Advisory Committee on Judicial Ethics Subject Matter Index: Judicial Independence - ACJE

Subject Matter Index: Performance of Judicial Duties; Judicial Independence

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Note: This page focuses on recent opinions (2015 and later) addressing questions about Performance of Judicial Duties and Judicial Independence.  In a few areas, we added some older opinions that might be of interest, but this has not been done in any systematic way. 

Performance of Judicial Duties

Issues that come up in the course of performing judicial duties are often primarily legal questions.  But there may be ethical issues in particular instances relating to sentencing, mail pleas, diversion programs, control of the courtroom, or other matters connected with performance of judicial duties.  For ease of reference, we've roughly grouped recent opinions into a few broad categories here.

• Judicial Authority and Responsibilities: Authority or Power of Judge; Successor Judges; Judicial Assignments | Delegation of Authority; Signature Stamps | Duties as a Firearm Licensing Officer | Power to Take Oaths and Authenticate Documents | Ordering or Using Special Software or Technology | Personal Responsibility of Town or Village Justice for Funds Collected | Responses to Statutory Changes: Novel or Innovative Motions/Procedures; Questions about Constitutionality | Taking Initiative to Request Information or Amicus Curiae Participation
• Right to Counsel, Access to Justice, and Unrepresented Litigants: Counsel at Arraignment | Access to Justice: Facilitating or Promoting Pro Bono or Reduced-Fee Representation; Assigned Counsel
• Case Disposition and Sentencing: Conducting Colloquies or Allocutions | Plea Agreements; Diversion Programs; Mail Pleas | Sentencing Issues: Alternatives to Incarceration; Community Service; Re-Sentencing | Automated Traffic or Parking Tickets; School Bus Stop-Arm Violation Monitoring Program
• Administrative and Operational Issues: Order and Decorum; Courtroom Policies; Control of Chambers, Courtroom, or Jury Room | Filming in the Courtroom | Coordinating with Not-for-Profit Entities that Provide Services to the Court | Making Court Records and Decisions Publicly Available
• Uncategorized: Miscellaneous Issues

Subgroup 1. Judicial Authority and Responsibilities

Sub-Topics: Authority or Power of Judge; Successor Judges; Judicial Assignments | Delegation of Authority; Signature Stamps | Duties as a Firearm Licensing Officer | Power to Take Oaths and Authenticate Documents | Ordering or Using Special Software or Technology | Personal Responsibility of Town or Village Justice for Funds Collected | Responses to Statutory Changes: Novel or Innovative Motions/Procedures; Questions about Constitutionality | Taking Initiative to Request Information or Amicus Curiae Participation

Authority or Power of Judge; Successor Judges; Judicial Assignments

Opinion 25-179 A town or village justice may not refuse to respond “off hours” to conduct arraignments.

Opinion 23-235 There is no ethical rule prohibiting a successor judge from reviewing and approving a voucher for services rendered by a court-appointed attorney, merely because those services occurred while the case was pending before a predecessor judge.

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 16-42 May a judge sign a final decree of judicial settlement pursuant to SCPA § 2602(1)(b), following disqualification of the judge who issued the underlying decision?

Opinion 16-08 May a full-time City Court judge accept a temporary assignment as a Family Court judge?

Opinion 15-226 May a judge order payment to a former guardian ad litem for services which pre-date the attorney's employment with the Unified Court System? Does it matter if the former guardian ad litem now serves as principal law clerk to another judge (i.e., one who is not presiding in the case)?

Delegation of Authority; Signature Stamps

Opinion 25-86 A family court judge may not ethically delegate authority to their court attorney to hear custody, visitation, guardianship and/or family offense cases for return of process and joinder of issue determination.

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 19-47 A judge may not have a court clerk enter the proposed fine on a motorist’s mail plea from a fixed schedule of fines developed by the judge -- even though the judge intends to personally review, confirm, initial and approve the fines entered by the clerk -- where the underlying fixed schedule pre-selects specific fines from the statutory range and therefore is likely to create an appearance that the judge has pre-judged certain categories of cases without individualized consideration of relevant legal factors.

Opinion 18-04(B) If permitted by governing law, regarding documents that require the judge’s signature and whose contents include elements of judicial discretion, it is ethically permissible for the judge to authorize a court clerk to affix the judge’s signature to the document, provided (1) the judge has not, in fact, delegated his/her judicial functions, but personally made the decision; and (2) the judge consents to the use of the signature stamp on that document.

Opinion 15-220 If applicable law authorizes certain judges to delegate the authority to accept guilty pleas and set fines in certain matters, is it ethically permissible for such judges to delegate that authority under the applicable statutory scheme?

Opinion 15-127 May judges delegate to their court clerks the authority to impose a pre-determined fine for traffic infractions, by means of a standing court order with a fixed schedule of fines?

Duties as Firearm Licensing Officer

Opinion 19-155 (2) A judge who concludes he/she is legally authorized or required as a firearms licensing officer to initiate an investigation into the propriety of [a newly appointed provisional police] officer’s possession of a pistol may take whatever steps he/she deems legally permitted or required in that capacity. 

Opinion 18-57/17-166 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. However, the judge must still abide by generally applicable ethical principles, to the extent necessary and appropriate, even when acting as a licensing officer, and thus the judge (1) must not be swayed by public clamor or fear of criticism; (2) must respect and comply with the law, including any due process requirements for such proceedings; and (3) must act in a manner that promotes public confidence in the judiciary’s integrity and impartiality.

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.

Power to Take Oaths and Authenticate Documents

Opinion 17-144 A town or village justice who is not a notary public may authenticate documents where legally permitted to do so, provided he/she does not improperly lend the prestige of judicial office to advance private interests or otherwise create an appearance of impropriety. An otherwise permissible good-faith authentication of a document does not become improper merely because it is submitted in litigation.

Ordering or Using Special Software or Technology in Court Proceedings

NOTE: These opinions focus on questions about using or ordering the use of "outside" software or technology in court proceedings, where that software or technology is neither officially provided nor formally approved/authorized by the Unified Court System.

Opinion 25-186 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/program and the vendor has provided certain assurances in light of Opinion 25-153: (1) A judge may participate in the program if (a) the vendor represents that the program precludes non-court personnel from modifying the ticket data and (b) the vendor is required to notify the court if there is any alteration of this “read only” access or if the “read only” access provision is violated by any non-court personnel. (2) The judge may decline to participate if the village does not take reasonable steps to ensure that non-court personnel are formally prohibited from modifying the ticket data by resolution, local law, or agreement.

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 24-175 Assuming it is legally permissible, a judge may direct parties in a child custody proceeding to communicate through a software application that records the users’ communications and charges them a fee. Where more than one such software application provides the same services, the judge must provide a list of available applications instead of referring the parties to a specific named application.

Opinion 24-124 A town or village justice court may not access or use an online portal created by a for-profit vendor to prosecute and/or adjudicate VTL § 1174-a cases, nor participate in the vendor’s training to implement the program.

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.

