of Ethics Online Collection: None
CODE OF JUDICIAL
CONDUCT
PREAMBLE TO CODE OF JUDICIAL CONDUCT
Document Body Page Navigation Panel
The Ohio Code of Judicial Conduct is intended to establish standards
for ethical conduct of judges. It consists of broad statements called
Canons, specific rules set forth in divisions under
each Canon, a Terminology Section, a Compliance Section, and Commentary. The
text of the Canons and the divisions, including the Terminology and Compliance
Sections, is authoritative.
The Commentary, by explanation and example, provides guidance with respect
to the purpose and meaning of the Canons and divisions. The Commentary is not
intended as a statement of
additional rules. When the text uses "shall" or "shall not," it
is intended to impose binding obligations the violation of which can result
in disciplinary action. When "should" or "should not"
is used, the text is intended as hortatory and as a statement of what is or
is not appropriate conduct but not as a binding rule under which a judge may
be disciplined. When "may" is used, it
denotes permissible discretion or, depending on the context, it refers to action
that is not covered by specific proscriptions.
The Canons and divisions are rules of reason. They should be applied
consistent with constitutional requirements, statutes, other court rules
and decisional law and in the context of all
relevant circumstances. The Code is to be construed so as not to impinge on
the essential independence of judges in making judicial decisions.
The Code is designed to provide guidance to judges and candidates for
judicial office and to provide a structure for regulating conduct through
disciplinary agencies. It is not designed or
intended as a basis for civil liability or criminal prosecution. Furthermore,
the purpose of the Code would be subverted if the Code were invoked by lawyers
for mere tactical advantage in a
proceeding.
The text of the Canons and divisions is intended to govern conduct of judges
and to be binding upon them. It is not intended, however, that every transgression
will result in disciplinary
action. Whether disciplinary action is appropriate, and the degree of discipline
to be imposed, should be determined through a reasonable and reasoned application
of the text and should
depend on such factors as the seriousness of the transgression, whether there
is a pattern of improper activity and the effect of the improper activity on
others or on the judicial system and
for the protection of the public.
[Effective: December 20, 1973; amended effective May 1, 1997.] 1
1 Page 2 3
TERMINOLOGY
As used in Canons 1-4:
"Court personnel" excludes the lawyers in a proceeding before a judge.
"De minimis" denotes an insignificant interest that could not
raise reasonable question as to a judge's impartiality.
"Economic interest" denotes ownership of a more than de
minimis legal or equitable interest, or a relationship as officer,
director, advisor, or other active participant in the affairs of a
party, except that:
(1) Ownership of an interest in a mutual or common investment fund that holds
securities is not an economic interest in those securities unless the judge
participates in the
management of the fund or a proceeding pending or impending before the judge
could substantially affect the value of the interest;
(2) Service by a judge as an officer, director, advisor, or other active
participant in an educational, religious, charitable, fraternal, or civic
organization, or service by a judge's
spouse, parent or child as an officer, director, advisor or other active participant
in any organization does not create an economic interest in securities held
by that organization;
(3) A deposit in a financial institution, the proprietary interest of
a policy holder in a mutual insurance company, or the proprietary interest
of a depositor in a mutual
proprietary interest is not an economic interest in the organization unless
a proceeding pending or impending before the judge could substantially affect
the value of the interest;
(4) Ownership of government securities is not an economic interest in
the issuer unless a proceeding pending or impending before the judge
could substantially affect the value of
the securities.
"Fiduciary" includes relationships such as executor, administrator,
trustee, and guardian.
"Judicial candidate" has the same meaning as in Canon 7( A)( 1).
"Knowingly." A person acts knowingly, regardless of his or her purpose,
when he or she is aware that his or her conduct will probably cause a certain
result or will probably be of a certain
nature. A person has knowledge of circumstances when he or she is aware that
those circumstances probably exist.
"Law" denotes court rules as well as statutes, constitutional
provisions, and decisional law. 2
2 Page 3 4
"Member of the candidate's family" denotes a spouse, child, grandchild,
parent, grandparent, or other relative or person with whom the candidate maintains
a close familial
relationship.
"Member of the judge's family" denotes a spouse, child, grandchild,
parent, grandparent, or other relative or person with whom the judge maintains
a close familial relationship.
"Member of the judge's family residing in the judge's household" denotes
any relative of a judge by blood or marriage, or a person treated by
the judge as a member of the judge's family,
who resides in the judge's household.
"Nepotism" is the bestowal of patronage by a judge in appointing any
of the following to positions by reason of blood or marital relationship to the
judge: spouse, parent, child,
grandparent, grandchild, brother, sister, uncle, aunt, nephew, niece, or great-grandparent.
"Nonpublic information" denotes information that, by law, is not available
to the public. Nonpublic information includes but is not limited to: information
that is sealed by statute or court
order, impounded, or communicated in camera; and information offered
in grand jury proceedings, presentencing reports, dependency cases, or psychiatric
reports.
"Require" means a judge is to exercise reasonable direction
and control over the conduct of those persons subject to the judge's
direction and control. The rules prescribing that a judge
"require" certain conduct of others are, like all of the rules in this
Code, rules of reason.
"Third degree of relationship." The following persons are relatives
within the third degree of relationship: great-grandparent, grandparent, parent,
uncle, aunt, brother, sister, child,
grandchild, great-grandchild, nephew, or niece. 3
3 Page 4 5
CANON 1
A Judge Shall Uphold the Integrity and Independence
of the Judiciary
An independent and honorable judiciary is indispensable to justice
in our society. A judge should participate in establishing, maintaining,
and enforcing high standards of conduct, and
personally shall observe those standards so that the integrity and independence
of the judiciary will be preserved. The provisions of this Code are to be construed
and applied to further that
objective.
Commentary:
Deference to the judgments and rulings of courts depends upon public
confidence in the integrity and independence of judges. The integrity
and independence of judges depends in turn
upon their acting without fear or favor. Although judges should be independent,
they must comply with the law, including the provisions of this Code. Public
confidence in the impartiality
of the judiciary is maintained by the adherence of each judge to this responsibility.
Conversely, violation of this Code diminishes public confidence in the judiciary
and thereby does injury to the
system of the government under law.
[Effective: December 20, 1973; amended effective May 1, 1997.] 4
4 Page 5 6
CANON 2
A Judge Shall Respect and Comply with the Law and Shall Act at all Times in
a Manner
that Promotes Public Confidence in the Integrity and Impartiality of the Judiciary.
(A) Activities to Improve the Law. A judge may engage in activities
to improve the law, the legal system, and the administration of justice,
provided those activities do not cast doubt
on the judge's capacity to act impartially as a judge, demean the judicial
office, or interfere with the proper performance of judicial duties.
(1) A judge may speak, write, lecture, teach, and participate in other
activities concerning the law, the legal system, and the administration
of justice.
(2) Subject to the restrictions of Canon 4( C)( 1), a judge may appear at a
public hearing before an executive or legislative body or official on matters
concerning the law, the legal
system, and the administration of justice, and otherwise may consult with an
executive or legislative body or official, but only on matters concerning the
administration of justice.
(B) Membership in Organizations. A judge may serve as an officer,
director, trustee, or non-legal advisor of an organization or governmental
agency devoted to the
improvement of the law, the legal system, or the administration of justice
or of an educational, religious, charitable, fraternal, or civic organization
not conducted for profit, subject to the
following limitations and the other requirements of this Code.
(1) A judge shall not serve as an officer, director, trustee, or non-legal
advisor if it is likely that the organization will be engaged in either of
the following:
(a) Proceedings that ordinarily would come before the judge;
(b) Adversary proceedings with frequency in the court of which the judge is
a member or in any court subject to the appellate jurisdiction of the court
of which the judge is a member.
(2) A judge, as an officer, director, trustee, or non-legal advisor,
or as a member or otherwise shall comply with all of the following:
(a) The judge may assist an organization in planning fundraising and may participate
in the management and investment of the organization's funds, but shall not
personally participate in
the solicitation of funds or other fund-raising activities, except that a judge
may solicit funds from other judges over whom the judge does not exercise supervisory
or appellate authority. 5
5 Page 6 7
(b) The judge may make recommendations to public and private fund-granting
organizations on projects and programs concerning the law, the legal system,
or the
administration of justice.
(c) The judge shall not personally participate in membership solicitation if
the solicitation might reasonably be perceived as coercive or, except as permitted
in division (B)( 2)( a)
of this canon, if the membership solicitation is essentially a fundraising
mechanism.
