Canon 3 A Judge Shall Conduct the Judge's Personal and Extrajudicial Activities to Minimize the Risk of Conflict with the Obligations of the Judicial Office.
Code of Judicial Conduct
Rule Text
CANON 3
A JUDGE SHALL CONDUCT THE JUDGE’S PERSONAL AND EXTRAJUDICIAL ACTIVITIES TO MINIMIZE THE RISK OF CONFLICT WITH THE OBLIGATIONS OF JUDICIAL OFFICE.
Rule 2-3.1 Extrajudicial Activities in General
Rule 2-3.2 Appearance before Governmental Bodies and Consultation with Government Officials
Rule 2-3.3 Testifying as a Character Witness
Rule 2-3.4 Appointments to Governmental Positions
Rule 2-3.5 Use of Nonpublic Information
Rule 2-3.6 Affiliation with Discriminatory Organizations
Rule 2-3.7 Participation in Educational, Religious, Charitable, Fraternal, or Civic Organizations and Activities
Rule 2-3.8 Appointments to Fiduciary Positions
Rule 2-3.9 Service as Arbitrator or Mediator
Rule 2-3.10 Practice of Law
Rule 2-3.11 Financial, Business, or Remunerative Activities
Rule 2-3.12 Compensation for Extrajudicial Activities
Rule 2-3.13 Acceptance and Reporting of Gifts, Loans, Bequests, Benefits, or Other Things of Value
Rule 2-3.14 Reimbursement of Expenses and Waivers of Fees or Charges
Rule 2-3.15 Reporting Requirements
RULE 2-3.1 Extrajudicial Activities in General
A judge may engage in extrajudicial activities, except as prohibited by law or this code. However, when engaging in extrajudicial activities, a judge shall not:
(A) Participate in activities that will interfere with the proper performance of the judge’s judicial duties;
(B) Participate in activities that will lead to frequent recusal of the judge;
(C) Participate in activities that would demean the judicial office or cast reasonable doubt on the judge’s capacity to act impartially as a judge;
(D) Engage in conduct that would appear to a reasonable person to be coercive.
Amendment history: (Adopted Jan. 29, 1998, eff. Jan. 1, 1999. Amended Nov. 25, 2003, eff. Jan. 1, 2004; Dec. 16, 2011, eff. Jan. 1, 2012.)
Plain-English Summary (for reference only — not a substitute for the rule text above)
This summary is not the rule. The rule text controls.
Judges have lives outside the courtroom, and this rule covers how they should handle activities outside their official duties. The main idea is that judges can take part in personal, business, community, and charitable activities, but they need to be careful about how these activities might affect their work as a judge.
The rule lists several specific situations judges need to think about. These include things like serving on boards, testifying in other cases, taking on paid work outside their judge duties, accepting gifts, joining organizations, and handling money or property for other people. Each of these areas has its own rule that explains what a judge can and cannot do.
The general rule at the start (2-3.1) sets up the basic guidelines. A judge can do outside activities as long as those activities don't get in the way of doing the judge's job properly. A judge also cannot take part in activities that would force them to step aside from cases too often, make the judge's role look bad, make people doubt whether the judge can be fair, or make the judge seem like they're pressuring or threatening someone.
In short, this rule tells judges to think ahead about how their personal choices and outside activities might affect their ability to do their job fairly and keep the public's trust.
Committee Notes
Comment
[1] Complete separation of a judge from extrajudicial activities is neither possible nor wise; a judge should not become isolated from the community in which the judge lives. As a judicial officer and person specially learned in the law, a judge is in a unique position to contribute to the improvement of the law, the legal system, and the administration of justice, including revision of substantive and procedural law and improvement of criminal and juvenile justice.To the extent that time permits, a judge is encouraged to do so, either independently or through a bar association, judicial conference or other organization dedicated to the improvement of the law. Judges may participate in efforts to promote the fair administration of justice, the independence of the judiciary, and the integrity of the legal profession and may express opposition to the persecution of lawyers and judges in other countries because of their professional 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 Rule 2-3.1.
[2] Participation in both law-related and other extrajudicial activities helps integrate judges into their communities, and furthers public understanding of and respect for courts and the judicial system.
RULE 2-3.2 Appearances before Governmental Bodies and Consultation with Government Officials
(A) Judges possess special expertise in matters of law, the legal system, and the administration of justice and may properly share that expertise with governmental bodies and executive or legislative branch officials.
