comment on past conduct?

Opinion 17-37 The Committee declines to answer hypothetical questions.

Opinion 16-94 (4) As no constitutional convention has been approved or scheduled at this time, questions concerning permissible campaign activities for a judge who wishes to become a constitutional delegate are hypothetical and premature.

Opinion 16-85 A judge may not engage anonymously in otherwise prohibited political activity, such as publishing partisan political literature. The Committee cannot answer additional questions about the judge’s public expression, as they are vague, subject to multiple factual variations.

Opinion 09-32 May the Committee comment on the obligations of the inquirer's co-judge?

Disclosure by Inquiring Judge of Advisory Committee Opinions or Ethics Rules

Opinion 26-44 (2) The judge may publicly disclose our published judicial ethics opinions, including those that, in the judge’s view, affect his/her conduct or ability to comment.

Opinion 25-180 (2) A judge may explain to court participants, either orally or in writing, the ethical limitations on a judge’s acceptance of gifts.

Opinion 21-165 (3) The judge may, in their sole discretion, disclose that they sought ethical advice in this matter.

Opinion 21-131 (2) The inquirer may share this or other ethics opinions with counsel.

Opinion 20-80 A court-attorney referee may set up an email auto-response to provide general legal and ethical information to unrepresented litigants and others, provided the message is consistent with the Rules Governing Judicial Conduct. 

Opinion 19-133 (3) A judge who is running for election to judicial office may respond to personal attacks or attacks on his/her record in his/her capacity as a judicial candidate, provided the response is truthful and not misleading. Thus the judge may, for example, (a) share copies of ethics opinions he/she believes authorize the criticized conduct, ... (c) disclose facts and circumstances concerning his/her seeking a judicial ethics opinion, and/or (d) explain how his/her conduct has been influenced and guided by such opinions.

Application to Judge's Family

(See also Political Activity of a Judge's Relatives.)

Opinion 24-96 On the specific facts presented, a judge who is advised by the authorities that the judge’s adult child repeatedly invoked the judge’s name and judicial status in an effort to avoid arrest and criminal charges should notify the judge’s child in writing to cease using the judge’s name in such circumstances.

Opinion 23-100 May a full-time judge invest in a cannabis company which has an active state license to operate a retail dispensary in New York? May the judge’s spouse and other relatives, who are neither judges nor employees of the Unified Court System, invest in, consult for, or be employed by a cannabis company?

New Judges

This section collects recent opinions addressing some questions that have arisen during the transition period when a non-judge assumes part-time or full-time judicial office. It should be noted, however, that assuming the bench has a wide spectrum of implications beyond those mentioned below, as a judge's judicial duties "take precedence over all the judge's other activities" (22 NYCRR 100.3[A]).  

(See also "Full-Time Judges; Winding Down One's Law Practice; Providing Legal Advice to Family" and Winding Down - Opinion Digests and Conflicts - Judge's Former Employment, Former Clients, or Former Colleagues.) 

Opinion 24-151 (1) When the sole owner of a law firm is elected or appointed to full-time judicial office, he/she may enter into a sale of the assets of his/her firm for a fixed amount payable over a six-year period, so long as the law firm is dissolved when the judge assumes the bench. The sale arrangement may allocate risk between the judge and the purchaser in a manner that may allow the purchaser to pay less than the full agreed-upon amount, provided that the sales price places a clear upper limit on the compensation owing to the judge so that he/she does not in fact share in the purchaser’s overall profits. (2) The inquirer may send a letter or e-mail to the law firm’s clients to inform them of his/her appointment or election as a full-time judge, the sale of his/her law practice to the purchaser, and the concomitant plan to transition clients to the purchaser. (3) Once the judge has taken and filed his/her oath of office, he/she may not (a) issue a joint news release with the purchaser, (b) link to a previously issued joint news release with the purchaser, or (c) redirect web traffic automatically to the purchaser’s website. However, the judge may continue to maintain an announcement of the transition for a reasonable period of time on his/her former law firm’s website, including as a pop-up banner.

Opinion 24-110 A new full-time judge may engage in activities designed to wind down his/her prior professional corporation and collect previously earned legal fees. The judge may represent him/herself in negotiating a fee splitting or quantum meruit agreement with a successor law firm regarding legal fees earned prior to assuming the bench, although the fee agreement must be permissible under the Rules of Professional Conduct. Where the professional corporation's bank account remains open to pay expenses in winding down the practice, a check for the judge's share of legal fees may be made payable to the professional corporation.

