Okla. Code Jud. Conduct R. (front matter)

Code of Judicial Conduct

The full text of the Code of Judicial Conduct is set forth below. Alternatively, you can access the individual rules of the Code of Judicial Conduct on oscn.net as well.

Oklahoma Statutes, Title 5 – Attorneys and Counselors Appendix 4 - Code of Judicial Conduct

Preamble

• [1] An independent, fair and impartial judiciary is indispensable to our system of justice. The United States legal system is based upon the principle that an independent, impartial, and competent judiciary, composed of men and women of integrity, will interpret and apply the law that governs our society. Thus, the judiciary plays a central role in preserving the principles of justice and the rule of law. Inherent in all the Rules contained in this Code are the precepts that judges, individually and collectively, must respect and honor the judicial office as a public trust and strive to maintain and enhance confidence in the legal system.

• [2] Judges should maintain the dignity of judicial office at all times, and avoid both impropriety and the appearance of impropriety in their professional and personal lives. They should aspire at all times to conduct that ensures the greatest possible public confidence in their independence, impartiality, integrity, and competence.

• [3] The Oklahoma Code of Judicial Conduct establishes standards for the ethical conduct of judges and judicial candidates. It is not intended as an exhaustive guide for the conduct of judges and judicial candidates, who are governed in their judicial and personal conduct by general ethical standards as well as by this Code. This Code is intended, however, to provide guidance and assist judges in maintaining the highest standards of judicial and personal conduct, and to provide a basis for regulating their conduct through disciplinary agencies.

Scope

• [1] The Oklahoma Code of Judicial Conduct consists of four Canons, numbered Rules under each Canon, and Comments that generally follow and explain each Rule. Scope and Terminology sections provide additional guidance in interpreting and applying this Code. An Application section establishes when the various Rules apply to a judge or judicial candidate.

• [2] The Canons state overarching principles of judicial ethics that all judges must observe. Although a judge may be disciplined only for violating a Rule, the Canons and Comments provide important guidance in interpreting the Rules. Where the Rules use the term "shall" or "shall not" they establish mandatory standards to which judges and candidates for judicial office will be held. The enforcement of these standards is affected through appropriate disciplinary procedures. Where a Rule contains a permissive term, such as "may" or "should," the conduct being addressed is committed to the personal and professional discretion of the judge or candidate in question, and no disciplinary action should be taken for action or inaction within the bounds of such discretion.

• [3] The Comments that accompany the Rules serve two functions. First, they provide guidance regarding the purpose, meaning, and proper application of the Rules. They contain explanatory material and, in some instances, provide examples of permitted or prohibited conduct. Comments neither add to nor subtract from the binding obligations set forth in the Rules. Therefore, when a Comment contains the term "must," it does not mean that the Comment itself is binding or enforceable; it signifies that the Rule in question, properly understood, is obligatory as to the conduct at issue.

• [4] Second, the Comments identify aspirational goals for judges. To implement fully the principles of this Code as articulated in the Canons, judges should strive to exceed the standards of conduct established by the Rules, holding themselves to the highest ethical standards and seeking to achieve those aspirational goals, thereby enhancing the dignity of the judicial office.

• [5] The Rules of the Oklahoma Code of Judicial Conduct are rules of reason that should be applied consistent with constitutional requirements, statutes, other court rules, and decisional law, and with due regard for all relevant circumstances. The Rules should not be interpreted to impinge upon the essential independence of judges in making judicial decisions.

• [6] The Rules are binding and enforceable, however, it is not contemplated that every violation of a Rule will result in imposition of discipline. Whether discipline should be imposed should be determined through a reasonable and reasoned application of the Rule(s), and should depend upon factors such as the seriousness of the violation, the facts and circumstances that existed at the time of the violation, the extent of any pattern of improper activity, whether there have been previous violations of the Rules, and the effect of the improper activity upon the judicial system or others.

• [7] The Code is not designed or intended as a basis for civil or criminal liability. Neither is it intended to be the basis for litigants to seek collateral remedies against each other or to obtain tactical advantages in proceedings before a court.

Terminology

In addition to the definitions found in the section on Terminology a candidate for judicial office should also carefully examine the Ethics Commission Rules found in Title 74, Chapter 62, Appendix, Title 257.

"Aggregate," in relation to contributions for a candidate, means not only contributions in cash or in kind made directly to a candidate's campaign committee, but also all contributions for a candidate made indirectly with the understanding that they will be used to support the election of the candidate or to oppose the election of the candidate's opponent. See Rules 2.11 and 4.4.

