# Effective April 1, 2010

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URL: https://www.frixlaw.com/law-library/documents/court_rules%3Aut%3A2d95f375cffbd01c

## Record

- **Collection:** Court rules
- **Document type:** Court rule

## Text

Effective April 1, 2010
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PREAMBLE

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[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.

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[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.

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[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.

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SCOPE

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[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.

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[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.

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[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.

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[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.

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[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.

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[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.

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[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

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(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.

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(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.

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COMMENT

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[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.

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[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.

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[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.
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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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(C) at any time with Rule 3.11(B) (Financial, Business, or Remunerative
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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393

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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415
416

(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.

417
418
419
420
421
422

(C) A judge shall take reasonable resources to require lawyers in proceedings
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.

423
424
425

(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.

426

COMMENT

427
428

[1] A judge who manifests bias or prejudice in a proceeding impairs the fairness of the
proceeding and brings the judiciary into disrepute.

429
430
431
432
433
434
435
436

[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.

17

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

(C) A judge shall not convey or permit others to convey the impression that any
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.

18

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.

19

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).

20

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.

21

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

(C) A judge shall not commend or criticize jurors for their verdict other than in
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

22

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.

23

Effective April 1, 2010
573
574
575

(C) A judge shall not investigate facts in a matter independently, and shall
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
24

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

(C) A judge shall take reasonable resources to require court staff, court officials,
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.

25

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

(c) a person who has more than a de minimis* interest that could be substantially
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:

26

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

(c) was a material witness concerning the matter; or

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

(C) A judge subject to disqualification under this Rule, other than for bias or
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
27

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.

28

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.

29

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;
or

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

(C) A judge shall not approve compensation of appointees beyond the fair value
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,
30

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.

31

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

(C) A judge who receives information indicating a substantial likelihood that
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,
32

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

33

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.

34

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

(C) participate in activities that would appear to a reasonable person to
undermine the judge’s independence,* integrity,* or impartiality;*

861
862

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

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.
35

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.

36

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

(C) when the judge is acting pro se in a matter involving the judge’s legal or
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.

37

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.

38

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.

39

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

40

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.
41

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

42

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;
or

43

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.

44

Effective April 1, 2010

45

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

(C) A judge acting in a fiduciary capacity shall be subject to the same restrictions
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.

46

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

47

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.

48

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

(C) A judge shall not engage in financial activities permitted under paragraphs
(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.
49

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.

50

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

(C) Unless otherwise prohibited by law* or by paragraph (A), a judge may accept
the following items, and must report such acceptance to the extent required by
Rule 3.15:

1184

(1) gifts incident to a public testimonial;
51

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
(C) to publicly report it. In lieu of imposing financial reporting requirements, Utah
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.

52

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.

53

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

(C) A judge who accepts reimbursement of expenses or waivers or partial waivers
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
54

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

(c) whether the content is related or unrelated to the subject matter of litigation
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.

55

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].

1304
1305
1306
1307
1308

(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.

1309
1310
1311
1312

(C) The public report required by paragraph (A) shall be made at least annually,
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.

1313
1314
1315
1316

(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.

56

Effective April 1, 2010
1317

CANON 4

1318
1319
1320
1321

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.

1322
1323

RULE 4.1
Political and Campaign Activities of Judges and Judicial Candidates* in General

1324
1325
1326
1327
1328
1329
1330
1331
1332
1333
1334
1335
1336
1337
1338
1339
1340
1341
1342
1343
1344
1345
1346
1347
1348
1349

(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.
57

Effective April 1, 2010
1350
1351
1352

(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

1354
1355
1356
1357
1358
1359
1360
1361
1362
1363
1364

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

1366
1367
1368
1369
1370

[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
1372
1373
1374
1375
1376
1377

[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).

1378
1379

[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
58

Effective April 1, 2010
1380
1381
1382
1383
1384
1385
1386

“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.

1387
1388
1389
1390
1391

[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).

1392
1393

STATEMENTS AND COMMENTS MADE DURING A CAMPAIGN FOR
JUDICIAL OFFICE

1394
1395
1396
1397
1398

[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.

1399
1400
1401
1402
1403
1404
1405
1406
1407
1408

[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.

1409
1410

[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
59

Effective April 1, 2010
1411
1412

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.

1413
1414
1415
1416
1417

[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.

