Ethical Considerations
for Self Help Center Staff
Assisting Self Represented Litigants
While Maintaining Neutrality
June 10, 2011
Lollie A. Roberts
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Family Law Facilitator, Sacramento County
Superior Court
Member, Self Represented Litigants Taskforce
Contributor:
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Court Leadership for Self-Represented Litigants:
Solutions for Access, Effectiveness and Efficiency
Best Practices in Court-Based Programs for the
Self-Represented
Family Law Resource Guidelines Project
Overview
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Defining Self Help
Setting Limits
Legal Advice v. Legal Information
Ex Parte Communications
Defining Self Help
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Neutral
Within Scope
Reasonable
Setting Limits
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Attorneys
Third Parties
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Friends and Family
Paid Legal Assistants
“Interpreters”
Questions of Veracity
Legal Advice v. Legal Information
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Pitfalls of Relying on Key Words
Remain Neutral
Admit What You Do Not Know
Keep It Simple
Legal Advice v. Legal Information
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Safe Communications
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Explaining Legal Process
Identifying Appropriate Forms
Explaining Available Options
How to Complete Forms
Explaining Repercussions of Available Options
Examples of Legal Information
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Difference between a UPA case and a POP
Declaration
Forms needed to respond to an Order to Show
Cause
How to prepare a written declaration
How to get a formal judgment once all issues
have been resolved at a settlement conference
Legal Advice v. Legal Information
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Things to Avoid
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Best Choice of Available Options
How to Obtain a Strategic Advantage
Which Available Option to Select
Lopsided Presentation of Repercussions/
Advantages of Legal Action
What the Judge is Most Likely to Do
Examples of Legal Advice
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Based upon what you have told me, the Judge
will most likely…
You are more likely to get a positive
recommendation from the mediator if…
If I were you, I would…
If you were my client, I would advise you to…
You could do that, but it would be better for
you to do this…
How Would You Respond?
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What should I do?
How can I oppose this petition?
Which one would be better for me?
What will happen if I…?
I was told I can sign a POP Declaration. Why
do I need to file a UPA case?
What am I supposed to do with this mediation
report?
Suggested Responses
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I can’t tell you what you should do because that
would be legal advice. I can tell you the options that
are available to you so you can decide for yourself. If
you need advice, you will need to consult a private
attorney.
I can tell you the possible outcomes of your case, but
I cannot predict how the judge will rule. Each case is
decided on its own facts and only the judge can tell
you how it is going to come out, after he or she has
reviewed all of the facts presented by all the parties.
Ex Parte Communications
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When You Confer with the Judge, the
Prohibition Against Ex Parte Communication
Extends to You
Acting as/through an Intermediator Does Not
Change the Nature of Ex Parte
Communications
Ex Parte Communications
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Safe Communications with the Judge
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Whether or not a conversation with the party took
place
What information was relayed to the party
Safe Communications with parties
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Legal information
Identifying information
Deficiencies in filed/proposed documents
Examples of Safe Communication
with the Judge
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“All of the parties are present and ready to
proceed.”
“I told the petitioner that he would need to
complete and file a proof of service or
declaration of due diligence.”
Ex Parte Communications
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Risky Communications with the Judge
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What the party stated to you
How a party behaved in your presence
What a party said to someone else in your presence
Risky Communications with Parties
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Legal Advice
Anything communicated by the Judge or another
party to the case
Examples of Ex Parte
Communication with the Judge
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“The petitioner gave me an attitude and
said…”
“While I was in the courtroom, I heard the
mother tell the grandmother…”
Examples of Ex Parte
Communication with a Party
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“The Judge does not think your declaration is
sufficient.”
“When the mediator interviewed the father, he
said…”
How Would You Respond?
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“I saw you talking to the mother. Did she tell
you…?”
Suggested Response
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“I cannot discuss my conversation with
another party with you. What I can tell you is
that the only facts that the court will consider
are those contained in the documents in the file
or stated by one of the parties during the
hearing.”
How Would You Respond?
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“Before I take the bench, will you ask the
petitioner about this item in her declaration
and let me know what she says?”
Suggested Response
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“I can ask her if she has witnesses or exhibits
to present so you can decide whether to set the
matter for long cause. If that is the case, I will
make sure she has a referral to the Self Help
Center so she can get help before the next
hearing date.”
How Would You Respond?
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“Is the judge going to grant my request?”
Suggested Response
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“I am not the trier of fact, so I cannot predict
whether your request is going to be granted.
The judge has reviewed your court file and
may have additional questions for you (or the
other parties present). The judge cannot
decide your case until he or she has had an
opportunity to hear from the parties. I can tell
you that the mediator’s report recommends…”
Practice Pointers
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Before speaking, ask yourself:
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Am I sure of the answer?
Would I say this if the Judge/other party were
listening?
Am I repeating information that I obtained from an
ex parte conversation?
Is it reasonable to expect an SRL to understand
what I am about to say and to be able to
accomplish it on his or her own?
Questions?
Thank you for your participation!