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Part 1: Ethics and Integrity
Define ethics.
Ethics is the discipline dealing with what is good and bad and with moral duty and obligation. It is a set of moral principles or values.
Define integrity.
Integrity is strick personal honesty and independence. It is adherence to one's moral values or putting into practice one's values and beliefs.
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Part 2: State Commission on Judicial Conduct
3. What are the three objectives of the Commission on Judicial Conduct?
The objectives of the Commission are: (1) to preserve the integrity of all judges in the State; (2) to ensure public confidence in the judiciary; and (3) to encourage judges to maintain high standards of both professional and personal conduct.
4. How does the Commission endeavor to achieve its objectives?
To achieve these goals, the Commission issues sanctions and secures the removal of judges from office who violate legal or ethical standards. In addition, the Commission participates as faculty members in continuing education programs at all levels of the judiciary.
5. What provides authority for the Commission on Judicial Conduct to operate?
The State Commission on Judicial Conduct was created by an amendment to the Texas Constitution in 1965. Article V, Section 1-a of the Texas Constitution and Chapter 33 of the Texas Government Code are the sources of authority under which the Commission operates.
6. A file is initiated with the Commission on Judicial Conduct when the Commission receives a telephone complaint.
False (the complaint must be written).
7. Complainants may request the Commission on Judicial Conduct keep their identity confidential.
True.
8. Information gathered by the Commission on Judicial Conduct may never be made public.
8. False
9. All proceedings of the Commission on Judicial Conduct are conducted publicly.
False.
10. The Commission on Judicial Conduct may dismiss a case if a judge took corrective action in the case against him or her.
11. Improper conduct includes failure to conduct court business in a timely manner.
True.
12. Judges could be reprimanded for incompetence in the performance of their duties.
True
________ Removal-Censure ________ Private Admonition ________ Public Reprimand ________ Public Admonition
1. Removal or Censure. 4. Private Admonition. 2. Public Reprimand. 3. Public Admonition.
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Part 4: Code of Judicial Conduct
14. Upon what principle is our legal system based?
Our legal system is based upon the principle that an independent, fair, and competent judiciary will interpret and apply the laws that govern us.
15. Why should clerks observe the same professional standards as judges?
It is required by the Code of Judicial Conduct. Canon 3C(2) of the Code says that judges should require staff, court officials, and others subject to the judge’s direction and control to observe the standards of fidelity and diligence that apply to the judge.
16. What might happen if a clerk’s conduct is improper?
The judge may be held responsible.
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Part 4: Code of Judicial Conduct - Canon 1: Upholding the Integrity and Independence of the Judiciary
17. The judicial system is built on the principle of being independent from the other branches of government
True.
18. When the telephone for the court is answered “police department,” it may give the public the impression that they will not be treated fairly or impartially.
True.
19. Having a separate room away from the public where peace officers may swear to complaints and conduct other court business helps the court avoid any appearance of impropriety.
True.
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Part 4: Code of Judicial Conduct - Canon 2: Avoiding Impropriety and the Appearance of Imporpriety in All of the Judges Activities
20. A municipal judge may use court letterhead to write members of a fraternity urging them to join the local chapter.
False.
21. A municipal judge may voluntarily testify for someone else as a character witness
False.
22. A municipal judge or clerk may be a member of the Ku Klux Klan
False.
23. The Code of Judicial Conduct governs a municipal judge and clerk’s behavior in and out of the courtroom.
True.
Telling the judge about the belligerent attitude of a defendant scheduled for a bench trial.
I - Telling the judge about the belligerent attitude of a defendant scheduled for a bench trial.
Recommending a specific driving safety school to a defendant.
I - Recommending a specific driving safety school to a defendant.
Using court stationery to offer a product or service for purchase to earn extra money.
I - Using court stationery to offer a product or service for purchase to earn extra money.
Looking up your girlfriend's traffic record.
I - Looking up your girlfriend’s traffic record.
Drinking beer while working overtime at the office.
I - Drinking beer while working overtime at the office.
Asking an officer to not file a traffic ticket against a friend.
I - Asking an officer to not file a traffic ticket against a friend.
I - Closing the court or decreasing fines to put pressure on the city council to increase salary and benefits for court personnel.
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Part 4: Code of Judicial Conduct - Canon 3: Performing the Duties of Judicial Office Impartially and Diligently
25. A municipal judge has a duty to take some action against another judge who is violating the Code of Judicial Conduct.
True.
26. A municipal court clerk has a duty to report to his or her judge unethical conduct of another court employee.
True.