(B) A judge also may consult with governmental bodies and executive or legislative branch officials when the judge is self-represented in a matter involving the judge or the judge's legal or economic interests.
(C) In all other respects, a judge shall not appear voluntarily at a public hearing before, or otherwise consult with, an executive or a legislative body or official.
Comment
In appearing before governmental bodies, judges must be mindful that they remain subject to other provisions of this code, such as Rule 2-1.3, prohibiting judges from using the prestige of office to advance their own or others’ interests, Rule 2-2.10, governing public comment on pending and impending matters, and Rule 2-3.1(C), prohibiting judges from engaging in extrajudicial activities that would demean the judicial office or cast reasonable doubt on the judge’s capacity to act impartially as a judge.
In engaging in such activities judges also must not refer to their judicial positions and must otherwise exercise caution to avoid using the prestige of judicial office.
RULE 2-3.3 Testifying as a Character Witness
A judge shall not testify as a character witness in a judicial, administrative, or other adjudicatory proceeding, except when duly subpoenaed.
Comment
[1] A judge must not testify voluntarily as a character witness because to do so may lend the prestige of the judicial office in support of the party for whom the judge testifies. Moreover when a judge testifies as a witness, a lawyer who regularly appears before the judge may be placed in the awkward position of cross-examining the judge. A judge may, however, testify when properly subpoenaed. Except in unusual circumstances where the demands of justice require, a judge should discourage a party from requiring the judge to testify as a character witness.
[2] Testifying as to the qualifications of a judicial nominee at a confirmation hearing does not violate this Rule 2-3.3.
RULE 2-3.4 Appointments to Governmental Positions
A judge shall not accept appointment to a governmental committee, board, commission, or other governmental position, unless it is one that concerns the law, the legal system, or the administration of justice.
Comment
[1] Rule 2-3.4 implicitly acknowledges the value of judges accepting appointments to entities that concern the law, the legal system, or the administration of justice. Even in such instances, however, a judge should assess the appropriateness of accepting an appointment, paying particular attention to the subject matter of the appointment and the availability and allocation of judicial resources, including the judge's time commitments, and giving due regard to the requirements of the independence and impartiality of the judiciary.
[2] A judge may represent a country, state, or locality on ceremonial occasions or in connection with historical, educational, or cultural activities. Such representation does not constitute acceptance of a government position.
RULE 2-3.5 Use of Nonpublic Information
A judge shall not knowingly disclose or use nonpublic information acquired in a judicial capacity for any purpose unrelated to the judge’s judicial duties.
Comment
[1] In the course of performing judicial duties, a judge may acquire information of commercial or other value that is unavailable to the public. The judge must not reveal or use such information for personal gain or for any purpose unrelated to his or her judicial duties.
[2] This Rule 2-3.5 is not intended, however, to affect a judge’s ability to act on information as necessary to protect the health or safety of the judge or a member of a judge’s family, court personnel, other judicial officers, or members of the public, if consistent with other provisions of this code.
RULE 2-3.6 Affiliation with Discriminatory Organizations
(A) A judge shall not hold membership in any organization that practices invidious discriminatory conduct against any person who is protected by law from discrimination.
(B) A judge shall not use the benefits or facilities of an organization if the judge knows or should know that the organization practices invidious discrimination. A judge’s attendance at an event in a facility of an organization that the judge is not permitted to join is not a violation of this Rule 2-3.6 when the judge’s attendance is an isolated event that could not reasonably be perceived as an endorsement of the organization’s practices.
Comment
[1] A reasonable person standard should be used to determine whether a judge’s membership in the organization creates the perception that the judge’s impartiality, integrity or independence is impaired.
[2] Whether an organization practices invidious discrimination is a complex question to which judges should be attentive. The answer cannot be determined from a mere examination of an organization’s current membership rolls, but rather, depends upon how the organization selects members, as well as other relevant factors, such as whether the organization is dedicated to the preservation of religious, ethnic, or cultural values of legitimate common interest to its members, or whether it is an intimate, purely private organization whose membership limitations could not constitutionally be prohibited.
[3] When a judge learns that an organization to which the judge belongs engages in invidious discrimination against any person who is protected by law from discrimination, the judge must resign from the organization unless the organization corrects its practice within six months.
[4] A judge’s membership in a religious organization as a lawful exercise of the freedom of religion is not a violation of this Rule 2-3.6.
[5] This Rule 2-3.6 does not apply to national or state military service.
