Source: http://www.utd.uscourts.gov/documents/code_conduct.html
Timestamp: 2014-12-18 11:27:47
Document Index: 465282767

Matched Legal Cases: ['§ 211', '§ 285', '§ 287', '§ 641', '§ 798', '§ 783', '§ 2071', '§ 153', '§ 647', '§ 3110', '§ 458', '§ 7353', '§ 7342', '§ 7351', '§ 101', '§ 203', '§ 205', '§ 955', '§ 753', '§ 501']

A judicial employee should adhere to appropriate standards in performing
the duties of the office Canon 4.
In engaging in outside activites, a judicial employee should avoid the risk of conflict with official duties, should avoid the appearance of impropriety,
and should comply with disclosure requirements
This Code of Conduct applies to all employees of the Judicial Branch except
Justices; judges; and employees of the United States Supreme Court, the
Administrative Office of the United States Courts, the Federal Judicial
Center, the Sentencing Commission, and Federal Public Defender offices.(1)
As used in this code in canons 3F(2)(b), 3F(5), 4B(2), 4C(1), and 5B, a
member of a judge's personal staff means a judge's secretary, a judge's
law clerk, and a courtroom deputy clerk or court reporter whose assignment
with a particular judge is reasonably perceived as being comparable to
a member of the judge's personal staff.(2)
Contractors and other nonemployees who serve the Judiciary are not covered
by this code, but appointing authorities may impose these or similar ethical
standards on such nonemployees, as appropriate.
The Judicial Conference has authorized its Committee on Codes of Conduct
to render advisory opinions concerning the application and interpretation
of this code. Employees should consult with their supervisor and/or appointing
authority for guidance on questions concerning this code and its applicability
before a request for an advisory opinion is made to the Committee on Codes
of Conduct. In assessing the propriety of one's proposed conduct, a judicial
employee should take care to consider all relevant canons in this code,
the Ethics Reform Act, and other applicable statutes and regulations(3)
(e.g., receipt of a gift may implicate canon 2 as well as canon
4C(2) and the Ethics Reform Act gift regulations). Should a question remain
after this consultation, the affected judicial employee, or the chief judge,
supervisor, or appointing authority of such employee, may request an advisory
opinion from the Committee. Requests for advisory opinions may be addressed
to the Chairman of the Committee on Codes of Conduct in care of the General
Counsel, Administrative Office of the United States Courts, One Columbus
Circle, N.E., Washington, D.C. 20544.
Effective January 1, 1996 (4) _______________________ 1 Justices and employees of the Supreme Court are subject to standards established by the Justices of that Court. Judges are subject to the Code of Conduct for United States Judges. Employees of the AO and the FJC are subject to their respective agency codes. Employees of the Sentencing Commission are subject to standards established by the Commission. Federal public defender employees are subject to the Code of Conduct for Federal Public Defender Employees. When Actually Employed (WAE) employees are subject to canons 1, 2, and 3 and such other provisions of this code as may be determined by the appointing authority. 2 Employees who occupy positions with functions and responsibilities similar to those for a particular position identified in this code should be guided by the standards applicable to that position, even if the position title differs. When in doubt, employees may seek an advisory opinion as to the applicability of specific code provisions. 3 See Guide to Judiciary Policies and Procedures, Volume II, Chapter VI, Statutory and Regulatory Provisions Relating to the Conduct of Judges and Judicial Employees. 4 Canon 3F(4) was revised at the March 2001 Judicial Conference. CANON 1: A JUDICIAL EMPLOYEE SHOULD UPHOLD THE INTEGRITY AND INDEPENDENCE OF THE JUDICIARY AND OF THE JUDICIAL EMPLOYEE'S OFFICE
society. A judicial employee should personally observe high standards of
conduct so that the integrity and independence of the Judiciary are preserved
and the judicial employee's office reflects a devotion to serving the public.
Judicial 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 code shall not affect or preclude other more stringent standards required
by law, by court order, or by the appointing authority.
A JUDICIAL EMPLOYEE SHOULD AVOID IMPROPRIETY AND THE APPEARANCE
A judicial employee should not engage in any activities that would put
into question the propriety of the judicial employee's conduct in carrying
out the duties of the office. A judicial employee should not allow family,
social, or other relationships to influence official conduct or judgment.
A judicial employee should not lend the prestige of the office to advance
or to appear to advance the private interests of others. A judicial employee
should not use public office for private gain.
