EFFECTIVE JANUARY 28, 1981
Rule 10. Code of Judicial Conduct.
Our legal system is based on the principle that an independent, fair and competent judiciary will interpret and apply the laws that govern us. The role of the judiciary is central to American concepts of justice and the rule of law. Intrinsic to all sections of this Code are the precepts that judges, individually and collectively, must respect and honor the judicial office as a public trust and strive to enhance and maintain confidence in our legal system. The judge is an arbiter of facts and law for the resolution of disputes and a highly visible symbol of government under the rule of law.
The Code of Judicial Conduct is intended to establish standards for ethical conduct of judges. It consists of broad statements called Canons, specific rules set forth in Sections under each Canon, a Terminology Section, an Application Section, and Commentary. The text of the Canons and the Sections, including the Terminology and Application Sections, is authoritative. The Commentary, by explanation and example, provides guidance with respect to the purpose and meaning of the Canons and Sections. The Commentary is not intended as a statement of additional rules.
When the text uses “shall”or “shall not,”it is intended to impose binding obligations—the violation of which can result in disciplinary action. When “should”or “should not”is used, the text is intended as hortatory and as a statement of what is or is not appropriate conduct, but not as a binding rule under which a judge may be disciplined. When “may”is used, it denotes permissible discretion or, depending on the context, it refers to action that is not covered by specific proscriptions.
The Canons and Sections are rules of reason. They should be applied consistent with constitutional requirements, statutes, other court rules, decisional law, and in the context of all relevant circumstances. The Code is to be construed so as not to impinge on the essential independence of judges in making judicial decisions.
The Code is designed to provide guidance to judges and candidates for judicial office and to provide a structure for regulating conduct through disciplinary agencies. It is not designed or intended as a basis for civil liability or criminal prosecution. Furthermore, the purpose of the Code would be subverted if the Code were invoked by lawyers for mere tactical advantage in a proceeding.
The text of the Canons and Sections is intended to govern conduct of judges and to be binding upon them. It is not intended, however, that every transgression will result in disciplinary action. Whether disciplinary action is appropriate, and the degree of discipline to be imposed, should be determined through a reasonable and reasoned application of the text and should depend on such factors as the seriousness of the transgression, whether there is a pattern of improper activity, and the effect of the improper activity on others or on the judicial system. See ABA Standards Relating to Judicial Discipline and Disability Retirement.
The Code of Judicial Conduct is not intended as an exhaustive guide for the conduct of judges. They should also be governed in their judicial and personal conduct by general ethical standards. The Code is intended, however, to state basic standards which should govern the conduct of all judges and to provide guidance to assist judges in establishing and maintaining high standards of judicial and personal conduct.
Terms explained below are noted with an asterisk (*) in the Sections where they appear. In addition, the Sections where terms appear are referred to after the explanation of each term below.
“Appropriate authority”denotes the authority with responsibility for initiation of disciplinary process with respect to the violation to be reported. See Sections 3D(1) and 3D(2).
“Candidate”denotes a person 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, or authorizes solicitation or acceptance of contributions or support. The term “candidate”has the same meaning when applied to a judge seeking election or appointment to non-judicial office. See Preamble and Sections 5A, 5B, 5C, and 5E.
“Court personnel”does not include the lawyers in a proceeding before a judge. See Sections 3B(7)(c) and 3B(9).
“De minimis”denotes an insignificant interest that could not raise reasonable question as to a judge's impartiality. See Sections 3E(1)(c) and 3E(1)(d).
“Economic interest”denotes ownership of a more than de minimis legal or equitable interest, or a relationship as officer, director, advisor, or other active participant in the affairs of a party, except that:
(i) ownership of an interest in a mutual or common investment fund that holds securities is not an economic interest in such securities unless the judge participates in the management of the fund or a proceeding pending or impending before the judge could substantially affect the value of the interest;
(ii) service by a judge as an officer, director, advisor, or other active participant in an educational, religious, charitable, fraternal, or civic organization, or service by a judge's spouse, parent, or child as an officer, director, advisor, or other active participant in any organization does not create an economic interest in securities held by that organization;
(iii) a deposit in a financial institution, the proprietary interest of a policy holder in a mutual insurance company, of a depositor in a mutual savings association, or of a member in a credit union, or a similar proprietary interest, is not an economic interest in the organization unless a proceeding pending or impending before the judge could substantially affect the value of the interest;
(iv) ownership of government securities is not an
economic interest in the issuer unless a proceeding pending or impending before
the judge could substantially affect the value of the securities.
See
Sections 3E(1)(c) and 3E(2).
“Election.”This term includes primary and general elections; it includes partisan elections, nonpartisan elections, and retention elections. See Section 5C.
“Fiduciary”includes such relationships as executor, administrator, trustee, and guardian. See Sections 3E(2) and 4E.
“Knowingly,”“knowledge,”“known,”or “knows”denotes actual knowledge of the fact in question. A person's knowledge may be inferred from circumstances. See Sections 3D, 3E(1), and 5A(3).
“Law”denotes court rules as well as statutes, constitutional provisions, and decisional law. See Sections 2A, 3A, 3B(2), 3B(7), 4B, 4C, 4D(5), 4F, 4I, 5A(2), 5A(3), 5B(2), 5C(l), and 5C(3).
“Member of the candidate's family”denotes a spouse, child, grandchild, parent, grandparent, or other relative or person with whom the candidate maintains a close familial relationship. See Section 5A(3)(a).
“Member of the judge's family”denotes a spouse, child, grandchild, parent, grandparent, or other relative or person with whom the judge maintains a close familial relationship. See Sections 4D(3), 4E and 4G.
“Member of the judge's family residing in the judge's household”denotes any relative of a judge by blood or marriage, or a person treated by a judge as a member of the judge's family, who resides in the judge's household. See Sections 3E(l) and 4D(5).
“Nonpublic information”denotes information that, by law, is not available to the public. Nonpublic information may include but is not limited to: information that is sealed by statute or court order, impounded or communicated in camera, or offered in grand jury proceedings, presentencing reports, dependency cases, or psychiatric reports. See Section 3B(11).
“Political organization”denotes a political party or other group, the principal purpose of which is to further the election or appointment of candidates to political office. See Sections 5A(1), 5B(2) and 5C(1).
“Require.”The rules prescribing that a judge “require”certain conduct of others are, like all of the rules in this Code, rules of reason. The use of the term “require”in that context means a judge is to exercise reasonable direction and control over the conduct of those persons subject to the judge's direction and control. See Sections 3B(3), 3B(4), 3B(6), 3B(9), and 3C(2).
“Third degree of relationship.”The following persons are relatives within the third degree of relationship: great-grandparent, grandparent, parent, uncle, aunt, brother, sister, child, grandchild, great-grandchild, nephew, or niece. See Section 3E(1)(d).
A. An independent and honorable judiciary is indispensable to justice in our society. A judge should participate in establishing, maintaining, and enforcing high standards of conduct and shall personally observe those standards so that the integrity and independence of the judiciary will be preserved. The provisions of this Code are to be construed and applied to further that objective.
Commentary. Deference to the judgments and rulings of courts depends upon public confidence in the integrity and independence of judges. The integrity and independence of judges depends in turn upon their acting without fear or favor. Although judges should be independent, they must comply with the law, including the provisions of this Code. Public confidence in the impartiality of the judiciary is maintained by the adherence of each judge to this responsibility. Conversely, violation of this Code diminishes public confidence in the judiciary and thereby does injury to the system of government under law.
A. A judge shall respect and comply with the law* and shall act at all times in a manner that promotes public confidence in the integrity and impartiality of the judiciary.
Commentary. —Public confidence in the judiciary is eroded by irresponsible or improper conduct by judges. A judge must avoid all impropriety and appearance of impropriety. A judge must expect to be the subject of constant public scrutiny. A judge must therefore accept restrictions on the judge's conduct that might be viewed as burdensome by the ordinary citizen and should do so freely and willingly.
The prohibition against behaving with impropriety or the appearance of impropriety applies to both the professional and personal conduct of a judge. Because it is not practicable to list all prohibited acts, the proscription is necessarily cast in general terms that extend to conduct by judges that is harmful although not specifically mentioned in the Code. Actual improprieties under this standard include violations of law, court rules, or other specific provisions of this Code. The test for appearance of impropriety is whether the conduct would create in reasonable minds a perception that the judge's ability to carry out judicial responsibilities with integrity, impartiality, and competence is impaired.
See also Commentary under Section 2C.
B. A judge shall not allow family, social, political, or other relationships to influence the judge's judicial conduct or judgment. A judge shall not lend the prestige of judicial office to advance the private interests of the judge or others; nor shall a judge convey or permit others to convey the impression that they are in a special position to influence the judge. A judge shall not testify voluntarily as a character witness.
Commentary. —Maintaining the prestige of judicial office is essential to a system of government in which the judiciary functions independently of the executive and legislative branches. Respect for the judicial office facilitates the orderly conduct of legitimate judicial functions. Judges should distinguish between proper and improper use of the prestige of office in all of their activities. For example, it would be improper for a judge to allude to his or her judgeship to gain a personal advantage such as deferential treatment when stopped by a police officer for a traffic offense. Similarly, judicial letterhead must not be used for conducting a judge's personal business.
A judge must avoid lending the prestige of judicial office for the advancement of the private interests of others. For example, a judge must not use the judge's judicial position to gain advantage in a civil suit involving a member of the judge's family. In contracts for publication of a judge's writings, a judge should retain control over the advertising to avoid exploitation of the judge's office. As to the acceptance of awards, see Section 4D(5)(a) and Commentary.
Although a judge should be sensitive to possible abuse of the prestige of office, a judge may, based on the judge's personal knowledge, serve as a reference or provide a letter of recommendation. However, a judge must not initiate the communication of information to a sentencing judge or a probation or corrections officer but may provide to such persons information or the record in response to a formal request.
Judges may participate in the process of judicial selection by cooperating with appointing authorities and screening committees seeking names for consideration, and by responding to official inquiries concerning a person being considered for a judgeship. See also Canon 5 regarding use of a judge's name in political activities.
