*Go to the Introduction to the Code of Conduct for Judicial Employees.
Effective January 1, 1996
CANON 1: A JUDICIAL EMPLOYEE SHOULD UPHOLD THE
INTEGRITY AND INDEPENDENCE OF THE JUDICIARY AND OF
THE JUDICIAL EMPLOYEE'S OFFICE
An independent and honorable Judiciary is indispensable to
justice in our society. A judicial employee should personally
observe high standards of conduct so that the integrity and
independence of the Judiciary are preserved and the judicialorder, or by the appointing authority.
CANON 2: A JUDICIAL EMPLOYEE SHOULD AVOID IMPROPRIETY
AND THE APPEARANCE OF IMPROPRIETY IN ALL
ACTIVITIES
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.
CANON 3: A JUDICIAL 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 judicial employee's appointing authority, the following
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
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 canons.
Note: A number of criminal statutes of general
applicability govern federal 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. 643 (failing to account for public
money);
18 U.S.C. 798 and 50 U.S.C. 783 (disclosure of
classified information);
18 U.S.C. 1001 (fraud or false statements in a
government matter);
18 U.S.C. 1719 (misuse of franking privilege);
18 U.S.C. 2071 (concealing, removing, or
mutilating a public record);
31 U.S.C. 1344 (misuse of government vehicle);
31 U.S.C. 3729 (false claims against the
government).
In addition, provisions of specific applicability to court
officers include:
18 U.S.C. 153, 154 (court officers embezzling
or purchasing property from bankruptcy estate);
18 U.S.C. 645 (embezzlement and theft by court
officers);
18 U.S.C. 646 (court officers failing to deposit
registry moneys);
18 U.S.C. 647 (receiving loans from registry
moneys from court officer).
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 do so.
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.
E. A judicial employee should not engage in nepotism prohibited
by law.
Note: See also 5 U.S.C. 3110 (employment of relatives);
28 U.S.C. 458 (employment of judges' relatives).
F. Conflicts of Interest.
(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 restrictions:
(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
knows that:
(i) he or she has a personal bias
or prejudice concerning a party, or personal
knowledge of disputed evidentiary facts
concerning the proceeding;
(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,4 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 in controversy.
(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 (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) has an interest that could be
substantially affected by the outcome of the
proceeding; 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:
(i) he or she has a personal bias
or prejudice concerning a party;
(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 the proceeding.
(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 authority in this regard.
(4) A judicial employee who is subject to canon 3F(2)
should keep informed about his or her personal,
financial and fiduciary interests and make a reasonable
effort to keep informed about such interests of a
spouse or minor child residing in the judicial
employee's household.
(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.
CANON 4: 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 fund-raising activity.
C. Financial Activities.
(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). See 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 the Judicial
Conference of the United States.
Note: See 5 U.S.C. app. 6, 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 that:
(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 code.
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 States.
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.
Note: See 5 U.S.C. app. 6, 101 to 111 (Ethics Reform Act
financial disclosure provisions); 28 U.S.C. 753 (court
reporter compensation). See also 5 U.S.C. app. 7, 501 to
505 (outside earned income and employment).
CANON 5: A JUDICIAL EMPLOYEE SHOULD REFRAIN FROM
INAPPROPRIATE POLITICAL ACTIVITY
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
activities.
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
activities).
_______________________________
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 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.
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Last Modified 1/21/97