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HOME PAGE Sua Sponte Issued Pre-Filing
Injunction JUNK
LAW FEDERAL
MAGISTRATE OVERRULES THE FIRST AMENDMENT UNDERMINE
APPEAL RIGHT AND DISHONESTY | A
TALE OF TWO APPEALS, SAME FACTS, DIFFERENT OUTCOME
JUDICIAL DISHONESTY
DOCUMENTED| JUDICIAL
INTEGRITY HOMEPAGE |
Purpose and Background
This web page is part of collection of web pages on this
website, mmason.freeshell.org,
that documents Judicial
Misconduct and Abuse by U.S. District Judge Donald L. Graham and the
extreme measures that his colleagues at the Eleventh Circuit, U.S. Court
of Appeals will deploy to conceal the egregious conduct of Judge
Graham. The core allegations of misconduct and abuse by Judge Graham
are listed and documented at mmason.freeshell.org/CoreAllegations.htm.
There are scores of pages and documents on this website and they are all
interlinked. This website tells a story from many different angles
and perspectives. This page is a placeholder and a pointer, or a
central starting point to other pages that demonstrate that the behavior
of a judicial miscreant, Judge Donald L. Graham, that is not remedied by any of
the current methods of judicial discipline. The current methods of
federal judicial discipline are:
- Impeachment
- Judicial Misconduct and Disability Act
- Lawsuits Against Judges
- Appellate Review
Summary of the Core Allegations which were before the
Eleventh Circuit in all attempts at appellate review includes, but
definitely is not limited to, the following:
-
Lying and intentionally
misrepresenting law.
-
Refusing to rule on a
motion for a preliminary injunction that had been pending for more
than 17 months.
-
Allowing scores of motions
and filings to languish without being decided.
-
Usurping legal authority.
Allowing a Magistrate to issue an injunction prohibiting direct
communication with the Highlands County Government.
Additionally, prohibiting Marcellus Mason from making public
records request under Florida Law directly to Highlands County.
-
Violating clearly
established law and the authority of the U.S. Supreme Court by issuing
pre-filing injunctions.
-
Abuse of the criminal
contempt procedure.
-
Lying and intentionally
misrepresenting material facts.
-
Ignoring the U.S. Supreme
Court denying access to the courts by refusing to state any reason for
denying IFP applications.
Chapter I. Code of Conduct for United States Judges
CONTENTS
CHAPTER I. CODE OF CONDUCT FOR UNITED STATES JUDGES(1)
Introduction
- This Code applies to United States Circuit Judges, District Judges, Court
of International Trade Judges, Court of Federal Claims Judges, Bankruptcy
Judges, and Magistrate Judges. Certain provisions of this Code apply to
special masters and commissioners as indicated in the "Compliance"
section. In addition, the Tax Court, Court of Appeals for Veterans Claims,
and Court of Appeals for the Armed Forces have adopted this Code. Persons to
whom the Code applies must arrange their affairs as soon as reasonably
possible to comply with the Code and should do so in any event within one
year of appointment.
- The Judicial Conference has authorized its Committee on Codes of Conduct
to render advisory opinions concerning the application and interpretation of
this Code only when requested by a judge to whom this Code applies. Requests
for opinions and other questions(2)
concerning this Code and its applicability should be addressed to the
Chairman of the Committee on Codes of Conduct as follows:
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
CODE OF CONDUCT FOR UNITED STATES JUDGES(3)
CANON 1
A JUDGE SHOULD UPHOLD THE INTEGRITY
AND INDEPENDENCE OF THE JUDICIARY
- An independent and honorable judiciary is indispensable to
justice in our society. A judge should participate in establishing,
maintaining, and enforcing high standards of conduct, and should personally
observe those standards, so that the integrity and independence of the
judiciary may be preserved. The provisions of this Code should be construed
and applied to further that objective.
COMMENTARY
- Deference to the judgments and rulings of courts depends upon
public confidence in the integrity and independence of judges. The integrity
and independence of judges depend in turn upon their acting without fear or
favor. Although judges should be independent, they should comply with the
law, as well as the provisions of this Code. Public confidence in the
impartiality of the judiciary is maintained by the adherence of each judge
to this responsibility. Conversely, violation of this Code diminishes public
confidence in the judiciary and thereby does injury to the system of
government under law.