A judge must not testify voluntarily as a character witness because to do so may lend the prestige of the judicial office in support of the party for whom the judge testifies. Moreover, when a judge testifies as a witness, a lawyer who regularly appears before the judge may be placed in the awkward position of cross-examining the judge. A judge may, however, testify when properly summoned. Except in unusual circumstances where the demands of justice require, a judge should discourage a party from requiring the judge to testify as a character witness.
C. A judge shall not hold membership in any organization that practices invidious discrimination on the basis of race, sex, religion, or national origin.
Commentary. —Membership of a judge in an organization that practices invidious discrimination gives rise to perceptions that the judge's impartiality is impaired. Section 2C refers to the current practices of the organization. Whether an organization practices invidious discrimination is often a complex question to which judges should be sensitive. The answer cannot be determined from a mere examination of an organization's current membership rolls but rather depends on how the organization selects members and other relevant factors, such as whether the organization is dedicated to the preservation of religious, ethnic, or cultural values of legitimate common interest to its members, or whether it is in fact and effect an intimate, purely private organization whose membership limitations could not be constitutionally prohibited. Absent such factors, an organization is generally said to discriminate invidiously if it arbitrarily excludes from membership on the basis of race, religion, sex, or national origin persons who would otherwise be admitted to membership. See New York State Club Ass'n, Inc. v. City of New York, 108 S. Ct. 2225, 101 L. Ed. 2d 1 (1988); Board of Directors of Rotary International v. Rotary Club of Duarte, 481 U.S. 537, 107 S. Ct. 1940, 95 L. Ed. 2d 474 (1987); Roberts v. United States Jaycees, 468 U.S. 609, 104 S. Ct. 3244, 82 L. Ed. 2d 462 (1984).
Although Section 2C relates only to membership in organizations that invidiously discriminate on the basis of race, sex, religion or national origin, a judge's membership in an organization that engages in any discriminatory membership practices prohibited by the law of the jurisdiction also violates Canon 2 and Section 2A and gives the appearance of impropriety. In addition, it would be a violation of Canon 2 and Section 2A for a judge to arrange a meeting at a club that the judge knows practices invidious discrimination on the basis of race, sex, religion, or national origin in its membership or other policies, or for the judge to use such a club regularly. Moreover, public manifestation by a judge of the judge's knowing approval of invidious discrimination on any basis gives the appearance of impropriety under Canon 2 and diminishes public confidence in the integrity and impartiality of the judiciary, in violation of Section 2A.
When a person who is a judge on the date this Code becomes effective learns that an organization to which the judge belongs engages in invidious discrimination that would preclude membership under Section 2C or under Canon 2 and Section 2A, the judge is permitted, in lieu of resigning, to make immediate efforts to have the organization discontinue its invidiously discriminatory practices, but is required to suspend participation in any other activities of the organization. If the organization fails to discontinue its invidiously discriminatory practices as promptly as possible (and in all events within a year of the judge's first learning of the practices), the judge is required to resign immediately from the organization.
A. Judicial Duties in General. The judicial duties of a judge take precedence over all the judge's other activities. The judge's judicial duties include all the duties of the judge's office prescribed by law*. In the performance of these duties, the following standards apply.
B. Adjudicative Responsibilities.
(1) A judge shall hear and decide matters assigned to the judge except those in which disqualification is required.
(2) A judge shall be faithful to the law* and maintain professional competence in it. A judge shall not be swayed by partisan interests, public clamor, or fear of criticism.
(3) A judge shall require* order and decorum in proceedings before the judge.
(4) A judge shall be patient, dignified, and courteous to litigants, jurors, witnesses, lawyers, and others with whom the judge deals in an official capacity, and shall require* similar conduct of lawyers, and of staff, court officials, and others subject to the judge's direction and control.
Commentary. —The duty to hear all proceedings fairly and with patience is not inconsistent with the duty to dispose promptly of the business of the court. Judges can be efficient and businesslike while being patient and deliberate.
(5) A judge shall perform judicial duties without bias or prejudice. A judge shall not, in the performance of judicial duties, by words or conduct manifest bias or prejudice, including but not limited to, bias or prejudice based upon race, sex, religion, national origin, disability, age, sexual orientation, or socioeconomic status, and shall not permit staff, court officials, and others subject to the judge's direction and control to do so.
Commentary. —A judge must refrain from speech, gestures, or other conduct that could reasonably be perceived as sexual harassment and must require the same standard of conduct of others subject to the judge's direction and control.
A judge must perform judicial duties impartially and fairly. A judge who manifests bias on any basis in a proceeding impairs the fairness of the proceeding and brings the judiciary into disrepute. Facial expression and body language, in addition to oral communication, can convey to parties or lawyers in the proceeding, jurors, the media, and others an appearance of judicial bias. A judge must be alert to avoid behavior that may be perceived as prejudicial.
(6) A judge shall require* lawyers in proceedings before the judge to refrain from manifesting, by words or conduct, bias or prejudice based upon race, sex, religion, national origin, disability, age, sexual orientation, or socioeconomic status, against parties, witnesses, counsel, or others. This Section 3B(6) does not preclude legitimate advocacy when race, sex, religion, national origin, disability, age, sexual orientation, or socioeconomic status, or other similar factors, are issues in the proceeding.
(7) A judge shall accord to every person who has a legal interest in a proceeding, or that person's lawyer, the right to be heard according to law*. A judge shall not initiate, permit, or consider ex parte communications, or consider other communications made to the judge outside the presence of the parties concerning a pending or impending proceeding except that:
(a) Where circumstances require, ex parte communications for scheduling, administrative purposes or emergencies that do not deal with substantive matters or issues on the merits are authorized; provided:
(i) the judge reasonably believes that no party will gain a procedural or tactical advantage as a result of the ex parte communication; and
(ii) the judge makes provision promptly to notify all other parties of the substance of the ex parte communication and allows an opportunity to respond.
(b) A judge may obtain the advice of a disinterested expert on the law* applicable to a proceeding before the judge if the judge gives notice to the parties of the person consulted and the substance of the advice, and affords the parties reasonable opportunity to respond.
(c) A judge may consult with court personnel* whose function is to aid the judge in carrying out the judge's adjudicative responsibilities or with other judges.
(d) A judge may, only with the prior consent of the parties, confer separately with the parties and their lawyers in an effort to mediate or settle matters pending before the judge.
(e) A judge may initiate or consider any ex parte communications when expressly authorized by law* to do so.
Commentary. —The proscription against communications concerning a proceeding includes communications from lawyers, law teachers, and other persons who are not participants in the proceeding, except to the limited extent permitted.
To the extent reasonably possible, all parties or their lawyers shall be included in communications with a judge.
Whenever presence of a party or notice to a party is required by Section 3B(7), it is the party's lawyer, or if the party is unrepresented, the party, who is to be present or to whom notice is to be given.
An appropriate and often desirable procedure for a court to obtain the advice of a disinterested expert on legal issues is to invite the expert to file a brief amicus curiae.
Certain ex parte communication is approved by Section 3B(7) to facilitate scheduling and other administrative purposes and to accommodate emergencies. In general, however, a judge must discourage ex parte communication and allow it only if all the criteria stated in Section 3B(7) are clearly met. A judge must disclose to all parties all ex parte communications described in Sections 3B(7)(a) and 3B(7)(b) regarding a proceeding pending or impending before the judge.
A judge must not independently investigate facts in a case and must consider only the evidence presented.
A judge may request that a party submit proposed findings of fact and conclusions of law, so long as the other parties are apprised of the request and are given an opportunity to respond to the proposed findings and conclusions.
A judge must make reasonable efforts, including the provision of appropriate supervision, to ensure that Section 3B(7) is not violated by law clerks or other personnel on the judge's staff. If communication between the trial judge and the appellate court with respect to a proceeding is permitted, a copy of any written communication or the substance of any oral communication should be provided to all parties.
(8) A judge shall dispose of all judicial matters promptly, efficiently, and fairly.
Commentary. —In disposing of matters promptly, efficiently, and fairly, a judge must demonstrate due regard for the rights of the parties to be heard and to have issues resolved without unnecessary cost or delay. Containing costs while preserving the fundamental rights of parties also protects the interests of witnesses and the general public. A judge should monitor and supervise cases so as to reduce or eliminate dilatory practices, avoidable delays, and unnecessary costs. A judge should encourage and seek to facilitate settlement, but parties should not feel coerced into surrendering the right to have their controversy resolved by the courts.
Prompt disposition of the court's business requires a judge to devote adequate time to judicial duties, to be punctual in attending court, expeditious in determining matters under submission, and to insist that court officials, litigants, and their lawyers cooperate with the judge to that end.
(9) A judge shall not, while a proceeding is pending or impending in any court, make any public comment that might reasonably be expected to affect its outcome or impair its fairness or make any nonpublic comment that might substantially interfere with a fair trial or hearing. The judge shall require* similar abstention on the part of court personnel* subject to the judge's direction and control. This Section does not prohibit judges from making public statements in the course of their official duties or from explaining for public information the procedures of the court. This Section does not apply to proceedings in which the judge is a litigant in a personal capacity.
Commentary. —The requirement that judges abstain from public comment regarding a pending or impending proceeding continues during any appellate process and until final disposition. This Section does not prohibit a judge from commenting on proceedings in which the judge is a litigant in a personal capacity, but in cases such as a writ of mandamus where the judge is a litigant in an official capacity, the judge must not comment publicly.
(10) A judge shall not commend or criticize jurors for their verdict other than in a court order or opinion in a proceeding, but may express appreciation to jurors for their service to the judicial system and the community.
Commentary. —Commending or criticizing jurors for their verdict may imply a judicial expectation in future cases and may impair a juror's ability to be fair and impartial in a subsequent case.
(11) A judge shall not disclose or use, for any purpose unrelated to judicial duties, nonpublic information* acquired in a judicial capacity.
C. Administrative Responsibilities.
(1) A judge shall diligently discharge the judge's administrative responsibilities without bias or prejudice and maintain professional competence in judicial administration, and should cooperate with other judges and court officials in the administration of court business.
(2) A judge shall require* staff, court officials and others subject to the judge's direction and control to observe the standards of fidelity and diligence that apply to the judge and to refrain from manifesting bias or prejudice in the performance of their official duties.
