Honorable Anne E. LazarusHonorable Robert A. Graci Superior Court of PennsylvaniaChief Counsel Chair, Judicial Conduct BoardJudicial Conduct Board Honorable Jayne Frances DuncanElizabeth A. Flaherty Magisterial District Judge Deputy Counsel Vice Chair, Judicial Conduct BoardJudicial Conduct Board Errant Judges: What’s a Lawyer to Do?

Code of Judicial Conduct APPLIES TO: SUPREME COURT JUSTICES SUPERIOR COURT JUDGES/COMMONWEALTH COURT JUDGES COMMON PLEAS COURT JUDGES PHILADELPHIA MUNICIPAL COURT JUDGES Rules Governing Standards of Conduct of Magisterial District Judges APPLY TO: MAGISTERIAL DISTRICT JUDGES PHILADELPHIA TRAFFIC COURT JUDGES Judges are held to high standard of condu ct

PREAMBLE AN INDEPENDENT, FAIR, HONORABLE AND IMPARTIAL JUDICIARY IS INDISPENSABLE TO OUR SYSTEM OF JUSTICE. THE PENNSYLVANIA LEGAL SYSTEM IS FOUNDED UPON THE PRINCIPLE THAT AN INDEPENDENT, FAIR, IMPARTIAL, AND COMPETENT JUDICIARY, COMPOSED OF PERSONS OF INTEGRITY, WILL INTERPRET AND APPLY THE LAW THAT GOVERNS OUR SOCIETY. THE JUDICIARY CONSEQUENTLY PLAYS A FUNDAMENTAL ROLE IN ENSURING THE PRINCIPLES OF JUSTICE AND THE RULE OF LAW. THE RULES CONTAINED IN THIS CODE NECESSARILY REQUIRE JUDGES, INDIVIDUALLY AND COLLECTIVELY, TO TREAT AND HONOR THE JUDICIAL OFFICE AS A PUBLIC TRUST, STRIVING TO PRESERVE AND ENHANCE LEGITIMACY AND CONFIDENCE IN THE LEGAL SYSTEM. JUDGES SHOULD UPHOLD THE DIGNITY OF JUDICIAL OFFICE AT ALL TIMES, AVOIDING BOTH IMPROPRIETY AND THE APPEARANCE OF IMPROPRIETY IN THEIR PROFESSIONAL AND PERSONAL LIVES. THEY SHOULD AT ALL TIMES CONDUCT THEMSELVES IN A MANNER THAT GARNERS THE HIGHEST LEVEL OF PUBLIC CONFIDENCE IN THEIR INDEPENDENCE, FAIRNESS, IMPARTIALITY, INTEGRITY, AND COMPETENCE. CODE OF JUDICIAL CONDUCT AND RULES GOVERNING THE STANDARDS OF CONDUCT OF MAGISTERIAL DISTRICT JUDGES, PREAMBLE [2] AND [3] PREAMBLE Overarching Principles

Code of Judicial Conduct (UNTIL JULY 1, 2014) Canon 1: A Judge should uphold the integrity and independence of the Judiciary. Canon 1: A Judge should uphold the integrity and independence of the Judiciary. Canon 2: A Judge should avoid impropriety and the appearance of impropriety in all activities. Canon 2: A Judge should avoid impropriety and the appearance of impropriety in all activities. Canon 3: A Judge should perform the duties of the office impartially and diligently. Canon 3: A Judge should perform the duties of the office impartially and diligently. Canon 4: A Judge may engage in activities to improve the law, the legal system, and the administration of justice. Canon 4: A Judge may engage in activities to improve the law, the legal system, and the administration of justice. Canon 5: A Judge should regulate extra-judicial activities to minimize the risk of conflict with judicial duties. Canon 5: A Judge should regulate extra-judicial activities to minimize the risk of conflict with judicial duties. Canon 6: Compensation received for quasi-judicial and extra judicial activities permitted by this code. Canon 6: Compensation received for quasi-judicial and extra judicial activities permitted by this code. Canon 7: A Judge should refrain from political activity inappropriate to judicial office. Canon 7: A Judge should refrain from political activity inappropriate to judicial office.

