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Court Ethics:

Practical Applications

Of A Code of Conduct

Karl E. Thoennes

Peter C. Kiefer

Objectives

•Familiar with Codes of Conduct

•Ethics codes are important

•What courts have done to raise employee awareness •Practical ways to make codes more relevant

Some Common IssuesSome Common Issues

•Gifts• Conflicts of Interest• Nepotism, Family Relationships• Confidentiality & Data Privacy• Political Activity• Outside Employment•Tech: Internet & Computer Use

Gifts, Gifts . . . GiftsGifts, Gifts . . . Gifts

GiftsGiftsCodesCodes

VirginiaA judge shall not accept, and shall urge members of the judge's family . . . not to accept, a gift . . . except for a gift incident to a public testimonial, books, tapes and other resource materials supplied by publishers on a complimentary basis for official use, or an invitation to the judge and the judge's spouse or guest to attend a bar related function or an activity devoted to the improvement of the administration of justice. National Association for Court Management. . .  shall not accept . . . any gift or favor based upon an understanding that the official actions of the member would be

influenced thereby. 

GiftsGiftsCodesCodes

American Judicature Society. . . shall solicit, accept or agree to accept any gifts, loans, gratuities, discounts, favors, hospitality or services under circumstances from which it could reasonably be inferred that a major purpose of the donor is to influence the court employee in the performance of official duties.

Gifts, Gifts , GiftsGifts, Gifts , GiftsQuestionsQuestions

•Ever know someone who works for the Court who got a gift?  What should Laura have done not to get into the dilemma in the first place?

What should the court have done to make it easier for Laura to have done the right thing?

A reason why the Virginia court system should have a code of ethics for its employees

A reason why the Virginia court system should not have a code of ethics for its employees

Betty’s SisterBetty’s Sister

Betty’s SisterBetty’s SisterCodesCodes

Virginia A judge shall not allow family, social, political or other relationships to influence the judge's judicial conduct or judgment.

National Association for Court Management Members shall act so that they are not unduly affected or appear to be affected by kinship, position, or influence or any party or person.

American Judicature Society “No court employee shall give legal advice or recommend the names of private attorneys.”

Betty’s SisterBetty’s SisterQuestionsQuestions

•Has anyone ever experienced something like this?  •Does Betty have an ethical dilemma?

What should the court have done to make it easier for Betty to have done the right thing?

A reason why the Virginia court system should have a code of ethics for its employees

A reason why the Virginia court system should not have a code of ethics for its employees

Sarah’sSarah’sSecondSecond

JobJob

Sarah’s Second JobSarah’s Second JobCodesCodes

VirginiaA judge may receive compensation and reimbursement of expenses for the extra judicial activities permitted by these Canons, if the source of such payments does not give the appearance of influencing the judge's performance of judicial duties or otherwise give the appearance of impropriety.

National Association for Court Management. . . may engage in outside employment as long as it does not conflict with the performance of their official responsibilities or violate this code. 

Sarah’s Second JobSarah’s Second JobCodesCodes

American Judicature Society The Outside Employment: 1. not with an entity that regularly appears in court2. no frequent contact with attorneys who regularly appear

in court3. outside of normal working hours4. not incompatible with court duties5. no practice of law6. not required to disclose confidential information7. not within the judicial, executive or legislative branches

without written consent8. does not reflect adversely on the integrity of the court,

(employee shall inform the appropriate authority)

Outside EmploymentOutside Employment QuestionsQuestions

Ever work an extra job while at the Court?

Could the court have done anything make it easier for Sarah to have done the right thing?

A reason why the Virginia court system should have a code of ethics for its employees

A reason why the Virginia court system should not have a code of ethics for its employees

Ethics and Ethics CodesEthics and Ethics CodesHow Are They Structured? How Are They Structured?

A Broad SpectrumA Broad Spectrum

•Highly Detailed (Federal Courts)• Detailed, with web-based tutorials & scenarios (California)• Brief, broad, general (NACM, Pennsylvania, AJS)• Canons for non-judicial employees (New Jersey)• Judicial canons applied to non-judicial employees (Minnesota)• Personnel policies/rules that address ethical standards (New Mexico)• No written codes for non-judicial employees (South Dakota)• Others?

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