# OF OTTAWA AND CHIPPEWA INDIANS

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## Record

- **Collection:** Tribal code
- **Document type:** Tribal code

## Text

COURT RULES
OF THE
GRAND TRAVERSE BAND
OF OTTAWA AND CHIPPEWA INDIANS
TRIBAL COURT
________________________
RULES OF EVIDENCE
________________________
ADMINISTRATIVE ORDERS

COURT RULES
OF THE
GRAND TRAVERSE BAND
OF OTTAWA AND CHIPPEWA INDIANS
TRIBAL COURT

TABLE OF CONTENTS
CHAPTER 1
RULES OF ETHICS FOR TRIBAL COURT JUDGES
Subchapter 1.000 Purpose and Definitions
Rule 1.001 Purpose .............................................................................................................. 1
Rule 1.002 Definitions .......................................................................................................... 1
Subchapter 1.100 Judicial Conduct
Rule 1.101 Applicability of these Rules of Judicial Conduct....................................................... 1
Rule 1.102 Integrity and Independence of Tribal Judiciary....................................................... 1
Rule 1.103 Impropriety and the Appearance of Impropriety ..................................................... 1
Rule 1.104 Performance of Duties Impartially and Diligently .................................................... 1
Rule 1.105 Improvement of the Legal System and the Administration of Justice ........................ 3
Rule 1.106 Extra-Judicial Activities......................................................................................... 3
Rule 1.107 Political Activities ................................................................................................. 4
Subchapter 1.200 Enforcement Of Ethical Rules
Rule 1.201 Definitions .......................................................................................................... 4
Rule 1.202 Enforcement Responsibility/Procedure/Relationship to Tribal Personnel Policies......... 4
Rule 1.203 Investigation....................................................................................................... 5
Rule 1.204 Review and Action Committee .............................................................................. 5
Rule 1.205 Disciplinary Action; Procedure............................................................................... 5
Rule 1.206 Disciplinary Action; Disposition ............................................................................. 5
Rule 1.208 Confidentiality ..................................................................................................... 6
CHAPTER 2
RULES OF ETHICS FOR ATTORNEYS AND LAY ADVOCATES
Subchapter 2.000 Attorney and Lay Advocate Conduct
Rule 2.001 Applicability of Rules............................................................................................ 7
Rule 2.002 Purpose of Rules ................................................................................................. 7
Rule 2.003 Definitions .......................................................................................................... 7
Rule 2.004 Client-Lawyer Relationship ................................................................................... 7
Rule 2.005 Counselor ..........................................................................................................12
Rule 2.006 Advocate ...........................................................................................................13
Rule 2.007 Special Responsibilities of a Prosecutor.................................................................14
Rule 2.008 Other Provisions Regarding a Prosecutor ..............................................................15
Rule 2.009 Political Activities ................................................................................................15
Rule 2.010 Avocational and Financial Activities ......................................................................16
Rule 2.011 Disqualification...................................................................................................16
Rule 2.012 Transactions with Persons other than Clients ........................................................16
Rule 2.013 Law Firms and Associations .................................................................................17
Rule 2.014 Public Service.....................................................................................................18
Rule 2.015 Information About Legal Services.........................................................................18
Rule 2.016 Maintaining the Integrity of the Profession............................................................19
Subchapter 2.100 Enforcement Of Ethical Rules
Rule 2.101 Definitions .........................................................................................................20
Rule 2.102 Enforcement Responsibility/Procedure/Relationship to Tribal Personnel Policies........20
Rule 2.103 Investigation......................................................................................................20
Rule 2.104 Review and Action Committee .............................................................................21

GRAND TRAVERSE BAND TRIBAL COURT RULES (GTBCR)
(Current through 3/20/09 amendments)

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Rule 2.105 Disciplinary Action; Procedure..............................................................................21
Rule 2.106 Disciplinary Action; Disposition ............................................................................21
Rule 2.108 Confidentiality ....................................................................................................21
CHAPTER 3
CODE OF CONDUCT FOR TRIBAL COURT EMPLOYEES
Rule 3.001 Introduction.......................................................................................................22
Rule 3.002 Definitions .........................................................................................................22
Rule 3.003 Applicability .......................................................................................................22
Rule 3.004 Integrity and Independence of Court Employees ..................................................22
Rule 3.005 Integration with Grand Traverse band Government Personnel Policy .......................22
Rule 3.006 Enforcement of Code of Conduct ........................................................................23
Rule 3.100 Abuse of Position ...............................................................................................23
Rule 3.200 Conflict of Interest..............................................................................................24
Rule 3.300 Confidentiality ....................................................................................................25
Rule 3.400 Political Activity .................................................................................................25
Rule 3.500 Performance of Duties ........................................................................................25
Rule 3.600 Prior Rules of Ethics for Court Personnel Vacated .................................................26
CHAPTER 4
RULES OF CIVIL PROCEDURE
Subchapter 4.000 General Provisions
Rule 4.001 Applicability .......................................................................................................27
Rule 4.002 Title; Citation .....................................................................................................27
Rule 4.003 Effective Date ....................................................................................................27
Rule 4.004 Statutory Practice Provisions................................................................................27
Rule 4.005 Construction ......................................................................................................27
Rule 4.006 Headings ...........................................................................................................27
Rule 4.007 Number .............................................................................................................27
Rule 4.008 Computation of Time ..........................................................................................27
Rule 4.009 Paper and Type-Size Standard .............................................................................27
Rule 4.010 Collection of Fines and Costs ...............................................................................28
Rule 4.011 Amendment Procedure........................................................................................28
Rule 4.012 Waiver or Suspension of Fees and Costs for Indigent Persons ................................28
Rule 4.013 Disqualification of Judge .....................................................................................28
Rule 4.014 Incarcerated Parties............................................................................................29
Rule 4.015 Photographing, Recording, and Broadcasting in Court............................................30
Subchapter 4.100 Commencement Of Action; Service Of Process; Pleadings; Motions
Rule 4.101 Form and Commencement of Action.....................................................................32
Rule 4.102 Summons; Expiration of Summons; Dismissal of Action for Failure to Serve .............33
Rule 4.103 Process; Who May Serve .....................................................................................34
Rule 4.104 Process; Proof of Service.....................................................................................34
Rule 4.105 Process; Manner of Service .................................................................................34
Rule 4.106 Notice by Posting or Publication ...........................................................................37
Rule 4.107 Service and Filing of Pleadings and Other Papers...................................................38
Rule 4.108 Time .................................................................................................................39
Rule 4.109 Security for Costs; Bonds ....................................................................................40
Rule 4.110 Pleadings ...........................................................................................................41
Rule 4.111 General Rules of Pleading....................................................................................41
Rule 4.112 Pleading Special Matters .....................................................................................42

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(Current through 3/20/09 amendments)

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Rule 4.113 Form of Pleadings and Other Papers ....................................................................43
Rule 4.114 Signatures of Attorneys and Parties; Verification; Effect; Sanctions .........................44
Rule 4.115 Motion to Correct or to Strike Pleadings................................................................45
Rule 4.116 Summary Disposition ..........................................................................................45
Rule 4.117 Appearances ......................................................................................................48
Rule 4.118 Amended and Supplemental Pleadings .................................................................49
Rule 4.119 Motion Practice ..................................................................................................49
Subchapter 4.200 Parties; Joinder Of Claims And Parties; Venue; Transfer Of Actions
Rule 4.201 Parties Plaintiff and Defendant; Capacity ..............................................................52
Rule 4.202 Substitution of Parties.........................................................................................54
Rule 4.203 Joinder of Claims, Counterclaims, and Cross-Claims...............................................54
Rule 4.204 Third-Party Practice ............................................................................................55
Rule 4.205 Necessary Joinder of Parties ................................................................................55
Rule 4.206 Permissive Joinder of Parties ...............................................................................56
Rule 4.207 Misjoinder and Nonjoinder of Parties ....................................................................56
Rule 4.209 Intervention .......................................................................................................56
Subchapter 4.300 Discovery
Rule 4.301 Completion of Discovery......................................................................................57
Rule 4.302 General Rules Governing Discovery ......................................................................57
Rule 4.303 Depositions Before Action or Pending Appeal ........................................................60
Rule 4.304 Persons Before Whom Depositions May Be Taken..................................................61
Rule 4.305 Subpoena for Taking Deposition ..........................................................................62
Rule 4.306 Depositions on Oral Examination..........................................................................63
Rule 4.307 Depositions on Written Questions ........................................................................66
Rule 4.308 Use of Depositions in Court Proceedings ...............................................................66
Rule 4.309 Interrogatories to Parties ....................................................................................67
Rule 4.310 Requests for Production of Documents and Other Things; Entry on Land for
Inspection and Other Purposes.................................................................................68
Rule 4.311 Physical and Mental Examination of Persons .........................................................69
Rule 4.312 Request for Admission ........................................................................................70
Rule 4.313 Failure to Provide or to Permit Discovery; Sanctions ..............................................71
Rule 4.314 Discovery of Medical Information Concerning Party ...............................................73
Rule 4.315 Video Depositions ...............................................................................................74
Rule 4.316 Removal of Discovery Materials From File .............................................................75
Subchapter 4.400 Pretrial Procedure; Alternative Dispute Resolution; Offers Of Judgment;
Settlements
Rule 4.401 Pretrial Procedures; Conferences; Scheduling Orders .............................................76
Rule 4.402 Use of Communication Equipment........................................................................78
Rule 4.406 Use of Facsimile Communication Equipment .........................................................78
Rule 4.410 Alternative Dispute Resolution .............................................................................79
Rule 4.411 Mediation or Peacemaking...................................................................................80
Rule 4.420 Settlements and Judgments for Minors and Legally Incapacitated Individuals ..........84
Subchapter 4.500 Trials; Subpoenas; Juries
Rule 4.501 Scheduling Trials; Court Calendars .......................................................................85
Rule 4.502 Dismissal for Lack of Progress .............................................................................85
Rule 4.503 Adjournments ....................................................................................................86
Rule 4.504 Dismissal of Actions ............................................................................................87
Rule 4.505 Consolidation; Separate Trials..............................................................................87
Rule 4.506 Subpoena; Order to Attend .................................................................................88

