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Chapter I. Code of Conduct for United States Judges
CONTENTS
CHAPTER I. CODE OF CONDUCT FOR UNITED STATES JUDGES(1)
Introduction
This Code applies to United States Circuit Judges, District Judges,
Court of International Trade Judges, Court of Federal Claims Judges, Bankruptcy
Judges, and Magistrate Judges. Certain provisions of this Code apply to
special masters and commissioners as indicated in the "Compliance" section.
In addition, the Tax Court, Court of Appeals for Veterans Claims, and Court
of Appeals for the Armed Forces have adopted this Code. Persons to whom
the Code applies must arrange their affairs as soon as reasonably possible
to comply with the Code and should do so in any event within one year of
appointment.
The Judicial Conference has authorized its Committee on Codes of
Conduct to render advisory opinions concerning the application and interpretation
of this Code only when requested by a judge to whom this Code applies.
Requests for opinions and other questions(2)
concerning this Code and its applicability should be addressed to the Chairman
of the Committee on Codes of Conduct as follows:
Chairman, Committee on Codes of Conduct
c/o General Counsel
Administrative Office of the
United States Courts
One Columbus Circle, N.E.
Washington, D.C. 20544
(202) 502-1100
CODE OF CONDUCT FOR UNITED STATES JUDGES(3)
CANON 1
A JUDGE SHOULD UPHOLD THE INTEGRITY
AND INDEPENDENCE OF THE JUDICIARY
An independent and honorable judiciary is indispensable to justice in our
society. A judge should participate in establishing, maintaining, and enforcing
high standards of conduct, and should personally observe those standards,
so that the integrity and independence of the judiciary may be preserved.
The provisions of this Code should be construed and applied to further
that objective.
COMMENTARY
Deference to the judgments and rulings of courts depends upon public confidence
in the integrity and independence of judges. The integrity and independence
of judges depend in turn upon their acting without fear or favor. Although
judges should be independent, they should comply with the law, as well
as the provisions of this Code. Public confidence in the impartiality of
the judiciary is maintained by the adherence of each judge to this responsibility.
Conversely, violation of this Code diminishes public confidence in the
judiciary and thereby does injury to the system of government under law.
The Canons are rules of reason. They should be applied consistent with
constitutional requirements, statutes, other court rules and decisional
law, and in the context of all relevant circumstances. The Code is to be
construed so as not to impinge on the essential independence of judges
in making judicial decisions.
The Code is designed to provide guidance to judges and nominees for judicial
office. The Code may also provide standards of conduct for application
in proceedings under the Judicial Councils Reform and Judicial Conduct
and Disability Act of 1980 (28 U.S.C. §§ 332(d)(1), 372(c)),
although it is not intended that disciplinary action would be appropriate
for every violation of its provisions. Whether disciplinary action is appropriate,
and the degree of discipline to be imposed, should be determined through
a reasonable application of the text and should depend on such factors
as the seriousness of the violation, the intent of the judge, whether there
is a pattern of improper activity, and the effect of the improper activity
on others or on the judicial system. Many of the proscriptions in the Code
are necessarily cast in general terms, and it is not suggested that disciplinary
action is appropriate where reasonable judges might be uncertain as to
whether or not the conduct is proscribed. Furthermore, the Code is not
designed or intended as a basis for civil liability or criminal prosecution.
Finally, the purpose of the Code would be subverted if the Code were invoked
by lawyers for mere tactical advantage in a proceeding.
CANON 2
A JUDGE SHOULD AVOID
IMPROPRIETY AND THE APPEARANCE
OF IMPROPRIETY IN ALL ACTIVITIES
A. A judge should respect and comply with the law and should act at all
times in a manner that promotes public confidence in the integrity and
impartiality of the judiciary.
B. A judge should not allow family, social, or other relationships to influence
judicial conduct or judgment. A judge should not lend the prestige of the
judicial office to advance the private interests of others; nor convey
or permit others to convey the impression that they are in a special position
to influence the judge. A judge should not testify voluntarily as a character
witness.
C. A judge should not hold membership in any organization that practices
invidious discrimination on the basis of race, sex, religion, or national
origin.
COMMENTARY
Canon 2A. Public confidence in the judiciary is eroded by irresponsible
or improper conduct by judges. A judge must avoid all impropriety and appearance
of impropriety. A judge must expect to be the subject of constant public
scrutiny. A judge must therefore accept restrictions that might be viewed
as burdensome by the ordinary citizen and should do so freely and willingly.
