Introduction | |
Canon 1. | A Judge Should Uphold the Integrity and Independence of the Judiciary |
Canon 2. | A Judge Should Avoid Impropriety and the Appearance of Impropriety in All Activities |
Canon 3. | A Judge Should Perform the Duties of the Office Impartially and Diligently |
Canon 4. | A Judge May Engage in Extra-Judicial Activities To Improve the Law, the Legal System, and the Administration of Justice |
Canon 5. | A Judge Should Regulate Extra-Judicial Activities To Minimize the Risk of Conflict with Judicial Duties |
Canon 6. | A Judge Should Regularly File Reports of Compensation Received for Law-Related and Extra-Judicial Activities |
Canon 7. | A Judge Should Refrain from Political Activity |
Compliance with the Code of Conduct | |
Applicable Date of Compliance | |
Checklists for Financial and Other Conflicts of Interest (PDF) |
CHAPTER I. CODE OF CONDUCT FOR UNITED STATES JUDGES(1)
Chairman, Committee on Codes of Conduct
c/o General Counsel
Administrative Office of the
United States Courts
One Columbus Circle, N.E.
Washington, D.C. 20544
(202) 502-1100
A JUDGE SHOULD UPHOLD THE INTEGRITY
AND INDEPENDENCE OF THE JUDICIARY
COMMENTARY
A JUDGE SHOULD AVOID
IMPROPRIETY AND THE APPEARANCE
OF IMPROPRIETY IN ALL ACTIVITIES
COMMENTARY
A JUDGE SHOULD PERFORM THE DUTIES
OF THE OFFICE IMPARTIALLY AND DILIGENTLY
B. Administrative Responsibilities.
(a) the judge has a personal bias or prejudice concerning a party, or personal knowledge of disputed evidentiary facts concerning the proceeding;
(b) the judge served as lawyer in the matter in controversy, or a lawyer with whom the judge previously practiced law served during such association as a lawyer concerning the matter, or the judge or such lawyer has been a material witness; (c) the judge knows that the judge, individually or as a fiduciary, or the judge's spouse or minor child residing in the judge's household, has a financial interest in the subject matter in controversy or in a party to the proceeding, or any other interest that could be affected substantially by the outcome of the proceeding; (d) the judge or the judge's spouse, or a person related to either within the third degree of relationship, or the spouse of such a person: (i) is a party to the proceeding, or an officer, director, or trustee of a party; (ii) is acting as a lawyer in the proceeding; (iii) is known by the judge to have an interest that could be substantially affected by the outcome of the proceeding; or (iv) is to the judge's knowledge likely to be a material witness in the proceeding. (e) the judge has served in governmental employment and in such capacity participated as counsel, advisor, or material witness concerning the proceeding or has expressed an opinion concerning the merits of the particular case in controversy.
(a) the degree of relationship is calculated according to the civil law system; the following relatives are within the third degree of relationship: parent, child, grandparent, grandchild, great grandparent, great grandchild, sister, brother, aunt, uncle, niece and nephew; the listed relatives include whole and half blood relatives and most step relatives; (b) "fiduciary" includes such relationships as executor, administrator, trustee, and guardian; (c) "financial interest" means ownership of a legal or equitable interest, however small, or a relationship as director, advisor, or other active participant in the affairs of a party, except that: (i) ownership in a mutual or common investment fund that holds securities is not a "financial interest" in such securities unless the judge participates in the management of the fund; (ii) an office in an educational, religious, charitable, fraternal, or civic organization is not a "financial interest" in securities held by the organization; (iii) the proprietary interest of a policy holder in a mutual insurance company, or a depositor in a mutual savings association, or a similar proprietary interest, is a "financial interest" in the organization only if the outcome of the proceeding could substantially affect the value of the interest; (iv) ownership of government securities is a "financial interest" in the issuer only if the outcome of the proceeding could substantially affect the value of the securities. (d) "proceeding" includes pretrial, trial, appellate review, or other stages of litigation.
NOTE: In September 1985, the Judicial Conference approved a form
developed by the Advisory Committee on Codes of Conduct entitled "Notice
Concerning Waiver of Judicial Disqualification" and authorized its distribution
for consideration and possible adoption by the courts. The form is reprinted
below.
