2.1 Ethical Obligations & Avoiding the Appearance of Impropriety
Key Takeaways
AAERT's Code of Professional Ethics is organized in three parts: I. Conduct, II. Confidentiality and III. Commitment.
AAERT's Code bars giving or receiving any gift, incentive or reward of substance to or from people associated with a proceeding, other than businesslike payment.
AAERT's Code tells members to guard against both actual conflicts of interest and the appearance of impropriety.
A transcriber may correct transcription errors but may never change what a speaker said at a party's request.
AAERT's Code requires meeting promised delivery dates and giving immediate notice of any delay, with a truthful reason.
Transcribers work alone, often at home, with material that can decide someone's liberty, money or custody of a child. Because no one watches you type, the profession relies on written ethical rules. The CET blueprint's first knowledge area (10100) asks you to compare ethical and unethical behavior, recognize and handle conflicts of interest, and avoid the appearance of impropriety. This section covers the ethical code itself. Section 2.2 covers conflicts.
AAERT's Code of Professional Ethics
AAERT's Code (published at aaert.org under "Code of Professional Ethics") is short enough to know by heart. Its three parts:
| Part | Key duties |
|---|---|
| I. Conduct | (A) highest integrity; fair and impartial to each participant; truthful and accurate; comply with laws and court rules. (B) respect judges, attorneys, witnesses, clerks and all others. (C) watch for conflicts of interest and guard against the appearance of impropriety. (D) no gifts, incentives or rewards of substance to or from anyone associated with the proceeding, other than businesslike payment. (E) set fees independently unless set by statute or court order. (F) prepare the record by the transcript guidelines set by statute or court order, or else local custom. (G) preserve recordings as required by statute or court order, or for at least three years. (H) meet promised delivery dates; tell clients immediately and truthfully about delays. (I) give no counsel, advice or personal opinions. (J) know your software and hardware well enough to do simple troubleshooting. |
| II. Confidentiality | (A) keep information secure and confidential and do not discuss remarks heard on or off the record. (B) do not make public any part of a transcript not intended for public distribution. (C) be helpful, but do not orally tell any party or non-party the substance of the proceedings. |
| III. Commitment | (A) stay proficient. (B) keep up with literature and technology; take continuing education. (C) take part in association activities. (D) cooperate with the Bench and Bar to improve the administration of justice. |
The blueprint also lists NCRA Advisory Opinions as a reference. The NCRA Code of Professional Ethics covers the same ground: be fair and impartial and "always offer to provide comparable services to all parties"; disclose conflicts; guard against the appearance of impropriety; keep information confidential; advertise qualifications truthfully; set fees independently; and give no gift worth more than $150 in total per recipient per year to anyone associated with litigation. Under that rule, nothing offered in exchange for future work is permissible, whatever its value.
Ethical vs. unethical: the patterns the exam uses
Most ethics items describe a scenario and ask which response is ethical. The unethical answer is usually tempting because it pleases a client.
| Scenario | Ethical response | Unethical response |
|---|---|---|
| Plaintiff's counsel asks you to "fix" a witness's rambling answer before delivery | Explain that the transcript must reflect what was said; correct only genuine transcription errors after checking the audio | Rewording the answer, or deleting a damaging phrase |
| Defense counsel orders an expedited copy and asks you not to tell the other side | Provide the service; offer comparable service to all parties when they ask | Refusing the other side the same service, or quietly giving one side priority |
| An agency client sends a gift basket worth several hundred dollars "for all your hard work" on its cases | Decline or return it; businesslike payment only | Keeping it and moving that client's jobs up the queue |
| A friend asks what the witness in a local murder hearing "really said" | Decline; confidentiality applies on and off the record | Sharing "just the gist" |
| You realize you will miss the delivery date | Notify the client immediately with the true reason and a new date | Delivering late without warning, or blaming "technical problems" that did not happen |
| A pro se litigant asks you which objection they should have made | Explain politely that you cannot give legal advice | Offering an opinion on the case or the law |
Correcting errors vs. changing testimony
The line is simple. Transcription errors (you typed "can" when the witness said "can't," or attributed a line to the wrong speaker) must be corrected after you check the audio. Speaker errors (the witness said the wrong date, used bad grammar or misnamed an exhibit) are part of the record and stay as spoken. The Guide to Judiciary Policy says "all grammatical errors, changes of thought, contractions, misstatements, and poorly constructed sentences must be transcribed as spoken." A deponent who wants to change testimony uses the formal process: for a federal deposition, a signed statement of changes under FRCP 30(e) (Chapter 14). The transcriber never edits the testimony to match what the speaker meant.
The appearance of impropriety
AAERT tells members to guard "not only the fact, but the appearance of impropriety." A transcript's value depends on everyone trusting that the transcriber had no stake in the outcome. Conduct that is harmless in fact can still destroy that trust:
- chatting privately with one side's attorney during a break about how the case is going;
- posting on social media about a proceeding, even without names;
- accepting lunch, tickets or favors from one party's firm while working its case;
- offering one firm a discount tied to future work;
- giving one party an early "preview" of a transcript before it is certified.
The test: would a reasonable party on the other side worry that you are not neutral? If so, avoid it, or disclose it and let the client or court decide.
Other conduct duties that appear on the exam
- Know your system. Code I.J expects you to handle simple software and hardware troubleshooting yourself (Chapter 3).
- Preserve recordings. Keep them as the statute or court order requires, or for at least three years (I.G).
- Fees. Set them independently. In federal court, the Judicial Conference sets maximum page rates, and fees may be lower than, but not higher than, the court's schedule.
- Truthful credentials. Do not claim a certification you do not hold or one that has lapsed. An expired CET must be reinstated or re-earned before you use the designation again.
Quick self-check
Before any judgment call, ask three questions:
- Does this change what was actually said?
- Does this favor one party over another?
- Would I be comfortable if every party knew about it?
A "yes," "yes" or "no" answer means stop.
After receiving a certified deposition transcript, the deponent's attorney calls the transcriber and asks that a confusing answer be reworded to reflect what the witness meant. What is the ethical response?
Reword the answer, because clarity serves the court
Reword the answer only if opposing counsel is copied on the email
Delete the confusing answer and insert a (sic) notation
Explain that the transcript must reflect the words actually spoken and that changes by the witness go through the formal review-and-changes process
Under AAERT's Code of Professional Ethics, how long should recordings of the record be preserved when no statute or court order applies?
For 90 days after the transcript is filed
For no less than three years
Until the transcript is certified
For one year after the proceeding
A law firm that sends a transcriber many jobs offers the transcriber a free weekend at a resort "as thanks for the work." Which principle is most directly involved?
The ban on accepting gifts or rewards of substance from people associated with proceedings, which also protects against the appearance of impropriety
The duty to set fees independently
The duty to know one's software and hardware
The duty to preserve recordings
Sections you finish are checked off in the contents.