Code of Judicial Conduct (JULY 1, 2014 AND AFTER) Canon 1: A judge shall uphold and promote the independence, integrity, and impartiality of the judiciary, and shall avoid impropriety and the appearance of impropriety. Canon 1: A judge shall uphold and promote the independence, integrity, and impartiality of the judiciary, and shall avoid impropriety and the appearance of impropriety. Canon 2: A judge shall perform the duties of judicial office impartially, competently, and diligently. Canon 2: A judge shall perform the duties of judicial office impartially, competently, and diligently. Canon 3: A judge shall conduct the judge’s personal and extrajudicial activities to minimize the risk of conflict with the obligations of judicial office. Canon 3: A judge shall conduct the judge’s personal and extrajudicial activities to minimize the risk of conflict with the obligations of judicial office. Canon 4: A judge or candidate for judicial office shall not engage in political or campaign activity that is inconsistent with the independence, integrity, or impartiality of the judiciary. Canon 4: A judge or candidate for judicial office shall not engage in political or campaign activity that is inconsistent with the independence, integrity, or impartiality of the judiciary.

Rules Governing Standards of Conduct of Magisterial District Judges (Until December 1, 2014) RULE 1:Integrity and Independence of Judiciary RULE 2:Impropriety and Appearance of Impropriety to be Avoided; Voluntary Appearance as Character Witness Prohibited RULE 3:Priority of Judicial Business RULE 4: Adjudicative Responsibilities RULE 5:Administrative Responsibilities RULE 6:Public Comment RULE 7:Broadcasting, Televising, Recording, Photography RULE 8: Disqualification RULE 9:Remittal of Disqualification; Minimizing Disqualifications RULE 10:Information Acquired in Judicial Capacity RULE 11:Solicitation of Funds RULE 12: Gifts and Loans RULE 13: Incompatible Practices RULE 14:Prohibited Practice of Attorney Magisterial District Judges RULE 15: Public Office and Political Activity RULE 16:Transfer of Dockets and Other Papers RULE 17:Supervision of Magisterial District Courts by President Judges RULE 18:Applicability to Judges of the Traffic Court of Philadelphia RULE 19:Certification Requirements of Interested Persons RULE 20:Continuing Education Requirement RULE 21:Continuing Education Requirement: Sr. Magisterial District Judges RULE 22:Continuing Education Requirement: Philadelphia Traffic Court RULE 23:Reliance on Advisory Opinions

Rules Governing Standards of Conduct of Magisterial District Judges (December 1, 2014 and After) Canon 1: A magisterial district judge shall uphold and promote the independence, integrity, and impartiality of the judiciary, and shall avoid impropriety and the appearance of impropriety. Canon 1: A magisterial district judge shall uphold and promote the independence, integrity, and impartiality of the judiciary, and shall avoid impropriety and the appearance of impropriety. Canon 2: A magisterial district judge shall perform the duties of judicial office impartially, competently, and diligently. Canon 2: A magisterial district judge shall perform the duties of judicial office impartially, competently, and diligently. Canon 3: A magisterial district judge shall conduct the magisterial district judge’s personal and extrajudicial activities to minimize the risk of conflict with the obligations of judicial office. Canon 3: A magisterial district judge shall conduct the magisterial district judge’s personal and extrajudicial activities to minimize the risk of conflict with the obligations of judicial office. Canon 4: A magisterial district judge or candidate for judicial office shall not engage in political or campaign activity that is inconsistent with the independence, integrity, or impartiality of the judiciary. Canon 4: A magisterial district judge or candidate for judicial office shall not engage in political or campaign activity that is inconsistent with the independence, integrity, or impartiality of the judiciary.

Comparison of Old Code and Standards to New “Preamble” (New) “Preamble” (New) “Terminology” Section (New) “Terminology” Section (New) “Application” Section (New) “Application” Section (New) 4 Canons 4 Canons 38 Rules 38 Rules 128 Comments (Code)-125 (Standards) 128 Comments (Code)-125 (Standards)

Pennsylvania Judges Must:  Administer justice fairly, ethically, uniformly, promptly and efficiently;  Be free from personal bias;  Issue prompt rulings and make decisions that demonstrate competent legal analysis;  Act with dignity, courtesy and patience;  Effectively manage their courtrooms and the administrative responsibilities of their office staff; and  Comply with the law.