"Appropriate authority" means the authority having responsibility for initiation of disciplinary process in connection with the violation to be reported. See Rules 2.14 and 2.15.

"Contribution" shall have the same meaning as that provided for all elections in Oklahoma by the Rules of the Oklahoma Ethics Commission as amended or revised See Rules 2.11, 2.13, 3.1, 3.13, 3.7, 4.1, 4.3, and 4.4.

"De minimis," in the context of interests pertaining to disqualification of a judge, means an insignificant interest that could not raise a reasonable question regarding the judge's impartiality. See Rules 2.11 and 3.8.

"Economic interest" means ownership of more than a de minimis legal or equitable interest. Except for situations in which the judge participates in the management of such a legal or equitable interest, or the interest could be substantially affected by the outcome of a proceeding before a judge, it does not include:

• (1) an interest in the individual holdings within a mutual or common investment fund;

• (2) an interest in securities held by an educational, religious, charitable, fraternal, or civic organization in which the judge or the judge's spouse, parent, child, or member of the judge's household serves as a director, an officer, an advisor, or other participant;

• (3) a deposit in a financial institution or deposits or proprietary interests the judge may maintain as a member of a mutual savings association or credit union, or similar proprietary interests; or

• (4) an interest in the issuer of government securities held by the judge.

"Fiduciary" includes, but is not limited to, relationships such as executor, administrator, trustee, or guardian. See Rules 2.11, 3.2, and 3.8.

"Impartial," "impartiality," and "impartially" mean absence of bias or prejudice in favor of, or against, particular parties or classes of parties, as well as maintenance of an open mind in considering issues that may come before a judge. See Canons 1, 2, and 4, and Rules 1.2, 2.2, 2.6, 2.8, 2.10, 2.11, 2.13, 3.1, 3.6, 3.7, 3.13, 4.1, and 4.2.

"Impending matter" is a matter that is imminent or reasonably likely to occur in the near future. See Rules 2.9 and 3.2.

"Impropriety" includes conduct that violates the law, court rules, or provisions of this Code, and conduct that undermines a judge's independence, integrity, or impartiality. See Canon 1 and Rules 1.2, 3.6, and 3.13.

"Independence" means a judge's freedom from influence or controls other than those established by law. See Canons 1 and 4, and Rules 1.2, 2.7, 2.10, 3.1, 3.2, 3.4, 3.7, 3.12, 3.13, 3.14, 4.1, and 4.2.

"Integrity" means probity, fairness, honesty, uprightness, and soundness of character. See Canon 1 and 4, and Rules 1.2, 2.7, 2.10, 2.16, 3.1, 3.2, 3.6, 3.7, 3.12, 3.13, 3.14, 4.1, and 4.2.

"Judicial candidate" means any person, including a sitting judge, who is seeking selection for, or retention in, judicial office by election or appointment. A person becomes a candidate for judicial office as soon as he or she makes a public announcement of candidacy, declares or files as a candidate with the election or appointment authority, authorizes or, where permitted, engages in solicitation or acceptance of contributions or support, or is nominated for election or appointment to office. A Judicial candidate should also examine the definition of a candidate in the Rules of the Ethics Commission, Title 74 Oklahoma Statutes Chapter 62 - Appendix-Title 257: when filing for a judicial office. See Rules 2.11, 4.1, 4.2, and 4.4.

"Knowingly," "knowledge," known," and "knows" mean actual knowledge of the fact in question. A person's knowledge may be inferred from circumstances. See Rules 1.3, 2.9, 2.11, 2.15, 2.16, 3.2, 3.4, and 4.1.

"Law" encompasses court rules as well as statutes, constitutional provisions, and decisional law. See Rules 1.1, 2.1, 2.2, 2.4, 2.6, 2.7, 2.8, 2.9, 2.11, 2.13, 3.1, 3.2, 3.4, 3.7, 3.9, 3.10, 3.12, 3.13, 3.14, 3.15, 4.1, 4.2, 4.4, and 4.5.

"Member of the candidate's family" means a spouse, child, grandchild, parent, grandparent, or other relative or person with whom the candidate maintains a close familial relationship.

"Member of the judge's family" means a spouse, child, grandchild, parent, grandparent, or other relative or person with whom the judge maintains a close familial relationship. See Rules 3.8, and 3.10.