In performing the duties prescribed by law, by resolution of the Judicial
Conference of the United States, by court order, or by the judicial employee's
appointing authority, the following standards apply:
A. A judicial employee should respect and comply with the law and
these canons. A judicial employee should report to the appropriate supervising
authority any attempt to induce the judicial employee to violate these
Note: A number of criminal statutes of general applicability
govern federal employees' performance of official duties. These include:
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
18 U.S.C. § 287 (false, fictitious, or fraudulent claims against
the government);
18 U.S.C. § 641 (embezzlement or conversion of government money,
property, or records);
18 U.S.C. § 798 and 50 U.S.C. § 783 (disclosure of classified
18 U.S.C. § 2071 (concealing, removing, or mutilating a public
18 U.S.C. §§ 153, 154 (court officers embezzling
or purchasing property from bankruptcy estate);
18 U.S.C. § 647 (receiving loans from registry moneys from court
This is not a comprehensive listing but sets forth some of the more significant
provisions with which judicial employees should be familiar.
B. A judicial employee should be faithful to professional standards and
maintain competence in the judicial employee's profession.
C. A judicial employee should be patient, dignified, respectful, and
courteous to all persons with whom the judicial employee deals in an official
capacity, including the general public, and should require similar conduct
of personnel subject to the judicial employee's direction and control.
A judicial employee should diligently discharge the responsibilities of
the office in a prompt, efficient, nondiscriminatory, fair, and professional
manner. A judicial employee should never influence or attempt to influence
the assignment of cases, or perform any discretionary or ministerial function
of the court in a manner that improperly favors any litigant or attorney,
nor should a judicial employee imply that he or she is in a position to
D. A judicial employee should avoid making public comment on the merits
of a pending or impending action and should require similar restraint by
personnel subject to the judicial employee's direction and control. This
proscription does not extend to public statements made in the course of
official duties or to the explanation of court procedures. A judicial employee
should never disclose any confidential information received in the course
of official duties except as required in the performance of such duties,
nor should a judicial employee employ such information for personal gain.
A former judicial employee should observe the same restrictions on disclosure
of confidential information that apply to a current judicial employee,
except as modified by the appointing authority.
Note: See also 5 U.S.C. § 3110 (employment of relatives);
28 U.S.C. § 458 (employment of judges' relatives).
(1) A judicial employee should avoid conflicts of interest
in the performance of official duties. A conflict of interest arises when
a judicial employee knows that he or she (or the spouse, minor child residing
in the judicial employee's household, or other close relative of the judicial
employee) might be so personally or financially affected by a matter that
a reasonable person with knowledge of the relevant facts would question
the judicial employee's ability properly to perform official duties in
an impartial manner.
(2) Certain judicial employees, because of their relationship to a judge
or the nature of their duties, are subject to the following additional
(a) A staff attorney or law clerk should not perform any official
duties in any matter with respect to which such staff attorney or law clerk
(i) he or she has a personal bias or prejudice concerning a
party, or personal knowledge of disputed evidentiary facts concerning the
(ii) he or she served as lawyer in the matter in controversy, or a lawyer
with whom he or she previously practiced law had served (during such association)
as a lawyer concerning the matter, or he, she, or such lawyer has been
a material witness;
(iii) he or she, individually or as a fiduciary, or the spouse or minor
child residing in his or her household, has a financial interest in the
subject matter in controversy or in a party to the proceeding;
(iv) he or she, a spouse, or a person related to either within the third degree of relationship,(5) or the spouse of such person (A) is a party to the proceeding, or an officer, director, or trustee of a party; (B) is acting as a lawyer in the proceeding; (C) has an interest that could be substantially affected by the outcome of the proceeding; or (D) is likely to be a material witness in the proceeding; (v) he or she 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
(b) A secretary to a judge, or a courtroom deputy or court reporter whose
assignment with a particular judge is reasonably perceived as being comparable
to a member of the judge's personal staff, should not perform any official
duties in any matter with respect to which such secretary, courtroom deputy,
or court reporter knows that he or she, a spouse, or a person related to
either within the third degree of relationship, or the spouse of such person
a party; (ii) is acting as a lawyer in the proceeding; (iii) has an interest
or (iv) is likely to be a material witness in the proceeding; provided,
however, that when the foregoing restriction presents undue hardship, the
judge may authorize the secretary, courtroom deputy, or court reporter
to participate in the matter if no reasonable alternative exists and adequate
safeguards are in place to ensure that official duties are properly performed.
In the event the secretary, courtroom deputy, or court reporter possesses
any of the foregoing characteristics and so advises the judge, the judge
should also consider whether the Code of Conduct for United States Judges
may require the judge to recuse.
