Guide to Judiciary Policy 

Vol 2: Ethics and Judicial Conduct 

Pt C: Ethics Statutes, Regulations, and Judicial Conference Resolutions 

Ch 6: Gifts 

§ 610 Statutory Texts on Gifts 

§ 620 Judicial Conference Regulations on Gifts 

§ 620.10 Authority 

§ 620.15 Purpose and Scope 

§ 620.20 Definition of Judicial Officer or Employee 

§ 620.25 Definition of Gift 

§ 620.30 Solicitation of Gifts by a Judicial Officer or Employee 

§ 620.35 Acceptance of Gifts by a Judicial Officer or Employee; Exceptions 

§ 620.40 Solicitation and Acceptance of Gifts Among Judicial Officers and 

Employees
 

§ 620.45 Additional Limitations
 

§ 620.50 Disclosure Requirements
 

§ 620.55 Advisory Opinions
 

§ 620.60 Disposition of Prohibited Gifts
 

§ 620.65 Commentary on Regulations
 

§ 620.70 Notes on Regulations
 

• Gifts to Federal Employees (5 U.S.C. § 7353). 

§ 610 Statutory Texts on Gifts 

The following statutes relate to gifts: 

• Gifts to Superiors (5 U.S.C. § 7351); and 

§ 620 Judicial Conference Regulations on Gifts 

§ 620.10 Authority 

Ethics Reform Act of 1989, Pub. L. No. 101-194, §§ 301 and 303, 103 Stat. 1716, 

1745-1747 (1989), as amended. These regulations are promulgated by the Judicial 

Last substantive revision (Transmittal GR-4) September 2, 2009 

Last revised (minor technical changes) December 14, 2010 
Guide to Judiciary Policy, Vol. 2C, Ch. 6	 Page 2 

Conference of the United States under the authorities of 5 U.S.C. §§ 7351(c), 

7353(b)(1), and 7353(d)(1)(C). 

§ 620.15 Purpose and Scope 

(a)	 These regulations implement 5 U.S.C. §§ 7351 and 7353, which prohibit 

the giving, solicitation, or acceptance of certain gifts by officers and 

employees of the judicial branch and provide for the establishment of 

such reasonable exceptions to those prohibitions as the Judicial 

Conference of the United States finds appropriate. The regulations do not 

proscribe all gifts but only those from certain persons and in certain 

circumstances, specifically defined below. 

(b)	 Nothing in these regulations alters any other requirements imposed by 

statutes, other regulations, or the Codes of Conduct adopted by the 

Judicial Conference of the United States, which may in certain 

circumstances prohibit or advise against acceptance of gifts not prohibited 

by these regulations. 

(c)	 Any violation of any provision of these regulations will make the officer or 

employee involved subject to appropriate disciplinary action. 

§ 620.20 Definition of Judicial Officer or Employee 

In these regulations, a “judicial officer or employee” means a United States circuit 

judge, district judge, judge of the Court of International Trade, judge of the Court of 

Federal Claims, judge and special trial judge of the Tax Court, judge of the Court of 

Appeals for Veterans Claims, bankruptcy judge, magistrate judge, commissioner of the 

Sentencing Commission, and any employee of the judicial branch other than an 

employee of the Supreme Court of the United States or the Federal Judicial Center. 

§ 620.25 Definition of Gift 

“Gift” means any gratuity, favor, discount, entertainment, hospitality, loan, forbearance, 

or other similar item having monetary value but does not include: 

(a)	 social hospitality based on personal relationships; 

(b)	 modest items, such as food and refreshments, offered as a matter of 

social hospitality; 

(c)	 greeting cards and items with little intrinsic value, such as plaques, 

certificates, and trophies, which are intended solely for presentation; 
Guide to Judiciary Policy, Vol. 2C, Ch. 6	 Page 3 

(d) loans from banks and other financial institutions on terms that are 

available based on factors other than judicial status; 

(e)	 opportunities and benefits, including favorable rates and commercial 

discounts, that are available based on factors other than judicial status; 

(f)	 rewards and prizes given to competitors in contests or events, including 

random drawings, that are open to the public and that are available based 

on factors other than judicial status; 

(g)	 scholarships or fellowships awarded on the same terms and based on the 

same criteria applied to other applicants and that are based on factors 

other than judicial status; 

(h)	 anything for which market value is paid by the judicial officer or employee; 

and 

(i)	 any payment, compensation, or reimbursement the acceptance of which 

is permitted by the Regulations of the Judicial Conference Concerning 

Outside Earned Income, Honoraria, and Outside Employment. 

§ 620.30 Solicitation of Gifts by a Judicial Officer or Employee 

A judicial officer or employee shall not solicit a gift from any person who is seeking 

official action from or doing business with the court or other entity served by the judicial 

officer or employee, or from any other person whose interests may be substantially 

affected by the performance or nonperformance of the judicial officer’s or employee’s 

official duties. 

§ 620.35 Acceptance of Gifts by a Judicial Officer or Employee; Exceptions 

(a)	 A judicial officer or employee shall not accept a gift from anyone who is 

seeking official action from or doing business with the court or other entity 

served by the judicial officer or employee, or from any other person whose 

interests may be substantially affected by the performance or 

nonperformance of the judicial officer’s or employee’s official duties. 

