ETHICS AND JUDICIAL SERVICE North Carolina Magistrates 2017 Spring Conference April 4-7, 2017 Harrah’s Resort, Cherokee, NC J AMESON M. M ARKS Commission Counsel Judicial Standards Commission Ma g istra te s & Judic ia l E thic s T he mission of the Ma g istra te is to prote c t a nd pre se rve the rig hts a nd libe rtie s of a ll of the pe ople , a s g ua ra nte e d by the Constitution a nd la ws of the Unite d Sta te s a nd North Ca rolina , by providing a fa ir, inde pe nde nt a nd a c c e ssible forum the just, time ly a nd e c onomic a l re solution of the ir le g a l a ffa irs. http:/ / www.a o c .sta te .nc .us/ ma g istra te / Ab o utUs/ inde x .htm: 1
T he Ma g istra te ’s Mission a nd Sha re d Va lue s in the Code of Judic ia l Conduc t I nde pe nde nc e I nte g rity I mpa rtia lity C ONF NCE IN M AGIST IDE RAT E S P ROMOT HE S AME G OAL E S T S AS C ONF IDE NCE IN JUDGE S Ac c o unta b ility fo r ma g istra te s, like tha t fo r judg e s, is just o ne pie c e o f the puzzle inte nde d to : E nsure pub lic c o nfide nc e in the c o urts Pre se rve judic ia l inde pe nde nc e Ma inta in the rule o f la w 2
Judic ia l Inde pe nde nc e “All the rights secured to the citizens under the Constitution are worth nothing, and a mere bubble, except guaranteed to them by an independent and virtuous Judiciary.” - Andrew Jackson Rule of L a w A system of self-government in which all persons, including the 1. government, are accountable under the law A system based on fair, publicized, broadly understood and stable 2. laws A fair, robust, and accessible legal process in which rights and 3. responsibilities based in law are evenly enforced Diverse, competent, and independent lawyers and judges 4. Credit: Bill Watterson 3
Public Confidence 4
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D IF S IN A CCOUNT F E RE NCE ABIL IT Y M E OR M AGIST S & CHANISMS F RAT E J UDGE S N.C. N.C. Ge n. N.C. Ge n. Constitution Sta t. Sta t. Art. IV, §17(3) §7A- 173 §7A- 376 N.C. Const. Art. IV, § 17(3) (3) Re mova l of Ma g istra te s. T he Ge ne ra l Asse mb ly sha ll pro vide b y g e ne ra l la w fo r the re mo val o f Ma g istra te s fo r misc o nduc t o r me nta l o r physic a l inc a pa c ity. 7
N.C. Ge n. Sta t. § 7A- 173 (a ) A ma g istra te ma y b e suspe nde d fro m pe rfo rming the dutie s o f his o ffic e b y the c hie f distric t judg e o f the distric t c o urt distric t in whic h his c o unty is lo c a te d , o r re mo ve d fro m o ffic e b y the se nio r re g ula r re side nt supe rio r c o urt judg e o f, o r a ny re g ula r supe rio r c o urt judg e ho lding c o urt in the distric t o r se t o f distric ts a s de fine d in G.S. 7A-41.1(a ) in whic h the c o unty is lo c a te d. Gr ounds forsuspe nsion orr e moval ar e the same as for a judge of the Ge ne r al Cour t of J ustic e . N.C. Ge n. Sta t. § 7A- 376 Upo n re c o mme nda tio n o f the (b) Co mmissio n, the Supre me Co urt ma y issue a pub lic re prima nd, c e nsure , suspe nd, o r re mo ve a ny judg e fo r willful misc o nduc t in o ffic e , willful a nd pe rsiste nt failure to pe rfo rm the judg e 's dutie s, ha b itua l inte mpe ra nc e , c o nvic tio n o f a c rime invo lving mo ra l turpitude , o r c o nduc t pre judic ial to the a dministra tio n o f justic e tha t b ring s the judic ia l o ffic e into disre pute . 8
Willful Misc onduc t “A specific intent to use the powers of the judicial office to accomplish a purpose which the judge knew or should have known was beyond the legitimate exercise of his authority constitutes bad faith.” - In re Nowell, 293 N.C. 235, 248 (1977) “Willful misconduct in office is the improper or wrongful use of the power of his office by a judge acting intentionally, or with gross unconcern for his conduct, and generally in bad faith. It involves more than an error of judgment or a mere lack of diligence.” This would encompass “any knowing misuse of the office, whatever the motive.” - In re Nowell, 293 N.C. 235, 248 (1977) “Further, if a judge knowingly and wilfully persists in indiscretions and misconduct which this Court has declared to be, or which under the circumstances he should know to be, acts which constitute wilful misconduct in office and conduct prejudicial to the administration of justice which brings the judicial office into disrepute, he should be removed from office.” - In re Peoples, 296 N.C. 109, 157 (1978). “A judge should be removed from office and disqualified from holding further judicial office only for the more serious offense of wilful misconduct in office.” - In re