TABLE OF CONTENTSjudicialconductboardofpa.org/wp-content/uploads/2002_JCB_Annual_Re… · Leo P....

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TABLE OF CONTENTSPAGE

Memorandum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

2002 Board Members and Staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Biographies of Board Members and Chief Counsel . . . . . . . . . . . . . . . . . . . . . . 4

Chief Counsel’s Message . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Letter from the Chair . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

I. Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

II. Overview of the Board: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Authority of the Board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

The Board’s Unique Role . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Members of the Board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Governing Legislation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Defining Judicial Misconduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Sources of Complaints and Allegations. . . . . . . . . . . . . . . . . . . . . . . . 12

Board Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Board Investigations and Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Board Organization and Staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Outreach and Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Board Website . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Public Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Procedure: The Complaint Process (Flowchart) . . . . . . . . . . . . . . . . . 13

III. Confidentiality of Board Proceedings . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

IV. Summary of Board Activity in 2002 and Statistical Data . . . . . . . . . . . . . . 14

Samples of Conduct Found to be Improper . . . . . . . . . . . . . . . . . . . . . . . 15

Five-Year Statistical Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

V. Appendices

Selected Provisions of the Constitution of theCommonwealth of Pennsylvania . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Code of Judicial Conduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

Rules Governing Standard of Conduct for District Justices . . . . . . . . . . . . 29

Confidential Complaint Questionnaire . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

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Pennsylvania Judicial Conduct Board225 Market Street, Suite 500, Harrisburg, Pennsylvania 17101

(717) 234-7911 • FAX (717) 234-7911

Website: judicialconductboardofpa.org

Joseph A. Massa, Jr., Chief Counsel

May , 2003

MEMORANDUM

TO: Honorable Ralph J. Cappy Honorable Edward S. RendellChief Justice, Pennsylvania Supreme Court Governor of PennsylvaniaOne Oxford Center, Suite 3130 225 CapitolGrant Street Harrisburg, PA 17120Pittsburgh, PA 15219

Honorable Robert C. Jubelirer Honorable John M. PerzelPresident Pro Tempore SpeakerSenate of Pennsylvania Pennsylvania House of Representatives292 Capitol 139 CapitolHarrisburg, PA 17120 Harrisburg, PA 17120

Timothy J. Carson, EsquirePresidentPennsylvania Bar Association100 South StreetP.O. Box 186Harrisburg, PA 17108-0186

FROM: Joseph A. Massa, Jr., Chief Counsel

RE: 2002 Annual Report

The attached annual report outlines the activities of the Judicial Conduct Board during the calendar year 2002. It is provided to you as required by the Board’s Rules of Procedure.

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2002 BOARD MEMBERSJUDGE MEMBERSHonorable Marilyn J. HoranCourt of Common Pleas, Butler County(Term expires 08/16/04)

Honorable John L. MusmannoSuperior Court of Pennsylvania(Term expires 03/20/05)

Honorable Samuel J. Magaro(Sr. District Justice)(Term expires 08/16/05)

ATTORNEY MEMBERSChristopher A. Lewis, Esquire(Term expires 08/16/04)

John W. Morris, Esquire, (Chairman)(Term expires 08/16/03)

Wendell G. Freeland, Esquire (Vice-Chair)(Term expired 08/16/02)

PUBLIC MEMBERS Michael M. Robinson (Secretary)(Term expires 08/16/03)

Leo P. Bigley(Term expires 08/16/05)

John R. Cellucci(Term expires 08/16/05)

Matthew J. DiDomenico, Sr.(Term expires 08/16/03)

Stanley R. Gumberg(Term expires 08/16/04)

Gary Lamont(Term expires 08/16/04)

BOARD STAFFJoseph A. Massa, Jr., EsquireChief Counsel

Lisa D. McClain, EsquireAssistant Counsel

Francis J. Puskas II, EsquireAssistant Counsel

George F. Delaney, Jr.Investigator

Douglas K. MillerInvestigator

Toni I. SchrefflerParalegal

Alta M. Drayton-SpruillLegal Secretary

Paula R. CarusoExecutive Secretary

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Leo P. BigleyLeo P. Bigley was a member of the Plumbers LocalUnion #27 for 47 years, 32 of which he had been aBusiness Representative and Business Manager. Hewas Vice President of the Pittsburgh Building TradesCouncil, and Vice President of the Pennsylvania PipeTrades Association. Mr. Bigley is a native of Pittsburgh,Pennsylvania and resides in Crafton, Pennsylvania,Allegheny County. He is a father of five children. Heretired December 10, 2002.

Appointed by the Supreme Court; Democrat

John R. CellucciMr. Cellucci is the President and Owner of John R. Cellucci, Inc., a building,contracting, engineering, andland-development company. His experience as abuilder, civil engineer, and general contractor hasincluded constructing new homes,community housingdevelopments, shopping malls, and producing pre-stressed concrete bridges. In the late 1960s, Mr. Cel-lucci was the Executive Director of the Chester HousingDevelopment Corporation.

Mr. Cellucci received a Bachelor of Science in CivilEngineering from Pennsylvania Military College (nowWidener University) and also earned a ProfessionalEngineering degree.

A former assistant professor of Civil Engineering atPennsylvania Military College, Mr. Cellucci is very con-cerned with education and has been a Trustee of theWidener University Board and a member of the Boardof Overseers of the Widener University School of Law.

He received the Outstanding Service Award (1999) andthe Outstanding Alumnus Award (1989) from WidenerUniversity. He was also awarded the Outstanding Ser-vice Award (1987) and the Liberty Bell Award (1980)from the Widener University School of Law.

His experience as an officer and company commanderin the Army Corp of Engineers in Korea during theKorean Conflict earned him a Battle Star for service.

Mr. Cellucci is an active member of the Widener AlumniAssociation and has been a past Vice-President on theAlumni Board of Widener University. He is also anactive supporter of numerous non-profit organizations,most recently the Philadelphia Zoobilee, and TheFriends of the Ocean City Pops, Inc. He is also a mem-ber of the Vesper Club of Philadelphia and the Avalon(N.J.) Yacht Club.

Mr. Cellucci resides in Berwyn with his wife, Dr. EdnaH. Cellucci, and has two children, who are both attor-neys: Kathleen C. Cellucci-Clemmensen, Esquire, andJohn H. Cellucci, Esquire.

Appointed by the Governor; Republican.

Matthew J. DiDomenico, Sr.Matthew J. DiDomenico, Sr., is President of JohnMatthew Realtors and Devon Financial Services. He isa licensed real estate broker and mortgage broker. Hisfirm is affiliated with GMAC Real Estate, a division ofGMAC Home Services, a leading provider of realestate, relocation and mortgage services. Mr.DiDomenico’s corporate clients include Kimco RealtyTrust, Melmark, Mercy Health Systems, AffordableCare, First Financial Bank, and Anchor Health Proper-ties. In addition to his business responsibilities, Mr.DiDomenico serves on the Board of various organiza-tions including First Financial Bank and the NationalItalian American Foundation (NIAF). In March 2002,Mr. DiDomenico was elected National Executive VicePresident of the NIAF. Mr. DiDomenico is the nationalspokesman for NIAF. He previously served as Chair-man of the Board of Governors at Mercy Health Sys-tems, and as a member of the Board of Directors ofCabrini College, Chapel of The Four Chaplains, Consti-tution Bank, Berwyn-Devon Business Association andColumbus Quincentennial. He has received manyawards for his community service, including Citizen ofthe Year from the Berwyn-Devon Business Association,the exemplary citizenship citation from the Common-wealth of Pennsylvania, and the Pia R. Raffaele Premiod’Eccellenza 2000 from Immaculata College, member-ship in the Circle of Leaders for his efforts on behalf ofCatholic Charities, the benefactor award for his contri-bution to The Chapel of Four Chaplains and serviceawards from Easttown and Radnor Township Neigh-borhood Watch Programs. A Wayne, Pennsylvania res-ident, Mr. DiDomenico is married to wife Dory and hasfour sons and four granddaughters.

Appointed by the Supreme Court; Republican.

Wendell G. Freeland, EsquireAttorney Wendell G. Freeland is a sole practitioner inAllegheny County and appears before the federal andstate courts at the trial and appellate levels. He wasfirst president of the Neighborhood Legal ServicesAssociation and serves as a member of the ExecutiveBoard of Trial Lawyers in Criminal Court Association.

Biographies of Board Members and Chief Counsel

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League of Pittsburgh.

He is a former Director of the Integra Financial Corp.,the Grant Street National Bank, the Presbyterian Hos-pital, the University of Pittsburgh Medical Center, andChairman of Montefiore Hospital.

Mr. Gumberg married Marcia M. Gumberg in 1951.They have three sons and six grandchildren.

Appointed by the Governor; Democrat.

Honorable Marilyn J. HoranMarilyn J. Horan was appointed judge of the Court ofCommon Pleas of Butler County in June of 1996. Shewas then elected to a 10-year term on the bench,beginning that term in January 1998. Judge Horanhas been an appointed member of the Juvenile CourtJudges’ Commission since 1997.

From 1979 until her appointment to the bench, JudgeHoran was a partner in the law firm of Murrin, Taylor,Flach & Horan in Butler. She graduated from Pennsyl-vania State University with a Bachelor of Sciencedegree in 1976, and obtained her Juris Doctor degreefrom the University of Pittsburgh School of Law in1979.

Judge Horan has been a member of the Butler CountyBar Association, the Pennsylvania Bar Association, theWomen’s Bar Association of Western Pennsylvania, aswell as the Pennsylvania Conference of State TrialJudges. During the time she was a practicing attorney,she served as a faculty member for the PennsylvaniaBar Institute, lecturing and preparing course materialsfor Family Law Practice and Procedure in WesternPennsylvania. Judge Horan has been active over theyears in many community organizations including theAmerican Cancer Society, Community Health Assess-ment Policy Council, Butler County Headstart PolicyCouncil.

Born and raised in Butler, Judge Horan, her husbandand their four children reside in the City of Butler.


Gary F. LamontGary F. Lamont is the principal of the Conyngham PassCompany, real estate development and managementconsulting firm. He is president of the CAN DO Foun-dation, and a member of the First Heritage Bankboard of directors. Other organizations in which he isactive include board membership with the HospitalService Association of Northeastern Pennsylvania, FredMorgan Kirby Center for Performing Arts, Luzerne

He was a member of the board of the Urban Leagueof Pittsburgh and served as its president from 1962 to1966. From 1967 through 1976, he was a memberand senior vice president of the National Urban LeagueBoard of Trustees. Mr. Freeland has served as thepresident of the Homer S. Brown Law Association. Heis a former member of the Appellate Rules Committeeof the Supreme Court of Pennsylvania. He has chairedthe Federal Court Section of the Allegheny County BarAssociation, and has served as a member of the Houseof Delegates of the Pennsylvania Bar Association. Hehas also served as a member of the Civil Justice Advi-sory Group of the U.S. District Court for the WesternDistrict of Pennsylvania. He currently serves on theBoard of Governors of the Joint Center for Politicaland Economic Studies; from 1978 through 1990, hewas the chairman of that Board.

Mr. Freeland was born in Baltimore, Maryland. Heattended the Colored Schools of Baltimore, andreceived his Bachelor of Arts, cum laude, fromHoward University. He earned an LL.B., with honors,from the University of Maryland School of Law andwas elected to the Order of the Coif. He currentlyserves as a member of the Board of Trustees of West-minster College and has served on the Board ofTrustees of the University of Pittsburgh, where he alsoserved on and chaired the Board of Visitors of theSchool of Social Work.


Stanley R. GumbergStanley R. Gumberg is Chairman of the Board for J.J.Gumberg Co., which is ranked as one of the nation’stop developers and managers of shopping centers. Inaddition to its wholly-owned properties, J.J. GumbergCo. operates and manages commercial real estate forvarious financial institutions.

Born in Pittsburgh in 1927, Mr. Gumberg received hisBachelor of Science degree from Duquesne Universityin 1950 and was awarded an Honorary Doctorate ofBusiness degree from Duquesne’s A.J. Palumbo Schoolof Business in 1994.

He currently serves as an Emeritus Trustee and Executive Committee member of Carnegie-Mellon University, an Emeritus Trustee of Seton Hill College,and a Trustee and Executive Committee member ofDuquesne University and Westminster College. He isalso currently serving as Trustee of the Extra Mile Edu-cation Foundation ( founded by Bishop Wuerl to finan-cially aid inner-city elementary schools) and the Urban

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County Convention Center Authority, Security SavingsCommunity Foundation, the Pennsylvania State Univer-sity Advisory Board–Hazleton Campus, CAN DO Inc.,Commission on Economic Opportunity and PP&L Sus-tainable Energy Fund.

Mr. Lamont received a Bachelor of Science degreefrom the Pennsylvania State University, and is a gradu-ate of the Stonier Graduate School of Banking at theUniversity of Delaware.

He resides in Conyngham with his wife Letty anddaughter Elizabeth.

Appointed by the Supreme Court; Democrat.

Christopher A. Lewis, EsquireMr. Lewis is a partner in the law firm of Blank RomeLLP, and concentrates his practice in the fields of priva-cy law, insurance regulatory law, business law, emerg-ing law, health care law and non profit law.

Mr. Lewis served as Secretary of the Commonwealthof Pennsylvania from 1989 to 1991. Under his direc-tion, the Pennsylvania Department of State adminis-tered the work of the Bureau of Commissions, Elec-tions and Legislation; the Corporation Bureau; theBureau of Charitable Organizations; the Bureau of Pro-fessional and Occupational Affairs; and the State Ath-letic Commission. He also served as an ex-officio mem-ber of the Pennsylvania Board of Finance and Revenue,the Pennsylvania Board of Property, and the State Ath-letic Commission.