(c) A probation or pretrial services officer should not perform any
official duties in any matter with respect to which the probation or pretrial
services officer knows that:
(ii) he or she is related within the third degree of relationship to
a party to the proceeding, or to an officer, director, or trustee of a
party, or to a lawyer in the proceeding;
(iii) he or she, or a relative within the third degree of relationship,
has an interest that could be substantially affected by the outcome of
5 As used in this code, the third degree of relationship is calculated according to the civil law system to include the following relatives: parent, child, grandparent, grandchild, great grandparent, great grandchild, brother, sister, aunt, uncle, niece and nephew. (3) When a judicial employee knows that a conflict of interest may be presented,
the judicial employee should promptly inform his or her appointing authority.
The appointing authority, after determining that a conflict or the appearance
of a conflict of interest exists, should take appropriate steps to restrict
the judicial employee's performance of official duties in such matter so
as to avoid a conflict or the appearance of a conflict of interest. A judicial
employee should observe any restrictions imposed by his or her appointing
(4) A judicial employee who is subject to canon 3F(2)(a) should keep informed about
his or her personal and fiduciary financial interests and make a reasonable effort
to keep informed about the personal financial interests of a spouse or minor child
residing in the judicial employee's household. For purposes of this canon,
"financial interest" means ownership of a legal or equitable interest, however
small, or a relationship as director, advisor, or other active participant in the
(i)	ownership in a mutual or common investment fund that holds securities is
not a "financial interest" in such securities unless the employee
(ii)	an office in an educational, religious, charitable, fraternal, or civic
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
(5) A member of a judge's personal staff should inform the appointing
judge of any circumstance or activity of the staff member that might serve
as a basis for disqualification of either the staff member or the judge,
in a matter pending before the judge.
IN ENGAGING IN OUTSIDE ACTIVITIES, A JUDICIAL EMPLOYEE SHOULD AVOID
THE RISK OF CONFLICT WITH OFFICIAL DUTIES, SHOULD AVOID THE APPEARANCE
OF IMPROPRIETY, AND SHOULD COMPLY WITH DISCLOSURE REQUIREMENTS
A. Outside Activities. A judicial employee's activities outside
of official duties should not detract from the dignity of the court, interfere
with the performance of official duties, or adversely reflect on the operation
and dignity of the court or office the judicial employee serves. Subject
to the foregoing standards and the other provisions of this code, a judicial
employee may engage in such activities as civic, charitable, religious,
professional, educational, cultural, avocational, social, fraternal, and
recreational activities, and may speak, write, lecture, and teach. If such
outside activities concern the law, the legal system, or the administration
of justice, the judicial employee should first consult with the appointing
authority to determine whether the proposed activities are consistent with
the foregoing standards and the other provisions of this code.
B. Solicitation of Funds. A judicial employee may solicit funds
in connection with outside activities, subject to the following limitations:
(1) A judicial employee should not use or permit the use of
the prestige of the office in the solicitation of funds.
(2) A judicial employee should not solicit subordinates to contribute
funds to any such activity but may provide information to them about a
general fund-raising campaign. A member of a judge's personal staff should
not solicit any court personnel to contribute funds to any such activity
under circumstances where the staff member's close relationship to the
judge could reasonably be construed to give undue weight to the solicitation.
(3) A judicial employee should not solicit or accept funds from lawyers
or other persons likely to come before the judicial employee or the court
or office the judicial employee serves, except as an incident to a general
(1) A judicial employee should refrain from outside financial
and business dealings that tend to detract from the dignity of the court,
interfere with the proper performance of official duties, exploit the position,
or associate the judicial employee in a substantial financial manner with
lawyers or other persons likely to come before the judicial employee or
the court or office the judicial employee serves, provided, however, that
court reporters are not prohibited from providing reporting services for
compensation to the extent permitted by statute and by the court. A member
of a judge's personal staff should consult with the appointing judge concerning
any financial and business activities that might reasonably be interpreted
as violating this code and should refrain from any activities that fail
to conform to the foregoing standards or that the judge concludes may otherwise
give rise to an appearance of impropriety.
(2) A judicial employee should not solicit or accept a gift from anyone
seeking official action from or doing business with the court or other
entity served by the judicial employee, or from anyone whose interests
may be substantially affected by the performance or nonperformance of official
duties; except that a judicial employee may accept a gift as permitted
by the Ethics Reform Act of 1989 and the Judicial Conference regulations
thereunder. A judicial employee should endeavor to prevent a member of
a judicial employee's family residing in the household from soliciting
or accepting any such gift except to the extent that a judicial employee
would be permitted to do so by the Ethics Reform Act of 1989 and the Judicial
Conference regulations thereunder.
Note: See 5 U.S.C. § 7353 (gifts to federal employees).
also 5 U.S.C. § 7342 (foreign gifts); 5 U.S.C. § 7351 (gifts
to superiors).
