Ethics In Problem-Solving Courts - Justice Speaks Podcast
“The basic function of an independent, impartial and honorable judiciary is to maintain the utmost integrity in decision making,” according to Judge David Rothman (Ret.) of the Los Angeles Superior Court. The Model Code of Judicial Conduct is the codified embodiment of this principle. The traditional Canons, however, did not anticipate a collaborative court system but, rather, relies on an adversarial system when making the rules. With one exception, the Canons have not addressed problem-solving courts and their unique needs.
Judges in problem-solving courts face unique legal issues such as:
Remaining objective and impartial with participants with whom the judge develops a much more personal relationship that she does in a regular criminal case
Ex Parte communications among team members
Direct communication between the judge and the participant
Ensuring confidentiality, privacy, and dignity
Crafting appropriate incentives, sanctions and treatment responses
Using evidence-based practices
Demeanor both on and off the bench
The collaborative nature of drug courts (Key Component 6)
The community advocacy role of the drug court judge (Key Component 10)
Ex Parte Communication
Know your state’s rules for Ex Parte communications
Canon 2 of the American Bar Association (ABA) Model Code of Judicial Conduct requires a judge to “perform the duties of judicial office impartially, competently, and diligently. Canon 2.9 specifically prohibits ex parte communications defined as improper unilateral contacts with a judge without notice to the other side.
Comment [4] of Canon 2.9 goes on to say:
“A judge may initiate, permit, or consider ex parte communications expressly authorized by law, such as when serving on therapeutic or problem-solving courts, mental health courts, or drug courts. In this capacity, judges may assume a more interactive role with parties, treatment providers, probation officers, social workers, and others.”
Judges in problem-solving courts are advised to see whether or not their state has adopted the “drug court exception” to ex parte communications because fewer than half have done so. Judges are further advised to urge the adoption of this Canon so they may be protected from ethics violations.
What to do with an unsuccessful participant
On the one hand, judges have the duty to hear all cases (Canon 2.1). On the other, judges must not only be impartial and free of bias but also appear to be impartial and free from bias (Canon 2.2, 2.3). Judges in problem-solving courts develop a personal relationship with participants and get to know them quite well. The judge may have watched the participant struggle for months and celebrated victories with the participant. If the participant voluntarily drops out of the program, who should sentence the defendant? If there is a petition to revoke probation, who should resolve the probation violation hearing? What information has the judge received ex parte and will the judge be relying on this information when making a ruling? The trend of appellate cases is that recusal is not required except in the State of Tennessee where the appellate court found it was a violation of Due Process for the drug court judge to continue to hear the defendant’s case. Interestingly enough, there is a Tennessee ethics opinion that says it is not an ethics violation to do so. Oklahoma says judges should recuse themselves if asked to do so if there is an objection to the drug court judge hearing the case. The State of Nevada has said the judge need not recuse is she has previously sat as the drug court judge but must disclose that former relationship.
Judges have to be careful or they could be disciplined.