First! Folder. Austin, Texas July 17-21, Name Badge Color Tabs Certificate of Attendance Flash Drive

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1 Austin, Texas July 17-21, 2017 First! Register at TMCEC Table Pick up Book & Folder Folder Name Badge Color Tabs Certificate of Attendance Flash Drive 1

2 Please Note: Agenda for the week Speaker biographies Course materials Charts Meals Breakfast/Lunch (DAYS 2-4) Breakfast (DAY 5) Guests are not allowed to attend meals (your badge is your ticket) Proof of Attendance Print certificates of attendance through: 2

3 Expectations Attendance is REQUIRED Seminar = 32 hours credit Seminar + Optional = 36 Expectations Silence electronic devices Faculty Questions Refrain from carrying on conversations during presentations Course Overview 1) Fundamentals of municipal court practice 3

4 Course Overview 2) The Law Areas of relevant law Sources of law Where to find the law Course Overview 3) Suggested practices Course Overview 4) Your career Workforce training Certification options Advancement and recognition 4

5 About TMCEC The Texas Municipal Courts Education Center was formed in 1984 by the Texas Municipal Courts Association to provide extensive, continuing professional education and training programs for municipal judges and court personnel. TMCEC is financed by a grant from the Court of Criminal Appeals out of funds appropriated by the Legislature. About TMCEC TMCEC provides: (1) judicial education, technical assistance, and the necessary resource material to assist municipal judges, court support personnel, and city attorneys in obtaining and maintaining professional competence in the fair and impartial administration of criminal justice About TMCEC (2) information to the public about the Texas judicial system and laws relating to public safety and quality of life in Texas communities. 5

6 TMCEC Organization Hope Lochridge Executive Director 5 Attorneys 8 Support Staff Judges, clerks, city attorneys, bailiffs only NOT for vendors, defendants, city council, peace officers Training Programs Court Clerks Judges Municipal Prosecutors Bailiffs & Warrant Officers 6

7 Clerk Programs 10 Regional Clerks (16 hr) Court Administrator (16 hr) New Clerks Conference (32 hr) Local Clinics (4 or 8 hr) Publications Study Guides (Level I and II) Fine-Only Green Book Judge s Bench Book TMCEC Forms Book The Recorder Journal Outreach DRSR (Driving on the Right Side of the Road) MTSI (Municipal Traffic Safety Initiative) 7

8 Related Organizations TMCA Texas Municipal Courts Association TCCA Texas Court Clerks Association 8

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10 Your mission: Complete the following questions, either by filling inn the blank, selecting the correct multiple choice answer or giving a short answer. Some of these may be answered during class, while others will require some research in the code book or supplemental materials. Those Who Complete the Scavenger Hunt Can Submit Theirr Names for a Prize Drawing During Class! Alan Adla, star of the hit television series M*A*R*S* *H was in his hometown of Fort Hook, Texas visiting his family for the 4th of July. They are celebrating early (the weekend before on Saturday, June 29th). His 20-year-old nephew Charlie and he were driving separately back to their hotel that night, with Adla following Charlie (whom he thought had enjoyed one too many hard lemonades). Unfortunately, Officer Gotcha was on the prowl that night, and stopped Adla for a burnt out tail light and speeding. When Adla pulled over, Charlie, thinking it was funny, honked out a Morse code SOS on the horn. Then he pulled over just in frontt of Adla s vehicle. Officer Gotcha went first to Adla s car. Adla produced a Texas driver s license (hee gave up his California license when his show went off the air), but could not produce any proof of f vehicle insurance. Officer Gotcha issued Adla a citation with four offenses: speeding, no insurance, no tail light, andd no seatbelt. Find the statute that makes each of these an offense and complete the grid below. Use the index in the Code Book to help you. OFFENSE STATUTE FINE RANGE Speeding No insurance No tail light No seat belt Officer Gotcha then went to Charlie s window and asked him for hiss license and insurance. Charlie gave him both. Officer Gotcha, however, also saw a red solo cup filled with what Gotcha recognized as an adult beverage and he could tell that Charlie had been drinking. Officer Gotcha made Charlie get out of the car to take a sobriety test. He didn t fail, but he didn t pass either. He asked Charlie to take a breathalyzer, and Charlie, thinking there was no way he was over the legal limit, agreed to blow. Blow he did, at a.03 BAC. Charlie forgot, though, that because he was only 20, zero tolerance applied. Officer Gotcha really didn t want to arrest Charlie so close to the end of his shift (he got off at midnight), so he agreed to have Adla drive Charlie the rest of the way and instead issued Charlie a citation for minor driving under the influence and open container. Complete this grid too. OFFENSE STATUTE FINE RANGE DUI Open Container 1

11 Find the offense of Reckless Driving in the Transportation Code. What is the statute? What is the penalty? If Charlie had been charged with Reckless Driving instead of DUI, could the offense have been filed in the Fort Hook municipal court? Adla and Charlie were stopped while driving around Fort Hook. If they had been traveling from Fort Hook to a neighboring town (say, Killian) and were stopped in Killian instead, could the citations have been filed in the Fort Hook municipal court? Of all the offenses that Adla and Charlie were charged with, which one(s) required the issuance of a citation? What statute tells us that? The citations are filed in the Fort Hook Municipal Court, where Clerk Candy takes over. And so began the cases of State v. Adla and State v. Charlie. Adla and Charlie are both supposed to appear in the Fort Hook Municipal Court on a date at least 10 days from the issuance of the citation. What statute in Chapter 543 of the Transportation Code says that the time specified in the citation must be at least 10 days after the date of arrest? What statute on page 1933 of the Code Book gives us guidance on how to compute the number of days? Based on this statute, what day would be the earliest date that Adla and Charlie could be required to appear if the citation was issued on Saturday, June 29? Mark the date on the calendar. Sunday Monday Tuesday Wednesday Thursday Friday Saturday JUNE CITATION 30 JULY Clerk Candy gets busy entering the citations into her system. Her software requires her to determine several things when setting up the cases. Which of the offenses that Adla and Charlie were charged with are Rules of the Road offenses? (Hint: there are 3) The Rules of the Road offenses are those offenses contained in Subtitle C, Title 7 of the Transportation Code. Subtitle C is chapters 541 to 600. They begin on page of the Brick. What is the general fine range for a Rules of the Road offense? 2

12 Find an offense in the Rules of the Road that carries a higher fine than the general penalty. Name one Rules of the Road offense that does not involve driving a vehicle (and give the statute). What is the fine range for a Class C misdemeanor in the Penal Code? Find a Class C misdemeanor in the Education Code (and give the statute). Find any offense in any code other than the Transportation Code that carries a higher fine than $500. Section of the Transportation Code says that if an offense occurs in a construction or maintenance work zone with workers present, the minimum and maximum fine double. Adla and Charlie were not stopped in a construction zone, but if they had been, what would happen to the fine for each of the offenses cited? (Hint: you must determine to which of these offenses Section would apply) OFFENSE FINE RANGE Speeding No insurance No tail light No seat belt DUI Open Container Adla and Charlie both appear in the Fort Hook Municipal Court as they were supposed to. Name the three different pleas that they could enter to the charges. If they had failed to appear, the law requires a complaint be filed for the charge on which they failed to appear. The law also requires that a complaint be filed when the defendant enters one of the three above pleas. Which plea requires a complaint to be filed? What 12 words must a complaint begin with?. 3

13 Ideally, Officer Gotcha would be the affiant on the complaint. However, that s not necessary because Clerk Candy could be the affiant. And in the Fort Hook Municipal Court, she often is. Adla could have appeared by mail, but instead chooses to come to the court personally. He has found his insurance card, so he brings that to the court, along with a receipt from the auto shop showing that he had the tail light fixed. Section of the Transportation Code says that a person can produce proof of financial responsibility to the court that was valid at the time the offense is alleged to have occurred. After the court the document produced, the court dismiss the charge. Clerk Candy has a standing order from her judge, Judge Payne, directing her to verify proof of insurance, and if valid, to complete the paperwork for a dismissal that the judge will then sign off on. Candy does so, and informs Adla that the no insurance charge is dismissed. Adla would not necessarily have to bring in an insurance card, as liability insurance is only one way to prove financial responsibility. Look on page 1197 in the Code Book, Section of the Transportation Code. If Adla was still a star and hadn t spent his fortune, how much of a deposit would Adla have to make with the county judge to meet the requirement to maintain financial responsibility in lieu of having liability insurance? As for the no taillight charge, Clerk Candy relies on the compliance dismissal found in Section (c) of the Transportation Code that says a court dismiss a charge for an equipment violation if the defendant: 1) the defect before the defendant s first court appearance; and 2) pays an administrative fee not to exceed $. Judge Payne has another standing order allowing clerks to verify the compliance dismissal and assess the administrative fee. Clerk Candy sends her bailiff out to visually verify the taillight has been replaced, and then processes the dismissal page. Adla pays his administrative fee and that case is dismissed. If Adla had failed to appear for his remaining charges, what offense could he be charged with then? What is the statute for that offense? What is the fine range for that offense? If Adla failed to appear in court, Judge Payne could issue an. There are two statutes that deal with arrest warrants: Article and Article of the Code of Criminal Procedure. One is issued by a magistrate; the other by a judge. Which one is issued by a judge? In either case, Article 1.06 of the Code of Criminal Procedure tells us that no warrant shall be issued without supported by oath or affirmation. On the remaining charges, he enters the following pleas: Speeding No seat belt No contest Guilty Which of the offenses with which Adla was charged are eligible for a driving safety course? For that charge, Adla requests a DSC. As for Charlie, he also appears in person. But, if Charlie had failed to appear, what offense could he be charged with? What is the statute for that offense? What is the fine range for that offense? 4

14 Thankfully Charlie is not considered a child (at least age but younger than age ), as that would require the court to follow different rules. What statute tells courts when they must or may transfer a case to the juvenile court? (hint: look on page 1529) What statute says that children must appear in open court with a parent? (hint: look on page 545) A municipal judge may allow a child defendant to elect to discharge the fine and costs by performing or under Article , C.C.P. or by paying the fine now, at some later date, or at designated intervals. Under what statute may a municipal judge waive payment of a fine or costs imposed on a child defendant who defaults in payment if the facts and circumstances warrant it? (hint: look on page 553) What statute describes the contempt provision for children? (hint: look on page 554) How many statutes are there that address expunction of juvenile criminal records? List them. Hint: look at the chart in the charts section of your course binder. But none of the special provisions regarding children apply here because Charlie is just a minor. Section of the Alcoholic Beverage Code says that no minor may plead guilty to an offense under this chapter except in court before a. This means that Charlie may not have entered his plea by mail and Charlie must see Judge Payne instead of entering a plea to Clerk Candy on the DUI charge. Charlie asks Clerk Candy if he may get probation. Look at the Deferred Disposition statute in Article of the Code of Criminal Procedure. What is the 34th word of subsection (a)? (now go back and read subsection (a)) Thus, Clerk Candy tells Charlie he must ask Judge Payne. Candy sets Charlie on a docket to see the judge the next week. In the meantime: Judge Payne is an experienced judge with a good reputation in the community. People have found him to be fair, respectful, and considerate. Two men come to Candy s desk, identify themselves as Kroger and Dorfman, old military squad mates of the judge, and ask to see him. Candy sends someone to pass the message on to the judge. While waiting for the return of the messenger, Candy overhears Kroger and Dorfman discussing old times, including the disturbing story of how they first met Judge Payne, whom they call Major. Upon first entering the military many years ago, Kroger and Dorfman observed Major using the window of a tank as a rest room. Horrified, Candy wonders to herself whether this behavior, if made known to the Commission on Judicial Conduct, would result in sanctions. Would it? a. Yes, this is conduct that brings discredit upon the judiciary 5

15 b. No, the Commission has no authority to sanction a judge for acts that occurred before a judge took the bench Judge Payne is about to go to trial on another case. Clerk Candy is busy sorting through juror information cards that have been returned and noting exemptions or excuses, and getting the case files ready for the judge, prosecutor, and defendant, including sending a copy of the complaint to the defendant. Potential jurors have filed signed statements with the clerk claiming exemptions. Which of the following claimed exemptions is not valid (hint: look at Section of the Government Code)? a. Mr. Burns claimed an exemption because he is 76 years old b. Ms. Cleaver claimed an exemption because she has two sons under the age of 12 who would be unsupervised if she served as a juror (which would be particularly disastrous for her son, Beaver) c. Mr. Griffith claimed an exemption because he served on a jury last year in Mayberry, which has a population of 1,500 d. Ms. Huxtable claimed an exemption because she is currently a student at a public university Back to Adla. Adla meets all the requirements to get a driving safety course for the speeding charge. He has not taken one in the past 12 months, he has a valid Texas driver s license, he showed his proof of financial responsibility, it is the right kind of offense, and he files the appropriate affidavits. Judge Payne grants his request to take a DSC. He is ordered to pay the court costs and complete the DSC within 90 days and submit proof of completion to the court. He also must pay an administrative fee of $10. Is the fee the correct amount? (Hint: see Article of the Code of Criminal Procedure) How many subsections are there in the DSC statute? For the seatbelt offense, Judge Payne accepts Adla s guilty plea and assesses the maximum fine of $50 plus payment of all court costs. Adla is not so concerned with taking a conviction on the seat belt offense because it is not a moving violation and will not appear on his driving record. How much is the consolidated fee on fine-only misdemeanors? What two court costs apply only to Rules of the Road offenses and how much are they? What three court costs require their own fund and an ordinance to be enacted to collect? How much is the Moving Violation Fee? In what code is the list of moving violations found? How much does the city get to keep of this fee if it is timely reported? If Adla fails to pay the fine and costs on this charge, Judge Payne could issue a. If Officer Gotcha has to process or execute a capias pro fine, how much would be added to the court costs that Adla owes? 6

16 If Adla fails to turn in proof of completion for the DSC, he would have to appear on a show cause hearing. If he failed to show cause for why he did not complete the course, Judge Payne would enter a conviction against Adla and order him to pay a fine and any remaining costs. If the judgment allowed him to pay over three months, what fee would be added and how much is it? There are many differences between municipal courts of record and courts of non-record. court is review in the county court. If Adla wanted to appeal that conviction, how long would he have too file his appeal bond and notice of appeal? But, let s assume that he does everything he must on the speeding charge, and his case gets. Fort Hook is a non-record municipal court. This means that an appeal from the Fort Hook municipal For Charlie Judge Payne grants him deferred disposition on both the DUI and Open Containerr charges, but only after a stern lecture and warning. Because he is so serious about alcohol offenses, Judge Payne requires that Charliee complete many conditions of his deferred disposition, including: payment of all court costs; payment of a that cannot exceed the maximum amount of the fine that could have been imposed (some sum of money); completion of the required class (required by Section of the Alcoholic Beverage Code); community service (although not required for DUI, it is a condition) (hint: see Article (b)(10) of the Code of Criminal Procedure); attend a driving safety course (required because Charlie is under age and both DUI and open container are considered ); and attend an 25 class. Section of the Alcoholic Beverage Code sayss that the courtt furnish to the Department of Public Safety a notice of each order of deferredd disposition for an offense under Chapter 106. Let s also assume that Charlie who really wants to keep these charges off of his record does everything he is supposed to do and submits all proof to the court within the time of his probation. How long may the probation period be? (hint: begins with up to ) Let s pretend, though, that Charlie did not complete the deferral, was set for a show cause, failed to appear, and conviction was entered. If Charlie had paid the special expense fee, would he also have to pay a fine? While Adla and Charlie are in their deferral periods (for Adla underr the DSC statute and for Charlie under the Deferred statute), Clerk Candy must continue business as usual. Clerk Candy must report to the Office of by the 20th day of each month in the OCA. Clerk Candy must report convictions to the Department of within days of conviction. Court costss are reported (how often) to the of Public Accounts. Are We Having Fun Yet? 7

17 Notes

18 Notes

19 Presented by: Tracie Glaeser, CMCC, CCM TMCEC Program Coordinator What is It? A professional development program for municipal court clerks Comprised of 3 levels of competency CCCI; CCCII; CMCC Designed to improve your knowledge, skills and abilities within municipal court Increase proficiency and job performance as you grow within your chosen profession Who are the Sponsors? TMCEC Texas Municipal Courts Education Center TCCA Texas Court Clerks Association TMCA Texas Municipal Courts Association Texas State University-San Marcos

20 Level I Where should I start? Download a study guide from (it s free!), or order a copy off the website. Study, study, study!! Take the Level I Exam Attend 40 hours of education (32 right here!) LASTLY, submit your application for CCCI Submitting Your Level I Application Step 1 - Proof you Passed the exam! Step 2-40 hours of education *Continuing Education hours (CEUs) expire after 3 years Step 3 Maintain with 12 hours annually *Approved CEU providers on the website Level II What s next you ask? Download a study guide from (it s free!), or order a copy off the website. Study, study, study!! Take the Level II Exam Attend 40 hours of education LASTLY, submit your application for CCCII

21 Submitting Your Level II Application Step 1 - Proof you Passed the exam! Step 2-40 hours of education *Continuing Education hours (CEUs) expire after 3 years Step 3 Maintain with 12 hours annually *Approved CEU providers on the website What s Level III? The highest level of certification. Once you become a Certified Level III Clerk, you earn the title of Certified Municipal Court Clerk (CMCC). Requirements for Level III: Complete Level III Certification Exam; Complete Court Observation Journal Attend 24-Hour Assessment Clinic 12-Hour Court Administrator seminar Complete 28 hours training Maintaining Certification You must attend continuing education (CEUs) to maintain the level of certification you have achieved. CEU Requirements: Level I - 12 hours each academic year Level II - 12 hours each academic year Level III -20 hours each academic year *TMCEC Academic Year September - August

22 FAQs When & where can I take the test? Tests are offered at all TMCEC 12-Hour regional conferences We offer periodic tests in TMCEC office At TMCA & TCCA Annual Meeting. TCCA Chapters offer periodic testing FAQs How and when will I know if I passed the test? TMCEC is the official recorder of tests and CEUs. TMCEC has provided you with a unique student profile. Results may take as long as 45 days. Log-in to your profile and review your academic records and certification status. FAQs What happens if I fail the test? No limits on when you retest No limits on how many times you retest Registration fees MUST be paid prior to testing

23 More FAQs How do I get CEUs for additional hours? Prep Sessions- 4 hours TMCEC Optional Sessions hours Online Learning Center (OLC) TMCEC Web Live or Archived webinars Max of 8 hrs. TCCA & TMCA Conferences & many more More FAQs Are there deadlines and expiration dates that I need to know about? Exam expires in 3 years for Level I & II Level III Exam expires in 5 years CEU Hours expire in 3 years Level III Assessment Clinic does NOT expire 12/20 hrs. each year are ALWAYS required How Much Does It Cost? TCCA/TMCA Members Non Members Level I: $75 Must pass all parts in one sitting to advance Level II: $75 all parts or $25 per part Level III: $25 per part Level I: $150 Must pass all parts in one sitting to advance Level II: $150 all parts or $50 per part Level III: $50 per part

24 Everyone s Doing It 464 Municipalities participating in the program 1708 Municipal Court Clerks Certified at various levels 27% increase in Level I Certifications in 2016 Average time between Level I & II is 2.3 years! Everyone s Doing It 678 Level I Certified Municipal Court Clerks 532 Level II Certified Municipal Court Clerks 56 CMCC, Level III Certified Municipal Court Clerks (Active) 74 All Time at Level III Need More Incentive? Many cities offer incentives to clerks who achieve levels of certification, such as pay raises. Some cities are even making certification a condition of hiring or continued employment!

25 Resources online.tmcec.com 2 DIFFERENT LOGIN LOCATIONS

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27 Texas Municipal Court Clerk Certification Program Costs Registration Fees Certification Test TMCA/TCCA Members Non-members Level I Level I $75 $150 Level II $75 Test all parts $25 Test per part Level III $75 Test $25 Test per part Level II $150 Test all parts $ 50 Test per part Level III $150 Test $ 50 Test per part New Clerks 32 Hour $250 (rooming costs included) Regional Clerk 12 Hour $100 (plus rooming costs) Assessment Clinic (Must be Level II) $150 (plus rooming costs) Court Administrator 12 Hour $150 (plus rooming costs) Prep Sessions 4 Hour Free group study session with an experienced facilitator Study Guides ($3 shipping may apply) Course Materials Level I $25 Tabbed Hardcopy No Fee Online PDF Level II $25 Tabbed Hardcopy No Fee Online PDF Level III Booklist (16) Purchase: Varies Borrow: $100 Deposit Revised

28 FY th Edition End of Year Report Prepared by: Tessa Madison, Program Coordinator Tracie Glaeser Program Coordinator Sheana Mata Certification Assistant Municipal Court Clerk Certification Robby Chapman Program Director Hope Lochridge, Executive Director Inside this report: Active Certified Municipal Court Clerks 3 Exam Evaluation Summaries Level I Exam Evaluation Summaries-Level II Goals 17 Every step toward the goal of justice requires sacrifice, suffering, and struggle; the tireless exertions and passionate concern of dedicated individuals. MLK, Jr. Growth Statistics 2 Intern Report 18 Participation Numbers Progress Report 16 Renewals 3 2 Study Session Evaluations-Level I 6 Study Session Evaluation-Level II Study Sessions 4 Testing 5 8 The Municipal Court Clerk Certification Program is sponsored by the Texas Court Clerks Association in cooperation with the Texas Municipal Courts Association, Texas Municipal Courts Education Center, and Texas State University. The Texas Municipal Courts Education Center is funded by a grant from the Texas Court of Criminal Appeals.

