May a Connecticut law firm appear before a workers' compensation commissioner who is the parent of one of the firm's associates?
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This page answers the general question as of 2012. Ask about yours and see what the current Connecticut Rules of Professional Conduct say for your facts, with citations.
Plain-English summary
A workers' compensation firm planned to hire the child of a sitting commissioner and asked whether the associate or other firm lawyers could appear before that commissioner or other commissioners. The Committee noted that the lawyer-conduct rules do not directly address a lawyer's family relationship with a judicial officer.
Workers' compensation commissioners follow a separate Code of Ethics, and the Commission's chair reported that they also voluntarily follow the Code of Judicial Conduct. The Committee did not decide commissioner disqualification, which belongs to the commissioner or Commission chair, but interpreted the ethics code as needed to apply lawyer Rule 8.4(6).
Rule 8.4(6) prohibits knowingly assisting a judge or judicial officer in violating applicable judicial-conduct rules or other law. Because the workers' compensation code calls for disqualification when a close relative acts as counsel, the Committee concluded that the associate may not appear before the parent commissioner.
The associate and other firm lawyers may appear before non-parent commissioners. Before another firm lawyer appears before the parent commissioner, that lawyer must disclose the association with the commissioner's child to the commissioner and opposing counsel or an unrepresented opposing party. The disclosure also must identify any financial or other interest the associate has in the matter so the commissioner can make an informed disqualification decision.
The workers' compensation code permits a disqualified commissioner to disclose the basis on the record and participate if all parties and lawyers independently agree in writing or on the record that the relationship is immaterial. The Committee said lawyer participation after that procedure would not violate Rule 8.4(6).
In practice
Under this opinion, the associate's own appearance before the parent commissioner is prohibited. Other firm appearances require advance disclosure and leave the disqualification or remittal decision to the commissioner under the applicable ethics code.
Common questions
Q: May the associate appear before the parent commissioner?
A: No. The Committee concludes that doing so would violate Rule 8.4(6).
Q: May the associate appear before other commissioners?
A: Yes. The opinion finds no Rules-based restriction on appearances before non-parent commissioners.
Q: Are all other firm lawyers barred from the parent commissioner's matters?
A: Not categorically. They must first disclose the relationship and any associate interest to the commissioner and opposing counsel or an unrepresented opposing party.
Q: Who decides whether the commissioner is disqualified?
A: The commissioner or Commission chair decides under the applicable judicial and workers' compensation ethics codes, not the Professional Ethics Committee.
Q: Can the parties agree that the commissioner may continue?
A: The cited code permits participation after on-record disclosure when all parties and lawyers independently agree in writing or on the record that the relationship is immaterial.
Background and rules framework
Connecticut Rule 8.4(6) bars knowingly assisting a judicial officer's violation. The opinion applies that rule using Sections 18 and 19 of the Code of Ethics for Workers' Compensation Commissioners and discusses Judicial Conduct Rule 2.11.
Citations and references
Connecticut Rules of Professional Conduct:
- Rule 8.4(6)
Other authorities:
- Connecticut Code of Judicial Conduct Rule 2.11
- Code of Ethics for Workers' Compensation Commissioners §§ 18 and 19
- Connecticut General Statutes §§ 51-39a and 51-51h
See also
- NY State Bar Op. 384: Practicing where a brother is judge
- NY State Bar: Assistant district attorney before a sibling judge
- NY State Bar: Remittal of judge disqualification for a family relationship
Source
- Landing page: Connecticut Bar Association Informal Ethics Opinions
- Original PDF: Informal Opinion 12-07
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