This rule only applies to cases filed prior to December 31, 2010.
(A) Extrajudicial Activities in General.
A judge shall conduct all of the judge's extrajudicial activities so that they do not:
(1) Cast reasonable doubt on the judge's capacity to act impartially as a judge;
(2) Demean the judicial office; or
(3) Interfere with the proper performance of judicial duties.
(B) Avocational Activities.
A judge may speak, write, lecture, teach, and participate in other extrajudicial activities concerning the law,* the legal system, the administration of justice, and nonlegal subjects, subject to the requirements of this Code.
(C) Governmental, Civic, or Charitable Activities.
(1) A judge shall not appear at a public hearing before, or otherwise consult with, an executive or legislative body or official except on matters concerning the law,* the legal system, or the administration of justice or except when acting pro se in a matter involving the judge or the judge's interests.
(2) A judge shall not accept appointment to a governmental committee or commission or other governmental position that is concerned with issues of fact or policy on matters other than the improvement of the law,* the legal system or the administration of justice. A judge may, however, represent a country, state, or locality on ceremonial occasions or in connection with historical, educational, or cultural activities.
(3) A judge may serve as an officer, director, trustee, or nonlegal advisor of an organization or governmental agency devoted to the improvement of the law,* the legal system, or the administration of justice or of an educational, religious, charitable, fraternal, or civic organization not conducted for profit, subject to the following limitations and the other requirements of this Code.
(a) A judge shall not serve as an officer, director, trustee, or nonlegal advisor if it is likely that the organization will be engaged frequently in adversary proceedings in the court of which the judge is a member or in any court subject to the appellate jurisdiction of the court of which the judge is a member.
(b) A judge as an officer, director, trustee, or nonlegal advisor, or as a member or otherwise:
(i) may assist such an organization in planning fundraising and may participate in the management and investment of the organization's funds, but shall not participate personally in the solicitation of funds or other fundraising activities, except that a judge may solicit funds from other judges over whom the judge does not exercise supervisory or appellate authority;
(ii) may make recommendations to public and private fund-granting organizations on projects and programs concerning the law,* the legal system, or the administration of justice;
(iii) shall not participate personally in membership solicitation if the solicitation reasonably might be perceived as coercive or, except as permitted in section 4C(3)(b)(i), if the membership solicitation is essentially a fundraising mechanism;
(iv) shall not use or permit the use of the prestige of judicial office for fundraising or membership solicitation.
(D) Financial Activities.
(1) A judge shall not engage in financial and business dealings that
(a) reasonably may be perceived to exploit the judge's judicial position, or
(b) involve the judge in frequent transactions or continuing business relationships with those lawyers or other persons likely to come before the court on which the judge serves.
(2) A judge may, subject to the requirements of this Code, hold and manage investments of the judge and members of the judge's family,* including real estate, and engage in other remunerative activity.
(3) A judge shall not serve as an officer, director, manager, general partner, advisor, or employee of any business entity except that a judge may, subject to the requirements of this Code, manage and participate in:
(a) a business closely held by the judge or members of the judge's family, or
(b) a business entity primarily engaged in investments of the financial resources of the judge or members of the judge's family.
(4) A judge shall manage the judge's investments and other financial interests to minimize the number of cases in which the judge is disqualified. As soon as the judge can do so without serious financial detriment, the judge shall dispose of investments and other financial interests that might require frequent disqualification.
