Multi-State Professional Responsibility MindMaps

by
Prof. Dane S. Ciolino

sources
regulation Regulating bar admissions
integrity and independence Lawyers discipline
impropriety unauthorized practice of law & multi-jurisdictional practice
Judicial
judicial duties
Ethics
disqualification competence
diligence
extrajudicial activities
Competence/Diligence malpractice
politics
trust accounting

a/c privilege
Confidentiality rule 1.6

advisor direct adversity

evaluator Concurrent material limitation
Clients special rules
negotiator Counselor Lawyer-Client
3P neutral Relationship
former clients
frivolous claims former law firms
Former
expediting litigation Loyalty Relationships gov't lawyers
candor to tribunal (Conflicts) former judges/law clerks
Advocate:
decorum of tribunal Tribunals
consequences
legisl/admin proceedings gen'l
Advocate waiver/consent
fairness to opponent Miscellaneous third persons
publicity Conflicts Issues prospective Cs
Advocate: L Roles
L as witness Miscellaneous organizational Cs
prosecutors

truthfulness
represented persons supervisory Ls
Dealing w/ subordinate Ls
unrepresented persons Third Persons
respecting rights of third persons non-L assistants
restrictions on rt to practice
pro bono Law Firms
prof'l independence
legal services organizations
Business sale of practice
quick-advice hotline advice of Law
Public Servant law-related services
law reform activities
political contributions advertising
solicitation
Advertising &
Solicitation fields of practice
firm names & letterheads

10/12/2009
 holding out that L is admitted in other jurisd
systematic or continuous presence in other jurisd
OK if L supervision
and responsibility UPL by L
improper delegation to staff

improper affil w/ suspended/disbarred L cts have inherent

power to regulate Ls not legislature
not suspended or disbarred
assoc w/ active promulgate rules, most
UPL/MJP state ABA MRs
local counsel Sources based on ABA MRs
pro hac vice admission
temporary MJP ok if fed courts regulate fed practice
ADR arising out of home and either
state practice feds gov't Ls must comply w/ state ethics rules
reas related to home
state practice

in-house or gov't nonlitigating L

authorized by federal law permanent MJP ok if Regulating
Lawyers
no false statements
violation or attempted viol of Rules if necess to correct known
crim acts reflecting on honesty, misapprehension
trustworthiness or fitness as L application
must diclose if lawful demand for info
any act of dishonesty, fraud or misrep unless confid under 1.6
misconduct
cond prej to admin of justice
applicant bears burden of proof
implying ability to improperly influence official Admission right to due process
knowinly assisting viol of judicial canon
character & crim & noncrim
most conduct
known misconduct fitness incl refusal to take oath
relevant
that raises subst'l ques re L's honesty, must report
not nonviol political activity
trustworthiness or fitness reporting
Discipline can't require citizenship (EP)
can't report if info is confid under 1.6
citizenship can't require in-state residency (P&I)
complaint; screening
right to DP
can assert 5th Amdmt; no discipl solely
hearing
for 5th A invocation
state bears burden
process
sanctions: pub/priv reprimand; suspension; disbarment
if miscond in tribunal: apply its Rules
if not: apply jurisd where cond had choice of law
predomin effect
 protect confid info & prop
prospective Cs use reas care re legal adv
can get quantum
meruit $ if C discharges w or w/o cause preferably in writing
by agmt
L materially impaired mentally/physically must
if L d/n decline clearly
rep will require viol of law or Rule Creating by C's reas rel
for any reason, if no materially adv effect
can's seek to avoid unless good cause
if C persists in crime/fraud W/D wld viol law or Rule
C has used L for past crime/fraud good cause
may by ct appmt unreas fin burden
C uncooperative or repugnant
imparing repugnance
financial h'ship on L or C breaks prom to L

reas notice; time to get new L b/f or reas after

refund all unearned fees, papers & prop L's duties upon W/D commencement
must communicate basis if conting: in signed writing