He also held the position of Executive Deputy GeneralCounsel to the Governor of Pennsylvania where heprovided legal advice to the Governor and his cabinet,while overseeing the work of all the attorneys in theexecutive agencies of State Government. Mr. Lewisplayed a key role in structuring and creating the Com-monwealth’s minority and women’s business enter-prise programs.

He is a graduate of Harvard College and the Universityof Michigan Law School. Mr. Lewis is also an alumnusof the Senior Executives in State and Local GovernmentProgram, John F. Kennedy School of Government,Harvard University.


Honorable Samuel J. MagaroSamuel J. Magaro was born November 3, 1932, inSteelton, the son of the late Giuseppi and Agnes Lap-pano Magaro. He attended Elizabethtown College,Pennsylvania State University, and Shippensburg State

College, 1975. He has served as district justice, LowerPaxton Township, from 1975–present; served in theU.S. Air Force, 1951–1954; was a probation andparole officer, chief inheritance tax officer for DauphinCounty, and a research analyst at the PennsylvaniaHouse of Representatives. District Justice Magaro alsohas served as the assistant to the chairman for theRepublican State Committee and owner of Magaro’s.He is a member of the American Judicature Society,Special Court Judges Association of Pennsylvania;American Legion; Veterans of Foreign Wars; Knights ofColumbus, 4th Degree Member. He was a member ofthe Minor Court Rules Committee, 1990–1993. In1995 he was the first recipient of the John J. JeffersMemorial Award by the Special Court Judges Associa-tion of Pennsylvania “in recognition of dedicated andunselfish service.” He was appointed Judge, Court ofJudicial Discipline, 1994–1999; and served as presi-dent of the Special Court Judges Association of Penn-sylvania from 1999–2000. In 2002 he received thePennsylvania Supreme Court Award for “DistinguishedService to Judicial System and the Themis Award fromthe Special Court Judges Association of Pennsylvania.He was appointed a member of the Judicial ConductBoard in 2001, and chaired the sub-committee ofIntergovernmental Task Force. He is married to MaryRoberto and has five children: Natalie, Ninette, AnneMarie, Samuel J. Jr., Anthony, and 12 grandchildren.


John W. Morris, EsquireAttorney John W. Morris is a sole practitioner inPhiladelphia, specializing in trial practice and manage-ment of corporate litigation.

Mr. Morris has written and lectured throughout thecountry on trial techniques and ethics, and is a Lecturerat Temple University School of Law. He is also a mem-ber of the Disciplinary Board of the Supreme Court ofPennsylvania. He was formerly First Assistant DistrictAttorney of Philadelphia and a Director of the Pennsyl-vania Association of Criminal Defense Lawyers. Mr.Morris is a Fellow of the American College of TrialLawyers.

Mr. Morris is a graduate of Yale University (B.A.) andthe University of Pennsylvania Law School (J.D.). Hewas born in Gainesville, Georgia; raised in Wilmington,Delaware; and now resides in Center City Philadelphiawith his wife, Virginia.


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Honorable John L. MusmannoJohn L. Musmanno was born in McKees Rocks, Pa. Hereceived a Bachelor of Arts degree from Washington &Jefferson College in 1963, graduating magna cumlaude and Phi Beta Kappa; and a Juris Doctor fromVanderbilt University School of Law in 1966, where hewas an assistant editor of the Vanderbilt Law Review.

Judge Musmanno is a member of the American, Pennsylvania and Allegheny County Bar Associations.

He received the President’s Award from the Pennsylvania Trial Lawyers Association in 1991, andthe Academy of Trial Lawyers of Allegheny Countyaward in 1993.

He maintained a private law practice from 1966–81,was elected district justice, 1970–81; elected judge,Allegheny County Court of Common Pleas, in 1981and re-elected in 1991; and was the administrativejudge, civil division, Allegheny Court of Common Pleas,1990–97. In November 1997, he was elected to theSuperior Court.

Appointed by the Supreme Court; Democrat.

Michael M. RobinsonMichael M. Robinson is President and Owner of PAPSecurity Printing, Inc., Lancaster, Pennsylvania, whichprovides secure printed items for the gaming/wageringindustry, as well as ATM receipts, fulfillment, equip-ment automation and warehousing services.

He is a Commissioner for the Governor’s AdvisoryCommission on African American Affairs and Chairmanof Drug Free Pennsylvania.

Mr. Robinson is a native of Pennsylvania and graduatedfirst in his class in Business Administration fromLycoming College, Williamsport, in 1972.


Chief Counsel Joseph A. Massa, Jr.Joseph A. Massa, Jr. became Chief Counsel of theJudicial Conduct Board on March 4, 2002.

Mr. Massa’s professional career has been diverse.Admitted to the Bar on May 1, 1969, Mr. Massaopened a private law practice and was engaged in thegeneral practice of law with a high concentration infamily, civil and criminal litigation. In addition to hisprivate practice, Mr. Massa served as Warren/ForestCounty Public Defender from 1969 to 1989; as athree-term District Attorney for Warren County from1990 through 2001; and as solicitor for YoungsvilleBorough and the Warren County School District.

He is a graduate of the University of Notre Dame (B.A.in Economics) and the Marshall School of Law ofCleveland State University. He is a member of theAmerican Bar Association, the Pennsylvania Bar Asso-ciation, the Association of Trial Lawyers of America,the Dauphin County Bar Association, and the Associa-tion of Judicial Disciplinary Counsel, and is a pastPresident of the Warren County Bar Association. Hehas served on the Pennsylvania Attorney General’sTask Force for the Protection of Older Pennsylvanians.He was an adjunct instructor in criminal law at Penn-sylvania State University, Indiana University of Pennsyl-vania and Edinboro University of Pennsylvania.

As a native of Warren County where he lived andraised his children, Mr. Massa was involved not only inNorthwestern Pennsylvania legal, business and com-munity enterprises, but also contributed his support tothe educational, political, religious and non-profitendeavors within his county.

Mr. Massa was co-founder of Warren County StudentsAgainst Drunk Driving and of the Warren CountySchool District Law Enforcement Liaison Team. Hereceived the Warren County Chamber of CommerceAward for Exemplary Service to the community.

He and his wife, Rosemarie, reside in New Cumberlandand have three children and one grandchild.

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May 2003

A MESSAGE FROM CHIEF COUNSEL:

Since March 3, 2002, I have been honored to serve as Chief Counsel to the Judicial Conduct Board of the Commonwealth of Pennsylvania. The past fourteen months have been themost exciting, challenging and satisfying of my thirty-two years as an attorney.

During my first week as Chief Counsel, I informed the staff and members of the JudicialConduct Board that we would be committed to excellence and would strive for better communication, cooperation and efficiency not only within the Judicial Conduct Board, but withthe complainants, the Judiciary, and most importantly, the citizens of Pennsylvania.

Over these past months, we have worked hard to develop a Board that preserves andprotects the independence and integrity of the Pennsylvania Judiciary.

Without the dedication of our valued staff and the enthusiastic leadership of our distin-guished volunteer Board Members, we would not have the respected and independent Board wehave today. Their skill and resolve are the foundation behind the statistics and other informationpresented in this Annual Report.

Every effort has been made to lead this Board with integrity and professionalism. Whilethe Board’s Chief Counsel has undergone change in the past year, its goal remains the same: touphold public confidence in the Judiciary through the enforcement of high standards of conductfor judges.

As Chief Counsel of the Board, and on behalf of all staff and members, it is a privilege toserve the people of the Commonwealth of Pennsylvania in this important work.

Sincerely,

Joseph A. Massa, Jr.Chief Counsel

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COMMONWEALTH OF PENNSYLVANIA

JUDICIAL CONDUCT BOARD225 MARKET STREET

HARRISBURG, PA 17101JOHN W. MORRIS, ESQUIRE (717) 234-7911

CHAIRMAN May 7, 2003

To the Citizens of Pennsylvania:

I am pleased to present you with this report summarizing the work of the Judicial Conduct Board. In theyear 2002, the Board disposed of 528 complaints. Of these complaints, 490 were dismissed after preliminary inves-tigation, 24 were dismissed after full investigation, and four were resolved upon the issuance of letters of counsel.Formal charges and prosecutions were initiated in six matters.

The Board has instituted some new procedures in handling its cases. First, where a letter of counsel is issued,the judicial officer is now required to appear before our Chief Counsel to receive and accept the letter. Second, indismissing cases where there are no grounds for formal discipline, but where there exists “cause for concern,” theBoard has begun including cautionary advice as part of the dismissal letter. These letters are confidential and are notmade a part of the judicial officer’s record. We believe that these cautionary letters have been constructively received.

We feel that we have made great progress over the past year in expanding communications with thejudiciary. However, we would like to improve our communications with the public. For example, as our statisticsimply, we continue to receive numerous complaints based upon dissatisfaction with the outcome of litigation ratherthan upon any credible charge of misconduct. Since every complaint is thoroughly reviewed, complaints which areunfounded or beyond our jurisdiction impose a burden upon our staff and, quite likely, frustration among the public.With those problems in mind, we have directed Chief Counsel to develop a better program of public informationwhich will include the creation of a web site and a thorough revision of our informational brochures.

I am particularly pleased to note the staff additions which occurred in 2002. Our new Chief Counsel, JosephA. Massa, Jr., took charge on March 1, 2002. A new Assistant Counsel and two well-qualified investigators havesince joined us. The Board is confident that these new appointments will increase the efficiency and quality of ourwork.

In closing, I would like to thank our Board members for their dedicated and uncompensated service. It hasbeen a privilege to serve as their Chairman for the past two years.

John W. Morris

CHAIRMAN’S OFFICE: 1525 LOCUST STREET, 17TH FLOOR, PHILADELPHIA, PA 19102 • (215) 772-2290

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I. Judicial Conduct BoardMission Statement

The Judicial Conduct Board is the state agency responsible by constitutional

mandate for investigating complaints of misconduct against judges of

Pennsylvania’s unified judicial system and, where appropriate, filing formal

charges against those judges found to have engaged in unethical behavior.

The members and staff of the Judicial Conduct Board take their duties to the

citizens and judiciary of Pennsylvania very seriously. The Board is committed to

preserving the honor, dignity, independence, and integrity of Pennsylvania’s

judiciary. Political affiliation, race, color, age, national origin, sex, sexual

orientation, ancestry, religious creed, disability, and the position or status of the

complainant or judge, are not considerations in reviewing cases. The Board’s

duties to the public require the honesty, intelligence, professionalism and

diligence of every Board and staff member.

The Board and its staff investigates every allegation made against a Pennsylvania

judge. This procedure is an essential safeguard to the integrity of, and public

confidence in, the judicial process. Judges are held to a high standard of ethical

conduct as prescribed by the laws of Pennsylvania, including the Code of Judicial

Conduct, and the Board and its employees strive to conduct themselves in a

similar manner.

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Governing LegislationThe Board is governed by Article V, Section 18 of thePennsylvania Constitution, Chapter 21, Subchapter Aof Title 42 (Judiciary and Judicial Procedure) of thePennsylvania Consolidated Statutes (Appendix I herein).As part of the judiciary and as an independent entityhaving its own constitutional and statutory provisionsregarding confidentiality of papers, records and pro-ceedings, the Board is not governed by the Pennsylva-nia Public Information Act, the Open Meetings Act orthe Pennsylvania Administrative Code.

Defining Judicial MisconductArticle V, Section 18 of the Pennsylvania Constitutiondefines judicial misconduct as the “willful or persistentviolation of rules promulgated by the Supreme Courtof Pennsylvania, incompetence in performing theduties of the office, willful violation of the Code ofJudicial Conduct, or willful or persistent conduct that isclearly inconsistent with the proper performance of hisduties or casts public discredit upon the judiciary oradministration of justice.” The Code of Judicial Con-duct appears herein at Appendix II.

Judicial misconduct could arise from a violation of thePennsylvania Constitution, the Pennsylvania PenalCode, the Pennsylvania Code of Judicial Conduct, theRules Governing Standards of Conduct of District Jus-tices, or rules promulgated by the Supreme Court ofPennsylvania. It could occur through the judge’s failureto cooperate with the Board. Other examples of judi-cial misconduct include inappropriate or demeaningcourtroom conduct, such as yelling, profanity, genderbias or racial slurs. It could be improper ex parte com-munication with only one of the parties or attorneys ina case, a public comment regarding a pending case,or a failure to recuse or disqualify oneself in a casewhere the judge has an interest in the outcome. Itcould involve ruling in a case in which the parties,attorneys, or appointees are related within a prohibiteddegree of kinship to the judge. Judicial misconductcould occur through a judge’s failure to cooperatewith respect to his or her obligations arising from aBoard’s inquiry, or failure to abide by any provision ofa voluntary agreement to resign in lieu of disciplinaryaction.

Judicial misconduct could also arise from out-of-courtactivities, including theft, driving while intoxicated,improper financial or business dealings, and sexual

Authority of the BoardThe Judicial Conduct Board (formerly the JudicialInquiry and Review Board) was created by an amend-ment to the Pennsylvania Constitution adopted on May18, 1993 and declared in effect by the Governor’sOffice on August 11, 1993. It is the independent stateagency responsible for investigating allegations of judi-cial misconduct or disability or impairment.

The Board has jurisdiction over Pennsylvania SupremeCourt Justices; Superior and Commonwealth CourtJudges, Common Pleas Court Judges, PhiladelphiaMunicipal and Traffic Court Judges, Pittsburgh Magis-trate Court Judges and District Justices. The Board hasno jurisdiction over federal judges and magistrates,administrative hearing officers for state agencies orprivate mediators, arbitrators or masters.