The prohibition against behaving with impropriety or the appearance of
impropriety applies to both the professional and personal conduct of a
judge. Because it is not practicable to list all prohibited acts, the proscription
is necessarily cast in general terms that extend to conduct by judges that
is harmful although not specifically mentioned in the Code. Actual improprieties
under this standard include violations of law, court rules or other specific
provisions of this Code. The test for appearance of impropriety is whether
the conduct would create in reasonable minds, with knowledge of all the
relevant circumstances that a reasonable inquiry would disclose, a perception
that the judge's ability to carry out judicial responsibilities with integrity,
impartiality, and competence is impaired.
Canon 2B. The testimony of a judge as a character witness injects
the prestige of the judicial office into the proceeding in which the judge
testifies and may be misunderstood to be an official testimonial. This
Canon, however, does not afford the judge a privilege against testifying
in response to an official summons. 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.
A judge should avoid lending the prestige of judicial office for the advancement
of the private interests of the judge or others. For example, a judge should
not use the judge's judicial position to gain advantage in litigation involving
a friend or a member of the judge's family. In contracts for publication
of a judge's writings, a judge should retain control over the advertising
to avoid exploitation of the judge's office.
A judge should be sensitive to possible abuse of the prestige of office.
A judge should not initiate the communication of information to a sentencing
judge or a probation or corrections officer but may provide to such persons
information in response to a formal request. Judges may participate in
the process of judicial selection by cooperating with appointing authorities
and screening committees seeking names for consideration, and by responding
to official inquiries concerning a person being considered for a judgeship.
Canon 2C. Membership of a judge in an organization that practices
invidious discrimination gives rise to perceptions that the judge's impartiality
is impaired. Canon 2C refers to the current practices of the organization.
Whether an organization practices invidious discrimination is often a complex
question to which judges should be sensitive. The answer cannot be determined
from a mere examination of an organization's current membership rolls but
rather depends on how the organization selects members and other relevant
factors, such as that the organization is dedicated to the preservation
of religious, ethnic or cultural values of legitimate common interest to
its members, or that it is in fact and effect an intimate, purely private
organization whose membership limitations could not be constitutionally
prohibited. See New York State Club Ass'n. Inc. v. City of New
York, 487 U.S. 1, 108 S. Ct. 2225, 101 L. Ed. 2d 1 (1988); Board
of Directors of Rotary International v. Rotary Club of Duarte, 481
U.S. 537, 107 S. Ct. 1940, 95 L. Ed. 2d 474 (1987);
Roberts v. United
States Jaycees, 468 U.S. 609, 104 S. Ct. 3244, 82 L. Ed. 2d 462 (1984).
Other relevant factors include the size and nature of the organization
and the diversity of persons in the locale who might reasonably be considered
potential members. Thus the mere absence of diverse membership does not
by itself demonstrate a violation unless reasonable persons with knowledge
of all the relevant circumstances would expect that the membership would
be diverse in the absence of invidious discrimination. Absent such factors,
an organization is generally said to discriminate invidiously if it arbitrarily
excludes from membership on the basis of race, religion, sex, or national
origin persons who would otherwise be admitted to membership.
Although Canon 2C relates only to membership in organizations that invidiously
discriminate on the basis of race, sex, religion or national origin, a
judge's membership in an organization that engages in any invidiously discriminatory
membership practices prohibited by applicable law violates Canons 2 and
2A and gives the appearance of impropriety. In addition, it would be a
violation of Canons 2 and 2A for a judge to arrange a meeting at a club
that the judge knows practices invidious discrimination on the basis of
race, sex, religion, or national origin in its membership or other policies,
or for the judge to use such a club regularly. Moreover, public manifestation
by a judge of the judge's knowing approval of invidious discrimination
on any basis gives the appearance of impropriety under Canon 2 and diminishes
public confidence in the integrity and impartiality of the judiciary, in
violation of Canon 2A.
When a judge determines that an organization to which the judge belongs
engages in invidious discrimination that would preclude membership under
Canon 2C or under Canons 2 and 2A, the judge is permitted, in lieu of resigning,
to make immediate and continuous efforts to have the organization discontinue
its invidiously discriminatory practices. If the organization fails to
discontinue its invidiously discriminatory practices as promptly as possible
(and in all events within two years of the judge's first learning of the
practices), the judge should resign immediately from the organization.
CANON 3
A JUDGE SHOULD PERFORM THE DUTIES
OF THE OFFICE IMPARTIALLY AND DILIGENTLY
The judicial duties of a judge take precedence over all other activities.
In performing the duties prescribed by law, the judge should adhere to
the following standards:
A. Adjudicative Responsibilities.
(1) A judge should be faithful to and maintain professional competence
in the law, and should not be swayed by partisan interests, public clamor,
or fear of criticism.
(2) A judge should hear and decide matters assigned, unless disqualified,
and should maintain order and decorum in all judicial proceedings.