L may limit scope if reas & C gives informed consent fees & expenses
time/labor; novelty/difficulty;
C's decisions: to settle, plead, waive
skill req'd; preclude other
jury, testify in crim case, appeal Lawyer-Client wrk; time limits imposed
reas
assist in crime/fraud, but can discuss Relationship factors customary in locality;
conseq's of proposed cond stakes/results; prior relationship;
provide assistance in viol of Rules L can't Scope fixed/contingent/risk

L must try to maintain normal rel no conting fee in crim case or domestic
rel case (unless past-due amounts)
if subst'l risk of harm, L may take
protective action and discl confid info agree in signed wriiting: how fee calcul'd;
dim cap C expenses to be deducted; net v. gross
conting fees
if imminent & irreparable harm, L may Fees
take action on behalf give disbursement stmt at end

L has charging lien on proceeds

incl'dg all collection L must retain disputed portion in trust
settlmnt offers
circs req'ing "informed consent" but can have disclosed,
nonexcl referral arrgmt
status & means of accomplishing objectives Communication no referral fees
respond to reas requests for info can share w/ firm Ls
consult w/ C when C wants unethical assistance total fee = reas
splitting in prop to servs
can share w/
either or Ls assume
non-firm Ls if
joint respons
C agrees in writing that
discloses Ls' shares
 complexity/specialized
nature
L's gen'l experience
L's training/experience
in particular field

legal knowledge/skill L;'s ability to prepare

civil court not discipl tribunal
adversary is injured P
purpose is to compensate; not to
punish or protect publ
no presumption of malpr
relev evid re whether L's
cond fell below std of care
Competence and study
feasible to consult
disting from discipline w/ other L?
emergency situation?
thorough preparation
relev of Rule viol must maintain competence through CLE

int'l tort: fraud; misrep; malicious prosec;

must be zealous, but not uncivil
abuse of process; conversion
breach of fid duties of loyalty & confid must control workload
breach of K Diligence must conclude matter & clarify
Malpractice end of L-C relationship
duty of care
theories of liab
breach of duty solo L must have succession
neglig plan in place
legal causation
damages
Competence/ L must notify, segregate, safeguard, deliver
L can limit prospective malpr
liab only if C is indep rep'd Diligence & account to C re prop

advises C in writing re in state of practice; only C money

advisability of indep L (excpt bank fees)
L can't settle malpr claim
gives C time to w/ unrep'd C unless L misc indiv acct: necess if subst'l interest to earn
consult indep L Trust IOLTA gen'lly req'd
malpr insurance: not req'd except Oregon Acct'g (const'l post Brown )
trust advances for
acct pooled acct fees/costs
funds in disputed funds
third-party funds
keep completed records for 5+ yrs
 rule: can't compel discl of confid communic b/w L and C if
subj matter of communic concerns prof'l rel b/w L & C
person authorized, or reas believed by C to
be authorized, to practice law
ethics rules (1.6)
not acting in other capacity (friend, father, etc) two sources
"L" attorney-client priv
includes L's agents
1.6: prohibits vol discl
person/entity seeking legal services; includes prosptv C gossip v. compulsion a/c priv: prohibits
communic at direction of superior compelled discl
Gen'l
purpose of coummunic to obtain kinds of info
leg adv for corp corporate empee if "C" 1.6: all info relating to rep
rel b/w sources covered
subj of communic w/in scope of a/c priv: only confid communications
employees duties 1.6: regulates disclosure and use
use v. disclosure
usually not mechancical a/c priv: regulates only disclosure
unless wld discl details of L-C rel (client ID,
commun fee, existence of L-C rel)

