Code of Judicial Conduct - Connecticut · CODE OF JUDICIAL CONDUCT CODE OF JUDICIAL CONDUCT Preamble Scope Terminology Application Canons Rules Comments Forthe Code of Judicial Conduct

CODE OF JUDICIAL CONDUCT

CODE OF JUDICIAL CONDUCTPreamble

Scope

Terminology

Application

Canons

Rules

Comments

Forthe Code of Judicial Conduct as it read priorto 2011, see editions of the Practice Book priorto the 2011 edit ion.

AMENDMENT NOTE: This is a major rewrite of the Codeof Judicial Conduct, adopted by the judges of the superiorcoud on June 21, 2010, the judges of the appellate court onJuly 15, 2010, and the just ices of the supreme court on July1, 2010, to take effect January 1, 2011. l t is based on theModel Code adopted by the ABA in 2007. Our prior Code,which was adopted with an effective date of October 1,1974,was based on the Model Code adopted by the ABA in 1972.In the early 1990s, the ABA adopted a revised Model Code;however, the major changes in the Model Code were notadopted by the judges of Connecticut.

PREAMBLE

(1) An independent, fair and impart ial judiciaryis indispensable to our system ol justice. TheUnited States legal system is based on the princi-ple that an independent, impartial, and competentjudiciary, composed of men and women of integ-rity, will interpret and apply the law that governsour society. Thus, the judiciary plays a central rolein preserving the principles of justice and the ruleof law. lnherent in all the Rules contained in thisCode are the precepts that judges, individuallyand collectively, must respect and honor the judi-cial office as a public trust and strive to maintainand enhance confidence in the legal system.

(2)Judges should maintain the dignity of judicialoffice at alltimes and avoid both impropriety andthe appearance of impropriety in their professionaland personal lives. They should aspire at alltimesto conduct that ensures the greatest possible pub-lic confidence in their independence, impartiality,integrity, and competence.

(3) The Code of Judicial Conduct establishesstandards for the ethical conduct of judges in mat-ters affecting the performance of their judicialduties and the fair and efficient operation of thecourts or other tribunals on which they serve.Although it is not intended as an exhaustive guidefor the conduct of judges, who must be guided in

their professional and personal lives by generalethical standards as well as by the law, whichincludes this Code, it is intended to assist judgesin maintaining the highest standards of profes-sional and personal conduct, as it affects theirjudicialwork.

SCOPE

(1) The Code of Judicial Conduct consists offour Canons, numbered Rulesr under eachCanon, and Gomments that generally follow andexplain each Rule. Scope and Terminology sec-tions provide additional guidance in interpretingand applying the Code. An Application sectionestablishes when the various Rules apply to ajudge.

(2) The Canons state overarching principles ofjudicial ethics that all judges must observe.Although a judge may be disciplined hereunderonly for violating a Rule, the Canons provideimportant guidance in interpreting the Rules.Where a Rule contains a permissive term, suchas "may" or "should," the conduct beingaddressed is committed to the sound personaland professional discretion of the judge in ques-tion, and no disciplinary action shall be taken foraction or inaction within the bounds of such dis-cretion.

(3) The Comments that accompany the Rulesserve two functions. First, they provide guidanceregarding the purpose, meaning, and properapplication of the Rules. They contain explanatorymaterial and, in some instances, provide exam-ples of permitted or prohibited conduct' Com-ments neither add to nor subtract from the bindingobligations set forth in the Rules. Therefore, whena Comment contains the term "must," it does notmean that the Comment itself is binding orenforceable; it signifies that the Rule in question,

1 References herein to numbered Hules are to the Hulesof this Code, unless stated otherwise'

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properly understood, is obligatory as to the con-duct at issue.

(4) Second, the Comments identify aspirationalgoals for judges. To implement fully the principlesof this Code as articulated in the Canons, judgesshould strive to exceed the standards of conductestablished by the Rules, holding themselves tothe highest ethical standards and seeking toachieve those aspirational goals, thereby enhanc-ing the dignity of the judicial office.

(5) The Rules of the Code of Judicial Conductare rules of reason that should be applied consis-tently with constitutional requirements, statutes,other court rules, and decisional law, and with dueregard for all relevant circumstances. The Rulesshould not be interpreted in such a way as toimpinge on the essential independence of judgesin making judicial decisions.

(6) Although these Rules are binding andenforceable, it is not contemplated that everytransgression will necessarily result in the imposi-tion of discipline. Whether discipline should beimposed should be determined through a reason-able and reasoned application of the Rules andshould depend on factors such as the seriousnessof the transgression, the facts and circumstancesthat existed at the time of the transgression, theextent of any pattern of improper activity, whetherthere have been previous violations, and the effectof the improper activity on the judicial system orother persons.

(7) The Code is not designed or intended asa basis for civil or criminal liability. Neither is itintended to be the basis for litigants to seek collat-eral remedies against each other orto obtain tacti-cal advantages in proceedings before a court.

TERMINOLOGY

As used in this Code, the following definitionsshall apply:

"Appropriate authority" means the authorityhaving responsibility for taking corrective actionin connection with the conduct or violation to bereported under Rules 2.14 and 2.15.

"Confidential" means information that is notavailable to the public. Confidential informationmay include, but is not limited to, information thatis sealed by statute, rule or court order or lodgedwith the court or communicated in camera. SeeRule 3.5.

"Contribution" means both financial and in-kindcontributions, such as goods, professional or vol-unteer services, advertising, and other types ofassistance, which, if obtained by the recipientotherwise, would require a financial expenditure.See Rules 2.1'1, 3.7, and 4.1 .

"De minimis," in the context of interests per'taining to disqualification of a judge, means aninsignificant interest that could not raise a reason-able question regarding the judge's impartiality.See Ru le 2 .11 .

"Domestic panner" means a person with whomanother person maintains a household and anintimate relationship, other than a spouse. SeeR u l e s 2 . 1 1 , 2 . 1 3 , 3 . 1 3 , a n d 3 . 1 4 .

"Economic interest" means ownership of morethan a de minimis legal or equitable interest.Except for situations in which the judge partici-pates in the management of such a legal or equita-ble interest, or the interest could be substantiallyaffected by the outcome of a proceeding beforea judge, it does not include:

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

(2) an interest in securities held by an educa-tional, religious, charitable, fraternal, or civic orga-nization in which the judge or the judge's spouse,domestic partner, parent, or child serves as adirector, an officer, an advisor, or other participant;

(3) a deposit in a financial institution or depositsor proprietary interests the judge may maintain asa member of a mutual savings association orcredit union, or similar proprietary interests; or

(4) an interest in the issuer of government secu-r i t ies held by the judge. See Rules 1.3, 2.11,and 3.2.

"Fiduciary" includes relationships such asexecutor, administrator, trustee, or guardian. SeeRules 2 .11 ,3 .2 , and 3 .8 .

"lmpartial," "impartiality," and "impartially"mean absence of bias or prejudice in favor of, oragainst, particular parties or classes of parties, aswell as maintenance of an open mind in consider-ing issues that may come before a judge. SeeCanons 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 .

"lmpending matter" is any mattera judge knowsis imminent or reasonably expects to be com-menced in the near future. See Rules 2.9,2.10,3 .13 , and 4 .1 .

"lmpropriety" includes conduct that violates thelaw or provisions of this Code and conduct thatundermines a judge's independence, integrity, orimpartiality. See Canon 1 and Rule 1.2.

"lndependence" means a judge's freedom frominfluence or controls other than those establishedby faw. See Canons 1 and 4, and Rules 1.2, 3.1,3 .12 ,3 .13 , and4.2 .

"lntegrity" means probity, fairness, honesty,uprightness, and soundness of character. SeeCanons '1 and 4 and Ru les 1 .2 ,3 .1 , 3 .12 , 3 .13 ,and 4.2.

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"Knowingly," "knowledge," "known," and"knows" mean actual knowledge of the fact inquestion. A person's knowledge may be inferredfrom circumstances. See Rules 2.11, 2.15, 2.16,3 .2 , 3 .6 , and 4 .1 .

"Law" encompasses court rules as well as stat-utes, constitutional provisions, decisional law, andthis Code. See Rules 1.1 , 2.1 , 2.2, 2.6, 2.7, 2.9,3 . 1 , 3 . 2 , 3 . 4 , 3 . 7 , 3 . 9 , 3 . 1 2 , 3 . 1 3 , 3 . 1 4 , 3 . 1 5 , 4 . 1 ,and 4.3.

"Member of the judge's family" means any rela-tive of a judge related by consanguinity within thethird degree as determined by the common law,a spouse or domestic padner or an individualrelated to a spouse or domestic partner withinthe third degree as so determined, including anindividual in an adoptive relationship within thethird degree. See Rules 3.5, 3.7, 3.8, 3.10, and3 . 1 1 .

"Member of a judge's family residing in thejudge's household" means any member of thejudge's family or other person treated by a judgeas a member of the judge's family, who resides inthe judge's household. See Rules 2.11 and 3.13.

"Pending matter" is a matter that has com-menced. A matter continues to be pendingthrough any appellate process until final disposi-t ion. See Rules 2.9, 2.10, 3. '1 3, and 4.1.

"Personally solicit" means a direct requestmade by a judge for financial support or in-kindservices, whether made by letter, telephone, orany other means of communication. See Rule 4.1.

"Political organization" means a political partyor other group sponsored by or affil iated with apolitical party or candidate, the principal purposeof which is to further the election or appointmentof candidates lor political office. See Rules 4.1and 4.2.

"Public election" includes primary and generalelections, partisan elections and nonpartisanelections. See Rule 4.3.