(b)	 Notwithstanding this general rule, a judicial officer or employee may 

accept a gift from a donor identified above in the following circumstances: 

(1)	 the gift is made incident to a public testimonial and is fairly 

commensurate with the occasion; 
Guide to Judiciary Policy, Vol. 2C, Ch. 6	 Page 4 

(2)	 the gift consists of books, calendars, tapes, or other resource 

materials supplied on a complimentary basis for official use; 

(3)	 the gift consists of an invitation and travel expenses, including the 

cost of transportation, lodging, and meals for the officer or 

employee and a family member to attend a bar-related function, an 

educational activity, or an activity devoted to the improvement of 

the law, the legal system, or the administration of justice; 

(4)	 the gift is from a relative or friend, if the relative’s or friend’s 

appearance or interest in a matter would in any event require that 

the officer or employee take no official action with respect to the 

matter, or if the gift is made in connection with a special occasion, 

such as a wedding, anniversary, or birthday, and the gift is fairly 

commensurate with the occasion and the relationship; 

(5)	 the gift consists of meals, lodgings, transportation, and other 

benefits customarily provided by a prospective employer in 

connection with bona fide employment discussions, so long as 

conflicts of interest are avoided; 

(6)	 in the case of a judicial officer or employee who has obtained 

employment to commence after judicial employment ends, the gift 

consists of reimbursement of relocation and bar-related expenses 

customarily paid by the employer, so long as conflicts of interest 

are avoided; 

(7)	 the gift is incident to the business, profession or other separate 

activity of the officer or employee or the spouse or other family 

member of an officer or employee residing in the officer’s or 

employee’s household, including gifts for the use of both the 

spouse or other family member and the officer or employee (as 

spouse or family member), so long as the gift is of the type 

customarily provided to others in similar circumstances and is not 

offered or enhanced because of the judicial officer’s or employee’s 

official position; or 

(8)	 the gift (other than cash or investment interests) is to a judicial 

officer or employee other than a judge or a member of a judge’s 

personal staff and has an aggregate market value of $50 or less 

per occasion, provided that the aggregate market value of 

individual gifts accepted from any one person under the authority of 

this subsection shall not exceed $100 in a calendar year. 
Guide to Judiciary Policy, Vol. 2C, Ch. 6	 Page 5 

§ 620.40 Solicitation and Acceptance of Gifts Among Judicial Officers and 

Employees 

A judicial officer or employee shall not solicit a contribution from another officer or 

employee for a gift to an official superior, make a donation as a gift or give a gift to an 

official superior, or accept a gift from an officer or employee receiving less pay than 

himself or herself. This paragraph does not prohibit a judicial officer or employee from 

collecting voluntary contributions for a gift, or making a voluntary gift, to an official 

superior for a special occasion such as marriage, anniversary, birthday, retirement, 

illness, or under other circumstances in which gifts are traditionally given or exchanged. 

§ 620.45 Additional Limitations 

Notwithstanding the provisions of § 620.35, no gift may be accepted by a judicial officer 

or employee if a reasonable person would believe it was offered in return for being 

influenced in the performance of an official act or in violation of any statute or 

regulation, nor may a judicial officer or employee accept gifts from the same or different 

sources on a basis so frequent that a reasonable person would believe that the public 

office is being used for private gain. 

§ 620.50 Disclosure Requirements 

Judicial officers and employees subject to the Ethics in Government Act of 1978 and 

the instructions of the Financial Disclosure Committee of the Judicial Conference of the 

United States must comply with the Act and the instructions in disclosing gifts. 

§ 620.55 Advisory Opinions 

The Committee on Codes of Conduct of the Judicial Conference of the United States is 

authorized to render advisory opinions interpreting Title III of the Ethics Reform Act of 

1989 (5 U.S.C. §§ 7351 and 7353) and these regulations (JCUS-MAR 90, pp. 14-15). 

Any person covered by the Act and these regulations may request an advisory opinion 

by writing to: 

Chairman of the Committee on Codes of Conduct
 

c/o Administrative Office of the United States Courts
 

One Columbus Circle, N.E.
 

Washington, D.C. 20544
 

§ 620.60 Disposition of Prohibited Gifts 

(a)	 A judicial officer or employee who has received a gift that cannot be 

accepted under these regulations should return any tangible item to the 
Guide to Judiciary Policy, Vol. 2C, Ch. 6	 Page 6 

donor, except that a perishable item may be given to an appropriate 

charity, shared within the recipient's office, or destroyed. 

(b)	 A judicial agency may authorize disposition or return of gifts at 

Government expense. 

§ 620.65 Commentary on Regulations 

(a)	 All officers and employees of the judicial branch hold appointive positions. 

Title III of the Ethics Reform Act of 1989 (5 U.S.C. §§ 7351 and 7353) 

thus applies to all officers and employees of the judicial branch. However, 

the Judicial Conference has delegated its administrative and enforcement 

authority under the Act for officers and employees of the Supreme Court 

of the United States to the Chief Justice of the United States and for 

employees of the Federal Judicial Center to its Board. For this reason, 

the definition of “judicial officer or employee” does not include every 

judicial officer or employee whose conduct is governed by Title III. For 

purposes of Title III and these regulations, employees of the Tax Court 

and the Court of Appeals for Veterans Claims are employees of the 

judicial branch. 