- The Canons are rules of reason. They should be applied
consistent with constitutional requirements, statutes, other court rules and
decisional law, and in the context of all relevant circumstances. The Code
is to be construed so as not to impinge on the essential independence of
judges in making judicial decisions.
- The Code is designed to provide guidance to judges and
nominees for judicial office. The Code may also provide standards of conduct
for application in proceedings under the Judicial Councils Reform and
Judicial Conduct and Disability Act of 1980 (28 U.S.C. §§ 332(d)(1),
372(c)), although it is not intended that disciplinary action would be
appropriate for every violation of its provisions. Whether disciplinary
action is appropriate, and the degree of discipline to be imposed, should be
determined through a reasonable application of the text and should depend on
such factors as the seriousness of the violation, the intent of the judge,
whether there is a pattern of improper activity, and the effect of the
improper activity on others or on the judicial system. Many of the
proscriptions in the Code are necessarily cast in general terms, and it is
not suggested that disciplinary action is appropriate where reasonable
judges might be uncertain as to whether or not the conduct is proscribed.
Furthermore, the Code is not designed or intended as a basis for civil
liability or criminal prosecution. Finally, the purpose of the Code would be
subverted if the Code were invoked by lawyers for mere tactical advantage in
a proceeding.
CANON 2
A JUDGE SHOULD AVOID
IMPROPRIETY AND THE APPEARANCE
OF IMPROPRIETY IN ALL ACTIVITIES
- A. A judge should respect and comply with the law and should
act at all times in a manner that promotes public confidence in the
integrity and impartiality of the judiciary.
- B. A judge should not allow family, social, or other
relationships to influence judicial conduct or judgment. A judge should not
lend the prestige of the judicial office to advance the private interests of
others; nor convey or permit others to convey the impression that they are
in a special position to influence the judge. A judge should not testify
voluntarily as a character witness.
- C. A judge should not hold membership in any organization that
practices invidious discrimination on the basis of race, sex, religion, or
national origin.
COMMENTARY
- Canon 2A. Public confidence in the judiciary is eroded
by irresponsible or improper conduct by judges. A judge must avoid all
impropriety and appearance of impropriety. A judge must expect to be the
subject of constant public scrutiny. A judge must therefore accept
restrictions that might be viewed as burdensome by the ordinary citizen and
should do so freely and willingly. The prohibition against behaving with
impropriety or the appearance of impropriety applies to both the
professional and personal conduct of a judge. Because it is not practicable
to list all prohibited acts, the proscription is necessarily cast in general
terms that extend to conduct by judges that is harmful although not
specifically mentioned in the Code. Actual improprieties under this standard
include violations of law, court rules or other specific provisions of this
Code. The test for appearance of impropriety is whether the conduct would
create in reasonable minds, with knowledge of all the relevant circumstances
that a reasonable inquiry would disclose, a perception that the judge's
ability to carry out judicial responsibilities with integrity, impartiality,
and competence is impaired.
- Canon 2B. The testimony of a judge as a character
witness injects the prestige of the judicial office into the proceeding in
which the judge testifies and may be misunderstood to be an official
testimonial. This Canon, however, does not afford the judge a privilege
against testifying in response to an official summons. Except in unusual
circumstances where the demands of justice require, a judge should
discourage a party from requiring the judge to testify as a character
witness.
- A judge should avoid lending the prestige of judicial office
for the advancement of the private interests of the judge or others. For
example, a judge should not use the judge's judicial position to gain
advantage in litigation involving a friend or a member of the judge's
family. In contracts for publication of a judge's writings, a judge should
retain control over the advertising to avoid exploitation of the judge's
office.
- A judge should be sensitive to possible abuse of the prestige
of office. A judge should not initiate the communication of information to a
sentencing judge or a probation or corrections officer but may provide to
such persons information in response to a formal request. Judges may
participate in the process of judicial selection by cooperating with
appointing authorities and screening committees seeking names for
consideration, and by responding to official inquiries concerning a person
being considered for a judgeship.
