In the Matter of Honorable
William Watson, Judge of the
Lockport City Court, Niagara
County,
Petitioner,
For Review of a Determination of
State Commission on Judicial
Conduct,
Respondent.
2003 NY Int. 80
The Commission on Judicial Conduct determined that petitioner, a City Court judge, should be removed from office ( see NY Const, art VI, § 22; Judiciary Law § 44), sustaining one charge of misconduct. Upon our plenary review of the facts and circumstances of this case, we find petitioner has engaged in misconduct warranting censure.
In 1999, petitioner took a leave of absence from his
employment as an assistant district attorney in the Niagara
The Commission on Judicial Conduct issued a complaint
accusing petitioner of one charge of misconduct arising from
statements he made during the 1999 campaign. The complaint
alleged that petitioner violated section 100.5(A)(4)(d)(i) of the
Rules Governing Judicial Conduct, which prohibits a judge or
judicial candidate from "making pledges or promises of conduct in
office other than the faithful and impartial performance of the
duties of the office" ( see 22 NYCRR 100.5[A][4][d][i]). The
complaint also charged that petitioner's statements violated
sections 100.1, 100.2(A), 100.5(A)(4)(a), 100.5(A)(4)(d)(ii) and
100.5(A)(4)(d)(iii).[1]
The exhibits to the complaint included a
In newspaper advertisements, petitioner cited an
increase in arrest statistics for various categories of crime,
Petitioner was quoted making similar statements in
newspaper articles about the race. On one occasion when
petitioner and his opponents were asked to respond in writing to
questions posed by a reporter, petitioner cited drugs and crime
as the main problem in the city and remarked that "the court must
remain impartial and evenhanded, but the city must establish a
reputation for zero tolerance" and "deter criminals before they
come into the city." He posited that the caseload in City Court
was large because "criminals from surrounding communities are
flocking into Lockport. Once we gain a reputation for being
tough, you'd be surprised how many will go elsewhere, making the
caseload much more manageable." In another newspaper account,
petitioner told a reporter that the city "must no longer put up
with drug dealers and other violent criminals from Rochester,
In his answer to the Commission complaint and during his testimony at the hearing before a Referee, petitioner admitted that he had written the letters and advertisements and made the statements attributed to him in the newspaper articles. He explained that his intention was to emphasize his experience and qualifications as a prosecutor and his concern over the increase in crime in the City of Lockport.
The Referee issued a report finding that petitioner had engaged in misconduct by violating the sections charged and that petitioner's statements "created the appearance that he would not be impartial as a judge, would not judge cases on an individual basis or upon the merits, and would be biased against criminal defendants." Following the Referee's report petitioner wrote to the Commission and stated, "I now believe that I did, in fact, commit violations of the Rules through my campaign advertisements and related statements." Petitioner then apologized for his statements.
The matter proceeded to oral argument before the full
In the wake of these decisions, the Commission offered petitioner the opportunity to comment on the recent legal developments. Petitioner's counsel submitted a memorandum arguing that White and Shanley "evidence a strong trend toward permitting open speech in judicial campaigns" and militated against the sanction of removal for petitioner's conduct. Commission counsel responded in a memorandum differentiating the rule at issue in White from the New York rules governing judicial candidate campaign speech.
Ultimately the Commission issued a determination
sustaining the charge of misconduct based on violations of the
cited sections, and concluding that petitioner should be removed
from office. The Commission distinguished New York's rules from
Because our review is plenary (see NY Const, art VI, § 22[d]), we first determine whether petitioner's statements violated the Rules Governing Judicial Conduct and constituted misconduct worthy of sanction. Among other restrictions, a judicial candidate is prohibited from "making pledges or promises of conduct in office other than the faithful and impartial performance of the duties of the office" (22 NYCRR 100.5[A][4][d][i]). Needless to say, statements that merely express a viewpoint do not amount to promises of future conduct. On the other hand, candidates need not preface campaign statements with the phrase "I promise" before their remarks may reasonably be interpreted by the public as a pledge to act or rule in a particular way if elected. A candidate's statements must be reviewed in their totality and in the context of the campaign as a whole to determine whether the candidate has unequivocally articulated a pledge or promise of future conduct or decisionmaking that compromises the faithful and impartial performance of judicial duties.
