Supreme Court Code of Judicial Conduct Task ForceJune 5, 2009
Washington State Supreme Court
Code of Judicial Conduct (CJC) Task Force
AOC Conference Room, SeaTac Office Center
SeaTac, Washington
Meeting Minutes
Friday, June 5, 2009
Members Present
Judge Joel M. Penoyar (co-chair)
Mr. C. Matthew Andersen
Ms. Marcine Anderson
Judge Mary Kay Becker
Ms. Margery L. Dickinson
Ms. Elizabeth Fraser
Judge John A. McCarthy
Judge Robert B. McSeveney
Justice Richard B. Sanders
Mr. John W. Sleeter
Judge Kenneth D. Williams
Judge Susan J. Woodard
Members Absent
Mr. Tom Fitzpatrick
Judge Alan R. Hancock (co-chair)
Justice Charles W. Johnson
Ms. Ruth Schroeder
Judge John Schultheis
AOC Staff
Ms. Nan Sullins
Ms. Caroline Tawes
INTRODUCTORY ITEMS
Call to Order and Introductions
Judge Penoyar, CJC Task Force co-chair, called the meeting to order at 9:13 a.m. He asked if there were any changes or comments to the draft minutes from the April 13, 2009, meeting.
Moved, seconded, and carried: to approve the April 13 meeting minutes with no changes.
NEW BUSINESS
Judge Penoyar asked if there was any interest in Ms. Dickinson’s suggestions to include sexual misconduct in the Code. He suggested adding the topic to the Work Group A discussion.
WORK GROUP REPORTS
Work Group A
The Task Force began discussion on the Model Code Comments with the addition in Rule 1.1 Comment [1] written by Judge Becker. Judge Becker said the addition was meant as a reminder to the Commission on Judicial Conduct not to be over zealous. Mr. Andersen thought that Scope [6] may cover the issue. Judge Williams suggested amending Rule 1.1 Comment [1] to read “See Scope [6].” The Task Force discussed whether specific language that listed transgressions should be included in the Comment. Judge Becker moved to strike the language in the Comment and Mr. Andersen made a friendly amendment to move Rule 1.1 Comment [1] to Scope [6]. Judge Williams moved to add a reference to Scope (6) under Rule 1.1 Comment [1].
Moved, seconded, and carried: to strike Rule 1.1 Comment [1] as recommended by Work Group A.
Moved, seconded, and carried: to replace Rule 1.1 Comment [1] with a reference to Scope [6].
Judge Williams moved to add “including the willfulness or knowledge of the impropriety of the action” in Scope [6].
Moved, seconded, and carried: to amend the wording in Scope [6] to read “Although the black letter of the Rules is binding and enforceable, it is not contemplated that every transgression will result in the imposition of discipline. Whether discipline should be imposed should be determined through a reasonable and reasoned application of the Rules, and should depend upon factors such as the seriousness of the transgression, the facts and circumstances that existed at the time of the transgression, including the willfulness or knowledge of the impropriety of the action, the extent of any pattern of improper activity, whether there have been previous violations, and the effect of the improper activity upon the judicial system or others.”
Ms. Anderson moved to add “prejudicial” before “effect” in the last sentence.
Moved, seconded, and not carried by a vote of 4–3: to add “prejudicial” before “effect” in the last sentence in Scope [6].
Ms. Dickinson suggested dividing the second sentence of Scope [6].
Moved, seconded, and carried: to amend the wording in Scope [6] to read “Although the black letter of the Rules is binding and enforceable, it is not contemplated that every transgression will result in the imposition of discipline. Whether discipline should be imposed should be determined through a reasonable and reasoned application of the Rules. The relevant factors for consideration should include the seriousness of the transgression, the facts and circumstances that existed at the time of the transgression, including the willfulness or knowledge of the impropriety of the action, the extent of any pattern of improper activity, whether there have been previous violations, and the effect of the improper activity upon the judicial system or others.”
Mr. Andersen suggested inserting after the first sentence in Scope [6] “It is recognized that it would be unrealistic to sanction judges for minor traffic or civil infractions.”
Moved, seconded, and carried by a vote of 5–3: to add after the first sentence in Scope [6] “it is recognized that it would be unrealistic to sanction judges for minor traffic or civil infractions.”
Judge Williams moved to add “for example” after “recognized.”
