Code of Conduct for US Judges (2023)

• Code of Conduct for American Judges(pdf)(as of March 12, 2019)

recent changes

• Proposed amendments to the Code of Conduct for US Judges (September 2018), including public comment and witness testimony.
• Code of Conduct for American Judges(pdf)(effective before March 12, 2019)

Introduction
Canon 1: A judge must defend the integrity and independence of the judiciary
Canon 2: A judge must avoid impropriety and the appearance of impropriety in all activities
Canon 3: A judge must discharge the functions of office fairly, impartially, and diligently
Canon 4: A judge may engage in extrajudicial activities that are consistent with the duties of the judicial office.
Canon 5: A judge must abstain from political activities
Compliance with the Code of Conduct
Applicable Compliance Date

Introduction

The Code of Conduct for Judges of the United States was initially adopted by the Judicial Conference on April 5, 1973 and was known as the "Code of Judicial Conduct for Judges of the United States".Ver: JCUS-APR 73, pp. 9-11(pdf). Since then, the Judicial Conference has made the following amendments to the Code:

• March 1987: The word "Judicial" was removed from the name of the Code;
• September 1992: Substantive Code revisions adopted;
• March 1996: Revised Part C of the Compliance section, immediately following the Code;
• September 1996: Revised Canons 3C(3)(a) and 5C(4);
• September 1999: Canon 3C(1)(c) revised;
• September 2000: clarification of the Compliance section;
• March 2009: Adoption of substantial revisions to the Code;
• March 2014: Revision of Part C of the Compliance section, which appears immediately after the Code below;
• March 2019: Adopted revisions of Canon 2A Commentary, Canon 3, Canon 3A(3), Canon 3B(4), Canon 3B Commentary(4), Canon 3B Commentary(6) and Canon 3B Commentary(6).

This Code applies to circuit judges, district judges, judges of the International Trade Court, judges of the Court of Federal Claims, bankruptcy judges and US magistrate judges. Certain provisions of this Code apply to captains and special stewards, as noted in the “Compliance” section. The Tax Court, Veterans Claims Court of Appeals, and Armed Services Court of Appeals have adopted this Code.

The Judicial Conference has authorized its Codes of Conduct Committee to issue advisory opinions on this Code only when requested by a judge to whom this Code applies. Requests for feedback and other questions relating to this Code and its applicability should be directed to the Chair of the Codes of Conduct Committee via email or as follows:

President, Codes of Conduct Committee
with the General Counsel
Administrative Office of the United States Courts
Thurgood Marshall Federal Court Building
One Columbus Circle, NE
Washington, DC 20544
202-502-1100

Procedural questions can be directed to:

Office of the General Counsel
Administrative Office of the United States Courts
Thurgood Marshall Federal Court Building
One Columbus Circle, NE
Washington, DC 20544
202-502-1100

Canon 1: A judge must defend the integrity and independence of the judiciary

An independent and honorable judiciary is indispensable for justice in our society. A judge must maintain and enforce high standards of conduct and must personally observe those standards so that the integrity and independence of the judiciary can be preserved. The provisions of this Code shall be interpreted and applied to further that objective.

COMMENT

Deference to court judgments and decisions depends on public confidence in the integrity and independence of judges. The integrity and independence of judges, in turn, depend on their acting without fear or favoritism. While judges must be independent, they must comply with the law and comply with this Code. Fulfilling this responsibility helps maintain public confidence in the impartiality of the judiciary. On the contrary, violation of this Code diminishes public confidence in the judiciary and undermines our system of government under the law.

Canons are rules of reason. They must be applied in accordance with constitutional requirements, laws, other judicial rules and adjudicatory law, and in the context of all relevant circumstances. The Code must be interpreted in such a way as not to affect the essential independence of judges in making judicial decisions.

The Code is designed to provide guidance to judges and candidates for judicial office. It may also provide standards of conduct for use in proceedings under the Judicial Incapacity and Conduct Reform Act of 1980 (28 U.S.C. §§ 332(d)(1), 351-364). Not all violations of the Code should result in disciplinary action. Whether disciplinary action is appropriate and the degree of discipline should be determined by a reasonable application of language and should depend on such factors as the severity of the misconduct, the intent of the judge, whether there is a pattern of misconduct and the effect of inappropriate activity. in others or in the judicial system. Many of the Code's restrictions are necessarily expressed in general terms, and judges may reasonably differ in their interpretation. Furthermore, the Code is not intended or intended to be a basis for civil liability or criminal prosecution. Finally, the Code is not intended to be used for tactical advantage.