(b)	 Several provisions in the regulations refer to persons seeking official 

action from or doing business with a judge’s court. A judge’s court 

encompasses, in the case of an appellate judge, any case coming before 

the court in which the judge personally participates in the decision of the 

court; in the case of a trial court, the judge’s court encompasses only 

cases on the particular judge’s docket and not cases before another judge 

of the same court. 

(c)	 These regulations do not repeal the gift provisions of the Codes of 

Conduct heretofore promulgated by the Judicial Conference. The scope 

of the gift provisions of the Codes exceeds that of these regulations and 

the statute, however, in that they impose certain responsibilities on an 

officer or employee with respect to the acceptance of gifts by members of 

the officer's or employee's family residing in his or her household. Guide, 

Vol 2C, § 620.35 is based upon former Canon 5C(4) of the Code of 

Conduct for United States Judges. 

(d)	 Guide, Vol 2C, § 620.35(b)(3) permits acceptance of travel expenses for a 

judicial officer or employee and one family member to attend bar-related, 

educational, and law-related functions. Where due to infirmity or disability 

the judicial officer or employee requires an accompanying personal or 

medical assistant in order to attend, payment or reimbursement of the 

assistant’s travel expenses is considered a component of the gift to the 
Guide to Judiciary Policy, Vol. 2C, Ch. 6	 Page 7 

judicial officer or employee, which may properly be accepted under this 

section. 

(e) A judge covered by the Judicial Councils Reform and Judicial Conduct 

and Disability Act of 1980 (28 U.S.C. §§ 332(d)(1) , 351 to 364) who

violates these regulations shall be subject to discipline as provided in that 

Act. Any other judicial officer or employee who violates these regulations 

shall be subject to discipline in accordance with existing customary 

practices. 

§ 620.70 Notes on Regulations 

(a)	 The “Regulations of the Judicial Conference of the United States Under 

Title III of the Ethics Reform Act of 1989 Concerning Gifts” were adopted 

on May 18, 1990, by the Judicial Conference, through its Executive 

Committee (JCUS-SEP 90, p. 60). 

(b)	 On August 15, 1990, the Judicial Conference, through its Executive 

Committee, amended these regulations to implement the prohibition 

against gifts to superiors as required by the Ethics Reform Act of 1989, 

5 U.S.C. § 7351. 

(c)	 At its March 1991 session, the Judicial Conference amended these 

regulations to include procedures for requesting advisory opinions from 

the Committee on Codes of Conduct interpreting Title III and these 

regulations (JCUS-MAR 91, p. 14). 

(d)	 These regulations were amended by the Judicial Conference at its 

September 1991 session to cover the Tax Court and the Sentencing 

Commission and make certain minor technical corrections (JCUS-SEP 91, 

p. 54). 

(e)	 The Judicial Conference amended these regulations at its March 1992 

session to cover judges and employees of the Court of Appeals for 

Veterans Claims (JCUS-MAR 92, pp. 16-17). 

(f)	 At its September 1994 session, the Judicial Conference renumbered 

these regulations and revised them to include a new definition of the term 

“gift;” a new section 4(a) prohibiting the solicitation of gifts; revised 

sections 4(b), 5(b), and 6 incorporating general limitations on the 

acceptance of gifts; a new section 5(h) permitting most employees to 

accept gifts of minimal value; and a new section 9 regarding the return or 

disposal of gifts that may not properly be accepted (JCUS-SEP 94, p. 46). 
Guide to Judiciary Policy, Vol. 2C, Ch. 6	 Page 8 

(g)	 The Judicial Conference amended these regulations at its March 1997 

session to add a new subsection (i) (the existing subsection (i) was 

renumbered (j)) (JCUS-MAR 97, pp. 14-15). 

(h) 	 The Judicial Conference adopted revised and renumbered regulations in 

September 2003. The revisions did not, except in a few modest respects, 

alter the substantive standards embodied in the former regulations as they 

had previously been interpreted and applied (JCUS-SEP 03, pp. 11-12). 
Guide to Judiciary Policy 

Vol 2: Ethics and Judicial Conduct 

Pt C: Ethics Statutes, Regulations, and Judicial Conference Resolutions 

Ch 10: Outside Earned Income, Honoraria, and Employment 

§ 1010 Statutory Texts on Outside Earned Income, Honoraria, and Employment 

§ 1020 Judicial Conference Regulations on Outside Earned Income, Honoraria, and 

Outside Employment 

§ 1020.10 Authority 

§ 1020.15 Purpose and Scope 

§ 1020.20 Definitions 

§ 1020.25 Outside Earned Income Limitations 

§ 1020.30 Prohibition on Receipt of Honoraria 

§ 1020.35 Limitations on Outside Employment 

§ 1020.40 Advisory Opinions 

§ 1020.45 Effective Date 

§ 1020.50 Commentary on Regulations 

§ 1020.55 Notes on Regulations 

§ 1010 Statutory Texts on Outside Earned Income, Honoraria, and Employment 

The following statutes relate to Outside Earned Income, Honoraria, and Employment 

• Government-Wide Limitations on Outside Earned Income and 

Employment (5 U.S.C. App. §§ 501-505 ); 

• Outside Earned Income Limitation (5 U.S.C. App. § 501); 

• Limitations on Outside Employment (5 U.S.C. App. § 502 ); 

• Administration (5 U.S.C. App. § 503); 

• Civil Penalties (5 U.S.C. App. § 504); 

• Definitions (5 U.S.C. App. § 505); and 

• Tax Treatment of Honoraria Donated to Charity (26 U.S.C. § 7701(k)). 

