Effective April 1, 2010

Court rules

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PREAMBLE

[1] An independent, fair and impartial judiciary is indispensable to our system

of justice. The United States legal system is based upon the principle that an

independent, impartial, and competent judiciary, composed of men and women of

integrity, will interpret and apply the law that governs our society. Thus, the

judiciary plays a central role in preserving the principles of justice and the rule of

law. Inherent in all the Rules contained in this Code are the precepts that judges,

individually and collectively, must respect and honor the judicial office as a public

trust and strive to maintain and enhance confidence in the legal system.

[2] Judges should maintain the dignity of judicial office at all times and should

avoid both impropriety and the appearance of impropriety in their professional and

personal lives. They should aspire at all times to conduct that ensures the greatest

possible public confidence in their independence, impartiality, integrity, and

competence.

[3] The Utah Code of Judicial Conduct establishes standards for the ethical

conduct of judges and judicial candidates. It is not intended as an exhaustive guide

for the conduct of judges and judicial candidates, who are governed in their

judicial and personal conduct by general ethical standards, as well as by the Code.

The Code is intended, however, to provide guidance and assist judges in

maintaining the highest standards of judicial and personal conduct and to provide

a basis for regulating their conduct through disciplinary agencies the judicial

disciplinary system.

SCOPE

[1] The Utah Code of Judicial Conduct consists of four Canons, numbered

Rules under each Canon, and Comments that generally follow and explain each

Rule. Scope and Terminology sections provide additional guidance in interpreting

and applying the Code. An Application section establishes when the various Rules

apply to a judge or judicial candidate.

[2] The Canons state overarching principles of judicial ethics that all judges

must observe. Although a judge may be disciplined only for violating a Rule, the

Canons provide important guidance in interpreting the Rules. Where a Rule

contains a permissive term, such as “may” or “should,” the conduct being

addressed is committed to the personal and professional discretion of the judge or

candidate in

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question, and no disciplinary action should shall not be taken for action or

inaction within the bounds of such discretion.

[3] The Comments that accompany the Rules serve two functions. First, they

provide guidance regarding the purpose, meaning, and proper application of the

Rules. They contain explanatory material and, in some instances, provide examples

of permitted or prohibited conduct. Comments neither add to nor subtract from the

binding obligations set forth in the Rules. Therefore, when a Comment contains the

term “must,” it does not mean that the Comment itself is binding or enforceable; it

signifies that the Rule in question, properly understood, is obligatory as to the

conduct at issue.

[4] Second, the Comments identify aspirational goals for judges. To implement

fully the principles of this Code as articulated in the Canons, judges should strive

to exceed the standards of conduct established by the Rules, holding themselves to

the highest ethical standards and seeking to achieve those aspirational goals,

thereby enhancing the dignity of the judicial office.

[5] The Rules of the Model Utah Code of Judicial Conduct are rules of reason

that should be applied consistent with constitutional requirements, statutes, other

court rules, and decisional the law and with due regard for all relevant

circumstances. The Rules should not be interpreted to impinge upon the essential

independence of judges in making judicial decisions.

[6] Although the black letter of the Rules is binding and enforceable, it is not

contemplated that every transgression will result in the imposition of discipline.

Whether discipline should be imposed should be determined through a reasonable

and reasoned application of the Rules, and should depend upon factors such as the

seriousness of the transgression, the facts and circumstances that existed at the time

of the transgression, the extent of any pattern of improper activity, whether there

have been previous violations, and the effect of the improper activity upon the

judicial system or others.

[7] The Code is not designed or intended as a basis for civil or criminal liability.

Neither is it intended to be the basis for litigants to seek collateral remedies against

each other or to obtain tactical advantages in proceedings before a court.

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APPLICATION

The Application section establishes when the various Rules apply to a judge or

judicial candidate.

I. APPLICABILITY OF THIS CODE

(A) The provisions of the Code apply to all full-time judges. Parts II

through IV of this section identify those provisions that apply to four three

distinct categories of part-time judges. The four categories of judicial service

in other than a full-time capacity are necessarily defined in general terms

because of the widely varying forms of judicial service. Canon 4 applies to

judges and judicial candidates.

(B) A judge, within the meaning of this Code, is anyone who is authorized

to perform judicial functions, including includes a an officer such as a justice

of the peace court judge, magistrate, court commissioner ,special master,

referee, or member of the administrative law judiciary.

COMMENT

[1] The Rules in this Code have been formulated to address the ethical

obligations of any person who serves a judicial function and are premised upon the

supposition that a uniform system of ethical principles should apply to all those

authorized to perform judicial functions.

[2] The determination of which category and, accordingly, which specific Rules

apply to an individual judicial officer depends upon the facts of the particular

judicial service.

[3] In recent years many jurisdictions have created what are often called

“problem solving” courts, in which judges are authorized by court rules to act in

nontraditional ways. For example, judges presiding in drug courts and monitoring

the progress of participants in those courts’ programs may be authorized and even

encouraged to communicate directly with social workers, probation officers, and

others outside the context of their usual judicial role as independent decision

makers on issues of fact and law. When local rules specifically authorize conduct

not otherwise permitted under these Rules, they take precedence over the

provisions set forth in the Code. Nevertheless, judges serving on “problem solving”

courts shall comply with this Code except to the extent local rules provide and

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permit otherwise.

Each jurisdiction should consider the characteristics of particular positions

within the administrative law judiciary in adopting, adapting, applying, and

enforcing the Code for the administrative law judiciary. See, e.g., Model Code of

Judicial Conduct for Federal Administrative Law Judges (1989) and Model Code

of Judicial Conduct for State Administrative Law Judges (1995). Both Model

Codes are endorsed by the ABA National Conference of the Administrative Law

Judiciary.

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II. RETIRED JUDGE SUBJECT TO RECALL ACTIVE SENIOR JUDGE

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A retired judge subject to recall for service, who by law is not permitted to

practice law, An active senior judge appointed under Rule 11-201 of the Rules

of Judicial Administration is not required to comply:

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(A) at any time with Rule 3.8 (Appointments to Fiduciary Positions);

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(B) with Rule 3.9 (Service as Arbitrator or Mediator), except while serving

as a judge; or

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Activities).

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COMMENT

[1] For the purposes of this section, as long as a retired an active senior judge is

subject to being recalled for service, the judge is considered to “perform judicial

functions.” this Code during any term of office to which he or she has been

appointed to serve.

III. CONTINUING PART-TIME JUSTICE COURT JUDGE

A part-time justice court judge who serves repeatedly on a part-time basis

by election or under a continuing appointment, including a retired judge

subject to recall who is permitted to practice law (“continuing part-time

judge”) an active senior justice court judge appointed under Rule 11-203 of

the Rules of Judicial Administration,

(A) is not required to comply:

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(1) with Rules 2.10(A) and 2.10(B) (Judicial Statements on Pending and

Impending Cases) and 3.14 (Reimbursement of Expenses and Waivers of Fees

or Charges) except while serving as a judge; or

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(2) at any time with Rules 3.4 (Appointments to Governmental Positions),

3.8 (Appointments to Fiduciary Positions), 3.9 (Service as Arbitrator or

Mediator), 3.10 (Practice of Law), and 3.11 (Financial, Business, or

Remunerative Activities), 3.15 (Reporting Requirements), 4.1 (Political and

Campaign Activities of Judges and Judicial Candidates in General), 4.2

(Political and Campaign Activities of Judicial Candidates in Public Elections),

4.3 (Activities of Candidates for Appointive Judicial Office), 4.4 (Campaign

Committees), and 4.5 (Activities of Judges Who Become Candidates for

Nonjudicial Office); and

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(B) shall not practice law in the court on which the judge serves or in any

court subject to the appellate jurisdiction of the court on which the judge

serves, and shall not nor act as a lawyer in a proceeding in which the judge has

served as a judge or in any other proceeding related thereto.

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COMMENT

[1] When a person who has been a continuing part-time justice court judge is no

longer a continuing part-time judge, including a retired judge no longer subject to

recall serving as a judge, that person may act as a lawyer in a proceeding in which

he or she has served as a judge or in any other proceeding related thereto only with

the informed consent of all parties, and pursuant to any applicable Model Rules of

Professional Conduct. An adopting jurisdiction should substitute a reference to its

applicable rule.

IV. PERIODIC PART-TIME JUDGE

A periodic part-time judge who serves or expects to serve repeatedly on a

part-time basis, but under a separate appointment for each limited period of

service or for each matter,

(A) is not required to comply:

(1) with Rule 2.10 (Judicial Statements on Pending and Impending Cases),

except while serving as a judge; or

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(2) at any time with Rules 3.4 (Appointments to Governmental Positions),

3.7 (Participation in Educational, Religious, Charitable, Fraternal, or Civic

Organizations and Activities), 3.8 (Appointments to Fiduciary Positions), 3.9

(Service as Arbitrator or Mediator), 3.10 (Practice of Law), 3.11 (Financial,

Business, or Remunerative Activities), 3.13 (Acceptance and Reporting of

Gifts, Loans, Bequests, Benefits, or Other Things of Value), 3.15 (Reporting

Requirements), 4.1 (Political and Campaign Activities of Judges and Judicial

Candidates in General), and 4.5 (Activities of Judges Who Become Candidates

for Nonjudicial Office); and

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(B) shall not practice law in the court on which the judge serves or in any

court subject to the appellate jurisdiction of the court on which the judge

serves, and shall not act as a lawyer in a proceeding in which the judge has

served as a judge or in any other proceeding related thereto.

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IV. JUDGE PRO TEMPORE PART-TIME JUDGE

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A judge pro tempore part-time judge who serves or expects to serve once or

only sporadically on a part-time basis under a separate appointment for each

period of service or for each case heard appointed under Rule 11-202 of the

Rules of Judicial Administration shall not practice law in the same small

claims division in which the judge serves. The same small claims division

means the courthouse at which the judge serves and includes small claims

appeals heard at that courthouse. A judge pro tempore is not required to

comply:

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(A) except while serving as a judge, with Rules 1.2 (Promoting Confidence

in the Judiciary), 2.4 (External Influences on Judicial Conduct), 2.10 (Judicial

Statements on Pending and Impending Cases), or 3.2 (Appearances before

Governmental Bodies and Consultation with Government Officials); or

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(B) at any time with Rules 3.4 (Appointments to Governmental Positions),

3.6 (Affiliation with Discriminatory Organizations), 3.7 (Participation in

Educational, Religious, Charitable, Fraternal, or Civic Organizations and

Activities), 3.8 (Appointments to Fiduciary Positions), 3.9 (Service as

Arbitrator or Mediator), 3.10 (Practice of Law), 3.11 (Financial, Business, or

Remunerative Activities), 3.13 (Acceptance and Reporting of Gifts, Loans,

Bequests, Benefits, or Other Things of Value), 3.15 (Reporting Requirements),

4.1 (Political and Campaign Activities of Judges and Judicial Candidates in

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General), 4.2 (Political and Campaign Activities of Judges in Retention

Elections), and 4.53 (Activities of Judges Who Become Candidates for

Nonjudicial Office).

V. SENIOR JUDGE

A senior judge is not required to comply with the provisions of this Code.

VI. TIME FOR COMPLIANCE

A person to whom this Code becomes applicable shall comply immediately

with its provisions, except that those judges as to whom Rules 3.8

(Appointments to Fiduciary Positions) and 3.11 (Financial, Business, or

Remunerative Activities) apply compliance shall comply with those Rules

occur as soon as reasonably possible, but in no event later than one year after

the Code becomes applicable to the judge.

