### IN THE SUPREME COURT OFTHE STATE OF MONTANA AF 08-0203

_________________

IN THE MATTER OF THE MONTANA CODE OF JUDICIAL CONDUCT. O R D E R

_________________ On April 23, 2008, this Court issued an Order circulating for comment by the members of the Bench and Bar th e proposed 2008 Montana Codeof Judicial Conduct. In the Order, we set a 60-day time limit for co mments, which limit woul d expire on June 23, 2008. Having now learned that there was some delay before the proposed Code was electronically published on the website of the judicial branch and the website of the State Bar of Montana, we deem it appropriate to extend the comment period. Therefore, IT IS HEREBY ORDERED that the comment period with resp ect to the proposed Montana Code of Judicial Co nduct shall be extended through and including Friday, July 11, 2008. IT IS FURTHER ORDERED that this Order be circulated electronically by the office of the Clerk of this Court to all district court judges in the state of Montana, and to all judges and justices of the courts of limite d jurisdiction. The Cl erk shall mail a hard copy of this Order to those judges or justices of the courts of limited jurisdiction who do not have the capability to receive electronic submissions. In addition, a copy of this Order shall be electronically published onthe website of the judicial branch, http://www.courts/mt.gov , and on the website of the State Bar of Montana.

1

### DATED this 21 st 

### day of May, 2008.

/S/ KARLA M. GRAY /S/ PATRICIA COTTER /S/ JAMES C. NELSON /S/ JOHN WARNER /S/ BRIAN MORRIS / S/ JIM RICE

2i PROPOSED 2008 MONTANA CODE OF JUDICIAL CONDUCT FEBRUARY 2008 TABLE OF CONTENTS

PREAMBLE

................................ ................................ ................................ .............................. 1 SCOPE

................................ ................................ ................................ ................................ ....... 2 TERMINOLOGY

................................ ................................ ................................ ..................... 3 APPLICATION

................................ ................................ ................................ ......................... 5 CANON I A JUDGE SHALL UPHOLD AND PROMOTE THE INDEPENDENCE, INTERGRITY, A ND IMPARTIALITY OF THE JUDICIARY, AND SHALL AVOID IMPROPRIETY AND THE APPEARANCE OF IMPROPRIETY

. RULE 1.1 Compliance with the Law

................................ ................................ ........................... 7 RULE 1.2 Promoting Confidence in the Judiciary

................................ ................................ ....... 7 RULE 1.3 Avo id ing Abuse of the Prestige o f Judicial Office

................................ ...................... 8 CANON 2 A JUDGE SHALL PERFORM THE DUTIES OF JUDICI AL OFFICE IMPARTIALLY, COMPETENTLY, AND DILIGENTLY. RULE 2.1 Giving Precedence to the Duties of Judicial Office

................................ ..................... 9 RULE 2.2 Im

parti ali ty and Fairness

................................ ................................ ............................ 9 RULE 2.3 Bias, Prejudice , and Harassment

................................ ................................ ............... 1 0 RULE 2.4 Ex

ternal Influences on Judicial Conduct

................................ ................................ ... 1 1 RULE 2.5 Co mpetence, Diligence, and Cooperation

................................ ................................ . 1 1 RULE 2.6 Ensuring the Right to Be Heard

................................ ................................ ................ 1 2 RULE 2.7 Responsibilit y to Decide

................................ ................................ ........................... 1 2 RULE 2.8 Decorum, Demeanor, and Communicat ion with Jurors

................................ ............. 1 3 RULE 2.9 Ex Parte Communications

................................ ................................ ........................ 1 3 RULE 2.10 Judicial Statements on Pend ing and Impending Cases

................................ ............. 1 5 RULE 2.11 Disqualificat io n
................................ ................................ ................................ ...... 1 6 RULE 2.12 Supervisory

Duti es
................................ ................................ ................................ . 18 RULE 2.13 Administrative Appoint me nt s
................................ ................................ ................. 19 RULE 2.14 Disabilit y and Im pairment

................................ ................................ ...................... 19 RULE 2.15 Responding to Judicial and Lawyer Misconduct

................................ ..................... 2 0 RULE 2.16 Cooperation wit h Di sciplinary Authorities

................................ .............................. 2 1 CANON 3 A JUDGE SHALL CONDUCT THE JUDGE’S PERSONAL AND EXTRAJUDICIAL ACTIVITIES TO MINIMIZE THE RISK OF CONFLICT WITH THE OBLIGATIONS OF JUDICIAL OFFICE.ii

RULE 3.1 Ex

traj udicial Act ivit ies in General

................................ ................................ ............ 2 2 RULE 3.2 Appearances befo re Governmental Bodies and Consultation wit h Government Officials

................................ ................................ ................................ ................................ .... 23 RULE 3.3 Testifying as a Character Wit ness
................................ ................................ ............. 2 4 RULE 3.4 Appoint me nt s to Governmental Posit io ns
................................ ................................ . 2 4 RULE 3.5 Use of Nonpublic Informat io n
................................ ................................ .................. 2 4 RULE 3.6 Affiliat io n wi

th Discriminatory

Organizations
................................ .......................... 2 5 RULE 3.7 Participation in Educat io nal, Religious, Charitable, Fraternal, or Civic Organizat io ns and Act ivit ies

................................ ................................ ................................ ..... 26 RULE 3.8 Appoint me nt s to Fiduciary Posi tions
................................ ................................ ........ 28 RULE 3.9 Service as Arbitrator or Mediator

................................ ................................ ............. 28 RULE 3.10 Practice of Law

................................ ................................ ................................ ...... 29 RULE 3.1 1 Financial, Business, or Remunerative Act ivit ies

................................ ..................... 29 RULE 3.12 Compensat io n fo r Extrajudicial Act ivities

................................ .............................. 3 0 RULE 3.13 Acceptance and Reporting of Gifts, Loans, Bequests, Benefit s, or Other Things of Value

................................ ................................ ................................ ........................ 3 0 RULE 3.14 Reimbursement of Expenses and Waiversof Fees or Charges

................................ . 3 2 CANON 4 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

. RULE 4.1 Polit ical and Campaign Act ivit ies of Judges and Judicial Candidates in General

....... 34 RULE 4.2 Polit ical and Campaign Act ivit ies of Judicial Candidates in Public Elections

............ 37 RULE 4.3 Activit ies o f Candidates for Appoint ive Judicial Office

................................ ............ 39 RULE 4.4 Campaign Co mmittees

................................ ................................ ............................. 391 PROPOSED 200 8 MONTANA CODE OF JUDICIAL CONDUCT FEBRUARY 200 8 PREAMBLE [1] An independent, fa ir , a nd impart ia l judiciary is indispensable to our syst em o f ju stice. T he United States legal system i s based upon the principle that an independent, imp artial, and com pet ent judiciary, co mposed of m en and wo me n of

int egri ty, will int erpret and apply the law that governs our soci et y. T hus, the judiciary plays a central r ole in preserving the principles of just ice and the rule of

l aw. Inherent in all the Rules contained in t his Code are the precepts that judges, individually and co llect ively, m ust respect and honor the judicial of fice as a public trust and strive to maintain and enhance confidence in the legal system. [2] Judges should maintain the digni ty of j udicial offic e at all times, and avoid both impropriet y and the appearance of impropri et y in their professional and personal lives. They should aspire at all times to conduct that ensures the greatest possible public confidence in their independence, impartialit y, int egri

ty, and com

petence. [3] The Model Code of

J udicial Conduct establishes standards fo r the ethical conduct of j udges and judicial candidates. It is not int ended as an exhaustive guide fo r the conduct of j udges and judicial candidates, who are governed in thei r judicial and personal conduct by general e thical standards as well as by the Code. The Code is int ended, however, to provide guidance and assist judges in maintaining the highest standards of judicial and personal conduct, and to provide a basis fo r regulat ing their conduct th rough disciplinary

agencies.2 SCOPE [1] The Model

C ode of J udicial Conduct consists of f our Canons, numbered Rules under each Canon, and Comments that generally fo llow and explain each Rule. S cope and Termino lo gy sect io ns provide addi

tional guidance in int erpreting and applying the Code. An Applicat io n sect io n establishes when the various Rules apply to a j udge or judicial candidate. The Code is not designed or int ended as a basis fo r civil or criminal l iabilit y. N ei

ther is itint ended to b e the basis fo r lit igants to seek to change a judge’s decisio n, to seek co llateral remedies against each other, or to obtain tactical advantages in proceedings before a court. [2] The Canons state overarching principles of j udicial ethi cs that all judges mu st observe. Alt hough a judge may be disciplined only fo r violat ing a Rule, the Canons provide important guidance in int erpreting the Rules. Where a Rule contains a permissive term, such as “may” or “should,” the conduct being addresse d is co mmitted to the personal and prof essional discret io n of t he judge or candidate in question, and no disci plinary act io n should be taken fo r act io n or inact io n wi

thin the bounds of such discret io n. [3] The Comments that accompany the Rules serve two f unct io ns. Fi

rst, they p rovide guidance regarding the purpose, meaning, and proper application of t he Rules. They

c ontain explanatory material a nd, in so me instances, provide examples of p ermitted or prohibited conduct. Comments nei

ther add to nor subtra ctf rom t he binding obligat io ns set fo rth in the Rules. Therefore, when a Comment contains the term “must,” i t does not mean that the Comment it self is binding or enforceable; it signifies that the Rule in question, properly understood, is obligatory as t o the conduct at issue. [4] Second, the Comments ident ify aspirat io nal goal s fo r judges. To implement fu lly the principles of this Code as articulated in the Canons, judges should strive to exceed the standards of c onduct established by the Rules, ho ld ing themselves to the highest ethical standards and seeking to achieve those aspirat io nal goals, thereby enhancing the dignit y of the j udicial

office. [5] The Rules of

the M odel

C ode of J udicial Conduct are rules of r eason that should be applied consiste ntw it h const itut io nal r equirements, statutes, other co urt rules, and decisional l aw, and wi th d ue regard fo r all relevant ci rcumstances. Th e Rules should not be int erpreted to impinge upon the essent ia l independence of judges in making judicial decisio ns
. [6] Alt hough the black letter of the Rules is binding and enf orceable, iti s not co nt emp lated that every transgressio n will resul t in the imposi

tion of d iscipline. Whether disci pline should be imposed should be determined th rough a reasonable and rea soned applicat io n of the Rules, and should depend upon factors s uch as the seriousness of t he transgressio n, the facts and ci rcumstances that existed at the time of the transgressio n, the extent of any p attern of

improper activit y, w hether there have been previous vio lations, and the effect of t he improper activit y upon the judicial system or others.3 TERMINOLOGY The fi rst time any term

l isted below is used in a ny givenRule in it s defined sense, iti s f ol lo wed by an asterisk (*). “Appropriate autho rity” means the authori ty having responsibili

ty f or init iat io n of

di sci plinary process in connect io n wi

th the viol ation to be reported. See Rules 2.14 and 2.15. “Contribution” means both financial and in

