Utah Courts
UCJA Rule 3-109 (Code of Judicial Administration)
UCJA Rule 3-109 (Code of Judicial Administration)
The Utah Code of Judicial Administration Chapters 11-15 have been moved to the Supreme Court Rules of Professional Practice Chapters 1-5
Rule 3-109. Ethics Advisory Committee.
Intent:
To establish the Ethics Advisory Committee (“Committee”) as a resource for judges to request advice on the interpretation and application of the Code of Judicial Conduct.
To establish a process for recording and disseminating opinions on judicial ethics.
Applicability:
This rule applies to the Judiciary.
Statement of the Rule:
(1) Duties.
(1)(A) Written opinions.The Committee is responsible for providing opinions on the interpretation and application of the Code of Judicial Conduct to specific factual situations. The Committee will, in appropriate cases, prepare and publish written opinions concerning the ethical propriety of professional or personal conduct when requested to do so by the Council, the Boards, the Judicial Conduct Commission, judicial officers, court employees, judges pro tempore, or candidates for judicial office. The Committee may interpret statutes, rules, and caselaw when necessary to answer a request for an opinion.
(1)(B) Code of Judicial Conduct.The Committee may, on its own initiate or upon the request of the Council, the Boards, the Judicial Conduct Commission, judicial officers, or court employees, propose amendments to the Code of Judicial Conduct and submit recommendations to the Supreme Court for consideration.
(2) Ethics advisory opinions.
(2)(A) Formal and informal. As used in these rules, the term "informal opinion" refers to an opinion that has been prepared and released by the Committee. The term "formal opinion" refers to an opinion that has been approved and released by the Council. Formal opinions will usually be reserved for situations of substantial and general interest to the public or the Judiciary.
(2)(B) Conduct of others.The Committee will respond to an inquiry into the conduct of others only if:
(2)(B)(i) the inquiry is made by the Council, a Board, or the Judicial Conduct Commission; and
(2)(B)(ii) the inquiry is limited to matters of general interest to the judiciary or a particular court level.
(2)(C) Past conduct.The Committee will not answer requests for legal opinions or inquiries concerning conduct that has already taken place, unless it is of an ongoing nature.
(2)(D) Request submission.Requests for advisory opinions must be addressed to the Committee, submitted to the Office of General Counsel (“General Counsel”) in writing, and include:
(2)(D)(i) a brief statement of the contemplated conduct;
(2)(D)(ii) references to relevant sections of the Code of Judicial Conduct; and
(2)(D)(iii) citations to any relevant ethics opinions or other authority, if known.
(3) Committee review and publication of informal opinion.
(3)(A) Preliminary recommendation.Upon receipt of a request for an advisory opinion, the General Counsel will research the issue and prepare a preliminary recommendation for the Committee's consideration. The opinion request, preliminary recommendation, and supporting authorities must be distributed to Committee members within 21 days of receipt of the request.
(3)(B) Committee comments.Committee members will review the request and recommendation and submit comments to the General Counsel within 14 days of receipt of the request and preliminary recommendation.
(3)(C) Final review.General Counsel will review the comments submitted by Committee members and, within 14 days of receipt of the comments, prepare a responsive informal opinion in writing which will be distributed to the Committee for approval.
(3)(D) Majority vote.A majority vote of Committee members is required for issuance of an informal opinion. Alternatively, the Committee may by majority vote refer the request to the Council without issuing an informal opinion. The vote may be obtained by electronic means or, upon the request of a Committee member, the chair may continue the vote until the next meeting of the Committee.
(3)(E) Release to requester. Informal opinions will be released to the requesting party within 60 days of receipt of the request unless the chair determines that additional time is needed for the Committee members to deliberate and finalize the opinion or the matter is referred to the Council.
(3)(F) Issuance.Unless referred to the Council, the Committee will issue the informal opinion within 30 days of its release to the requester.
(3)(G) Expedited review.Upon the written request of a party and for good cause, the Committee may respond to a request within a shorter period of time than provided for in these rules. The requesting party must establish that the request is urgent and requires an abbreviated response time.
(4) Referral of informal opinion to Council. The Council must consider a referral of an informal opinion made: (1) upon a majority vote from the Committee or (2) a motion made by the requesting party within 14 days of release of the informal opinion. Within 60 days of receipt of the referral, the Council will consider the referral and take the following action:
(4)(A) approve or modify the informal opinion and direct the Committee to issue the opinion, as initially drafted or modified, as an informal opinion of the Committee, or
(4)(B) approve or modify the opinion and issue the opinion as a formal opinion of the Council.
(5) Reconsideration of formal and informal opinions.Within 14 days of the issuance of an opinion, a Committee member may request reconsideration. Within 30 days of the issuance of an opinion, a Board or Council member may request reconsideration if they were not the requesting party and the opinion addresses matters of general interest to the Judiciary or to a particular court level.
(5)(A) Reconsideration request submission.Requests for reconsideration of informal opinions must be made in the first instance to the Committee and then to the Council. Requests for reconsideration of formal opinions must be made to the Council. Requests for reconsideration must be in writing, addressed to the chair of the Committee or the Presiding Officer of the Council, submitted to the General Counsel, and include the following:
(5)(A)(i) a brief statement explaining the reasons for reconsideration; and
(5)(A)(ii) identification of any new facts or authorities not previously submitted or considered.
(5)(B) Committee or Council action.The Committee or Council will consider the request as soon as practicable and may take the following action:
(5)(B)(i) approve the request for reconsideration and modify the opinion;
(5)(B)(ii) approve the request for reconsideration and approve the opinion as originally issued; or
(5)(B)(iii) deny the request.
(5)(C) Committee notice.The Committee will be kept advised of the status of any request to reconsider an opinion.
(6) Recusal. Circumstances that require recusal of a judge will require recusal of a Committee member from participation in Committee action. If the chair is recused, a majority of the remaining members will select a chair pro tempore. If a member is recused, the chair may appoint a lawyer or a judge of the same court level and geographic division, if applicable, to assist the Committee with its deliberations. Preference should be given to former members of the Committee.
(7) Publication. All opinions of the Committee and the Council will be numbered upon issuance and published in a format approved by the Council.
(8) Confidentiality.The request for an opinion and the identity of the requesting party is confidential unless waived in writing by the requesting party.
(9) Legal effect. Compliance with an informal opinion will be considered evidence of good faith compliance with the Code of Judicial Conduct. Formal opinions will constitute a binding interpretation of the Code of Judicial Conduct.
(10) Staff support.The Administrative Office will provide staff support through the Office of General Counsel and will distribute opinions in accordance with this rule.
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