"Spouse" means a person to .who1n one islegaliy married or joined in a civil union. See Rules2 . 1 1 , 3 . 1 3 , a n d 3 . 1 4 .

"Third degree of relationship" includes the fol-lowi n g persons : great-g randpa.rent, g randparent,paren-t,'uncle, aunt, brother, sister, child, grand-bhild, great-grandchild, nephew, and niece. SeeR u l e 2 . 1 1 .

APPLICATIONThe Application section establishes when and

to whom the various Rules aPPlY.

I. APPLICABILITY OF THIS CODE(a) Except as provided in subsection (b), the

prdvisions bt tfre'Code apply to all judges of thebuperior court, senior judges, judge trial referees,stdte referees, family support magistratesappointed pursuant to General Statutes S 46b-zbi 61, and family support magistrate referees.

(b)'State referees and family support magistraterefbiees are not required to comply with Rules3.4 and 3.8.

I I . TIME FOR COMPLIANCEA person to whom this Code becomes applica'

Ule dfrall comply immediately with its provisions,except that those judges to whom Rules 3'8(Appbintments to Fiduciary Positions) and 3.11iFinancial, Business, or Remunerative Activities)ipply shall comply with those Rules as soon asr6dsbnably possible, but in no event later thanone year after the Code becomes applicable tothe judge.

couMgruf: lf serving as a fiduciary when selected asjudge, a new iudge may, notwithstanding the prohibitions inifute S.A, continue to serve as fiduciary, but onlyfor that periodof time necessary to avoid serious adverse consequences tothe beneliciaries of the liduciary relationship and in no eventlonger than one year. Similarly, if engaged at the time ofiudicial selection in a business activity, a new iudge may,notwithstanding the prohibitions in Rule 3'11, continue in thatactivity for a reasonable period but in no event longer thanone vear.

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CODE OF JUDICIAL CONDUCT Rule 1 .2

CODE OF JUDICIAL CONDUCTCanonCanon

1. A ludge shall uphold and promote the independence,integrity, and impartiality of the judiciary, and shallavoid impropriety and the appearance of impropriety.

Rule1.1. Compliance with the Law1.2. Promoting Confidence in the Judiciary1.3. Avoiding Abuse of the Prestige ol Judicial Office

Canon2. A ludge shall perform the duties of judicial otfice impar-

tially, competently, and diligently.

Rule2.1. Giving Precedence to the Duties of Judicial Oflice2.2. lmpartiality and Fairness2.3. Bias, Prejudice, and Harassment2.4. External Influences on Judicial Conduct or Judgment2.5. Competence, Diligence, and Cooperation2.6. Ensuring the Right to Be Heard2.7. Responsibility to Decide2.8. Decorum, Demeanor, and Communication with Jurors2.9. Ex Parte Communications2.10. Judicial Statements on Pending and lmpending Cases2.1 1. Disqualilication2.12. Supervisory Duties2.1 3. Administrative Appointments2.14. Disabi l i ty and lmpairment2.15. Responding to Judicial and Lawyer Misconduct2.16. Cooperation with Disciplinary Authorities

Canon 1. A Judge Shal l Uphold and Pro-mote the Independence, Integrity, andlmpartiality of the Judiciary, and shall avoidlmpropriety and the Appearance of lmpro-priety.

Rule 1.1. Gompliance with the LawA judge shall comply with the law.(Effect ive Jan. 1, 201 1.)COMMENT: This rule deals with the judge's personal con-

duct. A judge's professional conduct in enforcing the law iscovered by Rule 2.2. When applying and interpreting the law,a judge sometimes may make good faith errors of fact or law.Errors ol this kind do not violate this Rule.

Rule 1.2. Promoting Confidence in theJudiciaryA judge shall act at all times in a manner that

promotes public confidence in the independence,integrity, and impartiality of the iudiciary and sha[[

3. Ajudge shall conducttheiudge's personal and extrajudi-cial activities to minimize the risk of conflict with theobligations of iudicial otfice.

Rule3.1. Extraiudicial Activities in General3.2. Appe-arances before Governmenlal Bodies and Consul'

tation with Government Otficials3.3. Testifying as a Character Witness3.4. Appointments to Governmental Positions3.5. Use ot Confidential Information3.6. Affiliation with Discriminatory Organizations3.7. Participation in Educational, Religious, Charitable, Fra'

ternal, or Civic Organizations and Activities3.8. Appointments to Fiduciary Positions3.9. Service as Arbitrator or Mediator3.10. Practice of Law3.11. Financial, Business, or Remunerative Activities3.12. Compensation for Extrajudicial Activities3.13. Acceptance and Reporting of Gifts, Loans, Bequests,

Benefits, or Other Things o{ Value3.14. Reimbursement of Expenses and Waivers of Fees or

Charges3.15. Beport ing Requirements

Canon4. A judge shall not engage in political or campaign activity

that is inconsistent with the independence, integrity,or impartiality of the judiciary.

Rule4.1. Political Activities of Judges in General4.2. Activities of Judges as Candidates for Reappointment or

Elevation to Higher Judicial Office4.3. Activities of Judges Who Become Candidates for Pub-

lic Otfice

avoid impropriety and the appearance of impropri-ety. The test for appearance of impropriety iswhether the conduct would create in reasonableminds a perception that the judge violated thisCode or engaged in other conduct that reflectsadversely on the judge's honesty, impartiality,temperament, or fitness to serve as a judge.

(Effect ive Jan. 1, 201 1.)COMMENT: (1) Public confidence in the iudiciary is eroded

by improper conduct and conduct that creates the appearanceof impropriety as defined in this Rule' This principle appliesto both the professional and personal conduct of a judge.

(2) A judge should expect to be the sublect of public scrutinythat might be viewed as burdensome if applied to other citizensand must accept the restrictions imposed by the Code'

(3) Conduct that compromises the independence, integrity,and impartiality of a judge undermines public confidence inthe judiciary. Because it is not practicable to list all such con'duct, the Rule is necessarily cast in general terms.

(4) Judges may initiate or participate in activities that pro'mote ethical conduct among judges and lawyers, support pro'fessionalism within the judiciary and the legal profession, andpromote access to justice for all.

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(5) A judge may initiate or participate in community activitiesfor the purpose of promoting public understanding of and confi-dence in the administration of justice. In conducting such activi-ties, the judge must act in a manner consistent with this Code.

Rule 1.3. Avoiding Abuse of the Prestige ofJudicial OfficeA judge shall not use or attempt to use the

prestige of judicial office to advance the personalor economic interests of the judge or others orallow others to do so.

(Etfect ive Jan. 1, 201 1.)COMMENT: (1) lt is improper for a judge to use or attempt

to use his or her position to gain personal advantage or defer-ential treatment of any kind. For example, it would be improperfor aludge to allude to his or heriudicial status to gain favorabletreatment in encounters with traflic otficials. Similarly, a iudgemust not use judicial letterhead to gain an advantage in con-ducting his or her personal business.

(2) A judge may provide a reference or recommendationfor an individual based on the iudge's personal knowledge.The judge may use official lefterhead if the judge indicatesthat the reference is personal and if the use of the letterheadwould not reasonably be perceived as an attempt to exertpressure by reason of the judicial otfice.

(3) Judgos may participate in the process of judicial selec-tion by cooperating with appointing authorities and screeningcommittees and by responding to inquiries from such entitiesconcerning the professional qualifications ol a person beingconsidered for judicial office.

(4) Special considerations arise when judges write or con-tribute to publications of lor-profit entities, whether relatedor unrelated to the law. A judge should not permit anyoneassociated with the publication of such materials to exploit thejudge's otfice in a manner that violates this Code or otherapplicable law. In contracts for publication of a judge's writing,the ludge should retain sufficient control over the advertisingto avoid such exploitation.

Canon 2. A Judge Shall Perform the Dutiesof Judicial Office lmpartially, Competently,and Di l igent ly.

Rule 2.1. Giving Precedence to the Duties ofJudicial OfficeThe duties of judicial office, as prescribed by

law, shall take precedence over all of a judge'spersonal and extrajudicial activities.

(Effect ive Jan. 1, 201 1.)COMMENT: (1) To ensure that judges are available to fulfill

their judicial duties, judges must conduct their personal andextrajudicial activities in such a way as to minimize the risk ofconflictsthatwould resultin disqualification. Ajudge'spersonalextrajudicial activities shall not be conducted in such a wayas to interfere unduly with the duties of ludicial otfice. SeeCanon 3.

(2) Although it is not a duty ol judicial office, ludges areencouraged to initiate or participate in activities that promotepublic understanding of and confidence in the iustice system.

Rule 2.2. lmpartiality and FairnessA judge shall uphold and apply the law and shall

pedorm allduties of judicial office fairly and impar-tially.

(Effect ive Jan. 1, 201 1.)

COMMENT: (1) To ensure impartiality and fairness to allparties, a judge must be objective and open-minded'

(2) Although each judge comes to the bench with a uniquebackground and personal philosophy, a ludge must interpretand applythe lawwithout regard to whetherthe judge approvesor disapproves of the law in question.

(3) When applying and interpreting the law, a judge some'times may make good faith enors of fact or law. Errors of thiskind do not violate this Rule.

(4) lt is not a violation of this Rule for a iudge to makereasonable accommodations to ensure pro se litigants theopportunity to have their matters fairly heard.

Rule 2.3. Bias, Prejudice, and Harassment(a) A judge shall perform the duties of judicial

office, including administrative duties, without biasor prejudice.

(b) A judge shall not, in the performance ofjudicial duties, by words or conduct, manifest biasor prejudice or engage in harassment including,but not limited to, bias, prejudice, or harassmentbased on race, sex, gender, religion, national ori'gin, ethnicity, disability, age, sexual orienlation,marital status, socioeconomic status, or politicalaffil iation and shall not condone such conduct bycourt staff, court officials, or others subject to thejudge's direction and control.