- kind contribut io ns, such as goods, professio nal o r vo lu nt eer services, advertising, and other ty pes of a ssistance, which, if obtained by the recipient otherwi se, would requi

re a financial expenditure. See Rules 3.7, 4.1, and 4.4. “De minimis,” in the context of int erests pertaining to di squalificat io n o f a judge, means an insignificant interest that could not raise a reasonable quest io n regarding the j udge’s imparti ali ty

. See Rule 2.11. “Domestic partner” means a person wi th w ho m another person ma int ains a househo ld and an int imate relat io nship, othe r than a person to whom he or she is leg ally married. S ee Rules 2.11, 3.13, and 3.14. “Economic interest” m eans ownership of more than a de minimis legal or equi table int erest. Except fo r si

tuations in which the judge part ic ipates in the management of s uch a legal or equi table int erest, or the int erest could be substantially affected by the ou tcome of a proceeding before a j udge, i

t does not include: (1) an interest in the individual ho ld ings wi thin a mutual

or common investment f und; (2) an int erestin securi ti es held by an educational , religious, charitable, fraternal, or civic organizat io n in which the judge or the judge’s spouse, domest ic partner, parent, or child serves as a di rector, an officer, an advisor, or other participant; (3) a deposi

t in a financial inst itution or deposi ts or propri etary int erests the judge may maintain as a member of a m

utual savings associ at io n or credi t union, or similar proprietary int erests; or (4) an interest in the issuer of government securit ie s held by the j u dge. See Rules 1.3 and 2.11. “Fiduciary” includes relat io nships such as executor, administrator, trustee, or guardian. S ee Rules 2.11, 3.2, and 3.8. “Impartial,” “impartiality,” and “impartially” m ean absence of b ias or prejudice in favor of , or aga inst, particular parties or classes of p art ies, as well as maintenance of a n open mind in considering issues that may co me bef ore 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 4.2.4

“Impending matter” i s a matter that is imminent or expected to occur in the near future. See Rules 2.9, 2.10, 3.13, and 4.1. “Impropriety” includes conduct that violates the law, court rules, or provisio ns of t his Code, and conduct that undermines a judge’s independence, int egri ty, or impartiali

ty

. See Canon 1 and Rule 1.2. “Independence” means a judge’s freedo m fr om influence or con

trol s other than those established by

l aw. See Canons 1 and 4, and Rules 1.2, 3.1, 3.12, 3.13, and 4.2. “Independent candidate” means a cand idate for a non - judicial public of

fice who is not a member or representative of a polit ical organization. “Integrity” m eans probi ty, fa ir ness, honest y, u

prightness, and soundness of c haracter. S ee Canon 1 and Rule 1.2. “Judicial candidate” means any person, including a si tting judge, who is seeking select io n fo r or retention in judicial of fice by election or appoint me nt

. A person beco me s a candidate fo r judicial office as soon as he or she mak es a public announcement of c andidacy, declares or files a s a candidate wi

th the elect io n or appoint me nta uthori ty, authorizes or, where permi tted, engages in so licitation or acceptance of c ontribut ions or support, or i s no minated fo r elect io n or appoint me ntto office. See Rules 2.11, 4.1, 4.2, and 4.4. “Knowin gly,” “knowledge,” “known,” and “knows” m ean actual knowledge of the fact in question. A person’s knowledge may be inferred fro m circumstances. See Rules 2.11, 2.15, 2.16, 3.6, and 4.1. “Law” encom

passes court rules as well as statutes, consti tutional provisions, and decisional law. See Rules 1.1, 2.1, 2.2, 2.6, 2.7, 2.9, 3.1, 3.4, 3.9, 3.12, 3.13, 3.14, 4.1, 4.2, and 4.4. “Member of the candidate’s family” m eans a spouse, domestic partner, child, grandchild, parent, grandparent, or other relat ive or person wi th w hom the candidate ma int ains a close familial relat io nship. “Member of the judge’s family” m eans a spouse, domest ic p artner, child, grandchild, parent, grandparent, or other relative or person wi th who m the judge maintains a close fa milial r elat io nship. See Rules 3.7, 3.8, 3.10, and 3.11. “Member of a judge’s family residing in the judge’s household” means any relat ive of a judge by blood or marriage, or a person treated by a judge as a member of t he judge’s family, who resides in the judg e’s househo ld. See Rules 2.11 and 3.13. “Nonpublic information” m eans informat io n that is not available to the public. N onpublic informat io n includes any informat io n regarding rulings or decisio ns the court is inclined to or int ends to make, and any co mmunicat io ns shared among judges during the decisio n - making process. It ma y also include, but is not limited to, informat io n that is sealed by statute or court5

order or impounded or communicated in camera, and informat io n offered in grand jur y proceedings , presentencing reports, dependency cases, or psy chiatric reports. See Rule 3.5. “Partisan candidate” me ans a candidate fo r public office who seeks election as a me mber of or represent ing a polit ical organization. “Pending matter” i s a matter that has c om menced. A matter con

tinues to be pending th

rough any appellate process unt il final disposit io n. See Rules 2.9, 2.10, 3.13, and 4.1. “Personally solicit” m eans a direct request made by a judge or a judicial candidate fo r financial support or in

- kind

s ervices, whether made by let ter, telephone, or any oth er means of communicat io n. See Rule 4.1. “Political organization” means a poli ti cal party

or other group sponsored by or affiliated wi

th a polit ical part y or candidate, the principal purpose of w hi ch is to further the elect io n or appoint me nto f candidates fo r polit ical office. For purposes of t his Code, the term

d oes not include a judicial candidate’s campaign commi ttee created as authorized by Rule 4.4. See Rules 4.1 and 4.2. “Public election” includes primary a nd general

e lect io ns, parti san elections, nonpartisan elect io ns, and retention elect io ns. See Rules 4.2 and 4.4. “Third degree of relationship” includes the fo llo wing persons: great

- grandparent, grandparent, parent, uncle, aunt, broth er, si ster, child, grandchild, great

- grandchild, nephew, and niece. See Rule 2.11. APPLICATION The Application sect io n establishes when the various Rules apply to a judge or judicia l candidate. I. APPLICABILITY OF THIS CODE (A) The provi sions of

t his C ode apply to Justices of t he Supreme Court, District Court Judges, the Chief Water Judge, the Workers Compensat io n Court Judge, Justices o f the Peace, Municipal Court Judges, Cit y Court Judges and judges of courts of l imited jur isdict io n created by the L egislature. (B ) T he provi sions of

t his Code do not apply to special masters, ref erees, administrative law judges, or persons appointed to perform judicial or quasijudicial funct io ns. II. FULL
- TIME JUDGE (A) Just ices of the Supreme Court, District Court Judges, the Chief Water Judge and the Workers Com pensat io n Court Judge are fu ll

- time judges. Justices of the Peace, Municipal Court Judges,6

Ci ty Court Judges and judges of courts of l imited jurisdict io n created by the Legislature who are paid f or and normally

work 40 hours a week are full

- time judges. (B) A full

- time judge shall not practice law or act as an attorney o r lawyer in any proceeding except as permitted by law or by thi s Code. A fu ll

- time judge must com ply wi th the provisions of thi s Code.
II I. PART
- TIME JUDGE (A) A judge who is not a full

- time judge or a judge pro tempore is a part

- time judge. (B) A part

- time j udge m

ust com ply wi th this Code

. IV. JUDGE PRO TEMPORE (A) A judge pro tem

pore is a person who, pursuant to the law, is called to serve tem porarily as a judge. As permi

tted by law, a judge pro tem pore may be a full

- time judge, a part

- time judge, a reti red j udge or a lawyer or person who is not a lawyer. (B) A judge pro tem

pore who is a full

- time judge or a part

- time judge must co mp ly wi th t his C ode as set forth in II and III above, respectively. (C) While presiding over any stage of a p ending case under tem

porary a ppoint me nt , a

j udge pro tem pore who is not a f

ull

- time judge or a part

- time judge must com ply wi th this Code except f

or Rules 3.4, 3.7, 3.9, and 3.11(B). V. EFFECTIVE DATE

— COMPLIANCE (A) The provisio ns o f thi s Code are effect ive on the date specified by the Supreme Court. (B) A person to whom this Code becomes applicable shall co mp ly immediately wi th i ts pr ovi sion s, unl ess otherwi se provided in this Code.7 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. RULE 1.1 Compliance with the Law A judge shall comply with the law,* including the Code of Judicial Conduct. RULE 1.2 Promot ing Confidence in the Judiciary A judge shall act at all times in a manner that promotes public confidence in the independence,* integrity,* and impartiality* of the judiciar y, and shall avoid impropriety and the appearance of impropriety. COMMENT [1] Public confidence in t he judiciary is eroded by improper conduct and conduct that creates the appearance of

i mpropri et y. This principle applies to b oth the prof essional and

p ersonal conduct of a j udge. [2] A judge should expect to be the subject of p ublic scrut iny that might be viewed as burdenso me if applied to other cit izens, and must accept the restrict io ns imposed by the Code. [3] Conduct that co mpromises or appears to c om promise the independence, int egri ty, and impartialit y of

a j udge undermines public confidence in the judiciary. Because iti s not practicable to list all such conduct, the Rule is necessarily castin general terms. [4] Judges should participate in ac tivit ies that promote et hical conduct amo ng judges and lawyers, support professio nalism w it hin the judiciary

a nd the legal prof

ession , and pro mo te access to j ust ice fo r all. [5] Actual

i mproprieties include vio lat io ns of law, court rules or provisio ns of this Code. T he test fo r appearance of

impropri et y is whether the conduct wo uld create in reasonable minds a perception that the judge vio lated this Code or engaged in other conduct that reflects adversely on the j udge’s honest y, impart ia lit y, tem perament, or fit ness to serve as a judge. [6] A judge should init iate and part ic ipate in communi ty o utreach act ivit ie s fo r the purpose of promoting public understanding of and confidence in the administration of just ic e. In conducting such activit ies, the judge must act in a manner consistent with this Code.8