- Canon 2C. Membership of a judge in an organization that
practices invidious discrimination gives rise to perceptions that the
judge's impartiality is impaired. Canon 2C refers to the current practices
of the organization. Whether an organization practices invidious
discrimination is often a complex question to which judges should be
sensitive. The answer cannot be determined from a mere examination of an
organization's current membership rolls but rather depends on how the
organization selects members and other relevant factors, such as that the
organization is dedicated to the preservation of religious, ethnic or
cultural values of legitimate common interest to its members, or that it is
in fact and effect an intimate, purely private organization whose membership
limitations could not be constitutionally prohibited. See New York
State Club Ass'n. Inc. v. City of New York, 487 U.S. 1, 108 S. Ct. 2225,
101 L. Ed. 2d 1 (1988); Board of Directors of Rotary International v.
Rotary Club of Duarte, 481 U.S. 537, 107 S. Ct. 1940, 95 L. Ed. 2d 474
(1987); Roberts v. United States Jaycees, 468 U.S. 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 persons in the locale who
might reasonably be considered potential members. Thus the mere absence of
diverse membership does not by itself demonstrate a violation unless
reasonable persons with knowledge of all the relevant circumstances would
expect that the membership would be diverse in the absence of invidious
discrimination. Absent such factors, an organization is generally said to
discriminate invidiously if it arbitrarily excludes from membership on the
basis of race, religion, sex, or national origin persons who would otherwise
be admitted to membership.
- Although Canon 2C relates only to membership in organizations
that invidiously discriminate on the basis of race, sex, religion or
national origin, a judge's membership in an organization that engages in any
invidiously discriminatory membership practices 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 that the judge knows practices invidious discrimination
on the basis of race, sex, religion, or national origin in its membership or
other policies, or for the judge to use such a club regularly. Moreover,
public manifestation by a judge of the judge's knowing approval of invidious
discrimination on any basis 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 the
judge belongs engages in invidious discrimination that would preclude
membership under Canon 2C or under Canons 2 and 2A, the judge is permitted,
in lieu of resigning, to make immediate and continuous efforts to have the
organization discontinue its invidiously discriminatory practices. If the
organization fails to discontinue its invidiously discriminatory practices
as promptly as possible (and in all events within two years of the judge's
first learning of the practices), the judge should resign immediately from
the organization.
CANON 3
A JUDGE SHOULD PERFORM THE DUTIES
OF THE OFFICE IMPARTIALLY AND DILIGENTLY
- The judicial duties of a judge take precedence over all other
activities. In performing the duties prescribed by law, the judge should
adhere to the following standards:
- A. Adjudicative Responsibilities.
- (1) A judge should be faithful to and maintain professional
competence in the law, and should not be swayed by partisan interests,
public clamor, or fear of criticism.
- (2) A judge should hear and decide matters assigned, unless
disqualified, and should maintain order and decorum in all judicial
proceedings.
- (3) A judge should be patient, dignified, respectful, and
courteous to litigants, jurors, witnesses, lawyers, and others with whom the
judge deals in an official capacity, and should require similar conduct of
those subject to the judge's control, including lawyers to the extent
consistent with their role in the adversary process.
- (4) A judge should accord to every person who is legally
interested in a proceeding, or the person's lawyer, full right to be heard
according to law, and, except as authorized by law, neither initiate nor
consider ex parte communications on the merits, or procedures
affecting the merits, of a pending or impending proceeding. A judge may,
however, obtain the advice of a disinterested expert on the law applicable
to a proceeding before the judge if the judge gives notice to the parties of
the person consulted and the substance of the advice, and affords the
parties reasonable opportunity to respond. A judge may, with consent of the
parties, confer separately with the parties and their counsel in an effort
to mediate or settle pending matters.
- (5) A judge should dispose promptly of the business of the
court.
- (6) A judge should avoid public comment on the merits of a
pending or impending action, requiring similar restraint by court personnel
subject to the judge's direction and control. This proscription does not
extend to public statements made in the course of the judge's official
duties, to the explanation of court procedures, or to a scholarly
presentation made for purposes of legal education.