Opinion 22-190 A full-time judge whose former client has discharged initial successor counsel and retained entirely new counsel may meet with the new attorneys and the former client to discuss records relating to the former representation, but must not offer legal or tactical advice.

Opinion 22-174 (1) At this time, the remaining duties described are not ministerial, as this specific matter remains open and pending in significant respects until and unless the judge receives information indicating that the former client has either consulted with an attorney or has refused to do so. (2) Thereafter, if the former client wishes to proceed with the settlement as negotiated before the judge assumed full-time judicial office, the judge may complete the remaining ministerial functions necessary to finalize the settlement and collect previously earned legal fees.

Opinion 22-170 A full-time judge (1) may write and teach on legal topics such as no-fault insurance arbitration but (2) may not respond to private inquiries from no-fault insurance arbitrators on specific cases.

Opinion 22-157 Where the remaining tasks are essentially ministerial and do not involve legal work, a new full-time judge may complete their service as a referee in foreclosure, pursuant to a court appointment that was made before the judge assumed the bench. Thus, the judge may, if necessary, conduct closings after January 1st, hold the proceeds in escrow pending a court order directing their release, and seek a court order regarding disposition of unresolved monies remaining in an escrow account.

Opinion 22-119 (1) A new full-time judge may liquidate the remaining inventory from a prior business activity on the judge's personal eBay account. The aggregate profit from any such sales in excess of $150 over the course of a calendar year must be reported as compensation for an extra-judicial activity under Section 100.4(H)(2). See AO-347 (PDF) rule change.

Opinion 22-86 A new full-time judge may submit vouchers for legal fees earned for work performed as assigned counsel prior to assuming the bench.

Opinion 22-39 (1) A judge-elect who will preside in many cases involving a city may permit the Corporation Counsel to administer their oath of office. 

Opinion 22-24(A) On the facts presented, a new full-time judge may continue to negotiate with their former law firm regarding the disposition of a limited liability company in which they both own a 50% interest, as long as negotiations are in good faith by both sides and the judge continues to take no active role in management of the building or operation of the business.

Opinion 22-18 May a part-time lawyer judge complete the Part 36 assignments they received as a receiver and referee before assuming the bench, even though they may not accept any new Part 36 assignments?

Opinion 22-15(A) A new full-time judge may (1) maintain a mailbox at their prior office address; (2) dispose of wills prepared while an attorney, as permitted by law; and (3) be reimbursed for expenses incurred before assuming the bench while handling a matter as an attorney.

Opinion 22-12 A new town judge, who can no longer represent an existing client on a nearly completed matter that originated in the town court, may agree to pay the successor attorney a portion of the original retainer.

Opinion 21-132 (1) A part-time lawyer judge who was assigned as a special prosecutor before assuming the bench, and did not seek to withdraw or be relieved as special prosecutor on assuming the bench, may request and accept permissible legal fees and disbursements for prosecutorial work performed before assuming the bench, but may not accept compensation for prosecutorial work performed after assuming the bench. The judge must take reasonable steps to amend or supplement any previously submitted vouchers as needed and to return any compensation already received for prosecutorial work erroneously performed after assuming judicial office.

Opinion 21-131 (1) A judicial candidate may not enter into a contract with a law firm in which the candidate agrees to recuse in certain matters if elected.  (2) The inquirer may share this or other ethics opinions with counsel.

Opinion 21-17 Where a new full-time judge was previously a law firm partner and took a loan from the firm’s 401(k) profit sharing plan, the judge may remain in the plan temporarily in order to pay back the loan and receive the plan’s annual employer matching contribution based on the judge’s prior legal work and earnings. The judge must continue to disqualify from matters involving the former firm and the judge’s former partners and associates during this period and for two years after the financial relationship completely terminates. 

Opinion 21-13 A new full-time judge may engage in activities designed to wind down their prior law practice and collect previously earned legal fees, including billing an assigned counsel program for services “as an attorney” and complying with the requirements of a state administrative agency to obtain payment on previously awarded legal fees.

Opinion 20-204 On assuming full-time judicial office, must a new judge have their name removed from the glass of the shared suite in which they previously practiced law? Must they relinquish the office of notary public? May they collect a legal fee on a matter that is being handled by another attorney, where any legal fees are contingency-based and the judge is “expecting a fee once a settlement is reached”?