(c) A judge shall require lawyers in proceedingsbefore the court to refrain from manifesting biasor prejudice or engaging in harassment, basedon attributes including, but not limited to, race,sex, gender, religion, national origin, ethnicity, dis-ability, age, sexual orientation, marital status,socioeconomic status, or political affiliationagainst parties, witnesses, lawyers, or others.

(d) The restrictions of subsections (b) and (c)do not preclude judges or lawyers from makinglegitimate reference to the listed factors or similarfactors when they are relevant to an issue in a pro-ceeding.

(Effect ive Jan. 1, 201'1.)COMMENT: (1) A judge who manifests bias or prejudice

in a proceeding impairs the fairness of the proceeding andbrings the judiciary into disrepute.

(2) Examples of manifestations of bias or prejudice include,but are not limited to, epithets; slurs; demeaning nicknames;negative stereotyping; attempted humor based on stereo-types; threatening, intimidating, or hostile acts; suggestionsof conneclions between race, ethnicity, or nationality and crimi'nality; and irrelevant relerences to personal characteristics.Even facial expressions and body language can conv€y toparties and lawyers in the proceeding, jurors, the media, andothers an appearance ol bias or preludice. A judge must avoidconduct that may reasonably be perceived as prejudiced orbiased.

(3) Harassment, as referred to in subsections (b) and (c),is verbal or physical conduct that denigrates or shows hostilityor aversion toward a person on bases such as race, sex,gender, religion, national origin, ethnicity, disability, age, sex'ual orientation, marital status, socioeconomic status, or politi'cal alfiliation.

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(4) Sexual harassment includes, but is not limited to, sexualadvances, requests for sexual favors, and other verbal orphysical conduct of a sexual nature that is unwelcome.

Rule 2.4. External lnfluences on JudicialConduct or Judgment(a) A judge shall not be swayed in the perfor-

mance of the judge's judicial duties by publicclamor or fear of criticism.

(b) A judge shall not permit family, social, politi-cal, financial, or other interests or relationships toinfluence the judge's judicial conduct or judgment.

(c) A judge shall not convey or permit others toconvey the impression that any person or organi-zation is in a position to influence the judge's judi-cial conduct or judgment.

(Effect ive Jan. | , 201 1.)COMMENT: An independent judiciary requires that iudges

decide cases according to the law and lacts, without regardto whether particular laws or litigants are popular or unpopularwith the public, the media, government otlicials, or the judge'sfriends or family. The integrity of judicial decision making isundermined if it is based in whole or in part on inappropriateoutside influences.

Rule 2.5. Gompetence, Diligence, and Coop-eration(a) A judge shall perform judicial and adminis-

trative duties competently and diligently.(b) A judge shall cooperate with other judges

and court officials in the administration of courtbusiness.

(Effect ive Jan. 1, 201 1.)COMMENT: (1) Competence in the performance of judicial

duties requires the legal knowledge, skill, thoroughness, andpreparation reasonably necessary to perform a judge'sresponsibilities of judicial ollice.

(2) A judge should seek the necessary docket time, courtstall, expertise, and resources to discharge all adjudicativeand administrative responsibilities.

(3) Prompt disposition of the court's business requires ajudge to devote adequate time to judicial duties, to be punctualin attending court and expeditious in determining mattersunder submission, and to take reasonable measures to ensurethat court officials, litigants, and their lawyers cooperate withthe ludge to that end.

(4) In disposing of matters promptly and efficiently, a ludgemust demonstrate due regard for the rights of parties to beheard and to have issues resolved without unnecessary costor delay. A judge should monitor and supervise cases in waysthat reduce or eliminate dilatory practices, avoidable delays,and unnecessary costs.

Rule 2.6. Ensuring the Right to Be Heard(a) A judge shall accord to every person who

has a legal interest in a proceeding, or that per-son's lawyer, the right to be heard according tolaw.

(b) A judge may encourage parties to a pro-ceeding and their lawyers to settle matters in dis-pute bul shall not act in a manner that coercesany party into settlement.


COMMENT: (1) The right to be heard is an essential compo'nent ol a fair and impartial system of justice. Substantive rightsof litigants can be protected only if procedures protecting theright to be heard are observed.

(2) The judge plays an important role in overseeing thesettlement of disputes but should be careful that efforts tofurther settlements do not undermine any party's right to beheard according to law. The iudge should keep in mind theeffect that the judge's participation in settlement discussionsmay have, not only on the iudge's own views of the case, butalso on the perceptions of the lawyers and the parties if thecase remains with the judge after settlement etforts are unsuc-cessful. Among the factors that a judge should consider whendeciding on appropriate settlement practices for a case are: (a)whether the parties have requested or voluntarily consentedto a certain level of participation by the ludge in settlementdiscussions, (b) whether the parties and their counsel arerelatively sophisticated in legal matters, (c) whether the casewill be hied by the judge or a jury, (d) whether the partiesparticipate with their counsel in settlement discussions, (e)whether any parties are unrepresented by counsel, and (f)whether the matter is civil or criminal.

(3) Judges must be mindlul of the effect settlement discus'sions can have, not only on their obiectivity and impartiality,but also on the appearance of their objectivity and impartiality.Despite a judge's best etforts, there may be instances wheninformation obtained during settlement discussions could inllu'ence a judge's decision making during trial, and, in suchinstances, the judge should consider whether disqualificationmay be appropriate. See Rule 2.11 (a) (1).

Rule 2.7. Responsibility to DecideA judge shall hear and decide matters assigned

to the judge, except when disqualification isrequired by Rule 2.11 or other law.

(El lect ive Jan. 1, 2011.)COMMENT: Judges must be available to decide the malters

that come before the court. Although there are times whendisqualification is necessary to protect the rights of litigantsand preserve public confidence in the independence, integrity,and impartiality of the judiciary, judges must be available todecide matters that come belore the couns. Unwarranted dis'qualification may bring public disfavor to the court and to the

iudge personally. The dignity of the court, the judge's respectlor fullillment of iudicial duties and a proper concern for theburdens that may be imposed on the judge's colleaguesrequire thai a judge not use disqualification to avoid casesthat present difficult, controversial, or unpopular issues'

Rule 2.8. Decorum, Demeanor, and Commu'nication with Jurors(a) A judge shall require order and decorum in

proceedings before the coutt.(b) A iudge shall be patient, dignified, and cour-

teous to litigants, jurors, witnesses, lawyers, courtstaff, court officials, and others with whom thejudge deals in an officialcapacity and shall requiresimilar conduct of lawyers, court staff, court offi-cials, and others subject to the judge's directionand control.

(c) Although a judge may thank jurors for theirwiliingness to serve, a judge shall not commendor criiicize jurors with respect to their verdict in a

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Rule 2.8 CODE OF JUDICIAL CONDUCT

case other than in an instruction, order or opinionin a proceeding, if appropriate.

(Effect ive Jan. 1, 201 1.)COMMENT: (1) The duty to hear all proceedings with

patience and courtesy is not inconsistent with the duty imposedin Rule 2.5 to dispose promptly of the business of the court.Judges can be efficient and businesslike while being patientand deliberate.

(2) Commending or criticizing jurors for their verdict mayimply a judicial expectation in future cases and may impair ajuror's ability to be fair and impartial in a subsequent case.

(3) A ludge who is not otherwise prohibited by law fromdoing so may meet with jurors who choose to remain aftertrial but shall be careful to avoid discussion of the merits o{the case.

(4) This rule does not purport to prevent a judge fromreturning a jury for fufiher deliberations if its verdict is insutfFcient in amount, inaccurate, inconsistent with the court'sinstructions or otherwise improper in form or substance.

Rule 2.9. Ex Parte Gommunications(a) A judge shall not initiate, permit, or consider

ex parte communications or consider other com-munications made to the judge outside the pres-ence of the parties or their lawyers, concerning apending or impending matter, except as follows:

(1) When circumstances require it, ex partecommunication for schedulin g, administrative, oremergency purposes, which does not addresssubstantive matters, is permitted, provided:

(A) the judge reasonably believes that no partywill gain a procedural, substantive, or tacticaladvantage as a result of the ex parte communica-tion; and

(B) the judge makes provision promptly to notifyall other parties of the substance of the ex partecommunication and gives the parties an opportu-nity to respond.

(2) A judge may obtain the written advice of adisinterested expert on the law applicable to aproceeding before the judge, if the judge givesadvance notice to the parties of the person to beconsulted and the subject matter of the advice tobe solicited, and affords the parties a reasonableopportunity to object and to respond to the noticeand to the written advice received.

(3) A judge may consult with court staff andcourt officials whose functions are to aid the judgein carrying out the judge's adjudicative responsi-bilities, or with other judges, provided the judgemakes reasonable efforts to avoid receiving fac-tual information that is not part of the record anddoes not abrogate the responsibility personally todecide the matter.

(4) A judge may, with the consent of the parties,confer separately with the parties and their law-yers in an effort to settle matters pending beforethe judge.

(5) A judge may initiate, permit, or consider anyex parte communication when expressly author-ized by law to do so.

(b) lf a judge inadvertently receives an unautho-rized ex parte communication bearing on the sub'stance of a matter, the judge shall make provisionpromptly to notify the parties of the substance ofthe communication and provide the parties withan opportunity to respond.

(c) A iudge serving as a fact finder shall notinvestigate facts in a matter independently andshall consider only the evidence presented andany facts that may properly be judicially noticed.