RULE 1.3 Avoiding Abuse of the Prestige of Judicial Office A judge shall not abuse the prestige of judicial office to advance the personal or e conomic interests* of the judge or others, or allow others to do so. COMMENT [1] It is improper fo r a judge to use or attempt to use his or her posi tion to gain personal advantage or deferent ia l treatment of any kind. For example, i t would be improper for a j udge to allude to his or her judicial status to gain f avorable treatment in encounters wi th traffic officials. Similarly, a judge must not use judicial letterhead to gain an advantage in conduct ing his or h er personal business. [2] A j udge may provide a reference or recommendation for an individual based up on the j udge’s personal knowledge. The judge may use of fic ial letterhead if the judge indicates that the reference is personal and if there is no likelihood that the use of the letterhead would reasonably be perceived as an attempt to exert pressure by re ason of the j udicial

office. [3] Judges may part ic ipate in the process of j udicial select io n by cooperating wi th a ppoint ing authori ties and screening co mmit tees, and by responding to inquiries fro m such ent it ies concerning the professional qualificat io ns of a person being considered for judicial o ffice. [4] Special considerat io ns arise when judges wri te or contribute to publicat io ns of f or - profi t ent it ies, whether related or unrelated to the law. A judge should not permit any one associ ated wi th the publi cat io n of

s uch materials to ex

ploi t the judge’s office in a manner that vio lates this Rule or other applicable law. I n contracts fo r publicat io n of a j udge’s wri

ting, the judge should retain sufficient control over the advertis ing to avoid such explo it ation.9 CANON 2 A JUDGE SHALL PERFORM THE DUTIES OF JUDICIAL OFFICE IMPARTIALLY, COMPETENTLY, AND DILIGENTLY. RULE 2.1 Giving Precedence to the Duties of Ju dicial Office The duties of judicial office, as prescribed by law,* shall take pr ecedence over all o f a judge’s personal

and extrajudicial activities. COMMENT [1] To ensure that judges are available to fu lfill their judicial duties, judges must conduct thei r personal and extraj udicial act ivit ies to minimize the ri sk of conflicts that would resul t in frequent di squalificat io n. See Canon 3. [2] Al though iti s not a duty

of j udicial of fice unless prescribed by law, judges are encouraged to participate in act ivit ies that promotep ublic understanding of a nd con fidence in the ju stice system

.
RULE 2.2 I mpartiality and Fairness A judge shall uphold and apply the law,* and shall perform all duties of judicial office fairly and impartially.* COMMENT [1] To ensure impartialit y and fairness to all part ie s, a j udge mustbe obj ect ive and open

- minded. [2] Al though each judge comes to the bench wi th a unique background and personal philosophy, a judge must int erpret and apply the law wi thout regard to whether the judge approves or di sapproves of the law in question. [3] When applying and int erpreting the law, a j udge so met imes may make good

- fa it h errors of fact or law. Errors of this kind do not violate this Rule. [4] It is not a vio lat io n of t his Rule fo r a judge to mak e reasonable accommodations to ensure self

- represented lit igants the opportunit y to have thei r matters fai

rly heard.10

RULE 2.3 Bias, Prejudice, and Harassment (A) A judge shall perform the duties of judicial office, including administrative duties, without bias or prejudice. (B) A judge shall not, in the performance of judicial duties, b y 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, soc ioeconomic status, or political affiliation, and shall not permit court staff, court officials, or o thers subject to the judge’s direction and control to do so. (C) A judge shall require lawyers in pr oceedings 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 p olitical affiliation, a gainst parties, witnesses, lawyers, or others. (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 releva nt to an issue in a proceeding. COMMENT [1] A judge who ma nifests bias or prej udice in a proceeding impairs the fa ir ness of t he proceeding and brings the judiciary into disrepute. [2] Exam ples o f manifestations o f bias or prej udice include , but are not limited to , epithets; slurs; de meaning nicknames; negat ive stereoty ping; attem

pted humor based upon stereoty pes; th reatening, int imidating, or hostile acts; suggest ions of c onnect io ns between race, ethnicit y, o r nat io nalit y and crime; and irrelevant references to personal characteristic s. Even facia l expressio ns and body

l anguage can convey to parties and lawyers in the proceeding, jurors, the media, and others an appearance of b ias or prej udice. A judge must avo id conduct that ma y reasonably

b e per ceived as prejudiced or biased. [3] Harassment, as ref

erred to in paragraphs (B) and (C), is verbal or physical conduct that denigrates or shows hostilit y or aversio n toward a person on bases such as race, sex, gender, religion, nat io nal origin, ethnici ty, disabili

ty, age, sexual ori entation , marital status, socioeconomic status, or polit ical affiliat io n. [4] Sexual harassment includes but is not limited to sexual advances, requests fo r sexual favors, and other verbal or physical conduct of a sexual nature that is unwelco me.11

RULE 2.4 External Influences on Judicial Conduct (A) A judge shall not be swayed by public clamor or fear of criticism. (B) A judge shall not permit family, social, political, financial, or o ther interests or relationships to influence the judge’s judicial conduct or judgment. (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. COMMENT [1] An independent judiciary requi res that judges decide cases according to the la w and fa cts, wi thout regard to whether particular laws or lit igants are popular or unpopular wi th t he public, the med ia, government officials, or the judge’s friends or f amily

. Confidence in the judiciary is eroded if judicial decisio n mak ing is perceived to besubject to inappropriate outside influences.

RULE 2.5 Competence, Diligence, and Cooperation (A) A judge shall perform judicial and administrative dutie s competently and diligently. (B) A judge shall cooperate with other judges and court officials i n the ad ministration of court business. COMMENT [1] Com petence in the perf

ormance of

j udicial duti es requires the legal knowledge, skill, thoroughness, and preparation reasonably necessary t o perform a judge’s responsibilit ies of judicial o ffice. [2] A j udge should seek the necessary docket time, court st aff, expertise, and resources to di scharge all adjudicat ive and administrative responsibilit ies. [3] Prom pt di sposi tion of the court’s business requires a judge to devote adequate time to judicial duti es, to be punctual

in attending c ourt and expedi tious in determining matters under submissio n, and to take reasonable measures to ensure that co urt officials, lit igants, and their lawyers cooperate with the judge to that end. [4] In disposing of matters p rom pt ly and efficient ly, a j udge must demon strate due regard for the rights of p art ies to be heard and to have issues resolved wi thout unnecessary cost or delay. A judge should mo nit or and supervise cases in ways that reduce or eliminate dilatory p ractice s, avo idable delays, and unnecessary costs. In accomplishing these cri tical goal s in the increasing12

number of

c ases invo lving self

- represented lit igants, a judge ma y take appropri ate steps to facilitate a self

- represented lit igant’s abilit y to be heard.

RULE 2.6 Ensuring the Right to Be H eard (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.* (B) A judge may encourage parties to a pr oceeding and their lawy ers to settle matters in dispute but shall not act in a manner that coe rces any party into settlement. COMMENT [1] The right to be heard is an essent ia l co mponent of a f air and impartial system o f ju st ice. Substant ive rights of

l it igants can be protecte d only if procedures protecting the right to be heard are observed. [2] The judge plays an important role in overseeing the settlement of d isputes, but should be careful that efforts to further settlement do not undermine any party’s right to be heard acc ording to law. The judge should keep in mind the effect that the judge’s participat io n in settlement di scussio ns may have, not only on the judge’s own views of the case, but also on the perceptions of t he lawyers and the parti es if the case remains wi th t he judge af

ter settlement efforts are unsuccessful. Amo ng the factors that a judge should consider when deciding upon an appropriate settlement practice fo r a case are : ( 1) whether the parties have requested or vo lu nt arily consented to a certain level o f participation by the judge in settlement discussio ns, (2) whether the parti es and their counsel are relat ively sophist ic ated in legal matters, (3) whether the case will be tri ed by the judge or a jur y, ( 4) whether the part ies participate wi th their counse l in settlement discussio ns, (5) whether any parti es are unrepresented by counsel, and (6) whether t he matter is civil or criminal. [3] Judges must be mindful of t he effect settlement di scussions can have, not only on their obj ect ivit y and impart ia lit y, but al so on the appearance of t heir object ivit y and impart ia lit y. Despite a judge’s best efforts, there may be instances when information ob tained during settlement discussio ns could influence a judge’s deci sion m aking during tri al , and, in suc h instances, t he judge should consider whether di squalificat io n may be appropri ate. S ee Rule 2.11(A)(1).

RULE 2.7 Responsibility to Decide A judge shall hear and decide matters assigned to the judge, except when disqualification is requi red by Rule 2.11 or other law.*13

COMMENT [1] Judges m

ust be available to decide the matters that come before the court. Alt hough there are times when disqualificat io n is necessary to protect the rights of l it igants and preserve public confidence in the independence, int egri ty, and impartialit y of

t he judiciary, judges must be available to decide matters that come bef ore the courts. Unwarranted disqualificat io n may br ing public disfavor to the court and to the judge personally

. The digni ty o f the court, the judge’s respect fo r fu lfillment of j udicial dut ies, and a proper concern fo r the burdens that ma y be imposed upon the judge’s co lleagues require that a judge not use di squalificat io n to avoid cases that present difficult, con troversi al, or unpopular i ssues.