Personal Responsibility for Funds Collected in Town or Village Courts

NOTE: We have pulled up a few older opinions on this topic, but the list is not exhaustive.

Although we can advise only on ethical issues, our opinions in this area cite many legal authorities, such as 1983 Ops St Comp No. 83-174; 22 NYCRR 214.9(a); State Finance Law §99-a(1); Town Law §27(1); Village Law §4-410(1)(b); Uniform Justice Court Act §2021(1).

Opinion 25-186 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/program and the vendor has provided certain assurances in light of Opinion 25-153: (1) A judge may participate in the program if (a) the vendor represents that the program precludes non-court personnel from modifying the ticket data and (b) the vendor is required to notify the court if there is any alteration of this “read only” access or if the “read only” access provision is violated by any non-court personnel. (2) The judge may decline to participate if the village does not take reasonable steps to ensure that non-court personnel are formally prohibited from modifying the ticket data by resolution, local law, or agreement.

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 24-51 A town justice may permit a town employee, who is paid out of both the judicial budget and the town budget and is expressly subject to the town justice’s supervision and control, to transport court funds to the bank for deposit, notwithstanding that the employee is also tasked with depositing other town funds into other bank accounts.

Opinion 12-160 (1) A town/village justice who learns that the bank did not credit a deposit to the court’s account, and who believes there was no malfeasance on the part of court personnel entrusted with the deposit, may reimburse all or part of the missing court funds from personal assets, and also may accept the court clerk’s voluntary offer to do so. (2) The judge need not report that the missing funds were personally replenished, unless he/she is legally required to do so. (3) To the extent that the missing deposit included money orders or checks tendered by individual defendants, the judge may permit the court clerk to ask them to issue replacements. 

Opinion 12-89 While it is not inherently unethical for a town justice to use a bonded armored car service to transport court funds to a bank for deposit, the judge must comply with applicable laws and regulations. 

Opinion 12-83 A town justice is personally responsible for monies that the justice court receives. Therefore, the Committee has previously advised that a town justice should not permit a town supervisor to be a signatory on the town justice’s bank account. Nor should the town justice allow a town employee who is not subject to the justice’s supervision to transport court funds to the bank for deposit. 

Opinion 10-93 A town justice should not permit a town employee who is not subject to the town justice’s supervision and control to transport funds the court receives to the bank for deposit. 

Opinion 04-135 Under the circumstances presented a town justice may permit the court clerk who also is a customer service representative for the bank in which the town justice maintains the court’s bank account, to process and deposit all fees and fine monies collected by the court. (2) The town supervisor should not be a signatory on the town justice’s judicial bank account.

Responses to Statutory Changes: Novel or Innovative Motions/Procedures; Questions about Constitutionality

Opinion 21-105 May a judge accept and decide a "universal motion" from the District Attorney to dismiss certain specified marijuana charges, pursuant to a change in the Penal Law, "in lieu of requiring the submission of a written disposition for every arrest"?

Opinion 21-02 A judge who believes that the statutory obligation to provide a reason for discretionary recusal is unconstitutional may act in accordance with a legal determination made by the judge on the record, but may not conceal the true basis of the judge’s ruling.

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 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 18-26 May a town or village justice allow his/her court clerks to send notice of animal abuse convictions to the Sheriff’s Department pursuant to a county animal abuse registry law?

Taking Initiative to Request Information or Amicus Curiae Participation

See also "Proper Role or Function of Judge"

Opinion 25-80 A judge may review existing orders of protection in order to make an informed decision concerning a matter that is pending before the judge, and may, in his/her discretion, disclose that information to the parties and their counsel. 

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 21-106 Although it is more efficient for a court clerk to request a "long form information" from an arresting agency to support the issuance of an arrest warrant, this is a prosecutorial task and using the court's staff and database for this purpose is ethically impermissible.

Opinion 21-104 Where it is legally appropriate to do so, a judge may broadly solicit participation by potential amici curiae by issuing a notice to the bar that will be (a) electronically filed, (b) sent to the New York Law Journal for publication and (c) sent to bar associations and/or committees. Any such notice must be consistent with generally applicable limitations on judicial speech and conduct, including the judge's obligation to maintain public confidence in the judge's impartiality, integrity, and independence.

Opinion 20-69 When misdemeanor-level Vehicle and Traffic Law charges are before a judge on a simplified traffic information, the judge may not ask the prosecuting agency to file a long form information so the judge can sua sponte issue a criminal summons or an arrest warrant for a defendant who failed to appear.

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 15-232 May a judge, 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?

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 15-50 May a judge, in order to collect fines or surcharges he/she imposed on a defendant for parking violations, contact another court to ask that payment be made a condition of any disposition of the defendant's case in the other court?

Subgroup 2. Right to Counsel, Access to Justice, and Unrepresented Litigants

Sub-Topics: Counsel at Arraignment | Access to Justice: Facilitating or Promoting Pro Bono or Reduced-Fee Representation; Assigned Counsel

Counsel at Arraignment

Opinion 18-40 A full-time judge (1) may serve on the board of a county’s assigned counsel program, where the program does not engage in litigation but instead contracts with private attorneys to undertake the representations; (2) may appoint qualified attorneys as assigned counsel in legally appropriate circumstances, even when those attorneys are his/her fellow directors; (3) may not serve on the board of a not-for-profit landlord that brings eviction proceedings in his/her court.

Opinion 18-13 May a judge ethically proceed with an off-hours arraignment if the defendant is not represented by counsel and, if not, how long must the judge wait for defense counsel to appear before adjourning the matter?

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 17-104 May a judge hold "off-hours" arraignments in a publicly accessible area of a county jail as part of an initiative to provide counsel to defendants at arraignment?

Access to Justice: Facilitating or Promoting Pro Bono or Reduced-Fee Legal Services or Fiduciaries; Assigning Counsel; Unrepresented Litigants

Opinion 25-78 (1) A judge may read a colloquy approved by the district administrative office at a tenant’s initial appearance in an eviction case, where this colloquy will neutrally inform the tenant of court procedures and his/her legal options, without suggesting the court favors any option. (2) Where there is only one legal services provider that represents tenants in eviction proceedings in the jurisdiction, a judge may routinely provide a copy of all newly filed eviction petitions and return dates to that legal services provider. 

Opinion 22-147 Where a judge has made a statutorily required allocution concerning an unrepresented tenant’s potential claims and defenses, and the tenant says they do not understand them, there is no ethical impropriety in offering the tenant a document prepared and posted by the Unified Court System for public information, entitled “Common Defenses in a Landlord-Tenant Case.” However, the judge should not recommend any particular defense listed.

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 21-149 A judge may allow their court staff to solicit lawyers for voluntary pro bono representation of defendants in consumer debt cases, provided the judge avoids the appearance of coercing attorneys to participate in such representation. Additionally, allowing volunteer attorneys to appear virtually as lawyer for the day is acceptable. 