(3) A judge with supervisory authority for the judicial performance of other judges shall take reasonable measures to assure the prompt disposition of matters before them and the proper performance of their other judicial responsibilities.
(4) A judge shall not make unnecessary appointments. A judge shall exercise the power of appointment impartially and on the basis of merit. A judge shall avoid nepotism and favoritism. A judge shall not approve compensation of appointees beyond the fair value of services rendered.
Commentary. —Appointees of a judge include assigned counsel, officials such as referees, commissioners, special masters, receivers, and guardians and personnel such as clerks, secretaries, and bailiffs. Consent by the parties to an appointment or an award of compensation does not relieve the judge of the obligation prescribed by Section 3C(4). Reference is made to T.C.A. 8-31-101 et seq. as to the Uniform Nepotism Policy for state employees as well as the definition of a “relative.”
D. Disciplinary Responsibilities.
(1) A judge who receives information indicating a substantial likelihood that another judge has committed a violation of this Code should take appropriate action. A judge having knowledge* that another judge has committed a violation of this Code that raises a substantial question as to the other judge's fitness for office shall inform the appropriate authority*.
(2) A judge who receives information indicating a substantial likelihood that a lawyer has committed a violation of the Rules of Professional Conduct should take appropriate action. A judge having knowledge* that a lawyer has committed a violation of the Rules of Professional Conduct that raises a substantial question as to the lawyer's honesty, trustworthiness, or fitness as a lawyer in other respects shall inform the appropriate authority*. [Amended by order filed August 27, 2002.]
Commentary. —Appropriate action may include direct communication with the judge or lawyer who has committed the violation, other direct action if available, and reporting the violation to the appropriate authority or other agency or body.
E. Disqualification.
(1) A judge shall disqualify himself or herself in a proceeding in which the judge's impartiality might reasonably be questioned, including but not limited to instances where:
Commentary. —Under this rule, a judge is disqualified whenever the judge's impartiality might reasonably be questioned, regardless whether any of the specific rules in Section 3E(1) apply. For example, if a judge were in the process of negotiating for employment with a law firm, the judge would be disqualified from any matters in which that law firm appeared, unless the disqualification was waived by the parties after disclosure by the judge.
A judge should disclose on the record information that the judge believes the parties or their lawyers might consider relevant to the question of disqualification, even if the judge believes there is no real basis for disqualification.
By decisional law, the rule of necessity may override the rule of disqualification. For example, a judge might be required to participate in judicial review of a judicial salary statute, or might be the only judge available in a matter requiring immediate judicial action, such as a hearing on probable cause or a temporary restraining order. In the latter case, the judge must disclose on the record the basis for possible disqualification and use reasonable efforts to transfer the matter to another judge as soon as practicable.
(a) the judge has a personal bias or prejudice concerning a party or a party's lawyer, or personal knowledge* of disputed evidentiary facts concerning the proceeding;
(b) the judge served as a lawyer in the matter in controversy, or a lawyer with whom the judge previously practiced law served during such association as a lawyer concerning the matter, or the judge has been a material witness concerning it:
Commentary. —A lawyer in a government agency does not ordinarily have an association with other lawyers employed by that agency within the meaning of Section 3E(1)(b); a judge formerly employed by a government agency, however, should disqualify himself or herself in a proceeding if the judge's impartiality might reasonably be questioned because of such association.
(c) the judge knows* that he or she, individually or as a fiduciary, or the judge's spouse, parent, or child wherever residing, or any other member of the judge's family residing in the judge's household*, has an economic interest* in the subject matter in controversy or in a party to the proceeding or has any other more than de minimis* interest that could be substantially affected by the proceeding;
(d) the judge or the judge's spouse, or a person within the third degree of relationship* to either of them, or the spouse of such a person:
(i) is a party to the proceeding, or an officer, director or trustee of a party;
(ii) is acting as a lawyer in the proceeding;
(iii) is known* by the judge to have a more than de minimis* interest that could be substantially affected by the proceeding;
(iv) is to the judge's knowledge* likely to be a material witness in the proceeding.
Commentary. —The fact that a lawyer in a proceeding is affiliated with a law firm with which a relative of the judge is affiliated does not of itself disqualify the judge. Under appropriate circumstances, the fact that “the judge's impartiality might reasonably be questioned”under Section 3E(1), or that the relative is known by the judge to have an interest in the law firm that could be “substantially affected by the outcome of the proceeding”under Section 3E(1)(d)(iii) may require the judges disqualification. Judges are cautioned that T.C.A. § 17-2-101 requires disqualification, unless all parties consent, when the judge is related to a party within the sixth degree of relationship.
(2) A judge shall keep informed about the judge's personal, fiduciary*, and economic interests*, and make a reasonable effort to keep informed about the personal economic interests of the judge's spouse and minor children residing in the judge's household.
F. Remittal of Disqualification. —A judge disqualified by the terms of Section 3E may disclose on the record the basis of the judge's disqualification and may ask the parties and their lawyers to consider, out of the presence of the judge, whether to waive disqualification. If following disclosure of any basis for disqualification other than personal bias or prejudice concerning a party, the parties and lawyers, without participation by the judge, all agree that the judge should not be disqualified, and the judge is then willing to participate, the judge may participate in the proceeding. The agreement shall be incorporated in the record of the proceeding.
Commentary. —A remittal procedure provides the parties an opportunity to proceed without delay if they wish to waive the disqualification. To assure that consideration of the question of remittal is made independently of the judge, a judge must not solicit, seek, or hear comment on possible remittal or waiver of the disqualification unless the lawyers jointly propose remittal after consultation as provided in the rule. A party may act through counsel if counsel represents on the record that the party has been consulted and consents. As a practical matter, a judge may wish to have all parties and their lawyers sign the remittal agreement.
A. Extra-Judicial Activities in General. A judge shall conduct all of the judge's extra-judicial activities so that they do not:
(1) cast reasonable doubt on the judge's capacity to act impartially as a judge;
(2) demean the judicial office; or
(3) interfere with the proper performance of judicial duties.
Commentary. —Complete separation of a judge from extra-judicial activities is neither possible nor wise; a judge should not become isolated from the community in which the judge lives.
Expressions of bias or prejudice by a judge, even outside the judge's judicial activities, may cast reasonable doubt on the judge's capacity to act impartially as a judge. Expressions which may do so include jokes or other remarks demeaning individuals on the basis of their race, sex, religion, national origin, disability, age, sexual orientation, or socioeconomic status. See Section 2C and accompanying Commentary.
B. Avocational Activities. A judge may speak, write, lecture, teach, and participate in other extra-judicial activities concerning the law*, the legal system, the administration of justice, and non-legal subjects, subject to the requirements of this Code.
Commentary. —As a judicial officer and person specially learned in the law, a judge is in a unique position to contribute to the improvement of the law, the legal system, and the administration of justice, including revision of substantive and procedural law and improvement of criminal and juvenile justice. To the extent that time permits, a judge is encouraged to do so, either independently or through a bar association, judicial conference, or other organization dedicated to the improvement of the law. Judges may participate in efforts to promote the fair administration of justice, the independence of the judiciary, and the integrity of the legal profession and may express opposition to the persecution of lawyers and judges in other countries because of their professional activities.
In this and other Sections of Canon 4, the phrase “subject to the requirements of this Code”is used, notably in connection with a judge's governmental, civic, or charitable activities. This phrase is included to remind judges that the use of permissive language in various Sections of the Code does not relieve a judge from the other requirements of the Code that apply to the specific conduct.
C. Governmental, Civic, or Charitable Activities.
(1) A judge shall not appear at a public hearing before, or otherwise consult with, an executive or legislative body or official except on matters concerning the law*, the legal system, or the administration of justice or except when acting pro se in a matter involving the judge or the judge's interests.
Commentary. —See Section 2B regarding the obligation to avoid improper influence.
(2) A judge shall not accept appointment to a governmental committee or commission or other governmental position that is concerned with issues of fact or policy on matters other than the improvement of the law*, the legal system, or the administration of justice. A judge may, however, represent a country, state or locality on ceremonial occasions or in connection with historical, educational, or cultural activities.
Commentary. —Section 4C(2) prohibits a judge from accepting any governmental position except one relating to the law, legal system, or administration of justice as authorized by Section 4C(3). The appropriateness of accepting extra-judicial assignments must be assessed in light of the demands on judicial resources created by crowded dockets and the need to protect the courts from involvement in extra-judicial matters that may prove to be controversial. Judges should not accept governmental appointments that are likely to interfere with the effectiveness and independence of the judiciary.
Section 4C(2) does not govern a judge's service in a nongovernmental position. See Section 4C(3) permitting service by a judge with organizations devoted to the improvement of the law, the legal system, or the administration of justice and with educational, religious, charitable, fraternal, or civic organizations not conducted for profit. For example, service on the board of a public educational institution, unless it were a law school, would be prohibited under Section 4C(2), but service on the board of a public law school or any private educational institution would generally be permitted under Section 4C(3).
(3) A judge may serve as an officer, director, trustee, or non-legal advisor of an organization or governmental agency devoted to the improvement of the law*, the legal system, or the administration of justice or of an educational, religious, charitable, fraternal, or civic organization not conducted for profit, subject to the following limitations and the other requirements of this Code.
Commentary. —Section 4C(3) does not apply to a judge's service in a governmental position unconnected with the improvement of the law, the legal system, or the administration of justice; see Section 4C(2).
See Commentary to Section 4B regarding use of the phrase “subject to the following limitations and the other requirements of this Code.”As an example of the meaning of the phrase, a judge permitted by Section 4C(3) to serve on the board of a fraternal institution may be prohibited from such service by Sections 2C or 4A if the institution practices invidious discrimination or if service on the board otherwise casts reasonable doubt on the judge's capacity to act impartially as a judge.
Service by a judge on behalf of a civic or charitable organization may be governed by other provisions of Canon 4 in addition to Section 4C. For example, a judge is prohibited by Section 4G from serving as a legal advisor to a civic or charitable organization.
(a) A judge shall not serve as an officer, director, trustee, or non-legal advisor if it is likely that the organization:
(i) will be engaged in proceedings that would ordinarily come before the judge: or
(ii) will be engaged frequently in adversary proceedings in the court of which the judge is a member or in any court subject to the appellate jurisdiction of the court of which the judge is a member.