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Rule 4.507 Conduct of Trials ................................................................................................90
Rule 4.508 Jury Trial of Right...............................................................................................90
Rule 4.509 Trial by Jury or by Court .....................................................................................91
Rule 4.510 Juror Personal History Questionnaire ....................................................................91
Rule 4.511 Impaneling the Jury............................................................................................92
Rule 4.512 Rendering Verdict...............................................................................................93
Rule 4.513 View..................................................................................................................94
Rule 4.514 Special Verdicts ..................................................................................................94
Rule 4.515 Motion for Directed Verdict..................................................................................94
Rule 4.516 Instructions to Jury.............................................................................................94
Rule 4.517 Findings by Court ...............................................................................................95
Rule 4.518 Receipt and Return or Disposal of Exhibits ............................................................96
Subchapter 4.600 Judgments And Orders; Postjudgment Proceedings
Rule 4.601 Judgments .........................................................................................................96
Rule 4.602 Entry of Judgments and Orders ...........................................................................96
Rule 4.603 Default and Default Judgment .............................................................................97
Rule 4.604 Judgment in Actions Involving Multiple Claims or Multiple Parties............................98
Rule 4.605 Declaratory Judgment.........................................................................................98
Rule 4.610 Motion for Judgment Notwithstanding the Verdict .................................................99
Rule 4.611 New Trials; Amendment of Judgments ............................................................... 100
Rule 4.612 Relief From Judgment or Order.......................................................................... 101
Rule 4.613 Limitations on Corrections of Error ..................................................................... 101
Rule 4.614 Stay of Proceedings to Enforce Judgment ........................................................... 102
Rule 4.620 Satisfaction of Judgment ................................................................................... 102
Rule 4.621 Proceedings Supplementary to Judgment ........................................................... 103
Rule 4.622 Receivers in Supplementary Proceedings ............................................................ 104
Rule 4.625 Taxation of Costs ............................................................................................. 105
Rule 4.626 Attorney Fees................................................................................................... 107
Rule 4.630 Disability of Judge ............................................................................................ 107
Subchapter 4.700 Minor Trust Accounts
Rule 4.701 Standard for Consideration of Petitions for Distributions from
Minor Trust Accounts............................................................................................. 107
CHAPTER 5
[RESERVED]
CHAPTER 6
CRIMINAL PROCEDURE
Subchapter 6.000 General Provisions
Rule 6.001 Scope; Applicability of Civil Rules; Superseded Rules and Tribal
Ordinances or Statutes .......................................................................................... 110
Rule 6.002 Purpose and Construction ................................................................................. 110
Rule 6.003 Definitions ....................................................................................................... 110
Rule 6.004 Speedy Trial..................................................................................................... 110
Rule 6.005 Right to Court-Appointed Attorney; Advice; Waiver; Joint Representation .............. 111
Subchapter 6.100 Preliminary Proceedings
Rule 6.101 The Complaint.................................................................................................. 113
Rule 6.102 Arrest on a Warrant .......................................................................................... 113
Rule 6.103 Summons Instead of Arrest ............................................................................... 114

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Rule 6.104 Arraignment on the Warrant or Complaint .......................................................... 114
Rule 6.106 Pretrial Release ................................................................................................ 115
Rule 6.107 Pretrial Conference ........................................................................................... 117
Rule 6.110 Misdemeanor Traffic Offenses............................................................................ 117
Rule 6.120 Joinder and Severance; Single Defendant ........................................................... 118
Rule 6.121 Joinder and Severance; Multiple Defendants ....................................................... 118
Rule 6.125 Mental Competency Hearing .............................................................................. 119
Subchapter 6.200 Discovery
Rule 6.201 Discovery......................................................................................................... 119
Subchapter 6.300 Pleas
Rule 6.301 Available Pleas ................................................................................................. 121
Rule 6.302 Pleas of Guilty and No Contest........................................................................... 121
Rule 6.303 Plea of Guilty but Mentally Ill ............................................................................. 123
Rule 6.304 Plea of Not Guilty by Reason of Insanity ............................................................. 123
Rule 6.310 Withdrawal or Vacation of Plea Before Acceptance or Sentence ............................ 123
Rule 6.311 Challenging Plea After Sentence......................................................................... 123
Rule 6.312 Effect of Withdrawal or Vacation of Plea ............................................................. 124
Subchapter 6.400 Trials
Rule 6.401 Right to Trial by Jury or by the Court ................................................................. 124
Rule 6.402 Waiver of Jury Trial by the Defendant ................................................................ 124
Rule 6.403 Trial by the Judge in Waiver Cases..................................................................... 124
Rule 6.410 Jury Trial; Number of Jurors; Unanimous Verdict................................................. 124
Rule 6.411 Additional Jurors .............................................................................................. 124
Rule 6.412 Selection of the Jury ......................................................................................... 125
Rule 6.414 Conduct of Jury Trial......................................................................................... 127
Rule 6.416 Presentation of Evidence ................................................................................... 128
Rule 6.419 Motion for Directed Verdict of Acquittal .............................................................. 128
Rule 6.420 Verdict ............................................................................................................ 128
Rule 6.425 Sentencing.......................................................................................................128
Rule 6.427 Judgment ........................................................................................................ 130
Rule 6.429 Correction and Appeal of Sentence.....................................................................131
Rule 6.431 New Trial ......................................................................................................... 131
Rule 6.432 Documents for Post Conviction Proceeding ......................................................... 131
Rule 6.433 Correcting Mistakes .......................................................................................... 132
Rule 6.440 Disability of Judge ............................................................................................ 132
Rule 6.445 Probation Revocation ........................................................................................ 133
CHAPTER 7
[RESERVED]
CHAPTER 8
RULES OF JURY SELECTION
Subchapter 8.000 Purpose And Definition
Rule 8.001 Purpose ........................................................................................................... 136
Rule 8.002 Definitions ....................................................................................................... 136
Subchapter 8.100 Right of Jury Trial
Rule 8.101 Criminal Cases ................................................................................................. 136

GRAND TRAVERSE BAND TRIBAL COURT RULES (GTBCR)
(Current through 3/20/09 amendments)

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Rule 8.102 Civil Cases ....................................................................................................... 136
Subchapter 8.200 Jury Pool
Rule 8.201 Membership .....................................................................................................136
Rule 8.202 Residence ........................................................................................................ 136
Rule 8.203 Age .................................................................................................................136
Rule 8.204 Questionnaires ................................................................................................. 136
Rule 8.205 Random Selection............................................................................................. 136
Rule 8.206 Mailing of Questionnaires .................................................................................. 136
Rule 8.207 Filing Deadline ................................................................................................. 136
Rule 8.208 Access to Juror Questionnaires .......................................................................... 136
Rule 8.209 Annual Pool .....................................................................................................137
Rule 8.210 Exemption ....................................................................................................... 137
Rule 8.211 Previous Service ............................................................................................... 137
Rule 8.212 Pool Replenishment .......................................................................................... 137
Subchapter 8.300 Jury Service
Rule 8.301 Jury Summons Process ..................................................................................... 137
Rule 8.302 Excuse from Jury Duty ...................................................................................... 137
Rule 8.303 Compensation .................................................................................................. 137
Rule 8.304 Contempt of Court............................................................................................ 137
CHAPTER 9
RULES OF APPELLATE PROCEDURE
Subchapter 9.000 Purpose and Definition
9.001 Purpose ..................................................................................................................138
9.002 Definitions............................................................................................................... 138
Subchapter 9.100 Organization and Composition of Tribal Appellate Court
Rule 9.101 Judges of Tribal Appellate Court ........................................................................ 138
Rule 9.102 Term ............................................................................................................... 138
Rule 9.103 Chief Justice .................................................................................................... 138
Rule 9.104 Court Clerk ...................................................................................................... 138
Rule 9.105 Disqualification of Appellate Judge ..................................................................... 138
Subchapter 9.200 Jurisdiction of Tribal Appellate Court
Rule 9.201 Exclusive Jurisdiction ........................................................................................ 138
Rule 9.202 Review of Legislation ........................................................................................ 138
Rule 9.203 Who May Appeal .............................................................................................. 138
Rule 9.204 Subject of Appeal ............................................................................................. 139
Rule 9.205 Scope of Court's Review.................................................................................... 139
Subchapter 9.300 Procedure for Appeal
Rule 9.301 Time Period to Appeal....................................................................................... 139
Rule 9.302 Notice of Appeal ............................................................................................... 139
Rule 9.303 Service of Notice of Appeal................................................................................ 140
Rule 9.304 Appellate Filing Fee .......................................................................................... 140
Rule 9.305 Waiver of Fees ................................................................................................. 140
Rule 9.306 Bond ............................................................................................................... 140
Rule 9.307 Record of Appeal .............................................................................................. 140
Rule 9.308 Briefing............................................................................................................141

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(Current through 3/20/09 amendments)

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Rule 9.309 Oral Argument ................................................................................................. 141
Rule 9.310 Stay Pending Appeal ......................................................................................... 141
Rule 9.311 Motions before the Tribal Appellate Court ........................................................... 141
Subchapter 9.400 Decisions of the Tribal Appellate Court
Rule 9.401 Standard of Review .......................................................................................... 141
Rule 9.402 Issues Preserved on Appeal............................................................................... 142
Rule 9.403 Content of Order or Judgment Appealed............................................................. 142
Rule 9.404 Decisions of the Tribal Appellate Court ............................................................... 142
Rule 9.405 Request for Reconsideration of Decision ............................................................. 143
Rule 9.406 Remand........................................................................................................... 143
Subchapter 9.500 Court Administration
Rule 9.501 Authority to Waive Requirements....................................................................... 143
Rule 9.502 Standards for Computing Time Requirements ..................................................... 143
Rule 9.503 Requirements for Service .................................................................................. 143
Rule 9.504 Practice Before the Tribal Court ......................................................................... 143
Rule 9.505 Rules of Court .................................................................................................. 143
CHAPTER 10
RULES OF ENFORCEMENT AND RECOGNITION OF FOREIGN JUDGMENTS
Subchapter 10.000 Purpose and Definitions
Rule 10.001 Purpose ......................................................................................................... 144
Rule 10.002 Definitions......................................................................................................144
Subchapter 10.100 Enforcement and Recognition
Rule 10.101 Michigan State Court Judgments ...................................................................... 144
Rule 10.102 Tribal Court Judgments ................................................................................... 145
Rule 10.103 Federal Court and Other State Court Judgments................................................ 145
Rule 10.104 Court Records and Judgments of a Foreign Country........................................... 146
Subchapter 10.200 Recognition and/or Enforcement of Foreign Judgments
Rule 10.201 Application of Enforcement and Recognition to Final and Conclusive Judgments... 146
Rule 10.202 Registration of Foreign Judgment.....................................................................147
Rule 10.203 Notice of Registration of Foreign Judgment ....................................................... 147
Rule 10.204 Objections; Hearing; Entry of Order Where Objections....................................... 148
Rule 10.205 Entry of Order Where No Objections................................................................. 148
Rule 10.206 Not Enforceable or Non-Recognizable Foreign Judgment .................................... 148
Rule 10.207 Appeal; Stay of Execution; Stay of Proceeding................................................... 148
Rule 10.208 Post Judgment Proceedings Regarding Foreign Judgment;
No Waiver of Immunity.......................................................................................... 148
Subchapter 10.300 Construction of Rules
Rule 10.301 Construction of Rules ...................................................................................... 148

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(Current through 3/20/09 amendments)