FROM: | The Clerk | Date_______________ | |
TO: | XXXX (Counsel) | XXXX (Counsel) | |
XXXX | |||
RE: | ABC v. DEF, Case No. | __________________ |
A JUDGE MAY ENGAGE
IN EXTRA-JUDICIAL ACTIVITIES TO IMPROVE THE LAW,
THE LEGAL SYSTEM, AND THE ADMINISTRATION OF JUSTICE
COMMENTARY
A JUDGE SHOULD REGULATE
EXTRA-JUDICIAL ACTIVITIES TO MINIMIZE
THE RISK OF CONFLICT WITH JUDICIAL DUTIES
(1) A judge should not serve if it is likely that the organization will be engaged in proceedings that would ordinarily come before the judge or will be regularly engaged in adversary proceedings in any court. (2) A judge should not solicit funds for any educational, religious, charitable, fraternal, or civic organization, or use or permit the use of the prestige of the judicial office for that purpose, but the judge may be listed as an officer, director, or trustee of such an organization. A judge should not personally participate in membership solicitation if the solicitation might reasonably be perceived as coercive or is essentially a fund-raising mechanism. (3) A judge should not give investment advice to such an organization, but may serve on its board of directors or trustees even though it has the responsibility for approving investment decisions.
(1) A judge should refrain from financial and business dealings that tend to reflect adversely on the judge's impartiality, interfere with the proper performance of judicial duties, exploit the judicial position, or involve the judge in frequent transactions with lawyers or other persons likely to come before the court on which the judge serves. (2) Subject to the requirements of subsection (1), a judge may hold and manage investments, including real estate, and engage in other remunerative activity, but should not serve as an officer, director, active partner, manager, advisor, or employee of any business other than a business closely held and controlled by members of the judge's family. For this purpose, "members of the judge's family" means persons related to the judge or the judge's spouse within the third degree of relationship calculated according to the civil law system, any other relatives with whom the judge or the judge's spouse maintains a close familial relationship, and the spouse of any of the foregoing. (3) A judge should manage investments and other financial interests to minimize the number of cases in which the judge is disqualified. As soon as the judge can do so without serious financial detriment, the judge should divest himself or herself of investments and other financial interests that might require frequent disqualification. (4) A judge should not solicit or accept anything of value from anyone seeking official action from or doing business with the court or other entity served by the judge, or from anyone whose interests may be substantially affected by the performance or nonperformance of official duties; except that a judge may accept a gift as permitted by the Judicial Conference gift regulations. A judge should endeavor to prevent a member of a judge's family residing in the household from soliciting or accepting a gift except to the extent that a judge would be permitted to do so by the Judicial Conference gift regulations. (5) For the purposes of this section "members of the judge's family residing in the judge's household" means any relative of a judge by blood or marriage, or a person treated by a judge as a member of the judge's family, who resides in the judge's household. (6) A judge should report the value of any gift, bequest, favor, or loan as required by statute or by the Judicial Conference of the United States. (7) A judge is not required by this Code to disclose his or her income, debts, or investments, except as provided in this Canon and Canons 3 and 6. (8) Information acquired by a judge in the judge's judicial capacity should not be used or disclosed by the judge in financial dealings or for any other purpose not related to the judge's judicial duties.
(1) The judge should not serve if it is likely that as a fiduciary the judge will be engaged in proceedings that would ordinarily come before the judge or if the estate, trust or ward becomes involved in adversary proceedings in the court on which the judge serves or one under its appellate jurisdiction. (2) While acting as a fiduciary a judge is subject to the same restrictions on financial activities that apply to the judge in his or her personal capacity.
COMMENTARY
A JUDGE SHOULD REGULARLY FILE
REPORTS OF COMPENSATION RECEIVED
FOR LAW-RELATED AND EXTRA-JUDICIAL ACTIVITIES
COMMENTARY
A JUDGE SHOULD REFRAIN FROM
POLITICAL ACTIVITY
(1) act as a leader or hold any office in a political organization; (2) make speeches for a political organization or candidate or publicly endorse or oppose a candidate for public office; (3) solicit funds for or pay an assessment or make a contribution to a political organization or candidate, attend political gatherings, or purchase tickets for political party dinners, or other functions.
(1) is not required to comply with Canons 5C(2), D, E, F, and G, and Canon 6C; (2) except as provided in the Conflict-of-Interest Rules for Part-time Magistrate Judges, should not practice law in the court on which the judge serves or in any court subject to the appellate jurisdiction of the court on which the judge serves, or act as a lawyer in a proceeding in which the judge has served as a judge or in any other proceeding related thereto.
(1) While acting as such, a judge pro tempore is not required to comply with Canons 5C(2), (3), D, E, F, and G, and Canon 6C; further, one who acts solely as a special master is not required to comply with Canons 4C, 5B (except the first sentence thereof), 5C(4), and 7.
(2) A person who has been a judge pro tempore should not act as a lawyer in a proceeding in which the judge has served as a judge or in any other proceeding related thereto.
2. Procedural questions may be addressed to: Office of the General Counsel, Administrative Office of the United States Courts, Thurgood Marshall Federal Judiciary Building, Washington, D.C., 20544, (202-502-1100).
3. This Code governs the conduct of United States Circuit Judges, District Judges, Court of International Trade Judges, Court of Federal Claims Judges, Bankruptcy Judges, and Magistrate Judges. In addition, certain provisions of this Code apply to special masters and commissioners as indicated in the "Compliance" section.