(d) The judge shall not use or permit the use of the prestige of judicial office
for fund-raising or membership solicitation.
(C) Financial Activities.
(1) A judge shall not engage in either of the following financial
and business dealings:
(a) Dealings that reasonably may be perceived to exploit the judge's judicial
position;
(b) Dealings that involve the judge in frequent transactions or continuing
business relationships with lawyers or other persons likely to come before
the court on which the judge
serves.
(2) Subject to the requirements of this Code, a judge may hold and manage investments
of the judge and members of the judge's family, including real estate, and
engage in
other remunerative activity.
(3) A judge shall not serve as an officer, director, manager, general partner,
advisor, or employee of any business entity except that a judge, subject to
the requirements of this Code,
may manage and participate in either of the following:
(a) A business closely held by the judge or member of the judge's family;
(b) A business entity primarily engaged in investment of the financial resources
of the judge or members of the judge's family.
(4) A judge shall manage his or her investments and other financial
interests to minimize the number of cases in which the judge is disqualified.
As soon as the judge can do so
without serious financial detriment, the judge shall divest himself or herself
of investments and other financial interests that might require frequent disqualification.
(5) A judge shall not accept and shall urge members of the judge's family
residing in the judge's household not to accept a gift, bequest, favor,
or loan from anyone except for: 6
6 Page 7 8
(a) A gift incident to a public testimonial, books, tapes and other resource
materials supplied by publishers on a complimentary basis for official use,
or an invitation to the judge and
the judge's spouse or guest to attend a bar-related function or an activity
devoted to the improvement of the law, the legal system, or the administration
of justice;
(b) A gift, award, or benefit incident to the business, profession,
or other separate activity of a spouse or other family member of a judge
residing in the judge's household, including
gifts, awards, and benefits for the use of both the spouse or other family
member and the judge (as spouse or family member), provided the gift, award,
or benefit could not reasonably be perceived
as intended to influence the judge in the performance of judicial duties;
(c) Ordinary social hospitality;
(d) A gift from a relative or friend for a special occasion such as a wedding,
anniversary, or birthday if the gift is commensurate with the occasion and
the relationship;
(e) A gift, bequest, favor, or loan from a relative or close personal
friend whose appearance or interest in a case would in any event require
disqualification under Canon 3( E).
(f) A loan from a lending institution in its regular course of business on
the same terms generally available to persons who are not judges;
(g) A scholarship or fellowship awarded on the same terms and based on the
same criteria applied to other applicants; or
(h) Any other gift, bequest, favor, or loan, only if the donor is not a party
or other person who has come or is likely to come or whose interests have come
or are likely to come
before the judge and, if its value exceeds one hundred fifty dollars, the judge
reports it in the same manner as the judge reports compensation in division
(D) of this canon.
(D) Compensation, Reimbursement and Reporting.
Except as otherwise provided in this division, a judge may receive
compensation and reimbursement of expenses for the activities permitted
by this Code, if the source of the
compensation or reimbursement does not give the appearance of influencing the
judge in his or her judicial duties or otherwise give the appearance of impropriety.
(1) Compensation. Compensation shall not exceed a reasonable amount
or what a person who is not a judge would receive for the same activity.
(2) Expense reimbursement. Expense reimbursement shall be limited to the actual
cost of travel, food, and lodging reasonably incurred by the judge and, where
appropriate to the
occasion, by his or her spouse. Any payment in excess of actual cost is compensation.
7
7 Page 8 9
(3)( a) Public Reports. A judge shall file annually the disclosure statement
required by section 102.02 of the Revised Code with the secretary of the Board
of Commissioners on
Grievances and Discipline of the Supreme Court of Ohio.
(b) A judge shall also file annually a report of any quasi-judicial or extra-judicial
activity for which the judge received compensation. This report shall include
the date, place, and
nature of any quasi-judicial or extra-judicial activity for which the judge
received compensation, the name of the payer, and the amount of compensation
received. The report shall be filed with
the Board by the fifteenth day of April of each year on forms provided by the
Board.
Commentary:
Public confidence in the judiciary is eroded by irresponsible or
improper conduct by judges. A judge must expect to be the subject of
constant public scrutiny. A judge must therefore
accept restrictions on the judge's conduct that might be viewed as burdensome
by the ordinary citizen and should do so freely and willingly.
The admonition of Canon 2 applies to both the professional and personal
conduct of a judge. It is necessarily cast in general terms that extend
to conduct by judges that is harmful
although not specifically mentioned in the Code. Actual improprieties under
this standard include violations of law, court rules or other specific provisions
of this Code. The test for compliance
with Canon 2 appearance of impropriety is whether the conduct would create
in reasonable minds a perception that the judge's ability to carry out judicial
responsibilities with integrity, impartiality
and competence is impaired.
Complying with the law imposes on a judge the duty to respect the precedential
process of the judicial system. This aspect of our system does not limit a
judge's independent judgment to
vary from precedent in those circumstances where a different legal result is
justified.
A. As a judicial officer and person specially learned in the
law, a judge is in a unique position to contribute to the improvement
of the law, the legal system, and the administration of
justice, including revision of substantive and procedural law and improvement
of criminal and juvenile justice. To the extent the time permits, a judge is
encouraged to do so, either
independently or through a bar association, judicial conference or other organization
dedicated to the improvement of the law. Judges may participate in efforts
to promote the fair administration
of justice, the independence of the judiciary and the integrity of the legal
profession and may express opposition to the persecution of lawyers and judges
in other countries because of their
professional activities.
B. This division does not apply to a judge's service in a governmental
position unconnected with the improvement of the law, the legal system or the
administration of justice;
see Canon 4( C)( 2). 8
8 Page 9 10
As an example of the meaning of the phrase, "subject to the requirements
of this Code," a judge permitted by Canon 2( B) to serve on the board
of a fraternal institution may be prohibited
from such service by Canon 4( B) or Canon 2( A) if the institution practices
invidious discrimination or if service on the board otherwise casts reasonable
doubt on the judge's capacity
to act impartially as a judge.
Service by a judge on behalf of a civic or charitable organization may be governed
by provisions of Canon 4 in addition to Canon 2( B). For example, a judge is
prohibited by Canon
4( F) from serving as a legal advisor to a civic or charitable organization.
B( l). The changing nature of some organizations and
of their relationship to the law makes it necessary for a judge
regularly to re-examine the activities of each organization
with
which the judge is affiliated to determine if it is proper for the judge to
continue the affiliation. For example, in many jurisdictions charitable hospitals
are now more frequently in court than in the
past. Similarly, the boards of some legal aid organizations now make policy
decisions that may have political significance or imply commitment to causes
that may come before the courts for
adjudication.
B( 2)( a). A judge may solicit membership or endorse or encourage membership
efforts for an organization devoted to the improvement of the law, the legal
system or the
administration of justice or a non-profit educational, religious, charitable,
fraternal, or civic organization as long as the solicitation cannot reasonably
be perceived as coercive and is not
essentially a fundraising mechanism. Solicitation of funds for an organization
and solicitation of memberships similarly involve the danger that the person
solicited will feel obligated to respond
favorably to the solicitor if the solicitor is in a position of influence or
control. A judge must not engage in direct, individual solicitation of funds
or memberships in person, in writing or by
telephone except in the following cases: 1) a judge may solicit for funds or
memberships from other judges over whom the judge does not exercise supervisory
or appellate authority; 2) a judge
may solicit other persons for membership in the organizations described above
if neither those persons nor persons with whom they are affiliated are likely
ever to appear before the court on
which the judge serves; and 3) a judge, who is an officer of such an organization,
may send a general membership solicitation mailing over the judge's signature.
B( 2)( d). Use of an organization letterhead for fund-raising
or membership solicitation does not violate division (B)( 2) of this
canon provided the letterhead lists only the
judge's name and office or other position in the organization, and, if comparable
designations are listed for other persons, the judge's judicial designation.
In addition, a judge must also make
reasonable efforts to ensure that the judge's staff, court officials and others
subject to the judge's direction and control do not solicit funds on the judge's
behalf for any purpose, charitable or
otherwise.
A judge must not be a speaker or guest of honor at an organization's fund-raising
event, but mere attendance at such an event is permissible if otherwise consistent
with this Code.
[Effective: December 20, 1973; amended effective May 1, 1997; January
26, 1999.] 9
9 Page 10 11
CANON 3
A Judge Shall Perform the Duties of Judicial Office Impartially and Diligently
(A) Judicial Duties in General. The judicial duties of a judge take precedence
over all of the judge's other activities. The judge's judicial duties include
all the duties of office
prescribed by law. In the performance of these duties, the following standards
apply.