RULE 2.8 Decorum, Demeanor, and Communication with Jurors (A) A judge shall require order and decorum in proceedings before the court. (B) A judge shall be patient, dignified, and courteous to litigants, jurors, witnesses, lawyers, court staff, court officials, and other s with whom the judge deals in an official capacity, and shall require similar conduct of lawyers, court staff, court officials, and others subject to the judge’s direction and control. (C) A judge shall not commend or c riticize jurors for their verdict o ther than in a court or der or opinion in a proceeding. COMMENT [1] The duty

to h ear all proceedings wi th p atience and courtesy

i s not inconsistent wit h the dut y imposed in Rule 2.5 to dispose promptly of the business of the court. Judges can be efficien t and businesslike whil e being pati ent and deliberate. [2] Co mmending or cri

ticizing jurors fo r thei

r verdict ma y imply a judicial expectation in future cases and may

impair a j uror’s abilit y to be fai r and impart ia l in a subsequent case. [3] A judge who i s not otherwise prohibi ted by law fro m doing so ma y meet wi th j urors who choose to remain after trial but should be careful not to d iscuss the merits of the case.

RULE 2.9 Ex Parte Communications (A) A judge shall not initiate, permit, or consider ex parte communications, or consider other communications made to the judge outside the pr esence of t he parties or

t heir lawyers, concerning a pending* or impending matter,* except as follows:14

(1) When circumstances require it, ex parte communication for sch eduling, administrative, or emergency purposes, which does not address substantive m atters, is permitted, provided: (a) the judge reasonably believes that no party will gain a procedural, substantive, or tactical advantage as a result of the ex parte comm unication; and (b) the judge makes pr ovision pr omptly to notify all other parties of the contento f the ex parte communication , and gives the parties an opportunity to respond. (2) A judge may obtain the written advice of a disinterested expert on the la w applicable to a pr oceeding 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 th e notice and to the advice received. (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 w ith other judges, provided the judge makes reasonable eff orts to avoid receiving factual information that is not part of the record, and does not abrogate the responsibility personally to decide the matter. (4) Aj udge may initiate, permit, or consider any ex parte communication when expressly authorized by l aw to do so. (B) If a judge receives an unsolicited ex parte communication having a potentially significant bearing upon the substance of a matter, the judge shall make pr ovision promptly to notify the parties of the content of the communication and provi de the parties with an opportunity to respond. I f such communication is in writing, a copy of it shall be made available to the parties by retention in a court file. (C) A judge shall not investigate facts in a matter independently, and shall consider on ly the evidence presented and any facts that may properly be judicially noticed. (D) A judge shall make reasonable efforts, including providing appropriate supervision, to ensure that this Rule is not violated by court staff, court officials, and others s ubject to the judge’s direction and control. COMMENT [1] To the extent reasonably possible, all parti es or thei r lawyers shall be included in communicat io ns wit h a j udge.15

[2] Whenever the presence of a part y or notice to a party i s required by this Rule , i t i s the party ’s lawyer, or if the party

i s unrepresented, the party, who is to be present orto whom notice is to be given. [3] The proscri

pt io n against communicat io ns concerning a proceeding includes communications wi th l awyers, law teachers, and other persons who are not participants in the proceeding, except to the limited

extent permitted by

this Rule. [4] A judge may init iate, permit, or consider ex parte co mmunicat io ns expressly authorized by law, such as when serving on therapeut ic or problem

- s olving courts, me nt al h eal th courts, or drug courts. In thi s capaci ty, judges may assume a mo re int eractive role wi th p art ies, treatment providers, probation o fficers, social workers, and others. [5] A judge may consult wi th o ther judges on pending matte rs, but must avo id ex parte di scussio ns of

a c ase wi th j udges who have previously been subst itut ed or disqualified fro m hearing the matter, and with judges who have appellat e j urisdict io n over the matter. [6] The prohibit io n against a judge invest igat ing the facts in a matter extends to informat io n available in all mediums, incl uding electronic. The prohibi tion does not apply to a j udge’s effort to obtain general informat io n about a specialized area of knowledge that does not include the applicat io n of su ch informat io n in a specific case. Nor does the prohibi tion apply to interstate or state

- federal co mmunicat io ns among judges on the general topic of c ase management decisio ns in mass torts or other com plex cases, such as di scovery schedules, standard int e rrogatories, shared discovery

d eposi tori es, appoint me nto f liaison counsel , co mmittee me mbership, or commo n fu nd structures. [7] A j udge may consul

t ethics advisory

commi ttees, outside counsel , or legal experts concerning the judge’s co mp liance wi th t his Code. Such consul tations are not subject to the re strict io ns of paragraph (A)(2). [8] In light of

t he considerable frequency wi th w hich judges receive unso licited ex parte communicat io ns, judges should apply thei r discretion and co mmo n sense when called upon to determine whether an unso licited ex parte communicat io n qualifies as one having a potentially significant bearing upon the substance of a matter, for purposes of paragraph B.

RULE 2.10 Judicial Statements on Pending and Impending Cases (A) A jud ge 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 h earing.16

(B) Aj udge shall not, in connection with cases, controversies, or i ssues that ar e likely to come before the court, make pl edges, promises, or commitments that are inconsistent with the impartial* performance of the adjudica tive duties of judicia l office. (C) A judge shall 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). (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. (E) Subject to the requirements of paragraph (A), a judge may respond directly or through a third party to allegations in the media or e lsewhere concerning the judge’s conduct in a matter. COMMENT [1] This Rule’s restrict io ns on judicial speech are essent ia l to the ma int enance of t he ind ependence, integrit y, and impartiali

ty of the j udiciary

. [2] This Rule does not prohibi t a j udge fro m co mment ing on proceedings in which the judge is a lit igant in a personal capacit y. I n cases in which the judge is a lit igant in an of ficial capacit y, su ch as a wri

t of mandamus, the j udge must not comment publicly. [3] Depending upon the ci rcumstances, the judge should consider whether itmay be pref erable fo r a thi rd part y, r ather than the judge, to respond or issue statements in connect io n wi th allegat io ns concerning t he judge’s conduct in a matter.

RULE 2.11 Disqualification (A) A judge shall disqualify himself or h erself in any proceeding in which the judge’s impartiality* might reasonably be questioned, including but not limited to the following c ircumstances: (1) The judge has a personal bias or p rejudice concerning a party or ap arty’s lawyer, or personal knowledge* of facts that ar e in dispute in the proceeding. (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 domest ic partner of such a person is: (a) a party to the pr oceeding, or a n officer, director, general partner, managing member, or trustee of a party;17 (b) acting as a la wyer in the proceeding; (c) a person who has more than a de minimis* interest that could be substantiallyaffected by the proceeding; or (d) likely to be a mate rial witness in the proceeding. (3) The judge knows that he or she, individually or a s a fidu ciary,* or

t he 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 o r in a party to the proceeding. ( 4 ) The judge, w hile a judge or a judicial candidate,* has made a public statement, other than in a court pr oceeding, judicial decision, or opinion, that commits or appears to commit the judge to reach a particular result or ru le in a particular way in the proceeding or

controversy. ( 5 ) The judge: (a) served as a lawyer in the matter in controversy, or w as associated with a lawyer who participated substantially as a lawyer in the matter during such association; (b) served in governmental employment, and in such capaci ty participated personally and substantially as a lawyer or p ublic official concerning the proceeding, or has publicly expressed in such capacity an opinion concerning the merits of the particular matter in controversy; (c) was a material wi tness concerni ng the matter; or (d) previously presided as a judge ove r the matter in another court. (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. (C) A judge subject to disqualification under this Rule, other than for bias or pr ejudice under paragraph (A)(1), may disclose on the record the basi s of the judge’s disqualification and may ask the parties and their lawyers to consider, outside the pr esence of the judge and court personnel, whether to waive disqualification. If, following the disclosure, the parties and lawyers agree, without partici pation by the judge or c ourt personnel, that the judge should not be disqualified, the judge may participate in the pr oceeding. The agreement shall be incorporated int o the record of the proceeding.18

COMMENT [1] Under this Rule, a judge is di squalified w henever the judge’s impartialit y might reasonably be quest io ned, regardless of whether any of the specific provisions of paragraphs (A)(1) through ( 5 ) apply

. [2] A judge’s obligat io n not to hear or decide matters in which disqualificat io n is requi red appl ies regardless of whether a mo tion to di squalify i s filed. [3] The rule of

necessit y may override the rule of di squalificat io n. For example, a judge might be required to participate in judicial review of a judicial salary statute, or might be the only ju dge available in a mat ter requi ring immediate judicial action, such as a hearing on probable cause or a tem porary r estraining order. In matters that requi re immediate act io n, the judge must disclose on the record the basis fo r possible disqualificat ion and make reasonable efforts to transfer the matter to another judge as soon as practicable. [4] The fact that a lawyer in a proceeding is affiliated with a law firm wit h which a relat ive of the judge is affiliated does not i tself disqualify the judge. If, however, the judge’s impartialit y might reasonably

b e questioned under paragraph (A), or the relat ive is known by the judge to have an int erest in the law fir m that could be substant ia lly affected by the proceeding under paragraph (A)(2)(c), the judge’s di squalification is requi red. [5] A judge should disclos e on the record information that the judge believes the parti es or thei r lawyers might reasonably consider relevant to a possible mo tion fo r di squalificat io n, even if the judge believes there is no bas is fo r di squalificat io n. [6] “Economic int erest,” as set fo rth in the Termino lo gy s ection, means ownership of more than a de minimis legal or equi table interest. Except for si tuations in which a judge partici pates in the management of

s uch a legal or equ it able int erest, or the int erest co uld be substant ia lly affected by the outcome of a proceeding befor e a j udge, i t does not i

ncl ude: (1) an interest in the individual ho ld ings wi thin a mutual

or common investment f und; (2) an int erest in securi ti es held b y an educational , religious, charitable, fraternal, or civic organizat io n in which the judge or the judge’s spouse, domest ic partner, parent, or child serves as a di rector, officer, advisor, or other participant; (3) a deposi

t in a financial inst itution o r deposi ts or propri etary int erests the judge may maintain as a member of a m

utual savings associ at io n or credi t union, or similar proprietary int erests; or (4) an interest in the issuer of governmen t securi ti es held by

the j udge.

RULE 2.12 Supervisory Duties (A) A judge shall 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 obligations under this Code.19

(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 disp osition of matters before them. COMMENT [1] A judge is responsible for his or her own conduct and for the conduct of others, such as staff, when those persons are act ing at the judge’s di rection or co nt rol

. 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 vio late the C ode if undertaken by the judge. [2] Public confidence in the judicial system depends upon timely just ice. To promote the efficient administration of j ust ice, a judge wi

th s upervisory

a uthori ty m ust take the steps needed to ensure that judges under his or her supervisio n administer their workloads prom pt ly.

