Rule 3.13. Gifts or Similar Benefits

Canon 4 – JUDGES SHALL REFRAIN FROM POLITICAL ACTIVITY

INAPPROPRIATE TO THEIR JUDICIAL OFFICE

49

Effective Date of Revised Code and Amendments

Appendix: Citations to Terminology

PREAMBLE AND SCOPE

Preamble

[1] 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.

[2] Every judge should strive to maintain the dignity appropriate to the judicial

office. 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. Judges should avoid

both impropriety and the appearance of impropriety in their professional and

personal lives. They should at all times exhibit behavior that ensures the greatest

possible public confidence in their independence, impartiality, integrity, and

competence. As a result, judges should be held to a higher standard, and should

conduct themselves with the dignity accorded their esteemed position.

[3] The Code of Judicial Conduct establishes standards for ethical conduct of judges

and judicial candidates. It consists of broad statements called Canons, specific

Rules as well as Commentary set forth under each Canon, a Preamble, a Scope, a

Terminology section, and an Application section. The text of the Canons and the

Rules, including the Terminology and the Application sections, is authoritative. The

Commentary and the Preamble and Scope, by explanation and example, provide

guidance with respect to the purpose and meaning of the Canons and the Rules.

Neither the Preamble and Scope nor the Commentary is intended as a statement of

additional Rules

, and an Application section. The text of the Canons and the

Rules, including the Terminology and the Application sections, is authoritative. The

Commentary and the Preamble and Scope, by explanation and example, provide

guidance with respect to the purpose and meaning of the Canons and the Rules.

Neither the Preamble and Scope nor the Commentary is 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 are grounds for disciplinary action. When

“should” or “should not” is used, the text is intended as an advisory statement of

what is or is not appropriate conduct, and the violation of which may be grounds for

disciplinary action. When “may” is used, it denotes permissible discretion or,

depending on the context, it refers to action that is not covered by specific

proscriptions.

Paragraph [3] amended effective September 22, 2016.

Scope

[1]-[3] Reserved.

[4] The Code of Judicial Conduct is not intended as an exhaustive guide for the

conduct of judges and judicial candidates. They should also be governed in

their professional and personal conduct by general ethical standards. Judges

and judicial candidates should strive to achieve the highest ethical standards,

even if not required by this Code. The mandatory provisions of the Canons

and the Rules describe the basic minimal ethical requirements that should

govern the behavior of all judges and judicial candidates, and provide guidance

to assist them in establishing and maintaining high standards of professional

and personal conduct.

candidates should strive to achieve the highest ethical standards,

even if not required by this Code. The mandatory provisions of the Canons

and the Rules describe the basic minimal ethical requirements that should

govern the behavior of all judges and judicial candidates, and provide guidance

to assist them in establishing and maintaining high standards of professional

and personal conduct.

[5] The Canons and the Rules should be applied as rules of reason consistent

with constitutional requirements, statutes, other court rules, and decisional law,

including advisory opinions issued by the Judicial Qualifications Commission,

as well as 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, or on judges’ First Amendment rights of freedom of

speech and association.

[6] The Canons and the Rules are intended to govern conduct of judges and

judicial candidates, and in certain circumstances 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.

[7] The Code is designed to provide guidance to judges and judicial candidates

and to provide a structure for regulating conduct through disciplinary agencies.

It is not designed for nor intended as a basis for civil liability or criminal

prosecution. Neither is it intended to be the basis for litigants to seek collateral

remedies against each other or to obtain tactical advantages in proceedings

before a court.

ned to provide guidance to judges and judicial candidates

and to provide a structure for regulating conduct through disciplinary agencies.

It is not designed for nor intended as a basis for civil liability or criminal

prosecution. Neither is it intended to be the basis for litigants to seek collateral

remedies against each other or to obtain tactical advantages in proceedings

before a court.

TERMINOLOGY

The terms defined below are noted using italic print in the Rules, Preamble

and Scope, Application and Terminology sections of this Code. In the

Commentary, which is presented using italic print, these defined terms are

noted by use of regular print. The Code’s concluding Appendix to Citations

of Terminology lists specific Canons, Rules, and Commentary where defined

terms are used.

Introduction amended effective September 22, 2016.

“Aggregate,” in relation to contributions for a judicial candidate, means not

only contributions in cash or in kind made directly to a judicial candidate or

the judicial candidate’s campaign committee within the current or immediately

preceding election cycle, but also all contributions made indirectly or

independently with the knowledge that they will be used to influence the

election.