(3) A judge should be patient, dignified, respectful, and courteous to
litigants, jurors, witnesses, lawyers, and others with whom the judge deals
in an official capacity, and should require similar conduct of those subject
to the judge's control, including lawyers to the extent consistent with
their role in the adversary process.
(4) A judge should accord to every person who is legally interested
in a proceeding, or the person's lawyer, full right to be heard according
to law, and, except as authorized by law, neither initiate nor consider
ex parte communications on the merits, or procedures affecting the
merits, of a pending or impending proceeding. A judge may, however, obtain
the advice of a disinterested expert on the law applicable to a proceeding
before the judge if the judge gives notice to the parties of the person
consulted and the substance of the advice, and affords the parties reasonable
opportunity to respond. A judge may, with consent of the parties, confer
separately with the parties and their counsel in an effort to mediate or
settle pending matters.
(5) A judge should dispose promptly of the business of the court.
(6) A judge should avoid public comment on the merits of a pending
or impending action, requiring similar restraint by court personnel subject
to the judge's direction and control. This proscription does not extend
to public statements made in the course of the judge's official duties,
to the explanation of court procedures, or to a scholarly presentation
made for purposes of legal education.
B. Administrative Responsibilities.
(1) A judge should diligently discharge the judge's administrative
responsibilities, maintain professional competence in judicial administration,
and facilitate the performance of the administrative responsibilities of
other judges and court officials.
(2) A judge should require court officials, staff, and others subject
to the judge's direction and control, to observe the same standards of
fidelity and diligence applicable to the judge.
(3) A judge should initiate appropriate action when the judge becomes
aware of reliable evidence indicating the likelihood of unprofessional
conduct by a judge or lawyer.
(4) A judge should not make unnecessary appointments and should
exercise that power only on the basis of merit, avoiding nepotism and favoritism.
A judge should not approve compensation of appointees beyond the fair value
of services rendered.
(5) A judge with supervisory authority over other judges should
take reasonable measures to assure the timely and effective performance
of their duties.
C. Disqualification.
(1) A judge shall disqualify himself or herself in a proceeding
in which the judge's impartiality might reasonably be questioned, including
but not limited to instances in which:
(a) the judge has a personal bias or prejudice concerning
a party, or personal knowledge of disputed evidentiary facts concerning
the proceeding;
(b) the judge served as lawyer in the matter in controversy,
or a lawyer with whom the judge previously practiced law served during
such association as a lawyer concerning the matter, or the judge or such
lawyer has been a material witness;
(c) the judge knows that the judge, individually or as a fiduciary,
or the judge's spouse or minor child residing in the judge's household,
has a financial interest in the subject matter in controversy or in a party
to the proceeding, or any other interest that could be affected substantially
by the outcome of the proceeding;
(d) the judge or the judge's spouse, or a person related to either
within the third degree of relationship, or the spouse of such a person:
(i) is a party to the proceeding, or an officer, director,
or trustee of a party;
(ii) is acting as a lawyer in the proceeding;
(iii) is known by the judge to have an interest that could be substantially
affected by the outcome of the proceeding; or
(iv) is to the judge's knowledge likely to be a material witness
in the proceeding.
(e) the judge has served in governmental employment and in such capacity
participated as counsel, advisor, or material witness concerning the proceeding
or has expressed an opinion concerning the merits of the particular case
in controversy.
(2) A judge should keep informed about the judge's personal and fiduciary
financial interests, and make a reasonable effort to keep informed about
the personal financial interests of the judge's spouse and minor children
residing in the judge's household.
(3) For the purposes of this section:
(a) the degree of relationship is calculated according
to the civil law system; the following relatives are within the third degree
of relationship: parent, child, grandparent, grandchild, great grandparent,
great grandchild, sister, brother, aunt, uncle, niece and nephew; the listed
relatives include whole and half blood relatives and most step relatives;
(b) "fiduciary" includes such relationships as executor, administrator,
trustee, and guardian;
(c) "financial interest" means ownership of a legal or equitable interest,
however small, or a relationship as director, advisor, or other active
participant in the affairs of a party, except that:
(i) ownership in a mutual or common investment fund that holds securities
is not a "financial interest" in such securities unless the judge participates
in the management of the fund;
(ii) an office in an educational, religious, charitable, fraternal, or
civic organization is not a "financial interest" in securities held by
the organization;
(iii) the proprietary interest of a policy holder in a mutual insurance
company, or a depositor in a mutual savings association, or a similar proprietary
interest, is a "financial interest" in the organization only if the outcome
of the proceeding could substantially affect the value of the interest;
(iv) ownership of government securities is a "financial interest" in the
issuer only if the outcome of the proceeding could substantially affect
the value of the securities.