B. Administrative Responsibilities.
- (1) A judge should diligently discharge the judge's
administrative responsibilities, maintain professional competence in
judicial administration, and facilitate the performance of the
administrative responsibilities of other judges and court officials.
- (2) A judge should require court officials, staff, and others
subject to the judge's direction and control, to observe the same standards
of fidelity and diligence applicable to the judge.
- (3) A judge should initiate appropriate action when the judge
becomes aware of reliable evidence indicating the likelihood of
unprofessional conduct by a judge or lawyer.
- (4) A judge should not make unnecessary appointments and
should exercise that power only on the basis of merit, avoiding nepotism and
favoritism. A judge should not approve compensation of appointees beyond the
fair value of services rendered.
- (5) A judge with supervisory authority over other judges
should take reasonable measures to assure the timely and effective
performance of their duties.
- C. Disqualification.
- (1) A judge shall disqualify himself or herself in a
proceeding in which the judge's impartiality might reasonably be questioned,
including but not limited to instances in which:
- (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.
- (2) A judge should keep informed about the judge's personal
and fiduciary financial interests, and make a reasonable effort to keep
informed about 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 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.
- (4) Notwithstanding the preceding provisions of this Canon, if
a judge to whom a matter has been assigned would be disqualified, after
substantial judicial time has been devoted to the matter, because of the
appearance or discovery, after the matter was assigned to him or her, that
he or she individually or as a fiduciary, or his or her spouse or minor
child residing in his or her household, has a financial interest in a party
(other than an interest that could be substantially affected by the
outcome), disqualification is not required if the judge, spouse or minor
child, as the case may be, divests himself or herself of the interest that
provides the grounds for the disqualification.
- D. Remittal of Disqualification.
- A judge disqualified by the terms of Canon 3C(1), except in
the circumstances specifically set out in subsections (a) through (e), may,
instead of withdrawing from the proceeding, disclose on the record the basis
of disqualification. If the parties and their lawyers after such disclosure
and an opportunity to confer outside of the presence of the judge, all agree
in writing or on the record that the judge should not be disqualified, and
the judge is then willing to participate, the judge may participate in the
proceeding. The agreement shall be incorporated in the record of the
proceeding.
COMMENTARY
- Canon 3A(3). The duty to hear all proceedings fairly
and with patience is not inconsistent with the duty to dispose promptly of
the business of the court. Courts can be efficient and businesslike while
being patient and deliberate.
- The duty under Canon 2 to act in a manner that promotes public
confidence in the integrity and impartiality of the judiciary applies to all
the judge's activities, including the discharge of the judge's adjudicative
and administrative responsibilities. For example, the duty to be respectful
of others includes the responsibility to avoid comment or behavior that can
reasonably be interpreted as manifesting prejudice or bias towards another
on the basis of personal characteristics like race, sex, religion, or
national origin.
- Canon 3A(4). The proscription against communications
concerning a proceeding includes communications from lawyers, law teachers,
and other persons who are not participants in the proceeding, except to the
limited extent permitted. It does not preclude a judge from consulting with
other judges, or with court personnel whose function is to aid the judge in
carrying out adjudicative responsibilities. A judge should make reasonable
efforts to ensure that this provision is not violated through law clerks or
other staff personnel.
- An appropriate and often desirable procedure for a court to
obtain the advice of a disinterested expert on legal issues is to invite the
expert to file a brief amicus-curiae.
- Canon 3A(5). In disposing of matters promptly,
efficiently and fairly, a judge must demonstrate due regard for the rights
of the parties to be heard and to have issues resolved without unnecessary
cost or delay. A judge should monitor and supervise cases so as to reduce or
eliminate dilatory practices, avoidable delays and unnecessary costs. A
judge should encourage and seek to facilitate settlement, but parties should
not feel coerced into surrendering the right to have their controversy
resolved by the courts.
- Prompt disposition of the court's business requires a judge to
devote adequate time to judicial duties, to be punctual in attending court
and expeditious in determining matters under submission, and to insist that
court officials, litigants and their lawyers cooperate with the judge to
that end.
