20792148
Description
Flashcards by JD Advising, updated more than 1 year ago
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Created by JD Advising
almost 5 years ago
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| Question | Answer |
| In what ways does a judge maintain independence and impartiality of the judiciary? | Compliance with the law: a judge shall comply with the law, including the CJC. Promoting confidence in the judiciary: a judge shall act at all times in a manner that promotes public confidence in the independence, integrity, and impartiality of the judiciary, and shall avoid impropriety and the appearance of impropriety. a) The test for appearance of impropriety is whether the conduct would create in reasonable minds a perception that the judge violated the CJC or engaged in other conduct that reflects adversely on the judge’s honesty, impartiality, temperament, or fitness to serve as a judge. Avoiding abuse of prestige of judicial office: a judge shall not abuse the prestige of judicial office to advance the personal or economic interests of the judge or others or allow others to do so. How does a judge ensure impartiality and fairness? To ensure impartiality and fairness to all parties, a judge must be objective and open-minded and interpret and apply the law without regard to whether the judge approves or disapproves of the law in question. |
| In what ways must a judge refrain from acting with bias or prejudice? | i) A judge shall not, in the performance of judicial duties, by words or conduct, manifest bias or prejudice or engage in harassment, including but not limited to bias, prejudice, or harassment based upon race, sex, gender, religion, national origin, ethnicity, disability, age, sexual orientation, marital status, socioeconomic status, or political affiliation; and, shall not permit court staff, court officials, or others subject to the judge’s direction and control to do so. ii) A judge shall require lawyers in proceedings before the court to refrain from manifesting bias or prejudice or engaging in harassment, based upon attributes, including but not limited to race, sex, gender, religion, national origin, ethnicity, disability, age, sexual orientation, marital status, socioeconomic status, or political affiliation against parties, witnesses, lawyers, or others. |
| In what ways is a judge forbidden from being swayed by external influences? | i) A judge must not be swayed by public clamor or fear of criticism. ii) A judge must not permit family, social, political, financial, or other interests or relationships to influence the judge’s judicial conduct or judgment. iii) A judge must not convey or permit others to convey the impression that any person or organization is in a position to influence the judge. |
| What are the requirements of a judge’s duties of competence and diligence? | i) A judge shall perform judicial and administrative duties competently and diligently. (1) Competence in the performance of judicial duties requires the legal knowledge, skill, thoroughness, and preparation reasonably necessary to perform a judge’s responsibilities while in judicial office. (2) A judge should seek the necessary docket time, court staff, expertise, and resources to discharge all adjudicative and administrative responsibilities. (3) A judge should devote adequate time to judicial duties, to be punctual in attending court, and to take reasonable measures to ensure that court officials, litigants, and their lawyers cooperate with the judge to that end. ii) A judge shall cooperate with other judges and court officials in the administration of court business. |
| How can a judge ensure that all parties are afforded the right to be heard? | i) A judge shall accord to every person who has a legal interest in a proceeding, or that person’s lawyer, the right to be heard according to law. ii) A judge may encourage parties to a proceeding and their lawyers to settle matters in dispute, but shall not act in a manner that coerces any party into settlement. (1) The judge plays an important role in overseeing the settlement of disputes, but should be careful that his or her efforts to further settlement do not undermine any party’s right to be heard according to law. (2) Despite a judge’s best efforts, there may be instances when information obtained during settlement discussions could influence a judge’s decision-making during trial, and in such instances, the judge should consider whether disqualification may be appropriate. |
| What factors are considered in determining whether a settlement is appropriate? | (1) Among the factors that a judge should consider when deciding upon an appropriate settlement practice for a case are: (a) whether the parties have requested or voluntarily consented to a certain level of participation by the judge in settlement discussions, (b) whether the parties and their counsel are relatively sophisticated in legal matters, (c) whether the case will be tried by the judge or a jury, (d) whether the parties participate with their counsel in settlement discussions; (e) whether any parties are unrepresented by counsel, and (f) whether the matter is civil or criminal. |
| How must a judge act with decorum toward jurors? | i) A judge shall require order and decorum in proceedings before the court. ii) A judge shall be patient, dignified, and courteous to litigants, jurors, witnesses, lawyers, court staff, court officials, and others with whom the judge deals in an official capacity, and shall require similar conduct of lawyers, court staff, court officials, and others subject to the judge’s direction and control. iii) A judge shall not commend or criticize jurors for their verdict, other than in a court order or opinion in a proceeding. (1) A judge may meet with jurors who choose to remain after trial, but should not discuss the merits of the case. |