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CHAPTER 1
RULES OF ETHICS FOR TRIBAL COURT JUDGES
Subchapter 1.000 Purpose and Definitions
Rule 1.001 Purpose. The purpose of this chapter is to provide for and guide the professional conduct
of judges and court clerks, magistrates and administrators of this Court, as well as, lawyers and lay
advocates who practice before this Court.
Rule 1.002 Definitions. When used in this chapter, unless the context otherwise indicates:
(A) “Court” means the Grand Traverse Band of Ottawa and Chippewa Indians Tribal Court.
(B) “Court Personnel” include any employee or volunteer involved in Court records or proceedings.
Subchapter 1.100 Judicial Conduct
Rule 1.101 Applicability of these Rules of Judicial Conduct. These rules apply to anyone, whether
or not a lawyer, who is an officer of a tribal judicial system and is performing judicial functions. Also,
these Rules apply to both trial and appellate tribal judges, who serve the Court on a full-time, part-time,
or pro tempore basis.
Rule 1.102 Integrity and Independence of Tribal Judiciary. A Tribal Court judge should uphold
the integrity and independence of the Tribal Judiciary in that an independent and honorable Tribal
judiciary is indispensable to justice in the Tribal community. A judge should participate in establishing,
maintaining, and enforcing, and should him/herself observe high standards of conduct so that the
integrity and independence of the judiciary may be preserved. A judge should always be aware that the
judicial system is for the benefit of the litigant(s) and the public, not the Judiciary. The provisions of the
Rules 2.101 through 2.110, inclusive, should be construed and applied to further these objectives.
Rule 1.103 Impropriety and the Appearance of Impropriety. A Tribal Court judge should avoid all
impropriety and the appearance of impropriety in all his/her activities.
(A) Respect and Comply. A Tribal judge should respect and comply with the law of the Tribe and at all
times should act in the manner that promotes confidence in the integrity and impartiality of the Tribal
Judiciary.
(B) No Influence. A Tribal judge should not allow family, social, or other relationships to influence his/her
judicial conduct. A judge should not attempt to use prestige of his/her office to advance the private
interests of him/herself or others, nor should a judge convey the impression that anyone has special
influence on him/herself
(C) Witness. A judge should not appear as a witness in a court proceeding unless subpoenaed.
Rule 1.104 Performance of Duties Impartially and Diligently. A Tribal Court judge should perform
the duties of the office impartially and diligently. The judicial activities of a Tribal judge should take
precedence over all other activities. The judicial duties of a judge include all the duties of the office as
prescribed by Tribal law. In the performance of these duties, the following standards apply.
(A) Adjudicative Responsibilities.
(1) A Tribal Court judge should adhere to the laws of the Tribe. He/she should not be swayed by
partisan interests, public clamor, political pressure, or fear of criticism. He/she should resist
influences on the Court by other Tribal officials, governmental officials or any others attempting
to improperly influence the Court.
(2) A judge should be patient, dignified, and courteous to litigants, jurors, witnesses, lawyers,
advocates and others with whom he/she deals with in his/her official capacity. He/she should
require similar conduct of other persons in court proceedings and those Court personnel who are
subject to the judge's direction and control.

GRAND TRAVERSE BAND TRIBAL COURT RULES (GTBCR)
(Current through 3/20/2009 amendments)

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(3) A Tribal Court judge should accord to every person who is legally interested in any
proceeding, or his/her lawyer or other representative, full right to be heard according to Tribal
law and except as authorized by law, neither consider nor permit one-sided or other
communication with a litigant, his/her attorney, or lay advocate concerning a pending or
impending proceeding unless all parties to the proceeding are present.
(4) A Tribal Court judge should maintain order in the court. He/she should not interfere in the
right of the parties.
(5) A Tribal Court judge should dispose promptly of the business of the Court.
(6) A Tribal Court judge should not comment publicly on any proceeding pending in court and
should also prohibit other Court personnel from making such public comment. However, this
subsection does not prohibit a judge from making public statements in the course of his/her
official duties or from explaining for public information the procedures of the Court.
(B) Administrative Responsibilities.
(1) A judge should diligently perform his/her administrative responsibilities with a high degree of
integrity and diligence.
(2) A judge should require his/her staff and Court officials to observe high standards of integrity
and diligence. As such, a judge should direct his/her staff and Court officials subject to his/her
control to observe high standards of fidelity, diligence, and courtesy to litigants, jurors,
witnesses, lawyers, and others with whom they deal in their official capacity.
(3) A judge should initiate appropriate disciplinary measures against a judge or lawyer for
nonprofessional conduct of which the judge may become aware.
(C) Disqualification
(1) A Tribal Court judge should disqualify him/herself in a proceeding in which his/her impartiality
might reasonably be questioned, including instances where:
(a) the judge has a personal bias or prejudice concerning a party or personal knowledge
of disputed evidentiary facts;
(b) the judge served as a lawyer, advocate, or personal representative in the matter
before the Court, or a person with whom the judge has been associated in a professional
capacity served as a lawyer, advocate, or personal representative concerning the matter;
(c) the judge knows that he/she individually (or a member of the judge's family residing
in his/her household) has a financial interest in the subject matter of the controversy or
is a party to the proceeding, or has any other interest that could be substantially affected
by the proceedings; or
(d) the judge or his/her spouse, or a person in a reasonably close family relationship to
either of them, or the spouse of such a person:
(1) is a party to the proceeding, or an officer, director, or trustee of a party;
(2) is acting as a lawyer or advocate in the proceeding;
(3) is known by the judge to have an interest that could be substantially affected
by the outcome of the proceeding; or
(4) is to the Tribal judge's knowledge likely to be a material witness in the
proceeding.
(D) Alternative to Disqualification. A judge disqualified pursuant to Rule 1.104(C)(1) hereunder may,
instead of withdrawing from the proceeding, disclose on the record the basis of his/her disqualification.
If based on such disclosure, the parties and lawyers or lay advocates, independent of the judge's
participation, all agree in writing that the judge's participation is not prejudicial or that the judge's
financial interest is insubstantial, the judge is no longer disqualified, and may participate in the
proceeding.

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(Current through 3/20/2009 amendments)

Page 2

Rule 1.105 Improvement of the Legal System and the Administration of Justice. A Tribal
Court judge may engage in activities to improve the law, the legal system and the administration of
justice. In fact, to the extent that his/her time permits, he/she is encouraged to do so, either
independently or through a legal/judicial association, judicial conference, or other organization dedicated
to the improvement of the law. Therefore, a judge subject to the proper performance of his/her judicial
duties may engage in the following activities:
(A) a judge may speak, write, lecture, teach, and participate in other activities concerning Tribal law and
custom, the legal system of the Tribe, the administration of justice, and the law in general;
(B) the judge may appear at a public hearing before a Tribal executive or legislative body or on official
matters concerning the Tribal legal system and the administration of justice of general concern to Tribal
members, or of personal concern. When speaking to the public, press, or others on matters other than
the administration of Tribal justice, the judge shall identify him/herself as the Tribal judge and shall make
it clear that he/she is not speaking in his/her capacity as a Tribal judge; and
(C) the judge may serve as a member, officer, or director of an organization or Tribal governmental
agency devoted to the improvement of Tribal law, its legal system, or an organization of justice. The
judge may assist such an organization in raising funds and may participate in the management and
investments of such funds. He/she may make recommendations to public and private fund-granting
agencies on projects and programs concerning Tribal law, its legal system, and the administration of
justice.
Rule 1.106 Extra-Judicial Activities.
(A) Avocational Activities. A Tribal judge may write, lecture, teach, speak, and consult on non-legal
subjects, appear before public non-legal bodies, and engage in the arts, sports, and other social and
recreational activities, if such avocational activities do not detract from the dignity of his/her office or
interfere with the performance of his/her judicial duties.
(B) Civic and Charitable Activities. A Tribal judge may participate in civic and charitable activities that do
not reflect adversely upon his/her impartiality or interfere with the performance of his/her judicial duties.
A judge may serve as an officer, director, trustee, or non-legal advisor of a bona fide educational,
religious, charitable, fraternal, or civic organization, whether Tribal or otherwise, provided that a Tribal
judge does not participate if it is likely that the organization will be involved in proceedings which would
ordinarily come before him/her or would be involved in adversarial proceedings in any Tribal court.
(C) Financial Activities.
(1) A Tribal judge should avoid financial and business dealings that tend to reflect adversely on
his/her judicial duties, exploit his/her judicial position, or involve him/her in frequent business
transactions with lawyers or others likely to come before the Court on which he/she serves.
(2) Because it is recognized that the position of Tribal judge may be a part-time position, such a
Tribal judge may accept other employment and participate in the operation of a business, legal or
otherwise in nature, subject to the following:
(a) a part-time Tribal judge should not practice law either as a lawyer or an advocate:
(1) in a Tribal Court in which he/she serves; or
(2) in any court subject to the appellate jurisdiction of the Tribal Court or council
on which he/she serves; and
(b) a part-time Tribal judge should not act as a lawyer or advocate in any proceeding in
which he/she has served or in any related proceeding.
(3) Neither a judge nor a member of his/her family residing in the household should accept a gift,
bequest, favor, or loan from anyone if the same would affect or appear to affect his/her
impartiality.
(D) Extra-Judicial Appointments. A Tribal judge should not accept appointment to a governmental
committee, commission or other position that is concerned with issues of fact or policy on matters other
than the improvement of the law, the legal system, or the administration of justice. A Tribal judge may
represent the Tribe on ceremonial occasion or in connection with historical, educational, and cultural
activities.

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Rule 1.107 Political Activities.
(A) Political Activity. A Tribal Court judge should refrain from political activity inappropriate to his/her
judicial office. However, a judge or candidate for judicial office may attend political gatherings, speak to
such gatherings on his/her own behalf or on behalf of other judicial candidates, and/or contribute to a
political party.
(B) Tribal Council. A Tribal judge shall not be a candidate for or serve on the Tribal Council, nor shall a
Tribal judge be actively involved in the campaign of another for Tribal Council.
(C) Political Support. A Tribal Court judge should refrain from all political activities or actions which could
be interpreted in the Tribal community as supporting any political position except that the community has
the right and the responsibility to govern its own members and its own territory. All actions should be
consistent with this belief and supportive of this community standard. This prohibition does not mean a
judge cannot, if he/she chooses, engage in activities of electoral politics at the local, state, or national
level. This prohibition is specific as to politics adversely affecting the jurisdictional rights of the Tribal
community.
(D) Conduct of a Candidate. A candidate, including an incumbent judge, for a Tribal Judicial office that
is filled by Tribal election or appointment:
(1) should maintain the dignity appropriate to the judicial office and should refrain from any
political activity which might interfere with the performance of his/her judicial duties.
Furthermore, a Tribal Court judge should encourage members of his/her family to adhere to the
same standards of political conduct that apply to him/her; and/or
(2) should not make pledges or promises of conduct in judicial office other than the faithful and
impartial performance of the duties of the office, nor announce his/her views on disputed legal or
political issues.
(E) Continuing Educational Activities. A judge, regardless of his/her education and experiences prior to
being appointed or elected a judge, should seek further legal and pertinent non-legal education designed
to improve their performance as a judge.
Subchapter 1.200 Enforcement Of Ethical Rules
Rule 1.201 Definitions. When used in this chapter, unless context otherwise indicates:
(A) “Commission” means the Judicial Commission.
(B) “Complainant” means the person who files the request for investigation.
(C) “Investigation” means fact-finding on alleged misconduct under the Judicial Commission
Chairperson’s direction.
(D) “Judicial Commission” means the Chief Justice and those persons appointed by the Chief Justice.
(E) “Judicial Commission Chairperson” means the person so appointed by the GTB Tribal Court.
(F) “Respondent” means an attorney, lay advocate, judge, or other Court personnel named in the request
for investigation or complaint.
(G) “Request for Investigation” means the first step in bringing alleged misconduct to the Judicial
Commission’ s attention.
(H) “Tribal Council” means the Grand Traverse Band of Ottawa and Chippewa Indians Tribal Council.
Rule 1.202 Enforcement Responsibility/Procedure/Relationship to Tribal Personnel Policies.
(A) Enforcement Responsibility. The Judicial Commission shall have the responsibility for enforcing the
provisions of this chapter, including the Rules of Judicial Conduct, the Rules of Court Personnel, and the
Rules of Ethics for Lawyer and Lay Advocates as set forth in this chapter. Complaints shall not be
received by or acted on by the Tribal Council.
(B) Time Requirement for Rules. Within ninety (90) days of their appointment, the Judicial Commission
must develop and publish written rules and policies as to how it will operate and function.