(d) "proceeding" includes pretrial, trial, appellate review, or other stages
of litigation.
(4) Notwithstanding the preceding provisions of this Canon, if a judge
to whom a matter has been assigned would be disqualified, after substantial
judicial time has been devoted to the matter, because of the appearance
or discovery, after the matter was assigned to him or her, that he or she
individually or as a fiduciary, or his or her spouse or minor child residing
in his or her household, has a financial interest in a party (other than
an interest that could be substantially affected by the outcome), disqualification
is not required if the judge, spouse or minor child, as the case may be,
divests himself or herself of the interest that provides the grounds for
the disqualification.
D. Remittal of Disqualification.
A judge disqualified by the terms of Canon 3C(1), except in the circumstances
specifically set out in subsections (a) through (e), may, instead of withdrawing
from the proceeding, disclose on the record the basis of disqualification.
If the parties and their lawyers after such disclosure and an opportunity
to confer outside of the presence of the judge, all agree in writing or
on the record that the judge should not be disqualified, and the judge
is then willing to participate, the judge may participate in the proceeding.
The agreement shall be incorporated in the record of the proceeding.
COMMENTARY
Canon 3A(3). The duty to hear all proceedings fairly and with patience
is not inconsistent with the duty to dispose promptly of the business of
the court. Courts can be efficient and businesslike while being patient
and deliberate.
The duty under Canon 2 to act in a manner that promotes public confidence
in the integrity and impartiality of the judiciary applies to all the judge's
activities, including the discharge of the judge's adjudicative and administrative
responsibilities. For example, the duty to be respectful of others includes
the responsibility to avoid comment or behavior that can reasonably be
interpreted as manifesting prejudice or bias towards another on the basis
of personal characteristics like race, sex, religion, or national origin.
Canon 3A(4). The proscription against communications concerning
a proceeding includes communications from lawyers, law teachers, and other
persons who are not participants in the proceeding, except to the limited
extent permitted. It does not preclude a judge from consulting with other
judges, or with court personnel whose function is to aid the judge in carrying
out adjudicative responsibilities. A judge should make reasonable efforts
to ensure that this provision is not violated through law clerks or other
staff personnel.
An appropriate and often desirable procedure for a court to obtain the
advice of a disinterested expert on legal issues is to invite the expert
to file a brief amicus-curiae.
Canon 3A(5). In disposing of matters promptly, efficiently and fairly,
a judge must demonstrate due regard for the rights of the parties to be
heard and to have issues resolved without unnecessary cost or delay. A
judge should monitor and supervise cases so as to reduce or eliminate dilatory
practices, avoidable delays and unnecessary costs. A judge should encourage
and seek to facilitate settlement, but parties should not feel coerced
into surrendering the right to have their controversy resolved by the courts.
Prompt disposition of the court's business requires a judge to devote adequate
time to judicial duties, to be punctual in attending court and expeditious
in determining matters under submission, and to insist that court officials,
litigants and their lawyers cooperate with the judge to that end.
Canon 3A(6). The admonition against public comment about the merits
of a pending or impending action continues until completion of the appellate
process. If the public comment involves a case from the judge's own court,
particular care should be taken that the comment does not denigrate public
confidence in the integrity and impartiality of the judiciary in violation
of Canon 2A. This provision does not restrict comments about proceedings
in which the judge is a litigant in a personal capacity, but in mandamus
proceedings when the judge is a litigant in an official capacity, the judge
should not comment beyond the record.
"Court personnel" does not include the lawyers in a proceeding before a
judge. The conduct of lawyers is governed by the rules of professional
conduct applicable in the various jurisdictions.
Canon 3B(3). Appropriate action may include direct communication
with the judge or lawyer who has committed the violation, other direct
action if available, and reporting the violation to the appropriate authorities.
Canon 3B(4). Appointees of the judge include officials such as referees,
commissioners, special masters, receivers, guardians, and personnel such
as clerks, secretaries, and bailiffs. Consent by the parties to an appointment
or an award of compensation does not relieve the judge of the obligation
prescribed by this subsection.
Canon 3C(1)(d)(ii). The fact that a lawyer in a proceeding is affiliated
with a law firm with which a lawyer-relative of the judge is affiliated
does not of itself disqualify the judge. Under appropriate circumstances,
the fact that "the judge's impartiality might reasonably be questioned"
under Canon 3C(1), or that the lawyer-relative is known by the judge to
have an interest in the law firm that could be "substantially affected
by the outcome of the proceeding" under Canon 3C(1)(d)(iii) may require
the judge's disqualification.