(3) A judicial employee should report the value of gifts to the extent
a report is required by the Ethics Reform Act, other applicable law, or
Note: See 5 U.S.C. App. §§ 101 to 111 (Ethics
Reform Act financial disclosure provisions).
(4) During judicial employment, a law clerk or staff attorney may seek
and obtain employment to commence after the completion of the judicial
employment. However, the law clerk or staff attorney should first consult
with the appointing authority and observe any restrictions imposed by the
appointing authority. If any law firm, lawyer, or entity with whom a law
clerk or staff attorney has been employed or is seeking or has obtained
future employment appears in any matter pending before the appointing authority,
the law clerk or staff attorney should promptly bring this fact to the
attention of the appointing authority.
D. Practice of Law. A judicial employee should not engage in the
practice of law except that a judicial employee may act pro se, may perform
routine legal work incident to the management of the personal affairs of
the judicial employee or a member of the judicial employee's family, and
may provide pro bono legal services in civil matters, so long as such pro
se, family, or pro bono legal work does not present an appearance of impropriety,
does not take place while on duty or in the judicial employee's workplace,
and does not interfere with the judicial employee's primary responsibility
to the office in which the judicial employee serves, and further provided
(1) in the case of pro se legal work, such work is done without
compensation (other than such compensation as may be allowed by statute
or court rule in probate proceedings);
(2) in the case of family legal work, such work is done without compensation
(other than such compensation as may be allowed by statute or court rule
in probate proceedings) and does not involve the entry of an appearance
in a federal court;
(3) in the case of pro bono legal services, such work (a) is done without
compensation; (b) does not involve the entry of an appearance in any federal,
state, or local court or administrative agency; (c) does not involve a
matter of public controversy, an issue likely to come before the judicial
employee's court, or litigation against federal, state or local government;
and (d) is reviewed in advance with the appointing authority to determine
whether the proposed services are consistent with the foregoing standards
and the other provisions of this code.
Judicial employees may also serve as uncompensated mediators or arbitrators
for nonprofit organizations, subject to the standards applicable to pro
bono practice of law, as set forth above, and the other provisions of this
A judicial employee should ascertain any limitations imposed by the
appointing judge or the court on which the appointing judge serves concerning
the practice of law by a former judicial employee before the judge or the
court and should observe such limitations after leaving such employment.
Note: See also 18 U.S.C. § 203 (representation in
matters involving the United States); 18 U.S.C. § 205 (claims against
the United States); 28 U.S.C. § 955 (restriction on clerks of court
practicing law).
E. Compensation and Reimbursement. A judicial employee may receive
compensation and reimbursement of expenses for outside activities provided
that receipt of such compensation and reimbursement is not prohibited or
restricted by this code, the Ethics Reform Act, and other applicable law,
and provided that the source or amount of such payments does not influence
or give the appearance of influencing the judicial 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 judicial employee and, where appropriate
to the occasion, by the judicial employee's spouse or relative. Any payment
in excess of such an amount is compensation.
A judicial employee should make and file reports of compensation and
reimbursement for outside activities to the extent prescribed by the Ethics
Reform Act, other applicable law, or the Judicial Conference of the United
Notwithstanding the above, a judicial employee should not receive any
salary, or any supplementation of salary, as compensation for official
government services from any source other than the United States, provided,
however, that court reporters are not prohibited from receiving compensation
for reporting services to the extent permitted by statute and by the court.
Reform Act financial disclosure provisions); 28 U.S.C. § 753 (court
reporter compensation). See also 5 U.S.C. App. §§ 501
to 505 (outside earned income and employment).
A. Partisan Political Activity. A judicial employee should refrain
from partisan political activity; should not act as a leader or hold any
office in a partisan political organization; should not make speeches for
or publicly endorse or oppose a partisan political organization or candidate;
should not solicit funds for or contribute to a partisan political organization,
candidate, or event; should not become a candidate for partisan political
office; and should not otherwise actively engage in partisan political
B. Nonpartisan Political Activity. A member of a judge's personal
staff, clerk of court, chief probation officer, chief pretrial services
officer, circuit executive, and district court executive should refrain
from nonpartisan political activity such as campaigning for or publicly
endorsing or opposing a nonpartisan political candidate; soliciting funds
for or contributing to a nonpartisan political candidate or event; and
becoming a candidate for nonpartisan political office. Other judicial employees
may engage in nonpartisan political activity only if such activity does
not tend to reflect adversely on the dignity or impartiality of the court
or office and does not interfere with the proper performance of official
duties. A judicial employee may not engage in such activity while on duty
or in the judicial employee's workplace and may not utilize any federal
resources in connection with any such activity.
Note: See also 18 U.S.C. chapter 29 (elections and political