Commentary. —The changing nature of some organizations and of their relationship to the law makes it necessary for a judge regularly to reexamine the activities of each organization with which the judge is affiliated to determine if it is proper for the judge to continue the affiliation. For example, in many jurisdictions charitable hospitals are now more frequently in court than in the past. Similarly, the boards of some legal aid organizations now make policy decisions that may have political significance or imply commitment to causes that may come before the courts for adjudication.
(b) A judge as an officer, director, trustee, or non-legal advisor, or as a member or otherwise:
(i) may assist such an organization in planning fund-raising and may participate in the management and investment of the organization's funds but shall not personally participate in the solicitation of funds, except that a judge may solicit funds from other judges over whom the judge does not exercise supervisory or appellate authority;
(ii) may make recommendations to public and private fund-granting organizations on projects and programs concerning the law*, the legal system, or the administration of justice;
(iii) shall not personally participate in membership solicitation if the solicitation might reasonably be perceived as coercive or if the membership solicitation is essentially a fund-raising mechanism, except that a judge may solicit membership from other judges over whom the judge does not exercise supervisory or appellate authority; and
(iv) shall not use or permit the use of the prestige of judicial office for fund-raising or membership solicitation.
Commentary. —A judge may solicit membership or endorse or encourage membership efforts for an organization devoted to the improvement of the law, the legal system, or the administration of justice or a nonprofit educational, religious, charitable, fraternal, or civic organization as long as the solicitation cannot reasonably be perceived as coercive and is not essentially a fund-raising mechanism. Solicitation of funds for an organization and solicitation of memberships similarly involve the danger that the person solicited will feel obligated to respond favorably to the solicitor if the solicitor is in a position of influence or control.
A judge must not engage in direct, individual solicitation of funds or memberships in person, in writing, or by telephone except in the following cases; 1) a judge may solicit funds or memberships from other judges over whom the judge does not exercise supervisory or appellate authority; 2) a judge may solicit other persons for membership in the organizations described above if neither those persons nor persons with whom they are affiliated are likely ever to appear before the court on which the judge serves; and 3) a judge who is an officer of such an organization may send a general membership solicitation mailing over the judge's signature.
Use of an organization letterhead for fund-raising or membership solicitation does not violate Section 4C(3)(b) provided the letterhead lists only the judge's name and office or other position in the organization, and, if comparable designations are listed for other persons, the judge's judicial designation. In addition, a judge must also make reasonable efforts to ensure that the judge's staff court officials, and others subject to the judge's direction and control do not solicit funds on the judge's behalf for any purpose, charitable or otherwise.
A judge must not be a speaker or guest of honor at an organization's fund raising event, but mere attendance at such an event is permissible if otherwise consistent with this Code.
D. Financial Activities.
(1) A judge shall not engage in financial and business dealings that:
(a) may reasonably be perceived to exploit the judge's judicial position, or
(b) involve the judge in frequent transactions or continuing business relationships with those lawyers or other persons likely to come before the court on which the judge serves.
Commentary. —The Time for Compliance provision of this Code (Application, Section D) postpones the time for compliance with certain provisions of this Section in some cases.
When a judge acquires in a judicial capacity, information, such as material contained in filings with the court that is not yet generally known, the judge must not use the information for private gain. See Section 2B; see also Section 3B(11).
A judge must avoid financial and business dealings that involve the judge in frequent transactions or continuing business relationships with persons likely to come either before the judge personally or before other judges on the judge's court. In addition, a judge should discourage members of the judge's family from engaging in dealings that would reasonably appear to exploit the judge's judicial position. This rule is necessary to avoid creating an appearance of exploitation of office or favoritism and to minimize the potential for disqualification. With respect to affiliation of relatives of judge with law firms appearing before the judge, see Commentary to Section 3E(1) relating to disqualification.
Participation by a judge in financial and business dealings is also subject to the general prohibitions in Section 4A against activities that tend to reflect adversely on impartiality, demean the judicial office, or interfere with the proper performance of judicial duties. Such participation is also subject to the general prohibition in Canon 2 against activities involving impropriety or the appearance of impropriety and the prohibition in Section 2B against the misuse of the prestige of judicial office. In addition, a judge must maintain high standards of conduct in all of the judge's activities, as set forth in Canon 1.
(2) A judge may, subject to the requirements of this Code, hold and manage investments of the judge and members of the judge's family*, including real estate, and engage in other remunerative activity.
Commentary. —This Section provides that, subject to the requirements of this Code, a judge may hold and manage investments owned solely by the judge, investments owned solely by a member or members of the judge's family, and investments owned jointly by the judge and members of the judge's family. See Commentary for Section 4B regarding use of the phrase “subject to the requirements of this Code.”
(3) A judge shall not serve as an officer, director, manager, general partner, advisor, or employee of any business entity except that a judge may, subject to the requirements of this Code, manage and participate in:
(a) a business closely held by the judge or members of the judge's family*, or
(b) a business entity primarily engaged in investment of the financial resources of the judge or members of the judge's family*.
Commentary. —Subject to the requirements of this Code, a judge may participate in a business that is closely held either by the judge alone, by members of the judge's family, or by the judge and members of the judge's family.
Although participation by a judge in a closely-held family business might otherwise be permitted by Section 4D(3), a judge may be prohibited from participation by other provisions of this Code when, for example, the business entity frequently appears before the judge's court or the participation requires significant time away from judicial duties. Similarly, a judge must avoid participating in a closely-held family business if the judge's participation would involve misuse of the prestige of judicial office.
(4) A judge shall manage the judge's investments and other financial interests to minimize the number of cases in which the judge is disqualified. As soon as the judge can do so without serious financial detriment, the judge shall divest himself or herself of investments and other financial interests that might require frequent disqualification.
(5) A judge shall not accept, and shall urge members of the judge's family residing in the judge's household*, not to accept, a gift, bequest, favor, or loan from anyone except for:
Commentary. —Section 4D(5) does not apply to contributions to a judge's campaign for judicial office, a matter governed by Canon 5.
Because a gift bequest, favor, or loan to a member of the judge's family residing in the judge's household might be viewed as intended to influence the judge, a judge must inform those family members of the relevant ethical constraints upon the judge in this regard and discourage those family members from violating them. A judge cannot, however, reasonably be expected to know or control all the financial or business activities of all family members residing in the judge's household.
(a) a gift incident to a public testimonial, books, tapes, and other resource materials supplied by publishers on a complimentary basis for official use, or an invitation to the judge and the judge's spouse or guest to attend a bar-related function or an activity devoted to the improvement of the law*, the legal system, or the administration of justice;
Commentary. —Acceptance of an invitation to a law-related function is governed by Section 4D(5)(a); acceptance of an invitation paid for by an individual lawyer or group of lawyers is governed by Section 4D(5)(h).
A judge may accept a public testimonial or a gift incident thereto only if the donor organization is not an organization whose members comprise or frequently represent the same side in litigation, and the testimonial and gift are otherwise in compliance with other provisions of this Code. See Sections 4A(1) and 2B.
(b) a gift, award, or benefit incident to the business, profession, or other separate activity of a spouse or other family member of a judge residing in the judge's household, including gifts, awards, and benefits for the use by both the spouse or other family member and the judge (as spouse or family member), provided the gift, award, or benefit could not reasonably be perceived as intended to influence the judge in the performance of judicial duties;
(c) ordinary social hospitality;
(d) a gift from a relative or friend, for a special occasion, such as a wedding, anniversary, or birthday, if the gift is fairly commensurate with the occasion and the relationship;
Commentary. —A gift to a judge, or to a member of the judge's family living in the judge's household, that is excessive in value raises questions about the judge's impartiality and the integrity of the judicial office and might require disqualification of the judge where disqualification would not otherwise be required. See, however, Section 4D(5)(e).
(e) a gift, bequest, favor, or loan from a relative or close personal friend whose appearance or interest in a case would in any event require disqualification under Section 3E;
(f) a loan from a lending institution in its regular course of business on the same terms generally available to persons who are not judges;
(g) a scholarship or fellowship awarded on the same terms and based on the same criteria applied to other applicants; or
(h) any other gift, bequest, favor, or loan, only if: the donor is not a party or other person who has come or is likely to come or whose interests have come or are likely to come before the judge; and, if its value exceeds $150.00, the judge reports it in the same manner as the judge reports compensation in Section 4H.
Commentary. —Section 4D(5)(h) prohibits judges from accepting gifts, favors, bequests, or loans from lawyers or their firms if they have come or are likely to come before the judge; it also prohibits gifts, favors, bequests, or loans from clients of lawyers or their firms when the clients' interests have come or are likely to come before the judge.
E. Fiduciary Activities.
(1) A judge shall not serve as executor, administrator or other personal representative, trustee, guardian, attorney in fact, or other fiduciary*, except for the estate, trust, or person of a member of the judge's family*, and then only if such service will not interfere with the proper performance of judicial duties.
(2) A judge shall not serve as a fiduciary* if it is likely that the judge as a fiduciary will be engaged in proceedings that would ordinarily come before the judge, or if the estate, trust, or ward becomes involved in adversary proceedings in the court on which the judge serves or one under its appellate jurisdiction.
(3) The same restrictions on financial activities that apply to a judge personally also apply to the judge while acting in a fiduciary* capacity.
Commentary. —The Time for Compliance provision of this Code (Application, Section D) postpones the time for compliance with certain provisions of this Section in some cases.
The restrictions imposed by this Section may conflict with the judge's obligation as a fiduciary. For example, a judge should resign as trustee if detriment to the trust would result from divestiture of holdings, the retention of which would place the judge in violation of Section 4D(4).
F. Service as Arbitrator or Mediator. A judge shall not act as an arbitrator or mediator or otherwise perform judicial functions in a private capacity unless expressly authorized by law*.
Commentary. —Section 4F does not prohibit a judge from participating in arbitration, mediation, or settlement conferences performed as a part of judicial duties.
G. Practice of Law. A judge shall not practice law. Notwithstanding this prohibition, a judge may act pro se and may, without compensation, give legal advice to and draft or review documents for a member of the judge's family*. A newly elected or appointed judge can practice law only in an effort to wind up his or her practice ceasing to practice law as soon as reasonably possible and in no event longer than 180 days after assuming office.