“Appropriate action” means action intended and reasonably likely to prevent

harm to the justice system and help the judge or lawyer in question address the

problem. Appropriate action may include, but is not limited to, communicating

directly with the judge who may have violated this Code, communicating with

a supervising judge, or reporting the suspected violation to the appropriate

authority or other agency or body. Similarly, actions to be taken in response

to information indicating that a lawyer has committed a violation of the Rules

of Professional Conduct may include, but are not limited to, communicating

directly with the lawyer who may have committed the violation, or reporting

the suspected violation to the appropriate authority or other agency or body.

ropriate

authority or other agency or body. Similarly, actions to be taken in response

to information indicating that a lawyer has committed a violation of the Rules

of Professional Conduct may include, but are not limited to, communicating

directly with the lawyer who may have committed the violation, or reporting

the suspected violation to the appropriate authority or other agency or body.

“Appropriate authority” denotes the authority with responsibility for

initiation of disciplinary process with respect to the violation to be reported,

which in most cases is the Judicial Qualifications Commission.

“Campaign committee” is defined as that term is defined by the “Georgia

Government Transparency and Campaign Finance Act of 2010” (OCGA § 21-

5-3), as may be amended from time to time.

“Campaign contribution disclosure report” is defined as that term is defined

by the “Georgia Government Transparency and Campaign Finance Act of

2010” (OCGA § 21-5-3), as may be amended from time to time.

“Comment” in connection with a case refers to evaluative statements judging

the professional wisdom of specific lawyering tactics or the legal correctness

of particular court decisions. In contrast, it does not mean the giving of

generally informative explanations to describe litigation factors including the

prima facie legal elements of case types pending before the courts, legal

concepts such as burden of proof and duty of persuasion or principles such as

innocent until proven guilty and knowing waiver of constitutional rights,

variable realities illustrated by hypothetical factual patterns of aggravating or

mitigating conduct, procedural phases of unfolding lawsuits, the social policy

goals behind the law subject to application in various cases, as well as

competing theories about what the law should be.

“Contribution” is defined as that term is defined by the “Georgia Government

Transparency and Campaign Finance Act of 2010” (OCGA § 21-5-3), as may

be amended from time to time.

ggravating or

mitigating conduct, procedural phases of unfolding lawsuits, the social policy

goals behind the law subject to application in various cases, as well as

competing theories about what the law should be.

“Contribution” is defined as that term is defined by the “Georgia Government

Transparency and Campaign Finance Act of 2010” (OCGA § 21-5-3), as may

be amended from time to time.

“De minimis” denotes an insignificant interest that could not raise reasonable

question as to a judge’s impartiality.

“Degree of relationship” means relatives within a specified range of kinship,

such as the third or the sixth degree of relationship. By the civil law, this

calculation is taken from the first person in interest up to the common relative,

and then down again to the second person in interest. Each step is counted as

one degree. See Watkins v. State, 125 Ga. 143, 144 (53 SE 1024) (1906).

“Domestic partner” means a person with whom another person maintains a

household and an intimate relationship, other than a person to whom he or she

is legally married.

“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 pending proceeding or impending matter 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,

domestic partner or intimate partner, 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

officer,

director, advisor, or other active participant in an educational, religious,

charitable, fraternal, or civic organization, or service by a judge’s spouse,

domestic partner or intimate partner, 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, or the proprietary interest of a policyholder in a mutual

insurance company, or of a depositor in a mutual savings association, is not an

economic interest in the organization unless a pending proceeding or

impending matter 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 pending proceeding or impending matter before the judge

could substantially affect the value of the securities held by the judge.

“Election cycle” is defined as set forth in the “Georgia Government

Transparency and Campaign Finance Act of 2010” (OCGA § 21-5-3), as may

be amended from time to time.

“Family” means a spouse, domestic partner, intimate partner, child,

grandchild, parent, grandparent, or other relative or person or in-laws thereof

with whom the judge maintains a close familial relationship.

“Fiduciary” includes such relationships as executor, administrator, trustee,

guardian, or conservator.

“Financial disclosure statement” is defined as set forth in the “Georgia

Government Transparency and Campaign Finance Act of 2010” (OCGA § 21-

5-50), as may be amended from time to time.