not preexisting docs or things "communic" A/C

Priv
intended to be confid
third-party OK if present reas belief no
to further L-C rel "confid"
outsider will hear very broad obligation
Confidentiality addresses only when disclosure is permitted, not
C--not L--hold priv and decides to waive or gen'l
when disclosure is req'd
assert; L has duty to assert
duration: indefinite; survives term of L can't disclose info "relating to representation"
L-C rel, and even death of C info generally known
C seeks L's services to perp C gives informed consent
future crime/fraud
L has implied authority
communic relev to brch of duties
arising out of L-C rel misc reveal on as-need basis
dispute re L's
civil litig b/w persons conduct limit to those w/ need to know
excep's
who were joint Cs of L minimize risk of harm to C
Rule
L furnishes evid re competency to obtain legal ethics advice
or intention of C re disposition of 1.6
prop by will or inter vivos xfr to comply with law or court order
exceptions to prevent reas certain death
or subst'l bodily harm
C will commit or has
prep'd by L for litig or in anticip of litig committed crime/fraud
subst'l need reas certain that subst'l fin
Wrk Prod
and inability to gather to prevent fin harm will happen in future
no discl unless Doctrine
w/o undue h'ship harm if L's disclosure will prevent or
no discl of Ls mental impressions or opinions mitigate harm
C has used L's
serves re matter
 L shall not rep a C if a concurrent
L may not initiate sexual rel w/ C "conflict of interest" exists
no imputation to firm sex Rule direct-adversity conflict
a "concurrent "conflict"
no bus trans w/ C nor acquisition of exists if either material-limitation conflict
adv prop or finan interest unless ....
fair to C
terms
fully disclosed in plain-language writing
business L's Cs are "directly
L's role in transac transactions
C advised in writing re adverse" to one another
that should get indep L
conflict irrelevant whether matters
C gives informed consent in signed writing Direct are unrelated
Adversity can't sue one C on
unless inf'd
consent behalf of another
L may not use confid info to C's disadv
use of examples can't rep one C in
if L benefits from confid info, may owe C info deal against another
restit to C even if no disadv to C Concurrent
solicit or accept subst'l gift to self or rel Clients signif risk that
L may not
prepare instrument that gives gift to self or rel L's rep of one C would be
gifts to L
"relative": 1-2 degree + "close familial rel" L's own pers interests
conflict materially another C
L may acquire "story" relating to rep only after matter concludes Special ltd by
media rts Rules L's resp to former C
L may advance & make repayment conting third person
litig expenses Material
for indigent C, L may simply pay blame shifting
fin assistance Limitation conurr rep of
L may not give other fin assistance crim co-Ds inconsistent defenses
total amount of sttlmt disparate culpability
existence & nature of all claims L must disclose positional conflicts
details all C's particip in sttlmt agg settlements examples L wants job w/
opponent
all Cs must give inf consent in signed writing
L's pers interests L related to
L can't seek opponent or opp L
prospective waiver
unless C indep'ly rep'd

L may settle if ...

malpractice
L advises C in writing to claims
settlement
seek indep legal advice
L gives C reas time to get advice

L may not acquire proprietary int in litig

lawful conting fee proprietary
except interest
lien on proceeds to secure fee payment
 unless inf'd written
consent from all parties L owes residual duties of confidentiality and loyalty
conflict must preserve confid info
imputed former judge can't confidentiality L can't be adv to C if confid info would be relev
to firm rep pvt C re matter Former
unless he particip'd L can't be materially
imputation personally & subst'lly Former Clients same matter
screening Judges adv to former C in
w/ notice substantially related matter

law clerk must inform judge b/f negotiating loyalty waiver/consent : affected Cs can give informed consent,
employment w/ party or L for party if confirmed in writing
participating personally & subst'lly
rules also apply to arbitrators, mediators, etc. migratory L issue : L moves from old firm to new firm;
DQ former or new firm from matter?

can't be materially former C of new L (not

revolving door issue : L used to work for gov't; now just new L's old firm),
wants to be adv to agency (or vice versa) adv to C of L's old
firm if ... see 1.9(a)
former gov't L can't rep pvt client Former
same or subst'lly related matter
in "matter" in which L particp'd Relationships
"personally & substantially" and L acquired confid info relev
to matter while at old firm
"matter": very narrow meaning;
particular matter re specific parties new firm DQ'd L rep'd C at prior firm
pvt wrk after Former OK to screen DQ'd
conflict imputed unless... gov't serv new firm screens DQ'd L
Firms L at new firm if
L screened new firm provides notice and
imputation certification to former C
L gets no share of fee
agency given written notice Gov't L can't be materially adv to departed C if ...
Conflicts same or subst'lly related to matter
L can't be adv to person about
handled by firm
whom he learned confid gov't old firm
info if info wld disadv person and a L remaining at firm has
confid info relevant to matter
conflict imputed
unless... waiver/consent : affected Cs can give
use of info learned informed consent, confirmed in writing
L screened during gov't serv
imputation
L gets no
share of fee