Canon 2: A judge must avoid impropriety and the appearance of impropriety in all activities

(ONE)respect for the law🇧🇷 A judge must respect and comply with the law and must act at all times in a manner that promotes public confidence in the integrity and impartiality of the judiciary.

(B)external influence🇧🇷 A judge must not allow family, social, political, financial or other relationships to influence judicial conduct or judgment. A judge must not borrow the prestige of judicial office to further the judge's or others' private interests or convey or allow others to convey the impression that they are in a special position to influence the judge. A judge should not voluntarily testify as a character witness.

(C)non-discriminatory association🇧🇷 A judge must not be a member of any organization that engages in envious discrimination based on race, sex, religion or national origin.

COMMENT

2A cannon🇧🇷 An appearance of impropriety occurs when reasonable minds, with knowledge of all relevant circumstances revealed by a reasonable investigation, conclude that a judge's honesty, integrity, impartiality, temperament or aptitude are impaired. Public trust in the judiciary is eroded by irresponsible or improper conduct by judges, including harassment and other misconduct in the workplace. A judge must avoid all impropriety and the appearance of impropriety. This prohibition applies to both professional and personal conduct. A judge should expect to be subject to constant public scrutiny and to freely and voluntarily accept restrictions that ordinary people might find burdensome. As it is not possible to enumerate all prohibited acts, the prohibition is necessarily formulated in general terms that extend to harmful conduct by judges, even if not specifically mentioned in the Code. Actual wrongdoing under this standard includes violations of law, court rules or other specific provisions of this Code.

Canon 2B.The testimony as a character witness injects the prestige of the judicial function into the process in which the judge testifies and can be perceived as official testimony. A judge should discourage a party from requiring the judge to testify as a character witness, except in unusual circumstances when required by the requirements of justice. This Canon does not create a privilege against testifying in response to an official subpoena.

A judge should avoid borrowing the prestige of judicial office to further the private interests of the judge or others. For example, a judge should not use his judicial position or title to gain advantage in a claim involving a friend or family member of the judge. In publishing contracts for a judge's writings, the judge must maintain control over publicity to prevent exploitation of the judge's office.

A judge must be sensitive to possible abuse of the prestige of his position. A judge should not initiate communications with a sentencing judge or probation or corrections officer, but may provide information to these people in response to a formal request. Judges can participate in the judicial selection process by cooperating with nominating authorities and selection committees seeking names for consideration and by answering official inquiries about a person being considered for the office of judge.

Canon 2C🇧🇷 A judge's membership in an organization that practices envy discrimination gives rise to the perception that the judge's impartiality is affected. The Canon 2C refers to the organization's current practices. Whether an organization practices envy discrimination is often a complex issue to which judges must be sensitive. The answer cannot be determined from a mere examination of an organization's current membership lists, but depends on how the organization selects members and other relevant factors, such as whether the organization is dedicated to preserving religious, ethnic values, or cultural events of legitimate common interest. to its members, or that it is in fact and in fact a purely private and intimate organization whose membership limitations cannot be constitutionally prohibited. See New York State Club Ass'n. Inc. v. New York City, 487 USA 1, 108 S.Ct. 2225, 101 L. Ed. 2d 1 (1988); Rotary International Board of Directors v. Rotary Club of Duarte, 481 USA 537, 107 S.Ct. 1940, 95 L. Ed. 2d 474 (1987); Roberts v. United States Jaycees, 468 USA 609, 104 S.Ct. 3244, 82 L. Ed. 2d 462 (1984). Other relevant factors include the size and nature of the organization and the diversity of people on site who may be considered potential members. Therefore, the mere absence of diverse members does not in itself demonstrate a violation, unless reasonable persons with knowledge of all relevant circumstances would expect the members to be diverse in the absence of begrudging discrimination. In the absence of such factors, an organization is generally considered to be unfairly discriminatory if it arbitrarily excludes from membership on the basis of race, religion, sex or national origin people who would otherwise be admitted to membership.

While Canon 2C refers only to membership in organizations that discriminate jealously on the basis of race, sex, religion, or national origin, a judge's membership in an organization that engages in any discriminatory membership practice prohibited by applicable law violates Canons 2 and 2A and gives the appearance of impropriety. In addition, it would be a violation of Canons 2 and 2A for a judge to arrange a meeting at a club known to the judge to be invidious discrimination on the basis of race, sex, religion or national origin in its members or other policies. or that the judge uses such a club regularly. Furthermore, a judge's public display of his conscientious approval of envious discrimination on any grounds gives the appearance of impropriety under Canon 2 and diminishes public confidence in the integrity and impartiality of the judiciary, in violation of Canon 2A.