Commentary. —This prohibition refers to the practice of law in a representative capacity and not in a pro se capacity. A judge may act for himself or herself in all legal matters, including matters involving litigation and matters involving appearances before or other dealings with legislative and other governmental bodies. However, in so doing, a judge must not abuse the prestige of office to advance the interests of the judge or the judge's family. See Section 2B.
The only law practice allowable is that which is necessary to wind up a law practice. Accordingly, no new cases may be accepted. The 180-day bright line rule in winding up a law practice does not prohibit the judge from receiving fees after this deadline for services performed prior to the deadline.
The Code allows a judge to give legal advice to and draft legal documents for members of the judge's family, so long as the judge receives no compensation. A judge must not, however, act as an advocate or negotiator for a member of the judge's family in a legal matter.
H. Compensation and Reimbursement.
(1) Compensation and Reimbursement. A judge may receive compensation and reimbursement of expenses for the extra-judicial activities permitted by this Code, if the source of such payments does not give the appearance of influencing the judge's performance of judicial duties or otherwise give the appearance of impropriety.
(a) Compensation shall not exceed a reasonable amount 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 actual cost of travel, food, and lodging reasonably incurred by the judge and, where appropriate to the occasion, by the judge's spouse or guest. Any payment in excess of such an amount is compensation.
(2) Public Reports. A judge shall report the date, place, the nature of any activity for which the judge received compensation, the name of the payor, and the amount of compensation so received. Compensation or income of a spouse attributed to the judge by operation of a community property law is not extra-judicial compensation to the judge. The judge's report shall be made at least annually and shall be filed as a public document in the office of the clerk of the court on which the judge serves and in the Administrative Office of the Court.
Commentary. —See Section 4D(5) regarding reporting of gifts, bequests, and loans. The Code does not prohibit a judge from accepting honoraria or speaking fees provided that the compensation is reasonable and commensurate with the task performed. A judge should ensure, however, that no conflicts are created by the arrangement. A judge must not appear to trade on the judicial position for personal advantage. Nor should a judge spend significant time away from court duties to meet speaking or writing commitments for compensation. In addition, the source of the payment must not raise any question of undue influence or the judge's ability or willingness to be impartial.
I. Financial Disclosures. Disclosure of a judge's income, debts, investments, or other assets is required only to the extent provided in this Canon and in Sections 3E and 3F or as otherwise required by law*.
Commentary. —Section 3E requires a judge to disqualify himself or herself in any proceeding in which the judge has an economic interest. See “economic interest”as explained in the Terminology Section. Section 4D requires a judge to refrain from engaging in business and from financial activities that might interfere with the impartial performance of judicial duties; Section 4H requires a judge to report all compensation the judge received for activities outside judicial office. A judge has the rights of any other citizen, including the right to privacy of the judge's financial affairs, except to the extent that limitations established by law are required to safeguard the proper performance of the judges duties.
A. General Requirements.
(1) Except as provided by 5B(2), 5C, and 5D, a judge or a candidate* for election or appointment to judicial office shall not:
(a) act as a leader or hold an office in a political organization*;
(b) publicly endorse or publicly oppose another candidate for public office;
(c) make speeches on behalf of a political organization;
(d) solicit funds for or pay an assessment to a political organization or a political candidate; or
(e) make a contribution to a political candidate.
Commentary. —A judge or candidate for judicial office retains the right to participate in the political process as a voter.
Where false information concerning a judicial candidate is made public, a judge or another judicial candidate having knowledge of the facts is not prohibited by Section 5A(1) from making the facts public.
The prohibition on publicly endorsing or opposing other candidates for public office also prohibits publicly endorsing or publicly opposing candidates for judicial office except as provided in 5D.
Section 5A(1)(a) does not prohibit a candidate for elective judicial office from retaining during candidacy a public office such as county prosecutor, which is not “an office in a political organization.”
Section 5A(1)(b) does not prohibit a judge or judicial candidate from privately expressing his or her views on judicial candidates or other candidates for public office.
A candidate does not publicly endorse another candidate for public office by having that candidate's name on the same ticket.
(2) A judge shall resign from judicial office upon becoming a candidate* for a nonjudicial office either in a primary or in a general election, except that the judge may continue to hold judicial office while being a candidate for election to or serving as a delegate in a state constitutional convention if the judge is otherwise permitted by law* to do so.
(3) A candidate* for a judicial office:
(a) shall maintain the dignity appropriate to judicial office and act in a manner consistent with the integrity and independence of the judiciary, and shall encourage members of the candidate's family* to adhere to the same standards of political conduct in support of the candidate as apply to the candidate;
Commentary. —Although a judicial candidate must encourage members of his or her family to adhere to the same standard of political conduct in support of the candidate that apply to the candidate, family members are free to participate in other political activity.
(b) shall prohibit employees and officials who serve at the pleasure of the candidate*, and shall discourage other employees and officials subject to the candidate's direction and control from doing on the candidate's behalf what the candidate is prohibited from doing under the Sections of this Canon;
(c) except to the extent permitted by Section 5C(2), shall not authorize or knowingly* permit any other person to do for the candidate* what the candidate is prohibited from doing under the Sections of this Canon;
(d) shall not:
(i) make pledges or promises of conduct in office other than the faithful and impartial performance of the duties of the office;
(ii) make statements that commit or appear to commit the candidate with respect to cases, controversies, or issues that are likely to come before the court; or
(iii) knowingly* misrepresent the identity, qualifications, present position, or any other fact concerning the candidate or an opponent;
Commentary. – A judge's obligation to avoid prejudgment is well established. Under the First Amendment and in light of the voters' right to have information about an elective candidate's views, judicial ethics rules may not prohibit judicial candidates from announcing their views on disputed legal and political issues. Canon 5(A)(3)(d) does not proscribe a candidate's public expression of personal views on disputed issues. To ensure that voters understand a judge's duty to uphold the Constitution and laws of Tennessee where the law differs from the candidate's personal beliefs, however, candidates are encouraged to emphasize their duty to uphold the law regardless of personal views.
Some speech restrictions are indispensable to maintaining the integrity, impartiality, and independence of the judiciary. The state has a compelling interest in enforcing these restrictions. Thus, under Canon 5(A)(3)(d) it remains improper for a judicial candidate to make pledges, promises or commitments regarding pending or impending cases, specific classes of cases, specific litigants or classes of litigants, or specific positions of law, that would reasonably lead to the conclusion that the candidate has prejudged a decision or ruling in cases that would fall within the scope of the pledge, promise or commitment. To fall within the proscription of this rule the statement by the candidate must pertain to matters likely to come before the court on which the candidate would serve, if elected. Statements by a candidate that would have this effect are inconsistent with the obligation of all judges to perform impartially the adjudicative duties of office.
Candidates for judicial office often receive questionnaires or requests for interviews from the media and from issue advocacy or other community organizations seeking to learn their views on disputed or controversial legal or political issues. Canon 5(A)(3)(d) does not generally prohibit candidates from responding to this kind of inquiry, but candidates should proceed with caution if they choose to respond. Depending on the wording of the questions and the format provided for answering, a candidate's responses might constitute pledges, promises or commitments to perform the adjudicative duties of office other than in an impartial way. In order to avoid violating Canon 5(A)(3)(d), therefore, candidates who choose to respond should make clear their commitment to keeping an open mind while on the bench, regardless of their own personal views.
Additionally, judicial candidates must keep in mind that, in stating their position as to an issue, they may later be required to disqualify themselves pursuant to Canon 3(E)(1) should that issue subsequently arise in a proceeding before them and, because of the position taken by the judge while a candidate, the judge's impartiality might reasonably be questioned.
Canon 5(A)(3)(d) does not prohibit a candidate
for judicial office from making public statements concerning improvements
to the legal system or to the administration of justice.
[Amended by order filed October 11, 2005.]
(e) may respond to personal attacks or attacks on the candidate's record as long as the response does not violate Section 5A(3)(d).
B. Candidates Seeking Appointment to Judicial or Other Governmental Office.
(1) A candidate* for appointment to judicial office or a judge seeking appointment to governmental office shall not solicit or accept funds, personally or through a committee or otherwise, to support his or her candidacy for appointment. Provided, however, if a candidate for judicial appointment is also, by definition, a candidate subject to election*, such candidate may, as provided under Canon 5(C)(2)(a), form a committee to solicit and accept contributions limited to use in the election campaign of the candidate. Any contributions accepted shall not be used in furtherance of the person's candidacy for appointment.
(2) A candidate* for appointment to judicial office or a judge seeking appointment to governmental office shall not engage in any political activity to secure the appointment except that:
(a) such persons may:
(i) communicate with the appointing authority, including any selection or nominating commission or other agency designated to screen candidates;
(ii) seek support or endorsement for the appointment from organizations and from individuals; and
(iii) provide to those specified in Sections 5B(2)(a)(i) and 5B(2)(a)(ii) information as to his or her qualifications for the office;
(b) A non-judge candidate* for appointment to judicial office may, in addition, unless otherwise prohibited by law*:
(i) retain an office in a political organization*,
(ii) attend political gatherings, and
(iii) continue to pay ordinary assessments and ordinary contributions to a political organization or candidate and purchase tickets for political party dinners or other functions.
[Amended by order filed June 22, 2000.]
Commentary. —Section 5B(2) provides a limited exception to the restrictions imposed by Section 5A(1). Under Section 5B(2), candidates seeking reappointment to the same judicial office or appointment to another judicial office or other governmental office may apply for the appointment and seek appropriate support.
Although under Section 5B(2), non-judge candidates seeking appointment to judicial office are permitted during candidacy to retain office in a political organization, attend political gatherings, and pay ordinary dues and assessments, they remain subject to other provisions of this Code during candidacy. See Sections 5B(1), 5B(2)(a), 5E and Application Section.
C. Judges and Candidates Subject to Election.
(1) A judge or a candidate* subject to election* may, except as prohibited by law*:
(a) at any time
(i) purchase tickets for and attend political gatherings, subject to the limitations in (a)(iii);
(ii) identify himself or herself as a member of a political party; and
(iii) contribute to a political organization* or a political candidate in an amount up to the limitations provided in Tenn. Code Ann. § 2-10-301, et seq.;
(b) when a candidate for election
(i) speak to gatherings on his or her own behalf;
(ii) appear in newspaper, television and other media advertisements supporting his or her candidacy; and
(iii) distribute pamphlets and other promotional campaign information supporting his or her candidacy.