ordinary conflict rules apply

gov't serv after
see Rules 1.7 & 1.9 etc. pvt wrk
 if conflict pre-rep: L must decline
L must w/d
if conflict during rep
L will be involuntarily DQ'd

discipline
any conflict
L must assure that malpractice liab, if resulting damage
constituents understand role conseq's
Ls in "firm" treated as single unit
may rep org and constituents; if L represents org--not for conflicts purposes
conflict waiver needed, get from constituents
non-rep'd constituent "firm": trad firm; corp law
imputation
dept; pub def office; etc.
L knows person violated duty to org or law Gen'l
exception: personal interest conflicts
viol may be imputed to org if
C can waive/consent to conflict if .....
viol likely to cause subst'l inj to org
consentable : reas L no direct suit : one C
L must act in "best interests of org" wld conclude conflict is not suing another
reporting C in same litig
must do up/out wld not impaire Ls rep
must report up to highest Organizational
same if fired authority in org then waiver/consent
Cs informed consent : C must
give inf consent
if no relief, L may report out of org if L reas
believes it necess to prevent subst'l inj to org confirmed : inf consent must
be confrm'd in writing
applies only to securities Ls
L must report material violations of
law to CLO or CEO
CLO must then make "approp resp"
if L d/n like CLO's resp, L must report to board Sarbanes-Oxley
Miscellaneous
L may reveal to SEC if reas necess to Conflicts Issues
avoid subst'l inj to org or investors or to L may not accept
prevent perjury to gov't
C gives informed
consent in writing
compensation
L must preserve confid info from 3P 3P d/n interfere w/ L's
confid unless
independence
Third
L can't be adv to prospec C in C confid info is protected
Persons
same or subst'lly rel matter ...
L typically reps insured
... if confid info could gen'l
Prospective coverage
"significantly harm" prospec C poss conflicts b/w
Cs insurance insurer & insured settlement w/in limits
can get prospec C to waive/consent
conflicts
limits on defense fees
L tried to avoid exposure to confid info
L screened and d/n share fee no imputation if
written notice given to prospec C
 acctg, lobbying,
title ins, etc Ls can provide ancillary
includes partners in firm or direct
servs in conj w/ legal servs
supervisor of subordinate L
Rules apply to both legal & Law-Related must make reas efforts to assure compliance w/ Rules
non-legal servs if servs not distinct Services
Supervisory Ls L ordered miscond, or
L must assure that Cs understand Rules
d/n cover distinct servs (e.g., a/c priv) responsib for L ratified it after gaining knowledge, or
subordinate's L knows of miscond when harm can be
L must comply w/ 1.8(a) re non-legal servs miscond avoided but takes no reas remedial action

seller ceases pvt practice

altogether or in sold field
purchaser takes all Cs
C's fees d/n increase
no Nuremburg defense: following orders no excuse
Sale of Subordinate Ls follow supervisor's reas resolution ...
OK to sell practice,
Practice ltd safe harbor
incldg good will, if ... re arguable question of prof duty

L can't allow person who recommends, superv L must make reas efforts to assure
employs or pays him to direct prof'l jdgmt Law Firms non-L's cond compatible w/ obligations of Ls

L can't share legal fees w/ non-Ls Nonlawyer L ordered miscond, or

pay death ben to dead Ls estate

Assistants L ratified it after gaining knowledge, or
responsib for
compensation/retirement non-L's miscond L knows of miscond when harm can be
plan for non-L stafff avoided but takes no reas remedial action

sale of law pract proceeds OK fee splitting

to dead L's estate OK to restrict rt to pract as
Professional L can't practice in firm cond on rec'g retirmnt
sharing court-ordered fees
Independence Restrictions which restricts
w/nonprofit org which hired counsel
on Practice post-termin rt to practice
no p'ship w/ non-L if any part of p'ship can't enter into settlement restricting L's rt to practice
constitutes law practice
non-L owns an
interest
non-L is an L can't practice assoc w/ non-Ls
officer/director in firm if
non-L can direct
prof'l jdgmt of L
 L adv is "comm'l spch" subj to intermediate
scrutiny under 1st Amdt