RULE 2.13 Administrative Appointments (A) In making admini strative appointments, a judge: (1) shall exercise the power of appointment impartially* and on the basis o f merit; and (2) shall avoid n epotism, favoritism, and unnecessary appointments. ( B ) A judge shall not approve compensation of appointees beyond the fair value of services rendered. COMMENT [1] Appointees of

a j udge include assigned counsel , officials such as ref erees, commissio ners , special masters, receivers, and guardians, and personnel such as clerks, secretari es, and bailiffs. Consent by the parti es to an appointment or an award of com pensat io n does not relieve the judge of the obligation prescribed by paragraph (A). [2] Unles s otherwise defined by law, nepoti sm is the appoint me ntor hi ring o f any relat ive wi

thin the thi rd degree of

r elat io nship of

e it her the judge or the judge’s spouse or domestic partner, or the spouse or domestic partner of such relative.

RULE 2.14 Disabil ity and Impairment A judge having a reasonable belief that the performance of a lawyer or another judge is impaired by drugs or

a lcohol, or by a mental, emotional, or physical condition, shall take20

appropriate action, which may include a confidential refe rral to a lawyer or judicial assistance program. COMMENT [1] “Appropri ate action” means action intended and reasonably likely to hel p the judge or lawyer in quest io n address the problem and prevent harm to the ju stice system

. D epending upon the ci rcumst ances, appropri ate action ma y include but is not limited to speaking direct ly to the impaired person, notifying an individual wi th s upervisory

r esponsibili

ty o ver the impaired person, or making a referral to an assistance program. [2] Taking or init iating corrective act io n by way of ref erral to an assistance program m ay satisfy a j udge’s responsibilit y under this Rule. Assistance programs have many approaches for offering help to impaired judges and lawyers, such as int ervention, counseling, or referral t o appropriate healt h care professio nals. D epending upon the gravit y of t he conduct that has co me 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.

RULE 2.15 Responding to Judicial and Lawyer Misconduct (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, trustwort hiness, or fitness as a judge in other respects shall inf or m the appropriate authority.* (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 ho nesty, trustworthiness, or

f itness as a lawyer in other respects shall inform the appropriate authority. (C) A judge who receives information indicating a substantial likelihood that another judge has committed a violation of this Code shall take appropri ate action. (D) A judge who receives information indicating a substantial likelihood that a lawyer has committed a violation of the Rules of Professional Conductshall take appropriate action. COMMENT [1] Taking act io n to address known misconduct is a j udge’s obligat io n. Paragraphs (A) and (B) impose an obligat io n on the judge to report to the appropriate disciplinary authori ty t he known misconduct of another judge or a lawyer that rai ses a substant ia l quest io n regarding the honest y, trustworthiness, orf

it ness of t hat judge or lawyer. Ignoring or denying known misconduct among one’s judicial co lleagues or members of t he legal professio n undermines a judge’s responsibilit y to participate in efforts to ensure public respect fo r the ju stice system

. This Rule21

limits the reporti

ng obligat io n to th

ose offenses that an independent judiciary must vigorously endeavor to prevent. [2] A judge who does not have actual knowledge that another judge or a lawyer may have committed misconduct, but receives informationindicat ing a substant ia l likelihood of s uch misconduct, is required to take appropri ate action under paragraphs (C) and (D). A ppropri ate action may include, but is not limited to, co mmunicat ing di rectly wi th t he judge who may have vio lated this Code, com

mu nicating wi

th a supervising judge, or reporti ng the suspected viol at io n to the appropriate authorit y or other agency or body

. Similarly, actions to be taken in response to informat io n indicat ing that a lawyer has co mmitted a vio lat io n of t he Rules of

P r of essional Conduct ma y include , but are not limit ed to , c ommunicat ing direct ly wi th the lawyer who ma y have committed the viol at io n, or reporting the suspected violat io n to the appropri ate authori ty or other agency

or body

.
RULE 2.16 Cooperation with Dis ciplinary Authorities (A) A judge shall cooperate and be candid and honest with judicial and lawyer disciplinary agencies. (B) A judge shall not retaliate, directly or indirectly, against a person known* or suspected to have assisted or cooperated with a n invest igation of a judge or a lawyer. COMMENT [1] Cooperation wi

th invest igat io ns and proceedings of j udicial and lawyer discipline agencies, as requi red in paragraph (A), inst ills confidence in judges’ co mmit ment to the int egri ty o f the judicial syste m and the protection of the public.22 CANON 3 A JUDGE SHALL CONDUCT THE JUDGE’S PERSONAL AND EXTRAJUDICIAL ACTIVITIES TO MINIMIZE THE RISK OF CONFLICT WITH THE OBLIGATIONS OF JUDICIAL OFFICE. RULE 3.1 Extr ajudicial Activities in General A judge may eng age in extrajudicial activities, except as prohibited by law* or this Code. However, when engaging in extrajudicial activities, a judge shall not: (A) participate in activities that will interfere with the proper performance of the judge’s judicial dutie s; (B) participate in activities that will lead to frequent disq ualification of the judge; (C) participate in activities that would appear to a reasonable person to undermine the judge’s independence,* integrity,* or impartiality;* (D) engage in conductthat would appear to a reaso nable person to be coercive; or (E) make use of court pr emises, staff, stationery, equipment, or other resources, except for incidental use for activities that concern the law, the legal system, or t he administration of justic e, or unless such additional use is permitted by law. COMMENT [1] To the extent that time permi ts, and judicial independence and impart ia lit y are not com promised, judges are encouraged to engage in appropriate extrajudicial act ivit ies. Judges are unique ly qualified to engage in extraj udicial act ivities that concern the law, the legal system, and the administration of j ustice, such as by speaking, wri ting, teaching, or participat ing in scho lar ly research proj ects. In addi tion , judges are permit ted and en couraged to engage in educat io nal, religious, chari

table, fraternal , o r civic extraj udicial act ivit ie s not conducted fo r profit, even when the act ivit ie s do not invo lve the law. See Rule 3.7. [2] Participat io n in both law

- related and other extraj udicial act ivit ies helps int egrate judges int o thei r co mmu nit ies, and furthers public understanding of a nd respect fo r courts and the judicia l system

. [3] Discriminatory

a ctions and expressio ns of bias or prejudice by a judge, even outside the judge’s official orj udicial a ct io ns, are lik ely

t o appear to a reasonable person to call int o question the judge’s int egri ty a nd impart ia lit y. Examples include jo kes or other remarks that demean individuals based upon thei r race, sex, gender, religio n, nat io nal origin, ethnicit y, di sabili ty , age, sexual ori entation, or so cio economic status. For the same reason, a judge’s23

extraj udicial

a ct ivit ie s mu st not be conducted in connection or affiliat io n wi th an organizat io n that practices invidious discriminat io n. See Rule 3.6. [4] While engaged in permi tted extrajudicial act ivit ies, judges must not co erce others or take action that would reasonably be perceived as coercive. For exam ple, depending upon the ci rcumstances, a judge’s so licitat io n of c ontribut ions or me mberships fo ran organizat io n, even as permi tted by Rule 3.7(A), might create the ri sk that the person so licited would feel obligated to respond favorably, or would do so to curry f avor wi th the j udge.

RULE 3.2 Appearances before Governmental Bodies and Consult ation with Government Officials A judge shall not appear voluntarily at a public hearing before, or o therwise consult with, an executive or a legislative body or official, except: (A) in connection with matters concerning the law, the legal system, or t he admi nistration of justice; (B) in connection with matters about which the judge acquired knowledge or e xpertise in the course of the judge’s judicial duties; or (C) when the judge is self
- representing in a matter involving the judge’s legal or e conomic inter ests, or when the judge is acting in a f iduciary* capacity. COMMENT [1] Judges possess special expertise in matters of law, the legal system, and the administration of just ice, and ma y properly share that expertise wi th g overnmental bodi es and execut ive o r legislat ive branch officials. [2] In appearing before governmental b odies or consult ing wi th g overnment officials, judges must be mindful that they r emain subject to other provisio ns of t his Code, such as Rule 1.3, prohibit ing judges fro m using the pre stige of o ffice to advance thei

r own or others’ int erests, Rule 2.10, governing public co mment on pending and impending matters, and Rule 3.1(C), prohibit ing judges fro m engaging in extraj udicial activit ies that would appear to a reasonable person to under mine the judge’s independence, integrit y, or impartialit y. [3] In general , itw ould be an unnecessary and unfai r burden to prohibit judges fro m appearing before governmental bodi es or c onsul ting wi th g overnment officials on mat ters that are likely to affe ct them

a s private ci

tizens, such as zoning proposals affect ing thei r real property

. In engaging in such act ivit ies, however, judges must not refer to thei r judicial posi

tions, and must otherwi se exercise caution to avoid using t he prestige of judicial o f fice.24

RULE 3.3 Testifying as a Character Witness 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 s ummoned. COMMENT [1] A judge who, wi

thout being subpoenaed, testifies as a character wi tness abuses the prest ige of j udicial office to advance the int erests of a nother. See Rule 1.3. Except in unusual ci rcumstances where the demands of j ustice requi

re, a j udge should discourage a party f rom requi ring the j udge to testify as a character witness.

