Last substantive revision (Transmittal 07-002) January 14, 2011

Last revised (minor technical changes) January 20, 2015

Guide to Judiciary Policy

Vol. 7: Defender Services

Pt. A: Guidelines for Administering the CJA and Related Statutes

Appx. 4B: Model Code of Conduct for Federal Community Defender 

Employees

Note: This Model Code of Conduct for Federal Community Defender Employees must 

be adopted by a community defender organization’s board of directors and made 

applicable to all the community defender organization’s employees. 

I. Overview 

I.A. Scope

I.A.1 This code of conduct applies to all employees of the community defender 

organization named [Name of CDO] (hereafter, "[Name Abbreviation]").

I.A.2 This code of conduct does not apply to private counsel appointed under 

the Criminal Justice Act or to attorneys provided by a bar association.

 I.A.3 Nothing contained in these canons is intended to limit or modify the 

primary responsibility of community defenders, as appointed counsel, to 

render effective legal representation to clients as required by the 

Constitution and laws of the United States and by applicable rules 

governing professional conduct, including the code of professional 

responsibility applicable in the jurisdiction in which the community 

defender practices. If there is any conflict between this code and the code 

of professional responsibility applicable to the defender employee or any 

state law, the code of professional responsibility or the applicable state 

law should take precedence.

I.B. History

This Code of Conduct is based on the Model Code of Conduct for Community 

Defender Employees which was approved in September 2010 by the Judicial 

Conference of the United States. This Code of Conduct was adopted [Date] by 

the [Name Abbreviation] board of directors, and it became effective [Date].
Guide to Judiciary Policy, Vol. 7A, Appx. 4B Page 2 

I.C. Definitions

I.C.1 Defender Employees

As used in this code, "defender employees" means the chief community 

defender, assistant community defenders, and all other employees of the 

community defender organization.

 

I.C.2 Community Defenders 

“Community defenders" means only the chief community defender and 

assistant community defenders.

I.C.3 Chief Community Defender

“Chief community defender” means the head of the community defender 

organization – the executive director or chief federal defender.

I.C.4 Grant and Conditions

“Grant and conditions” refers to the agreement between [Name 

Abbreviation] and the Judicial Conference of the United States. In 

consideration of a sustaining grant from the Conference, the agreement 

requires that terms of the grant and conditions be followed.

I.D Further Guidance

I.D.1 Defender employees (other than the chief community defender) should 

consult with the chief community defender, and the chief community 

defender may consult with the board of directors and others, as 

appropriate, for guidance on questions concerning this code and its 

applicability.

Note: The Judicial Conference has authorized its Committee on Codes of 

Conduct to render advisory opinions concerning the application and 

interpretation of various judiciary codes of conduct, including the Code of 

Conduct for United States Judges and the Code of Conduct for Federal 

Public Defender Employees but does not issue opinions regarding the 

CDO Code of Conduct. Its opinions may be useful in guiding defender 

employees and the [Name Abbreviation]’s board of directors. The 

Committee on Codes of Conduct’s published advisory opinions may be 

found in the Guide to Judiciary Policy, Vol. 2B, Ch 2. 
Guide to Judiciary Policy, Vol. 7A, Appx. 4B Page 3 

I.D.2 In assessing the propriety of one's proposed conduct, a defender 

employee should take care to consider all relevant canons in this code, 

any applicable statutes and regulations, and applicable codes of 

professional responsibility. 

I.D.3 Should a question remain after this consultation, the affected defender 

employee may request guidance from the [Name Abbreviation] board of 

directors, bar counsel, or other appropriate person.

II. Text of the Code 

CANON 1 A Defender Employee Should Uphold the Integrity and Independence of 

the Office

CANON 2 A Defender Employee Should Avoid Impropriety and the Appearance of 

Impropriety in All Activities 

CANON 3 A Defender Employee Should Adhere to Appropriate Standards in 

Performing the Duties of the Office

CANON 4 A Defender Employee May Engage in Activities to Improve the Law, the 

Legal System, and the Administration of Justice 

CANON 5 A Defender Employee Should Regulate Extra-official Activities to Minimize 

the Risk of Conflict with Official Duties 

CANON 6 A Defender Employee Should Avoid Impropriety and the Appearance of 

Impropriety in Compensation Received for All Extra-official Activities

CANON 7 A Defender Employee Should Refrain from Inappropriate Political Activity

Canon 1: A Defender Employee Should Uphold the Integrity and Independence of 

the Office

An independent and honorable defender system is indispensable to justice in our 

society. A defender employee should personally observe high standards of conduct so 

that the integrity and independence of the office are preserved and so that the defender 

office reflects a devotion to serving the community defender's clients and the principle of 

equal justice under law. Defender employees should require adherence to such 

standards by personnel subject to their direction and control. The provisions of this 

code should be construed and applied to further these objectives. The standards of this 
Guide to Judiciary Policy, Vol. 7A, Appx. 4B Page 4 

code shall not affect or preclude other more stringent standards required by law, by 

applicable codes of professional responsibility, or by court order.