The Board’s Unique RoleUnder the Pennsylvania State Constitution, the Board isthe only agency of state government with the authorityto investigate judges for ethical misconduct. Its discipli-nary role is unique. The Board’s system has servedPennsylvania well since its inception in 1993. Somejudges have been publicly disciplined for judicial mis-conduct, while others have been confidentially cau-tioned. A number have resigned while under inquiry. Itis, undoubtedly, fair to state that the PennsylvaniaJudiciary has become more sensitive to its ethical obligations; consequently, public confidence in the judiciary has improved.

Members of the BoardThere are 12 members of the Board:

• Six citizen members who are neither attorneys norjudges;

• Three judges, one from each of the following courtlevels: appellate, common pleas and district magis-trate, and

• Three attorneys who are not judges.

Members meet regularly to conduct Board businessand receive no compensation for their service.

One of the critical features of the Board’s system is itsstructural independence. The 12 board members areappointed to staggered four-year terms by variousdesignating authorities—the Governor and the Penn-sylvania Supreme Court—neither of whom controls amajority.

II. Overview of the Board

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the Court of Judicial Discipline following a determi-nation that there is “clear and convincing evidence”of judicial misconduct.

The types of actions that could be taken by the Courtof Judicial Discipline include dismissal, sanction, sus-pension, acceptance of a voluntary agreement toresign from judicial office in lieu of disciplinary action,and removal from the bench. A detailed discussion ofthe Board’s procedures for analyzing complaints andallegations appears at Section II. The ComplaintProcess in this annual report is also presented in Sec-tion II. The number and types of action taken by theBoard in fiscal year 2002 are presented in the summa-ry of Board Activity in Section IV.

Board Organization and StaffThe Board has eight staff positions, including the ChiefCounsel, two attorneys, and five support staff. AllBoard staff members are full-time CommonwealthState employees.

The Board’s legal staff, which consists of attorneys, aparalegal and investigators, is responsible for the eval-uation and investigation of complaints. The attorneysare primarily responsible for reviewing and evaluatingnew complaints. The investigators are primarilyresponsible for conducting in-house and on-site inves-tigations. The paralegal is responsible for performinglegal research.

The three attorneys serve as trial counsel during proceedings before the Court of Judicial Discipline andare responsible for preparing cases and presenting theevidence that supports the charges before the Court ofJudicial Discipline.

The Chief Counsel heads the staff and reports directlyto the Board. The Chief Counsel is also the primaryliaison between the Board and the judiciary, the publicand the media.

Outreach and EducationIn 2002, the Chief Counsel and Board members madenumerous presentations at judicial training courses andcourt-staff conferences, describing the Board and dis-cussing various forms of judicial misconduct.

Board WebsiteThe Board’s website appears at wwwwww..jjuuddiicciiaallccoonndduuccttbbooaarrddooffppaa..oorrgg.. The website provides downloadable complaint forms. The websitealso offers answers to frequently-asked questionsregarding the Board, such as its composition, structure

harassment or official oppression. Such conduct issubject to the same review by the Board.

Sources of Complaints and AllegationsThe Board has the duty to consider allegations fromany source, including an individual, a news article, orinformation received in the course of an investigation.Although the Board does accept anonymous com-plaints, they are much more difficult to fully investigate.

Board LimitationsThe Board cannot exercise appellate review of a caseor change the decision or ruling of any court, nor canthe Board intervene in a pending case or proceeding.For example, if the Board finds a judge’s actions to bemisconduct, the Board can only file formal chargesand seek appropriate sanctions against the judge,which could include the judge’s removal from thebench. However, even removal would not change thejudge’s ruling in the underlying case. Only the appel-late process is empowered to change the decision of acourt.

Likewise, the Board cannot provide individual legalassistance or advice to a complainant. The Board can-not remove a judge from a case. The Board cannotaward damages or provide monetary relief to complainants.

Board Investigations and ActionsCases are reviewed, analyzed, and investigated by theBoard staff. The first step in an investigation involves apreliminary inquiry; which may include interviews withthe complainant, attorneys, other witnesses, andreview of relevant documents. The full Board thenconsiders the results of the investigation in reviewingthe complaint. The Board has several options availablewhen deciding whether to take action on a case. Atthis stage, the Board is most likely to make one of twochoices:

• Dismiss the complaint because it is clear that theallegations do not warrant disciplinary actionsagainst the accused judge; or

• Authorize a full investigation to determine if there is“clear and convincing evidence” of misconduct.

After a full investigation is authorized and conducted,the Board makes one of two choices:

• Dismiss the complaint because there is not “clearand convincing evidence” of judicial misconduct; or

• File formal charges against the accused judge with

OR

OR

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Public InformationThe availability of information and records maintainedby the Board is governed by Article V, Section 18(a)(8)of the Pennsylvania Constitution.

Generally, Board records are confidential. All Boardmeetings and proceedings are closed to the public toprotect complainants from retaliation by accusedjudges and judges from the embarrassment of com-plaints that have no merit.

Once formal charges are filed with the Court of JudicialDiscipline, the case is no longer confidential and allpleadings and proceedings are open to the public.

and jurisdiction; the judicial complaint process; and adescription of the range of decisions the Court of Judi-cial Discipline can make, from dismissal to sanction.Further, the website provides links of interest to otherwebsites dealing with judicial ethics.

Also included are the Board’s governing provisions:Code of Judicial Conduct; Pennsylvania Constitution,Article V, Section 18, Rules Governing Standards ofConduct of District Justices and other pertinent rulesand codes.

APPLICATION FORRELIEF IN

SUPREME COURT

INTERIM SUSPENSIONw/wo PAY

PETITION FOR RELIEF

EMERGENCY RELIEFIN COURT OF

JUDICIAL DISCIPLINE

INFORMATIONRECEIVED BY CHIEF

COUNSEL

CONFIDENTIALCOMPLAINT FILED

REVIEW BY CHIEFCOUNSEL

REFERRAL TOOTHER AGENCY

PRELIMINARYINVESTIGATION

NOTICE OF FULLINVESTIGATION

DISMISSAL

RESPOND IN20 DAYS

180-DAYINVESTIGATION

LETTER OFCOUNSEL

DISMISSAL

CHARGES COURT OFJUDICIAL DISCIPLINE

STIPULATIONSOF FACTPUBLIC TRIALCHARGES DISMISSED

SUBJECT TODISCIPLINE

SANCTIONS HEARING

SUSPENSION,REMOVAL,

OTHER DISCIPLINE

APPEAL

SUPREME COURT

180-DAYEXTENSION

PHYSICAL/MENTALEXAM RESIGNATION

INTERVENTION FORMENTAL ILLNESS

SUBSTANCE ABUSE

LEAVE OF ABSENCEFOR REHABILITATION

REHABILITATIONDOCTOR’S REPORTTO BOARD

REHABILITATION RESIGNATION

CHARGES COURT OFJUDICIAL DISCIPLINE

CHARGES DISMISSED

CHARGES DISMISSED

DEFER INVESTIGATIONUNTIL CRIMINAL

CHARGES ADJUDICATED

Judicial Conduct BoardComplaint Process

14

cials and miscellaneous individuals. Board staffresponded to each of these complaints and, whenappropriate, the Board made referrals.

Complaint DispositionsThe following case disposition statistics are based oncases completed by the Board in 2002, regardless ofwhen the complaints were received. In 2002, theBoard disposed of 528 cases. The following graph dis-plays the number of cases disposed of by the Boardover the years.

Closed without ActionIn 288 of the 307 cases closed in 2002, a sufficientshowing of misconduct did not appear after the infor-mation necessary to evaluate the complaint wasobtained and reviewed. In other words, these files hadinsufficient facts that, even if true, would constitutejudicial misconduct. Investigation showed that the alle-gations were unfounded or unprovable, or the judgegave an adequate explanation of the situation.

Notice of Full InvestigationIn 2002, the Board issued 11 notices of full investigations and two cautionary letters of counsel.

Formal ChargesThe Board filed 11 Board Complaints in 2002.

Letters of CounselThe Board issued two Letters of Counsel in 2002.

III. ConfidentialityBoard proceedings are strictly confidential, includingthe fact that there is a complaint or investigation, as provided in Article V, Section 18(a)(8) of the Constitu-

IV. Summary of Board Activity in 2002 and Statistical DataComplaints Received and InvestigatedIn 2002, there were 1,200 judgeships within theBoard’s jurisdiction.

JUDICIAL POSITIONSACTIVE SENIORJUDGES JUDGES

Supreme Court 7 0Superior Court 15 8Commonwealth 9 7Common Pleas 408 82District Justices 550 75Philadelphia Municipal Court 25 5Pittsburgh Municipal Court 7 2TOTAL 1,021 179

New Complaints

2002 CASELOADSCases Pending 01/01/02 223New Complaints Considered 497Cases Concluded in 2002 528Cases Pending 12/31/02 192

The following graph displays the number of complaints received over the years.

The complaints set forth a wide array of allegations. Asubstantial percentage alleged legal error not involvingmisconduct or expressed dissatisfaction with a judge’sdiscretionary handling of judicial duties.

The Board also received complaints concerning individuals and matters that did not come under theBoard jurisdiction: federal judges, former judges,workers’ compensation judges, other government offi-

tion of the Commonwealth of Pennsylvania, and Rule17 of the Judicial Conduct Board Rules of Procedure(J.C.B.R.P.)

15

Samples of Conduct Found to BeImproperTo maintain confidentiality, it has been necessary toeliminate certain details of individual complaints.Because the listing is intended in part to educate judgesand the public and to assist the Judiciary in avoidingimproper conduct, we think it is better to be vague inthese descriptions than to omit them altogether.

• Intemperate courtroom conduct (e.g., yelling, rude-ness, inappropriate language)

• Ex parte or other improper communication

• Delay in performing judicial duties (e.g., in adminis-tering or deciding case, issuing show cause order indormant estates, signing final order)

• Abuse of or threat to abuse power (e.g., deniedaccess to records or right to make record, retaliat-ed against person who filed substitution request orcooperated with Judicial Conduct Board, threat-ened to jail a person without legal authority to doso, abuse of summary contempt)

• Failure to disqualify or disclose facts relevant toappearance of partiality

• Public comments on a pending case or prejudgment

• Inappropriate off-the-bench conduct

• Active participation in criminal plea-bargaining

• Interfering with a party’s right to appeal

• Partisan political activity

• Obstruction of justice

• Misuse of prestige of office

• Charitable or political fund-raising

• Violation of gift rule

Closed with Action

Summary of Complaints Considered in 2002The 589 requests for investigation received by theBoard derived from various sources (litigants, non-liti-gants, attorneys, etc.), covered the following subjectmatter, and were lodged against the following types ofjudges. The totals may not equal 589, as some griev-ances cover more than one judge or contain morethan one type of alleged misconduct.

SUBJECT MATTER OF COMPLAINTS

CATEGORIES OF RESPONDENT JUDGESDuring 2002, the Board opened 497* complaintsagainst judicial officers. The following chart reflects thebreakdown of those complaints by category of judges.

* Several files contained complaints against multiple judges; e.g.,02-110 ABC = 3 files.

DISPOSITIONAL BREAKDOWNDuring 2002, the Board disposed of 528 complaints.The following chart reflects the stage at which ultimatedisposition occurred.

16

• Public intoxication

• Physical or mental disability

• Sexual misconduct

• Use of intoxicating beverages or dangerous drugsin such a way as to interfere with the proper per-formance of judicial duties.

• Inaccurate or incomplete financial disclosure report

• Actively discouraging entry of not guilty pleas

• Accepting public official’s plea in chambers

• Private use of public resources

• Name used to promote a private business or organization

1998 462 169 291 453 18 8 2 0

1999 522 245 272 479 27 7 3 1

2000 595 190 405 543 34 7 3 1

2001 556 161 395 612 23 5 4 0

2002 577 174 403 307 11 2 6 0

AVERAGE 515 180 332 490 22 8 6 <1

TOTAL 4,631 1,623 2,988 4,410 198 72 32 8

COMPLAINTS MINOR COURTS OF L/C FORMAL SUPREMEYEAR RECEIVED JUDICIARY RECORD DISPOSED NOFI’s ISSUED CHARGES COURT

Five-Year Statistical Summary

NOFI — Notice of Full InvestigationL/C — Letter of Counsel

17

proper for the prompt and proper disposition ofthe business of all courts and justices of the peace.

(c) The Supreme Court shall have the power to prescribe general rules governing practice, proce-dure and the conduct of all courts, justices of thepeace and all officers serving process or enforcingorders, judgments or decrees of any court of jus-tice of the peace, including the power to providefor assignment and reassignment of classes ofactions or classes of appeals among the severalcourts as the needs of justice shall require, and foradmission to the bar and to practice law, and theadministration of all courts and supervision of allofficers of the judicial branch, if such rules are con-sistent with this Constitution and neither abridge,enlarge nor modify the substantive rights of any lit-igant, nor affect the right of the General Assemblyto determine the jurisdiction of any court or justiceof the peace, nor suspend nor alter any statute oflimitation or repose. All laws shall be suspended tothe extent that they are inconsistent with rules pre-scribed under these provisions.

[text omitted here]

Adopted April 23, 1968

§16.COMPENSATION AND RETIREMENT OF JUSTICES, JUDGES AND JUSTICES OF THE PEACE

[text omitted here]

(b) Justices, judges and justices of the peace shall beretired upon attaining the age of 70 years. Formerand retired justices, judges and justices of thepeace shall receive such compensation as shall beprovided by law. Except as provided by law, nosalary, retirement benefit or other compensation,

ARTICLE V§1. UNIFIED JUDICIAL SYSTEM

The judicial power of the Commonwealth shall be vestedin a unified judicial system consisting of the SupremeCourt, the Superior Court, the Commonwealth Court,courts of common pleas, community courts, municipaland traffic courts in the City of Philadelphia, such othercourts as may be provided by law and justices of thepeace. All courts and justices of the peace and theirjurisdiction shall be in this unified judicial system.