RULE 3.4 Appoint ments to Governmental Positions A judge shall not accept appointment to a governmental committee, board, commission, or other governmental pos ition, unless it is one that concerns the law, the legal system, or t he administration of justice. COMMENT [1] Rule 3.4 implicit ly acknowledges the value of judges accept ing appoint me nt s to en ti ti es that concern the law, the leg al system, or the administ ration of j ust ice. Even in such instances, however, a judge should assess the appropri ateness of accept ing an appo int me nt , paying particular attention to the subject mat ter of the appoint me ntand the availabili ty and allocation of judicial resources, including the judge ’ s time commi tm ents, and giving due regard to the requi rements of the independence and impart ia lit y of the j udiciary

. [2] A judge may represent his or her country, state, or lo calit y on ceremonial occasions or in connection wi

th h istorical, e ducat io nal, or cul tural a ct ivit ies. Such representation does not constitute accep tance of a government posit io n. RULE 3.5 Use of Nonpublic Information A judge shall not intentionally disclose or use nonpublic information * known or acquired in a judici al capacity for any purpose in contravention of or unrelated to the judge’s judicial duties. COMMENT [1] A judge is, by defini

tion , uniquely privy

to the inclinat io n of

the court to resolve a mat ter or issue pending before itin a part icu lar manner. A j udge shall not, under any ci rcumstances,25

di sclose such information to a thi rd party in advance of

the court’s release of

i ts decision . W it h respect to the parti es in the case, a judge shall not di sclose such informat io n to a party or counsel unless the co urt simultaneously shares such information openly wit h all parties to the proceeding. [2] In the course of performing judicial dut ies, a judge may acquire informat io n of co mmercial or other value that is unavailable to the public. The judge must not reve al or use such informat io n fo r personal

gain or for any

purpose unrelated

to his or her judicial dut ies. [ 3 ] Thi s rule is not int ended, however, to affect a judge’s abili ty t o act on informat io n as necessary t o protect the healt h or safet y of t he judge or

a member of

a j udge’s family, court personnel, or other judicial o fficers if consistent with other provisions of this Code.

RULE 3.6 Affiliation with Discriminatory Organizations (A) A judge shall not hold membership in any organization that practices invidious discrimination on the basis of ra ce, sex, gender, religion, national origin, eth nicity, or sexual orientation. (B) A judge shall not use the benefits or facilities of an organization if the judge knows* or should know that the organization pract ices 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 is not a violation of this Rule when the judge’s attendance is a n isolated event that could not reasonably be perceived as an endorsement o f the organization’s practices. (C) A judge’s membership in a religious organization as a lawful exercise of the freedom of religion is not a violation of this Rule. This Rule d oes not apply to nati onal or state military service. COMMENT [1] A j udge’s public manifestation of approval of invidious discriminat io n on any basis gives rise to the appearance of

impropri et y and diminishes public confidence in the int egri ty a nd imparti alit y of

t he judiciary. A judge’s membership in an organizat io n that practices invidious di scriminat io n creates the perception that the jud ge’s imparti ali ty i s impaired. [2] An organizat io n is generally said to di scriminate invidiously if itarbi trarily excludes fro m membership on the basis of r ace, sex, gender, religion, nat io nal origin, ethnici ty , or sexua l ori entation persons who wo uld otherwise be eligible fo r admissio n. Whether an organizat io n practices invidious discrimination is a co mp lex questiont o which judges should be attentive. The answer cannot be determined from a mere examinat io n of a n organizat io n’s current membership rol ls, but rather, depends upon how the organizat io n selects members, as well as other relevant factors, such as whether the organizat io n is dedicated to the preservat io n of religious, ethnic, or cultural values of legit imate commo n int erest to i ts members, or whether i

t i s26

an int imate, purely private organizat io n whose me mbership limitat io ns could not consti tutionally be pr ohibited. [3] When a judge learns that an organizat io n to which the judge belo ngs engages in invidious di scriminat io n, the judge must resign immediately fro m the organizat io n.

Rule 3.7 Participation in Educational, Religious, Charitable, Fraternal, or C ivic Organizations and Activities (A) S ubject to the requirements of Rule 3.1, a judge may participate in activities sponsored by or ganizations 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: (1) a ssisting such an organization or entity in planning related to fun d
raising, and participating in the management and investment of the organization’s or entity’s funds; (2) s oliciting* contributions* for such an or ganization or e ntity, but only from members of the judge’s family,* or f ro m judges over whom the judge doe s not exercise supervisory or appellate authority; (3) a ppearing 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 a non
- fund
- raising event of such an organization or entity; (4) s erving as an officer, director, trustee, or nonlegal advisor of such an organization or entity, unless it is likely that the organization or entity: (a) w ill be engaged in proceedings that would ordinarily come before th e judge; or (b) w ill frequently be engaged in adversary proceedings in the court of which the judge is a member, or i n any court subject to the appellate jurisdiction of the court of which the judge is a member. (5) soliciting membership for such an or ganization or entity, even though the membership dues or

f ees 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 justic e; (6) m aking recommendations to such a public or p rivate fund
- granting organization or entity in connection with its programs and activities, but only27 if the organization or entity is concerned with the law, the legal system, or the administration of ju stice; and (7) a ppearing or speaking at, receiving an award or other recognition at, being featured on the program of, and permitting her or his title to be used in connection with a fund
- raising event of an or ganization which concerns the law, the legal

system, or the administration of justice. (B) A judge may encourage lawyers to provide pro bono publico legal services. COMMENT [1] T he activit ies permi tted by paragraph (A) generally include those sponsored by or undertaken on behalf of

p ublic or p rivate not

- fo r- profit educat io nal inst itutions, and other not

fo r - profi t organizat io ns, including law

- related, chari table, and other organizations. The activi ti es permitted by paragraph (A) do not include those sponsored by or on behalf of o rganizat io ns which have as a primary purpose advocating in poli ti cal processes fo r or against change in the laws related to limi

ted subject areas. Act ivit ies relat ing to such poli ti cal advocacy organizations are subject to the requirements of Rule 3.1, as well as Canon 4 and the Rules thereunder. [2] E ven fo r law

- related organizat io ns, a judge should consider whether the membership and purposes of

the organizat io n, or the nature of the judge’s part ic ipat io n in or association wi th the organizat io n, would conflict wi th the judge’s obligat io n to refrain fro m act ivit ies that reflect adversely upon a j udge’s independence, integrity, and imparti ali ty

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

- raising purpose, does not constitute a violat io n of

paragraph (A). It i s also generally permissible fo r a j udge to serve as an usher or a fo od server or preparer, or to perform similar funct io ns, at fu nd

- raising events sponsored by educat io nal, religious, chari table, fr aternal , or civic organizat io ns. S u ch act ivit ies are not so licitat io n and do not present an element of c oercion or abuse the prest ige of j udicial office. [4] I dentificat io n of

a j udge’s posi

tion in educatio nal, r eligious, chari table, fraternal, or civic organizat io ns on letterhead used fo r f und

- raising or membershi p so licitation does not violate this Rule if com

parable designat io ns are used for other persons. [5] In addi

tion to appointing lawyers to serve as counsel fo r indigent parties in individual cases, a judge may promote broader ac cess to j ustice by encouraging lawyers to participate in pro bono publico legal services, if in doing so the j udge does not em ploy coercion, or abuse the prest ige o f judicial o ffice. [6] S ubject to the requirements of R ule 3.1 and paragraph (A), a judge may provide leadership in improving equal access to the j ust ic e system; developing public educat io n programs; engaging in outreach act ivit ies to promote the fa ir administration of j ust ic e; and convening and participat ing in advisory

c om mittees and co mmunit y co llaborations devoted to the improvement of the law, the legal system, the provision o f legal services and/or the administration of just ice.28

RULE 3.8 Appo intments to Fiduciary Positions (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 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. (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 adversarypr oceedings in the court on which the judge serves, or one un der its appellate jurisdiction. (C) A judge acting in a fiduciary capacity shall be subject to the same restrictions on engaging in financial activities th at apply to a judge personally. (D) I f a person who is serving in a fiduciary position becomes a judge, he or she must comply with this Rule as soon as reasonably practicable, but in no event later than one year after becoming a judge. COMMENT [1] A judge should recognize that other restric tions imposed by this Code may conflict wi th a judge’s obligations as a fiduciary; in such circumstances, a judge should resign as fiduciary. For example, serving as a fiduciary m ight requi

re frequent di squalificat io n of a j udge under Rule 2.11 because a judge is deemed to have an economic int erest in shares of stock held by a trust if the amount of stock held is more than de minimis.

RULE 3.9 Service as Arbitrator or Mediator A judge shall not act as an arbitrator or am ediator or

p erform other judicia l functions apart from the judge’s official duties unles s expressly authorized by law.* COMMENT [1] This Rule does not prohibi t a j udge fro m participat ing in arbi tration, mediat io n, or settlement conferences perf

ormed as part of

a ssigned judicial duties. Rendering dispute resolut io n services apart from those duti es, whether or not fo r economic gain, is prohibited unless it is expressly authorized by law.29

RULE 3.10 Practice of Law (A) A full
- time judge shall not practice law. (B) A part
- time jud ge or judge pro tempore may practice law. (C) A judge may self

- represent and may, without compensation, give legal advice to and draft or r eview documents for a member of the judge’s family,* but is prohibited from serving as the famil

y member’s lawyer i n any forum. C OMMENT [1] A judge may self

- represent in all legal matters, including matters involving lit igat io n and matters involving appearances before or other dealings wi th governmental

b odi es. A judge mu st not use the prestige of o ffice to advance the j udge’s personal or f amily interests. See Rule 1.3. [2] A part

- time judge or judge pro tem pore mu st scrupulously avo id conduct in the pract ice of law which may create a conflict wi th j udicial dut ie s or create the appearance of impropriet y. If a conf lict arises between the judge’s obligations as judge and the private practice of l aw, the judge shall reso lve the conflict in such a way that accomplishes the fulfillment of judicial dut ies.

RULE 3.11 Financial, Busin ess, or Remunerative Activities (A) A judge may hold and manage investments of the judge and members of the judge’s family.* (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 partici pate in: (1) a business closely held by the judge or me mbers of the judge’s family; or (2) a business entity primarily engaged in investment of the financial resources of the judge or members of the judge’s family. (C) A judge shall not engage in financ ial activities permitted under paragraphs (A) and (B) if they will: (1) interfere with the proper performance of judicial duties; (2) lead to frequentdisqualification of the judge;30

(3) involve the judge in frequent transactions or continuing business r elationships with lawyers or

o ther persons likely to come before the court on which the judge serves; or (4) result in violation of other provisions of this Code. COMMENT [1] Judges are generally permi tted to engage in financial act ivit ies, including ma naging real estate and other invest me nt s fo r themselves or fo r me mbers of thei r families. Participation in these act ivit ie s, like participat io n in other extrajudicial act ivit ies, is subject to the requirements of thi s Code. For example, itw ould be impro per fo r a judge to spend so mu ch time on business activit ies that itint erf

eres wi th t he perf ormance of

j udicial dut ies. See Rule 2.1. S imilarly, it would be improper fo r a judge to use his or her official ti tle or appear in judicial robes in business ad vertising, or to co nduct his or her business or financial affairs in such a way that di squalificat io n is frequent ly required. See Rules 1.3 and 2.11. [2] As soon as pract icable wi thout serious financial

d etriment, the judge must divest himself or herself of investments and other financial int erests that might requi re frequent disqualificat io n or otherwi se viol ate this Rule.

