Handbook / Arizona Commission on Judicial Conduct

              Arizona Commission on Judicial Conduct

HANDBOOK
Fe b r u a r y 2006

S tate of Arizona C O M M IS S IO N ON JUDICIAL CONDUCT 2 0 06
Commission Officers
J. William Brammer, Jr. Chairman Court of Appeals, Div. 2 Tucson John C. Gemmill Vice-chairman Court of Appeals, Div. 1 Phoenix Margaret C. Kenski Secretary Public Member Tucson

Other Commission Members
Robert M. Brutinel Superior Court Prescott Harriett Chavez Superior Court Surprise Larry D. Imus Justice of the Peace Kingman Sheila S. Polk County Attorney Prescott Angela H. Sifuentes Public Member Casa Grande Douglas S. Stanley Municipal Court Yuma Harold L. Watkins Attorney at Law Flagstaff Marion Weinzweig Public Member Phoenix

Executive Director
E. Keith Stott, Jr. Phoenix

Commission Office
1501 W. Washington Street, Suite 229 Phoenix, Arizona 85007 Phone: (602) 542-5200 Fax: (602) 542-5201 Web site: www.supreme.state.az.us/ethics

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TABLE OF CONTENTS
COMMISSION MEMBERSHIP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Scope of Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Examples of Misconduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Sexual Harassment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Confidentiality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . THE COMPLAINT PROCESS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Filing a Complaint . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Initial Screening . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Preliminary Investigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Dispositions in General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Formal Sanctions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Hearings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Supreme Court Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . What To Expect . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . CODE OF JUDICIAL CONDUCT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Canon 1: Canon 2: Canon 3: Canon 4: Canon 5: ii 1 1 1 1 1 2 2 2 2 2 3 3 3 3 3 4 4 4 4 5

Integrity and Independence of the Judiciary . . . . . . . 7 Impropriety and Appearance of Impropriety . . . . . . . 7 Impartiality and Diligence in Duties . . . . . . . . . . . . . . 7 Extra-judicial Activities . . . . . . . . . . . . . . . . . . . . . . . . 9 Political Activity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

CONSTITUTIONAL PROVISIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 RULES OF THE COMMISSION ON JUDICIAL CONDUCT . . . . . . . . . . . 15 Table of Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 SUMMARIES OF MAJOR CASES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

INTRODUCTION
T h is handbook provides an overview of the purpose a n d functions of the Arizona Comm i s s io n on Judicial C o n d u c t . It describes the nature of judicial misconduct a n d explains how to file a complaint against a judge who m a y have committed misconduct. It also contains a copy o f the Code of Judicial Conduct, which all judges are r e q u ir e d to follow, and summaries of state supreme c o u r t decisions involving judicial discipline. B a c k g ro u n d T h e Commission on Judicial Conduct was created in 1 9 7 0 when voters approved Article 6.1 of the Arizona C o n s t it u t io n . The new article established the commiss io n as an independent state agency responsible for in v e s t ig a t in g and acting upon complaints of judicial m i s c o n d u c t or disability against judges of courts of r e c o r d . A subsequent amendment in 1988 gave the c o m m is s io n broad authority to deal with all complaints in v o lv in g judges serving on the supreme court, courts of a p p e a ls , superior courts, justice courts, and municipal c o u r t s throughout Arizona. S im ila r judicial conduct commissions exist in all states a n d the District of Columbia. These commissions play a v it a l role in maintaining public confidence in the courts a n d in preserving the integrity of the judicial process. T h e y also serve to encourage judges to maintain high s t a n d a r d s of professional and personal conduct. O r g a n iz a t io n T h e commission is comprised of eleven members who s e r v e staggered six-year terms. They are appointed from v a r io u s organizations so that a broad range of knowle d g e and experience can be brought to bear on resolvin g complaints effectively. Six judges are appointed by t h e supreme court: two from the courts of appeals, two f r o m the superior courts, one from the justice courts, a n d one from the m u n ic ip a l courts. Two attorneys are a p p o in t e d by the board of governors of the State Bar of A r iz o n a . Three public members, who cannot be attorn e y s , active judges, or retired judges, are appointed by t h e governor and confirmed by the state senate. T h e com m is s io n meets regularly to conduct its official b u s in e s s and holds telephone conferences and formal h e a r in g s as frequently as needed. Individual members a r e not compensated for their work but may be r e im b u r s e d for travel and out-of-pocket expenses such a s telephone calls and postage. The day-to-day activities o f the commission are administered by its executive d ir e c t o r and a small staff located in Phoenix. S c o p e of Authority T h e comm is s io n is authorized to investigate comp la in t s that allege one or more of the following constit u t i o n a l grounds for disciplining a judge: 1. W illf u l misconduct in office (Article 6.1,   4); 2 . W illf u l and persistent failure to perform duties ( A r t i c l e 6.1,   4); 3. H a b i t u a l intemperance (Article 6.1,   4); 4 . A permanent disability that seriously interferes w it h the performance of the judge's duties (Article 6 . 1 ,   4); 5 . A violation of the Code of Judicial Conduct; or 6 . C o n d u c t prejudicial to the administration of justice t h a t brings the judicial office into disrepute ( A r t ic le 6.1,   4). T h e Code of Judicial Conduct consists of five broad s t a n d a r d s or canons adopted by the suprem e court to g o v e r n the ethical conduct of judges. Each canon c o n t a in s detailed sections and commentary explaining d if f e r e n t aspects of the code. The complete code is on t h e commission's web site. A shorter version without c o m m e n t a r y is contained in this handbook. Jurisdiction T h e commission is only authorized to investigate comp la in t s involving a judge's ethical or personal conduct. It c a n n o t review a judge's decisions, except as necessary in o r d e r to understand alleged misconduct, and cannot t a k e action against a judge whose legal rulings are made in good faith. The commission is not an appellate court a n d cannot change a judge's ruling. This limitation is f r e q u e n t ly misunderstood and is one of the prim a r y r e a s o n s that complaints are dismissed. Litigants who are d is s a t is f ie d with the rulings in their cases should file a p p e a ls in the appropriate court. By law, small claim s c a s e s cannot be appealed. T h e commission has no jurisdiction over court employe e s , administrative law judges, or federal judges. Comp la in t s against court employees should be addressed to t h e presiding judge of the respective court. Complaints a g a in s t federal judges can be filed with the Ninth Circuit C o u r t of Appeals in accordance with 28 U.S.C.   372(c).

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E x a m p l e s of M i s c o n d u c t J u d g e s may be disciplined for various types of m is c o n d u c t . The following are examples of problems for w h i c h judges have been informally or formally discip li n e d :

C o n f id e n t ia l it y The state constitution requires the supreme court to m a k e rules governing the confidentiality of commission p r o c e e d in g s . Under existing rules, the level of confid e n t ia lit y is determined by the outcome of the case. For e x a m p l e , if a complaint is dismissed for lack of evidence o r because it falls outside the jurisdiction of the comm is s io n , the original complaint and the order dismissing t h e case will be available for public inspection after n a m e s and other identification have been removed from t h e documents. If, on the other hand, a complaint results in an informal reprimand, the complaint, the judge's r e s p o n s e and the commission's order will be released w it h the names intact. In formal cases involving censure, s u s p e n s io n or rem o v a l of a judge from office, the entire f o r m a l file and any related hearings will be open to the p u b lic . C o m m is s io n correspondence, computer records, inv e st ig a t iv e reports, attorney work product, and the m in u t e s of commission deliberations are kept confid e n t i a l and are not released to the public. The commission may disclose confidential informa t io n about a judge's conduct to judicial nominating c o m m is s io n s and other official agencies charged with e v a lu a t in g the qualifications of a judge. R e p o rts In addition to this handbook, the commission produces s e v e r a l reports aimed at informing the judiciary and the p u b lic about its work. In a cooperative venture with the A r iz o n a Supreme Court's Judicial Ethics Advisory C o m m it t e e , the commission's staff edits and publishes J u d i c ia l Conduct and Ethics: A Reference Manual for A r iz o n a Judges and the Judicial Conduct and Ethics B u l l e t i n , a newsletter of current issues and developments in this area of the law. These publications are only a v a i la b l e on the commission's web site.

@ Abusing the power or authority of the judicial office. @ Attempting to influence another judge. @ Delay in making decisions. @ Driving under the influence of alcohol. @ Engaging in charitable fund raising. @ Participating in ex parte communications. @ Failing to respond to a commission inquiry. @ Giving legal advice to parties in a lawsuit. @ Interrupting court to perform weddings. @ Using offensive language on and off the bench. @ Making suggestive sexual remarks. @ Using abusive language with court employees.
S e x u a l Harassm e n t In 1992, the Arizona Supreme Court adopted a s t a t e w id e policy on sexual harassment under which ju d g e s and court employees are required to report such c o n d u c t to court officials or local government agencies. C o m p la in t s alleging judicial sexual harassment should b e referred to the Commission on Judicial Conduct for f o r m a l investigation. The definition of sexual harassm e n t can be found in Administrative Order 92-33 (Octo b e r 19, 1992). Copies of the order may be obtained f r o m the commission office. R u le s T h e constitution authorizes the supreme court to app r o v e the commission's rules, which prescribe the steps f o r filing complaints and the procedures in formal cases. T h e responsibilities of the commission's officers and staff a r e also described in the rules. The complete text of the c o m m is s io n rules is contained in this handbook and on t h e commission's web site.

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THE COMPLAINT PROCESS
T h e commission's complaint process is divided into s e v e r a l phases consisting of a number of well-defined s t e p s . This section describes in general terms what h a p p e n s in each phase. The rules contained in a later s e c t io n provide more detailed information on how the c o m m is s io n actually works. F il i n g a Com p la in t A n y person w h o believes that a judge has committed m is c o n d u c t , or that a judge has a disability which serio u s ly interferes with the performance of judicial duties, m a y file a complaint with the commission. The comp la in t can be filed on an official complaint form (or subm it t e d as a letter) and must be signed by the person a lle g in g the misconduct. The form is available free of c h a r g e from the commission's office or on its web site. T h e complaint should describe all the facts and circums t a n c e s relating to the conduct of the judge and should s p e c i f y exactly what the judge did that constitutes misc o n d u c t . Complaints may be typed or printed, but any c o m p la in t that is legible and properly signed will be a cce p te d. A general allegation about a judge's decision or the ju d g e 's fitness for office is not sufficient to justify an in v e s t ig a t i o n of the judge's conduct. If the alleged m is c o n d u c t involves a series of events, it is usually h e lp f u l to describe the events in chronological order. If t h e misconduct arises out of a court case, the number of t h e case and the names of the attorneys who repres e n t e d the parties should be included in the complaint. O r ig in a l court documents should not be filed with the c o m p la in t , and copies of lengthy court pleadings or t r a n s c r ip t s should not be submitted unless they contain v it a l information relating to the alleged misconduct. C o m p la in t s may be mailed or delivered in person to the c o m m is s io n 's office. Complaints that are clearly written m a y also be transmitted to the commission via fax, but a n original cover page with the complainant's signature a n d date must still be filed with the commission. I n it i a l Screening W h e n a new complaint arrives at the comm i s s io n 's o f f ic e , it is reviewed by the staff to determine whether t h e commission has the authority to investigate the alleg a t io n s . The complaint m u s t clearly identify a state or lo c a l judge (not a court employee, an administrative ju d g e , or a federal judge) and must describe a specific a c t of m is c o n d u c t on the part of the judge. If a comp la in t fails to allege judicial misconduct, or is frivolous, u n f o u n d e d , or otherwise outside the scope of the comm is s io n 's authority, the executive director may dismiss t h e complaint. The com m i s s io n reviews the executive d i r e c t o r 's decisions during its regular meetings and at o t h e r times throughout the year. As a general rule, comp la in a n t s and judges are both notified when complaints a r e dismissed or otherwise resolved. P r e li m i n a r y Investigation I f a complaint properly alleges judicial misconduct, the s t a f f will conduct a confidential preliminary investigat io n and report its findings to the commission. The in v e s t ig a t io n may simply entail asking the judge to r e s p o n d to the complaint, or it may involve interviewing t h e complainant, taking testimony from witnesses, e x a m in in g records, and studying court documents and f i l e s . The complaint may be dismissed at any time d u r in g the investigation if the facts do not support the a lle g a t io n s . T h r o u g h o u t the preliminary stages, the judge and the c o m p la in a n t are protected by rules governing confident ia lit y . The commission cannot reveal the fact that a c o m p la in t has been filed, and it will only discuss the res o lu t io n of the complaint with the complainant and the ju d g e . The commission may respond publicly to alleg a t io n s of judicial misconduct that become widely public iz e d in the local community. D i s p o s i t i o n s in General T h e commission may dismiss a complaint that fails to a lle g e an act of judicial misconduct, that lacks sufficient e v id e n c e to support an investigation, that is solely appella t e in nature, or that is otherwise frivolous, unfounded o r outside its jurisdiction. A dismissal may be issued w it h confidential comments reminding a judge of ethical o b lig a t io n s or recommending changes in behavior or p r o c e d u r e s. If the commission finds judicial misconduct, it may, in a d d it io n to any other sanction imposed, direct a judge to p a rtic ip a te in professional counseling, judicial education, m e n t o r i n g , or other similar activities. The commission may also confer confidentially with a ju d g e to discuss alternatives such as voluntary retirem e n t or resignation from judicial office. If a judge agrees t o retire or resign while a complaint is pending, the c o m m is s io n may dismiss the complaint or take other a p p r o p r ia t e action.

