Title: Ethics for Court Employees
1Ethics for Court Employees
- Navigating Your Way
- Through the Judicial Code of Conduct
2Judicial Ethics
- Concept behind the Code of Judicial Conduct
- Its a responsibility and a privilege to serve
3Application of the Judicial Code
- So if its called the Judicial Code of Conduct,
why does it apply to me?
4Application 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.
5Structure 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
6Canon 1 (aka Dont Disgrace the Court)
7Canon 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.
8Abuse of Prestige of Office What Does That Mean?
- 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
9Canon 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.
10Comment 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
11Thumpers Rule
- If you cant say something nice, dont say
anything at all . . .
12Canon 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.
13In other words, dont delay.
14Canon 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.
15Soif youre having this kind of day
- You might want to have someone else work the
counter.
16And if this is your impulse on the jurys verdict
- You might want someone else on staff to escort
the jury out of the courtroom. . .
17Canon 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.
18Exceptions
- 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)
19So 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.
20What 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
21What 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
22How 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 . .
.
23Rule 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).
24In other words
25Disqualification 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)
26So 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
27Canon 4 Political Activity
28What 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?
29Rule 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.
30Political 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.
31Other Miscellaneous Provisions
- Rule 2.13 Hiring and Nepotism
-
- Rule 3.13(A) Gifts
- Rule 3.5 Use of Nonpublic Information
32Who 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