COMMENT

[1] If serving as a fiduciary when selected as judge, a new judge may,

notwithstanding the prohibitions in Rule 3.8, continue to serve as fiduciary, but

only for that period of time necessary to avoid serious adverse consequences to the

beneficiaries of the fiduciary relationship and in no event longer than one year.

Similarly, if engaged at the time of judicial selection in a business activity, a new

judge may, notwithstanding the prohibitions in Rule 3.11, continue in that activity

for a reasonable period but in no event longer than one year.

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TERMINOLOGY

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The first Each time any term listed below is used in a Rule in its defined

sense, it is followed by an asterisk (*).

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“Aggregate,” in relation to contributions for a candidate, means not only

contributions in cash or in kind made directly to a candidate’s campaign committee,

but also all contributions made indirectly with the understanding that they will be

used to support the election retention of a candidate or to oppose the election of the

candidate’s opponent. See Rule 2.11.

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“Appropriate authority” means the presiding judge and the authority having

responsibility for initiation of disciplinary process in connection with the violation

to be reported. See Rules 2.14 and 2.15.

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“Contribution” means 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. See Rules 2.11, 2.13, 3.7, 4.1, and 4.2.

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“De minimis,” in the context of interests pertaining to disqualification of a

judge, means an insignificant interest that could not raise a reasonable question

regarding the judge’s impartiality. See Rule 2.11.

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“Personally Directly 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 any other means of communication. See Rule 4.2.

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“Domestic partners” means a are persons with whom another person who

maintains a household and an intimate relationship, other than a person to whom he

or she is who are not legally married. See Rules 2.11, 2.13, 3.13, and 3.14.

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“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

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substantially affected by the outcome of a proceeding before a judge, it does not

include:

(1) an interest in the individual holdings within a mutual or common investment

fund;

(2) an interest in securities held by an educational, religious, charitable,

fraternal, or civic organization in which the judge or the judge’s spouse, domestic

partner, parent, or child serves as a director, an officer, an advisor, or other

participant;

(3) a deposit in a financial institution or deposits or proprietary interests the

judge may maintain as a member of a mutual savings association or credit union, or

similar proprietary interests; or

(4) an interest in the issuer of government securities held by the judge. See Rules

1.3, 2.11, and 3.2.

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“Fiduciary” includes relationships such as executor, administrator, trustee,

personal representative, holder of a power of attorney, or guardian. See Rules 2.11,

3.2, and 3.8.

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“Harassment” means verbal or physical conduct that denigrates or shows hostility

or aversion toward a person on bases such as race, sex, gender, religion, national

origin, ethnicity, disability, age, sexual orientation, marital status, socioeconomic

status, or political affiliation. See Rule 2.3.

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“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

presence of an objective and open mind in considering matters that may come before

a judge. See Canons 1, 2, and 4, and Rules 1.2, 2.2, 2.10, 2.11, 2.13, 3.1, 3.12, 3.13,

4.1, and 4.2.

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“Impending matter” is a matter that is imminent or expected to occur in the near

future. See Rules 2.9, 2.10, 3.13, and 4.1.

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“Impropriety” includes conduct that violates the law, court rules, or provisions

of this Code, and conduct that undermines a judge’s independence, integrity, or

impartiality. See Canon 1 and Rule 1.2.

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“Independence” means a judge’s freedom from influences or controls other than

those established by law. See Canons 1 and 4, and Rules 1.2, 3.1, 3.12, 3.13, 4.1 and

4.2.

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“Integrity” means probity, fairness, honesty, uprightness, and soundness of

character. See Canon 1 and Rules 1.2, 3.1, 3.12, 3.13, 4.1, and 4.2.

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“Judicial candidate” means any person, including a sitting judge, who is seeking

selection for or retention in 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 or

appointment authority, authorizes or, where permitted, engages in solicitation or

acceptance of contributions or support, or is nominated for election or appointment to

office. See Rules 2.11 and 4.1.

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“Knowingly,” “knowledge,” “known,” and “knows” mean actual knowledge of

the fact in question. A person’s knowledge may be inferred from circumstances. See

Rules 2.11, 2.13, 2.15, 2.16, 3.6, and 4.1.

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“Law” encompasses, but is not necessarily limited to, court rules, as well as

statutes, ordinances, constitutional provisions, and decisional case law. See Rules 1.1,

2.1, 2.2, 2.6, 2.9, 3.1, 3.2, 3.4, 3.7, 3.9, 3.12, 3.13, 3.14, 4.2, and 4.3.

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“Member of the candidate’s family” means a spouse, domestic partner, child,

grandchild, parent, grandparent, or other relative or person with whom the candidate

maintains a close familial relationship.

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“Member of the judge’s family” means a spouse, domestic partner, child,

grandchild, parent, grandparent, or other relative or person with whom the judge

maintains a close familial relationship. See Rules 3.7, 3.8, 3.10, and 3.11.

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“Member of a judge’s family residing in the judge’s household” means any

relative of a judge by blood or marriage, or a person treated by a judge as a member

of the judge’s family who resides in the judge’s household. See Rules 2.11 and 3.13.

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“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, rule, or court order or impounded or communicated in camera, and

information offered in grand jury proceedings, presentencing reports, dependency

cases, or psychiatric reports. See Rule 3.5.

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“Pending matter” is a matter that has commenced. A matter continues to be

pending through any appellate process until final disposition. See Rules 2.9, 2.10,

3.13, and 4.1.

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“Political organization” means a political party or other group sponsored by or

affiliated with a political party or candidate, 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

created as authorized by Rule 4.2. See Rule 4.1.

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“Public election” includes primary and general elections, partisan elections,

nonpartisan elections, and retention elections. See Rules 4.2 and 4.4.

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“Third degree of relationship” includes the following persons: great-grandparent,

grandparent, parent, uncle, aunt, brother, sister, child, grandchild, great-grandchild,

nephew, and niece. See Rule 2.11.

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CANON 1

A JUDGE SHALL UPHOLD AND PROMOTE THE INDEPENDENCE,*

INTEGRITY,*AND IMPARTIALITY*OF THE JUDICIARY AND SHALL

AVOID IMPROPRIETY* AND THE APPEARANCE OF IMPROPRIETY.

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RULE 1.1

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Compliance with the Law*

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A judge shall comply with the law including the Code of Judicial Conduct.

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RULE 1.2

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Promoting Confidence in the Judiciary

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A judge shall should act at all times in a manner that promotes-and shall not

undermine-public confidence in the independence* integrity,* and

impartiality* of the judiciary and shall avoid impropriety* and the appearance

of impropriety.

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COMMENT

[I] Public confidence in the judiciary is eroded by improper conduct and conduct

that creates the appearance of impropriety. This principle applies to both the

professional and personal conduct of a judge.

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[2] A judge should expect to be the subject of public scrutiny that might be viewed

as burdensome if applied to other citizens, and must accept the restrictions

imposed by the Code.

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[3] Conduct that compromises or appears to compromise the independence,

integrity, and impartiality of a judge undermines public confidence in the

judiciary. Because it is not practicable to list all such conduct, the Rule is

necessarily cast in general terms.

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[4] Judges should participate in activities that promote ethical conduct among

judges and lawyers, support professionalism within the judiciary and the legal

profession, and promote access to justice for all.

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[5] Actual improprieties include violations of law or provisions of this Code. The test

for appearance of impropriety is whether the conduct would create in

reasonable minds a perception that the judge violated this Code or engaged in

impropriety other conduct that reflects adversely on the judge's honesty, impartiality,*

temperament, or fitness to serve as a judge.

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[6] A judge should initiate and participate in community outreach activities for the

purpose of promoting public understanding of and confidence in the

administration of justice. In conducting such activities, the judge must act in a

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manner consistent with this Code.

RULE 1.3

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Avoiding Abuse of the Prestige of Judicial Office

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A judge shall not abuse the prestige of judicial office to advance the personal

or economic interests* of the judge or others or allow others to do so.

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COMMENT

[1] It is improper for a judge to use abuse or attempt to abuse his or her position to

gain personal advantage or deferential treatment of any kind. For example, it would

be improper for a judge to allude to his or her judicial status to gain favorable

treatment in encounters with traffic officials. Similarly, a judge must not use judicial

letterhead to gain an advantage in conducting his or her personal business.

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[2] A judge may provide a reference or recommendation for an individual based upon

the judge’s personal knowledge, The judge may use official letterhead if the judge

indicates that the reference is personal and if there is no likelihood that the use of the

letterhead reference or recommendation would reasonably be perceived as an attempt

to exert pressure by reason of the judicial office. In making such references or

recommendations, the judge may refer to his or her judicial office and use official

letterhead only for employment or educational opportunities.

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[3] Judges may participate in the process of judicial selection by cooperating

encouraging individuals to apply for judicial office and communicating with

appointing authorities and screening committees, and by responding to inquiries from

such entities concerning the professional qualifications of a person being considered

for judicial office.

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[4] Special considerations arise when judges write or contribute to publications of forprofit entities, whether related or unrelated to the law. A judge should not permit

anyone associated with the publication of such materials to exploit the judge’s office

in a manner that violates this Rule or other applicable law. In contracts for publication

of a judge’s writing, the judge should retain sufficient control over the advertising to

avoid such exploitation.

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CANON 2

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A JUDGE SHALL PERFORM THE DUTIES OF JUDICIAL OFFICE

IMPARTIALLY,* COMPETENTLY, AND DILIGENTLY.

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RULE 2.1

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Giving Precedence to the Duties of Judicial Office

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The duties of judicial office, as prescribed by law,* shall take precedence over all

of a judge’s personal and extrajudicial activities.

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COMMENT

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[1] To ensure that judges are available to fulfill their judicial duties, judges must

conduct their personal and extrajudicial activities to minimize the risk of conflicts that

would result in frequent disqualification. See Canon 3.

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[2] Although it is not a duty of judicial office unless prescribed by law, judges are

encouraged to participate in activities that promote public understanding of and

confidence in the justice system.

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RULE 2.2

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Impartiality* and Fairness

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A judge shall uphold and apply the law,* and shall perform all duties of judicial

office fairly and impartially.

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COMMENT

[1] To ensure impartiality* and fairness to all parties, a judge must be objective and

open-minded.

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[2] [1] Although each judge comes to the bench with a unique background and

personal philosophy, a judge must interpret and apply the law without regard to

whether the judge approves or disapproves of the law in question.

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[3] [2] When applying and interpreting the law, a judge may make good-faith errors

of fact or law. Errors of this kind do not violate this Rule.

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[4] [3] It is not a violation of this Rule for a judge to make reasonable accommodations

to ensure pro se litigants the opportunity to have their matters fairly heard.

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RULE 2.3

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Bias, Prejudice, and Harassment*

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(A) A judge shall perform the duties of judicial office, including administrative

duties, without bias or prejudice.

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(B) A judge shall not, in the performance of judicial duties, by words or conduct

manifest bias or prejudice or engage in harassment, including but not limited to

bias, prejudice, or harassment based upon race, sex, gender, religion, national

origin, ethnicity, disability, age, sexual orientation, marital status, socioeconomic

status, or political affiliation, and shall not permit court staff, court officials, or

others subject to the judge’s direction and control to do so.

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before the court to refrain from manifesting bias or prejudice, or engaging in

harassment, based upon attributes including but not limited to race, sex, gender,

religion, national origin, ethnicity, disability, age, sexual orientation, marital

status, socioeconomic status, or political affiliation, against parties, witnesses,

lawyers, or others.

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(D) The restrictions of paragraphs (B) and (C) do not preclude judges or lawyers

from making legitimate reference to the listed factors, or similar factors, when

they are relevant to an issue in a proceeding.

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COMMENT

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[1] A judge who manifests bias or prejudice in a proceeding impairs the fairness of the

proceeding and brings the judiciary into disrepute.