Opinion 18-114 A court may create and distribute a list of attorneys who are on the assigned counsel panel and are willing to represent litigants on a sliding fee scale, where the list contains a disclaimer that the court and its staff are not recommending any attorney.

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 17-114 May a judge presiding over a civil matter involving allegations of sexual abuse committed by a non-party minor solicit pro bono representation for the non-party minor?

Opinion 16-140 Absent any factors creating an appearance of impropriety and in fulfillment of a defendant’s fundamental right to counsel, a judge may consider a defendant’s written form application for assigned counsel ex parte and make a determination of financial eligibility on an ex parte basis. However, if the judge reviews an ex parte communication relating to the underlying prosecution, he/she must disclose it to all sides.

Opinion 16-68 May a judge voluntarily comply with guidelines requiring ethically impermissible conduct when deciding a defendant's eligibility for assigned counsel?

Subgroup 3. Case Disposition and Sentencing

Sub-Topics: Conducting Colloquies or Allocutions | Plea Agreements; Diversion Programs; Mail Pleas | Sentencing Issues: Alternatives to Incarceration; Community Service; Re-Sentencing | Automated Traffic or Parking Tickets; School Bus Stop-Arm Violation Monitoring Program

Conducting Colloquies or Allocutions

For opinions about adopting procedures suggested by the prosecution or distributing forms requested by the prosecution, see "Alignment with Prosecution or Law Enforcement"

Opinion 25-86 A family court judge may not ethically delegate to their court attorney the authority to allocute a petitioner to withdraw a family offense petition and subsequently dismiss the petition.

Opinion 25-78 (1) A judge may read a colloquy approved by the district administrative office at a tenant’s initial appearance in an eviction case, where this colloquy will neutrally inform the tenant of court procedures and his/her legal options, without suggesting the court favors any option. (2) Where there is only one legal services provider that represents tenants in eviction proceedings in the jurisdiction, a judge may routinely provide a copy of all newly filed eviction petitions and return dates to that legal services provider.

Opinion 22-147 Where a judge has made a statutorily required allocution concerning an unrepresented tenant’s potential claims and defenses, and the tenant says they do not understand them, there is no ethical impropriety in offering the tenant a document prepared and posted by the Unified Court System for public information, entitled “Common Defenses in a Landlord-Tenant Case.” However, the judge should not recommend any particular defense listed.

Opinion 14-79 The Committee cannot address whether a judge may adopt a policy requiring parties to an action to appear before the judge for allocution and explanation before entering into a stipulation - even one reached out-of-court - when one of the parties is unrepresented, as this is primarily a legal question.

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 10-114 The application of a United States Supreme Court decision to a judge’s plea allocution practices involves a question of law which is beyond the Committee’s statutory authority.

Plea Agreements; Diversion Programs; Mail Pleas

For opinions about the need to avoid even the appearance of serving as an agent or intermediary for the prosecution, see "Alignment with Prosecution or Law Enforcement." 

Opinion 23-51 A full-time judge may not request a fee waiver to enroll in online diversion courses that the prosecution seeks to require as a condition of a negotiated plea agreement.

Opinion 23-18 (1) On the facts presented, it is necessary to amend the proposed form to make clear that any disposition of the matter by way of a plea is subject to court approval. (2) Once that change is made, there is no ethical impropriety in the proposed simplified form that would neutrally inform defendant motorists who have mailed in "not guilty" pleas on alleged Vehicle and Traffic Law violations of all their options (including the right to retain an attorney; to continue to plead not guilty and have a trial; to plead guilty and waive the right to trial; and the possibility of communicating directly with the prosecutor to negotiate a mutually acceptable disposition subject to the court's approval). (3) Inviting the defendant to choose an option and return the form to the court is ethically permissible where doing so (a) does not suggest the court is favoring any option, (b) does not create any appearance that the court is serving as the prosecutor's intermediary, and (c) is expected to help defendants avoid a wasted trip to the courthouse in light of the prosecutor's decision not to send any representative to court on alleged Vehicle and Traffic Law infractions unless a trial is scheduled. (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 21-46 A judge may accept or reject plea dispositions but, in doing so, may not adopt a broad policy that omits individualized determinations.

Opinion 20-206 As described, the proposed plea reduction form is impermissible.

Opinion 20-177 A town or village justice has discretion, based upon the totality of circumstances involving the law enforcement officer assigned to their court, to permit, or not, the officer to distribute a prosecutor’s plea agreements in or adjacent to the court at the prosecution’s request. In exercising this discretion, the judge must consider factors such as the officer’s actual and apparent role in court proceedings and the need to avoid even the appearance that the court itself is serving as an intermediary for the prosecution.

Opinion 20-165 A judge may ethically decline to participate in a district attorney’s traffic diversion program.

Opinion 20-152 A judge has the discretion to determine whether or not to accept a guilty plea under the circumstances described.

Opinion 20-122 May a town justice adopt a procedure for handling uniform traffic tickets, whereby the court will (1) schedule the prosecution to come in first to review the tickets and “essentially fil[e] a written plea offer with the Court” by writing the plea offer on the ticket and signing it and then (2) on a later date, advise defendants that the ADA “has filed with the Court a written plea offer as follows”?

Opinion 20-99 (2) [A town or village justice court may] invite defense bar representatives and the appropriate prosecutorial office to discuss procedures for handling mail-in pleas on traffic infractions. (3) The court must not promote or favor mail-in pleas and/or plea bargaining over a defendant motorist’s other options, even if this is intended to mitigate the effects of the COVID-19 outbreak. The court may, however, distribute a court-prepared form (such as UCS DCJA Form 1.0) impartially listing all options for a defendant motorist and include a link to the District Attorney’s website and/or email address as a convenience to defendants.

Opinion 19-145 A judge may not facilitate a traffic ticket plea reduction program instituted by the District Attorney’s office that would interfere with the court’s exercise of judicial review and discretion.

Opinion 19-47 A judge may not have a court clerk enter the proposed fine on a motorist’s mail plea from a fixed schedule of fines developed by the judge -- even though the judge intends to personally review, confirm, initial and approve the fines entered by the clerk -- where the underlying fixed schedule pre-selects specific fines from the statutory range and therefore is likely to create an appearance that the judge has pre-judged certain categories of cases without individualized consideration of relevant legal factors.

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 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 17-110 A judge may suggest alternatives to a plea agreement offered by a defendant and prosecutor, provided the judge does so non-coercively and is careful not to create an impression he/she has prejudged the case's merits. Prior opinions are modified to clarify that a judge may, subject to significant ethical, constitutional, and statutory limits, initiate, suggest, or facilitate plea agreements.

Opinion 17-34 On receiving a guilty plea by mail to a Vehicle & Traffic Law charge, may a judge send a form letter advising the defendant what his/her sentence will be if the court accepts the plea and stating that if the defendant wishes to change his/her plea to not guilty, he/she should appear in court at a specified date and time?

Opinion 16-113 May a judge "participate" in a traffic diversion program where defendants are charged a fee to participate, and the judge is concerned the fee may violate Vehicle & Traffic Law §1804?

