Me. Code. Jud. Cond. Terminology
Unless the context requires otherwise, the following terms have the following meanings in interpreting and applying this Code:
"Appropriate authority" means the authority having responsibility for initiation of disciplinary process in conjunction with the violation to be reported.
"Committee" means the Committee on Judicial Responsibility and Disability established by order of the Maine Supreme Judicial Court.
"Contribution" includes both financial and in-kind contributions, such as goods, professional or volunteer services, advertising, and other types of assistance, which, if obtained by the recipient otherwise, would require a financial expenditure.
"Court staff" means employees of the court, including full-time, part-time, temporary, or contract employees, interns, externs, volunteers, and employees of the several counties while engaged in support of a judge in the performance of judicial duties, but does not include lawyers advocating for or representing a party in a proceeding before a judge.
"De minimis," in the context of interests pertaining to a disqualification of a judge, means an insignificant interest that could not raise a reasonable question regarding the judge's impartiality or integrity.
"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" means ownership of more than a de minimis legal or equitable interest. Except for situations in which the judge participates in the management of such a legal or equitable interest, or the interest could be substantially affected by the outcome of a proceeding before a judge, it does not include:
"Fiduciary" includes positions as personal representative, executor, administrator, trustee, or guardian. "Honorarium" means a payment of money or any thing of significant value for an appearance, speech, or article, not including reimbursement or payment for actual and necessary expenses for travel, food, and lodging incident to an appearance or speech.
"Impartial," "impartiality," and "impartially" mean absence of bias or prejudice in favor of, or against, particular parties or classes of parties, as well as maintenance of an open mind in considering issues that may come before the judge.
"Impending matter" is a matter that is imminent or expected to occur in the near future.
"Impropriety" is conduct that violates the law, court rules, or provisions of this Code, and that undermines a judge's independence, integrity, or impartiality.
"Income" includes, but is not limited to, compensation for services rendered (other than amounts paid by the State of Maine for performance of judicial duties), dividends, interest, rent, royalties, capital gains, and amounts received from a trade or business, trust, estate, pension (other than amounts paid under a pension plan administered by a state or by the federal government), or other financial arrangement. "Income" does not include honoraria, gifts, bequests, favors, reimbursement or payment of expenses, or payments of alimony, spousal support, child support, or separate maintenance.
"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.
"Judicial candidate" means any person, including a sitting judge, who is seeking selection for or retention in a judicial office by election or appointment. A person becomes a candidate for judicial office as soon as he or she makes a public announcement of candidacy; declares or files as a candidate with the election authority; authorizes or, where permitted, engages in solicitation or acceptance of contributions or support; or is nominated for election or appointment to office.
"Knowingly," "knowledge," "known," and "knows" mean actual knowledge of the fact in question. Actual knowledge may be inferred from the circumstances. "Law" encompasses court rules, statutes, administrative rules and regulations, constitutional provisions, and decisional law.
"Member of the judge's family" means a spouse, domestic partner, child, grandchild, parent, grandparent, or other relative or a person with whom the judge maintains a close familial relationship.
"Member of a judge's family residing in the judge's household" means any relative of a judge by blood, marriage, or adoption, or a person treated by a judge as a member of the judge's family, who resides in the judge's household.
"Nonpublic information" means information that is not available to the public. Nonpublic information may include, but is not limited to, information that is sealed by statute or court order, impounded, or communicated in camera, and information offered in grand jury proceedings, presentencing reports, child protective cases, or psychiatric reports.
"Pending matter" is a matter 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, or other means of communication.
"Political organization" means a political party or other group sponsored by or affiliated with a political party or candidate, or an independent political action committee, the principal purpose of which is to further the election or appointment of candidates for political office. For purposes of this Code, the term does not include a judicial candidate's campaign committee.
"Require." The rules prescribing that a judge "require" certain conduct of others are, like all of the rules in this Code, rules of reason. The use of the term "require" in that context means a judge is to exercise reasonable direction and control over the conduct of those persons while they are subject to the judge's direction and control.
"The 1993 Code." References to the 1993 Code, the 1993 Maine Code of Judicial Conduct, the 1993 Canons, or similar references to the 1993 Code or Canons, include any amendments adopted since 1993 and until the 2015 adoption of this revised Maine Code of Judicial Conduct, unless the context indicates that the reference is limited to actions taken in 1993.
"Third degree of relationship" includes the following persons: great-grandparent, grandparent, parent, uncle, aunt, brother, sister, child, grandchild, great-grandchild, nephew, and niece.