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(C) Respondent. Where a respondent is an employee of the Tribe, any hearing procedures will apply
rather than any hearing procedures set forth within Rule 1.400. Similarly, these Rules are supplemental
to Tribal Personnel Policies or relevant Tribal Constitutional provisions shall control where there is any
inconsistency between these Rules of Ethics and the Tribal Personnel Policies or relevant Tribal
Constitutional Provisions.
Rule 1.203 Investigation.
(A) Receiving of a Complaint. Whenever the Judicial Commission shall receive from a complainant
information in writing indicating a provision has been violated, the Commission shall conduct an
investigation of the circumstances of the alleged violation. Such a request for investigation by a
complainant of alleged misconduct, including the approximate time and place of it, is to be signed and
dated by the complainant, and to be filed with the Judicial Commission.
(B) Conducting an Investigation. Upon the filing of a request for investigation, a member of the Judicial
Commission shall be appointed by said Commission to conduct and oversee the investigation and such
person shall be known as the Judicial Commission Chairperson.
(C) Notification. During the course of the investigation, the Judicial Commission Chairperson may notify
the respondent of the subject being investigated.
(D) Misconduct by Respondent. The Judicial Chairperson may compel the respondent to answer
questions, furnish documents and present any information deemed relevant to the investigation. Failure
to do so on the part of the respondent is misconduct and grounds for discipline.
Rule 1.204 Review and Action Committee.
(A) Reporting Results. The Judicial Commission Chairperson shall report the results of each investigation
to the Judicial Commission and make a recommendation for disposition of the matter.
(B) Review. The Judicial Commission shall review the recommendation and determine whether to
dismiss the matter or initiate a disciplinary action.
(C) Dismissal of Complaint. If a complaint is dismissed, the complainant shall be notified.
Rule 1.205 Disciplinary Action; Procedure.
(A) If the Judicial Commission determines to proceed with a disciplinary action, said Commission shall
prepare a written notice of the allegation and serve the notice upon respondent.
(B) The respondent shall be given fifteen (15) days within which to answer the charges in writing and
request a hearing.
(C) The hearing shall be held by the Commission within twenty (20) days of receipt of respondent’ s
request.
(D) The hearing shall be conducted by the Judicial Commission under rules applicable to a trial of a civil
action in Tribal Court. The hearing shall be recorded and shall be open to the public.
(E) The Commission shall, at the conclusion of the hearing, determine based on the evidence presented
whether a provision has been violated by respondent.
Rule 1.206 Disciplinary Action; Disposition. If the Judicial Commission finds that a provision has
been violated, it shall make one of the following dispositions, taking into account the severity of the
offense and other factors the Judicial Commission deems relevant:
(A) issue a reprimand;
(B) suspend the respondent from his/her office or duties for a period of time;
(C) revoke respondent’s license to practice or terminate respondent from his/her office;
(D) place respondent on probation for a specific period of time;
(E) require respondent to make restitution in an appropriate amount (where applicable); or
(F) admonish respondent, only by consent of said respondent.
Further, the Commission shall have the discretion to impose other disposition not referenced above
where the respondent is incompetent or incapacitated.
Rule 1.207 Appeal. [Deleted effective 3/20/2009.]

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Rule 1.208 Confidentiality.
(A) Investigation. All papers, files, and communications in an investigation and proceedings before the
Judicial Commission prior to the decision to proceed with a disciplinary action are confidential.
(B) After Service of a Notice. After service of a written notice on respondent under subrule 1.205(A), the
proceedings and all papers filed are public.

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CHAPTER 2
RULES OF ETHICS FOR ATTORNEYS AND LAY ADVOCATES
Subchapter 2.000 Attorney and Lay Advocate Conduct
Rule 2.001 Applicability of Rules. These Rules apply to all persons, whether licensed attorneys or lay
advocates, who are admitted to practice before the Tribal Court. It is recognized that attorneys who are
admitted to practice before the Court are also members of the State Bar of Michigan or some other state
and are subject to discipline under the appropriate state ethical rules. These Rules are not intended to
preempt or supersede and state authority to discipline attorneys for any conduct prohibited by these
Rules.
Rule 2.002 Purpose of Rules. These Rules are adopted both as an inspirational guide to the persons
practicing before the Tribal Court and as a basis for disciplinary action when the conduct of a person falls
below the required minimum standards stated in the Rules set forth in this chapter.
Rule 2.003 Definitions. When used in this chapter, unless the context otherwise indicates:
(A) “Belief” or “believes” denotes that the person involved actually supposed the fact in question to be
true. A person's belief may be inferred from circumstances, traditions and customs.
(B) “Consult” or consultation denotes communication of information reasonably sufficient to permit the
client to appreciate the significance of the matter in question.
(C) “Firm” or “law firm” denotes a lawyer(s) in a private firm, lawyers employed in the legal department
of a corporation or other organization, and lawyers employed in a legal services organization.
(D) “Fraud” or “Fraudulent” denotes conduct having a purpose to deceive and not merely negligent
misrepresentation or failure to apprise another of relevant information.
(E) “Knowingly,” “known,” or “knows” denotes actual knowledge of the fact in question; a person's
knowledge of the fact in question; a person's knowledge may be inferred from circumstances.
(F) “Lawyer” includes a lay advocate admitted to practice before Tribal Court.
(G) “Partner” denotes a member of a partnership and a shareholder in a law firm organized as a
professional corporation.
(H) “Person” includes a corporation, association, a trust, a partnership, or any other organization or legal
entity.
(I) “Reasonable” or “reasonably believes,” when used in reference to a lawyer, denotes that the lawyer
believes the matter in question and that the circumstances are such that the belief is reasonable.
(J) “Reasonably should know,” when used in reference to a lawyer, denotes that a lawyer of reasonable
prudence and competence would ascertain the matter in question.
(K) “Substantial,” when used in reference to degree or extent, denotes a material matter of clear and
weighty importance.
(L) “Tribal Court,” means the Grand Traverse Band of Ottawa and Chippewa Indians Tribal Court.
Rule 2.004 Client-Lawyer Relationship.
(A) Competence. A lawyer shall provide competent representation to a client. A lawyer shall not:
(1) handle a legal matter which the lawyer knows or should know that the lawyer is not
competent to handle, without associating with a lawyer who is competent to handle it;
(2) handle a legal matter without preparation adequate in the circumstances; or
(3) neglect a legal matter entrusted to the lawyer.
(B) Scope of Representation.

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(1) A lawyer shall seek the lawful objectives of a client through reasonably available means
permitted by law and these Rules. A lawyer does not violate this Rule by acceding to reasonable
requests of opposing counsel which do not prejudice the rights of the client, by being punctual in
fulfilling all professional commitments, by avoiding offensive tactics, or by treating with courtesy
and consideration all persons involved in the legal process. A lawyer shall abide by a client's
decision whether to accept an offer of settlement or mediation evaluation of a matter. In a
criminal case, the lawyer shall abide by the client's decision, after consultation with the lawyer, as
to a plea to be entered, whether to waive a jury trial, and whether the client will testify .In
representing a client, a lawyer may where permissible, exercise professional judgment to waive
or fail to assert a right position of the client.
(2) A lawyer may limit the objectives of the representation if the client consents after
consultation.
(3) A lawyer shall not counsel a client to engage, or assist a client, in conduct that the lawyer
knows is illegal or fraudulent, but a lawyer may discuss the legal consequences of any proposed
course of conduct with a client and may counselor assist a client to make a good-faith effort to
determine the validity, scope, meaning, or application of the law.
(4) When a lawyer knows that a client expects assistance not permitted by these Rules or other
law, the lawyer shall consult with the client regarding the relevant limitations on the lawyer's
conduct.
(C) Diligence. A lawyer shall act with reasonable diligence and promptness in representing a client.
(D) Communication.
(1) A lawyer shall keep a client reasonably informed about the status of a matter and comply
promptly with reasonable requests for information. A lawyer shall notify the client promptly of all
settlement offers, mediation evaluations, and proposed plea bargains.
(2) A lawyer shall explain a matter to the extent reasonably necessary to permit the client to
make informed decisions regarding the representation.
(E) Fees.
(1) A lawyer shall not enter into an agreement for charge, or collect an illegal or clearly excessive
fee. A fee is clearly excessive when, after a review of the facts, a lawyer of ordinary prudence
would be left with a definite and firm conviction that the fee is in excess of a reasonable fee. The
factors to be considered in determining the reasonableness of a fee include the following:
(a) the time and labor required, the novelty and difficulty of the questions involved, and
the skill requisites to perform the legal service properly;
(b) the likelihood, if apparent to the client, that the acceptance of the particular
employment will preclude other employment by the lawyer;
(c) the fee customarily charged in the locality for similar legal services;
(d) the amount involved and the results obtained;
(e) the time limitations imposed by the client or by the circumstances;
(f) the nature and length of the professional relationship with the client;
(g) the experience, reputation, and ability of the lawyer(s) performing the services; and
whether the fee is fixed or contingent.
(2) When the lawyer has not regularly represents the client, the basis or rate of the fee shall be
communicated to the client, preferably in writing, before or within a reasonable time after
commencing the representation.
(3) A fee may be contingent on the outcome of the matter for which the service is rendered,
except in a matter in which a contingent fee is prohibited by subrule 2.004(B)(4) below or by
other law. A contingent-fee agreement shall be in writing and shall state the method by which
the fee is to be determined. Upon conclusion of a contingent-fee matter, the lawyer shall provide
the client with a written statement of the outcome of the matter and, if there is a recovery, show
remittance to the client and the method of its determination.
(4) A lawyer shall not enter into an arrangement for, charge, or collect a contingent fee in a
domestic relations matter or in a criminal matter.
(5) A division of a fee between lawyers who are not in the same firm may be made only if:

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(a) the client is advised of and does not object to the participation of all lawyers
involved; and
(b) the total fee is reasonable.
(F) Confidentiality of Information.
(1) “Confidence” refers to information protected by the client-lawyer privilege under applicable
law, and “secret” refers to other information gained in the professional relationship that the client
has requested be held inviolate or the disclosure of which would be embarrassing or would be
likely to be detrimental to the client.
(2) Except when permitted under subrule 2.004(F)(3) below, a lawyer shall not knowingly:
(a) reveal a confidence or secret of a client;
(b) use a confidence or secret of a client to the disadvantage of the client; or
(c) use a confidence or secret of a client to the disadvantage of the lawyer or a third
person, unless the client consents after full disclosure.
(3) A lawyer may reveal:
(a) confidence or secrets with the consent of the client(s) affected, but only after full
disclosure to them;
(b) confidences or secrets when permitted or required by these Rules, or when required
by law or by court order;
(c) confidences and secrets to the extent reasonably necessary to rectify the
consequences of a client's illegal or fraudulent act in the furtherance of which the
lawyer's services have been use;
(d) the intention of a client to commit a crime and the information necessary to prevent
the crime; and
(e) confidences or secrets necessary to establish or collect a fee, or to defend the
lawyer(s) employees or associates against an accusation of wrongful conduct.
(4) A lawyer shall exercise reasonable care to prevent employees, associates, and others whose
services are utilized by the lawyer from disclosing or using confidences or secrets of a client,
except that a lawyer may reveal the information allowed by subrule 2.004(F)(3) through an
employee.
(G) Conflict of Interest; General Rule.
(1) A lawyer shall not represent a client if the representation of that client will be directly adverse
to another client, unless:
(a) the lawyer reasonably believes the representation will not adversely affect the
relationship with the other client; and
(b) each client consents after consultation.
(2) A lawyer shall not represent a client if the representation of that client may be materially
limited by the lawyer's responsibilities to another client or to a third person, or by the lawyer's
own interest unless:
(a) the lawyer reasonably believes the representation will not be adversely affected; and
(b) the client consents after consultation. When representation of multiple clients in a
single matter is undertaken, the consultation shall include explanation of the implications
of the common representation and the advantages and risks involved.
(H) Conflict of Interest; Prohibited Transactions.
(1) A lawyer shall not enter into a business transaction with a client or knowingly acquire an
ownership, possessory, security, or other pecuniary interest adverse to a client unless:
(a) the transaction and terms on which the lawyer acquires the interest are fair and
reasonable to the client and are fully disclosed and transmitted in writing to the client in
a manner that can be reasonably understood by the client;
(b) the client is given reasonable opportunity to seek the advice of independent counsel
in the transaction; and
(c) the client consents in writing thereto.

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(2) A lawyer shall not use information relating to representation of a client to the disadvantage
of the client unless the client consents after consultation except as permitted or required by
subrule 2.004(F) or 2.006(C).
(3) A lawyer shall not prepare an instrument giving the lawyer or a person related to the lawyer
as parent, child, sibling, or spouse any substantial gift from a client, including a testamentary gift,
except where the client is related to the donee.
(4) Prior to the conclusion of representation of a client, a lawyer shall not make or negotiate an
agreement giving the lawyer literary or media rights to a portrayal or account based in
substantial part on information relating to the representation.
(5) A lawyer shall not provide financial assistance to a client in connection with pending or
contemplated litigation, except that:
(a) a lawyer may advance court costs and expenses of litigation, the repayment of which
shall ultimately be the responsibility of the client; and
(b) a lawyer representing an indigent client may pay court costs and expenses of
litigation on behalf of the client.
(6) A lawyer shall not accept compensation for representing a client from one other than the
client unless:
(a) the client consents after consultation;
(b) there is no interference with the lawyer's independence of professional judgment or
with the client-lawyer relationship; and
(c) information relating to representation of a client is protected as required by subrule
2.004(F).
(7) A lawyer who represents two or more clients shall not participate in making an aggregate
settlement of the claims of or against the clients, or in a criminal case, an aggregated agreement
as to guilty or no contest pleas, unless each client consents after consultation, including
disclosure of the existence and nature of all claims or pleas involved and of the participation of
each person in the settlement.
(8) A lawyer shall not:
(a) make an agreement prospectively limiting the lawyer's liability to a client for
malpractice unless permitted by law and the client is independently represented in
making the agreement; or
(b) settle a claim for such liability with an unrepresented client or former client without
first advising that person in writing that independent representation is appropriate in
connection therewith.
(9) A lawyer related to another lawyer as parent, child, sibling, or spouse shall not represent a
client in a representation directly adverse to a person whom the lawyer knows is represented by
the other lawyer except upon consent by the other consultation regarding the relationship.
(10) A lawyer shall not acquire a propriety interest in the cause action or subject matter of
litigation the lawyer is conducting for a client, except that the lawyer may:
(a) acquire a lien granted by law to secure the lawyer's fee or expenses; and
(b) contract with a client for a reasonable contingent fee in a civil case, as permitted by
subrule 2.004(E).
(I) Conflict of Interest; Former Client.
(1) A lawyer who has formerly represented a client in a matter shall not thereafter represent
another person in the same or a substantially related matter in which that person's interests are
materially adverse to the interests of the former client unless the former client consents after
consultation.
(2) Unless the former client consents after consultation, a lawyer shall not knowingly represent a
person in the same or a substantially related matter in which a firm with which the lawyer
formerly was associated has previously represented a client:
(a) whose interests are materially adverse to that person; and
(b) about whom the lawyer has acquired information protected by subrules 2.004(F)(1)(3).

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(3) A lawyer who has formerly represented a client in a matter or whose present or former firm
has formerly represented a client in a matter shall not thereafter:
(a) use information relating to the representation to the disadvantage of the former
client except as subrules 2.004(F) or 2.006(C) would permit or require with respect to a
client, or when the information has become generally known; or
(b) reveal information relating to the representation except as subrules 2.004(F) or
2.006(C) would permit or require with respect to a client.
(J) Imputed Disqualification; General Rule.
(1) While lawyers are associated in a firm, none of them shall knowingly represent a client when
anyone of them practicing alone would be prohibited from doing so by subrules 2.004(G), (H)(3),
(I)(1) and (I)(3) or 2.005(B).
(2) When a lawyer becomes associated with a firm, the firm may not knowingly represent a
person in the same or substantially related matter in which that lawyer, or firm with which the
lawyer was associated, is disqualified under subrule 2.004(I)(2), unless:
(a) the disqualified lawyer is screening from any participation in the matter and is
apportioned no part of the fee therefrom; and
(b) written notice is promptly given to the appropriate tribunal to enable it to ascertain
compliance with the provisions of this Rule.
(3) When a lawyer has terminated an association with a firm, the firm is not prohibited from
thereafter representing a person with interests materially adverse to those of a client represents
by the formerly associated lawyer, and not currently represented by the firm, unless:
(a) the matter is the same or substantially related to that in which the formerly
associated lawyer represented the client; and
(b) any lawyer remaining in the firm has information protected by subrules 2.004(F) and
(I)(3) that is material to the matter.
(4) A disqualification prescribed by this Rule may be waived by the affected client under the
conditions stated in subrule 2.004(G).
(K) Client Under a Disability.
(1) When a client's ability to make adequately considered decisions in connection with the
representation is impaired, whether because of minority or mental disability or for some other
reason, the lawyer shall, as far as reasonably possible, maintain a normal client-lawyer
relationship with the client.
(2) A lawyer may seek the appointment of a guardian or take other protective action with
respect to client only when the lawyer reasonably believes that the client cannot adequately act
in the client's own interest.
(L) Safekeeping Property.
(1) A lawyer shall hold property of clients or third persons that is in a lawyer's possession in
connection with a representation separate from the lawyer's own property. All funds of the client
paid to a lawyer or law firm, other than advances for costs and expenses, shall be deposited in
an interest bearing account in one or more identifiable banks, savings and loan associations, or
credit unions maintained in the state in which the law office is situated, and no funds belonging
to the lawyer or the law firm shall be deposited therein except as provided in this Rule. Other
property shall be identified as such and appropriately safeguarded. Complete records of such
account funds and other property shall be kept by the lawyer and shall be preserved for a period
of five years after termination of the representation.
(2) Upon receiving funds or other property in which a client or third person has an interest, a
lawyer shall promptly notify the client or third person. Except as stated in this Rule or otherwise
permitted by law or by agreement with the client, a lawyer shall promptly deliver to the client or
third person any funds or other property that the client or third person is entitled to receive and,
upon request by the client or third person, shall promptly render a full accounting regarding such
property.

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(3) When in the course of representation, a lawyer is in possession of property in which both the
lawyer and another person claim interest, the property shall be kept separate by the lawyer until
there is an accounting and severance of their interest. If a dispute arises concerning their
respective interests, the portion in dispute shall be kept separate by the lawyer until the dispute
is resolved.
(M) Declining or Terminating Representation.
(1) Except as stated in subrule 3.004(M)(3) below, a lawyer shall not represent a client or, where
representation has commenced, shall withdraw from the representation of a client if:
(a) the representation will result in violation of these Rules of Ethics or other law;
(b) the lawyer's physical or mental condition materially impairs the lawyer's ability to
represent the client; or
(c) the lawyer is discharged.
(2) Except as stated in subrule 3.004(M)(3) below, a lawyer may withdraw from representing a
client if withdrawal can be accomplished without material adverse effect on the interests of the
client, or if:
(a) the client persists in a course of action involving the lawyer's services that the lawyer
reasonably believes is criminal or fraudulent;
(b) the client has used the lawyer's services to perpetrate a crime or fraud;
(c) the client insists upon pursing an objective that the lawyer considers repugnant or
imprudent;
(d) the client fails substantially to fulfill an obligation to the lawyer regarding the lawyer's
services and has been given reasonable warning that the lawyer will withdraw unless the
obligation is fulfilled;
(e) the representation will result in an unreasonable financial burden on the lawyer or
has been rendered unreasonably difficult by the client; or
(f) other good cause for withdrawal exists.
(3) When ordered to do so by a tribunal, a lawyer shall continue representation notwithstanding
good cause for terminating the representation.
(4) Upon termination of representation, a lawyer should take reasonable steps to protect a
client's interests, such as giving reasonable notice to the client, allowing time for employment of
other counsel, surrendering papers and property to which the client is entitled, and refunding any
advance payment of fee that has not been earned. The lawyer may retain papers relating to the
client to the extent permitted by law.
Rule 2.005 Counselor. The following provisions shall apply when a lawyer serves in the role of
counselor.
(A) Advisor. In representing a client, a lawyer shall exercise independent professional judgment
and shall render candid advice. In rendering advice, a lawyer may refer not only to law but to
other consideration such as morel, economic, social, and political factors that may be relevant to
the client's situation.
(B) Intermediary.
(1) A lawyer may act as intermediary between clients if:
(a) the lawyer consults with each client concerning the implication of the
common representation, including the advantages and risks involved and the
effect on the client- lawyer privileges, and obtains each client's consent to the
common representation;
(b) the lawyer reasonably believes that the matter can be resolved on terms
compatible with the client's best interests, that each client will be able to make
adequately informed decisions in the matter, and that there is little risk of
material prejudice to the interests of any of the clients if the contemplated
resolution in unsuccessful; and