RULE 3.12 Compensation for Extrajudicial Activities A judge may accept reasonable compensation for extrajudicial activities permi tted by this Code or other law* unless such acceptance would appear to a reasonable person to undermine the judge’s independence,* integrity,* or impartiality.*

RULE 3.13 Acceptance and Reporting of Gifts, Loans, Bequests, Ben efits, or Other Things of Va lue (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.* (B) Unless o therwise pr ohibited by law, or b y paragraph (A), a judge may accept the following : (1) items with little intrinsic value, such as plaques, certificates, tr ophies, and gre eting cards; (2) gifts, loans, bequests, benefits, or other things of value from fri ends, relatives, or other persons, including lawyers, whose appearance or i nterest in a pr oceeding31

pending* or impending* before the judge would in any event require disqualification of the judge under Rule 2.11; ( 3) ordinary social hospitality; (4) comm ercial 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 l oans ar e made available on the same terms to simila rly situated persons who are not judges; (5) rewards and priz es given to competitors or participants in random dr awings, contests, or other events that are open to persons who are not judges; (6) scholarships, fellowships, and similar benefits or awards, i f they are available to similarly situated persons who ar e not judges, based upon thes ame terms and criteria; (7) books, magazines, journals, audiovisual materials, and other resource materials supplied by publishers on a complimentary basis for offici al use; (8) gifts, awards, or benefits associated with the business, profession, or other separate activity of a spouse, a domestic partner,* or o ther family member of a judge residing in the judge’s household,* but that incidentally benefit the judge; ( 9) gifts incident to a public testimonial; and (10) i nvitations to the judge and the judge’s spouse, domestic partner, or guest to attend without charge: (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 (b) an event associated with any of the judge’s educational, religious, charitable, fraternal or c ivic activities permitted by this Code, if the same invitation is offered to nonjudges who are engaged in simil ar w ays in the activity as is the judge . COMMENT [1] Whenever a judge accepts a gift or other thing of v alue wi thout paying fa ir market value, there is a ri sk that the benefit might be viewed as int ended to influence the judge’s decision in a case. Gift

- giving between fr iends and relat ives is a common occurrence, and ordinarily does not create an appearance of

i mpropri et y or cause reasonable persons to believe that the judge’s independence, int egri

ty, or impart ia lit y has been co mpro mised. I n addi tion , when the appearance of fr iends or relat ives in a case would requi re the judge’s disqualificat io n under Rule 2.11, there would be no opportunit y fo r a gift to influence the judge’s decisio n making.32

[ 2 ] Businesses and financial inst itutions f requently make a vailable special pricing, discounts, and other benefit s, ei

ther in connect io n wi

th a tem porary promotion or f

or preferred customers, based upon lo ngevit y of

t he relationship, vo lu me of business transacted, and other fa ctors. A judge may freely

a ccept such

b enefit s if they are available to the general public, or if the judge qualifies fo r the special price or discount according to the same cri teria as are applied to persons who are not judges. As an example, lo ans provided at generally prevailing int erest rates are not gifts, but a judge could not accept a lo an fro m a financial inst itut io n at below

- market int erest rates unless the same rate was being made available to the general p ublic fo r a certain period of time or only to borrowers with specified qualif ications that the j udge also possesses. [ 3 ] Rule 3.13 applies only to acceptance of g ift s or other things of v alue by a judge. Nonetheless, if a gift or other benefit is given to the judge’s spouse, domest ic partner, or member of the judge’s family resid ing in the judge’s househo ld, itm ay be viewed as an attem pt to evade Rule 3.13 and influence the judge indirect ly. Where the gift or benefit is being made primarily to such other persons, and the judge is merely an i ncidental beneficiary, this concern is r educed. A judge should, however, remind family and househo ld members of the restrict io ns imposed upon judges, and urge them to take these restrict ions int o account when making decision s about accept ing such gifts or benefits. [ 4 ] Rule 3.13 does not app ly to co nt ributions to a judge’s campaign fo r judicial office. S uch contributions are governed by other Rules of this Code

.
RULE 3.14 Reimbursement of Expensesand Waivers of Fees or Charges (A) Unless otherwise prohibited by Rules 3.1 and 3.13(A) or o ther law,* a judge may accept reimbursement of necessary and reasonable expenses for tr avel, 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 t he judge’s employing entity, if the expenses or

c harges are associated with the judge’s participation in extrajudicial activities permitted by this Code. (B) R eimbursement 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.

COMMENT [1] Educational, civic, religious, fraternal, and chari table organizat io ns of

ten spo nsor meet ings, 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 di sci plines, in furtherance of thei r duty to remain com

petent in the law. Partici pation in a variety of other extrajudicial act ivit y is also permitt ed and encouraged by this Code.33

[2] Not infrequent ly, sponsoring organizat io ns invite certain judges to attend seminars or other events on a fee

- waived or partia l

- fee

- waived basis, and so met imes include reimbursement fo r necessary t ravel, fo od, lo dging, or other incidental expenses. A judge’s decision w hether to accept reimbursement of

e xpenses or a waiver or partial waiver of

f ees or charges in connect io n wi th t hese or other extrajudicial act ivit ies must be based upon an assessment of a ll the ci rcumstances. The judge must undertake a reasonable inquiry to obtain the informat io n necessary to make an informed judgment about whether acceptance would be consistent w it h the requi rements of this Code. [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, int egri ty, or impartialit y. The factors that a ju dge should consider when deciding whether to accept reimbursement or a fee waiver for attendance at a particular activit y include: (a) whether the sponsor is an accredited educat io nal inst itut io n or bar associ ation rather than a trade associ at io n or a fo r - profit entit y; (b) whether the fu nding co me s largely fro m numerous contributors rather than fro m a single ent it y and i s earmarked for programs with specific content; (c) whether the content is related or unrelated to the subject matter of l it igat io n pe nding or impending before the judge, or to matters that are likely to come before the judge; (d) whether the act ivit y is primarily educational rather than recreat io nal, and whether the costs of the event are reasonable and comparable to those associated w it h similar events sponsored by the judiciary, bar associ at io ns, or similar groups; (e) whether informat io n concerning the activit y and i ts f unding sources i s available upon inquiry; (f) whether the sponsor or source of f unding is generally associ ated wi th particular parties or int erests current ly appearing or lik ely t o appear in the judge’s court, th us possibly

r equiring di squalificat io n of the judge under Rule 2.11; (g) whether differing viewpo int s are presented; and (h) whether a broad range of j udic ial and nonjudicial part ic ipants are invited, whether a large number of participants are invited, and whether the program is designed spec ifically f or j udges.34 CANON 4 A JUDGE OR CANDIDATE FOR JUDICIAL OFFICE SHALL NOT ENGAGE IN POLITICAL OR CAMPAIGN AC TIVITY THAT IS INCONSISTENT WITH THE INDEPENDENCE, INTEGRITY, OR IMPARTIALITY OF THE JUDICIARY. RULE 4.1 Political and Campaign Activities of Judges and Judicial Candidates in General (A) Except as permitted by law,* or b y Rules 4.2, 4.3, and 4.4, a ju dge or aj udicial 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, or any partisan or independent non
-

judicial office
- holder or candidate for public o ffice ; (3) publicly endorse or o ppose a partisan or

i ndependent candidate for any non judicial public offic e; (4) solicit funds for, pay an assessment to, or make a contribution* to a political organization, or to or

o n behalf of any partisan or i ndepend ent office
- holder or candidate for public office; (5) attend or purchase tickets for dinners or other events sponsored by a partisan or independent candidate for non
-judicial public office; (6) publicly identify himself or herself as a candida te of a political organization; (7) seek, accept, or use endorsements from a political or ganization, or partisan or independent non
-

judicial office
- holder or candidate; (8) use or permit the use of campaign contributions for the private benefit of the judge, the ca ndidate, or others; ( 9 ) use court staff, facilities, or o ther court resources in a campaign for judicial office; (1 0 ) knowingly,* or with reckless disregard for the truth, make anyf alse or misleading statement; (1 1 ) make any statement that would reason ably be expected to affect the outcome or impair the fairness of a matter pending* or impen ding* in any court; or35

(1 2 ) in connection with cases, controversies, or issues that are likely to come before the court, make pl edges, pr omises, or c ommitments thata re inconsistent with the impartial* performance of the adjudicative duties of judicial office. (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, a ny activities prohibited under paragraph (A). COMMENT GENERAL CONSIDERATIONS [1] Even when subject to public elect io n, a j udge plays a role different from that of a legislator or executive branch official. Rather than making decisio ns based upon the expressed views or preferences of

the electorate, a judge mak es decisions based upon the law and the facts of e ver y case. Th erefore, in furtherance of this int erest, judges and judicial candidates must, to the greatest extent possible, be free and appear to be free fro m polit ical influence and poli tical pressure. This Canon imposes narrowly tailored restrict io ns upon the poli ti cal and campaign activit ies of

a ll judges and judicial candidates, taking int o account the vario us methods of select ing judges. [2] When a person beco me s a judicial candidate, this Canon beco me s applicable to his or her conduct. I f a judicial candidate who is not a judge vio lates this Canon and is elected, he or sh e may be referred to the Judicial Standards Co mmissio n fo r discipl ine on assuming o ffice. PARTICIPATION IN POLITICAL ACTIVITIES [3] Public confidence in the independence and impartiali ty of the j udiciary is eroded if judges or judicial candidates are perceived to be subject to polit ical influence. J udges and judicial candidates are prohibited by paragraph (A)(1) fro m assuming leadership roles in p ol it ica l organizat io ns. [4] Paragraphs (A)(2) and (A)(3) prohibit judges and judicial candidates fro m making speeches on behalf of

p ol it ical organizat io ns or publicly endorsing or opposing part isan candidates fo r public office, respect ively, to prevent them f rom abusing the prest ige of j udicial o ffice to advance the int erests of others. See Rule 1.3. These Rules do not prohibit c andidates fro m cam paigning on their own behalf , or f rom endorsing or opposing candidates fo r a judicial office , because judges are in the unique posi tion to know and share wi th int erested persons the qualificat io ns of