When a judge determines that an organization to which he belongs engages in envious discrimination that would preclude membership under Canon 2C or under Canons 2 and 2A, the judge may, instead of resigning, make immediate and continuing efforts to have the organization put an end to their horribly discriminatory practices. If the organization does not stop its discriminatory practices as soon as possible (and in all cases within two years of the judge's first knowledge of the practices), the judge must immediately resign from the organization.

Canon 3: A judge must discharge the functions of office fairly, impartially, and diligently

The duties of the judicial office take precedence over all other activities. The judge must perform these functions with respect for others and must not engage in harassing, abusive, prejudiced or prejudiced conduct. The judge must observe the following rules:

(ONE)judicial responsibilities.

(1) A judge must be true to the law and maintain professional competence therein, and must not be influenced by partisan interests, public outcry or fear of criticism.

(2) A judge must hear and decide assigned matters, unless challenged, and must maintain order and decorum in all court proceedings.

(3) A judge should be patient, dignified, respectful, and courteous to litigants, jurors, witnesses, attorneys, and others with whom the judge deals in an official capacity. A judge should require similar conduct from persons under his or her control, including lawyers, to the extent consistent with their role in adversarial proceedings.

(4) A judge shall grant every person who has a legal interest in a proceeding, and that person's counsel, the full right to be heard in accordance with the law. Except as set forth below, a judge shall not initiate, permit, or consider ex parte communications or consider other communications relating to a pending or imminent matter occurring outside the presence of the parties or their counsel. If a judge receives an unauthorized ex parte communication concerning the merits of a matter, the judge must immediately notify the parties of the subject of the communication and allow the parties an opportunity to respond if they so request. A judge can:

(a) initiate, permit or consider ex parte communications as authorized by law;

(b) when circumstances so require, allow ex parte communication for scheduling, administrative or emergency purposes, but only if the ex parte communication does not address substantive issues and the judge reasonably believes that neither party will gain a substantive, procedural advantage or tactic. advantage as a result of ex parte communication;

(c) obtain the written opinion of a disinterested legal expert, but only after giving the parties prior notice of the person to be consulted and the subject of the advice and giving the parties a reasonable opportunity to contest and respond to the notice already received. ; any

(d) with the consent of the parties, consult separately with the parties and their lawyers in order to mediate or resolve disputes.

(5) A judge should promptly settle court matters.

(6) A judge may not make public comment on the merits of a pending or impending matter in any court. A judge should require a similar restriction on the part of court personnel, subject to the judge's direction and control. The prohibition on public comment on the merits does not extend to public statements made in the course of the judge's official duties, explanations of court proceedings, or academic presentations made for the purposes of legal education.

(B)Administrative Responsibilities.

(1) A judge should diligently discharge administrative responsibilities, maintain professional competence in administering the court, and facilitate the discharge of administrative responsibilities by other judges and court staff.

(2) A judge shall not order court officials to engage in conduct on the judge's behalf or on behalf of the judge when such conduct violates the Code if conducted by the judge.

(3) A judge must exercise the power of appointment fairly and solely on the basis of merit, avoiding unnecessary appointments, nepotism and favoritism. A judge must not approve a nominee's compensation beyond the fair value of services rendered.

(4) A judge should practice civility by being patient, dignified, respectful and courteous in dealing with court personnel, including court personnel. A judge must not engage in any form of harassment of court staff. A judge must not retaliate against those who report misconduct. A judge should hold court staff under him to similar standards.

(5) A judge with supervisory authority over other judges must take reasonable steps to ensure that they discharge their duties in a timely and effective manner.

(6) A judge should take appropriate action upon receiving reliable information indicating the likelihood that a judge's conduct violated this Code, that a court official's conduct violated the Code of Conduct for Court Officials, or that a attorney violated applicable rules of professional conduct.

(C)Disqualification.

(1) A judge must refrain from proceedings where the judge's impartiality could reasonably be questioned, including, but not limited to, where:

(a) the judge has personal bias or bias towards one of the parties, or personal knowledge of the disputed evidential facts relating to the proceeding;

(b) the judge acted as counsel in the disputed matter, or an attorney with whom the judge previously practiced law during such association as counsel in connection with the matter, or the judge or counsel was a material witness;

(c) the judge is aware that the judge, individually or as trustee, or the judge's spouse or a minor child residing in the judge's household, has a financial interest in the disputed issue or in any part of the proceedings, or any other interest that may be substantially affected by the outcome of the proceeding;

(d) the judge or the judge's spouse, or relative up to the third degree, or their spouse is:

(i) a party to the proceeding, or an officer, director or receiver of a party;

(ii) act as a lawyer in the proceeding;

(iii) known to the judge to have an interest that could be materially affected by the outcome of the proceeding; any

(iv) knowledge of the judge who may be a relevant witness in the proceedings;

(e) the judge has served in the government and in that capacity participated as a judge (in a previous judicial capacity), counsel, adviser or key witness in connection with the proceeding or has expressed an opinion regarding the merits of the special case in the dispute.