NOTE: In September 1985, the Judicial Conference approved a form
developed by the Advisory Committee on Codes of Conduct entitled "Notice
Concerning Waiver of Judicial Disqualification" and authorized its distribution
for consideration and possible adoption by the courts. The form is reprinted
below.
NOTICE CONCERNING WAIVER OF JUDICIAL
DISQUALIFICATION
| FROM: |
The Clerk |
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Date_______________ |
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| TO: |
XXXX (Counsel) |
XXXX (Counsel) |
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XXXX |
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| RE: |
ABC v. DEF, Case No. |
__________________ |
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Canon 3D of the Code of Conduct provides (with exceptions not pertinent
to this case) that when a judge is disqualified in a proceeding because
"the judge's impartiality might reasonably be questioned", the judge may
participate in the proceeding if all the parties and lawyers, after notice
of the basis for the disqualification, agree in writing to waive the disqualification
under a procedure independent of the judge's participation.
Unless a waiver is obtained from all parties and all counsel, Judge
________________ intends to disqualify in this proceeding because of these
circumstances:
If you and your client(s) wish to waive the judge's disqualification,
letters to that effect from you and from your client(s) must be sent to
me within ______ days of the date of this Notice. The letters should not
be sent to the judge and copies should not be sent to other counsel. If
all parties and all counsel submit such letters, this Notice and all responses
will be made part of the record, as required by Canon 3D, and the judge
will continue participation in the proceeding. If a waiver is not received
from all parties and all counsel, this Notice and any responses will be
kept under seal by the clerk and not shown to the judge, nor will the judge
be informed of the identity of any party or lawyer who declined to waive
the disqualification. If the disqualification is not waived, the case will
be reassigned to another judge.
CANON 4
A JUDGE MAY ENGAGE
IN EXTRA-JUDICIAL ACTIVITIES TO IMPROVE THE LAW,
THE LEGAL SYSTEM, AND THE ADMINISTRATION OF JUSTICE
A judge, subject to the proper performance of judicial duties, may
engage in the following law-related activities, if in doing so the judge
does not cast reasonable doubt on the capacity to decide impartially any
issue that may come before the judge:
A. A judge may speak, write, lecture, teach, and participate in
other activities concerning the law, the legal system, and the administration
of justice.
B. A judge may appear at a public hearing before, or otherwise consult
with, an executive or legislative body or official on matters concerning
the law, the legal system, and the administration of justice to the extent
that it would generally be perceived that a judge's judicial experience
provides special expertise in the area. A judge acting pro se may also
appear before or consult with such officials or bodies in a matter involving
the judge or the judge's interest.
C. A judge may serve as a member, officer, or director of an organization
or governmental agency devoted to the improvement of the law, the legal
system, or the administration of justice. A judge may assist such an organization
in planning fund-raising activities and may participate in the management
and investment of funds, but should not personally participate in public
fund-raising activities. A judge may make recommendations to public and
private fund-granting agencies on projects and programs concerning the
law, the legal system, and the administration of justice. A judge may solicit
funds from other judges over whom the judge does not exercise supervisory
or appellate authority. A judge shall not personally participate in membership
solicitation if the solicitation might reasonably be perceived as coercive
or is essentially a fund-raising mechanism.
D. A judge should not use to any substantial degree judicial chambers,
resources, or staff to engage in activities permitted by this Canon.
COMMENTARY
Canon 4. 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 the judge's time permits, the
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. Within the boundaries of applicable law, see, e.g.,
18 U.S.C. § 953, a judge may express opposition to the persecution
of lawyers and judges anywhere in the world if the judge has ascertained,
after reasonable inquiry, that the persecution is occasioned by conflict
between the professional responsibilities of the persecuted judge or lawyer
and the policies or practices of the relevant government.
Canon 4C. Service on the board of a public, as well as private,
law school is permissible.
A judge may attend fund-raising activities of a law-related organization
although the judge may not be a speaker, guest of honor, or featured on
the program of such an event.
CANON 5
A JUDGE SHOULD REGULATE
EXTRA-JUDICIAL ACTIVITIES TO MINIMIZE
THE RISK OF CONFLICT WITH JUDICIAL DUTIES
A. Avocational Activities. A judge may write, lecture, teach,
and speak on non-legal subjects, and engage in the arts, sports, and other
social and recreational activities, if such avocational activities do not
detract from the dignity of the judge's office or interfere with the performance
of the judge's judicial duties.
B. Civic and Charitable Activities. A judge may participate
in civic and charitable activities that do not reflect adversely upon the
judge's impartiality or interfere with the performance of judicial duties.
