Understanding criminal justice ethics: A compass for a just system

Law enforcement

There’s no official code of ethics governing all police officers in the U.S. Instead, individual departments and law enforcement agencies often have their own specific codes. These codes have a few things in common: mainly, they place emphasis on upholding the law, protecting public safety and respecting the rights of citizens.

Wording varies by city, state and municipality, but most codes of ethics for police officers, sheriffs and other members of law enforcement share fundamental principles drawn from broader ethical frameworks.

The IACP Model, created and maintained by The International Association of Chiefs of Police (IACP), provides a commonly referenced model code of ethics. It’s considered one of the most influential ethical frameworks for law enforcement in the United States and internationally. Many departments use it verbatim, and most use it as a foundation for their own tailored codes.

The IACP Code offers a clear ethical benchmark for police conduct, aiding officers in navigating complex situations. It also provides a basis for holding officers accountable when they violate ethical standards. By promoting ethical behavior, the IACP Code aims to strengthen public confidence in law enforcement.

The key principles include:

• Service to community: Prioritizing the safety, well-being and protection of the community they serve.
• Respect for the law: Upholding the laws they are sworn to enforce, even-handedly and without bias.
• Cooperation with public officials: Working collaboratively with other agencies and public officials in the pursuit of justice.
• Respect for individual rights: Protecting the constitutional rights, dignity and privacy of all individuals, regardless of background.
• Integrity: Maintaining honesty, trustworthiness and avoiding even the appearance of corruption or impropriety. Officers must uphold the Constitutions of the U.S. and their own jurisdiction, enforcing laws without discrimination, favoritism, personal gain or prejudice.
• Courage: Demonstrating both physical and moral courage in the line of duty.
• Restraint: Using force only when necessary and with the minimum amount required to achieve lawful objectives.
• Confidentiality: Protecting confidential information, except when required by law or to protect public safety.
• Gifts and favors: Refusing gratuities, favors, or anything that could compromise their impartiality or create an appearance of impropriety.
• Personal conduct: Acting in a manner, both on and off duty, that reflects positively on themselves and their organization.

Corrections officers

Ethical principles for correctional officers center around maintaining a safe and secure environment for inmates, treating inmates with respect and ensuring their basic needs are met.

Clear ethical standards help officers navigate challenging situations and make better decisions under pressure. They help uphold human rights, ensuring that prisoners are treated fairly and with respect, even after they’re convicted of a crime. Ethics also help prevent abuses of power and cultivate trust in the corrections system.

There isn’t a single, nationally-mandated code of ethics for correctional officers in the United States, and such a code would be difficult to achieve for two reasons: jurisdiction and logistics. Correctional systems are often primarily governed at the state level, leading to some variations in jurisdictional regulations based on locale. Logistically speaking, the ethical dilemmas faced by an officer in a maximum-security prison will likely differ from those in a county jail or juvenile detention center.

The American Correctional Association (ACA) provides a Code of Ethics for correctional professionals. This code emphasizes respect for human dignity, professionalism, maintaining positive relationships with colleagues, refraining from discriminatory or abusive behavior and protecting the public. The complete list is as follows:

• Members shall respect and protect the civil and legal rights of all individuals.
• Members shall treat every professional situation with concern for the welfare of the individuals involved and with no intent to personal gain.
• Members shall maintain relationships with colleagues to promote mutual respect within the profession and improve the quality of service.
• Members shall make public criticism of their colleagues or their agencies only when warranted, verifiable and constructive.
• Members shall respect the importance of all disciplines within the criminal justice system and work to improve cooperation with each segment.
• Members shall honor the public’s right to information and share information with the public to the extent permitted by law subject to individuals’ right to privacy.
• Members shall respect and protect the right of the public to be safeguarded from criminal activity.
• Members shall refrain from using their positions to secure personal privileges or advantages.
• Members shall refrain from allowing personal interest to impair objectivity in the performance of duty while acting in an official capacity.
• Members shall refrain from entering into any formal or informal activity or agreement which presents a conflict of interest or is inconsistent with the conscientious performance of duties.
• Members shall refrain from accepting any gifts, services, or favors that is or appears to be improper or implies an obligation inconsistent with the free and objective exercise of professional duties.
• Members shall clearly differentiate between personal views/statements and views/statements/positions made on behalf of the agency or Association.
• Members shall report to appropriate authorities any corrupt or unethical behaviors in which there is sufficient evidence to justify review.
• Members shall refrain from discriminating against any individual because of race, gender, creed, national origin, religious affiliation, age, disability or any other type of prohibited discrimination.
• Members shall preserve the integrity of private information; they shall refrain from seeking information on individuals beyond that which is necessary to implement responsibilities and perform their duties; members shall refrain from revealing nonpublic information unless expressly authorized to do so.
• Members shall make all appointments, promotions and dismissals in accordance with established civil service rules, applicable contract agreements and individual merit, rather than furtherance of personal interests.
• Members shall respect, promote and contribute to a workplace that is safe, healthy and free of harassment in any form.