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F o r m a l Sanctions W h e n an investigation reveals substantial misconduct t h a t cannot be resolved informally, the commission may in it ia t e formal proceedings against the judge. This phase b e g in s when an investigative panel of three commission m e m b e r s decides that there is reasonable cause to b e lie v e that the judge has violated one or more of the g r o u n d s for judicial discipline. At this point, the panel m a y authorize disciplinary counsel to file formal charges a n d schedule the case for a hearing. A s soon as the judge files an answer to the charges, or a f t e r the tim e for filing an answer has run without r e c e iv in g a response from the judge, the proceedings b e c o m e public and the commission may no longer res o lv e the case informally. The judge may still consent to p u b li c censure or some other sanction, but any stipul a t i o n or agreement accepted by the commission after t h e start of formal proceedings must be made public. H e a r in g s T h e formal hearing is held before the eight members of t h e commission who did not participate on the invest ig a t iv e panel. The hearing is conducted much like a t r ia l, and counsel for both sides are allowed to present e v id e n c e and question witnesses. The proceedings are o p e n to the public and are recorded by an official court r e p o r t e r . Members of the hearing panel are not permitt e d to discuss the case with the investigative panel. A t the conclusion of the hearing, or upon entering into a n agreem e n t with the judge, the hearing panel may d i s m is s the complaint or im p o s e any of the informal s a n c t i o n s available to the commission. It may also r e c o m m e n d to the supreme court that the judge be c e n s u r e d , suspended without pay, removed from office o r retired. S u p r e m e Court Review T h e hearing panel's recommendations are served on t h e parties and filed with the clerk of the supreme court. T h e judge m a y ask the court to reject the recommenda t io n s and may request oral argument. Alternatively, the ju d g e may accept the commission's recommendations, a n d the clerk m a y enter judgment immediately. The c o u r t 's decision is final and cannot be appealed. W h a t To Expect The commission is committed to carrying out its constit u t io n a l responsibilities and to responding fairly and o b je c t i v e ly to each complaint. It is the commission's duty t o make no advance assumptions about the truthfulness o f a particular complaint, and judges are asked to re-

s p o n d candidly and thoroughly to all complaints that are n o t frivolous, unfounded, or solely appellate in nature. A judge is not expected to conduct an investigation or to u s e court staff to respond. A simple, straightforward exp l a n a t i o n is all that is needed in most cases. Every effort is made to resolve complaints promptly, a n d complainants are notified of the status of the o u tc o m e of investigations. Com p l a in a n t s and judges may c a ll the commission office at any time to discuss p r o c e d u r e s or to determine the status of a complaint.

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CODE OF JUDICIAL CONDUCT
A r iz o n a judges are subject to the Code of Judicial Conduct adopted by the Arizona Supreme Court in 1993 and m o s t recently amended in June 2004. The Arizona code is based on the 1990 version of the Am e r ic a n Bar A s s o c ia t io n 's Model Code of Judicial Conduct, and both codes contain the five major canons or principles listed below. T h e full text of the Arizona Code is published in this section without the commentary described in the preamble. The c o m p le t e code with commentary can be found on the commission's website.

THE CANONS OF JUDICIAL CONDUCT 1. A judge shall uphold the integrity and independe n c e of the judiciary. 2. A judge shall avoid impropriety and the appearance o f impropriety in all of the judge's activities. 3. A judge shall perform the duties of judicial office im p a r t ia lly and diligently. 4. A judge shall so conduct the judge's extra-judicial a c t iv it ie s as to m in im iz e the risk of conflict with jud ic i a l obligations. 5. A judge or judicial candidate shall refrain from ina p p r o p r ia t e political activity. PREAM BLE Our legal system is based on the principle that an ind e p e n d e n t, fair and competent judiciary will interpret a n d apply the laws that govern us. The role of the judic ia r y is central to American concepts of justice and the r u le of law. Intrinsic to all sections of this code are the p r e c e p t s that judges, individually and collectively, must r e s p e c t and honor the judicial office as a public trust and s t r iv e to enhance and maintain confidence in our legal s y s t e m . The judge is an arbiter of facts and law for the r e s o l u t io n of disputes and a highly visible symbol of g o v e r n m e n t under the rule of law. The Code of Judicial Conduct is intended to establish s t a n d a r d s for ethical conduct of judges. It consists of b r o a d statements called canons, specific rules set forth in sections under each canon, a terminology section, an a p p lic a t i o n section and commentary. The text of the c a n o n s and the sections, including the terminology and a p p lic a t io n sections, is authoritative. The commentary, b y explanation and example, provides guidance with r e s p e c t to the purpose and meaning of the canons and s e c t io n s . The commentary `s not intended as a statement o f additional rules. When the text uses "shall" or "shall n o t ," it is intended to impose binding obligations the vio la t io n of which can result in disciplinary action. When "s h o u l d " or "should not" is used, the text is intended as h o r t a t o r y and as a statement of what is or is not approp r ia t e conduct but not as a binding rule under which a

ju d g e may be disciplined. When "may" is used, it denotes p e r m is s ib le discretion or, depending on the context, it r e f e r s to action that is not covered by specific p r o s c r ip t io n s . The canons and sections are rules of reason. They s h o u ld be applied consistent with constitutional requirem e n t s , statutes, other court rules and decisional law and in the context of all relevant circumstances. The code is t o be construed so as not to impinge on the essential in d e p e n d e n c e of judges in making judicial decisions. The code is designed to provide guidance to judges a n d candidates for judicial office and to provide a struct u r e for regulating conduct through disciplinary agenc ie s . It is not designed or intended as a basis for civil lia b ilit y or criminal prosecution. Furthermore, the purp o s e of the code would be subverted if the code were in v o k e d by lawyers for mere tactical advantage in a p r o c e e d in g . The text of the canons and sections is intended to g o v e r n conduct of judges and to be binding upon them. It is not intended, however, that every transgression will r e su lt in disciplinary action. Whether disciplinary action is appropriate, and the degree of discipline to be imp o s e d , should be determined through a reasonable and r e a s o n e d application of the text and should depend on s u c h factors as the seriousness of the transgression, w h e t h e r there is a pattern of improper activity and the e f f e c t of the improper activity on others or on the judic ia l system. The Code of Judicial Conduct is not intended as an exh a u s t iv e guide for the conduct of judges. They should a ls o be governed in their judicial and personal conduct b y general ethical standards. The code is intended, howe v e r , to state basic standards which should govern the c o n d u c t of all judges and to provide guidance to assist ju d g e s in establishing and maintaining high standards of ju d ic i a l and personal conduct. T E R M IN O L O G Y The following terms have specific meanings within t h e context of this code. The sections where the terms

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appear are referred to after the explanation of each t e r m below. "Appropriate authority" denotes the authority with res p o n s ib ilit y for initiation of disciplinary process with resp e c t to the violation to be reported. See Sections 3D(1) a n d 3D(2). "Candidate." A candidate is a person seeking selection f o r or retention in judicial office by election or appointm e n t . A person becomes a candidate for judicial office a s soon as he or she m a k e s a public announcement of c a n d id a c y , authorizes circulation of a nominating petit io n , declares or files as a candidate with the election or a p p o i n t m e n t authority, or authorizes solicitation or acc e p t a n c e of contributions or support. The term "candid a t e " has the same meaning when applied to a judge s e e k in g election or appointment to non-judicial office. S e e Preamble and Sections 5A, 5B, and 5C. "Court personnel" does not include the lawyers in a p r o c e e d i n g before a judge. See Sections 3B(7)(c) and 3B(9). "Financial interest" means ow n e r s h ip of a legal or e q u i t a b l e interest of substance or a relationship as off ic e r , director, advisor or other active participant in the a f f a i r s of a party, except that: (i) ownership of an interest in a mutual or comm o n investment fund that holds securities is not a f in a n c i a l interest in such securities unless the judge p a r t ic ip a t e s in the m a n a g e m e n t of the fund or a p r o c e e d in g pending or impending before the judge c o u ld substantially affect the value of the interest; (ii) service by a judge as an officer, director, adv is o r or other active participant in an educational, r e lig i o u s , charitable, fraternal or civic organization, o r service by a judge's spouse, parent or child as an o f f ic e r , director, advisor or other active participant in any organization does not create a financial in t e r e s t in securities held by that organization; (iii) a deposit in a financial institution, the prop r ie t a r y interest of a policy holder in a mutual in s u r a n c e company, of a depositor in a mutual s a v in g s association or of a member in a credit u n io n , or a similar proprietary interest, is not a f in a n c i a l interest in the organization unless a p r o c e e d in g pending or impending before the judge c o u ld substantially affect the value of the interest; (iv) ownership of government securities is not a f in a n c ia l interest in the issuer unless a proceeding p e n d in g or impending before the judge could s u b s t a n t i a l ly affect the value of the securities. See S e c t io n s 3E(1)(c) and 3E(2) and definition of " i n t e r e s t of substance."

"Fiduciary" includes such relationships as executor, adm in is t r a t o r , trustee, guardian, personal representative, a n d conservator. See Sections 3E(2) and 4E. "Impartiality" or "impartial" denotes absence of bias or p r e ju d i c e in favor of, or against, particular parties or c la s s e s of parties, as well as maintaining an open mind in considering issues that may com e before the judge. S e e Sections 2A, 3B(10), 3E(1), 4C(4), 5B(1)(a) and 5 B ( 1 ) ( d ) ( i) . " In t e r e s t of substance" denotes any financial interest in a closely held corporation or business and, in the case o f a publicly held corporation, denotes a legal or equita b le interest, the value of which is likely to be increased o r decreased to any material extent by the outcome of t h e litigation. See definition of "financial interest." "Knowingly," "knowledge," "known" or "knows" denotes a c t u a l knowledge of the fact in question. A person's k n o w l e d g e may be inferred from circumstances. See S e c t io n s 3D, 3E(1), and 5A(3). "Law" denotes court rules as well as statutes, constitut i o n a l provisions and decisional law. See Sections 2A, 3 A , 3B(2), 3B(6), 4B, 4C, 4D(5), 4F, 4I, 5A(4), and 5B(2). "M e m b e r of the candidate's family" denotes a spouse, c h ild , grandchild, parent, grandparent or other relative o r person with whom the candidate maintains a close f a m i li a l relationship. See Section 5B(1)(a). "M e m b e r of the judge's family" denotes a spouse, c h ild , grandchild, parent, grandparent, or other relative o r person with whom the judge maintains a close fami li a l relationship. See Sections 4D(3), 4E and 4G. "M e m b e r of the judge's family residing in the judge's h o u s e h o ld " denotes any relative of a judge by blood or m a r r ia g e , or a person treated by a judge as a member of t h e judge's family, who resides in the judge's household. S e e Sections 3E(1)(c) and 4D(5). "Nonpublic information" denotes information that, by la w , is not available to the public. Nonpublic informat io n may include but is not limited to: information that is sealed by statute or court order, impounded or comm u n ic a t e d in camera; and information offered in grand ju r y proceedings, presentencing reports, dependency c a s e s or psychiatric reports. See Section 3B(11). "Political organization" denotes a political party or o t h e r group, the principal purpose of which is to further t h e election or appointment of candidates to political o f f i c e . See Section 5A(1). "Public election." This term includes primary and genr a l elections; it includes partisan elections, nonpartisan e l e c t i o n s and retention elections. See Section 5B. 6

"Require." The rules prescribing that a judge "require" c e r t a in conduct of others are, like all of the rules in this c o d e , rules of reason. The use of the term "require" in t h a t context means a judge is to exercise reasonable dire c t io n and control over the conduct of those persons s u b j e c t to the judge's direction and control. See Sections 3 B ( 3 ) , 3B(4), 3B(5), 3B(6), 3B(9) and 3C(2). "Third degree of relationship." The following persons a r e relatives within the third degree of relationship: g r e a t grandparent, grandparent, parent, uncle, aunt, b r o t h e r , sister, child, grandchild, great-grandchild, n e p h e w or niece. See Section 3E(1)(d). C AN O N 1 A Judge Shall Uphold the Integrity and Indep e n d e n c e of the Judiciary A . A n independent and honorable judiciary is indisp e n s a b le to justice in our society. A judge should partic ip a t e in establishing, maintaining and enforcing high s t a n d a r d s of conduct, and shall personally observe those s t a n d a r d s so that the integrity and independence of the ju d ic ia r y w i l l be preserved. The provisions of this code a r e to be construed and applied to further that objective. C AN O N 2 A Judge Shall Avoid Im p r o p r i e t y and the App e a r a n c e of Im p r o p r ie t y in All of the Judge's A c t iv it ie s A . A judge shall respect and comply with the law and s h a ll act at all times in a manner that promotes public c o n f id e n c e in the integrity and impartiality of the judic ia r y . B . A judge shall not allow family, social, political or o t h e r relationships to influence the judge's judicial cond u c t or judgment. A judge shall not lend the prestige of ju d ic ia l office to advance the private interests of the ju d g e or others; nor shall a judge convey or permit o t h e r s to convey the impression that they are in a special p o s it io n to influence the judge. A judge shall not testify v o lu n t a r i ly as a character witness. C. A judge shall not hold membership in any organiz a t i o n that practices invidious discrimination on the b a s is of race, sex, religion or national origin. C AN O N 3 A Judge Shall Perform the Duties of Judicial O f f i c e Im p a r t i a l l y and Diligently A . J u d ic ia l Duties in General. The judicial duties o f a judge take precedence over all the judge's other a c t iv it ie s. The judge's judicial duties include all the

d u t i e s of the judge's office prescribed by law. In the perf o r m a n c e of these duties, the following standards apply. B . A d j u d i c a t iv e Responsibilities. ( 1 ) A judge shall hear and decide matters assigned to t h e judge except those in which disqualification is req u ir e d . ( 2 ) A judge shall be faithful to the law and maintain p r o f e ss io n a l competence in it. A judge shall not be s w a y e d by partisan interests, public clamor or fear of c r it ic is m . ( 3 ) A judge shall require order and decorum in proc e e d in g s before the judge. ( 4 ) A judge shall be patient, dignified and courteous t o litigants, jurors, witnesses, lawyers and others with w h o m the judge deals in an official capacity, and shall r e q u i r e similar conduct of lawyers, and of staff, court o f f ic ia ls and others subject to the judge's direction and c o n t r o l. ( 5 ) A judge shall perform judicial duties without b i a s or prejudice. A judge shall not, in the performance o f judicial duties, by words or conduct manifest bias or p r e ju d ic e , including but not limited to bias or prejudice b a s e d upon race, sex, religion, national origin, disability, a g e , sexual orientation or socioeconomic status, and s h a l l not permit staff, court officials and others subject t o the judge's direction and control to do so. ( 6 ) A judge shall require lawyers in proceedings bef o r e the judge to refrain from manifesting, by words or c o n d u c t , bias or prejudice based upon race, sex, religion, n a t io n a l origin, disability, age, sexual orientation or s o c io e c o n o m ic status, against parties, witnesses, counsel o r others. This Section 3B(6) does not preclude le g it im a t e advocacy when race, sex, religion, national o r ig in , disability, age, sexual orientation or socioecon o m ic status, or other similar factors, are issues in the p r o c e e d in g . ( 7 ) A judge shall accord to every person who has a le g a l interest in a proceeding, or that person's lawyer, t h e right to be heard according to law. A judge shall not in it ia t e , permit, or consider ex parte communications, or c o n s id e r other communications made to the judge outs id e the presence of the parties concerning a pending or im p e n d in g proceeding except that: ( a ) W h e r e circumstances require, ex parte comm u n ic a t io n s for scheduling, administrative purposes or e m e r g e n c ie s that do not deal with substantive matters o r issues on the merits are authorized; provided:

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(i) t h e judge reasonably believes that no party w ill gain a procedural or tactical advantage as a r e s u lt of the ex parte communication, and ( i i) t h e judge makes provision promptly to notify a ll other parties of the substance of the ex parte c o m m u n ic a t io n and allows an opportunity to resp o nd . ( b ) A judge may obtain the advice of a disinterested e x p e r t on the law applicable to a proceeding. ( c ) A judge may consult with court personnel whose f u n c t io n is to aid the judge in carrying out the judge's a d ju d ic a t iv e responsibilities or with other judges. ( d ) A judge m a y , with the consent of the parties, c o n f e r separately with the parties and their lawyers in a n effort to mediate or settle matters pending before t h e judge. ( e ) A judge may initiate or consider any ex parte c o m m u n ic a t io n s when expressly authorized by law to d o so. ( 8 ) A judge shall dispose of all judicial matters p r o m p t ly , efficiently and fairly. ( 9 ) A judge shall not, while a proceeding is pending or im p e n d in g in any court, make any public comment that m ig h t reasonably be expected to affect its outcome or im p a i r its fairness or make any nonpublic comment that m ig h t substantially interfere with a fair trial or hearing. T h e judge shall require similar abstention on the part of c o u r t personnel subject to the judge's direction and c o n t r o l . This section does not prohibit judges from m a k in g public statements in the course of their official d u t ie s or from explaining for public information the p r o c e d u r e s of the court. This section does not apply to p r o c e e d in g s in which the judge is a litigant in a personal c a p a c it y . ( 1 0 ) A judge shall not, w i t h respect to cases, c o n t r o v e r s ie s or issues that are likely to come before the c o u r t , make pledges, promises or commitments that are in c o n s is t e n t with the impartial perform a n c e of the a d j u d i c a t i v e duties of the office. (11) A judge shall not commend or criticize jurors for t h e ir verdict other than in a court order or opinion in a p r o c e e d in g , but may express appreciation to jurors for t h e ir service to the judicial system and the community. ( 1 2 ) A judge shall not disclose or use, for any purpose u n r e la t e d to judicial duties, nonpublic information acq u i r e d in a judicial capacity. ( 1 3 ) A judge shall participate actively in judicial educ a t io n programs and shall complete mandatory judicial e d u c a t io n requirements.

C . Adm i n i s t r a t i v e Responsibilities. ( 1 ) A judge shall diligently discharge the judge's adm in i s t r a t iv e responsibilities without bias or prejudice a n d maintain professional competence in judicial adminis t r a t io n , and should cooperate with other judges and c o u r t officials in the administration of court business. ( 2 ) A judge shall require staff, court officials and o t h e r s subject to the judge's direction and control to obs e r v e the standards of fidelity and diligence that apply t o the judge and to refrain from manifesting bias or preju d ic e in the performance of their official duties. ( 3 ) A judge with supervisory responsibility for the ju d ic ia l performance of other judges shall take reasona b le measures to assure the prompt disposition of m a t t e r s before them and the proper performance of t h e i r other judicial responsibilities. (4) A judge shall not make unnecessary appointm e n t s . A judge shall exercise the power of appointment im p a r t ia lly and on the basis of merit. A judge shall avoid n e p o t is m and favoritism. A judge shall not approve comp e n s a t io n of appointees beyond the fair value of services re nd ere d. D . Disciplinary Responsibilities. ( 1 ) A judge who has knowledge or who receives r e lia b le information that another judge has committed a violation of this code shall take or initiate appropriate a c t io n . A judge who has knowledge or who receives relia b le information that another judge has committed a v io l a t io n of this code that raises a substantial question as t o the judge's honesty, trustworthiness or fitness as a ju d g e in other respects shall inform the appropriate a u t h o r it y . ( 2 ) A judge who receives information indicating a s u b s t a n t ia l likelihood that a lawyer has committed a v io la t io n of the Rules of Professional Conduct should t a k e appropriate action. A judge having knowledge that a lawyer has committed a violation of the Rules of Prof e s s io n a l Conduct that raises a substantial question as to t h e lawyer's honesty, trustworthiness or fitness as a lawy e r in other respects shall inform the appropriate a u t h o r it y . ( 3 ) Acts of a judge, in the discharge of disciplinary r e s p o n s ib ilit ie s , required or permitted by Sections 3D(1) a n d 3D(2) are part of a judge's judicial duties and shall b e absolutely privileged, and no civil action predicated t h e r e o n may be instituted against the judge. E . Disqualification. (1) A judge shall disqualify himself or herself in a proc e e d i n g in which the judge's impartiality might reasonab ly be questioned, including but not limited to instances w h e re : 8

( a ) the judge has a personal bias or prejudice conc e r n in g a party or a party's lawyer, or personal knowle d g e of disputed evidentiary facts concerning the proc e e d in g ; ( b ) the judge served as a lawyer in the matter in c o n t r o v e r s y , or a lawyer with whom the judge p r e v io u s ly practiced law within the preceding seven ( 7 ) years served during such association as a lawyer c o n c e r n in g the matter, or the judge has been a mater i a l witness concerning it; ( c ) the judge knows that he or she, individually or a s a fiduciary, or the judge's spouse, parent or child w h e r e v e r residing, or any other member of the judge's f a m ily residing in the judge's household, has a financ ia l interest in the subject matter in controversy or in a party to the proceeding or any other interest that c o u l d be substantially affected by the proceeding; (d) the judge or the judge's spouse, or a person w it h i n the third degree of relationship to either of t h e m , or the spouse of such a person: ( i) is a party to the proceeding, or an officer, dire c t o r or trustee of a party; ( ii) is acting as a lawyer in the proceeding; ( iii) is known by the judge to have an interest that c o u l d be substantially affected by the proceeding; (iv) is to the judge's knowledge likely to be a mate r ia l witness in the proceeding. ( e ) the judge, while a judge or a candidate for ju d ic ia l office, has made a public statement that c o m m it s , or appears to commit, the judge with respect to : ( i) a n issue in the proceedings; or ( i i) the controversy in the proceedings. ( 2 ) A judge shall keep informed about the judge's pers o n a l and fiduciary financial interests, and make a reas o n a b le effort to keep informed about the personal fin a n c ia l interests of the judge's spouse and minor childr e n residing in the judge's household. F. Rem i t t a l of Disqualification. A judge disq u a lif ie d by the terms of Section 3E may, instead of w it h d r a w in g from the proceeding, disclose on the record t h e basis of the disqualification. If the parties and their la w y e r s after such disclosure and an opportunity to c o n f e r outside of the presence of the judge, all agree in w r it in g or on the record that the judge should not be d is q u a lif ie d , and the judge is then willing to participate, t h e judge may participate in the proceedings. The agreem e n t should be incorporated in the record of the proc e e d in g .

CANO N 4 A Judge Shall So Conduct the Judge's Extra- jud ic ia l Activities as to M i n im i z e the Risk of Conf l i c t with Judicial Obligations A . Extra-judicial Activities in General. A judge s h a ll conduct all of the judge's extra-judicial activities so t h a t they do not: ( 1 ) cast reasonable doubt on the judge's capacity to a c t impartially as a judge; ( 2 ) demean the judicial office; or ( 3 ) interfere with the proper performance of judicial d u t ie s . B . A v o c a t io n a l Activities. A judge may speak, w r it e , lecture, teach and participate in other extrajudic ia l activities concerning the law, the legal system, the a d m in i s t r a t io n of justice and non-legal subjects, subject t o the requirements of this code. C . Governm e n t a l , Civic or Charitable Activitie s. (1) A judge shall not appear at a public hearing bef o r e , or otherwise consult with, an executive or legislat iv e body or official except on matters concerning the la w , the legal system or the administration of justice or e x c e p t when acting pro se in a matter involving the ju d g e or the judge's interests. ( 2 ) A judge shall not accept appointment to a g o v e r n m e n t a l comm it t e e or commission or other g o v e r n m e n t a l position that is concerned with issues of f a c t or policy on matters other than the improvement of t h e law, the legal system or the administration of justice. A judge may, however, represent a country, state or lo c a lit y on ceremonial occasions or in connection with h is t o r i c a l, educational or cultural activities. ( 3 ) A judge may serve as a member, officer, or dire c t o r of an organization or governmental agency dev o t e d to the improvement of the law, the legal system, o r the administration of justice. A judge may assist such a n organization in raising funds and may participate in t h e i r m a n a g e m e n t and investment, but should not p e r s o n a lly participate in public fund-raising activities e x c e p t that a judge may be an announced speaker at a f u n d -r a is in g event benefitting indigent representation or p u b lic institutions of legal education. A judge may make r e c o m m e n d a tio n s to public and private fund-granting a g e n c ie s on projects and programs concerning the law, t h e legal system, and the administration of justice. (4) A judge may participate in civic and charitable a c t iv it ie s that do not reflect adversely upon the judge's im p a r t ia lit y or interfere with the performance of the ju d g e 's judicial duties. A judge may serve as an officer, 9

d ir e c t o r , trustee, or non-legal advisor of an educational, r e lig io u s , charitable, fraternal, or civic organization not c o n d u c t e d for the economic or political advantage of its m e m b e r s , subject to the following limitations: ( a ) A judge should not serve if it is likely that the o r g a n iz a t io n will be engaged in proceedings that w o u l d ordinarily come before the judge or will be r e g u la r ly engaged in adversary proceedings in any c o u r t. (b) A judge should not solicit funds for any educat io n a l, religious, charitable, fraternal, or civic org a n iz a t io n , or use or permit the use of the prestige o f office for that purpose, but a judge may be listed a s an officer, director, or trustee of such an organiz a t io n , so long as the listing is not used for fundr a is in g purposes. Except as permitted by paragraph C ( 3 ) above, a judge should not be a speaker or the g u e s t of honor at an organization's fund-raising e v e n t s , but may attend such events. ( c ) A judge should not give investment advice to s u c h an organization, but a judge may serve on its b o a r d of directors or trustees even though it has the r e s p o n s ib ilit y for approving investment decisions. D. F i n a n c i a l Activities.

o t h e r financial interests that might require frequent disq u a lif ic a t io n . ( 5 ) A judge shall not accept, and shall urge members o f the judge's family residing in the judge's household n o t to accept, a gift, bequest, favor or loan from anyone e x c e p t for: ( a ) a gift incident to a public testimonial, books, t a p e s and other resource materials supplied by publis h e r s on a complimentary basis for official use, or an in v it a t io n to the judge and the judge's spouse or guest t o attend a bar-related function or an activity devoted t o the improvement of the law, the legal system or t h e administration of justice; ( b ) a gift, award or benefit incident to the business, p r o f e ss io n or other separate activity of a spouse or o t h e r family member of a judge residing in the judge's h o u s e h o ld , including gifts, awards and benefits for t h e use of both the spouse or other family member a n d the judge (as spouse or family member), prov id e d the gift, award or benefit could not reasonably b e perceived as intended to influence the judge in the p e r f o r m a n c e of judicial duties; ( c ) ordinary social hospitality; ( d ) a gift from a relative or friend, for a special o c c a s io n , such as a wedding, anniversary or birthday, if the gift is fairly commensurate with the occasion a n d the relationship; ( e ) a gift, bequest, favor or loan from a relative or c lo s e personal friend whose appearance or interest in a case would in any event require disqualification u n d e r Section 3E; ( f ) a loan from a lending institution in its regular c o u r s e of business on the same terms generally availa b le to persons who are not judges; ( g ) a scholarship or fellowship awarded on the s a m e terms and based on the same criteria applied to o t h e r applicants; or ( h ) any other gift, bequest, favor or loan, only if: t h e donor is not a party or other person who has c o m e or is likely to come or whose interests have c o m e or are likely to come before the judge; and, if it s value exceeds the statutory minimum for financial d i s c lo s u r e , the judge reports it in the same manner as t h e judge reports compensation in Section 4H. E . Fiduciary Activities. ( 1 ) A judge shall not serve as executor, administ r a t o r or other personal representative, trustee, guardi a n , attorney in fact or other fiduciary, except for the e s t a t e , trust or person of a member of the judge's family a n d then only if such service will not interfere with the p r o p e r performance of judicial duties. 10