“Impartial,” “impartiality,” and “impartially” mean absence of bias or

prejudice in favor of, or against, a particular party, parties, or classes of parties,

as well as maintenance of an open mind in considering issues that may come

before a judge.

“Impending matter” is a matter or judicial proceeding that is imminent or

expected to occur in the near future.

be amended from time to time.

“Impartial,” “impartiality,” and “impartially” mean absence of bias or

prejudice in favor of, or against, a particular party, parties, or classes of parties,

as well as maintenance of an open mind in considering issues that may come

before a judge.

“Impending matter” is a matter or judicial proceeding that is imminent or

expected to occur in the near future.

“Impropriety” includes conduct that violates the law, court rules, or

provisions of this Code; or conduct that undermines a judge’s independence,

integrity, or impartiality; or conduct prejudicial to the administration of justice

that brings the judiciary into disrepute.

“Independence” means a judge’s freedom from influence or controls other

than those established by law.

“Integrity” means probity, fairness, honesty, uprightness, and soundness of

character.

“Intimate partner” means a person with whom another person maintains an

intimate relationship, other than a person to whom he or she is legally married.

“Invidious discrimination” is any action by an organization that characterizes

a person’s age, disability, ethnicity, gender or sex, marital status, national

origin, race, religion, or sexual orientation as odious or as signifying

inferiority, which therefore is used to justify arbitrary exclusion of persons

possessing those traits from membership, position, or participation in the

organization.

dious discrimination” is any action by an organization that characterizes

a person’s age, disability, ethnicity, gender or sex, marital status, national

origin, race, religion, or sexual orientation as odious or as signifying

inferiority, which therefore is used to justify arbitrary exclusion of persons

possessing those traits from membership, position, or participation in the

organization.

“Judicial candidate” is a person, including an incumbent judge, 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: (1) appoints

or forms a campaign committee, (2) makes a public announcement of

candidacy, (3) declares, files or qualifies as a candidate with the election or

appointment authority, or (4) authorizes solicitation or acceptance of

contributions or support. A person who is announced as the appointee to fill a

judicial position by the Governor or other appointing authority, or who is

certified as elected to a judicial position, continues to be a judicial candidate

until he or she is sworn into office. Judicial candidates who do not currently

hold judicial office are subject to the same Code provisions as judges pro

tempore.

Text amended effective November 1, 2018.

“Knowingly,” “knowledge,” “known,” or “knows” denotes actual

knowledge of the fact in question. A person’s knowledge may be inferred from

circumstances.

“Law” denotes court rules as well as statutes, constitutional provisions,

judicial emergency orders filed by a Chief Judge or the Chief Justice pursuant

to OCGA §§ 38-3-61 and 38-3-62, and decisional law, including the Code of

Judicial Conduct and Advisory Opinions of the Judicial Qualifications

Commission.

Text amended effective July 20, 2020.

“Member of a 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

by a Chief Judge or the Chief Justice pursuant

to OCGA §§ 38-3-61 and 38-3-62, and decisional law, including the Code of

Judicial Conduct and Advisory Opinions of the Judicial Qualifications

Commission.

Text amended effective July 20, 2020.

“Member of a 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 is residing or has resided in the judge’s

household.

“Non-public information” denotes information that, by law, is not available

to the public. Non-public information may include, but is not limited to,

information that is sealed by statute or court order or impounded or

communicated in camera, and information offered in grand jury proceedings,

presentencing reports, dependency cases, or psychiatric reports.

“Pending proceeding” is a proceeding that has commenced. A matter

continues to be pending through any appellate process until final disposition.

“Personally solicit” means a direct request made by a judge or a judicial

candidate for financial support or in-kind services, whether made by letter,

telephone, e-mail, social media, or any other means of communication.

“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 or public office. For purposes of this Code, the term does not include

a judicial candidate’s campaign committee.

“Public election” includes primary and general elections; it includes partisan

elections and nonpartisan elections and may include (as context demands)

retention elections.

roup, the principal

purpose of which is to further the election or appointment of candidates to

political or public office. For purposes of this Code, the term does not include

a judicial candidate’s campaign committee.

“Public election” includes primary and general elections; it includes partisan

elections and nonpartisan elections and may include (as context demands)

retention elections.

“Require” means a judge is to exercise reasonable direction and control over

the conduct of those persons subject to the judge’s direction and control. The

rules prescribing that a judge “require” certain conduct of others are, like all of

the rules in this Code, rules of reason.

