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CANON 3

A JUDGE SHALL CONDUCTTHE JUDGE?S EXTRAJUDICIAL ACTIVITIES TO MINIMIZE THE RISK OF CONFLICT WITH THEOBLIGATIONS OF JUDICIAL OFFICE.

RULE 3.1

ExtrajudicialActivities in General

A judge may engage inextrajudicial activities, except as prohibited by law* or this Code. However,when engaging in extrajudicial activities, a judge shall not:

(A) participate inactivities that will interfere with the proper performance of the judge?sjudicial duties;

(B) participate inactivities that will lead to unreasonably frequent disqualification of thejudge;

(C) participate inactivities that would appear to a reasonable person to undermine the judge?sindependence,* integrity,* or impartiality;*

or

(D) make inappropriateuse of court premises, staff, stationery, equipment, or other resources.

COMMENT

[1] To the extentthat time permits, and judicial independence and impartiality are notcompromised, judges are encouraged to engage in appropriate extrajudicialactivities. Judges are uniquely qualified to engage in extrajudicial activitiesthat concern the law, the legal system, and the administration of justice, suchas by speaking, writing, teaching, or participating in scholarly researchprojects. In addition, judges are permitted and encouraged to engage ineducational, religious, charitable, fraternal or civic extrajudicial activitiesnot conducted for profit, even when the activities do not involve the law. SeeRules 3.7 and 3.12.

[2] Participation inboth law-related and other extrajudicial activities helps integrate judges intotheir communities, and furthers public understanding of and respect for courtsand the judicial system.

[3] Discriminatoryactions and expressions of bias or prejudice by a judge, even outside thejudge?s official or judicial actions, are likely to appear to a reasonableperson to call into question the judge?s integrity and impartiality. Examplesinclude jokes or other remarks that demean individuals based upon their race,sex, gender, religion, national origin, ethnicity, disability, age, sexualorientation, or socioeconomic status. For the same reason, a judge?sextrajudicial activities must not be conducted in connection or affiliationwith an organization that practices invidious discrimination. See Rule 3.6.

RULE 3.2

Appearances beforeGovernmental Bodies and Consultation with Government Officials

A judge shall notappear voluntarily at a public hearing before, or otherwise consult with, anexecutive or a legislative body or official, except:

(A) in connectionwith matters concerning the law,* the legal system, or the administration ofjustice;

(B) in connectionwith matters about which the judge acquired knowledge or expertise in thecourse of the judge?s judicial duties; or

(C) when the judge isacting pro se in a matter involving the judge?s legal or economic interests,*or when the judge is acting in a fiduciary* capacity.

COMMENT

[1] Judges possessspecial expertise in matters of law, the legal system, and the administrationof justice, and may properly share that expertise with governmental bodies andexecutive or legislative branch officials.

[2] In appearingbefore governmental bodies or consulting with government officials, judges mustbe mindful that they remain subject to other provisions of this Code, such asRule 1.3, prohibiting judges from using the prestige of office to advance theirown or others? interests, Rule 2.10, governing public comment on pending andimpending matters, and Rule 3.1(C), prohibiting judges from engaging inextrajudicial activities that would appear to a reasonable person to underminethe judge?s independence, integrity, or impartiality.

[3] In general, itwould be an unnecessary and unfair burden to prohibit judges from appearingbefore governmental bodies or consulting with government officials on mattersthat are likely to affect them as private citizens, such as zoning proposalsaffecting their real property. In engaging in such activities, however, judgesmust not refer to their judicial positions, and must otherwise exercise cautionto avoid using the prestige of judicial office.

RULE 3.3

Testifying as aCharacter Witness

A judge shall nottestify as a character witness in a judicial, administrative, or other adjudicatoryproceeding or otherwise vouch for the character of a person in a legalproceeding, except when duly subpoenaed.

COMMENT

[1] A judge who,without being subpoenaed, testifies as a character witness abuses the prestigeof judicial office to advance the interests of another. See Rule 1.3. Except inunusual circumstances where the demands of justice require, a judge shoulddiscourage a party from requiring the judge to testify as a character witness.

RULE 3.4

Appointments toGovernmental Positions

A judge shall notaccept appointment to a governmental committee, board, commission, or othergovernmental position, unless it is one that concerns the law,* the legalsystem, or the administration of justice.

COMMENT

[1] Rule 3.4implicitly acknowledges the value of judges accepting appointments to entitiesthat concern the law, the legal system, or the administration of justice. Evenin such instances, however, a judge should assess the appropriateness ofaccepting an appointment, paying particular attention to the subject matter ofthe appointment and the availability and allocation of judicial resources,including the judge's time commitments, and giving due regard to therequirements of the independence and impartiality of the judiciary.