Opinion 20-178 May a full-time judge, who served as a referee in foreclosure before assuming the bench, continue to hold the monies in escrow pending a court order directing their release?

Opinion 19-148(B) (1) A judge may collect fees for legal work done before assuming full-time judicial office, only if the fee arrangement is otherwise proper....

Opinion 19-125 A part-time attorney judge may continue to represent a client as guardian pursuant to a Part 36 assignment made before the judge assumed the bench. Where the appointment is a continuing one, the representation need not be completed within one year.

Opinion 18-22 A new full-time judge who previously served as guardian ad litem in a federal case may (1) voluntarily provide a factual statement or affidavit about his/her former service as guardian ad litem; (2) respond to the federal judge’s questions about whether a new guardian ad litem should be appointed; and (3) appear pro se concerning his/her fees for work previously performed as guardian ad litem.

Opinion 18-17 May a part-time justice (1) complete his/her prior Part 36 assignments that he/she received prior to taking the bench, including as a referee in foreclosure, and (2) accept new assignments as a referee in foreclosure matters. [Note: Point #1 modified by Opinion 19-125.]

Opinion 15-128 May a new full-time judge, whose former law partner is temporarily unavailable for medical reasons, continue to accept and deposit fees, issue checks to clients and the firm and pay expenses as necessary to wind up the law firm's affairs until the partner recovers or new counsel is hired? May the judge use law firm letterhead after assuming judicial office to explain the circumstances to judges presiding over his/her former partner's cases and to request adjournments as needed?

Opinion 15-126 (1) May a full-time judge request and accept fees for work he/she performed before assuming the bench? (2) May a judge preside in matters where his/her former law partner appears as counsel? (3) May a judge appoint his/her former partners to fiduciary positions? (4) May a judge who previously served as counsel to the public administrator preside over cases in which the public administrator appears?

Diversity and Inclusion; Avoiding Bias and Prejudice

Opinion 25-177 (1) It is a judge’s obligation to determine whether exclusion of women from a not-for-profit cultural or civic organization constitutes invidious discrimination. If so, the judge may not be an officer or member of the organization. If the organization does not invidiously discriminate, the judge may be a member and/or serve as an officer, subject to generally applicable limitations including the prohibition on personal involvement in fund-raising and membership solicitation.

Opinion 25-129 A full-time judge who is a member of the clergy: (4) may not serve on a District Attorney’s “Hate Crimes Task Force”;  

Opinion 25-114 It is the obligation of the judge who wishes to be a member of a not-for-profit religious organization for women of a particular culture or national origin to determine if it invidiously discriminates.

Opinion 25-74 A judge who is a member of a court-sponsored committee on diversity and inclusion in the courts (1) may host a courthouse Pride month event that will provide a historical retrospective of the protests of the Gay Rights Movement and raise awareness about discrimination against transgender individuals, but (2) may not advertise the program using a title that is specifically linked to or suggests a heavily politicized “call to action” or “rally.”

Opinion 25-42 (1) A court attorney referee may accompany his/her minor child to an annual Pride Parade celebrating the culture and history of the lesbian, gay, bisexual, transgender, queer, intersex, and asexual (LGBTQIA) community. (2) We cannot provide blanket guidance about attending a “protest rally” in support of LGBTQIA rights, as the answer requires fact-specific determinations.

Opinion 24-73 Where a judge concludes that there is a substantial likelihood that an attorney made racist and sexist remarks in connection with a matter before the judge, the judge must take appropriate action. On the facts presented, the judge has full discretion to determine what action is appropriate under the circumstances.

Opinion 23-207 (2) A part-time judge may, as an instructor for a private company, present training to law enforcement regarding implicit bias and other types of biases.

Opinion 23-147 A judge may wear a rainbow pin or flag on the judge’s personal clothing, and display like pins, flags or signs in the judge’s chambers.

Opinion 23-133 (3) On these facts, this inquirer should not display or publish for educational purposes an extremely racist and antisemitic cartoon they recently received. (4) A quasi-judicial official may publicly discuss their own experiences of racism/prejudice and secondary trauma and their own personal observations of such effects on their family members.