(B) Adjudicative Responsibilities.
(1) A judge shall hear and decide matters assigned to the
judge except those in which disqualification is required.
(2) A judge shall be faithful to the law and maintain professional competence
in it. A judge shall not be swayed by partisan interests, public clamor,
or fear of criticism.
(3) A judge shall require order and decorum in proceedings before the judge.
(4) A judge shall be patient, dignified, and courteous to litigants, jurors,
witnesses, lawyers, and others with whom the judge deals in an official capacity,
and shall require similar
conduct of lawyers, and of staff, court officials, and others subject to the
judge's direction and control.
(5) A judge shall perform judicial duties without bias or prejudice.
A judge shall not, in the performance of judicial duties, by words or
conduct manifest bias or prejudice, including but
not limited to bias or prejudice based upon race, gender, religion, national
origin, disability, age, sexual orientation, or socioeconomic status, and shall
not permit staff, court officials, and others
subject to the judge's direction and control to do so.
(6) A judge shall require lawyers in proceedings before the judge to refrain
from manifesting, by words or conduct, bias or prejudice based upon race, gender,
religion, national
origin, disability, age, sexual orientation, or socioeconomic status, against
parties, witnesses, counsel or others. Division (B)( 6) of this canon does
not preclude legitimate advocacy when race,
gender, religion, national origin, disability, age, sexual orientation, or
socioeconomic status, or other similar factors, are issues in the proceeding.
(7) A judge shall not initiate, receive, permit, or consider communications
made to the judge outside the presence of the parties or their representatives
concerning a pending or
impending proceeding except: 10
10 Page 11 12
(a) Where circumstances require, ex parte communications for scheduling,
administrative purposes, or emergencies that do not address substantive matters
or issues on the
merits are permitted if the judge reasonably believes that no party will gain
a procedural or tactical advantage as a result of the ex parte communication.
(b) A judge may obtain the advice of a disinterested expert on the law
applicable to the proceeding before the judge if the judge gives notice
to the parties of the person consulted and the
substance of the advice and affords the parties reasonable opportunity to respond.
(c) A judge may consult with court personnel whose function is to aid the judge
in carrying out the judge's adjudicative responsibilities or with other judges.
(d) As authorized by law.
(8) A judge shall dispose of all judicial matters promptly, efficiently, and
fairly and comply with guidelines set forth in the Rules of Superintendence
for the Courts of Ohio.
(9) While a proceeding is pending or impending in any court, a judge
shall not make any public comment that might reasonably be expected to
affect its outcome or impair its fairness
or make any nonpublic comment that might substantially interfere with a fair
trial or hearing. The judge shall require similar abstention on the part of
court personnel subject to the judge's direction
and control. Division (B)( 9) of this canon does not prohibit judges from making
public statements in the course of their official duties or from explaining
for public information the
procedures of the court. Division (B)( 9) of this canon does not apply to proceedings
in which the judge is a litigant in a personal capacity.
(10) A judge shall not commend or criticize jurors for their verdict
other than in a court order or opinion in a proceeding.
(11)( a) A judge shall not knowingly disclose or cause to be disclosed, without
appropriate authorization, information regarding the probable or actual decision
in a case or legal proceeding
pending before a court, including the vote of a justice, judge, or court in
a case pending before the Supreme Court, a court of appeals, or a panel of
judges of a trial court, prior to the
announcement of the decision by the court or journalization of an opinion,
entry, or other document reflecting that decision under either of the following
circumstances:
(i) The probable or actual decision is confidential because of statutory
or rule provisions;
(ii) The probable or actual decision clearly has been designated to the judge
as confidential when confidentiality is warranted because of the status of
the proceedings or the
circumstances under which the information was received and preserving confidentiality
is necessary to the proper conduct of court business. 11
11 Page 12 13
(b) Nothing in division (B)( 11)( a) of this canon shall prohibit the disclosure
of any of the following:
(i) A decision that has been announced on the record or in open court, but
that has not been journalized in a written opinion, entry, or other document;
(ii) Information regarding the probable or actual decision in a pending case
or legal proceeding to a judge or employee of the court in which the matter
is pending;
(iii) Other information that is a matter of public record or that may be disclosed
pursuant to law.
(c) The imposition of discipline upon a judge for violation of division (B)(
11)( a) of this canon shall not preclude prosecution for a violation of any
applicable provision of the Revised
Code, including, but not limited to, division (B) of section 102.03 of the
Revised Code.
C. Administrative Responsibilities.
(1) A judge shall diligently discharge the judge's administrative
responsibilities without bias or prejudice and maintain professional
competence in judicial administration, and should
cooperate with other judges and court officials in the administration of court
business.
(2) A judge shall require staff, court officials, and others subject to the
judge's direction and control to observe the standards of fidelity and diligence
that apply to the judge and
to refrain from manifesting bias or prejudice in the performance of their official
duties.
(3) A judge with supervisory authority for the judicial performance of other
judges shall take reasonable measures to assure the prompt disposition of matters
before all judges and
the proper performance of their other judicial responsibilities.
(4) A judge shall not make unnecessary appointments. A judge shall exercise
the power of appointment impartially and on the basis of merit. A judge shall
avoid nepotism and
favoritism. A judge shall not approve compensation of appointees beyond the
fair value of services rendered.
(D) Disciplinary Responsibilities.
(1) A judge who has knowledge that another judge has committed a
violation of this Code shall report the violation to a tribunal or other
authority empowered to investigate or act
upon the violation.
(2) A judge who has knowledge that a lawyer has committed a violation of the
Code of Professional Responsibility shall report the violation to a tribunal
or other authority empowered
to investigate or act upon the violation. 12
12 Page 13 14
(3) A judge having knowledge of a violation by another judge or a lawyer shall,
upon request, fully reveal the violation to a tribunal or other authority empowered
to investigate or act
upon the violation.
(E) Disqualification.
(1) A judge shall disqualify himself or herself in a proceeding in which
the judge's impartiality might reasonably be questioned, including but not
limited to instances where:
(a) The judge has a personal bias or prejudice concerning a party or
a party's lawyer, or personal knowledge of disputed evidentiary facts
concerning the proceeding;
(b) The judge served as a lawyer in the matter in controversy, a lawyer with
whom the judge previously practiced law served during such association as a
lawyer concerning the matter,
or the judge has been a material witness concerning the matter;
(c) The judge knows that he or she, individually or as a fiduciary, or the
judge's spouse, parent or child wherever residing, or any other member of the
judge's family residing in
the judge's household, has an economic interest in the subject matter in controversy
or in a party to the proceeding or has any other more than de minimis interest
that could be substantially
affected by the proceeding;
(d) The judge or the judge's spouse, or a person within the third degree of
relationship to either of them, or the spouse of such a person:
(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;
(iii) Has acted as a judge in the proceeding;
(iv) Is known by the judge to have an economic interest that could be substantially
affected by the proceeding;
(v) Is to the judge's knowledge likely to be a material witness in the
proceeding.
(2) A judge shall keep informed about the judge's personal fiduciary and economic
interests and make a reasonable effort to keep informed about the personal
economic interests of
the judge's spouse and minor children residing in the judge's household.
F. Remittal of Disqualification. If, following disclosure
of any basis for disqualification other than personal bias
or prejudice concerning a party, the parties and lawyers,
without participation by the judge, jointly request that the judge should remit
his or her disqualification, the judge may approve and participate in the proceeding.
The request and
approval shall be incorporated in the record of the proceeding. 13
13 Page 14 15
G. Disqualification -Justices of the Supreme Court.
(1) A justice shall disqualify himself or herself in a
proceeding in which the justice's impartiality might reasonably
be questioned, including but not limited to instances where:
(a) the justice has a personal bias or prejudice concerning a party,
or personal knowledge of disputed evidentiary facts concerning the proceeding;
(b) the justice served as a lawyer in the matter in controversy, or a lawyer
with whom the justice previously practiced law served during such association
as a lawyer concerning the
matter, or the justice or such lawyer has been a material witness concerning
it;
(c)( i) For merit cases, the justice knows that, individually or as a fiduciary,
the justice or the justice's spouse or minor child residing in the justice's
household, has an economic interest in
the subject matter in controversy or in a party to the proceeding, or any other
interest that could be substantially affected by the outcome of the proceeding.