29 Page 2 End of Year Report Participation Numbers (As of August 31, 2016) Certified in FY 16 Certified in FY 15 % Change from FY 15 Program Totals (Ending 8/31/16) Level I Certified % 607 Level II Certified % 492 Level III Certified % 51 Growth Statistics Participation Totals Per Level Level 1 Level 2 Level 3 In FY 16, Level II and III new certifications saw a slight dip. However, the total number of certified clerks increased. Below are two charts reflecting participation growth since TMCEC adopted new reporting methods in 2009; data before 2009 does not seem to be as uniformly collected and therefore was not included in this report. The most interesting observation of the data is the rapid growth of Level II certified clerks. This possibly suggests that once achieving Level I certification, clerks are more likely to maintain certification and work towards achieving higher levels of certification. More data on retention rates would need to be collected to confirm this theory Total Participation Numbers

30 FY Page 3 Renewals The renewal process has been greatly aided by the recent additions of online renewals, and automatic renewals for those who attend TMCEC seminars. While much of FY15 was spent communicating these changes, FY16 reflected the benefits of these changes to reporting. Time spent managing renewals was greatly reduced and participants appreciated the ease of completing renewals. To ensure proper notification, four reminders notices were sent out quarterly. As the deadline approached, two additional attempts were made by phone to remind participants. Lost Certifications FY 16 Failed to Renew FY 16 Active 4 26 Inactive Active Certified Municipal Court Clerks (Level III)* Connie L. Crenshaw, Luling Alicia G. St. Cyr, Richland Hills Susie A. Garcia, San Marcos Luevada E. Posey, Killeen Carol E. Gauntt, Weatherford Christy G. Punches, Sanger Kathryn A. Wells-Vogel, Odessa Jeanie Roumell, Retired Tracie L. Glaeser, Retired/TMCEC Julie A. Kubeczka-Day, Retired Phyllis A. Mathison, Retired Rhonda R. Kuehn, Brenham Elaine P. Brown, Retired Cathy Haney, La Porte Pat Riffel, Friendswood Lei Holder, Retired Bonnie A. Townsend, Lockhart Lisa Howard, Hurst Dianna Faulkenberry, Decatur Terri Neal, Trophy Club Amy B. Bockes, Oak Point Pam Folsom, Lumberton Luane Anders, Webster Catherine H. Leloux, Georgetown Leona Clay, Harker Heights Renee S. Moses, Midlothian Fawn A. Mackey, Sealy Clifton D. Corley, Carrollton Kimberly D. Kierce, Richardson Lesa R. Keith, Justin Delena K. Franklin, Retired April Christiansen, Cedar Park Jennifer Bozorgnia, Irving Mary Jane C. Grubb, Austin Bobbie Spence, Forrest Hill Landra D. Hudson Solansky, Seguin Christine Valdovino, Round Rock Janelle Williams, Galveston Jaime Brew, Sugar Land Karen Armstrong, Greenville Linda J. Rose, Universal City Brittany D. Rychlik, Sugar Land Sherri Brandt, Katy Courtney B. Acklin, Palestine Patty A. Stav, Webster Rosemary Bell, La Marque Melissa Lindberg, Abiline Shannon R. Wagner, Webster Kaylee A. Brune, Columbus Valerie A. Bryant, Fulshear Claudia E. Lemon, Boerne Sarah Friberg, Manor Christina Dahse, Willis Lisa Davis, Wylie *chronological order

31 Page 4 End of Year Report Study Sessions To maximize success on the Level I and Level II exams, TCCA and TMCEC work together to offer multiple four(4) hour preparation courses. These sessions offer a review of the subject matter presented on the exam as well as a practice test. They are offered at a variety of locations across the state throughout the academic year. This list below are the locations that the Prep-Sessions were offered during fiscal year 2015/2016: Date Location Level I Level II 10/26/2015 Tyler /8/2015 Austin /5/2016 San Antonio /10/2016 Galveston /14/2016 Houston /9/2016 Addison /20/2016 Dallas /11/2016 Lubbock 3-4/25/2016 South Padre Island /5/2016 Corpus Christi /10/2016 San Antonio /20/2016 El Paso 2 - Totals Knowledge has to be improved, challenged, and increased constantly, or it vanishes. Peter Drucker Totals for FY Totals for FY Totals for FY Totals for FY In FY , preparation courses are planned for the following sites: October 24, 2016 Tyler November 15, 2016 Austin January 9, 2017 San Antonio January 29, 2017 Galveston February 26, 2017 Houston March 27, 2017 Austin April 3, 2017 Amarillo May 1, 2017 South Padre Island June 5, 2017 Odessa June 26, 2017 Addison March 6, 2017 Addison

32 FY Page 5 Testing TMCEC and TCCA also work together in facilitating exams Each site offers all three levels of the exam to clerks. Participants also have the option to test at the TMCEC office in Austin. *Indicates chapter hosted exam Date Location Level I Level II Level III 10/1/2015 San Antonio * /11/2015 Allen* /28/2015 Tyler /10/2015 Austin /18/2015 Hurst* /7/2016 San Antonio /12/2016 Galveston /28/2016 Austin /16/2016 Houston /11/2016 Addison /22/2015 Dallas /13/2016 Lubbock 5 3-4/18/2016 Pearland* /27/2016 S. Padre Island /16/2016 Pearland* /7/2016 Corpus Christi /11/2016 San Antonio /22/2016 El Paso Test anxiety - a combination of physiological over-arousal, tension and somatic symptoms, along with worry, dread, fear of failure, and catastrophizing, that occur before or during test situations. 6/24/2016 Temple* /29/2016 Austin /28/2016 Jersey Village* In Office Testing TMCEC Totals for FY Totals for FY Totals for FY Total for FY Totals for FY The following sites and dates are for the fiscal year testing: October 26, 2016 Tyler February 3, 2017 McAllen May 3, 2017 S. Padre Island November 17, 2016 Austin February 28, 2017 Houston June 7, 2017 Odessa December 2, 2016 San Angelo March 8, 2017 Addison June 13, 2017 Austin January 11, 2017 San Antonio March 29, 2017 Dallas June 28, 2017 Addison January 26, 2017 Austin April 5, 2017 Amarillo January 31, 2017 Austin April 21, 2016 Beaumont

33 Page 6 End of Year Report Study Session Evaluations Level I* At every study session, TMCEC staff distribute evaluation forms for the participants to provide feedback. 1 = Low to 5= High Instructor s Presentation Skills 1 2% 2 1% 3 5% 4 19% 5 74% Reasons for attending the session: I need four hour credit I wanted assistance passing the exam I wanted to learn more Material Usefulness 1 1% 2 2% 3 6% 4 20% 5 72% My supervisor/city requires attendance Those who planned on taking the exam after the session: Effectiveness of Strategies 1 0% 2 3% 3 8% 4 21% 5 77% Yes No Overall Prep-Course 1 0% 2 1% 3 10% 4 22% 5 67% Number of TMCEC or TMCA study sessions attended: Zero *Based on 122 completed evaluations

34 FY Page 7 Study Session Evaluations Level I, con t Percentage of study guide read prior to study session: What else can TCCA, TMCA, or TMCEC do to help you prepare for the exams? How participants write answers in the study guide: Was the four-hour session the right amount of time? All 25% 50% 75% None I answered all the questions myself I answered some but not all questions I just study the answers in the back Neither Yes No, it should be 5 hours No, it should be 6 hours More questions on study guide/prep session material. (15) Question/answers together in study guide chapters. (5) Local study groups in our area. (3) Online webinar like a study group. Have more time to discuss certain questions. Talk more about what to expect on Level I testing and test taking strategies There needs to be more in depth answers as to what the answer means and relation to the questions. Go through each chapter. Allow retakes of just one section for Level 1. Possibly additional content: traffic law and reporting. Have more convenient prep session. So some do not have to travel so far somewhere they may get to conveniently. Let us print flash cards. Don't make the test too long. Study session should be from 8-5. Have one day to study.

35 Page 8 End of Year Report Pre-Conference Study Session Evaluations Level II* At every study session, TMCEC staff distribute evaluation forms for the participants to provide feedback. 1 = Low to 5= High Instructor s Presentation Skills 1 0% 2 0% 3 1% 4 8% 5 91% Material Usefulness 1 0% 2 0% 3 1% 4 12% 5 87% Effectiveness of Strategies 1 0% 2 0% 3 1% 4 21% 5 77% Overall Prep-Course 1 0% 2 0% 3 5% 4 12% 5 83% Reasons for attending the session: Those who planned on taking the exam after the session: Number of TMCEC or TMCA study sessions attended: I need four hour credit I wanted assistance passing the exam I wanted to learn more My supervisor/city requires attendance Yes NO Zero *Based on 77 completed evaluations

36 FY Page 9 Pre-Conference Study Session Evaluations Level II, con t Percentage of study guide read prior to study session: How participants write answers in the study guide: Was the four-hour session the right amount of time? Yes All 25% 50% 75% None All 25% 50% 75% None No, it should be 5 hours No, it should be 6 hours What else can TCCA, TMCA, or TMCEC do to help you prepare for the exams? Need to have study session first followed by the testing. (6) Longer prep sessions, more materials. I wish we could download the flashcards. I would like feedback on areas that we needed improvement, even after we passed. Help in areas for the next level. Offer more interactive items online for certification prep. I don t think the questions on the exam should be designed to trick the tester. They should be stated in plain/simple language. You are testing for knowledge on the subject. Make exams easier since we are not lawyers or judges, shorter tests, clerks do not do all duties. Two days of training. More practice tests! Have more study sessions. The test questions could be more straight forward and not as tricky. Not as much material to cover. Maybe practice tests at a site where you don't have notes but just a way to give you an idea if you are ready to take the exam. It would be nice if they broke down in sections for L2 since you only have to retake the parts you didn t pass.

37 Page 10 End of Year Report Level I Exam Evaluation Summary* Every clerk who successfully passes the exams receives an exam evaluation. The following is a summary of the returned evaluations: Overall, the Level I Examination was: A. The appropriate level of difficult Strongly Agree/Agree 78% Neutral/No Comment 16% Strongly Disagree/Disagree 6% B. Adequately tested my knowledge of the court Strongly Agree/Agree 88% Neutral/No Comment 8% Strongly Disagree/Disagree 5% C. Clearly written Strongly Agree/Agree 66% Neutral/No Comment 25% Strongly Disagree/Disagree 9% D. The appropriate length of time Strongly Agree/Agree 89% Neutral/No Comment 5% Strongly Disagree/Disagree 6% E. The appropriate format Strongly Agree/Agree 83% Neutral/No Comment 14% Strongly Disagree/Disagree 3% F. The appropriate number of questions Strongly Agree/Agree 66% Neutral/No Comment 27% Strongly Disagree/Disagree 8% G. Fairly and competently administered Strongly Agree/Agree 86% Neutral/No Comment 9% Strongly Disagree/Disagree 5% H. What I expected Strongly Agree/Agree 67% Neutral/No Comment 22% Strongly Disagree/Disagree 11% *Based on 64 completed evaluations How many attempts did it take for you to be successful in the Level I Exam? How many years have you been employed by your court? NC Approximately how many judicial seminars have you attended?

38 FY Page 11 Level I Exam Evaluation Summary, con t. Questions or areas of the exams that I felt needed improvement were: State and City Reports Pre-Trial Procedures Trial Procedures Post-Trial Procedures Communications and Stress Management Traffic Law Authorities and Duties Please rate how helpful you found any of the following activities that were part of your study process: A. Completed the TMCEC study guide Strongly Agree/Agree 94% Neutral/No Comment 6% Strongly Disagree/Disagree 0% B. Attended a TMCEC study session Strongly Agree/Agree 52% Neutral/No Comment 42% Strongly Disagree/Disagree 6% C. Attended a TCCA study session Strongly Agree/Agree 19% Neutral/No Comment 77% Strongly Disagree/Disagree 5% D. Attended a study session offered by my court Strongly Agree/Agree 19% Neutral/No Comment 80% Strongly Disagree/Disagree 2% E. Worked with a study partner Strongly Agree/Agree 25% Neutral/No Comment 75% Strongly Disagree/Disagree 3% F. Worked with your judge Strongly Agree/Agree 13%

39 Page 12 End of Year Report Level II Exam Evaluation Summary* Every clerk who successfully passes the exams receives an exam evaluation. The following is a summary of the returned evaluations: Overall, the Level I Examination was: A. The appropriate level of difficult Strongly Agree/Agree 78% Neutral/No Comment 16% Strongly Disagree/Disagree 5% B. Adequately tested my knowledge of the court Strongly Agree/Agree 86% Neutral/No Comment 11% Strongly Disagree/Disagree 3% C. Clearly written Strongly Agree/Agree 76% Neutral/No Comment 19% Strongly Disagree/Disagree 5% D. The Appropriate length of time Strongly Agree/Agree 95% Neutral/No Comment 5% Strongly Disagree/Disagree 0% E. The appropriate format Strongly Agree/Agree 92% Neutral/No Comment 8% Strongly Disagree/Disagree 0% F. The appropriate number of questions Strongly Agree/Agree 86% Neutral/No Comment 14% Strongly Disagree/Disagree 0% G. Fairly and competently administered Strongly Agree/Agree 97% Neutral/No Comment 3% Strongly Disagree/Disagree 0% H. What I expected Strongly Agree/Agree 68% Neutral/No Comment 27% Strongly Disagree/Disagree 5% *Based on 37 completed evaluations How many attempts did it take for you to be successful in the Level II Exam? How many years have you been employed by your court? Approximately how many judicial seminars have you attended? NC NC

40 FY Page 13 Level II Exam Evaluation Summary, con t. Questions or areas of the exams that I felt needed improvement were: The wording of the questions was tricky Financial Reporting Bonds Juveniles Court Procedure Records Management Please rate how helpful you found any of the activities that were part of your study process: A. Completed the TMCEC study guides Strongly Agree/Agree 81% Neutral/No Comment 19% Strongly Disagree/Disagree 0% B. Attended a TMCEC study session Strongly Agree/Agree 49% Neutral/No Comment 41% Strongly Disagree/Disagree 11% C. Attended a TCCA study session Strongly Agree/Agree 16% Neutral/No Comment 81% Strongly Disagree/Disagree 5% D. Attended a study session offered by my court Strongly Agree/Agree 8% Neutral/No Comment 84% Strongly Disagree/Disagree 8% E. Worked with a study partner Strongly Agree/Agree 14% Neutral/No Comment 81% Strongly Disagree/Disagree 5% F. Worked with your judge Strongly Agree/Agree 16% Neutral/No Comment 7% Strongly Disagree/Disagree 5%

41 Page 14 End of Year Report Progress Report for Certification Goals for FY The following includes the progress of goals we set for ourselves in the year. Recruit New Participants Ongoing In FY16, the Director of Clerk Education presented a certification update and recognition at every clerk education event. This included 15 minutes at the Level III Assessment Clinic, 20 minutes at nine (9) regional seminars, 10 minutes at Court Administrators and 30 minutes on Day one (1) at New Clerks. Letters detailing the program will continue to be sent to all clerks following the completion of the New Clerks Seminar. While newly certified Level II and III numbers slightly decreased in FY 16, the total number of clerks participating this year increased. Website Ongoing TMCEC will keep the website up-to-date on a continuous basis for all personnel involved in municipal court activities. Clerks can submit their new renewal applications online. Through this same function they are now able to view the status of their renewal online. This new functionality will service in lieu of confirmation s. Additional enhancements and promotional opportunities are forthcoming. Send Postcard to City Managers Complete In the summer of 2015, TCCA Certification Assistant Sheana Mata constructed a survey that was electronically mailed to all active certified court clerks. TMCEC and TCCA used the data from this survey to create a brochure boasting the benefits of the Clerk Certification Program for their city. The brochure was printed and mailed out early September. Study Guides Complete Level I and Level II Study Guides were updated in FY 15/16 to reflect current law. In addition, changes were made to certain chapters. Tabs were added to each chapter for ease of use. The children's, minors and truancy portions were largely rewritten entirely. The appearance of the guides was updated to reflect a branding effort among all clerk programs and publications. Exams Complete Exams were reviewed and updated to reflect current law. Questions regarding the significant changes to the Family Code and truancy proceedings were added, effective in January 2016.

42 FY Page 15 Certification Program Goals for FY The following includes a list of goals for TMCEC for the coming year: Update Study Guides (Ongoing) The Level I and Level II study guides, flash cards, learning tools and teaching materials continue be updated to reflect changes from legislative sessions and as legal changes occur. One Day Clinics In FY16, TMCEC and TCCA offered local one day clinics to areas of the state that have little or no education opportunities. These clinics were well attended and will be continued in FY17. The programs will be from 8:00 a.m. to 5:00 p.m. in San Angelo (December 1, 2016), McAllen (February 2, 2017), and Beaumont (April 20, 2016). Certification exams will be offered on the day following the one day clinic and proctored by TCCA. Prep Sessions Prep sessions will be reformatted based on more interactive teaching strategies to aid in retention of knowledge. Activities such as flash cards, loop cards, and other interactive strategies etc. will be introduced into the prep sessions. Facilitators will need to be trained in the new teaching methods. Additional Study Material Level specific flash cards were adapted from the study guides and Online Learning Center (OLC). These will be printed for use in prep sessions and sold through TMCEC. Short video segments for the OLC were produced last summer and we continue to build our collection of new videos. Mentor Program Continue to explore and improve formalized mentoring sessions/groups for all levels of certification testing for individuals who prefer more one on one study time. TMCEC Website Reimagine and update TMCEC website for the Clerk Certification website. Goals are (1) simplify accessibility of program rules, tools, and forms and (2) market the program to city management and a larger demographic. In addition, TMCEC will seek to develop new media to broaden outreach and participation. City and Court Recognition TMCEC will continue to offer further recognition for cities and courts who participate in the clerks program. Uniform Promotional Branding Continue to develop uniform branding of the clerk program and certification across educational seminars, publications, and media. Updates to Education Programs At each regional clerk seminar, TMCEC will provide a skills based 50 minute break out class on Level I & II testing strategies. Statistical Metrics Review and create new reports from performance data to reflect program success which can be used in promotional materials, publications and the website. New Clerks Program in DFW in FY18 Create a preliminary outline and meet with stakeholders involved with upcoming 32- hour New Clerks series for the DFW area. The seminar will be comparable to the hugely successful education series offered for San Antonio in FY 15. Publish TML Article TMCEC will write an article for publication in TML Town & Country encouraging participation.

43 Intern Report Page 16 TCCA hired as an independent contractor, Texas State University criminal justice incoming graduate student, Sheana Mata, as the Certification Assistant in FY Sheana worked June 13, August 26, 2016 at the TMCEC building in Austin. She worked 40 hours weekly completing various tasks assigned by the Program Coordinator and Program Director. The chart is an overview of the projects assigned to the intern and their final status: Project Status (As of August 31, 2016) Develop Level II loop flash cards for prep sessions. Locate and document Level I and II study guide questions. Work with program coordinator on certification renewals. Prepare Level I flashcards for printing. Input seminar survey data for end of the year statistics. Completed Completed Completed Completed Completed Texas Municipal Courts Education Center 2210 Hancock Drive Austin, TX Phone: Fax: Toll free: The Texas Municipal Courts Education Center (TMCEC) was formed in 1984 by the Texas Municipal Courts Association (TMCA) to provide extensive, continuing professional education and training programs for municipal judges and court personnel. TMCEC is financed by a grant from the Court of Criminal Appeals out of funds appropriated by the Legislature to the Judicial and Court Personnel Training Fund. Fun Facts: During Fiscal Year The City of San Antonio had the highest number of Level I Certified Clerks with 53. The City of Houston had the highest number of Level 2 Certified Clerks with 22. The City of Webster was the only city with two Level III Certified Municipal Court Clerks. The City of San Antonio had the highest number of employees participating in the Certification program with a total of 58. The City of Houston had the second highest number of employees participating with a total of 52. The average time between achieving Level I and Level II Certification is 2.3 years (or 847 days).

44 Test Taking Tips Successfully completing an exam is directly related to mastering the content of the exam. But, when faced with a question that you do not know the answer to, there are some critical reading and thinking skills that can be employed. These tips are not meant to replace your application of knowledge. It is for application when you do not recognize the best answer. These tips apply in most test-taking situations and should not be seen as always true in all situations. In other words, apply these tips carefully. Multiple-Choice Test Tips Read the questions before you look at the answer. Come up with the answer in your head before you look at the possible answers. This will prevent you from being thrown off by the choices given. Read all the choices before choosing your answer. Eliminate the answers you know are not right. Usually the correct answer is the choice with the most information. The following types of choices should be looked at closely. Most often, they are not going to be the correct answer. 1. options that don't grammatically fit with the stem statement or question; 2. options that are totally unfamiliar to you; and 3. options that contain negative or absolute words. If there are two options that are opposite each other, look at those two closely as one of them is probably the correct answer. In all of the above or none of the above choices, if you are certain one of the statements is true don't choose none of the above or if you are certain one of the statements is false don't choose all of the above. In an all of the above question, if you see that at least two correct statements, then all of the above is probably the right answer. If you think the item is a trick question, look more closely. If you suspect that a question is a trick item, make sure you're not reading to much into the question and try to avoid imagining detailed scenarios in which the answer could be true. True-False Test Tips Usually there are more true answers than false (on most tests). Qualifiers are words that restrict or open up general statements. Qualifiers like never, always, and every mean that the statement must be true all of the time. Usually these types of qualifiers lead to a false answer. Qualifiers like usually, sometimes, and generally mean that if the statement can be considered true or false depending on the circumstances. Usually these types of qualifiers lead to an answer of true. If any part of the question is false, then the entire statement is false, but just because part of a statement is true doesn't necessarily make the entire statement true. If the question contains negatives like no, cannot, or not the drop the negative and read what remains. Then decide if the sentence is true or false. If it is true, its opposite, or negative, is usually false.

45 Texas Court Clerks Association APPLICATION FOR MUNICIPAL COURT CLERKS CERTIFICATION LEVEL I To apply for certification, you must have completed the following eligibility requirements: 1. Must have passed the test and: 2. Must provide proof that within three years preceding the application for certification, the applicant has successfully completed 40 hours of training as sponsored by the TCCA (state or local chapter), TMCA, TMCEC, or an alternate approved provider; or a combination thereof. *Please note that only 8 hours of online training can be used towards your application. Participants will receive a certificate of completion upon attainment of each of the three levels. When the entire three-level professional program has been completed, the participant will have earned the title of Certified Municipal Court Clerk and will be authorized to place the designation of CMCC following his/her name. Name: Application Date: City Served: Date Hired: Court Mailing Address: City: Zip: Court Telephone Number: ( ) Fax Number: ( ) Status: Full Time Part-time Position: Court Administrator Court Clerk Deputy Court Clerk Other (Specify): * I hereby swear or affirm that I have completed the certification requirements for Level I as indicated by the filing of this application. Applicant s Signature Date Sworn and subscribed before me this day of 20 SEAL Notary Public/ Court Clerk Before submitting your application, be sure have you enclosed the following: Certificates as proof of completion of the education requirements Proof of passing the Level I certification exam Mail to: Texas Municipal Court Education Center; 2210 Hancock Drive; Austin, Texas This is a cooperative project of Texas Court Clerks Association, Texas Municipal Courts Education Center, Texas Municipal Courts Association and Texas State University-San Marcos.