Commentary. —Section 5C(1) provides a limited exception to the restrictions of 5A(1) and permits judges subject to election at any time to be involved in limited political activity. Note that by definition of “election”, see Terminology, Section 5C is equally applicable to judges subject to partisan, non-partisan, and retention elections.
Section 5C(1)(a)(iii) allows a judge or a candidate to contribute to a political organization or candidate in an amount not to exceed the contribution limits provided in Tenn. Code Ann., § 2-10-301 et seq. This limitation includes the purchase of tickets set out in Section 5(C)(1)(a)(i).
(2)(a) A candidate* shall not personally solicit or accept campaign contributions. A candidate may personally solicit publicly stated support and establish committees of responsible persons to conduct campaigns for the candidate through media advertisements, brochures, mailings, candidate forums, and other means not prohibited by law. Such committees may solicit and accept campaign contributions, manage the expenditure of funds for the candidate's campaign, and may also obtain public statements of support for his or her candidacy. Such committees are not prohibited from soliciting and accepting campaign contributions and public support from lawyers. A candidate's committees may solicit and accept contributions for the candidate's campaign no earlier than 180 days before an election (see Commentary below) and no later than 90 days after the last election in which the candidate participates during the election year. A candidate shall not use or permit the use of campaign contributions for the private benefit of the candidate or others. [Amended by order filed July 3,2001]
(b) Candidates for judicial office must comply with all requirements of state law with regard to campaign finances, including but not limited to, all statutes relating to financial disclosure and campaign contribution limits.
Commentary. —Section 5C(2)(a) permits a candidate, other than a candidate for appointment, to establish campaign committees to solicit and accept financial contributions. At the start of the campaign, the candidate must instruct the campaign committees to solicit or accept only those contributions authorized by Tennessee law. More specifically, Tenn. Code Ann., § 2-10-301, et seq., sets the campaign contribution limits applicable to judicial candidates. Though not prohibited, campaign contributions of which a judge has knowledge, made by lawyers or others who appear before the judge, may be relevant to disqualification under Section 3E.
It is possible for some judicial offices to be subject to a primary and general election. It is possible for some counties to have a partisan primary for a particular office whereas another county might only have a non-partisan general election for the same office. It is also conceivable that the decision as to whether or not to hold a primary might not be made until within the 180-day period before the primary. Therefore, for the sake of uniformity, the 180-day period for all judicial offices that can possibly be subject to a primary election, whether or not there actually is a primary, shall begin to run from the date the primary would be held. Section 5C(2)(a) was amended in 2001 to specify that a campaign committee cannot accept contributions outside the time limits established for solicitation of contributions. This amendment was made for the purpose of clarification in light of Judicial Ethics Committee Opinion # 01-01. [Amended by order filed July 3,2001]
Campaign committees established under Section 5C(2) should manage campaign finances responsibly, avoiding deficits that might necessitate post-election fund-raising, to the extent possible.
Section 5C(2) does not prohibit a candidate from initiating an evaluation by a judicial selection commission or bar association, or, subject to the requirements of this Code, from responding to a request for information from any organization.
(3) Except as prohibited by law*, a candidate* for judicial office in a election* may permit the candidate's name: (a) to be listed on election materials along with the names of other candidates for elective public office and (b) to appear in promotions of the ticket.
Commentary. —Section 5C(3) provides a limited exception to the restrictions imposed by Section 5A(1).
[Amended by order filed October 21, 1997.]
D. Judges Subject to Retention Elections. A judge, subject to retention election, may, at any time, publicly endorse or oppose a judge standing for retention or a candidate for appointment to the court of which the judge is a member.
E. Applicability. Canon 5 generally applies to all incumbent judges and judicial candidates*. A successful candidate, whether or not an incumbent, is subject to judicial discipline for his or her campaign conduct; an unsuccessful candidate who is a lawyer is subject to lawyer discipline for his or her campaign conduct. A lawyer who is a candidate for judicial office is subject to the Rules of Professional Conduct. [Amended by order filed August 27, 2002.]
A. Anyone, whether or not a lawyer, who is an officer of a judicial system and who performs judicial functions, including an officer such as a magistrate, court commissioner, judicial commissioner, special master, divorce referee, juvenile referee, or any other referee performing judicial functions, is a judge within the meaning of this Code. All judges shall comply with this Code except as provided below.
B. Retired and Pro Tempore Judges. For purposes of this section, a retired judge is one who is available for assignment but is not a Senior Judge. A pro tempore judge is a judge who serves or expects to serve once or only sporadically on a part-time basis under a separate appointment for each period of service or for each case heard.
A retired judge and pro tempore judge need only comply with the following Canons and then only while actually serving as a judge:
Canon 1 (integrity and independence)
Canon 2A (avoiding impropriety)
Canon 2B (avoiding appearance of impropriety)
Canon 3B (adjudicative responsibilities)
Canon 3C (administrative responsibilities)
Canon 3D (disciplinary responsibilities)
Canon 3E (disqualification)
Canon 3F (remittal of disqualification)
A retired judge or pro tempore judge shall not act as a lawyer in a proceeding in which the judge has served as a judge or in any other proceeding related thereto except as otherwise permitted by the Rules of Professional Conduct. [Amended by order filed August 27, 2002.]
C. Continuing Part-time Judge. A continuing part-time judge is a judge who serves repeatedly on a part-time basis by election or under a continuing appointment. A judge designated as a Senior Judge shall be considered a continuing part-time judge. Part-time general sessions judges, part-time juvenile judges part-time municipal judges, part-time divorce referees, part-time juvenile referees, and part-time judicial commissioners shall be considered continuing part-time judges.
A continuing part-time judge:
(1) is not required to comply:
(a) except while serving as a judge, with Canon 3B(9) (public comments about cases); and
(b) at any time with
Canon 4C(2) (governmental committees)
Canon 4D(3) (business interests)
Canon 4E(1) (fiduciary activities)
Canon 4F (arbitrator or mediator)
Canon 4G (practice of law)
Canon 4H (compensation and reimbursement)
Canon 5B(2) (candidates seeking appointment)
(2) who is a part-time municipal judge with municipal
ordinance violation jurisdiction only is also not required to comply with Canon
5A(1).
(political restrictions)
(3) shall not practice law in the court on which the judge serves or in any court subject to the appellate jurisdiction of the court on which the judge serves, and shall not act as a lawyer in a proceeding in which the judge has served as judge or in any other proceeding related thereto.
Commentary. —When a person who has been a continuing part-time judge is no longer a continuing part-time judge, that person may act as a lawyer in a proceeding in which he or she has served as a judge or in any other proceeding related thereto only with the express consent of all parties and only to the extent authorized by the Rules of Professional Conduct. [Amended by order filed August 27, 2002.]
D. Time for Compliance. A person to whom this Code becomes applicable shall comply immediately with all provisions of this Code except Sections 4D(2), 4D(3), and 4E and shall comply with these sections as soon as reasonably possible and shall do so in any event within the period of one (1) year. See Canon 4G as to ceasing to practice law and “winding up”a law practice.
Commentary. —If serving as a fiduciary when selected as judge, a new judge may, notwithstanding the prohibitions in Section 4E, continue to serve as fiduciary but only for that period of time necessary to avoid serious adverse consequences to the beneficiary 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 Section 4D(3), continue in that activity for a reasonable period but in no event longer than one year.
[Revised by order entered January 27, 1997, as amended by order entered February 6, 1997.]
Rule 10A. Judicial Ethics Opinions.
Section 10A.1. (a) There is hereby created a committee which shall be known as the Judicial Ethics Committee to consist of seven (7) members appointed by the Court as follows:
One (1) judge from the Court of Appeals or Court of Criminal Appeals;
One (1) trial judge from each grand division of the state;
One (1) general sessions judge licensed to practice law in this state;
One (1) juvenile court judge licensed to practice law in this state; and,
One (1) municipal court judge licensed to practice law in this state.
(b) The committee shall select its own chair.
(c) Each member shall serve for a term of four (4) years. Vacancies on the committee for an unexpired term shall be filled for the remainder of the term.
Section 10A.2. The committee shall act under the rules it may from time to time promulgate, but shall act only with the concurrence of three (3) or more members.
Section 10A.3. Members of the committee shall receive no compensation for their services but may be reimbursed by the Administrative Office of the Courts for their travel and other expenses incidental to the performance of their duties.
Section 10A.4 The committee shall exercise the powers and perform the ordinary and necessary duties usually carried out by judicial ethics advisory bodies. By the concurrence of a majority of its members it shall issue Formal Ethics Opinions on proper professional conduct when requested to do so by a judge who is governed by the Code of Judicial Conduct, except that an opinion may not be issued in a matter that is the subject of a pending disciplinary proceeding. Formal Ethics Opinions shall be filed by the committee in the Administrative Office of the Courts. Said office shall distribute a copy of such opinions to all judges governed by the Code of Judicial Conduct or see that such opinions are published in a publication generally available to judges.
Section 10A.5. Requests for Formal Ethics Opinions shall be addressed to the committee in writing, stating the factual situation in detail, accompanied by a short brief or memorandum citing the Canons of the Code of Judicial Conduct involved and any other pertinent authorities and shall contain a certificate with the opinion that the matter is not the subject of a pending disciplinary proceeding.
Section 10A.6. A Formal Ethics Opinion shall constitute a body of principles and objectives upon which judges can rely for guidance.
Rule 11. Supervision of the Judicial System.
I. General. — This Rule is promulgated pursuant to the inherent power of this Court and particularly the following subsections of T.C.A. § 16-3-502, providing that the Supreme Court shall have the power:
“(1) To designate and assign temporarily any judge or chancellor to hold, or sit as a member of any court, of comparable dignity or equal or higher level, for any good and sufficient reason.
* * *
“(4) To take affirmative and appropriate action to correct or alleviate any imbalance in case loads among the various judicial circuits and chancery divisions of the state.