Judicial Conduct Board Authority Pennsylvania Constitution Article V, §§ 17, 18 Code of Judicial Conduct Rules Governing Standards of Conduct of Magisterial District Judges Supreme Court Orders Governing Judicial Conduct Judicial Conduct Board and Court of Judicial Discipline Rules of Procedures Decisions of the Pennsylvania Supreme Court, the Special Tribunal & the Court of Judicial Discipline Conduct of Judges

Judicial Conduct Board Pennsylvania Constitution, Article V, Section 18(a) Governor (6) Supreme Court (6) Appellate Courts Common Pleas Phila. Municipal Court Magisterial District Judges Traffic Court Judges Jurisdiction Judicial Positions 6 Public Members 3 Attorneys 3 Judges Governor (6)

JCB Mission Statement Preserving the honor, dignity, independence, and integrity of Pennsylvania’s judiciary

- Investigative interviews - Investigative subpoenas - For records - For testimony (depositions) Judicial Conduct Board Investigative Powers

Citizen’s Complaint Judicial Conduct Board The Board investigates complaints of Judicial misconduct and, if warranted, Files formal charges with the Court Of Judicial Discipline Court of Judicial Discipline The Court hears formal charges brought Against a judge by the Board and decides Whether or not to impose discipline, And if so, what that discipline should be. Pennsylvania Supreme Court Appeals from Court of Judicial Discipline Supervisory authority over UJS, Pa. Const. Art. V, § 10 Notice of Full Investigation Letter of Counsel Letter of Caution Dismissal After Preliminary Investigation = CONFIDENTIAL (PA Constitution (PA Constitution Article 18(a)(8)) Article 18(a)(8))

Court of Judicial Discipline Pennsylvania Constitution, Article V, Section 18(b) 2 Non-lawyer Electors (Public Members) 1 appointed by Governor and 1 appointed by Supreme Court 2 Attorneys (Non-judge Members of the Bar) 2 appointed by Governor 4 Judges (3 from the Superior, Commonwealth or Common Pleas Courts; 1 Magisterial District Judge) 2 judges and 1 magisterial district judge appointed by Supreme Court 1 judge appointed by the Governor

Court of Judicial Discipline court of record court of record authorized to adopt rules to govern the conduct of proceedings before the court authorized to adopt rules to govern the conduct of proceedings before the court charges filed with the court are public record charges filed with the court are public record hearings are public and conducted pursuant to court’s rules (in accord with principles of due process and law of evidence ) hearings are public and conducted pursuant to court’s rules (in accord with principles of due process and law of evidence ) parties in court have right to discovery pursuant to court’s rules, including right to subpoena witnesses and documents parties in court have right to discovery pursuant to court’s rules, including right to subpoena witnesses and documents charged judge is presumed innocent in any proceeding before the court charged judge is presumed innocent in any proceeding before the court Board has burden of proving the charges by clear and convincing evidence Board has burden of proving the charges by clear and convincing evidence decisions of the court must be in writing contain findings of fact and conclusions of law decisions of the court must be in writing contain findings of fact and conclusions of law

Possible CJD Sanctions Possible CJD Sanctions Pennsylvania Constitution, Article V, Section 18(d) Reprimand (“otherwise disciplined”) Reprimand (“otherwise disciplined”) Personal Appearance before CJD Personal Appearance before CJD Probation (“otherwise disciplined”) Probation (“otherwise disciplined”) Suspension Suspension With Pay With Pay Without Pay Without Pay Removal Removal Disrepute Disrepute Felony Felony Prejudicing Administration of Justice Prejudicing Administration of Justice Pension forfeiture (SERS)

Sources of Complaints Litigants Litigants Family Members Family Members Public Public Media Media Attorneys Attorneys Judges Judges Board/Chief Counsel Board/Chief Counsel Anonymous Anonymous

The Board Considers Allegations Regarding: Judicial Misconduct Judicial Misconduct Mental or Physical Disability (including substance abuse) - Diversion Mental or Physical Disability (including substance abuse) - Diversion Pennsylvania Constitution, Article V, Section 18(a)(9)

AREAS OF COMPLAINTS SEEN BY JUDICIAL CONDUCT BOARD - Judges who make mistakes - Judges who make mistakes - Judges who do dumb things - Judges who do dumb things - Judges who do evil things - Judges who do evil things

Nature of Complaints Abuse of Power – Rule 1.3 Abuse of Power – Rule 1.3 Administrative Failures, Treatment of Court Staff, Improper Delegation Administrative Failures, Treatment of Court Staff, Improper Delegation Delay – Rule 2.5(A) Delay – Rule 2.5(A) Statement of Financial Interest – Rule 3.15 Statement of Financial Interest – Rule 3.15 Abusing Court Employees – Rule 2.8(B) Abusing Court Employees – Rule 2.8(B)

Nature of Complaints Campaign Conduct – Canon 4 Campaign Conduct – Canon 4 Cannot: Cannot: Publicly Endorse Political Candidates- 4.1(A)(3) Publicly Endorse Political Candidates- 4.1(A)(3) Solicit Funds For Party or Own Candidacy- 4.1(A)(7) Solicit Funds For Party or Own Candidacy- 4.1(A)(7) Misrepresent Facts-4.1(A)(9) Misrepresent Facts-4.1(A)(9) Criminal Conduct – Rule 1.1 Criminal Conduct – Rule 1.1