(2) A judge must keep himself informed of the judge's personal and fiduciary financial interests and make reasonable efforts to keep himself informed of the personal financial interests of the judge's spouse and minor children residing in the judge's household.

(3) For the purposes of this section:

(a) the degree of kinship is calculated in accordance with the civil law system; they are relatives up to the third degree: parent, son, grandfather, grandson, great-grandfather, great-grandson, sister, brother, aunt, uncle, niece and nephew; relatives listed include consanguineous and mixed-race relatives and most adoptive relatives;

(b) “fiduciary” includes relationships such as bailiff, trustee, trustee and guardian;

(c) “financial interest” means ownership of a legal or equitable interest, however small, or a relationship as a director, consultant or other active participant in the business of a party, except that:

(i) ownership of a mutual or common investment fund that owns securities is not a "financial interest" in those securities unless the judge participates in the administration of the fund;

(ii) an office with an educational, religious, charitable, fraternal, or civic organization is not a "financial interest" in the securities held by the organization;

(iii) a policyholder's equity interest in a mutual insurance company, or a depositor in a mutual savings association, or a similar equity interest, is a "financial interest" in the organization only if the outcome of the proceeding could materially 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 materially affect the value of the securities;

(d) "process" includes pre-trial, trial, appellate review or other stages of litigation.

(4) Notwithstanding the foregoing provisions of this Canon, if a judge is disqualified because of a financial interest in a party (other than an interest that can be substantially affected by the outcome), disqualification is not necessary if the judge (or the judge's spouse or minor child) disposes of the disqualifying interest.

(D)Remission of disqualification🇧🇷 In lieu of withdrawing the proceeding, a judge challenged under Canon 3C(1) may, except in the circumstances specifically set forth in subsections (a) through (e), disclose in the record the basis of the challenge. The judge may participate in the proceeding if, following such disclosure, the parties and their counsel have an opportunity to consult outside the presence of the judge, they all agree in writing or on record that the judge is not to be challenged, and the judge is willing to participate. The agreement must be incorporated into the case file.

COMMENT

Canon 3A(3)🇧🇷 The duty to hear all proceedings impartially and patiently is not incompatible with the duty to promptly settle court business. Courts can be efficient and serious as well as patient and deliberate.

The Canon 2 duty to act in a manner that promotes public confidence in the integrity and impartiality of the judiciary applies to all activities of the judge, including the discharge of his adjudicative and administrative responsibilities. The duty to be respectful includes the responsibility to avoid comments or behavior that could reasonably be construed as harassment, bias or bias.

Canon 3A(4)🇧🇷 The restriction on ex parte communications relating to a proceeding includes communications from attorneys, law professors, and others who are not parties to the proceeding. A judge may consult with other judges or court officials whose role is to assist him in discharging his judicial responsibilities. A judge must make reasonable efforts to ensure that court officials and other court personnel comply with this provision.

A judge may encourage and attempt to facilitate settlement, but must not act in such a way as to coerce either party to waive the right to have the dispute resolved by the courts.

Canon 3A(5)🇧🇷 In resolving issues quickly, efficiently and fairly, a judge must demonstrate due respect for the parties' rights to be heard and to resolve issues without unnecessary cost or delay. A judge must monitor and oversee cases to reduce or eliminate delay practices, avoidable delays and unnecessary costs.

Prompt resolution of court matters requires that a judge devote adequate time to his or her judicial duties, be punctual in appearing in court and prompt in determining the matters before it, and take reasonable steps to ensure that court personnel, litigants and their lawyers cooperate with the judge in this regard.

Canon 3A(6)🇧🇷 The warning against public comment on the merits of a pending or imminent issue continues until the appeals process is complete. If the public comment involves a case in the judge's own court, the judge must take special care that the comment does not undermine public confidence in the integrity and impartiality of the judiciary, which would violate Canon 2A. A judge may comment publicly on cases in which the judge is a litigant in a personal capacity, but not on mandamus cases where the judge is a litigant in an official capacity (but the judge may respond in accordance with the Fed. R. App. P 21 (b)).