[2] A judge may representhis or her country, state, or locality on ceremonial occasions or in connectionwith historical, educational, or cultural activities. Such representation doesnot constitute acceptance of a government position.

RULE 3.5

Use of NonpublicInformation*

A judge shall notintentionally disclose or use nonpublic information acquired in a judicialcapacity for any purpose unrelated to the judge?s judicial duties.

COMMENT

[1] In the course ofperforming judicial duties, a judge may acquire information of commercial orother value that is unavailable to the public. The judge must not reveal or usesuch information for personal gain or for any purpose unrelated to his or herjudicial duties.

[2] This Rule is notintended, however, to affect a judge?s ability to act on information asnecessary to protect the health or safety of the judge or a member of a judge?sfamily, if consistent with other provisions of this Code.

RULE 3.6

Affiliation withDiscriminatory Organizations

(A) A judge shall nothold membership in any organization that practices invidious discrimination onthe basis of race, sex, gender, religion, national origin, ethnicity, or sexualorientation. A judge?s membership in a religious organization as a lawfulexercise of the freedom of religion is not a violation of this Rule.

(B) A judge shall notuse the benefits or facilities of an organization if the judge knows* or shouldknow that the organization practices invidious discrimination on one or more ofthe bases identified in paragraph (A). A judge?s attendance at an event in afacility of an organization that the judge is not permitted to join underparagraph (A) is not a violation of this Rule when the judge?s attendance is anisolated event that could not reasonably be perceived as an endorsement of theorganization?s practices.

COMMENT

[1] A judge?s publicmanifestation of approval of invidious discrimination on any basis gives riseto the appearance of impropriety and diminishes public confidence in theintegrity and impartiality of the judiciary. A judge?s membership in anorganization that practices invidious discrimination creates the perceptionthat the judge?s impartiality is impaired.

[2] An organizationis generally said to discriminate invidiously if it arbitrarily excludes from membershipon the basis of race, sex, gender, religion, national origin, ethnicity, orsexual orientation, persons who would otherwise be eligible for admission.Whether an organization practices invidious discrimination is a complexquestion to which judges should be attentive. The answer cannot be determinedfrom a mere examination of an organization?s current membership rolls, butrather, depends upon how the organization selects members, as well as otherrelevant factors, such as whether the organization is dedicated to thepreservation of religious, ethnic, or cultural values of legitimate commoninterest to its members, or whether it is an intimate, purely privateorganization whose membership limitations could not constitutionally beprohibited, such as scouting organizations.

[3] When a judgelearns that an organization to which the judge belongs engages in invidiousdiscrimination, the judge must resign immediately from the organization.

[4] This Rule doesnot apply to national or state military service.

RULE 3.7

Participation inEducational, Religious, Charitable, Fraternal, or Civic Organizations andActivities

(A) Subject to therequirements of Rule 3.1, a judge may participate in activities sponsored byorganizations or governmental entities concerned with the law,* the legalsystem, or the administration of justice, and those sponsored by or on behalfof educational, religious, charitable, fraternal, or civic organizations notconducted for profit, including but not limited to the following activities:

(1) assisting such anorganization or entity in planning related to fund-raising, and participatingin the management and investment of the organization?s or entity?s funds;

(2) solicitingcontributions* for such an organization or entity, but only from members of thejudge?s family,* or from judges over whom the judge does not exercisesupervisory or appellate authority;

(3) solicitingmembership for such an organization or entity, even though the membership duesor fees generated may be used to support the objectives of the organization orentity, but only if the organization or entity is concerned with the law, thelegal system, or the administration of justice;

(4) appearing orspeaking at, receiving an award or other recognition at, being featured on theprogram of, and permitting his or her title to be used in connection with anevent of such an organization or entity, but if the event serves a fund-raisingpurpose, the judge may participate only if the event concerns the law, thelegal system, or the administration of justice;

(5) makingrecommendations to such a public or private fund-granting organization orentity in connection with its programs and activities, but only if theorganization or entity is concerned with the law, the legal system, or theadministration of justice; and

(6) serving as anofficer, director, trustee, or nonlegal advisor ofsuch an organization or entity, unless it is likely that the organization orentity:

(a) will be engagedin proceedings that would ordinarily come before the judge; or

(b) will frequentlybe engaged in adversary proceedings in the court of which the judge is a memberor in any court subject to the appellate jurisdiction of the court of which thejudge is a member.