Opinion 16-92 May a part-time judge participate in a District Attorney's traffic diversion program by (1) adjourning a defendant's case for 60 days at the DA's request so the defendant can take part in the program and then (2) dismissing the charges at the DA's request after successful completion, where defendants are charged a fee to participate in the diversion program?

Opinion 16-09 May a judge send a letter to defendants who plead guilty by mail advising them sua sponte that they may change their plea to "not guilty" and either conference the matter with the prosecutor or negotiate a reduced plea?

Opinion 15-152 May a judge accept a plea conditioned on a defendant writing an essay about traffic safety?

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 15-56 May a judge post the procedure for resolving a traffic ticket on the Unified Court System's website?

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 15-34 May a judge approve a plea agreement which requires a defendant to participate in a district attorney's traffic ticket diversion program, when the program involves a non-refundable application fee?

Sentencing Issues: Alternatives to Incarceration; Community Service; Re-Sentencing

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 26-26 (1) A judge may encourage youth part defendants to comply with the law, pursue productive goals, and avoid recidivism, provided such remarks are not delivered ex parte and otherwise comport with ethical requirements. (2) The specific letter proposed here is impermissible.

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 23-84 A judge may host an informal event at the courthouse, with light refreshments, to thank and recognize the not-for-profit entities that participate in the court’s community service program by permitting defendants to satisfy their community service requirements as part of a negotiated sentence.

Opinion 19-61 The Rules Governing Judicial Conduct do not preclude a town justice from requiring a defendant to perform community service with the town government, provided it is lawful to do so.

Opinion 19-52 On these facts, a judge must not refer or sentence defendants to a restorative justice program sponsored by an alternative dispute resolution center where he/she volunteers as a small claims mediator. Once the judge terminates his/her involvement with the center, however, he/she may refer or sentence defendants to the center’s restorative justice program on a case-by-case basis if legally permitted and appropriate.

Opinion 16-91 May a town justice ask local not-for-profit organizations if they are willing to accept court placement of defendants to serve community service sentences, and thereafter provide their contact information to the alternatives-to-incarceration program's administrator? After doing so, what steps must the judge take if the judge wishes to participate in activities organized by such entities?

Opinion 15-230 May a judge require defendants seeking re-sentencing under CPL 420.10 to complete a form requesting the same information the judge would otherwise request orally in court?

Automated Traffic or Parking Tickets; School Bus Stop-Arm Violation Monitoring Program

See also "School Bus Stop-Arm Violation Programs"  

Opinion 25-186 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/program and the vendor has provided certain assurances in light of Opinion 25-153: (1) A judge may participate in the program if (a) the vendor represents that the program precludes non-court personnel from modifying the ticket data and (b) the vendor is required to notify the court if there is any alteration of this “read only” access or if the “read only” access provision is violated by any non-court personnel. (2) The judge may decline to participate if the village does not take reasonable steps to ensure that non-court personnel are formally prohibited from modifying the ticket data by resolution, local law, or agreement.

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 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 24-124 A town or village justice court may not access or use an online portal created by a for-profit vendor to prosecute and/or adjudicate VTL § 1174-a cases, nor participate in the vendor’s training to implement the program.

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.

Subgroup 4. Courtroom Management and Procedure

Sub-Topics: Order and Decorum; Courtroom Policies; Control of Chambers, Courtroom, or Jury Room | Filming in the Courtroom

Order and Decorum; Courtroom Policies; Control of Chambers, Courtroom, or Jury Room

Opinion 25-179 A town or village justice may not refuse to respond “off hours” to conduct arraignments.

Opinion 24-190 A judge has discretion to determine whether a court reporter’s photograph of an elected nonjudicial official should be removed from view during official proceedings in the virtual courtroom.

Opinion 24-76 A judge may use personal funds to purchase snacks or confectionaries to be placed in the jury room.

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 19-155 (3) A judge who concludes he/she has a reasonable, good-faith basis to question the firearm authorization status of a police officer who has been designated to provide security in the judge’s courtroom may, but is not required to, meet with the village police chief concerning the issue. If the judge concludes the officer is not properly authorized, trained, and/or licensed to carry a firearm, he/she may take any lawful measures to ensure order and decorum in his/her courtroom, including, but not limited to, objecting to the officer’s placement in his/her courtroom and consulting with court administrators on how to proceed.

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 17-152 (1) A Family Court judge may inform children that the court is willing to display their artwork in public spaces and identify them by first name or initials and may personally solicit donations of children's artwork for display in Family Court from local school teachers and/or children who have pending permanency hearings. (2) The judge may personally send a thank-you note to a teacher or child who sends artwork to the court, but should copy all parties or their attorneys if the child is appearing before the court. Alternatively, the judge may direct the chief clerk to send a thank-you note on behalf of the court. (3) Subject to any appropriate administrative approvals, the judge may direct the Family Court to (a) issue a press release about the court's children's art gallery and invite children to submit artwork; (b) invite the child artists, their families, and, if applicable, their attorneys, to an "opening" display of their artwork; and (c) accept the children's artwork as gifts to the Unified Court System.

Filming in the Courtroom

(22 NYCRR 29.1)

Opinion 25-143 A town or village justice who would like a video-only camera in the courtroom for security purposes must obtain approval from the Chief Administrator of the Courts or his/her designee under Part 29. A judge need not go through the empty formality of registering an “objection” to a security camera while seeking such administrative permission. 

Opinion 23-103 (1) A town justice may not grant permission to the town court clerks to use the town court’s courtroom to film for-profit training videos. (2) Whether some other person or entity may grant such permission raises legal and administrative questions we cannot answer.

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 11-105 At the Office of Court Administration’s request, an administrative judge may permit a for-profit video production company to film arraignment proceedings for a documentary, as long as the arraigning judge will merely perform his/her regular judicial duties while being filmed, without any further participation by him/her, and will not allow the filming process to interfere with the proper conduct of the proceedings.

Subgroup 5. Administrative and Operational Issues

Sub-Topics: Coordinating with Not-for-Profit Entities that Provide Services to the Court | Making Court Records and Decisions Publicly Available

Coordinating with Not-for-Profit Organizations that Provide Services to the Court

Opinion 23-84 A judge may host an informal event at the courthouse, with light refreshments, to thank and recognize the not-for-profit entities that participate in the court’s community service program by permitting defendants to satisfy their community service requirements as part of a negotiated sentence. 

Opinion 23-27 A family court judge may enter into a memorandum of understanding with an agency that provides a "safe haven" facility for free supervised visitation and safe exchange of children, where the agreement sets forth a general expectation that (1) the court will continue to make referrals as needed in appropriate cases and (2) the judge and court staff will participate in giving and/or attending appropriate domestic violence training along with a wide variety of other signatories. As the agreement does not purport to mandate specific training programs, the judge must exercise discretion and participate only when doing so will not create an appearance of impropriety or raise reasonable questions about the judge's impartiality.