| May a judge or the members of his staff make public comments about pending or impending cases? | i) A judge shall not make any public statement that might reasonably be expected to affect the outcome or impair the fairness of a matter pending or impending in any court or make any nonpublic statement that might substantially interfere with a fair trial or hearing. (1) However, a judge may: (a) make public statements in the course of official duties, may explain court procedures, and may comment on any proceeding in which the judge is a litigant in a personal capacity; and (b) respond directly or through a third party to allegations in the media or elsewhere concerning the judge’s conduct in a matter. ii) A judge shall not (in connection with cases, controversies, or issues that are likely to come before the court) make pledges, promises, or commitments that are inconsistent with the impartial performance of the adjudicative duties of judicial office. iii) A judge shall require court staff, court officials, and others subject to the judge’s direction and control to refrain from making statements that the judge would be prohibited from making. |
| Who must a judge supervise? | i) A judge must require court staff, court officials, and others subject to the judge’s direction and control to act in a manner consistent with the judge’s obligations under the CJC. ii) A judge with supervisory authority for the performance of other judges shall take reasonable measures to ensure that those judges properly discharge their judicial responsibilities, including the prompt disposition of matters before them. |
| What must the judge consider when making administrative appointments? (1) | i) In making administrative appointments, a judge must exercise the power of appointment impartially and on the basis of merit and must avoid nepotism, favoritism, and unnecessary appointments (1) Definition of nepotism: It is the appointment or hiring of any relative within the third degree of relationship (e.g., great-grandparent, grandparent, parent, aunt, uncle, nephew, niece—but not, for example, a cousin) of either the judge or the judge’s spouse or domestic partner or the spouse or domestic partner of such relative. ii) A judge shall not approve compensation of appointees beyond the fair value of services rendered. (1/2) |
| What must the judge consider when making administrative appointments? (2) | i) A judge must not appoint a lawyer to a position if the judge either knows that the lawyer or the lawyer’s spouse or domestic partner has contributed more than a certain dollar amount within a certain number of years prior to the judge’s election campaign, or learns of such a contribution by means of a timely motion by a party or other person properly interested in the matter, unless: (1) the position is substantially uncompensated; or (2) the lawyer has been selected in rotation from a list of qualified and available lawyers compiled without regard to them having made political contributions; or (3) the judge or another presiding or administrative judge affirmatively finds that no other lawyer is willing, competent, and able to accept the position. (2/2) |
| What should a judge do if he believes that a lawyer or another judge is impaired or disabled? | A judge having a reasonable belief that the performance of a lawyer or another judge is impaired by drugs or alcohol or by a mental, emotional, or physical condition, shall take appropriate action, which may include a confidential referral to a lawyer or judicial assistance program. It may also include speaking directly to the person. |
| When must a judge take action upon learning of judicial or lawyer misconduct? | i) A judge having knowledge that another judge or lawyer has committed a violation of the CJC or MRPC and that raises a substantial question regarding the judge’s or lawyer’s honesty, trustworthiness, or fitness as a judge or lawyer in other respects shall inform the appropriate authority. ii) A judge who receives information indicating a substantial likelihood that a judge or lawyer has committed a violation of the CJC shall take appropriate action. This could be talking to the judge or lawyer about it or reporting them to the proper authorities. |
| When may a judge participate in ex parte communications? (1) | A judge shall not initiate, permit, or consider ex parte communications or consider other communications made to the judge outside the presence of the parties or their lawyers, concerning a pending or impending matter, except as follows: 1) When circumstances require it, ex parte communication for scheduling, administrative, or emergency purposes, which does not address substantive matters, is permitted, provided that: a) the judge reasonably believes that no party will gain a procedural, substantive, or tactical advantage as a result of the ex parte communication; and b) the judge makes provision promptly to notify all other parties of the substance of the ex parte communication and gives the parties an opportunity to respond. 2) A judge may obtain the written advice of a disinterested expert on the law applicable to a proceeding before the judge if the judge gives advance notice to the parties of the expert, the subject matter of the advice to be solicited, and affords the parties a reasonable opportunity to object and respond to the notice and to the advice received (1/2) |