We find that petitioner's comments in this case, when
Petitioner's statements not only expressed a bias in favor of the police and against those accused of crimes, but also amounted to a pledge to engage in conduct antithetical to the judicial role because judges do not "assist" other branches of government -- they are charged to apply the law impartially to every party appearing in court. Petitioner also singled out for biased treatment a particular class of defendants -- those charged with drug offenses who reside outside the City of Lockport -- claiming that, if elected, he would use bail and sentencing to deter these individuals from operating in Lockport.
Petitioner's statements were not isolated or
spontaneous remarks but were repeated throughout his campaign,
both in campaign materials he generated and in his written
statements to the media. When viewed as a whole, petitioner's
This case is easily contrasted with Matter of Shanley (98 2 310). There, the Commission determined that a judicial candidate's use of the single phrase "law and order candidate" in campaign materials constituted an impermissible pledge or commitment because it promised stern treatment of criminal defendants. We disagreed, finding that the phrase was "widely and indiscriminately used in everyday parlance and election campaigns" and that the Commission had failed to establish that it "carrie[d] a representation that compromises judicial impartiality" ( id. at 313). In our view, the generic phrase "law and order candidate" cannot be compared with the recurrent statements petitioner made throughout his campaign directed at a particular class of criminal defendants.
Having concluded that petitioner violated the pledges
or promises rule, we turn to petitioner's argument that this
provision impermissibly abridges his rights under the First
Amendment of the United States Constitution because it
circumscribes constitutionally-protected campaign speech. This
issue was presented to the Commission ( cf. Matter of Mason, ___
NY2d ___ [decided May 1, 2003]).[2]
In Republican Party of Minnesota v White (536 US 765), the Supreme Court examined whether a Minnesota judicial conduct rule that prohibited a judicial candidate from announcing "his or her views on disputed legal or political issues" during a campaign for judicial office violated the First Amendment of the United States Constitution. The parties agreed that strict scrutiny was the appropriate standard of review and the Court employed that standard, assessing whether the announce clause was narrowly tailored to serve a compelling state interest.
Minnesota indicated that its announce clause was
intended to further the state's interest in judicial impartiality
and the appearance of judicial impartiality, but did not define
what it meant by impartiality. Insofar as that term means a lack
of predisposition on an issue, the Court concluded that such an
interest was not compelling because avoiding judicial
preconceptions on legal issues is neither possible nor desirable.
To the extent impartiality refers to judicial openmindedness, the
Court acknowledged that this would be a worthy judicial trait but
that the announce clause did not further this interest because,
once on the bench, judges in Minnesota are free to announce their
views on disputed legal issues, rendering the announce clause
fatally overinclusive for this purpose. Finally, if impartiality
is equated to a lack of party bias, the Court deemed this a
compelling state interest but found that the announce clause was
New York's Rules Governing Judicial Conduct do not include a provision analogous to Minnesota's "announce clause." The pledges or promises clause in this case is significantly different from the announce clause in that it does not prohibit judicial candidates from articulating their views on legal issues. Indeed, White itself distinguished the announcements at issue in that case from "pledges or promises," which are covered by another Minnesota rule ( White, 536 US at 770). Thus, White does not compel a particular result here.
We note that the Supreme Court did not decide what level of review was applicable to the First Amendment claim in White but applied strict scrutiny because the parties agreed on that standard ( id. at 774-775). We need not decide the question in this case either because, even assuming strict scrutiny analysis is appropriate, the pledges or promises prohibition set forth in the New York rules meets that exacting standard.
Rule 100.5(A)(4)(d)(i) prohibits a judicial candidate
from making "pledges or promises of conduct in office other than
the faithful and impartial performance of the duties of the
The State has articulated two interests in support of the pledges or promises clause, both related to the preservation of impartiality and the appearance of impartiality in the judicial branch. The Commission and the Attorney General as amicus have defined the term "impartiality," contending that the rule promotes the State's interest in preventing party bias and the appearance of party bias, as well as furthering openmindedness and the appearance of openmindedness in the state judiciary. Petitioner does not dispute that such interests are compelling -- nor could he reasonably do so.