State laws may deviate from this list to one degree or another. For instance, one state might have specific ethical requirements for correctional officers, such as those related to the use of force, prisoner treatment and avoiding conflicts of interest. Some jurisdictions may draw from ethical codes for law enforcement, too, adapting them to the correctional setting.

Organizations like the American Jail Association offer additional resources and ethical guidelines for their members.

A word on ethics from undercover ATF agent Ignacio Esteban

Looking back on his career with law enforcement, Special Agent Ignancio Esteban credits his success to his strong sense of ethics. He reflects on his career in customs and undercover work with a sense of pride and accomplishment. Esteban says he could not have succeeded without the integrity to act ethically—especially while he was posing as a career criminal.

You need a strong moral compass to succeed as an undercover agent. Without one, temptation can come in many different forms. Those who are predisposed to weakness will find any excuse to steal and become a criminal. I swore to protect and serve, and I never wanted to shame myself or my family. It is important to be a positive role model for a younger generation and I proudly did that in all different aspects of my life.

At different stages in my law enforcement career there have been temptations—both with large sums of money or massive drug seizures. When I was working with Customs in my mid-20s, there were officials involved in stealing or smuggling of contraband. I always knew my freedom was too valuable to throw it away. I always had a good moral compass and knew right from wrong from an early age. I thank my parents and grandparents for being amazing role models in my life growing up.

Integrity and accountability guided all my decisions in life inside and outside of law enforcement. The purpose of undercover work is to obtain evidence against your targets and not become a criminal while acting like one. It’s a thin line to walk, but having a good moral compass keeps the lines from blurring.

It is important to anticipate sticky moral situations and not put yourself in a place where you are compromised. You need to keep a clear head and think of ways to deal with different types of criminals and not be intimidated or misled. This kind of work is not for everybody.

One great thing about my line of work is that I never had to worry about whether the means justified the end. All my cases dealt with individuals that were actively involved in criminal activities. I always felt a sense of satisfaction after finishing a lengthy investigation when the organization was dismantled and violent repeat offenders received significant incarceration.

Defense attorneys

A defense attorney’s primary duty is zealous representation of their client. Their ethical codes address client confidentiality, conflicts of interest and ensuring even the most reviled individuals get due process.

Every state has its ethical guidelines, but some key principles include:

Protecting a client’s constitutional rights: Defense attorneys make sure their client understands their right to legal representation and assist them in obtaining it. They also maintain the confidentiality of their clients (sometimes referred to as attorney-client privilege). Allowing clients to speak freely about their case with their attorney helps prepare the best possible defense.

Defense attorneys advocate for upholding the client’s constitutional rights throughout the legal process. These rights include the presumption of innocence, right to a fair trial and protection against unreasonable searches and seizures. In addition, they act as a liaison, negotiating with prosecutors, advocating for fair plea deals or strategically advising on whether taking a case to trial is the best option.

Thorough investigation and case preparation:

Defense attorneys may conduct their own investigations, interview witnesses and work with experts to build the strongest possible case for their client. Thorough research into relevant laws and court rulings is crucial in forming legal arguments and defense strategies. They critically examine the prosecution’s evidence, looking for weaknesses, inconsistencies or procedural errors that could benefit the defense.

Zealous advocacy in court: Defense attorneys present the defense’s case during hearings, trials and sentencing, including cross-examining witnesses, delivering arguments and objecting when necessary. They uphold their client’s rights by objecting to improper questioning, inadmissible evidence and any procedural violations that could jeopardize a fair trial. If a client is found guilty, they advocate for the most lenient and appropriate sentence possible, considering mitigating factors and rehabilitation potential.