Opinion 22-175 A judge may participate in a not-for-profit entity's "backpack program" which provides a personalized gift to each adoptee and/or adoptive parent following a finalized adoption.

Making Court Records and Decisions Publicly Available

Opinion 23-210 A judge may, subject to administrative approval, designate a publicly available folder in the court clerk’s office to contain duplicate copies of the court’s non-sealed written criminal decisions in chronological order.

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 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.

Subgroup 6. Uncategorized

Miscellaneous Issues

Opinion 25-179 A town or village justice may not refuse to respond “off hours” to conduct arraignments.

Opinion 20-39 May a judge create generic thank you cards for his/her chambers, featuring a stock image of the exterior of the courthouse and bearing a message saying “Thank you” followed by his/her judicial title and name?

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 19-35 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 16-48 Must a judge who ordered a transcript to be redacted provide an unredacted copy to counsel on request?

Judicial Independence - Separation of Powers; Assisting/Cooperating with Prosecutors or Law Enforcement

(See e.g. 22 NYCRR 100.0[R]-[S])

Sub-Topics: Separation of Powers | Alignment with Prosecution or Law Enforcement | Impartiality and Independence Generally; Proper Role or Function of Judge

Separation of Powers

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 25-57(B) A town justice must object in writing to the town’s installation of cameras in the courtroom and notify an appropriate administrative or supervising judge. Where the courtroom is a multipurpose room, the judge has discretion to consult with court administrators about providing the judge a method of keeping the cameras off during court sessions, instead of removing them.

Opinion 24-192 A town justice may take action in response to a town supervisor’s issuance of a “progress report” detailing the town court’s revenues and expenses, subject to generally applicable limitations on judicial speech and conduct.

Opinion 24-177 An associate village justice may not continue to serve as village mayor, even in another village.

Opinion 24-118 A village justice may accept employment as an administrative assistant to a town board where the town has no authority over village governance and no involvement in setting the village budget or the judge’s salary. 

Opinion 24-82 A town justice may accept a position with the town’s highway department and “ghostwrite” a town’s state and federal grant applications for street, sidewalk, sewer, and infrastructure repairs, provided the judge does not personally solicit funds, permit the use of the prestige of judicial office for fund-raising, or permit the judge’s name to appear as the author or signatory on any grant applications.

Opinion 24-67 Where a town has installed video security cameras in the courtroom and audio and video cameras in the court clerks’ office, a town judge must object in writing and notify an administrative or supervising judge. The judge may, in his/her discretion, petition town officials to restrict access to the cameras in the court clerks’ office and/or transfer monitoring and control functions to court personnel.

Opinion 24-51 A town justice may permit a town employee, who is paid out of both the judicial budget and the town budget and is expressly subject to the town justice’s supervision and control, to transport court funds to the bank for deposit, notwithstanding that the employee is also tasked with depositing other town funds into other bank accounts.

Opinion 23-67 A part-time town justice may not serve as counsel to the town planning board in the town where the judge sits.

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 23-19 (1) On the facts presented, a town justice may acquiesce in the town supervisor's proposed changing of locks to the court offices, pursuant to a town resolution and town policy. (2) If, as events unfold, the judge finds that the town supervisor abuses their access to court areas, otherwise interferes with court operations, or undermines judicial independence, the judge should report any such actions to an appropriate supervising or administrative judge.

Opinion 22-104 May a village justice provide the village mayor with a monthly list of the number of cases that have been tried or dismissed by the court each month, for publication in the village board's monthly newsletter?

Opinion 22-62 (1) A town or village justice may participate in a court efficiency study ordered by the local municipality, but may not acquiesce in municipal actions that are likely to interfere with court operations or that will compromise the independence of judicial office. The judge should report any such actions to an appropriate supervising or administrative judge. (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 22-54 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; ...

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 21-183 A village justice may consent to the village’s proposed requirement that the village court clerk punch in on a time clock, as other village employees do.

Opinion 21-139    May a village justice provide the village clerk a list of summonses issued for the month, to be presented to a village board of trustees?

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 21-26 (1) Where a town justice and town court clerk hold ethically permissible second positions within the town government, they may attend and participate in monthly town board meetings in their non-judicial/non-court capacities and be listed on the agenda in those capacities. (2) A town justice may appear at monthly town board meetings on behalf of the town court if (a) the judge concludes it is in the best interest of the court to attend and (b) the judge is satisfied the agenda reflects the town court’s status as a co-equal branch of government, rather than a department subject to the town board’s direction and control. (3) A town justice may provide a monthly cashbook and statute summary report to the town board.

Opinion 20-166 May a town justice sign a form acknowledging compliance with an Information Resources and Technology Acceptable Use Policy adopted by the town board, where the policy purports to impose new duties and penalties for non-compliance?

Opinion 20-124 A village judge must not consent to intrusions by the village police or the executive branch on the court’s independence.

Opinion 19-158 May a town justice attend public town board meetings as an observer?

Opinion 19-124 (1) On these facts, a town justice must prohibit a town board member from spending the entire day in the court clerks' office to monitor their work....

Opinion 19-63 (1) A town justice may not agree to a private meeting with the town comptroller and town board member(s) for the express purpose of explaining and justifying an apparent decrease in revenue. (2) This prohibition does not preclude the judge from communicating with town officials concerning the amount of fines and fees collected and/or the court's budgetary needs, as permitted by statutes and prior opinions. (3) The judge may also publicly discuss the court's operations, including a decrease or increase in revenue, at a town board meeting or public forum, provided he/she (a) is careful not to cast doubt on his/her integrity, impartiality, and independence in adjudicating matters that could potentially result in revenue for the town and (b) avoids impermissible comment on any identifiable pending or impending case before him/her.

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 19-80 (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 18-161 May a village justice sign a statement of compliance with the village’s recently adopted policy on non-discrimination and harassment?

Opinion 18-156 (1) A town justice need not object to the town’s video security cameras, where the cameras have no microphones or audio capabilities, do not intrude into the courtroom or otherwise improperly interfere with court operations, and do not permit monitoring inside the judge’s chambers. (2) If the town attempts to re-install a camera in the courtroom, the judge should object in writing and notify an appropriate administrative or supervising judge. (3) The judge may, if he/she chooses, petition town officials to restrict access to the video cameras and/or ask them to transfer the monitoring and control functions to court personnel.

Opinion 17-73 May a village justice acquiesce in a proposed merger of the clerical offices of the village court and the village executive branch?

Opinion 17-32 May a town judge permit his/her court clerks to certify that they will abide by the town ethics code?

Opinion 16-55 May a town judge sign a statement (1) certifying his/her "responsibility to comply with the guidelines stated in" the town ethics code and (2) acknowledging "that any willful violation of these guidelines may be cause for suspension or dismissal from Town employment or removal from Town office"?

Opinion 15-215 ... (2) May a village justice provide the village trustees with a monthly report indicating the number of cases that have been opened during that period and the total number of cases that remain pending at the end of each month?

Opinion 17-159 Under these circumstances, a town justice may respond to the town's fraud risk questionnaire about the financial and anti-fraud controls in the town court.