(d) A judge shall make reasonable efforts,including providing appropriate supervision, toensure that this Rule is not violated by court staff,court officials, and others subject to the judge'sdirection and control.

(Effect ive Jan. 1, 2011.)COMMENT: (1) To the extent reasonably possible, all par'

ties or their lawyers shall be included in communications witha judge.

(2) Whenever the presence of a party or notice to a partyis required by this Rule, it is the party's lawyer, or if the partyis unrepresented, the party, who is to be present or to whomnotice is to be given.

(3) The proscription against communications concelning aproceeding includes communications with lawyers, law teach'ers, and other persons who are not participants in the proceed'ing, except to the limited extent permitted by this Rule.

(4) A judge may initiate, permit, or considerex parte commu'nications expressly authorized by law.

(5) A ludge may consult with other ludges on pending mat-ters but must avoid ex parte discussions of a case with judgeswho are disqualified from hearing the matter and with judgeswho have appellate jurisdiction over the matter.

(6) The prohibition against a judge investigating the factsin a matter extends to information available in all mediums,including electronic. Nothing in this Rule is intended to relievea judge of the independent duty to investigate allegations of.juror misconduct. See State v. Santiago,245 Conn. 301 , 71 5A.2d 1 (1ee8).

(7) A judge may consult ethics advisory committees, outsidecounsel, or legal experts concerning the iudge's compliancewith this Code. Such consultations are not subject to therestrictions of subsection (a) (2).

Rule 2.10. Judicial Statements on Pendingand lmpending Cases(a) A judge shall not make any public statement

that might reasonably be expected to affect theoutcome or to impair the fairness of a matter pend-ing or impending in any court or make any non-public statement that might substantially interferewith a fair trial or hearing.

(b) A iudge shall not, in connection with cases,controversies, or issues that are likely to comebefore the court, make pledges, promises, orcom-mitments that are inconsistent with the impartialperformance of the adjudicative duties of judi-cial office.

66



(c) A judge may consult with other judges orcourt staff, court officials, and others subject tothe judge's direction and control whose functionis to aid the judge in carrying out the judge's adju-dicative responsibilities. However, a judge shallrequire court staff, court officials, and others sub-ject to the judge's direction and control to refrainfrom making statements that the judge would beprohibited from making by subsections (a) and (b).

(d) Notwithstanding the restrictions in subsec-tion (a), a judge may make public statements inthe course of official duties, may explain courtprocedures, and may comment on any proceed-ing in which the judge is a litigant in a personalcapacity.

(Etfect ive Jan. 1, 201 1.)COMMENT: (1) This Rule's restrictions on ludicial speech

are essential to the maintenance of the independence, integ-rity, and impartiality of the judiciary.

(2) This Rule does not prohibit a judge lrom commentingon proceedings in which the judge is a litigant in a personalcapacity. ln cases in which the judge is a litigant in an officialcapacity, such as a writ of mandamus, the judge must notcomment publicly.

Rule 2.11, Disqual i f icat ion(a) A judge shall disqualify himself or herself in

any proceeding in which the judge's impartialitymight reasonably be questioned including, but notlimited to, the following circumstances:

(1) The judge has a personal bias or prejudiceconcerning a party or a party's lawyer, or personalknowledge of facts that are in dispute in the pro-ceeding.

(2) The judge knows that the judge, the judge'sspouse or domestic partner, or a person withinthe third degree of relationship to either of them,or the spouse or domestic partner of such a per-son is:

(A) a party to the proceeding, or an officer, direc-tor, general partner, managing member, ortrusteeof a party;

(B) acting as a lawyer in the proceeding;(C) a person who has more than a de minimis

interest that could be substantially affected by theproceeding; or

(D) likely to be a material witness in the pro-ceeding.

(3) The judge knows that he or she, individuallyor as a fiduciary, or the judge's spouse, domesticpartner, parent, or child, or any other member ofthe judge's family residing in the judge's house-hold, has an economic interest in the subject mat-ter in controversy or in a party to the proceeding.

( ) The judge has made a public statement,other than in a court proceeding, judicial decision,or opinion that commits or appears to commit the

judge to reach a particular result or rule in a partic'ular way in the proceeding or controversy.

(5) The judge:(A) served as a lawyer in the matter in contro-

versy or was associated with a lawyer who partici-pated substantially as a lawyer in the matterduring such association;

(B) served in governmental employment and insuch capacity participated personally and sub'stantially as a lawyer or public officialconcerningthe proceeding or has publicly expressed in suchcapacity an opinion concerning the merits of theparticular matter in controversy; or

(C) was a material witness concerning thematter.

(b) A judge shall keep informed about thejudge's personal and fiduciary economic interestsand make a reasonable etfort to keep informedabout the personal economic interests of thejudge's spouse or domestic partner and minorchildren residing in the judge's household.

(c) A judge subject to disqualification under thisRule, other than for bias or prejudice under sub-section (a) (1), may ask the parties and their law-yers to consider, outside the presence of the judgeand court personnel, whether to waive disqualifi-cation, provided that the judge shall disclose onthe record the basis of such disqualification. lf,following the disclosure, the parties and lawyersagree, either in writing or on the record beforeanother judge, that the judge should not be dis-qualified, the judge may participate in the pro-ceeding.

(d) Notwithstanding the foregoing, a judge maycontribute to a client security fund maintainedunder the auspices of the court, and such contri'bution will not require that the judge disqualifyhimself or herself from service on such a clientsecurity fund committee or from participation in alawyer disciplinary proceeding or in any matterconcerning restitution or subrogation relating tosuch a client security fund.

(e) A judge is not automatically disqualified fromsitting on a proceeding merely because a lawyeror party to the proceeding has filed a lawsuitagainstthe judge or filed a complaint against thejudge with the judicial review council. When thejudge becomes aware that such a lawsuit or com-plaint has been filed against him or her, the judgeshall, on the record, disclose that fact to the law'yers and parties to the proceeding before suchjudge and shall thereafter proceed in accordancewith Practice Book Section 1-22 (b).

(f) The fact that the judge was represented ordefended by the attorney general in a lawsuit thatarises out of the judge's judicial duties shall not be

67


R u l e 2 . 1 1 CODE OF JUDICIAL CONDUCT

the sole basis for recusal by the judge in lawsuitswhere the attorney general appears.

(Effect ive Jan. 1, 201 1.)COMMENT: (1) Under this Rule, a judge is disquali l ied

whenever the judge's impartiality might reasonably be ques-tioned, regardless of whether any of the specific provisions ofsubsections (a) (l) through (5) apply. ln many lurisdictions,the term "recusal" is used interchangeably with the term "dis-qualification."

(2) A ludge's obiigation not to hear or decide matters inwhich disqualification is required applies regardless of whethera motion to disqualify is liled.

(3) The rule of necessity may override the rule of disqualifi-cation. For example, a judge might be required to participatein judicial review of a ludicial salary statute. In matters thatrequire immediate action, the judge must disclose on therecord the basis for possible disqualilication and make reason-able etforts to transter the matter to another judge as soonas practicable.

(4) The fact that a lawyer in a proceeding is atfiliated witha law firm with which a relative of the judge is atfiliated does notitself disqualify the judge. ll, however, the judge's impartialitymight reasonably be questioned under subsection (a) or therelative is known by the judge to have an interest in the lawfirm that could be substantially atfected by the proceedingunder subsection (a) (2) (C), the judge's disqualification isrequired.

(5) The Hule does not prevent a judge from relying onpersonal knowledge of historical or procedural facts acquiredas a result of presiding over the proceeding itself.

(6) Subsection (d) is intended to make clear that the restric-tions imposed by Daceyv. Connecticut BarAssn., 184 Conn.21,441 A.2d 49 (1981), or any implications therefrom shouldnot be considered to apply to judges contributing to a clientsecurity fund under the auspices of the court.

AMENDMENT NOTE: Comment (7) to Rule 2.1 1 wasadopted by the judges of the appellate court on July 1 5, 201 0,and the iustices of the supreme court on July 1 , 2010. lt wasnot, however, adopted by the judges of the superior court.

(7) A justice of the supreme court or a judge of the appellatecourt is not disqualified from sitting on a proceeding merelybecause he or she previously practiced law with the law firmor attorney who filed an amicus brief in the matter, or thejustice's or judge's spouse, domestic partner, parent, or child,or any olher member of the lustice's or judge's family residingin his or her household is practicing or has practiced law withsuch law firm or attorney.

Rule 2.12. Supervisory Duties(a) A judge shall take reasonable measures to

ensure that court staff, court officials, and otherssubject to the judge's direction and control act ina manner consistent with the judge's obligationsunder this Code.

(b) A judge with supervisory authority for thepedormance of other judges shalltake reasonablemeasures to ensure that those judges properlydischarge their judicial responsibilities, includingthe prompt disposition of matters before them.

(Effect ive Jan. 1, 201 1.)COMMENT: (1) A ludge is responsible for his or her own

conduct and for the conduct of others, such as staff, wnenthose persons are acting at the judge's direction or control. Ajudge may not direct court personnel to engage in conduct on

the judge's behalf or as the judge's representative when suchconduct would violate the Code if undertaken by the ludge.

(2) Public confidence in the judicial system depends ontimely justice. To promote the efficient administration ol justice,a judge with supervisory authority must take the steps neededto ensure that judges under his or her supervision administertheir workloads promptly.

Rule 2.13. Administrative Appointments(a) In making or facilitating administrative

appointments, a judge:(1) shall act impartially and on the basis of

merit; and(2) shall avoid nepotism, favoritism, and unnec-

essary appointments.(b) A judge shall not approve compensation of

appointees beyond the fair value of servicesrendered.