Moved, seconded, and carried: to amend the second sentence of Scope (6) to read: “It is recognized, for example, that it would be unrealistic to sanction judges for minor traffic or civil infractions.”
Judge Penoyar pointed out that Rule 1.2 Comment [3] reflects deletion of the appearance of impropriety language and suggested that the Task Force revisit this Comment after the afternoon discussion.
Preamble, Scope, and Application
Judge Williams moved to adopt Work Group A’s recommendations for the Preamble Comments.
Moved, seconded, and carried: to adopt Preamble Comments [1], [2], and [3] as recommended by the work group.
Moved, seconded, and carried: to adopt Scope Comments [1], [2], [3], [4], [5], and [7] as recommended by the work group and Comment [6] as amended.
Judge Becker said Work Group A needed more time to work with the Application. She would like to meet with Ms. Sullins and a district court judge to discuss it. Judge Penoyar would like to discuss the Application at the July 10 meeting.
Judge Williams moved to adopt the work group changes to Rule 1.1, 1.2, and 1.3 Comments with the previous changes to Rule 1.1 Comments.
Moved, seconded, and carried: to adopt Rule 1.1 Comment [1], Rule 1.2 Comment [1], [2], [3], [4], [5], and [6], and Rule 1.3 Comment [1], [2], [3], and [4] as recommended by the work group.
Work Group B
Judge McSeveney moved to adopt the work group recommendation to add Comment [5] to Rule 2.3. Mr. Andersen offered a friendly amendment to change the last sentence to read “relevant to the issues involved.”
Moved, seconded, and carried: to adopt Rule 2.3 Comments [1], [2], [3], [4], and [5] as recommended by Work Group B, with the last sentence of [5] to read: “…when these factors are legitimately relevant to the issues involved.”
Judge McSeveney moved to adopt the current Washington code comment to replace the Model Code Comment [1] in Rule 2.4.
Moved, seconded, and carried: to strike the Model Code Rule 2.4 Comment [1] and to adopt the current Washington Code Comment for Rule 2.4.
Moved, seconded, and carried: to adopt Rule 2.5 Comment [1], [2], [3], and [4] as in the Model Code.
Judge McSeveney said the work group recommendations for the Rule 2.6 and Rule 2.7 Comments are the same as in the Model Code with the addition of “or recusal.”
Moved, seconded, and carried by a vote of 5–3: to adopt Rule 2.6 Comment [3] and Rule 2.7 Comment [1] as recommended by the work group.
Ms. Sullins said “recusal” was stated in the Rule 2.7 but not in Rule 2.6 and asked if the Task Force was introducing wording into the Comments that was not in the Rules. She suggested the that the language should be parallel and consistent.
Moved, seconded, and carried: to adopt Rule 2.6 Comment [1] and [2] as written in the Model Code.
Judge McSeveney moved to adopt Rule 2.10 Comment [3] as recommended by the work group. The Task Force discussed under what circumstances a judge may want to discuss the rationale of his or her decision. Judge McCarthy said Comment [3] deals with judge’s conduct, and the last sentence may be more appropriate in Comment [2]. After further discussion, Judge Williams offered a friendly amendment to delete the last sentence of the recommended Rule 2.10 Comment [3] and create a new Comment [4].
Moved, seconded, and carried: to adopt Rule 2.10 Comment [3] as in the Model Code and add Comment [4] to read “A judge should use caution in discussing the rationale for a decision and limit such discussion to what is already public record or controlling law.”
Moved, seconded, and carried: to adopt Rule 2.8 Comment [1], [2], and [3], Rule 2.9 Comment [1], [2], [3], [4], [5], [6], and [7], and the Rule 2.10 Comment [1] and [2] as written in the Model Code.
Moved, seconded, and carried: to adopt Rule 2.1 Comment [1] and [2], and Rule 2.2 Comment [1], [2], [3], and [4] as written in the Model Code.
Judge Penoyar suggested skipping Rule 2.11 Comments until further discussion.
Moved, seconded, and carried: to adopt the Rule 2.12 Comment [1] and [2], Rule 2.13 Comment [1], [2], and [3], Rule 2.14 Comment [1] and [2], Rule 2.15 Comment [1] and [2], and Rule 2.16 Comment [1] as written in the Model Code
Judge Becker pointed out that Rule 2.13 Comment [3] referred to campaign contributions, and does not apply to the Washington Code. There was a friendly amendment to strike Comment [3].