| When may a judge participate in ex parte communications? (2) | A judge shall not initiate, permit, or consider ex parte communications or consider other communications made to the judge outside the presence of the parties or their lawyers, concerning a pending or impending matter, except as follows: 3) A judge may consult with court staff and court officials whose functions are to aid the judge in carrying out the judge’s adjudicative responsibilities or with other judges, provided that the judge makes reasonable efforts to avoid receiving factual information that is not part of the record and that the judge does not abrogate the responsibility personally to decide the matter. 4) A judge may, with the consent of the parties, confer separately with the parties and their lawyers in an effort to settle matters pending before the judge. 5) A judge may initiate, permit, or consider any ex parte communication when expressly authorized by law to do so. (2/2) |
| What should a judge do if she inadvertently receives an ex parte communication? | If a judge inadvertently receives an unauthorized ex parte communication bearing upon the substance of a matter, the judge shall make provision promptly to notify the parties of the substance of the communication and provide the parties with an opportunity to respond. |
| May a judge conduct an independent investigation into the facts of a matter? | A judge shall not investigate facts in a matter independently, and shall consider only the evidence presented and any facts that may be properly judicially noticed. |
| When must a judge disqualify himself? | A judge shall disqualify himself or herself in any proceeding in which the judge’s impartiality might reasonably be questioned. |
| What are the situations in which a judge’s impartiality might reasonably be questioned? (1) | 1) The judge has a personal bias or prejudice concerning a party or a party’s lawyer or has personal knowledge of facts that are in dispute in the proceeding. 2) The judge knows that the judge, the judge’s spouse or domestic partner, or a person within the third degree of relationship to either of them (e.g. great-grandparents, grandparents, parents, uncles, aunts, nieces, nephews—anyone more closely related than a cousin) or the spouse or domestic partner of such a person is: a) a party to the proceeding or an officer, director, general partner, managing member, or trustee of a party; b) acting as a lawyer in the proceeding; c) a person who has more than a de minimis interest that could be substantially affected by the proceeding; or d) likely to be a material witness in the proceeding. 3) The judge knows that he or she, individually or as a fiduciary, or the judge’s spouse, domestic partner, parent, child, or any other member of the judge’s family residing in the judge’s household, has an economic interest in the subject matter in controversy or in a party to the proceeding. (1/2) |
| What are the situations in which a judge’s impartiality might reasonably be questioned? (2) | 4) The judge knows or learns by means of a timely motion that a party, a party’s lawyer, or the law firm of a party’s lawyer has within the previous years made a certain number of contributions to the judge’s campaign. 5) The judge, while serving as a judge or a judicial candidate, has made a public statement, other than in a court proceeding, judicial decision, or opinion, that commits or appears to commit the judge to reach a particular result or rule in a particular way in the proceeding or controversy. 6) The judge did any of: a) Served as a lawyer in the matter in controversy or was associated with a lawyer who participated substantially as a lawyer in the matter during such association. b) Served in governmental employment, and in such capacity, participated personally and substantially as a lawyer or public official concerning the proceeding, or has publicly expressed in such capacity an opinion concerning the merits of the particular matter in controversy c) Was a material witness concerning the matter d) Previously presided as a judge over the matter in another court (1/2) |
| May a judge engage in extrajudicial activities? What may the judge NOT do? | General rule: A judge may engage in extrajudicial activities. However, when engaging in extrajudicial activities, a judge may not do any of the following: a) Participate in activities that will interfere with the proper performance of the judge’s judicial duties. b) Participate in activities that will lead to frequent disqualification of the judge. c) Participate in activities that would appear to a reasonable person to undermine the judge’s independence, integrity, or impartiality. d) Engage in conduct that would appear to a reasonable person to be coercive. e) Make use of court premises, staff, stationery, equipment, or other resources, except for incidental use for activities that concern the law, the legal system, or the administration of justice, or unless such additional use is permitted by law. |
| May a judge appear voluntarily before a public hearing with an executive or legislative body? | A judge shall not appear voluntarily at a public hearing before, or otherwise consult with, an executive or a legislative body or official, except: a) in connection with matters concerning the law, the legal system, or the administration of justice; b) in connection with matters about which the judge acquired knowledge or expertise in the course of the judge’s judicial duties; or c) when the judge is acting pro se in a matter involving the judge’s legal or economic interests or when the judge is acting in a fiduciary capacity. |
| May a judge affiliate with a discriminatory organization? | A judge shall not hold membership in any organization that practices invidious discrimination on the basis of race, sex, gender, religion, national origin, ethnicity, or sexual orientation. (This gives the appearance of impropriety and creates the perception that the judge’s impartiality is impaired.) Even if the judge is not a member, he must not use the benefits or facilities of an organization if the judge knows or should know that the organization practices invidious discrimination. |