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(c) the lawyer reasonably believes that the common representation can be
undertaken impartially and without improper effect on other responsibilities the
lawyer has to any of the clients.
(2) While acting as intermediary, the lawyer shall consult with each client concerning the
decisions to be made and the considerations relevant in making them, so that each client
can make adequately informed decisions.
(3) A lawyer shall withdraw as intermediary if any of the clients so requests, or if any of
the conditions stated in subrule 3.005(B)(2) above is no longer satisfied. Upon
withdrawal, the lawyer shall not continue to represent any of the clients in the matter
that was subject of the intermediation.
(C) Evaluation for Use by Third Persons.
(1) A lawyer may, for the use of someone other than the client, undertake an evaluation
of a matter affecting a client if:
(a) the lawyer reasonably believes that making the evaluation is compatible with
other aspects of the lawyer's relationship \with the client; and
(b) the client consents after consultation.
(2) Except as disclosure is required in connection with a report of an evaluation,
information relating to the evaluation is protected be subrule 3.004(F).
Rule 2.006 Advocate. The following provisions shall apply when a lawyer serves in the role of
advocate.
(A) Meritorious Claims and Contentions. A lawyer shall not bring or defend a proceeding, or assert or
controvert an issue therein, unless there is a basis for doing so that is not frivolous. A lawyer may offer a
good-faith argument for an extension, modification, or reversal of existing law. A lawyer for the
defendant in a criminal proceeding, or the respondent in a proceeding that could result in incarceration,
may so defend the proceeding as to require that every element of the case be established.
(B) Expediting Litigation. A lawyer shall make reasonable efforts to expedite litigation consistent with the
interests of the client.
(C) Candor Toward the Tribunal.
(1) A lawyer shall not knowingly:
(a) make a false statement of material fact or law to the Tribunal;
(b) fail to disclose a material fact to the Tribunal when disclosure is necessary to avoid
assisting a criminal or fraudulent act by the client;
(c) fail to disclose to the Tribunal controlling legal authority in the jurisdiction known to
the lawyer to be directly adverse to the position of the client and not disclosed by
opposing counsel; or
(d) offer evidence that the lawyer knows to be false. If a lawyer has offered material
evidence and comes to know of its falsity, the lawyer shall take reasonable remedial
measures.
(2) The duties stated in subrule 2.006(C)(1) above continue to the conclusion of the proceeding,
and apply even if compliance requires disclosure of information otherwise protected by subrule
2.004(F).
(3) A lawyer may refuse to offer evidence that the lawyer reasonably believes is false.
(4) In an ex parte proceeding, a lawyer shall inform the Tribunal of all material facts that are
known to the lawyer and that will enable the Tribunal to make an informed decision, whether or
not the facts are adverse.
(D) Fairness to Opposing Party and Counsel. A lawyer shall not:
(1) unlawfully obstruct another party's access to evidence, unlawfully alter, destroy, or conceal a
document or other material having potential evidentiary value, or counselor assist another person
to do any such act;
(2) falsify evidence, counselor assist a witness to testify falsely, or offer an inducement to a
witness that is prohibited by law;

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(3) knowingly disobey an obligation under the rules of Tribunal except for an open refusal based
on an assertion that no valid obligation exists;
(4) in pretrial procedure, make a frivolous discovery request or fail to make reasonably diligent
efforts to comply with a legally proper discovery request by an opposing party;
(5) during trial, allude to any matter that the lawyer does not reasonably believe is relevant or
that will not be supported by admissible evidence, assert personal knowledge of facts in issue
except when testifying as a witness, the culpability of a civil litigant, or the guilt or innocence of
an accused; or
(6) request a person other than a client to refrain from voluntarily giving relevant information to
another party, unless:
(a) the person is a relative or an employee or other agent of a client; and
(b) the lawyer reasonably believes that the person's interest will not be adversely
affected by refraining from giving such information.
(E) Impartiality and Decorum of the Tribunal. A lawyer shall not:
(1) seek to influence a judge, juror, prospective juror, or other official by means prohibited by
law; or
(2) communicate ex parte with such a person concerning a pending matter, except as permitted
by law.
(3) engage in undignified or discourteous conduct toward the Tribunal.
(F) Trial Publicity. A lawyer shall not make an extrajudicial statement that a reasonable person would
expect to be disseminated by means of public communication if the lawyer knows or reasonably should
know that it will have substantial likelihood of materially prejudicing an adjudicative proceeding.
(G) Lawyer as Witness.
(1) A lawyer shall not act as advocate at a trial in which the lawyer is likely to be a necessary
witness except where:
(a) the testimony relates to an uncontested issue;
(b) the testimony related to the nature and value of legal services rendered in the case;
or
(2) A lawyer may act as advocate in a trial in which another lawyer in the lawyer's firm is likely to
be called as a witness unless precluded from doing so by subrules 2.004(G) and (I).
Rule 2.007 Special Responsibilities of a Prosecutor. The prosecutor in a criminal case shall:
(A) refrain from prosecuting a charge that the prosecutor knows is not supported by probable cause;
(B) make reasonable efforts to assure that the accused has been advised of the right to, and the
procedure for obtaining, counsel and has been given reasonable opportunity to obtain counsel;
(C) not seek to obtain from an unrepresented accused a waiver of important pretrial rights, such as the
right to preliminary hearing;
(D) make timely disclosure to the defense of all evidence or information known to the prosecutor that
tends to negate the guilt of the accused or mitigates the degree of the offense, and in connection with
sentencing, disclose to the defense and to the Tribunal all underprivileged mitigating information known
to the prosecutor, except when the prosecutor is relieved of this responsibility by a protective order of
the Tribunal; and
(E) exercise reasonable care to prevent investigators, law enforcement personnel, employees, or other
persons assisting or associated with the prosecutor in a criminal case from making an extrajudicial
statement that the prosecutor would be prohibited from making under subrule 2.007(F) and (I)(1).
(F) The responsibility of a Tribal prosecutor differs from that of the usual advocate, as it is his/her duty
to seek justice, not merely to convict. The special duty exists because:
(1) the prosecutor represents the sovereignty of the Tribe and therefore should use restraint in
the discretionary exercises of governmental powers, such as in the selection of cases to
prosecute;
(2) during trial, the prosecutor is not only an advocate but he/she may also make decisions
normally, and by an individual client and those affecting the public interest should be fair to all;
and

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(3) in the tribunal system of criminal justice, a person charged is to be given the benefit of all
reasonable doubts.
(G) Consequently, with respect to evidence and witnesses, the prosecutor has responsibilities different
from those of a lawyer in private practice.
Rule 2.008 Other Provisions Regarding a Prosecutor. As a result of the special responsibilities of a
prosecutor, the following provisions also apply to prosecutors:
(A) Tribal Publicity. A Tribal prosecutor participating in or associated with the investigation of a criminal
matter may not make or participate in making any extrajudicial statement that a reasonable person would
expect to be disseminated by means of public communication and that does more than state without
elaboration;
(1) information contained in a public record;
(2) that the investigation is in progress;
(3) the general scope of the investigation including a description of the offense, and if permitted
by law, the identity of the victim;
(4) a request for assistance in apprehending a suspect or assistance in other matters and the
information necessary to the request for assistance; or
(B) Moral Character and Public Behavior.
(1) Tribal prosecutors shall strive to attain and maintain moral character which is consistent with
their Tribal community responsibility.
(2) Tribal prosecutors will have the responsibility in their daily conduct for acting so as to be free
as possible from actions which wrongfully harm others or which are motivated by reasons not in
the community interest. This is not meant to encourage Tribal prosecutors to be judgmental of
the conduct of other members of the community. Rather, it is intended to remind them that their
responsibility is for their behavior, for it is by their behavior in court and in the community, that
Tribal law enforcement will be judged by the community.
(3) Tribal prosecutors shall conduct themselves in public consistent with the belief that the Court
is part of the community. They will respond to all inquires concerning the Court in a friendly
manner to ensure the development of knowledge in the community about the Court.
(C) Restrictions.
(1) No Tribal prosecutor may receive any fee or reward from or on behalf of any victim or other
individual for services in any prosecution or business which it is the Tribal prosecutor's official
duty to attend.
(2) No Tribal prosecutor while in office is eligible for or may hold any judicial office.
(3) No person who acted as Tribal prosecutor at the time of the citation issuance, arrest, or
bringing of charges against any person by the Tribe may thereafter appear for or defend that
person against the charges
(D) Refraining from Criticism. Tribal prosecutors shall refrain from public and private criticism of other
officers of the Court except as set out in these Rules as being their responsibility. Tribal prosecutors shall
not engage in discussions whose sole purpose or main thrust shall be criticism of any officers of the
Court, for example, judges, advocates, attorneys, or law enforcement officers, in public or in private,
except that constructive criticism designed to improve the performance of the individual may be given in
a kind manner. Said constructive criticism should only be delivered in a form conducive to the purpose of
the constructive criticism.
Rule 2.009 Political Activities.
(A) Political Activity. The political activity of the Tribal prosecutors hall be consistent with the support of
the community's jurisdictional rights. Tribal prosecutors will refrain from all political activities or actions
which could be interpreted in the community as supporting any political position except that the
community has the right and the responsibility to govern its own members and its own territory .All
actions should be consistent with this belief and supportive of this community standard.

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(B) Electoral Politics. This prohibition does not mean that Tribal prosecutors cannot, if they choose,
engage in activities of electoral politics at the local, state, national, or Tribal level. This prohibition is
specific as to the politics adversely affecting the jurisdictional rights of the Tribal community.
Rule 2.010 Avocational and Financial Activities.
(A) Avocational. A Tribal prosecutor may write, lecture, teach, and speak on any subject, and engage in
the arts, sports, and other social and recreational activities of the Tribe, if those activities do not interfere
with the performance of his/her duties. A Tribal prosecutor may participate on Tribal committees and in
any Tribal educational, religious, charitable or similar organization.
(B) Financial.
(1) A Tribal prosecutor shall avoid financial and business dealings that tend to reflect adversely
on his/her impartiality, interfere with the performance of his/her prosecutorial duties, exploit the
prosecutor's position, or involve him/her in frequent transactions with lawyers and others likely to
be involved in the opposing side in Tribal court cases. The Tribal prosecutor may, however, hold
other employment or participate in the operation of a business.
(2) Neither the Tribal prosecutor nor any member of his/her family or household shall accept a
gift, bequest, favor, or loan from anyone which would affect or appear to affect his/her
impartiality in prosecutorial duties, or on the prosecutor's appearance of fairness.
Rule 2.011 Disqualification.
(A) Impartiality. A Tribal prosecutor shall disqualify him/herself from acting as prosecutor in any
proceeding in which his/her impartiality might reasonably be questioned, including instances where:
(1) the Tribal prosecutor has a personal bias or prejudice concerning a party or personal
knowledge of disputed evidentiary facts;
(2) the Tribal prosecutor served as a lawyer, advocate, or personal representative in the matter
before the Court, or a person with whom the Tribal prosecutor has been associated in a
professional capacity served as a lawyer, advocate, or personal representative concerning the
matter;
(3) the Tribal prosecutor knows that he/she individually or a member of his/her family or
household, has a financial interest in the subject matter in controversy or is a party to the
proceeding, or has any other interest that could be substantially affected by the proceedings; or
(4) the Tribal prosecutor, or a member of his/her family or household:
(a) is a party to the proceeding, or an officer, director, or trustee of a party;
(b) is acting as a lawyer or advocate in the proceeding; or
(c) is to the Tribal prosecutor's knowledge likely to be a material witness in the
proceeding.
(B) Advocate in Nonadjudicative Proceedings. A lawyer representing a client before a legislative or
administrative tribunal in nonajudicative proceedings shall disclose that the appearance is in a
representative capacity and shall conform to the provisions of subrules 3.006(C)(1)-(3), (D)(1)-(3) and
(E).
Rule 2.012 Transactions with Persons other than Clients.
(A) Truthfulness in Statements to Others. In the course of representing a client, a lawyer shall not
knowingly make a false statement of material fact or law to a third person.
(B) Communication with a Person Represented by a Lawyer. In representing a client, a lawyer shall not
communicate about the subject of the recommendation with a party whom the lawyer knows to be
represented in the matter by another lawyer, unless the lawyer has consent of the other lawyer or is
authorized by to do so.
(C) Dealing with an Unrepresented Person. In dealing on behalf of a client with a person who is not
represented by counsel, a lawyer shall not state or imply that the lawyer is disinterested. When the
lawyer knows or reasonably should know that the unrepresented person misunderstands the lawyer's role
in the matter, the lawyer shall make reasonable efforts to correct the misunderstanding.