(Effect ive Jan. 1, 2011.)COMMENT: (1) Appointees ol a judge include, but are

not limited to, assigned counsel, officials such as referees,commissioners, special masters, receivers, and guardians,and personnel such as clerks, secretaries, and judicial mar-shals. Consent by the pariies to an appointment or an awardof compensation does not relieve the judge of the obligationprescribed by subsection (a).

(2) Unless otherwise defined by law, nepotism is theappointment or hiring of any relative within the third degreeof relationship of either the judge or the judge's spouse ordomestic partner, or the spouse or domestic partner ofsuch relative.

Rule 2.14. Disability and lmpairmentA judge having a reasonable belief that the per-

formance of a lawyer or another judge is impairedby drugs or alcohol or by a mental, emotional, orphysical condition, shall take appropriate action,which may include notifying appropriate judicialauthorities or a confidential referral to a lawyer orjudicial assistance program.

(Effect ive Jan. 1, 201 1.)COMMENT: (1) "Appropriate action" means action

intended and reasonably likely to help the judge or lawyer inquestion address the problem. Depending on the circum-stances, appropriate action may include, but is not limited to,speaking directly to the impaired person, notifying an individualwith supervisory responsibility over the impaired person, ormaking a relerral to an assislance program.

(2) Taking or initiating corrective action by way of notifyingjudicial administrators or referral to an assistance programmay satisfy a ludge's responsibility under this Rule. Assistanceprograms have many approaches for offering help to impairedjudges and lawyers, such as intervention, counseling, or refer'raf to appropriate health care professionals. Depending on thegravity of the conduct that has come to the ludge's attention,however, the ludge may be required to take other action, suchas reporting the impaired iudge or lawyer to the appropriateauthority, agency, or body. See Rule 2.15.

(3) A client security fund has been established to promotepublic confidence in the judicial system and the integrity of thelegal profession by, among other things, a lawyers assistanceprogram providing crisis intervention and referral assistanceto attorneys admitted to the practice of law in this state whosuffer from alcohol or other substance abuse problems or

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CODE OF JUDICIAL CONDUCT Rule 3.'1

gambling problems or who have behavioral health problems.See Practice Book Section 2-69.

Rule 2.15. Responding to Judicial and Law-yer Misconduct

. (a) 4 judge having knowtedge that anotherjudge has committed a violation of thls Code thatraises a substantial question regarding the judge'snonesty, trustworthiness, or fitness as a judge ingth.er., respects shall take appropriate actioninc.lu.ding informin g the app ropiiite'authority.

(b) A judge having knowledge that a lawyer hascommitted a violation of the Rules of professionalConduct that raises a substantial question regard-ing the lawyer's honesty, trustworthiness, dr fit-ness as a lawyer in other respects shall takeappropriate action including informing the appro-priate authority.

(c)A judge who receives information indicatinga substantial likelihood that another judge ha6committed a violation of this Code

-shall take

appropriate action.(d) A judge who receives information indicating

a substantial likelihood that a lawyer has commitlted a violation of the Rules of prbfessional Con-duct shall take appropriate action.

(e) A judge is not required to disclose informa-tion gained by the judge while serving as a mem-ber ot a committee that renders assistance to il lor impaired judges or lawyers or while serving asa member of a bar association professional ethicscommiltee or the Judicial Branch Committee onJudicial Ethics.

(Effect ive Jan. 1, 201 1.)COMMENT; (1) Taking appropriate action under the crr-

cumstances to address known misconduct is a judge's obliga_tion. Except as otherwise provided in suUs6ction (e),subsections (a) and (b) impose an obligation on the judgeto. report to the appropriate disciplinary authority the knownmisconduct of anotherjudge or a lawyeithat raises a substan-tial.question regarding the honesty, tiustworthiness, or fitnessof that judge or lawyer. lgnoring oi denying known misconductamong one's judicial colleagues or members of the legar pro_ressron undermrnes a judge's responsibility to participate in9n9n9 t9 ensure public respect for the justice system. ThisRule limits the reporting obligation to those of{enles that anindependent judiciary must vigorously endeavor to prevent.

(2) A iudge who does not have actual knowledge thatanother judge or a lawyer may have committed misconduct,but receives information indicating a substantial likelihood ofsuch misconduct, is required to take appropriate action undersubseciions (c) and (d), except as otherwise provided in sub-section (e). Appropriate action may include, but is not limitedto, communicating directly with the judge who may have vio_lated this Code, communicating with a supervising judge, orreporting the suspected violation to the appropriate authorityor other agency or body.

(3) Similarly, actions to be taken in response to informationindicating that a lawyer has commifted a violation of the Rulesof Protessional Conduct may include, but are not limited to,

communicating directly with the lawyerwho may have commit-ted the violation or reporting the suspected violation to theappropriate authority or other agency or body.

Rule 2.16. Cooperation with DisciplinaryAuthorities(a) A judge shall cooperate and be candid and

honest with judicial and lawyer disciplinaryagencies.

(b) A judge shall not retaliale, directly or indi-rectly, against a person known or suspected tohave assisted or cooperated with an investigationof a judge or a lawyer.

(Effect ive Jan. 1, 2011.)COMMENT: Cooperation with investigations and proceed-

ings of judicial and lawyer discipline agencies, as required insubsection (a), instills confidence in judges'commitment to theintegrity of the judicial system and the protection of the public.

Canon 3. A Judge Shall Conduct theJudge's Personal and Extraiudicial Activi-ties to Minimize the Risk of Gonflict with theObligations of Judicial Office.

Rule 3.1. Extrajudicial Activities in GeneralA judge may engage in extrajudicial activities,

except as prohibited by law. However, whenengaging in extrajudicial activities, a judge shallnot:

(1) participate in activities that will interfere withthe proper performance ol the judge's judicialduties:

(2) participate in activities that will lead to fre-quent disqualification of the judge;

(3) participate in activities that would appear toa reasonable person to undermine the judge'sindependence, integrity, or impartiality;

(4) engage in conduct that would appear to areasonable person tO be cOercive; Or

(5) make use of court premises, statf, statio-nery, equipmenl, or other resources, except forincidental use or for activities that concern thelaw, the legalsystem, orthe administration of jus-tice, or unless such additional use is permittedby law.

(Effect ive Jan. 1, 2011.)COMMENT: (1 ) To the extent that time permits, and judicial

independence and impartiality are not compromised, judgesare encouraged to engage in appropriate extrajudicial activi-ties. Judges are uniquely qualified to engage in extrajudicialactivities that concern the law, lhe legal system, and the admin-istralion of justice, such as by speaking, writing, teaching, orparticipating in scholarly research proiects. In addition, judgesare permitted and encouraged to engage in educational, reli-glous, charitable, fraternal or civic extrajudicial activities notconducted for profit, even when the activities do not involvethe law. See Rule 3.7.

(2) Participation in both law related and other extrajudicialactivities helps integrate judges into their communities andfurthers public understanding of and respect for courts andthe judicial system.

69



(3) Discriminatory actions and expressions of bias or preju-dice by a judge, even outside the judge's official or judicialactions, are likely to appear lo a reasonable person to callinto question the judge's integrity and impartiality. Examplesinclude jokes or other remarks that demean individuals basedon their race, sex, gender, religion, national origin, ethnicity,disability, age, sexual orientation, or socioeconomic status.For the same reason, a judge's extrajudicial activities mustnot be conducted in connection or affiliation with an organiza-tion that practices unlawful discrimination. See Rule 3.6.

(4) While engaged in permitted extraludicial activities,judges must not coerce others or take action that would rea-sonably be perceived as coercive. For example, dependingon the circumstances, a judge's solicilation of contributions ormemberships for an organization, even as permitted by Rule3.7 (a), might create the risk that the person solicited wouldfeel obligated to respond favorably or would do so to curryfavor with the judge.

Rule 3.2. Appearances before Governmen-tal Bodies and Consultation with Govern-ment OfficlalsA judge shall not appear voluntarily at a public

hearing before, or otherwise consult with, an exec-utive or a legislative body or official, except:

(1) in connection with matters concerning thelaw, the legal system, or the administration ofjustice;

(2) in connection with matters about which thejudge acquired knowledge or expertise in thecourse of the judge's judicial duties; or

(3) when the judge is acting in a matter involvingthe judge's legal or economic interests or wnenthe judge is acting in a fiduciary capacity.

(Effect ive Jan. 1, 201 1.)COMMENT: (1) Judges possess special expertise in mat-

ters of law, the legal system, and the administration of justiceand may properly share that expertise with governmental bod-ies and executive or legislative branch otficials.

(2) In appearing before governmental bodies or consultingwith government officials, judges must be mindful that theyremain subject to other provisions of this Gode, such as Rule1.3, prohibiting judges from using the prestige of office toadvance their own or others' interests; Rule 2.10, governingpublic comment on pending and impending matters; and Rule3.1 (3), prohibiting judges from engaging in extraiudicial activi-ties that would appear to a reasonable person to underminethe iudge's independence, integrity, or impartiality.

(3) In general, it would be an unnecessary and unfair burdento prohibit judges from appearing before governmental bodiesor consulting with government officials on matters that arelikely to alfect them as private citizens, such as zoning propos-als atfecting their real property. In engaging in such activities,however, a judge should state affirmatively that the judge isnot acting in his or her official capacity and must otherwiseexercise caution to avoid using the prestige of judicial office.

Rule 3.3. Testifying as a Character WitnessA judge shall not testify as a character witness

in a judicial, administrative, or other adjudicatoryproceeding or otherwise vouch for the character

of a person in a legal proceeding, except whenduly summoned.