Peoples, 296 N.C. 109, 158 (1978). Conduc t Pre judic ia l to the Administra tion of Justic e “Conduct which a judge undertakes in good faith but which nevertheless would appear to an objective observer to be not only unjudicial conduct but conduct prejudicial to public esteem for the judicial office.” - In re Edens, 290 N.C. 299, 305 (1976). “[A] judge may also, through negligence or ignorance not amounting to bad faith, behave in a manner prejudicial to the administration of justice so as to bring the judicial office into disrepute.” – In re Nowell, 293 N.C. 235, 248-249 (1977). “Whether the conduct of a judge may be characterized as prejudicial to the administration of justice which brings the judicial office into disrepute depends not so much upon the judge’s motives but more on the conduct itself, the results thereof, and the impact such conduct might reasonably have upon knowledgeable observers.” - In re Crutchfield, 289 N.C. 597, 603 (1975). 9
Conduc t Pre judic ia l to the Administra tion of Justic e “A violation of this Code of Judicial Conduct may be deemed conduct prejudicial to the administration of justice that brings the judicial office into disrepute” - N.C. Code Jud. Cond. Preamble Code of Judic ia l Conduc t Written by the North Carolina Supreme Court District judges and superior court judges take their cues on what is appropriate for judicial officers from these rules, and may hold you to the same standards! Canon 3B(2) of the Code of Judicial Conduct: “A judge should require the judge’s staff and court officials subject to the judge’s direction and control to observe the standards of fidelity and diligence that apply to the judge.” 10
C ODE OF J UDICIAL C ONDUCT : O VE RVIE W Pre a mb le Ca no ns 1-7 Ca no ns 1 & 2: E thic a l dutie s o f judg e s b o th o n a nd o ff the b e nc h Ca no n 3: E thic a l dutie s o f judg e s while unde rta king o ffic ia l dutie s Ca no ns 4 & 5: E thic a l dutie s o f judg e s in pe rso na l a nd c ivic ac tivitie s Ca no n 6: Gift a nd inc o me re po rting Ca no n 7: E thic a l dutie s o f judg e s whe n e ng a g e d in po litic a l c o nduc t Sta tute o f L imita tio ns Sc o pe No te (Judic ia l Ca ndida te s, Ne w Judg e s) Ca non 1: A judg e should uphold the inte g rity a nd inde pe nde nc e of the judic ia ry. “A judg e should pa rtic ipa te in e sta blishing , ma inta ining , a nd e nforc ing , a nd should pe rsona lly obse rve , a ppropria te sta nda rds of c onduc t to e nsure tha t the inte g rity a nd inde pe nde nc e of the judic ia ry sha ll be pre se rve d.” 11
Ca non 2: A judg e should a void improprie ty in a ll the judg e 's a c tivitie s. • Unla wful c o nduc t - Ca no n 2A • L e tting fa mily o r pe rso na l re la tio nships a ffe c t yo ur judg me nt - Ca no n 2B • Using the pre stig e o f yo ur o ffic e fo r yo ur pe rso na l b e ne fit o r the b e ne fit o f o the rs - Ca no n 2B • Me mb e rship in disc rimina to ry o rg a niza tio ns – Ca no n 2C Ca non 3: A judg e should pe rform the dutie s of the judg e 's offic e impa rtia lly a nd dilig e ntly. Ca no n 3 re la te s to o ffic ial ac tio n a nd is divide d into thre e ke y a re a s: Ca non 3A – g o ve rning a djudic a tive dutie s Ca non 3B – g o ve rning a dministra tive dutie s Ca non 3C & D – g o ve rning disq ua lific a tio n 12
Ca nons 4 & 5: Re g ula ting Your E xtra - Curric ula r a nd Profe ssiona l Ac tivitie s I t’ s g o o d to b e invo lve d in yo ur c o mmunitie s, pro fe ssio na l o rg a niza tio ns, no n-pro fits, e tc ., b ut b e c a re ful. T hing s to a vo id in a ll o f the se a c tivitie s: Be lo ng ing to g ro ups tha t ma y c a st do ub t o n yo ur impa rtia lity He lping o rg a niza tio ns in fundra ising a c tivitie s Be ing invo lve d with g ro ups tha t o fte n a ppe a r b e fo re yo u Ne g le c ting yo ur judic ia l dutie s What Gets Judges in Trouble? Interactive Q & A 13
District Court judge added at least 82 traffic tickets of friends and church members to the docket and then dismissed or continued them without hearing evidence. The judge previously had received a private warning for similar conduct. A. Reprimand B. Suspension C. Removal District Court judge removed about 50 traffic cases (incl. DWIs) from the calendar, placed the cases in his own file, then later dismissed them without notice to the DA. Some defendants had to pay a “cost of court” to the judge, who sometimes passed the money on to the clerk and at other times did not. A. Reprimand B. Suspension C. Removal 14
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