First Adopted: January 29, 1998
Most Recently Effective: January 01, 2012
Rule 2 | Rules Governing The Missouri Bar and the Judiciary | Code of Judicial Conduct
2 | Application
The application section establishes when the various rules apply to a judge or judicial candidate.
I. Applicability of This Code
(A) All provisions of this code apply to all full-time judges, commissioners, and masters. Parts II and III of this section identify the specific provisions of this code that apply to senior judges and other part-time judges, respectively. Canon 4 applies to judicial candidates.
(B) A judge, within the meaning of this code, is anyone who is authorized to perform judicial functions within the judicial branch.
Comment
[1] The rules in this code have been formulated to address the ethical obligations of any person who serves a judicial function and are premised upon the supposition that a uniform system of ethical principles should apply to all those authorized to perform judicial functions.
[2] In recent years many jurisdictions have created what are often called “problem solving” courts, in which judges are authorized by court rules to act in nontraditional ways. For example, judges presiding in drug courts and monitoring the progress of participants in those courts’ programs may be authorized and even encouraged to communicate directly with social workers, probation officers, and others outside the context of their usual judicial role as independent decision makers on issues of fact and law.
II. Senior Judge
A retired judge who has an application on file with the clerk of the Supreme Court or who is otherwise appointed by the Supreme Court to serve as a senior judge pursuant to article V, section 26.3 of the Missouri Constitution, shall comply with all provisions of this code except Rule 2-3.9 (Service as Arbitrator or Mediator) so long as the judge is in full compliance with Rule 11.09 (Senior Judge Limitations).
III. Part-Time Municipal Judge
A judge, other than a Senior Judge, who serves on a part-time basis as a municipal judge by election or appointment, shall comply with all provisions of this code:
(A) except:
(2) Rule 2-2.10 (Judicial Statements on Pending and Impending Cases), while not serving as a judge;
(B) but shall not:
(1) practice law in the municipal division of the circuit court on which the judge serves;
(2) act as a lawyer in any matter wherein any underlying facts occurred within the geographic boundaries of the political subdivision for which the judge serves and which matter could be brought by a proceeding in the municipal division of the circuit court in which the judge serves; or,
(3) act as a lawyer in a proceeding in which the judge has served as a judge or in any other proceeding related thereto.
IV. Time for Compliance
A person to whom this code becomes applicable shall comply immediately with its provisions, except that those judges to whom Rules 2-3.8 (Appointments to Fiduciary Positions) and 2-3.11 (Financial, Business, or Remunerative Activities) apply shall comply with those rules as soon as reasonably possible, but in no event later than one year after the code becomes applicable to the judge.
Comment
[1] If serving as a fiduciary when selected as judge, a new judge may, notwithstanding the prohibitions in Rule 2-3.8, continue to serve as fiduciary, but only for that period of time necessary to avoid serious adverse consequences to the beneficiaries of the fiduciary relationship and in no event longer than one year. Similarly, if engaged at the time of judicial selection in a business activity, a new judge may, notwithstanding the prohibitions in Rule 2-3.11, continue in that activity for a reasonable period but in no event longer than one year.
(Adopted January 29, 1998, effective January 1, 1999. Amended July 20, 2011, effective January 1, 2012.)
First Adopted: January 29, 1998
Most Recently Effective: January 01, 2012
Rule 2 | Rules Governing The Missouri Bar and the Judiciary | Code of Judicial Conduct
2 | Preamble
[1] An independent, fair and impartial judiciary is indispensable to our system of justice. The United States legal system is based upon the principle that an independent, impartial, and competent judiciary, composed of men and women of integrity, will interpret and apply the law that governs our society. Thus, the judiciary plays a central role in preserving the principles of justice and the rule of law. Inherent in all the rules contained in this code are the precepts that judges, individually and collectively, must respect and honor the judicial office as a public trust and strive to maintain and enhance confidence in the legal system.
[2] Judges should maintain the dignity of judicial office and avoid both impropriety and the appearance of impropriety. They should aspire to conduct that ensures the greatest possible public confidence in their independence, impartiality, integrity, and competence.
[3] The Code of Judicial Conduct establishes standards for ethical conduct of judges and judicial candidates. It is not intended as an exhaustive guide for the conduct of judges and judicial candidates, who are governed in their judicial and personal conduct by general ethical standards as well as by the code. The code is intended, however, to provide guidance and assist judges in maintaining the highest standards of judicial and personal conduct, and to provide a basis for regulating their conduct through disciplinary agencies.