Assisting or Cooperating with Prosecution or Law Enforcement; Appearance of Alignment with Same

• For outside employment as a security guard, see "Outside Non-Legal Employment"
• For extra-judicial activities organized by law enforcement associations or agencies, see "Extra-Judicial Activities - Police or Law Enforcement Organizations"  

Opinion 26-08 A family court judge who routinely directs the civil division of the sheriff’s office to serve orders of protection issued by the judge may meet with that office to discuss delays in service of the orders.

Opinion 24-188 (1) A town justice may not agree to a private meeting proposed by the village police and village mayor to discuss procedural issues the police have encountered in filing accusatory instruments or otherwise initiating proceedings in the town court, unless the meeting also includes representatives from the criminal defense bar. (2) A town justice may receive and address grievances from the village police and the village mayor about the work performance of the town court clerk. The judge has discretion in handling the grievance and may subsequently inform the complainants that the matter was either unsubstantiated, or if substantiated, that the matter has been addressed without disclosing specific disciplinary actions.

Opinion 24-47 A county magistrates association may honor a county court judge and a sheriff’s department captain by presenting them with plaques and dinner certificates in recognition of their service to the association.

Opinion 24-46 (3) A judge may not record a public service announcement for a local radio station about a plea-by-mail program for parking tickets in the judge’s court.

Opinion 23-221 A town justice may serve on the board of a not-for-profit organization formed to preserve and protect a nearby lake. The judge may not serve on the subcommittee that serves as a liaison with law enforcement and conservation officers, but may attend the subcommittee’s annual luncheon.

Opinion 23-130 Subject to certain limitations, a part-time lawyer judge may serve as an assistant county attorney in the General Legal Services division, [but] may not handle prosecutorial or quasi-prosecutorial matters; may not represent the public safety and communications departments, district attorney, public defender, conflict defender, assigned counsel program, sheriff’s office, probation department, first responders, crime lab, or mental health department including Kendra’s Law proceedings; and may not represent the health department with respect to adolescent tobacco law enforcement and health code violations.

Opinion 23-119 On these facts, a judge may not facilitate the District Attorney's driver diversion program by providing the DA's office with copies of defendants' accusatory instruments in Vehicle and Traffic Law matters.

Opinion 23-34 May a town justice contact the District Attorney and the town to point out their concerns that the town’s code enforcement proceedings do not comply with the law, when no code enforcement cases are before the judge? If the same deficiencies appear the next time a code enforcement action comes before the judge, may the judge dismiss the action without a motion from the defendant?

Opinion 23-10 A city court judge need not object to a city police department's automated phone system which offers callers an opportunity to be transferred directly to the court clerk's general office line if they are calling about a court appearance, fine, disposition or court paperwork.

Opinion 22-191 (1) A full-time judge may assist a not-for-profit organization in developing a training program designed to educate medical professionals, first responders and others on assessing, evaluating and responding to domestic violence situations, provided the program and participants are not so imbalanced as to cast doubt on the judge's impartiality. (2) The judge may also participate in presenting the training, provided the panels on which the judge serves are "balanced" and the judge abides by generally applicable limitations on judicial speech and conduct, including the public comment rule.

Opinion 22-137 (1) A judge may not permit the court clerk to compile information for the sheriff's office about defendants who have missed court appearances, but may permit sheriff's office personnel to access court records in the same manner as other members of the public in accordance with applicable law. (2) A judge may permit the court clerk to sign a supporting deposition prepared by the sheriff's office concerning a defendant's missed court appearances, based on information of public record contained in the court files, provided the judge concludes it is legally permissible for the court clerk to do so. (3) Where the prosecutor thereafter brings a new bail-jumping charge based on that supporting deposition, and seeks an arrest warrant on that charge, the judge may preside in the matter if the judge can be fair and impartial.

Opinion 22-136 A part-time town justice may not simultaneously be employed part-time as a community school liaison with the county sheriff’s office.

Opinion 22-135 A part-time judge, who also serves as a deputy town attorney for another town, may not in their role as town attorney assist the town police department in seeking Extreme Risk Protection Orders.

Opinion 22-120 It would be improper for the constable who serves as the administrator and apparent head of the town constabulary to provide court security for the town court.

Opinion 22-117 A part-time town or village justice may not simultaneously serve as a Deputy Chief of the Veterans Affairs Police Department.

Opinion 22-110 A part-time judge may not serve on a selection committee that is organized by the sheriff's office for the purpose of interviewing and selecting current corrections officers and supervisors for promotion opportunities.

Opinion 22-71 A judge may present an educational program on family offense petitions to a sheriff's office, provided the judge does not provide partisan advice on litigation strategy or tactics and otherwise complies with generally applicable limitations on judicial speech and conduct. The session may be held in a training room at the sheriff's office or virtually.

Opinion 22-58 A town justice may not permit a court clerk to accept outside employment as a matron with the town police department that regularly appears in the justice's court.

Opinion 22-35 A part-time judge may not serve as an assistant attorney general handling petitions for civil management of recidivist sex offenders under the Sex Offender Management and Treatment Act.

Opinion 21-189 A part-time judge may not maintain concurrent civilian employment as a dispatcher with the State University of New York police in the same county where the judge presides.

Opinion 21-184 A town justice (1) must not serve as an animal control officer, even in another municipality, but (2) may serve as a volunteer firefighter or fire police, provided these roles do not involve peace officer or police officer status.

Opinion 21-145 Where a judge has learned in the course of the judge’s official judicial duties that another court may have the current address information of an individual who has failed to pay outstanding fines, and the judge has made a good-faith legal determination concerning the lawfulness of issuing a new or amended bench warrant for the individual’s arrest for non-payment of outstanding fines using the new address, the judge may contact the other court and request the defendant’s address as information of public record.

Opinion 21-141 A village justice should not permit a local police officer to simultaneously serve in dual roles as the court security officer and as a prosecutor/witness at the same court session.

Opinion 21-106 Although it is more efficient for a court clerk to request a "long form information" from an arresting agency to support the issuance of an arrest warrant, this is a prosecutorial task and using the court's staff and database for this purpose is ethically impermissible.

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 21-95 May a judge attend, as a guest of the judge’s prosecutor spouse, the purely social aspects of a multi-day annual prosecutors’ conference, located in another part of the state?

Opinion 21-94 May a part-time attorney judge serve as a part-time prosecutor in a neighboring county?

Opinion 21-93 May a town justice allow the town’s Chief Constable to provide court security in the town court and to prosecute town ordinance violations “while also acting as a Court Officer”?

Opinion 21-83 On these facts, a town justice in a town encompassing a village with its own court may not allow the town court clerk to simultaneously serve as clerk to the village police, where (a) the two courts share the same justices and courtroom and (b) the clerical staffs share the same telephone and service window, interact throughout the work day, and cover for each other.

Opinion 20-183 May a town justice serve on their town’s “Police Reform and Reinvention Collaborative,” which was formed in response to the Governor’s Executive Order 203?