“(5) To take affirmative and appropriate action to correct or alleviate any condition or situation adversely affecting the administration of justice within the state.
“(6) To take all such other, further and additional action as may be necessary to the orderly administration of justice within the state, whether or not herein or elsewhere enumerated.”
Its purpose is as follows:
a. To correct or alleviate case load imbalances in the various judicial circuits and chancery divisions of the State.
b. To reduce docket congestion thereby holding trial delays to a minimum.
c. To promote the orderly and efficient administration of justice within the State.
II. Functional improvement of judicial system - Uniform procedures for data collection in civil and criminal matters in circuit, criminal, chancery, probate, and general sessions courts. – a. The judicial system of this State henceforth will function as an integrated unit under the direction and supervision of the Supreme Court.
b. Pursuant to its statutory duty to assist the Chief Justice of the Tennessee Supreme Court in improving the administration of justice, the Administrative Office of the Courts (AOC), working with a committee of representatives from the District Attorneys' General Conference, the Public Defenders' Conference, the Tennessee Judicial Conference, and the Clerks of Court Conference, has developed a procedure for the collection of uniform statistical data on matters filed in the Circuit, Criminal, and Chancery Courts of this state.
c. The Court finds that the data collection procedure designed by the Administrative Office of the Courts, in conjunction with the above-named committee, will aid in the accomplishment of the AOC's statutory duties, (T.C.A. § 16-3-803(g)), that the collection of statistical data by the AOC is specifically authorized by statute (T.C.A. § 16-3-803(i)); and that all judges, clerks of court, district attorneys general, district public defenders, other officers or employees of the courts, and all staff of offices or employees related to and serving the courts, are charged with complying with all requests for information from the Administrative Director of the Courts. Further, to ensure that comparable data is collected from all of the courts, data collection shall follow the standard definition of a case as set forth in T.C.A. § 16-1-117.
(1) Reporting Forms; Responsibility for Submission. Each clerk of a circuit, criminal, chancery, probate, general sessions, or municipal court with general sessions jurisdiction is responsible for submitting the forms required by this rule to the Technology Services Division of the Administrative Office of the Courts. Submission of forms specified by this rule shall be filed with the AOC not later than fifteen (15) days after the close of the month in which the case was filed and also the month in which it was disposed. Pursuant to the procedure, the AOC will provide a supply of the Civil Case Cover Sheets and the Criminal Case Cover Sheets, FORM NOS. TJIS/CI1 and TJIS/CR1, to the clerks of the Circuit, Criminal, Chancery, and Probate Courts. General Sessions Courts and Municipal Courts with general sessions jurisdiction will be provided with copies of FORM NOS. TJISGSCR1 and TJISGCCV1.
Clerks for courts of record other than juvenile court shall require that any complaint and summons filed to commence, reopen, or reinstate a civil action shall be accompanied by a Civil Case Cover Sheet for reopened cases, FORM NO. TJIS/CI3, which has been completed by the initiating party or his/her representative. The clerks shall also require a new Civil Case Cover Sheet (Reopened Cases) to be completed upon the grant of a new trial. Upon issuance of a final order disposing of the case, the clerk of court shall complete the disposition portion of the Civil Case Cover Sheet in full. A portion of the cover sheet containing this disposition information shall then be forwarded to the AOC on a monthly basis.
In addition, the clerks of courts of record other than juvenile shall require that any indictment, presentment or criminal information that initiates a criminal action in circuit or criminal court shall be accompanied by a Criminal Case Cover Sheet which has been completed by the district attorney general or his/her office. The clerks shall complete a new Criminal Case Cover Sheet upon the grant of a new trial, upon a case appealed from a lower court, or upon any petition to re-open or reinstate a criminal action. Upon issuance of a final order or judgment disposing of the case, the clerk of the court shall complete the disposition portion of the Criminal Case Cover Sheet for each docket number and all related charges. When all charges on the form have been disposed of, these forms shall be forwarded by the clerk of court, on a monthly basis, to the AOC.
Effective July 1, 2002, clerks' offices that are automated shall report statistical information monthly to the AOC by computer diskette or electronic mail attachment. In the event that a clerk is unable to do so due to technical difficulties, the clerk may report by sending the completed Criminal Case Cover Sheets and/or Civil Case Cover Sheets to the AOC.
(2) Administrative Director; Reports Public Record When Filed. All reports specified by these rules shall be public records. The Administrative Director of the Courts shall publish an annual compilation of the reports. All judges, court clerks, district attorneys general, district public defenders, and officers of the court shall cooperate with the Administrative Director to ensure the accuracy of the reports. As required by statute, the Administrative Director of the Courts shall annually report to the Chair of the Judicial Council, the Chair of the Judiciary Committee of the Senate, the Chair of the Judiciary Committee of the House of Representatives, and the Office of the Comptroller Division of Research and Accountability as to the failure of any judge, district attorney general, district public defender, or court clerk to comply with any of the reporting requirements.
Compliance with the reporting requirements includes, but is not limited to, submitting cover sheets within the fifteen (15) day time frame, submitting data every month, submitting data according to Implementation Manual guidelines, and using correct case numbering and definitions.
The Administrative Office of the Courts will provide written notification to any responsible reporting party found not to be in compliance with the statute or reporting guidelines. Written notification will detail the type of non- compliance and recommend the corrective action to be taken. If compliance is not achieved during the subsequent reporting period following notification, the Administrative Office of the Courts will no longer accept data from the office not in compliance, until such time as the error(s) are corrected. Notification of this action will be sent to all judges, district attorneys general, district public defenders, and court clerks within the district that the non-complying office is located in. Notification will also be sent to the District Attorney General Conference, the District Public Defender Conference, the Administrative Office of the Courts, and the County Officials Association of Tennessee. Any periods of non-compliance will also be reported in the annual report to the Judicial Council and the chairs of the House and Senate Judiciary Committees.
The Technology Services Division of the AOC shall provide an Implementation Manual that contains commentary and explanatory material pertaining to these rules and the report forms required by these rules. The Implementation Manual shall also contain a dictionary of terms to be used for case reporting, and how the terms will be defined for reporting purposes.
(3) Case Numbering. For purposes of this rule, the term "docket number" is defined as the separate and distinct identification number used for a case once it is filed in criminal, circuit, chancery, or probate court.
An incident is defined as all criminal activity occurring in a twenty-four (24) hour period, committed by a single defendant.
Charges of a related nature shall be defined as charges against a single defendant that may have more than one victim and that are similar such as, but not limited to, burglaries, drug offenses, or serial rape.
A court proceeding is defined as all court activity relating to a case from initial filing through disposition at a single level of court, i.e. general sessions, circuit, appellate, or Supreme Court.
A criminal case in a court of record, except juvenile court, is defined as a single charge or set of charges, arising out of a single incident involving the same victim(s), concerning a single defendant in one court proceeding. Accordingly, all charges consolidated into a single proceeding shall be included under one case number. In no instance should separate docket numbers be assigned to each charge when multiple charges are filed against a single defendant when said charges are intended to be handled in the same court proceeding. An appeal, probation revocation, or other post judgment proceeding is considered a separate case.
Worthless check cases shall be defined as all worthless checks filed by the same affiant against the same defendant within a twenty-four (24) period with each check as a separate charge under one docket number.
In criminal cases, each defendant shall be assigned a separate case (docket) number. In the alternative, separate defendant identifiers (such as letters) shall be added to the end of the original docket number to reflect co- defendants listed in a single case or charge. In instances where multiple defendants are identified by appending a letter to the docket number, all dispositions must be filed in an identical manner.
District attorneys general shall treat multiple incidents as a single incident for purposes of this rule when the charges are of a related nature and it is the district attorney general’s intention that all of the charges be handled in the same court proceeding.
Nothing in this rule is intended to alter or change in any way the Rules of Criminal Procedure governing severance and joinder.
The following diagram is provided as a guidance to properly number criminal cases.
< CHART >
A civil case shall be defined as all motions, petitions, claims, counter claims, or proceedings between the parties resulting from the initial filing until the case is disposed. A docket number will be assigned to a civil case upon filing. Until said cases are disposed all subsequent motions, petitions, claims, counter claims, or proceedings between the parties resulting from the initial filing will be handled under the assigned docket number and will not be assigned a new docket number. Once a civil case has been disposed and further actions occur on the case, the original case will be reopened using the same docket number under which it was originally filed. All subsequent motions, petitions, claims, counter claims, and proceedings relating to the reopened case will be handled under the one reopened case docket number until disposed. Any subsequent reopenings will still use the original docket number.
(4) General Sessions Reporting - Effective July 1, 2003, or sooner if practical, all general sessions courts and municipal courts with general sessions jurisdiction shall collect and report to the AOC all civil and criminal case data in accordance with the definitions provided under Part (3) above and guidelines published by the AOC.
Clerks of general sessions and municipal courts with general sessions jurisdiction shall file monthly reports with the AOC using FORM NOS. TJISGSCR1 and TJISGSCV1. Forms shall be submitted no later than the fifteenth (15) day of month following the month for which data is being reported.
General sessions courts and municipal courts with general sessions jurisdiction having an automated case management system shall report the collected data in accordance with the guidelines by diskette or e-mail submission.
III. Procedure for designation of presiding judges; assignment of cases; cases under advisement. — The following procedures are instituted in the thirty-one (31) judicial districts of this state.
a. Presiding judge. In each judicial district all judges will select one from their number to serve as presiding judge beginning September 1 of each year. In August of each year, the judges within each district shall assemble at the call of the presiding judge and select a successor to such presiding judge who shall serve until September 1 of the next succeeding year. A presiding judge shall be eligible to succeed him or herself. If upon any selection date the judges in any district fail to choose or are unable to agree upon the selection of a presiding judge, the Chief Justice of the Supreme Court shall designate one of their number to serve.
b. Assignment of cases. Cases shall be assigned by, or under the supervision of the presiding judge, and all judges will hear and determine cases without regard to their nature or the category of cases normally heard, and determined by any particular judge.