27. A municipal judge should report an attorney who presented false evidence to the court.
True.
28. A judge would be disqualified from hearing her brother’s speeding ticket because they are related by consanguinity within the second degree.
True.
29. A judge should not hear her husband’s speeding ticket because they are related by affinity within the first degree
True.
30. A municipal court clerk may use racial epithets to refer to witnesses.
False.
31. A municipal court administrator may participate in a trip paid for by an attorney who practices before a municipal judge for whom the clerk works.
False.
Informing defendants how to properly conduct themselves in court.
P - Informing defendants how to properly conduct themselves in court.
Shouting at a belligerent defendant.
I - Shouting at a belligerent defendant.
Telling sexual or racial jokes to jurors while they are waiting to be called into the courtroom.
I - Telling sexual or racial jokes to jurors while they are waiting to be called into the courtroom.
Not explaining all the court options to members of a certain ethnic group.
I - Not explaining all the court options to members of a certain ethnic group.
Responding to a news reporter who asks you to review an article for legal accuracy. It contains information about a Class C misdemeanor assault that is pending in your court and is part of a larger civil suit for sexual harassment.
I - Responding to a news reporter who asks you to review an article for legal accuracy. It contains information about a Class C misdemeanor assault that is pending in your court and is part of a larger civil suit for sexual harassment.
Developing a records management program to help the court manage the progress of the cases through the court.
P - Developing a records management program to help the court manage the progress of the cases through the court.
Working with the judge to oversee the administration of the court.
P - Working with the judge to oversee the administration of the court.
Providing information requested under Rule 12.
P - Providing information requested under Rule 12.
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Part 4: Code of Judicial Conduct - Canon 4: Conducting the Judge's Extra-Judicial Activities to Minimize the Risk of Conflict with Judicial Obligations (in part)
Writing a weekly column with the judge about legal matters and court activity for the local newspaper.
P- Writing a weekly column with the judge about legal matters and court activity for the local newspaper.
Teaching classes for the Texas Municipal Courts Education Center.
P - Teaching classes for the Texas Municipal Courts Education Center.
Speaking to high school students in a government class on “Your Rights in Traffic Court.”
P - Speaking to high school students in a government class on “Your Rights in Traffic Court.”
Selling tickets for your daughter’s booster club to a group taking a driving safety course.
I - Selling tickets for your daughter’s booster club to a group taking a driving safety course.
Traveling free to Las Vegas on a law firm’s private plane. The law firm frequently handles traffic tickets in your court.
I - Traveling free to Las Vegas on a law firm’s private plane. The law firm frequently handles traffic tickets in your court.
Accepting gifts from a friend or a relative on special occasions when the friend or relative is not before the court.
P - Accepting gifts from a friend or a relative on special occasions when the friend or relative is not before the court.
Accepting free legal publications from TMCEC.
P - Accepting free legal publications from the Texas Municipal Courts Education Center.
Accepting an invitation to a Christmas party that is being conducted by a company that has a pending case in your court.
I - Accepting an invitation to a Christmas party that is being conducted by a company that has a pending case in your court.
Using court stationery to write a letter to a company that has failed to provide you with promised service.
I - Using court stationery to write a letter to a company which has failed to provide you with promised service.
Having your title as court clerk listed by your name on a letter being sent by a local charity organization that is soliciting toys for disadvantaged children.
I - Having your title as court clerk listed by your name on a letter being sent by a local charity organization that is soliciting toys for disadvantaged children.
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Part 4: Code of Judicial Conduct - Canon 5: Refraining from Inappropriate Political Activity (in part)
Making public statements in the local restaurant about persons running for city council.
I - Making public statements in the local restaurant about persons running for city council.
Commenting privately to your spouse as to whom would be the best candidate for mayor.
P - Commenting privately to your spouse as to who would be the best candidate for mayor.
Wearing political T-shirts and buttons for local political races while at work.
I - Wearing political T-shirts and buttons for local political races while at work.
Talking to defendants about who will be the best candidate for mayor.
I - Talking to defendants about who will be the best candidate for mayor.
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Part 4: Code of Judicial Conduct - Canon 6: Compliance with Code of Judicial Conduct (in person)
35. When a citizen wants to file a case and the clerk is unsure whether the municipal court has jurisdiction, the judge may talk to the person to see if the case should be filed in municipal court.
True.
36. A judge may talk with a person who wants to file a claim in municipal court for restitution for $700 for a fence that was damaged by a vehicle that lost control and drove through it.
True (the municipal court does not have jurisdiction of this case so the judge may talk with the defendant to explain that he or she has no authority over this case, and it must be filled in another court).