Counseling and support: Defense attorneys clearly explain the often complex legal system and guide their client through each step of the case. They provide honest assessments of the potential outcomes, avoiding false hope, but also highlighting potential strategies. The criminal justice system is stressful. A defense attorney offers guidance and support to their client during challenging times.

You can learn more about a defense attorney’s ethical creeds on sites like the American Bar Association, the National Association of Criminal Defense Lawyers (NACDL) or your individual state’s bar association.

Prosecutors

Prosecutors hold immense power, representing the state in criminal cases. Ethical guidelines ensure that power is used responsibly and fairly. They have a unique duty to seek justice, not just convictions. This means disclosing exculpatory evidence, avoiding bias and acting with fairness, even towards defendants.

The American Bar Association’s Model Rules of Professional Conduct apply to all lawyers, including prosecutors. However, they also have specific standards for the prosecution function. Their code of ethics is more or less the same as a DAs, but the scope of their job differs somewhat.

Some of the key ethical functions of being a prosecutor include:

Providing legal advice to law enforcement: Prosecutors offer guidance to law enforcement regarding investigations, potential charges and legal issues before formal charges are filed. They also help educate law enforcement personnel on legal developments, search and seizure rules and other relevant criminal law matters.

Cooperating with law enforcement: Prosecutors often work with law enforcement on investigations, guiding legal aspects and ensuring compliance with procedural rules. They can assist in obtaining necessary legal documents like subpoenas and warrants for investigations too.

Initiating and declining criminal charges: Prosecutors thoroughly assess evidence to determine if there’s sufficient proof to support charges and if prosecution is in the interests of justice. They exercise discretion in deciding what charges to file, considering factors like the seriousness of the crime, evidence strength and any mitigating circumstances. Prosecutors can ethically decline to prosecute if the evidence is weak or if justice is better served through alternative measures.

Representing the state: Prosecutors present the state’s case at court hearings, including bail hearings, pretrial motions, trials and sentencings. They must adhere to high standards of courtroom conduct, demonstrating respect for the court, defense counsel and all involved parties.

Seeking just outcomes: A prosecutor’s primary goal is to achieve justice, which may mean negotiating plea bargains, seeking alternatives to incarceration, or dismissing cases when appropriate. They uphold the Constitutional rights of the accused, including the right to a fair trial and due process.

Disclosing evidence: Prosecutors have an ethical duty to disclose exculpatory evidence (evidence favorable to the defense) in a timely manner.

Dealing with victims and witnesses: Prosecutors must treat victims and witnesses with compassion, providing them with information about the case and their rights. It is their duty to keep victims and witnesses informed about significant developments and court proceedings. Prosecutors work with law enforcement to ensure the safety of victims and witnesses when necessary.

Community outreach: Prosecutors actively participate in community events and educational programs to build public trust and understanding of the criminal justice system.

Transparency: As public servants, prosecutors balance the need for transparency with respecting the privacy of those involved in cases and avoiding statements that could unduly prejudice a fair trial.

A word on ethics from Peter Ticktin: Senior Partner and founder of Ticktin Law Group

Peter Ticktin, a compelling litigator with an incredible track record, adds that skilled lawyers also have an obligation to be honest with clients before they ever take a case. During the consultation stage, lawyers review the information they have at hand and decide what the best outcome for their client would be and a strategy to achieve that outcome based on legal precedents.

“You look at cases pragmatically first,” he says. “Does it make sense? Will the cost of opening a lawsuit, for instance, be more than the settlement? Any lawyer who says they practice law solely on the basis of just what’s right or wrong is either lying or stupid.”

He says that, fortunately, in his line of work, there’s often an alignment between morality and ethics. “Sometimes, in the courtroom, there are conflicts between what’s considered right or upstanding and what is just, what is fair. But I’m very lucky because I represent clients who are upright.”

In legal terms, ethics can be a little more complicated. This is, in part, because legal cases are always redefining the law, updating it, reshaping it. “Law school trains your mind to think in a three-dimensional grid of rules, laws and categories,” Ticktin explains. “Within this context, cases gain depth. Once you analyze them in this framework of rules, it’s something of a Venn diagram—there are areas that overlap.”

What is lawful, for instance, is not always what’s ethically right. Moral dilemmas exist precisely where there isn’t one clearly “right” and provable answer. That’s why a lawyer’s job is to prove their client’s actions are or are not aligned with a particular law. The meat of this work is in navigating this imperfect overlap between what’s right and what is allowed. Sometimes this can lead to advocating for changes in the law itself.