Last substantive revision (Transmittal GR-4) September 2, 2009 

Last revised (minor technical changes) December 14, 2010 
Guide to Judiciary Policy, Vol. 2C, Ch. 10	 Page 2 

§ 1020 Judicial Conference Regulations on Outside Earned Income, Honoraria, 

and Outside Employment 

§ 1020.10 Authority 

Ethics Reform Act of 1989, Pub. L. No. 101-194, §§ 601-603, 103 Stat. 1716, 1760­

1763 (1989), as amended. These regulations are promulgated by the Judicial 

Conference of the United States under the authority of 5 U.S.C. App. § 503(3). See 

JCUS-SEP 90, p. 64. 

§ 1020.15 Purpose and Scope 

(a)	 These Regulations of the Judicial Conference of the United States Under 

Title VI of the Ethics Reform Act of 1989 Concerning Outside Earned 

Income, Honoraria, and Outside Employment implement Title VI of the 

Ethics Reform Act of 1989, 5 U.S.C. App. §§ 501-505, by prescribing: 

(1)	 limitations on: 

(A)	 the amount of outside earned income that certain officers 

and employees of the judiciary may receive, and 

(B)	 the types of outside employment activities in which such 

officers and employees may engage; and 

(2)	 a prohibition against the acceptance of honoraria for any 

appearance, speech, or article by certain officers or employees of 

the judiciary. 

(b)	 Nothing in these regulations alters any other standards or Codes of 

Conduct adopted by the Judicial Conference of the United States. 

(c)	 Any violation of any provision of these regulations will make the officer or 

employee involved subject to appropriate disciplinary action, which may 

be in addition to any penalty prescribed by statute or regulation. 

§ 1020.20 Definitions 

(a)	 A “judicial officer or employee” means any 

(1)	 United States circuit judge, 

(2)	 district judge, 
Guide to Judiciary Policy, Vol. 2C, Ch. 10	 Page 3 

(3)	 judge of the Court of International Trade, 

(4)	 judge of the Court of Federal Claims, 

(5)	 judge and special trial judge of the Tax Court, 

(6)	 judge of the Court of Appeals for Veterans Claims, 

(7)	 bankruptcy judge, 

(8)	 magistrate judge, 

(9)	 commissioner of the Sentencing Commission, and 

(10)	 any employee or officer of the judicial branch other than a part-time 

magistrate judge, or an officer or employee of the Supreme Court 

of the United States or the Federal Judicial Center. 

(b)	 A “covered senior employee” means an individual who is a noncareer 

officer or employee (defined for these purposes as the following officers 

and employees): 

(1)	 circuit judges, 

(2)	 district judges, 

(3)	 judges of the Court of International Trade, 

(4)	 judges of the Court of Federal Claims, 

(5)	 judges and special trial judges of the Tax Court, 

(6)	 judges of the Court of Appeals for Veterans Claims, 

(7)	 bankruptcy judges, 

(8)	 full-time magistrate judges, 

(9)	 the commissioners and staff of the Sentencing Commission, 

(10)	 the Director of the Administrative Office of the United States 

Courts, 
Guide to Judiciary Policy, Vol. 2C, Ch. 10	 Page 4 

(11)	 the Deputy Director of the Administrative Office of the United 

States Courts, or 

(12)	 employees of the Administrative Office of the United States Courts 

appointed by the Director to a position exempted under the 

Administrative Office of the United States Courts Personnel Act of 

1990, § 3(a)(5)(B), or to a position paid under 28 U.S.C. § 603; 

— and whose rate of basic pay is equal to or greater than 120 percent of 

the minimum rate of basic pay payable for GS-15 of the General 

Schedule. 

(c)	 The terms “judicial officer or employee” and “covered senior employee” 

set forth in § 1020.20(a) and § 1020.20(b) do not include any special 

government employee as defined in 18 U.S.C. § 202. 

§ 1020.25 Outside Earned Income Limitation 

(a)	 No covered senior employee may have outside earned income 

attributable to a calendar year which exceeds 15 percent of the annual 

rate of basic pay for Level II of the Executive Schedule under 5 U.S.C. 

§ 5313 as of January 1 of that calendar year. 