Opinion 23-113 Where a judge concludes that there is a substantial likelihood that an attorney made biased and harassing comments to court personnel and opposing counsel during a court appearance but outside the judge’s presence, the judge must report this conduct to the appropriate attorney grievance committee. [Factual note: Some of the remarks "appear to qualify as sexual harassment as defined in the Unified Court System’s Sexual Harassment Policy and Procedures, while others appear to reflect ethnic and/or religious bias."  The inquiring judge compared the attorney's extended remarks to those of "an offensive comedian in a comedy club."]

Opinion 23-83 Where a court-sponsored committee on racial equality in the courts has been directed to interact with the local community and develop projects that highlight local history, judges on the committee may publicly support an effort to rename a local geographic feature that currently bears a racially offensive name, but must not assume a leadership role in the effort or use judicial or court resources to file the name change application with federal authorities.

Opinion 22-97 A full-time judge may teach a law school clinic that will research and draft proposed legislation to create civil liability for encouraging, assisting or facilitating racially motivated crimes. A judge may also propose such legislation to legislators.

Opinion 22-49 After a judge admonished an attorney on the record for an inappropriate attempt at humor referencing the client's ethnicity or national origin, the judge has discretion to take further action, but is not required to do so. [Factual note: When attorney's client and Spanish-language interpreter failed to appear, the attorney remarked that such absence created a “Mexican standoff.”] 

Opinion 21-182 A judge may co-chair a committee to educate the judiciary on implicit bias through a volunteer court observation project, and may meet as a group with other participating judges and committee members to receive feedback from the volunteer observers, but may not meet privately with volunteer observers to discuss their feedback on the judge’s own court sessions.

Opinion 21-165 (1) Where court staff have relayed to a judge certain remarks made openly by a physician witness while waiting for the case to be called, and the judge concludes those remarks reflect gender and other bias and a lack of professionalism to a level that could directly impact the doctor’s credibility and/or might be relevant in evaluating the conclusions reached in the physician’s report, the judge (a) may, but need not, report the remarks to an appropriate authority and (b) must disclose the remarks to all parties so that they may be heard on the matter.

Opinion 21-114(A) A judge may disclose the judge’s own preferred gender pronouns in the judge’s email signature block and during a virtual proceeding in which the judge presides.

Opinion 21-81 A judge who belongs to a judicial association (1) may participate in a vote on a resolution not to hold the association’s conferences in certain locations, based on local laws affecting individuals with particular sexual orientations, gender identity, or gender expression and (2) need not resign from the association merely because the resolution passes.

Opinion 21-74 Absent a legal requirement to do so, a town justice must not sign an acknowledgment form attached to the town’s sexual harassment policy, where (a) the acknowledgment contains an indirect pledge by the judge to be bound by the policy’s terms, (b) the town’s policy sets forth local procedures and reporting requirements and purports to subject all town managers, supervisors and employees to local discipline, and (c) the Unified Court System has adopted a sexual harassment policy applicable to “all judges,” which conflicts with the town’s policy.

Opinion 21-55 May a part-time judge serve on a committee to investigate sexual harassment claims against an individual who is a member of the same worldwide not-for-profit service organization?

Opinion 21-43 May a judge sit on the board of a local human rights commission, which is involved in investigating, conciliating, and adjudicating employment, housing, public accommodation and credit discrimination claims?

Opinion 21-09 Where a party or attorney has advised the court that their preferred gender pronoun is “they,” a judge may not require them to instead use “he” or “she.”

Opinion 20-202 After receiving any administrative approvals that may be required, judges may collaborate with the Historical Society of the New York Courts on a project to contextualize existing art and memorials at the courthouse and install new thematic artworks created by artists from marginalized groups.

Opinion 20-155 May a full-time judge form a for-profit company to provide instruction and education on topics involving diversity, equity and inclusion?

Opinion 20-131 A judge who was formerly a prosecutor may speak to an ethnic/cultural affinity group, made up of employees at the prosecutor’s office, about the judge’s experience as a prosecutor, the judge’s career path, and the court system’s adaptation to virtual operations.

Opinion 20-128 On these facts, it is the obligation of the judge who wishes to be a member or leader in a not-for-profit entity to determine if it invidiously discriminates, engages in partisan political activity, or will insert the judge unnecessarily into public controversy.

Opinion 20-96 A part-time judge may serve on a county executive’s working group to review training at the county police academy, where the group’s membership is balanced and its goal is to help reduce and eliminate implicit bias. The judge must, however, be mindful of the need to maintain public confidence in his/her impartiality and must take particular care not to comment on any pending or impending case in the United States or its territories.