Canyon 3B(3)🇧🇷 Persons appointed by a judge include designated attorneys, officials such as arbitrators, commissioners, special teachers, trustees, guardians, and staff such as paralegals, clerks, and paralegals. The consent of the parties to the designation or granting of compensation does not exempt the judge from the obligation set forth in this item.

cannon 3B(4)🇧🇷 A judge must not engage in or tolerate conduct in the workplace that could reasonably be construed as harassment, abusive behavior, or retaliation for reporting such conduct. The duty to refrain from retaliation includes retaliation against current and former court officials.

Pursuant to this Canon, harassment encompasses a range of conduct that has no legitimate role in the workplace, including harassment that constitutes discrimination on unacceptable grounds and other abusive, oppressive or inappropriate conduct directed at court officials or others. See Rules for Judicial Conduct and Judicial Incapacity Procedures, Rule 4(a)(2) (which states that “perceived misconduct includes: (A) engaging in unwanted, offensive or abusive sexual conduct, including sexual harassment or assault ; (B) ) treating litigants, attorneys, court officials or others in a demonstrably flagrant and hostile manner; or (C) create a hostile work environment for court personnel") and Rule 4(a)(3) (stating that "perceived misconduct includes discrimination based on race, color, sex, gender, gender identity, pregnancy , sexual orientation, religion, nationality, age or disability”).

cannon 3B(6)🇧🇷 Public confidence in the integrity and impartiality of the judiciary is promoted when judges take appropriate action based on reliable information about possible misconduct. Appropriate action depends on the circumstances, but the overall aim of such action should be to prevent harm to those affected by the misconduct and to prevent its recurrence. A judge, in deciding what action is appropriate, may consider any request for confidentiality made by a person reporting or reporting misconduct. See Rules for Judicial Procedures for Judicial Conduct and Disability, Rule 4(a)(6) (which states that “Recognizable misconduct includes failure to bring to the attention of the chief judge of the district or the judge of the appropriate circuit any information that might reasonably constitute misconduct or judicial inability A judge who receives such reliable information must honor a request for confidentiality, but must nevertheless disclose the information to the Chief District Judge or Chief Circuit Judge, who will also treat the information as confidential. Certain reliable information may be protected from disclosure by law or rule A judge's guarantee of confidentiality must waive when there is reliable information of misconduct or incapacity that threatens the safety of any person or that is so serious or flagrant as to threaten the integrity and proper functioning of the judiciary. A person who reports information of misconduct or deficiencies cia should be advised of a judge's aggregate responsibility to disclose such information to the appropriate district judge or head circuit judge. Reliable information with a reasonable likelihood of constituting judicial misconduct or incapacity relating to a lead circuit judge shall be brought to the attention of the next active judge of the most senior circuit. Such information concerning a Chief District Judge shall be brought to the attention of the Chief Circuit Judge.”).

Appropriate action may include direct communication with the judge or attorney, other direct action if available, reporting the conduct to the proper authorities or, where the judge believes that a judge or attorney's conduct is caused by drugs, alcohol or a medical condition , make a confidential referral to an assistance program. Appropriate action may also include responding to a subpoena to testify, cooperating with or participating in judicial or judicial disciplinary proceedings; a judge must be frank and honest with disciplinary authorities.

Canon 3C🇧🇷 The disqualification considerations applicable to a judge's spouse must also be considered in relation to a person other than the spouse with whom the judge has a family and intimate relationship.

Canon 3C(1)(c)🇧🇷 In a criminal proceeding, the victim entitled to restitution is not, in the sense of this Canon, a party to the proceeding or the object of the dispute. A judge who has a financial interest in the victim of a crime is not required by Canon 3C(1)(c) to disqualify himself from criminal prosecution, but the judge must do so if the judge's impartiality can reasonably be questioned under Canon 3C(1) or if the judge has an interest that could be substantially affected by the outcome of the proceedings under Canon 3C(1)(d)(iii).

Canon 3C(1)(d)(ii)🇧🇷 The fact that an attorney in an action is affiliated with a law firm to which a relative of the judge is affiliated does not, of itself, disqualify the judge. However, if “the impartiality of the judge could reasonably be questioned” under Canon 3C(1), or if the judge knows that the relative has an interest in the law firm that could be “substantially affected by the outcome of the proceedings” from under Canon 3C(1)(d)(iii), disqualification of the judge is required.

Canon 4: A judge may engage in extrajudicial activities that are consistent with the duties of the judicial office.

A judge may engage in extrajudicial activities, including law-related activities and civic, charitable, educational, religious, social, financial, fiduciary, and governmental activities, and may speak, write, lecture, and teach on legal and non-legal matters. . 🇧🇷 🇧🇷 However, a judge should not participate in extrajudicial activities that retain value to the dignity of the position of judge, interfere with the performance of the official duties of the judge, reflect negatively on the impartiality of the judge, resulting in frequent disqualifications or violating established limitations Next.