(b)	 “Outside earned income” means all wages, salaries, commissions, 

professional fees, and payments and compensation of any kind for 

services rendered or to be rendered by the covered senior employee, less 

the ordinary and necessary expenses paid or incurred in producing the 

income, provided, however, that the following shall not constitute outside 

earned income: 

(1)	 Funds received for services rendered to or for the United States 

government and income attributable to service with the national 

guard; 

(2)	 Pensions, annuities, deferred compensation (whether qualified or 

nonqualified) and other funds received for services rendered by the 

reporting individual before becoming a covered senior employee, or 

before January 1, 1991; 

(3)	 Funds received from investments to the extent not attributable to 

significant personal services of the covered senior employee; 

(4)	 Funds received from a business totally owned by the covered 

senior employee, or his or her family, as defined in Canon 4D(2) of 
Guide to Judiciary Policy, Vol. 2C, Ch. 10	 Page 5 

the Code of Conduct for United States Judges, to the extent that 

such funds do not result from significant personal services of the 

covered senior employee; 

(5)	 Royalties, fees, and their functional equivalent, from the use or sale 

of copyright, patent, and similar forms of legally recognized 

intellectual property rights, when received from established users or 

purchasers of those rights; 

(6)	 Anything of value earned or received for services rendered which is 

not included as gross income in the relevant calendar year under 

controlling provisions of the Internal Revenue Code; and 

(7)	 Compensation received by a senior judge for approved teaching 

under § 1020.35(a)(5) if the senior judge – 

(A)	 retired from regular active service under § 371(b) and is 

certified as having met the requirements of 28 U.S.C. 

§ 371(e); or 

(B)	 retired from regular active service on permanent disability 

under 28 U.S.C. § 372(a). 

(c)	 “Outside earned income” is attributed solely to the actual earner, even 

though under applicable community property law one-half of any personal 

service income earned by a covered senior employee may be deemed to 

belong to a spouse. 

§ 1020.30 Prohibition on Receipt of Honoraria 

(a)	 No judicial officer or employee shall receive any honorarium while that 

individual is a judicial officer or employee. 

(b)	 “Honorarium” means a payment of money or anything of value (excluding 

or reduced by travel expenses as provided in 5 U.S.C. App. §§ 505(3) and 

(4)) for an appearance, speech or article by a judicial officer or employee, 

provided that the following shall not constitute an honorarium: 

(1)	 Payment for a series of related appearances, speeches or articles, 

provided that the subject matter is not directly related to the 

officer's or employee's official duties and that the payment is not 

made because of the officer's or employee's status with the 

Government. 
Guide to Judiciary Policy, Vol. 2C, Ch. 10	 Page 6 

(2)	 Compensation received for teaching activity, provided that in the 

case of covered senior employees such teaching activity is 

approved pursuant to § 1020.35 hereof. 

(3)	 Awards for artistic, literary or oratorical achievement made on a 

competitive basis under established criteria. 

(4)	 Compensation for any performance using an artistic, athletic, 

musical, or other skill or talent or any oral presentation incidental 

thereto, provided that the subject matter is not directly related to 

the officer's or employee's official duties and further provided that 

the opportunity is not extended because of the officer's or 

employee's official position. 

(5)	 Compensation for any writing more extensive than an article. 

(6)	 Compensation for works of fiction, poetry, lyrics, script or other 

literary or artistic works. 

(7)	 A suitable memento or other token in connection with an occasion 

or article, provided that it is neither money nor of commercial value. 

(c)	 Any honorarium which, except for § 1020.30(a) hereof, might be paid to a 

judicial officer or employee, but which is paid instead on behalf of such 

officer or employee to a charitable organization described in section 

170(c) of the Internal Revenue Code of 1986, shall be deemed not to be 

received by such individual for purposes of that subsection so long as 

such payment does not exceed $2,000 and is not made to a charitable 

organization from which such individual or a parent, sibling, spouse, child, 

or dependent relative of such individual derives any direct financial benefit 

separate from and beyond any general benefit conferred by the 

organization's activities. However, no payment may be made to a 

charitable organization under this subsection if the judicial officer or 

employee would be prohibited from receiving and retaining the 

honorarium by any applicable standards of conduct other than 

§ 1020.25(a) or § 1020.30(a) (for example, where an appearance, speech 

or article is prepared as part of official duties). 

§ 1020.35 Limitations on Outside Employment 

(a)	 No covered senior employee shall: 
 

Guide to Judiciary Policy, Vol. 2C, Ch. 10	 Page 7 

(1)	 affiliate with or be employed by a firm, partnership, association, 

corporation, or other entity to provide professional services which 

involve a fiduciary relationship for compensation; 

(2)	 permit the use of his or her name by any such firm, partnership, 

association, corporation, or other entity; 

(3)	 practice a profession which involves a fiduciary relationship for 

compensation; 

(4)	 serve for compensation as an officer or member of the board of 

any association, corporation, or other entity; or 

(5)	 receive compensation for teaching, without the prior notification 

and approval as herein provided. 

(b)	 “Teaching” in these regulations includes teaching a course of study at an 

accredited educational institution or participating in an educational 

program of any duration that is sponsored by such an institution and is 

part of its educational offering. Examples of the latter are a lecture, 

lecture series or symposia sponsored by a law school or college. 

Teaching also includes participation in continuing legal education 

programs for which credit is given by licensing authorities or programs 

which are sponsored by recognized providers of continuing legal 

education. 

(c)	 A covered senior employee who obtains prior approval from the chief 

judge of the circuit, or in the case of the chief judge from the judicial 

council, may engage in part-time teaching for compensation. 

(1)	 Covered senior employees of the Court of International Trade or 

the Court of Federal Claims shall obtain approval from the chief 

judges of those courts. 

