1. Practical Applications of Ethics Codes: Supervisor’s Dilemma – Maintaining Professional Relationships with Employees 1 of 25

2. Objectives Become familiar with ethics codesBecome familiar with ethics codes Understand why ethics codes are important to us as court professionalsUnderstand why ethics codes are important to us as court professionals Determine how ethics apply to managers’ professional relationships with employees.Determine how ethics apply to managers’ professional relationships with employees. 2 of 25

3. Are Ethics Important? 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. Court professionals strive to:Court professionals strive to: o inspire public confidence and trust in our courts; and o convey impartiality, equality, fairness, and integrity. 3 of 25

4. Scenario: Supervisor’s Dilemma 4 of 25

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6. Supervisor's Dilemma Codes NACM Model Code of Conduct for Court Professionals Canon 1.2: Avoiding Impropriety A court professional shall avoid both impropriety and the appearance of impropriety. A court professional shall avoid improper influences from business, family, position, party or person. A court professional shall avoid activities that would impugn the dignity of the court. 6 of 25

7. Supervisor's Dilemma Codes NACM Model Code of Conduct for Court Professionals Canon 1.4: Respect for Others A court professional shall treat litigants, co-workers and all others interacting with the court with dignity, respect and courtesy. 7 of 25

8. Supervisor's Dilemma Codes NACM Model Code of Conduct for Court Professionals Canon 1.5: Involvement in Actions Before a Court A court professional shall notify the appropriate authority whenever he or she, anyone in his or her family or anyone with whom he or she has a close personal relationship has been arrested, named as a party, or is otherwise formally involved in any action pending in any court. 8 of 25

9. Supervisor’s Dilemma Codes NACM Model Code of Conduct for Court Professionals Canon 2.1: Independent Judgment A court professional shall avoid relationships that would impair one’s impartiality and independent judgment. 9 of 25

10. Supervisor's Dilemma Codes NACM Model Code of Conduct for Court Professionals Canon 2.2: Performing the Duties of Position Impartially and Diligently A court professional shall recruit, select, and advance personnel based on demonstrated knowledge, skills, abilities, and bona fide work–related factors, not on favoritism. 10 of 25

11. Supervisor’s Dilemma Codes NACM Model Code of Conduct for Court Professionals 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. 11 of 25

12. Supervisor's Dilemma Codes NACM Model Code of Conduct for Court Professionals Canon 2.4: Attempts at Influence A court professional shall immediately report to the appropriate authority any attempt to compel one to violate these canons. 12 of 25

13. Supervisor's Dilemma Codes American Judicature Society Model Code for Nonjudicial Court Employees 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. 13 of 25

14. Supervisor's Dilemma Discussion Questions Does Dan have a point waiting for Dale to tell Phil King? Response #1 “Dan was making excuses for not wanting to get his old high school pal in trouble. Although trying to protect his friend was understandable, not telling was unethical and, in the end, dangerously unwise.” 14 of 25

15. Supervisor's Dilemma Discussion Questions Does Dan have a point waiting for Dale to tell Phil King? Response #2 “Dan should be given credit for believing that he was complying with the code. The code is not a detailed set of instructions with timelines and procedural steps; the code is a set of general principles. Mr. King needs to acknowledge that Dan thought he was doing what was required of him.” 15 of 25

16. Supervisor's Dilemma Discussion Questions Is this just an HR rules issue or is there an actual ethical question involved? Response #1 “This is simply an HR rules issue. There is no specific time designation dictating when a supervisor is supposed to inform the appropriate authority. In fact it is a question whether Dan had any obligation or if it was totally Dale’s responsibility.” 16 of 25

17. Supervisor's Dilemma Discussion Questions Is this just an HR rules issue or is there an actual ethical question involved? Response #2 “This is absolutely an ethical issue. With every passing day that Dan remains silent, his culpability grows. This shouldn’t be a time for ‘splitting hairs.’ Dan should have done the right thing and gone to Mr. King right away.” 17 of 25

18. Supervisor's Dilemma Discussion Questions Does the judge regularly having lunch with a police detectives change the situation at all? Response #1 “The judge’s relationship with a detective is irrelevant. Mr. King needs to discipline Dan regardless of how he discovered the information. Next time Mr. King should be a little less forthcoming about how he learns some information.” 18 of 25

19. Supervisor's Dilemma Discussion Questions Does the judge regularly having lunch with a police detectives change the situation at all? Response #2 “The way Mr. King found out about Dan & Dale taints the situation. The judge’s relationship with a police detective is inappropriate and potentially damaging. Mr. King needs to resolve the situation quietly; the judge needs to stop having lunch with a potentially regular prosecution witness.” 19 of 25

20. Supervisor's Dilemma Discussion Questions When Dan returns the next day what should Phil King do? Response #1 “Dan refused to tell Phil King (or HR) that Dale had been arrested. Mr. King should demote Dan back to his previous nonsupervisory job and reopen the position for a new supervisor.” 20 of 25

21. Supervisor's Dilemma Discussion Questions When Dan returns the next day what should Phil King do? Response #2 “Mr. King already lectured Dan about his obligation as a supervisor. This was a good learning experience for Dan. Mr. King shouldn’t destroy Dan’s career for a single incident. Dan should be given a second chance.” 21 of 25

22. Supervisor's Dilemma Discussion Questions When Dan returns the next day what should Phil King do? Response #3 “Mr. King already lectured Dan about his obligation as a supervisor & it should end there. Politically, if it becomes public that a criminal judge regularly has lunch with a police detective, that judge’s credibility as an impartial jurist will be threatened. Best not to potentially drag the judge into this situation.” 22 of 25

23. Supervisor's Dilemma Discussion Questions Determine what your own answers are to the questions asked here. 23 of 25

24. Why Do This? It’s the integrity of the Judicial BranchIt’s the integrity of the Judicial Branch It’s more than just personnel rulesIt’s more than just personnel rules It’s not just right & wrong answersIt’s not just right & wrong answers It’s your job to make the code relevantIt’s your job to make the code relevant 24 of 25

25. Learn More and Join the Conversation Log onto the NACM Website Ethics Page: http://www.ncsconline.org/Nacmethics/ Or the NACM Ethics Hotline: http://www.nacmnet.org/ethics/hotline.asp 25 of 25