1418
1419
1420

PLEDGES, PROMISES, OR COMMITMENTS INCONSISTENT WITH
IMPARTIAL* PERFORMANCE OF THE ADJUDICATIVE DUTIES OF
JUDICIAL OFFICE

1421
1422
1423
1424
1425
1426
1427

[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.

1428
1429
1430
1431

[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.

1432
1433
1434
1435
1436
1437
1438
1439
1440

[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.

60

Effective April 1, 2010
1441
1442
1443
1444
1445
1446

[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.

1447
1448
1449
1450
1451
1452
1453
1454
1455
1456
1457
1458
1459

[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.

61

Effective April 1, 2010
1460

RULES 4.2

1461
1462

Political and Campaign Activities of Judicial Candidates* Judges in Public
Retention Elections

1463
1464

(A) A judicial candidate* in a partisan, non partisan, or judge standing for
retention public election* shall

1465
1466
1467
1468

(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.

1469
1470

(B) If a judge standing for retention has drawn public opposition, the judge may
operate a campaign for office subject to the following limitations:

1471
1472

(1) The judge shall comply with all applicable election, election campaign, and
election campaign fund-raising laws* and regulations of this jurisdiction;

1473
1474
1475
1476
1477
1478
1479
1480
1481

(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;

1482
1483
1484

(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;

1485

(4) The judge may speak to public gatherings on the judge’s own behalf;

62

Effective April 1, 2010
1486
1487

(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

1488
1489
1490
1491
1492

(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

1493
1494
1495

(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.

1496
1497
1498

(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:

1499

(1) establish a campaign committee pursuant to the provisions of Rule 4.4;

1500
1501

(2) speak on behalf of his or her candidacy through any medium, including but
not limited to advertisements, websites, or other campaign literature;

1502
1503

(3) publicly endorse or oppose candidates for the same judicial office for which
he or she is running;

1504
1505

(4) attend or purchase tickets for dinners or other events sponsored by a political
organization* or a candidate for public office;

1506
1507

(5) seek, accept, or use endorsements from any person or organization other than
a partisan political organization; and

1508
1509

(6) contribute to a political organization or candidate for public office, but not
more than $[insert amount] to any one organization or candidate.

63

Effective April 1, 2010
1510
1511
1512

(C) A judicial candidate* in a partisan public election may, unless prohibited by
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

1516
1517
1518
1519

[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.

1520
1521
1522
1523
1524
1525

[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).

1526
1527
1528
1529
1530

[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.

1531
1532

[5] Judicial candidates* are permitted to attend or purchase tickets for dinners and
other events sponsored by political organizations.

1533
1534
1535
1536

[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*
64

Effective April 1, 2010
1537
1538

must abide by the same rules governing campaign conduct and speech as apply to the
candidate’s own campaign.

1539
1540
1541
1542
1543

[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].

1544
1545
1546
1547

[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.

1548
1549
1550
1551
1552
1553
1554

[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.

65

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:

1558
1559

(A) communicate with the appointing or confirming authority, including any
selection, screening, or nominating commission or similar agency; and

1560
1561

(B) seek endorsements for the appointment from any person or organization
other than a partisan political organization.

1562

COMMENT

1563
1564
1565
1566

[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).

66

Effective April 1, 2010
1567

RULE 4.4

1568

Campaign Committees

1569
1570
1571
1572
1573

(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.*

1574
1575

(B) A judicial candidate* subject to public election shall direct his or her
campaign committee:

1576
1577
1578

(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;

1579
1580
1581
1582

(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

1583
1584
1585
1586
1587
1588
1589

(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.*

1590

COMMENT

1591
1592
1593
1594

[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
67

Effective April 1, 2010
1595
1596

candidates for appointive judicial office, to establish campaign committees to solicit
and accept reasonable financial contributions* or in-kind contributions.*

1597
1598
1599
1600

[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
1602
1603
1604
1605
1606
1607
1608

[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.

68

Effective April 1, 2010
1609

RULE 4.53

1610

Activities of Judges Who Become Candidates for Nonjudicial Office

1611
1612
1613

(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
1615
1616

(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

1618
1619
1620
1621
1622
1623
1624
1625

[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.

1626
1627
1628
1629
1630

[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.

69

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/court_rules%3Aut%3A2d95f375cffbd01c. Public record. Not legal advice.