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[2] Examples of manifestations of bias or prejudice include but are not limited to

epithets; slurs; demeaning nicknames; negative stereotyping; attempted humor based

upon stereotypes; threatening, intimidating, or hostile acts; suggestions of connections

between race, ethnicity, or nationality and crime; and irrelevant references to personal

characteristics. Even facial expressions and body language can convey to parties and

lawyers in the proceeding, jurors, the media, and others an appearance of bias or

prejudice. A judge must avoid conduct that may reasonably be perceived as prejudiced

or biased.

Effective April 1, 2010

437

438

439

[3] Examples of sexual harassment include but is are not limited to sexual advances,

requests for sexual favors, and other verbal or physical conduct of a sexual nature that

is unwelcome.

440

RULE 2.4

441

External Influences on Judicial Conduct

442

(A) A judge shall not be swayed by public clamor or fear of criticism.

443

444

(B) A judge shall not permit family, social, political, financial, or other interests

or relationships to influence the judge’s judicial conduct or judgment.

445

446

person or organization is in a position to influence the judge.

447

COMMENT

448

449

450

451

452

[1] An independent judiciary requires that judges decide cases according to the law

and facts, without regard to whether particular laws or litigants are popular or

unpopular with the public, the media, government officials, or the judge’s friends or

family. Confidence in the judiciary is eroded if judicial decision making is perceived

to be subject to inappropriate outside influences.

Effective April 1, 2010

453

RULE 2.5

454

Competence, Diligence, and Cooperation

455

456

(A) A judge shall competently and diligently perform judicial and administrative

duties, competently and diligently.

457

458

(B) A judge shall cooperate with other judges and court officials in the

administration of court business.

459

COMMENT

460

461

462

[1] Competence in the performance of judicial duties requires the legal knowledge,

skill, thoroughness, and preparation reasonably necessary to perform a judge’s

responsibilities of judicial office.

463

464

[2] A judge should seek the necessary docket time, court staff, expertise, and resources

to discharge all judicial and administrative responsibilities.

465

466

467

468

469

[3] Prompt Competent and diligent disposition of the court’s business requires a judge

to devote adequate time to judicial duties, to be punctual in attending court and

expeditious in determining matters under submission, and to take reasonable measures

to ensure that court officials, litigants, and their lawyers cooperate with the judge to

that end.

470

471

472

473

474

[4] In disposing of matters promptly and efficiently competently and diligently

performing judicial and administrative duties, a judge must demonstrate due regard for

the rights of parties to be heard and to have issues resolved without unnecessary cost

or delay. A judge should monitor and supervise cases in ways that reduce or eliminate

dilatory practices, avoidable delays, and unnecessary costs.

Effective April 1, 2010

475

RULE 2.6

476

Ensuring the Right to Be Heard

477

478

(A) A judge shall accord to every person who has a legal interest in a proceeding,

or that person’s lawyer, the right to be heard according to law.*

479

480

481

(B) A judge may encourage parties to a proceeding and their lawyers to settle

matters in dispute but shall not act in a manner that coerces any party into

settlement.

482

COMMENT

483

484

485

[1] The right to be heard is an essential component of a fair and impartial system of

justice. Substantive rights of litigants can be protected only if procedures protecting

the right to be heard are observed.

486

487

488

489

490

491

492

493

494

495

496

497

498

[2] The judge plays and important role in overseeing If a judge participates in the

settlement of disputes, but the judge should be careful that efforts to further settlement

do not undermine any party’s right to be heard according to law. The judge should

keep in mind the effect that the judge’s participation in settlement discussions may

have, not only on the judge’s own views of the case, but also on the perceptions of the

lawyers and the parties if the case remains with the judge after settlement efforts are

unsuccessful. Among the factors that a judge may consider when deciding upon an

appropriate settlement practice for a case are (1) whether the parties have requested

or voluntarily consented to a certain level of participation by the judge in settlement

discussions, (2) whether the parties and their counsel are relatively sophisticated in

legal matters, (3) whether the case will be tried by the judge or a jury, (4) whether the

parties participate with their counsel in settlement discussions, (5) whether any parties

are unrepresented by counsel, and (6) whether the matter is civil or criminal.

499

500

501

502

503

504

[3] Judges must be mindful of the effect settlement discussions can have, not only on

their objectivity and impartiality, but also on the appearance of their objectivity and

impartiality. Despite a judge’s best efforts, there may be instances when information

obtained during settlement discussions could influence a judge’s decision making

during trial, and, in such instances, the judge should consider whether disqualification

may be appropriate. See Rule 2.11(A)(1).

Effective April 1, 2010

505

RULE 2.7

506

Responsibility to Decide

507

508

A judge shall hear and decide matters assigned to the judge, except when

disqualification is required by Rule 2.11 or other law * or permitted.

509

COMMENT

510

511

512

513

514

515

516

517

518

[1] Judges must be available to decide the matters that come before the court.

Although there are times when disqualification is necessary to protect the rights of

litigants and preserve public confidence in the independence, integrity, and

impartiality of the judiciary, judges must be available to decide matters that come

before the courts. Unwarranted disqualification may bring public disfavor to the court

and to the judge personally. The dignity of the court, the judge’s respect for fulfillment

of judicial duties, and a proper concern for the burdens that may be imposed upon the

judge’s colleagues require that a A judge should not use disqualification to avoid cases

that present difficult, controversial, or unpopular issues.

Effective April 1, 2010

519

RULE 2.8

520

Decorum, Demeanor, and Communication with Jurors

521

522

(A) A judge shall take reasonable measures to require order and decorum in

proceedings before the court.

523

524

525

526

527

(B) A judge shall be patient, dignified, and courteous to litigants, jurors,

witnesses, lawyers, court staff, court officials, and others with whom the judge

deals in an official capacity, and shall take reasonable measures to require

similar conduct of lawyers, court staff, court officials, and others subject to the

judge’s direction and control.

528

529

a court order or opinion in a proceeding.

530

COMMENT

531

532

533

534

[1] The duty to hear all proceedings with patience and courtesy is consistent with the

duty imposed in Rule 2.5 to dispose promptly competently and diligently of the

business of the court. Judges can be efficient and businesslike while being patient and

deliberate.

535

536

537

[2] Commending or criticizing jurors for their verdict may imply a judicial expectation

in future cases and may impair a juror’s ability to be fair and impartial in a subsequent

case.

538

539

540

[3] A judge who is not otherwise prohibited by law from doing so may meet with

jurors who choose to remain after trial but should be careful not to discuss the merits

of the case.

541

Effective April 1, 2010

542

RULE 2.9

543

Ex Parte Communications

544

545

546

547

(A) A judge shall not initiate, permit, or consider ex parte communications, or

consider other communications made to the judge outside the presence of the

parties or their lawyers, concerning a pending* or impending matter,* except as

follows:

548

549

550

(1) When circumstances require it, ex parte communication for scheduling,

administrative, or emergency purposes, which does not address substantive

matters, is permitted, provided:

551

552

(a) the judge reasonably believes that no party will gain a procedural,

substantive, or tactical advantage as a result of the ex parte communication; and

553

554

(b) the judge makes provision promptly to notify all other parties of the substance

of the ex parte communication and gives the parties an opportunity to respond.

555

556

557

558

559

(2) A judge may obtain the written advice of a disinterested expert on the law*

applicable to a proceeding before the judge, if the judge gives advance notice to

the parties of the person to be consulted and the subject matter of the advice to

be solicited and affords the parties a reasonable opportunity to object and

respond to the notice and to the advice received.

560

561

562

563

564

(3) A judge may consult with court staff and court officials whose functions are

to aid the judge in carrying out the judge’s adjudicative responsibilities, or with

other judges, provided the judge makes reasonable efforts to avoid receiving

factual information that is not part of the record and does not abrogate the

responsibility to personally decide the matter.

565

566

(4) A judge may, with the consent of the parties, confer separately with the

parties and their lawyers in an effort to settle matters pending before the judge.

567

568

(5) A judge may initiate, permit, or consider any ex parte communication when

expressly authorized by law to do so.

569

570

571

572

(B) If a judge inadvertently receives an unauthorized ex parte communication

bearing upon the substance of a matter, the judge shall make provision promptly

to notify the parties of the substance of the communication and provide the

parties with an opportunity to respond.

Effective April 1, 2010

573

574

575

consider only the evidence presented and any facts that may properly be

judicially noticed.

576

577

578

579

(D) A judge shall make reasonable efforts, including providing appropriate

supervision, to ensure that the judge does not receive inappropriate ex parte

communications through or from this Rule is not violated by court staff, court

officials, and others subject to the judge’s direction and control.

580

COMMENT

581

582

[1] To the extent reasonably possible, all parties or their lawyers shall be included in

communications with a judge.

583

584

585

[2] Whenever the presence of a party or notice to a party is required by this Rule, it is

the party’s lawyer, or if the party is unrepresented, the party, who is to be present or

to whom notice is to be given.

586

587

588

[3] The proscription against communications concerning a proceeding includes

communications with lawyers, law teachers, and other persons who are not

participants in the proceeding, except to the limited extent permitted by this Rule.

589

590

591

592

593

[4] A judge may initiate, permit, or consider ex parte communications expressly

authorized by law, such as when serving on therapeutic or problem-solving courts,

mental health courts, or drug courts. In this capacity, judges may assume a more

interactive role with parties, treatment providers, probation officers, social workers,

and others.

594

595

596

[5] A judge may consult with other judges on pending matters, but must avoid ex parte

discussions of a case with judges who have previously been disqualified from hearing

the matter, and with judges who have appellate jurisdiction over the matter.

597

598

[6] The prohibition against a judge investigating the facts in a matter extends to

information available in all mediums, including electronic.

599

600

601

[7] A judge may consult ethics advisory committees, outside counsel, or legal experts

concerning the judge’s compliance with this Code. Such consultations are not subject

to the restrictions of paragraph (A)(2).

602

Effective April 1, 2010

603

RULE 2.10

604

Judicial Statements on Pending* and Impending* Cases

605

606

607

608

(A) A judge shall not make any public statement that might reasonably be

expected to affect the outcome or impair the fairness of a matter pending or

impending in any court, or make any nonpublic statement that might

substantially interfere with a fair trial or hearing.

609

610

611

612

(B) A judge shall not, in connection with cases, controversies, or issues that are

likely to come before the court, make pledges, promises, or commitments that are

inconsistent with the impartial* performance of the adjudicative duties of judicial

office.

613

614

615

616

and others subject to the judge’s direction and control to refrain from making

statements that the judge would be prohibited from making by paragraphs (A)

and (B).

617

618

619

620

(D) Notwithstanding the restrictions in paragraph (A), a judge may make public

statements in the course of official duties, may explain court procedures, and may

comment on any proceeding in which the judge is a litigant in a personal

capacity.

621

622

623

(E) Subject to the requirements of paragraph (A), a judge may respond directly

or through a third party to allegations in the media or elsewhere concerning the

judge’s conduct in a matter.

624

625

626

COMMENT

[1] This Rule’s restrictions on judicial speech are essential to the maintenance of the

independence, integrity, and impartiality of the judiciary.

627

628

629

[2] This Rule does not prohibit a judge from commenting on proceedings in which the

judge is a litigant in a personal capacity. In cases in which the judge is a litigant in an

official capacity, such as a writ of mandamus, the judge must not comment publicly.

630

631

632

[3] Depending upon the circumstances, the judge should consider whether it may be

preferable for a third party, rather than the judge, to respond or issue statements in

connection with allegations concerning the judge’s conduct in a matter.