Moved, seconded, and carried: to amend Rule 2.13 by striking Rule 2.13 Comment [3].
Work Group C
Judge Williams pointed out that Work Group C deleted Rule 3.1 Comment [2] and added it to the beginning of Comment [1] and added Comment [4]. He moved to adopt Rule 3.1 Comment [1], [2], [3], and [4].
Moved, seconded, and carried: to adopt Rule 3.1 Comment [1], [2], [3], and [4] as recommended by the work group.
Work Group C deleted Rule 3.2 Comment [3] because they thought that Rule 3.2(C) was adequate.
Moved, seconded, and carried: to adopt Rule 3.2 Comment [1] and [2] and delete Comment [3] as recommended by the work group.
Judge Williams said the work group changed “testifies” to “acts” in Rule 3.3 Comment [1] and added Comment [2] to allow judges to write letters of recommendation.
Moved, seconded, and carried: to adopt Rule 3.3 Comment [1] and [2] as recommended by the work group.
The work group moved Rule 3.4 Comment [2] into the Rule. This was previously approved.
Moved, seconded, and carried: to adopt Rule 3.4 Comment [1] as written in the Model Code.
In Rule 3.5, Work Group C felt Comment [1] was unnecessary and changed the language in Comment [2]. Judge Becker suggested eliminating “however” in the first sentence of Comment [2].
Moved, seconded, and carried: to strike Rule 3.5 Comment [1] and renumber and adopt Rule 3.5 Comment [2] as recommended by the work group, with the deletion of “however.”
Mr. Andersen pointed out that deleted Rule 3.5 Comment [1] referred to commercial information and asked if the remaining Comment was broad enough to pick up that concept. He suggested adding “commercial information” to the definition of “nonpublic information.”
Moved, seconded, and not carried by a vote of 5–3: to add “commercial information” to the definition of “nonpublic information.”
Judge Williams said that the definition of “invidious discrimination” in Rule 3.6 Comment [2] would be moved to Terminology. The work group also recommended deleting Rule 3.6 Comment [4] and [5].
Moved, seconded, and carried: to adopt Rule 3.6 Comments as recommended by the work group by moving the language in Comment [2] to Terminology, renumbering Comment [3], and striking Comment [4] and Comment [5].
After a discussion, there was a motion to amend Rule 3.6 Comments by adding Comment [4] of the Model Code back into the Code.
Moved, seconded, and carried: to adopt Rule 3.6 Comment [4] of the Model Code.
Mr. Andersen suggested it might be difficult to keep the definition of invidious discrimination consistent with current law. After several suggestions on wording to keep the definition current, Judge Penoyar suggested Work Group C redraft the definition of invidious discrimination.
The Task Force previously moved Rule 3.7(B) and Rule 3.7(C) from the Rules to the Comments.
Moved, seconded, and carried: to adopt Rule 3.7 Comment [1], [2], [3], [4], [5], and [6] as recommended by the work group.
The Task Force discussed different situations in which a judge might participate in fundraising. Ms. Sullins said a judge may participate as long as he or she is not using the prestige of the office. Judge Williams suggested amending the wording in Rule 3.7 Comment [6] to begin “A judge may not personally solicit funds except as permitted under Rule 3.7(A)(2), however, a judge may assist a member of the judge’s family…”
Moved, seconded, and carried: to adopt Rule 3.7 Comment [6] as amended.
Under Rule 3.7 Comments, Ms. Anderson moved to renumber the Rules moved to the Comments section and add “A judge may” to the first sentence of (C)(1) and (C)(2).
Moved, seconded, and carried: to renumber (B) as [7], delete “(C) Subject to the preceding requirements a judge may,” and renumber (C)(1) and (C)(2) to Comment [8] and Comment [9], and add “A judge may” to the first sentence of Comment [8] and Comment [9].
Moved, seconded, and carried: to adopt Rule 3.7 Comments [1], [2], [3], [4], [5], [6], [7], [8], and [9] as proposed.
Judge Williams asked the Task Force members if they thought Rule 3.8 needed a Comment [2] regarding retired, part time or pro tem judges. The members decided to revisit both Rule 3.8 and Rule 3.9 Comments.
Moved, seconded, and carried: to adopt Rule 3.8 Comment [1] and Rule 3.9 Comment [1] and Comment [2] as recommended by the work group.