Nature of Complaints Demeanor, Impartiality, and Comments on the Bench Demeanor, Impartiality, and Comments on the Bench Rude and Abusive Behavior Rude and Abusive Behavior Judicial Bias (Failure to Remain Impartial) Judicial Bias (Failure to Remain Impartial) Sexual Harassment Sexual Harassment Impropriety and the Appearance of Impropriety Impropriety and the Appearance of Impropriety Delay; Lack of Diligence Delay; Lack of Diligence

Nature of Complaints Disqualification/Recusal/Disclosure Disqualification/Recusal/Disclosure Economic Interest - Rule 2.11(A)(2) Economic Interest - Rule 2.11(A)(2) Personal Bias or Prejudice - Rule 2.11(A)(1) Personal Bias or Prejudice - Rule 2.11(A)(1) Large Campaign Contributions - Rule 2.11(A)(4) Large Campaign Contributions - Rule 2.11(A)(4) Ex Parte Communications - Rule 2.9 Ex Parte Communications - Rule 2.9 Communicating With Only One of the Parties or Lawyers Communicating With Only One of the Parties or Lawyers Independent Investigation of Facts - Rule 2.9(C) Independent Investigation of Facts - Rule 2.9(C)

Nature of Complaints Failure to Cooperate with Board; Lying to Board; Asking Witness to Lie; Retaliating Against Complainant – Rule 2.16 Failure to Cooperate with Board; Lying to Board; Asking Witness to Lie; Retaliating Against Complainant – Rule 2.16 Failure to Follow the Law; Legal Error; Abuse of Discretion – Rule 1.1 Failure to Follow the Law; Legal Error; Abuse of Discretion – Rule 1.1

Nature of Complaints Personal Misconduct Personal Misconduct Criminal Conduct Criminal Conduct Gift/Loan From Litigant or Attorney – 3.13 Gift/Loan From Litigant or Attorney – 3.13 Misuse of the Office – 1.3 and 2.13 Misuse of the Office – 1.3 and 2.13 Dealings With Lawyers or Other Persons Likely to Come Before the Court – 3.13 Dealings With Lawyers or Other Persons Likely to Come Before the Court – 3.13

Judicial Conduct Checklist How does your conduct appear to someone else? Apply the “HEADLINE TEST Apply the “HEADLINE TEST Is the conduct undignified or does it otherwise reflect poorly on the judiciary? Are you personally involved in a legal proceeding related to any of the parties, the attorneys, or the subject matter of a case brought before you? Does the conduct offend anyone or make you appear to be prejudiced or biased? Is the conduct lawful?

Demeanor and Impartiality Checklist Rule of thumb … A judge should (1) hear courteously (2) answer wisely (3) consider soberly (4) decide impartially

Administrative Duties Checklist Diligence (2.5): Keep regular hours Keep regular hours Rule promptly Rule promptly Monitor cases taken under advisement Monitor cases taken under advisement Give highest priority to your judicial duties Give highest priority to your judicial duties Reporting Requirements: Conform to Supreme Court regulatory requirements. Ensure compliance with statutory requirements

Political Activities Checklist Is judge or judicial candidate personally soliciting campaign funds? Is judge or judicial candidate personally soliciting campaign funds? Is judge or judicial candidate personally soliciting campaign funds from an attorney or from a party in a pending case? Is judge or judicial candidate personally soliciting campaign funds from an attorney or from a party in a pending case? Is judge or judicial candidate engaging in fundraising or attending a fundraiser for another political candidate? Is judge or judicial candidate engaging in fundraising or attending a fundraiser for another political candidate? Is judge using official judicial letterhead for campaign purposes? Is judge using official judicial letterhead for campaign purposes? Is judicial staff campaigning for judge? Is judicial staff campaigning for judge?

LAWYER’S ETHICAL OBLIGATION “A LAWYER WHO KNOWS THAT A JUDGE HAS COMMITTEED A VIOLATION OF APPLICABLE RULES OF JUDICIAL CONDUCT THAT RAISES A SUBSTANTIAL QUESTION AS TO THE JUDGE’S FITNESS FOR OFFICE SHALL INFORM THE APPROPRIATE AUTHORITY.” RULE OF PROFESSIONAL CONDUCT 8.3(B)

Contact Information JUDICIAL CONDUCT BOARD P Pennsylvania Judicial Center 601 Commonwealth Avenue, Suite 3500 P.O. Box Harrisburg, PA (717)