The major objective of presiding judges should be to achieve an equitable distribution of the workload and an equal sharing of the bench and chamber time necessary to dispose of the total case load within acceptable time limits.
c. Cases under advisement. No case may be held under advisement in excess of sixty days and no motion, or other decision of the trial judge that delays the date of trial or final disposition in the trial court, shall be held under advisement for more than thirty days, absent the most compelling of reasons. (See T.C.A. § 20-9-506). A MOTION TO RENDER DECISION may be filed with the presiding judge and the circuit justice, or either of them by any attorney of record in a case, setting out the facts said to constitute a failure to comply with this rule.
d. It shall be the duty of the presiding judge to:
(1) Reduce docket delays and hold congestion to a minimum;
(2) Seek and maintain an equitable distribution of the workload and an equal sharing of the bench and chambers time necessary to dispose of the business of the district;
(3) Promote the orderly and efficient administration of justice within the district;
(4) Take immediate and affirmative action to correct or alleviate any caseload imbalance, or any condition adversely affecting the administration of justice within the district; and
(5) To effectuate the above duties, the presiding judge may assign cases to judges and chancellors within the district. In assigning cases, the presiding judge shall, whenever possible and not detrimental to the orderly and efficient administration of justice, give due regard to the court upon which the judge or chancellor serves, the judge's or chancellor's particular background, experience and preference and economy of judicial travel time.
e. If a presiding judge finds that he/she is unable to correct a caseload imbalance or reduce docket delays utilizing the available judges within the district, it shall be the affirmative duty of such presiding judge to contact the circuit justice for that judicial district. (See T.C.A. § 16-2-509).
IV. Assignment of judges. — The director of the Administrative Office of the Courts has been instructed to make a continuing survey of case loads, docket congestion and related matters.
Circuit and criminal judges and chancellors will be assigned from time to time by order of the Supreme Court to hold court in other circuits and divisions when necessary to promote the orderly and efficient administration of justice.
V. Circuit justices. — In order to supervise the procedures herein set forth and to carry out the general supervisory power of this Court, each member of the Supreme Court has been designated as Circuit Justice for the judicial districts as follows:
The 1st, 2nd, 3rd, 4th, 5th, 6th, 7th and 8th Judicial Districts.
The 9th, 10th, 11th, 12th, 13th and 31st Judicial Districts.
The 14th, 15th, 16th, 18th, 19th and 20th Judicial Districts.
The 17th, 21st, 22nd, 23rd, 24th and 26th Judicial Districts.
The 25th, 27th, 28th, 29th and 30th Judicial Districts.
It shall be the responsibility of the Circuit Justices to aid, assist and supervise in the responsibility of this rule, under the Chief Justice who is recognized to be the executive head of the Judicial Department of Tennessee.
VI. Administration of the Civil Legal Representation of Indigents Fund.
a.(1) Revenue deposited into the Civil Legal Representation of Indigents Fund in the Office of the State Treasurer, pursuant to Public Acts, 1995, Chapter 550 and Public Acts, 1999, Chapter 502, shall be paid quarterly by the Treasurer to the four not-for- profit legal organizations listed below, in the corresponding percentage listed by each organization. This funding percentage, like the funding percentage to each organization within the Legal Services Corporation, is based on the poverty populations of the service area of each organization:
| Memphis Area Legal Services | 22.20% |
| Legal Aid Society of East Tennessee | 31.37% |
| West Tennessee Legal Services | 10.56% |
| Legal Aid Society of Middle Tennessee and the Upper Cumberlands | 35.87% |
(2) Pursuant to Public Acts, 2001, Chapter 456, twenty-five percent (25%) of the proceeds deposited into the Civil Legal Representation of Indigents Fund, as a result of Public Chapter 456, shall be paid to the Tennessee Association of/Alliance for Legal Services, a statewide non-profit organization providing continuing legal education, technology support, planning assistance, resource development and other support to organizations delivering civil legal representation to indigents. The remainder of the fund shall be paid to the four not-for-profit organizations listed in a(1) in the corresponding percentages. [Amended by order filed December 18, 2001]
b. Funds paid to the not-for-profit organizations listed above shall be used for expenses incurred in the legal representation of poor persons in civil matters by either staff attorneys of the organizations or volunteer attorneys in pro bono programs organized and administered by local bar associations in this State.
c. Each of the not-for-profit organizations receiving funding shall report annually to the Administrative Director of the Courts as to the allocation and expenditure of the funding received. The report shall be prepared in a manner prescribed by the Administrative Director of the Courts, which shall include a description of legal aid activities provided in each county, and a description of the efforts of the legal aid organization designed to foster and encourage the involvement of volunteer attorneys in the delivery of legal services to the poor.
d. Each not-for-profit organization receiving monies from the Fund shall provide a copy of its audited financial statements for the preceding calendar year to the Administrative Director of the Courts on or before June 30th of each year.
e. All unexpended or uncommitted funds received by a designated not-for-profit organization during its fiscal year shall be returned by the organization to the State Treasurer, which monies will be distributed the following year to the participating organization in accordance with paragraph (a).
f. A designated organization's receipt of monies from the Fund shall be conditioned upon the organization's adherence to the underlying principles of the American Bar Association's Standards for Providers of Civil Legal Services to the Poor.
g. The Administrative Director of the Courts annually shall prepare and distribute to the members of the Supreme Court and to the Judiciary Committees of the General Assembly:
(1) a report detailing the expenditure of monies from the Fund;
(2) a copy of any rules and policies adopted by the Supreme Court governing the expenditure and application of monies from the Fund.
VII. Courts to be Open; Substitute Judges.
a. Pursuant to the inherent powers of the Supreme Court ( see Art. I, § 1, Tennessee Constitution, Tenn. Code Ann. § 16-3-503, Tenn. Code Ann. § 16-3-504) and in discharge of the Court's responsibility to ensure the harmonious, efficient and uniform operation of the judicial system ( see Tenn. Code Ann. § 16-3-501), this rule is adopted for the purpose of implementing the provisions of Tenn. Code Ann. § 16-2-509; § 16-3-502(2) and (3); § 17-2-118 and Tenn. Code Ann. § 17-2-201 et seq. and § 17-2-304 so as to accomplish the mandate of Art. I, § 17 of the Tennessee Constitution.1
1 This rule is promulgated pursuant to the Court's rule making power. It is not an adjudication of the validity or meaning of any of these statutes, and it does not address the meaning, validity, or constitutionality of the statute here pertinent.
b. Courts to be Open. Art. I, § 17 of the Tennessee Constitution provides that “[a]ll courts shall be open; and every man for an injury . shall have remedy by due course of law, and right and justice administered without sale, denial, or delay.”In furtherance of this constitutional mandate, it is the policy of the Tennessee Judicial Department that all courts of this state shall be open and available for the transaction of business except on Saturdays, Sundays, legal holidays, and during meetings of the Tennessee Judicial Conference required by law. This rule sets forth the procedure which shall be followed when a judge of a trial court of record is absent.
c. Substitute Judges. Where a judge of a trial court of record is incompetent to try any case pending before that judge, as provided in Tenn. Code Ann. § 17-2-202, or the judge of a trial court of record fails to attend or is unable to hold court, as provided in Tenn. Code Ann. § 17-2-118, the following procedure shall be followed, in the sequence designated, for the selection of a substitute judge.
(1) The judge shall seek interchange in accordance with Tenn. Code Ann. § 17-2-201 et seq.;
(2) The judge shall apply to the presiding judge of the judicial district to effect an interchange with a judge of that judicial district in accordance with Tenn. Code Ann. § 16-2-509(d);
(3) The presiding judge of the judicial district shall effect an interchange with a judge from another judicial district in accordance with Tenn. Code Ann. § 16-2-509(e);
(4) The presiding judge shall request from the director of the Administrative Office of the Courts the designation of a judge by the chief justice, in accordance with Tenn. Code Ann. §§ 16-3-502(3)(A) and 17-2-110.
d. Only if the procedures set forth above fail to provide a judge to preside over the docket or case will a judge appoint a lawyer to preside as a substitute judge pursuant to Tenn. Code Ann. § 17-2-118. Appointments pursuant to this section will conform to the following requirements:
(1) An attorney who is appointed substitute judge must possess all the qualifications of a judge, including the age and residency requirements; and the attorney must be in good standing under the rules of this Court. The substitute judge shall be subject to the applicable provisions of the Code of Judicial Conduct, including Canon 8.
(2) The substitute judge shall take an oath of office as provided in Tenn. Code Ann. § 17-2-120, and the substitute judge shall certify compliance with this rule by affixing his or her signature to the consent form which is appended to this rule.
(3) The authority of a substitute judge to fix fees pursuant to Tenn. Code Ann. § 17-2-118 is limited to cases in which the exact amount of the fees is set by statute.
(4) The substitute judge must ensure that all litigants who are present at the beginning of each proceeding give their consent to the use of a substitute judge in their case. All litigants who are present at the beginning of the proceedings in a case and the attorneys of record for all parties who consent to the service of the substitute judge must complete Part B of the substitute judge consent form. Without such consent, the substitute judge shall not preside on that case. Part C of the substitute judge consent form must be completed by the substitute judge in each case on which that judge presides.
(5) The incompetent or absent judge must complete Part A of the substitute judge consent form. The judge must specify the reason for his or her incompetence or absence. If the judge cites absence for a cause other than a reason listed in Tenn. Code Ann. § 17-2-118(a), the specific reason for the absence must be set forth on the form.
(6) The clerk of the court shall certify that the appointment was made and that the substitute judge took the statutory oath of office and that the oath of office was filed in the clerk's office. The certification shall be made on Part D of the substitute judge consent form.
(7) At the end of each month, all substitute judge consent forms will be transmitted by the presiding judge of the judicial district to the Administrative Office of the Courts, Suite 600, Nashville City Center, 511 Union Street, Nashville, Tennessee 37243-0607, where they will be available for public inspection during regular business hours. Such forms shall be maintained on file at the Administrative Office of the Courts for at least eight (8) years after they are received.
e. This rule shall become effective on December 9, 1996.
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NOTICE: WITHOUT THE CONSENT OF ALL LITIGANTS OR THEIR ATTORNEYS, THE SUBSTITUTE JUDGE SHALL NOT PRESIDE ON THIS CASE.
Part A: (to be filled out by the absent judge)
1. Date(s) of Absence(s): _____________________
2. Reason(s) for Absence(s) ( Judge must give specific reason):
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