| May a judge participate in educational, religious, charitable, fraternal, or civic organizations or activities? | A judge may participate in activities sponsored by organizations or governmental entities concerned with the law, the legal system, or the administration of justice, and those sponsored by or on behalf of educational, religious, charitable, fraternal, or civic organizations not conducted for profit |
| What types of educational, religious, charitable, fraternal or civic organization activities may a judge participate in? (1) | a) Assisting such an organization or entity in planning related to fund-raising. b) Soliciting contributions for such an organization or entity, but only from members of the judge’s family or from judges over whom the judge does not exercise supervisory or appellate authority. c) Soliciting membership for such an organization or entity, but only if the organization or entity is concerned with the law, the legal system, or the administration of justice. (1/2) |
| What types of educational, religious, charitable, fraternal or civic organization activities may a judge participate in? (2) | d) Appearing or speaking at, receiving an award or other recognition at, being featured on the program of, and permitting his or her title to be used in connection with an event of such an organization or entity, but if the event serves a fundraising purpose, the judge may participate only if the event concerns the law, the legal system, or the administration of justice. e) Making recommendations to such a public or private fund-granting organization or entity in connection with its programs and activities, but only if the organization or entity is concerned with the law, the legal system, or the administration of justice. f) Serving as an officer, director, trustee, or non-legal advisor of such an organization or entity unless it is likely that the organization or entity will be engaged in proceedings that would ordinarily come before the judge or will frequently appear in the court on which the judge sits or one under its appellate jurisdiction. (2/2) |
| When may a judge accept an appointment to serve in a fiduciary position? | General rule: a judge must not accept an appointment to serve in a fiduciary position, such as executor, administrator, trustee, guardian, etc. Exception: the judge may serve as the executor, administer, etc. for a member of the judge’s family, but only if such service will not interfere with the proper performance of judicial duties. Fiduciary position: a judge shall not serve in a fiduciary position if the judge as fiduciary will likely be engaged in proceedings that would ordinarily come before the judge, or if the estate becomes involved in adversary proceedings in the court on which the judge serves or one under its appellate jurisdiction. One year after becoming judge to apply: if a person who is serving in a fiduciary position becomes a judge, he or she must comply with this rule as soon as reasonably practicable, but in no event later than one year after becoming a judge. |
| May a judge serve as an arbitrator or mediator apart from their official duties? | A judge shall not act as an arbitrator or a mediator or perform other judicial functions apart from the judge’s official duties unless expressly authorized by law. |
| May a judge engage in the private practice of law? | A full-time judge shall not practice law. A judge may act pro se (i.e., on their own, without a lawyer) and may, without compensation, give legal advice to and draft or review documents for a member of the judge’s family, and may not serve as the family member’s lawyer in any forum. |
| May a judge accept compensation for extrajudicial activities? | A judge may accept reasonable compensation for extrajudicial activities permitted by the CJC or other law unless such acceptance would appear to a reasonable person to undermine the judge’s independence, integrity, or impartiality. |
| What items may a judge accept without having to publicly report such acceptance? (1) | a) Items with little intrinsic value, such as plaques, certificates, trophies, and greeting cards. b) Gifts or things of value from friends, relatives, or other persons, including lawyers, who would require disqualification of the judge regardless. c) Ordinary social hospitality d) Commercial or financial opportunities and benefits, including special pricing and discounts, and loans from lending institutions in their regular course of business, if the same opportunities and benefits or loans are made available on the same terms to similarly situated persons who are not judges. (1/2) |
| What items may a judge accept without having to publicly report such acceptance? (2) | e) Rewards and prizes given to competitors or participants in random drawings, contests, or other events that are open to persons who are not judges. f) Scholarships, fellowships, and similar benefits or awards, if they are available to similarly situated persons who are not judges, based upon the same terms and criteria. g) Books, magazines, journals, and other resource materials supplied by publishers on a complimentary basis for official use. h) Gifts, awards, or benefits associated with the business, profession, or other separate activity of a spouse, a domestic partner, or other family member of a judge residing in the judge’s household, but that incidentally benefit the judge. (2/2) |
| What items may a judge accept, but which the judge must report such acceptance? | a) Gifts incident to a public testimonial. b) Invitations to the judge and the judge’s spouse, domestic partner, or guest to attend without charge: i) an event associated with a bar-related function or other activity relating to the law, the legal system, or the administration of justice; or ii) an event associated with any of the judge’s educational, religious, charitable, fraternal, or civic activities permitted by the CJC, if the same invitation is offered to non-judges who are engaged in similar ways in the activity as is the judge; and iii) gifts or other things of value, if the source is a party or other person, including a lawyer, who has come or is likely to come before the judge, or whose interests have come or are likely to come before the judge. |