37. A letter to the judge from a defendant telling the defendant’s side of his or her case is not considered ex parte communication.
False.
38. The officer’s notes on the back of a citation are not considered ex parte communication.
False.
39. A judge may talk with a defendant on the telephone about his or her case, because a telephone conversation is not an official court appearance.
False.
40. It is not ex parte communication to tell the judge about a death threat made by a defendant to the victim
True (because the clerk is not an interested party, but it could be improper conduct for the same reason that ex parte communication is prohibited, i.e., apprising the judge of the merits of a pending judicial proceeding without all interested parties present).
41. It is not ex parte communication to inform the judge about information from a defendant relating to the defendant’s case pending in the court.
False.
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Part 4: Code of Judicial Conduct - Canon 7: Effective Date of Compliance & Canon 8: Construction and Terminology of the Code
42. If a canon says a judge shall or shall not conduct him or herself in a certain manner, the judge does not have discretion in that matter.
True.
43. “May” means that the judge has permissible discretion.
True.
44. If a rule requires certain conduct of others, the judge must exercise reasonable direction and control over the conduct of anyone who is subject to the judge’s direction and control.
True.
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Part 5: Improper and Proper Conduct
Reporting only moving traffic convictions to the Department of Public Safety.
I - Reporting only moving traffic convictions to the Department of Public Safety.
Refusing to gossip with a friend about your neighbor’s son who has a minor in possession of alcohol charge pending in your court.
P - Refusing to gossip with a friend about your neighbor’s son who has a minor in possession of alcohol charge pending in your court.
Telling a defendant if he or she wants a jury trial, the defendant will have to appeal the case.
I - Telling a defendant if he or she wants a jury trial, the defendant will have to appeal the case.
A defendant who doesn’t want to contest his case but wants to talk to the judge about the amount of the fine is belligerent to the clerk because the judge is not available. The clerk sets the defendant for a hearing at a later date and then tells the judge to set a higher fine.
I - A defendant who doesn’t want to contest his case but wants to talk to the judge about the amount of the fine is belligerent to the clerk, because the judge is not available. The clerk sets the defendant for a hearing at a later date and then tells the judge to set a higher fine.
Telling a defendant who calls on the telephone that the judge always gives extensions of time to pay. “All the defendant has to do is ask.”
I - Telling a defendant who calls on the telephone that the judge always gives extensions of time to pay. “All the defendant has to do is ask.”
Stamping the judge’s signature in the docket because the judge only comes in once a month and doesn’t have time to sign the docket.
I - Stamping the judge’s signature in the docket because the judge only comes in once a month and does not have time to sign the docket.
Asking the judge to grant a driving safety course (DSC) under the discretionary provisions of the DSC statute to a friend who is not eligible under the mandatory provisions.
I - Asking the judge to grant a driving safety course (DSC) under the discretionary provisions of the DSC statute to a friend who is not eligible under the mandatory provisions.
Seeing prisoners on the weekend to tell them what they are charged with and set their fines because the judge is on vacation.
I - Seeing prisoners on the weekend to tell them what they are charged with and set their fines because the judge is on vacation.
As a clerk for a court with a part-time judge, granting deferred disposition to defendants who ask for it. When the judge comes in a couple of weeks later, the judge signs her name to all the clerk’s paperwork for these defendants.
I – As a clerk for a court with a part-time judge, granting deferred disposition to defendants who ask for it. When the judge comes in a couple of weeks later, the judge signs her name to all the clerk’s paperwork for these defendants.
Establishing and maintaining a records management program to ensure the proper processing of cases.
P -Establishing and maintaining a records management program to ensure the proper processing of cases.
Telling a friend that the judge is sensitive to defendants who have children who are not good drivers because his son has a “heavy foot” and is likely to grant her daughter the right to take a driving safety course under the discretionary provisions.
I - Telling a friend that the judge is sensitive to defendants who have children who are not good drivers because his son has a “heavy foot,” and is likely to grant her daughter the right to take a driving safety course under the discretionary provisions.
When turning over a deposit to the accounting department, asking them to count the money and sign for the deposit.
P - When turning over a deposit to the accounting department, asking the accounting department to count the money and sign for the deposit.
Receiving fine money through the mail and then presenting the case to the judge to accept and sign a judgment.
P - Receiving fine money through the mail and then presenting the case to the judge to accept and sign a judgment.
Issuing subpoenas when requested by the State or defense.
P - Issuing subpoenas when requested by the State or defense.
Asking a peace officer to sign a complaint without administering an oath to him or her.