46 Relationships & Roles in the Court Ashley McSwain I. LAW ENFORCEMENT a. Includes police officers, code compliance, and animal control b. Enforces the law, initiates the charge, investigates for the prosecutor II. III. IV. PROSECUTOR a. City attorney or deputy city attorney (also called assistant city attorney) b. Not to convict, but to see that justice is done. Art , C.C.P. i. Denies charges or request dismissal of cases when needed c. Directs peace officers in preparing criminal cases i. Provide legal advice to PD including: regarding case preparation, legal procedures, and other requirements ii. Consults with officers, witnesses, victims, and complainants iii. Evidence collected, prepared for trial d. Investigates and Files cases i. This duty cannot be done by the judge or the clerk to preserve the impartiality of the court. 1. Investigate the facts surrounding alleged offenses and decide whether to file charges ii. Prepare and draft complaints 1. Clerk may assist in preparing routine complaints when it is a ministerial duty, but the prosecutor is responsible for the wording, the legal sufficiency, and accuracy of the complaints. Clerk s note: this means you can fill in the blanks but not draft the legal wording e. Represents State at trial i. Art , C.C.P. only requires an attorney representing the state for prosecutions at bench or jury trials. Therefore, not required to be present when a defendant appears to enter a plea ii. Arrange for the appearance of the state s witnesses, including requests for subpoenas and attachments iii. File motions with the court that are necessary to present the case DEFENDANT a. The accused. Once a complaint is filed, the defendant is no longer called a suspect (the person who is suspected of committing a crime) and becomes a defendant (the person defending the accusation that they committed a crime). b. Are they pro se? What s the difference? i. Pro se: 1. May discuss case (cannot if there is an attorney on file) 2. Provide information about procedures 3. May not give any type of advice, including legal advice 4. Schedule discovery viewing rather than the release of discovery DEFENSE ATTORNEY a. Represent a client zealously within the bounds of the law while upholding the duty to maintain public respect for the system b. Ensure defendant s rights are respected i. Argue for fair punishment Page 1 of 6

47 Relationships & Roles in the Court Ashley McSwain ii. Hold the officers accountable for improper actions iii. Ensure the prosecutor is acting justly c. Considered an officer of the court d. Once a letter of representation is provided to the court, speak to the court on behalf of the defendant i. Note: clerks should not speak with defendants who are represented by council, but should direct these defendants to speak with their attorney V. JUDGE a. General Overview: i. Public Official ii. Performs Judicial Duties iii. Performs Magistrate Functions iv. Performs Administrative Duties v. Performs Magistrate Duties vi. Responsible for the General administration of the Court vii. Establishes judicial policy viii. Establishes general court procedures ix. May delegate administrative duties to the clerk x. Delegates security duties to the bailiff xi. Presides over trials & other court proceedings xii. May not allow the clerk to influence any judicial decisions b. Judicial Duties. (Codes and statutes provide what actions should be done by the judge or the court): i. Make unbiased decisions ii. Exercise judicial discretion iii. Accepting pleas (clerks do not accept pleas) iv. Grant and Deny Motions v. Only person with authority to answer a question of law vi. May answer questions of fact, when jury is not paneled to be the fact finder vii. Assesses Punishment 1. Fines, judgments, convictions, other sanctions viii. Satisfying Judgments 1. Grants pay plans, community service, jail credit, and conducts indigency hearings ix. Issues process 1. Warrants, capias, summons, and much more c. Not allowed to delegate duties conferred by law, unless there is express statutory or constitutional authority to do so. Must be clear language in the statute allowing the judge to delegate a duty to the clerk otherwise not allowed to do so. i. May not delegate anything that requires the interpretation or application of law ii. May not delegate anything that requires determination of fact iii. May delegate ministerial duties, because no discretion is required. Such as: 1. Keeping and maintaining docket 2. Preparing paperwork for judge s signature 3. Maintaining files 4. Providing customer service d. Statutory List of duties that may NOT be delegated: i. Setting bail ii. Issue arrest warrants iii. Issue capias Page 2 of 6

48 Relationships & Roles in the Court Ashley McSwain iv. Issue a summons when requested by the prosecutor v. Issue a summons for the parent of a person under the age of 17 vi. Forfeit bail vii. Take and accept plea viii. Enter a plea of not guilty for a defendant who refuses to plead ix. Grant a motion for new trial x. Conduct pre trial hearings xi. Grant continuances xii. Conduct trials xiii. Issue a writ to summon a venire (jury panel) xiv. Rule on challenges to the array of the jury panel xv. Form the jury and administer the oath xvi. Charge the jury xvii. See the verdict is in proper form and render judgment or sentences following a jury trial xviii. Enter judgments xix. Setting fines xx. Grant deferred disposition xxi. Grant a driver s safety course xxii. Grant teen court xxiii. Determine how a defendant pays fine and costs 1. Time payment, extensions, community service xxiv. Grant community service or tutoring in satisfaction of fine or costs for juvenile defendants xxv. Grant jail time credit xxvi. Determine indigence xxvii. Waive fine & court dosts after defendant defaults and the judge determines that the defendant is indigent and that performing community service would be an undue hardship xxviii. Rule on motion for new trial xxix. Set and approve appeal bonds xxx. Issue a capias pro fine xxxi. Commit a defendant to jail for unpaid fines/costs xxxii. Conduct stolen or seized property hearings xxxiii. Dismiss cases when required by law or upon prosecutor motion xxxiv. Inform a juvenile and any parent in open court of the juvenile s expunction rights and provide then with a copy of the law xxxv. Order convictions and records expunged xxxvi. Hold a person in contempt VI. MAGISTRATE a. All Texas judges are magistrates but not all magistrates are judges. b. Like judicial duties, magistrate duties may not be delegated to clerks c. Examples of magistrate duties: i. Issue emergency protection orders for offenses involving family violence ii. Issue a warrant when any person informs the judge, under oath, of an offense about to be committed iii. Conduct peace bond hearings iv. Verbally order a peace officer to arrest, without warrant, when a felony or breach of the peace is committed in the presence or within the view of a magistrate v. Accept complaints (probable cause affidavit) and issue arrest warrants and summonses vi. Give magistrate warnings after arrest vii. Take a plea and set and collect a fine when a defendant is arrested on an out of county warrant for a fine only offense viii. Conduct examining trials in felony cases to determine probable cause ix. Determine the sufficiency of sureties x. Order a defendant to submit to an examination in a mental health facility Page 3 of 6

49 Relationships & Roles in the Court Ashley McSwain determined by a local mental health authority on that authority s request xi. Set and accept bail, including personal bonds xii. Issue search warrants; mere evidence may issue only from an attorney judge xiii. Move to dispose of the weapon if no prosecution or conviction will occur when a weapon has been seized xiv. Direct a peace officer to prevent a person from leaving a facility to prevent the spread of a communicable disease VII. VIII. BAILIFF a. Maintain order in the courtroom. b. a court shall require that proceedings be conducted with dignity and in an orderly and expeditious manner and control the proceedings so that justice is done Section (b), G.C. i. Judge is required to uphold this the judge relies on the bailiff for these duties c. Clerk s note: Just like the judge delegates the ministerial duties to the clerk, he delegates the security duties to the bailiff. The bailiff has his or her assigned duties, and during court the judge can order the bailiff to do certain things for maintaining this statute such as ordering the bailiff to remove a person from the court room. d. Municipal Courts in Texas are not required by law to have a bailiff (but you should have at least one for the protection of everyone in the court) Reports directly to the judge e. Generally, opens and closes court sessions f. May be assigned other duties, such as: i. Attend to the jury such as keeping them together and separate from all other citizens during deliberations ii. Escorting convicted to arrange payment iii. If judge directs and authorizes may administer oaths to witnesses iv. Carry written communications between jury and judge v. Inform judge when the jury has reached a verdict g. Answer questions, explain court procedures, and generally maintain order. CLERK a. In general: i. Performs administrative duties for the judge ii. Helps implement the judicial policy and general court procedures established by the judge iii. Must be a clear separation between judicial and administrative functions iv. Processing clerical work of the court v. Administering daily operations vi. Maintaining court records vii. Coordinates the scheduling of cases viii. Other duties outlined in city charter or ordinances ix. Keep minutes of the proceedings of the court, issue process, and generally perform the duties for the municipal court that a county clerk performs for the county court Sec (c), G.C. x. Provide info on court procedure xi. May NOT give legal advice xii. Impartially complete duties xiii. May NEVER attempt to influence the outcome of any case Page 4 of 6

50 Relationships & Roles in the Court Ashley McSwain b. Ministerial duties when nothing is left to discretion. Generally, administrative duties, not on the statutory list of judicial or magistrate duties that cannot be delegated. Examples include: i. Records management ii. Financial management iii. Office management iv. Preparation of processes (warrants, capias, capias pro fine, judgments, summonses, subpoenas, orders) v. Preparation of paperwork for defendants requesting a driving safety course or being granted deferred disposition vi. Preparation of the budget vii. Collection of data for and timely submission of state reports viii. Coordination of trial processes ix. Coordination of community service and other alternative sentencing options x. Coordination of orders with the police department c. Duties that mirror county court clerk duties: i. Deposits fines and fees in the city treasury ii. Make reports to the city council of fines and fees iii. Keep records of money collected iv. Keep records of names and length of service of citizens who serve on municipal court juries v. Transfer case only applicable in Municipal Court when transferring a juvenile case to the juvenile court, or when a change of venue for a person allowed to participate in a teen court program has been granted vi. Destroy records either in accordance with the city s ordinance that has been approved by the state library and archives commission governing the retention and destruction of records OR with permission from the State library vii. Keep records of all fines, fees, court costs, and restitution collected by the court and prepare a bill of costs showing the defendant what fees and costs are payable viii. Report monthly court statistics to the office of court administration d. Statutorily Required duties: i. Judge or clerk (typically delegated to the clerk) must keep a docket containing all statutorily required information (see Article , C.C.P.) ii. Posting of criminal dockets (online or designated public place in courthouse) iii. Magistrates and judges required (and typically delegated to clerk) to keep a record of each case which a person is charged with a violation of law regulating the operation of vehicles on highways. iv. Reporting conviction and bail forfeitures involving traffic offenses to DPS within seven days v. Shuffling the jury, preparing a new jury list, providing the new list to prosecutor and the defendant or defendant s attorney vi. Delivering copy of permanent jury duty exemption to the county tax assessor collector vii. Forward appeals to appellate court viii. Docketing bond forfeitures on the scire facias docket (judge or clerk duty, typically delegated to clerk) ix. Send copy of emergency protection order to victim of family violence, if that victim is not present when the order is issued x. Judge or clerk (typically delegated to clerk) must immediately notify DPS if a concealed handgun license is suspended in conjunction Page 5 of 6

51 Relationships & Roles in the Court Ashley McSwain with the issuance of an emergency protective order xi. Serving as the custodian of any arrest warrants or affidavits made in support of that warrant. These documents are public information and the clerk has a duty to make copies available for public inspection after the warrants are executed xii. Making copies of an affidavit for a search warrant, after it has been executed, and making those copies available for public inspection. e. Administrative Functions: i. Preparing process ii. Preparing correspondence and notices iii. Processing fine payments and bonds iv. Maintaining accounting records v. Managing the office and personnel vi. Coordinating trials and appearances vii. Maintaining records viii. Producing reports ix. Coordinating alternative sentencing x. Coordinating community service xi. Coordinating juvenile cases and rehabilitative sanctions xii. Processing dismissals xiii. Coordinating administrative and other hearings xiv. Processing bond forfeitures xv. Overseeing budget xvi. Accepting complaints and entering on docket xvii. Any other ministerial function delegated by the judge f. Authorities: i. Summoning the jury if commanded by the judge ii. Administering oath to jurors iii. Administering oath to complainant iv. Issuing subpoenas IX. 1. Judges issue summons, clerks issue subpoenas. Know the difference. Subpoenas are for witnesses; therefore, no discretion is required. v. Authenticating acts (placing the court seal on documents) STANDING ORDERS a. The document that provides approval for the clerk to perform duties. When the judge has designated parameters, approvals, and specific information within these orders, and subsequently has signed these orders, the clerks are being delegated certain tasks that would otherwise be judicial duties. Examples are: i. Clerks processing DSC requests or deferred disposition if the defendant meets certain criteria (judge still has to sign the judgment) ii. Parameters on when a continuance will be approved by the judge, so the clerk can maintain the docket (such as one per side). iii. Window fines or standard fines iv. An approved payment plan structure v. Processing compliance dismissals if certain criteria is met b. Standing motions Some courts use standing motions by the prosecutor that are similar to the standing orders. Example: i. Motions to dismiss certain cases within certain parameter c. Outside of standing orders if it is not a clerical duty, or a duty very specifically proscribed by the judge under the standing orders the clerk cannot and should not do it. Page 6 of 6

52 7/7/2017 Misdemeanors Matter What is a Misdemeanor? A misdemeanor is a crime punishable by a fine, jail time for a period of up to a year, or both Felonies, on the other hand, carry fines and prison time of a year or more Source: America s Courts and the Criminal Justice System David W. Neubauer and Henry F. Fradella What is a Misdemeanor? While less serious than felonies, misdemeanors are NOT insignificant offenses in the punishments they carry and their consequences to society! 1

53 7/7/2017 Purpose of the Judicial System While it the Legislature s role to create laws, it is the judiciary s role to interpret laws and determine if somebody is in violation of a law It is the judiciary s job to ensure that laws are applied equally and fairly to everybody When somebody commits a misdemeanor, they go to court to determine what, if any, penalty they face But as we will discuss shortly, the consequences of a misdemeanor extend beyond court imposed penalties The Vital Role of Municipal Courts in Texas More people come into contact with municipal courts than all other levels of the Texas judiciary combined Over 5 million misdemeanor cases are filed in Texas municipal courts per year As we will see, misdemeanors have a significant negative effect on individuals and society at large, making the role of municipal courts VITAL Source: Annual Statistical Reporting of the Texas Judiciary Texas Misdemeanors Examples Class C Misdemeanors: DUI (under 21), theft, minors consuming or possessing alcohol, public intoxication, criminal trespass, speeding and many other traffic violations Class B Misdemeanors: DWI (first offense), minors possessing drugs, vandalism, evading arrest on foot Class A Misdemeanors: DWI (second offense), assault with bodily injury, possession of 2 4 ounces of marijuana, unlawfully carrying a weapon Class C Misdemeanors carry the lightest penalties, and Class A Misdemeanors carry the heaviest penalties. 2

54 7/7/2017 General Misdemeanor Penalties Class C Misdemeanors: Fine up to $500 Class B Misdemeanors: Fine up to $2,000, jail up to 180 days, up to two years community supervision (probation) Class A Misdemeanors: Fine up to $4,000, jail up to one year, up to two years community supervision (probation) Further Misdemeanor Consequences to the Defendant The penalties on the previous slide are only the penalties a court orders. Further consequences of misdemeanors, depending on the offense, include: Surcharges against defendant s drivers license Court costs and fees to be paid by the defendant Increased car insurance premiums Attorney fees to be paid by the defendant Inclusion of the offense on the defendant s criminal record, which makes it harder to obtain employment Negative effect on credit score Social stigma Misdemeanor Consequences to Society Traffic misdemeanors effectively illustrate the negative consequences misdemeanors have on society, such as: Impaired Driving Speeding Traffic Signal Violations Not Wearing a Seat Belt 3

55 7/7/2017 DUI and DWI (Alcohol) In 2015, approximately 35,092 were killed and 4.4 million seriously injured in auto crashes in the U.S. Of these deaths, 12,130 (35.35%) involved a driver who had been drinking alcohol (a misdemeanor offense in many cases!) This means that in 2015, more than 33 people died every day from alcohol related crashes Sources: National Safety Council, National Highway Traffic Safety Administration Speeding Of the 2015 deaths, 9,557 (27%) involved a driver that was speeding (a misdemeanor!) Source: National Highway Traffic Safety Administration Traffic Signal Violations From 2011 to 2015, an average of 719 people died each year from red light running (a misdemeanor!) crashes In 2014, 709 were killed and approximately 126,000 were injured in stop sign running (a misdemeanor!) crashes Source: American Traffic Solutions, Insurance Institute for Highway Safety 4

56 7/7/2017 Seat Belts In 2015, 7,221 drivers and 2,452 passengers died in car crashes that were not wearing a seatbelt (a misdemeanor!) Seat belts saved an estimated 12,802 lives in 2014 Source: Insurance Institute for Highway Safety Misdemeanor Consequences to Society While there has been a recent push by the media and certain advocacy groups to downplay the seriousness of misdemeanor offenses, these offenses have direct consequences to society, most notably related to public safety and economics Misdemeanor Consequences to Society The loss of life illustrated by the statistics discussed is not only those who have committed misdemeanors, but also those following the law who are killed by those committing misdemeanors Annually, traffic crashes have an estimated economic impact of $242 billion ($242,000,000,000.00!) on society With that amount, you could buy almost 9 million Ford F 150 pickup trucks! Source: Insurance Institute for Highway Safety 5

57 7/7/2017 Discussion Based on everything we have talked about, do you think: Misdemeanors are significant? There should be adequate penalties for committing misdemeanor traffic offenses? People should not downplay the significance of misdemeanors? 6

58 State Commission on Judicial Conduct Introduction to the The State Commission on Judicial Conduct TMCEC Ethics Training for New Municipal Court Clerks Presented By Jacqueline Habersham Senior Commission Counsel Texas Commission on Judicial Conduct 2 JUDICIAL ETHICS FOR NEW COURT CLERKS By the end of this session, I ll show you: Why there s a need for you to review the Code of Judicial Conduct Solutions to ethics problems you might face at the courthouse How and when you might file a complaint with the Commission 3 Judicial Ethics for New Municipal Clerks 1

59 State Commission on Judicial Conduct What is the State Commission on Judicial Conduct? The State Commission on Judicial Conduct is an independent Texas state agency created by an amendment to the Texas Constitution in 1965, that is responsible for investigating allegations of judicial misconduct or judicial disability, and for disciplining judges. 4 Does the Commission have authority over Court Clerks? 5 Read the Canons 6 Judicial Ethics for New Municipal Clerks 2

60 State Commission on Judicial Conduct I m not a judge. Why should I read the Canons? For your JOB For your JUDGE For JUSTICE 7 Where Can I Find the Code of Judicial Conduct (the Canons)? State Commission on Judicial Conduct, and click Governing Provisions. Or link from the Texas Municipal Courts Education Center, to Judges and click Code of Judicial. 8 CANONS THAT RELATE TO COURT STAFF 9 Judicial Ethics for New Municipal Clerks 3

61 State Commission on Judicial Conduct The Judge & Court Staff A judge should require staff, court officials and others subject to the judge s direction and control, while they are performing their official duties, to observe the standards of fidelity and diligence that apply to the judge, and to refrain from manifesting bias or prejudice. --Canon 3C(2), Code of Judicial Conduct 10 Order in the Court! A judge shall require order and decorum in court proceedings. --Canon 3B(3), Code of Judicial Conduct 11 Patience, Dignity & Courtesy A judge shall be patient, dignified and courteous to litigants, jurors, witnesses, lawyers and others with whom the judge deals in an official capacity. A judge should require similar conduct of lawyers, staff, court officials and others subject to the judge s direction and control. --Canon 3B(4), Code of Judicial Conduct 12 Judicial Ethics for New Municipal Clerks 4

62 State Commission on Judicial Conduct Bias or Prejudice A judge shall not... manifest bias or prejudice, including on the basis of race, sex, religion, national origin, disability, age, sexual orientation or socioeconomic status Canon 3B(6), Code of Judicial Conduct 13 More on Bias or Prejudice A judge shall not knowingly permit staff, court officials and others subject to the judge s direction and control to manifest said bias or prejudice. --Canon 3B(6), Code of Judicial Conduct 14 Prestige of Judicial Office A judge shall not allow any relationship to influence judicial conduct or judgment. A judge shall not lend the prestige of judicial office to advance the private interests of the judge or others Canon 2B, Code of Judicial Conduct 15 Judicial Ethics for New Municipal Clerks 5

63 State Commission on Judicial Conduct Influence Over The Judge... A judge shall not convey or permit others to convey the impression they are in a special position to influence the judge. --Canon 2B, Code of Judicial Conduct 16 The Right To Be Heard A judge shall accord to every person who has a legal interest in a court proceeding the right to be heard according to law. --Canon 3B(8), Code of Judicial Conduct 17 Ex Parte Communications A justice of the peace or a municipal court judge, except as authorized by law, shall not directly or indirectly initiate, permit or consider ex parte or other communications concerning the merits of a pending judicial proceeding. --Canon 6C(2), Code of Judicial Conduct 18 Judicial Ethics for New Municipal Clerks 6

64 State Commission on Judicial Conduct What Is An Ex Parte Communication? A communication made to or by a judge, concerning the merits of a pending case or proceeding, outside the presence of all the parties or their representatives. However, not every communication is improper. E.g., if a party in a civil case fails to appear at a hearing although properly noticed, and the judge conducts a default hearing, this is proper. 19 DEMEANOR ISSUES YOU FACE EACH DAY 20 Carrie, The Crabby Clerk Carrie, your deputy clerk, has a short fuse. She is a good worker, but lacks patience. When a litigant comes in with a bad attitude, Carrie adopts an even worse attitude herself. Recently, she responded to an angry defendant with her own string of profanities. 21 Judicial Ethics for New Municipal Clerks 7

65 State Commission on Judicial Conduct What Should You Do About Carrie? 1. Compliment her, and ask her to teach everyone else to talk like that. 2. Tell her to Shut up or else! 3. Warn her to stop, then contact the Human Resources department. 4. Warn her to stop, then contact the Judge. 22 Patience, Dignity and Courtesy A judge shall be patient, dignified and courteous to litigants, jurors, witnesses, lawyers and others with whom the judge deals in an official capacity, and should require similar conduct of lawyers, staff, court officials and others subject to the judge s direction and control. --Canon 3B(4), Code of Judicial Conduct 23 Judge s Expectations of Staff A judge 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 and to refrain from manifesting bias or prejudice in the performance of their official duties. --Canon 3C(2), Code of Judicial Conduct 24 Judicial Ethics for New Municipal Clerks 8

66 State Commission on Judicial Conduct MONEY AND RECORD- KEEPING DUTIES YOU FACE EACH DAY 25 Undeposited Court Fees Judge Ned has served on the bench for 20 years. Nelda has been his faithful court clerk for all that time. This year, when Nelda returned from vacation, she discovered that no one had deposited the cash payments the Court had collected while she was gone. Nelda tried to discuss the problem with Judge Ned, but he just got angry and refused to talk about it. 26 What Should Nelda Do? 1. Keep quiet and forget about it. 2. Tell her best friend confidentially. 3. Report the situation to the District Attorney. 4. Report the situation to the Commission on Judicial Conduct. 27 Judicial Ethics for New Municipal Clerks 9

67 State Commission on Judicial Conduct EX PARTE ISSUES YOU FACE EACH DAY 28 A Lawyer s Letter As usual, you open a letter from a lawyer addressed to your Judge. It looks like any other letter, but as you read it, you realize the lawyer is giving an explicit and detailed defense about his own traffic tickets. He also states that he is entering his plea of Not Guilty, and he requests a jury trial. 29 What Should You Do About The Letter? 1. Show it to the Judge at once. 2. File it away in the case file. 3. Write the lawyer and state that it s improper ex parte communication, and send the prosecutor a copy of both letters. 4. Remind the judge of the attempt at ex parte when the trial starts. 30 Judicial Ethics for New Municipal Clerks 10