Effective April 1, 2010

633

RULE 2.11

634

Disqualification

635

636

637

(A) A judge shall disqualify himself or herself in any proceeding in which the

judge’s impartiality* might reasonably be questioned, including but not limited

to the following circumstances:

638

639

(1) The judge has a personal bias or prejudice concerning a party or a party’s

lawyer, or personal knowledge* of facts that are in dispute in the proceeding.

640

641

642

(2) The judge knows* that the judge, the judge’s spouse or domestic partner,* or

a person within the third degree of relationship* to either of them, or the spouse

or domestic partner of such a person is:

643

644

(a) a party to the proceeding, or an officer, director, general partner, managing

member, or trustee of a party;

645

(b) acting as a lawyer in the proceeding;

646

647

affected by the proceeding; or

648

(d) likely to be a material witness in the proceeding.

649

650

651

652

(3) The judge knows that he or she, individually or as a fiduciary,* or the judge’s

spouse, domestic partner, parent, or child, or any other member of the judge’s

family residing in the judge’s household,* has an economic interest* in the

subject matter in controversy or in a party to the proceeding.

653

654

655

656

657

(4) The judge knows or learns by means of a timely motion that a party, a party’s

lawyer, or the law firm of a party’s lawyer has within the previous three years

made aggregate* contributions* to the judge’s retention campaign in an amount

that is greater than $50 for an individual or $[insert amount] for an entity] [is

reasonable and appropriate for an individual or an entity].

658

659

660

661

(5) The judge, while a judge or a judicial candidate,* has made a public

statement, other than in a court proceeding, judicial decision, or opinion, that

commits or appears to commit the judge to reach a particular result or rule in a

particular way in the proceeding or controversy.

662

(6) The judge:

Effective April 1, 2010

663

664

665

(a) served as a lawyer in the matter in controversy, or was associated with a

lawyer who participated substantially as a lawyer in the matter during such

association;

666

667

668

669

(b) served in governmental employment, and in such capacity participated

personally and substantially as a lawyer or public official concerning the

proceeding, or has publicly expressed in such capacity an opinion concerning the

merits of the particular matter in controversy;

670

671

672

(d) previously presided as a judge over the matter in another court and is now

acting as a judge who would hear the appeal or trial de novo.

673

674

675

676

(B) A judge shall keep informed about the judge’s personal and fiduciary

economic interests, and make a reasonable effort to keep informed about the

personal economic interests of the judge’s spouse or domestic partner and minor

children residing in the judge’s household.

677

678

679

680

681

682

683

684

prejudice under paragraph (A)(1), may disclose on the record the basis of the

judge’s disqualification and may ask the parties and their lawyers to consider,

outside the presence of the judge and court personnel, whether to waive

disqualification. If, following the disclosure, the parties and lawyers agree,

without participation by the judge or court personnel, that the judge should not

be disqualified, the judge may participate in the proceeding. The agreement shall

be incorporated into the record of the proceeding.

685

COMMENT

686

687

688

689

[1] Under this Rule, a judge is disqualified whenever the judge’s impartiality might

reasonably be questioned, regardless of whether any of the specific provisions of

paragraphs (A)(1) through (6) apply. In many jurisdictions, the term “recusal” is used

interchangeably with the term “disqualification.”

690

691

[2] A judge’s obligation not to hear or decide matters in which disqualification is

required applies regardless of whether a motion to disqualify is filed.

692

693

694

695

[3] The rule of necessity may override the rule of disqualification. For example, a

judge might be required to participate in judicial review of a judicial salary statute, or

might be the only judge available in a matter requiring immediate judicial action, such

as a hearing on probable cause or a temporary restraining order. In matters that require

Effective April 1, 2010

696

697

698

immediate action, the judge must disclose on the record the basis for possible

disqualification and make reasonable efforts to transfer the matter to another judge as

soon as practicable.

699

700

701

702

703

704

705

706

707

[4] The fact that a lawyer in a proceeding is affiliated with a law firm with which a

relative of the judge is affiliated does not itself disqualify the judge. A judge is

disqualified in proceedings involving a law firm that employs the judge’s spouse,

domestic partner, parent, or child, or any other member of the judge’s family residing

in the judge’s household as an equity holder in the law firm. A judge is not

disqualified in other situations unless the judge’s impartiality might reasonably be

questioned under paragraph (A), or the a relative is known by the judge to have an

interest in the law firm that could be substantially affected by the proceeding under

paragraph (A)(2)(c), the judge’s disqualification is required.

708

709

710

[5] A judge should disclose on the record information that the judge believes the

parties or their lawyers might reasonably consider relevant to a possible motion for

disqualification, even if the judge believes there is no basis for disqualification.

711

712

713

714

715

[6] “Economic interest,” as set forth in the Terminology section, means ownership of

more than a de minimis* legal or equitable interest. Except for situations in which a

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:

716

(1) an interest in the individual holdings within a mutual or common investment fund;

717

718

719

(2) an interest in securities held by an educational, religious, charitable, fraternal, or

civic organization in which the judge or the judge’s spouse, domestic partner, parent,

or child serves as a director, officer, advisor, or other participant;

720

721

722

(3) a deposit in a financial institution or deposits or proprietary interests the judge may

maintain as a member of a mutual savings association or credit union, or similar

proprietary interests; or

723

(4) an interest in the issuer of government securities held by the judge.

Effective April 1, 2010

724

RULE 2.12

725

Supervisory Duties

726

727

728

(A) A judge shall take reasonable measures to require court staff, court officials,

and others subject to the judge’s direction and control to act in a manner

consistent with the judge’s fulfillment of his or her obligations under this Code.

729

730

731

732

(B) A judge with supervisory authority for the performance of other judges shall

take reasonable measures to ensure that those judges properly discharge their

judicial responsibilities, including the prompt timely disposition of matters before

them.

733

COMMENT

734

735

736

737

738

[1] A judge is responsible for his or her own conduct and for the conduct of others,

such as staff, when those persons are acting at the judge’s direction or control.

A judge may not direct court personnel to engage in conduct on the judge’s behalf or

as the judge’s representative when such conduct would violate the Code if undertaken

by the judge.

739

740

741

742

743

[2] Public confidence in the judicial system depends upon timely justice. To promote

the efficient administration of justice, a judge with supervisory authority must take the

steps needed to ensure that judges under his or her supervision timely administer their

workloads promptly.

Effective April 1, 2010

744

RULE 2.13

745

Administrative Appointments

746

(A) In making administrative appointments, a judge:

747

748

(1) shall exercise the power of appointment impartially* and on the basis of

merit; and

749

(2) shall avoid nepotism, favoritism, and unnecessary appointments.

750

751

752

753

754

(B) A judge shall not appoint a lawyer to a position if the judge either knows*

that the lawyer, or the lawyer’s spouse or domestic partner,* has contributed

more than $50 within the prior 3 years to the judge’s election retention campaign,

or learns of such a contribution* by means of a timely motion by a party or other

person properly interested in the matter, unless:

755

(1) the position is substantially uncompensated;

756

757

758

(2) the lawyer has been selected in rotation from a list of qualified and available

lawyers compiled without regard to their having made political contributions;

759

760

(3) the judge or another presiding or administrative judge affirmatively finds that

no other lawyer is willing, competent, and able to accept the position.

761

762

of services rendered.

763

COMMENT

764

765

766

767

768

[1] Appointees of a judge include assigned counsel, officials such as referees,

commissioners, special masters, receivers, and guardians, and personnel such as

clerks, secretaries, and bailiffs. Consent by the parties to an appointment or an award

of compensation does not relieve the judge of the obligation prescribed by paragraph

(A).

769

770

771

[2] Unless otherwise defined by law, nepotism is the appointment or hiring of any

relative within the third degree of relationship of either the judge or the judge’s spouse

or domestic partner, or the spouse or domestic partner of such relative.

772

773

774

[3] The rule against making administrative appointments of lawyers who have

contributed in excess of a specified dollar amount to a judge’s retention election

campaign includes an exception for positions that are substantially uncompensated,

Effective April 1, 2010

775

776

777

such as those for which the lawyer’s compensation is limited to reimbursement for

out-of-pocket expenses.

RULE 2.14

778

Disability and Impairment

779

780

781

782

A judge having a reasonable belief that the performance of a lawyer or another

judge is impaired by drugs or alcohol, or by a mental, emotional, or physical

condition, shall take appropriate action, which may include a confidential

referral to a lawyer or judicial assistance program.

783

COMMENT

784

785

786

787

788

[1] “Appropriate action” means action intended and reasonably likely to help the judge

or lawyer in question address the problem and prevent harm to the justice system.

Depending upon the circumstances, appropriate action may include but is not limited

to speaking directly to the impaired person, notifying an individual with supervisory

responsibility over the impaired person, or making a referral to an assistance program.

789

790

791

792

793

794

795

[2] Taking or initiating corrective action by way of referral to an assistance program

may satisfy a judge’s responsibility under this Rule. Assistance programs have many

approaches for offering help to impaired judges and lawyers, such as intervention,

counseling, or referral to appropriate health care professionals. Depending upon the

gravity of the conduct that has come to the judge’s attention, however, the judge may

be required to take other action, such as reporting the impaired judge or lawyer to the

appropriate authority, agency, or body. See Rule 2.15.

Effective April 1, 2010

796

RULE 2.15

797

Responding to Judicial and Lawyer Misconduct

798

799

800

801

(A) A judge having knowledge* that another judge has committed a violation of

this Code that raises a substantial question regarding the judge’s honesty,

trustworthiness, or fitness as a judge in other respects shall inform the

appropriate authority.*

802

803

804

805

(B) A judge having knowledge that a lawyer has committed a violation of the

Rules of Professional Conduct that raises a substantial question regarding the

lawyer’s honesty, trustworthiness, or fitness as a lawyer in other respects shall

inform the appropriate authority.

806

807

808

another judge has committed a violation of this Code shall should take

appropriate action.

809

810

811

(D) A judge who receives information indicating a substantial likelihood that a

lawyer has committed a violation of the Rules of Professional Conduct shall

should take appropriate action.

812

COMMENT

813

814

815

816

817

818

819

820

821

822

[1] Taking action A judge has an obligation to address a known misconduct violation

by a judge or a lawyer of the Code or the Utah Rules of Professional Conduct is a

judge’s obligation. Paragraphs (A) and (B) impose an obligation on the judge to report

to the appropriate disciplinary authority the known misconduct of another judge or

a lawyer that raises a substantial question regarding the honesty, trustworthiness, or

fitness of that judge or lawyer. Ignoring or denying known misconduct among one’s

judicial colleagues or members of the legal profession undermines a judge’s

responsibility to participate in efforts to ensure public respect for the justice system.

This Rule limits the reporting obligation to those offenses that an independent

judiciary must vigorously endeavor to prevent.

823

824

825

826

827

828

[2] A judge who does not have actual knowledge that another judge or a lawyer may

have committed misconduct violated the Code or the Utah Rules of Professional

Conduct, but receives information indicating a substantial likelihood of such

misconduct, is required to should take appropriate action under paragraphs (C) and

(D). Appropriate action may include, but is not limited to communicating directly with

the judge who may have violated this Code communicating with a supervising judge,

Effective April 1, 2010

829

830

831

832

833

834

or reporting the suspected violation to the appropriate authority or other agency or

body. Similarly, actions to be taken in response to information indicating that a lawyer

has committed a violation of the Rules of Professional Conduct may include but are

not limited to communicating directly with the lawyer who may have committed the

violation or reporting the suspected violation to the appropriate authority or other

agency or body.

835

Effective April 1, 2010

836

RULE 2.16

837

Cooperation with Disciplinary Authorities

838

839

(A) A judge shall cooperate and be candid and honest with judicial and lawyer

disciplinary agencies.