Me. Code. Jud. Cond. Terminology
Advisory Note - September 2024
The Committee on the Rules of Professional Conduct raised the concern that any lawyer who sends a letter of interest to the Governor's Judicial Selection Committee could be deemed to be declaring or filing as a candidate with the appointment authority, even if nothing else happens. This amendment makes clear that the Code applies to a lawyer seeking a judicial appointment when the lawyer is nominated. There is no change as to when the Code applies to a lawyer seeking election as a probate judge.
Advisory Notes - 2015
The "Terminology" section appears as "Definitions" in Part II, Section 3 of the 1993 Maine Code of Judicial Conduct. The 2010 Committee on Judicial Responsibility and Disability Report to the Court recommended that definitions of "domestic partner," "impending matter," "impropriety," "independence," "integrity," "member of a judge's family residing in the judge's household," "pending matter," and "personally solicit" that appear in the ABA Model Code be added to this Code. The Committee also recommended that the definitions of "court personnel," "election," "honorarium," and "income" from the 1993 Maine Code not be included in the revised Code because those terms were not included in the Committee draft. Because those terms appear in this draft, those definitions are retained. "Court personnel" is now referenced as "court staff," and the definition is broadened to include the full range of persons who may be engaged by the Judicial Branch or the Probate Courts in support of judges in the performance of their judicial duties. In the definition of "Economic interest," paragraph 4 is clarified to be "Ownership of government securities" rather than the more obscure "interest in an issuer of government securities." The definitions of "Committee" referring to the Committee on Judicial Responsibility and Disability, and of "the 1993 Code" are added.
The 2007 and 2011 editions of the ABA Model Code are organized so that an asterisk * appears at each point when a defined word first appears in the Code. That designation has been eliminated in this draft.
The 1993 Advisory Committee's Note to the Definitions in Part II of the Maine Code of Judicial Conduct, stated as follows:
The definition of "candidate" [now "Judicial candidate"] in Section 3B includes individuals seeking initial appointment or election as a judge, judges seeking reappointment or reelection as a judge, and judges seeking appointment or election to nonjudicial office. The language of the definition in ABA Model Code (1990), Terminology Section, has been changed to reflect the actualities of political activity in Maine. See Advisory Committee's Note to Canon 5.
The definition of "court personnel" in Section 3C makes clear that lawyers are not "court personnel" as that term is used in the Code, regardless of their traditional status and obligations as "officers of the court." Court officers and other support personnel are within the definition, however, even when technically employed by the county.
The definition of "de minimis" in Section 3D departs from that in ABA Model Code (1990), Terminology Section, with the substitution of "too trivial" for "insignificant." The change is for consistency with the definition of de minimis offenses in the Maine Criminal Code, 17-A M.R.S.A. §12.
The definition of "economic interest" in Section 3E, taken without change from the definition in ABA Model Code (1990), Terminology Section, is a modification of the definition of "financial interest" in ABA Code (1972), Section 3C(3)(c). That provision was not incorporated in Maine Code (1974), Section 3C. See Advisory Committee's Note to Section 3E.
The definition of "election" in Section 3F is adapted from the definition of "public election" in ABA Model Code (1990), Terminology Section, to reflect the operation of the Maine political system.
In the definition of "fiduciary" in Section 3G, the term "personal representative" has been added for consistency with the Maine Probate Code, 18-A M.R.S.A. §1-201(13), (30). The definition is derived from ABA Code (1972), Section 3C(3)(b), not incorporated in Maine Code (1974), Section 3C. See Advisory Committee's Note to Section 3E.
The definitions of "honorarium" in Section 3H and "income" in Section 31 are taken from Maine Code (1974), Canon 8B(l)(a) and (b), added in 1990. They have been eliminated from those paragraphs, which are Canons 6B(l)(a) and (b) in the revised Code. For discussion of these definitions, see Advisory Committee's Note to August 15, 1990, promulgation of Canons 8B(l)(a) and (b), Me. Rptr., 576-588 A.2d LXXV-LXXVI.
In the definition of "law" in Section 3K, the phrase "administrative rules and regulations" has been added to the list of forms of law found in the definition in ABA Model Code (1990), Terminology Section.
In the definition of "nonpublic information" in Section 3M, the final sentence of the definition in ABA Model Code (1990), Terminology Section, listing types of nonpublic information, has been eliminated in favor of a generic reference to information rendered unavailable "by law or court order."
In the definition of "political organization" in Section 3N, the word "public" was substituted for "political," modifying "office" at the end of the sentence in the definition in ABA Model Code (1990), Terminology Section.
The definition of "third degree of relationship" in Section 3P, taken without change from the definition in ABA Model Code (1990), Terminology Section, is derived from ABA Code (1972), Section 3C(3)(a), Commentary. That provision was not incorporated in Maine Code (1974), Section 3C. See Advisory Committee's Note to Section 3E.