(Effective Jan. 1 , 201 1.)COMMENT: A ludge who, without being duly summoned,

testifies as a character witness abuses the prestige of ludicialoffice to advance the interests of another. See Rule 1 .3. Exceptin unusual circumstances where the demands of justicerequire, a judge should discourage a party from requiring thejudge to testify as a character witness.

Rule 3.4. Appointments to GovernmentalPositionsA judge shall not accept appointment to a gov-

ernmental committee, board, commission, orother governmental position, unless it is one thatconcerns the law, the legal system, orthe adminis-tration of justice.

(Effect ive Jan. 1, 201 1.)COMMENT: (1) Rule 3.4 implicitly acknowledges the value

of judges accepting appointments to entities that concern thelaw, the legal system, or the administration of justice. Evenin such instances, however, a judge should assess the appro-priateness of accepting an appointment, paying particularattention to the subiect matter of the appointment and theavailability and allocation of ludicial resources, including thejudge's time commitments, and giving due regard to therequirements of the independence and impartiality of thejudiciary.

(2) A judge may represent his or her country, state, orlocality on ceremonial occasions or in connection with histori-cal, educational, or cultural activities. Such representationdoes not constitute acceptance of a government position.

(3) This rule is intended to prohibit a judge from participationin governmental committees, boards, commissions or othergovernmental positions that make or implement public policyunless they concern the law, the legal system or the adminis-tration of justice.

Fule 3.5. Use of Gonfidential InformationA judge shall not intentionally disclose or use

confidential information acquired in a judicialcapacity for any purpose unrelated to the judge'sjudicial duties unless the judge is acting on infor-mation necessary to protect the health or safetyol the judge, a member of the judge's family, courtpersonnel, a judicial officer or any other person ifconsistent with other provisions of this Code.

(Effect ive Jan. 1, 2011.)COMMENT: In the course of pertorming judicial duties, a

judge may acquire information of commercial or other valuethat is unavailable to the public. The judge must not reveal oruse such information lor personal gain or for any purposeunrelated to his or her judicial duties.

Rule 3.6. Affil iation withOrganizations

Discriminatory

(a) A judge shall not hold membership in anyorganization that practices unlawf ul discriminationon the basis of race, sex, gender, religion, nationalorigin, ethnicity, physical or mental disability, orsexual orientation. When a judge learns that anorganization to which the judge belongs engages

70



in unlawful discrimination, the judge must resignimmediately f rom the organizaiion-.

(b) A judge shall not use the benefits or facilitiesof an organization if the judge knows or shouldknow that the organization practices unlawful dis-crimination on one or more of the bases identifiedin subsection (a). A judge's attendance at an eventin a facility of an organization that the judge is notpermitted to join is not a violation of this Rulewhen the judge's attendance is an isolated eventthat could not reasonably be perceived as anendorsement of the organization's practices.

(Etfective Jan. 1, 201 1.)

Rule 3.7. Participation in Educational, Reli-gio_us, Charitable, Fraternal, or Civic Organi-zations and Activities(a) Subject to the requirements of Rule 3.1, a

judge.may participate in activities sponsored byorganizations or governmental entities concernedwith the law, the legal system, or the administra-Iiol 9_t justice, and those sponsored by or onbehalf of educational, religious, charitabl6, frater-nal, or civic organizations not conducted for profitincluding, but not limiied to, the following activities:. (1) .assisting such an organization or entity in

planning related to fund-raising and participaiingin the management and investment of the organi-zation's or entity's funds;. (2) soliciting contributions for such an organiza-

tion.or entity, but only f rom members of the fud ge,sfamily, or.from judges over whom the judje d-oesnot-exercise supervisory or appellate authority;. (3) soliciting membership for such an organi2a-

tion or entity, even though the membership duesor.fees generated may be used to suppbrt theobjectives. of the organization or entity but only ifthe organization or entity is concern-ed with ihelaw, the legal system, or the administration ofjustice;

(4) . appearing or speaking at, receiving anaward or other recognition at, being featuret onthe program of, and permitting his br her tifle tobe used in connection with an event of such anorganization or entity, but if the event serves afund-raising purpose, the judge may participateonly if the event concerns the law, the'legal

'sys-

tem, or the administration of justice;(5) making recommendations to such a public

or private fund-granting organization or entity inconnection with its programs and activities

-but

only if the organization or entity is concerned withthe law, the legal system, or the administration ofiustice; and

(6) serving as an officer, director, trustee. ornonlegal advisor of such an organization or eniity,unless it is likely that the organization or entityi

(A) will be engaged in proceedings that wouldordinarily come before the judge; or

(B) willfrequently be engaged in adversary pro-ceedings in the court of which the judge is a mem-ber or in any court subject to the appellatejurisdiction of the court of which the judge is amember.

(b) A judge may encourage lawyers to providepro bono publico legal services.

(Effective Jan. 1, 201 1 .)COMMENT: (1) The activities permitted by subsection (a)

generally include those sponsored by or undertaken on behalfof public or private not-for-profit educational institutions andother not-for-profit organizations, including law related, chari-table, and other organizations.

(2) Even for law related organizations, a judge should con-sider whether the membership and purposes ol the organiza-tion, or the nature of the judge's participation in or associationwith the organization, would conflict with the judge's obligationto refrain from activities that reflect adversely on a judge'sindependence, integrity, and impartiality.

(3) Mere attendance at an event, whether or not the eventserves a fund-raising purpose, does not constitute a violationof subsection (a) (4). lt is also generally permissible for a judgeto serve as an usher or a food server or preparer, or to performsimilar functions, at fund-raising events sponsored by educa-tional, religious, charitable, fraternal, or civic organizations.Such activities are not solicitation and do not present an ele-ment of coercion or abuse the prestige of judicial oflice.

(4) ldentification of a judge's position in educational, reli-gious, charitable, fraternal, or civic organizations on letterheadused for fund-raising or membership solicitation does not vio-late this Rule. The letterhead may list the judge's title or judicialoffice if comparable designations are used for other persons.

(5) In addition to appointing lawyers to serve as counselfor indigent parties in individual cases, a judge may promotebroader access to iustice by encouraging lawyers to participatein pro bono publico legal services if, in doing so, the judgedoes not employ coercion or abuse the prestige of judicialotfice. Such encouragement may take many forms, includingproviding lists of available programs, training lawyers to dopro bono publico legal work, and participating in events recog-nizing lawyers who have done pro bono publico work.

Rule 3.8. Appointments to Fiduciary Posi-tions(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 theestate, trust, or person of a member of the judge'sfamily, and then only if such service will not inter-fere with the proper performance of judicialduties.

(b) A judge shall not serve in a fiduciary positionif the judge as fiduciary will l ikely be engaged inproceedings that would ordinarily come before thejudge or if the estate, lrust, or ward becomesinvolved in adversary proceedings in the court onwhich the judge serves or one under its appel-late jurisdiction.

7 1



(c) A judge acting in a fiduciary capacity shallbe subject to the same restrictions on engaging infinancial activities that apply to a judge personally.

(d) lf a person who is serving in a fiduciaryposition becomes a judge, he or she must complywith this Rule as soon as reasonably practicablebut in no event later than one year after becominga judge.

(Effect ive Jan. 1, 201 1.)COMMENT: A judge should recognize that other restric-

tions imposed by this Code may conflict with a judge's obliga-tions as a fiduciary; in such circumstances, a judge shouldresign as fiduciary. For example, serving as a fiduciary mightrequire frequent disqualification ol a judge under Rule 2.11because a judge is deemed to have an economic interest inshares of stock held by a trust if the amount of stock held ismore than de minimis.

Rule 3.9. Service as Arbitrator or MediatorA judge shall not act as an arbitrator or a media-

tor or perform other judicial functions apart fromthe judge's official duties unless expressly author-ized by law.

(Effect ive Jan. 1, 201 1.)COMMENT: This Rule does not prohibit a judge from partici-

pating in arbitration, mediation, or settlement conferences per-formed as part of oflicial judicial duties. Rendering disputeresolution services apart from those duties, whether or not foreconomic gain, is prohibited unless it is expressly authorizedby law.

Rule 3.10. Practice of LawExcept as provided herein, a judge shall not

practice law. A judge may act pro se and may,without compensation, give legal advice to anddraft or review documents for a member of thejudge's family but is prohibited from serving asthe family member's lawyer in any forum.

(Effect ive Jan. 1, 201 1.)COMMENT: A judge may act pro se in all legal matters,

including matters involving litigation and matters involvingappearances before or other dealings with governmental bod-ies. A judge must not use the prestige of office to advancethe judge's personal or family interests. See Rule 1.3.

Rule 3.11. Financial , Business, or Remuner-ative 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 or advisor of any busi-ness entity except for:

(1) a business closely held by the judge or mem-bers of the judge's family; or

(2) a business entity primarily engaged ininvestment of the financial resources of the judgeor members of the judge's family.

(c) A judge shall not engage in financial activi-ties permitted under subsections (a) and (b) ifthey will:

(1) interfere with the proper performance of judi-cial duties;

(2) lead to frequent disqualification of the judge;(3) involve the judge in frequent transactions or

continuing business relationships with lawyers orother persons likely to come before the court onwhich the judge serves; or

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

(Effect ive Jan. 1, 201 1.)COMMENT: (1) Judges are generally permitted to engage

in financial activities, including managing real estate and otherinvestments for themselves or for members of their families.Participation in these activities, like participation in other extra-judicial activities, is subject to the requirements of this Code.For example, it would be improper lor a judge to spend somuch time on business activities that it interferes with theperformance of judicial duties. See Rule 2.1. Similarly, it wouldbe improper for a judge to use his or her otficial title or toappear in judicial robes in business advertising, or to conducthis or her business or financial atfairs in such a way thatdisquali l icat ion is lrequently required. See Rules 1.3 and 2.1 1.