Opinion 20-177 A town or village justice has discretion, based upon the totality of circumstances involving the law enforcement officer assigned to their court, to permit, or not, the officer to distribute a prosecutor’s plea agreements in or adjacent to the court at the prosecution’s request. In exercising this discretion, the judge must consider factors such as the officer’s actual and apparent role in court proceedings and the need to avoid even the appearance that the court itself is serving as an intermediary for the prosecution.

Opinion 20-162 A part-time judge may serve on a subcommittee concerning the establishment of a county-wide centralized arraignment part, even where that subcommittee was created by a task force on which the judge cannot serve due to its apparent immersion in probation department programs or internal policies. The judge may also share their experience conducting off-hours virtual arraignments.

Opinion 20-165 A judge may ethically decline to participate in a district attorney’s traffic diversion program.

Opinion 20-173 A judge may not advise the police that they would approve a warrant for a higher-level charge.

Opinion 20-152 A judge has the discretion to determine whether or not to accept a guilty plea under the circumstances described.

Opinion 20-143 It is permissible for a town security officer, who is a village police officer and not a court employee, to distribute the District Attorney's plea offers to arriving defendants, provided the judge and court clerk/staff have absolutely no actual or apparent involvement in their handling or distribution.

Opinion 20-122 May a town justice adopt a procedure for handling uniform traffic tickets, whereby the court will (1) schedule the prosecution to come in first to review the tickets and “essentially fil[e] a written plea offer with the Court” by writing the plea offer on the ticket and signing it and then (2) on a later date, advise defendants that the ADA “has filed with the Court a written plea offer as follows”?

Opinion 20-121 It is improper for a judge to serve on a county legislature's task force, where the judge's proposed involvement seems to immerse the judge in helping the probation department implement its programs or internal policies, and the legislature has not mandated judicial branch participation.

Opinion 20-99 (1) A town or village justice court must not “collaborate” or “work with” the district attorney’s office or the local town/village prosecutor. (2) The court may nonetheless invite defense bar representatives and the appropriate prosecutorial office to discuss procedures for handling mail-in pleas on traffic infractions. (3) The court must not promote or favor mail-in pleas and/or plea bargaining over a defendant motorist’s other options, even if this is intended to mitigate the effects of the COVID-19 outbreak. The court may, however, distribute a court-prepared form (such as UCS DCJA Form 1.0) impartially listing all options for a defendant motorist and include a link to the District Attorney’s website and/or email address as a convenience to defendants.

Opinion 20-97 A court must not be in the position of advocating a negotiated plea and, thus, must not distribute the District Attorney’s “informational document” to defendant motorists or otherwise implement the DA’s procedure for facilitating defendants’ pleas to lesser charges in Vehicle and Traffic Law matters. The court may, however, distribute a court-prepared form impartially listing all options for a defendant motorist and include a link to the DA’s website as a convenience to defendant motorists.

Opinion 20-95 A part-time judge may not serve as a business agent for a correction officers' union.

Opinion 20-94 May a village justice permit the court clerk to help the village attorney prepare plea bargain letters to defendant motorists, by inputting each defendant’s name and address and the officer, docket number and charges on each letter, where the letters would be mailed out on the village attorney’s letterhead with no visible sign of the court’s involvement?

Opinion 20-88 Where a court officer’s job responsibilities include performing administrative and clerical duties for the court on days when the court is not in session, the judge may not permit a police officer to serve in this role.

Opinion 20-69 When misdemeanor-level Vehicle and Traffic Law charges are before a judge on a simplified traffic information, the judge may not ask the prosecuting agency to file a long form information so the judge can sua sponte issue a criminal summons or an arrest warrant for a defendant who failed to appear.

Opinion 20-66 A town justice may permit a court security officer to take defendants’ fingerprints within a secured area of the courthouse.

Opinion 19-163 (1) Absent a legal obligation to do so, a court must not help the prosecution meet its discovery obligations by holding and/or delivering discovery packets prepared by law enforcement agencies. (2) A town justice may not meet with the special prosecutor to discuss criminal justice reforms unless attorneys representing defense interests are also invited to attend.

Opinion 19-168 (1) A justice court may not disseminate the prosecutor’s plea offer document to defendants at arraignment. (2) When both sides are present, a judge may negotiate a plea offer with a defendant, subject to significant ethical, constitutional, and statutory limits. (3) When the prosecutor gives the defendant a written plea offer and then declines to appear in court, the judge may accept the stipulated plea offer if he/she concludes it is legally appropriate.

Opinion 19-145 A judge may not facilitate a traffic ticket plea reduction program instituted by the District Attorney’s office that would interfere with the court’s exercise of judicial review and discretion.

Opinion 19-41 A judge may not serve on an advisory committee that makes recommendations to the District Attorney regarding a convicted offender’s application to vacate a prior conviction, even if the judge will not be personally identified in the recommendation and the DA maintains full authority over his/her response to the application before the court.

Opinion 19-38 A part-time judge may not serve as a fire investigator in the same county where he/she presides.

Opinion 18-147 On these facts, a judge may not participate in an athletic/sporting event organized and promoted solely by the local District Attorney’s office.

Opinion 18-76 A part-time judge (1) may not serve as a county fire investigator for the same county where he/she presides but (2) may serve as a volunteer instructor at a regional police academy sponsored by a police organization in a neighboring county, where the students are police recruits who will not commence work until after they complete the training.

Opinion 18-26 May a town or village justice allow his/her court clerks to send notice of animal abuse convictions to the Sheriff’s Department pursuant to a county animal abuse registry law?

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 17-36 May a town justice serve as the town attorney for another town in the same county, where there will be no prosecutorial component to that town attorney position?

Opinion 17-04 A judge may not attend a three-day human trafficking seminar sponsored by federal prosecutorial and law enforcement agencies, where the program will focus primarily on strategies for effective prosecution.

Opinion 16-167 May a town justice simultaneously serve as a federal prosecutor?

Opinion 16-101 The effective date of Opinion 15-197(B) is September 1, 2016.

Opinion 16-73 May a judge and his/her family attend a defensive driving program hosted by the police department exclusively for police personnel and their families and otherwise closed to the public? Does it make a difference if they would pay their own way?

Opinion 15-217 May a judge fax a copy of the court's weekly calendar to the Department of Homeland Security for their review and determination in what defendants may be potential risks or illegal aliens, for the office to pursue?

Opinion 15-215 (1) May a village justice provide the local police department with a monthly report cataloging the number of arrests, parking tickets, traffic tickets and calls for service involving various law enforcement entities? ...

Opinion 15-198 May a judge attend a magistrates' association meeting held at a local correctional facility?

Opinion 15-197(B) (1) A town or village justice may not assist the District Attorney by contacting each prosecution witness, complainant and police officer concerning their upcoming court appearances. (2) Opinion 09-173 is hereby amended so that justice courts should not notify such witnesses for the District Attorney, even if the court is willing to do the same for defendants and defense attorneys on request.

