1.3 A judge shall not only be free from inappropriateconnections with, and influence by, the executive andlegislative branches of government, but must also appearto a reasonable observer to be free therefrom.CommentarySeparation of powers or functions36. At the core of the concept of judicial independence is the theory of theseparation of powers: that the judiciary, which is one of three basic and equal pillarsin the modern democratic state, should function independently of the other two: thelegislature and the executive. The relationship between the three branches ofgovernment should be one of mutual respect, each recognizing and respecting theproper role of the others. This is necessary because the judiciary has an importantrole and functions in relation to the other two branches. It ensures that thegovernment and the administration are held to account for their actions, and, withregard to the legislature, it is involved in ensuring that duly enacted laws areenforced and, to a greater or lesser extent, in ensuring that they comply with thenational constitution and, where appropriate, with regional and international treatiesthat form part of municipal law. To fulfill its role in these respects, and to ensure acompletely free and unfettered exercise of its independent legal judgment, thejudiciary must be free from inappropriate connections with and influences by theother branches of government. Independence thus serves as the guarantee ofimpartiality.Public perception of judicial independence37. It is important that the judiciary should be perceived as independent, andthat the test for independence should include that perception. It is a perception ofwhether a particular tribunal enjoys the essential objective conditions or guaranteesof judicial independence, and not a perception of how it will in fact act, regardless ofwhether it enjoys such conditions or guarantees. An individual who wishes tochallenge the independence of a tribunal need not prove an actual lack ofindependence, although that, if proved, would be decisive for the challenge. Instead,the test for this purpose is the same as the test for determining whether a decisionmakeris biased. The question is whether a reasonable observer would (or in somejurisdictions “might”) perceive the tribunal as independent. Although judicialindependence is a status or relationship resting on objective conditions orguarantees, as well as a state of mind or attitude in the actual exercise of judicialfunctions, the test for independence is thus whether the tribunal may be reasonablyperceived as independent.47
Some examples of inappropriate connections and influence38. The following are some examples of “inappropriate connections with andinfluence by” the executive and legislative branches of government, as determinedby courts or judicial ethics advisory committees. These are offered as guidelines. Ineach case the outcome depends on all the circumstances of the case tested accordingto how those circumstances might be viewed by the reasonable observer:(a) If a legislator writes to a judge informing the judge of the legislator’sinterest, on behalf of a constituent, in an expeditious and just result in theconstituent’s divorce and custody case, the judge may reply by simply informing thelegislator - personally or, preferably, through a representative - that the principles ofjudicial conduct prohibit him or her from receiving, considering or responding tosuch a communication. The scope of the prohibition includes responding to alegislator’s inquiry about the status of a case or the date when a decision may beforthcoming, because to do so creates the appearance that the legislator is able toinfluence the judge to expedite a decision and thereby obtain preferentialconsideration for a litigant. 22(b) It is inconsistent with the principle of judicial independence for a judge toaccept, during a period of leave, full-time employment at a high, policy-makinglevel in the executive or legislative branch (for example, as special adviser onmatters related to reform of the administration of justice). The movement back andforth between high-level executive and legislative positions and the judiciarypromotes the very kind of function-blending that the concept of separation of powersintends to avoid. That blending is likely to affect the judge’s perception, and theperception of the officials with whom the judge serves, regarding the judge’sindependent role. Even if it does not, such service will adversely affect the publicperception of the independence of the courts from the executive and legislativebranches of government. Such employment is different from a judge serving in theexecutive or legislative branch before becoming a judge, and serving in thosepositions after leaving judicial office. In these cases, the appointment and theresignation processes provide a clear line of demarcation for the judge, and forobservers of the judicial system, between service in one branch and service inanother. 23(c) Where a judge’s spouse is an active politician, the judge must remainsufficiently divorced from the conduct of members of his or her family to ensure thatthere is not a public perception that the judge is endorsing a political candidate.While the spouse may attend political gatherings, the judge may not accompany him22 See United States of America, Commonwealth of Virginia Judicial Ethics AdvisoryCommittee, Opinion 2000-7.23 See United States of America, The Massachusetts Committee on Judicial Ethics, OpinionNo.2000-15.48
- Page 2 and 3: United NationsOffice on Drugs and C
- Page 4: CONTENTSPreface… ................