gov't must have subst'l int in regulation

1st Amdt rt reg must directly & materially advance that int

reg must be narrowly tailored

can't imply association or p'ship if untrue incl unjustfied expectations

if dead or retired no false or mislead'g comm of any kind incl unsubst'd comparisons
not if L is no longer practicing partner's name can Advertising L must obtain C consent to use name
w/ firm and holds pub office remain after departure
during a subst'l period limits on ads ad must ID name and address of at least one L

can't mislead OK to pay usual charges of legal serv plan

Firm Names
can't imply connection to gov't trade names OK OK to pay qualified lawyer referral serv

if multi-state firm, must ID where Ls admitted to practice nonexcl

L can't give anything reciprocal referral
of value for case tell C
but single "firm" for agreements OK if
conflicts purposes firms can claim assoc if d/n interf w/ prof'l jdgmt
regular, on-going relationship Advertising & of definite duration
Solicitation
if "signif motive" was L's
pecuniary gain
prior prof'l relationship
no in-person, live phone or close friend
L may communicate fields of practice IM chat contact w/ prosp C unless
family member
state L certified as specialist may another L
Fields of
ABA claim "specialist" if certifying
body was approved by either Practice coercive or harassing
Solicitation unless
patent and admiralty Ls can use designation prosp C says "don't contact me"

targeted mail OK must label as "advertising material" unless OK

on envelope, letter and "re" line to solicit

even though provider engaged

in-person solicitation
L particip in group or prepaid
legal services plans OK L may market servs to providers
 must exercise indep prof'l jdgmt
e.g., arbitrator, mediator, conciliator can provide even if not asked
if subst'l adv legl
OK for L to do; special rules may apply
must render consequences
(e.g., AAA rules)
Advisor candid adv
no L-C rel
L must explain his role to participants
3P Neutral address relev moral, econom,
no confid
social or political issues
conflict imputed, but non-legal suggest counsultation with other
screening can solve L can't later rep any particp w/o advice prof'l (accountant, etc.)
informed, written consent

title opinions
Counselor legal opinions
when L evaluates affairs of
C and reports to 3P tax opinions re investmt
material
fact L can't make false statement of OK to do if L reas believes eval is compatible w/
L's other responsibilities to C
puffing Negotiator Evaluator
must get C's informed, written
intentions & opinions consent prior to doing
allowed
valuations of price or value confid: ordin rules apply; usually
harmful dislcos impliedly authorized
evals
L may be liable to 3P for sub-par eval
L must discl if appearing in representative capacity b/f legisl,
board, or other rule-making body
no gf arg under existing law
applies if official hrg w/ evid/arg Frivolous L can't assert frivolous position no gf arg to change law
L rep C in bilateral Claims
negotiaons w/ gov't Legisl/Admin L for crim D can force DA to prove every element of crime
Proceedings
L rep C in license applic duty of
gov't investigating C d/n apply if candor L must make reas efforts to expedite litig
Expediting
gov't is examing C's L d/n need to harm C's legit interests
Litigation
compliance w/ reporting req'ts C's contrary int delay for fin benefit is not a legit int of C

