Ethics for Court Employees

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Ethics for Court Employees

• Navigating Your Way
• Through the Judicial Code of Conduct

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Judicial Ethics

• Concept behind the Code of Judicial Conduct
• Its a responsibility and a privilege to serve

3
Application of the Judicial Code

• So if its called the Judicial Code of Conduct,
  why does it apply to me?

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Application of the Judicial Code

• Rule 2.12 of the Code of Judicial Conduct
  provides that
• (A) A judge shall require court staff, court
  officials, and others subject to the judges
  direction and control to act in a manner
  consistent with the judges obligations under
  this Code.

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Structure of the Code

• Canon 1 upholding the integrity of the
  judiciary avoiding impropriety appearance of
  impropriety
• Canon 2 maintaining impartiality, competence
  diligence
• Canon 3 conflicts of interest
• Canon 4 political activity

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Canon 1 (aka Dont Disgrace the Court)
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Canon 1

• But Im an upstanding citizen I never make a
  public spectacle of myself, do I really need to
  be concerned about Canon 1?
• Rule 1.3 provides that
• A judge shall not abuse the prestige of judicial
  office to advance the personal or economic
  interests of the judge or others, or allow
  others to do so.

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Abuse of Prestige of Office What Does That Mean?

• Judge/Staff Can Do

• Judge/Staff Cannot Do

• Write a letter of recommendation, if based on
  personal knowledge
• Attend court or admin. hearing of a family
  member, if no attempt is made to highlight
  judicial office to influence decision maker

• Write letter to parole board, etc. to vouch for
  someones character
• Refer to the judicial office to avoid a parking
  or traffic ticket
• Use court stationary or refer to the judicial
  office to gain an advantage in conducting
  personal business

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Canon 2 Be Impartial, Competent Diligent

• Rule 2.3 provides that
• (A) A judge shall perform the duties of judicial
  office, including administrative duties, without
  bias or prejudice.
• (B) A judge shall not, in the performance of
  judicial duties, by words or conduct manifest
  bias or prejudice, or engage in harassment,
  including but not limited to bias, prejudice, or
  harassment based upon race, sex, gender,
  religion, national origin, ethnicity, disability,
  age, sexual orientation, marital status,
  socioeconomic status, or political affiliation,
  and shall not permit court staff, court
  officials, or others subject to the judges
  direction and control to do so.

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Comment 2 to Rule 2.3

• Epithets
• Slurs
• Demeaning nicknames
• Negative stereotyping
• Attempted humor based upon stereotypes
• Threatening, intimidating, or hostile acts

• Suggestions of connections between race,
  ethnicity or nationality crime
• Irrelevant references to personal characteristics
• Facial expressions body language can convey
  bias or the appearance of bias

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Thumpers Rule

• If you cant say something nice, dont say
  anything at all . . .

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Canon 2, Rule 2.5

• Rule 2.5 provides that
• (A) A judge shall perform judicial and
  administrative duties competently, diligently,
  and promptly.
• (B) A judge shall cooperate with other judges
  and court officials in the administration of
  court business.

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In other words, dont delay.
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Canon 2, Rule 2.8

• Rule 2.8 provides that
• (A) A judge shall require order and decorum in
  proceedings before the court.
• (B) A judge shall be patient, dignified, and
  courteous to litigants, jurors, witnesses,
  lawyers, court staff, court officials, and others
  with whom the judge deals in an official
  capacity, and shall require similar conduct of
  lawyers, court staff, court officials, and others
  subject to the judges direction and control.
• (C) A judge shall not commend or criticize
  jurors for their verdict other than in a court
  order or opinion in a proceeding.

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Soif youre having this kind of day

• You might want to have someone else work the
  counter.

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And if this is your impulse on the jurys verdict

• You might want someone else on staff to escort
  the jury out of the courtroom. . .

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Canon 2, Rule 2.9 (Ex Parte)

• The General Rule
• (A) A judge shall not initiate, permit, or
  consider ex parte communications, or consider
  other communications made to the judge outside
  the presence of the parties or their lawyers,
  concerning a pending or impending matter.

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Exceptions

• Communication for scheduling, administrative, or
  emergency purposes if
• 1. Doesnt address substantive matters
• 2. No party gains procedural, substantive ,or
  tactical advantage
• 3. Judge promptly notifies all other parties of
  substance of communication gives opportunity to
  respond
• Written advice of disinterested expert
• Consultations with court staff, other judges, and
  officials whose function is to aid judge in
  adjudicative responsibilities
• Settlement conferences (if done w/ parties
  consent)
• When authorized by law (i.e. protective order)

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So what is ex parte?