I - Asking a peace officer to sign a complaint without administering an oath to him or her.
Maintaining competence in court procedures by attending regular educational programs for professional development.
P - Maintaining competence in court procedures by attending regular educational programs for professional development.
Working with the police department to establish a security plan for the court.
P - Working with the police department to establish a security plan for the court.
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Part 6: Legal Advice V. Legal Information
46. A clerk may give legal advice if he or she is certain that the advice is correct.
False.
47. If a clerk gives legal advice, it may compromise the impartiality of the court.
True.
48. If a court provides a sample form to a defendant, the court is obligated to assist that defendant to complete the form.
False (helping a defendant complete a form is giving legal advice).
49. If a clerk determines that there is an error on a traffic citation, the clerk should tell the judge so that the judge can dismiss the case.
False.
50. What may a clerk do when a defendant is unsure how to handle his or her case?
The clerk may explain the court procedures and processes and give the defendant a pamphlet that explains these processes and the defendant’s obligations and rights. Do not advise the defendant on how to handle his or her case.
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Part 7: Penal Offenses and Other Relevant Codes
51. A municipal court clerk is a public servant.
True.
52. A deputy court clerk is a public servant.
True.
53. A part-time employee of the court is a public servant.
True.
54. Municipal court jurors are public servants.
True.
55. An attorney representing a client in a municipal court is not a public servant.
False.
56. A bailiff is not a public servant.
False.
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Chapter 36, Bribery and Corrupt Influence
57. A municipal court clerk violates Section 36.02 of the Penal Code when he or she accepts money from a citizen to destroy, conceal, or remove traffic citations from the court files even though the clerk never did destroy, conceal, or remove the citations.
True.
58. A municipal court clerk may accept payment for making a speech that he or she has been asked to make because he or she is a court clerk.
False.
59. A municipal court clerk may accept food, transportation, and lodging from an organization for whom he or she is making a speech.
True.
60. A municipal judge or clerk may accept free tickets to a college football game from the dean of a private college that is in the city where the municipal judge’s court is located.
False.
61. A municipal court clerk may accept gifts from his or her mother.
True.
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Chapter 37, Prejury and Other Falsification
62. Municipal court complaints are governmental records.
True.
63. Correspondence received from the defendant is a governmental record.
True.
64. The Office of Court Administration’s monthly reports are governmental records.
True.
65. Copies of state reports retained by the court are governmental records
True.
66. A municipal court clerk is in violation of Section 37.10, Tampering with a Government Record, if he or she types a false statement in an arrest warrant before giving it to the judge to sign.
True.
67. A municipal court clerk is in violation of Section 37.10, Tampering with a Government Record, if he or she erases and corrects a mistake he or she made in entering information on a docket.
False.
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Chapter 38, Obstructing Governement Operation
68. The Code of Judicial Conduct is a law relating to a public servant’s office or employment.
True.
69. The Code of Criminal Procedure is a law relating to a public servant’s office or employment.
True.
70. A municipal judge or clerk may use a car furnished by the city for a vacation trip.
False.
71. A municipal judge may use a city telephone to make local personal telephone calls.
True.
72. A municipal court clerk may use court letterhead to write a cover letter for an application for a job for which the clerk is applying
False.
73. A municipal court clerk may use court letterhead to write a recommendation for a deputy court clerk seeking another job.
True.
74. A municipal judge may make a court clerk address the judge’s Christmas cards for him or her during the clerk’s workday.
False.
75. A municipal judge may make listening to his or her dirty jokes a condition of employment for a court clerk.
False.
76. A municipal court clerk who learns in a city staff meeting that the city wants to acquire a certain piece of property for a park may pass that information on to a friend who is a real estate agent.
False.
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Government Code, Chapter 573 - Nepotism Provisions
77. A public official includes a judge of a court created by or under a statute of this State.
True.
78. A parent and her child are related by consanguinity.
True.
79. A parent and his adopted child have a degree of consanguinity between them.
True.
80. Who are a municipal judge’s relatives within the first degree by blood?
The judge's father, mother, and children.
81. Who are a municipal judge’s relatives within the second degree by blood?
The judge’s father, mother, children, brothers, sisters, grandparents, and grandchildren.
82. Who are a municipal judge’s relatives within the third degree by blood?
The judge’s father, mother, children, brothers, sisters, grandparents, grandchildren, great-grandparents, great-grandchildren, uncles, aunts, nephews, and nieces.
83. List your own living relatives within the third degree by consanguinity
Answers will vary from clerk to clerk.