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(D) Respect for Rights of Third Person. In representing a client, a lawyer shall not use means that have
no substantial purpose other than to embarrass, delay, or burden a third person, or use methods of
obtaining evidence that violate the legal rights of such a person.
Rule 2.013 Law Firms and Associations. These provisions apply to law firms and associations and all
law partners or lawyers employed by said firms or associations.
(A) Responsibilities of a Partner or Supervisory Lawyer.
(1) A partner in a law firm shall make reasonable efforts to ensure that the firm has in effect
measures giving reasonable assurance that all lawyers in the firm conform to these Rules of
Ethics.
(2) A lawyer having direct supervisory authority over another lawyer shall make reasonable
efforts to ensure the other lawyer conforms to these Rules of Ethics.
(3) A lawyer shall be responsible for another lawyer's violation of these Rules of Ethics if:
(a) the lawyer orders or, with knowledge of the relevant facts and the specific conduct,
ratifies the conduct involved; or
(b) the lawyer is a partner in the law firm in which the other lawyer practices or has
direct supervisory authority over the other lawyer, and knows of the conduct at a time
when its consequences can be avoided or mitigated but fails to take reasonable remedial
action.
(B) Responsibilities of a Subordinate Lawyer.
(1) A lawyer is bound by these Rules of Ethics notwithstanding that the lawyer acted at the
direction of another person.
(2) A subordinate lawyer does not violate these Rules if that lawyer acts in accordance with a
supervisory lawyer's reasonable resolution of an arguable question of professional duty.
(C) Responsibilities Regarding Non-lawyer Assistants. With respect to a non-lawyer employed by,
retained by, or associated with a lawyer:
(1) a partner in a law firm shall make reasonable efforts to ensure that the firm has in effect
measured giving reasonable assurance that the person's conduct is compatible with the
professional obligations of the lawyer;
(2) a lawyer having direct supervisory authority over the non-lawyer shall make reasonable
efforts to ensure that the person's conduct is compatible with the professional obligations of the
lawyer; and
(3) a lawyer shall be responsible for conduct of such a person that would be a violation of these
Rules if engaged in by a lawyer if:
(a) the lawyer orders or, with knowledge of the relevant facts and the specific conduct,
ratifies the conduct involved; or
(b) the lawyer is a partner in a law firm in which the person is employed or has direct
supervisory authority over the person and knows of the conduct at a time when its
consequences can be avoided or mitigated but fails to take reasonable remedial action.
(D) Professional Independence of a Lawyer.
(1) A lawyer or law firm shall not share legal fees with a non-lawyer , except that:
(a) an agreement by a lawyer with the lawyer's firm, partner, or associate may provide
for the payment of money, over a reasonable period of time after the lawyer's death, to
the lawyer's estate, or to one or more specified persons;
(b) a lawyer who purchases the practice of a deceased, disabled, or disappeared lawyer
may pay to the estate the agreed upon purchase price; and
(c) a lawyer or law firm may include non-lawyer employees in a compensation or
retirement plan, even though the plan is bases in whole or in part on a profit-sharing
arrangement.
(2) A lawyer shall not form a partnership with a non-lawyer if any of the activities of the
partnership consist of the practice of law.

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(3) A lawyer shall not permit a person who recommends, employs, or pays the lawyer to render
legal services for another to direct or regulate the lawyer's professional judgment in rendering
such legal services.
(4) A lawyer shall not practice with or in the form of a professional corporation or association
authorized to practice law for profit, if:
(a) a non-lawyer owns any interest therein, except that a fiduciary representative of the
estate of a lawyer may hold the stock or interest of the lawyer for a reasonable time
during administration;
(b) a non-lawyer is a corporate director or officer thereof; or
(c) a non-lawyer has the right to direct or control the professional judgment of a lawyer.
(E) Unauthorized Practice of Law. A lawyer shall not:
(1) Practice law in a jurisdiction where doing so violates the regulation of the legal profession in
that jurisdiction; or
(2) assist a person which is not a member of the bar in the performances of activity that
constitutes the unauthorized practice of law, except lay advocates or those acting in pro per .
(F) Restrictions on Right to Practice. A lawyer shall not participate in offering or making:
(1) a partnership or employment agreement that restrict the right of a lawyer to practice after
termination of the relationship, except an agreement concerning benefits upon retirement; or
(2) an agreement in which a restriction on the lawyer's right to practice is part of the settlement
of a controversy between private parties.
Rule 2.014 Public Service. The following provisions shall apply to lawyers with regard to public
service.
(A) Pro Bono Public Service. A lawyer should render public interest legal service. A lawyer may
discharge this responsibility by providing professional services at no fee or a reduced fee to persons of
limited means, or to public service or to charitable groups or organizations. A lawyer may also discharge
this responsibility by service in activities for improving Tribal law, the Tribal judicial system, or the legal
profession, and by financial support for organizations that provide legal services to persons of limited
means.
(B) Accepting Appointments. A lawyer shall not seek to avoid appointments by the Court to represent a
person except for good cause, such as:
(1) representing the client is likely to result in violation of these Rules of Ethics or other Tribal
law;
(2) representing the client is likely to result in an unreasonable financial burden on the lawyer; or
(3) the client or the cause is so repugnant to the lawyer as to be likely to impair the client-lawyer
relationship or the lawyer's ability to represent the client.
(C) Legal Services Organizations. A lawyer may serve as a director, officer, or member of a legal services
organization, apart from the law firm in which the lawyer practices, notwithstanding that the organization
serves persons having interests adverse to client of the lawyer. The lawyer shall not knowingly
participate in a decision or action that could have a material adverse effect in the representation of a
client of the organization whose interests are adverse to a client of the lawyer.
(D) Law Reform Activities Affecting Client Interest. A lawyer may serve as a director, officer, or member
of an organization involved in reform of the law or administration of the law notwithstanding that the
reform may affect the interests of a client of the lawyer. When the lawyer knows that the interests of a
client may be materially benefited by a decision in which the lawyer participates, the lawyer shall disclose
that fact but need not identify the client.
Rule 2.015 Information About Legal Services.
(A) Communications Concerning a Lawyer's Services. A lawyer may, on the lawyer's own behalf, on
behalf of a partner or associate, or on behalf of any other lawyer affiliated with the lawyer or the lawyer's
firm, use or participate in the use of any form of public communication that is not false, fraudulent,
misleading, or deceptive. A communication shall not:

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(1) contain a material misrepresentation of fact or law, or omit a fact necessary to make the
statement considered as a whole not materially misleading;
(2) be likely to create an unjustified expectation about results the lawyer can achieve by means
that violate these Rules of Ethics or other Tribal law; or
(3) compare the lawyer's services with other lawyer's services, unless the comparison can be
factually substantiated.
(B) Advertising.
(1) Subject to the provision of these Rules, a lawyer may advertise.
(2) A copy or recording of an advertisement or communication shall be kept for two years after
its last dissemination along with a record of when and where it was used.
(3) A lawyer shall not give anything of value to a person for recommending the lawyer's services,
except that a lawyer may pay the reasonable cost of advertising or communication permitted by
these Rules.
(C) Direct Contact with Prospective Clients.
(1) A lawyer shall not solicit professional employment from a prospective client with whom the
lawyer has no family or prior professional relationship when a significant motive for the lawyer's
doing so is the lawyer's pecuniary gain. The term “solicit” includes contact in person, by
telephone or telegraph, by letter or other writing, or by other communication directed to a
specific recipient, but does not include letters addressed or advertising circulars distributed
generally to persons not known to need legal services of the kind provided by the lawyer in a
particular matter, but who are so situated that they might in general find such services useful,
nor does the term “solicit” include “sending truthful and non-deceptive letters to potential clients
known to face particular legal problems” as elucidated in Shapero v Kentucky Bar Ass'n., 486 U.S.
466, 108 S.Ct. 1916, 100 L.Ed.2d 475 (1988).
(2) A lawyer shall not solicit professional employment from a prospective client by written or
recorded communication or by in- person or telephone contact even when not otherwise
prohibited by subrule 2.015(C), if:
(a) the prospective client has made known to the lawyer desire not to be solicited by
the lawyer; or
(b) the solicitation involves coercion, duress, or harassment.
(D) Communication of Fields of Practice. A lawyer may communicate the fact that the lawyer does or
does not practice in particular fields of law.
Rule 2.016 Maintaining the Integrity of the Profession.
(A) Bar Admission and Disciplinary Matters. An applicant for admission to any state or Tribal bar, or a
lawyer in connection with a bar admission application or in connection with a disciplinary matter, shall
not:
(1) knowingly make a false statement of material fact; or
(2) fail to disclose a fact necessary to correct a misapprehension known to the person to have
arisen in the matter, or knowingly fail to respond to a lawful demand for information from an
admissions or disciplinary authority, except that this Rule does not requires disclosure of
information protected by subrule 2.004(F).
(B) Judicial and Legal Officials.
(1) A lawyer shall not make a statement that the lawyer knows to be false or with reckless
disregard as to its truth or falsity concerning the qualification or integrity of a judge, adjudicative
officer, or public legal officer, or of a candidate for election or appointment to judicial or legal
office.
(2) A lawyer who is a candidate for judicial office shall comply with the applicable provision of
the Rule of Ethics for Tribunal Court Judges, Chapter 1.
(C) Reporting Professional Misconduct.
(1) A lawyer having knowledge that another lawyer has committed a significant violation of these
Rules that raises a substantial question as to that lawyer's honesty, trustworthiness, or fairness
as a lawyer shall inform the Judicial Commission.