A judge may serve as an officer, director, trustee, or non-legal advisor
of an educational, religious, charitable, fraternal, or civic organization
not conducted for the economic or political advantage of its members, subject
to the following limitations:
(1) A judge should not serve if it is likely that the organization
will be engaged in proceedings that would ordinarily come before the judge
or will be regularly engaged in adversary proceedings in any court.
(2) A judge should not solicit funds for any educational, religious,
charitable, fraternal, or civic organization, or use or permit the use
of the prestige of the judicial office for that purpose, but the judge
may be listed as an officer, director, or trustee of such an organization.
A judge should not personally participate in membership solicitation if
the solicitation might reasonably be perceived as coercive or is essentially
a fund-raising mechanism.
(3) A judge should not give investment advice to such an organization,
but may serve on its board of directors or trustees even though it has
the responsibility for approving investment decisions.
C. Financial Activities.
(1) A judge should refrain from financial and business
dealings that tend to reflect adversely on the judge's impartiality, interfere
with the proper performance of judicial duties, exploit the judicial position,
or involve the judge in frequent transactions with lawyers or other persons
likely to come before the court on which the judge serves.
(2) Subject to the requirements of subsection (1), a judge may hold
and manage investments, including real estate, and engage in other remunerative
activity, but should not serve as an officer, director, active partner,
manager, advisor, or employee of any business other than a business closely
held and controlled by members of the judge's family. For this purpose,
"members of the judge's family" means persons related to the judge or the
judge's spouse within the third degree of relationship calculated according
to the civil law system, any other relatives with whom the judge or the
judge's spouse maintains a close familial relationship, and the spouse
of any of the foregoing.
(3) A judge should manage 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
should divest himself or herself of investments and other financial interests
that might require frequent disqualification.
(4) A judge should not solicit or accept anything of value from
anyone seeking official action from or doing business with the court or
other entity served by the judge, or from anyone whose interests may be
substantially affected by the performance or nonperformance of official
duties; except that a judge may accept a gift as permitted by the Judicial
Conference gift regulations. A judge should endeavor to prevent a member
of a judge's family residing in the household from soliciting or accepting
a gift except to the extent that a judge would be permitted to do so by
the Judicial Conference gift regulations.
(5) For the purposes of this section "members of the judge's family
residing in the judge's household" means any relative of a judge by blood
or marriage, or a person treated by a judge as a member of the judge's
family, who resides in the judge's household.
(6) A judge should report the value of any gift, bequest, favor,
or loan as required by statute or by the Judicial Conference of the United
States.
(7) A judge is not required by this Code to disclose his or her
income, debts, or investments, except as provided in this Canon and Canons
3 and 6.
(8) Information acquired by a judge in the judge's judicial capacity
should not be used or disclosed by the judge in financial dealings or for
any other purpose not related to the judge's judicial duties.
D. Fiduciary Activities. A judge should not serve as the executor,
administrator, trustee, guardian, 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.
"Member of the judge's family" means any relative of a judge by blood,
adoption, or marriage or any other person treated by a judge as a member
of the judge's family.
As a family fiduciary a judge is subjected to the following restrictions:
(1) The judge should not serve if it is likely that as
a fiduciary the judge 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.
(2) While acting as a fiduciary a judge is subject to the same restrictions
on financial activities that apply to the judge in his or her personal
capacity.
E. Arbitration. A judge should not act as an arbitrator or mediator
or otherwise perform judicial functions in a private capacity unless expressly
authorized by law.
F. Practice of Law. A judge should not practice law. Notwithstanding
this prohibition, a judge may act pro se and may, without compensation,
give legal advice to and draft or review documents for a member of the
judge's family.
G. Extra-judicial Appointments. A judge should not accept
appointment to a governmental committee, commission, or other 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,
unless appointment of a judge is required by Act of Congress. A judge should
not, in any event, accept such an appointment if the judge's governmental
duties would interfere with the performance of judicial duties or tend
to undermine the public confidence in the integrity, impartiality, or independence
of the judiciary. A judge may represent the judge's country, state, or
locality on ceremonial occasions or in connection with historical, educational,
and cultural activities.
H. Chambers, Resources, and Staff. A judge should not use
judicial chambers, resources, or staff to engage in activities permitted
by this Canon, except for uses that are de minimis.
COMMENTARY
Canon 5A. Complete separation of a judge from extra-judicial
activities is neither possible nor wise; a judge should not become isolated
from the society in which the judge lives.
Canon 5B(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 judge's
relationship with it. For example, in many jurisdictions 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.
Canon 5B(2) and (3). A judge may attend fund-raising activities
of the organization although the judge may not be a speaker, a guest of
honor, or featured on the program of such an event. Use of an organization's
letterhead for fund-raising or membership solicitation does not violate
Canons 5B(2) and (3) provided the letterhead lists only the judge's name
and position in the organization, and, if comparable designations are listed
for other persons, the judge's judicial designation.