j udicial candidates. S ee Rule 4.2(B)(2) and (3). H owever, note that while iti s ac ceptable for candidates for j udicial office to seek and accept endorsements f rom another j udge, and have the supportive judge attend the candidate’s dinners, judges are prohibi ted fro m solicit ing or collect ing mo ney on their behalf. [5] Al though members o f the families of judges and judicial candidates are free to engage in their own polit ical act ivit y, including running fo r public office, there is no “family exception” to the prohibit io n in paragraph (A)(3) against a judge or candidate publicly endorsing candidates fo r36

public office. A judge or j udicial candidate must not become invo lved in, or publicly associ ated wi th , a family member’s poli tical act ivit y or cam

paign fo r public office. To avo id public misunderstanding, judges and judicial candidates sho uld take, and should urge members of their families to take, reasonable steps to avoid any implicat io n that they e ndorse any family member’s candid acy or other polit ical activit y. [6] Judges and judicial candidates retain the right to participate in the p ol it ical process as voters in both primary and general elect io ns. STATEMENTS AND COMMENTS MADE DURINGA C AMPAIGN FOR JUDICIAL OFFICE [7] Judicial candidates must be scrupulously fair and accurate in all statements made by them and by thei

r cam paign commi

ttees. Paragraph (A)(1 0 ) obligates candidates and their committees to refrain fro m mak ing statements that are fa lse or misleading, or that omit facts necessary t o make the communication considered as a who le not materially misleading. [8] Judicial candid ates are somet imes the subject of fa lse, mis leading, or unfai r allegations made by opposing candidates, thi rd parti es, or the media. For example, fa lse or misleading statements might be made regarding the ident it y, p resent posit io n, experience, qualificat io ns, or judicia l rulings of a candidate. In other si tuations, fa lse or misleading allegat io ns may be made that bear upon a candidate’s int egri ty o r fit ness fo r judicial office. As lo ng as the candidate does not vio late paragraphs (A)(1 0 ), (A)(1 1 ), or (A)(1 2 ), the candidate ma y make a factually accurate public response. In addi tion, when an independent thi rd party has made false attacks on a candidate’s opponent, the candidate should disavow the attacks, and request the t hird party t o cease and desist. [9] Subject to paragraph (A)(1 1 ), a judicial candidate is permitted to respond di rect ly to fa lse, misleading, or unfair allegat io ns made against him or her during a cam paign, al though it i s preferable for someone else to respond if the allegations relate t o a pending case. [10] Paragraph (A)(1 1 ) prohibits judicial candidates fro m making co mments that might impair the fa ir ness of

p ending or impending judicial proceedings. This provision d oes not restrict arguments or statements to the court or jur y 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. PLEDGES, PROMISES, O R COMMITMENTS INCONSISTENT WITH IMPARTIAL PERFORMANCE OF THE ADJUDICATIVE DUTIES OF JUDICIAL OF FICE [11] The role of

a j udge is different fro m that of a legislator or executive branch of ficia l, e ve n when the judge is subject to public elect io n. Campaigns fo r judicial of fice mu st be conducted different ly fro m campaigns fo r other offices. The narro wly draf ted restrict io ns upon poli ti cal and campaign act ivit ies of j udicial candidates provided in Canon 4 allow candidates to co nduct cam paigns that provide voters wit h sufficient info rmat io n to permi t them to di st inguish between candidates and make infor med electoral cho ic es.37

[12] Paragraph (A)(1 2 ) makes applicable to both judges and judicia l candidates the prohibit io n that applies to judges in Rule 2.10(B), relat ing to pledges, promises, or commit ments that are inconsistent with the impart ia l perf ormanc e of

the adj udicative dut ies of judicial o ffice. [13] The mak ing of

a p ledge, promise, or co mmit ment is not dependent upon, or limited to, the use of a ny specific words or phrases; instead, the totalit y of the statement mu st be examined to determine if a reasonable person would believe that the candidate fo r judicial of fice has specifically undertaken to reach a particular resul t. Pledges, promises, or co mmit ments must be contrasted wit h statements or announcements of personal views on legal, poli ti cal , o r other issues, which are not prohibited. When making such statements, a judge should acknowledge the overarching judicial obligat io n to apply and uphold the law, wi thout regar d to his or her personal views. [14] A judicial candidate may make campaign pr omises related to judicial organization, administration, and court ma nagement, such as a promise to di spose of a b acklog of

c ases, start court sessions on time, or avoid fa vori ti sm in appoint me nt s and hir ing. A candidate ma y also pledge to take action out side the courtroom, such as working toward an improved jury s elect io n system, or advocating fo r mo re fu nds to improve the physical plant and ameni ti es of t he courthouse. [15] Judicial candidates may receive quest io nnaires or requests fo r int erviews fro m t he media and fro m issue advocacy o r other communit y organizat io ns that seek to lear n thei r views on di sputed or con

troversi al legal or polit ic al issues. Paragraph (A)(1 2 ) does not specifically address judicial responses to such inquiries. Depending upon the wording and fo rmat of s uch questionnaires, candidates’ responses might be viewed as pledges, promises, or co mmit ments to perform t he adjudicat ive duti es of o ffice other than in an impart ia l way
. To avoid vio lating paragraph (A)(1 2 ), therefore, candidates who respond to med ia and other inquiries should also give assurances that they w ill keep an open mind and will c arry o ut thei r adj udicative duti es fait hfully and impartially if elected. Candidates who do not respond may state thei r reasons fo r not res ponding, such as the danger that answering might be perceived by a reasonable person as undermining a successful candidate’s independence or impartialit y, or that itmight lead to frequent disqualificat io n. See Rule 2.11. RULE 4.2 Political and Campaign Activities of Judicial Candidates in Public Elections ( A) A judicial candidate* shall: (1) act at all times in a manner consistent with the independence,* integrity,* and impartiality* of the judiciary; (2) comply with all applicable election, election c ampaign, and election campaign fund
- raising laws and re gulations of this jurisdiction;38

(3) 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, bef ore their dissemination; and (4) take objectively 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 pro hibited from doing by Rule 4.1. (B ) A candidate for elective judicial office may, unless prohibited by law : (1) establish a campaign committee pursuantto the provisions of Rule 4.4; (2) speak on behalf of his or h er candidacy through any medium, including but not limited to advertisemen ts, websites, or other campaign literat ur e; (3) publicly support or oppose candidates for judicial office ; (4) attend or purchase tickets for dinners or other events sponsored by a political organization* or a candidate for judicial office; (5) seek, ac cept, or

u se endorsements from any person or or ganization other than a partisan political organization or partisan or independent office
- holder or candidate for non
-judicial public office; and (6) contribute to a candidate for judicial office, but not mor e than t he amount prescribed by law. COMMENT [1] Paragraph (B) permit s j udicial candidates in public elect io ns to engage in so me poli ti cal and cam paign act ivit ies ot herwise prohibited by Rule 4.1. [2] Despi te paragraph

( B) , judicial candidates fo r publi c elect io n remain subject to ma ny of t he provi sion s of Rule 4.1. For example, a candidate continues to be prohibited from so licit ing funds fo r a polit ical organizat io n , or any parti san or independent office

- ho lder or candidate fo r public office, from know ingly making false or misleading statements during a campaign, or mak ing certain promises, pledges, or commit ments related to future adjudicat ive dut ie s. See Rule 4.1(A), paragraphs (4), (1 0 ), and (1 2). [ 3 ] In judicial elect io ns , paragraph (B)(5) prohibi ts a candidate from seeking, accepting, or using no minat io ns or endorsements fro m a parti san political organization o r a partisan or independent non - judicial o ffice

- ho lder or candidate for public office. [ 4 ] Judicial candidates are permi tted to attend or purchase tickets fo r dinners and other events sponsored by poli

ti cal organizat io ns o r judicial candidates, but not by partisan or other independent office

- ho lders or candidates for public office.39

[ 5 ] In endorsing or opposing another judicial candidate, the judge or j udicial candidate doing so must abide by

the same rules governing campaign conduct and speech as apply to the candidate’s own cam paign.

RULE 4.3 Activities of Candidates for Appointive Judicial Office A candidate for appointment to judicial office may : (A) communicate with the appointing or confirming authority, including any selection, screening, or nominating commission or similar agency; and (B) seek endorsements for the appointment from any person or or ganization other than a political or ganization . COMMENT [1] When seeking support or endorsement, or when co mmu nicat ing di rectly wi th a n appo int ing or co nfir ming authori

ty, a candidate fo r appoint ive judicial of fice must not make any pledges, promises, o r co mmit ments that are inconsistentw it h the impart ia l perf ormance of

t he adj udicat ive dut ies of the office. See Rule 4.1(A)(1 2). RULE 4.4 Campaign Committees (A) A judicial candidate* subject to public election* may establish a campaign committee to manage and conduct a campaign for thec andidate, 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 applic able law.* (B) A judicial candidate who establishes a campai gn committee sh all directh is or h er campaign committee: (1) to solicit and accept only such campaign contributions* as are permitted by law; (2) not to solicit or accept contributions for a candidate’s campaign in an amount or in a manner that is prohib ited by law; an d (3) to comply with all applicable statutory requirements for disclosure and divestiture of campaign contributions, and to file all reports required by law with the official or agency prescribed by law.40

COMMENT [1] This Rule recognizes that j udicial candidates m ay

raise campaign funds in an amount and in a manner permi

tted by law to support thei r candidacies, and permit s candidates, other than candidates fo r appo int ive judicial office, to so licit financial or in

- kind campaign contribut ions personally or to establish campaign co mmit tees to solicit and accept such contribut io ns. [2] Cam paign co mmittees ma y so licit and accept cam paign contribut io ns, ma nage the expenditure of

c ampaign fu nds, and generally conduct campaigns. Candidates are responsible fo r com pliance wi

th t he requi

rements of

e lection law and other applicable law, and fo r the activit ie s of

thei r cam paign commi

ttees. [3] If a campaign commi ttee is established, the candidate mu st instruct the cam paign co mmittee to solicit or ac cept con

tribut io ns in conformit y wi th applicable law.