(Adopted January 29, 1998, effective January 1, 1999. Amended July 20, 2011, effective January 1, 2012.)
First Adopted: January 29, 1998
Most Recently Effective: January 01, 2012
Rule 2 | Rules Governing The Missouri Bar and the Judiciary | Code of Judicial Conduct
2 | Scope
[1] The Code of Judicial Conduct consists of four canons, numbered rules under each canon, and comments that generally follow and explain each rule. Scope and Terminology sections provide additional guidance in interpreting and applying the code. An Application section establishes when the various rules apply to a judge or judicial candidate.
[2] The canons state overarching principles of judicial ethics that all judges must observe. Although a judge may be disciplined only for violating a rule, the canons provide important guidance in interpreting the rules. Where a rule contains a permissive term, such as “may” or “should,” the conduct being addressed is committed to the personal and professional discretion of the judge or candidate in question, and no disciplinary action should be taken for action or inaction within the bounds of such discretion.
[3] The comments that accompany the rules serve two functions. First, they provide guidance regarding the purpose, meaning, and proper application of the rules. They contain explanatory material and, in some instances, provide examples of permitted or prohibited conduct. Comments neither add to nor subtract from the binding obligations set forth in the rules. Therefore, when a comment contains the term “must,” it does not mean that the comment itself is binding or enforceable; it signifies that the rule in question, properly understood, is obligatory as to the conduct at issue.
[4] Second, the comments identify aspirational goals for judges. To implement fully the principles of this code as articulated in the canons, judges should strive to exceed the standards of conduct established by the rules, holding themselves to the highest ethical standards and seeking to achieve those aspirational goals, thereby enhancing the dignity of the judicial office.
[5] The rules of the Code of Judicial Conduct are rules of reason that should be applied consistent with constitutional requirements, statutes, other court rules, and decisional law, and with due regard for all relevant circumstances. The rules should not be interpreted to impinge upon the essential independence of judges in making judicial decisions.
[6] Although the black letter of the rules is binding and enforceable, it is not contemplated that every transgression will result in the imposition of discipline. Whether discipline should be imposed should be determined through a reasonable and reasoned application of the rules, and should depend upon factors such as the seriousness of the transgression, the facts and circumstances that existed at the time of the transgression, the extent of any pattern of improper activity, whether there have been previous violations, and the effect of the improper activity upon the judicial system or others.
[7] The code is not designed or intended as a basis for civil or criminal liability. Neither is it intended to be the basis for litigants to seek collateral remedies against each other or to obtain tactical advantages in proceedings before a court.
(Adopted January 29, 1998, effective January 1, 1999. Amended July 20, 2011, effective January 1, 2012.)
First Adopted: January 29, 1998
Most Recently Effective: January 01, 2012
Rule 2 | Rules Governing The Missouri Bar and the Judiciary | Code of Judicial Conduct
2 | Terminology
“Appropriate disciplinary authority” means the authority having responsibility for initiation of disciplinary process in connection with the violation to be reported. See Rules 2-2.14 and 2-2.15.
“Contribution” means both financial and in-kind contributions, such as goods, professional or volunteer services, advertising, and other types of assistance, that, if obtained by the recipient otherwise, would require a financial expenditure. See Rules 2-3.13, 2-4.1, and 2-4.2.
“De minimis,” in the context of interests pertaining to recusal of a judge, means an insignificant interest that could not raise a reasonable question regarding the judge’s impartiality. See Rules 2-2.11 and 2-3.8.
“Economic interest” means ownership of more than a de minimis legal or equitable interest. Except for situations in which the judge participates in the management of such a legal or equitable interest, or the interest could be substantially affected by the outcome of a proceeding before a judge, it does not include:
(1) an interest in the individual holdings within a mutual or common investment fund;
(2) an interest in securities held by an educational, religious, charitable, fraternal, or civic organization in which the judge or the judge’s spouse, parent, or child serves as a director, an officer, an advisor, or other participant;
(3) a deposit in a financial institution or deposits or proprietary interests the judge may maintain as a member of a mutual savings association or credit union, or similar proprietary interests;
(4) an interest in the issuer of government securities held by the judge; or
(5) ownership or other financial interest in small publicly traded corporations, unless a proceeding pending or impending before the judge could substantially affect the value of the shares. See Rules 2-1.3, 2-2.11, 2-3.2 and 2-3.8.
“Fiduciary” includes relationships such as personal representative, executor, administrator, trustee, attorney-in-fact under power of attorney, conservator, or guardian. See Rules 2-2.11, 2-3.2 and 2-3.8.