- Canon 3A(6). The admonition against public comment
about the merits of a pending or impending action continues until completion
of the appellate process. If the public comment involves a case from the
judge's own court, particular care should be taken that the comment does not
denigrate public confidence in the integrity and impartiality of the
judiciary in violation of Canon 2A. This provision does not restrict
comments about proceedings in which the judge is a litigant in a personal
capacity, but in mandamus proceedings when the judge is a litigant in an
official capacity, the judge should not comment beyond the record.
- "Court personnel" does not include the lawyers in a
proceeding before a judge. The conduct of lawyers is governed by the rules
of professional conduct applicable in the various jurisdictions.
- Canon 3B(3). Appropriate action may include direct
communication with the judge or lawyer who has committed the violation,
other direct action if available, and reporting the violation to the
appropriate authorities.
- Canon 3B(4). Appointees of the judge include officials
such as referees, commissioners, special masters, receivers, guardians, and
personnel such as clerks, secretaries, and bailiffs. Consent by the parties
to an appointment or an award of compensation does not relieve the judge of
the obligation prescribed by this subsection.
- Canon 3C(1)(d)(ii). The fact that a lawyer in a
proceeding is affiliated with a law firm with which a lawyer-relative of the
judge is affiliated does not of itself disqualify the judge. Under
appropriate circumstances, the fact that "the judge's impartiality
might reasonably be questioned" under Canon 3C(1), or that the
lawyer-relative is known by the judge to have an interest in the law firm
that could be "substantially affected by the outcome of the
proceeding" under Canon 3C(1)(d)(iii) may require the judge's
disqualification.
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.
NOTICE CONCERNING WAIVER OF JUDICIAL
DISQUALIFICATION
| FROM: |
The Clerk |
|
Date_______________ |
|
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|
|
| TO: |
XXXX (Counsel) |
XXXX (Counsel) |
|
|
XXXX |
|
|
|
|
|
|
| RE: |
ABC v. DEF, Case No. |
__________________ |
|
- Canon 3D of the Code of Conduct provides (with exceptions not
pertinent to this case) that when a judge is disqualified in a proceeding
because "the judge's impartiality might reasonably be questioned",
the judge may participate in the proceeding if all the parties and lawyers,
after notice of the basis for the disqualification, agree in writing to
waive the disqualification under a procedure independent of the judge's
participation.
- Unless a waiver is obtained from all parties and all counsel,
Judge ________________ intends to disqualify in this proceeding because of
these circumstances:
- If you and your client(s) wish to waive the judge's
disqualification, letters to that effect from you and from your client(s)
must be sent to me within ______ days of the date of this Notice. The
letters should not be sent to the judge and copies should not be sent to
other counsel. If all parties and all counsel submit such letters, this
Notice and all responses will be made part of the record, as required by
Canon 3D, and the judge will continue participation in the proceeding. If a
waiver is not received from all parties and all counsel, this Notice and any
responses will be kept under seal by the clerk and not shown to the judge,
nor will the judge be informed of the identity of any party or lawyer who
declined to waive the disqualification. If the disqualification is not
waived, the case will be reassigned to another judge.
CANON 4
A JUDGE MAY ENGAGE
IN EXTRA-JUDICIAL ACTIVITIES TO IMPROVE THE LAW,
THE LEGAL SYSTEM, AND THE ADMINISTRATION OF JUSTICE
- A judge, subject to the proper performance of judicial duties,
may engage in the following law-related activities, if in doing so the judge
does not cast reasonable doubt on the capacity to decide impartially any
issue that may come before the judge:
- A. A judge may speak, write, lecture, teach, and participate
in other activities concerning the law, the legal system, and the
administration of justice.
- B. A judge may appear at a public hearing before, or otherwise
consult with, an executive or legislative body or official on matters
concerning the law, the legal system, and the administration of justice to
the extent that it would generally be perceived that a judge's judicial
experience provides special expertise in the area. A judge acting pro se may
also appear before or consult with such officials or bodies in a matter
involving the judge or the judge's interest.