(ii) For miscellaneous motions, motions to certify, or similar matters,
the justice knows that, individually or as a fiduciary, the justice or
the justice's spouse or minor child residing in the
justice's household, has a substantial economic interest in the subject matter
in controversy or in a party to the proceeding that could be substantially
affected by the outcome of the proceeding.
(d) The justice or the justice's spouse, or a person within the third
degree of relationship to either of them, or the spouse of such a person:
(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;
(iii) is known by the justice to have an interest that could be substantially
affected by the outcome of the proceeding;
(iv) is to the justice's knowledge likely to be a material witness in
the proceeding.
(2) A justice should keep informed about the justice's personal and fiduciary
economic interests, and make a reasonable effort to keep informed about the
personal economic interests of
the justice's spouse and minor children residing in the justice's household.
H. Remittal of Disqualification -Justices of the Supreme
Court.
A justice disqualified by the terms of Canon 3( G)( 1)(
c) or Canon 3( G)( 1)( d) may, instead of withdrawing from
the proceeding, disclose on the record the basis of disqualification.
If, based
on such disclosure, the parties and lawyers, independently of the justice's
participation, all agree in writing that the justice's relationship is immaterial
or that the justice's disqualification should be 14
14 Page 15 16
waived, the justice is no longer disqualified, and may participate in the proceeding.
The agreement, signed by all parties and lawyers, shall be incorporated in
the record of the proceeding.
Commentary:
B( 4). The duty to hear all proceedings fairly and with patience is not
inconsistent with the duty to dispose promptly of the business of the court.
Judges can be efficient and businesslike
while being patient and deliberate.
B( 5). A judge must refrain from speech, gestures or other conduct that
could reasonably be perceived as bias or prejudice (including sexual harassment)
and must require the same
standard of conduct of others subject to the judge's direction and control.
B( 8). A judge should monitor and supervise cases so
as to reduce or eliminate dilatory practices, avoidable delays
and unnecessary costs. See, e. g., R. C. 2701.02. A judge should
encourage and seek to facilitate settlement, but parties should not feel coerced
into surrendering the right to have their controversy resolved by the courts.
Prompt disposition of the court's business requires a judge to devote
adequate time to judicial duties, to be punctual in attending court and
expeditious in determining matters under
submission, and to require that court officials, litigants and their lawyers
cooperate with the judge to that end.
B( 9). The requirement that judges abstain from public comment
regarding a pending or impending proceeding continues during any appellate
process and until final disposition. This
division does not prohibit a judge from commenting on proceedings in which
the judge is a litigant in a personal capacity, but in cases such as a writ
of mandamus where the judge is a litigant in an
official capacity, the judge must not comment publicly. "Court personnel" does
not include the lawyers in a proceeding before a judge. The conduct of lawyers
relating to trial publicity is
governed by DR 7-107 of the Code of Professional Responsibility.
B( 10). Commending or criticizing jurors for their verdict may imply
a judicial expectation in future cases and may impair a juror's ability to
be fair and impartial in a subsequent case. The
foregoing provision shall not preclude the judge from expressing appreciation
to the jurors for their service to the judicial system and the community, or
from communicating with the jurors,
personally, in writing, or through court personnel to obtain information for
the purpose of improving the administration of justice.
B( 11). The premature disclosure of confidential information
regarding the outcome of pending cases gives the appearance of partiality
and fosters obvious public distrust of the judiciary
and legal profession. Among other things, premature disclosure creates the
potential for the release of inaccurate information and allows attorneys, litigants,
and others with access to the
information to use it for personal gain before it becomes public knowledge.
15
15 Page 16 17
Canon 3( B)( 11)( a) prohibits a judge from prematurely disclosing clearly
confidential information about the actual or probable decision in a pending
case or proceeding under
circumstances in which confidentiality is required or warranted. The provision
is patterned, in part, after division (B) of section 102.03 of the Revised
Code. Canon 3( B)( 11)( a) does not
prevent the disclosure of information that is intended to be public or communicated
to another person. Examples of disclosures that are not prohibited by Canon
3( B)( 11)( a) are potential
rulings communicated by a judge for purposes of facilitating plea bargain or
settlement discussions or communications regarding scheduling or other routine
procedural matters. Canon 3( B)( 11)( a)
also does not bar communications that are permissible under law, including
other provisions of the Code of Judicial Conduct.
C( 4). Appointees of a judge include assigned counsel, officials
such as referees, commissioners, special masters, receivers and guardians
and personnel such as clerks, secretaries
and bailiffs. Consent by the parties to an appointment or an award of compensation
does not relieve the judge of the obligation prescribed by division (C)( 4)
of this canon.
D( 3). This division parallels DR 1-102 of the Code of Professional
Responsibility.
E( l). Under this rule, a judge is disqualified whenever
the judge's impartiality might reasonably be questioned, regardless
whether any of the specific rules in division (E)( 1) of Canon
3 apply. For example, if a judge were in the process of negotiating for employment
with a law firm, the judge would be disqualified from any matters in which
that law firm appeared, unless the
disqualification was waived by the parties after disclosure by the judge.
A judge should timely disclose on the record information that the judge believes
the parties or their lawyers might consider relevant to the question of disqualification,
even if the
judge believes there is no real basis for disqualification.
By decisional law, the rule of necessity may override the rule of disqualification.
For example, a judge might be required to participate in judicial review of
a judicial salary statute, or
might be the only judge available in a matter requiring immediate judicial
action, such as a hearing on probable cause or a temporary restraining order.
In the latter case, the judge must disclose on
the record the basis for possible disqualification and use reasonable efforts
to transfer the matter to another judge as soon as practicable.
E( 1)( b). A lawyer in a government agency does not ordinarily
have an association with other lawyers employed by that agency within
the meaning of division (E)( l)( b); a judge
formerly employed by a government agency, however, should disqualify himself
or herself in a proceeding if the judge's impartiality might reasonably be
questioned because of such association.
E( 1)( d). The fact that a lawyer in a proceeding is affiliated
with a law firm with which a relative of the judge is affiliated does
not of itself disqualify the judge. Division
(E)( 1)( d)( iii) applies to appellate judges reviewing decisions rendered
by them or a relative as defined in division (E)( 1)( d) of this canon. It
is not intended to prevent trial judges from hearing
cases on remand, or that have been refiled after dismissal. Under appropriate
circumstances, the 16
16 Page 17 18
fact that "the judge's impartiality might reasonably be questioned" under
division (E)( 1), or that the relative is known by the judge to have an interest
in the law firm that could be "substantially
affected by the outcome of the proceeding" under division (E)( 1)( d)(
iv) may require the judge's disqualification.
F. A remittal procedure provides the parties an opportunity to
proceed without delay if they wish to waive the disqualification. To
assure that consideration of the question of remittal
is made independently of the judge, a judge must not solicit, seek or hear
comment on possible remittal or waiver of the disqualification unless the lawyers
jointly propose remittal after
consultation as provided in the rule. A party may act through counsel if counsel
represents on the record that the party has been consulted and consents. As
a practical matter, a judge may wish to
have all parties and their lawyers sign the remittal agreement.
G. and H. These provisions supersede Divisions (E) and (F) of Canon
3 of the Code of Judicial Conduct as applied to members of the Supreme Court
of Ohio.
[Effective: December 20, 1973; amended effective June 1, 1979; January
1, 1982; December 8, 1982; October 24, 1994; May 1, 1997.] 17
17 Page 18 19
CANON 4
A Judge Shall Avoid Impropriety and the Appearance of Impropriety in all of
the Judge's Activities
(A) Positions of Influence. A judge shall not allow family, social, political,
or other relationships to influence the judge's judicial conduct or judgment.
A judge shall not lend the
prestige of judicial office to advance the private interests of the judge or
others and shall not convey or permit others to convey the impression that
they are in a special position to influence
the judge. A judge shall not testify voluntarily as a character witness.
(B) Memberships in Organizations that Practice Invidious
Discrimination. A judge shall not hold membership in any
organization that practices invidious discrimination on the
basis of race, gender, religion, or national origin.
(C) Appearances and Appointments.
(1) A judge shall not appear at a public hearing before or otherwise consult
with an executive or legislative body or official except on matters concerning
the law, the legal system, or
the administration of justice or except when acting pro se in a matter
involving the judge or the judge's interests.
(2) A judge shall not accept appointment to a governmental committee
or commission or other governmental position that is concerned with issues
of fact or policy on matters other
than the improvement of the law, the legal system or the administration of
justice. A judge may represent a country, state, or locality on ceremonial
occasions or in connection with historical,
educational or cultural activities.
(D) Fiduciary Positions.