Adopted April 23, 1968.

§2. SUPREME COURT

The Supreme Court

(a) shall be the highest court of the Commonwealthand in this court shall be reposed the supreme judi-cial power of the Commonwealth;

(b) shall consist of seven justices, one of whom shallbe the Chief Justice; and

(c) shall have such jurisdiction as shall be provided bylaw.


§10.JUDICIAL ADMINISTRATION

(a) The Supreme Court shall exercise general supervi-sory and administrative authority over all the courtsand justices of the peace, including authority totemporarily assign judges and justices of the peacefrom one court or district to another as it deemsappropriate.

(b) The Supreme Court shall appoint a court administrator and may appoint such subordinateadministrators and staff as may be necessary and

V. AppendicesSELECTED PROVISIONS OF

THE CONSTITUTION OFTHE COMMONWEALTH OF PENNSYLVANIA

Page

ARTICLE V

SECTION 1. Unified Judicial System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

SECTION 2. Supreme Court . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

SECTION 10. Judicial Administration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

SECTION 16. Compensation and Retirement ofJustices, Judges and Justices of the Peace . . . . . . . . . . . . . . . . 17

SECTION 17. Prohibited Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

SECTION 18. Suspension, Removal, Discipline and Other Sanctions . . . . . . . . 18

18

(2) The judge from either the Superior Court orthe Commonwealth Court, the justice of thepeace, one non-judge member of the bar ofthe Supreme Court and three non- lawyerelectors shall be appointed to the board by theSupreme Court. The judge from the courts ofcommon pleas, two non-judge members of thebar of the Supreme Court and three non-lawyer electors shall be appointed to the boardby the Governor.

(3) Except for the initial appointees whose termsshall be provided by the schedule to this arti-cle, the members shall serve for terms of fouryears. All members must be residents of thisCommonwealth. No more than three of the sixmembers appointed by the Supreme Courtmay be registered in the same political party.No more than three of the six membersappointed by the Governor may be registeredin the same political party. Membership of ajudge or justice of the peace shall terminate ifthe member ceases to hold the judicial positionthat qualified the member for the appointment.Membership shall terminate if a memberattains a position that would have rendered themember ineligible for appointment at the timeof the appointment. A vacancy shall be filledby the respective appointing authority for theremainder of the term to which the memberwas appointed. No member may serve morethan four consecutive years but may be reap-pointed after a lapse of one year. The Gover-nor shall convene the board for its first meet-ing. At that meeting and annually thereafter,the members of the board shall elect a chair-person. The board shall act only with the con-currence of a majority of its members.

(4) No member of the board, during the member’sterm, may hold office in a political party orpolitical organization. Except for a judicialmember, no member of the board, during themember’s term, may hold a compensatedpublic office or public appointment. All mem-bers shall be reimbursed for expenses neces-sarily incurred in the discharge of their officialduties.

(5) The board shall prescribe general rules governing the conduct of members. A membermay be removed by the board for a violation ofthe rules governing the conduct of members.

(6) The board shall appoint a chief counsel andother staff, prepare and administer its ownbudget as provided by law, exercise supervisoryand administrative authority over all board

present or deferred, shall be paid to any justice,judge or justice of the peace who, under section 18or under Article VI, is suspended, removed orbarred from holding judicial office for conviction ofa felony or misconduct in office or conduct whichprejudices the proper administration of justice orbrings the judicial office into disrepute.

[text omitted here]

Adopted April 23, 1968. Amended May 18, 1993.

§17. PROHIBITED ACTIVITIES

(a) Justices and judges shall devote full time to theirjudicial duties, and shall not engage in the practiceof law, hold office in a political party or politicalorganization, or hold an office or position of profitin the government of the United States, the Com-monwealth or any municipal corporation or politi-cal subdivision thereof, except in the armed serviceof the United States or the Commonwealth.

(b) Justices and judges shall not engage in any activityprohibited by law and shall not violate any canonof legal or judicial ethics prescribed by theSupreme Court. Justices of the peace shall be gov-erned by rules or canons which shall be prescribedby the Supreme Court.

(c) No justice, judge or justice of the peace shall bepaid or accept for the performance of any judicialduty or for any service connected with his office,any fee, emolument or perquisite other than thesalary and expenses provided by law.

(d) No duties shall be imposed by law upon theSupreme Court or any of the justices thereof or theSuperior Court or any of the judges thereof, exceptsuch as are judicial, nor shall any of them exerciseany power of appointment except as provided inthis Constitution.


§18.SUSPENSION, REMOVAL, DISCIPLINE AND OTHER SANCTIONS

(a) There shall be an independent board within theJudicial Branch, known as the Judicial ConductBoard, the composition, powers and duties ofwhich shall be as follows:

(1) The board shall be composed of 12 members,as follows: two judges, other than seniorjudges, one from the courts of common pleasand the other from either the Superior Courtor the Commonwealth Court, one justice of thepeace who need not be a member of the barof the Supreme Court, three non-judge mem-bers of the bar of the Supreme Court and sixnon-lawyer electors.

19

plaint, the contents and nature of the com-plaint, the actions taken in the conduct of theinvestigation and the results and conclusions ofthe investigation. The board may include witha report a copy of information or evidenceacquired in the course of the investigation.

(9) If the board finds probable cause to file formalcharges concerning mental or physical disabili-ty against a justice, judge or justice of thepeace, the board shall so notify the subject ofthe charges and provide the subject with anopportunity to resign from judicial office, orwhen appropriate, to enter a rehabilitationprogram prior to the filing of the formalcharges with the Court of Judicial Discipline.

(10)Members of the board and its chief counseland staff shall be absolutely immune from suitfor all conduct in the course of their officialduties. No civil action or disciplinary complaintpredicated upon the filing of a complaint orother documents with the board or testimonybefore the board may be maintained againstany complainant, witness or counsel.

(b) There shall be a Court of Judicial Discipline, thecomposition, powers and duties of which shall beas follows:

(1) The court shall be composed of a total of eightmembers as follows: three judges other thansenior judges from the courts of commonpleas, the Superior Court or the Common-wealth Court, one justice of the peace, twonon-judge members of the bar of the SupremeCourt and two non-lawyer electors. Twojudges, the justice of the peace and one non-lawyer elector shall be appointed to the courtby the Supreme Court. One judge, the twonon-judge members of the bar of the SupremeCourt and one non-lawyer elector shall beappointed to the court by the Governor.

(2) Except for the initial appointees whose termsshall be provided by the schedule to this article,each member shall serve for a term of fouryears; however, the member, rather than themember’s successor, shall continue to partici-pate in any hearing in progress at the end ofthe member’s term. All members must be resi-dents of this Commonwealth. No more thantwo of the members appointed by the SupremeCourt may be registered in the same politicalparty. No more than two of the membersappointed by the Governor may be registeredin the same political party. Membership of ajudge or justice of the peace shall terminate ifthe judge or justice of the peace ceases to hold

staff and board functions, establish and prom-ulgate its own rules of procedure, prepare anddisseminate an annual report and take otheractions as are necessary to ensure its efficientoperation. The budget request of the boardshall be made by the board as a separate itemin the request submitted by the Supreme Courton behalf of the Judicial Branch to the GeneralAssembly.

(7) The board shall receive and investigate complaints regarding judicial conduct filed byindividuals or initiated by the board; issue sub-poenas to compel testimony under oath of wit-nesses, including the subject of the investiga-tion, and to compel the production of docu-ments, books, accounts and other records rel-evant to the investigation; determine whetherthere is probable cause to file formal chargesagainst a justice, judge or justice of the peacefor conduct proscribed by this section; andpresent the case in support of the chargesbefore the Court of Judicial Discipline.

(8) Complaints filed with the board or initiated bythe board shall not be public information.Statements, testimony, documents, records orother information or evidence acquired by theboard in the conduct of an investigation shallnot be public information. A justice, judge orjustice of the peace who is the subject of acomplaint filed with the board or initiated bythe board or of an investigation conducted bythe board shall be apprised of the nature andcontent of the complaint and afforded anopportunity to respond fully to the complaintprior to any probable cause determination bythe board. All proceedings of the board shallbe confidential except when the subject of theinvestigation waives confidentiality. If, inde-pendent of any action by the board, the factthat an investigation by the board is inprogress becomes a matter of public record,the board may, at the direction of the subjectof the investigation, issue a statement to con-firm that the investigation is in progress, toclarify the procedural aspects of the proceed-ings, to explain the rights of the subject of theinvestigation to a fair hearing without prejudg-ment or to provide the response of the subjectof the investigation to the complaint. In actingto dismiss a complaint for lack of probablecause to file formal charges, the board may, atits discretion, issue a statement or report to thecomplainant or to the subject of the complaint,which may contain the identity of the com-plainant, the identity of the subject of the com-

20

right to subpoena witnesses and to compel theproduction of documents, books, accountsand other records as relevant. The subject ofthe charges shall be presumed innocent in anyproceeding before the court, and the boardshall have the burden of proving the chargesby clear and convincing evidence. All decisionsof the court shall be in writing and shall con-tain findings of fact and conclusions of law. Adecision of the court may order removal fromoffice, suspension, censure or other disciplineas authorized by this section and as warrantedby the record.

(6) Members of the court and the court’s staffshall be absolutely immune from suit for allconduct in the course of their official duties,and no civil action or disciplinary complaintpredicated on testimony before the court maybe maintained against any witness or counsel.

(c) Decisions of the court shall be subject to review asfollows:

(1) A justice, judge or justice of the peace shallhave the right to appeal a final adverse orderof discipline of the court. A judge or justice ofthe peace shall have the right to appeal to theSupreme Court in a manner consistent withrules adopted by the Supreme Court; a justiceshall have the right to appeal to a special tribu-nal composed of seven judges, other than sen-ior judges, chosen by lot from the judges ofthe Superior Court and Commonwealth Courtwho do not sit on the Court of Judicial Disci-pline or the board, in a manner consistent withrules adopted by the Supreme Court. The spe-cial tribunal shall hear and decide the appeal inthe same manner in which the Supreme Courtwould hear and decide an appeal from anorder of the court.

(2) On appeal, the Supreme Court of special tribunal shall review the record of the proceed-ings of the court as follows: on the law, thescope of review is plenary; on the facts, thescope of review is clearly erroneous; and, as tosanctions, the scope of review is whether thesanctions imposed were lawful. The SupremeCourt or special tribunal may revise or rejectan order of the court upon a determinationthat the order did not sustain this standard ofreview; otherwise, the Supreme Court or spe-cial tribunal shall affirm the order of the court.

(3) An order of the court which dismisses a complaint against a judge or justice of thepeace may be appealed by the board to thesupreme court, but the appeal shall be limited

the judicial position that qualified the judge orjustice of the peace for appointment. Member-ship shall terminate if a member attains a posi-tion that would have rendered that personineligible for appointment at the time of theappointment. A vacancy on the court shall befilled by the respective appointing authority forthe remainder of the term to which the mem-ber was appointed in the same manner inwhich the original appointment occurred. Nomember of the court may serve more thanfour consecutive years but may be reappointedafter a lapse of one year.

(3) The court shall prescribe general rules governing the conduct of members. A membermay be removed by the court for a violation ofthe rules of conduct prescribed by the court.No member, during the member’s term ofservice, may hold office in any political partyor political organization. Except for a judicialmember no member of the court, during themember’s term of service, may hold a com-pensated public office or public appointment.All members of the court shall be reimbursedfor expenses necessarily incurred in the dis-charge of their official duties.

(4) The court shall appoint staff and prepare andadminister its own budget as provided by lawand undertake actions needed to ensure itsefficient operation. All actions of the court,including disciplinary action, shall requireapproval by a majority vote of the members ofthe court. The budget request of the courtshall be made as a separate item in the requestby the Supreme Court on behalf of the JudicialBranch to the General Assembly. The courtshall adopt rules to govern the conduct of pro-ceedings before the court.

(5) Upon the filing of formal charges with thecourt by the board, the court shall promptlyschedule a hearing or hearings to determinewhether a sanction should be imposed againsta justice, judge or justice of the peace pur-suant to the provisions of this section. Thecourt shall be a court of record, with all theattendant duties and powers appropriate to itsfunction. Formal charges filed with the courtshall be a matter of public record. All hearingsconducted by the court shall be public pro-ceedings conducted pursuant to the rulesadopted by the court and in accordance withthe principles of due process and the law ofevidence. Parties appearing before the courtshall have a right to discovery pursuant to therules adopted by the court and shall have the

21

any appeal, the justice, judge or justice of thepeace shall be suspended or removed fromoffice; and the salary of the justice, judge orjustice of the peace shall cease from the dateof the order.

(2) Prior to a hearing, the court may issue aninterim order directing the suspension, with orwithout pay, of any justice, judge or justice ofthe peace against whom formal charges havebeen filed with the court by the board oragainst whom has been filed an indictment orinformation charging a felony. An interimorder under this paragraph shall not be con-sidered a final order from which an appealmay be taken.

(3) A justice, judge or justice of the peace convicted of misbehavior in office by a court,disbarred as a member of the bar of theSupreme Court or removed under this sectionshall forfeit automatically his judicial office andthereafter be ineligible for judicial office.

(4) A justice, judge or justice of the peace whofiles for nomination for or election to any pub-lic office other than a judicial office shall forfeitautomatically his judicial office.

(5) This section is in addition to and not in substitution for the provisions for impeach-ment for misbehavior in office contained inArticle VI. No justice, judge or justice of thepeace against whom impeachment proceed-ings are pending in the senate shall exerciseany of the duties of office until acquittal.