“The meat of this work is in navigating this imperfect overlap between what’s right and what is allowed. Sometimes this can lead to advocating for changes in the law itself.“

Peter Ticktin

Things get particularly complicated when clients aren’t 100% honest with their attorney. “There are two people you should never lie to,” Peter Ticktin quips. “One is your doctor and the other is your lawyer.”

Ticktin recalls such a case, early on in his career. It stands out as one of the few times he had to recuse himself from representing a client. “As a young lawyer, I was retained by a guy who had robbed a warehouse. He wanted to be able to get on the stand and commit perjury and I told him I can’t. If we can’t win it by telling the truth, we find a way to settle. We did not end up working together ultimately.”

And this was for the best. Remember, in a courtroom, a system of oversight and disciplinary procedures exist to handle ethical transgressions by legal professionals. This can include sanctions, loss of license or even criminal charges. “Representing the wrong client,” Peter Ticktin agrees, “can be very costly.”

After a long, fulfilling career with its fair share of news-making moments, Peter Ticktin enjoys being a voice of reason to the wilderness of lawyers. “If you do [this work] wrong, you look back on your whole life and it’s been a series of miserable days and moments. I’m happy to help other lawyers make the best of each day. Even my opposition. Helping the opposing counsel, as crazy as it may seem, helps you too.”

When it comes to parting words of wisdom, Ticktin had this to say:

Some lawyers think of this as a job. If that’s the case, they don’t belong in practice. Successful lawyers live and breathe the law. And they’re incredible writers, researchers and storytellers.

We write masterpieces… compelling arguments and beautifully written casework that only one person will ever see, because after court, they go straight in the trash.

If I had to give advice, it would be this: do not aim for deadlines. Get the work done as it comes in, ahead of time if possible. When you’re ahead of the deadline, you have less stress and you can think much more clearly.

Cases, more often than not, are really games of chess with a completely different board and a different set of rules. It’s all about proving that you’re on the right side and trying to repress a wrong. Usually both sides are making moves, and the side that can think of more moves in advance will almost always have a major advantage.

Judges

Judges in the United States are bound by a specific code of ethics to ensure they uphold the highest standards of integrity and impartiality in their roles. Judicial ethics focus on impartiality, fairness, avoidance of conflicts of interest and maintaining the integrity of the legal system.

The Code of Conduct for United States Judges offers ethical guidelines for all federal judges (district courts, appellate courts and the Supreme Court). It covers issues like:

• Upholding the integrity and independence of the judiciary: Judges must maintain the highest standards of conduct to ensure that the justice system itself remains unimpeachable. They avoid actions that could create even the appearance of bias or influence from outside pressures. Some examples of living by this code might include refusing gifts or favors that might sway their judgment or declining to be a member of an organization that could create a conflict of interest.

• Avoiding conflicts of interest or impropriety: Judges must steer clear of any situation where their personal interests, relationships or biases could compromise their ability to make impartial decisions. One example of this might be recusing themselves from cases involving family members, close friends or former business associates; another could be maintaining appropriate boundaries outside the courtroom to avoid situations that could be perceived as improper.

• Promoting public confidence in the judiciary: Judges have an ethical duty to act in ways that cultivate trust in the justice system. Their behavior both on and off the bench should reflect the importance of their role. For example, judges should treat everyone who appears before the court with respect and dignity. They should also explain rulings clearly and avoid displays of arrogance or impatience.

• Performing duties fairly and diligently: Judges must be meticulous in how they carry out their responsibilities. This includes giving all parties a fair hearing, diligently researching legal precedents and issuing timely rulings. They should actively listen to arguments from all sides without prejudging a case, for instance, and should manage their docket efficiently to avoid unnecessary delays that could harm parties in a case.

• Refraining from political activity: Judges must maintain their political neutrality on the bench. This helps preserve public confidence in their impartiality. They should not, for instance, be publicly endorsing candidates or making political donations. They should lso avoid involvement in partisan political events and organizations.

Every state has its own judicial code of conduct. These often mirror the federal code but may have additional rules or adjustments based on the state’s specific laws. You can usually find your state’s judicial code on the website of your state’s Supreme Court or judicial conduct commission.

Strict ethical codes are crucial for maintaining public confidence in the fairness and impartiality of the justice system. These guidelines also help ensure judges avoid situations where their personal beliefs, relationships or outside activities could influence their judicial decisions.