68 State Commission on Judicial Conduct Ex Parte Communications A justice of the peace or a municipal court judge, except as authorized by law, shall not directly or indirectly initiate, permit or consider ex parte or other communications concerning the merits of a pending judicial proceeding. --Canon 6C(2), Code of Judicial Conduct 31 Court Records 32 Dan The Demanding Defendant Dan wants to plead no contest and pay the fine on his traffic ticket. When Paul, the court clerk, tells him he also owes court costs and fess, Dan yells, judge can t make me pay that money! Let me see her! 33 Judicial Ethics for New Municipal Clerks 11

69 State Commission on Judicial Conduct Paul s Post-It Note After Dan the Demanding Defendant finally left, Paul attached this post it note to the court s file: Watch out! This guy was a real jerk! 34 Any Problems With The Note? 1. This is an innocent heads-up to anyone dealing with the litigant, warning them about his bad attitude. 2. The note doesn t concern the merits of the case, so there s no problem. 3. The note goes into a public file, and could give the public the impression that this is not an impartial court. 4. It s temporary we can remove it if the public wants to see the file. 35 SANCTIONS 36 Judicial Ethics for New Municipal Clerks 12

70 State Commission on Judicial Conduct Improper Delegation of Duties The judge failed to comply with the law and failed to maintain professional competence in the law when she allowed her court staff and city prosecutors to take pleas from juvenile defendants in her absence. The judge failed to comply with the plain language of the statute, which requires that juvenile pleas be taken and accepted contemporaneously in a courtroom setting in the presence of both the judge and the juvenile s parent or guardian. [Violation of Canon 2A and 3B(2) of the Texas Code of Judicial Conduct.] Private Admonition 37 Clerk s Timecard Falsified The judge was indicted on eight counts of intentionally and knowingly falsifying a clerk s timecard that reflected hours worked that the clerk did not actually work. The judge was suspended from office with pay. Later, he was convicted and resigned from the bench. [Art. V, 1-a(6)A, Constitution.] Suspension of a Judge 38 Judge Influenced by Court Clerk Based on a complaint filed by his clerk (who had a dispute with the County Treasurer about the clerk s paycheck), the judge issued a warrant for the Treasurer s arrest, without determining if probable cause existed. The judge failed to comply with the law and failed to maintain professional competence in the law. [Canons 2A and 3B(2).] Private Admonition 39 Judicial Ethics for New Municipal Clerks 13

71 State Commission on Judicial Conduct Judge Influence by Staff The judge s letter requesting a continuance on behalf of an employee of the court who had a traffic-related offense pending in another court constituted an improper use of the prestige of judicial office to advance the employee s private interests, and raised concerns that the judge was using his higher court position in an attempt to influence a lower court judge to grant the employee relief that would not otherwise have been granted had it been filed by the employee herself or by an attorney acting on her behalf. [Violation of Canon 2B of the Texas Code of Judicial Conduct.] Private Admonition 40 Judge s Record-Keeping Duties The judge persistently failed to maintain and monitor his docket, properly account for and deposit monies collected by his court, and timely file with OCA the required monthly activity reports. [Art. V, 1-a(6)A, Constitution; Canon 2A.] Public Admonition and Order of Additional Education 41 Judicial Campaign The judge placed undue pressure on his court staff by requesting that they use their personal time to assist him with his re-election campaign. [Canon 2B.] Private Admonition 42 Judicial Ethics for New Municipal Clerks 14

72 State Commission on Judicial Conduct COMMISSION OPERATIONS 43 How to File a Complaint Must be in writing Mail or Online Can be anonymous and/or can request confidentiality Should name a Texas judge Should allege conduct that violates the Canons Complainant does not have to be harmed or even involved e.g. no standing required 44 What do I do if a Commission Investigator calls? Don t Panic 45 Judicial Ethics for New Municipal Clerks 15

73 State Commission on Judicial Conduct AMICUS CURIAE Do you know a judge who is burned out or depressed? Do you know a judge who is struggling with a serious illness, alcoholism, drug addiction or other impairment? For more information about the Commission s confidential program designed to assist judges with impairment issues, contact: Toll Free: (512) (in Austin) 46 How To Contact the Commission on Judicial Conduct Toll-Free: (877) In Austin: (512) Executive Director: Seana Willing Website: scjc.state.tx.us (includes Canons, Annual Reports and Sanction Summaries) 47 Judicial Ethics for New Municipal Clerks 16

74 TEXAS CODE OF JUDICIAL CONDUCT Preamble Our legal system is based on the principle that an independent, fair and competent judiciary will interpret and apply the laws that govern us. The role of the judiciary is central to American concepts of justice and the rule of law. Intrinsic to all sections of this Code of Judicial Conduct are the precepts that judges, individually and collectively, must respect and honor the judicial office as a public trust and strive to enhance and maintain confidence in our legal system. The judge is an arbiter of facts and law for the resolution of disputes and a highly visible symbol of government under the rule of law. The Code of Judicial Conduct is not intended as an exhaustive guide for the conduct of judges. They should also be governed in their judicial and personal conduct by general ethical standards. The Code is intended, however, to state basic standards which should govern the conduct of all judges and to provide guidance to assist judges in establishing and maintaining high standards of judicial and personal conduct. CANON 1 Upholding the Integrity and Independence of the Judiciary An independent and honorable judiciary is indispensable to justice in our society. A judge should participate in establishing, maintaining and enforcing high standards of conduct, and should personally observe those standards so that the integrity and independence of the judiciary is preserved. The provisions of this Code are to be construed and applied to further that objective. CANON 2 Avoiding Impropriety and the Appearance of Impropriety In All of the Judge's Activities A. A judge shall comply with the law and should act at all times in a manner that promotes public confidence in the integrity and impartiality of the judiciary. B. A judge shall not allow any relationship to influence judicial conduct or judgment. A judge shall not lend the prestige of judicial office to advance the private interests of the judge or others; nor shall a judge convey or permit others to convey the impression that they are in a special position to influence the judge. A judge shall not testify voluntarily as a character witness.

75 C. A judge shall not knowingly hold membership in any organization that practices discrimination prohibited by law. CANON 3 Performing the Duties of Judicial Office Impartially and Diligently A. Judicial Duties in General. The judicial duties of a judge take precedence over all the judge's other activities. Judicial duties include all the duties of the judge's office prescribed by law. In the performance of these duties, the following standards apply: B. Adjudicative Responsibilities. (1) A judge shall hear and decide matters assigned to the judge except those in which disqualification is required or recusal is appropriate. (2) A judge should be faithful to the law and shall maintain professional competence in it. A judge shall not be swayed by partisan interests, public clamor, or fear of criticism. (3) A judge shall require order and decorum in proceedings before the judge. (4) A judge shall be patient, dignified and courteous to litigants, jurors, witnesses, lawyers and others with whom the judge deals in an official capacity, and should require similar conduct of lawyers, and of staff, court officials and others subject to the judge's direction and control. (5) A judge shall perform judicial duties without bias or prejudice. (6) A judge shall not, in the performance of judicial duties, by words or conduct manifest bias or prejudice, including but not limited to bias or prejudice based upon race, sex, religion, national origin, disability, age, sexual orientation or socioeconomic status, and shall not knowingly permit staff, court officials and others subject to the judge's direction and control to do so. (7) A judge shall require lawyers in proceedings before the court to refrain from manifesting, by words or conduct, bias or prejudice based on race, sex, religion, national origin, disability, age, sexual orientation or socioeconomic status against parties, witnesses, counsel or others. This requirement does not preclude legitimate advocacy when any of these factors is an issue in the proceeding. (8) A judge shall accord to every person who has a legal interest in a proceeding, or that person's lawyer, the right to be heard according to law. A judge shall not initiate, permit, or consider ex parte communications or other communications made to the judge outside the presence of the parties between the judge and a party, an attorney, a guardian or attorney ad

76 litem, an alternative dispute resolution neutral, or any other court appointee concerning the merits of a pending or impending judicial proceeding. A judge shall require compliance with this subsection by court personnel subject to the judge's direction and control. This subsection does not prohibit: (a) communications concerning uncontested administrative or uncontested procedural matters; (b) conferring separately with the parties and/or their lawyers in an effort to mediate or settle matters, provided, however, that the judge shall first give notice to all parties and not thereafter hear any contested matters between the parties except with the consent of all parties; (c) obtaining the advice of a disinterested expert on the law applicable to a proceeding before the judge if the judge gives notice to the parties of the person consulted and the substance of the advice, and affords the parties reasonable opportunity to respond; (d) (e) consulting with other judges or with court personnel; considering an ex parte communication expressly authorized by law. (9) A judge should dispose of all judicial matters promptly, efficiently and fairly. (10) A judge shall abstain from public comment about a pending or impending proceeding which may come before the judge's court in a manner which suggests to a reasonable person the judge's probable decision on any particular case. This prohibition applies to any candidate for judicial office, with respect to judicial proceedings pending or impending in the court on which the candidate would serve if elected. A judge shall require similar abstention on the part of court personnel subject to the judge's direction and control. This section does not prohibit judges from making public statements in the course of their official duties or from explaining for public information the procedures of the court. This section does not apply to proceedings in which the judge or judicial candidate is a litigant in a personal capacity. (11) A judge shall not disclose or use, for any purpose unrelated to judicial duties, nonpublic information acquired in a judicial capacity. The discussions, votes, positions taken, and writings of appellate judges and court personnel about causes are confidences of the court and shall be revealed only through a court's judgment, a written opinion or in accordance with Supreme Court guidelines for a court approved history project. C. Administrative Responsibilities. (1) A judge should diligently and promptly discharge the judge's administrative responsibilities without bias or prejudice and maintain professional competence in judicial administration, and should cooperate with other judges and court officials in the administration of court business.

77 (2) A judge 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 and to refrain from manifesting bias or prejudice in the performance of their official duties. (3) A judge with supervisory authority for the judicial performance of other judges should take reasonable measures to assure the prompt disposition of matters before them and the proper performance of their other judicial responsibilities. (4) A judge shall not make unnecessary appointments. A judge shall exercise the power of appointment impartially and on the basis of merit. A judge shall avoid nepotism and favoritism. A judge shall not approve compensation of appointees beyond the fair value of services rendered. (5) A judge shall not fail to comply with Rule 12 of the Rules of Judicial Administration, knowing that the failure to comply is in violation of the rule. D. Disciplinary Responsibilities. (1) A judge who receives information clearly establishing that another judge has committed a violation of this Code should take appropriate action. A judge having knowledge that another judge has committed a violation of this Code that raises a substantial question as to the other judge's fitness for office shall inform the State Commission on Judicial Conduct or take other appropriate action. (2) A judge who receives information clearly establishing that a lawyer has committed a violation of the Texas Disciplinary Rules of Professional Conduct should take appropriate action. A judge having knowledge that a lawyer has committed a violation of the Texas Disciplinary Rules of Professional Conduct that raises a substantial question as to the lawyer's honesty, trustworthiness or fitness as a lawyer in other respects shall inform the Office of the General Counsel of the State Bar of Texas or take other appropriate action. CANON 4 Conducting the Judge's Extra- Judicial Activities to Minimize the Risk of Conflict with Judicial Obligations A. Extra-Judicial Activities in General. A judge shall conduct all of the judge's extrajudicial activities so that they do not: (1) cast reasonable doubt on the judge's capacity to act impartially as a judge; or (2) interfere with the proper performance of judicial duties.

78 B. Activities to Improve the Law. A judge may: (1) speak, write, lecture, teach and participate in extra-judicial activities concerning the law, the legal system, the administration of justice and non-legal subjects, subject to the requirements of this Code; and, (2) serve as a member, officer, or director of an organization or governmental agency devoted to the improvement of the law, the legal system, or the administration of justice. A judge may assist such an organization in raising funds and may participate in their management and investment, but should not personally participate in public fund raising activities. He or she may make recommendations to public and private fund-granting agencies on projects and programs concerning the law, the legal system and the administration of justice. C. Civic or Charitable Activities. A judge may participate in civic and charitable activities that do not reflect adversely upon the judge's impartiality or interfere with the performance of judicial duties. A judge may serve as an officer, director, trustee or non-legal advisor of an educational, religious, charitable, fraternal, or civic organization not conducted for the profit of its members, subject to the following limitations: (1) A judge should not serve if it is likely that the organization will be engaged in proceedings that would ordinarily come before the judge or will be regularly or frequently engaged in adversary proceedings in any court. (2) A judge shall not solicit funds for any educational, religious, charitable, fraternal or civic organization, but may be listed as an officer, director, delegate, or trustee of such an organization, and may be a speaker or a guest of honor at an organization's fund raising events. (3) A judge should not give investment advice to such an organization, but may serve on its board of directors or trustees even though it has the responsibility for approving investment decisions. D. Financial Activities. (1) A judge shall refrain from financial and business dealings that tend to reflect adversely on the judge's impartiality, interfere with the proper performance of the judicial duties, exploit his or her judicial position, or involve the judge in frequent transactions with lawyers or persons likely to come before the court on which the judge serves. This limitation does not prohibit either a judge or candidate from soliciting funds for appropriate campaign or officeholder expenses as permitted by state law. (2) Subject to the requirements of subsection (1), a judge may hold and manage investments, including real estate, and engage in other remunerative activity including the operation of a business. A judge shall not be an officer, director or manager of a publicly owned business. For purposes of this Canon, a "publicly owned business" is a business having more than ten owners who are not related to the judge by consanguinity or affinity within the third degree of relationship.

79 (3) A judge should manage any investments and other economic interests to minimize the number of cases in which the judge is disqualified. As soon as the judge can do so without serious financial detriment, the judge should divest himself or herself of investments and other economic interests that might require frequent disqualification. A judge shall be informed about the judge's personal and fiduciary economic interests, and make a reasonable effort to be informed about the personal economic interests of any family member residing in the judge's household. (4) Neither a judge nor a family member residing in the judge's household shall accept a gift, bequest, favor, or loan from anyone except as follows: (a) a judge may accept a gift incident to a public testimonial to the judge; books and other resource materials supplied by publishers on a complimentary basis for official use; or an invitation to the judge and spouse to attend a bar-related function or activity devoted to the improvement of the law, the legal system, or the administration of justice; (b) a judge or a family member residing in the judge's household may accept ordinary social hospitality; a gift, bequest, favor, or loan from a relative; a gift from a friend for a special occasion such as a wedding, engagement, anniversary, or birthday, if the gift is fairly commensurate with the occasion and the relationship; a loan from a lending institution in its regular course of business on the same terms generally available to persons who are not judges; or a scholarship or fellowship awarded on the same terms applied to other applicants; (c) a judge or a family member residing in the judge's household may accept any other gift, bequest, favor, or loan only if the donor is not a party or person whose interests have come or are likely to come before the judge; (d) a gift, award or benefit incident to the business, profession or other separate activity of a spouse or other family member residing in the judge's household, including gifts, awards and benefits for the use of both the spouse or other family member and the judge (as spouse or family member), provided the gift, award or benefit could not reasonably be perceived as intended to influence the judge in the performance of judicial duties. E. Fiduciary Activities. (1) A judge shall not serve as executor, administrator or other personal representative, trustee, guardian, attorney in fact or other fiduciary, except for the estate, trust or person of a member of the judge's family, and then only if such service will not interfere with the proper performance of judicial duties. (2) A judge shall not serve as a fiduciary if it is likely that the judge as a fiduciary will be engaged in proceedings that would ordinarily come before the judge, or if the estate, trust, or ward becomes involved in adversary proceedings in the court on which the judge serves or one under its appellate jurisdiction.

80 (3) The same restrictions on financial activities that apply to a judge personally also apply to the judge while acting in a fiduciary capacity. F. Service as Arbitrator or Mediator. An active full-time judge shall not act as an arbitrator or mediator for compensation outside the judicial system, but a judge may encourage settlement in the performance of official duties. G. Practice of Law. A judge shall not practice law except as permitted by statute or this Code. Notwithstanding this prohibition, a judge may act pro se and may, without compensation, give legal advice to and draft or review documents for a member of the judge's family. H. Extra-Judicial Appointments. Except as otherwise provided by constitution and statute, a 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 judge, however, may represent his or her country, state, or locality on ceremonial occasions or in connection with historical, educational, and cultural activities. I. Compensation, Reimbursement and Reporting. (1) Compensation and Reimbursement. A judge may receive compensation and reimbursement of expenses for the extra-judicial activities permitted by this Code, if the source of such payments does not give the appearance of influencing the judge's performance of judicial duties or otherwise give the appearance of impropriety. (a) Compensation shall not exceed a reasonable amount nor shall it exceed what a person who is not a judge would receive for the same activity. (b) Expense reimbursement shall be limited to the actual cost of travel, food, and lodging reasonably incurred by the judge and, where appropriate to the occasion, by the judge's family. Any payment in excess of such an amount is compensation. (2) Public Reports. A judge shall file financial and other reports as required by law. CANON 5 Refraining From Inappropriate Political Activity (1) A judge or judicial candidate shall not: (i) make pledges or promises of conduct in office regarding pending or impending cases, specific classes of cases, specific classes of litigants, or specific propositions of law that would suggest to a reasonable person that the judge is predisposed to a probable decision in cases within the scope of the pledge;

81 (ii) knowingly or recklessly misrepresent the identity, qualifications, present position, or other fact concerning the candidate or an opponent; or (iii) make a statement that would violate Canon 3B(10). (2) A judge or judicial candidate shall not authorize the public use of his or her name endorsing another candidate for any public office, except that either may indicate support for a political party. A judge or judicial candidate may attend political events and express his or her views on political matters in accord with this Canon and Canon 3B(10). (3) A judge shall resign from judicial office upon becoming a candidate in a contested election for a non-judicial office either in a primary or in a general or in a special election. A judge may continue to hold judicial office while being a candidate for election to or serving as a delegate in a state constitutional convention or while being a candidate for election to any judicial office. (4) A judge or judicial candidate subject to the Judicial Campaign Fairness Act, Tex. Elec. Code , et seq. (the Act ), shall not knowingly commit an act for which he or she knows the Act imposes a penalty. Contributions returned in accordance with Sections (e), (b) or (b) of the Act are not a violation of this paragraph. COMMENT A statement made during a campaign for judicial office, whether or not prohibited by this Canon, may cause a judge's impartiality to be reasonably questioned in the context of a particular case and may result in recusal. CANON 6 Compliance with the Code of Judicial Conduct A. The following persons shall comply with all provisions of this Code: (1) An active, full-time justice or judge of one of the following courts: (a) (b) (c) (d) (e) the Supreme Court, the Court of Criminal Appeals, courts of appeals, district courts, criminal district courts, and

82 (f) statutory county courts. (2) A full-time commissioner, master, magistrate, or referee of a court listed in (1) above. B. A County Judge who performs judicial functions shall comply with all provisions of this Code except the judge is not required to comply: (1) when engaged in duties which relate to the judge's role in the administration of the county; (2) with Canons 4D(2), 4D(3), or 4H; (3) with Canon 4G, except practicing law in the court on which he or she serves or in any court subject to the appellate jurisdiction of the county court, or acting as a lawyer in a proceeding in which he or she has served as a judge or in any proceeding related thereto. (4) with Canon 5(3). C. Justices of the Peace and Municipal Court Judges. (1) A justice of the peace or municipal court judge shall comply with all provisions of this Code, except the judge is not required to comply: (a) with Canon 3B(8) pertaining to ex parte communications; in lieu thereof a justice of the peace or municipal court judge shall comply with 6C(2) below; (b) with Canons 4D(2), 4D(3), 4E, or 4H; (c) with Canon 4F, unless the court on which the judge serves may have jurisdiction of the matter or parties involved in the arbitration or mediation; or (d) if an attorney, with Canon 4G, except practicing law in the court on which he or she serves, or acting as a lawyer in a proceeding in which he or she has served as a judge or in any proceeding related thereto. (e) with Canons 5(3). (2) A justice of the peace or a municipal court judge, except as authorized by law, shall not directly or indirectly initiate, permit, nor consider ex parte or other communications concerning the merits of a pending judicial proceeding. This subsection does not prohibit communications concerning: (a) (b) (c) uncontested administrative matters, uncontested procedural matters, magistrate duties and functions,

83 (d) determining where jurisdiction of an impending claim or dispute may lie, (e) determining whether a claim or dispute might more appropriately be resolved in some other judicial or non-judicial forum, (f) mitigating circumstances following a plea of nolo contendere or guilty for a fine-only offense, or (g) any other matters where ex parte communications are contemplated or authorized by law. D. A Part-time commissioner, master, magistrate, or referee of a court listed in 6A(1) above: (1) shall comply with all provisions of this Code, except he or she is not required to comply with Canons 4D(2), 4E, 4F, 4G or 4H, and (2) should not practice law in the court which he or she serves or in any court subject to the appellate jurisdiction of the court which he or she serves, or act as a lawyer in a proceeding in which he or she has served as a commissioner, master, magistrate, or referee, or in any other proceeding related thereto. E. A Judge Pro Tempore, while acting as such: (1) shall comply with all provisions of this Code applicable to the court on which he or she is serving, except he or she is not required to comply with Canons 4D(2), 4D(3), 4E, 4F,4G or 4H, and (2) after serving as a judge pro tempore, should not act as a lawyer in a proceeding in which he or she has served as a judge or in any other proceeding related thereto. F. A Senior Judge, or a former appellate or district judge, or a retired or former statutory county court judge who has consented to be subject to assignment as a judicial officer: (1) shall comply with all the provisions of this Code except he or she is not required to comply with Canon 4D(2),4E, 4F,4G, or 4H, but (2) should refrain from judicial service during the period of an extra-judicial appointment not permitted by Canon 4H. G. Candidates for Judicial Office. (1) Any person seeking elective judicial office listed in Canon 6A(1) shall be subject to the same standards of Canon 5 that are required of members of the judiciary.

84 (2) Any judge who violates this Code shall be subject to sanctions by the State Commission on Judicial Conduct. (3) Any lawyer who is a candidate seeking judicial office who violates Canon 5 or other relevant provisions of this Code is subject to disciplinary action by the State Bar of Texas. (4) The conduct of any other candidate for elective judicial office, not subject to paragraphs (2) and (3) of this section, who violates Canon 5 or other relevant provisions of the Code is subject to review by the Secretary of State, the Attorney General, or the local District Attorney for appropriate action. H. Attorneys. Any lawyer who contributes to the violation of Canons 3B(7), 3B(10), 4D(4), 5, or 6C(2), or other relevant provisions of this Code, is subject to disciplinary action by the State Bar of Texas. CANON 7 Effective Date of Compliance A person to whom this Code becomes applicable should arrange his or her affairs as soon as reasonably possible to comply with it. CANON 8 Construction and Terminology of the Code A. Construction. The Code of Judicial Conduct is intended to establish basic standards for ethical conduct of judges. It consists of specific rules set forth in Sections under broad captions called Canons. The Sections are rules of reason, which should be applied consistent with constitutional requirements, statutes, other court rules and decisional law and in the context of all relevant circumstances. The Code is to be construed so as not to impinge on the essential independence of judges in making judicial decisions. The Code is designed to provide guidance to judges and candidates for judicial office and to provide a structure for regulating conduct through the State Commission on Judicial Conduct. It is not designed or intended as a basis for civil liability or criminal prosecution. Furthermore, the purpose of the Code would be subverted if the Code were invoked by lawyers for mere tactical advantage in a proceeding.