Advocate re
1.6 no limitation L must reveal corruption of Tribunals
duty till end of proceedings by any person can't knowingly make any false stmt of law
proc'dg
must correct prior material false stmt of law
L can't seek to infl judge, official corruption re law
must reveal directly adv author in controlling jurisd
or juror by improp means
in ex parte proc'dg, all material
OK in cc'd writing judge facts necc for infrm'd decision
no gen'l oblig to find or
report bad facts except ... responses to lawful discovery
during trial: none
no ex parte Decorum Candor to if proscutor, Brady exculpatory info
legal prohib
jurors communic of Tribunal Tribunal can't knowingly make any false stmt of fact
harassmt after: OK unless
L's assertions
juror stiffarms must correct prior material false stmt of fact
re facts
no cond intended to disrupt trib L must not offer any evid L "knows" is false
includes depos disruptive cond if "material" evid
must rat out C
Ws & evid inadvertently offered, L must
can't make knowing false stmt re qualif take reas rem measures 1.6 no limitation
or integ of judge or candidate duty till end of proc'dg
L running for office must comply stmts re
w/ Code of Jud Cond officials
 gen'l: must seek justice, not just conviction
can't prosecute w/o prob cause
must protect accused's rt to counsel
can't seek waiver of important pretrial rts from unrep'd D
L can't obsruct opponent's access to evid,
re guilt, incld'g W incld'g via alteration or concealment
impeachment
L can't falsify evid, or assist a W to testify falsely
re punishment must discl known exculpatory info
can't offer inducement to W prohibited by law
no subpoena to L unless evid: not priv'd;
essential; and, otherwise unavail Prosecutors travel, meals & lodging of W
paymnts reas comp for W's loss of time
no extrajud stmt if subst'l likelihood of to W OK
heightening pub condemn of accused expert fee for prep and testim; can't be
dry facts re charge; pub info; scheduling conting on testim or outcome
info; request for inform; warnings to pub pub stmts can't advise W to be unavail
OK
routine booking info re D W is C or rel, employee
if new, credib evid that reas likelihood of OK to adv W to refrain or agent of C
W non-coop
wrongful conv, P must discl evid from giving vol info if and, L reas believes W's
if clear and conv evid of innoc def in P's Fairness to int won't be harmed
wrongful convic Opponent
jurisd, P must seek to remedy convic L can't knowingly viol law/rules/orders of court
law/rules/orders exception: L can openly violate to challenge validity
pretrial wk OK Advocate re
L can't be trial counsel L can't make friv discov req
no imputation and necess W Miscellaneous
discov abuse L must make reas effort to comply w lawful discov req
L testim re uncontested L can't refer to irrelev or inadm evid
issue or re formality L as Witness
L can't assert pers knowledge of contested facts
L testim re nature or trial tactics
value of L's legal servs L can't state pers opinion re justness of cause,
OK credibility of W, guilt or culpab of party
L DQ would cause C
"subst'l hardship" L can threaten non-friv crim chgs to gain
civil case adv, if closely related

L can't make extrajud publ stmt L reas shld know threats L can't threaten disciplinary report
has subst'l likelihood of materially prej case re opp L to gain civ case adv
Publicity
L may reply to recent pub not initiated by L or L's C

violate legal rts of 3P or
have no subst'l purpose
other than to embarrass,
dely or burden 3P
if L knows or reas should know
communic was sent in error ...
... L must promptly notify sender
gen'lly: L has no duty to inform 3P of relevant facts
L can't knowingly make false
stmt of material fact or law
L must not use affirmative misrep
means that Truthfulness
Respecting L must discl material facts when necess to
Rights avoid assisting C in a crime/fraud
failure to discl unless 1.6 prohibits disclosure
mis-sent
faxes/emails etc.
if L is acting for C, and

L can't commun w/ 3P L knows 3P is represented

by counsel in matter
L must not state or imply that L is disinterested
who supervises, directs or reg
L must take reas efforts to Dealing w/ 3Ps consults w/ org's L re matter
correct misunderstdg if L knows or reas shld
know unrep'd pers is can't commun w/ whose conduct may
confused re L's role present constituent be imputed to org
Unrep'd who has authority to
L shall give no rep'd
Persons Rep'd organizations obligate org re matter
legal advice ...
if L knows or shld know that 3P Persons OK to communic w/
... other than to get a L has likely conflicting interests can't violate a/c priv though
former constituents
L is otherwise free to negotiate
or settle with unrep'd person L has consent of 3P's L
L authorized by law or
ct order to communic e.g., First Amdmt
OK to communic w/
rep'd person if L's communic not in representative capacity
L's communic not about matter on which 3P rep'd
always OK for Cs to talk to each other directly w/o Ls
 L has "prof resp" to provide
anti "pay to play" provision legal servs pro bono