| When may a judge accept reimbursement for expenses associated with participation in extrajudicial activities? | Unless otherwise prohibited by the CJC or other law, a judge may accept reimbursement of necessary and reasonable expenses for travel, food, lodging, or other incidental expenses, or a waiver or partial waiver of fees or charges for registration, tuition, etc. from sources other than the judge’s employing entity, if the expenses or charges are associated with the judge’s participation in extrajudicial activities permitted by the CJC. Reimbursement of expenses for necessary travel, food, lodging, or other incidental expenses shall be limited to the actual costs reasonably incurred by the judge and, when appropriate to the occasion, by the judge’s spouse, domestic partner, or guest. |
| What items or amounts received MUST a judge report? | a) Compensation received for extrajudicial activities as permitted by the CJC. b) Gifts and other things of value as permitted by the CJC unless the value of such items, alone or in the aggregate with other items received from the same source in the same calendar year, does not exceed a specific dollar amount. c) Reimbursement of expenses and waiver of fees or charges permitted by the CJC unless the amount of reimbursement or waiver, alone or in the aggregate with other reimbursements or waivers received from the same source in the same calendar year, does not exceed a specific dollar amount. |
| What are some things that a judge or judicial candidate shall not do? (1) | a) act as a leader in, or hold an office in, a political organization; b) make speeches on behalf of a political organization; c) publicly endorse or oppose a candidate for any public office; d) solicit funds for, pay an assessment to, or make a contribution to a political organization or a candidate for public office; e) attend or purchase tickets for dinners or other events sponsored by a political organization or a candidate for public office; f) publicly identify himself or herself as a candidate of a political organization; g) seek, accept, or use endorsements from a political organization; (1/2) |
| What are some things that a judge or judicial candidate shall not do? (2) | h) personally solicit or accept campaign contributions, other than through a campaign committee authorized by the CJC; i) use or permit the use of campaign contributions for the private benefit of a judge, a candidate, or others; j) use court staff, facilities, or other court resources in a campaign for judicial office; k) knowingly, or with reckless disregard for the truth, make any false or misleading statement; l) make any statement that would reasonably be expected to affect the outcome or impair the fairness of a matter pending or impending in any court; or m) in connection with cases, controversies, or issues that are likely to come before the court, make pledges, promises, or commitments that are inconsistent with the impartial performance of the adjudicative duties of judicial office. (2/2) |
| What principles apply to judicial candidates in public elections? | A judicial candidate in a partisan, nonpartisan, or retention public election shall: a) act at all times in a manner consistent with the independence, integrity, and impartiality of the judiciary; b) comply with all applicable election, campaign, and fund-raising laws and regulations of this jurisdiction; c) review and approve the content of all campaign statements and materials produced by the candidate or his or her campaign committee, as authorized by the CJC before their dissemination; and d) take reasonable measures to ensure that other persons do not undertake on behalf of the candidate activities that the candidate would be prohibited from undertaking. |
| How must a candidate for judicial office manage a campaign? | A candidate for elective judicial office may, unless prohibited by law, and not earlier than a time determined by the jurisdiction, before the first applicable primary election, caucus, or general or retention election: a) establish a campaign committee pursuant to the provisions of the CJC; b) speak on behalf of his or her candidacy through any medium, including but not limited to advertisements, websites, or other campaign literature; c) publicly endorse or oppose candidates for the same judicial office for which he or she is running; d) attend or purchase tickets for dinners or other events sponsored by a political organization or a candidate for public office; e) seek, accept, or use endorsements from any person or organization, other than a partisan political organization; and f) contribute to a political organization or candidate for public office, but not more than a specified dollar amount to any one organization or candidate. |
| What principles must a judicial candidate instruct his campaign committee with regard to accepting donations? | a) Monetary contribution limits: the candidate must direct the committee to solicit and accept only such campaign contributions as are reasonable and to not exceed a specified dollar amount. b) Solicitation time limits: the candidate must direct the committee to not solicit or accept contributions more than a time specified by law. c) Disclosure requirement: the candidate must direct the committee to comply with all applicable statutory requirements for disclosure and divestiture of campaign contributions. |
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