(B) A judge mayencourage lawyers to provide pro bono publico legalservices.

COMMENT

[1] The activitiespermitted by paragraph (A) generally include those sponsored by or undertakenon behalf of public or private not-for-profit educational institutions andother not-for-profit organizations, including law-related, charitable, andother organizations.

[2] Even forlaw-related organizations, a judge should consider whether the membership andpurposes of the organization or the nature of the judge?s participation in orassociation with the organization would conflict with the judge?s obligation torefrain from activities that reflect adversely upon a judge?s independence,integrity, and impartiality.

[3] Mere attendanceat an event, whether or not the event serves a fund-raising purpose, does not constitutea violation of paragraph (A)(4). It is also generally permissible for a judgeto serve as an usher or a food server or preparer or to perform similarfunctions at fund-raising events sponsored by educational, religious,charitable, fraternal, or civic organizations. Such activities are notsolicitation and do not present an element of coercion or abuse the prestige ofjudicial office.

[4] Identification ofa judge?s position in educational, religious, charitable, fraternal, or civicorganizations on letterhead used for fund-raising or membership solicitationdoes not violate this Rule. The letterhead may list the judge?s title orjudicial office if comparable designations are used for other persons.

[5] In addition toappointing lawyers to serve as counsel for indigent parties in individualcases, a judge may promote broader access to justice by encouraging lawyers toparticipate in pro bono publico legal services, if indoing so the judge does not employ coercion or abuse the prestige of judicialoffice. Such encouragement may take many forms, including providing lists ofavailable programs, training lawyers to do pro bono publicolegal work, and participating in events recognizing lawyers who have done probono publico work.

RULE 3.8

Appointments toFiduciary* Positions

(A) A judge shall notaccept appointment to serve in a fiduciary position, except as a fiduciary forthe estate, trust, or person of a member of the judge?s family,* and then only ifsuch service will not interfere with the proper performance of judicial duties.

(B) A judge shall notserve in a fiduciary position if the judge as fiduciary will likely be engagedin proceedings that would ordinarily come before the judge, or if the estate,trust, or ward becomes involved in adversary proceedings in the court on whichthe judge serves, or one under its appellate jurisdiction.

(C) A judge acting ina fiduciary capacity shall be subject to the same restrictions on engaging infinancial activities that apply to a judge personally.

(D) If a person whois serving in a fiduciary position becomes a judge, he or she shall comply withthis Rule as soon as reasonably practicable, but in no event later than oneyear after becoming a judge.

COMMENT

[1] A judge shouldrecognize that other restrictions imposed by this Code may conflict with ajudge?s obligations as a fiduciary. In such circumstances, a judge shouldresign as fiduciary. For example, serving as a fiduciary might require frequentdisqualification of a judge under Rule 2.11 because a judge is deemed to havean economic interest in shares of stock held by a trust if the amount of stockheld is more than de minimis.

RULE 3.9

Service as Arbitratoror Mediator

A judge shall not actas an arbitrator or a mediator or perform other judicial functions apart fromthe judge?s official duties unless expressly authorized by law.*

COMMENT

[1] This Rule doesnot prohibit a judge from participating in arbitration, mediation, orsettlement conferences performed as part of assigned judicial duties. Renderingdispute resolution services apart from those duties, whether or not foreconomic gain, is prohibited unless it is expressly authorized by law.

RULE 3.10

Practice of Law

A judge shall notpractice law. A judge may act pro se and may, without compensation, give legaladvice to and draft or review documents for a member of the judge?s family,*but is otherwise prohibited from serving as the family member?s lawyer in anyforum.

COMMENT

[1] A judge may actpro se in all legal matters, including matters involving litigation and mattersinvolving appearances before or other dealings with governmental bodies. Ajudge must not use the prestige of office to advance the judge?s personal orfamily interests. See Rule 1.3.

RULE 3.11

Financial, Business,or Remunerative Activities

(A) A judge may holdand manage investments of the judge and members of the judge?s family.*

(B) A judge shall notserve as an officer, director, manager, general partner, advisor, or employee ofany business entity except that a judge may manage or participate in:

(1) a businessclosely held by the judge or members of the judge?s family; or

(2) a business entityprimarily engaged in investment of the financial resources of the judge ormembers of the judge?s family.