( 1 ) A judge shall not engage in financial and b u s in e s s dealings that: ( a ) may reasonably be perceived to exploit the judg e 's judicial position, or ( b ) involve the judge in frequent transactions or c o n t in u i n g business relationships with those lawyers o r other persons likely to come before the court on w h ic h the judge serves. ( 2 ) A judge may, subject to the requirements of this c o d e , hold and manage investments of the judge and m e m b e r s of the judge's family, including real estate, and e n g a g e in other remunerative activity. ( 3 ) A judge shall not serve as an officer, director, m a n a g e r , general partner, advisor or employee of any b u s in e s s entity except that a judge m a y , subject to the r e q u ir e m e n t s of this code, manage and participate in: ( a ) a business closely held by the judge or members o f the judge's family, or ( b ) a business entity primarily engaged in in v e st m e n t of the financial resources of the judge or m e m b e r s of the judge's family. ( 4 ) A judge shall manage the judge's investments a n d other financial interests to minimize the number of c a s e s in which the judge is disqualified. As soon as the ju d g e can do so without serious financial detriment, the ju d g e shall divest himself or herself of investments and

( 2 ) A judge shall not serve as a fiduciary if it is likely t h a t the judge as a fiduciary will be engaged in proceedin g s that would ordinarily come before the judge, or if t h e estate, trust or ward becomes involved in adversary p r o c e e d in g s in the court on which the judge serves or o n e under its appellate jurisdiction. ( 3 ) T h e same restrictions on financial activities that a p p ly to a judge personally also apply to the judge while a c t in g in a fiduciary capacity. F . S e r v i c e as Arbitrator or M e d i a t o r . A judge s h a ll not act as an arbitrator or mediator or otherwise p e r f o r m judicial functions in a private capacity unless e x p r e s s ly authorized by law. G . P r a c t i c e of Law. A judge shall not practice la w . Notwithstanding this prohibition, a judge may act p r o se and may, without compensation, give legal advice t o and draft or review documents for a member of the ju d g e 's family. H . C o m p e n s a t i o n , Reim b u r s e m e n t and Rep o rt in g . ( 1 ) C o m p e n s a t io n and Reimbursement. A judge may r e c e iv e compensation and reimbursement of expenses f o r the extra-judicial activities permitted by this code, if t h e source of such payments does not give the appeara n c e of influencing the judge's performance of judicial d u t ie s or otherwise give the appearance of impropriety. ( a ) Com p e n s a t io n shall not exceed a reasonable a m o u n t nor shall it exceed what a person who is not a judge would receive for the same activity. ( b ) Expense reimbursement shall be limited to the a c t u a l cost of travel, food and lodging reasonably inc u r r e d by the judge and, where appropriate to the o c c a s io n , by the judge's spouse or guest. Any payment in excess of such an amount is compensation. ( 2 ) P u b lic Reports. A judge shall report compens a t i o n for extra-judicial activities as required by law. I. D i s c lo s u r e of a judge's income, debts, inv e s t m e n t s or other assets is required only to t h e extent provided in this Canon and in Secti o n s 3E and 3F, or as otherw i s e required by la w . J. W e d d i n g Cerem o n i e s .

( 3 ) A judge shall not advertise his or her availability f o r performing wedding ceremonies. ( 4 ) A judge shall not charge or accept a fee, honora r iu m , gratuity or contribution for performing a wedd in g ceremony during court hours. ( 5 ) A judge may charge a reasonable fee or honorariu m to perform a wedding ceremony during non-court h o u r s , whether the ceremony is performed in the court o r away from the court. C AN O N 5 A Judge or Judicial Candidate Shall Refrain f r o m Inappropriate Political Activity. A. P o l i t i c a l Conduct in General

(1) A judge or a candidate for election to judicial off ic e shall not: ( a ) act as a leader or hold any office in a political o r g a n iz a t io n ; ( b ) make speeches for a political organization or c a n d id a t e or publicly endorse a candidate for public o ff ice ; (c) solicit funds for or pay an assessment to a politic a l organization or candidate, or make contributions t o a political party or organization or to a non-judicial c a n d id a t e in excess of a combined total of Two Hund r e d Fifty Dollars per year; or (d) actively take part in any political campaign o t h e r than his or her own election, reelection or r e t e n t i o n in office. (2) A judge or a non-judge who is a candidate for jud ic ia l office may speak to political gatherings on his or h e r own behalf. (3) A judge may purchase tickets for political dinners o r other similar functions but attendance at any such f u n c t io n s shall be restricted so as not to constitute a p u b lic endorsement of a candidate or cause otherwise p r o h i b i t e d by these canons. (4) A judge shall resign from judicial office upon bec o m in g a candidate for a non-judicial office either in a p r im a r y or in a general election, except that the judge m a y continue to hold judicial office while being a candid a t e for election to or serving as a delegate in a state c o n s t it u t io n a l convention if the judge is otherwise perm it t e d by law to do so. ( 5 ) E x c e p t as otherwise permitted in this code, a ju d g e shall not engage in any other political activity exc e p t on behalf of measures to improve the law, the legal s y s t e m , or the administration of justice.

( 1 ) T h e performance of wedding ceremonies by a ju d g e is a discretionary function rather than a mandat o r y function of the court. ( 2 ) A judge shall not interrupt or delay any regularly s c h e d u l e d or pending court proceeding in order to perf o r m a wedding ceremony.

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B.

J u d i c i a l Cam p a i g n Conduct.

( 1 ) A candidate, including an incumbent judge, for a judicial office that is filled either by public election bet w e e n competing candidates or on the basis of a merit s e l e c t i o n system or retention election: (a) shall maintain the dignity appropriate to judicial o f f ic e and act in a manner consistent with the im p a r t ia lit y , integrity and independence of the ju d ic ia r y , and shall encourage members of the c a n d id a t e 's family to adhere to the same standards of p o litic a l conduct in support of the candidate as apply t o the candidate; ( b ) shall prohibit employees and officials who serve a t the pleasure of the candidate, and shall discourage o t h e r em p lo y e e s and officials subject to the candid a t e 's direction and control from doing on the candid a t e 's behalf what the candidate is prohibited from d o in g under the sections of this Canon; ( c ) shall not authorize or knowingly permit any o t h e r person to do for the candidate what the c a n d id a t e is prohibited from doing under the sections o f this Canon; (d) shall not: ( i) with respect to cases, controversies, or issues t h a t are likely to come before the court, make p le d g e s , promises or commitments that are in c o n s is t e n t with the impartial performance of the a d ju d ic a t iv e duties of the office; or ( ii) knowingly misrepresent the identity, qualif ic a t io n s , present position or other fact concerning t h e candidate or an opponent. ( e ) may respond to personal attacks or attacks on t h e candidate's record as long as the response does n o t violate Section 5B. (2) A candidate, including an incumbent judge, for a ju d ic ia l office, whether by a contested election or seeki n g the retention of the office according to law, shall c o m p l y with the Arizona statutes relating to the financial a s p e c t s of the candidacy. All candidates should refrain f r o m personally soliciting campaign contributions. They s h o u ld refer prospective contributors to the candidate's c a m p a ig n committee. ( 3 ) A n incumbent judge w h o is a candidate for r e te n t io n in or re-election to office may campaign for r e t e n t io n in or re-election to office; may obtain publicly s t a t e d support; and in the manner provided in subsect io n B(2) may obtain campaign funds. C . Applicability. Canon 5 generally applies to all in c u m b e n t judges and judicial candidates. A successful c a n d id a t e , whether or not an incumbent, is subject to

ju d ic ia l discipline for his or her campaign conduct; an u n s u c c e s s f u l candidate who is a lawyer is subject to lawy e r discipline for his or her campaign conduct. A lawyer w h o is a candidate for judicial office is subject to ER 8 .2 ( b ) of the Arizona Rules of Professional Conduct. A P P L I C A T I O N OF THE CODE O F JUDICIAL CONDUCT A . J u d g e . Anyone, whether or not a lawyer, who is an officer of a judicial system and who performs ju d ic ia l functions, including an officer such as a justice o f the peace, magistrate, court commissioner, special m a s t e r , hearing officer or referee, is a judge within the m e a n in g of this code. All judges shall comply with this c o d e except as provided below. B . R e t i r e d Judge Available for Assignm e n t . A retired judge available for assignment to judicial s e r v ic e and during such service is not required to comply w it h Sections 4C(2), 4D(2), 4D(3), 4E, 4F, 4G, 4H and 4 I. C. P a r t - t i m e Judge. A part-time judge is a person w h o serves on a continuing or periodic basis, but is perm it t e d by law to devote time to some other profession or o c c u p a t io n and whose compensation for that reason is l e s s than that of a full-time judge. (1) A part-time judge is not required to comply (a) except while serving as a judge, with Section 3B(9); (b) at any time, with Sections 4C(2), 4C(4)(a), 4 D ( 1 ) ( b ) , 4D(3), 4D(4), 4D(5), 4E, 4F, 4G, 4H, and 5A (1). ( 2 ) A part-time judge shall not practice law in the c o u r t on which the judge serves or in any court subject t o the appellate jurisdiction of the court on which the ju d g e serves, and shall not act as a lawyer in a proc e e d in g in which the judge has served as a judge or in a n y other proceeding related thereto. D . P r o Tem p o r e Part-tim e Judge. A pro temp o r e part- time judge is a person appointed pursuant to A r t ic le 6, Section 31 of the Arizona Constitution, A.R.S.   22-122, or municipal charter or ordinance, who serves o n less than a full-time basis under a separate appointm e n t by a presiding judge for each period of less than f u l l- t i m e service or for each case heard. (1) A pro tempore part-time judge is not required to c o m p ly ( a ) except while serving as a judge, with Sections 2A, 2 B ,3 B ( 9 ) a n d 4 C ( 1 ) ; ( b ) at any time with Sections 2C, 4C(2), 4C(4), 4D(1) ( b ) , 4D(3), 4D(4), 4D(5), 4E, 4F, 4G, 4H, and 5A(1).

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( 2 ) A person who has been a pro tempore part-time ju d g e shall not act as a lawyer in a proceeding in which t h e judge has served as a judge or in any other proceedin g related thereto except as otherwise permitted by R u le 1.12(a) of the Arizona Rules of Professional Cond u c t. (3) A pro tempore part-time judge who serves once or o n ly sporadically in a specialized division of a court or in a court without specialized divisions may appear as a la w y e r in such specialized division or court during such se r v ice . (4) A pro tempore part-time judge who serves repeate d ly on a continuing scheduled basis in a specialized div i s io n of a court or in a court without specialized divis io n s shall not appear as a lawyer in such specialized d i v i s i o n or court during such service. (5) A part-time pro tempore judge who is appointed t o perform judicial functions of a non-appealable nature o n a continuing scheduled basis shall not appear as a la w y e r in other proceedings involving the function of the c o u r t in which the service was performed, but may app e a r as a lawyer in all other areas of practice before the co u rt. E . P r o Tem p o r e Full-Tim e Judge. A pro temp o r e full-time judge is a person appointed pursuant to A .R .S .   12-144 who serves full-tim e for the full six m o n t h s allowed by statute. A pro tempore full-time ju d g e : ( 1 ) i s subject to all the provision of this code; (2) m a y not engage in the practice of law during such f u l l- t i m e service. F. T i m e for Com p l i a n c e . A person to whom this c o d e becomes applicable shall comply immediately with a ll provisions of this code except Sections 4D(2), 4D(3) a n d 4E and shall comply with these sections as soon as r e a s o n a b ly possible and shall do so in any event within t h e period of one year.

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CONSTITUTIONAL PROVISIONS
Article 6.1 of the Arizona Constitution is the governing law for the Com m is s io n on Judicial Conduct and was a p p r o v e d by the electorate in November 1970. Minor changes were made to this section of the constitution in 1976, a n d substantial revisions were adopted in 1988. The following is the complete text of the article.