- C. A judge may serve as a member, officer, or director of an
organization or governmental agency devoted to the improvement of the law,
the legal system, or the administration of justice. A judge may assist such
an organization in planning fund-raising activities and may participate in
the management and investment of funds, but should not personally
participate in public fund-raising activities. A judge may make
recommendations to public and private fund-granting agencies on projects and
programs concerning the law, the legal system, and the administration of
justice. A judge may solicit funds from other judges over whom the judge
does not exercise supervisory or appellate authority. A judge shall not
personally participate in membership solicitation if the solicitation might
reasonably be perceived as coercive or is essentially a fund-raising
mechanism.
- D. A judge should not use to any substantial degree judicial
chambers, resources, or staff to engage in activities permitted by this
Canon.
COMMENTARY
- Canon 4. As a judicial officer and person specially
learned in the law, a judge is in a unique position to contribute to the
improvement of the law, the legal system, and the administration of justice,
including revision of substantive and procedural law and improvement of
criminal and juvenile justice. To the extent that the judge's time permits,
the judge is encouraged to do so, either independently or through a bar
association, judicial conference, or other organization dedicated to the
improvement of the law. Within the boundaries of applicable law, see,
e.g., 18 U.S.C. § 953, a judge may express opposition to the
persecution of lawyers and judges anywhere in the world if the judge has
ascertained, after reasonable inquiry, that the persecution is occasioned by
conflict between the professional responsibilities of the persecuted judge
or lawyer and the policies or practices of the relevant government.
- Canon 4C. Service on the board of a public, as well as
private, law school is permissible.
- A judge may attend fund-raising activities of a law-related
organization although the judge may not be a speaker, guest of honor, or
featured on the program of such an event.
CANON 5
A JUDGE SHOULD REGULATE
EXTRA-JUDICIAL ACTIVITIES TO MINIMIZE
THE RISK OF CONFLICT WITH JUDICIAL DUTIES
- A. Avocational Activities. A judge may write, lecture,
teach, and speak on non-legal subjects, and engage in the arts, sports, and
other social and recreational activities, if such avocational activities do
not detract from the dignity of the judge's office or interfere with the
performance of the judge's judicial duties.
- B. Civic and Charitable Activities. A judge may
participate in civic and charitable activities that do not reflect adversely
upon the judge's impartiality or interfere with the performance of judicial
duties. A judge may serve as an officer, director, trustee, or non-legal
advisor of an educational, religious, charitable, fraternal, or civic
organization not conducted for the economic or political advantage of its
members, subject to the following limitations:
- (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.
- C. Financial Activities.
- (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.
- D. Fiduciary Activities. A judge should not serve as
the executor, administrator, trustee, guardian, or other fiduciary, except
for the estate, trust, or person of a member of the judge's family, and then
only if such service will not interfere with the proper performance of
judicial duties. "Member of the judge's family" means any relative
of a judge by blood, adoption, or marriage or any other person treated by a
judge as a member of the judge's family.
- As a family fiduciary a judge is subjected to the following
restrictions:
- (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.
- E. Arbitration. A judge should not act as an arbitrator
or mediator or otherwise perform judicial functions in a private capacity
unless expressly authorized by law.
- F. Practice of Law. A judge should not practice law.
Notwithstanding this prohibition, a judge may act pro se and may, without
compensation, give legal advice to and draft or review documents for a
member of the judge's family.
- G. Extra-judicial Appointments. A judge should not
accept appointment to a governmental committee, commission, or other
position that is concerned with issues of fact or policy on matters other
than the improvement of the law, the legal system, or the administration of
justice, unless appointment of a judge is required by Act of Congress. A
judge should not, in any event, accept such an appointment if the judge's
governmental duties would interfere with the performance of judicial duties
or tend to undermine the 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.
- H. Chambers, Resources, and Staff. A judge should not
use judicial chambers, resources, or staff to engage in activities permitted
by this Canon, except for uses that are de minimis.
COMMENTARY
- Canon 5A. Complete separation of a judge from
extra-judicial activities is neither possible nor wise; a judge should not
become isolated from the society in which the judge lives.
- Canon 5B(1). The changing nature of some organizations
and of their relationship to the law makes it necessary for a judge
regularly to reexamine the activities of each organization with which the
judge is affiliated to determine if it is proper for the judge to continue
the judge's relationship with it. For example, in many jurisdictions
charitable hospitals are now more frequently in court than in the past.