(2)	 Covered senior employees of the Tax Court shall obtain approval 

from the chief judge of the Tax Court. 

(3)	 Covered senior employees of the Court of Appeals for Veterans 

Claims shall obtain approval from the chief judge of the Court of 

Appeals for Veteran Claims. 

(4)	 Covered senior employees of the Sentencing Commission shall 

obtain approval from the Chairman of the Sentencing Commission. 
Guide to Judiciary Policy, Vol. 2C, Ch. 10	 Page 8 

(5)	 Covered senior employees of the Administrative Office of the 

United States Courts must obtain approval from the Director of the 

Administrative Office. 

(d)	 The procedures for obtaining prior approval of teaching activities are as 

follows: 

(1) A request for approval for compensated teaching shall be made – 

(A)	 prior to the commencement of any compensated teaching; 

(B)	 during the performance of a previously approved teaching 

commitment, prior to any material increase in the 

compensation or the time required; and 

(C)	 during the performance of a previously approved long-term 

teaching commitment, prior to the commencement of 

teaching in any new academic year (i.e., the Fall semester). 

(2)	 A request for approval for compensated teaching shall state the 

institution for which the teaching will be done, the source and 

amount of compensation, and the time required, including travel. 

The requester shall represent that the proposed activity will be 

consistent with the relevant Code of Conduct. 

(3)	 The chief judges of the circuits, the Court of International Trade, 

the Court of Federal Claims, the Tax Court, and the Court of 

Appeals for Veterans Claims shall approve or disapprove a request 

based on whether 

(A)	 the proposed activity will be consistent with the Codes of 

Conduct, 

(B)	 the requester is current in his or her judicial work, and 

(C)	 the proposed activity is unlikely to affect adversely the ability 

of the court in which the requester serves to conduct its 

operations efficiently. 

In the case of a request by the chief judge of the circuit, the judicial 

council of that circuit shall approve or disapprove the request. A 

request by the chief judge of the Court of Appeals for the Federal 

Circuit, the Court of International Trade, the Court of Federal 

Claims, the Tax Court, or the Court of Appeals for Veterans Claims 
Guide to Judiciary Policy, Vol. 2C, Ch. 10	 Page 9 

shall be approved or disapproved by majority vote of their 

respective courts. 

In the case of a covered senior employee of a district court, the 

chief judge of the circuit shall consult with the chief judge of the 

district court and, where appropriate, the chief judge of the 

bankruptcy court before making the decision. 

In the case of a senior judge, the chief judge shall make 

adjustments in the criteria for approval to take account of the senior 

judge's status and decreased work assignments. 

(4)	 The decision by the chief judge may be appealed to the judicial 

council, or the Court of Appeals for the Federal Circuit, the Court of 

International Trade, the Court of Federal Claims, the Tax Court, or 

the Court of Appeals for Veterans Claims as appropriate. A 

majority vote to approve or disapprove the request shall be final. 

(e)	 Reports of teaching requests and rulings covering the 12-month period 

ending June 30 shall be sent by chief judges or others authorized to 

approve such requests to the Judicial Conference Committee on Codes of 

Conduct by July 31 of each year. That committee shall monitor these 

submissions and report to the Judicial Conference. 

§ 1020.40 Advisory Opinions 

The Committee on Codes of Conduct of the Judicial Conference of the United States is 

authorized to render advisory opinions interpreting Title VI of the Ethics Reform Act of 

1989 (5 U.S.C. App. §§ 503(3) , 504(b)) and these regulations (JCUS-MAR 90, 

pp.14-15). Any person covered by the Act and these regulations may request an 

advisory opinion by writing to the Chairman of the Committee on Codes of Conduct, in 

care of the Administrative Office of the United States Courts, Washington, D.C. 20544. 

§ 1020.45 Effective Date 

These regulations will become effective on January 1, 1991, if, but only if, the 

provisions of 5 U.S.C. App. §§ 501, 502, 503, 504, and 505 are then in effect. 

§ 1020.50 Commentary on Regulations 

(a)	 Judges and judicial employees who are covered by Codes of Conduct 

promulgated by the Judicial Conference of the United States may receive 

outside earned income, make speeches and appearances, write articles, 
Guide to Judiciary Policy, Vol. 2C, Ch. 10	 Page 10 

and engage in extrajudicial activities only in conformity with the provisions 

of both the Codes of Conduct and these regulations. 

(b)	 Title VI of the Ethics Reform Act of 1989 (the Act) applies to officers and 

employees of the judicial branch. However, the Judicial Conference has 

delegated its administrative and enforcement authority under the Act for 

officers and employees of the Supreme Court of the United States to the 

Chief Justice of the United States and for employees of the Federal 

Judicial Center to its Board (JCUS-MAR 90, pp. 14-15). For this reason, 

the definitions of “judicial officer or employee” and “covered senior 

employee” exclude the judicial officers and employees of the Supreme 

Court and the Center. For purposes of Title VI and these regulations, 

employees of the Tax Court and the Court of Appeals for Veterans Claims 

are employees of the judicial branch. 