(2) As soon as practicable without serious financial detri'ment, the ludge must divest himself or herself of investmentsand other financial interests that might require frequent dis'qualification or otherwise violate this Rule.

Rule 3.12. Compensation for ExtraiudicialActivitiesA judge may accept reasonable compensation

for extrajudicial activities permitted by law unlesssuch acceptance would appear to a reasonableperson to undermine the judge's independence,integrity, or impartiality.

(Effect ive Jan. l , 2011.)COMMENT: (1) A judge is permitted to accept honoraria,

stipends, lees, wages, salaries, royalties, or other compensa'tion for speaking, teaching, writing, and other extraludicialactivities, provided the compensation is reasonable and com'mensurate with the task performed. The judge should be mind'ful, however, that judicial duties must take precedence overother activities. See Rule 2.1.

(2) Compensation derived from extrajudicial activities maybe subject to public reporting. See Rule 3.15.

Rule 3.13. Acceptance and Reporting ofGifts, Loans, Bequests, Benefits, or OtherThings of Value(a) A judge shall not accept any gifts, loans,

bequests, benefits, or other things of value, ifacceptance is prohibited by law or would appearto a reasonable person to undermine the judge'sindependence, integrity, or impartiality.

(b) Unless otherwise prohibited by law, or bysubsection (a), a judge may accept the followingwithout publicly reporting such acceptance:

(1) items with little intrinsic value, such asplaques, certificates, trophies, and greeting cards;

(2) gifts, loans, bequests, benefits, or otherthings of value from friends, relatives, or otherpersons, including lawyers, whose appearance or

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interest.in .a proceeding pending or impendingbefore the judge would in any event require dis-qual i f icat ion of the judge under Rule 2.11;

(3) ordinary social hospitality;(4) commercial or financial opportunities and

benefits, including special pricing and discounts,and loans from lending institutions in their regularcourse of business, if t-he same opportunities-andbenefits or loans are made available on the sameterms to similarly situated persons who are notjudges;

(5)rewards and prizes given to competitors orparticipants in random drawings, contests, orother events that are open to persons who arenot judges;

(6) scholarships, fellowships, and similar bene-fits or awards, if they are available to similarlysituated persons whd are not judges, based onthe same terms and criteria;

(7) books, magazines, journals, audiovisualmaterials, and other resource materials suppliedby publishers on a complimentary basis for officialuse; or

(8) gifts, awards, or benefits associated with thebusiness, profession, or other separate activityof a spouse, a domestic partner, or other familymember of a judge residing in the judge's house-hold but that incidentally benefit the judge.

(c) Unless otherwise prohibited by law or bysubsection (a), a judge may accept the followin!fiems and must report such acceptance to theextent required by Rule 3.15:

(1) gitts incident to a public testimonial;(2) invitations to the judge and the judge's

spouse, domestic partner, or guest to attend with-out charge:

(A) an event associated with a bar related func-tion or other activity relating to the law, the legalsystem, or the administration of justice; or

.(B) qn event associated with any of the judge'seducational, religious, charitable, fraternal or civicactivities permitted by this Code, if the same invi-tation is offered to nonjudges who are engagedin similar ways in the activity as is the judge.

(Etfect ive Jan. 1, 201 1.)COMMENT: (1) Whenever a iudge accepts a gift or other

thing of value without paying fair market value, there is a riskthat the benefit might be viewed as intended to influence thejudge's decision in a case. Rule 3.13 imposes restrictions onthe acceptance of such benefits, according to the magnitudeof the risk. Subsection (b) identifies circumstances in whichthe risk that the acceptance would appear to undermine thejudge's independence, integrity, or impartiality is low andexplicitly provides that such items need not be publiclyreported. As the value of the benefit or the likelihood that thesource of the benefit will appear before the judge increases,the judge is either prohibited under subsection (a) fromaccepting the gift, or required under subsection (c) to publiclyreport it.

(2) Gift giving between friends and relatives is a commonoccurrence and ordinarily does not create an appearance ofimpropriety or cause reasonable persons to believe that thejudge's independence, integrity, or impartiality has been com-promised. In addition, when the appearance ol lriends or rela-tives in a case would require the judge's disqualification underRule 2.11, there would be no opportunity for a gift to influencethe judge's decision making. Subsection (b) (2) places norestrictions on the ability of a judge to accept gifts or otherthings ol value from friends or relatives under these circum-stances and does not require public reporting.

(3) Businesses and financial institutions frequently makeavailable special pricing, discounts, and other benefits, eitherin connection with a temporary promotion or for preferredcustomers, based on longevity of the relationship, volume ofbusiness transacted, and other factors. A judge may freelyaccept such benelits if they are available to the general publicor if the judge qualifies for the special price or discountaccording to the same criteria as are applied to persons whoare not judges. As an example, loans provided at generallyprevailing interest rates are not gifts, but a judge could notaccept a loan from a financial institution al below-market inter-est rates unless the same rate was being made available tothe general public for a certain period of time or only to borrow-ers with specified qualif ications that the ludge also possesses.

(4) Rule 3.13 applies only to acceptance of gifts or otherthings of value by a judge. Nonetheless, if a gift orotherbenefitis given to the judge's spouse, domestic partnor, or memberof the judge's family residing in the judge's household, it maybe viewed as an attempt to evade Rule 3.13 and influencethe judge indirectly. Where tho gift or benefit is being madeprimarily to such other persons, and the judge is merely anincidental beneficiary, this concern is reduced. A judge should,however, remind family and household members of the restric-tions imposed on judges and urge them to take these restric-tions into account when making decisions about acceptingsuch gitts or benefits.

Rule 3.14. Reimbursement of Expenses andWaivers of Fees or Charges(a) Unless otherwise prohibited by Rules 3.1

and 3.'13 (a) or other law, a judge may acceptreimbursement of necessary and reasonableexpenses for travel, food, lodging, or other inci-dental expenses, or a waiver or partial waiver offees or charges for registration, tuition, and similaritems, from sources other than the judge'semploying entity, if the expenses or charges areassociated with the judge's participation in extra-judicial activities permitted by this Code.

(b) Reimbursement of expenses for necessarytravel, food, lodging, or other incidental expensesshall be limited to the actual costs reasonablyincurred by the judge or a reasonable allowancetherefor and, when appropriate to the occasion,by the judge's spouse, domestic partner, or guest.

(c) A judge who accepts reimbursement ofexpenses or waivers or partial waivers of feesor charges on behalf of the judge or the judge'sspouse, domestic partner, or guest shall publiclyreport such acceptance as required by Rule 3.15.

(Effect ive Jan. 1, 2011.)

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COMMENT: (1) Educational, civic, religious, fraternal, andcharitable organizations often sponsor meetings, seminars,symposia, dinners, awards ceremonies, and similar events.Judges are encouraged to attend educational programs, asboth teachers and participants, in law related and academicdisciplines, in furtherance of their duty to remain competentin th.e law. Participation in a variety of other extraludicial activityis also permitled and encouraged by this Code.

(2) Not infrequently, sponsoring organizations invite certainjudges to attend seminars or other events on a fee-waived orpartiaFfee-waived basis and sometimes include reimburse-ment for necessary travel, food, lodging, or other incidentalexpenses. A judge's decision whether to accept reimburse-ment of expenses or a waiver or partial waiver of fees orcharges in connection with these or other e)drajudicial activitiesmust be based on an assessment of all the circumstances.Per diem allowances shall be reasonably related to the actualcosts incurred. The judge must undertake a reasonable inquiryto obtain the information necessary to make an informed ludg-ment about whether acceptance would be consistent with therequirements of this Code.

(3) A judge must assure himself or herself that acceptanceof reimbursement or fee waivers would not appear to a reason-able person to undermine the judge's independence, integrity,or impartiality. The factors that a judge should consider wnendeciding whether to accept reimbursement or a fee waiver forattendance at a padicular activity include:

(a) whether the sponsor is an accredited educational institu-tion or bar association rather than a trade association or afor-profit entity;

(b) whether the lunding comes largely from numerous con-tributors rather than from a single entity and is earmarked forprograms with specific content;

(c) whether the content is related or unrelated to the subjectmatter of litigation pending or impending before the judge orto matters that are likely to come be{ore the judge;

(d) whether the activity is primarily educational rather thanrecreational and whether the costs of the event are reasonableand comparable to those associated with similar events spon-sored by the judiciary, bar associations, or similar groups;

(e) whether information concerning the activity and its fund-ing sources is available upon inquiry;

(l) whether the sponsor or source of funding is generallyassociated with particular parties or interesls currenflyappearing or likely to appear in the judge's court, thus possiblyrequir ing disquali f icat ion of the judge under Rule 2.11;

(g) whether ditfering viewpoints are presented; and(h) whether a broad range of judicial and nonjudicial partici-

pants are invited, whether a large number of participants areinvited, and whether the program is designed specifically torjudges.

Rule 3.15. Report ing Requirements(a) A judge shall publicly report the amount or

value of:(1) compensation received for extrajudicial

activities as permitted by Rule 3.12;(2) gifts and other things of value as permitted

by Rule 3.13 (c), unless the value of such i tems,alone or in the aggregate with other items receivedfrom the same source in the same calendar year,does not exceed $250; and

(3) reimbursement of expenses and waiver offees orcharges permitted by Rule 3.14 (a), unless

the amount of reimbursement or waiver, alone orin the aggregate with other reimbursements orwaivers received trom the same source in thesame calendar year, does not exceed $250.

(b) When public reporting is required bysubsec-tion (a), a judge shall report the date, place, andnature of the activity for which the judge receivedany compensation; the description of any gift,loan, bequest, benefit, or other thing of valueaccepted; and the source of reimbursement ofexpenses or waiver or partial waiver of fees orcharges.