(1) A judge shall not serve as executor, administrator, or other personal
representative, trustee, guardian, attorney in fact, or other fiduciary, except
for the estate, trust, or
person of a member of the judge's family, and then only if the service does
not interfere with the proper performance of judicial duties.
(2) A judge shall not serve as a fiduciary if it is likely that the
judge as a fiduciary will be engaged in proceedings that would ordinarily
come before the judge or if the estate, trust, or
ward becomes involved in adversary proceedings in the court on which the judge
serves or one under its appellate jurisdiction.
(3) The same restrictions on financial activities that apply to a judge
personally also apply to the judge while acting in a fiduciary capacity.
18
18 Page 19 20
(E) Judicial Functions in a Private Capacity. A judge
shall not act as an arbitrator or mediator or otherwise perform
judicial functions in a private capacity unless expressly
authorized by law.
(F) Practice of Law. A judge shall not practice law. Notwithstanding
this prohibition, a judge may act pro se and, without compensation,
may give legal advice to and draft or revise
documents for a member of the judge's family.
Commentary:
A. Maintaining the prestige of judicial office is essential to a system
of government in which the judiciary functions independently of the executive
and legislative branches. Respect for
the judicial office facilitates the orderly conduct of legitimate judicial
functions. Judges should distinguish between proper and improper use of the
prestige of office in all of their activities. For
example, it would be improper for a judge to allude to his or her judgeship
to gain a personal advantage such as deferential treatment when stopped by
a police officer for a traffic offense.
Similarly, judicial letterhead must not be used for conducting a judge's personal
business.
A judge must avoid lending the prestige of judicial office for the advancement
of the private interests of others. For example, a judge must not use the judge's
judicial position to gain
advantage in a civil suit involving a member of the judge's family. In contracts
for publication of a judge's writings, a judge should retain control over the
advertising to avoid exploitation of the
judge's office. As to the acceptance of awards, see Canon 2( C)( 5)( a) and
Commentary.
Although a judge should be sensitive to possible abuse of the prestige of office,
a judge may, based on the judge's personal knowledge, serve as a reference
or provide a letter of
recommendation. However, a judge must not initiate the communication of information
to a sentencing judge or a probation or corrections officer but may provide
to such persons
information for the record in response to a formal request.
Judges may participate in the process of judicial selection by cooperating
with appointing authorities and screening committees seeking names for consideration,
and by responding to
official inquiries concerning a person being considered for a judgeship. See
also Canon 7 regarding use of a judge's name in political activities.
A judge must not testify voluntarily as a character witness because
to do so may lend the prestige of the judicial office in support of the
party for whom the judge testifies. Moreover, when
a judge testifies as a witness, a lawyer who regularly appears before the judge
may be placed in the awkward position of cross-examining the judge. A judge
may, however, testify when properly
summoned. Except in unusual circumstances where the demands of justice require,
a judge should discourage a party from requiring the judge to testify as a
character witness.
B. Membership of a judge in an organization that practices invidious
discrimination gives rise to perceptions that the judge's impartiality
is impaired. Canon 4( B) refers to the current 19
19 Page 20 21
practices of the organization. Whether an organization practices invidious
discrimination is often a complex question to which judges should be sensitive.
The answer cannot be determined from a
mere examination of an organization's current membership rolls but rather depends
on how the organization selects members and other relevant factors, such as
that the organization is dedicated
to the preservation of religious, ethnic or cultural values of legitimate common
interest to its members, or that it is in fact and effect an intimate, purely
private organization whose membership
limitations could not be constitutionally prohibited. Absent such factors,
an organization is generally said to discriminate invidiously if it arbitrarily
excludes from membership on the basis of
race, religion, gender or national origin persons who would otherwise be admitted
to membership. See New York State Ass'n. Inc. v. City of New York, 487
U. S. 1, 108 S. Ct. 2225, 101 L. Ed. 2d 1
(1988); Board of Directors of Rotary International v. Rotary Club of Duarte, 481
U. S. 537, 107 S. Ct. 1940, 95 L. Ed. 2d 474 (1987); Roberts v. United States
Jaycees, 468 U. S. 609, 104 S. Ct.
3244, 82 L. Ed. 2d 462 (1984).
When a person who is a judge on the date this Code becomes effective learns
that an organization to which the judge belongs engages in invidious discrimination
that would preclude
membership under Canon 4( B) or under Canon 4 and Canon 2( A), the judge is
permitted, in lieu of resigning, to make immediate efforts to have the organization
discontinue its invidiously
discriminatory practices, but is required to suspend participation in any other
activities of the organization. If the organization fails to discontinue its
invidiously discriminatory practices as
promptly as possible (and in all events within a year of the judge's first
learning of the practices), the judge is required to resign immediately from
the organization.
C( l). See Commentary for division A of this Canon.
C( 2). Division (C)( 2) of this canon prohibits a judge
from accepting any governmental position except one relating
to the law, legal system or administration of justice as authorized
by
Canon 2( B). The appropriateness of accepting extra-judicial assignments must
be assessed in light of the demands on judicial resources created by crowded
dockets and the need to protect the
courts from involvement in extra-judicial matters that may prove to be controversial.
Judges should not accept governmental appointments that are likely to interfere
with the effectiveness
and independence of the judiciary.
Canon 4( C)( 2) does not govern a judge's service in a nongovernmental position.
See Canon 2( B) permitting service by a judge with organizations devoted to
the improvement of the
law, the legal system or the administration of justice and with educational,
religious, charitable, fraternal or civic organizations not conducted for profit.
For example, service on the board of a
public educational institution, unless it were a law school, would be prohibited
under Canon 4( C)( 2), but service on the board of a public law school or any
private educational institution
would generally be permitted under Canon 2( B).
D. The Effective Date of Compliance provision of this Code may postpone
the time for compliance with certain provisions of this division in some cases.
20
20 Page 21 22
The restrictions imposed by this Canon may conflict with the judge's obligation
as a fiduciary. For example, a judge should resign as trustee if detriment
to the trust would result from
divestiture of holdings the retention of which would place the judge in violation
of Canon 2( C)( 4).
E. Division (E) of this canon does not prohibit a judge
from participating in arbitration, mediation or settlement
conferences performed as part of judicial duties.
F. This prohibition refers to the practice of law in a representative
capacity and not in a pro se capacity. A judge may act for himself
or herself in all legal matters, including matters
involving litigation and matters involving appearances before or other dealings
with legislative and other governmental bodies. However, in so doing, a judge
must not abuse the prestige of office to
advance the interests of the judge or the judge's family. See Canon 4( A).
The Code allows a judge to give legal advice to and draft legal documents for
members of the judge's family, so long as the judge receives no compensation.
A judge must not, however, act
as an advocate or negotiator for a member of the judge's family in a legal
matter.
[Effective: December 20, 1973; amended effective May 1, 1997.] 21
21 Page 22 23
CANON 5 -Reserved. 22
22 Page 23 24
CANON 6 -Reserved. 23
23 Page 24 25
CANON 7 Judges and Judicial Candidates Should
Refrain From Political Activity Inappropriate to Judicial Office
(A) Definitions. As used in this canon:
(1) "Judicial candidate" means a person who has made a public announcement
of candidacy for judicial office, declared or filed as a candidate for judicial
office with the election
authority, or authorized the solicitation or receipt of contributions or support
for judicial office, whichever occurred first.
(2) "Judge" means a holder of judicial office who is not a
judicial candidate.
(3) "Contribution" has the same meaning as in section 3517.01 of
the Revised Code and includes an in-kind contribution.
(4) "In-kind contribution" means anything of value, as defined
in section 1.03 of the Revised Code, other than money or uncompensated
volunteer services, that is used to influence
the results of an election or is transferred to or used in support of or in
opposition to a judicial candidate and that is made with the consent of, in
coordination, cooperation, or consultation with,
or at the request or suggestion of a judicial candidate, the campaign committee
or agent of the judicial candidate, or a political party and that is paid for
by any person other than the benefited
judicial candidate or campaign committee for that judicial candidate.
(5) "Loan" means an advance of money with an absolute promise to
pay, with or without interest, and includes loan guarantees.
(6) "Political party" has the same meaning as in section 3517.01
of the Revised Code and includes any national, state, or county political
party.
(7) "Organization" means any entity or combination of two or more
persons, other than a political party, including, but not limited to, a corporation,
nonprofit corporation,
partnership, limited liability company, association, professional association,
continuing association, estate, trust, business trust, political action committee
as defined as in section
3517.01 of the Revised Code, law firm, organization affiliated with a political
party, labor organization, campaign committee of another candidate for public
office, or caucus campaign
committee.