(C) A judge shall notengage in financial activities permitted under paragraphs (A) and (B) if theywill:

(1) interfere withthe proper performance of judicial duties;

(2) lead to frequentdisqualification of the judge;

(3) involve the judgein frequent transactions or continuing business relationships with lawyers orother persons likely to come before the court on which the judge serves; or

(4) result inviolation of other provisions of this Code.

COMMENT

[1] Judges aregenerally permitted to engage in financial activities, including managing realestate and other investments for themselves or for members of their families.Participation in these activities, like participation in other extrajudicialactivities, is subject to the requirements of this Code. For example, it wouldbe improper for a judge to spend so much time on business activities that itinterferes with the performance of judicial duties. See Rule 2.1. Similarly, itwould be improper for a judge to use his or her official title or appear injudicial robes in business advertising, or to conduct his or her business orfinancial affairs in such a way that disqualification is frequently required.See Rules 1.3 and 2.11.

[2] As soon aspracticable without serious financial detriment, the judge must divest himselfor herself of investments and other financial interests that might requirefrequent disqualification or otherwise violate this Rule.

RULE 3.12

Compensation forExtrajudicial Activities

(A) A judge may acceptreasonable compensation for extrajudicial activities permitted by this Code orother law* unless such acceptance would appear to a reasonable person toundermine the judge?s independence,* integrity,* or impartiality.*

(B) A judge shall notreceive compensation for performing a marriage ceremony during regular courthours. A judge may receive compensation for performing a marriage ceremonyduring non-court hours.

COMMENT

[1] A judge ispermitted to accept honoraria, stipends, fees, wages, salaries, royalties, orother compensation for speaking, teaching, writing, and other extrajudicialactivities, provided the compensation is reasonable and commensurate with thetask performed. The judge should be mindful, however, that judicial duties musttake precedence over other activities. See Rules 2.1 and 3.1.

RULE 3.13

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

(A) A judge shall notaccept any gifts, loans, bequests, benefits, or other things of value, ifacceptance is prohibited by law* or would appear to a reasonable person toundermine the judge?s independence,* integrity,* or impartiality.*

(B) Unless otherwiseprohibited by law, or by paragraph (A), a judge may accept the following:

(1) items with littleintrinsic value, such as plaques, certificates, trophies, and greeting cards;

(2) gifts, loans,bequests, benefits, or other things of value from friends, relatives, or otherpersons, including lawyers, whose appearance or interest in a proceedingpending* or impending* before the judge would in any event requiredisqualification of the judge under Rule 2.11;

(3) ordinary socialhospitality;

(4) commercial orfinancial opportunities and benefits, including special pricing and discounts,and loans from lending institutions in their regular course of business, if thesame opportunities and benefits or loans are made available on the same termsto similarly situated persons who are not judges;

(5) rewards andprizes given to competitors or participants in random drawings, contests, orother events that are open to persons who are not judges;

(6) scholarships,fellowships, and similar benefits or awards, if they are available to similarlysituated persons who are not judges, based upon the same terms and criteria;

(7) books, magazines,journals, audiovisual materials, and other resource materials supplied bypublishers on a complimentary basis for official use;

(8) gifts, awards, orbenefits associated with the business, profession, or other separate activityof a spouse, a domestic partner,* or other family member of a judge residing inthe judge?s household,* but that incidentally benefit the judge; or

(9) invitations tothe judge and the judge?s spouse, domestic partner, or guest to attend withoutcharge:

(a) an eventassociated with a bar-related function or other activity relating to the law,the legal system, or the administration of justice; or

(b) an eventassociated with any of the judge?s educational, religious, charitable,fraternal or civic activities permitted by this Code, if the same invitation isoffered to nonjudges who are engaged in similar waysin the activity as is the judge.

COMMENT

[1] Whenever a judgeaccepts a gift or other thing of value without paying fair market value, thereis a risk that the benefit might be viewed as intended to influence the judge?sdecision in a case. Rule 3.13 imposes restrictions upon the acceptance of suchbenefits, according to the magnitude of the risk. Paragraph (B) identifiescircumstances in which the risk that the acceptance would appear to underminethe judge?s independence, integrity, or impartiality is low. In lieu ofimposing financial reporting requirements, Utah has adopted stricterprohibitions than those proposed by the Model Code against the acceptance ofgifts, loans, bequests, benefits, or other things of value.

[2] Gift-givingbetween friends and relatives is a common occurrence, and ordinarily does notcreate an appearance of impropriety or cause reasonable persons to believe thatthe judge?s independence, integrity, or impartiality has been compromised. Inaddition, when the appearance of friends or relatives in a case would requirethe judge?s disqualification under Rule 2.11, there would be no opportunity fora gift to influence the judge?s decision making. Paragraph (B)(2) places norestrictions upon the ability of a judge to accept gifts or other things ofvalue from friends or relatives under these circumstances.