L may not accept gov't legal wk or jud Pro Bono "should aspire" to do subst'l maj shld be for poor
appt if L made or solicited political contrib 50 hrs/year pro bono
for purpose of obtaining employment
Political no disciplinary enf
uncompensated servs
Contributions
appts based on indep
selection process L can serve org that is adv
d'n affect to L's regular Cs
appts based on
random/rotating process L who is officer of legal servs org d/n
Legal Servs have L-C rel w/ Cs served by org
Public Orgs if incompatib w/
gen'l conflict Rules
Servant
L can't knowingly if wld adv affect org's Cs
L can serve as member of law ref group particip in decis who are adv to L's pvt Cs
even though reform may harm L's Cs
need not Law Reform
identify C if L knows reform may Activities
materially benefit L's C, L L must obtain C's inf'd consent to ltd scope of rep
must disclose fact
only miscond if L "knows" of conflict
Quick-Advice
Programs conflict Rules relaxed conflict created by quick advice not
imputed to L's firm
ordin Rules apply if quick-advice C later hires L
 can't hold office in pol org; make
speeches; endorse cand; make contribs;
attend pol events; be a candidate; seek
endorsements from pol orgs
must promote integrity and impartiality
can't personally solicit contribs; use
campaign contribs for private ben; use must comply with law
court staff to campaign Canon 4 Canon 1:
Independ. must avoid impropriety and appearance of impropriety
can't make knowing or reckless false smts
Politics
must not use prestige of office to advance
can't make pledge inconst w/ impartial personal or economic interests
perf of adjudicative duties of office
can seek personal indorsements
can raise funds through campaign committee judicial activities must take precedence over other
must apply law fairly and impartially
race, sex, gender, religion, origin, disability,
age, sexual orient, status, party, etc.
no particip in activ that interfere w jud.
duties or will cause freq. DQ must not be biased or prejudiced must require lawyers and staff to do same

no participate in activ that is coercive or public clamor

undermines impartiality must not permit external influences on jud conduct personal or family interests
no appearance b/f gov't body unles re must be competent, diligent and cooperative w/ other officials and judges
legal system or pro se
must give all a right to be heard; can encourage but not coerce settlement
no service on gov't board unless re law or legal system
must decide matters unless DQd
no disclosure of nonpub info lrnd in jud capacity
must require order and decorum; must be patient, dignified and courteous
OK to attend isolated Judicial Ethics and require staff to be same; must not commend or criticize verdict
event at facility
no affiliation w org that discriminates nonsubstantive administrative purpose
and judge notifies others after
non except for family if no interfer
fiduciary positions disinterested expert on law if parties have
no ex parte communic except opp to respond to advice rec'd
no pvt arbitration or mediation ex parte court staff and officials
no law practice; but can give family other services settlement negotiations if consent of parties
members advice Canon 3: Canon 2:
Jud. Func. no indep factual investigation
can manage investments for self and family Extrajud.
no public stmts that affect the outcome or interfere w/ proceeding; no pledges or
can't serve as officer of business entity promises inconsistent w/ impartial perf; can explain court proceedings; can respond
unless family related to allegations in media re a judges conduct
business
no fin activities that lead to frequent DQ or interfere bias or prej re party or lawyer
no fin activities with Ls or those likely to come b/f court personal knowledge of facts
solicit funds from family & judges judge knows 3d deg relative is L, has de
participate in legal, educational, civic & relig orgs minimis + interest or is witness
encourage Ls to do pro bono has received certain campaign contributions
if impartility might reas be questioned
compensation, if d/n undermine indep and integrity OK has made public statement committing to
reimbursement of expenses for judge and spouse if ruling in certain way in the proceeding
DQ
must report extrajud activity is permitted by Code judge was L or associated w/ L in matter
judge was material witness
plaques, certifs, etc
previously presided over matter in other ct.
gifts from those who would be DQ's anyway
OK judge must keep informed re personal, fiduciary and economic interests
ordin social hospitality no gifts or loans if illegal or appears to
undermine indep and integrity parties my remit DQ after discosure outside of presence of judge
things available to nonjudges
must make appointments on merit w/o nepotism or favoritism; no appointments
in exchange for contributions
judge must report disabled or impaired Ls and judges; must report substantial
misconduct of Ls or judges; must cooperate and not retaliate

16 Judicial Ethics.mmap - 10/12/2009 - Dane S. Ciolino