# MAJOR CANONS OF THE MODEL RULES OF JUDICIAL CONDUCT ADOPTED BY THE AMERICAN

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## Record

- **Collection:** Tribal code
- **Document type:** Tribal code

## Text

APPENDIX D

MAJOR CANONS OF THE MODEL RULES OF JUDICIAL CONDUCT ADOPTED BY THE AMERICAN
BAR ASSOCIATION15

CANON 1
A JUDGE SHALL UPHOLD THE INTEGRITY AND INDEPENDENCE OF THE JUDICIARY
An independent and honorable judiciary is indispensable to justice in our society. A judge should participate in
establishing, maintaining and enforcing high standards of conduct, and 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.
CANON 2
A JUDGE SHALL AVOID IMPROPRIETY AND THE APPEARANCE OF IMPROPRIETY IN ALL OF THE
JUDGE’S ACTIVITIES
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.
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.
C. A judge shall not hold membership in any organization that practices invidious discrimination on the basis of
race, sex, religion or national origin.
CANON 3
A JUDGE SHALL PERFORM THE DUTIES OF JUDICIAL OFFICE IMPARTIALLY AND DILIGENTLY
A. Judicial Duties in General. The judicial duties of a judge take precedence over all 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 required order and decorum in proceedings before the judge.

15 These rules are the governing principles for judicial conduct in the Crow Tribal Court. CLOC 3-3-306. Removal
of a Judge. (1) Any Crow Tribal Judge may be removed for cause, and cause for removal of a Judge shall be
limited to abuse of office in violation of the American Bar Association’s Model Code of Judicial Conduct (1990),
habitual intemperance, or conviction of any other offense enumerated in this Code or the laws of the United States
or the States of the United States, not to include minor traffic offenses.
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(4)

A judge shall be patience, 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 official
and others subject to the judge’s direction and control.

(5)

A judge shall perform judicial duties without bias or prejudice. A judge shall not, in the performance of
judicial duties, by words or conduct manifest bias or prejudice, including but not limited to bias or prejudice
based on 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.

(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 communications, 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, with the 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.

(8)

A judge shall dispose of all judicial matters promptly, efficiently and fairly.

(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.

(10) A judge shall not disclose or use, for any purpose unrelated to judicial duties, nonpublic information acquired
in a judicial capacity.
C. Administrative Responsibilities.
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(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 fort 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.

(5)

A judge shall not appoint a lawyer to a position if the judge either knows that the lawyer has contributed
more than [ $ ] within the prior [ ] years to the judge’s election campaign, or learns of such a contribution
by means of a timely motion by a party or other person properly interested in the matter, unless
(a) the position is substantially uncompensated;
(b) the lawyer has been selected in rotation from a list of qualified and available lawyers compiled
without regard to their having made political contributions; or
(c) the judge or another presiding or administrative judge affirmatively finds that no other lawyer is
willing, competent and able to accept the position.

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 [ ] should take appropriate action. A judge having knowledge that a lawyer has committed
a violation of the [ ] 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.

(3)

Acts of a judge, in the discharge of disciplinary responsibilities, required or permitted by Sections 3D(1)
and 3D(2) are part of a judge’s judicial duties and shall be absolutely privileged, and no civil action
predicated thereon may be instituted against the judge.

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 where:
(a) the judge has a personal bias or prejudice concerning a party or a party’s lawyer, or personal
knowledge of disputed evidentiary facts concerning the proceeding;
(b) the judge served as a lawyer in the matter in controversy, 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.

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(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;

(e) the judge knows or learns by means of a timely motion that a party or a party’s lawyer has within the
previous [ ] year[s] made aggregate contributions to the judge’s campaign in an amount that is greater
than [ $ ] for an individual of [ $ ] for an entity.
(2)

A judge shall keep informed about the judge’s personal and fiduciary 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 o 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.
CANON 4
A JUDGE SHALL SO CONDUCT THE JUDGE’S EXTRA-JUDICIAL ACTIVITIES AS TO MINIMIZE THE
RISK OF CONFLICT WITH JUDICIAL OBLIGATIONS

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.