RULE 2-3.7 Participation in Educational, Religious, Charitable, Fraternal, or Civic Organizations and Activities
(A) 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 Rule 2.
(1) A judge may assist such an organization in planning fund-raising and may participate in the management and investment of the organization’s funds but shall not personally participate in the solicitation of funds or other fund raising activities, except that a judge may solicit funds from other judges over whom the judge does not exercise supervisory or appellate authority.
(2) A judge shall not personally participate in membership solicitation if the solicitation might reasonably be perceived as coercive or, except as permitted in Rule 2-3.7(A)(1), if the membership solicitation is essentially a fund-raising mechanism.
(3) A judge may make recommendations to public and private fund-granting organizations on projects and program concerning the law, the legal system or the administration of justice.
(4) A judge shall not serve as an officer, director, trustee or nonlegal advisor if it is likely that the organization:
(a) will be engaged in proceedings that would ordinarily come before the judge, or
(b) 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.
(5) A judge as an officer, director, trustee or nonlegal advisor or as a member or otherwise shall not use or permit the use of the prestige of judicial office for fund-raising or membership solicitation.
(B) A judge may encourage lawyers to provide pro bono publico legal services.
Comment
[1] The changing nature of some organizations and of their relationship to the law makes it necessary for a judge regularly to reexamine the activities of each organization with which the judge is affiliated to determine if it is proper for the judge to continue the affiliation. For example, charitable hospitals are now more frequently in court than in the past. Similarly, the boards of some legal aid organizations now make policy decisions that may have political significance or imply commitment to causes that may come before the courts for adjudication.
[2] Mere attendance at an event, whether or not the event serves a fund-raising purpose, does not constitute a violation of paragraph (A)(4). It is also generally permissible for a judge to serve as an usher or a food server or preparer, or to perform similar functions, at fund-raising events sponsored by educational, religious, charitable, fraternal, or civic organizations. Such activities are not solicitation and do not present an element of coercion or abuse the prestige of judicial office.
[3] Identification of a judge’s position in educational, religious, charitable, fraternal, or civic organizations on letterhead used for fund-raising or membership solicitation does not violate this Rule 2-3.7. The letterhead may list the judge’s title or judicial office if comparable designations are used for other persons.
[4] In addition to appointing lawyers to serve as counsel for indigent parties in individual cases, a judge may promote broader access to justice by encouraging lawyers to participate in pro bono publico legal services, if in doing so the judge does not employ coercion, or abuse the prestige of judicial office. Such encouragement may take many forms, including providing lists of available programs, training lawyers to do pro bono publico legal work, and participating in events recognizing lawyers who have done pro bono publico work.
RULE 2-3.8 Appointments to Fiduciary Positions
(A) A judge shall not accept appointment to serve in a fiduciary position, such as executor, administrator, trustee, conservator, guardian, attorney in fact, or other personal representative, except for the estate, trust, or person of a member of the judge’s family, and then only if such service will not interfere with the proper performance of judicial duties.
(B) A judge shall not serve in a fiduciary position if the judge as fiduciary will likely be engaged in proceedings that would ordinarily come before the judge, or if the estate, trust, or ward becomes involved in adversary proceedings in the court on which the judge serves, or one under its appellate jurisdiction.
(C) A judge acting in a fiduciary capacity shall be subject to the same restrictions on engaging in financial activities that apply to a judge personally.
(D) If a person who is serving in a fiduciary position becomes a judge, he or she must comply with this Rule 2-3.8 as soon as reasonably practicable, but in no event later than one year after becoming a judge.
Comment
[1] A judge should recognize that other restrictions imposed by this code may conflict with a judge’s obligations as a fiduciary; in such circumstances, a judge should resign as fiduciary. For example, serving as a fiduciary might require frequent recusal of a judge under Rule 2-2.11 because a judge is deemed to have an economic interest in shares of stock held by a trust if the amount of stock held is more than de minimis.
RULE 2-3.9 Service as Arbitrator or Mediator
A judge shall not act as an arbitrator or a mediator or perform other judicial functions apart from the judge’s official duties unless expressly authorized by law.
Comment
[1] This Rule 2-3.9 does not prohibit a judge from participating in arbitration, mediation, or settlement conferences performed as part of assigned judicial duties. Rendering dispute resolution services apart from those duties, whether or not for economic gain, is prohibited unless it is expressly authorized by law.
RULE 2-3.10 Practice of Law
A judge shall not practice law. A judge may represent himself or herself and may, without compensation, give legal advice to and draft or review documents for a member of the judge’s family, but is prohibited from serving as the family member’s lawyer in any forum.
