An Ethics Guide for Judges & Their Families
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An Ethics Guide for Judges & Their Families Cynthia Gray American Judicature Society This publication was developed under grant #SJI-99-N-006 from the State Justice Institute, “An Ethics Guide for Judges and Their Families.” Points of view expressed herein do not nec- essarily represent the official positions or policies of the American Judicature Society or the State Justice Institute. Allan D. Sobel Executive Vice President and Director American Judicature Society Cynthia Gray Project Director Director, Center for Judicial Conduct Organizations Jan Aikman Dickson Judicial Family Institute Consultant PROJECT ADVISORY COMMITTEE Seymour Abrahamson, Wisconsin Shirley Taylor Frye, North Carolina Hon. Lisa Davidson Kahn, Florida Hon. Ben Logan, Michigan Franny Maguire, Delaware Kay S. Palmer, Arkansas Hon. Ellen F. Rosenblum, Oregon Arthur P. Strickland, Virginia Hon. E. Norman Veasey, Delaware Richard Wehmhoefer, Colorado Library of Congress Catalog Card Number: 00-00000 ISBN 1-928919-06-5 Copyright: American Judicature Society, 2001 American Judicature Society 180 North Michigan Avenue, Suite 600 Chicago, Illinois 60601-7401 (312) 558-6900 (312) 558-9175 fax www.ajs.org Founded in 1913, the American Judicature Society is an independent, nonprofit organization supported by a national membership of judges, lawyers, and other members of the public. Through research, educational programs, and publications, AJS addresses concerns related to ethics in the courts, judicial selection, the jury, court administration, judicial independence, and public understanding of the justice system. Table of Contents Introduction . .1 An Ethics Guide for Judges and Their Families . .2 Defining Family . .4 Misuse of Office . .5 Presiding in a family member’s case . .5 Asking for favors from prosecutors, judges, and police officers . .7 Presiding in a case involving a family member’s complaint . .9 Intervening in a family member’s dispute . .9 Misuse of Office Q&A . .11 Hiring or Appointing Relatives . .13 Whether a relative may be hired for a court position . .13 Continued employment . .15 Appointing a relative as counsel for indigent defendants . .16 Appointing a relative to fiduciary or quasi-judicial positions . .17 Appointing an attorney affiliated with relative . .18 Hiring or appointing other judges’ relatives . .19 Giving a relative court business . .20 Hiring or Appointing Relatives Q&A . .23 Disqualification - Introduction . .25 Introduction to disqualification . .25 Remittal or waiver . .26 A relative is a party or officer of a party . .26 A relative is employed by a party . .27 A relative is a witness . .27 Disqualification - Economic Interest in a Case . .29 Stock ownership . .29 Other interests . .30 Keeping informed . .31 Disqualification - A Lawyer in the Family . .33 When a relative is an attorney in a case . .33 Possible exceptions . .34 Uncontested matters . .34 Judge-shopping . .35 Emergencies . .35 Wavier . .35 Relatives appearing before other judges . .35 When a relative is an attorney in a law firm that is appearing in a case . .36 When the lawyer-relative is a partner . .37 “Of-counsel” relationship . .38 When the lawyer-relative is an associate in a law firm . .38 When the lawyer-relative is a summer associate in a law firm . .39 An attorney with whom a relative shares office space . .40 When a relative practices law with a part-time with prosecutor or public defender . .40 When a relative’s client appears before the judge . .41 When a relative works as a government attorney . .41 A relative is an attorney employed in the prosecutor’s office . .42 Public defender . .43 Legal aid . .43 Exceptions . .43 The relative participated in the case . .43 The relative is involved in a related case . .44 The relative has supervisory authority . .44 Another judge in the family . .46 Disqualification - Other Careers . .49 When a relative is an elected public official . .49 A law enforcement officer in the family . .50 A teacher in the family . .53 Government agency employee . .53 Law firm employee . .55 Disqualification Q&A . .58 ii / An Ethics Guide for Judges and Their Families Acting as an Attorney for Family Members . .63 Giving legal advice to family members . .63 Drafting or reviewing documents . .64 Appearing as an advocate for family members . .64 Attending a hearing with a family member . .65 Legal Advice Q&A . .66 Gifts . .67 Discouraged gifts . .67 Permitted gifts . .68 Gifts Q&A . .72 Financial Activities . .73 Investments . ..