840

841

842

(B) A judge shall not retaliate, directly or indirectly, against a person known* or

suspected to have assisted or cooperated with an investigation of a judge or a

lawyer.

843

COMMENT

844

845

846

[1] Cooperation with investigations and proceedings of judicial and lawyer discipline

agencies, as required in paragraph (A), instills confidence in judges’ commitment to

the integrity of the judicial system and the protection of the public.

Effective April 1, 2010

847

CANON 3

848

849

850

A JUDGE SHALL CONDUCT THE JUDGE’S PERSONAL AND

EXTRAJUDICIAL ACTIVITIES TO MINIMIZE THE RISK OF CONFLICT

WITH THE OBLIGATIONS OF JUDICIAL OFFICE.

851

RULE 3.1

852

Extrajudicial Activities in General

853

854

A judge may engage in extrajudicial activities, except as prohibited by law* or

this Code. However, when engaging in extrajudicial activities, a judge shall not:

855

856

(A) participate in activities that will interfere with the proper performance of the

judge’s judicial duties;

857

858

(B) participate in activities that will lead to unreasonably frequent

disqualification of the judge;

859

860

undermine the judge’s independence,* integrity,* or impartiality;*

861

862

(D) engage in conduct that would appear to a reasonable person to be coercive;

863

864

865

866

(E) (D) make inappropriate use of court premises, staff, stationery, equipment,

or other resources, except for incidental use for activities that concern the law*,

the legal system, or the administration of justice, or unless such additional use is

permitted by law.

867

COMMENT

868

869

870

871

872

873

874

875

[1] To the extent that time permits, and judicial independence and impartiality are not

compromised, judges are encouraged to engage in appropriate extrajudicial activities.

Judges are uniquely qualified to engage in extrajudicial activities that concern the law,

the legal system, and the administration of justice, such as by speaking, writing,

teaching, or participating in scholarly research projects. In addition, judges are

permitted and encouraged to engage in educational, religious, charitable, fraternal or

civic extrajudicial activities not conducted for profit, even when the activities do not

involve the law. See Rules 3.7 and 3.12.

876

877

878

[2] Participation in both law-related and other extrajudicial activities helps integrate

judges into their communities, and furthers public understanding of and respect for

courts and the judicial system.

Effective April 1, 2010

879

880

881

882

883

884

885

886

[3] Discriminatory actions and expressions of bias or prejudice by a judge, even

outside the judge’s official or judicial actions, are likely to appear to a reasonable

person to call into question the judge’s integrity and impartiality. Examples include

jokes or other remarks that demean individuals based upon their race, sex, gender,

religion, national origin, ethnicity, disability, age, sexual orientation, or socioeconomic

status. For the same reason, a judge’s extrajudicial activities must not be conducted

in connection or affiliation with an organization that practices invidious

discrimination. See Rule 3.6.

887

888

889

890

891

892

[4] While engaged in permitted extrajudicial activities, judges must not coerce others

or take action that would reasonably be perceived as coercive. For example, depending

upon the circumstances, a judge’s solicitation of contributions* or memberships for

an organization, even as permitted by Rule 3.7(A), might create the risk that the person

solicited would feel obligated to respond favorably, or would do so to curry favor with

the judge.

Effective April 1, 2010

893

RULE 3.2

894

895

Appearances before Governmental Bodies and Consultation with Government

Officials

896

897

A judge shall not appear voluntarily at a public hearing before, or otherwise

consult with, an executive or a legislative body or official, except:

898

899

(A) in connection with matters concerning the law,* the legal system, or the

administration of justice;

900

901

(B) in connection with matters about which the judge acquired knowledge or

expertise in the course of the judge’s judicial duties; or

902

903

economic interests,* or when the judge is acting in a fiduciary* capacity.

904

COMMENT

905

906

907

[1] Judges possess special expertise in matters of law, the legal system, and the

administration of justice, and may properly share that expertise with governmental

bodies and executive or legislative branch officials.

908

909

910

911

912

913

914

[2] In appearing before governmental bodies or consulting with government officials,

judges must be mindful that they remain subject to other provisions of this Code, such

as Rule 1.3, prohibiting judges from using the prestige of office to advance their own

or others’ interests, Rule 2.10, governing public comment on pending and impending

matters, and Rule 3.1(C), prohibiting judges from engaging in extrajudicial activities

that would appear to a reasonable person to undermine the judge’s independence,

integrity, or impartiality.

915

916

917

918

919

920

[3] In general, it would be an unnecessary and unfair burden to prohibit judges from

appearing before governmental bodies or consulting with government officials on

matters that are likely to affect them as private citizens, such as zoning proposals

affecting their real property. In engaging in such activities, however, judges must not

refer to their judicial positions, and must otherwise exercise caution to avoid using the

prestige of judicial office.

Effective April 1, 2010

921

RULE 3.3

922

Testifying as a Character Witness

923

924

925

A judge shall not testify as a character witness in a judicial, administrative, or

other adjudicatory proceeding or otherwise vouch for the character of a person

in a legal proceeding, except when duly summoned subpoenaed.

926

COMMENT

927

928

929

930

[1] A judge who, without being subpoenaed, testifies as a character witness abuses the

prestige of judicial office to advance the interests of another. See Rule 1.3. Except in

unusual circumstances where the demands of justice require, a judge should

discourage a party from requiring the judge to testify as a character witness.

Effective April 1, 2010

931

RULE 3.4

932

Appointments to Governmental Positions

933

934

935

A judge shall not accept appointment to a governmental committee, board,

commission, or other governmental position, unless it is one that concerns the

law,* the legal system, or the administration of justice.

936

COMMENT

937

938

939

940

941

942

943

[1] Rule 3.4 implicitly acknowledges the value of judges accepting appointments to

entities that concern the law, the legal system, or the administration of justice. Even

in such instances, however, a judge should assess the appropriateness of accepting an

appointment, paying particular attention to the subject matter of the appointment and

the availability and allocation of judicial resources, including the judge's time

commitments, and giving due regard to the requirements of the independence and

impartiality of the judiciary.

944

945

946

[2] A judge may represent his or her country, state, or locality on ceremonial occasions

or in connection with historical, educational, or cultural activities. Such representation

does not constitute acceptance of a government position.

Effective April 1, 2010

947

RULE 3.5

948

Use of Nonpublic Information*

949

950

A judge shall not intentionally disclose or use nonpublic information acquired in

a judicial capacity for any purpose unrelated to the judge’s judicial duties.

951

COMMENT

952

953

954

955

[1] In the course of performing judicial duties, a judge may acquire information of

commercial or other value that is unavailable to the public. The judge must not reveal

or use such information for personal gain or for any purpose unrelated to his or her

judicial duties.

956

957

958

959

[2] This rule is not intended, however, to affect a judge’s ability to act on information

as necessary to protect the health or safety of the judge or a member of a judge’s

family, court personnel, or other judicial officers if consistent with other provisions

of this Code.

960

Effective April 1, 2010

961

RULE 3.6

962

Affiliation with Discriminatory Organizations

963

964

965

966

967

(A) A judge shall not hold membership in any organization that practices

invidious discrimination on the basis of race, sex, gender, religion, national

origin, ethnicity, or sexual orientation. A judge’s membership in a religious

organization as a lawful exercise of the freedom of religion is not a violation of

this Rule.

968

969

970

971

972

973

974

(B) A judge shall not use the benefits or facilities of an organization if the judge

knows* or should know that the organization practices invidious discrimination

on one or more of the bases identified in paragraph (A). A judge’s attendance at

an event in a facility of an organization that the judge is not permitted to join

under paragraph (A) is not a violation of this Rule when the judge’s attendance

is an isolated event that could not reasonably be perceived as an endorsement of

the organization’s practices.

975

COMMENT

976

977

978

979

980

[1] A judge’s public manifestation of approval of invidious discrimination on any

basis gives rise to the appearance of impropriety and diminishes public confidence in

the integrity and impartiality of the judiciary. A judge’s membership in an organization

that practices invidious discrimination creates the perception that the judge’s

impartiality is impaired.

981

982

983

984

985

986

987

988

989

990

991

[2] An organization is generally said to discriminate invidiously if it arbitrarily

excludes from membership on the basis of race, sex, gender, religion, national origin,

ethnicity, or sexual orientation, persons who would otherwise be eligible for

admission. Whether an organization practices invidious discrimination is a complex

question to which judges should be attentive. The answer cannot be determined from

a mere examination of an organization’s current membership rolls, but rather, depends

upon how the organization selects members, as well as other relevant factors, such as

whether the organization is dedicated to the preservation of religious, ethnic, or

cultural values of legitimate common interest to its members, or whether it is an

intimate, purely private organization whose membership limitations could not

constitutionally be prohibited, such as scouting organizations.

992

993

[3] When a judge learns that an organization to which the judge belongs engages in

invidious discrimination, the judge must resign immediately from the organization.

Effective April 1, 2010

994

995

[4] A judge’s membership in a religious organization as a lawful exercise of the

freedom of religion is not a violation of this Rule.

996

[5][4] This Rule does not apply to national or state military service.

997

Effective April 1, 2010

998

RULE 3.7

999

1000

Participation in Educational, Religious, Charitable, Fraternal, or Civic

Organizations and Activities

1001

1002

1003

1004

1005

(A) Subject to the requirements of Rule 3.1, a judge may participate in activities

sponsored by organizations or governmental entities concerned with the law,* the

legal system, or the administration of justice, and those sponsored by or on behalf

of educational, religious, charitable, fraternal, or civic organizations not

conducted for profit, including but not limited to the following activities:

1006

1007

1008

(1) assisting such an organization or entity in planning related to fund-raising,

and participating in the management and investment of the organization’s or

entity’s funds;

1009

1010

1011

(2) soliciting contributions* for such an organization or entity, but only from

members of the judge’s family,* or from judges over whom the judge does not

exercise supervisory or appellate authority;

1012

1013

1014

1015

(3) soliciting membership for such an organization or entity, even though the

membership dues or fees generated may be used to support the objectives of the

organization or entity, but only if the organization or entity is concerned with the

law, the legal system, or the administration of justice;

1016

1017

1018

1019

1020

(4) appearing or speaking at, receiving an award or other recognition at, being

featured on the program of, and permitting his or her title to be used in

connection with an event of such an organization or entity, but if the event serves

a fund-raising purpose, the judge may participate only if the event concerns the

law, the legal system, or the administration of justice;

1021

1022

1023

1024

(5) making recommendations to such a public or private fund-granting

organization or entity in connection with its programs and activities, but only if

the organization or entity is concerned with the law, the legal system, or the

administration of justice; and

1025

1026

(6) serving as an officer, director, trustee, or nonlegal advisor of such an

organization or entity, unless it is likely that the organization or entity:

1027

1028

(a) will be engaged in proceedings that would ordinarily come before the judge;

Effective April 1, 2010

1029

1030

1031

(b) will frequently be engaged in adversary proceedings in the court of which the

judge is a member or in any court subject to the appellate jurisdiction of the

court of which the judge is a member.

1032

(B) A judge may encourage lawyers to provide pro bono publico legal services.

1033

COMMENT

1034

1035

1036

1037

[1] The activities permitted by paragraph (A) generally include those sponsored by or

undertaken on behalf of public or private not-for-profit educational institutions and

other not-for-profit organizations, including law-related, charitable, and other

organizations.

1038

1039

1040

1041

1042

[2] Even for law-related organizations, a judge should consider whether the

membership and purposes of the organization or the nature of the judge’s participation

in or association with the organization would conflict with the judge’s obligation to

refrain from activities that reflect adversely upon a judge’s independence, integrity,

and impartiality.

