2. Court Ethics: Applying the Codes in Changing Times Karl Thoennes Peter Kiefer National Association for Court Management Mid-Year Conference Tuesday, February 7, 2012 1 of 31

3. Presentation Objectives Become familiar with ethics codesBecome familiar with ethics codes Show that ethics codes are importantShow that ethics codes are important Discuss the ethics of practical situationsDiscuss the ethics of practical situations Discuss how to make ethics codes more relevantDiscuss how to make ethics codes more relevant Have FunHave Fun 2 of 31

4. Are Ethics Important? 3 of 31

5. Are Ethics Important? 4 of 31

6. Has our perception the courts changed since “To Kill a Mocking Bird” premiered in 1962?Has our perception the courts changed since “To Kill a Mocking Bird” premiered in 1962? Do the two clips accurately depict that changing perception?Do the two clips accurately depict that changing perception? What role do we as court professionals have in countering that perception?What role do we as court professionals have in countering that perception? Are Ethics Important? 5 of 31

7. A fair and independent court system is essential to the administration of justice in a democratic society.A fair and independent court system is essential to the administration of justice in a democratic society. Proper conduct by court employees:Proper conduct by court employees: –inspires public trust and confidence in the courts; and –conveys impartiality, equity, fairness, and integrity; Are Ethics Important? 6 of 31

8. Scenario: 1 Betty’s Sister 7 of 31

9. Betty’s Sister Codes MINNESOTA JUDICIAL BRANCH POLICY (Minnesota Policy) Article I. C. Abuse of Position and Conflict of Interest Employees shall act so that they are not unduly affected or appear to be affected by kinship, position, or influence of any party or person. 8 of 31

10. Betty’s Sister Codes Minnesota Policy Article I. K. Abuse of Position and Conflict of Interest Employees shall not give legal advice. 8 of 31

11. Betty’s Sister Codes NATIONAL ASSOCIATION FOR COURT MMANAGEMENT MODEL CODE OF CONDUCT FOR COURT PROFESSIONALS NATIONAL ASSOCIATION FOR COURT MMANAGEMENT MODEL CODE OF CONDUCT FOR COURT PROFESSIONALS (NACM Model Code) Canon 1.2 - Avoiding Impropriety 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. 9 of 31

12. Betty’s Sister Codes AMERICAN JUDICATURE SOCIETY MODEL CODE OF CONDUCT FOR NONJUDICIAL COURT EMPLOYEES (AJS Model Code) Section III (A) – Conflict of Interest... every court employee is required to exercise diligence in becoming aware of conflicts of interest, disclosing conflicts to the designated authority and ending them when they arise. 10 of 31

13. Betty’s Sister Codes AJS Model Code AJS Model Code Section V (F) – Performance of Duties No court employee shall give legal advice or recommend the names of private attorneys. 11 of 31

14. Betty’s Sister Questions Has anyone ever experienced something like this?Has anyone ever experienced something like this? Does Betty have an ethical dilemma?Does Betty have an ethical dilemma? What can we do for people like Delores?What can we do for people like Delores? What should the court have done to make it easier for Betty to have done the right thing?What should the court have done to make it easier for Betty to have done the right thing? 12 of 31

15. Scenario: 2 Supervisor’s Dilemma 13 of 31

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17. The Supervisor’s Dilemma Codes Minnesota Policy Article VI. A. Duty to Report Employees shall disclose to MJC or District Administration, Human Resources and the Appointing Authority any arrests, criminal charges, or criminal convictions on the next business day following the arrest, criminal charge, or conviction; or as soon as practicable. 15 of 31

18. The Supervisor’s Dilemma Codes NACM Model Code Canon 2.3: Misconduct of Others A court professional shall report to the appropriate authority the behavior of any court professional who violates this code including, but not limited to, potential conflicts of interest involving one’s duties and attempts to inappropriately influence one in performing one’s duties. 16 of 31

19. The Supervisor’s Dilemma Codes AJS Model Code Section Five (h): Performance of Duties Every court employee shall immediately report violations of this Code to the appropriate designated authority. 17 of 31

20. The Supervisor’s Dilemma Questions Does Dan have a point since he waited for Dale to tell Phil King?Does Dan have a point since he waited for Dale to tell Phil King? Is this just an HR rules issue or is there an ethical issue involved?Is this just an HR rules issue or is there an ethical issue involved? What options does Phil King have?What options does Phil King have? 18 of 31

21. Scenario: 3 Defriending Mr. King 19 of 31

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23. Defriending Mr. King Codes Minnesota Policy Article IV Release of News Information No personnel rule is intended to restrict the rights of an individual employee to comment as a private citizen on a public matter. However, all media requests for information on Judicial Branch business should be referred to a supervisor or an employee designated to respond to such requests. 21 of 31

24. Defriending Mr. King Codes Minnesota Policy Article V Performance of Duties Employees shall avoid any activity that would reflect adversely on their position or court. Employees shall avoid any activity that would reflect adversely on their position or court. 22 of 31

25. Defriending Mr. King Codes NACM Model Code Canon 1.2 Avoiding Impropriety A court professional shall avoid activities that would impugn the dignity of the court. 23 of 31

26. Defriending Mr. King Codes NACM Model Code Canon 2.7 Discretion A court professional shall be respectful of litigants, the public, applicants and employees’ personal lives; disregard information that legally cannot or should not otherwise be considered; use good judgment in weighing the credibility of Internet data; and be cautious about verifying identities. 26 of 31

27. Defriending Mr. King Codes NACM Model Code Canon 2.7 Discretion (Continued) A court professional shall treat personal or sensitive information with the same discretion that one would wish others to have if one were involved in a similar case. 27 of 31

28. Defriending Mr. King Codes AJS Model Code Section Six (D): Court Managers Court managers shall take action regarding any unethical conduct of which they may become aware, initiating appropriate disciplinary measures against an employee for any such conduct and reporting to appropriate authorities evidence of any unethical conduct by judges or lawyers. 28 of 31

29. Defriending Mr. King Questions Does making disparaging remarks on the social network truly qualify as an ethical question?Does making disparaging remarks on the social network truly qualify as an ethical question? Do courts have the right to look on the social network for employee comments?Do courts have the right to look on the social network for employee comments? Do courts have the right to dictate what employees can have on their social networking sites?Do courts have the right to dictate what employees can have on their social networking sites? 2 of 31

30. Why Do This? The Integrity of the Judicial BranchThe Integrity of the Judicial Branch More than Just Personnel RulesMore than Just Personnel Rules Not Just Right or Wrong AnswersNot Just Right or Wrong Answers Your Job to Make the Code RelevantYour Job to Make the Code Relevant 30 of 31

31. A Final Word “Ethics are not laws. They are not imposed by the state. Rather, they are norms, values, beliefs, habits, and attitudes that are embraced voluntarily – that we as a society impose on ourselves. Laws regulate behavior from the outside in. Ethics regulate behavior from the inside out. Ethics are something you carry with you wherever you go to guide whatever you do.” “Ethics are not laws. They are not imposed by the state. Rather, they are norms, values, beliefs, habits, and attitudes that are embraced voluntarily – that we as a society impose on ourselves. Laws regulate behavior from the outside in. Ethics regulate behavior from the inside out. Ethics are something you carry with you wherever you go to guide whatever you do.” Thomas L. Friedman “For every problem, there is a solution that is simple, neat, and wrong. H. L. Menken 31 of 31