84. Is a municipal court clerk’s spouse related to him or to her by consanguinity or by affinity?
Affinity.
85. Is a municipal court clerk’s spouse’s sister related to the clerk by consanguinity or by affinity?
Affinity.
86. If the municipal judge’s spouse dies and the municipal judge has no living children, how is the dead spouse’s sister related to the municipal judge?
Neither by consanguinity nor by affinity.
87. List the municipal judge’s relatives within the first degree by marriage. Second degree by marriage. Third degree by marriage.
The judge’s relatives within the first degree by marriage are his or her spouse, his or her spouse’s parents, his or her spouse’s children, his parent’s spouse, or his children’s spouses. Those within the second degree include those above plus his spouse’s brothers, sisters, grandparents, and grandchildren, and his brothers, sisters, grandparent’s or grandchildren’s spouses. Those within the third degree include all those above plus his spouse’s great-grandparents, great-grandchildren, uncles, aunts, nieces, and nephews, as well as any spouses of his great-grandparents, great-grandchildren, uncles, aunts, nieces, and nephews.
88. List your own living relatives within the third degree by affinity?
Answers will vary from clerk to clerk.
89. A municipal judge may hire his or her spouse’s sister as a municipal court clerk.
False.
90. A municipal judge may hire his or her brother’s daughter to file a backlog of municipal court documents and pay her with the judge’s own money.
True.
91. The presiding municipal judge may hire the child of a sister of an alternate municipal judge to type the docket sheets.
False.
92. A municipal judge may hire the mayor’s daughter as a municipal court clerk in exchange for a job as the mayor’s secretary for the municipal judge’s first cousin.
False.
93. A city with a municipal judge who is disabled and uses a wheelchair may hire the judge’s daughter to be the judge’s aide and pay her out of city funds.
True.
94. If a person is about to be appointed municipal court clerk for a city and the prospective clerk’s aunt is the city secretary, how long must the aunt have worked in that position to __________________ be able to keep her job after the municipal court clerk is appointed?
30 days.
95. If the municipal court clerk’s aunt stays with the city, may the aunt fill out the clerk’s merit raise evaluation?
No.
96. Generally, the city council has a choice about retaining an appointed municipal court clerk who is convicted of official misconduct in the form of nepotism.
False.
97. A violation of the nepotism statute is an offense involving official misconduct.
True.
98. What may happen to a municipal judge convicted of hiring his or her niece as a municipal court clerk?
He or she may be fined $100 to $1000 and be removed from office.
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Part 8: Ethical Dilemmas
99. A clerk who had a personality clash with another employee went to her supervisor and said that the other employee did not know how to do the job. Is there an ethical problem here? If so what is it? What should the clerk have done?
A personality clash is not an ethical problem, but when the clerk told her supervisor that the other person did not know how to do her job just because of their personal differences, it became an ethical problem. The ethical problem is the clerk’s lie about the other employee. If the two employees could not work out their differences, they should have asked a supervisor to mediate, and both demonstrated an effort to not let their differences affect their work.
100. A city secretary who supervises the deputy clerks is not familiar with many legal requirements; this causes a clash between the clerks and city secretary. Is this an ethical problem? What should the clerks do?
This is not an ethical problem. The city secretary’s problem is a lack of training and education. This problem can be remedied by the city secretary reading materials from the Texas Municipal Courts Education Center.
101. Before trial, the judge comes to the clerk’s office and wants to know if there is any information she should know about the cases before going to trial. What information may the clerk tell the judge that would not be considered ex parte communication
The clerk may discuss with the judge administrative matters concerning the scheduling of the cases for trial or such matters as motions for continuances. The clerk may not discuss the merits of any of the cases, any information blurted out by defendants, or any conversations he or she had with any of the witnesses (usually peace officers).
102. A deputy court clerk, with whom you have become good friends, uses the judge’s signature stamp to dismiss a case against her boyfriend. You find out about it. What do you do?
This is not only an ethical violation, but it is also a crime. It is tampering with a governmental record. You should report it to your supervisor, judge, and chief of police immediately.
103. Should a municipal court clerk report to the Commission on Judicial Conduct a judge’s willful violation of the Code of Judicial Conduct?
Canon 3D requires judges to take appropriate action upon receiving information clearly establishing that another judge has committed a violation of the Code of Judicial Conduct. If the violation raises a substantial question as to the other judge’s fitness for office, the judge shall inform the State Commission on Judicial Conduct or take other appropriate action. Depending on the circumstances, the appropriate action may be reporting the judge to the city council or the Commission. If in doubt, you should call the Commission to discuss the issue.