(c)	 “Outside earned income” includes anything of value received in 

consideration for the provision of services by a covered senior employee 

with the exceptions specified in § 1020.25(b). Under § 1020.25(b)(5), the 

advance payment of permissible royalties, fees, or the functional 

equivalent thereof, is not outside earned income if it must be deducted 

from amounts that subsequently become payable. A covered senior 

employee may, under § 1020.25(b)(6), determine outside earned income 

in a manner consistent with his or her income tax return, or may allocate 

any amount received in a calendar year over two or more years pursuant 

to a good faith allocation reflecting the work done. The outside earned 

income limitation that applies to an individual who becomes a covered 

senior employee during a calendar year is determined on a pro rata basis 

by dividing the annual income limitation by 365 and multiplying it by the 

number of days during that calendar year that the individual serves as a 

covered senior employee. Income earned before an individual becomes a 

covered senior employee is not subject to this limitation. 

(d)	 A covered senior employee, in planning for compliance with the limitation 

on outside earned income, may be required to estimate in advance 

income producing expenses for a calendar year. Should the actual 

expenses turn out to be less than anticipated, causing the outside earned 

income to exceed the statutory limitation, the requirements of § 1020.25 

are satisfied if the resulting excess is refunded to the payor promptly after 

the close of the year. 

(e)	 The Act prohibits a judicial officer or employee from accepting any 

“honorarium” and defines “honorarium” as “a payment of money or any 

thing of value for an appearance, speech or article (including a series of 

appearances, speeches, or articles if the subject matter is directly related 
Guide to Judiciary Policy, Vol. 2C, Ch. 10	 Page 11 

to the individual's official duties or the payment is made because of the 

individual's status with the Government).” The ban on the receipt of 

honoraria does not preclude a judicial officer or employee from accepting 

compensation for a series of thematically connected presentations, works, 

or articles not directly related to his or her official duties so long as the 

compensation is not being paid because of the individual's status with the 

judicial branch. Also, payments for artistic and literary works or 

performances generally are not considered honoraria and are excluded 

from the ban. Nor does the ban prohibit reimbursement of actual 

expenses such as typing, editing, and reproduction costs incurred in 

connection with an appearance, speech or article. 

(f)	 The general prohibition standing alone could be read to foreclose the 

receipt of compensation for appearances, lectures, and speeches in the 

context of a bona fide educational program. This was clearly not the 

intent of Congress, however, since Title VI specifically approves teaching 

for compensation by judicial officers and senior employees so long as an 

appropriate entity designated by the Judicial Conference gives prior 

approval to such teaching and so long as the compensation received, 

together with other outside earned income, does not exceed the 15% limit 

on outside earned income. (Compensation received by senior judges for 

teaching is excluded from the 15% limit on outside earned income if the 

judge retired from regular active service under 28 U.S.C. § 371(b) and is 

certified as having met the requirements of 28 U.S.C. § 371(e) or retired 

on permanent disability under 28 U.S.C. § 372(a).) Thus, the prohibition 

on receipt of honoraria does not foreclose teaching for compensation. 

(g)	 Compensation received from a law school for writing a law review article is 

an example of an honorarium. On the other hand, compensation received 

as the author or co-author of a bona fide legal treatise or book is an 

example of compensation for scholarly writing more extensive than an 

article and therefore is not an honorarium. Of course, compensation for 

writing more extensive than an article is excluded from the definition of an 

honorarium only if it is bona fide compensation for the writing, e.g., 

compensation received from an established publisher pursuant to usual 

and customary contractual terms. 

(h)	 The same rules apply whether the writing is legal or nonlegal, scholarly or 

otherwise. For example, compensation received for writing a nonlegal 

article for a newspaper or magazine is an honorarium. On the other hand, 

compensation received as the author or co-author of a nonlegal book is 

not an honorarium. 
Guide to Judiciary Policy, Vol. 2C, Ch. 10	 Page 12 

(i)	 The definition of a prohibited “honorarium” excludes a suitable memento 

or other token in connection with an occasion or article, provided it is 

neither money nor of commercial value. The test for commercial value is 

whether the memento would have commercial value in the hands of the 

recipient. Examples of suitable mementos include a plaque or letter 

opener. Examples of “other tokens” that are not honoraria include 

benefits incidental to attending the occasion or to the publication of an 

article such as food and beverages consumed, waiver of a registration 

fee, copies of publications containing articles, reprints of a law review 

article, a free subscription provided to the author of the article, or tapes of 

appearances or speeches and similar items that provide a record of the 

event. 

(j)	 The prohibition against practicing a profession that involves a fiduciary 

relationship includes the providing of legal, real estate, consulting and 

advising, insurance, medicine, architectural, or financial services when 

those services involve such a relationship. The prohibition does not apply 

to service by a covered senior employee as an executor or trustee of a 

family estate or trust as permitted by the Codes of Conduct where the 

covered senior employee does no more than provide the service that 

would be provided by a lay person in the same capacity. Compensation 

received for such services is subject to the 15 percent limitation on 

outside earned income. 

(k)	 Covered senior employees are required to notify the authority designated 

to grant approvals and obtain approval prior to engaging in compensated 

teaching activities. Further, during the performance of a previously 

approved teaching commitment, approval is required prior to any material 

increase in the compensation or the time required. Those who have 

previously secured approval for compensated teaching pursuant to a longterm contract must reapply for approval prior to the commencement of any 

new academic year. 