(8) "Political action committee" has the same meaning as in section
3517.01 of the Revised Code.
(9) "Law firm" means two or more lawyers joined together to
engage in the practice of law, regardless of the nature of the association
and excluding lawyers whose only association is
through the sharing of office space. "Law firm" includes, but is
not limited to, a partnership, legal 24
24 Page 25 26
professional association, limited liability company, partnership with limited
liability, law clinic, corporate law department, or attorney general, prosecuting
attorney, law director, public
defender, legal aid, or other public office.
(10) "Organization affiliated with a political party" means a combination
of two or more persons, other than a political party or an organization, that
is identified by its name or association
with a national, state, or county political party or expressly promotes the
interests, philosophy, or candidates of a political party.
(11) "Expenditure" means the disbursement or use of either
a contribution or personal funds of the judicial candidate or a member
of his or her immediate family on behalf of or for the
benefit of the judicial candidate for the purpose of advocating his or her
election to judicial office or the defeat of his or her opponent. "Expenditure" does
not include any of the following:
(a) An independent expenditure;
(b) Uncompensated volunteer services;
(c) Slate cards, sample ballots, or other publications of a political party
that identify all of the candidates endorsed by the party in an election;
(d) Aggregate fund raising expenses that do not exceed ten percent of
the limit on expenditures contained in division (C)( 6) of this canon
that is applicable to the judicial candidate;
(e) Reasonable and necessary expenses incurred by a judicial candidate or his
or her campaign committee in prosecuting or defending a grievance filed pursuant
to Gov. Jud. R. II,
Section 5, exclusive of any fine or other monetary sanction imposed for a violation
or as a result of a finding that the grievance was frivolous or filed solely
for the purpose of obtaining an
advantage for a judicial candidate.
(12) "Independent expenditure" means an expenditure made for the
purpose of advocating the election or defeat of a judicial candidate that is
not authorized by or made with the
consent of, in coordination, cooperation, or consultation with, or at the request
or suggestion of a judicial candidate or the campaign committee or agent of
the judicial candidate. As used in
division (A)( 12) of this canon:
(a) "Advocating" means any communication containing a message advocating
election or defeat.
(b) "Made in coordination, cooperation, or consultation with, or
at the request or suggestion of, a judicial candidate or the campaign
committee or agent of the judicial candidate"
means made pursuant to any arrangement, coordination, or direction by the judicial
candidate, his or her campaign committee, or his or her agent prior to the
publication, distribution, display, or
broadcast of the communication. An expenditure is presumed to be so made when
it is either or both of the following: 25
25 Page 26 27
(i) Based on information about the judicial candidate's plans, projects, or
needs provided to the person making the expenditure by the judicial candidate,
or by the judicial
candidate's campaign committee or agent, with a view toward having an expenditure
made;
(ii) Made by or through any person who is, or has been, authorized to raise
or expend funds, who is, or has been, an officer of the judicial candidate's
campaign committee, or who is,
or has been, receiving any form of compensation or reimbursement from the judicial
candidate, or the judicial candidate's campaign committee or agent.
(c) "Agent" means any person who has oral or written authority,
either express or implied, to make or to authorize the making of expenditures
on behalf of a judicial candidate, or
any person who has been placed in a position with the judicial candidate's
campaign committee from which it would reasonably appear that, in the ordinary
course of judicial campaign-related
activities, the person may authorize expenditures.
(13) "Immediate family" means any of the following who are related
by blood or marriage to the judicial candidate:
(a) Spouse;
(b) Parent;
(c) Child;
(d) Brother or sister;
(e) Grandparent;
(f) Grandchildren;
(g) Uncle or aunt;
(h) Nephew or niece;
(i) Great-grandparent;
(j) Cousin.
(14) "Aggregate fund raising expenses" means the total expenditures
made in the fund raising period allowed by division (C)( 4) of this canon to
solicit or receive contributions. In
calculating aggregate fund raising expenses for purposes of division (A)( 11)(
d) of this canon, the cost of food and beverages served at fund raising events
shall not be included.
(B) Political and Campaign Conduct in General. 26
26 Page 27 28
(1) A judge or judicial candidate shall maintain the dignity appropriate to
judicial office.
(2) A judge or judicial candidate shall not do any of the following:
(a) Act as a leader or hold any office in a political organization;
(b) Make speeches on behalf of a political organization or another candidate
at a political meeting or publicly endorse or oppose a candidate for another
public office;
(c) Make pledges or promises of conduct in office other than the faithful
and impartial performance of the duties of the office;
(d) Make statements that commit or appear to commit the judge or judicial candidate
with respect to cases or controversies that are likely to come before the court;
(e) Comment on any substantive matter relating to a specific pending case on
the docket of a judge;
(f) Knowingly misrepresent his or her identity, qualifications, present position,
or other fact or the identity, qualifications, present position, or other fact
of an opponent;
(g) Jointly raise funds with a candidate for nonjudicial office. Judicial candidates
may appear together in joint campaign advertisements and may conduct joint
fund raising activities
with other judicial candidates. A judicial candidate may participate with judicial
and nonjudicial candidates in fund raising activities organized or sponsored
by a political party and may appear
with other candidates for public office on slate cards, sample ballots, and
other publications of a political party that identify all candidates endorsed
by the party in an election.
(3) A judge or judicial candidate may attend political gatherings and
speak to political gatherings. A judicial candidate may do any of the
following:
(a) State in person or in advertising that he or she is the nominee of or has
been endorsed by a political party;
(b) From the day on which he or she becomes a judicial candidate through the
day of the primary election, identify himself or herself in person or in advertising
as a member of a
political party;
(c) After the day of the primary, identify himself or herself in person as
a member of a political party.
(4) A judge shall resign from office when he or she becomes a candidate
in a primary or general election for a nonjudicial office. A judge may
continue to hold judicial office while he 27
27 Page 28 29
or she is a candidate for election to or serving as a delegate in a state constitutional
convention, if the judge is otherwise permitted by law to do so.
(5) No earlier than one year prior to and no later than thirty days after certification
of his or her candidacy by the election authority, a judicial candidate shall
complete a two-hour
course in campaign practices, finance, and ethics accredited by the Commission
on Continuing Legal Education. Within five days of completing the course, the
judicial candidate shall certify to
the Board of Commissioners on Grievances and Discipline his or her completion
of the course and understanding of the requirements of the Code of Judicial
Conduct and applicable provisions of
the Revised Code.
(C) Campaign Solicitations and Expenditures.
(1) A judicial candidate shall prohibit public employees subject to his
or her direction or control from soliciting or receiving campaign fund contributions.
(2)( a) A judicial candidate personally shall not solicit or receive
campaign funds. A judicial candidate may establish a committee to secure
and manage the expenditure of funds for
his or her campaign and to obtain statements of support for his or her candidacy.
The campaign committee shall not knowingly receive directly or indirectly for
any political or personal purpose
any of the following:
(i) A contribution from any employee of the court or person who does business
with the court in the form of a contractual or other arrangement in which the
person, in the current
year or any of the previous six calendar years, received as payment for goods
or services aggregate funds or fees regardless of the source in excess of two
hundred fifty dollars. The
committee may receive campaign contributions from lawyers who are not employees
of the court or doing business with the court in the form of a contractual
or other arrangement.
(ii) A contribution from any appointee of the court unless the campaign
committee, on its campaign contribution and expenditure statement, reports
the name, address, occupation, and
employer of the appointee, identifies the person as an appointee of the court,
and indicates whether the appointee, in the current year or in any of the previous
six calendar years, received
aggregate compensation from court appointments in excess of two hundred fifty
dollars.
(iii) A contribution from a political party unless the contribution is made
from a separate fund established by the political party solely to receive donations
for judicial candidates
and the political party reports on the contribution and expenditure statements
filed by the party the name, address, occupation, and employer of each person
who contributed to the separate fund
established by the political party.
(b) As used in divisions (C)( 2)( a)( i) and (ii) of this canon: 28
28 Page 29 30
(i) "Appointee" does not include a person whose appointment is approved,
ratified, or made by the court based on an intention expressed in a document
such as a will, trust agreement,
or contract.
(ii) "Court" means the court for which the judicial candidate is
seeking election and, if applicable, the court on which he or she currently
serves. If the judicial candidate is seeking
election to a division of a court of common pleas or a municipal court, "court" means
the division of the court for which the judicial candidate is seeking election
and, if applicable, the court or
division of the court on which he or she currently serves.