1043

1044

1045

1046

1047

1048

[3] Mere attendance at an event, whether or not the event serves a fund-raising

purpose, does not constitute a violation of paragraph 4(A). It is also generally

permissible for a judge to serve as an usher or a food server or preparer or to perform

similar functions at fund-raising events sponsored by educational, religious, charitable,

fraternal, or civic organizations. Such activities are not solicitation and do not present

an element of coercion or abuse the prestige of judicial office.

1049

1050

1051

1052

[4] Identification of a judge’s position in educational, religious, charitable, fraternal,

or civic organizations on letterhead used for fund-raising or membership solicitation

does not violate this Rule. The letterhead may list the judge’s title or judicial office if

comparable designations are used for other persons.

1053

1054

1055

1056

1057

1058

1059

[5] In addition to appointing lawyers to serve as counsel for indigent parties in

individual cases, a judge may promote broader access to justice by encouraging

lawyers to participate in pro bono publico legal services, if in doing so the judge does

not employ coercion or abuse the prestige of judicial office. Such encouragement may

take many forms, including providing lists of available programs, training lawyers to

do pro bono publico legal work, and participating in events recognizing lawyers who

have done pro bono publico work.

Effective April 1, 2010

1060

RULE 3.8

1061

Appointments to Fiduciary* Positions

1062

1063

1064

1065

1066

(A) A judge shall not accept appointment to serve in a fiduciary position, such as

executor, administrator, trustee, guardian, attorney in fact, or other personal

representative, except as a fiduciary for the estate, trust, or person of a member

of the judge’s family,* and then only if such service will not interfere with the

proper performance of judicial duties.

1067

1068

1069

1070

(B) A judge shall not serve in a fiduciary position if the judge as fiduciary will

likely be engaged in proceedings that would ordinarily come before the judge, or

if the estate, trust, or ward becomes involved in adversary proceedings in the

court on which the judge serves, or one under its appellate jurisdiction.

1071

1072

on engaging in financial activities that apply to a judge personally.

1073

1074

1075

(D) If a person who is serving in a fiduciary position becomes a judge, he or she

must shall comply with this Rule as soon as reasonably practicable, but in no

event later than [one year] after becoming a judge.

1076

COMMENT

1077

1078

1079

1080

1081

1082

[1] A judge should recognize that other restrictions imposed by this Code may conflict

with a judge’s obligations as a fiduciary, in such circumstances, a judge should resign

as fiduciary. For example, serving as a fiduciary might require frequent

disqualification of a judge under Rule 2.11 because a judge is deemed to have an

economic interest in shares of stock held by a trust if the amount of stock held is more

than de minimis.

Effective April 1, 2010

1083

RULE 3.9

1084

Service as Arbitrator or Mediator

1085

1086

1087

A judge shall not act as an arbitrator or a mediator or perform other judicial

functions apart from the judge’s official duties unless expressly authorized by

law.*

1088

COMMENT

1089

1090

1091

1092

[1] This Rule does not prohibit a judge from participating in arbitration, mediation, or

settlement conferences performed as part of assigned judicial duties. Rendering

dispute resolution services apart from those duties, whether or not for economic gain,

is prohibited unless it is expressly authorized by law.

1093

Effective April 1, 2010

1094

RULE 3.10

1095

Practice of Law

1096

1097

1098

1099

A judge shall not practice law. A judge may act pro se and may, without

compensation, give legal advice to and draft or review documents for a member

of the judge’s family,* but is otherwise prohibited from serving as the family

member’s lawyer in any forum.

1100

COMMENT

1101

1102

1103

1104

[1] A judge may act pro se in all legal matters, including matters involving litigation

and matters involving appearances before or other dealings with governmental bodies.

A judge must not use the prestige of office to advance the judge’s personal or family

interests. See Rule 1.3.

Effective April 1, 2010

1105

RULE 3.11

1106

Financial, Business, or Remunerative Activities

1107

1108

(A) A judge may hold and manage investments of the judge and members of the

judge’s family.*

1109

1110

1111

(B) A judge shall not serve as an officer, director, manager, general partner,

advisor, or employee of any business entity except that a judge may manage or

participate in:

1112

(1) a business closely held by the judge or members of the judge’s family; or

1113

1114

(2) a business entity primarily engaged in investment of the financial resources

of the judge or members of the judge’s family.

1115

1116

(A) and (B) if they will:

1117

(1) interfere with the proper performance of judicial duties;

1118

(2) lead to frequent disqualification of the judge;

1119

1120

1121

(3) involve the judge in frequent transactions or continuing business relationships

with lawyers or other persons likely to come before the court on which the judge

serves; or

1122

(4) result in violation of other provisions of this Code.

1123

COMMENT

1124

1125

1126

1127

1128

1129

1130

1131

1132

[1] Judges are generally permitted to engage in financial activities, including

managing real estate and other investments for themselves or for members of their

families. Participation in these activities, like participation in other extrajudicial

activities, is subject to the requirements of this Code. For example, it would be

improper for a judge to spend so much time on business activities that it interferes

with the performance of judicial duties. See Rule 2.1. Similarly, it would be improper

for a judge to use his or her official title or appear in judicial robes in business

advertising, or to conduct his or her business or financial affairs in such a way that

disqualification is frequently required. See Rules 1.3 and 2.11.

1133

1134

1135

[2] As soon as practicable without serious financial detriment, the judge must divest

himself or herself of investments and other financial interests that might require

frequent disqualification or otherwise violate this Rule.

Effective April 1, 2010

1136

RULE 3.12

1137

Compensation for Extrajudicial Activities

1138

1139

1140

1141

1142

1143

1144

(A) A judge may accept reasonable compensation for extrajudicial activities

permitted by this Code or other law* unless such acceptance would appear to a

reasonable person to undermine the judge’s independence,* integrity,* or

impartiality.*

(B) A judge shall not receive compensation for performing a marriage ceremony

during regular court hours. A judge may receive compensation for performing

a marriage ceremony during non-court hours.

1145

COMMENT

1146

1147

1148

1149

1150

[1] A judge is permitted to accept honoraria, stipends, fees, wages, salaries, royalties,

or other compensation for speaking, teaching, writing, and other extrajudicial

activities, provided the compensation is reasonable and commensurate with the task

performed. The judge should be mindful, however, that judicial duties must take

precedence over other activities. See Rules 2.1 and 3.1.

1151

1152

[2] Compensation derived from extrajudicial activities may be subject to public

reporting. See Rule 3.15.

Effective April 1, 2010

1153

RULE 3.13

1154

Acceptance of Gifts, Loans, Bequests, Benefits, or Other Things of Value

1155

1156

1157

(A) A judge shall not accept any gifts, loans, bequests, benefits, or other things of

value, if acceptance is prohibited by law* or would appear to a reasonable person

to undermine the judge’s independence,* integrity,* or impartiality.*

1158

1159

(B) Unless otherwise prohibited by law, or by paragraph (A), a judge may accept

the following without publicly reporting such acceptance:

1160

1161

(1) items with little intrinsic value, such as plaques, certificates, trophies, and

greeting cards;

1162

1163

1164

1165

(2) gifts, loans, bequests, benefits, or other things of value from friends, relatives,

or other persons, including lawyers, whose appearance or interest in a proceeding

pending* or impending* before the judge would in any event require

disqualification of the judge under Rule 2.11;

1166

(3) ordinary social hospitality;

1167

1168

1169

1170

(4) commercial or financial opportunities and benefits, including special pricing

and discounts, and loans from lending institutions in their regular course of

business, if the same opportunities and benefits or loans are made available on

the same terms to similarly situated persons who are not judges;

1171

1172

(5) rewards and prizes given to competitors or participants in random drawings,

contests, or other events that are open to persons who are not judges;

1173

1174

1175

(6) scholarships, fellowships, and similar benefits or awards, if they are available

to similarly situated persons who are not judges, based upon the same terms and

criteria;

1176

1177

(7) books, magazines, journals, audiovisual materials, and other resource

materials supplied by publishers on a complimentary basis for official use; or

1178

1179

1180

(8) gifts, awards, or benefits associated with the business, profession, or other

separate activity of a spouse, a domestic partner,* or other family member of a

judge residing in the judge’s household,* but that incidentally benefit the judge.

1181

1182

1183

the following items, and must report such acceptance to the extent required by

Rule 3.15:

1184

(1) gifts incident to a public testimonial;

Effective April 1, 2010

1185

1186

(2) (9) invitations to the judge and the judge’s spouse, domestic partner, or guest

to attend without charge:

1187

1188

(a) an event associated with a bar-related function or other activity relating to the

law, the legal system, or the administration of justice; or

1189

1190

1191

1192

(b) an event associated with any of the judge’s educational, religious, charitable,

fraternal or civic activities permitted by this Code, if the same invitation is

offered to nonjudges who are engaged in similar ways in the activity as is the

judge; and

1193

1194

1195

(3) gifts, loans, bequests, benefits, or other things of value, if the source is a party

or other person, including a lawyer, who has come or is likely to come before the

judge, or whose interests have come or are likely to come before the judge.

1196

COMMENT

1197

1198

1199

1200

1201

1202

1203

1204

1205

1206

1207

1208

[1] Whenever a judge accepts a gift or other thing of value without paying fair market

value, there is a risk that the benefit might be viewed as intended to influence the

judge’s decision in a case. Rule 3.13 imposes restrictions upon the acceptance of such

benefits, according to the magnitude of the risk. Paragraph (B) identifies

circumstances in which the risk that the acceptance would appear to undermine the

judge’s independence, integrity, or impartiality is low, and explicitly provides that

such items need not be publicly reported. As the value of the benefit or the likelihood

that the source of the benefit will appear before the judge increases, the judge is either

prohibited under paragraph (A) from accepting the gift, or required under paragraph

has adopted stricter prohibitions than those proposed by the Model Code against the

acceptance of gifts, loans, bequests, benefits, or other things of value.

1209

1210

1211

1212

1213

1214

1215

1216

[2] Gift-giving between friends and relatives is a common occurrence, and ordinarily

does not create an appearance of impropriety or cause reasonable persons to believe

that the judge’s independence, integrity, or impartiality has been compromised. In

addition, when the appearance of friends or relatives in a case would require the

judge’s disqualification under Rule 2.11, there would be no opportunity for a gift to

influence the judge’s decision making. Paragraph (B)(2) places no restrictions upon

the ability of a judge to accept gifts or other things of value from friends or relatives

under these circumstances, and does not require public reporting.

Effective April 1, 2010

1217

1218

1219

1220

1221

1222

1223

1224

1225

1226

1227

[3] Businesses and financial institutions frequently make available special pricing,

discounts, and other benefits, either in connection with a temporary promotion or for

preferred customers, based upon longevity of the relationship, volume of business

transacted, and other factors. A judge may freely accept such benefits if they are

available to the general public, or if the judge qualifies for the special price or discount

according to the same criteria as are applied to persons who are not judges. As an

example, loans provided at generally prevailing interest rates are not gifts, but a judge

could not accept a loan from a financial institution at below-market interest rates

unless the same rate was being made available to the general public for a certain

period of time or only to borrowers with specified qualifications that the judge also

possesses.

1228

1229

1230

1231

1232

1233

1234

1235

1236

[4] Rule 3.13 applies only to acceptance of gifts or other things of value by a judge.

Nonetheless, if a gift or other benefit is given to the judge’s spouse, domestic partner,

or member of the judge’s family residing in the judge’s household, it may be viewed

as an attempt to evade Rule 3.13 and influence the judge indirectly. Where the gift or

benefit is being made primarily to such other persons, and the judge is merely an

incidental beneficiary, this concern is reduced. A judge should, however, remind

family and household members of the restrictions imposed upon judges, and urge them

to take these restrictions into account when making decisions about accepting such

gifts or benefits.