1. Com p o s i t i o n : appointm e n t ; term ; vacancies S e c t io n 1. A. A commission on judicial conduct is crea t e d to be composed of eleven persons consisting of two ju d g e s of the court of appeals, two judges of the superior c o u r t , one justice of the peace and one municipal court ju d g e , who shall be appointed by the supreme court, t w o members of the state bar of Arizona, who shall be a p p o in t e d by the governing body of such bar ass o c ia t io n , and three citizens who are not judges, retired ju d g e s nor members of the state bar of Arizona, who s h a l l be appointed by the governor subject to confirmat io n by the senate in the manner prescribed by law. B. Terms of members of the com m i s s i o n shall be six y e a r s , except that initial terms of two members a p p o i n t e d by the supreme court and one member a p p o i n t e d by the state bar of Arizona for terms which b e g i n in January, 1991 shall be for two years and initial t e r m s of one member appointed by the supreme court a n d one member appointed by the state bar of Arizona f o r terms which begin in January, 1991 shall be for four y e a r s . If a member ceases to hold the position that qualif ie d him for appointment his membership on the comm is s io n terminates. An appointment to fill a vacancy for a n unexpired term shall be made for the remainder of t h e term by the appointing power of the original app o i n t m e n t . Added, election Nov. 3 1970; am e n d e d , elect i o n Nov. 2, 1976, eff. Nov. 22, 1976; election Nov. 8, 1 9 8 8 , eff. Dec. 5, 1988. 2 . Disqualification of judge S e c t i o n 2. A judge is disqualified from acting as a ju d g e , without loss of salary, while there is pending an in d ic t m e n t or an information charging him in the United S t a t e s with a crime punishable as a felony under Arizona o r federal law, or a recommendation to the supreme c o u r t by the commission on judicial conduct for his susp e n s i o n , removal or retirement. Added, election Nov. 3, 1 9 7 0 , eff. Nov. 27, 1970; am e n d e d , election Nov. 8, 1988, e ff. Dec. 5, 1988. 3 . Suspension or removal of judge S e c t io n 3. On recommendation of the commission on ju d ic ia l conduct, or on its own motion, the supreme c o u r t may suspend a judge from office without salary w h e n , in the United States, he pleads guilty or no cont e s t or is found guilty of a crime punishable as a felony

u n d e r Arizona or federal law or of any other crime that in v o lv e s moral turpitude under such law. If his c o n v ic t io n is reversed the suspension terminates, and he s h a ll be paid his salary for the period of suspension. If h e is suspended and his conviction becomes final the sup r e m e court shall remove him from office. Added, e le c t io n Nov. 3, 1970, eff. Nov. 27, 1970; am e n d e d , elect i o n Nov. 8, 1988, eff. Dec. 5, 1988. 4 . Retirement of judge S e c t io n 4. A. On recommendation of the commission o n judicial conduct, the supreme court may retire a ju d g e for disability that seriously interferes with the perf o r m a n c e of his duties and is or is likely to become perm a n e n t , and may censure, suspend without pay or rem o v e a judge for action by him that constitutes wilful m is c o n d u c t in office, wilful and persistent failure to perf o r m his duties, habitual intemperance or conduct preju d ic ia l to the administration of justice that brings the ju d ic ia l office into disrepute. B . A judge retired by the supreme court shall be consid e r e d to have retired voluntarily. A judge removed by t h e supreme court is ineligible for judicial office in this s t a t e . Added, election Nov. 3, 1970, eff. Nov. 27, 1970; a m e n d e d , election Nov. 8, 1988. Dec. 5, 1988. 5 . Definitions and rules im p l e m e n t i n g article S e c t io n 5. The term "judge" as used in this article shall a p p ly to all justices of the peace, judges in courts in f e r io r to the superior court as may be provided by law, ju d g e s of the superior court, judges of the court of app e a l s and justices of the supreme court. The supreme c o u r t shall make rules implementing this article and prov id in g for confidentiality of proceedings. A judge who is a member of the commission or supreme court shall not p a r t ic ip a t e as a member in any proceedings hereunder in v o lv in g his own censure, suspension, removal or involu n t a r y retirement. Added, election Nov. 3, 1970, eff. Nov. 2 7 , 1970; amended, election Nov. 8, 1988, eff. Dec. 5, 1988. 6 . Article self-executing S e c t i o n 6. The provisions of this article shall be selfe x e c u t i n g . Added, election Nov. 3, 1970, eff. Nov. 27, 1970.

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RULES OF THE COMMISSION ON JUDICIAL CONDUCT
A m e n d e d June 9, 2005, and January 20, 2006; effective January 20, 2006 T A B L E OF RULES P re a m b le T e rm in o lo g y S ec tio n A. O rg a n iza tio n and A d m in is t r a t io n 1. S c o p e of authority 2. P u r p o s e and jurisdiction 3. O r g a n iz a t i o n 4. A d m i n is t r a t i o n S e c t i o n B. General Provisions 5. P u r p o s e of judicial discipline 6. G r o u n d s for discipline 7. M is c o n d u c t distinguished from error 8. R ig h t to counsel 9. P u b lic access and confidentiality 1 0 . Notification to complainant 1 1. A d m in is t r a t io n of oaths 12. S e r v ic e 13. S u b p o e n a power 1 4. P r o h ib it io n against retaliation 15. Im m u n it y from civil suit S e c t i o n C. Dispositions and Sanctions 16. D is p o s it io n s in general 17. I n f o r m a l sanctions 18. F o r m a l sanctions 19. M it ig a t in g and aggravating factors S e c t i o n D. Disciplinary Proceedings 20. C o m m e n ce m e n t 21. I n i t ia l screening 22. I n v e s t ig a t i o n 23. C o m m is s io n review 24. F o r m a l charges 25. R e sp o n se 26 . D is c o v e r y 27. H e a r in g s 28. R e c o m m e n d a tio n s 29. S u p r e m e court review S e c t i o n E. Special Proceedings 30. D is c ip lin e by consent 31. I n t e r im reassignment 3 2. M e d ic a l examination 33. I n c a p a c it y proceedings 34. C o m p l ia n c e proceedings PREAM BLE A n independent, fair, and competent judiciary being o n e of the cornerstones of our legal system, judges must r e s p e c t and honor their judicial office as a public trust. T o preserve the integrity of the judiciary and to enhance p u b lic confidence in the judicial system, Arizona regula t e s judicial conduct through a system comprised of the A r iz o n a Supreme Court and the Commission on Judicial C o n d u c t , which is established by article 6.1 of the A r iz o n a Constitution. By law, the supreme court is r e s p o n s ib le for approving the com m is s io n 's rules and r e v ie w in g recommendations for the censure, suspension, r e m o v a l, or retirement of a judge. The supreme court is a ls o responsible for adopting the Code of Judicial Cond u c t , which contains the standards governing the ethical c o n d u c t of judges. The commission is responsible for a d m in is t e r i n g the judicial discipline and incapacity s y s t e m over all state and local judges. T E R M IN O L O G Y T h e following terms have specific meanings within the c o n t e x t of these rules: " C e n s u r e " is a formal public sanction based on a f in d in g that a judge has clearly committed misconduct b u t the conduct is not so egregious as to warrant s u s p e n s io n , removal or retirement. " C o d e " means the Code of Judicial Conduct adopted b y the supreme court. "Com p l a i n t " means information in any form from a n y source received by the commission that alleges or i m p l ie s judicial misconduct or incapacity. "Complainant" means a person or organization that in it ia lly files a complaint regarding the conduct of a ju d g e . The complainant is not a party to the proceeding. " C o n s t i t u t i o n " means the Arizona Constitution. " D i s c i p l i n a r y counsel" means an attorney responsib le for investigating complaints, presenting information t o an investigative panel, and prosecuting charges in a f o r m a l disciplinary proceeding before a hearing panel, a hearing officer, or the supreme court. " E x e c u t i v e director" denotes the chief administ r a t o r for the commission. " F o r m a l charges" denotes the document setting f o r t h specific acts of judicial misconduct or incapacity, in c lu d in g any amendment thereto, authorized by an in v e s t ig a t iv e panel upon a determination of reasonable c a u se .

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" H e a r i n g " means a public proceeding at w h i c h issues of fact and law raised in the formal c h a r g e s are tried before a hearing panel or a h e a r i n g officer. "Hearing officer" denotes a person a p p o i n t e d by the commission to perform the f u n c t io n s of a hearing panel, including making p r o p o s e d recommendations, when circumstances d ic t a t e that an appropriate hearing panel cannot b e constituted, or w h e n the hearing panel is u n a b le to complete this process within the intent o f the rules. " H e a r i n g panel" denotes the comm is s io n m e m b e r s appointed by the chairperson to conduct a hearing. " I n c a p a c i t y " is a mental or physical condition t h a t adversely affects a judge's ability to perform ju d ic ia l functions. Incapacity is distinguished from a disability in that a disability does not necessarily a d v e r s e ly affect a judge's performance of judicial fu n ctio n s. " I n v e s t i g a t i v e panel" denotes three comm is s io n members appointed by the chairperson to r e v ie w the complaint and evidence to determine if reasonable cause exists to file formal charges a g a i n s t a judge. "Judge" refers to anyone, whether or not a la w y e r , who is or was an officer of the judicial b r a n c h of government subject to the code, in c l u d in g judges pro tem p o r e , court commiss io n e r s , hearing officers, special masters, and r e fe r e e s. "M i s c o n d u c t " means any conduct by a judge c o n s t it u t in g grounds for discipline. " P r e s i d i n g m e m b e r " is the person d e s ig n a t e d by the chairperson to perform the d u t ie s of a presiding officer on a commission p a n e l. " P r o c e e d in g s " denotes all steps in the d is c i p lin e and incapacity system set forth in these r u le s . " P u b l ic m e m b e r " means a member of the c o m m is s io n who has never been a judge or an a tt o r n e y . "Reasonable Cause" is the equivalent of p r o b a b le cause and means a reasonable ground f o r belief in the existence of facts warranting the f i l in g of formal charges. "Recom m e n d a t i o n s " denotes the written f in d in g s of fact, conclusions of law, and recom-

m e n d a t io n s filed with the commission or the supreme c o u r t at the conclusion of a formal hearing. " R e c o r d " means the complaint, the judge's response, t h e commission's findings, if any, and the final disposit io n a l order in a case involving informal proceedings, a n d all documents filed in a case involving formal proc e e d in g s beginning with the notice and statement of f o r m a l charges, including the transcript of the hearing if r e c o m m e n d a t i o n s are filed with the supreme court. "Reprim a n d " is an informal public sanction imp o s e d for minor misconduct that does not warrant c e n s u r e , suspension, removal, or retirement. "Suprem e court" is the Supreme Court of Arizona. S E C T I O N A. ORGANIZATION AND ADMINISTRATION R U L E 1. SCOPE OF AUTHORITY T h e disciplinary authority of the commission extends t o every judge and judicial officer subject to article 6.1 o f the constitution and the code. RULE 2. PURPOSE AND JURISDICTION T h e purpose of the commission is to administer the ju d ic ia l discipline and incapacity system established by t h e constitution. The commission has jurisdiction over ju d g e s and former judges concerning allegations of m is c o n d u c t occurring prior to or during service as a ju d g e and allegations of incapacity during service as a ju d g e . R U L E 3. ORGANIZATION (a) M e m b e r s . The commission is comprised of e le v e n members appointed to staggered, six-year terms in specific categories as provided in article 6.1,   1 of the c o n s t it u t io n . Membership shall terminate if a member c e a s e s to hold the position that qualified him or her for a p p o i n t m e n t . An appointment to fill a vacancy for an u n e x p ir e d term shall be made in the same manner as p r o v id e d for an original appointment. ( b ) Officers. The members of the commission shall e le c t a chairperson, a vice-chairperson, and a secretary, e a c h of whom may serve successive two-year terms. If a n officer resigns or ceases to be a member of the c o m m is s io n , the commission shall elect another member t o fill the remaining term of the vacated office. ( c ) Duties of officers. The chairperson shall p e r f o r m the duties normally associated with the office a n d shall preside over all general meetings of the full c o m m is s io n . The vice-chairperson shall act as chairp e r s o n in the absence of the chairperson. In the absence o f both the chairperson and vice-chairperson, the m e m b e r s present at the meeting shall select an acting c h a ir p e r s o n . The secretary, assisted by the executive

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d ir e c t o r , shall keep the permanent minutes of commiss io n meetings. The chairperson may appoint an acting s e c r e t a r y in the absence or inability of the secretary to p e r f o r m these duties. ( d ) Quorum . A majority of the members shall cons t it u t e a quorum for business transacted before the full c o m m is s io n . Three members shall constitute a quorum f o r an investigative panel and six members shall const it u t e a quorum for a hearing panel, providing that both p a n e l s shall include at least one public member. (e) M e e t in g s . The chairperson or any three memb e r s may call a m e e t in g of the full commission and d e s ig n a t e when and where the meeting shall be held. T h e chairperson or executive director shall notify each m e m b e r of the time and place of any meeting. (f) Panels. When necessary under these rules, the c h a ir p e r s o n shall divide the commission into an investig a t iv e panel of three members and a hearing panel of e ig h t members, and shall designate a member to preside o v e r each panel. Whenever possible panels shall include m e m b e r s from each category of membership (judges, a t t o r n e y s , and public members), and shall meet at the d ir e c t i o n of the presiding member. No member who sits o n an investigative panel during a particular case may s it on a hearing panel for the same case. ( g ) Expenses. Commission members shall not be c o m p e n s a t e d for their services, but may be reimbursed f o r their travel and other expenses incidental to the p e r f o r m a n c e of their duties. ( h ) Disqualification. A member of the commission s h a l l disqualify himself or herself in any matter in which d is q u a lif ic a t io n would be required of a judge under the cod e. (i) Com p l a i n t s against judicial m e m b e r s . If a c o m p la in t is filed against a judicial member of the c o m m is s io n , that member shall not participate in the i n v e s t i g a t i o n or adjudication of the matter. RULE 4. ADMINISTRATION ( a ) Appointm e n t of staff. The commission may e m p lo y an executive director, disciplinary counsel, and s u c h other staff as it deems necessary to assist the c o m m is s io n in performing its duties. Commission staff s h a l l serve at the pleasure of the commission. (b) Duties of executive director. The executive d ir e c t o r is the chief administrative officer of the comm is s io n and is responsible for considering allegations of ju d ic ia l misconduct from any source, screening comp la in t s , and aiding as necessary in the investigation of c o m p la in t s . The executive director shall supervise comm is s io n staff, prepare reports, accept service on behalf o f the commission, administer appropriations and other

f u n d s in cooperation with the Administrative Director of t h e Courts, maintain records and files, and perform o t h e r duties as directed by the commission. (c) Duties of disciplinary counsel. Disciplinary c o u n s e l shall conduct preliminary investigations and p e r f o r m the functions of a prosecutor in proceedings b e f o r e investigative panels, hearing panels or hearing o f f ic e r s , and the supreme court. Disciplinary counsel s h a ll file formal charges when directed to do so by the c o m m is s io n or an investigative panel, and shall perform o t h e r duties as directed by the commission. ( d ) Policies, procedures and form s . The comm is s io n may adopt administrative policies and forms t h a t do not conflict with these rules. S E C T I O N B. G E N E R A L PROVISIONS R U L E 5. PURPOSE OF JUDICIAL DISCIPLINE T h e purpose of the judicial discipline and incapacity s y s t e m is not to punish the judge, but to protect the p u b lic and to maintain high standards for the judiciary a n d the administration of justice. Any disciplinary r e m e d y or sanction imposed shall be sufficient to restore a n d maintain the dignity and honor of the position and t o protect the public by assuring that the judge will r e f r a in from similar acts of misconduct in the future. R U L E 6. GROUNDS FOR DISCIPLINE T h e grounds for judicial discipline include willful m is c o n d u c t in office, willful and persistent failure to p e r f o r m judicial duties, habitual intemperance, conduct p r e ju d ic ia l to the administration of justice that brings t h e judicial office into disrepute, or a violation of the code. R U L E 7. M I S C O N D U C T DISTINGUISHED FROM ERROR