“Impartial,” “impartiality,” and “impartially” mean absence of bias or prejudice in favor of, or against, particular parties or classes of parties, as well as maintenance of an open mind in considering issues that may come before a judge. See Canons 1, 2, and 4, and Rules 2-1.2, 2-2.2, 2-2.4, 2-2.6, 2-2.7, 2-2.10, 2-2.11, 2-2.13, 2-3.1, 2-3.2, 2-3.4, 2-3.6, 2-3.12, 2-3.13, and 2-4.2.
“Impending matter” is a matter that is imminent or expected to occur in the near future. See Rules 2-2.9, 2-2.10, 2-3.2, and 2-3.13.
“Impropriety” includes conduct that violates the law, court rules, or provisions of this code, and conduct that undermines a judge’s independence, integrity, or impartiality. See Canon 1 and Rules 2-1.2, 2-2.7, and 2-3.13.
“Independence” means a judge’s freedom from influence or controls other than those established by law. See Canons 1 and 4, and Rules 2-1.2, 2-2.4, 2-2.7, 2-2.10, 2-3.1, 2-3.4, 2-3.6, 2-3.12, and 2-3.13.
“Integrity” means probity, fairness, honesty, uprightness, and soundness of character. See Canons 1 and 4, and Rules 2-1.2, 2-2.7, 2-2.10, 2-2.16, 2-3.1, 2-3.6, 2-3.12, and 2-3.13.
“Judicial candidate” means any person, including a sitting judge, who is seeking selection for or retention in judicial office by election or appointment. A person becomes a candidate for judicial office as soon as he or she makes a public announcement of candidacy, declares or files as a candidate with the election or appointment authority, authorizes or, where permitted, engages in solicitation or acceptance of contributions or support, or is nominated for election or appointment to office. See Canon 4 and Rules 2-2.11, 2-4.1, and 2-4.2.
“Knowingly,” “knowledge,” “known,” and “knows” mean actual knowledge of the fact in question. A person’s knowledge may be inferred from circumstances. See Rules 2-1.3, 2-2.5, 2-2.11, 2-2.15, 2-2.16, 2-3.5, 2-3.6, and 2-4.2.
“Law” encompasses court rules as well as ordinances, administrative regulations, statutes, constitutional provisions, and decisional law. See Rules 2-1.1, 2-1.2, 2-1.3, 2-2.1, 2-2.2, 2-2.4, 2-2.6, 2-2.7, 2-2.8, 2-2.9, 2-2.13, 2-3.1, 2-3.2, 2-3.4, 2-3.6, 2-3.7, 2-3.9, 2-3.10, 2-3.12, 2-3.13, 2-3.14, 2-4.1, and 2-4.2.
“Member of the candidate’s family” means a spouse, child, grandchild, parent, grandparent, or other relative or person with whom the candidate maintains a close familial or intimate relationship. See Rule 2-4.2.
“Member of the judge’s family” means a spouse, child, grandchild, parent, grandparent, or other relative or person with whom the judge maintains a close familial or intimate relationship. See Rules 2-2.11, 2-3.5, 2-3.8, 2-3.10, and 2-3.11.
“Member of a judge’s family residing in the judge’s household” means any relative of a judge by blood or marriage, or a person treated by a judge as a member of the judge’s family, who resides in the judge’s household. See Rules 2-2.11 and 2-3.13.
“Nonpublic information” means information that is not available to the public. Nonpublic information may include, but is not limited to, information that is sealed by statute or court order or impounded or communicated in camera, and information offered in grand jury proceedings, presentencing reports, dependency cases, or psychiatric reports. See Rule 2-3.5.
“Pending matter” is a matter that has commenced. A matter continues to be pending through any appellate process until final disposition. See Rules 2-2.9, 2-2.10, 2-2.11, 2-3.2, and 2-3.13.
“Personally solicit” means a direct request made by a judge or a judicial candidate for financial support or in-kind services, whether made in person, by letter, telephone, or any other means of communication. See Rules 2-3.7 and 2-4.2.
“Political campaign” means election contests between and among candidates for office. See Rule 2-4.1.
“Public election” includes primary and general elections, partisan elections, nonpartisan elections, and retention elections. See Rule 2-4.2.
“Third degree of relationship” includes the following persons: great-grandparent, grandparent, parent, uncle, aunt, brother, sister, child, grandchild, great-grandchild, nephew, and niece. See Rule 2-2.11.
(Adopted January 29, 1998, effective January 1, 1999. Amended July 20, 2011, effective January 1, 2012.)