• Ex parte communication means any communication
  on behalf of or involving one party to a legal
  matter that is conducted in the absence of or
  without notice to the other party.

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What kinds of things can be ex parte?

• Letters
• Verbal Communication
• Emails
• Google and other web searches
• Inappropriate assistance to one party (see In re
  Kern, 774 N.E.2d 878 (Ind. 2002))
• Informing only one side about the courts orders

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What should I do if I receive ex parte
communication?

• Written communications should go to the judge
  if it is an improper ex parte communication,
  judge can act pursuant to Rule 2.9(B) notify
  all the parties provide parties with an
  opportunity to respond
• If it is a verbal communication, is it just
  general venting after an order or ruling or is
  it an attempt to influence the decision maker?
• ALWAYS tell the judge about any threats received,
  even if it occurs as a result of an ex parte
  communication

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How do I avoid ex parte contacts?

• Can I have a phrase please
• When someone wants to see the judge starts
  talking about his/her case..
• Response Ethical rules prevent the judge from
  talking to only one side about the case. If you
  want the judge to consider that, youll need to
  file a motion or bring it up during a hearing . .
  .

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Rule 2.10 Judicial Statements on Pending and
Impending Cases

• Rule 2.10 provides that
• (A) A judge shall not make any public statement
  that might reasonably be expected to affect the
  outcome or impair the fairness of a matter
  pending or impending in any court, or make any
  nonpublic statement that might substantially
  interfere with a fair trial or hearing.
• (B) A judge shall not, in connection with cases,
  controversies, or issues that are likely to come
  before the court, make pledges, promises, or
  commitments that are inconsistent with the
  impartial performance of the adjudicative duties
  of judicial office.
• (C) A judge shall require court staff, court
  officials, and others subject to the judges
  direction and control to refrain from making
  statements that the judge would be prohibited
  from making by paragraphs (A) and (B).

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In other words

• Keep It Confidential!!!!

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Disqualification Conflicts of Interest

• Rule 2.11 provides that
• A judge shall disqualify himself or herself in
  any proceeding in which the judges impartiality
  might reasonably be questioned.
• (However, not all staff conflicts will require
  the judge to disqualify in certain situations,
  the judge can simply keep that staff member from
  working on the case in which there is a conflict)

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So what does my judge need to know?

• If you are a party or witness in a case
• If a family member within the 3rd degree or
  his/her spouse (great grandparent, grandparent,
  parent, uncle, aunt, niece, nephew, brother,
  sister, child, grandchild, or great grandchild)
  is a party or witness

• If your spouse, domestic partner, or someone
  residing in your household is a party or witness
• If you have a substantial economic interest that
  could be affected by the decision
• If you are related to an attorney on the case

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Canon 4 Political Activity
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What types of political activity am I permitted
to do?

• Questions to ask
• Do you work for an elected judge or an appointed
  judge?
• Are you attempting to do something for the judge
  which he/she cannot do under the rules?
• What is your judges policy?

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Rule 4.6 Political Activities of Nonjudicial
Court Employees

• Rule 4.6 provides that
• (A) An appointed judge in an office filled by
  retention election must require nonjudicial court
  employees to abide by the same standards of
  political conduct which bind the judge.
• (B) A judge in an office filled by partisan or
  nonpartisan election must not permit nonjudicial
  court employees to run for or hold nonjudicial
  partisan elective office or to hold office in a
  political partys central committee.

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Political Activities of Nonjudicial Court
Employees

• Comment 2 to Rule 4.6 further provides that
• 2 Unlike appointed judges subject to retention,
  judges in partisan and nonpartisan elective
  office are not required to hold their employees
  to the same limitations on political conduct
  which apply to the judges.

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Other Miscellaneous Provisions

• Rule 2.13 Hiring and Nepotism
• Rule 3.13(A) Gifts
• Rule 3.5 Use of Nonpublic Information

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Who should I talk to when I have ethics questions?

• Talk to your judge
• If your judge is not available (or it is not
  practical to consult with him/her), talk to
  another judicial officer
• Or call Adrienne Meiring at 317-232-4706 or email
  at ameiring_at_courts.state.in.us