T h e commission shall not take action against a judge f o r making erroneous findings of fact or conclusions of la w in the absence of fraud, corrupt motive, or bad faith o n the judge's part, unless such findings or conclusions c o n s t it u t e such an abuse of discretion as to otherwise v io la t e one of the grounds for discipline described in t h e s e rules or the code. R U L E 8. RIGHT TO COUNSEL A judge is entitled to due process, including, but not lim it e d to, the right to defend against the charges and to b e represented by counsel at his or her own expense. R U L E 9. PUBLIC ACCESS AND C O N F ID E N T IA L IT Y ( a ) Public access. The record in informal proceedin g s shall be public after the complainant and the judge a r e notified of the outcome of the proceedings and the

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t im e provided for further commission review has e x p ir e d . The record in formal proceedings shall be p u b l ic after the filing of the judge's response to formal c h a r g e s or the expiration of the time provided for such a response, the entry of an order approving an a g r e e m e n t for discipline by consent, or the waiver of c o n f id e n t ia lit y by the judge. ( b ) Confidential matters. All other commission c o r r e s p o n d e n c e , draft documents, computer records, in v e s t ig a t iv e reports, attorney w o r k product, commiss io n deliberations, and records in dismissed cases are c o n f id e n t ia l; provided that, following entry of an order o f dismissal, the complaint and the order of dismissal s h a ll be made public but with all identifying information r e g a r d in g any person or court redacted and the judge a n d com p la i n a n t designated only by num b e r . ( c ) Discretionary disclosure. The commission m a y disclose a complaint to a judge and a judge's r e s p o n s e to a complainant at any time. It may also disc lo s e confidential information to confirm a pending in v e s t ig a t io n in a case in which an investigation has b e c o m e public or to clarify proceedings in such a case; t o protect individuals, the public, or the administration o f justice; and to comply with official requests from a g e n c ie s and other organizations involved in criminal p r o s e c u t io n s , bar discipline investigations, or judicial n o m in a t io n , selection, and retention proceedings. Unless o t h e r w is e ordered by the commission, complainants, r e s p o n d e n t judges and witnesses are not prohibited f r o m disclosing the existence of proceedings or from d is c lo s in g any documents or correspondence served on o r provided to those persons. ( d ) Protective orders. Upon motion by a party or b y a person from whom the information was obtained, o r by disciplinary counsel, and for good cause shown, t h e commission, an investigative panel, a hearing panel o r a hearing officer may make an order sealing a portion o f the record. Sealed materials shall be opened and v ie w e d only by the commission or one of its corresp o n d in g panels, a hearing officer, disciplinary counsel or t h e supreme court. The information shall not otherwise b e disclosed unless the parties and the person providing t h e information are given notice and an opportunity to b e heard. R U L E 10. NOTIFICATION TO COM P L A I N A N T C o m m i s s io n staff shall provide written acknowl e d g m e n t of every complaint, if the complainant is k n o w n , and notify the complainant in writing of a public h e a r in g , if any, and of the final disposition of the c o m p lain t. RULE 11. ADM I N I S T R A T I O N OF OATHS E a c h member of the commission or its staff, and any h e a r in g officer appointed under these rules, shall have t h e power to administer oaths for taking testimony on

m a t t e r s within the jurisdiction of the commission. W it n e s s e s shall be sworn upon oath or affirmation to tell t h e truth and, prior to the initiation of formal proceedin g s , may be sworn not to disclose the existence of the in v e st ig a t io n or the identity of the judge until the p r o c e e d in g is no longer confidential under the rules. R U L E 12. SERVICE S e r v ic e upon a judge of formal charges in any disc ip lin a r y or incapacity proceeding shall be made by p e r s o n a l service upon the judge or judge's counsel by a n y person authorized by the commission chairperson, o r by certified mail, return receipt requested, to the ju d g e 's address of record. Delivery of all other papers or n o t i c e s , including a request for a response to a comp la in t , shall be made by first class mail unless otherwise o r d e r e d by the commission. RULE 13. SUBPOENA POW E R ( a ) Subpoenas. In conformance with the applicable r u le s of civil procedure, presiding panel members, h e a r in g officers, and their designees, on their own m o t io n or at the request of a party, may issue subpoenas c o m p e llin g the attendance of the judge or witnesses and t h e production of pertinent books, papers, and docu m e n t s for the purposes of investigation, depositions, a n d formal hearings. Subpoenas issued during investig a t io n s prior to the institution of formal proceedings s h a ll indicate that they are issued in connection with a c o n f i d e n t i a l investigation. (b) Enforcem e n t . Upon proper application, the s u p e r io r court in any county in which the attendance of a witness or production of documents is required shall e n f o r c e the attendance and testimony of any witnesses a n d the production of any documents subpoenaed. ( c ) W i t n e s s fees. Subpoena fees and costs shall be t h e same as those provided for in proceedings in the s u p e r i o r court. R U L E 14. PROHIBITION AGAINST RETALIATION A judge against whom a complaint is filed shall not d ir e c t ly or indirectly engage in any act of retaliation a g a in s t any person who files a complaint, cooperates in t h e investigation of a complaint, or acts as a witness in a n y proceeding brought against the judge. "Retaliation" in c lu d e s, but is not limited to, the act of dismissing or p r o c u r i n g the dismissal, without reasonable cause, of a m e m b e r of the judge's staff or other person subject to t h e judge's direction and control, creating a hostile or o f f e n s iv e working environment for such person, or filing a frivolous bar complaint against an attorney who is a c o m p la i n a n t or witness. The commission or disciplinary c o u n s e l may, at any time, file a petition with the s u p r e m e court for an order prohibiting, at the risk of s a n c t io n s for contempt, conduct of a judge that is or a p p e a r s to be retaliatory in nature.

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R U L E 15. IM M U N I T Y FROM CIVIL SUIT C o m m u n ic a t io n s with the supreme court, the court's s t a f f , the commission, or commission staff relating to ju d ic ia l misconduct or incapacity and testimony given in a n y proceedings before the commission, a panel thereof, o r a hearing officer shall be absolutely privileged as p r o v id e d by law . No civil action may be instituted a g a in s t any complainant or witness on the basis of these p r iv ile g e d communications. Members of the commission, c o m m is s io n staff, hearing officers, and court staff shall b e immune from suit for any conduct in the course of t h e ir official duties. S E C T I O N C. D I S P O S I T I O N S AND SANCTIONS R U L E 16. DISPOSITIONS IN GENERAL (a) Dism i s s a l . The com m i s s i o n may dism i s s a c o m p la in t that fails to allege an act of judicial misc o n d u c t , that lacks sufficient evidence to support an in v e s t ig a t io n , that is solely appellate in nature, or that is o t h e r w is e frivolous, unfounded or outside its jurisd i c t io n . A dismissal may be issued with confidential c o m m e n t s reminding a judge of ethical obligations or r e c o m m e n d in g changes in behavior or procedures. ( b ) Additional form s of discipline. If the comm is s io n finds an act of judicial m i s c o n d u c t , in addition t o any other sanction or sanctions imposed, the c o m m is s io n may direct a judge to participate in profess io n a l counseling, judicial education, mentoring, or o t h e r similar activities. ( c ) Consultation. The commission may confer conf id e n t ia lly with a judge at any time to discuss discip lin a r y alternatives including voluntary retirement or r e s ig n a t io n from judicial office. If a judge agrees to r e t i r e or resign while a complaint is pending, the c o m m is s io n may dismiss the complaint or take other a p p r o p r i a t e action consistent with these rules. ( d ) Discipline by contracting authority. The c o m m is s io n may recommend to the chief justice, a chief ju d g e , or a presiding judge of any court that a judicial o f f ic e r hired under contract be disciplined directly by t h e contracting authority. R U L E 17. INFORM A L SANCTIONS ( a ) Reprim a n d . The commission may reprimand a ju d g e without a formal hearing for conduct that is u n a c c e p t a b le under one of the grounds for judicial d i s c ip l in e , but that is not so serious as to warrant formal p r o c e e d in g s or further discipline by the supreme court. ( b ) Other informal sanctions. The commission m a y take any other informal action consistent with these r u le s, including, but not limited to, the assessment of a t t o r n e y fees and costs.

R U L E 18. FORM A L SANCTIONS ( a ) Censure, suspension, or rem o v a l . The c o m m is s io n may recommend to the supreme court, p u r s u a n t to article 6.1,   4 of the constitution, that a ju d g e be censured, suspended without pay, or removed f r o m office for misconduct following a formal hearing or t h e approval of an agreement for discipline by consent. ( b ) Involuntary retirem e n t . The commission may r e c o m m e n d to the supreme court, pursuant to article 6 .1 ,   4 of the constitution, that a judge be involuntarily r e t ir e d for a mental or physical incapacity that seriously in t e r f e r e s with the performance of the judge's duties and is likely to become permanent following an incapacity p r o c e e d i n g or the approval of an agreement for d i s c i p l in e by consent. (c) Im m e d i a t e disqualification. A judge shall be d is q u a lifie d , without loss of salary, pursuant to article 6 .1 ,   2 of the constitution, from acting as a judge when t h e commission files a recommendation to the supreme c o u r t for the judge's suspension, removal, or retirement. ( d ) Crim i n a l conduct. The commission may recomm e n d to the supreme court, pursuant to article 6.1,   3 o f the constitution, that a judge be suspended from o f f ic e without salary when the judge pleads guilty or no c o n t e s t to, or is found guilty of, a crime punishable as a f e lo n y under state or federal law or of any other crime t h a t involves moral turpitude under such law. The s u p r e m e court may also act on its own motion under t h i s section. (e) Other form a l sanctions. The commission may r e c o m m e n d the imposition of other formal sanctions c o n s is t e n t with these rules, including, but not limited to, t h e assessment of attorney fees and costs. R U L E 19. M I T I G A T I N G AND A G G R A V A T I N G FACTORS T h e following nonexclusive factors may be considered in determining appropriate disciplinary action: ( a ) the nature, extent, m is c o n d u c t ; and frequency of the

( b ) the judge's experience and length of service on the b en ch ; ( c ) whether the conduct occurred in the judge's o f f ic ia l capacity or private life; ( d ) the nature and extent to which the acts of m is c o n d u c t injured other persons or respect for the j u d ic ia r y ; ( e ) whether and to what extent the judge exploited h is or her position for improper purposes; ( f ) whether the judge has recognized and acknow le d g e d the wrongful nature of the conduct and manif e s t e d an effort to change or reform the conduct;

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( g ) whether there has been prior disciplinary action c o n c e r n in g the judge, and if so, its remoteness and r e le v a n c e to the present proceeding; ( h ) whether the judge complied with prior discipline o r requested and com p lie d with a formal ethics advisory o p in io n ; ( i ) whether the judge cooperated fully and honestly w it h the commission in the proceeding; and ( j ) whether the judge was suffering from personal or e m o t io n a l problems or from physical or mental disability o r impairment at the time of the misconduct. S E C T I O N D. DISCIPLINARY PROCEEDINGS R U L E 20. COM M E N C E M E N T T h e commission shall commence an investigation u p o n receiving a written complaint alleging facts of ju d ic ia l misconduct or incapacity and may otherwise do s o upon its own motion. If a written complaint is not f ile d , the commission's written statement of allegations c o n s t it u t e s the complaint. R U L E 21. INITIAL SCREENING T h e executive director shall conduct an initial screenin g to determine whether a complaint warrants investig a t io n and evaluation. A complaint that is frivolous, unf o u n d e d , solely appellate in nature, or outside the ju r is d i c t io n of the commission shall be dismissed subject t o review by the commission at its next scheduled m e e t in g . A complaint that is not dismissed shall be r e f e r r e d to disciplinary counsel for further investigation. R U L E 22. INVESTIGATION ( a ) Preliminary investigation. Disciplinary couns e l shall conduct a preliminary investigation of a comp la in t that is not dismissed during initial screening. If, a f t e r preliminary investigation of a complaint, disciplina r y counsel recommends dismissal or imposition of in f o r m a l sanctions, the investigative findings and recomm e n d a t i o n shall be reported to the commission. (b) Request for response from judge. As part o f the preliminary investigation, the judge may be n o t if ie d of the substance of the complaint and afforded a reasonable opportunity to respond. The commission s h a l l not impose informal sanctions or initiate formal p r o c e e d in g s without first having provided such notice a n d opportunity. ( c ) Appointm e n t of investigative panel. If, a f t e r consultation with the executive director, discip l in a r y counsel determines that a full investigation may b e required to resolve a complaint or that sufficient e v id e n c e may already exist to support formal charges a g a in s t a judge, a three-member investigative panel shall b e appointed as provided in Rule 3(f).