(iii) "Division" means any of the following whether separate or in
combination: general division of the court of common pleas; domestic relations
division of the court of common
pleas; juvenile division of the court of common pleas; probate division of
the court of common pleas; housing or environmental division of the municipal
court.
(iv) "Compensation" does not include reasonable reimbursement
for travel, meals, and other expenses received by an appointee who serves
in a volunteer capacity.
(3) A judicial candidate shall not participate in or receive campaign contributions
from a judicial fund raising event that categorizes or identifies participants
by the amount of the
contribution made to the event.
(4) The campaign committee of a judicial candidate may begin soliciting and
receiving contributions no earlier than one hundred twenty days before the
first Tuesday after the first
Monday in May of the year in which the general election is held. If the general
election is held in 1996 or any fourth year thereafter, the campaign committee
of a judicial candidate may begin
soliciting and receiving contributions no earlier than one hundred twenty days
before the third Tuesday in March of the year in which the general election
is held. The solicitation and receipt of
contributions may continue until one hundred twenty days after the general
election, unless the candidate is defeated prior to the general election, in
which case the solicitation and receipt of
contributions may continue until one hundred twenty days after the date of
the election at which the defeat occurred. In the case of the death or withdrawal
of a judicial candidate, the solicitation
and receipt of contributions may continue until such time as the contributions
solicited are sufficient to pay the campaign debts and obligations of the judicial
candidate incurred on or before
the date of death or withdrawal, plus the costs of solicitation incurred after
the date of death or withdrawal, but in no event shall the solicitation or
receipt of contributions continue beyond one
hundred twenty days after the date of death or withdrawal.
(5)( a) Except as otherwise provided in division (C)( 5)( b) of this canon,
the campaign committee of a judicial candidate shall not directly or indirectly
solicit or receive in the fund
raising period allowed by division (C)( 4) of this canon a campaign contribution
aggregating more than the following:
(i) From an individual other than the judicial candidate or a member
of his or her immediate family, two thousand dollars in the case of a
judicial candidate for chief justice or 29
29 Page 30 31
justice of the Supreme Court, five hundred dollars in the case of a judicial
candidate for the court of appeals, or two hundred fifty dollars in the case
of a judicial candidate for the court of common
pleas, municipal court, or county court.
(ii) From any organization, five thousand dollars in the case of a judicial
candidate for chief justice or justice of the Supreme Court or two thousand
five hundred dollars in the case of
all other judicial candidates.
(iii) From a political party, an amount equal to thirty-five percent of the
maximum amount of expenditures permitted to be made by the campaign committee
of the judicial candidate
pursuant to division (C)( 6) of this canon.
(b)( i) If a judicial candidate is opposed in a primary election, the campaign
committee of that judicial candidate shall not directly or indirectly solicit
or receive a campaign contribution
from an individual, an organization, or a political party aggregating more
than the applicable limitation contained in division (C)( 5)( a) of this canon
in a primary election period or in a general
election period.
(ii) For purposes of division (C)( 5)( b) of this canon, "primary election
period" begins on the first day on which contributions may be solicited
and received pursuant to division (C)( 4)
of this canon and ends on the day of the primary election, and "general
election period" begins on the day after the primary election and ends
on the last day on which contributions may be solicited
or received pursuant to division (C)( 4) of this canon.
(c) For purposes of division (C)( 5)( a) and (b) of this canon:
(i) Contributions received from political action committees that are established,
financed, maintained, or controlled by the same corporation, nonprofit corporation,
partnership,
limited liability company, association, professional association, continuing
association, estate, trust, business trust, or other entity, including any
parent, subsidiary, local, division, or
department of that same corporation, nonprofit corporation, partnership, limited
liability company, association, professional association, continuing association,
estate, trust, business
trust, or other entity, shall be considered to have been received from a single
political action committee.
(ii) All contributions received by a judicial candidate from a national,
state, or county political party shall be combined in applying the limits
set forth in division (C)( 5)( a)( iii) of this
canon.
(iii) In-kind contributions consisting of goods and compensated services shall
be assigned a fair market value by the campaign committee and shall be subject
to the same
limitations and reporting requirements as other contributions.
(iv) A loan made to a campaign committee by a person other than the judicial
candidate or his or her spouse shall not exceed an amount equal to two times
the applicable contribution 30
30 Page 31 32
limit, and amounts in excess of the applicable contribution limit shall be
repaid within the fund raising period allowed by division (C)( 4) of this canon.
A debt remaining at the end of the fund
raising period shall be treated as a contribution and subject to the applicable
contribution limit.
(v) A debt incurred by a judge or judicial candidate in a previous campaign
for public office and forgiven by the individual, organization, or political
party to whom the debt is owed
shall not be considered a campaign contribution.
(d) In applying the contribution limits contained in division (C)( 5) of this
canon, the contributions of an individual or organization to a judicial candidate
fund established by a political
party shall not be aggregated with other contributions from the same individual
or organization made directly to the campaign committee of a judicial candidate
unless the campaign committee of
the judicial candidate directly or indirectly solicited the contribution to
the judicial candidate fund.
(6)( a) Except as provided in division (C)( 6)( b) of this canon, the total
amount of expenditures made in the fund raising period allowed by division
(C)( 4) of this canon by the
campaign committee of a judicial candidate shall not exceed the following:
(i) Seven hundred thousand dollars in the case of a judicial candidate for
chief justice of the Supreme Court;
(ii) Five hundred thousand dollars in the case of a judicial candidate
for justice of the Supreme Court;
(iii) One hundred twenty-five thousand dollars in the case of a judicial candidate
for the court of appeals;
(iv) One hundred twenty-five thousand dollars in the case of a judicial candidate
for a court of common pleas, municipal court, or county court that serves a
territorial jurisdiction with
a population of more than seven hundred fifty thousand;
(v) One hundred thousand dollars in the case of a judicial candidate for a
court of common pleas, municipal court, or county court that serves a territorial
jurisdiction with a
population of more than two hundred fifty thousand but not more than seven
hundred fifty thousand;
(vi) Seventy-five thousand dollars in the case of a judicial candidate
for a court of common pleas, municipal court, or county court that serves
a territorial jurisdiction with a
population of more than one hundred thousand but not more than two hundred
fifty thousand;
(vii) Fifty thousand dollars in the case of a judicial candidate for a court
of common pleas, municipal court, or county court that serves a territorial
jurisdiction with a population of
one hundred thousand or less. 31
31 Page 32 33
(b) If a judicial candidate is opposed in a primary election, the limits contained
in division (C)( 6)( a) of this canon shall apply only during the general election
period, and the total
expenditures made by the campaign committee of the judicial candidate during
the primary election period shall not exceed the following:
(i) Three hundred fifty thousand dollars in the case of a judicial candidate
for chief justice of the supreme court;
(ii) Two hundred fifty thousand dollars in the case of a judicial candidate
for justice of the supreme court;
(iii) Sixty-two thousand five hundred dollars in the case of a judicial candidate
for the court of appeals;
(iv) Sixty-two thousand five hundred dollars in the case of a judicial candidate
for a court of common pleas, municipal court, or county court that serves a
territorial jurisdiction with
a population of more than seven hundred fifty thousand;
(v) Fifty thousand dollars in the case of a judicial candidate for a court
of common pleas, municipal court, or county court that serves a territorial
jurisdiction with a population of
more than two hundred fifty thousand but not more than seven hundred fifty
thousand;
(vi) Thirty-seven thousand five hundred dollars in the case of a judicial candidate
for a court of common pleas, municipal court, or county court that serves a
territorial jurisdiction with
a population of more than one hundred thousand but not more than two hundred
fifty thousand;
(vii) Twenty-five thousand dollars in the case of a judicial candidate for
a court of common pleas, municipal court, or county court that serves a territorial
jurisdiction with a
population of one hundred thousand or less.
(c) For purposes of division (C)( 6)( b) of this canon, "primary election
period" and "general election period" shall have the same meaning
has in division (C)( 5)( b)( ii) of this canon.
(7) On or before the first day of December beginning in 2000 and every
four years thereafter, the secretary of the Board of Commissioners on
Grievances and Discipline shall
determine the percentage change over the preceding forty-eight months in the
Consumer Price Index for All Urban Consumers, or its successive equivalent,
as determined by the United States
Department of Labor, Bureau of Labor Statistics, or its successor in responsibility,
for all items, Series A. That percentage change shall be applied to the contribution
and expenditure limitations
then in effect. The result of that calculation, rounded to the nearest twenty-five
dollars, shall be the contribution and expenditure limitations applicable to
the campaign committees of judicial
candidates seeking office in the four year period that begins on the ensuing
first day of January. The secretary shall notify the Secretary of State, the
board of elections of each county, all courts,
bar associations, and state political parties in Ohio of the revised contribution
and expenditure 32
32 Page 33 34
limitations. The Supreme Court shall publish the revised contribution and expenditure
limitations in the Ohio Official Reports.