Similarly, the boards of some legal aid organizations now make policy
decisions that may have political significance or imply commitment to causes
that may come before the courts for adjudication.
- Canon 5B(2) and (3). A judge may attend fund-raising
activities of the organization although the judge may not be a speaker, a
guest of honor, or featured on the program of such an event. Use of an
organization's letterhead for fund-raising or membership solicitation does
not violate Canons 5B(2) and (3) provided the letterhead lists only the
judge's name and position in the organization, and, if comparable
designations are listed for other persons, the judge's judicial designation.
- Canon 5C. Canon 3 requires a judge to disqualify in any
proceeding in which the judge has a financial interest, however small; Canon
5 requires a judge to refrain from engaging in business and from financial
activities that might interfere with the impartial performance of the
judge's judicial duties; Canon 6 requires a judge to report all compensation
received for activities outside the judicial office. A judge has the rights
of an ordinary citizen with respect to financial affairs, except for
limitations required to safeguard the proper performance of the judge's
duties. A judge's participation in a closely held family business, while
generally permissible, may be prohibited if it takes too much time or
involves misuse of judicial prestige or if the business is likely to come
before the judge's court. Owning and receiving income from investments do
not as such affect the performance of a judge's duties.
- Canon 5C(4). Reimbursement or direct payment of travel
expenses may be a gift and, if so, its acceptance is governed by Canons
5C(4) and (5). A judge or employee may receive as a gift travel expense
reimbursement including the cost of transportation, lodging, and meals, for
the judge and a relative incident to the judge's attendance at a bar-related
function or at an activity devoted to the improvement of the law, the legal
system, or the administration of justice.
- Canon 5D. Mere residence in the household of a judge is
insufficient for a person to be considered a member of the judge's family
for purposes of this Canon. The person must be treated by the judge as a
member of the judge's family.
- Canon 5D(1). The Applicable Date of Compliance
provision of this Code qualifies this subsection with regard to a judge who
is an executor, administrator, trustee, or other fiduciary at the time this
Code becomes effective.
- Canon 5D(2). A judge's obligation under this Code and
the judge's obligation as a fiduciary may come into conflict. For example, a
judge should resign as trustee if it would result in detriment to the trust
to divest it of holdings whose retention would place the judge in violation
of Canon 5C(3).
- Canon 5F. This prohibition refers to the practice of
law in a representative capacity and not in a pro se capacity. A judge may
act for himself or herself in all legal matters, including matters involving
litigation and matters involving appearances before or other dealings with
legislative and other governmental bodies. However, in so doing, a judge
must not abuse the prestige of office to advance the interests of the judge
or the judge's family.
- Canon 5G. Valuable services have been rendered in the
past to the states and the nation by judges appointed by the executive to
undertake important extra-judicial assignments. The appropriateness of
conferring these assignments on judges must be reassessed, however, in light
of the demands on judicial resources created by today's crowded dockets and
the need to protect the courts from involvement in extra-judicial matters
that may prove to be controversial. Judges should not be expected or
permitted to accept governmental appointments that could interfere with the
effectiveness and independence of the judiciary.
- The dangers attendant upon acceptance of extra-judicial
governmental assignments are ordinarily less serious where the appointment
of a judge is required by legislation. Such assignments ordinarily do not
involve excessive commitments of time, and they typically do not pose a
serious threat to the independence of the judiciary.
- A code of conduct ought not compel judges to refuse, without
regard to the circumstances, tasks Congress has seen fit to authorize as
appropriate in the public interest. Although legislatively prescribed
extra-judicial assignments should be discouraged, where Congress requires
the appointment of a judge to perform extra-judicial duties, the judge may
accept the appointment provided that the judge's services would not
interfere with the performance of the judge's judicial responsibilities or
tend to undermine public confidence in the judiciary.