Comment
[1] A judge may represent him or herself in all legal matters, including matters involving litigation and matters involving appearances before or other dealings with governmental bodies. A judge may practice law as part of his or her military service. A judge must not use the prestige of office to advance the judge’s personal or family interests. See Rule 2-1.3.
RULE 2-3.11 Financial, Business, or Remunerative Activities
(A) A judge may hold and manage investments of the judge and members of the judge’s family.
(B) A judge shall not serve as an officer, director, manager, general partner, advisor, or employee of any business entity if it will:
(1) interfere with the proper performance of judicial duties;
(2) lead to frequent recusal of the judge;
(3) involve the judge in frequent transactions or continuing business relationships with lawyers or other persons likely to come before the court on which the judge serves; or
(4) result in violation of other provisions of this code.
Comment
[1] Judges are generally permitted to engage in financial activities, including managing real estate and other investments for themselves or for members of their families. Participation in these activities, like participation in other extrajudicial activities, is subject to the requirements of this code. For example, it would be improper for a judge to spend so much time on business activities that it interferes with the performance of judicial duties. See Rule 2-2.1. Similarly, it would be improper for a judge to use his or her official title or appear in judicial robes in business advertising, or to conduct his or her business or financial affairs in such a way that recusal is frequently required. See Rules 2-1.3 and 2-2.11.
[2] As soon as practicable without serious financial detriment, the judge must divest himself or herself of investments and other financial interests that might require frequent recusal or otherwise violate this Rule 2-3.11.
RULE 2-3.12 Compensation for Extrajudicial Activities
A judge may accept reasonable compensation for extrajudicial activities permitted by this code or other law unless such acceptance would appear to a reasonable person to undermine the judge’s independence, integrity, or impartiality.
Comment
[1] A judge is permitted to accept honoraria, stipends, fees, wages, salaries, royalties, or other compensation for speaking, teaching, writing, and other extrajudicial activities, provided the compensation is reasonable and commensurate with the task performed. The judge should be mindful, however, that judicial duties must take precedence over other activities. See Rule 2-2.1.
[2] Compensation derived from extrajudicial activities may be subject to public reporting. See Rule 2-3.15.
RULE 2-3.13 Acceptance and Reporting of Gifts, Loans, Bequests, Benefits, or Other Things of Value
(A) A judge shall not accept any gifts, loans, bequests, benefits, or other things of value, if acceptance is prohibited by law or would appear to a reasonable person to undermine the judge’s independence, integrity, or impartiality.
(B) Unless otherwise prohibited by law, or by paragraph (A), a judge may accept, but must report if required by section 105.485, RSMo, the following without publicly reporting such acceptance:
(1) items with little intrinsic value, such as plaques, certificates, trophies, and greeting cards;
(2) gifts, loans, bequests, benefits, or other things of value from friends, relatives, or other persons, including lawyers, whose appearance or interest in a proceeding pending or impending before the judge would in any event require recusal of the judge under Rule 2-2.11;
(3) ordinary social hospitality, including wedding, engagement or shower gifts;
(4) commercial or financial opportunities and benefits, including special pricing and discounts, and loans from lending institutions in their regular course of business, if the same opportunities and benefits or loans are made available on the same terms to similarly situated persons who are not judges;
(5) rewards and prizes given to competitors or participants in random drawings, contests, or other events that are open to persons who are not judges;
(6) scholarships, fellowships, and similar benefits or awards, if they are available to similarly situated persons who are not judges, based upon the same terms and criteria;
(7) books, magazines, journals, audiovisual materials, and other resource materials supplied by publishers on a complimentary basis for official use; or
(8) gifts, awards, or benefits associated with the business, profession, or other separate activity of a spouse, or other family member of a judge residing in the judge’s household, but that incidentally benefit the judge.
(C) Unless otherwise prohibited by law or by paragraph (A), a judge may accept the following items, and must report such acceptance to the extent required by Rule 2-3.15:
(1) gifts incident to a public testimonial;
(2) invitations to the judge and the judge’s spouse, or guest to attend without charge:
(a) an event associated with a bar-related function or other activity relating to the law, the legal system, or the administration of justice; or
(b) an event associated with any of the judge’s educational, religious, charitable, fraternal or civic activities permitted by this code, if the same invitation is offered to nonjudges who are engaged in similar ways in the activity as is the judge; and
(3) gifts, loans, bequests, benefits, or other things of value, if the source is a party or other person, including a lawyer, who has come or is likely to come before the judge, or whose interests have come or are likely to come before the judge.