As discussed in Matter of Raab (___ NY2d ___ [decided
today]), the Due Process clause guarantees litigants a fair and
impartial magistrate and the State, as steward of the judicial
system, has the obligation to create and maintain a system that
ensures equal justice and due process. We have described the
State's interest in this regard as "overriding" and have noted
that "[t]here is 'hardly *** a higher governmental interest than
a State's interest in the quality of its judiciary'" ( Matter of
Nicholson v State Commn. on Judicial Conduct, , 50 NY2d 597, 607
[1980], quoting Landmark Communications v Virginia, 435 US 829,
Rule 100.5(A)(4)(d)(i) furthers the State's interest in
preventing party bias and promoting openmindedness, and the
appearance of either, because it prohibits a judicial candidate
from making promises that compromise the candidate's ability to
behave impartially, or to be perceived as unbiased and openminded
by the public, once on the bench. Such promises, even if they
are not kept once the candidate is elected, damage the judicial
system because the newly elected judge will have created a
perception that will be difficult to dispel in the public mind.
With all the uncertainties inherent in litigation, litigants and
the bar are entitled to be free of the additional burden of
wondering whether the judge to whom their case is assigned will
adjudicate it without bias or prejudice and with a mind that is
open enough to allow reasonable consideration of the legal and
A campaign pledge to favor one group over another if elected has the additional deleterious effect of miseducating voters about the role of the judiciary at a time when their attention is focused on filling judicial vacancies. Judges must apply the law faithfully and impartially -- they are not elected to aid particular groups, be it the police, the prosecution or the defense bar. Campaign promises that suggest otherwise gravely risk distorting public perception of the judicial role.
That said, we recognize that the State may not unduly regulate campaign candidate speech because judicial candidates enjoy First Amendment protection and voters are entitled to information about judicial candidates so they can cast their votes intelligently. New York's pledges or promises clause not only is sufficiently narrow to withstand strict scrutiny analysis but also effectively and appropriately balances the interests of litigants and the rights of judicial candidates and voters.
By its terms, the provision does not ban all "pledges
or promises" but only those that compromise the faithful and
impartial performance of the duties of the office. And as our
decision in Shanley indicates, most statements identifying a
point of view will not implicate the "pledges or promises"
prohibition. The rule precludes only those statements of
intention that single out a party or class of litigants for
special treatment, be it favorable or unfavorable, or convey that
We therefore conclude that New York's pledges or promises clause -- essential to maintaining impartiality and the appearance of impartiality in the State judiciary -- is sufficiently circumscribed to withstand exacting scrutiny under the First Amendment.
Having rejected petitioner's constitutional challenge,
we address whether removal is the appropriate sanction. "[T]he
purpose of judicial disciplinary proceedings is not punishment
but the imposition of sanctions where necessary to safeguard the
Bench from unfit incumbents" ( Matter of Esworthy, 77 NY2d at 283
[internal quotation marks and citation omitted]). In this case,
petitioner expressed remorse and acknowledged before the
Commission that he exercised extremely poor judgment in the
Although petitioner's transgressions are serious, we are unpersuaded that his continued performance in judicial office presently threatens the proper administration of justice or that he has irredeemably damaged public confidence in his own impartiality or that of the State judiciary as a whole. We determine that the appropriate sanction is censure. Despite the fact that no judge has been removed for campaign misconduct in the past, our decision in this case should not be interpreted to suggest that violation of the campaign rules can never rise to a level warranting removal.
Given our conclusion that the single charge of
misconduct in the Commission complaint is sustained because
petitioner's campaign conduct violated rule 100.5(A)(4)(d)(i), we
need not determine whether his course of conduct contravened
Accordingly, the determined sanction is rejected, without costs, and the sanction of censure is imposed.
1 These sections of the Rules Governing Judicial Conduct require the following: section 100.1 - a judge should establish, maintain and enforce "high standards of conduct;" section 100.2(A) - a judge should "respect and comply with the law and shall act at all times in a manner that promotes public confidence in the integrity and impartiality of the judiciary;" section 100.5(A)(4)(d)(ii) - a judge or judicial candidate shall not "make statements that commit or appear to commit" the judge or candidate with respect to cases or controversies; and section 100.5(A)(4)(d)(iii) - the judge or candidate shall not knowingly make false statements or misrepresent the facts concerning the candidate or the opponent.
2 Petitioner's contentions that the pledges or promises rule is "void for vagueness" under the Due Process clause and offends the "free expression" provision of the New York Constitution were not presented to the Commission.
3 Petitioner appeared before the full Commission in May 2002 and had, by that time, been fulfilling his judicial duties for more than two years. During that time frame, despite the ongoing investigation, no additional charges were proffered by Commission counsel.