85 It is not intended, however, that every transgression will result in disciplinary action. Whether disciplinary action is appropriate, and the degree of discipline to be imposed, should be determined through a reasonable and reasoned application of the text and should depend on such factors as the seriousness of the transgression, whether there is a pattern of improper activity and the effect of the improper activity on others or on the judicial system. B. Terminology. (1) "Shall" or "shall not" denotes binding obligations the violation of which can result in disciplinary action. (2) "Should" or "should not" relates to aspirational goals and as a statement of what is or is not appropriate conduct but not as a binding rule under which a judge may be disciplined. (3) "May" denotes permissible discretion or, depending on the context, refers to action that is not covered by specific proscriptions. (4) "De minimis" denotes an insignificant interest that could not raise reasonable question as to a judge's impartiality. (5) "Economic interest" denotes ownership of a more than de minimis legal or equitable interest, or a relationship as officer, director, advisor or other active participant in the affairs of a party, except that: (i) ownership of an interest in a mutual or common investment fund that holds securities is not an economic interest in such securities unless the judge participates in the management of the fund or a proceeding pending or impending before the judge could substantially affect the value of the interest; (ii) service by a judge as an officer, director, advisor or other active participant, in an educational, religious, charitable, fraternal, or civic organization or service by a judge's spouse, parent or child as an officer, director, advisor or other active participant in any organization does not create an economic interest in securities held by that organization; (iii) a deposit in a financial institution, the proprietary interest of a policy holder in a mutual insurance company, of a depositor in a mutual savings association or of a member in a credit union, or a similar proprietary interest, is not an economic interest in the organization unless a proceeding pending or impending before the judge could substantially affect the value of the interest; and (iv) ownership of government securities is not an economic interest in the issuer unless a proceeding pending or impending before the judge could substantially affect the value of the securities. (6) "Fiduciary" includes such relationships as executor, administrator, trustee, and guardian.

86 (7) "Knowingly," "knowledge," "known" or "knows" denotes actual knowledge of the fact in question. A person's knowledge may be inferred from circumstances. (8) "Law" denotes court rules as well as statutes, constitutional provisions and decisional law. (9) "Member of the judge's (or the candidate's) family" denotes a spouse, child, grandchild, parent, grandparent or other relative or person with whom the candidate maintains a close familial relationship. (10) "Family member residing in the judge's household" means any relative of a judge by blood or marriage, or a person treated by a judge as a member of the judge's family, who resides at the judge's household. (11) "Require." The rules prescribing that a judge "require" certain conduct of others are, like all of the rules in this Code, rules of reason. The use of the term "require" in that context means a judge is to exercise reasonable direction and control over the conduct of those persons subject to the judge's direction and control. (12) "Third degree of relationship."the following persons are relatives within the third degree of relationship: great-grandparent, grandparent, parent, uncle, aunt, brother, sister, child, grandchild, great-grandchild, nephew or niece. (13) "Retired Judge" means a person who receives from the Texas Judicial Retirement System, Plan One or Plan Two, an annuity based on service that was credited to the system.(secs and ,V.T.C.A. Government Code [Ch. 179, Sec. 1, 71st Legislature (1989)] (14) "Senior Judge" means a retired appellate or district judge who has consented to be subject to assignment pursuant to Section , Government Code. [Ch. 359, 69th Legislature, Reg. Session (1985)] (15) "Statutory County Court Judge" means the judge of a county court created by the legislature under Article V, Section 1, of the Texas Constitution, including county courts at law, statutory probate courts, county criminal courts, county criminal courts of appeals, and county civil courts at law. (Sec , V.T.C.A. Government Code [Ch. 2, Sec. 1601(18), 71st Legislature (1989)]) (16) "County Judge" means the judge of the county court created in each county by Article V, Section 15, of the Texas Constitution.(Sec , V.T.C.A. Government Code [Ch. 2, Sec. 1601(18), 71st Legislature (1989)]) (17) "Part-time" means service on a continuing or periodic basis, but with permission by law to devote time to some other profession or occupation and for which the compensation for that reason is less than that for full-time service. (18) "Judge Pro Tempore" means a person who is appointed to act temporarily as a judge.

87 12/6/2016 INTRODUCTION TO THE CODES Transportation Code and More Texas Municipal Courts Education Center OBJECTIVES By the end of this class, Participants will be able to: Identify Types and Sources of Law Identify Laws Applicable in Municipal Court Acquire Skills to Find Laws Apply Skills Primary Legal Sources United States Constitution Texas Constitution State Statutes City Ordinances Case Law Rules / Regulations / Attorney General opinions 1

88 12/6/2016 Secondary Legal Sources The Recorder (TMCEC) The Forms Book (TMCEC) The Bench Book (TMCEC) Black s Law Dictionary Texas Criminal & Traffic Law Manual The Brick Surfing the Code Table of Contents Index Frequently Used Codes Helpful Indexes: Transportation Code Code of Criminal Procedure Penal Code 2

89 12/6/2016 Texas Statutes Online Select Code Select Chapter Select Section Frequently Used Codes Penal Code Code of Criminal Procedure Transportation Code Alcoholic Beverage Code Education Code Health and Safety Code Texas Transportation Code (TC) TITLES: 1-7 Subtitles: A-Z CHAPTERS: Subchapters: A-Z SECTIONS: Ch. # Ch. #.999 Subsections: (a) or (1) or (A) or (i) TC TC TC

90 12/6/2016 Transportation Code Title 7 - Vehicles and Traffic Subtitles A - J Chapters Transp. Code, Title 7, Subtitle A Title 7, Subtitle A, Certificates of Title and Registration of Vehicles (chapters ) Expired registration Improper or No registration Wrong, Fictitious, Altered, Obscured Insignia (sticker) (a)(4), -(d) - Class B among Class C s corresponding license plate law Transp. Code, Title 7, Subtitle B Title 7, Subtitle B - Driver s Licenses & Personal ID Cards (chapters ) DL required DL must be displayed (d), (f) - defense of valid DL and fee Dismissal of Expired DL charge General Penalty 4

91 12/6/2016 Transportation Code Title 7, Subtitle C - Rules of the Road Chapters Transp. Code, Title 7, Subtitle C Title 7, Subtitle C - Rules of the Road Ch Definitions (1) - Operator (11) - Motor Vehicle (5) - Highway or street (1), (5) - Daytime / Nighttime (10) - Stop Transp. Code, Title 7, Subtitle C Title 7, Subtitle C - Rules of the Road Ch General Provisions Vehicles on Highways General Offense General Penalty (a) - Use of Fines (b) - Excess fines law , enhanced penalties for offenses in construction zones & FTYROW offenses causing injury 5

92 12/6/2016 Transp. Code, Title 7, Subtitle C Title 7, Subtitle C - Rules of the Road Ch Arrest and Prosecution Arrest authority Citation and release Citation required for certain offenses Records, reports Transp. Code, Title 7, Subtitle C Title 7, Subtitle C - Rules of the Road Ch. 544, Traffic Signs, Signals, and Markings Must Obey Traffic Control Device (1) - definition of official trafficcontrol device (d) - Run red light Run stop sign Transp. Code, Title 7, Subtitle C Title 7, Subtitle C - Rules of the Road Ch. 545, Operation and Movement of Vehicles Turning and Signals Right-of-Way rules Parking Speeding Seat Belts / Child Safety Seats (d): different fine ranges 6

93 12/6/2016 Transp. Code, Title 7, Subtitle C Title 7, Subtitle C - Rules of the Road Ch. 547, Vehicle Equipment General Offenses (a) - offense (c), (d) - compliance dismissal and limitation Lighting requirements Transp. Code, Title 7, Subtitle C Title 7, Subtitle C - Rules of the Road Ch. 550, Accidents and Accident Reports offense location compare with (c), (b), (b) - two levels of offenses, Class B vs. Class C Transp. Code, Title 7, Subtitle C Title 7, Subtitle C - Rules of the Road Ch. 551, Operation of Bicycles, Mopeds, and Play Vehicles mopeds and electric bicycles (a) - bicycle operators must comply with traffic laws for motor vehicle operators 7

94 12/6/2016 Transp. Code, Title 7, Subtitle C Title 7, Subtitle C - Rules of the Road Ch. 552, Pedestrians Traffic Control Signals (Crossing at lights) Crossing at Point Other Than Crosswalk ( Jaywalking ) Use of Sidewalk (16) - definition of sidewalk Transp. Code, Title 7, Subtitle D Title 7, Subtitle D - Motor Vehicle Safety Responsibility (chapters ) , Fail to Maintain Financial Responsibility (FMFR) offense and penalties First offense: $ Subsequent offenses: $350-1,000 Transp. Code, Title 7, Subtitle E Title 7, Subtitle E - Vehicle Size and Weight (chapters ) (g) - certain fines split with State See also (h), (j) 8

95 12/6/2016 Transp. Code, Title 7, Subtitle F Title 7, Subtitle F - Commercial Motor Vehicles (chapters ) State enforcement of federal commercial motor vehicle regulations See also 37 Tex. Admin. Code 4.11(a) Transp. Code, Title 7, Subtitle G Title 7, Subtitle G - Motorcycles & All Terrain Vehicles (chapters ) Helmets and Exceptions Transp. Code, Title 7, Subtitle H Title 7, Subtitle H - Parking, Towing and Storage of Vehicles (chapters ) Privileged Parking Designating parking spaces Offenses for Privileged Parking Administrative Adjudication of Parking Offenses Abandoned / Junked Vehicles 9

96 12/6/2016 Transp. Code, Title 7, Subtitle I Title 7, Subtitle I - Enforcement of Traffic Law Procedures (chapters ) Scofflaw / DMV refusal to register vehicle Nonresident Violator Compact Omnibase / DPS denial of DL renewal DPS DL surcharge program No QUOTAS for peace officers and judges Transp. Code, Title 7, Subtitle J Title 7, Subtitle J - Miscellaneous Provisions (chapters ) Transportation of Loose Materials Offense; Penalty Requirements for Transporting Loose Materials Code of Criminal Procedure 14.06(b) - peace officer s option to issue citation Plea of Guilty or No Contest in Misdemeanor Plea in open court or by mail; payment of fine as no contest plea; when to file formal complaint; citation serves as first complaint Requisites of Complaint Deferred Disposition Driving Safety Course 10

97 12/6/2016 Penal Code General Penal Code provisions Definitions burden of proof, exceptions, defenses, affirmative defenses, presumptions voluntary act or omission; culpable mental states 12.03, 12.23, 12.41(3) - Class C misdemeanors and punishment Penal Code offenses in municipal court 22.01(a)(3), (c) - Assault 31.03(a), (e)(1) - Theft 42.01(a), (d) - Disorderly Conduct Public Intoxication // Open Container Questions? 11

98 BEST PRACTICES IN COURT SECURITY Allen Gilbert, Presiding Judge, City of San Angelo We ve been lucky so far. Lucky or prepared? 1

99 Operational security Standard operating procedures: These procedures must be in writing and must be followed 100% to provide security. Helps to limit liability. Ensures everybody is on the same page, in order to maintain continuity. Consider other agencies policies when developing your own. Facility Security Planning: Allows us to know the strengths and weaknesses of the structure of the court inside and out. Constant Change. Case law or actual incidents in your court. Current events often dictate the need for change. Special events or out of the ordinary issues. Certain individuals or groups in your area can dictate change. Self Audit 2

100 Emergency Preparedness and Response: Must be an awareness and identification of command structure, protocols and evacuation routes for emergencies. Must have adequate procedures in place to recover lost or vulnerable information. Have a back up system in place, off site, if necessary. Disaster Recovery: Threat assessments: Things to consider: Parking lots Lighting Accessibility Security procedures 3

101 Threat Assessment: Done on a constant basis. Know your patrons and recognize potential problems. Once a problem is identified, handle it immediately. Utilize all of your resources. Must be completed for each incident involving a breach of court security that occurred in or around a courtroom or courtrelated offices. Must be done no later than the 3 rd business day after the date the incident occurred. Incident Reporting: Who completes the form? The presiding judge of a municipal court, or designee, is responsible for completing the Texas Court Security Incident Report. The presiding judge may designate one or more individuals to complete the form. For instance, the presiding judge may ask the police department to complete the reports for all incidents. In other cases, it may be more effective to have each presiding or associate judge report incidents that occur in his or her own courtroom, chambers or staff offices, and to have the police department report all other incidents. 4

102 What to report: Report incidents that are related to the security of the court, e.g. not medical emergencies or personnel issues. Report incidents that actually occurred, not potential incidents. For example: Do not complete an incident report when a security officer is requested for stand by in case of an incident. Do not complete an incident report when an individual reports that they fear another individual, unless an actual threat of injury occurred. Complete an incident report only for court related offices. Do not complete an incident report if the incident occurred in offices that are not court related, e.g., the county s appraisal district office, even if they are located within the court building. Regarding attempts to take a weapon into the courtroom or court building: Do not complete an incident report if an item is a legal weapon or item, such as a pocket knife, is found through normal security procedures, AND is surrendered or removed by the individual without complaint. Complete an incident report if: the weapon is not declared during normal security procedures and is found later (i.e., the person tried to sneak it in); the person became upset and/or became argumentative when asked to remove the weapon from the courtroom or court building; the weapon is not legal, or the individual does not have a permit to carry it (i.e., a double-edged dagger); and/or law enforcement was notified of the incident. Security Incident: A security incident is defined as any adverse event that threatens the security of a person or property, or causes or may cause significant disruption to functions of the court due to a breach in security. This includes, but is not limited to, threats to harm a person or property, disorderly conduct, physical assaults, escape attempts, or any other serious situation involving security issues that disrupts court activities. 5

103 Funding: Security Equipment and Cost Prioritize. Always think personnel safety first. Be prepared to debate issues with other coworkers who might have different opinions in regards to where and how to spend money. Justify the need for equipment. Can t put a price on safety. The governing body of a municipality by ordinance may create a municipal court building security fund and may require a defendant convicted of a misdemeanor offense in a municipal court to pay a $3 security fee as a cost of court. CCP Art Under Art Money may be used for: (d 1) For purposes of this article, the term "security personnel, services, and items" includes: (1) the purchase or repair of X ray machines and conveying systems; (2) handheld metal detectors; (3) walkthrough metal detectors; (4) identification cards and systems; (5) electronic locking and surveillance equipment; (6) bailiffs, deputy sheriffs, deputy constables, or contract security personnel during times when they are providing appropriate security services; (7) signage; (8) confiscated weapon inventory and tracking systems; (9) locks, chains, alarms, or similar security devices; (10) the purchase or repair of bullet proof glass; (11) continuing education on security issues for court personnel and security personnel; and (12) warrant officers and related equipment. 6

104 Resources and Partnerships: Training Share the cost whenever possible. Each court should develop relationships with other local agencies and strive on providing each other necessary resources in order to obtain common goals. New and Existing Courthouse Design 7

105 Art COURT COSTS; COURTHOUSE SECURITY FUND; MUNICIPAL COURT BUILDING SECURITY FUND; JUSTICE COURT BUILDING SECURITY FUND. (a) A defendant convicted of a felony offense in a district court shall pay a $5 security fee as a cost of court. (b) A defendant convicted of a misdemeanor offense in a county court, county court at law, or district court shall pay a $3 security fee as a cost of court. A defendant convicted of a misdemeanor offense in a justice court shall pay a $4 security fee as a cost of court. The governing body of a municipality by ordinance may create a municipal court building security fund and may require a defendant convicted of a misdemeanor offense in a municipal court to pay a $3 security fee as a cost of court. (c) In this article, a person is considered convicted if: (1) a sentence is imposed on the person; (2) the person receives community supervision, including deferred adjudication; or (3) the court defers final disposition of the person's case. (d) Except as provided by Subsection (d-2), the clerks of the respective courts shall collect the costs and pay them to the county or municipal treasurer, as appropriate, or to any other official who discharges the duties commonly delegated to the county or municipal treasurer, as appropriate, for deposit in a fund to be known as the courthouse security fund or a fund to be known as the municipal court building security fund, as appropriate. Money deposited in a courthouse security fund may be used only for security personnel, services, and items related to buildings that house the operations of district, county, or justice courts, and money deposited in a municipal court building security fund may be used only for security personnel, services, and items related to buildings that house the operations of municipal courts. For purposes of this subsection, operations of a district, county, or justice court include the activities of associate judges, masters, magistrates, referees, hearing officers, criminal law magistrate court judges, and masters in chancery appointed under: (1) Section , Alcoholic Beverage Code; (2) Section 51.04(g) or Chapter 201, Family Code; (3) Section , Health and Safety Code; (4) Section 33.71, Tax Code; (5) Chapter 54A, Government Code; or (6) Rule 171, Texas Rules of Civil Procedure. (d-1) For purposes of this article, the term "security personnel, services, and items" includes: (1) the purchase or repair of X-ray machines and conveying systems; (2) handheld metal detectors; (3) walkthrough metal detectors;

106 (4) identification cards and systems; (5) electronic locking and surveillance equipment; (6) video teleconferencing systems; (6) bailiffs, deputy sheriffs, deputy constables, or contract security personnel during times when they are providing appropriate security services; (7) signage; (8) confiscated weapon inventory and tracking systems; (9) locks, chains, alarms, or similar security devices; (10) the purchase or repair of bullet-proof glass; (11) continuing education on security issues for court personnel and security personnel; and (12) warrant officers and related equipment. (d-2)(1) This subsection applies only to a justice court located in a county in which one or more justice courts are located in a building that is not the county courthouse. (2) The county treasurer shall deposit one-fourth of the cost of court collected under Subsection (b) in a justice court described by Subdivision (1) into a fund to be known as the justice court building security fund. A fund designated by this subsection may be used only for the purpose of providing security personnel, services, and items for a justice court located in a building that is not the county courthouse. (e) The courthouse security fund and the justice court building security fund shall be administered by or under the direction of the commissioners court. The municipal court building fund shall be administered by or under the direction of the governing body of the municipality. (f) A local administrative judge shall provide to the Office of Court Administration of the Texas Judicial System a written report regarding any security incident involving court security that occurs in or around a building housing a court for which the judge serves as local administrative judge not later than the third business day after the date the incident occurred. *Note, two amendments were made to this statute by the 82nd Legislature, resulting in two subsections (d-1)(6).

107 Office of Court Administration Texas Court Security Incident Report - Municipal Courts - Texas Code of Criminal Procedure, Art (f) (Session Laws Ch. 221, 80th Legislature) Instructions Who completes the form: The presiding judge of a municipal court, or designee, is responsible for completing the Texas Court Security Incident Report. The presiding judge may designate one or more individuals to complete the form. For instance, the presiding judge may ask the police department to complete the reports for all incidents. In other cases, it may be more effective to have each presiding or associate judge report incidents that occur in his or her own courtroom, chambers or staff offices, and to have the police department report all other incidents. Definition of a Security Incident: A security incident is defined as any adverse event that threatens the security of a person or property, or causes or may cause significant disruption to functions of the court due to a breach in security. This includes, but is not limited to, threats to harm a person or property, disorderly conduct, physical assaults, escape attempts, or any other serious situation involving security issues that disrupts court activities. When to complete the form: A Texas Court Security Incident Report form must be completed for each incident involving a breach of court security that occurred in or around a courtroom or court-related offices. According to statute, the report must be submitted to OCA not later than the 3 rd business day after the date the incident occurred. If you miss the deadline, please turn it in as soon as possible. What to report: Report incidents that are related to the security of the court, e.g. not medical emergencies or personnel issues. Report incidents that actually occurred, not potential incidents. For example: Do not complete an incident report when a security officer is requested for stand-by in case of an incident. Do not complete an incident report when an individual reports that they fear another individual, unless an actual threat of injury occurred. Complete an incident report only for court-related offices. Do not complete an incident report if the incident occurred in offices that are not court related, e.g., the county s appraisal district office, even if they are located within the court building. Regarding attempts to take a weapon into the courtroom or court building: Do not complete an incident report if an item is a legal weapon or item, such as a pocket knife, is found through normal security procedures, AND is surrendered or removed by the individual without complaint. Complete an incident report if: the weapon is not declared during normal security procedures and is found later (i.e., the person tried to sneak it in); the person became upset and/or became argumentative when asked to remove the weapon from the courtroom or court building;

108 the weapon is not legal, or the individual does not have a permit to carry it (i.e., a double-edged dagger); and/or law enforcement was notified of the incident. Provide complete information: In order for OCA to compile the most complete set of data for analysis of security needs in the court system, it is important that full and accurate information be provided. Complete the form with as much information as is known. If a question on the form is not known, U/K may be written across that area or the area may be left blank. In the section Description of Incident, please provide a brief, but thorough, description of the event or any additional information that is not included elsewhere in the report but is essential for a thorough understanding of the incident. Include who was involved, what happened, and what the response/outcome was. An example is: During trial, defendant in criminal case became hostile; screaming and threatening to harm witness. Bailiff handcuffed defendant and escorted him to the holding area. No harm to any individuals occurred. How to submit the form: The form may be submitted via mail, fax, or Send to: Judicial Information ReportingSection@courts.state.tx.us Address: Office of Court Administration Fax: P.O. Box Phone: Austin, TX

109 Office of Court Administration Texas Court Security Incident Report - Municipal Courts - Texas Code of Criminal Procedure, Art (f) Form must be submitted not later than the 3 rd business day after the date the incident occurred. This form is for administrative purposes only. If law enforcement attention is needed, contact the local police or sheriff s department. 1. Information of Person Completing Form: Last First Area Code and Phone Title 2. Court Name: 3. Incident Date: Time: AM PM 4. Type of Incident: Physical assault Disorderly behavior Bomb threat Hostage situation Threat Type of threat: Verbal Written Threat against: Judge or court staff Attorneys, witnesses, or jurors Other: Prisoner escape attempt Attempt to bring a weapon into the courtroom or court building Other: 5. Location of Incident: Courtroom Judge s chambers Judge s staff offices Clerk s office Holding area Parking lot Public area of courthouse/court building (lobby, hallway, etc.) Other: 6. Was a weapon involved? No Yes, identify all weapons involved: Gun Knife Blunt object Other: 8. Who was the perpetrator in the incident? Name: Defendant / respondent Complainant Family member/friend of party in the case Member of public (unknown relation to any case) Other: Was this individual charged as result of the incident? No Yes Pending 9. Was the incident reported to law enforcement? No Yes, name the agency: 10. Was this incident related to a particular case within the court? Criminal Juvenile magistration Civil Not related to a particular case Case Number: Style: 11. Description of Incident: 7. Was anyone injured? No Yes, type of injury: If yes, was medical attention rendered? No Yes Version 3:

110 7/7/2017 Administrative Cases jxävéåx àé [xää Artin. DerOhanian, Esq. Senior Associate Law Offices of Ryan Henry, PLLC 1380 Pantheon Way, Suite 110 San Antonio, Texas (210) F: (210) Instagram: TexasLaws WHAT DOES AN ADMINISTRATIVE CASE LOOK LIKE? WHAT ARE SOME ADMINISTRATIVE CASES? 1

111 7/7/2017 Junk Vehicles Dangerous Dogs Nuisance 2

112 7/7/2017 LOUD NOISES!!!!! Animal Cruelty Tall Grass On Property 3

113 7/7/2017 SO WHAT DOES AN ADMINISTRATIVE CASE LOOK LIKE? Junk Vehicles Dangerous Dogs Animal Cruelty Nuisance Loud Noise Tall Grass on Property Common Thread Cases for the benefit of the community and penalties are used to gain compliance with the law. Typically involve Notice of Violation, Request for Administrative Compliance, or Ordinance Violation with Civil Penalty. They are not criminal matters. Example Administrative Case 4

114 7/7/2017 What happens now? Different ways an Administrative Case concludes? The violator can contact Code Compliance or City Official upon first receiving notice and comply with the requirements. The violator can pay the fine associated with the violation. However, the Code Compliance Officer can go back out the next day to issue a new violation if not in compliance. Back at step one. Come in and appeal the determination. This will trigger Municipal Court jurisdiction, and hearing. Best Case Outcome CITY DOES NOT WANT YOUR FINE MONEY, THEY WANT COMPLIANCE Why? The City wants to ensure its residents abide by the laws because those laws are in place to keep the residents, including everyone in the community, safe and healthy. Health and Safety Code.get it? If the Violator works with the Code Compliance Officer to allow for a resolution that would allow for the laws to be followed, the City should follow that path Reduces neighbor complaints Reduces violations Reduces staff headaches 5

115 7/7/2017 Common Thread in Administrative Cases Typically involve Code Compliance Officer or other City Official. Typically involve violations of City Ordinances and Municipal Code Basic Take-Away Administrative cases are civil matters, not criminal matters. These cases seek compliance with the law. Sometimes you have residents that are set in their ways Sometimes you have new residents that need to be informed. Be patient and work with your residents. If need be, can issue a new violation every day, when allowed. Ultimate goal is compliance for happy community. Arty s Final Thought 6

116 7/7/2017 Artin DerOhanian, Esq. Senior Associate Law Offices of Ryan Henry, PLLC 1380 Pantheon Way, Suite 110 San Antonio, Texas (210) F: (210) Instagram: TexasLaws 7

117 CITATIONS & COMPLAINTS Presented by Brian Holman Lewisville Municipal Court CHARGING INSTRUMENTS: TWO METHODS Citations Complaints WHAT IS A CITATION? Written Notice to Appear in Lieu of Arrest (T.C ) Catch & Release (Non-custodial Arrest) Device of Efficiency Saves Money Saves Time and Inconvenience

118 NOTICE TO APPEAR (T.C ) Notice to Appear must include: Time and place to appear Offense charged Name and address of person charged If applicable, license number of vehicle TIME & PLACE OF APPEARANCE (T.C ) Notice must be at least 10 days after arrest, unless defendant demands earlier hearing Notice must include appearance before Magistrate NOTICE TO APPEAR (OTHER REQUIRED INFORMATION) Right to DSC (or Motorcycle Operators Course) (C.C.P. Art (q)) Notice of Potential Surcharge (T.C (a)) Family Violence Notice re: Purchase or Possession of Firearm (C.C.P. Art (b))

119 REQUIREMENTS OF SPEEDING CHARGE (T.C ) Complaint and Summons or Notice to Appear on speeding charge must specify: Maximum or minimum speed limit applicable at location of offense; and Alleged speed of driver WHO CAN ISSUE A CITATION? Under Texas law, only peace officers are authorized to issue citations WHEN IS NOTICE TO APPEAR REQUIRED? (T.C. Sec ) Speeding Open Container if the person makes a written promise to appear

120 WHAT IF A PERSON REFUSES TO SIGN WRITTEN PROMISE TO APPEAR? See Berrett v. State, 152 S.W.3d 600 See Sedani v. State, 848 S.W.2d 314 Article C.C.P. (Another Efficiency Device) GUILTY NO CONTEST Article C.C.P. (Another Efficiency Device) NOT GUILTY AGREEMENT TO WAIVE TRIAL

121 THE COMPLAINT: WHAT, WHY and WHEN Formal charging instrument accusing Defendant of commission of an offense Affords Defendant with ability to mount defense to charge If Defendant Fails to Appear or pleads not guilty, State must file complaint Must be filed at least 1 day before any proceeding WHO CAN FILE A COMPLAINT? Police Officer Private Citizen City Worker Be in writing REQUISITES OF A COMPLAINT (Art ) Begin "In the name and by the authority of the State of Texas Name of accused (if unknown, must include reasonably definite description of accused)

122 Date of Offense REQUISITES OF A COMPLAINT (continued) Location of Offense (Within Territorial Limits of the City) Affiant has good reason to believe and does believe that the accused has committed an offense against the law of this state REQUISITES OF A COMPLAINT (continued) Elements of Offense Must have All essential elements Must negate any statutory exceptions Culpable Mental State, if necessary Against the peace and dignity of the State (If ordinance, Contrary to the said ordinance ) COURT SEAL

123 COURT SEAL Required on Complaints Impressed on Complaint CourtofRecord: Municipal Court of/in, Texas Non-Record Courts: No Specific Language Five Point Star : Statute Repealed 1999 REQUISITES OF A COMPLAINT (continued) Sworn to by complainant Signed by official Signature Rubber Stamped? Electronic Signature? o (Judge, Court Clerk or Defendant) Not Signed = Defective Complaint PUBLIC INTOXICATION MAY AN OFFICER ISSUE A CITATION?

124 PUBLIC INTOXICATION In lieu of arresting an individual (not a child) for public intoxication, a peace officer may release with a citation if: 1) officer believes detention is unnecessary for protection of individual or others; and 2) individual: (a) released to adult who assumes responsibility; or, (b) Defendant verbally consents to chemical dependency treatment. WHO IS RESPONSIBLE FOR WORDING THE COMPLAINT? Judge? Clerk? Prosecutor? WHO PREPARES THE COMPLAINT? Ministerial Duty Typically Prepared by the Clerk

125 STATUTE OF LIMITATIONS C.C.P. Art (b) A complaint or information for any Class C misdemeanor may be presented within 2 years from the date of the commission of the offense, and not afterwards. CULPABLE MENTAL STATE P.C. 6.02(d) Intentionally Knowingly Reckless Criminal Negligence General Rule: No Culpable Mental State = No Crime DOES A COMPLAINT REQUIRE A CULPABLE MENTAL STATE? Traffic Code Offense? Penal / Other Code Offense? Ordinance Violations?

126 IF DEFINITION OF OFFENSE DOES NOT MENTION A CULPABLE MENTAL STATE, IS ONE REQUIRED? We must presume that a culpable mental state is required unless a contrary intent is manifested by other features of the statute. (Aguirre v. State, 22 S.W.3d 463) The required culpable mental state must be intentionally, knowingly or recklessly. DEFECTS AND OBJECTIONS Defects in the Complaint Defendant must object before trial begins Failure to object = Waiver C.C.P Art (f) CITATION VS. COMPLAINT CITATION Date of Offense Name of Accused Offense Charged Location of Offense Signed by Officer Signed by Defendant Due Date COMPLAINT Date of Offense Name of Accused Offense Charged Location of Offense Signed by Complainant Not Signed by Defendant No Due Date Sworn To Under Oath

127 QUESTIONS?

128 PUBLIC INTOXICATION 6016 PC CASE NO. THE STATE OF TEXAS IN THE MUNICIPAL COURT VS CITY OF RICHARDSON DALLAS COUNTY, TEXAS IN THE NAME AND BY THE AUTHORITY OF THE STATE OF TEXAS: BEFORE ME, THE UNDERSIGNED AUTHORITY, ON THIS DAY PERSONALLY APPEARED THIS AFFIANT, WHO AFTER BEING BY ME DULY SWORN, DEPOSES AND SAYS HE HAS GOOD REASON TO BELIEVE AND DOES BELIEVE, BASED UPON INFORMATION PROVIDED BY WHO PERSONALLY OBSERVED SUCH OFFENSE THAT HEREINAFTER CALLED DEFENDANT, ON OR ABOUT THE DAY OF, 20, AND BEFORE THE MAKING AND FILING OF THIS COMPLAINT WITHIN THE TERRITORIAL LIMITS OF THE CITY OF, IN COUNTY, IN THE STATE OF TEXAS, DID THEN AND THERE UNLAWFULLY AND KNOWINGLY APPEAR IN A PUBLIC PLACE, TO- WIT:, UNDER THE INFLUENCE OF ALCOHOL, A CONTROLLED SUBSTANCE, A DRUG, A DANGEROUS DRUG, A COMBINATION OF TWO OR MORE OF THOSE SUBSTANCES OR ANY OTHER SUBSTANCE INTO THE BODY, TO-WIT: TO THE DEGREE THAT THAT THE DEFENDANT MAY ENDANGER HIMSELF OR OTHERS; AND AGAINST THE PEACE AND DIGNITY OF THE STATE. AFFIANT SWORN TO AND SUBSCRIBED BEFORE ME BY AFFIANT, A CREDIBLE PERSON, ON THIS THE DAY OF, 20. NOTARY PUBLIC, STATE OF TEXAS

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134 4 Charging and Pre-Trial Table of Contents INTRODUCTION... 4 PART 1 CHARGING INSTRUMENTS... 4 A. Purpose Notifies Defendant of Charge Initiates Proceedings... 4 B. Types Citation Complaint... 5 a. When a Citation Serves as the Complaint... 5 b. When a Defendant Pleads Not Guilty... 5 c. When a Defendant Fails to Appear... 6 C. Requirements Written... 6 a. Wording... 6 b. Location of Offense... 7 c. Culpable Mental States Signed Sworn to... 8 a. Oath... 8 b. Affiant... 8 c. Jurat Sealed... 9 D. Objections by Defendant... 9 E. Errors in the Complaint PART 2 DOCKETS A. Maintenance B. Format and Information PART 3 UNCONTESTED PROCEEDINGS A. Pleas of Guilty or Nolo Contendere B. Payment of Fine Plea of Nolo Contendere C. Appearances Open Court Delivery of Plea in Person Mailed Plea Jailhouse Plea Level I Charging and Pre-Trial 4-1

135 D. Alternative Sentencing PART 4 FAILURE TO APPEAR A. Failure to Appear (FTA) B. Violate Promise to Appear (VPTA) C. Filing FTA or VPTA D. Charts PART 5 WARRANTS, CAPIASES, AND SUMMONSES A. Probable Cause B. Service of Process Process Defined City Police Officers and Marshals C. Warrant of Arrest Defined Authority to Issue a. Issued by Judge b. Issued by Magistrate c. Issued by Mayor D. Capias Defined Authority to Issue Requisites Return E. Capias Pro Fine F. Summons Defined Requisites a. For a Defendant b. For a Corporation or Association Authority to Issue a. Judicial Authority b. Magistrate Authority Service a. On the Defendant b. On the Corporation c. On the Association Enforcement G. Fees Attached to Writs Arrest Fee Warrant Fee Special Expense Fee: Warrants H. Search Warrants Defined Authority to Issue Nuisance Abatement PART 6 BAIL A. Definition of Bail B. When Bail is Fixed C. Records of Bail D. Surety Bond E. Personal Bond Level I Charging and Pre-Trial 4-2

136 F. Cash in Lieu of Surety PART 7 BOND FORFEITURES A. Procedures when Forfeited B. Alternative Procedures for Forfeiting a Cash Bond ANSWERS TO QUESTIONS Level I Charging and Pre-Trial 4-3

137 INTRODUCTION In municipal court, a case is usually initiated by either a charging instrument known as a complaint, or a written notice to appear called a citation. Anyone, including citizens, may file charges in municipal court, but potential criminal cases are generally first reviewed by law enforcement or the prosecutor. After a charge is filed, the clerk enters the case on a docket and assigns a docket number that is noted on all papers associated with the case. The clerk prepares a jacket or file for the case and files the case in the active files. The clerk is considered the custodian of court records and as such is responsible for maintaining the records. This duty includes keeping records updated, properly maintained, and archived. This chapter discusses what is commonly referred to as pre-trial procedure, including complaints, dockets, uncontested cases where the defendant enters a plea of guilty or no contest, and procedures for handling a defendant who fails to appear. A brief overview is also included of warrants, bail, and bond forfeitures. A more thorough discussion on bond forfeitures is included in the Level II Study Guide. A. Purpose 1. Notifies Defendant of Charge PART 1 CHARGING INSTRUMENTS One of the fundamental rights afforded defendants, even defendants accused of fine-only misdemeanors, is notice of specific charges filed against them. Art. 1.05, C.C.P. A charging instrument must notify a person of the offense alleged so that he or she may prepare a defense. Vallejo v. State, 408 S.W.2d 113 (Tex. Crim. App. 1966). Defendants are entitled to notice not later than the day before the date of any proceeding in the case. Defendants may, however, waive their right to notice. Art , C.C.P. 2. Initiates Proceedings The filing of the complaint or citation initiates proceedings in the court. Ex parte Greenwood, 307 S.W.2d 586 (Tex. Crim. App. 1957). When the court accepts a complaint or citation, the case is considered to be filed. As a general rule, a charging instrument must be filed with the municipal court to vest jurisdiction in the court. Until jurisdiction is vested in the court, the court has no authority to do anything with the case. B. Types There are generally two paths to file charges in municipal court. The first is the citation, commonly known to the public as a ticket. Citations are written notices to appear issued by a peace officer. Under certain procedural circumstances, a citation may also serve as the formal charging instrument through trial. The second is the complaint. A complaint is a sworn allegation charging an accused with an offense. In most municipal court cases, the complaint 2015 Level I Charging and Pre-Trial 4-4

138 serves as the formal charging instrument through trial. There are certain circumstances where a complaint is required to be filed. 1. Citation A written notice to appear issued by a peace officer is commonly called a citation or ticket and is filed with the court to initiate proceedings. Section of the Transportation Code authorizes peace officers to issue written notices to appear in lieu of making a full custodial arrest for Rules of the Road offenses (i.e., those offenses found in Subtitle C, Title 7 of the Transportation Code). Article 14.06(b) of the Code of Criminal Procedure provides authority for a peace officer to issue a citation for all Class C or fine-only misdemeanors, except for public intoxication. 2. Complaint The complaint is a sworn allegation charging an accused with the commission of a Class C or fine-only misdemeanor offense in municipal or justice court. Art , C.C.P. The complaint must allege that the accused committed an offense against the laws of this State and must assert that the affiant has good reason to believe and does believe that the accused committed an offense. Art (a)(4), C.C.P. All elements necessary to constitute an offense must be alleged in the complaint. Villareal v. State, 729 S.W.2d 348 (Tex. App. El Paso 1987, no pet.). Any time a person is arrested in lieu of a citation being issued, the charges filed must be initiated by sworn complaint. In other words, the issuance of a citation serves as a substitution for the formal arrest in most situations. Because peace officers may not issue a citation for public intoxication, a sworn complaint must be filed to initiate proceedings for that offense. Public intoxication is an exception because one of the elements of that offense is that the person is intoxicated to the degree that the person may endanger himself, herself, or another. Obviously, it is not in the interest of the public or the individual to simply issue a citation requiring the promise to appear when that person, at the time of the detention is intoxicated and a danger to himself, herself, or another. Conversely, there are two instances in the Transportation Code where a law enforcement officer is required to issue a citation rather than take the person into custody; those offenses are speeding and open container. Sec , T.C. a. When a Citation Serves as the Complaint A citation issued for a fine-only misdemeanor offense may substitute for the sworn complaint to which defendants can plead not guilty, guilty, or nolo contendere. Art (d), C.C.P. However, a legible duplicate copy must have been given to the defendant. Attorney General Opinions JM- 876 (1988) and JM-869 (1988). b. When a Defendant Pleads Not Guilty If a defendant pleads not guilty, the court must file a complaint that complies with the requirements of Chapter 45 of the Code of Criminal Procedure. Art (d), C.C.P. If a defendant wants the prosecution to proceed on the written notice to appear, the defendant may waive the filing of a sworn complaint. If the prosecutor agrees with the defendant, the agreement must be in writing, signed by both the prosecutor and the defendant, and filed with the court. Without such an agreement, a sworn complaint must be filed in the case. Art (d), C.C.P Level I Charging and Pre-Trial 4-5

139 c. When a Defendant Fails to Appear When a defendant fails to appear, a complaint must be filed that conforms to the requirements of Chapter 45 of the Code of Criminal Procedure. Art (d), C.C.P. In both the case of the defendant pleading not guilty and the defendant failing to appear, the complaint that is filed replaces the citation as the charging instrument. C. Requirements The requirements for a citation are discussed in the Traffic Law chapter of this Study Guide. The requirements for a complaint are found in Article of the Code of Criminal Procedure. The complaint may be filed within two years of the date of the offense and not afterward. Art (b), C.C.P. This is called the statute of limitations. The day upon which the offense is committed and the day upon which the charges are brought are not considered. Art , C.C.P. 1. Written The complaint must be written. Art (a)(1), C.C.P. Although the prosecutor is responsible for composing the wording on a complaint, the preparation of the complaint is a ministerial task that commonly falls on the court clerk, especially in this era of electronic ticket writers and court software that automatically generates complaints based on the citations entered. a. Wording The complaint shall begin: In the name and by the authority of the State of Texas and shall conclude: Against the peace and dignity of the State. If the offense is a city ordinance violation, it may also conclude: Contrary to the said ordinance. Art (a)(7), C.C.P. Article also requires that the complaint include: the name of the accused, if known, and if unknown, a reasonably definite description (note that a defendant s name cannot be changed on the complaint even with his or her consent; if the name is spelled wrong and the State wants to change it, a new complaint must be sworn to. Franklyn v. State, 762 S.W.2d 228 (Tex. App. El Paso 1988)); that the accused has committed an offense against the laws of this State; that the offense was committed in the territorial limits of the city in which the complaint is made; the date of the offense as definitely as the affiant is able to provide (remembering that the date of the offense must be before the filing of the complaint and within the statute of limitations. Green v. State, 799 S.W.2d 756 (Tex. Crim. App. 1990)); and that the affiant has good reason to believe and does believe the accused has committed an offense. Frequently, defendants are charged with committing more than one offense on a traffic citation. When a clerk receives a citation with multiple offenses listed on it, each offense is a separate charge and should be alleged on separate complaints. Each complaint will contain the name of the defendant, the date of the offense, and one of the offenses cited Level I Charging and Pre-Trial 4-6

140 b. Location of Offense The particular location within the court s jurisdiction where a violation was committed need not be alleged if the violation is one that could occur at any place within that jurisdiction. Bedwell v. State, 155 S.W.2d 930 (Tex. Crim. App. 1941). For example, the offense of assault by threat does not require that a specific location be alleged, as long as the complaint alleges that the offense occurred within the territorial limits of the city. Although preparing the language of the complaint is a responsibility often delegated to court clerks, remember that the every element in the complaint must be proven by the prosecutor if the case goes to trial; therefore, be sure to consult with your city attorney or prosecutor as questions arise. c. Culpable Mental States Generally, a person commits an offense only if he or she voluntarily engages in criminal conduct, including an act, an omission, or possession. Sec. 6.01(a), P.C. A person does not commit an offense unless he or she intentionally, knowingly, recklessly, or with criminal negligence engages in conduct as the definition of the offense requires. The required culpable mental state must be alleged in the complaint. Sec. 6.02(a), P.C. If the offense does not prescribe a culpable mental state, a culpable mental state is nevertheless required unless the definition plainly dispenses with any mental element. Sec. 6.02(b), P.C. If the definition of an offense does not prescribe a culpable mental state, but one is required, Section 6.02(c) of the Penal Code says the required culpable mental state must be intentionally, knowingly, or recklessly. For an offense that is a violation of a city ordinance punishable by a fine exceeding $500, a culpable mental state is required to be pled in the complaint regardless of whether one is prescribed in the offense. Sec. 6.02(f), P.C. Offenses that do not require a culpable mental state to be pled are called strict liability offenses. Many of these strict liability offenses are traffic offenses and can be found in the Transportation Code. Zulauf v. State, 591 S.W.2d 869 (Tex. Crim. App. 1979). Section 6.02(d) of the Penal Code provides that culpable mental states are classified according to relative degrees, from highest to lowest, and are defined as follows: Intentionally - A person acts intentionally, or with intent, with respect to the nature of the conduct or to a result of the conduct when it is the person s conscious objective or desire to engage in the conduct or cause the result. Knowingly - A person acts knowingly, or with knowledge, with respect to the nature of the conduct or to circumstances surrounding the conduct when the person is aware of the nature of the conduct or that the circumstances exist. A person acts knowingly, or with knowledge, when the person is aware that the conduct is reasonably certain to cause the result. Recklessly - A person acts recklessly, or is reckless, with respect to circumstances surrounding the conduct or the result of the conduct when the person is aware of but consciously disregards a substantial and unjustifiable risk that the circumstances exist or the result will occur. The risk must be of such a nature and degree that its disregard constitutes a gross deviation from the standard of care that an ordinary person would exercise under all the circumstances as viewed from the actor s standpoint Level I Charging and Pre-Trial 4-7

141 Criminal Negligence - A person acts with criminal negligence, or is criminally negligent, with respect to circumstances surrounding the conduct or the result of the conduct when the person ought to be aware of a substantial and unjustifiable risk that the circumstances exist or the result will occur. The risk must be of such a nature and degree that the failure to perceive it constitutes a gross deviation from the standard of care that an ordinary person would exercise under all the circumstances as viewed from the actor s standpoint. It should be noted, however, that although clerks should have an understanding of the elements of the offense and mental states, it is the prosecutor s responsibility, as the representative of the state, to draft the complaint. 2. Signed A complaint must be signed. Art , C.C.P. A complaint not signed by the affiant is defective. Bender v. State, 353 S.W.2d 39 (Tex. Crim. App. 1962). A signature on the complaint may be rubber-stamped or contain an electronic signature. Parsons v. State, 429 S.W.2d 476 (Tex. Crim. App. 1968). Article (h) of the Code of Criminal Procedure provides that a statutory requirement that a document contain a signature is satisfied if the document contains the signature as captured by an electronic device. This rule applies to the signature of any person, judge, clerk of the court, or defendant. The name of the affiant need not appear in the body of the complaint. 3. Sworn to A complaint must be sworn, i.e., must be made under oath. Art , C.C.P. The person swearing to the complaint must have good reason to believe and in fact believe that the defendant committed the act alleged in the complaint. The person swearing to the complaint is declaring the truth of the information contained in the complaint. a. Oath Statutes do not provide specific wording for the oath administered to an affiant swearing to a complaint. The following is a sample oath a court may want to consider using: Do you solemnly swear (or affirm) that the information contained in this complaint is true and correct (so help you God)? b. Affiant The person swearing to the complaint is the affiant. Any credible person acquainted with the facts of the alleged offense either by personal knowledge or hearsay may be an affiant. Cisco v. State, 411 S.W.2d 547 (Tex. Crim. App. 1967). An example of an affiant with personal knowledge is a peace officer who personally observed a person speeding and swears to the complaint. An example of a hearsay affiant is a person who has not observed the offense, but reviews an arrest report and then swears to the complaint. This person has good reason to believe, based upon information provided by the officer who personally observed the offense, that the offense was committed, and can be a court clerk or deputy court clerk. The following is a list of procedures on how to administer an oath to an affiant: 2015 Level I Charging and Pre-Trial 4-8