Canon 5C. Canon 3 requires a judge to disqualify in any proceeding
in which the judge has a financial interest, however small; Canon 5 requires
a judge to refrain from engaging in business and from financial activities
that might interfere with the impartial performance of the judge's judicial
duties; Canon 6 requires a judge to report all compensation received for
activities outside the judicial office. A judge has the rights of an ordinary
citizen with respect to financial affairs, except for limitations required
to safeguard the proper performance of the judge's duties. A judge's participation
in a closely held family business, while generally permissible, may be
prohibited if it takes too much time or involves misuse of judicial prestige
or if the business is likely to come before the judge's court. Owning and
receiving income from investments do not as such affect the performance
of a judge's duties.
Canon 5C(4). Reimbursement or direct payment of travel expenses
may be a gift and, if so, its acceptance is governed by Canons 5C(4) and
(5). A judge or employee may receive as a gift travel expense reimbursement
including the cost of transportation, lodging, and meals, for the judge
and a relative incident to the judge's attendance at a bar-related function
or at an activity devoted to the improvement of the law, the legal system,
or the administration of justice.
Canon 5D. Mere residence in the household of a judge is insufficient
for a person to be considered a member of the judge's family for purposes
of this Canon. The person must be treated by the judge as a member of the
judge's family.
Canon 5D(1). The Applicable Date of Compliance provision
of this Code qualifies this subsection with regard to a judge who is an
executor, administrator, trustee, or other fiduciary at the time this Code
becomes effective.
Canon 5D(2). A judge's obligation under this Code and the
judge's obligation as a fiduciary may come into conflict. For example,
a judge should resign as trustee if it would result in detriment to the
trust to divest it of holdings whose retention would place the judge in
violation of Canon 5C(3).
Canon 5F. This prohibition refers to the practice of law
in a representative capacity and not in a pro se capacity. A judge may
act for himself or herself in all legal matters, including matters involving
litigation and matters involving appearances before or other dealings with
legislative and other governmental bodies. However, in so doing, a judge
must not abuse the prestige of office to advance the interests of the judge
or the judge's family.
Canon 5G. Valuable services have been rendered in the past
to the states and the nation by judges appointed by the executive to undertake
important extra-judicial assignments. The appropriateness of conferring
these assignments on judges must be reassessed, however, in light of the
demands on judicial resources created by today's crowded dockets and the
need to protect the courts from involvement in extra-judicial matters that
may prove to be controversial. Judges should not be expected or permitted
to accept governmental appointments that could interfere with the effectiveness
and independence of the judiciary.
The dangers attendant upon acceptance of extra-judicial governmental
assignments are ordinarily less serious where the appointment of a judge
is required by legislation. Such assignments ordinarily do not involve
excessive commitments of time, and they typically do not pose a serious
threat to the independence of the judiciary.
A code of conduct ought not compel judges to refuse, without regard
to the circumstances, tasks Congress has seen fit to authorize as appropriate
in the public interest. Although legislatively prescribed extra-judicial
assignments should be discouraged, where Congress requires the appointment
of a judge to perform extra-judicial duties, the judge may accept the appointment
provided that the judge's services would not interfere with the performance
of the judge's judicial responsibilities or tend to undermine public confidence
in the judiciary.
CANON 6
A JUDGE SHOULD REGULARLY FILE
REPORTS OF COMPENSATION RECEIVED
FOR LAW-RELATED AND EXTRA-JUDICIAL ACTIVITIES
A judge may receive compensation and reimbursement of expenses for
the law-related and extra-judicial activities permitted by this Code, if
the source of such payments does not give the appearance of influencing
the judge in the judge's judicial duties or otherwise give the appearance
of impropriety, subject to the following restrictions:
A. Compensation. Compensation should not exceed a reasonable
amount nor should it exceed what a person who is not a judge would receive
for the same activity.
B. Expense Reimbursement. Expense reimbursement should be
limited to the actual costs of travel, food, and lodging reasonably incurred
by the judge and, where appropriate to the occasion, by the judge's spouse
or relative. Any payment in excess of such an amount is compensation.
C. Public Reports. A judge should make required financial
disclosures in compliance with applicable statutes and Judicial Conference
regulations and directives.