Adopted April 23, 1968. Amended May 18, 1993.

to questions of law. An order of the courtwhich dismisses a complaint against a justiceof the supreme Court may be appealed by theboard to a special tribunal in accordance withparagraph (1), but the appeal shall be limitedto questions of law.

(4) No justice, judge or justice of the peace mayparticipate as a member of the board, thecourt, a special tribunal or the Supreme Courtin any proceeding in which the justice, judgeor justice of the peace is a complainant, thesubject of a complaint, a party or a witness.

(d) A justice, judge or justice of the peace shall be subject to disciplinary action pursuant to this sec-tion as follows:

(1) A justice, judge or justice of the peace may besuspended, removed from office or otherwisedisciplined for conviction of a felony; violationof section 17 of this article; misconduct inoffice; neglect or failure to perform the dutiesof office or conduct which prejudices theproper administration of justice or brings thejudicial office into disrepute, whether or notthe conduct occurred while acting in a judicialcapacity or is prohibited by law; or conduct in violation of a canon or rule prescribed by theSupreme Court. In the case of a mentally orphysically disabled justice, judge or justice ofthe peace, the court may enter an order ofremoval from office, retirement, suspension orother limitations on the activities of the justice,judge or justice of the peace as warranted bythe record. Upon a final order of the court forsuspension without pay or removal, prior to

22

CODE OF JUDICIAL CONDUCTPage

CANON 1. A Judge Should Uphold the Integrity and Independence of theJudiciary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

CANON 2. A Judge Should Avoid Impropriety and the Appearance of Impropriety in All His Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

CANON 3. A Judge Should Perform the Duties of His Office Impartially and Diligently . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

CANON 4. A Judge May Engage in Activities to Improve the Law, the Legal System, and the Administration of Justice . . . . . . . . . . . . . . . . . . . . 25

CANON 5. A Judge Should Regulate His Extra-judicial Activities to Minimize the Risk of Conflict with His Judicial Duties . . . . . . . . . . . . . . . . . . . 25

CANON 6. Compensation Received for Quasi-judicial and Extra-judicial Activates Permitted by this Code . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

CANON 7. A Judge Should Refrain from Political Activity Inappropriate to His Judicial Office. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

Compliance with the Code of Judicial Conduct. . . . . . . . . . . . . . . . . 28

Effective Date of Compliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

Reliance on Advisory Opinions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

Canon 1. A JUDGE SHOULD UPHOLD THE INTEGRITYAND INDEPENDENCE OF THE JUDICIARY

An independent and honorable judiciary is indispensableto justice in our society. A judge should participate inestablishing, maintaining, and enforcing, and shouldhimself observe, high standards of conduct so that theintegrity and independence of the judiciary may be pre-served. The provisions of this Code should be construedand applied to further that objective.

Canon 2. A JUDGE SHOULD AVOID IMPROPRIETY ANDTHE APPEARANCE OF IMPROPRIETY IN ALL HIS ACTIVITIES

A. A judge should respect and comply with the law andshould conduct himself at all times in a manner thatpromotes public confidence in the integrity and impar-tiality of the judiciary.

B. A judge should not allow his family, social, or otherrelationships to influence his judicial conduct or judg-ment. He should not lend the prestige of his office toadvance the private interests of others; nor should heconvey or knowingly permit others to convey theimpression that they are in a special position to influ-ence him. He should not testify voluntarily as a charac-ter witness.

Commentary

Public confidence in the judiciary is eroded by irresponsible or improper conduct of judges. A judgemust avoid all impropriety and appearance of impropri-ety. He must expect to be the subject of constant public

scrutiny. He must therefore accept restrictions on hisconduct that might be viewed as burdensome by theordinary citizen and should do so freely and willingly.

The testimony of a judge as a character witness injectsthe prestige of his office into the proceeding in whichhe testifies and may be misunderstood to be an officialtestimonial. This Canon, however, does not afford hima privilege against testifying in response to an officialsummons.

Canon 3. A JUDGE SHOULD PERFORM THE DUTIES OFHIS OFFICE IMPARTIALLY AND DILIGENTLY

The judicial duties of a judge take precedence over allhis other activities. His judicial duties include all theduties of his office prescribed by law. In the perform-ance of these duties, the following standards apply:

A. Adjudicative Responsibilities

(1) A judge should be faithful to the law and maintainprofessional competence in it. He should beunswayed by partisan interests, public clamor, orfear of criticism.

(2) A judge should maintain order and decorum inproceedings before him.

(3) A judge should be patient, dignified, and courteousto litigants, jurors, witnesses, lawyers, and otherswith whom he deals in his official capacity, andshould require similar conduct of lawyers, and ofhis staff, court officials, and others subject to hisdirection and control.

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Commentary

The duty to hear all proceedings fairly and withpatience is not inconsistent with the duty to disposepromptly of the business of the court. Courts can beefficient and business- like while being patient anddeliberate.

(4) A judge should accord to every person who islegally interested in a proceeding, or his lawyer, fullright to be heard according to law, and, except asauthorized by law, must not consider ex partecommunications concerning a pending proceeding.

(5) A judge should dispose promptly of the business ofthe court.

Commentary

Prompt disposition of the court’s business requires ajudge to devote adequate time to his duties, to be punc-tual in attending court and expeditious in determiningmatters under submission, and to insist that court offi-cials, litigants and their lawyers cooperate with him tothat end.

(6) A judge should abstain from public comment abouta pending proceeding in any court, and shouldrequire similar abstention on the part of court per-sonnel subject to his direction and control. Thissubsection does not prohibit judges from makingpublic statements in the course of their officialduties or from explaining for public information theprocedures of the court.

Commentary

“Court personnel” does not include the lawyers in aproceeding before a judge. The conduct of lawyers isgoverned by DR 7-107 of the Code of ProfessionalResponsibility.

(7) A judge should prohibit broadcasting, televising,recording or taking photographs in the courtroomand areas immediately adjacent thereto during ses-sions of court or recesses between sessions, exceptthat a judge may authorize:

(a) the use of electronic or photographic meansfor the presentation of evidence, for the per-petuation of a record, or for other purposes ofjudicial administration;

(b) the broadcasting, televising, recording, or photographing of investitive, ceremonial, ornaturalization proceedings;

(c) the photographic or electronic recording andreproduction of appropriate court proceedingsunder the following conditions:

(i) the means of recording will not distractparticipants or impair the dignity of theproceedings; and

(ii) the parties have consented, and the consent to being depicted or recorded hasbeen obtained from each witness appear-ing in the recording and reproductions; and

(iii) the reproduction will not be exhibited untilafter the proceedings has been concludedand all direct appeals have been exhausted;and

(iv) the reproduction will be exhibited only forinstructional purposes in educational institutions.

(d) the use of electronic broadcasting televising,recording and taking photographs in thecourtroom and areas immediately adjacentthereto during sessions of court or recessesbetween sessions of any trial court non-jurycivil proceeding, however, for the purposes ofthis subsection “civil proceedings” shall not beconstrued to mean a support, custody ordivorce proceedings. Subsection (iii) and (iv)shall not apply to non-jury civil proceedings asheretofore defined. No witness or party whoexpresses any prior objection to the judge shallbe photographed nor shall the testimony ofsuch witness or party be broadcast or telecast.Permission for the broadcasting, televising,recording and photographing of any civil non-jury proceeding shall have first been expresslygranted by the judge, and under such condi-tions as the judge may prescribe in accordancewith the guidelines contained in this Order.

Publisher’s Note

Paragraph 2 of the order of the Supreme Court ofSept. 20, 1979, amending Canon 3(A)(7) of the Codeof Judicial Conduct by adding paragraph (d), providedas follows:

“a. Officers of Court. The judge has the authority todirect whether broadcast equipment may be takenwithin the courtroom. The broadcast news personshould advise the tipstaff prior to the start of acourt session that he or she desires to electronicallyrecord and/or broadcast live from within the court-room. The tipstaff may have prior instructions fromthe judge as to where the broadcast reporterand/or camera operator may position themselves.In the absence of any directions from the judge ortipstaff, the position should be behind the frontrow of spectator seats by the least used aisle wayor other unobtrusive but viable location.

“b. Pooling. Unless the judge directs otherwise, nomore than one TV camera should be taking pic-tures in the courtroom at any one time. Where cov-erage is by both radio and TV, the microphones

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(3) A judge should take or initiate appropriate disciplinary measures against a judge or lawyer forunprofessional conduct of which the judge maybecome aware.

Commentary

Disciplinary measures may include reporting a judge’sor lawyer’s misconduct to an appropriate disciplinarybody.

(4) A judge should not make unnecessary appointments.He should exercise his power of appointment onlyon the basis of merit, avoiding favoritism. Heshould not approve compensation of appointeesbeyond the fair value of services rendered.

Commentary

Appointees of the judge include officials such as referees,commissioners, special masters, receivers, guardiansand personnel such as clerks, secretaries, and bailiffs.Consent by the parties to an appointment or an awardof compensation does not relieve the judge of the obli-gation prescribed by this subsection.

C. Disqualification

(1) A judge should disqualify himself in a proceeding inwhich his impartiality might reasonably be ques-tioned, including but not limited to instances where:

(a) he has a personal bias or prejudice concerninga party, or personal knowledge of disputedevidentiary facts concerning the proceeding;

(b) he served as lawyer in the matter of controversy, or a lawyer with whom he previ-ously practiced law served during such associ-ation as a lawyer concerning the matter, or thejudge or such lawyer has been a material wit-ness concerning it;

Commentary

A lawyer in a governmental agency does not necessarilyhave an association with other lawyers employed bythat agency within the meaning of this subsection; ajudge formerly employed by a governmental agency,however, should disqualify himself in a proceeding if hisimpartiality might reasonably be questioned because ofsuch association.

(c) he knows that he, individually or as a fiduciary,or his spouse or minor child residing in hishousehold, has a substantial financial interestin the subject matter in controversy or in aparty to the proceeding, or any other interestthat could be substantially affected by the out-come of the proceeding;

(d) he or his spouse, or a person within the thirddegree of relationship to either of them, or thespouse of such a person:

used by TV should also serve for radio and radioshould be permitted to feed from the TV soundsystem. Multiple radio feeds, if any, should be pro-vided by a junction box outside of the courtroom,such as in the adjacent public hallway. It should bethe responsibility of each broadcast news represen-tative present at the opening of each session ofcourt to achieve an understanding with all otherbroadcast representatives as to who will function atany given time, or, in the alternative, how they willpool their photo graphic coverage. This under-standing should be reached outside the courtroomand without imposing on the judge or court per-sonnel.

“Broadcast coverage outside the courtroom should behandled with care and discretion, but need not bepooled.

“c. Broadcast Equipment. All running wires usedshould be securely taped to the floor. All broad-casting equipment should be handled as inconspic-uously and quietly as reasonably possible. Sufficientfile and/or tape capacities should be provided toobviate film and/or tape changes except duringcourt recess. No camera should give any indicationof whether it is or is not operating, such as the redlight on some studio cameras. No additional lightsshould be used without the specific approval of thepresiding judge, and then only as he may specifi-cally approve.

“d. Decorum. Broadcast representatives’ dress shouldnot set them apart unduly from other trial specta-tors. Camera operators should not move tripod-mounted cameras except during court recesses. Allbroadcast equipment should be in place and readyto function no less than five minutes before thebeginning of each session of court.”

Paragraph 3 of the order of Sept. 20, 1979, providedthat at the expiration of the one year period duringwhich such order is effective, “Canon 3(A)7 shall bereinstated, without further order of this court, in itsform immediately prior to the entry of this Order.”

Order of the Supreme Court of Oct. 1, 1980, providedthat the order of Sept. 20, 1979, should remain ineffect until further order of said court.

B. Administrative Responsibilities

(1) A judge should diligently discharge his administrative responsibilities, maintain professionalcompetence in judicial administration, and facilitatethe performance of the administrative responsibili-ties of other judges and court officials.

(2) A judge should require his staff and court officialssubject to his direction and control to observe thestandards of fidelity and diligence that apply to him.

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or a similar proprietary interest, is a sub-stantial “financial interest” in the organiza-tion only if the outcome of the proceedingcould substantially affect the value of theinterest;

(iv) ownership of securities is a “financialinterest” in the issuer only if the outcomeof the proceeding could substantiallyaffect the value of securities.

Amended September 20, 1979, effective October 1, 1979;amended effective October 1, 1980.

Canon 4. A JUDGE MAY ENGAGE IN ACTIVITIES TOIMPROVE THE LAW, THE LEGAL SYSTEM, AND THEADMINISTRATION OF JUSTICE

A judge, subject to the proper performance of his judicialduties, may engage in the following quasi-judicial activities,if in doing so he does not cast doubt on his capacity todecide impartially any issue that may come before him:

A. He may speak, write, lecture, teach, and participate inother activities concerning the law, the legal system,and the administration of justice.

B. He may appear at a public hearing before an executiveor legislative body or official on matters concerning thelaw, the legal system, and the administration of justice,and he may otherwise consult with an executive or leg-islative body or official, but only on matters concerningthe administration of justice.

C. He may serve as a member, officer, or director of anorganization or governmental agency developed to theimprovement of the law, the legal system, or the admin-istration of justice. He may assist such an organizationin raising funds and may participate in their manage-ment and investment, but should not personally partici-pate in public fund raising activities. He may make rec-ommendations to public and private fund-grantingagencies on projects and programs concerning the law,the legal system, and the administration of justice.

Commentary

As a judicial officer and person specially learned in thelaw, a judge is in a unique position to contribute to theimprovement of the law, the legal system, and theadministration of justice. To the extent that his time per-mits, he is encouraged to do so, either independently orthrough a bar association, judicial conference, or otherorganization dedicated to the improvement of law.