(l)	 The Act does not define “teaching.” These regulations define it to include 

meaningful participation in bona fide components of an educational 

curriculum or plan, regardless of the duration or format of the particular 

program in which the covered senior employee participates. The statutory 

authority to “teach” for compensation thus includes permission to 

participate in the educational program of an accredited institution in the 

manner in which that institution plans and carries out its teaching function. 

When speeches and lectures are sponsored by and presented within the 

overall educational program of an accredited institution, the Conference 

believes that they do not provide the occasion for any of the evils 

Congress was seeking to avert and accordingly, they should qualify as 
Guide to Judiciary Policy, Vol. 2C, Ch. 10	 Page 13 

“teaching.” Thus, a lecture, lecture series, symposia, moot courts, and 

jurist-in-residence programs may be compensated as “teaching,” 

provided, of course, the strictures of the Codes of Conduct are met. 

Teaching may also include participation in programs sponsored by bar 

associations or professional associations or other established providers of 

continuing legal education programs for practicing lawyers. Participation 

in bar review courses or in the preparation and grading of bar 

examinations also qualifies as teaching. 

(m)	 The Codes of Conduct permit a covered senior employee to receive 

compensation for part-time teaching so long as: 

(1)	 the compensation received is reasonable in amount and does not 

exceed that normally received by others for the same activity, 

(2)	 the source of the compensation does not give the appearance of 

impropriety, and 

(3)	 the teaching activity does not interfere with the performance of 

judicial duties. 

These requirements are continued as criteria for approval of teaching 

requests. 

(n)	 Covered senior employees who wish to participate in a symposium, 

lecture series, or other teaching activity of limited duration and receive 

compensation therefor must secure the same prior approval as those who 

teach conventional courses for compensation. No such approval is 

required for teaching when no payment is received or when payment is 

received only to reimburse the ordinary and necessary expenses incurred 

in providing the teaching services, such as travel, lodging, and meals for 

the covered senior employee and a relative accompanying him or her; 

such reimbursement of expenses is not “compensation.” No prior 

approval is required for compensated teaching activity of an employee of 

the judicial branch whose basic pay is less than 120 percent of the 

minimum rate of basic pay payable for GS-15 of the General Schedule. 

(o)	 In addition to the civil penalty provided in 5 U.S.C. App. § 504(a), a judge 

covered by the Judicial Councils Reform and Judicial Conduct and 

Disability Act of 1980 (28 U.S.C. §§ 332(d)(1) , 351 to 364) who violates

these regulations shall be subject to discipline as provided in that Act and 

any other judicial officer or employee who violates these regulations shall 

be subject to discipline in accordance with existing customary practices. 
 

Guide to Judiciary Policy, Vol. 2C, Ch. 10	 Page 14 

§ 1020.55 Notes on Regulations 

(a)	 The “Regulations of the Judicial Conference of the United States under 

Title VI of the Ethics Reform Act of 1989 concerning Outside Earned 

Income, Honoraria, and Outside Employment” were adopted on August 

15, 1990, by the Judicial Conference, through its Executive Committee 

(JCUS-SEP 90, p. 64). 

(b)	 At its March 1991 session, the Judicial Conference amended these 

regulations to exclude part-time magistrate judges from the ban against 

the receipt of honoraria (JCUS-MAR 91, p.14). 

(c)	 The regulations were amended at the Judicial Conference's September 

1991 session to cover the Tax Court and the Sentencing Commission and 

to make certain technical corrections (JCUS-SEP 91, p. 54). 

(d)	 The Judicial Conference amended these regulations at its March 1992 

session to:

 (1)	 cover judges and employees of the Court of Appeals for Veterans 

Claims, 

(2)	 reflect amendments to the Ethics Reform Act relating to the 

definition of “honorarium” and the exclusion from the limitation on 

outside earned income of compensation from approved teaching 

activities by certain senior judges (see: JCUS-SEP 93, p. 43), and 

(3)	 to clarify when and under what circumstances prior approval for 

compensated teaching activities must be obtained (JCUS-MAR 92

pp. 16-17). 

(e)	 At its March 1994 session, the Judicial Conference amended the 

definition of Administrative Office employees who are included in the term 

“judicial officer or senior employee.” JCUS-MAR 04, p. 15. 

(f)	 At its September 1994 session, the Judicial Conference amended the 

definition of outside earned income in § 1020.25(b)(1) to exclude income 

from national guard service; revised § 1020.30(b)(2) to clarify that the 

requirement for approval of teaching activities extends only to covered 

senior employees; revised the definition of an honorarium in 

§ 1020.30(b)(3), § 1020.30(b)(4), and § 1020.30(b)(6) to exclude 

compensation for various artistic and athletic endeavors; amended 

§ 1020.30(c) to clarify when honoraria may properly be donated to 

,
 
Guide to Judiciary Policy, Vol. 2C, Ch. 10	 Page 15 

charitable organizations; and made additional editorial revisions. The 

Commentary was also revised (JCUS-SEP 94, p.46). 

(g)	 The Judicial Conference added a new § 1020.20(c), excluding special 

government employees from these regulations, at its March 1996 session 

(JCUS-MAR 96, p. 12).