(d) Full investigation. The investigative panel s h a ll review the findings of the preliminary investigation a n d may authorize disciplinary counsel to conduct a full in v e s t ig a t io n if there are grounds to believe that evid e n c e supporting the allegations may be obtained by s u b p o e n a or further investigation. ( e ) Use of information from closed cases. U n le s s otherwise prohibited, information in a closed file m a y be used during an investigation or any subsequent p r o c e e d in g to show a pattern of misconduct, to determ in e the severity of the sanction, or to exonerate a ju d g e , providing that the existence of the file is disclosed p r io r to the commencement of formal proceedings and t h e judge is permitted to raise issues pertaining to prior c o n d u c t in the proceedings. A complaint previously d is m is s e d may be reopened if additional information r e g a r d in g the complaint comes to light and is disclosed t o the judge. (f) Finding of reasonable cause. At the c o n c lu s io n of a full investigation, the investigative panel m a y instruct disciplinary counsel to prepare formal c h a r g e s if it finds reasonable cause to believe that one or m o r e grounds for discipline of a judge exists that cannot b e resolved through dismissal or informal sanctions. In a ll other cases, the investigative panel shall refer the m a t t e r to the full commission for final disposition. RULE 23. C O M M I S S I O N REVIEW (a) Disposition. After reviewing a complaint, the r e p o r t of the executive director or disciplinary counsel, o r the recommendation of an investigative panel, the c o m m is s io n may dismiss the complaint or impose an i n f o r m a l sanction consistent with these rules. (b) M o t i o n for reconsideration. Within fifteen d a y s of the mailing of an order, the judge or the c o m p la in a n t may file a motion for reconsideration, w h ic h may include a request to appear before the c o m m is s io n . No response to the motion is required u n le ss requested by the commission. The commission s h a ll promptly notify the judge and the complainant of it s decision. ( c ) Request for form a l hearing. In addition or as a n alternative to filing a motion for reconsideration, the ju d g e may, within fifteen days of the mailing of an o r d e r , file a request for a hearing conducted pursuant to R u l e 27(f). RULE 24. FORM A L CHARGES ( a ) Form a l charges. After the investigative panel f in d s reasonable cause to proceed, disciplinary counsel s h a ll prepare a statement of formal charges for the p u r p o se of giving the judge full and fair notice of the a lle g a t io n s . Disciplinary counsel shall file the formal c h a r g e s in the office of the commission.

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(b) Notice. The formal charges shall be served upon t h e judge, along with a notice of formal proceedings p r e p a r e d by the executive director. The notice shall a d v i s e the judge of the charges, the right to be r e p r e s e n t e d by counsel, and the right to file a written r e s p o n s e within fifteen days after service. ( c ) Am e n d m e n t s . Before the commencement of t h e formal hearing, amendments to the formal charges o r response may be allowed for good cause. During or a f t e r the formal hearing, and pursuant to motion, the f o r m a l charges may be amended to conform to the e v id e n c e . R U L E 25. RESPONSE ( a ) Response. Within fifteen days after service of t h e formal charges and notice of formal proceedings, the ju d g e may file a response in the office of the commiss io n . The executive director shall promptly prepare c o p ie s of the response for distribution to disciplinary c o u n s e l and members of the hearing panel. ( b ) W a i v e r of privilege. The raising of a mental o r physical condition as a defense constitutes a waiver of m e d ic a l privilege as to the particular condition at issue. ( c ) Extension of tim e . For good cause shown, the p r e s id in g member may grant an extension of time to file a response to the formal charges. (d) Failure to respond. In the event a judge fails t o respond within the prescribed time, the factual a lle g a t io n s in the formal charges shall be deemed admitte d . RULE 26. DISCOVERY ( a ) W i t n e s s e s . Within twenty days of the filing of a response, disciplinary counsel and the judge shall e x c h a n g e the names and addresses of all persons known t o have knowledge of the relevant facts, designating t h o s e persons the parties intend to call at the hearing. A party may withhold such information only with p e r m is s io n of the presiding member of the hearing panel ( o r his or her designee) or the hearing officer, and only f o r good cause shown. Review of the withholding r e q u e s t shall be in camera, but the requesting party shall a d v is e the other party of the existence of the request. ( b ) Other evidence. The parties shall exchange e v id e n c e relevant to the charges that is not otherwise c o n f id e n t ia l . Confidential information may be discovera b l e only upon good cause shown. (c) Exculpatory evidence. Disciplinary counsel s h a ll provide the judge with exculpatory evidence relev a n t to the charges that directly negates the allegations. E x c u lp a t o r y evidence, for the purposes of disciplinary p r o c e e d in g s , is not evidence of otherwise expected ju d ic i a l conduct.

(d) Duty of supplementation. The parties have a continuing duty to supplement information required to b e exchanged under this rule. (e) Com p l e t i o n of discovery. To the extent p r a c t ic a b le , all discovery shall be completed within f o r t y -f iv e days after the filing of the response or fifteen d a y s before the hearing, whichever is longer. ( f ) Failure to disclose. The hearing panel or h e a r in g officer may preclude any party from calling a w it n e s s or presenting evidence at the hearing if the w it n e s s or evidence has not been disclosed. ( g ) Resolution of discovery disputes. The p r e s i d i n g member of the hearing panel or the hearing o f f ic e r shall resolve all discovery disputes. These rulings s h a ll be final, except on review. R U L E 27. HEARINGS (a) Appointm e n t of hearing panel. Formal p r o c e e d in g s shall be conducted before a hearing panel c o n s is t in g of the members of the com m is s io n who were n o t appointed to the investigative panel assigned to r e v ie w the case. ( b ) D u t ie s of presiding member. The presiding m e m b e r of the hearing panel shall oversee all preh e a r in g proceedings, rule on pre-hearing motions, and p r e sid e over the formal hearing. To facilitate the prompt a n d timely resolution of the case, the presiding member s h a ll prepare a case management order setting forth a s c h e d u le and deadlines for each stage of the proceedin g s, and may order a settlement conference, review d is c o v e r y procedures with the parties, rule on preh e a r in g motions, and conduct pre-hearing conferences t o obtain admissions or narrow the issues presented by t h e pleadings. (c) Use of hearing officer. If a hearing panel is u n a b le to function w i t h in the intent of these rules, the c o m m is s io n shall appoint a hearing officer or a panel of t h r e e hearing officers to perform the functions of the h e a r in g panel as set forth in these rules. If a panel of h e a r in g officers is appointed, the composition of the p a n e l shall, if feasible, reflect the membership categories o f the commission. ( d ) Notice of hearing. The presiding member of t h e hearing panel or the hearing officer, if one has been a p p o i n t e d pursuant to paragraph (b), shall designate the t im e and place of the hearing and shall give the judge at l e a s t fifteen days' notice thereof. (e) Settlem e n t conference. At anytime prior to t h e hearing, the presiding member of the hearing panel m a y order the parties to participate in a settlement c o n f e r e n c e conducted by a member of the investigative p a n e l. Any proposed agreement for discipline by consent s h a ll conform with the requirements of Rule 30.

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( f ) Conduct of hearing. The following rules shall a p p ly to hearings: ( 1 ) Findings of fact shall be based on clear and c o n v in c in g evidence as that term has been defined by t h e supreme court. ( 2 ) The Arizona Rules of Evidence shall apply as f a r as practicable in all commission proceedings, and R u le 122 of the Rules of the Supreme Court shall a p p ly to all requests for electronic and photographic c o v e r a g e of such proceedings. (3) Procedural errors or defects not affecting the s u b s t a n t iv e rights of a judge shall not be grounds for in v a lid a t io n of commission proceedings. ( 4 ) All testimony shall be under oath. ( 5 ) The judge may be called as a witness. ( 6) T h e p artie s m a y p r e s e n t e v id e n ce an d p r o d u c e and cross-examine witnesses. ( 7 ) The parties may recommend and argue for a d is c ip lin e appropriate to the misconduct supported by t h e evidence, including argument on aggravating and m it ig a t in g factors. ( 8 ) The panel or hearing officer may instruct the p a r t ie s to submit proposed findings, conclusions, and r e c o m m e n d a t io n s for discipline or order of dismissal t o the hearing panel. ( 9 ) The hearing shall be transcribed by a court r e p o r t e r or electronically recorded for use by the s u p r e m e court, and a transcript shall be filed with the c o m m is s io n ' s recommendations. Any party may o b t a in a copy of the transcript at his or her own e x p e n se . (10) Where a member of a hearing panel has not h e a r d the evidence, that member shall not participate in any deliberations or decisions unless he or she has p e r s o n a lly considered the whole record, including any r e c o r d in g or transcript from portions of the hearing f r o m which that member was absent. ( g ) Ex parte com m u n i c a t io n s . Members of an in v e s t ig a t iv e panel, commission staff, disciplinary couns e l, the complainant, the judge, and the judge's counsel s h a ll not engage in improper ex parte communications, a s defined in Canon 3B(7) of the code, with members of a hearing panel or a hearing officer as to the merits of a c a s e in which the investigative panel has been involved. ( h ) Failure to appear. If the judge fails to appear a t the hearing, either in person or through counsel, he o r she shall be deemed to have admitted the factual a l l e g a t io n s that were to be the subject of such a p p e a r a n c e and to have conceded the merits of any m o t io n or recommendations to be considered at such a p p e a r a n c e . Absent good cause, the proceedings shall n o t be continued or delayed based on the judge's failure t o appear.

R U L E 28. RECOM M E N D A T I O N S (a) By a hearing panel. The hearing panel may f ile proposed recomm e n d a t io n s at any time after the c o n c lu s io n of the formal hearing and shall do so no later t h a n fifteen days after the transcript of the hearing is f ile d with the commission. The recommendations shall b e served on both parties, and either party may file a m o t io n for reconsideration within ten business days. The m o t io n shall be lim it e d to whether the evidence in the r e c o r d supports the findings of fact. If a motion is filed, t h e adverse party may file a response w i t h i n ten b u s in e s s days, and no reply shall be filed unless ordered b y the hearing panel. The hearing panel may accept or r e je c t any objections to the factual findings without f u r t h e r proceedings. ( b ) By a hearing officer. The hearing officer may f i l e proposed recomm e n d a t io n s at any time after the c o n c lu s io n of the formal hearing and shall do so no later t h a n fifteen days after the transcript of the hearing is f ile d with the comm is s io n . Comm is s io n members who h a v e not previously participated in the investigation s h a ll review the findings of fact based on a clearly e r r o n e o u s standard and the conclusions of law on a de n o v o basis. The commission so constituted may therea f t e r adopt, reject, or modify the proposed recommenda t io n s . The recommendations shall be served on both p a r t ie s , and either party may file a motion for recons id e r a t io n within ten business days. The motion shall be lim it e d to whether the evidence in the record supports t h e findings of fact. If a motion is filed, the adverse party m a y file a response within ten business days, and no r e p ly shall be filed unless ordered by the commission. T h e commission may accept or reject any objections to t h e factual findings without further proceedings. ( c ) Filing and notice to judge. Recommenda t io n s for formal sanctions shall be filed with the clerk o f the supreme court and are subject to review in a c c o r d a n c e with Rule 29. Recommendations for informa l sanctions shall be filed with the commission and are n o t subject to review by the supreme court. In either c a s e , a copy of the recommendations and notice of the f ilin g shall be promptly served upon the judge and the c o m p lain a n t. RULE 29. SUPREM E COURT REVIEW ( a ) Finality of recom m e n d a t i o n s . A recomm e n d a t io n of censure shall be final unless the judge or d i s c ip l in a r y counsel files a petition to modify or reject t h e recommendation as provided in paragraph (c). All o t h e r recommendations for formal sanctions are subject t o review by the supreme court, either by petition or on t h e court's own motion. (b) Expedited consideration. Either the judge or d i s c ip l in a r y counsel may petition the supreme court at a n y time for expedited consideration of a matter.

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( c ) Petition to modify or reject recomm e n d a t i o n s . Within fifteen days after the filing of the final r e c o m m e n d a t io n s , the judge may file in the supreme c o u r t a petition to m o d if y or reject the recommenda t io n s , setting forth the grounds. A request for oral a r g u m e n t m a y also be filed at this time. A copy of the p e t it io n shall be served on disciplinary counsel. Within f if t e e n days of service of the petition, disciplinary couns e l may file and serve such response as he or she deems a p p r o p r ia t e . No reply to the response is permitted u n le s s requested by the court. All factual argument in t h e s e pleadings shall be limited to the record, except as t o judicially noticeable material. ( d ) Review on court's own m o t i o n . If the judge d o e s not file a timely petition to modify or reject r e c o m m e n d a t io n s , and the commission has recomm e n d e d suspension, removal, or retirement from office, w it h in thirty days after the expiration of the time to file a petition to modify or reject recommendations the court m a y decline review, or it may grant review on its own m o t io n . If the court grants review, the record shall be t r a n s m it t e d to the clerk. ( e ) Subm i s s i o n to the court. After the filing of a p e t it io n to modify or reject final recommendations and t h e response thereto, or on the court's own motion, the r e c o r d shall be transmitted to the clerk of the supreme c o u r t . If no timely request for oral argument has been m a d e , the matter shall be deemed submitted to the s u p r e m e court for its decision. ( f ) Proposed form of order for interim susp e n s i o n . In the event suspension, removal, or retirem e n t from office is recommended, a proposed form of o r d e r shall be filed with the recommendations that gives n o t ic e to the judge of the interim suspension required by a r t ic le 6.1,   2 of the constitution. After the order has b e e n signed by the chief justice, the executive director s h a ll promptly notify the presiding judge of the court in w h ic h the judge sits of the issuance of the order. ( g ) Entry of judgm e n t . If the judge does not file a timely petition to modify or reject recommendations, t h e executive director shall file in the supreme court a f o r m of judgm e n t for signature by the clerk of the court. I n the case of a recommendation of censure, the clerk s h a ll expeditiously sign and enter the judgment. In the c a s e of a recommendation of suspension, removal, or r e t ir e m e n t from office, the clerk shall expeditiously sign a n d enter the judgment after entry of the court's order d e c lin in g review pursuant to paragraph (d) of this rule. ( h ) Final determ i n a t i o n . The judgment of the s u p r e m e court dismissing the case or imposing a sanct io n shall be regarded as final and shall be effective on t h e date the judgment or opinion is filed with the clerk o f the court.