Extra-judicial activities are governed by Canon 5.

Canon 5. A JUDGE SHOULD REGULATE HIS EXTRA-JUDICIAL ACTIVITIES TO MINIMIZE THE RISK OF CONFLICTWITH HIS JUDICIAL DUTIES

A. Avocational Activities

A judge may write, lecture, teach, and speak on non-

(i) is a party to the proceeding, or an officer,director, or trustee of a party;

(ii) is acting as a lawyer in the proceeding;

Commentary

The fact that a lawyer in a proceeding is affiliated witha law firm with which a lawyer- relative of the judge isaffiliated does not of itself disqualify the judge. Underappropriate circumstances, the fact that “his impartialitymight reasonably be questioned” under Canon 3C(1),or that the lawyer-relative is known by the judge tohave an interest in the law firm that could be “substan-tially affected by the outcome of the proceeding” underCanon 3C(1)(d)(iii) may require his disqualification.

(iii) is known by the judge to have an interestthat could be substantially affected by theoutcome of the proceeding;

(iv) is to the judge’s knowledge likely to be amaterial witness in the proceeding.

(2) A judge should inform himself about his personaland fiduciary financial interests, and make a rea-sonable effort to inform himself about the personalfinancial interests of his spouse and minor childrenresiding in his household.

(3) For the purposes of this section:

(a) the degree of relationship is calculated according to the civil law system;

Commentary

According to the civil law system, the third degree ofrelationship test would, for example, disqualify thejudge if his or his spouse’s father, grandfather, uncle,brother, or niece’s husband were a party or lawyer inthe proceeding, but would not disqualify him if a cousinwere a party or lawyer in the proceeding.

(b) “fiduciary” includes such relationships asexecutor, administrator, trustee, and guardian;

(c) “financial interest” means ownership of a legalor equitable interest, if substantial, or a rela-tionship as director, advisor, or other activeparticipant in the affairs of a party, except that:

(i) ownership in a mutual or common investment fund that holds securities is nota “financial interest” in such securitiesunless the judge participates in the man-agement of the fund;

(ii) an office in an educational, religious, charitable, fraternal, or civic organizationis not a “financial interest” in securitiesheld by the organization:

(iii) the proprietary interest of a policy holderin a mutual insurance company, of adepositor in a mutual savings association,

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legal subjects, and engage in the arts, sports, and othersocial and recreational activities, if such avocationalactivities do not detract from the dignity of his office orinterfere with the performance of his judicial duties.

Commentary

Complete separation of a judge from extra-judicialactivities is neither possible nor wise; he should notbecome isolated from the society in which he lives.

B. Civic and Charitable Activities

A judge may participate in civic and charitable activitiesthat do not reflect adversely upon his impartiality orinterfere with the performance of his judicial duties. Ajudge may serve as an officer, director, trustee, or non-legal advisor of an educational, religious, charitable,fraternal, or civic organization not conducted for theeconomic or political advantage of its members, subjectto the following limitations:

(1) A judge should not serve if it is likely that theorganization will be engaged in proceedings thatwould ordinarily come before him or will be regu-larly engaged in adversary proceedings in anycourt.

Commentary

The changing nature of some organizations and of theirrelationship to the law makes it necessary for a judgeregularly to reexamine the activities of each organiza-tion with which he is affiliated to determine if it is prop-er for him to continue his relationship with it. For exam-ple, in many jurisdictions charitable hospitals are nowmore frequently in court than in the past. Similarly, theboards of some legal aid organizations now make poli-cy decisions that may have political significance orimply commitment to causes that may come before thecourts for adjudication.

(2) A judge should not solicit funds for any educational,religious, charitable, fraternal, or civic organization,or use or permit the use of the prestige of his officefor that purpose, but he may be listed as an officer,director, or trustee of such an organization. Heshould not be a speaker or the guest of honor atan organization’s fund raising events, but he mayattend such events.

(3) A judge should not give investment advice to suchan organization, but he may serve on its board ofdirectors or trustees even though it has the respon-sibility for approving investment decisions.

Commentary

A judge’s participation in an organization devoted toquasi-judicial activities is governed by Canon 4.

C. Financial Activities

(1) A judge should refrain from financial and business

dealings that tend to reflect adversely on his impar-tiality, interfere with the proper performance of hisjudicial duties, exploit his judicial position, orinvolve him in frequent transactions with lawyers orpersons likely to come before the court on whichhe serves.

(2) Subject to the requirement of subsection (1), ajudge may hold and manage investments, includingreal estate, and engage in other remunerative activ-ity including the operation of a family business.

Commentary

The Effective Date of Compliance provision of this Codequalifies this subsection with regard to a judge engagedin a family business at the time this Code becomeseffective.

(3) A judge should manage his investments and otherfinancial interests to minimize the number of casesin which he is disqualified. As soon as he can do sowithout serious financial detriment, he should divesthimself of investments and other financial intereststhat might require frequent disqualification.

(4) Information acquired by a judge in his judicialcapacity should not be used or disclosed by him infinancial dealings or for any other purpose notrelated to his judicial duties.

D. Fiduciary Activities

A judge should not serve as the executor, administrator,trustee, guardian, or other fiduciary, except for theestate, trust, or person of a member of his family, andthen only if such service will not interfere with the prop-er performance of his judicial duties. “Member of hisfamily” includes a spouse, child, grandchild, parent,grandparent, or other relative or person with whom thejudge maintains a close familial relationship. As a familyfiduciary a judge is subject to the following restrictions:

(1) He should not serve if it is likely that as a fiduciaryhe will be engaged in proceedings that would ordi-narily come before him, or if the estate, trust, orward becomes involved in adversary proceedingsin the court on which he serves or one under itsappellate jurisdiction.

Commentary

The Effective Date of Compliance provision of this Codequalifies this subsection with regard to a judge who isan executor, administrator, trustee, or other fiduciary atthe time this Code becomes effective.

(2) While acting as a fiduciary a judge is subject to thesame restrictions on financial activities that apply tohim on his personal capacity.

Commentary

A judge’s obligation under this Canon and his obligation

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as a fiduciary may come into conflict. For example, ajudge should resign as trustee if it would result in detri-ment to the trust to divest if of holdings whose reten-tion would place the judge in violation of Canon 5C(3).

E. Arbitration

A judge should not act as an arbitrator or mediator.

F. Practice of Law

A judge should not practice law.

G. Extra-Judicial Appointments

A judge should not accept appointment to a governmental committee, commission, or other positionthat is concerned with issues of fact or policy on mat-ters other than the improvement of the law, the legalsystem, or the administration of justice. A judge, how-ever, may represent his country, state, or locality on cer-emonial occasions or in connection with historical, edu-cational, and cultural activities.

Commentary

Valuable services have been rendered in the past to thestates and the nation by judges appointed by the execu-tive to undertake important extra-judicial assignments.The appropriateness of conferring these assignments onjudges must be reassessed, however, in light of thedemands on judicial manpower created by today’scrowded dockets and the need to protect the courtsfrom involvement in extra-judicial matters that mayprove to be controversial. Judges should not be expect-ed or permitted to accept governmental appointmentsthat could interfere with the effectiveness and independ-ence of the judiciary.

Canon 6. COMPENSATION RECEIVED FOR QUASI-JUDICIALAND EXTRA-JUDICIAL ACTIVATES PERMITTED BY THISCODE

A judge may receive compensation and reimbursementof expenses for the quasi-judicial and extra-judicialactivities permitted by this Code, if the source of suchpayments does not give the appearance of influencingthe judge in his judicial duties or otherwise give theappearance of impropriety, subject to the followingrestrictions:

A. Compensation

Compensation should not exceed a reasonable amountnor should it exceed what a person who is not a judgewould receive for the same activity.

B. Expense Reimbursement

Expense reimbursement should be limited to the actualcost of travel, food, and lodging reasonably incurred bythe judge, and where appropriate to the occasion, byhis spouse.

Canon 7.A JUDGE SHOULD REFRAIN FROM POLITICALACTIVITY INAPPROPRIATE TO HIS JUDICIAL OFFICE

A. Political Conduct in General

(1) A judge or a candidate for election to judicial officeshould not:

(a) act as a leader or hold any office in a politicalorganization;

(b) make speeches for a political organization orcandidate or publicly endorse a candidate forpublic office; except as authorized in subsec-tion A(2);

Commentary

A candidate does not publicly endorse another candidate for public office by having his name on thesame ticket.

(c) solicit funds for or pay an assessment or makea contribution to a political organization orcandidate, attend political gatherings, or pur-chase tickets for political party dinners, orother functions, except as authorized in sub-section A(2);

(2) A judge holding an office filled by public electionbetween competing candidates, or a candidate forsuch office, may, only insofar as permitted by law,attend political gatherings, speak to such gather-ings on his own behalf when he is a candidate forelection or reelection, or speak on behalf of anyjudicial candidate for the same office, identify him-self as a member of a political party, and contributeto a political party or organization.

(3) A judge should resign his office when he becomesa candidate either in a party primary or in a gener-al election for a non-judicial office, except that hemay continue to hold his judicial office while beinga candidate for election to or serving as a delegatein a state constitutional convention, if he is other-wise permitted by law to do so.

(4) A judge should not engage in any other politicalactivity except on behalf of measures to improvethe law, the legal system, or the administration ofjustice.

B. Campaign Conduct

(1) A candidate, including an incumbent judge, for ajudicial office, that is filled either by public electionbetween competing candidates or on the basis of amerit system election:

(a) should maintain the dignity appropriate tojudicial office, and should encourage membersof his family to adhere to the same standardsof political conduct that apply to him;

(b) should prohibit public officials or employeessubject to his direction or control from doingfor him what he is prohibited from doing

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under this Canon; and except to the extentauthorized under subsection B(2) or B(3), heshould not allow any other person to do forhim what he is prohibited from doing underthis Canon;

(c) should not make pledges or promises of conduct in office other than the faithful andimpartial performance of the duties of theoffice; make statements that commit or appearto commit the candidate with respect to cases,controversies or issues that are likely to comebefore the court; or misrepresent his identity,qualifications, present position, or other fact.

(2) A candidate, including an incumbent judge, for ajudicial office that is filled by public electionbetween competing candidates should not himselfsolicit or accept campaign funds, or solicit publiclystated support, but he may establish committees ofresponsible persons to secure and manage theexpenditure of funds for his campaign and toobtain public statements of support for his candi-dacy. Such committees are not prohibited fromsoliciting campaign contributions and public sup-port from lawyers. A candidate’s committees maysolicit funds for his campaign no earlier than thirty(30) days prior to the first day for filing nominatingpetitions or the last day for filing a declaration ofintention to seek reelection on a retention basis,and all fundraising activities in connection withsuch judicial campaign shall terminate no later thanthe last calendar day of the year in which the judi-cial election is held. A candidate should not use orpermit the use of campaign contributions for theprivate benefit of himself or members of his family.

(3) An incumbent judge who is a candidate for retention in or reelection to office without a com-peting candidate may campaign and may obtainpublicly stated support and campaign funds in themanner provided in subsection B(2).

Amended November 9, 1998, effective January 1, 1999.

COMPLIANCE WITH THE CODE OF JUDICIAL CONDUCT

Anyone, whether or not a lawyer, who is an officer of ajudicial system performing judicial functions, includingan officer such as a referee in bankruptcy, special mas-ter, court commission, or magistrate is a judge for thepurpose of this Code. All judges should comply withthis Code except as provided below.

Senior Judge. A senior judge who receives thesame compensation as a full-time judge on thecourt from which he retired and is eligible for recallto judicial service should comply with all the provi-sions of this Code except Canon 5G, but he shouldrefrain from judicial service during the period of anextra-judicial appointment not sanctioned by Canon5G. All other senior judges eligible for recall to judi-cial service should comply with the provisions ofthis Code.

This Code shall not apply to justices of the peace, policemagistrates of the City of Pittsburgh and judges of theTraffic Court of the City of Philadelphia.

Note

Specific rules governing standards of conduct of justicesof the peace, including police magistrates of the City ofPittsburgh and judges of the Traffic Court of the City ofPhiladelphia, are set forth in the Rules Governing Stan-dards of Conduct of Justices of the Peace.

Amended effective January 22, 1974.

EFFECTIVE DATE OF COMPLIANCE

A person to whom this Code becomes applicable shouldarrange his affairs as soon as reasonably possible tocomply with it. If, however, the demands on his timeand the possibility of conflicts of interest are not sub-stantial, a person who holds judicial office on the datethis Code becomes effective may:

(a) continue to act as an officer, director, or nonlegaladvisor of a family business;

(b) continue to act as an executor, administrator,trustee, or other fiduciary for the estate or personof one who is not a member of his family.

The effective date of this Code shall be January 1, 1974.

RELIANCE ON ADVISORY OPINIONS

The Ethics Committee of the Pennsylvania Conferenceof State Trial Judges is designated as the approvedbody to render advisory opinions regarding ethical con-cerns involving judges, justices and other judicial offi-cers subject to the Code of Judicial Conduct, andalthough such opinions are not per se binding uponeither the Judicial Inquiry and Review Board or theSupreme Court of Pennsylvania, action taken in reliancethereupon and pursuant thereto shall be taken intoaccount in determining whether discipline should berecommended or imposed.

Added September 9, 1991.