[3] Businesses andfinancial institutions frequently make available special pricing, discounts,and other benefits, either in connection with a temporary promotion or forpreferred customers, based upon longevity of the relationship, volume ofbusiness transacted, and other factors. A judge may freely accept such benefitsif they are available to the general public, or if the judge qualifies for thespecial price or discount according to the same criteria as are applied topersons who are not judges. As an example, loans provided at generallyprevailing interest rates are not gifts, but a judge could not accept a loanfrom a financial institution at below-market interest rates unless the samerate was being made available to the general public for a certain period oftime or only to borrowers with specified qualifications that the judge alsopossesses.

[4] Rule 3.13 appliesonly to acceptance of gifts or other things of value by a judge. Nonetheless,if a gift or other benefit is given to the judge?s spouse, domestic partner, ormember of the judge?s family residing in the judge?s household, it may beviewed as an attempt to evade Rule 3.13 and influence the judge indirectly.Where the gift or benefit is being made primarily to such other persons, andthe judge is merely an incidental beneficiary, this concern is reduced. A judgeshould, however, remind family and household members of the restrictionsimposed upon judges, and urge them to take these restrictions into account whenmaking decisions about accepting such gifts or benefits.

[5] Rule 3.13 doesnot apply to contributions to a judge?s campaign for judicial office. Suchcontributions are governed by other Rules of this Code.

RULE 3.14

Reimbursement ofExpenses and Waivers of Fees or Charges

(A) Unless otherwiseprohibited by Rules 3.1 and 3.13(A) or other law,* a judge may acceptreimbursement of necessary and reasonable expenses for travel, food, lodging,or other incidental expenses, or a waiver or partial waiver of fees or chargesfor registration, tuition, and similar items, from sources other than thejudge?s employing entity, if the expenses or charges are associated with thejudge?s participation in extrajudicial activities permitted by this Code.

(B) Reimbursement ofexpenses for necessary travel, food, lodging, or other incidental expensesshall be limited to the actual costs reasonably incurred by the judge and, whenappropriate to the occasion, by the judge?s spouse, domestic partner,* orguest.

COMMENT

[1] Educational,civic, religious, fraternal, and charitable organizations often sponsormeetings, seminars, symposia, dinners, awards ceremonies, and similar events.Judges are encouraged to attend educational programs, as both teachers andparticipants, in law-related and academic disciplines, in furtherance of theirduty to remain competent in the law. Participation in a variety of otherextrajudicial activity is also permitted and encouraged by this Code.

[2] Not infrequently,sponsoring organizations invite certain judges to attend seminars or otherevents on a fee-waived or partial-fee-waived basis, and sometimes includereimbursement for necessary travel, food, lodging, or other incidentalexpenses. A judge?s decision whether to accept reimbursement of expenses or awaiver or partial waiver of fees or charges in connection with these or otherextrajudicial activities must be based upon an assessment of all thecircumstances. The judge must undertake a reasonable inquiry to obtain theinformation necessary to make an informed judgment about whether acceptancewould be consistent with the requirements of this Code.

[3] A judge mustassure himself or herself that acceptance of reimbursement or fee waivers wouldnot appear to a reasonable person to undermine the judge?s independence,integrity, or impartiality. The factors that a judge should consider whendeciding whether to accept reimbursement or a fee waiver for attendance at aparticular activity include:

(a) whether thesponsor is an accredited educational institution or bar association rather thana trade association or a for-profit entity;

(b) whether thefunding comes largely from numerous contributors rather than from a singleentity and is earmarked for programs with specific content;

(c) whether thecontent is related or unrelated to the subject matter of litigation pending orimpending before the judge, or to matters that are likely to come before thejudge;

(d) whether theactivity is primarily educational rather than recreational, and whether thecosts of the event are reasonable and comparable to those associated withsimilar events sponsored by the judiciary, bar associations, or similar groups;

(e) whetherinformation concerning the activity and its funding sources is available uponinquiry;

(f) whether thesponsor or source of funding is generally associated with particular parties orinterests currently appearing or likely to appear in the judge?s court, thuspossibly requiring disqualification of the judge under Rule 2.11;

(g) whether differingviewpoints are presented; and

(h) whether a broadrange of judicial and nonjudicial participants areinvited, whether a large number of participants are invited, and whether theprogram is designed specifically for judges.