Comment
[1] Whenever a judge accepts a gift or other thing of value without paying fair market value, there is a risk that the benefit might be viewed as intended to influence the judge’s decision in a case. Rule 2-3.13 imposes restrictions upon the acceptance of such benefits, according to the magnitude of the risk. Paragraph (B) identifies circumstances in which the risk that the acceptance would appear to undermine the judge’s independence, integrity, or impartiality is low, and explicitly provides that such items need not be publicly reported. As the value of the benefit or the likelihood that the source of the benefit will appear before the judge increases, the judge is either prohibited under paragraph (A) from accepting the gift, or required under paragraph (C) to publicly report it.
[2] Gift-giving between friends and relatives is a common occurrence, and ordinarily does not create an appearance of impropriety or cause reasonable persons to believe that the judge’s independence, integrity, or impartiality has been compromised. In addition, when the appearance of friends or relatives in a case would require the judge’s recusal under Rule 2-2.11, there would be no opportunity for a gift to influence the judge’s decision making. Paragraph (B)(2) places no restrictions upon the ability of a judge to accept gifts or other things of value from friends or relatives under these circumstances, and does not require public reporting.
[3] Businesses and financial institutions frequently make available special pricing, discounts, and other benefits, either in connection with a temporary promotion or for preferred customers, based upon longevity of the relationship, volume of business transacted, and other factors. A judge may freely accept such benefits if they are available to the general public, or if the judge qualifies for the special price or discount according to the same criteria as are applied to persons who are not judges. As an example, loans provided at generally prevailing interest rates are not gifts, but a judge could not accept a loan from a financial institution at below-market interest rates unless the same rate was being made available to the general public for a certain period of time or only to borrowers with specified qualifications that the judge also possesses.
[4] Rule 2-3.13 applies only to acceptance of gifts or other things of value by a judge. Nonetheless, if a gift or other benefit is given to the judge’s spouse, or member of the judge’s family residing in the judge’s household, it may be viewed as an attempt to evade Rule 2-3.13 and influence the judge indirectly. Where the gift or benefit is being made primarily to such other persons, and the judge is merely an incidental beneficiary, this concern is reduced. A judge should, however, remind family and household members of the restrictions imposed upon judges, and urge them to take these restrictions into account when making decisions about accepting such gifts or benefits.
[5] Rule 2-3.13 does not apply to contributions to a judge’s campaign for judicial office. Such contributions are governed by other rules of this code, including Rules 2-4.1 and 2-4.2.
RULE 2-3.14 Reimbursement of Expenses and Waivers of Fees or Charges
(A) Unless otherwise prohibited by Rules 2-3.1 and 2-3.13(A) or other law, a judge may accept reimbursement of necessary and reasonable expenses for travel, food, lodging, or other incidental expenses, or a waiver or partial waiver of fees or charges for registration, tuition, and similar items, from sources other than the judge’s employing entity, if the expenses or charges are associated with the judge’s participation in extrajudicial activities permitted by this code.
(B) Reimbursement of expenses for necessary travel, food, lodging, or other incidental expenses shall be limited to the actual costs reasonably incurred by the judge and, when appropriate to the occasion, by the judge’s spouse, or guest.
(C) A judge who accepts reimbursement of expenses or waivers or partial waivers of fees or charges on behalf of the judge or the judge’s spouse, or guest shall publicly report such acceptance as required by Rule 2-3.15.
Comment
[1] Educational, civic, religious, fraternal, and charitable organizations often sponsor meetings, seminars, symposia, dinners, awards ceremonies, and similar events. Judges are encouraged to attend educational programs, as both teachers and participants, in law-related and academic disciplines, in furtherance of their duty to remain competent in the law. Participation in a variety of other extrajudicial activity is also permitted and encouraged by this code.
[2] Frequently, sponsoring organizations invite certain judges to attend seminars or other events on a fee-waived or partial-fee-waived basis, and sometimes include reimbursement for necessary travel, food, lodging, or other incidental expenses. A judge’s decision whether to accept reimbursement of expenses or a waiver or partial waiver of fees or charges in connection with these or other extrajudicial activities must be based upon an assessment of all the circumstances.
RULE 2-3.15 Reporting Requirements
A judge shall comply with the public reporting requirements of section 105.485, RSMo.