(ONE)Law-related activities.

(1)speak, write and teach🇧🇷 A judge may speak, write, lecture, teach, and engage in other activities related to the law, the legal system, and the administration of justice.

(2)Query🇧🇷 A judge may consult or appear at a public hearing before an executive or legislative body or official:

(a) in matters relating to the law, the legal order or the administration of justice;

(b) the extent to which a judge's judicial experience is generally perceived as special expertise in the field; any

(c) when the judge is acting pro se in a matter involving the judge or the judge's interest.

(3)organizations🇧🇷 A judge may join and act as a member, officer, director, trustee or non-legal adviser to a non-profit organization involved in the law, the legal system or the administration of justice and may assist that organization in the management and investment of money. A judge can make recommendations to public and private funding agencies about projects and programs related to the law, the legal system and the administration of justice.

(4)Arbitration and Mediation🇧🇷 A judge shall not act as an arbitrator or mediator or perform judicial functions other than the judge's official functions, unless expressly authorized by law.

(5)practice of law🇧🇷 A judge must not practice law and must not act as an attorney for a family member in any forum. However, a judge may act pro se and may, without remuneration, provide legal advice and draft or review documents for a member of the judge's family.

(B)Civic and solidarity activitiesA judge may participate in and serve as an officer, director, trustee, or non-legal adviser to a non-profit civic, charitable, educational, religious, or social organization, subject to the following limitations:

(1) A judge should not act if the organization is likely to become involved in proceedings that would normally be brought before the judge or regularly engage in adversarial proceedings in any court.

(2) A judge should not provide investment advice to such an organization, but may serve on its board of directors or trustees, even if it has responsibility for approving investment decisions.

(C)fund raisingA judge may assist non-profit law enforcement, civic, charitable, educational, religious or social organizations in planning fundraising activities and may be listed as an officer, director or trustee. A judge may solicit funds for such an organization from judges over whom the judge does not exercise supervisory or appellate authority and from members of the judge's family. Otherwise, a judge must not personally engage in fundraising activities, solicit funds for any organization, or use or permit the use of the prestige of judicial office for that purpose. A judge should not personally participate in the membership application if the application could reasonably be considered coercive or is essentially a fundraising mechanism.

(D)financial activities.

(1) A judge may own and manage investments, including real estate, and engage in other gainful activities, but must refrain from financial and commercial transactions that exploit judicial office or involve the judge in frequent transactions or ongoing business relationships with lawyers or other persons likely to appear before the court in which the judge operates.

(2) A judge may act as an officer, director, active partner, manager, consultant or employee of a company only if the company is closely controlled 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 in the third degree of kinship as defined in Canon 3C(3)(a), any other relatives with whom the judge or the judge's spouse judge maintains a close family relationship and the spouse of any of the above.

(3) As soon as the judge can do so without serious financial loss, the judge should dispose of investments and other financial interests that may require frequent denial.

(4) A judge must comply with the restrictions on accepting gifts and the prohibition on soliciting gifts set forth in the Judicial Conference Gift Rules. A judge shall endeavor to prevent any member of the judge's family residing in the house from soliciting or accepting a gift, except to the extent permitted by the Judicial Conference Gift Regulations. A “member of the judge's family” means any relative of a judge by blood, adoption or marriage, or anyone treated by a judge as a member of the judge's family.

(5) A judge shall not disclose or use non-public information acquired in his judicial capacity for any purpose that is not related to the judge's official duties.

(MI)fiduciary activities.A judge may act as executor, trustee, trustee, guardian or other trustee only for the estate, trust or person of a member of the judge's family, as defined in Canon 4D(4). As a family administrator, the judge is subject to the following restrictions:

(1) The judge shall not act if the judge, as trustee, may become involved in proceedings that would normally be brought before the judge or if the estate, trust or guardianship is involved in adversarial proceedings in the court in which the judge is found. judge acts in or under his appellate jurisdiction.
(2) When acting as a fiduciary, a judge is subject to the same restrictions on financial activities that apply to a judge in a personal capacity.

(F)Government Designations🇧🇷 A judge may accept appointment to a committee, commission, or other government office only if it is an office relating to the law, the legal system, or the administration of justice, or if federal statute requires the appointment of a judge. A judge should under no circumstances accept such an appointment if the judge's governmental duties would tend to undermine public confidence in the integrity, impartiality or independence of the judiciary. A judge may represent the judge's country, state or locality on ceremonial occasions or in connection with historical, educational and cultural activities.