142 affiant reviews complaint; affiant and person administering oath both raise their right hand; oath is administered; affiant signs complaint; and person administering oath signs jurat. c. Jurat The certificate of the person before whom the complaint is sworn is called a jurat. It is the clause written at the foot of an affidavit, such as a complaint, stating when and before whom the affidavit was sworn. If a complaint does not contain a jurat, it is insufficient to constitute a basis for a valid conviction. If the jurat shows that the affidavit was sworn before someone who had no authority to administer the oath, the complaint is invalid. If the jurat is not signed, the complaint is invalid. State v. Pierce, 816 S.W.2d 824 (Tex. App. Austin 1991, no pet.). An undated jurat also renders a complaint defective. Shackelford v. State, 516 S.W.2d 180 (Tex. Crim. App. 1974). Article (e) of the Code of Criminal Procedure lists the persons who have authority to administer the oath to someone swearing to a municipal court complaint and includes the municipal judge, court clerk, deputy court clerk, city secretary, city attorney, or deputy city attorney. Section of the Government Code also provides authority for a clerk to administer any oath. 4. Seal Municipal court complaints are required to have a court seal. Article (g) of the Code of Criminal Procedure requires municipal courts to impress a seal on all documents, except subpoenas, issued out of the court and to use the seal to authenticate the acts of the judge and clerk. This statute is a general statute that applies only to non-record municipal courts. Municipal courts of record have a specific statute, Section of the Government Code, regarding their seal. These two statutes are similar in that they both require the seal to be impressed on all documents, except subpoenas, and to authenticate the acts of the judge and clerk. The two statutes are different in that Article does not provide for the wording of the seal for nonrecord courts, but Section does contain specific wording for the municipal courts of record seal. That statute requires the following phrase to be included on the seal: Municipal Court of/in, Texas. Non-record municipal courts may want to consider using the same or similar wording on their seal. The court seal may be created by electronic means, including optical imaging, optical disk, or other electronic reproduction technique that does not permit changes, additions, or deletions to an original document created by the same type of system. Art (g), C.C.P. D. Objections by Defendant A defendant waives and forfeits the right to object to a defect, error, irregularity in form, or substance of the complaint if the defendant does not object before the commencement of the trial 2015 Level I Charging and Pre-Trial 4-9

143 on the merits. A court may require that objections be made at an earlier time such as at a pre-trial hearing. Art (g), C.C.P. E. Errors in the Complaint Remember that complaints, like citations, cannot be amended. If there is an error on a citation, the way to cure that error is to file a new sworn complaint. If there is an error on a complaint, the way to cure that error is to dismiss the defective complaint and refile a corrected complaint, so long as it is still within the statute of limitations. Q. 1. A citizen comes to court to complain about a neighbor s dog running at large, but does not want to sign a written complaint. No complaint is filed. May the municipal court hear this case? Why or why not? Q. 2. If a citation has been filed to initiate the proceedings in court, when does a sworn complaint have to be filed? Q. 3. Since the preparation of the complaint is a ministerial duty, who usually prepares the complaint? Q. 4. Why does the complaint have to allege the date of the offense? Q. 5. Who may administer the oath to an affiant swearing to a complaint in municipal court? Q. 6. Define the word jurat. Q. 7. What words are required to be on the seal of a municipal court of record? Q. 8. May a court seal be created electronically? Q. 9. What is the purpose of the court seal? Q. 10. List the culpable mental states from the highest to the lowest. Q. 11. If a statute does not state that a culpable mental state is required, which culpable mental state should be alleged in the complaint? Q. 12. Which city ordinances must allege a culpable mental state even though the offense may not prescribe one? Q. 13. When the sworn complaint is filed, is this a new case or the same case that was initiated by the citation? 2015 Level I Charging and Pre-Trial 4-10

144 Q. 14. When may the trial be on the citation instead of the sworn complaint? Q. 15. If a citation is filed with the court and the defendant fails to appear, what must be filed? True or False Q. 16. If a municipal court does not have a complaint or citation filed, the court may not accept a plea of guilty from the defendant. Q. 17. A complaint is a charging instrument filed in municipal court. Q. 18. Municipal court defendants do not have a right to notice of the crime with which they are being charged. Q. 19. Defendants are entitled to notice a copy of the complaint at least five days prior to trial. Q. 20. Citizens have the right to file a complaint with the court. Q. 21. When an officer loses a ticket and finds it three months later and then files it with the court, the court has jurisdiction to try the case. Q. 22. If a person is arrested, the officer can file a citation with the court. Q. 23. The offense of public intoxication may not be filed in municipal court by citation, but must be initiated by a sworn complaint. Q. 24. A complaint gives notice to a defendant of the offense with which he or she is charged so that the defendant can prepare a defense. Q. 25. A defendant may object to an error in a complaint at any time, even during the trial. Q. 26. A complaint must begin with the following words: In the name and by the authority of the State of Texas. Q. 27. A city ordinance complaint for the offense of a dog running at large may also conclude with the words Contrary to the said ordinance. Q. 28. A complaint does not have to state that the offense was committed in the city in which it occurred. Q. 29. The specific location where an offense occurs must always be stated in the complaint. Q. 30. If a defendant s name is misspelled on a sworn complaint, the court clerk may correct it and the prosecution may proceed on the complaint. Q. 31. Penal Code offenses do not require a culpable mental state. Q. 32. Many Transportation Code offenses do not require a culpable mental state. Q. 33. A person who recklessly damages someone else s property even though they might not have intended to do it may be charged with a crime. Q. 34. Criminal negligence is the highest degree of a culpable mental state. Q. 35. If someone swears to a complaint, he or she is declaring by oath the truth of the information contained in the complaint. Q. 36. Only the officer who personally observed an offense may be an affiant on a complaint Level I Charging and Pre-Trial 4-11

145 Q. 37. A court clerk may not be an affiant on a complaint. Q. 38. A hearsay affiant is one who is acquainted with the facts of the case, but did not personally observe the offense. Q. 39. A complaint that is not signed by the affiant is still a valid complaint. Q. 40. A complaint is defective if either the affiant or the jurat stamps their signature instead of actually writing it. Q. 41. A signature of the affiant or jurat can be electronically captured. Q. 42. A person swearing to a complaint must sign his or her name in front of the person administering the oath. Q. 43. The date the complaint is sworn does not have to be noted in the jurat. Q. 44. A complaint is valid as long as it has been sworn to even if the person administering the oath does not sign the jurat. Q. 45. If the prosecutor decides to file the offense of failure to appear on old cases that have already gone to warrant, the failure to appear must have occurred less than two years previously. Q. 46. If a defendant is being charged with more than one offense, the court may put all the offenses on one complaint. Q. 47. A defendant may plead guilty, not guilty, or nolo contendere when a citation has been filed with the court. A. Maintenance PART 2 DOCKETS A docket is a formal record of court proceedings. The judge must keep a docket and enter proceedings in each trial. Art , C.C.P. Because keeping a docket is not discretionary, the judge usually delegates the maintenance of the docket to the clerk. B. Format and Information There is no requirement that the docket be kept in a well-bound book. Attorney General Opinion DM-139. Information in a docket may be processed and stored by use of electronic data processing equipment at the discretion of the judge. Arts (b)(3) and (b), C.C.P. If a court stores and maintains the docket electronically, the court is not required to simultaneously maintain a paper copy of the docket. In fact, courts that keep the great bound docket book now are the rare exceptions. Article of the Code of Criminal Procedure requires the following information be entered in the docket: the style and file number of each criminal action; the nature of the offense charged; the plea offered by the defendant and the date the plea was entered; 2015 Level I Charging and Pre-Trial 4-12

146 the date the warrant, if any, was issued, and the return thereon; the time when the examination or trial was held and if a trial was held, whether it was by jury or by the judge; the verdict of the jury, if any, and the date of the verdict; the judgment and sentence and the date each was given; the motion for new trial, if any, and the decision thereon; and whether an appeal was taken and the date of that action. As a case proceeds through the judicial system, the clerk enters the required information on the docket. Remember that only brief entries of the information are required. Q. 48. When a judge or clerk enters proceedings on a docket, what is he or she doing? Q. 49. Why does the court keep a docket? Q. 50. Why may a clerk enter proceedings on a docket? True or False Q. 51. The style and file number of each case must be entered on the docket. Q. 52. A docket does not have to include the type of offense with which the person is charged. Q. 53. When a judge issues a warrant, only the date that it is issued must be noted on the docket. Q. 54. The docket must show whether the trial was conducted by the judge or by the jury. Q. 55. Who has the authority to decide whether to process and store the information on the docket electronically? Q. 56. If information is stored electronically, does the court still have to maintain a simultaneous record in a docket book that is a bound book? PART 3 UNCONTESTED PROCEEDINGS Defendants who do not wish to contest the charges against them may plead either guilty or nolo contendere (no contest) and pay a fine. In some instances, the law may allow the court to require the defendant to comply with other sanctions. Adult defendants can plead guilty or nolo contendere without appearing in open court by delivering or mailing to the court a plea and waiver of jury trial or payment of the fine and costs. Defendants who do not want to contest charges against them may still present evidence to mitigate the fine to be used during the court s determination of punishment at the court s discretion. Arts (a) and , C.C.P Level I Charging and Pre-Trial 4-13

147 A. Pleas of Guilty or Nolo Contendere A plea of guilty is a formal admission of guilt wherein the defendant confesses to committing the charged crime. A plea of nolo contendere means the defendant is not contesting the charges filed against them. Literally, nolo contendere is a Latin phrase meaning, I will not contest. Although this plea has a similar legal effect as pleading guilty (i.e., the defendant is found guilty and is assessed a fine and costs), the defendant does not admit or deny the charges. The principal difference between a plea of guilty and a plea of nolo contendere is that the nolo plea may not be used against the defendant in a civil action arising from the same act, for example a lawsuit seeking damages from a car crash. Pleas of guilty and nolo contendere must be made intelligently and voluntarily. Defendants who plead guilty or nolo contendere must also waive the right to a jury trial in writing. Art , C.C.P. When a defendant waives a trial by jury, the judge determines the punishment. B. Payment of Fine Plea of Nolo Contendere Defendants may pay a fine by mail or by delivering the payment to the court in person or through the defendant s counsel. The amount accepted by the court constitutes a written waiver of a jury trial and a finding of guilty in open court, as though a plea of nolo contendere had been entered by the defendant. After a clerk receives the payment, the clerk must give the case to the judge to formally accept the payment. After the judge enters a judgment, the clerk notes the judgment on the docket. Art (c), C.C.P. C. Appearances Defendants who do not wish to contest their cases must still make some type of appearance to dispose of their case. Adult defendants may appear in person or by counsel in open court, by mail, by delivering a plea and waiver of jury trial to the court, or by payment of the fine and costs. Art , C.C.P. 1. Open Court Adult defendants may appear in person or by counsel in open court to enter a plea. Art (a), C.C.P. This procedure is sometimes referred to as the arraignment, although there is no true arraignment in municipal courts. Art , C.C.P. At the arraignment, a judge identifies the defendant, explains the charge, and requests a plea. If the defendant pleads guilty or nolo contendere, the judge can listen to mitigating circumstances before setting the fine. 2. Delivery of Plea in Person Adult defendants can make an appearance by delivering in person to the court a plea of guilty or nolo contendere and a waiver of jury trial. Art (b), C.C.P. If the court receives the plea and waiver before the defendant is scheduled to appear, the court shall dispose of the case without requiring a court appearance by the defendant. If the court receives the plea and waiver after the time the defendant is scheduled to appear in court but at least five business days before a scheduled trial date, the court shall also dispose of the case without requiring a court appearance by the defendant. The clerk usually receives these types of pleas and transmits them with the waiver of jury trial to the judge to accept and enter a judgment. Only the judge has the authority 2015 Level I Charging and Pre-Trial 4-14

148 to request and accept a plea, and this duty may not be delegated to other court personnel. Attorney General Opinion H-386 (1974). The court must give notice to the defendant either in person, by hand delivery, or by certified mail with return receipt requested of the amount of any fine assessed in the case and, if requested by the defendant, the amount of an appeal bond. Typically, the clerk provides a hand-delivered notice when the defendant delivers the plea and waiver to the court. After the defendant receives the notice, he or she must pay the fine and costs assessed or post an appeal bond before the 31st day after receiving the notice. Art (b), C.C.P. 3. Mailed Plea Adult defendants may also make an appearance by mailing a plea of guilty or nolo contendere and a waiver of jury trial to the court. If the court receives the plea and waiver before the defendant is scheduled to appear or after the defendant is scheduled to appear but at least five business days before a scheduled trial date, the court simply disposes of the case without requiring a court appearance. Art (b), C.C.P. If a defendant makes his or her appearance by mail, the court must notify the defendant by certified mail, return receipt requested, of the amount of the fine assessed and, if requested by the defendant, the amount of an appeal bond. The defendant must pay the fine and costs or post an appeal bond before the 31st day after receiving the notice. Art (b), C.C.P. A document is considered timely filed with the clerk of a court if it is deposited with the U.S. Postal Service in a first class postage prepaid envelope properly addressed to the clerk on or before the date the document is required to be filed and is received not later than the 10th day after it is required to be filed. Do not count Saturdays, Sundays, or legal holidays when calculating this time period. This is called the Mailbox Rule. Art , C.C.P. Consequently, courts should consider waiting an additional 10 days after a person is scheduled to appear before preparing warrants or filing failure to appear or violation of promise to appear charges. 4. Jailhouse Plea Judges may permit a defendant who is detained in jail to enter a plea of guilty, nolo contendere, or not guilty. If the defendant enters a plea of guilty or nolo contendere, the judge may, after giving the magistrate warnings required under Article of the Code of Criminal Procedure and advising the defendant of the defendant s right to a trial by jury, accept the defendant s plea and: assess a fine, determine costs, and accept payment of the fine and costs; give the defendant credit for time served; determine whether the defendant is indigent; or discharge the defendant. Although many judges were already in the practice of taking these jailhouse pleas, the practice was not codified until 2013 when the Legislature amended Article of the Code of Criminal Procedure. The statute also provides that a defendant who enters a plea in jail may make a motion for new trial not later than 10 days after the rendition of judgment and sentence. If 2015 Level I Charging and Pre-Trial 4-15

149 such a motion is made, the judge shall grant the motion for new trial. Consequently, courts should be mindful when processing payment of fines and costs made following a jailhouse plea that if the defendant makes a timely motion for new trial within the 10 days, the judge must grant that motion. D. Alternative Sentencing If a defendant does not want to contest a charge, he or she may request a driving safety course, teen court, or deferred disposition in lieu of having a judgment of conviction entered against him or her. Each of these alternatives requires the defendant to first plead guilty or nolo contendere. Unless the defendant is eligible for a driving safety course by statute, the decision to allow a defendant a form of alternative sentencing is completely in the judge s discretion. These forms of alternative sentencing are also available after a finding of guilty at trial; therefore, alternative sentencing methods, including deferred disposition and driving safety courses, are discussed at length in the Post-Trial Procedures chapter of this Study Guide. True or False Q. 57. A defendant who pleads nolo contendere will be found guilty by the court. Q. 58. A defendant involved in a collision who pleads nolo contendere to the traffic charge may have the plea held against him in a civil suit. Q. 59. Pleading guilty means that a defendant admits to having committed the crime. Q. 60. What is the arraignment? Q. 61. When a defendant delivers a plea of guilty or nolo contendere to the court, what additional information must be included with the plea? Q. 62. May the court require an adult defendant s personal appearance if the defendant delivers the plea of guilty or nolo contendere and a waiver on or before his or her appearance date? Q. 63. When a defendant delivers the plea and waiver to the court and requests the amount of fine and appeal bond, what is the court required to do? True or False Q. 64. When a defendant pays a fine and court costs without sending in a plea, the payment constitutes a plea of nolo contendere and a written waiver of jury trial. Q. 65. If a defendant s charge is the result of having caused a traffic collision, the judge has the authority to require that person to make an appearance in open court. Q. 66. A defendant has 31 days to either pay a fine or present the court with an appeal bond from the time that he or she receives notice of the amount owed following a plea by mail Level I Charging and Pre-Trial 4-16

150 Q. 67. When a defendant mails a plea of guilty or nolo contendere and waiver of jury trial to the court, the court considers that the defendant has made an appearance. Q. 68. If a defendant mails the plea and waiver to the court after his or her appearance date but at least five business days before a scheduled trial date, the court may make the defendant make a personal appearance. Q. 69. A defendant who makes an appearance by mail has the right to appeal his or her case. Q. 70. When the defendant mails the money to the court, he or she is pleading guilty. Q. 71. If the defendant sends in the wrong amount, the clerk must, before he or she gives the case to the judge, contact the defendant and try to get the rest of the money. Q. 72. If an adult defendant s attorney appears in open court, the defendant must also appear in open court. Q. 73. If a judge takes a plea from a person detained in jail on a Class C misdemeanor, the judge must grant any motion for new trial if made within five days of the judgment. Q. 74. Mailed pleas are considered timely made if deposited in the U.S. Postal Service properly addressed and stamped on or before the appearance date. A. Failure to Appear (FTA) PART 4 FAILURE TO APPEAR When a defendant is released from custody and intentionally and knowingly fails to appear in accordance with the terms of release, he or she can be charged with the separate offense of Bail Jumping and Failure to Appear. The offense is a Class C misdemeanor if the offense for which the actor s appearance was required is punishable by fine only. Sec , P.C. A defendant that has not been in custody, and consequently, has never promised to appear, cannot be charged with the offense of failure to appear. In this instance, the court would issue a warrant of arrest or capias. Remember, a person that has been detained by a peace officer and then released upon the issuance of a citation, has been released from custody on the condition they subsequently appear in court. Likewise, a person who has been arrested and released by a magistrate either on bail or under a subsequent order to appear has been released from custody on the condition they subsequently appear in court. B. Violate Promise to Appear (VPTA) A person who willfully violates a written promise to appear in court commits a misdemeanor regardless of the disposition of the charge on which the person was arrested. Sec , T.C. The offense of Violate Promise to Appear may be charged only when the underlying offense is an offense in Subtitle C of Title 7 of the Transportation Code, i.e., a Rules of the Road offense (found in Chapters ). Since no specific penalty is provided for the offense, the court must look to the general penalty found in Section of the Transportation Code of a fine of not less than $1 or more than $ Level I Charging and Pre-Trial 4-17

151 C. Filing FTA or VPTA A defendant that does not appear in court as scheduled is not automatically going to be charged with a nonappearance crime. Only the prosecutor may decide whether to file the charge of failure to appear or violation of promise to appear. Clerks do not make this decision. Both of these charges are initiated by a sworn complaint and filed on a new docket with a new cause number. Usually the bailiff, warrant officer, marshal, or clerk is the affiant. This is a new crime of which the defendant is accused. It exists independently of the underlying charge for which the defendant failed to appear. D. Charts The following chart illustrates instances when it is possible to file failure to appear or violate promise to appear charges. Offense Vehicle Registration Laws Chapter 502, T.C. Driver s License Laws Chapter 521, T.C. Commercial Driver s License Laws Chapter 522, T.C. Subtitle C, Rules of the Road offenses Chapters , T.C. Financial Responsibility Law Chapter 601, T.C. Other Transportation Code offenses outside Subtitle C, Rules of the Road Failure to Appear (Sec , Penal Code) Yes Yes Yes No Yes Yes Alcoholic Beverage Code offenses Yes No Education Code offenses Yes No Health and Safety Code offenses Yes No Penal Code offenses Yes No City Ordinance offenses Yes 1 No Violate Promise to Appear (Sec , Transportation Code) No No No Yes (if signed the citation) No No Of course, all of the elements of an FTA or VPTA must be present in order to file the additional nonappearance charge. FTA requires the defendant to have been in custody, released from custody on the condition the defendant subsequently appear in court, and the defendant intentionally or knowingly fails to appear. VPTA requires the defendant to have been cited for a Rules of the Road offense, signed the citation promising to appear, and willfully violated that promise to appear by not appearing. The following chart indicates some similarities and differences between the two charges: 2015 Level I Charging and Pre-Trial 4-18

152 Failure to Appear (Sec , Penal Code) Violate Promise to Appear (Sec , Transportation Code) Decision to file charge City prosecutor City prosecutor Charge initiated by sworn complaint Yes Yes Culpable mental state Intentionally or Knowingly Willfully Custody of defendant required Defendant released on bail required Signature on citation, if any, required Maximum possible fine if convicted Yes No No No No Yes $ $ If the situation does not meet the elements (e.g., the citation was not issued by a peace officer), the court can still issue an arrest warrant for the underlying charge for which the defendant failed to appear (e.g., for the code violation). See the next section for more on warrants. True or False Q. 75. A defendant who has been served with a summons and then fails to appear may be charged with the offense of failure to appear. Q. 76. A defendant who is released without bail and then fails to appear may not be charged with the offense of failure to appear. Q. 77. The culpable mental state of the offense of failure to appear is intentionally or knowingly. Q. 78. The offense of failure to appear is a Class C misdemeanor if the offense for which the person was required to appear is also a Class C misdemeanor. Q. 79. The maximum amount of fine that may be assessed for the offense of failure to appear is $200. Q. 80. A municipal court clerk may sign as affiant on a complaint for failure to appear. Q. 81. The culpable mental state for the offense of violation of promise to appear is willful conduct. Q. 82. If the charge for which the defendant s appearance was required is dismissed, the offense of violation of promise to appear must also be dismissed. Q. 83. When a defendant charged with the offense of failure to maintain financial responsibility fails to appear, he or she may be charged with violation of promise to appear. Q. 84. The maximum fine that a court may assess for the offense of violation of promise to appear is $ Level I Charging and Pre-Trial 4-19