1237

1238

[5] Rule 3.13 does not apply to contributions to a judge’s campaign for judicial office.

Such contributions are governed by other Rules of this Code.

Effective April 1, 2010

1239

RULE 3.14

1240

Reimbursement of Expenses and Waivers of Fees or Charges

1241

1242

1243

1244

1245

1246

(A) Unless otherwise prohibited by Rules 3.1 and 3.13(A) or other law,* a judge

may accept reimbursement of necessary and reasonable expenses for travel, food,

lodging, or other incidental expenses, or a waiver or partial waiver of fees or

charges for registration, tuition, and similar items, from sources other than the

judge’s employing entity, if the expenses or charges are associated with the

judge’s participation in extrajudicial activities permitted by this Code.

1247

1248

1249

1250

(B) Reimbursement of expenses for necessary travel, food, lodging, or other

incidental expenses shall be limited to the actual costs reasonably incurred by the

judge and, when appropriate to the occasion, by the judge’s spouse, domestic

partner,* or guest.

1251

1252

1253

of fees or charges on behalf of the judge or the judge’s spouse, domestic partner,

or guest shall publicly report such acceptance as required by Rule 3.15.

1254

COMMENT

1255

1256

1257

1258

1259

1260

[1] Educational, civic, religious, fraternal, and charitable organizations often sponsor

meetings, seminars, symposia, dinners, awards ceremonies, and similar events. Judges

are encouraged to attend educational programs, as both teachers and participants, in

law-related and academic disciplines, in furtherance of their duty to remain competent

in the law. Participation in a variety of other extrajudicial activity is also permitted and

encouraged by this Code.

1261

1262

1263

1264

1265

1266

1267

1268

[2] Not infrequently, sponsoring organizations invite certain judges to attend seminars

or other events on a fee-waived or partial-fee-waived basis, and sometimes include

reimbursement for necessary travel, food, lodging, or other incidental expenses. A

judge’s decision whether to accept reimbursement of expenses or a waiver or partial

waiver of fees or charges in connection with these or other extrajudicial activities must

be based upon an assessment of all the circumstances. The judge must undertake a

reasonable inquiry to obtain the information necessary to make an informed judgment

about whether acceptance would be consistent with the requirements of this Code.

1269

1270

1271

[3] A judge must assure himself or herself that acceptance of reimbursement or fee

waivers would not appear to a reasonable person to undermine the judge’s

independence, integrity, or impartiality. The factors that a judge should consider when

Effective April 1, 2010

1272

1273

deciding whether to accept reimbursement or a fee waiver for attendance at a

particular activity include:

1274

1275

(a) whether the sponsor is an accredited educational institution or bar association

rather than a trade association or a for-profit entity;

1276

1277

(b) whether the funding comes largely from numerous contributors rather than from

a single entity and is earmarked for programs with specific content;

1278

1279

1280

pending or impending before the judge, or to matters that are likely to come before the

judge;

1281

1282

1283

(d) whether the activity is primarily educational rather than recreational, and whether

the costs of the event are reasonable and comparable to those associated with similar

events sponsored by the judiciary, bar associations, or similar groups;

1284

1285

(e) whether information concerning the activity and its funding sources is available

upon inquiry;

1286

1287

1288

(f) whether the sponsor or source of funding is generally associated with particular

parties or interests currently appearing or likely to appear in the judge’s court, thus

possibly requiring disqualification of the judge under Rule 2.11;

1289

(g) whether differing viewpoints are presented; and

1290

1291

1292

(h) whether a broad range of judicial and nonjudicial participants are invited, whether

a large number of participants are invited, and whether the program is designed

specifically for judges.

Effective April 1, 2010

1293

RULE 3.15

1294

Reporting Requirements

1295

(A) A judge shall publicly report the amount or value of:

1296

(1) compensation received for extrajudicial activities as permitted by Rule 3.12;

1297

1298

1299

(2) gifts and other things of value as permitted by Rule 3.13(C), unless the value

of such items, alone or in the aggregate* with other items received from the same

source in the same calendar year, does not exceed $[insert amount]; and

1300

1301

1302

1303

(3) reimbursement of expenses and waiver of fees or charges permitted by Rule

3.14(A), unless the amount of reimbursement or waiver, alone or in the

aggregate* with other reimbursements or waivers received from the same source

in the same calendar year, does not exceed $[insert amount].

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(B) When public reporting is required by paragraph (A), a judge shall report the

date, place, and nature of the activity for which the judge received any

compensation; the description of any gift, loan, bequest, benefit, or other thing

of value accepted; and the source of reimbursement of expenses or waiver or

partial waiver of fees or charges.

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except that for reimbursement of expenses and waiver or partial waiver of fees

or charges, the report shall be made within thirty days following the conclusion

of the event or program.

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(D) Reports made in compliance with this Rule shall be filed as public documents

in the office of the clerk of the court on which the judge serves or other office

designated by law,* and, when technically feasible, posted by the court or office

personnel on the court’s website.

Effective April 1, 2010

1317

CANON 4

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A JUDGE OR CANDIDATE FOR JUDICIAL OFFICE SHALL NOT ENGAGE

IN POLITICAL OR CAMPAIGN ACTIVITY THAT IS INCONSISTENT WITH

THE INDEPENDENCE*, INTEGRITY,* OR IMPARTIALITY* OF THE

JUDICIARY.

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RULE 4.1

Political and Campaign Activities of Judges and Judicial Candidates* in General

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(A) Except as permitted by law,* or by Rules 4.2, 4.3, and 4.4 in this Canon, a

judge or a judicial candidate shall not:

(1) act as a leader in, or hold an office in, a political organization;*

(2) make speeches on behalf of a political organization;

(3) publicly endorse or oppose a candidate for any public office;

(4) solicit funds for, pay an assessment to, or make a contribution* to a political

organization or a candidate for public office;

(5) attend or purchase tickets for dinners or other events sponsored by a political

organization or a candidate for public office;

(6) publicly identify himself or herself as a candidate member of a political

organization, except as necessary to vote in an election;

(7) seek, accept, or use endorsements from a political organization;

(8) personally solicit* or accept campaign contributions* other than through a

campaign committee authorized by Rule 4.4;

(9) use or permit the use of campaign contributions* for the private benefit of the

judge, the candidate, or others;

(8) use court staff or make excessive use of court facilities or other court

resources in a campaign for judicial office seeking judicial office;

(9) knowingly,* or with reckless disregard for the truth, make any false or

misleading statement in seeking judicial office;

(10) make any statement that would reasonably be expected to affect the outcome

or impair the fairness of a matter pending* or impending* in any court; or

(11) in connection with cases, controversies, or issues that are likely to come

before the court, make pledges, promises, or commitments that are inconsistent

with the impartial* performance of the adjudicative duties of judicial office other

than the faithful, impartial and diligent performance of judicial duties.

Effective April 1, 2010

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(B) A judge or judicial candidate shall take reasonable measures to ensure that

other persons do not undertake, on behalf of the judge or judicial candidate, any

activities prohibited under paragraph (A) this Canon.

1353

COMMENT

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GENERAL CONSIDERATIONS

[1] Even when subject to public election, a judge plays a role different from that of a

legislator or executive branch official. Rather than making decisions based upon the

expressed views or preferences of the electorate, a judge makes decisions based upon

the law and the facts of every case. Therefore, in furtherance of this interest, judges

and judicial candidates must, to the greatest extent possible, be free and appear to be

free from political influence and political pressure. This Canon imposes narrowly

tailored restrictions upon the political and campaign activities of all judges and

judicial candidates,* taking into account the various methods of selecting judges.

[2] When a person becomes a judicial candidate,* this Canon becomes applicable to

his or her conduct.

1365

PARTICIPATION IN POLITICAL ACTIVITIES

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[2] Public confidence in the independence and impartiality of the judiciary is eroded

if judges or judicial candidates are perceived to be subject to political influence.

Although judges and judicial candidates* may register to vote as members of a

political party, they are prohibited by paragraph (A)(1) from assuming leadership roles

in political organizations.

1371

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[4] Paragraphs (A)(2) and (A)(3) prohibit judges and judicial candidates* from making

speeches on behalf of political organizations or publicly endorsing or opposing

candidates for public office, respectively, to prevent them from abusing the prestige

of judicial office to advance the interests of others. See Rule 1.3. These Rules do not

prohibit candidates from campaigning on their own behalf, or from endorsing or

opposing candidates for the same judicial office for which they are running. See Rules

4.2(b)(2) and 4.2(B)(3).

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[3] Although members of the families of judges and judicial candidates are free to

engage in their own political activity, including running for public office, there is no

Effective April 1, 2010

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“family exception” to the prohibition in paragraph (A)(3) against a judge or candidate

publicly endorsing candidates for public office. A judge or judicial candidate must

not become involved in, or publicly associated with, a family member’s political

activity or campaign for public office. To avoid public misunderstanding, judges and

judicial candidates should take, and should urge members of their families to take,

reasonable steps to avoid any implication that they endorse any family member’s

candidacy or other political activity.

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[4] Judges and judicial candidates retain the right to participate in the political process

as voters in both primary and general elections. For purposes of this Canon,

participation in a caucus-type election procedure does not constitute public support for

or endorsement of a political organization or candidate, and is not prohibited by

paragraphs (A)(2) or (A)(3).

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STATEMENTS AND COMMENTS MADE DURING A CAMPAIGN FOR

JUDICIAL OFFICE

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[5]Judicial candidates must be scrupulously fair and accurate in all statements made

by them and by their campaign committees. Paragraph (A)(9) obligates candidates and

their committees to refrain from making statements that are false or misleading, or that

omit facts necessary to make the communication considered as a whole not materially

misleading.

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[6] Judicial candidates are sometimes the subject of false, misleading, or unfair

allegations made by opposing candidates, third parties or the media. For example,

false or misleading statements might be made regarding the identity, present position,

experience, qualifications, or judicial rulings of a candidate. In other situations, false

or misleading allegations may be made that bear upon a candidate’s integrity or fitness

for judicial office. As long as the candidate does not violate paragraphs (A)(11),

(A)(12), or (A)(13) other provisions of this Canon, the candidate may make a factually

accurate public response. In addition, when an independent third party has made

unwarranted attacks on a candidate’s opponent, the candidate may disavow the attacks,

and request the third party to cease and desist.

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[7] Subject to paragraph (A)(12) the provisions of this Canon, a judicial candidate is

permitted to respond directly to false, misleading, or unfair allegations made against

Effective April 1, 2010

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him or her during a campaign while seeking judicial office, although it is preferable

for someone else to respond if the allegations relate to a pending case.

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[8] Paragraph (A)(10) prohibits judicial candidates from making comments that might

impair the fairness of pending or impending judicial proceedings. This provision does

not restrict arguments or statements to the court or jury by a lawyer who is a judicial

candidate, or rulings, statements, or instructions by a judge that may appropriately

affect the outcome of a matter.

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1420

PLEDGES, PROMISES, OR COMMITMENTS INCONSISTENT WITH

IMPARTIAL* PERFORMANCE OF THE ADJUDICATIVE DUTIES OF

JUDICIAL OFFICE

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[9] The role of a judge is different from that of a legislator or executive branch official,

even when the judge is subject to public election. Campaigns for judicial office must

be conducted differently from campaigns for other offices. The narrowly drafted

restrictions upon political and campaign activities of judicial candidates* provided in

Canon 4 allow candidates to conduct campaigns that provide voters with sufficient

information to permit them to distinguish between candidates and make informed

electoral choices.