Canon 2: A Defender Employee Should Avoid Impropriety and the Appearance of 

Impropriety in All Activities 

A defender employee should not engage in any activities that would put into question 

the propriety of the defender employee's conduct in carrying out the duties of the office. 

A defender employee should not use position or office for private gain.

Canon 3: A Defender Employee Should Adhere to Appropriate Standards in 

Performing the Duties of the Office

In performing the duties prescribed by law, by resolution of the Judicial Conference of 

the United States, by court order, or by the chief community defender or the [Name 

Abbreviation] board of directors, the following standards apply:

(A) A defender employee should respect and comply with the law and these 

canons. A defender employee should report to the appropriate 

supervising authority any attempt to induce the defender employee to 

violate these canons.

[Optional Language:

Note: A number of criminal statutes of general applicability govern 

defender employees’ performance of official duties. These include:

• 18 U.S.C. § 201 (bribery of public officials and witnesses); 

• 18 U.S.C. § 211 (acceptance or solicitation to obtain appointive 

public office);

• 18 U.S.C. § 285 (taking or using papers relating to government 

claims);

• 18 U.S.C. § 287 (false, fictitious, or fraudulent claims against the 

government); 

• 18 U.S.C. § 508 (counterfeiting or forging transportation requests);

• 18 U.S.C. § 641 (embezzlement or conversion of 

government money, property, or records);

• 18 U.S.C. § 798 (disclosure of classified information);

• 18 U.S.C. § 1001 (fraud or false statements in a government 

matter);
Guide to Judiciary Policy, Vol. 7A, Appx. 4B Page 5 

• 18 U.S.C. § 2071 (concealing, removing, or mutilating a public 

record);

• 31 U.S.C. § 3729 (false claims against the government).

This is not a comprehensive listing but sets forth some of the more significant 

provisions with which defender employees should be familiar.]

(B) A defender employee should be faithful to professional standards and 

maintain competence in the defender employee's profession.

(C) A defender employee should be patient, dignified, respectful, and 

courteous to all persons with whom the defender employee deals in an 

official capacity, and should require similar conduct of personnel subject to 

the defender employee's direction and control. A defender employee 

should diligently discharge the responsibilities of the office in a 

nondiscriminatory fashion.

(D) A defender employee should not solicit or accept a payment of money or 

anything of value from a client, except that a defender employee may 

accept an appropriate memento or token that is neither money nor of 

commercial value. A defender employee should never disclose any 

confidential communications from a client, or any other confidential 

information received in the course of official duties, except as authorized 

by law. A former defender employee should observe the same restrictions 

on disclosure of confidential information that apply to a current defender 

employee.

(E) A defender employee should not engage in nepotism prohibited by the 

Grant and Conditions.

(F) Conflicts of Interest.

(1) In providing legal representation to clients, a community defender 

should observe applicable rules of professional conduct governing 

the disclosure and avoidance of conflicts of interest.

(2) In the performance of administrative duties, a defender employee 

should avoid conflicts of interest. A conflict of interest arises when a 

defender employee knows that he or she (or the spouse, minor 

child residing in the defender employee's household, or other close 

relative of the defender employee) might be so personally or 

financially affected by a matter that a reasonable person with 

knowledge of the relevant facts would question the defender 

employee's ability properly to perform administrative duties.
Guide to Judiciary Policy, Vol. 7A, Appx. 4B Page 6 

(3) When a defender employee knows that a conflict of interest may be 

presented in the performance of duties, the defender employee 

should promptly inform the chief community defender. The chief 

community defender, after determining that a conflict or the 

appearance of a conflict of interest exists, should take appropriate 

steps to restrict the defender employee's performance of duties in 

such a matter so as to avoid a conflict or the appearance of a 

conflict of interest. If the conflict involves a conflict between or 

among clients, the chief community defender should consider 

withdrawal from one or more representations, or other appropriate 

remedial actions, as necessary to comply with applicable rules of 

professional conduct. A defender employee should observe any 

restrictions imposed by the chief community defender in this regard.

Canon 4: A Defender Employee May Engage in Activities to Improve the Law, the 

Legal System, and the Administration of Justice

A defender employee, subject to the proper performance of official duties, may engage 

in the law-related activities enumerated below.

(A) A defender employee may speak, write, lecture, teach, and participate in 

other activities concerning defender services, the legal system, and the 

administration of justice. 

(B) A defender employee 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 defender 

employee may assist such an organization in raising funds and may 

participate in the management and investment of such funds. A defender 

employee may make recommendations to public and private fund-granting 

agencies on projects and programs concerning the law, the legal 

profession, and the administration of justice. A defender employee may 

solicit funds for law-related activities, subject to the following limitations:

(1) A defender employee should not use or permit the use of the 

prestige of the office in the solicitation of funds.

(2) A defender employee should not solicit subordinates to contribute 

funds to any such activity but may provide information to them 

about a general fund-raising campaign. 
Guide to Judiciary Policy, Vol. 7A, Appx. 4B Page 7 

(3) A defender employee should not solicit or accept funds from 

lawyers, clients, or other persons likely to have official business 

with the community defender office, except as an incident to a 

general fund-raising activity. 