S E C T I O N E. S P E C I A L PROCEEDINGS R U L E 30. DISCIPLINE BY CONSENT ( a ) Agreem e n t . At any time prior to the final disp o sit io n of a proceeding, a judge may stipulate to any or a ll of the allegations or charges in exchange for an a g r e e d upon sanction. The agreement shall set forth all m a t e r ia l facts relating to the proceeding and the conduct o f the judge and shall be signed by the judge and d i s c i p l in a r y counsel. (b) Approval. The agreement shall be submitted f o r approval to the hearing panel or hearing officer, as a p p r o p r ia t e . If the agreement is accepted, an order shall b e entered approving the agreement, subject to review a s appropriate under these rules. If the agreement is r e je c t e d , it shall be deemed withdrawn and cannot be u s e d by or against the judge in any proceeding. (c) M o d if i c a t i o n . If the hearing panel or hearing o f f ic e r wishes to modify the agreement, the parties shall b e notified in writing of the nature and substance of the p r o p o s e d modifications. Within fifteen days or such r e a s o n a b le time as the hearing panel or hearing officer o r d e r s , the parties may approve or reject the proposed m o d if ic a t io n s . If any party does not accept the proposed m o d if ic a t io n s , the agreement shall be withdrawn and c a n n o t be used by or against the judge in any p r o c e e d in g . RULE 31. INTERIM REASSIGNM E N T A t any time after the institution of a preliminary in v e s t ig a t io n , when it appears that a judge poses a s u b s t a n t ia l threat of serious harm to the public or the a d m in i s t r a t io n of justice, the investigative panel may r e c o m m e n d to the chief justice of the supreme court that t h e judge be reassigned pending a final determination of a n y proceeding under these rules. The panel's r e c o m m e n d a t io n shall be filed with the clerk of the c o u r t and served on the judge, who may file objections t o the recommendation. The chief justice's ruling on the r e c o m m e n d a t io n shall continue in effect until final d is p o s it io n of all pending proceedings against the judge, u n le ss earlier vacated or modified. R U L E 32. MEDICAL EXAM I N A T I O N ( a ) Authority to order. After the institution of a p r e lim in a r y investigation and before the filing of a n o t ic e of formal proceedings, an investigative panel may o r d e r a judge, at the commission's expense, to submit to a physical or mental examination by one or more li c e n s e d physicians or psychologists appointed by the in v e s t ig a t iv e panel to conduct such an examination. ( b ) Use of exam i n a t i o n results. The medical p r a c t it io n e r s shall examine the judge to determine the ju d g e 's m e n t a l or physical condition to hold judicial

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o f f ic e . The examination may include any laboratory and o t h e r tests deemed necessary by the examining medical p r a c t i t io n e r s . The results of the examinations and tests s h a ll be reported in writing to the investigative panel a n d copies shall be furnished to the judge, the judge's c o u n s e l, or guardian ad litem. These medical reports m a y be reviewed by an investigative panel in connection w it h a finding of reasonable cause or may be received in e v i d e n c e in any subsequent hearing. (c) Failure or refusal to be examined. The f a ilu r e or refusal of a judge to submit to a medical e x a m in a t io n ordered by the investigative panel shall p r e c lu d e the judge from presenting evidence of the r e s u lt s of medical examinations done on the judge's b e h a lf . An investigative or hearing panel may consider s u c h a refusal or failure as evidence that the judge has a n incapacity that seriously interferes with the p e r f o r m a n c e of judicial duties and is or is likely to b e c o m e permanent. R U L E 33. INCAPACITY PROCEEDINGS ( a ) Initiation of proceeding. An incapacity p r o c e e d in g may be initiated by a complaint, by a claim o f inability to defend in a disciplinary proceeding, or by a n order of involuntary commitment or adjudication of in c o m p e te n c y . (b) Conduct of proceeding. All incapacity proc e e d in g s shall be conducted in accordance with the p r o c e d u r e s for disciplinary proceedings, except that the p u r p o s e of the incapacity proceedings shall be to d e t e r m in e whether the judge suffers from an incapacity t h a t is permanent or likely to become permanent and t h a t seriously interferes w i t h the judge's ability to p e r f o r m judicial duties. If the commission concludes that t h e judge suffers from an incapacity, it shall recommend r e tir e m e n t of the judge. Review of the recommendation a n d entry of judgment shall be pursuant to Rule 29. R a is in g a mental or physical condition as a defense to or in mitigation of formal charges constitutes a waiver of m e d ic a l privilege as to the particular condition at issue. ( c ) Appointm e n t of guardian ad litem . If it a p p e a r s to the com m is s io n at any time during the p r o c e e d in g s that the judge is not competent to defend h im s e lf or herself, the commission may appoint a guardia n ad litem for the judge. The guardian ad litem may e x e r c is e any right and make any defense for the judge w it h the same force and effect as if exercised or made by t h e judge, if competent. W h e n e v e r these rules provide f o r serving notice to a judge, the notice shall be served t o the guardian ad litem.

R U L E 34. COMPLIANCE PROCEEDINGS ( a ) Compliance procedure. Whenever the commission o r supreme court enters an order of discipline that in c lu d e s terms and conditions prescribing behavior or r e q u ir in g a corrective course of action by the judge, c o m m is s io n staff shall investigate, evaluate, and report o n compliance with the order. If the com m i s s io n has r e a s o n to believe that further disciplinary action is a p p r o p r ia t e , the commission may reopen any suspended m a t t e r , hold additional hearings, or initiate further proc e e d i n g s consistent with these rules. (b) Certificate of com p l i a n c e . Upon completion o f a course of action prescribed by the commission, the ju d g e may submit an application for a certificate of c o m p lia n c e and such other information in support of the a p p lic a t io n as the judge deems appropriate. The c o m m is s io n shall consider the application and s u p p o r t in g material and may find that the judge has c o m p lie d with or satisfied the terms and conditions of t h e disciplinary order. If the commission finds the a p p lic a t io n persuasive, it may dispense with further c o m p lia n c e proceedings and may issue a certificate or o r d e r certifying the judge's compliance with the d i s c ip l in a r y order. Alternatively, the commission may d e n y the application and may recommend to the s u p r e m e court, with or without an additional hearing, f u r t h e r disciplinary action consistent with these rules. ( c ) Other pow e r s . This rule does not limit any o t h e r power to enforce an order of the comm i s s io n or d e c i s io n of the supreme court.

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SU M M ARIE S OF MAJOR CASES
Judicial discipline cases decided by the Arizona Supreme Court provide guidelines for interpreting the Code of J u d ic ia l Conduct. The summaries contained in this section include legal citations showing where to find the full text o f the court's opinions. Summaries of unpublished orders, the originals of which are kept on file by the clerk of the c o u r t , include case numbers and filing dates, but no legal citations. Opinions are listed chronologically. The commission recommended that a justice of the p e a c e be removed from office for failing to properly disp o s e of several hundred traffic cases over a six-year perio d and for engaging in an angry confrontation with an a t t o r n e y seeking to have his case heard. After the comm is s io n filed its recommendations with the supreme c o u r t and before the court could rule on the case, the ju d g e resigned and entered into a stipulated agreement t h a t enjoined him from seeking election or appointment a s a judge in Arizona. In re Avalos, JUD-2 (June 26, 1980). A justice of the peace abused his position when he s e n t e n c e d defendants in a case in which he was the c o m p la in in g party; ordered the arrest of a court reporter a n d had her transported to the court where he ordered h e r to function as the court reporter in a criminal proc e e d in g ; issued an "investigative subpoena" for a friend t o appear in court without making an official record or a llo w in g the prosecutor, bailiff or court clerk to be pres e n t ; set bail in a case, without conducting or offering a h e a r in g , based upon the judge's personal acquaintance w it h the defendants; and used a red light in his personal v e h ic le to stop a car involved in an accident, effectuated t h e arrest of the driver, and subsequently conducted the d e f e n d a n t 's preliminary hearing. The judge resigned just b e f o r e the commission filed its recommendations with t h e supreme court. In re Soto, JUD-3 (September 26, 1980). A justice of the peace was publicly censured for summ a r ily dismissing the traffic citations of constituents and f o r filing civil actions on his own behalf in his court. The s u p r e m e court found that the judge's practice of favoring c o n s t it u e n t s over others was improper. The court also c o n c lu d e d that a justice of the peace with outside busin e s s interests had to make a choice either to leave the b e n c h , in which case he would have the same advantage a s other residents in the community, or divest himself of h i s business interests, thereby insuring the independence a n d integrity of the judiciary. In re Haddad, 128 Ariz. 4 9 0 , 627 P.2d 221 (1981). A justice of the peace was censured by the supreme c o u r t for delaying decisions in several cases past the s ix t y -d a y statutory period. The judge signed salary affid a v it s stating that he had no matters under advisement in excess of the sixty-day period. The court held that t h e unnecessary and unwarranted delay in the rende r in g of decisions violated the state constitution which p r o v id e s for the removal or censure of a judge for w ilf u l and persistent failure to perform judicial duties. A lt h o u g h the judge resigned before the decision was e n t e r e d , the court still exercised jurisdiction by r e a s o n in g that the potential existed for the judge to run f o r office again. In re Weeks, 134 Ariz. 521, 658 P.2d 1 7 4 (1983). A justice of the peace was publicly censured for g iv in g a false report to the commission and for q u e s t io n in g a potential commission witness about his p r o p o s e d testimony. In re Scott, JUD-7 ( November 6 , 1984). T h e supreme court censured a superior court judge f o r entering ex parte orders favoring her court clerk in a matter assigned to another judge. The judge also m a d e inappropriate remarks during the sentencing of a criminal defendant and then allowed her court r e p o r t e r to delete the remarks from the record on a p p e a l . In re Hendrix, 145 Ariz. 345, 701 P.2d 841 (1985). T h e supreme court censured a justice of the peace for c o n d u c t that occurred prior to his holding judicial o f f ic e . The court found that the judge's suspension from t h e practice of law for converting the funds of a client a n d filing a false trust account questionnaire, as well as t e s t if y in g untruthfully before the commission, merited p u b lic censure. The court determined that it had jurisd ic t i o n over this prejudicial conduct because the acts w e r e such as to bring the judicial office into disrepute. I n re Rubi, 148 Ariz. 167, 713 P.2d 1225 (1985). A justice of the peace was enjoined by the supreme c o u r t from seeking election or appointment as a judge in Arizona for improperly influencing the police, failing t o recuse himself, providing false testimony, and a b u s i n g alcohol. The judge resigned from office before t h e commission made a formal recommendation to d i s c i p l in e the judge. In re Haines, JQ-86-0001 ( M a r c h 18, 1986).

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A justice of the peace was publicly censured by the s u p r e m e court for falsely certifying that nomination petit io n s were signed in his presence. In re Goodm a n , JQ8 6 - 0 0 0 2 (April 8, 1986). T h e commission recommended that a justice of the p e a c e be removed from office for improperly involving h i m s e lf in a recall election and for simultaneously servin g as justice of the peace and a member of the town c o u n c il. After the commission filed its recommendation w it h the supreme court and before the court could rule o n the case, the judge lost reelection. Even so, the court d e c id e d that it had jurisdiction based on the W e e k s case a n d publicly censured the judge for his conduct. In re W a l k e r , 153 Ariz. 307, 736 P.2d 790 (1987). A justice of the peace was arrested for driving under t h e influence of alcohol. The supreme court censured t h e judge after concluding that the DUI arrest constitute d conduct prejudicial to the administration. In re B i g g i n s , 153 Ariz. 439, 737 P.2d 1077 (1987). T h e commission determined that a justice of the peace c o m m it t e d willful misconduct in office when he made s e x u a l ly suggestive remarks to a female litigant who was a p p ly in g for a protective order in his court. The judge h u g g e d the young woman and asked her to have a drink w it h him. This occurred on two different occasions, one o f which was tape-recorded by the woman. The supreme c o u r t censured the judge for willful misconduct that b r o u g h t the judicial office into disrepute. The judge later r e sig n e d and agreed not to seek appointment or election t o judicial office again when new allegations involving s e x u a l harassment came to light. In re Ackel, 155 Ariz. 3 4 , 745 P.2d 92 (1987) and CV-88-0002-SA (January 2 6 , 1988). A justice of the peace voluntarily stipulated to a public c e n s u r e without admitting guilt, for conduct relating to e x parte contacts, failure to perform duties, and improp e r judicial demeanor. In re Weisenburger, JQ-880 0 0 1 (January 20, 1988). A justice of the peace voluntarily stipulated to a public c e n s u r e for sentencing first-time DUI defendants who w e r e not represented by counsel to ten days in jail cont r a r y to law, and for not complying with statutory req u i r e m e n t s relating to search warrants. In re Garcia, J Q -8 8 - 0 0 0 3 (October 14, 1988). A superior court judge was arrested and convicted in T e x a s for the possession of marijuana, a possible felony if the judge had been arrested and tried in Arizona on t h e same charge. Before the trial, the commission rec o m m e n d e d to the supreme court that the judge be sus p e n d e d in office pending the resolution of the criminal p r o c e e d in g s in Texas. The supreme court, which de