"Member of the judge's household" means any person residing in the judge's home on a permanent basis regardless of the relationship of that person to the judge. See Rules 2.11, 2.13, 3.8, and 3.13.

"Member of the lawyer's household" means any person residing in the lawyer's home on a permanent basis regardless of the relationship of that person to the lawyer. See Rule 2.13(B)

"Nonpublic information" means information that is not available to the public. Nonpublic information may include, but is not limited to, information that is sealed by statute or court order or impounded or communicated in camera, and information offered in grand jury proceedings, presentencing reports, dependency cases, or psychiatric reports. See Rule 3.5.

"Pending matter" is a matter that has commenced. A matter continues to be pending through any appellate process until final disposition or if a court retains jurisdiction of the matter. See Rules 2.9 and 3.2.

"Personally solicit" means a direct request made by a judge or a judicial candidate for financial support or in-kind services, whether made by letter, telephone, or any other means of communication. See Rules 4.1 and 4.3.

"Political organization" means a political party or other group sponsored by or affiliated with a political party or candidate, the principal purpose of which is to further the election or appointment of candidates for political office. For purposes of this Code, the term does not include a judicial candidate's campaign committee created as authorized by Rule 4.4. See Rules 4.1, 4.2, and 4.3.

"Public election" includes primary and general elections, nonpartisan elections, and retention elections. See Rules 4.2 and 4.4.

"Rules of the Ethics Commission" means the Rules of the Oklahoma Ethics Commission found in Title 74 Oklahoma Statutes Chapter 62 - Appendix - Title 257, Ethics Commission as they are, and as they may be amended or revised. See Rule 3.12.

"Specialized Courts" means the various types of what are often referred to as "problem solving courts" such as drug courts, mental health courts and juvenile courts. See Application I Comment [3], Rule 2.9(A)(4) and Rule 2.9 Comment 4.

"Spouse" means an individual to whom a judge or judicial candidate is married. See Rules 2.11, 2.13, 3.13, and 3.14.

"Third degree of relationship" includes the following persons: great-grandparent, grandparent, parent, uncle, aunt, brother, sister, child, grandchild, great-grandchild, nephew, and niece. See Rules 2.11 and 2.13.

Application

The Application section establishes when the various rules apply to a judge or judicial candidate.

I. Applicability of this Code

• (A) The provisions of the Code apply to all full-time judges. Parts II through V of this section identify provisions that apply to the four categories of part-time judges only while they are serving as judges, and provisions that do not apply to part-time judges at any time. Rules that do not appear in Section II through V are therefore applicable to part-time judges at all times. Canon 4 applies to judicial candidates.

• (B) A judge, within the meaning of this Code, is anyone who is authorized to perform judicial functions, including an officer such as a magistrate, court commissioner, special master, referee, or member of the administrative law judiciary.

COMMENT

• [1] The Rules in this Code have been formulated to address the ethical obligations of any person who serves a judicial function, and are premised upon the supposition that a uniform system of ethical principles should apply to all those authorized to perform judicial functions.

• [2] The determination of which category and, accordingly, which specific Rules apply to an individual judicial officer, depends upon the facts of the particular judicial service.

• [3] In recent years specialized courts have been created in which judges are authorized by court rules to act in nontraditional ways. For example, judges presiding in drug courts and mental health courts who are monitoring the progress of participants in those courts' programs may be authorized and even encouraged to communicate directly with social workers, probation officers, and others outside the context of their usual judicial role as independent decision makers on issues of fact and law. When local rules specifically authorize conduct not otherwise permitted under these Rules, they take precedence over the provisions set forth in the Code. Nevertheless, judges serving on these specialized courts shall comply with this Code except to the extent local rules provide and permit otherwise.

• [4] The inclusion of the last phrase in the Application section is to make it clear that the Code not only applies to judges, but it also applies to those who are candidates for judicial office. Candidates, whether sitting judges or not, are subject to discipline under this Code.

II. Retired Judge On Active Status

A retired judge on active status, who by law is not permitted to practice law, is not required to comply:

• (A) with Rule 3.9 (Service as Arbitrator or Mediator), except while serving as a judge; or

• (B) at any time with Rule 3.8(A) (Appointments to Fiduciary Positions).

COMMENT

• [1] For the purposes of this section, as long as a retired judge is on active status the judge is considered to "perform judicial functions."