(GRAMS)Chambers, resources and personnel🇧🇷 A judge must not use, in any substantial degree, courtrooms, resources, or personnel to engage in extrajudicial activities permitted by this Canon.

(H)Compensation, reimbursement and financial reportingA judge may accept compensation and reimbursement of expenses for extrajudicial and law-related activities permitted by this Code if the source of the payments does not appear to influence the judge in his judicial duties or otherwise gives the appearance of impropriety, subject to the following restrictions:

(1) Compensation must not exceed a reasonable amount or exceed what a non-judge would receive for the same activity.

(2) Reimbursement of expenses shall be limited to actual travel, food and lodging expenses reasonably incurred by the judge and, where appropriate at the time, by your spouse or relative. Any additional payment is compensation.

(3) A judge must make required financial disclosures, including disclosures of gifts and other things of value, in accordance with applicable statutes and Judicial Conference rules and guidelines.

COMMENT

Canon 4.Total separation of the judge from extrajudicial activities is neither possible nor prudent; a judge must not isolate himself from the society in which he lives. As a court official and person especially versed in law, a judge is in a unique position to contribute to the law, the legal system and the administration of justice, including reviewing substantive and procedural law and improving criminal and juvenile justice. To the extent that the judge's time permits and impartiality is not compromised, the judge is encouraged to do so, either independently or through a bar association, judicial conference or other organization dedicated to the law. Subject to the same limitations, judges may also engage in a wide range of non-law activities.

Within the limits of applicable law (see, for example, 18 U.S.C. § 953), a judge may express opposition to the prosecution of attorneys and judges anywhere in the world if the judge has determined, after reasonable investigation, that the persecution is caused by a conflict between the professional responsibilities of the prosecuted judge or lawyer and the policies or practices of the relevant government.

A person other than a spouse with whom the judge has a family and intimate relationship shall be considered a family member of the judge for purposes of legal assistance under Canon 4A(5), fundraising under Canon 4C and relatives from commercial activities in accordance with Canon 4C. Canon 4D(2).

4A cannonTeaching and serving on the board of a law school is permitted, but in the case of a for-profit law school, the board's service is limited to a non-governmental advisory board.

According to this Canon, a judge may encourage lawyers to provide pro bono legal services.

Canon 4A(4)This Canon generally prohibits a judge from mediating a state court matter, except in unusual circumstances (for example, when a judge is mediating a federal matter that cannot be effectively resolved without addressing the related state court matter).

Canon 4A(5).A judge can act pro se in all legal matters, including matters relating to litigation and matters relating to court appearances or other dealings with government agencies. In doing so, a judge must not abuse the prestige of his office to further the interests of the judge or the judge's family.

4B cannon.The changing nature of some organizations and their exposure to litigation make it necessary for a judge to regularly review the activities of each organization with which they are affiliated to determine whether the judge's continued membership is appropriate. For example, in many jurisdictions, charity hospitals are in court more often than in the past.

Canon 4CA judge may participate in fundraising events for law enforcement and other organizations, although the judge may not be a speaker, guest of honor, or on the program for that event. The use of a judge's name, organizational title, and judicial designation on an organization's letterhead, including when used to raise funds or solicit membership, does not violate Canon 4C if comparable information and designations are included for others.

Canon 4D(1), (2) and (3)Canon 3 requires the disqualification of a judge in any case in which the judge has a financial interest, however small. Canon 4D requires a judge to refrain from commercial and financial activities that might interfere with the impartial performance of his judicial duties. Canon 4H requires a judge to report compensation received for activities outside the judicial office. The judge has the rights of ordinary citizens in financial matters, subject to the limitations necessary to safeguard the proper performance of the functions of a judge. A judge's involvement in a closed family business, while generally permissible, may be prohibited if it is too long or involves a misuse of judicial prestige, or if the business is likely to be taken to the court where the judge works. Possession and receipt of income from investments does not, as such, affect the performance of the duties of a judge.

Canon 4D(5)The restriction on the use of non-public information is not intended to affect a judge's ability to act on the information as necessary to protect the health or safety of the judge or a member of his or her family, court personnel, court or others. court officials consistent with other provisions of this Code.

Canon 4E.Mere residence in the judge's house does not, of itself, make a person a member of the judge's family for the purposes of this Canon. The person must be treated by the judge as a member of the judge's family.

The Compliance Effective Date clause of this Code addresses continued service as a fiduciary.

A judge's duty under this Code and a judge's duty as a trustee may conflict. For example, a judge must resign as trustee if it would be detrimental to the trust to dispose of shares whose retention would require frequent disqualification of the judge in violation of Canon 4D(3).