“Serious crime” means any felony; any lesser crime that reflects adversely on

the judge’s honesty, trustworthiness, or fitness as a judge in other respects;

crimes involving moral turpitude; driving under the influence of drugs and/or

alcohol; unlawful possession of any controlled substance; or any crime a

necessary element of which, as determined by the statutory or common law

definition of the crime, involves interference with the administration of justice,

false swearing, misrepresentation, fraud, deceit, bribery, extortion,

misappropriation, theft, or willful failure to file income tax returns, or an

attempt, conspiracy, or solicitation of another to commit a serious crime.

“Support” is defined as non-monetary assistance to a candidate.

APPLICATION

Anyone, whether or not a lawyer, who performs judicial functions under the

Constitution and laws of Georgia, including an associate judge, senior judge,

special master, magistrate, or municipal judge, or any person who is a judicial

candidate for any such office, is a judge for the purpose of this Code. All

judges, whether full-time, part-time, or pro tempore, shall comply with this

Code except as provided below.

a lawyer, who performs judicial functions under the

Constitution and laws of Georgia, including an associate judge, senior judge,

special master, magistrate, or municipal judge, or any person who is a judicial

candidate for any such office, is a judge for the purpose of this Code. All

judges, whether full-time, part-time, or pro tempore, shall comply with this

Code except as provided below.

Commentary:

[1] The Rules in this Code have been formulated to address the ethical

obligations of any person who serves a judicial function. They are premised

upon the supposition that a uniform system of ethical principles should apply

to all those authorized to perform judicial functions. Further, regardless of

the title used by a governing body to designate a judge, besides full-time, there

shall be only two other types, part-time and pro tempore, as defined below.

[2] Some officials may be made subject to the ethical obligations set

forth in this Code by statute, regulation, or other laws. See, e.g., OCGA § 34-

9-42 (b); Ga. Comp. R. & Regs., r. 616-1-1-.06. Such officials are judges for

the purpose of this Code.

A. Part-time Judges

A part-time judge is a person selected to serve as a judge on a periodic or

continuing basis, but is permitted by law to devote time to some other

profession or occupation, including the private practice of law. Part-time

judges:

(1) are not required to comply with Rules 3.4 [extra-judicial

appointments], 3.8 [fiduciary activities], 3.9 [arbitration and mediation], 3.10

[practice of law], and 3.15 (A) (1) [annual financial reporting of extra-judicial

compensation].

ontinuing basis, but is permitted by law to devote time to some other

profession or occupation, including the private practice of law. Part-time

judges:

(1) are not required to comply with Rules 3.4 [extra-judicial

appointments], 3.8 [fiduciary activities], 3.9 [arbitration and mediation], 3.10

[practice of law], and 3.15 (A) (1) [annual financial reporting of extra-judicial

compensation].

(2) shall not practice law in the court on which they serve, or act as

lawyers in proceedings for which they have served as judges or in any

proceeding related thereto; nor should they practice law in any court over

which the court they serve as a part-time judge conducts appellate review.

Paragraph (1) amended effective September 22, 2016.

Commentary:

To illustrate: (i) part-time, lawyer judges of a Municipal Court,

Magistrate Court, Probate Court, or Juvenile Court perform no appellate

review, and therefore can practice law in any court other than their own; (ii)

part-time State Court judges can practice law in any court other than their

own, except where a State Court exercises appellate review over a Magistrate

or Municipal Court, in which case such a part-time State Court judge cannot

practice law in those Magistrate or Municipal Courts; (iii) inasmuch as the

law [see OCGA § 5-4-1, and OCGA § 15-6-8 (3), (4)] permits writ of certiorari

review and appellate review by Superior Courts for the correction of errors as

well as to supervise and correct judgments in all inferior tribunals such as

Magistrate Courts, or Municipal Courts or councils, any inferior judicature,

or over any person exercising judicial power, in most instances a part-time

judge sitting as a Superior Court judge may nevertheless practice law in any

such inferior judicatories in the circuit where that part-time judge presided as

a Superior Court judge

rvise and correct judgments in all inferior tribunals such as

Magistrate Courts, or Municipal Courts or councils, any inferior judicature,

or over any person exercising judicial power, in most instances a part-time

judge sitting as a Superior Court judge may nevertheless practice law in any

such inferior judicatories in the circuit where that part-time judge presided as

a Superior Court judge. The restriction on practice of law by a part-time judge

derives from the appellate jurisdiction of the court where that judge serves

part-time, not from the appellate review power of another court to which that

part-time judge may be called to serve as a judge, such as to a Superior Court.