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RULES GOVERNING STANDARDS OF CONDUCTOF DISTRICT JUSTICES

Page

RULE 1. Integrity and Independence of Judiciary . . . . . . . . . . . . . . . . . . . . . . . . . 29

RULE 2. Impropriety and Appearance of Impropriety to Be Avoided;Voluntary Appearance as Character Witness Prohibited . . . . . . . . . . . . . . 30

RULE 3. Priority of Judicial Business . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

RULE 4. Adjudicative Responsibilities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

RULE 5. Administrative Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

RULE 6. Public Comment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

RULE 7. Broadcasting, Televising, Recording, Photography . . . . . . . . . . . . . . . . . 31

RULE 8. Disqualification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

RULE 9. Remittal of Disqualification; Minimizing Disqualification . . . . . . . . . . . . . . 32

RULE 10. Information Acquired in Judicial Capacity. . . . . . . . . . . . . . . . . . . . . . . . 32

RULE 11. Solicitation of Funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32

RULE 12. Gifts and Loans. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32

RULE 13. Incompatible Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

RULE 14. Prohibited Practice of Attorney District Justices . . . . . . . . . . . . . . . . . . . 33

RULE 15. Public Office and Political Activity. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

RULE 16. Transfer of Dockets and Other Papers . . . . . . . . . . . . . . . . . . . . . . . . . . 34

RULE 17. Supervision of District Justices by President Judges . . . . . . . . . . . . . . . . 34

RULE 18. Applicability to Judges of the Pittsburgh Magistrates Court and of the Traffic Courts of Pittsburgh and Philadelphia . . . . . . . . . . . . . 34

RULE 19. Certification Requirements of Interested Persons. . . . . . . . . . . . . . . . . . . 34

RULE 20. Continuing Education Requirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

RULE 21. Admission of Senior District Justices and Those Persons Who Have Successfully Completed the Course of Training and Instruction and Examination and Who Have Not Served as a District Justice, Bail Commissioner or Judge. . . . . . . . . . . . . . . . . . . . . . 35

RULE 22. Continuing Education Requirement: Philadelphia Traffic Court. . . . . . . . . 35

RULE 81. Acts of Assembly Suspended . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

RULE 1. INTEGRITY AND INDEPENDENCE OF JUDICIARY

An independent and honorable judiciary is indispensableto justice. A district justice should participate in estab-lishing, maintaining and enforcing, and shall himselfobserve, high standards of conduct so that the integrityand independence of the judiciary may be preserved.The provisions of these rules governing standards ofconduct of district justices shall be construed andapplied to further that objective.

Note

This rule is derived from Canon 1, American Bar Association Code of Judicial Conduct. This and the fol-lowing rules governing standards of conduct of district

justices provide a complete and exclusive code of con-duct for justices of the peace in Pennsylvania. Thosecanons of the Code of Judicial Conduct of the AmericanBar Association thought applicable to district justiceshave been paraphrased in these rules, and some of theformer standards of conduct rules, which were thoughtto be more pertinent to district justices in Pennsylvaniathan counterpart canons of the American Bar Associa-tion Code of Judicial Conduct, have been retained. Indetermining the standards that apply to him, the districtjustice need now consult only these rules and will notbe required to consult other sources as was the caseheretofore.

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When canons of the American Bar Association Code ofJudicial Conduct have been paraphrased in these rules,pertinent official commentaries to those canons andthose parts of the canons thought to be merely exposi-tory are set forth in the notes rather than in the rules.

Former Rule 1, relating to the priority of judicial business,revoked Feb. 1, 1973. New Rule 1 adopted

effective Feb. 1, 1973. Amended June 30, 1982,effective 30 days after July 17, 1982.

RULE 2. IMPROPRIETY AND APPEARANCE OF IMPROPRIETY TO BE AVOIDED; VOLUNTARY APPEARANCEAS CHARACTER WITNESS PROHIBITED

A. A district justice shall respect and comply with the lawand shall conduct himself at all times in a manner thatpromotes public confidence in the integrity and impar-tiality of the judiciary. A district justice shall not allow hisfamily, social or other relationships to influence his judi-cial conduct or judgment. He shall not lend the prestigeof his office to advance the private interest of others, norshall he convey or permit others to convey the impres-sion that they are in a special position to influence him.

B. A district justice shall not testify voluntarily as a character witness.

Note

This rule is derived from Canon 2, American Bar Association Code of Judicial Conduct, and Pa.R.J.A. No.1701. Public confidence in the judiciary is eroded byirresponsible or improper conduct by members of thejudiciary. A district justice must avoid all improprietyand appearance of impropriety. He must expect to bethe subject of constant public scrutiny. He must there-fore accept restrictions on his conduct that might beviewed as burdensome by the ordinary citizen andshould do so freely and willingly.

The testimony of a district justice as a character witnessinjects the prestige of his office into the proceeding inwhich he testifies and may be misunderstood to be anofficial testimonial. Rule 2B, however, does not affordhim a privilege against testifying as a character witnessin response to a subpoena the issuance of which hasbeen specifically allowed by the Supreme Court underPa.R.J.A. No. 1701.

Former Rule 2, relating to public office and political activity,revoked Feb. 1, 1973. New Rule 2 adopted

effective Feb. 1, 1973. Amended June 30, 1982,effective 30 days after July 17, 1982.

RULE 3. PRIORITY OF JUDICIAL BUSINESS

A. A district justice shall devote the time necessary for theprompt and proper disposition of the business of hisoffice, which shall be given priority over any otheroccupation, business, profession, pursuit or activity.

B. A district justice shall not use or permit the use of thepremises established for the disposition of his magisteri-

al business for any other occupation, business, profes-sion or gainful pursuit.

Note

This rule is derived from former Rule 1.

Former Rule 3, relating to the prohibited practice of attorneys,revoked Feb. 1, 1973. New Rule 3 adopted effective Feb. 1, 1973.

Amended June 30, 1982, effective 30 days after July 17, 1982.

RULE 4. ADJUDICATIVE RESPONSIBILITIES

A. A district justice shall be faithful to the law and maintaincompetence in it. He shall be unswayed by partisaninterests, public clamor or fear of criticism.

B. A district justice shall maintain order and decorum inthe proceedings before him. He shall wear judicialrobes while conducting hearings and trials.

C. A district justice shall be patient, dignified and courteousto litigants, witnesses, lawyers and others with whomhe deals in his official capacity, and shall require similarconduct of lawyers, of his staff and others subject to hisdirection and control.

D. A district justice shall accord to every person who islegally interested in a proceeding, or his lawyer, fullright to be heard according to law and, except asauthorized by law, neither initiate nor consider ex parteor other communications concerning a pending orimpending proceeding. A district justice, however, mayobtain the advice of a disinterested expert on the lawapplicable to a proceeding before him if he gives noticeto the parties of the person consulted and the substanceof the advice and affords the parties reasonable oppor-tunities to respond.

Note

This rule is derived in part from Canon 3A(1)-(4) of theAmerican Bar Association and Pennsylvania SupremeCourt Code of Judicial Conduct. District justices are tobe provided with the judicial robes required by subdivi-sion B as part of the expense of operating their offices(see Rule 101(3)). The proscription against communi-cations in subdivision D includes communications fromlawyers, law teachers and other persons who are notparticipants in the proceeding, except to the limitedextent permitted. It does not preclude a district justicefrom consulting with other members of the judiciary orwith court personnel whose function it is to aid the judi-ciary in carrying out adjudicative responsibilities.

Former Rule 4, relating to incompatible practicesrevoked Feb. 1, 1973. New Rule 4 adopted

effective Feb. 1, 1973. Amended Oct. 17, 1975,effective in 90 days; June 30, 1982,

effective 30 days after July 17, 1982.

RULE 5. ADMINISTRATIVE RESPONSIBILITIES

A. A district justice shall diligently discharge his administrative responsibilities, maintain competence in

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judicial administration and facilitate the performance ofthe administrative responsibilities of his staff and ofother members of the judiciary and court officials.

B. A district justice shall require his staff to observe thestandards of fidelity and diligence that apply to him.

C. A district justice shall not make unnecessary appointments to his staff. He shall exercise any suchpower of appointment that he may have only on thebasis of merit, avoiding nepotism and favoritism.

Note

This rule is derived from Canon 3B(1), (2) and (4), American Bar Association Code of Judicial Conduct.

Former Rule 5, relating to the canons of judicial ethics, revokedFeb. 1, 1973. New Rule 5 adopted effective Feb. 1, 1973.

Amended June 30, 1982, effective 30 days after July 17, 1982.

RULE 6. PUBLIC COMMENT

A district justice shall abstain from public commentabout a proceeding pending or impending in his officeor in any court, and shall require similar abstention onthe part of his staff. This rule does not prohibit districtjustices from making public statements in the course oftheir official duties or from explaining for public infor-mation the procedures of the court.

Note

This rule is derived from Canon 3A(6), the AmericanBar Association Code of Judicial Conduct.

Former Rule 6, relating to transfer of dockets and other papers, adopted effective May 1, 1970; renumbered as Rule 7 effectiveMay 1, 1970; amended June 1, 1971; revoked Feb. 1, 1973.

New Rule 6 adopted effective Feb. 1, 1973. Amended June 30,1982, effective 30 days after July 17, 1982.

RULE 7. BROADCASTING, TELEVISING, RECORDING, PHOTOGRAPHY

A district justice shall prohibit broadcasting, televising,recording or taking photographs in the courtroom andareas immediately adjacent thereto during sessions orrecesses between sessions, except that a district justicemay authorize:

(1) the use of electronic or photographic means for thepresentation of evidence, for the perpetuation of arecord or for other purposes of judicial administra-tion; and

(2) the broadcasting, televising, recording or photographing of investitive or ceremonial proceedings.

Note

This rule is derived from Canon 3A(7)(a), (b) of theAmerican Bar Association and Pennsylvania SupremeCourt Code of Judicial Conduct. With respect to pro-ceedings before district justices, it did not seem desir-able to include the authority for reproduction for educa-

tional purposes set forth in Canon 3A(7)(c). This rule isnot intended to affect or limit Pa.R.Crim.P. 27.

Former Rule 6, relating to definitions, renumbered Rule 7 May 1,1970; revoked Feb. 1, 19873. New Rule 7 adopted effective Feb.1, 1973,. Amended Oct. 17, 1975, effective in 90 days; June 30,

1982, effective 30 days after July 17, 1982.

RULE 8. DISQUALIFICATION

A. A district justice shall disqualify himself in a proceedingin which his impartiality might reasonably be ques-tioned, including but not limited to instances where:

(1) he has a personal bias or prejudice concerning aparty, or personal knowledge of disputed eviden-tiary facts concerning the proceedings;

(2) he served as a lawyer in the matter in controversy,or a lawyer with whom he previously practiced lawserved during such association as a lawyer con-cerning the matter, or the district justice or suchlawyer has been a material witness concerning it;

(3) he knows that he, individually or as a fiduciary, orhis spouse or a minor child residing in his house-hold has a financial interest in the subject matter incontroversy or in a party to the proceeding or anyother interest that could be substantially affected bythe outcome of the proceeding;

(4) he or his spouse, or a person within the thirddegree of relationship to either of them, or thespouse of such a person;

(a) is a party to the proceeding, or an officer,director or trustee of a party;

(b) is acting as a lawyer in the proceeding;

(c) is known by the district justice to have aninterest that could be substantially affected bythe outcome of the proceeding;

(d) is to the knowledge of the district justice likelyto be a material witness in the proceeding.

B. A district justice shall inform himself about his personaland fiduciary financial interests and make a reasonableeffort to inform himself about the personal financialinterests of his spouse and minor children residing inhis household.

Note

This rule is derived from Canon 3C, American Bar Association Code of Judicial Conduct. For the purposeof this rule, “fiduciary” includes such relationships asexecutor, administrator, trustee and guardian, and“financial interest” means ownership of a legal or equi-table interest, however small, or a relationship as direc-tor, advisor or other active participant in the affairs of aparty, except that: (1) ownership in a mutual or com-mon investment fund that holds securities is not a“financial interest” in such securities unless the justice of

32

which he is disqualified. As soon as he can do so with-out serious financial detriment, he shall divest himself ofinvestments and other financial interests that mightrequire frequent disqualification.

Note

Subdivision A is derived from Canon 3D, American BarAssociation Code of Judicial Conduct. The procedure inthis subdivision is designed to minimize the chance thata party or lawyer will feel coerced into an agreement.When a party is not immediately available, the districtjustice may proceed on the written assurance of thelawyer that his party’s consent will be subsequently filed.

Subdivision B is derived from Canon 5C(3), AmericanBar Association Code of Judicial Conduct.

Adopted effective Feb. 1, 1973. Amended June 30, 1982,effective 30 days after July 17, 1982.

RULE 10. INFORMATION ACQUIRED IN JUDICIAL CAPACITY

Information acquired by a district justice in his judicialcapacity shall not be used or disclosed by him in finan-cial dealings or for any other purpose not related to hisjudicial duties.

Note

This rule is derived from Canon 5C(7), American BarAssociation Code of Judicial Conduct.


RULE 11. SOLICITATION OF FUNDS

A district justice shall not solicit funds for any educational, religious, charitable, fraternal or civicorganization, or use or permit the use of the prestige ofhis office for that purpose, but he may be listed as anofficer, director or trustee of such an organization. Heshall not be a speaker or the guest of honor at such anorganization’s public fund raising events, but he mayattend such events.

Note

This rule is derived from Canon 5B(2), American BarAssociation Code of Judicial Conduct.