COMMENTARY
Additional restrictions on the receipt of compensation by judges
are imposed by the Ethics Reform Act of 1989 and regulations promulgated
by the Judicial Conference thereunder. That Act and those regulations should
be consulted before a judge enters into any arrangement involving the receipt
of compensation. The restrictions so imposed include, but are not limited
to: (1) a prohibition against receiving "honoraria" (defined as anything
of value received for a speech, appearance, or article), (2) a prohibition
against receiving compensation for service as a director, trustee, or officer
of a profit or nonprofit organization, (3) a requirement that compensated
teaching activities receive prior approval, and (4) a 15% limitation on
the receipt of "outside earned income."
CANON 7
A JUDGE SHOULD REFRAIN FROM
POLITICAL ACTIVITY
A. A judge should not:
(1) act as a leader or hold any office in a political organization;
(2) make speeches for a political organization or candidate or publicly
endorse or oppose a candidate for public office;
(3) solicit funds for or pay an assessment or make a contribution
to a political organization or candidate, attend political gatherings,
or purchase tickets for political party dinners, or other functions.
B. A judge should resign the judicial office when the judge becomes
a candidate either in a primary or in a general election for any office.
C. A judge should not engage in any other political activity; provided,
however, this should not prevent a judge from engaging in the activities
described in Canon 4.
COMPLIANCE WITH THE CODE OF CONDUCT
Anyone who is an officer of the federal judicial system authorized to perform judicial functions is a judge for the purpose of this Code. All judges should comply with this Code except as provided below.
A. Part-time Judge. A part-time judge is a judge who serves on a continuing or periodic basis, but is permitted by law to devote time to some other profession or occupation and whose compensation for that reason is less than that of a full-time judge. A part-time judge:
(1) is not required to comply with Canons 5C(2), D, E, F, and G, and Canon 6C;
(2) except as provided in the Conflict-of-Interest Rules for Part-time Magistrate Judges, should not practice law in the court on which the judge serves or in any court subject to the appellate jurisdiction of the court on which the judge serves, or act as a lawyer in a proceeding in which the judge has served as a judge or in any other proceeding related thereto.
B. Judge Pro Tempore. A judge pro tempore A judge pro tempore is a person who is appointed to act temporarily as a judge or as a special master.
(1) While acting as such, a judge pro tempore is not required to comply with Canons 5C(2), (3), D, E, F, and G, and Canon 6C; further, one who acts solely as a special master is not required to comply with Canons 4C, 5B (except the first sentence thereof), 5C(4), and 7.
(2) A person who has been a judge pro tempore
should not act as a lawyer in a proceeding in which the judge has served as a judge or in any other proceeding related thereto.
C. Retired Judge. A retired judge who is retired under 28 U.S.C. §§ 371(b) or 372(a), or who is recalled to judicial service, should comply with all the provisions of this Code except Canon 5G, but the judge should refrain from judicial service during the period of an extra-judicial appointment not sanctioned by Canon 5G. All other retired judges who are eligible for recall to judicial service (except those in Territories and Possessions) should comply with the provisions of this Code governing part-time judges. A senior judge in the Territories and Possessions must comply with this Code as prescribed by 28 U.S.C. § 373(c)(5) and (d).
APPLICABLE DATE OF COMPLIANCE
Persons to whom this Code becomes applicable should arrange their
affairs as soon as reasonably possible to comply with it and should do
so in any event within the period of one year following appointment. If,
however, the demands on the person's time and the possibility of conflicts
of interest are not substantial, such a person may continue to act, without
compensation, as an executor, administrator, trustee, or other fiduciary
for the estate or person of one who is not a member of the person's family,
if terminating such relationship would unnecessarily jeopardize any substantial
interest of the estate or person and the judicial council of the circuit
approves.
1. The Code of Conduct for United
States Judges was initially adopted by the Judicial Conference on April
5, 1973, and was known as the "Code of Judicial Conduct for United States
Judges." At its March 1987 session, the Judicial Conference deleted the
word "Judicial" from the name of the Code. Substantial revisions to the
Code were adopted by the Judicial Conference at its September 1992 session.
Section C. of the Compliance section, following the code, was revised at
the March 1996 Judicial Conference. Canons 3C(3)(a) and 5C(4) were revised
at the September 1996 Judicial Conference. Canon 3C(1)(c) was revised at
the September 1999 Judicial Conference. The Compliance Section was clarified at the September 2000
Judicial Conference.
2. Procedural questions may be addressed
to: Office of the General Counsel, Administrative Office of the United
States Courts, Thurgood Marshall Federal Judiciary Building, Washington,
D.C., 20544, (202-502-1100).
3. This Code governs the conduct of United States
Circuit Judges, District Judges, Court of International Trade Judges, Court
of Federal Claims Judges, Bankruptcy Judges, and Magistrate Judges. In
addition, certain provisions of this Code apply to special masters and
commissioners as indicated in the "Compliance" section.
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