CANON 6
A JUDGE SHOULD REGULARLY FILE
REPORTS OF COMPENSATION RECEIVED
FOR LAW-RELATED AND EXTRA-JUDICIAL ACTIVITIES
- A judge may receive compensation and reimbursement of expenses
for the law-related and extra-judicial activities permitted by this Code, if
the source of such payments does not give the appearance of influencing the
judge in the judge's judicial duties or otherwise give the appearance of
impropriety, subject to the following restrictions:
- A. Compensation. Compensation should not exceed a
reasonable amount nor should it exceed what a person who is not a judge
would receive for the same activity.
- B. Expense Reimbursement. Expense reimbursement should
be limited to the actual costs of travel, food, and lodging reasonably
incurred by the judge and, where appropriate to the occasion, by the judge's
spouse or relative. Any payment in excess of such an amount is compensation.
- C. Public Reports. A judge should make required
financial disclosures in compliance with applicable statutes and Judicial
Conference regulations and directives.
COMMENTARY
- Additional restrictions on the receipt of compensation by
judges are imposed by the Ethics Reform Act of 1989 and regulations
promulgated by the Judicial Conference thereunder. That Act and those
regulations should be consulted before a judge enters into any arrangement
involving the receipt of compensation. The restrictions so imposed include,
but are not limited to: (1) a prohibition against receiving
"honoraria" (defined as anything of value received for a speech,
appearance, or article), (2) a prohibition against receiving compensation
for service as a director, trustee, or officer of a profit or nonprofit
organization, (3) a requirement that compensated teaching activities receive
prior approval, and (4) a 15% limitation on the receipt of "outside
earned income."
CANON 7
A JUDGE SHOULD REFRAIN FROM
POLITICAL ACTIVITY
- A. A judge should not:
- (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.
- B. A judge should resign the judicial office when the judge
becomes a candidate either in a primary or in a general election for any
office.
- C. A judge should not engage in any other political activity;
provided, however, this should not prevent a judge from engaging in the
activities described in Canon 4.
COMPLIANCE WITH THE CODE OF CONDUCT
- Anyone who is an officer of the federal judicial system
authorized to perform judicial functions is a judge for the purpose of this
Code. All judges should comply with this Code except as provided below.
- A. Part-time Judge. A part-time judge is a judge who
serves on a continuing or periodic basis, but is permitted by law to devote
time to some other profession or occupation and whose compensation for that
reason is less than that of a full-time judge. A part-time judge:
- (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.
- B. Judge Pro Tempore. A judge pro tempore
A judge pro tempore is a person who is appointed to act temporarily as a
judge or as a special master.
- (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.
- C. Retired Judge. A retired judge who is retired
under 28 U.S.C. §§ 371(b) or 372(a), or who is recalled to judicial
service, should comply with all the provisions of this Code except Canon 5G,
but the judge should refrain from judicial service during the period of an
extra-judicial appointment not sanctioned by Canon 5G. All other retired
judges who are eligible for recall to judicial service (except those in
Territories and Possessions) should comply with the provisions of this Code
governing part-time judges. A senior judge in the Territories and
Possessions must comply with this Code as prescribed by 28 U.S.C. §
373(c)(5) and (d).
APPLICABLE DATE OF COMPLIANCE
- Persons to whom this Code becomes applicable should arrange
their affairs as soon as reasonably possible to comply with it and should do
so in any event within the period of one year following appointment. If,
however, the demands on the person's time and the possibility of conflicts
of interest are not substantial, such a person may continue to act, without
compensation, as an executor, administrator, trustee, or other fiduciary for
the estate or person of one who is not a member of the person's family, if
terminating such relationship would unnecessarily jeopardize any substantial
interest of the estate or person and the judicial council of the circuit
approves.
1. The Code of Conduct for United
States Judges was initially adopted by the Judicial Conference on April 5,
1973, and was known as the "Code of Judicial Conduct for United States
Judges." At its March 1987 session, the Judicial Conference deleted the
word "Judicial" from the name of the Code. Substantial revisions
to the Code were adopted by the Judicial Conference at its September 1992
session. Section C. of the Compliance section, following the code, was
revised at the March 1996 Judicial Conference. Canons 3C(3)(a) and 5C(4)
were revised at the September 1996 Judicial Conference. Canon 3C(1)(c) was
revised at the September 1999 Judicial Conference. The Compliance Section
was clarified at the September 2000 Judicial Conference.
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.
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