III. Continuing Part-Time Judge

A judge who serves repeatedly on a part-time basis by election or under a continuing appointment,

• (A) is not required to comply:

• (1) 4.1 (Political and Campaign Activities of Judges and Judicial Candidates in General (A)(1) through (7), except while serving as a judge; or

• (2) at any time with Rules 3.4 (Appointments to Governmental Positions), 3.8(A) (Appointments to Fiduciary Positions), 3.9 (Service as Arbitrator or Mediator), 3.10 (Practice of Law), 3.11(B) (Financial, Business, or Remunerative Activities), 3.14 (Reimbursement of Expenses and Waivers of Fees or Charges), and 3.15 (Reporting Requirements), and.

• (B) shall not practice law in the court on which the judge serves or in any court subject to the appellate jurisdiction of the court on which the judge serves, and shall not act as a lawyer in a proceeding in which the judge has served as a judge or in any other proceeding related thereto.

COMMENT

• [1] When a person who has been a continuing part-time judge is no longer a continuing part-time judge, including a retired judge not on active service, that person may act as a lawyer in a proceeding in which he or she has served as a judge or in any other proceeding related thereto only with the informed consent of all parties, and pursuant to any applicable Oklahoma Rules of Professional Conduct including Rule 1.12.

IV. Periodic Part-Time Judge

A periodic part-time judge who serves or expects to serve repeatedly on a part-time basis, but under a separate appointment for each limited period of service or for each matter,

• (A) is not required to comply:

• (1) with Rule 4.1 (Political and Campaign Activities of Judges and Judicial Candidates in General) (A)(1) through (7), except while serving as a judge; or

• (2) at any time with Rules 3.4 (Appointments to Governmental Positions), 3.7 (Participation in Educational, Religious, Charitable, Fraternal, or Civic Organizations and Activities), 3.8 (Appointments to Fiduciary Positions), 3.9 (Service as Arbitrator or Mediator), 3.10 (Practice of Law), 3.11 (Financial, Business, or Remunerative Activities), 3.13 (Acceptance and Reporting of Gifts, Loans, Bequests, Benefits, or Other Things of Value), 3.15 (Reporting Requirements), and 4.5 (Activities of Judges Who Become Candidates for Non-judicial Office); and

• (B) shall not practice law in the court on which the judge serves or in any court subject to the appellate jurisdiction of the court on which the judge serves, and shall not act as a lawyer in a proceeding in which the judge has served as a judge or in any other proceeding related thereto.

V. Pro Tempore Part-Time Judge

A pro tempore part-time judge who serves or expects to serve once or only sporadically on a part-time basis under a separate appointment for each period of service or for each case heard is not required to comply:

• (A) except while serving as a judge, with Rules 2.4 (External Influences on Judicial Conduct), or 3.2 (Appearances before Governmental Bodies and Consultation with Government Officials)

• 4.1 (Political and Campaign Activities of Judge and Judicial Candidates in General (A)(1) through (7); or

• (B) at any time with Rules 3.4 (Appointments to Governmental Positions), 3.6 (Affiliation with Discriminatory Organizations), 3.7 (Participation in Educational, Religious, Charitable, Fraternal, or Civic Organizations and Activities), 3.8(A) (Appointments to Fiduciary Positions),

• 3.9 (Service as Arbitrator or Mediator), 3.10 (Practice of Law), 3.11(B) (Financial, Business, or Remunerative Activities), 3.13 (Acceptance and Reporting of Gifts, Loans, Bequests, Benefits, or Other Things of Value), 3.15 (Reporting Requirements), and 4.5 (Activities of Judges Who Become Candidates for Non-judicial Office).

VI. Time For Compliance

A person to whom this Code becomes applicable shall comply immediately with its provisions, except that those judges to whom Rules 3.8 (Appointments to Fiduciary Positions) and 3.11 (Financial, Business, or Remunerative Activities) apply shall comply with those Rules as soon as reasonably possible, but in no event later than one year after the Code becomes applicable to the judge.

COMMENT

[1] If serving as a fiduciary when selected as judge, a new judge may, notwithstanding the prohibitions in Rule 3.8, continue to serve as fiduciary, but only for that period of time necessary to avoid serious adverse consequences to the beneficiaries of the fiduciary relationship and in no event longer than one year. Similarly, if engaged at the time of judicial selection in a business activity, a new judge may, notwithstanding the prohibitions in Rule 3.11, continue in that activity for a reasonable period but in no event longer than one year. Similarly, if engaged at the time of judicial selection in a business activity, a new judge may, notwithstanding the prohibitions in Rule 3.11, continue in that activity for a reasonable period but in no event longer than one year.