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(2) A lawyer having knowledge that a judge has committed a significant violation of the Rules of
Ethics for Tribal Court Judges that raises a substantial question as to the judge's honesty,
trustworthiness, or fairness for office shall inform the Judicial Commission.
(3) This Rule does not require disclosure of information otherwise protected by subrule 2.004(F).
(D) Misconduct. It is professional misconduct for a lawyer to:
(1) violate or attempt to violate these Rules, knowingly assist or induce another to do so, or do
so through the acts of another;
(2) engage in conduct involving dishonesty, fraud, deceit, misrepresentation, or violation of the
criminal law, where such conduct reflects adversely on the lawyer's honesty, trustworthiness, or
fairness as a lawyer;
(3) engage in conduct that is prejudicial to the administration of justice;
(4) state or imply an ability to influence improperly a government agency or official; or knowingly
assist a judge or judicial officer in conduct that is a violation of the Rules of Ethics for Tribal Court
Judges or other Tribal law.
(E) Jurisdiction. A lawyer admitted to practice in the Tribal jurisdiction although engaged in practice
elsewhere. A lawyer who is admitted to practice in another jurisdiction and who is practicing in this Tribal
jurisdiction is subject to the disciplinary authority of this jurisdiction.
Subchapter 2.100 Enforcement Of Ethical Rules
Rule 2.101 Definitions. When used in this chapter, unless context otherwise indicates:
(A) “Commission” means the Judicial Commission.
(B) “Complainant” means the person who files the request for investigation.
(C) “Investigation” means fact-finding on alleged misconduct under the Judicial Commission
Chairperson's direction.
(D) “Judicial Commission” means the Chief Justice and those persons appointed by the Chief Justice.
(E) “Judicial Commission Chairperson” means the person so appointed by the GTB Tribal Court.
(F) “Respondent” means an attorney, lay advocate, judge, or other Court personnel named in the
request for investigation or complaint.
(G) “Request for Investigation” means the first step in bringing alleged misconduct to the Judicial
Commission's attention.
(H) “Tribal Council” means the Grand Traverse Band of Ottawa and Chippewa Indians Tribal Council.
Rule 2.102 Enforcement Responsibility/Procedure/Relationship to Tribal Personnel Policies.
(A) Enforcement Responsibility. The Judicial Commission shall have the responsibility for enforcing the
provision of this chapter, including the Rules of Judicial Conduct, the Rules of Court Personnel, and the
Rules of Ethics for Lawyer and Lay Advocates as set forth in this chapter. Complaints shall not be
received by or acted on by the Tribal Council except as appeals under Rule 1.207.
(B) Time Requirement for Rules. Within ninety (90) days of their appointment, the Judicial Commission
must develop and publish written rules and policies as to how it will operate and function.
(C) Respondent. Where a respondent is an employee of the Tribe, any hearing procedures will apply
rather than any hearing procedures set forth within Rule 1.400. Similarly, these Rules are supplemental
to Tribal Personnel Policies or relevant Tribal Constitutional provisions shall control where there is any
inconsistency between these Rules of Ethics and the Tribal Personnel Policies or relevant Tribal
Constitutional Provisions.
Rule 2.103 Investigation.
(A) Receiving of a Complaint. Whenever the Judicial Commission shall receive from a complainant
information in writing indicating a provision has been violated, the Commission shall conduct an
investigation of the circumstances of the alleged violation. Such a request for investigation by a
complainant of alleged misconduct, including the approximate time and place of it, to be signed and
dated by the complainant, and be filed with the Judicial Commission.

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(B) Conducting an Investigation. Upon the filing of a request for investigation, a member of the Judicial
Commission shall be appointed by said Commission to conduct and oversee the investigation and such
person shall be known as the Judicial Commission Chairperson.
(C) Notification. During the course of the investigation, the Judicial Commission Chairperson may notify
the respondent of subject investigated.
(D) Misconduct by Respondent. The Judicial Chairperson may compile the respondent to answer
questions, furnish documents and present any information deemed relevant to the investigation. Failure
to do so on the part of the respondent is misconduct and grounds for discipline.
Rule 2.104 Review and Action Committee.
(A) Reporting Results. The Judicial Commission Chairperson shall report the results of each investigation
to the Judicial Commission and make a recommendation for disposition of the matter.
(B) Review. The Judicial Commission shall review the recommendation and determine whether to
dismiss the matter or initiate a disciplinary action.
(C) Dismissal of Complaint. If a complaint is dismissed, the complainant shall be notified.
Rule 2.105 Disciplinary Action; Procedure.
(A) If the Judicial Commission determines to proceed with a disciplinary action, said Commission shall
prepare a written notice of the allegation and serve the notice upon respondent.
(B) The respondent shall be given fifteen (15) days within which to answer the charges in writing and
request a hearing.
(C) The hearing shall be held by the Commission within twenty (20) days of receipt of respondent's
request.
(D) The hearing shall be conducted by the Judicial Commission under rules applicable to a trial of a civil
action in Tribal Court. The hearing shall be recorded and shall be open to the public.
(E) The Commission shall, at the conclusion of the hearing, determine based on the evidence presented
whether a provision has been violated by respondent.
Rule 2.106 Disciplinary Action; Disposition. If the Judicial Commission find that a provision has
been violated, it shall make one of the following dispositions, taking into account the severity of the
offense and other factors the Judicial Commission deems relevant:
(A) issue a reprimand;
(B) suspend the respondent from his/her office or duties for a period of time;
(C) revoke respondent's license to practice or terminate respondent from his/her office;
(D) place respondent on probation for a specific period of time;
(E) require respondent to make restitution in an appropriate amount (where applicable); or
(F) admonish respondent, only by consent of said respondent further, the Commission shall have the
discretion to impose other disposition not referenced above where the respondent is incompetent or
incapacitated.
Rule 2.107 Appeal. [Deleted effective 3/20/2009.]
Rule 2.108 Confidentiality.
(A) Investigation. All papers, files, and communications in an investigation and proceedings before the
Judicial Commission prior to the decision to proceed with a disciplinary action are confidential.
(B) After Service of a Notice. After service of a written notice on respondent under Rule 2.405(A), the
proceedings and all papers filed are public.

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CHAPTER 3
CODE OF CONDUCT FOR TRIBAL COURT EMPLOYEES
Rule 3.001 Introduction. Employees of the Tribal Court hold highly visible positions of public trust.
Tribal Court employees must conduct their business in an environment and in a manner that favorably
reflects the ideals consistent with the fundamental values of the Tribal judicial system. These values
include: fairness, accessibility, accountability, effectiveness, responsiveness and independence. Their
actions at all times should uphold and increase the public trust and confidence in the judicial branch of
the Tribal government, reflect the highest degree of integrity, and demonstrate commitment to each
principle embodied in this code.
Rule 3.002 Definitions.
(A) “Confidential information” includes, but is not limited to, information on pending cases that is not
already a matter of public record and information concerning decision-making processes of particular
judges.
(B) “Code of Conduct” means this Code of Conduct for Tribal Court Employees.
(C) “Conflict of interest” includes, but is not limited to situations where the court employee’s objective
ability and/or independent judgment in the performance of their official duties may be impaired; or when
the court employee (including family) may receive a direct or indirect benefit resulting from any official
action.
(D) “Court employee” includes all employees of the court (i.e., full-time staff, part-time staff, volunteers,
independent contractors, etc.) who represent the court and are therefore covered by this Code of
Conduct. “Court employee” does not include judges whose conduct is regulated by Chapter I of these
Court Rules.
(E) “Legal Advice” is advising someone to follow a specific or general course of action or to interpret law
as it relates to a specific case or set of facts. For example, court personnel may provide: legal and
procedural definitions; cites of statutes, court rules; public case information; general information on court
operations; access to the court; general referrals; forms and instructions on how to complete forms.
However, examples of what court personnel cannot provide or do include: legal interpretations;
procedural advice; research of statutes, court rules and ordinances; confidential case information;
confidential or restricted information on court operations; opinions; denying access to the court;
discouraging or encouraging court filings; subjective or biased referrals; fill out forms for a party.
(F) “Procedural information” refers to identifying court rules, statutes, procedures or options in general.
Rule 3.003 Applicability. This Code of Conduct applies to all court employees, including, but not
limited to, the positions of court clerk, court magistrate, court administrator, probation officer,
peacemaking coordinator, drug court coordinator, program director, administrative assistant, or any other
employee of the court, whether such employment is full-time, part-time, or on a pro tempore or contract
basis.
Rule 3.004 Integrity and Independence of Court Employees. Court personnel should uphold the
integrity and independence of the Tribal Judiciary and the court in that an independent and honorable
judiciary is indispensible to the administration of justice in the Tribal community. Therefore, court
employees should observe and impart to other Court employees high standards of conduct so that the
integrity and independence of the Tribal Judiciary may be preserved. The provisions in this Code of
Conduct should be construed and applied to further these objectives. The standards of this Code of
Conduct shall not affect nor preclude other standards which may be promulgated by the Court.
Rule 3.005 Integration with Grand Traverse Band Government Personnel Policy.
(A) To the extent possible and where not otherwise in conflict with this Code of Conduct, the Tribal
Judiciary adopts by reference the provisions of the Grand Traverse Band Government Personnel Policy

GRAND TRAVERSE BAND TRIBAL COURT RULES (GTBCR)
(Current through 3/20/2009 amendments)

Page 22

(hereinafter “GTB Personnel Policy”), including any amendments made from time to time subsequent to
the adoption of this Code of Conduct. This Code of Conduct is intended to spell out and give notice to all
court employees of the higher standards of conduct expected of them beyond the standard provisions of
the GTB Personnel Policy. Each court employee shall be required to sign a written acknowledgement of
their obligation to follow this Code of Conduct as a court employee, in addition to the GTB Personnel
Policy.
(B) If there is any conflict between the provisions of this Code of Conduct and the GTB Personnel Policy,
the rules stated in this Code of Conduct shall govern.
(C) Violation of this Code of Conduct by a court employee shall be considered actionable misconduct
and/or unethical conduct under the GTB Personnel Policy. Except as otherwise provided in this Code of
Conduct, any disciplinary action taken against a court employee shall be taken pursuant to the
procedures outlined under the GTB Personnel Policy. Any court employees discharged from employment
pursuant to this Code of Conduct will have the right to dispute their discharge from employment pursuant
to the provisions of the GTB Personnel Policy.
Rule 3.006 Enforcement of Code of Conduct. Violation of this Code of Conduct by a court employee
shall be considered misconduct and grounds for discipline, up to and including immediate involuntary
termination of employment. The involuntary termination of a court employee shall be the result of a
recommendation from the Court Administrator as reviewed and approved by the Chief Judge, except
where the violation is alleged to have occurred by the Court Administrator, in which case the Chief Judge
shall take sole action. A written determination of cause for discharge must be presented to the Chief
Judge who shall approve of the termination of a court employee only when credible evidence of cause
exists under this Code of Conduct and/or the GTB Personnel Policy.
Rule 3.100 Abuse of Position.
(A) Court employees will not use or attempt to use their position to secure unwarranted privileges for
themselves or others.
(B) Court employees will not solicit or accept, or appear to solicit or accept, any gift, favor, or anything of
value based upon any material understanding that the official actions, decisions, or judgments of any
court employee would be influenced.
(C) Court employees will not discriminate against or otherwise give special treatment or anything of value
to any person, whether or not for compensation, or permit family, social, or other relationships to
influence or appear to influence my official conduct or judgment.
(D) Court employees will not request or accept anything of value beyond their compensation, as provided
by the Tribal Court, for court related work.
(E) Court employees will use the resources, property, and funds under their official control judiciously and
solely in accordance with prescribed legal and court operating procedures.
(F) Court employees will provide all court patrons with appropriate procedural information and will not
give legal advice, unless the court employee is a licensed attorney at law and has specific authorization of
the Chief Judge and their immediate supervisor to do so.
Comments on Rule 3.100:

Rule 3.100 of the Code of Conduct addresses the use of the real or apparent power of a position as a
court employee to “benefit” the employee or someone else personally. There are many degrees of “abuse”
ranging from the seemingly inconsequential to situations in which the average person would immediately
conclude a court employee is obviously abusing their position. The Code does not attempt to define exactly
what “abuse” is or try to quantify the amount an empl

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/tribal%3Agrand_traverse%3A7ca8f3df59347c8d. Public record. Not legal advice.