Opinion 15-197(A) May a town justice assist prosecutors by (a) arranging meetings with the prosecutor's prospective witnesses and/or (b) instructing such witnesses to bring lab reports or other possible evidentiary materials to court?

Opinion 15-184 May a judge attend a meeting with the local STOP DWI Coordinator and the Sheriff's Department to discuss methods of collecting unpaid fines from defendants sentenced on DWI convictions?

Opinion 15-56 May a judge post the procedure for resolving a traffic ticket on the Unified Court System's website?

Opinion 15-50 May a judge, in order to collect fines or surcharges he/she imposed on a defendant for parking violations, contact another court to ask that payment be made a condition of any disposition of the defendant's case in the other court?

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. 

Impartiality and Independence Generally; Alignment with Defense or Other Interests; Proper Role or Function of Judge

Opinion 26-08 A family court judge who routinely directs the civil division of the sheriff’s office to serve orders of protection issued by the judge may meet with that office to discuss delays in service of the orders.

Opinion 26-07 A part-time judge who is also a principal law clerk should use two distinct email signature blocks when conducting court business to avoid any perception of judicial prestige and to ensure clarity when corresponding in his/her judicial and non-judicial capacities.

Opinion 25-186 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/program and the vendor has provided certain assurances in light of Opinion 25-153: (1) A judge may participate in the program if (a) the vendor represents that the program precludes non-court personnel from modifying the ticket data and (b) the vendor is required to notify the court if there is any alteration of this “read only” access or if the “read only” access provision is violated by any non-court personnel. (2) The judge may decline to participate if the village does not take reasonable steps to ensure that non-court personnel are formally prohibited from modifying the ticket data by resolution, local law, or agreement.

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 25-143 A town or village justice who would like a video-only camera in the courtroom for security purposes must obtain approval from the Chief Administrator of the Courts or his/her designee under Part 29. A judge need not go through the empty formality of registering an “objection” to a security camera while seeking such administrative permission. 

Opinion 25-89 A judge who presides in a veteran’s treatment court may not organize or attend “field trips” with treatment court participants and staff to attend a not-for-profit veteran’s organization’s weekly lunch.

Opinion 25-57(B) A town justice must object in writing to the town’s installation of cameras in the courtroom and notify an appropriate administrative or supervising judge. Where the courtroom is a multipurpose room, the judge has discretion to consult with court administrators about providing the judge a method of keeping the cameras off during court sessions, instead of removing them.

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 24-193 (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 24-192 A town justice may take action in response to a town supervisor’s issuance of a “progress report” detailing the town court’s revenues and expenses, subject to generally applicable limitations on judicial speech and conduct.

Opinion 24-188 (1) A town justice may not agree to a private meeting proposed by the village police and village mayor to discuss procedural issues the police have encountered in filing accusatory instruments or otherwise initiating proceedings in the town court, unless the meeting also includes representatives from the criminal defense bar. …

Opinion 24-161 A judge may not participate in training for an advocacy group’s “mitigation specialists” who work exclusively with defense counsel, where the training program is akin to a mock trial and the participants include only one “side.”

Opinion 24-159 A Family Court judge may not accept payment from an animal legal defense fund to teach a law school course on animal law.

Opinion 24-124 A town or village justice court may not access or use an online portal created by a for-profit vendor to prosecute and/or adjudicate VTL § 1174-a cases, nor participate in the vendor’s training to implement the program.

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 24-53 An appellate judge may not speak at a victim impact panel in a county within the judge’s jurisdiction.

Opinion 23-66 A part-time judge may serve as administrator of the assigned counsel program in a different county from the county where the judge presides.

Opinion 22-104 May a village justice provide the village mayor with a monthly list of the number of cases that have been tried or dismissed by the court each month, for publication in the village board's monthly newsletter?

Opinion 22-100 A JHO who presided over a contract dispute between a construction manager and a subcontractor (1) need not advise building residents of an apparent variance from specifications in the installation of certain bathroom stall doors and (2) may not direct the attorneys to investigate whether this variance presents a potential safety issue.

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 (PDF), which addresses certain issues regarding use of the courthouse in a matter that the court has referred to Alternative Dispute Resolution (ADR).]

Opinion 21-145 Where a judge has learned in the course of the judge’s official judicial duties that another court may have the current address information of an individual who has failed to pay outstanding fines, and the judge has made a good-faith legal determination concerning the lawfulness of issuing a new or amended bench warrant for the individual’s arrest for non-payment of outstanding fines using the new address, the judge may contact the other court and request the defendant’s address as information of public record.

Opinion 21-89 A judge may complete a survey from the local social services agency concerning the number of eviction petitions, proceedings and warrants filed or pending in the judge's court, so that the agency can assess the likely impacts of lifting a moratorium on evictions, but such participation is voluntary and entirely in the judge's discretion.

Opinion 21-59(A) A judge may speak at a victim impact panel in a jurisdiction other than that where the judge presides, but when the program is conducted online as a remote or virtual program, the judge must (1) advise the agency that the judge’s presentation is solely for program participants and must not be made available to a broader audience and (2) direct the agency to prohibit recording or distribution of the judge’s presentation by attendees.

Opinion 20-173 A judge may not advise the police that they would approve a warrant for a higher-level charge.

Opinion 20-158 An appellate division justice who learns that a law firm’s website features screen shots and video of the court’s oral arguments, in which the court’s justices are visible and readily identifiable, must ask the law firm to remove them. The court may, in its discretion, post a notice on its own website advising that images and videos of the court’s justices shown on the court’s website or otherwise may not be used to advance private interests or in furtherance of any commercial purpose. The court and its justices need not monitor lawyer websites but upon learning of any such misuse in the future, a justice should object and request that the offending images be removed.

Opinion 20-124 A village judge must not consent to intrusions by the village police or the executive branch on the court’s independence.

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 19-145 A judge may not facilitate a traffic ticket plea reduction program instituted by the District Attorney’s office that would interfere with the court’s exercise of judicial review and discretion.

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

Opinion 19-47 A judge may not have a court clerk enter the proposed fine on a motorist’s mail plea from a fixed schedule of fines developed by the judge -- even though the judge intends to personally review, confirm, initial and approve the fines entered by the clerk -- where the underlying fixed schedule pre-selects specific fines from the statutory range and therefore is likely to create an appearance that the judge has pre-judged certain categories of cases without individualized consideration of relevant legal factors.

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 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 18-15 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.

Opinion 17-110 A judge may suggest alternatives to a plea agreement offered by a defendant and prosecutor, provided the judge does so non-coercively and is careful not to create an impression he/she has prejudged the case's merits. Prior opinions are modified to clarify that a judge may, subject to significant ethical, constitutional, and statutory limits, initiate, suggest, or facilitate plea agreements.

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

Opinion 15-50 May a judge, in order to collect fines or surcharges he/she imposed on a defendant for parking violations, contact another court to ask that payment be made a condition of any disposition of the defendant's case in the other court?

Opinion 15-30 May a judge 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?