(8)( a) A judicial candidate shall not expend funds in
a judicial campaign that have been contributed to him or her
to promote his or her candidacy for a nonjudicial office.
(b) A judge or judicial candidate shall not contribute or expend campaign funds
in support of or opposition to a candidate for a public office, other than
the public office to which
the judge or judicial candidate is seeking election. A judge or judicial candidate
may contribute or expend campaign funds to attend a social or fundraising event
held by or on behalf of another
public official or candidate for public office.
(c) For any of the purposes contained in division (A) of section 3517.18 of
the Revised Code and subject to the limitations contained in division (B) of
that section, a judge or
judicial candidate may contribute campaign funds to or expend campaign funds
for a political party or to attend social events sponsored by a political party.
(9) The campaign committee of a judicial candidate who is elected to
the Supreme Court, court of common pleas, municipal court, or county
court shall file a copy of all
contribution and expenditure statements specified in division (A) of section
3517.10 of the Revised Code with the clerk of the court. The campaign committee
of a judicial candidate who is
elected to the court of appeals shall file a copy of all required contribution
and expenditure statements with the clerk of court of each county in the appellate
district. The statements shall be
filed with the clerk no later than ten days after the date on which the term
of office of the judicial candidate begins.
(D) Campaign Standards. During the course of any campaign for
nomination or election to judicial office, a judicial candidate, by means
of campaign materials, including
sample ballots, an advertisement on radio or television or in a newspaper or
periodical, a public speech, press release, or otherwise, shall not knowingly
or with reckless disregard do any of the
following:
(1) Use the title of an office not currently held by a judicial candidate in
a manner that implies that the judicial candidate does currently hold that
office;
(2) Use the term "judge" when a judge is a candidate for another
judicial office and does not indicate the court on which the judge currently
serves;
(3) Use the term "re-elect" when the judicial candidate has never
been elected at a general or special election to the office for which he or
she is a judicial candidate.
(4) Make a false statement concerning the formal schooling or training completed
or attempted by a judicial candidate; a degree, diploma, certificate, scholarship,
grant, award, prize
of honor received, earned, or held by a judicial candidate; or the period of
time during which a judicial candidate attended any school, college, community
technical school, or institution; 33
33 Page 34 35
(5) Make a false statement concerning the professional, occupational, or vocational
licenses held by a judicial candidate, or concerning any position a judicial
candidate held for which
he or she received a salary or wages;
(6) Make a false statement that a judicial candidate has been arrested, indicted,
or convicted of a crime;
(7) Make a statement that a judicial candidate has been arrested, indicted,
or convicted of any crime without disclosing the outcome of all pending
or concluded legal proceedings
resulting from the arrest, indictment, or conviction;
(8) Make a false statement that a judicial candidate has a record of treatment
or confinement for mental disorder;
(9) Make a false statement that a judicial candidate has been subjected
to military discipline for criminal misconduct or dishonorably discharged
from the armed services;
(10) Falsely identify the source of a statement, issue statements under the
name of another person without authorization, or falsely state the endorsement
of or opposition to a
judicial candidate by a person, organization, political party, or publication.
(E) Campaign Communications. During the course of any
campaign for nomination or election to judicial office, a judicial
candidate, by means of campaign materials,
including sample ballots, an advertisement on radio or television or in a newspaper
or periodical, a public speech, press release, or otherwise, shall not knowingly
or with reckless disregard do any
of the following:
(1) Post, publish, broadcast, transmit, circulate, or distribute information
concerning a judicial candidate or an opponent, either knowing the information
to be false or with a reckless
disregard of whether or not it was false or, if true, that would be deceiving
or misleading to a reasonable person.
(2) Manifest bias or prejudice toward an opponent based on race, sex,
religion, national origin, disability, age, sexual orientation, or socioeconomic
status or permit members of
his or her campaign committee or others subject to his or her direction or
control to do so.
(F) Accountability.
A judicial candidate shall be responsible for the content
of any statement communicated in any medium by his or her campaign
committee and for compliance by his or her campaign
committee with the limitations on campaign solicitations, contributions, and
expenditures contained in this canon if the candidate knew of the statement,
solicitation, contribution, or
expenditure. 34
34 Page 35 36
(G) Effective Date and Amendments.
(1) The amendments to Canon 7 of the Code of Judicial Conduct, adopted
by the Supreme Court on April 25, 1995, shall take effect on July 1, 1995.
(2) The amendments to Canon 7( C)( 6) of the Code of Judicial Conduct,
adopted by the Supreme Court of Ohio on February 20, 1996, shall take
effect on February 20, 1996.
(3) The amendments to Canon 7 of the Code of Judicial Conduct, adopted by the
Supreme Court of Ohio on March 20, 1996, shall take effect on April 18, 1996.
(4) The amendments to Canon 7 of the Code of Judicial Conduct, adopted by the
Supreme Court of Ohio on June 5, 1996 shall take effect on June 5, 1996.
(5) The amendments to Canon 7 of the Code of Judicial Conduct, adopted by the
Supreme Court of Ohio on May 6, 1997, shall take effect on June 1, 1997. Canon
7( C)( 6) shall
apply to expenditures made by a campaign committee of a judicial candidate
on or after June 1, 1997. The expenditures made prior to June 1, 1997 by the
campaign committee of a judicial
candidate seeking election in 1997 shall not be considered in computing the
total amount of expenditures made by the judicial candidate's campaign committee
during the permissible fund
raising period. 35
35 Page 36 37
COMPLIANCE WITH THE CODE OF JUDICIAL CONDUCT
(A) Anyone, whether or not a lawyer, who is an officer of a judicial system
performing judicial functions, including an officer such as a referee in bankruptcy,
special master, court
commissioner, or magistrate, is a judge for the purpose of this Code except
as provided below.
(B) Part-time Judge. A part-time judge is a judge who serves on a continuing
or periodic basis, but is permitted by law to devote time to some other profession
or occupation and
whose compensation for that reason is less than that of a full-time judge.
A part-time judge:
(1) Is not required to comply with Canon 2( C)( 2); Canon 4( C)( 2), (D), (E),
(F), and Canon 2( D)( 3), except that a part-time judge must file the annual
disclosure statement required by
section 102.02 of the Revised Code;
(2) Shall not practice law in the court on which he or she serves or in any
court subject to the appellate jurisdiction of the court on which he or she
serves, or act as a lawyer in a
proceeding in which he or she has served as a judge or in any other related
proceeding.
(C) Judge Pro Tempore. A judge pro tempore is a person who is
appointed to act temporarily as a judge.
(1) While acting as such a judge pro tempore is not required
to comply with Canon 2( C)( 2), (4), Canon 4( C)( 2), (D), (E), (F),
and Canon 2( D)( 3).
(2) A person who has been a judge pro tempore shall not act as a lawyer
in a proceeding in which he or she has served as a judge or in any other related
proceeding.
(D) Retired Judge. A retired judge who is eligible for recall to judicial service
shall comply with all the provisions of this Code except Canon 2( C)( 2), Canon
4( C)( 2), (D), (E), and
Canon 2( D)( 3).
[Effective: December 20, 1973; amended effective December 8, 1982; May
1, 1997.] 36
36 Page 37
EFFECTIVE DATE OF COMPLIANCE
Canons 1-4 of this Code, as amended by the Supreme Court
of Ohio on March 4, 1997, shall be effective on May 1, 1997.
A person to whom this Code becomes applicable should arrange his or
her affairs as soon as reasonably possible to comply with it. In any
event a non-incumbent who has been elected to, is
elected to, or has been or is appointed to a judicial position to which this
Code is applicable shall fully and completely comply with the Code at the beginning
of his or her term of office. An
incumbent judge shall be in full compliance with all the provisions of this
Code no later than the date upon which his or her next term of office begins.
[Effective: December 20, 1973; amended effective May 13, 1974; May 1, 1997.] 37
Page Navigation Panel
1 2 3 4 5 6 7 8 9
10 11 12 13 14 15 16 17 18 19
20 21 22 23 24 25 26 27 28 29
30 31 32 33 34 35 36 37