RULE 12. GIFTS AND LOANS

A. A district justice may accept a gift incident to a publictestimonial to him and books supplied by publishers ona complimentary basis for public use. A district justiceor a member of his family residing in his householdmay accept ordinary social hospitality; a gift, bequest,favor or loan from a relative; a wedding or engagementgift; a loan from a lending institution in its regularcourse of business on the same terms generally avail-able to persons who are not district justices; or a schol-

the peace participates in the management of the fund;(2) an office in an educational, religious, charitable, fra-ternal or civic organization is not a “financial interest” insecurities held by the organization; (3) the proprietyinterest of a policy holder in a mutual insurance compa-ny, of a depositor in a mutual savings association or asimilar propriety interest is a “financial interest” in theorganization only if the outcome of the proceedingcould substantially affect the value of the interest; and(4) ownership of government securities is a “financialinterest” in the issuer only if the outcome of the pro-ceeding could substantially affect the value of the secu-rities. “Degree of relationship” is calculated according tothe civil law system. Thus, the third degree of relation-ship test would, for example, disqualify the district jus-tice if his or his spouse’s father, grandfather, uncle,brother or niece’s husband were a party or a lawyer inthe proceeding, but would not disqualify him if a cousinwere a party or lawyer in the proceeding.

A lawyer in a governmental agency does not necessarilyhave an association with other lawyers employed bythat agency within the meaning of subdivision A(2). Adistrict justice formerly employed by a governmentalagency, however, should disqualify himself in a pro-ceeding if his impartiality might reasonably be ques-tioned because of such association.

The fact that a lawyer in a proceeding is affiliated witha law firm with which a lawyer- relative of the districtjustice is affiliated does not of itself disqualify the justiceof the peace. Under appropriate circumstances, the factthat “his impartiality might reasonably be questioned”under subdivision A, or that the lawyer-relative isknown by the district justice to have an interest in thelaw firm that could be “substantially affected by theoutcome of the proceeding” under subdivision A(4)(c)may require his disqualification.


RULE 9. REMITTAL OF DISQUALIFICATION; MINIMIZINGDISQUALIFICATION

A. A district justice disqualified by Rule 8A(3) or (4) may,instead of withdrawing from the proceeding, disclosethe basis of his disqualification. If, based on such disclo-sure, the parties and lawyers, independently of the par-ticipation of the district justice, all agree in writing thatthe relationship of the district justice is immaterial orthat his financial interest is insubstantial, the district jus-tice is no longer disqualified and may participate in theproceeding. The agreement, signed by all parties andlawyers, shall be attached to the record copy of thecomplaint form.

B. A district justice shall manage his investments and otherfinancial interests to minimize the number of cases in

33

arship or fellowship awarded on the same termsapplied to other applicants.

B. A district justice or a member of his family residing inhis household may accept any other gift, bequest, favoror loan only if the donor is not a party or other personwhose interests have come or are likely to come beforethe district justice.

Note

This rule is derived from Canon 5C(4), American BarAssociation Code of Judicial Conduct. For the purposeof this rule, “member of his family residing in hishousehold” means any relative of the justice of thepeace by blood or marriage, or a person treated by thedistrict justice as a member of his family, who resides inhis household.


RULE 13. INCOMPATIBLE PRACTICES

District justices, constables and all employees assignedto or appointed by district justices shall not engage,directly or indirectly, in any activity or act incompatiblewith the expeditious, proper and impartial discharge oftheir duties, including, but not limited to, (1) in anyactivity prohibited by law; (2) in the collection business;or (3) in the acceptance of any premium or fee for anyjudicial bond. A district justice shall not exploit his judi-cial position for financial gain or for any business orprofessional advantage. A district justice shall notreceive any fee or emolument for performing the dutiesof an arbitrator.

Note

The next to the last sentence of this rule is derived inpart from Canon 5C(1) of the American Bar Associationand Pennsylvania Supreme Court Code of Judicial Conduct.

Adopted effective Feb. 1, 1973. Amended April 25, 1979, effect in30 days; June 30, 1982, effective 30 days after July 17, 1982.

RULE 14. PROHIBITED PRACTICE OF ATTORNEY DISTRICT JUSTICES

A. An attorney who is a district justice shall not practicebefore any district justice in the Commonwealth, norshall he act as a lawyer in a proceeding in which he hasserved as a district justice or in any other proceedingrelated thereto. Nor shall he practice criminal law in thecounty within which his magisterial district is located.An employer, employee, partner or office associate ofsuch district justice shall not appear or practice beforehim.

B. An attorney who is a district justice shall not practicebefore, or act as an attorney or solicitor for, any countyor local municipal, governmental or quasi governmentalagency, board, authority or commission operating with-

in the Commonwealth.

Note

Subdivision A of this rule is derived from former Rule3A and Compliance Exception A(2), American BarAssociation Code of Judicial Conduct. Subdivision B isderived from former Rule 3B. This rule contains all theprohibitions upon the practice of law by attorney dis-trict justices that were thought necessary.


RULE 15. PUBLIC OFFICE AND POLITICAL ACTIVITY

A. A district justice shall not hold another office or positionof profit in the government of the United States, theCommonwealth or any political subdivision thereof,except in the armed services of the United States or theCommonwealth.

B. A district justice or a candidate for such office shall not:

(1) hold office in a political party or political organization or publicly endorse candidates forpolitical office.

(2) engage in partisan political activity, deliver politicalspeeches, make or solicit political contributions(including purchasing tickets for political party din-ners or other functions) or attend political or partyconventions or gatherings, except as authorized insubdivision C of this rule. Nothing herein shall pre-vent a district justice or a candidate for such officefrom making political contributions to a campaignof a member of his immediate family.

C. A district justice or a candidate for such office may, inthe year he runs for office, attend political or party con-ventions or gatherings, speak to such gatherings orconventions on his own behalf, identify himself as amember of a political party, and contribute to his owncampaign, a political party or political organization(including purchasing tickets for political party dinnersor other functions).

D. With respect to his campaign conduct, a district justiceor a candidate for such office shall:

(1) maintain the dignity appropriate to judicial office,and shall encourage members of his family toadhere to the same standards of political conductthat apply to him.

(2) prohibit public officials or employees subject to hisdirection or control from doing for him what he isprohibited from doing under this rule; and exceptto the extent authorized under subdivision D(4) ofthis rule shall not allow any other person to do forhim what he is prohibited from doing under thisrule.

(3) not make pledges or promises of conduct in office

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other than the faithful and impartial performanceof the duties of the office; make statements thatcommit or appear to commit the candidate withrespect to cases, controversies or issues that arelikely to come before the court; or misrepresent hisidentity, qualifications, present position or other fact.

(4) not himself solicit or accept campaign funds, orsolicit publicly stated support, but he may establishcommittees of responsible persons to secure andmanage the expenditure of funds for his campaignand to obtain public statements of support for hiscandidacy. Such committees are not prohibitedfrom soliciting campaign contributions and publicsupport from lawyers. A candidate’s committeesmay solicit funds for his campaign no earlier thanthirty (30) days prior to the first day for filing nom-inating petitions, and all fundraising activities inconnection with such campaign shall terminate nolater than the last calendar day of the year in whichthe election is held. A candidate should not use orpermit the use of a campaign contribution for theprivate benefit of himself or members of his family.

Amended November 9, 1998, effective January 1, 1999.

E. A district justice shall resign his office when he becomesa candidate either in a party primary or in a generalelection for a non-judicial office.

Note

This rule is derived from former Rule 15 and fromCanon 7 of the American Bar Association and Pennsyl-vania Supreme Court Code of Judicial Conduct. Itshould be noted that this rule prohibits only politicalactivity that is partisan in nature and consequently thereis no objection to a district justice becoming engaged inpolitical activity of a public service nature, such as, forexample, political activity in behalf of measures toimprove the law, the legal system or the administrationof justice.

Adopted effective Feb. 1, 1973. Amended Oct. 17, 1975,effective in 90 days; June 30, 1982,


RULE 16. TRANSFER OF DOCKETS AND OTHER PAPERS

A. Except for judges of the Pittsburgh Magistrates Courtand of the traffic courts of Pittsburgh and Philadelphia,every district justice shall on the expiration of his termof office, or upon the effective date of his resignation orremoval from office or upon his abandonment of hisoffice or its duties, deliver all his dockets and other offi-cial or like papers to the magisterial office establishedfor the magisterial district in which the former or inac-tive district justice maintained his residence.

B. If a district justice dies while in office, his personal representative shall make any delivery required undersubdivision A of this rule.

Note

Adopted effective Feb. 1, 1973. Amended effective Jan. 22, 1974;amended April 25, 1979, effective in 30 days; June 30, 1982,


RULE 17. SUPERVISION OF DISTRICT JUSTICES BY PRESIDENT JUDGES

The president judge of the court of common pleas of ajudicial district shall exercise general supervision andadministrative control over district justices within hisjudicial district.

Note

The striking of constables from the heading and bodyof Rule 17 is pursuant to the Pennsylvania SupremeCourt holding in Rosenwald v. Barbieri, 501 Pa. 563,462 A.2d 644, 1983.

Adopted effective Feb. 1, 1973.Amended effective April 3, 1973;

amended April 25, 1979,effective in 30 days; June 30, 1982,

effective 30 days after July 17, 1982;amended effective June 20, 1985.

RULE 18. APPLICABILITY TO JUDGES OF THE PITTSBURGH MAGISTRATES COURT AND OF THE TRAFFICCOURTS OF PITTSBURGH AND PHILADELPHIA

Except for Rule 16, the above rules governing stan-dards of conduct for district justices also apply to, and“district justice” as used therein additionally includes,the judges of the Pittsburgh Magistrates Court and ofthe traffic courts of Pittsburgh and Philadelphia.

Note

Adopted effective Feb. 1, 1973.Amended effective Jan. 22, 1974;

amended April 25, 1979,effective in 30 days; June 30, 1982,


RULE 19. CERTIFICATION REQUIREMENTS OF INTERESTED PERSONS

District justices, bail commissioners and judges who arenot members of the bar of this Commonwealth shallcomplete a course of training and instruction in theduties of their respective offices and pass an examina-tion and be certified by the Administrative Office ofPennsylvania Courts prior to assuming office. In addi-tion to those required to complete the course of trainingand instruction, any interested person may apply to theAdministrative Office to be enrolled in the course ofinstruction and take the examination.

Any person successfully completing the course of training and instruction and examination, who has notserved as a district justice, bail commissioner or Judgewithin two years, will be required to update his certifi-cation by taking a review course as defined by theMinor Judiciary Education Board and passing an exam-

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ination, prior to being certified by the AdministrativeOffice of Pennsylvania Courts as qualified to perform hisor her duties as required by the Constitution of Pennsyl-vania. Individuals who have completed the continuingeducation course every year since being certified areexempt from this provision.

Adopted effective Nov. 14, 1990.

RULE 20. CONTINUING EDUCATION REQUIREMENT

Every district justice shall complete a continuing education program each year equivalent to not lessthan 32 hours per year in such courses or programs asare approved by the Minor Judiciary Education Board.If a district justice fails to meet these continuing educa-tion requirements, he or she shall be subject to suspen-sion by the Supreme Court until such time as evidenceof compliance with such requirements is submitted bythe board, but in no event longer than six months atwhich time the failure to meet the continuing educationrequirements shall be grounds for the Supreme Court,after a hearing, to declare a vacancy in that district.

The Minor Judiciary Education Board shall conduct atleast one continuing education practicum course, con-sisting of not less than 32 hours, which each DistrictJustice or Senior District Justice, whether law trained ornon law trained, within twelve months of first assumingoffice, shall be required to attend. The Board shallapprove the length of the program, and the course ofinstruction. Practicum exercises will be a part of thecourse of instruction. Senior district justices may peti-tion the Board for a waiver of this requirement.

Adopted effective Nov. 14, 1990.

RULE 21. ADMISSION OF SENIOR DISTRICT JUSTICESAND THOSE PERSONS WHO HAVE SUCCESSFULLY COM-PLETED THE COURSE OF TRAINING AND INSTRUCTIONAND EXAMINATION AND WHO HAVE NOT SERVED AS ADISTRICT JUSTICE, BAIL COMMISSIONER OR JUDGE

Any district justice who has left that Judicial Office forany good reason and who has been certified by theAdministrative Office of Pennsylvania Courts as eligibleto serve as Senior District Justice shall be admitted tothe continuing education program sponsored by the

Minor Judiciary Education board every year as requiredby 42 Pa.C.S.A., Section 3118. Any person successfullycompleting the course of training and instruction andexamination and who has not served as a district jus-tice, bail commissioner or judge may apply to theAdministrative Office of Pennsylvania Courts to beenrolled in the continuing education course based onthe availability of space. Such enrollment will be at theexpense of the party.

In the event that the Court Administrator of Pennsylvanianotifies the Minor Judiciary Education Board that aSenior District Justice has not accepted an assignmentfor a continuous period of two (2) years, the MinorJudiciary Education Board may refuse enrollment in thecontinuing education course.

Adopted effective Nov. 14, 1990.Amended effective April 12, 1995.

RULE 22. CONTINUING EDUCATION REQUIREMENT:PHILADELPHIA TRAFFIC COURT

Every Philadelphia Traffic Court judge shall complete acontinuing education program each year equivalent tonot less than twenty (20) hours per year in such cours-es or programs as are approved by the Minor JudiciaryEducation Board. If a Philadelphia Traffic Court judgefails to meet these continuing education requirementshe or she shall be subject to suspension until such timeas evidence of compliance with such requirements issubmitted by the Minor Judiciary Education Board, butin no event for longer than six months at which timethe failure to meet the continuing education require-ments shall be grounds for removal and the declarationof a vacancy in the Philadelphia Traffic Court.

Adopted effective Sept. 4, 1991.

RULE 81. ACTS OF ASSEMBLY SUSPENDED

All acts of Assembly or parts thereof inconsistent withthe Rules Governing Standards of Conduct of DistrictJustices are suspended to the extent of such inconsistency.

Adopted June 1, 1971. Amended April 25, 1979, effective in 30days; June 30, 1982, effective 30 days after July 17, 1982.

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