Work Group C recommended adding “ or on behalf of his or her marital community or domestic partnership” to Rule 3.10 Comment [1].
Moved, seconded, and carried: to adopt Rule 3.10 Comment [1] as recommended by the work group.
The work group moved the Model Code Rule 3.11 Comment [2] to Rule 3.11(D), and added a new Comment [2].
Moved, seconded, and carried: to move Rule 3.11 Comment [2] to Rule 3.11(D) and adopt and renumber Rule 3.11 Comment [2] as recommended by the work group.
Moved, seconded, and carried: to adopt Rule 3.12 Comment [1] and [2] as written in the Model Code.
Work Group D
In Rule 3.13 Comment [1], Work Group D struck a portion of the Comment and added a sentence that recognized reporting requirements in statute.
Moved, seconded, and carried: to adopt Rule 3.13 Comment [1] as recommended by the work group.
Ms. Fraser said the work group did not propose any changes to Rule 3.14 Comments. Ms. Sullins suggested adding “and Washington law” to the end of Rule 3.14 Comment [2].
Moved, seconded, and carried: to adopt Rule 3.14 Comment [1], [2], and [3] as recommended by the work group, with the last sentence of Comment [2] to read “The judge must undertake a reasonable inquiry to obtain the information necessary to make an informed judgment about whether acceptance would be consistent with the requirements of this Code and Washington law.”
Ms. Fraser said the primary goal of Work Group D was to bring the language of Canon 4 into alignment with how Washington elects judges. Judge Williams asked if, at some point in the future, judges can identify with a party to vote in a primary, would Rule 4.1 preclude someone from doing that? Ms. Fraser said the work group would look at this again.
The Task Force discussed candidate endorsements from political organizations. Judge McCarthy moved to delete Rule 4.1(A)(6). Ms. Fraser pointed out that Rule 4.1 described behavior prohibited prior to campaign season, and compared Rule 4.1 to Rule 4.2.
Judge Becker moved to amend the motion to strike Rule 4.1(A)(6) to have the Rule read “seek, accept, or use endorsements from any person or organization.” The Task Force discussed Rule 7(B)(2) in the current Washington Code. After a discussion on what actions are permissible within 120 days of filing for office, Judge Penoyar suggested Canon 4 should be drafted to reflect current practice and that Work Group D do further revisions on Canon 4. Judge McCarthy and Judge Becker withdrew their motions.
Appearance of Impropriety
Judge Penoyar said he hoped to have another vote on the appearance of impropriety language in the Code. The Task Force discussed the number of members present and the votes sent in by members who were unable to attend. Mr. Andersen moved to reopen the appearance of impropriety discussion.
Moved, seconded, and not carried by a vote of 5–4: to reopen the discussion on appearance of impropriety.
Judge McCarthy moved to exclude the appearance of impropriety language in the Code, and then withdrew his motion.
Judge McSeveney asked Justice Sanders if a close vote would influence the final decision of the Supreme Court on the adoption of the Code. Justice Sanders said the Supreme Court would tend toward the recommendation of the Task Force. Ms. Sullins said the details in the majority and minority reports on this issue will be important. She suggested that the co-chairs write the reports and include the Task Force comments.
Rule 2.11 and Disqualification
The Task Force discussed the most recent proposal by Mr. Charles Wiggins on campaign contribution limits and at what point a judge should or must recuse him or herself. Judge Williams said there is general agreement among judges that there needs to be upper and lower limits to campaign contributions that guide a judge’s recusal. The discussion is what those limits should be. The Task Force discussed the importance of public perception that a judge is not influenced by campaign contributions. Judge Becker pointed out that the most recent proposal does not address contributions by political action committees.
Mr. Andersen moved to return Rule 2.11 to Work Group B to develop a recommendation for a disciplinary rule tied to campaign contributions to a judicial candidate. This work should be completed after the decision from the United States Supreme Court on the Caperton v Massey decision.
Moved, seconded, and carried by a vote of 7–2: to return Rule 2.11 to Work Group B to develop a recommendation for a disciplinary rule tied to campaign contributions to a judicial candidate.
NEXT MEETING
Judge Penoyar reminded the Task Force of the next meeting on July 10. Ms. Sullins suggested beginning the meeting at 8:30 a.m.
ADJOURNMENT
Judge Penoyar adjourned the meeting at 4:37 p.m.
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