Opinion 19-138 A judge may not participate in a conference call organized by a federal legislator to help plan an event on Capitol Hill for individuals of a particular ethnic/cultural heritage, where the program topics are legislative and political in nature.

Opinion 19-124 (2) A town justice must attend the town's sexual harassment prevention training program if legally required to do so.

Opinion 19-115 A judge may participate in an academic study on judicial diversity in state courts but must abide by generally applicable limitations on speech and conduct, including the public comment rule, and must neither disclose any non-public information acquired in a judicial capacity nor express a predisposition to decide matters in a certain way.

Opinion 19-80 (1) Where a village’s sexual harassment policy purports to subject all village officials and employees to corrective action or discipline at the local level and to impose new legal duties on them, a village justice (a) may acknowledge receipt of the policy but (b) must not agree to comply with it unless the judge determines he/she is legally required to do so. (2) The justice may attend, and permit the court clerk to attend, the village’s mandatory compliance training for sexual harassment and workplace violence, where the program is educational and preventive in nature. (3) The justice may permit the court clerk to certify he/she will abide by the village’s sexual harassment policy, provided that doing so does not interfere or conflict with the Rules Governing Judicial Conduct.

Opinion 19-50 A judge may not display a rainbow flag or rainbow heart sticker on the bench or in the courtroom.

Opinion 18-161 May a village justice sign a statement of compliance with the village’s recently adopted policy on non-discrimination and harassment?

Opinion 18-36 A judge may promote diversity in courtroom participation by including a statement in his/her part rules encouraging litigators to give their knowledgeable junior colleagues more speaking and leadership roles in his/her courtroom.

Opinion 17-179 A full-time judge who is the president of an ethnic bar association may participate as the bar association president in a meeting with a DA-elect’s transition team on issues involving the law, the legal system and the administration of justice, subject to certain conditions and limitations.

Opinion 17-163/18-03/18-21 Subject to certain limitations, a full-time judge may, without compensation, ... (3) appear on a commercially produced news segment in honor of the achievements of individuals who share a particular racial, ethnic, or cultural background or heritage. In each instance, the judge need not conceal his/her identity as a judge or his/her participation in the program but should not personally promote the program to the public at large.

Opinion 17-11 (1) It is a judge's obligation to determine whether a lay organization for men of a particular ethnicity and religion engages in invidious discrimination. 

Opinion 16-151 (1) A judge may establish a judicial mentoring program to help promote diversity in the judiciary, which will pair sitting or retired judges with attorneys who wish to seek judicial office. (2) A mentor judge may review and comment on an attorney mentee’s application to a judicial screening panel, and may share his/her own experience in going through the elective or appointive process to become a judge, but may not contact political party leaders or others on the mentee’s behalf. (3) The mentor judge must exercise particular caution to avoid any perception of involvement in impermissible political activity both before and after the mentee publicly declares his/her candidacy for election to judicial office. Therefore, the mentor judge must not advise his/her mentee on campaign strategy, campaign literature or other outreach to voters or political leaders. (4) A fully retired judge, who is not designated as a judicial hearing officer or otherwise performing judicial functions with the court system, is not subject to these limitations.

Opinion 16-34 May a full-time judge participate as one of several panelists and mentors at a commercial entity's free luncheon for young people of a particular minority group, when commercial entity has assured the judge in writing that the event is entirely philanthropic, the judge's participation will not be used for promotional purposes, and no commercial activity whatsoever will take place at the event?

Opinion 15-183 What are a judge's disciplinary obligations after learning that a police report contains a defendant's unconfirmed, but also un-denied, claim that an assistant public defender directed a racial/ethnic slur toward the defendant?

Opinion 15-179 May a judge give a presentation on recognizing and reducing racial prejudice to an audience consisting exclusively of attorneys who represent a certain category of litigants in a specialized court?

Opinion 14-83 What avenues of relief may a judge ethically pursue in response to actions the judge believes to be harassing and bullying?

Opinion 12-121 Is there an ethically permissible way for attorneys, who represent a certain category of petitioners in name change proceedings, to share their clients’ concerns with members of the bench?

Opinion 11-87 (2) Whether a judge may adopt a policy with respect to performing marriages that distinguishes between same-sex and opposite-sex couples raises primarily legal questions; however, if a judge acts in conformity with governing law the judge will not violate the Rules Governing Judicial Conduct. 