B. Judges Pro Tempore

A judge pro tempore is a person, usually a practicing attorney, who is not

otherwise a part-time judge, who is appointed to serve during any calendar year

for a specific case or trial calendar, and who thereby serves as a judge

temporarily rather than on a periodic or continuing basis.

(1) While acting as such, a judge pro tempore is not required to comply

with Rules 3.4 [extra-judicial appointments], 3.8 [fiduciary activities], 3.9

[arbitration and mediation], 3.10 [practice of law], 3.11 [financial activities],

and 3.15 (A) (1) [annual financial reporting of extra-judicial compensation].

(2) Persons who have served as judges pro tempore shall not act as

lawyers in proceedings in which they have served as judges, or in other

proceedings related thereto.

.4 [extra-judicial appointments], 3.8 [fiduciary activities], 3.9

[arbitration and mediation], 3.10 [practice of law], 3.11 [financial activities],

and 3.15 (A) (1) [annual financial reporting of extra-judicial compensation].

(2) Persons who have served as judges pro tempore shall not act as

lawyers in proceedings in which they have served as judges, or in other

proceedings related thereto.

(3) After a second designation, together with actual performance of

judicial functions in a particular court as a judge pro tempore, as well as during

any period when performing judicial functions as a judge pro tempore, such a

judge pro tempore becomes ineligible to practice law during the remainder of

the calendar year in the court served as a judge pro tempore, while remaining

eligible to serve as a judge on subsequent occasions. These provisions shall

not apply to service as a special master.

Paragraph (1) amended effective September 22, 2016.

Commentary:

[1] These Rules contemplate greater employment of standard judicial

assistance law, such as OCGA §§ 15-1-9.1, 15-6-13, 15-7-25, 15-8-3, 15-9-13,

15-10-221, or 15-11-23, as well as use of senior judges, rather than

designating practicing attorneys to function as judges for special situations

resulting from judicial disqualification, personal emergency, or considerations

of more effective caseload management. The rules are intended to endorse

appointment or service by a lawyer as a judge pro tempore only for brief and

infrequent periods of time.

[2] Judicial candidates who do not currently hold judicial office are

subject to the same Code provisions as judges pro tempore. See Terminology

Section, definition of judicial candidate.

Commentary redesignated as [1] and Commentary [2] added effective November 1, 2018.

C. Time for Compliance

nt or service by a lawyer as a judge pro tempore only for brief and

infrequent periods of time.

[2] Judicial candidates who do not currently hold judicial office are

subject to the same Code provisions as judges pro tempore. See Terminology

Section, definition of judicial candidate.

Commentary redesignated as [1] and Commentary [2] added effective November 1, 2018.

C. Time for Compliance

A person to whom this Code becomes applicable shall comply immediately

with all provisions of this Code except Rules 3.8 [fiduciary activities] and 3.11

(B), (C), (D), (E), or (F) [personal and family financial activities], but shall

comply with these Rules as soon as reasonably possible and shall do so in any

event within the period of one year from commencing service as a judge.

Commentary:

If serving as a fiduciary when selected as a judge, a new judge may

notwithstanding the prohibitions in Rule 3.8, continue to serve, 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 a year.

Similarly, if engaged at the time of judicial selection in business activity, a new

judge may, notwithstanding the prohibitions in Rule 3.11 (B), (C), and (D),

continue in that activity for a reasonable period, but in no event longer than a

year.

D. Ongoing Disciplinary Authority

In addition to the foregoing, the appropriate authority for judicial discipline

shall have continuing jurisdiction over individuals to whom this Code is

applicable regarding allegations of misconduct occurring during the

individual’s service as a judge, judicial candidate, or an officer of a judicial

system, if a complaint is filed no later than one year following that service.

CANONS, RULES, AND COMMENTARY

Canon 1

JUDGES

SHALL

UPHOLD

THE

INDEPENDENCE,

INTEGRITY, AND IMPARTIALITY OF THE JUDICIARY

AND

SHALL

AVOID

IMPROPRIETY

AND

THE

APPEARANCE OF IMPROPRIETY IN ALL OF THEIR

ACTIVITIES.