(C) A defender employee may promote the development of professional 

organizations and foster the interchange of information and experience 

with others in the profession. A defender employee may make himself or 

herself available to the public at large for speaking engagements and 

public appearances designed to enhance the public's knowledge of the 

operation of defender services and the criminal justice system. 

Canon 5: A Defender Employee Should Regulate Extra-official Activities to 

Minimize the Risk of Conflict with Official Duties

(A) Avocational Activities 

A defender employee may write, lecture, teach, and speak on subjects 

unrelated to the profession, and may engage in the arts, sports, and other 

social and recreational activities, if such avocational activities do not 

detract from the dignity of the office, interfere with the performance of 

official duties, or adversely reflect on the community defender's role as an 

advocate. A defender employee may solicit funds for avocational 

activities, subject to the limitations set forth in canon 4B. 

(B) Civic and Charitable Activities 

A defender employee may participate in civic and charitable activities that 

do not detract from the dignity of the office, interfere with the performance 

of official duties, or adversely reflect on the community defender's role as 

an advocate. A defender employee may serve as an officer, director, 

trustee or advisor of an educational, religious, charitable, fraternal, or civic 

organization, and may solicit funds for any such organization subject to 

the limitations set forth in canon 4B. 

(C) Financial Activities 

(1) A defender employee should refrain from financial and business 

dealings that tend to detract from the dignity of the office or 

interfere with the performance of official duties. 

(2) A defender employee should not solicit or accept a gift from anyone 

seeking official action from or doing business with the community 
Guide to Judiciary Policy, Vol. 7A, Appx. 4B Page 8 

defender office, or from anyone whose interests may be 

substantially affected by the performance or nonperformance of 

official duties; except that a defender employee may accept a gift 

as permitted for Federal Public Defender employees by the Ethics 

Reform Act of 1989 (Pub.L. No. 101-194, § 303, 5 U.S.C. 7351 and 

7353) and the Judicial Conference regulations on gifts. Guide to 

Judiciary Policy, Vol. 2C, §§ 620.10 to 620.45. A defender 

employee should endeavor to prevent a member of a defender 

employee's family residing in the household from soliciting or 

accepting any such gift except to the extent that a defender 

employee would be permitted to do so.

(3) A defender employee who exercises any supervisory, financial, or 

procurement authority should report to the chief community 

defender the value of any gifts of more than de minimis value 

received from any source other than a relative of the reporting 

individual. The chief community defender must provide an annual 

report to the board of directors on all such gifts received by covered 

defender employees.

[Note: For reporting requirements for federal public defender 

employees, see 5 U.S.C. App. §§ 101 to 111 (Ethics Reform Act 

financial disclosure provisions).]

(D) Practice of Law 

A defender employee should not engage in the private practice of law. 

Notwithstanding this prohibition, a defender employee may act pro se and 

may, without compensation, give legal advice to and draft or review 

documents for a member of the defender employee's family, so long as 

such work does not present an appearance of impropriety and does not 

interfere with the defender employee's primary responsibility to the 

defender office. 

Note: See Grant and Conditions, Outside Practice of Law (prohibiting 

community defender employees from engaging in the practice of law 

outside the scope of his/her official duties with the grantee and defining 

"family" as all relatives listed in 5 U.S.C. § 3110(a)(3)).
Guide to Judiciary Policy, Vol. 7A, Appx. 4B Page 9

Canon 6: A Defender Employee Should Avoid Impropriety and the Appearance of 

Impropriety in Compensation Received for All Extra-official Activities

A defender employee may receive compensation and reimbursement of expenses for 

outside activities provided that receipt of such compensation or reimbursement is not 

prohibited or restricted by the chief community defender, [Name Abbreviation] board of 

directors, this code, the grant and conditions, or applicable law, and provided that the 

source or amount of such payments does not influence or give the appearance of 

influencing the defender employee in the performance of official duties or otherwise give 

the appearance of impropriety. Expense reimbursement should be limited to the actual 

cost of travel, food, and lodging reasonably incurred by a defender employee and, 

where appropriate to the occasion, by the defender employee's spouse or relative. Any 

payment in excess of such an amount is compensation. Any defender employee who 

exercises any supervisory, financial, or procurement authority should make and file 

reports of compensation and reimbursement for outside activities to the extent 

prescribed by the chief community defender, [Name Abbreviation] board of directors, 

grant and conditions, applicable law, or the Judicial Conference of the United States.

Notwithstanding the above, a defender employee (other than a defender employee 

serving without compensation) should not receive any salary, or any supplementation of 

salary, as compensation for official services from any source other than the United 

States through a grant to the community defender organization.

Canon 7: A Defender Employee Should Refrain from Inappropriate Political 

Activity

A defender employee should not engage in any political activity while on duty or in the 

defender employee's workplace and may not utilize any federal resources in any such 

activity. A defender employee may engage in political activity not otherwise prohibited, 

provided that such activity does not conflict with any other provision of this code, detract 

from the dignity of the office, or interfere with the proper performance of official duties. 

A defender employee who participates in political activity should not use his or her 

position or title in connection with such activity.