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[10] Paragraph (A)(11) makes applicable to both judges and judicial candidates the

prohibition that applies to judges in Rule 2.10(B), relating to pledges, promises, or

commitments that are inconsistent with the impartial performance of the adjudicative

duties of the judicial office.

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[11] The making of a pledge, promise, or commitment is not dependent upon, or

limited to, the use of any specific words or phrases; instead, the totality of the

statement must be examined to determine if a reasonable person would believe that the

candidate for judicial office has specifically undertaken to reach a particular result.

Pledges, promises, or commitments must be contrasted with statement or

announcements of personal views on legal, political, or other issues, which are not

prohibited. When making such statements, a judge should acknowledge the

overarching judicial obligation to apply and uphold the law,* without regard to his or

her personal views.

Effective April 1, 2010

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[12] A judicial candidate may make campaign promises related to judicial

organization, administration, and court management, such as a promise to dispose of

a backlog of cases, start court sessions on time, or avoid favoritism in appointments

and hiring. A candidate may also pledge to take action outside the courtroom, such

as working toward an improved jury selection system, or advocating for more funds

to improve the physical plant and amenities of the courthouse.

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[15] Judicial candidates* may receive questionnaires or requests for interviews from

the media and from issue advocacy or other community organizations that seek to

learn their views on disputed or controversial legal or political issues. Paragraph

(A)(13) does not specifically address judicial responses to such inquiries. Depending

upon the wording and format of such questionnaires, candidates’ responses might be

viewed as pledges, promises, or commitments to perform the adjudicative duties of

office other than in an impartial* way. To avoid violating paragraph (A)(13),

therefore, candidates who respond to media and other inquiries should also give

assurances that they will keep an open mind and will carry out their adjudicative duties

faithfully and impartially* if elected. Candidates who do not respond may state their

reasons for not responding, such as the danger that answering might be perceived by

a reasonable person as undermining a successful candidate’s independence* or

impartiality,* or that it might lead to frequent disqualification. See Rule 2.11.

Effective April 1, 2010

1460

RULES 4.2

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Political and Campaign Activities of Judicial Candidates* Judges in Public

Retention Elections

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(A) A judicial candidate* in a partisan, non partisan, or judge standing for

retention public election* shall

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(1) act at all times in a manner consistent with the independence,* integrity,* and

impartiality* of the judiciary and shall encourage members of the judge’s family*

to adhere to the same standards of conduct in support of the judge that apply to

the judge.

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(B) If a judge standing for retention has drawn public opposition, the judge may

operate a campaign for office subject to the following limitations:

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(1) The judge shall comply with all applicable election, election campaign, and

election campaign fund-raising laws* and regulations of this jurisdiction;

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(2) The judge shall not directly solicit* or accept campaign funds or solicit public

statements of support, but may establish committees of responsible persons to

secure and manage the expenditure of funds for the campaign and to obtain

public statements of support. Committees may solicit campaign contributions*

and public statements of support from lawyers and non-lawyers. Surplus

contributions held by the committee after the election shall be contributed

without public attribution to the Utah Bar Foundation. Committees must not

permit the use of campaign contributions for the private benefit of the judge or

member of the judge’s family;

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(3) The judge shall review and approve the content of all campaign statements

and materials produced by the candidate or his or her campaign committee, as

authorized by Rule 4.4, before their dissemination;

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(4) The judge may speak to public gatherings on the judge’s own behalf;

Effective April 1, 2010

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(5) The judge may respond to personal attacks or attacks on the judge’s record,

provided the response is consistent with other provisions of this rule; and

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(6) When a party or lawyer who made a contribution of $50 or more to the

judge’s campaign committee appears in a case, the judge shall disclose the

contribution to the parties. The requirement to disclose shall continue from the

time the judge forms a campaign committee until 180 days after the judge’s

retention election. and

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(4) take reasonable measures to ensure that other persons do not undertake on

behalf of the candidate activities, other than those described in Rule 4.4, that the

candidate is prohibited from doing by Rule 4.1.

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(B) A candidate for elective judicial office may, unless prohibited by law,* and

not earlier than [insert amount of time] before the first applicable primary

election, caucus, or general or retention election:

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(1) establish a campaign committee pursuant to the provisions of Rule 4.4;

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1501

(2) speak on behalf of his or her candidacy through any medium, including but

not limited to advertisements, websites, or other campaign literature;

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1503

(3) publicly endorse or oppose candidates for the same judicial office for which

he or she is running;

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(4) attend or purchase tickets for dinners or other events sponsored by a political

organization* or a candidate for public office;

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1507

(5) seek, accept, or use endorsements from any person or organization other than

a partisan political organization; and

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(6) contribute to a political organization or candidate for public office, but not

more than $[insert amount] to any one organization or candidate.

Effective April 1, 2010

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law,* and not earlier than [insert amount of time] before the first applicable

primary election, caucus, or general election:

1513

(1) identify himself or herself as a candidate of a political organization; and

1514

(2) seek, accept, and use endorsement of a political organization.

1515

COMMENT

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[1] Paragraphs (B) and (C) permit judicial candidates* in public elections to engage

in some political and campaign activities otherwise prohibited by Rule 4.1 Candidates

may not engage in these activities earlier than [insert amount of time] before the first

applicable electoral event, such as a caucus or a primary election.

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[2] Despite paragraphs (B) and (C), judicial candidates* for public election remain

subject to many of the provisions of Rule 4.1. For example, a candidate continues to

be prohibited from soliciting funds for a political organization, knowingly* making

false or misleading statements during a campaign, or making certain promises,

pledges, or commitments related to future adjudicative duties. See Rule 4.1(A),

paragraphs (4), (11) and (13).

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[3] In partisan public elections for judicial office, a candidate may be nominated by,

affiliated with, or otherwise publicly identified or associated with a political

organization, including a political party. This relationship may be maintained

throughout the period of the public campaign, and may include use of political party

or similar designations on campaign literature and on the ballot.

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[5] Judicial candidates* are permitted to attend or purchase tickets for dinners and

other events sponsored by political organizations.

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[6] For purposes of paragraph (B)(3), candidates are considered to be running for the

same judicial office if they are competing for a single judgeship or if several

judgeships on the same court are to be filled as a result of the election. In endorsing

or opposing another candidate for a position on the same court, a judicial candidate*

Effective April 1, 2010

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must abide by the same rules governing campaign conduct and speech as apply to the

candidate’s own campaign.

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[7] Although judicial candidates* in nonpartisan public elections are prohibited from

running on a ticket or slate associated with a political organization, they may group

themselves into slates or other alliances to conduct their campaigns more effectively.

Candidates who have grouped themselves together are considered to be running for

the same judicial office if they satisfy the conditions described in Comment [6].

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[1] Campaign committees may solicit and accept campaign contributions manage the

expenditure of campaign funds, and generally conduct campaigns. Judges are

responsible for compliance with the requirements of election law and other applicable

law and for the activities of their campaign committees.

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[2] At the start of a campaign, the judge must instruct the campaign committee to

solicit or accept only such contributions as are reasonable in amount, appropriate

under the circumstances, and in conformity with applicable law. Although lawyers

and others who might appear before a retained judge are permitted to make campaign

contributions, the judge should instruct his or her campaign committee to be especially

cautious in connection with such contributions, so that they do not create grounds for

disqualification if the judge is retained. See Rule 2.11.

Effective April 1, 2010

1555

RULE 4.3

1556

Activities of Candidates for Appointive Judicial Office

1557

A candidate for appointment to judicial office may:

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(A) communicate with the appointing or confirming authority, including any

selection, screening, or nominating commission or similar agency; and

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(B) seek endorsements for the appointment from any person or organization

other than a partisan political organization.

1562

COMMENT

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[1] When seeking support or endorsement, or when communicating directly with an

appointing or confirming authority, a candidate for appointive judicial office must not

make any pledges, promises, or commitments that are inconsistent with the impartial*

performance of the adjudicative duties of that office. See rule 4.1(A)(12).

Effective April 1, 2010

1567

RULE 4.4

1568

Campaign Committees

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(A) A judicial candidate* subject to public retention election may establish a

campaign committee to manage and conduct a campaign for the candidate,

subject to the provisions of this Code. The candidate is responsible for ensuring

that his or her campaign committee complies with applicable provisions of this

Code and other applicable law.*

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(B) A judicial candidate* subject to public election shall direct his or her

campaign committee:

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(1) to solicit and accept only such campaign contributions* as are reasonable, in

any event not to exceed, in the aggregate,* $[insert amount] from any individual

or $[insert amount] from any entity or organization;

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(2) not to solicit or accept contributions* for a candidate’s current campaign

more than [insert amount of time] before the applicable primary election, caucus,

or general or retention election, nor more than [insert number] days after the last

election in which the candidate participated; and

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(3) to comply with all applicable statutory requirements for disclosure and

divestiture of campaign contributions,* and to file with [name of appropriate

regulatory authority] a report stating the name, address, occupation, and

employer of each person who has made campaign contributions* to the

committee in an aggregate* value exceeding $[insert amount]. The report must

be filed within [insert number] days following an election, or within such other

period as is provided by law.*

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COMMENT

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[1] Judicial candidates* are prohibited from personally soliciting campaign

contributions* or personally accepting campaign contributions.* See Rule 4.1(A)(8).

This rule recognizes that in many jurisdictions, judicial candidates* must raise

campaign funds to support their candidacies, and permits candidates, other than

Effective April 1, 2010

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candidates for appointive judicial office, to establish campaign committees to solicit

and accept reasonable financial contributions* or in-kind contributions.*

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[2] Campaign committees may solicit and accept campaign contributions,* manage

the expenditure of campaign funds, and generally conduct campaigns. Candidates are

responsible for compliance with the requirements of election law* and other

applicable law,* and for the activities of their campaign committees.

1601

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[3] At the start of a campaign, the candidate must instruct the campaign committee to

solicit or accept only such contributions* as are reasonable in amount, appropriate

under the circumstances, and in conformity with applicable law:* Although lawyers

and others who might appear before a successful candidate for judicial office are

permitted to make campaign contributions,* the candidate should instruct his or her

campaign committee to be especially cautious in connection with such contributions,*

so they do not create grounds, for disqualification if the candidate is elected to judicial

office. See Rule 2.11.

Effective April 1, 2010

1609

RULE 4.53

1610

Activities of Judges Who Become Candidates for Nonjudicial Office

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(A) Upon becoming a candidate for a nonjudicial elective office, a judge shall

resign from judicial office, unless permitted by law* to continue to hold judicial

office.

1614

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(B) Upon becoming a candidate for a nonjudicial appointive office, a judge is not

required to resign from judicial office, provided that the judge complies with the

other provisions of this Code.

1617

COMMENT

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[1] In campaigns for nonjudicial elective public office, candidates may make pledges,

promises, or commitments related to positions they would take and ways they would

act if elected to office. Although appropriate in nonjudicial campaigns, this manner

of campaigning is inconsistent with the role of a judge, who must remain fair and

impartial to all who come before him or her. The potential for misuse of the judicial

office, and together with the political promises that the judge would be compelled to

make in the course of campaigning for nonjudicial elective office, together dictate that

a judge who wishes to run for such an office must resign upon becoming a candidate.

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[2] The “resign to run” rule set forth in paragraph (A) ensures that a judge cannot use

the judicial office to promote his or her candidacy and prevents post-campaign

retaliation from the judge in the event the judge is defeated in the election. When a

judge is seeking appointive nonjudicial office, however, the dangers are not sufficient

to warrant imposing the “resign to run” rule.

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.