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.

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 interest.
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(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.
(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.
(a)

(b)

D.

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.

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 or other fund-raising activities, except that a judge may solicit
funds from other judges over whom the judge does not exercise supervisory or appellate
authority;

(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, except as permitted in Section 4C(3)(b)(I), if the
membership solicitation is essentially a fund-raising mechanism;

(iv)

shall not use or permit the use of the prestige of judicial office for fund-raising or
membership solicitation.

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.
(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.
(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

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(b) a business entity primarily engaged in investment of the financial resources of the judge or members of the
judge’s family.
(4) A judge shall manage 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 house not to
accept, a gift, bequest, favor or loan from anyone except for:

E.

(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 improvements of the law, the legal system or
the administration of justice;

(b)

a gift, award or benefit incident to the business, profession or other separate activity of a spouse or other
family member of a judge residing in the judge’s household, including gifts, awards and benefits for the
use of both the spouse or other family member and the judge (as spouse or family member), provided the
gift, award or benefit could not reasonably be perceived as intended to influence the judge in the
performance of judicial duties;

(c)

ordinary social hospitality;

(d)

a gift from a relative or friend, for a special occasion, such as a wedding, anniversary or birthday, if the
gift is fairly commensurate with the occasion and the relationship;

(e)

a gift, bequest, favor or loan from a relative or close personal friend whose appearance or interest in a
case would in any event require disqualification under Section 3E; a loan from a lending institution in its
regular course of business on the same terms generally available to persons who are not judges;

(f)

a scholarship or fellowship awarded on the same terms and based on the same criteria applied to other
applicants; or

(g)

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 or area 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.

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 the 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 served 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.

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.

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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 o and draft or review documents for a member of the judge’s
family.

H.

Compensation, Reimbursement and Reporting.

(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 and nature of any activity for which the judge received
compensation, and 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 court on which the judge serves or other office designated by law.

I.

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.
APPLICATION OF THE CODE OF JUDICIAL CONDUCT

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, special master or referee, is a judge within the
meaning of this Code. All judges shall comply with this Code except as provided below.
B. Retired Judge Subject to Recall. A retired judge subject to recall who by law is not permitted to practice law is
not required to comply:
(1) except while serving as a judge, with Section 4F; and
(2) at any time with Section 4E.
C. Continuing Part-time Judge. A continuing part-time judge:
(1) is not required to comply
(a) except while serving as a judge, with Section 3B(9); and
(b) at any time with Sections 4C(2), 4D(3), 4E(1), 4F, 4G, 4H, 5A(1), 5B(2) and 5D.
(2) 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 a judge or in any other proceeding related thereto.
D. Periodic Part-time Judge. A periodic part-time judge:
(1) is not required to comply
(a) except while serving as a judge, with Section 3B(9);
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(b) at any time, with Sections 4C(2), 4C(3)(a), 4D(1)(b), 4D(3), 4D(4), 4D(5), 4E, 4G, 4H, 5A(1), 5B(2)
and 5D.
(2) 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 a judge or in any other proceeding related thereto.
E. Pro Tempore Part-time Judge. A pro tempore part-time judge:
(1) is not required to comply
(a) except while serving as a judge, with Sections 2A, 2B, 3B(9) and 4C(1);
(b) at any time with Sections 2C, 4c(2), 4C(3)(a), 4C(3)(b), 4D(1)(b), 4D(3), 4D(4), 4D(5), 4E, 4F, 4G,
4H, 5A(1), 5A(2), 5B(2) and 5D.
(2) A person who has been a pro tempore part-time 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 [
Rule 1.12(a) of the ABA Model Rules of Professional Conduct].
F. 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 year.

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