- Page 10 and 11: DRAFTING HISTORYI. BackgroundIn Apr
- Page 12 and 13: g. The Iowa Code of Judicial Conduc
- Page 14 and 15: IV. The Bangalore Draft Code of Jud
- Page 16 and 17: Davide of the Supreme Court of the
- Page 18 and 19: The Commission has frequently expre
- Page 20 and 21: (h) Requested the UNODC to convene
- Page 22: Where citations have been used, the
- Page 25 and 26: WHEREAS the International Covenant
- Page 27 and 28: WHEREAS the foregoing fundamental p
- Page 29 and 30: esponsibility, it is essential that
- Page 31 and 32: WHEREAS it is essential that judges
- Page 33 and 34: WHEREAS the primary responsibility
- Page 35 and 36: 5. Everyone shall have the right to
- Page 37 and 38: THE FOLLOWING PRINCIPLES are intend
- Page 40 and 41: Value 1INDEPENDENCEPrinciple:Judici
- Page 42 and 43: Conditions for judicial independenc
- Page 44 and 45: A judge must act irrespective of po
- Page 46 and 47: finding, an important part of a jud
- Page 50 and 51: or her. No such gatherings should b
- Page 52 and 53: that very remote instance the judge
- Page 54 and 55: 1.6 A judge shall exhibit and promo
- Page 56 and 57: (d)(e)(f)(g)(h)(i)(j)(k)(l)(m)(n)(o
- Page 58 and 59: Value 2IMPARTIALITYPrinciple:Impart
- Page 60 and 61: Application:2.1 A judge shall perfo
- Page 62 and 63: 2.2 A judge shall ensure that his o
- Page 64 and 65: 2.3 A judge shall, so far as is rea
- Page 66 and 67: 2.4 A judge shall not knowingly, wh
- Page 68 and 69: (b) The second aspect relates to a
- Page 70 and 71: informed, will remove the objection
- Page 72 and 73: countenances the possibility that j
- Page 74 and 75: Other things being equal, the more
- Page 76 and 77: 2.5.2 the judge previously served a
- Page 78: Provided that disqualification of a
- Page 81 and 82: Application3.1 A judge shall ensure
- Page 83 and 84: It has been argued that the use of
- Page 86 and 87: Value 4PROPRIETYPrinciple:Propriety
- Page 88 and 89: 4.2. As a subject of constant publi
- Page 90 and 91: 4.3 A judge shall, in his or her pe
- Page 92 and 93: Special care should be taken where
- Page 94 and 95: not hold a supervisory or administr
- Page 96 and 97: 4.6 A judge, like any other citizen
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such judicial commentary should be
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4.8 A judge shall not allow the jud
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performance of their lawful duties
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Former judges153. Depending on loca
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4.11 Subject to the proper performa
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4.11.3 serve as a member of an offi
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ii. Does it essentially involve an
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4.11.4 engage in other activities i
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should not give legal advice. This
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Protecting the judge’s own intere
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4.14 A judge and members of the jud
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4.16 Subject to law and to any lega
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Value 5EQUALITYPrinciple:Ensuring e
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Application5.1 A judge shall be awa
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5.3 A judge shall carry out judicia
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5.5 A judge shall require lawyers i
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Value 6COMPETENCE AND DILIGENCEPrin
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Application6.1 The judicial duties
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judgment, the expedition of cases,
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The quality of judgment and demeano
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6.4 A judge shall keep himself or h
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about decisions that appear to them
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impossible, to suggest a uniform st
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IMPLEMENTATIONBy reason of the natu
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DEFINITIONSIn this statement of pri
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AnnexCULTURAL AND RELIGIOUS TRADITI
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When a judge does not inquire into
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. . . deal impartially with the sui
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Jewish LawThe following is an extra
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Sanity: A person whose judgment is
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9. A judge must be prompt in delive
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8. He must not permit a litigant to
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SELECT BIBLIOGRAPHYBooks and Monogr
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Delaware Judicial Ethics Advisory C
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INDEX 80accused personrights, 49app
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prompt disposal of matters, 207rese
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apprehension of bias, 56abuse of co
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family members, activities of, 69fo
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personal knowledge of disputed fact
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sentencing, rights relating to, 50s