Part 100 Navigation Guide

It may not always be intuitive where to find relevant provisions of the Rules Governing Judicial Conduct (22 NYCRR part 100). This informal outline is an effort to provide highlights of the Rules, plus a list of some additional principles that underlie many Advisory Committee opinions.

The "Pro Tip" annotations are comments by the Chief Counsel; while they are intended to draw attention to various aspects of the Rules, they do not and cannot provide the safe harbor of an Advisory Committee opinion.  

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Highlights of the Rules Governing Judicial Conduct

This outline is intended to help judges understand where to find certain commonly cited provisions of 22 NYCRR part 100.

 

Preamble

100.0 Terminology

Pro Tip: Many seemingly common words are used as defined terms.

100.1 Uphold the Integrity and Independence of the Judiciary

100.2 Avoid Impropriety and the Appearance of Impropriety in All of the Judge’s Activities

  • Prestige of judicial office - 100.2(C)
  • “Character witness” rule - 100.2(C)

Pro Tip: 100.2(C) has been applied to reference letters and “intervention” in judicial proceedings or governmental applications.

  • Invidious discrimination - 100.2(D)

100.3 Perform the Duties of Judicial Office Impartially and Diligently

  • Judicial duties take precedence - 100.3(A)
  • Adjudicative Duties - 100.3(B)
    • Order and decorum, patience and courtesy - 100.3(B)(2)-(3)
    • Bias and prejudice - 100.3(B)(4)-(5)
    • Ex parte communications - 100.3(B)(6)
    • “Public comment” rule - 100.3(B)(8)
    • Commending or criticizing jury verdict - 100.3(B)(10)
    • Non-public information - 100.3(B)(11)
  • Administrative Duties - 100.3(C)
  • Disciplinary Responsibilities - 100.3(D)
Pro Tip: 100.3(D) is read strictly; it refers only to “a lawyer” or “another judge.”
  • Disqualification (Conflicts) - 100.3(E); see also Judiciary Law § 14
    • “keep informed” about personal and fiduciary interests - 100.3(E)(2)
    • Spouse or minor child in household - 100.3(E)(1)(c)
    • Fourth-degree relative (first cousin or closer by blood or marriage) - 100.3(E)(1)(e)
    • Sixth-degree relative (second cousins or closer by blood or marriage) - 100.3(E)(1)(d)
  • Remittal (waiver) of disqualification - 100.3(F)
    But disqualification on some bases cannot be remitted/waived, such as:
    • Personal bias or prejudice*
    • Served as a lawyer*
    • Has been a material witness*
    • Second-degree relative (sibling or closer by blood or marriage) in court as witness or attorney*
    • Sixth-degree relative (second cousin or closer by blood or marriage) is a party*
Pro Tip: 100.3(F) is read strictly, giving meaning to each word and phrase.

100.4 Conduct Extra-Judicial Activities to Minimize the Risk of Conflict With Judicial Obligations

  • Appearing before an executive or legislative body - 100.4(C)(1)†
  • Appointment to governmental positions - 100.4(C)(2)(a)†
  • Peace officer or police officer status - 100.4(C)(2)(b)
     
  • Entities devoted to the law, the legal system, or the administration of justice & not-for-profit educational, religious, charitable, cultural, fraternal or civic organizations - 100.4(C)(3)(a)(i)-(ii)
  • Fund-raising or membership solicitation - 100.4(C)(3)(b)(i)-(ii), (iv)
  • Speaker or guest of honor - 100.4(C)(3)(b)(ii)
  • Recommendations to fund-granting organizations on law-related projects or programs - 100.4(C)(3)(b)(iii)
     
  • Financial and business dealings - 100.4(D)(1)
  • Investments - 100.4(D)(2), 100.4(D)(3)(b), 100.4(D)(4)

Pro Tip: 100.0(D) defines "economic interest." For disqualification purposes, there are significant distinctions between an interest in a mutual or common investment fund or government security (100.0[D][1], [3]) and an interest in securities of a corporate litigant (Judiciary Law § 14).

  • “Active participant” in business entity - 100.4(D)(3)†
     
  • Gifts - 100.4(D)(5)
     
  • Fiduciary activities - 100.4(E)(1)-(2);† see also Part 36
  • Arbitration and mediation - 100.4(F);† see also NY Const VI § 20(b)(4)
  • Practice of law - 100.4(G);† see also NY Const VI § 20(b)(4)
     
  • Compensation and reimbursement - 100.4(H)-(I);† see also Part 40†

Pro Tip: The  UCS Ethics Commission handles annual financial disclosures under Part 40.

100.5 Refrain From Inappropriate Political Activity

  • “Direct or Indirect” political activity forbidden - 100.5(A)(1)

Pro Tip: Judges may enroll in a political party and vote, including in a primary. This has been extended to allow them to sign nominating or designating petitions at any time. (Passing petitions is political activity.)

  • Running for judicial office - 100.5(A)(2)-(7)

Pro Tip: The “window period” for permissible political activity applies only to those seeking election or re-election to judicial office (not appointment).

Pro Tip: The Judicial Campaign Ethics Center gives speedy responses on campaign ethics inquiries.

  • “Resign to Run” rule (nonjudicial office) - 100.5(B)

Pro Tip: “candidate” definition covers how and when one becomes a candidate - 100.0(A)

  • Limitations on political activities of judge's personal appointees - 100.5(C); see also Part 50

Pro Tip: The Nonjudicial Ethics Helpline (888-283-8442) interprets Part 50.

100.6 Application of the Rules of Judicial Conduct

  • Exemptions for part-time judges - 100.6(B)(1)†
  • Outside employment for part-time judges - 100.6(B)(4)
  • Limitations on legal practice for part-time judges - 100.6(B)(2)-(5); see also Judiciary Law  §§ 16-17, 471.

Note: † = Rule distinguishes between part-time and full-time judges.

 

Supplement: Some Additional Principles and Where to Find Them

  • Promote public confidence in the judiciary’s integrity and impartiality - 100.2(A)
    • Pledges, promises, and commitments - 100.3(B)(9), 100.5(A)(4)(d), 100.3(E)(1)(f)
    • No influence from family, social, political or other relationships - 100.2(B)
    • No bias/prejudice in adjudication - 100.3(B)(4)
    • No bias/prejudice in administration - 100.3(C)(1)
    • Curbing bias/prejudice in court staff, lawyers, and others -  100.3(B)(4)-(5)
  • Professional competence in the law - 100.3(B)(1) & judicial administration - 100.3(C)(1)
    • Respect and comply with the law, be faithful to it - 100.2(A), 100.3(B)(1)
  • Prompt, efficient, fair in adjudicating matters - 100.3(B)(7)
    • Facilitating ability of pro se litigant to have matter fairly heard - 100.3(B)(12)
    • Fidelity and diligence of staff and court officials - 100.3(C)(2)
    • Diligently discharge administrative responsibilities - 100.3(C)(1)
  • Cooperation with other judges and court officials in court administration - 100.3(C)(1)