In the Matter of the Amendment
of the revised OREGON CODE
JR 2-106, 3-103, and 4-102
ORDER No. 02-060


The Oregon Judicial Conference, on May 7, 2002, recommended amendment of the Oregon Code of Judicial Conduct Judicial Rules (JR) 2-106, 3-103, and 4-102.

At its public meeting on May 21, 2002, the Oregon Supreme Court adopted the amendments recommended by the Oregon Judicial Conference as set out below in this order.

THEREFORE, the Supreme Court for the State of Oregon, pursuant to the Oregon Constitution, Article VII (Amended), Section 8(e), orders as follows:

A. This Court revised and enacted the Oregon Code of Judicial Conduct (Code) by Order No 95-095 on November 22, 1995, and has subsequently amended the Code as follows: on June 18, 1997 by Order No 97- 054, effective September 1, 1997; on May 11, 1999 by Order 99- 053, effective September 1, 1999; May 19, 1999, by Order No. 99-057, effective September 1, 1999. The Code is further amended as follows (material to be deleted is bracketed "[. . .]" and in italics, new language is underlined and in bold):

1. JR 2-106(C)(2) is amended as follows:

"JR 2-106(A) A judge shall disqualify himself or herself in a proceeding in which the judge's impartiality reasonably may be questioned, including but not limited to instances when

"(1) the judge has a bias or prejudice concerning a party or has personal knowledge of disputed evidentiary facts concerning the proceeding;

"(2) the judge served as a lawyer in the matter in controversy, or a lawyer with whom the judge previously was associated served during the association as a lawyer in the matter, or the judge or the lawyer has been a material witness in the matter;

"(3) the judge knows that the judge, individually or as a fiduciary, or the judge's spouse, parent or child, wherever residing, or any other person residing in the judge's household has a financial interest in the subject matter in controversy, is a party to the proceeding or has any other interest that could be substantially affected by the outcome of the proceeding;

"(4) the judge, the judge's spouse, parent or child wherever residing, or any other person residing in the judge's household

"(a) is a party to the proceeding, or an officer, director, partner or trustee of a party;

"(b) is acting as a lawyer in the proceeding;

"(c) is known by the judge to have an interest that could be substantially affected by the outcome of the proceeding; or

"(d) is, to the judge's knowledge, likely to be a material witness in the proceeding.

"(B) A judge shall be responsible for knowing about the judge's financial interests, including such interests relating to service as a fiduciary, and shall make reasonable efforts to be informed about the financial interests of the judge's spouse, domestic partner, parents and children, wherever residing.

"(C) For purposes of this rule

"(1) "fiduciary" includes relationships such as personal representative, trustee, conservator and guardian;

"(2) "financial interest" means a more than de minimis ownership of a legal or equitable interest[, however small,] or a relationship as director, advisor or other active participant in the affairs of a party, except that

"(a) ownership in a mutual or common investment fund that owns securities is not a "financial interest" unless the judge participates in the management of the fund;

"(b) holding an office in an educational, religious, charitable, fraternal or civic organization is not a "financial interest" in property of the organization;

"(c) the proprietary interest of a policyholder in a mutual insurance company, a depositor in mutual savings association, or a similar proprietary interest, is a "financial interest" in the organization only if the outcome of the proceeding could substantially affect the value of the interest; and

"(d) ownership of government securities is a "financial interest" in the issuer only if the outcome of the proceeding could substantially affect the value of the securities.

"(D) A judge who is disqualified under this rule may, rather than withdraw from the proceeding, disclose on the record the basis of the disqualification. If, after such disclosure, the parties all agree in writing or on the record that the judge's relationship is immaterial or that the judge's financial interest is insubstantial, the judge may participate in the proceeding. Any writing, signed by or on behalf of all parties, shall be incorporated in the record of the proceeding."

2. JR 3-103(A) is amended as follows:

"JR 3-103 A judge shall not directly or indirectly accept gifts, bequests, favors or loans from anyone, except that a judge may accept

"(A) gifts incident to a public testimonial to the judge, [books] publications supplied by publishers or organizations on a complimentary basis for official use or invitations to the judge to attend law-related functions or activities related to the improvement of law, legal education, the legal system, or the administration of justice;

"(B) ordinary social hospitality; gifts, bequests, favors or loans from relatives; gifts from friends for wedding, birthday or other personal occasions; loans from lending institutions in the regular course of business on terms generally available to persons who are not judges; or scholarships, fellowships or grants awarded on terms applied to other applicants;

"(C) any other gift, bequest, favor or loan only if the donor is not a party or other person whose interests have come or are likely to come before the judge."

3. JR 4-102 is amended as follows:

"JR 4-102 With respect to any election or appointment for judicial public office, a [judge] judicial candidate shall not knowingly:

"(A) Misrepresent [the judge's] a judicial candidate's identity, qualifications, present position, education, experience or other fact.

"(B) Make pledges or promises of conduct in office that could inhibit or compromise the faithful, impartial and diligent performance of the duties of the office.

"(C) Publicly identify the [judge] judicial candidate, for the purpose of election, as a member of a political party other than by registering to vote or as allowed by ORS 249.015.

"(D) Personally solicit campaign contributions in money or in kind, but a [judge] judicial candidate may establish one or more committees to obtain and manage finances, including contributions, and pay expenses to promote the [judge's] judicial candidate's election.

"(E) Use or permit the use of campaign contributions for the private benefit of the [judge] judicial candidate except as may be specifically authorized by law."

B. The amendments to the Code enacted by part "A" of this order first become effective July 1, 2002.

Dated this 23rd day of May, 2002.

Wallace P. Carson, Jr.
Chief Justice of the Oregon Supreme Court

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