Canon 4FThe desirability of accepting extrajudicial commissions must be evaluated in light of the demands for judicial remedies and the need to protect courts from intervening in matters that may be controversial. Judges should not accept government appointments that might interfere with the effectiveness and independence of the judiciary, interfere with the judge's discharge of judicial responsibilities, or tend to undermine public confidence in the judiciary.

4H cannonThis Code does not require a judge to disclose income, debts or investments, except as provided in this Canon. The Ethical Reform Act of 1989 and implementing regulations enacted by the Judicial Conference place additional restrictions on the receipt of compensation by judges. This law and these regulations should be consulted before a judge enters into any settlement involving the receipt of damages. The restrictions thus imposed include, but are not limited to: (1) the prohibition against receiving “fees” (defined as anything of value received for a speech, appearance, or article), (2) the prohibition against receiving remuneration for service as a director, trustee, or employee of a for-profit or non-profit organization, (3) a requirement that paid educational activities receive prior approval, and (4) a limitation on receiving "outside income."

Canon 5: A judge must abstain from political activities

(ONE)General Prohibitions.A judge must not:

(1) serve 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; any

(3) solicit funds from, pay for an evaluation or make a contribution to an organization or political candidate, or attend or purchase a ticket to a dinner or other event sponsored by an organization or political candidate.

(B)Withdrawal of candidacy.A judge must resign from judicial office if he becomes a candidate in a primary or general election for any office.

(C)Other political activity.A judge must not participate in any other political activity. This provision does not preclude a judge from engaging in the activities described in Canon 4.

COMMENT

The term “political organization” means a political party, a group affiliated with a political party or candidate for public office, or an entity whose primary purpose is to advocate for or against political candidates or parties in connection with elections.

Compliance with the Code of Conduct

For purposes of this Code, a judge is any employee of the federal court system authorized to exercise judicial functions. All judges must comply with this Code, except as noted below.

(A) part-time judge

A part-time judge is a judge who serves part-time, either continuously or periodically, but is permitted by law to devote time to some other profession or occupation and is paid less for that reason than a judge full time. A partial time judge:

(1) you are not obligated to comply with canon 4A(4), 4A(5), 4D(2), 4E, 4F or 4H(3);
(2) except as provided in the Conflict of Interest Rules for Part-Time Judges, you must not practice law in the court in which the judge serves or in any court subject to the appellate jurisdiction of that court, nor practice as an attorney in a proceedings in which the judge acted as a judge or in any related proceedings.

(B) Juiz for time

Judge pro tempore is the person appointed to serve temporarily as a judge or as a special teacher.

(1) When acting in this capacity, a judge pro tempore is not required to comply with Canons 4A(4), 4A(5), 4D(2), 4D(3), 4E, 4F or 4H(3); in addition, a person acting only as a special teacher is not required to comply with canon 4A(3), 4B, 4C, 4D(4) or 5.
(2) A person who has been a judge pro tempore shall not act as counsel in a case in which the judge acted as a judge or in any related case.

(C) Retired judge

A retired judge under 28 U.S.C. § 371(b) or § 372(a) (applicable to Article III judges), or subject to reversal under § 178(d) (applicable to Federal Claims Court judges), or revoked from judicial service, must comply with all provisions of this Code except Canon 4F, but the judge must abstain from judicial service during the period of extrajudicial appointment not sanctioned by Canon 4F. All other retired judges eligible for summons to judicial service (except those in US territories and possessions) must comply with the provisions of this Code governing part-time judges. However, bankruptcy judges and magistrates who are eligible for removal but who have notified the Administrative Office of the United States Courts that they will not consent to removal are not required to comply with the provisions of this Code governing part-time judges. Such notice may be given at any time after retirement and is irrevocable. A superior judge in the territories and possessions must comply with this Code as prescribed by 28 U.S.C. § 373(c)(5) and (d).

COMMENT

The 2014 amendment to the Compliance section, referring to bankruptcy judges and retired magistrate judges and exempting such judges from complying with the Code as part-time judges if they notify the Administrative Office of the United States Courts that they will not consent to the removal, was it is not intended to alter these judges' statutory entitlements to annuities, cost of living adjustments or any other retirement benefits.

Applicable Compliance Date

Persons to whom this Code applies must organize their financial and fiduciary affairs as quickly as possible to comply with it and must do so, in any event, within one year of their appointment. However, if the person's time requirements and the potential for conflicts of interest are not material, that person may continue to act, without remuneration, as an executor, trustee, trustee or other trustee of the estate or person of another non-member. of the person's family if the termination of the relationship unnecessarily prejudices any substantial interest of the property or person and if approved by the judicial council of the circuit.

Last revised (Broadcast 02-046) March 12, 2019