(c) The public report required by subsection (a)shall be made at least annually, except that forreimbursement of expenses and waiver or partialwaiver of fees or charges, the report shall be madewithin thirty days following the conclusion of theevent or program.

(d) Reports made in compliance with this Ruleshall be filed as public documents in the office ofthe chief court administrator or other office desig-nated by law.


Canon 4. AJudgeShal lNotEngageinPol i t i -cal or Campaign Activity that is Inconsistentwith the Independence, Integrity, or lmpar-tiality of the Judiciary.

Rule 4.1. Political Activities of Judges inGeneral(a) Except as permitted by law, or by Rules 4.2

and 4.3, a judge shall not:(1) act as a leader in, or hold an office in, a

political organization ;(2) make speeches on behalf of a political orga-

nization;(3) publicly endorse or oppose a candidate for

any public office;(4) solicit funds for, pay an assessment to, or

make a contribution to a political organization ora candidate for public office;

(5) attend or purchase tickets for dinners orother events sponsored by a political organizationor a candidate for public office;

(6) seek, accept, or use endorsements from apolitical organization ;

(7) knowingly, or with reckless disregard for thetruth, make any false or misleading statement inconnection with the appointment or reap-pointment process;

(8) make any statement that would reasonablybe expected to affect the outcome or impair thefairness of a matter pending or impending in anycourt; or

(9) in connection with cases, controversies, orissues that are likely to come before the court,make pledges, promises, or commitments that are

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inconsistent with the impartial performance of theadjudicative duties of judicial office.

(b) A judge shall take reasonable measures to9n!uf9 that other persons do not undertake, onbehalf of the judge, any activities prohibited undersubsection (a).

(c) A judge should not engage in any otherpolitical activity except on behaliof measures toimprove the law, the legal system, or the adminis-tration of justice.

(Effect ive Jan. 1, 201 1.)COMMENT:

General Gonsiderations

. (1) Even when subject to reappointment or when seekingelevation to a higher office, a judge plays a role different fromthat of a legislator or executive branch official. Rather thanmaking decisions based on the expressed views or prefer-ences of the public, a judge makes decisions based on thelaw and the facts of every case. Therefore, in furtherance ofthis interest, judges must, to the greatest extent possible, befree and appear to be lree from political influence and politicalpressure. This Canon imposes narrowly tailored restrictionson the political activities of alljudges and sitting judges seekingreappointment or appointment to a higher judicial office.

Participation in Political Activities

(2) Public confidence in the independence and impartialityof the.judiciary is eroded if judges are perceived to be subjecito political inlluence. Although judges may register to vore asmembers of a political party, they are prohibited by subsection(a) (1) from assuming leadership roles in poliiical organi-zations.

(3) Subsections (a) (2) and (a) (s) prohibit judges frommaking speeches on behalf ol political organizations o? publiclyendorsing or opposing candidates for public otfice, respec-tiv_ely, to prevent them from abusing the prestige ol judicialoffice to advance the interests of others. See Rule 1.3.

(4) Although members of the families of judges are free toengage in their own political activity, including running forpublic olfice, there is no "family exception" to the prohibitionin subsection (a) (3) against a judge publicly endorsing candi-dates for public office. A judge must not become involved in,or publicly associated with, a family member's political activityor campaign for public office. To avoid public misunder-standing, judges should take, and should urge members oftheir families to take, reasonable steps to avoid any implicationthat they endorse any tamily member,s candidacy or otherpolitical activity.

(5) Judges retain the right to participate in the political pro-cess as voters in both primary and general elections.

Statements and Comments Made By a Sitting JudgeWhen Seeking Reappointment torJudicial Office or Elevation to a

Higher Judicial Off ice

(6) Judges must be scrupulously fair and accurate in allstatements made by them. Subsection (a) (7) obligates juogesto refrain from making statements that are false or misleadingor that omit facts necessary to make the communication con-sidered as a whole not materially misleading.

(7) Judges are sometimes the subject of false, misleading,or unfair allegations made by third parties or the media. Forexample, lalse or misleading statements might be made

regarding the identity, present position, experience, qualifica-tions, or judicial rulings of a judge. In other situations, falseor misleading allegations may be made that bear on a judge'sintegrity or fitness for judicial office. As long as the judge doesnot violate subsections (a) (7), (a) (8), or (a) (9), the judgemay make a factually accurate public response. See Rule 2.10.

(8) Subject to subsection (a) (8), a judge is permitted torespond direclly to false, misleading, or unfair allegationsmade against him or her, although it is preferable for someoneelse to respond if the allegations relate to a pending case.

(9) Subsection (a) (8) prohibits judges from making com-ments that might impair the fairness of pending or impendingjudicial proceedings. This provision does not restrict rulings,statements, or instructions by a judge that may appropriatelyaffect the outcome of a matter.

Pledges, Promises, or Commltments lnconsistent withImpartial Performance of the Adiudicative

Duties of Judicial Oflice

(10) The role of a judge is different from that of a legislatoror executive branch official. Sitting judges seeking reap-pointment or elevation must conduct themselves differentlyfrom persons seeking other otfices. Narrowly drafted restric-tions on the activities of judges provided in Canon 4 allowludges to provide the appointing authority with sutficient infor-mation to permit it to make an informed decision.

(1 1) Subsection (a) (9) makes applicable to judges theprohibition that applies to judges in Rule 2.10 (b), relating topledges, promises, or commitments that are inconsistent withthe impartial performance ol the adjudicative duties of ludi-cial office.

(12) The making of a pledge, promise, or commitment isnot dependent on, or limited to, the use of any specific wordsor phrases; instead, the totality of the statement must be exam-ined to determine if a reasonable person would believe thatthe judge has specifically undertaken to reach a particularresult. Pledges, promises, or commitments must be contrastedwith slatements or announcements of personalviews on legal,political, or other issues, which are not prohibited. When mak-ing such statements, a judge should acknowledge the over-arching judicial obligation to apply and uphold the law, withoutregard to his or her personal views.

(13) A ludge may make promises related to judicial organi-zation, administration, and court management, such as apromise to dispose of a backlog of cases, start court sessionson time, or avoid favoritism in appointments and hiring. A judgemay also pledge to take action outside the courtroom, suchas working toward an improved jury selection system or advo-cating for more funds to improve lhe physical plant and ameni-ties of the courthouse.

(14) Judges may receive questionnaires or requests forinterviews from the media and from issue advocacy or othercommunity organizations that seek to leam their views ondisputed or controversial legal or political issues. Subsection(a) (13) does not specifically address judicial responses tosuch inquiries. Depending on the wording and format ol suchquestionnaires, judges' responses might be viewed aspledges, promises, or commitments to perform the adjudica-tive duties of office other than in an impartial way. To avoidviolating subsection (a) (13), therefore, judges who respondto media and other inquiries should also give assurances thatthey will keep an open mind and will carry out their adjudicativeduties faithfully and impartially. Judges who do not respondmay state their reasons for not responding, such as the dangerthat answering might be perceived by a reasonable person

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as undermining a judge's independence or impartiality or thati t might lead to frequent disquali f icat ion. See Rule 2.11.

Rule 4.2. Activities of Judges as Candidatesf.ot..R9qpp9-intment or Etevation to HigherJudicial OfficeA.judge who is a candidate for reappointment

or elevation to higher judicial office mav:(a) communicate with the appointing oi con{irm-

ing authority, including any selection, screening,or nominating commission or similar aqencv: and- (b) seek endorsements for the afpoinimentfrom any person ororganization otherthan a parti-san political organization, provided that suchendorsement or the request therefor would notappear to a reasonable person to undermine thejudg.e's.independence, integrity or impartiality.

(Effect ive Jan. 1, 201 1.)COMMENT: (1) When seeking support or when communi-

cating directly with an appointing or confirming authoriry, ajudge must not make any pledges, promises, or iommitmentsthat are inconsistent with the impartial performance of theadjudicative duties of the office. See Rule 4.1 (a) (9).

(2) lt is never acceptable to seek an endors6ment o{ anaovocacy group or a group whose interests have or are likelvto come before the judge.

Rule 4.3. Activities of Judges Who BecomeCandidates for Public Office(a) Upon becoming a candidate for an elective

public office either in a party primary or a general

election, a judge shall resign from judicial office,unless permitted by law to continue to hold judicialoffice. A judge may continue to hold judicial officewhile being a candidate for election to or servingas a delegate in a state constitutionalconvention.

(b) Upon becoming a candidate for an appoint-ive public otfice, a judge is not required to resignfrom judicial office, provided that the judge com-plies with the other provisions of this Code.

(Effect ive Jan. 1, 201 l .)COMMENT: (1 ) In campaigns for elective public otfice, can-

didates may make pledges, promises, or commitments relatedto posilions they would take and ways they would act if electedto office. Although appropriate in public campaigns, this man-ner of campaigning is inconsistent with the role of a judge,who must remain fair and impartial to all who come beforehim or her. The potential for misuse of the judicial otfice andthe political promises that the judge would be compelled tomake in the course of campaigning for elective public officetogether dictate that a judge who wishes to run for such anoffice must resign upon becoming a candidate.

(2) The "resign to run" rule set forth in subsection (a)ensures that a judge cannot use the iudicial otfice to promotehis or her candidacy and prevents postcampaign retaliationlrom the judge in the event the judge is defeated in the election.When a judge is seeking appointive public office, however,the dangers are not sufficient to warrant imposing the "resignto run" rule. However, the judge should be careful to avoidpresiding over matters allecting the entity to which the judgeis seeking public office.

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