(5) A judge shall not accept, and shall urge members of the judge's family residing in the judge's household* not to accept, a gift, bequest, favor, or loan from anyone except for:
(a) A gift incident to a public testimonial, books, tapes and other resource materials supplied by publishers on a complimentary basis for official use, or an invitation to the judge and the judge's spouse or guest to attend a bar-related function or an activity devoted to the improvement of the law,* the legal system, or the administration of justice;
(b) A gift, award, or benefit incident to the business, profession, or other separate activity of a spouse or other family member of a judge residing in the judge's household, including gifts, awards, and benefits for the use of both the spouse or other family member and the judge (as spouse or family member), provided the gift, award, or benefit reasonably could not be perceived as intended to influence the judge in the performance of judicial duties;
(c) Ordinary social hospitality;
(d) A gift from a relative or friend, for a special occasion such as a wedding, anniversary, or birthday, if the gift is fairly commensurate with the occasion and the relationship;
(e) A gift, bequest, favor, or loan from a relative or close personal friend whose appearance or interest in a case would in any event require disqualification under section 3E;
(f) A loan from a lending institution in its regular course of business on the same terms generally available to persons who are not judges;
(g) A scholarship or fellowship awarded on the same terms and based on the same criteria applied to other applicants; or
(h) Any other gift, bequest, favor, or loan, only if: the donor is not a party or other person who has come or is likely to come or whose interests have come or are likely to come before the judge; and, if the value of the gift, bequest, or favor exceeds $100.00, or if the value of the loan exceeds $1,000.00, the judge reports it in the same manner as the judge reports compensation as required in section 4J. All loans that create actual conflicts of interest shall be reported in the same manner as compensation under section 4J.
(E) Fiduciary Activities.
(1) A judge shall not serve as personal representative, conservator, trustee, guardian, attorney in fact, or other fiduciary,* except for the estate, trust, or person of a member of the judge's family,* and then only if such service will not interfere with the proper performance of judicial duties.
(2) A judge shall not serve as a fiduciary if it is likely that the judge as a fiduciary will be engaged in proceedings that would ordinarily come before the judge, or if the estate, trust, or ward becomes involved in adversary proceedings in the court on which the judge serves or one under its appellate jurisdiction.
(3) The same restrictions on financial activities that apply to a judge personally also apply to the judge while acting in a fiduciary capacity.
(F) Service as Arbitrator or Mediator. A judge shall not act as an arbitrator or mediator or otherwise perform judicial functions in a private capacity unless expressly authorized by law.*
(G) Practice of Law. A judge shall not practice law. A judge who acts pro se is not considered to be practicing law.
(H) Reimbursement or waiver of charges for travel-related expenses of the judge or the judge’s spouse or guest.
(1) Unless otherwise prohibited by law,* a judge may accept reimbursement of, or a waiver of, charges from sources other than the judge’s employing entity for necessary travel, food, and lodging expenses associated with the judge’s participation in extrajudicial activities permitted by this Code, but only if such acceptance does not cast reasonable doubt on the judge’s ability to act with independence, integrity, or impartiality.
(2) Expense reimbursement and waiver of charges shall be limited to the actual cost of travel, food, and lodging reasonably incurred by the judge and, where appropriate to the occasion, by the judge’s spouse or guest. Any payment in excess of such an amount is compensation.
(I) Compensation for extrajudicial activities.
(1) A judge may accept compensation for extrajudicial activities permitted by this Code, unless such acceptance casts reasonable doubt on the judge’s capacity to act with independence, integrity, or impartiality.
(2) Compensation shall not exceed a reasonable amount, nor shall it exceed what a person who is not a judge would receive for the same activity.
(J) Reporting of compensation, reimbursement of expenses, and waiver of charges.
A judge shall report the date, place, and nature of any activity for which the judge received compensation, reimbursement of expenses, or waiver of charges; the name of the payor or waivor; and the amount of compensation, reimbursement of expenses, or waiver of charges so received. The judge’s report shall be made annually, and shall be filed as a public document in the office of the Clerk of the Supreme Court on forms furnished by that court.
(K) Disclosure of a judge's income, debts, investments or other assets is required to the extent provided in this canon, in sections 3E and 3F, by the disclosure form provided pursuant to section 4J, or as otherwise required by law.*
Canon 4D(5)(h), 4H, 4I, 4J, and 4K amended September 20, 2006.
This page was last modified on Wednesday, May 8, 2013