Opinion 10-144 May a judge be a member of the board of directors of a non-profit organization that provides social services and resources addressing issues related to aging in the lesbian, gay, bisexual and transgender community?

Opinion 09-151 May a judge participate in a job fair as a representative of a not-for-profit organization in order to encourage members of the lesbian, gay, bisexual and transgender community to take an upcoming exam for the position of court officer and to provide information about the test?

Uncategorized

Opinion 24-142 A town court may produce a year-end report about its activities and accomplishments, subject to generally applicable limitations on judicial speech and conduct. The report must be issued in the name of the entire court, rather than on behalf of any individual judge(s), and any discussion of recently decided cases, including the resolution of a longstanding local dispute, should be limited to a head-note style summary.

Opinion 22-40 Where a court's ADR program provides for a free initial session with an approved outside neutral/mediator, optionally followed by privately-paid sessions if desired, the neutral may use courthouse space only for the free initial session. [Note: On March 6, 2024, the Chief Administrative Judge issued AO/128/2024, which addresses certain issues regarding use of the courthouse in a matter that the court has referred to Alternative Dispute Resolution (ADR).]

Opinion 21-98 On these facts, a full-time judge need not report the described financial transactions under Section 100.4(H)(2). The judge should consult the Unified Court System's Ethics Commission concerning whether and how to report them under Part 40. [Note: While it does not affect the outcome here, 100.4(H)(2) has been abolished. See AO-347 (PDF) for rule change.]

Opinion 18-124 A town justice, on behalf of the justice court, may accept a testamentary bequest so-ordered by the surrogate’s court to hold a holiday party at the courthouse. The court may invite lawyers to attend the party by posting notices with the bar association and/or at the courthouse.

Opinion 18-109 (1) A full-time judge need not report on his/her annual statement of financial disclosure his/her theoretical involvement with a company the judge believed was completely dissolved and/or abandoned before he/she assumed judicial office, even though it is still listed as “active” on the NYS Department of Corporations website, where (a) the judge has never received any compensation or seen any evidence of business or other activity by the company, (b) the founder assured the judge that the company was never funded, never engaged in any business activity, was abandoned years ago and was thought to be dissolved, and (c) the founder has agreed that the judge should be deemed to have resigned from any theoretical involvement with the company several years ago nunc pro tunc. (2) On these facts, the judge should ask the company’s founder in writing to formally dissolve the apparently abandoned company; once the judge has made this request, the judge has no further ethical obligation.

Opinion 18-101 Justice court websites may not include extensive information promoting a DA’s traffic diversion program, where the proposed language explains the program’s goals and purported benefits to participants; provides detailed application instructions; and states that the program is intended to improve prosecutorial efficiency. However, a justice court website may include a link to the DA’s website as a convenience to defendant motorists.

Opinion 17-180 Must a town justice whose law practice has absolutely no affiliation with the law practice of his/her first-degree relative (parent or child) prohibit the relative from appearing before other judges in the same court?

Opinion 17-161 A judge who had, as an assistant district attorney, prosecuted a case in which the DA’s office now seeks to reevaluate the conviction may, but is not required to, meet with attorneys seeking to vacate that conviction. The fact that the judge has met with the prosecutorial office that is currently re-investigating the case does not change the analysis.

Opinion 17-105 A town justice need not prohibit his/her law firm employee from serving on the town board, provided the employee agrees in writing to abstain from any matters involving the justice court, including the judge's salary and the court's budget.

Opinion 17-101 May a judge meet privately with attorneys who represent criminal defendants concerning a "defense perspective" on the court's handling of "discovery, diversion and disposition of cases," where the meeting will expressly exclude any prosecutors?

Opinion 17-61 A judge may not intervene in a criminal defendant's appeal by advising the parties of his/her belief that he/she correctly stated the legal standard during voir dire, and that the transcript is erroneous, where the judge does not recall his/her exact words and the judge's alleged misstatement is a basis for the appeal.

Opinion 17-15 May a Family Court judge send a sympathy card to the family of a decedent who was formerly the subject of juvenile delinquency proceedings before the judge?

Opinion 16-156 A judge should not send a thank you note in response to a laudatory ex parte letter from an attorney who recently appeared before the judge.

Opinion 15-136 May a judge permit a student to make an audiovisual recording of a court proceeding?