153 PART 5 WARRANTS, CAPIASES, AND SUMMONSES This section provides an overview of probable cause and the types of writs issued by municipal courts. First, what is a writ? Originally, a writ was a letter or command from the King, usually written in Latin, and sealed with the Great Seal. Now, a writ is referred to as a written order of the court ordering a person to perform or refrain from some specified act. Municipal courts deal with several types of writs: an arrest warrant is a writ, as is a capias. In order for a judge to issue a warrant or capias, the judge must have probable cause to issue such an order. Although municipal court clerks have no authority to determine probable cause, they typically prepare affidavits of probable cause for peace officers and others. After an affidavit is sworn, it is presented to a judge or a magistrate who determines if the probable cause in the affidavit is sufficient to issue an arrest warrant. After a judge issues a warrant, the clerk s role as custodian of the records is to coordinate with the police department for the handling of the warrant. Some courts give the police department a copy of the warrant; some give them the original. Some courts are connected electronically with the police department; some courts provide the police department with a list of defendants to whom warrants have been issued. Article of the Code of Criminal Procedure makes it the official duty of the magistrate s clerk to be the custodian of arrest warrants or affidavits made in support of the warrant. Warrants and affidavits are public information after the warrants are executed. The clerk has an affirmative duty to make a copy of the warrants and supporting affidavits available for public inspection after the warrants are served. A. Probable Cause No warrant shall issue, but upon probable cause. Amend. IV, U.S. Const.; Art. I, Sec. 9, Tex. Const.; and Art. 1.06, C.C.P. Probable cause is the amount of evidence necessary to cause a person to believe someone has committed a crime. An arrest warrant, a summons, and a capias require probable cause before being issued. A municipal court clerk lacks authority to determine probable cause. Only a judge or magistrate may determine probable cause. Sharp v. State, 677 S.W.2d 513 (Tex. Crim. App. 1984). Probable cause can be presented to a judge or magistrate by an affidavit or by additional wording contained in a complaint. The test in determining if a complaint shows probable cause is whether it provides a neutral and detached magistrate with sufficient information to support an independent judgment that probable cause exists for the issuance of a warrant. Rumsey v. State, 675 S.W.2d 517 (Tex. Crim. App. 1984). B. Service of Process 1. Process Defined Processes are written orders issued by a judge or a magistrate and include a warrant of arrest, capias, capias pro fine, and summons Level I Charging and Pre-Trial 4-20

154 2. City Police Officers and Marshals City police officers and marshals serve municipal court process under the same rules and laws governing the service of process by sheriffs and constables. Art , C.C.P. A city police officer or marshal may serve all process issuing out of a municipal court anywhere in the county in which the municipality is situated. If the municipality is in more than one county, they may serve process throughout those counties. C. Warrant of Arrest 1. Defined A warrant of arrest is a written order from a magistrate directed to a peace officer or some other person specially named to take a person into custody to be dealt with according to law. Art , C.C.P. 2. Authority to Issue A magistrate may issue a warrant of arrest for all classifications of offenses, misdemeanors to felonies. Municipal judges and city mayors are magistrates and have that additional authority to issue arrest warrants for higher crimes. Art. 2.09, C.C.P. A municipal judge may also issue arrest warrants as a judge for fine-only misdemeanors filed in municipal court. Art , C.C.P. a. Issued by Judge When a sworn complaint or affidavit based on probable cause is filed, the judge may issue a warrant of arrest for charges over which the judge has jurisdiction. Art , C.C.P. A warrant issued pursuant to Article of the Code of Criminal Procedure must: issue in the name of The State of Texas; direct the proper peace officer or some other person specially named in the warrant; include a command that the body of the accused be taken and brought before the authority issuing the warrant, at the time and place therein named; state the name of the person whose arrest is ordered, if known, and if not known, describes the person as in the complaint; state that the person is accused of some offense against the laws of the State naming the offense; and be signed by the judge and name his or her office in the body of the warrant or in connection with his or her signature. Note that an arrest warrant issued by a municipal judge under Chapter 45 of the Code of Criminal Procedure orders the officer to bring the arrested person before the court. b. Issued by Magistrate A magistrate may issue a warrant of arrest in any case in which the magistrate is authorized by law to verbally order the arrest of an offender; when a person makes an oath before the magistrate that a person has committed an offense against the laws of the State; and in any case 2015 Level I Charging and Pre-Trial 4-21

155 named in the Code of Criminal Procedure where the magistrate is specially authorized to issue a warrant. Art , C.C.P. Article of the Code of Criminal Procedure provides that a warrant issued by a magistrate must: issue in the name of The State of Texas; specify the name of the person whose arrest is ordered, if known; if unknown, then some reasonably definite description of him or her; state that the person is accused of some offense against the laws of the State naming the offense; and be signed by the magistrate and name his or her office in the body of the warrant or in connection with his or her signature. A warrant issued by a magistrate, except a mayor, extends to every part of the State, and any peace officer to whom the warrant is directed is authorized to execute it in any county in the State. Art , C.C.P. The peace officer receiving the warrant must execute it without delay. The officer or person executing a warrant of arrest shall, without unnecessary delay but no later than 48 hours after the arrest, take the person or have him or her taken before the magistrate who issued the warrant or before the magistrate named in the warrant if the magistrate is in the same county where the person is arrested. If the issuing or named magistrate is in another county, the person arrested shall without unnecessary delay be taken before some magistrate in the county in which the person was arrested. Art , C.C.P. If it is more expeditious to the person arrested, the officer may take the person before a magistrate in a county other than the county of arrest. Art (b), C.C.P. c. Issued by Mayor A warrant issued by a mayor as a magistrate cannot be executed in another county other than the one in which it is issued. The exception to this is when it is endorsed by a judge of a court of record, in which case it may be executed anywhere in the State, or if it is endorsed by a magistrate in the county in which the accused is found, it may be executed in that county. If it is endorsed by a magistrate where the accused is found, the endorsement is as follows: Let this warrant be executed in the County of. If the warrant is endorsed by a judge of a court of record, the endorsement is Let this warrant be executed in any county of the State of Texas. Any other words of the same meaning will be sufficient. The endorsement shall be dated and signed officially by the magistrate making it. Art , C.C.P. D. Capias 1. Defined A capias is a writ issued by the judge of the court having jurisdiction of a case after commitment or bail and before trial, or by a clerk at the direction of the judge and directed to any peace officer of the State of Texas, commanding the officer to arrest a person accused of an offense and bring the arrested person before that court immediately on a day or at a term stated in the writ. Art , C.C.P Level I Charging and Pre-Trial 4-22

156 2. Authority to Issue In misdemeanor cases, the capias issues from a court having jurisdiction of the case. Art , C.C.P. Where a forfeiture of bail is declared, a capias shall be immediately issued for the arrest of the defendant. Art , C.C.P. Municipal court clerks may prepare the capias, but the municipal judge must issue the capias. Although Article provides that the capias may be issued by the clerk at the direction of the judge, this provision only applies to district clerks under certain conditions. The 80th Legislature codified the Sharp v. State case that involved a City of Houston municipal court clerk who issued a capias writ for a defendant accused of violating the helmet safety law. The defendant was later arrested on that writ and, as a result of this arrest, was charged with and convicted of possession of methamphetamine. The appellate court held that authority was not vested in the deputy municipal court clerk under Texas law to issue a capias. Because a magistrate had failed to direct the issuance of the capias and to determine probable cause, the defendant s arrest was illegal and the evidence discovered as a direct result of the arrest was suppressed. In Crane v. State, 759 F.2d 412 (5th Cir. 1985), a district attorney and county attorney were held liable because the district attorney had devised a county policy authorizing clerks, rather than judges, to issue misdemeanor capiases. 3. Requisites Article of the Code of Criminal Procedure provides the requirements of a capias. It must: 4. Return run in the name of The State of Texas; name the person whose arrest is ordered, or if unknown, describe the person; specify the offense of which the defendant is accused and state that the offense is against the penal laws of the State; name the court to which and the time when it is returnable (note that a capias does not lose its force if not executed and returned at the time fixed in the writ; rather it may be executed at any time afterward and all proceedings under such capias shall be as valid as if the same had been executed and returned within the time specified in the writ. Art , C.C.P.); and be dated and attested to officially by the authority issuing the same. A return of the capias shall be made to the court from which it is issued. If it has been executed, the return shall state what disposition has been made of the defendant. If it has not been executed, the cause of the failure to execute it shall be fully stated. If the defendant has not been found, the return shall further show what efforts have been made by the officer to find the defendant, and what information the officer has as to the defendant s whereabouts. Art , C.C.P. The clerk is responsible for coordinating the handling of the capias between the court and police department. If a peace officer is unable to serve the capias and returns it to the court, the clerk should bring this information to the attention of the judge and the prosecutor Level I Charging and Pre-Trial 4-23

157 E. Capias Pro Fine A capias pro fine is an order of the court directing a peace officer to bring a defendant who fails to satisfy a judgment before the court immediately or to place the defendant in jail until the business day following the date of the defendant s arrest if he or she cannot be brought before the court immediately. Art , C.C.P. This writ is only issued post-judgment and is discussed in the Post-Trial Procedures chapter of this Study Guide. F. Summons 1. Defined A summons gives notice to a person, association, or corporation that a charge has been filed against him or her in a court. It provides the address of the court and a date and time the defendant is required to appear. 2. Requisites a. For a Defendant A summons issued by a judge for a misdemeanor follows the same form and procedure as in a felony case. Art , C.C.P. The summons is in the same form as a capias, except it summonses a defendant to appear before the proper court at a stated time and place. Art (b), C.C.P. Article 23.03(d) of the Code of Criminal Procedure requires that a summons include the following notice, clearly and prominently stated in English and in Spanish: It is an offense for a person to intentionally influence or coerce a witness to testify falsely or to elude legal process. It is also a felony offense to harm or threaten to harm a witness or prospective witness in retaliation for or on account of the service of the person as a witness or to prevent or delay a person s service as a witness to a crime. A summons issued by a magistrate for a defendant is in the same form as a warrant, except it summonses a defendant to appear before a magistrate at a stated time and place. Art (b), C.C.P. b. For a Corporation or Association If the court is issuing a summons for a corporation or association, the form of the summons is different. It shall be in the form of a capias and shall provide that the corporation or association appear before the court named at or before 10 a.m. of the Monday next after the expiration of 20 days after it is served. If service is upon the Secretary of State or the Commissioner of Insurance, the summons shall provide that the corporation or association appear at or before 10 a.m. of the Monday next after the expiration of 30 days after service. A certified copy of the complaint must be attached to the summons. Art. 17A.03, C.C.P Level I Charging and Pre-Trial 4-24

158 3. Authority to Issue a. Judicial Authority In a misdemeanor case, the summons is issued by a court having jurisdiction in the case. Art , C.C.P. This summons should not be confused with a jury summons, which is a notice a clerk sends to a prospective juror requiring his or her appearance for jury service. A municipal court may also issue a summons for a corporation or association under Article 17A.03, C.C.P. The summons for a defendant may be issued only upon request of the attorney representing the State. Art , C.C.P. There is no requirement in Chapter 17A that a prosecutor make a request for issuance of a summons to a corporation or association. b. Magistrate Authority A magistrate may issue a summons for Class A and B misdemeanors and felonies, and in any case where a warrant may be issued. Art , C.C.P. 4. Service a. On the Defendant Articles 23.03(c) and 15.03(b) of the Code of Criminal Procedure provide for how a peace officer serves a summons. The methods of service are: delivering a copy to the defendant personally; leaving it at the defendant s dwelling house or usual place of abode with some person of suitable age and discretion residing therein; or mailing it to the defendant s last known address. b. On the Corporation Peace officers can serve a summons on a corporation the following ways: by personally delivering a copy of it to the corporation s registered agent for service; if a registered agent has not been designated or the officer cannot locate the agent after diligent effort, by personally serving the president or a vice president of the corporation; or if the attempt to affect service is unsuccessful, by serving the summons on the Secretary of State by personally delivering a copy of it to the Secretary or the Assistant Secretary of State, or to any clerk in charge of the corporation department at the Secretary of State s Office. Art. 17A.04, C.C.P. c. On the Association A peace officer shall personally deliver a copy of a summons to a high managerial agent at any place where business of the association is regularly conducted. If the officer certifies on the return that diligence was used to attempt service, but failed to serve a high managerial agent or 2015 Level I Charging and Pre-Trial 4-25

159 employee of suitable age and discretion, then the officer may serve it to any member of the association. Art. 17A.05, C.C.P. 5. Enforcement When a defendant fails to respond to a summons issued by a judge who has jurisdiction over the case, the judge enforces the summons by issuing a capias. Art (b), C.C.P. If counsel fails to appear for the corporation or association, it is deemed to be present in person for all purposes and the court shall enter a plea of not guilty and the court may proceed with trial, judgment, and sentencing. Art. 17A.07, C.C.P. No individual may be arrested upon a complaint, judgment, or sentence against a corporation or association. Art. 17A.03(b), C.C.P. When a defendant fails to respond to a summons issued by a magistrate, the magistrate enforces the summons by issuing a warrant of arrest. Art (b), C.C.P. G. Fees Attached to Writs 1. Arrest Fee Courts must collect a $5 fee upon conviction when a peace officer issues a written notice to appear (citation) in court for a violation of a traffic law, municipal ordinance, or penal law of this State or makes a warrantless arrest. Art (a) C.C.P. The definition of conviction for the purpose of collecting the arrest fee is defined in Section of the Local Government Code and provides that a person is considered to have been convicted in a case if: a judgment, a sentence, or both a judgment and a sentence are imposed on the person; the person receives community supervision, deferred adjudication, or deferred disposition; or the court defers final disposition of the case or imposition of the judgment and sentence. Note that if a charge is initiated by the filing of a complaint, such as a citizen complaint or a code enforcement officer s complaint, the arrest fee may not be collected. Why? There has been no arrest and release with the issuance of a citation in these instances. Likewise, if a peace officer files a charge by complaint and obtains a warrant of arrest, the court may not collect the arrest fee. The arrest fee is not to be collected for the offenses of failure to appear and violation of promise to appear since these charges are initiated by complaint and a warrant is issued. When a city police officer issues a citation or makes a warrantless arrest, the city keeps the entire amount of the arrest fee. If a peace officer with statewide authority, such as a DPS officer, issues the citation, one dollar must be reported to the Comptroller. The statute does not require that the arrest fee be used for a specific purpose, and it may be deposited into the general revenue fund. 2. Warrant Fee Warrant fees are costs collected as a result of services performed by a peace officer. Article (a)(2) of the Code of Criminal Procedure requires that a $50 warrant fee be collected upon conviction if a warrant, capias, or capias pro fine is processed or executed by a peace 2015 Level I Charging and Pre-Trial 4-26

160 officer. The definition of conviction for the purpose of collecting the warrant fee is defined in Section of the Local Government Code as discussed above. A warrant, capias, or capias pro fine is executed if the officer serves the warrant by arresting the defendant. The statute does not define processing, so each clerk should ask the judge to determine what the judge considers as processing. Some processes that a judge might consider are making telephone calls to the defendant, writing courtesy letters, or entering the warrant into the local police department computer by the law enforcement agency. Regardless of what the judge accepts as processing, documentation of the processing must be provided to the judge before he or she may assess the fee. The fee is not to be assessed just for issuing an arrest warrant, capias, or capias pro fine. If a peace officer employed by the city where the warrant, capias, or capias pro fine was issued executes or processes the warrant, the $50 fee would be collected and paid into the city treasury. If a peace officer with statewide authority executes or processes the warrant, $10 of the $50 fee must be remitted to the State the last day of the month following the quarter in which it was collected, on the quarterly report to the Comptroller. If a law enforcement agency other than the one whose court issued the warrant, capias, or capias pro fine executes it, that agency may request the $50 fee. The request must be made within 15 days after the arrest. If that agency fails to request the fee, it is still required to be collected, but it is paid into the issuing city s treasury. If the warrant is executed or processed but there is no conviction, the $50 fee may not be assessed or collected. If the warrant is not processed or served by a peace officer, the court may not assess the fee. For instance, when the warrant is given to a warrant collection agency to process, the fee may not be collected because a warrant collection agency generally employs people who are not peace officers. However, if the court first gives the warrant to the local police department for some type of processing before sending the warrant to the warrant collection agency, the court could assess the fee. The statute does not require that this fee be used for any specific purpose. It may be placed in the city s general revenue fund and used for any lawful purpose. 3. Special Expense Fee: Warrants Article of the Code of Criminal Procedure provides authority for a city to adopt an ordinance for the collection after due notice of a special expense fee not to exceed $25 for the issuance and service of a warrant of arrest for the offenses of failure to appear (Sec , P.C.) and violation of promise to appear (Sec T.C.). The statute requires the warrant of arrest to be executed; just processing it does not count. Because of this, the fee may not be collected if a defendant voluntarily surrenders himself or herself to the court or the defendant appears after a courtesy letter from the court or peace officer. The statute requires that the fee be deposited into the municipal treasury. Some cities pay the warrant fee to peace officers who serve the warrant outside their regular duty hours. Attorney General Opinion JM-462 (1986) addresses this issue and says, in part, that members of a regular police force may legally serve arrest warrants outside of their regular hours, but may not receive the warrant fee as compensation for such service. Cities must compensate officers as they otherwise would when they work overtime. Hence, cities should consult with their city attorney regarding the payment of peace officers Level I Charging and Pre-Trial 4-27

161 H. Search Warrants 1. Defined A search warrant is a written order issued by a magistrate and municipal judges are magistrates under Article 2.09 of the Code of Criminal Procedure. The search warrant directs a peace officer to search and seize property or things and bring the seized property before the magistrate. Art , C.C.P. A search warrant must be supported by a sworn affidavit setting forth substantial facts establishing probable cause for its issuance. This affidavit is public information if executed, unless it has been ordered to be sealed, and the clerk must make a copy of the affidavit available for public inspection during normal business hours. Art (b), C.C.P. 2. Authority to Issue As a general rule, only municipal judges sitting in a court of record may issue evidentiary search warrants to order seizure of non-contraband items. The exception to this rule is if the county does not have a municipal court of record or a county judge that is an attorney. Art (i), C.C.P. Since 2009, Article of the Code of Criminal Procedure authorizes any magistrate who is a licensed Texas attorney to issue a search warrant to collect a blood specimen from persons accused of certain intoxication or alcohol offenses who refuse to submit to a breath or blood alcohol test. Consequently, it appears that municipal courts with attorney judges now have authority to issue blood warrants. 3. Nuisance Abatement The governing body of a municipality may, by ordinance, provide authority for a judge of a municipal court of record to issue a search warrant for the purpose of investigating a health and safety or nuisance abatement ordinance violation. Sec , G.C. Also, a municipality may, by ordinance, provide authority for a municipal judge of a court of record to issue a seizure warrant for the purpose of securing, removing, or demolishing property that is a nuisance or removing debris from a property. Sec , G.C. True or False Q. 85. Clerks are required to have copies of warrants and affidavits on file for public viewing after the warrants have been executed. Q. 86. The amount of evidence necessary for a finding of probable cause is evidence that causes a judge to believe that someone has committed a crime. Q. 87. A judge does not need probable cause to issue a capias. Q. 88. Complaints alone are enough evidence to establish probable cause. Q. 89. Probable cause must always be in a separate affidavit from a complaint. Q. 90. Judges must always remain neutral when assessing probable cause Level I Charging and Pre-Trial 4-28

162 Q. 91. Why can a municipal court clerk not issue a warrant or capias? Q. 92. When a city is situated in only one county, where may city peace officers serve municipal court warrants, summons, and capiases? Q. 93. When a city is situated in more than one county where may city peace officers serve warrants? Q. 94. May a city peace officer serve a warrant of arrest in a neighboring city? Q. 95. What kind of order is a warrant of arrest? True or False Q. 96. Mayors do not have the authority to issue warrants for felonies. Q. 97. Municipal judges are magistrates. Q. 98. In what name must a warrant be issued? Q. 99. To whom is a warrant directed? Q When a person is arrested, where is the officer supposed to take that person? Q If the court does not know the name of the person for whom the warrant is being issued, what description must be on the warrant? Q Must the warrant state the offense for which the person is being charged? Q Where must the judge s office be named in the warrant? True or False Q A warrant issued by a magistrate must command that the person be brought before a magistrate. Q The officer s first responsibility when he or she arrests a person is to take the person before the magistrate named in the warrant within 10 hours of the arrest. Q If a person is arrested in a county other than the one from which the warrant was issued, the peace officer must transport the person immediately to the magistrate who issued the warrant. Q Who has the authority to serve a warrant issued by a magistrate? Q Who has the authority to serve a warrant issued by a municipal judge? True or False Q A warrant issued by a municipal judge may only be served in the county in which the city is located Level I Charging and Pre-Trial 4-29

163 Q A warrant issued by a judge must command that the person be brought before the court. Q A judge can issue a warrant of arrest for a defendant charged with a Class C or fine-only misdemeanor in the judge s court upon the filing of a sworn complaint or probable cause affidavit. Q The judge does not need to determine probable cause before issuing the arrest warrant for a defendant who has failed to appear in the court. Q Who must endorse a warrant issued by a mayor so that it can be served in any county in the state? Q What is the required wording of the endorsement? True or False Q All mayors have authority to issue a capias. Q A judge who has the authority to hear a case has the authority to issue a capias. Q A municipal court clerk has the authority to issue a capias. Q The court must know the name of the defendant before it can issue a capias. Q The capias does not have to state a time when it is to be returned to the court. Q When a defendant is arrested on a capias, the officer must bring the person before the court immediately or on a certain day stated in the capias. Q When must a court issue a capias? Q What happens if a peace officer does not serve a capias by the date fixed in the capias? Q If a capias is not served until after the date fixed in the capias, are the proceedings under the capias still valid? Q Where is a capias returned to? Q What information is required to be on the return when the peace officer was unable to serve the capias? True or False Q A municipal court clerk has the authority to issue a summons. Q A municipal judge may issue a summons. Q Mayors have no authority to issue a summons. Q A municipal court summons must follow the same form and procedure of the summons issued by the district court Level I Charging and Pre-Trial 4-30

164 Q A summons issued by the municipal judge is supposed to be in the same form as a felony warrant of arrest. Q A summons for a corporation or association requires the court to wait 20 days after service on the corporation or association before requiring an appearance by counsel for the corporation or association. Q The summons does not have to contain a notice in Spanish that it is an offense to intentionally influence, coerce, or harm a witness. Q A summons tells the defendant to appear in court at a stated time and place. Q The only time that a municipal judge may issue a summons is when the city prosecutor makes a request for its issuance. Q A summons issued for a corporation or associate must be served in person. Q A copy of the summons must be given to the defendant personally. Q A summons may be served by mailing it. Q Municipal court clerks have the authority to serve a summons. Q What is the form of a summons issued by a magistrate? Q What does a summons issued by a magistrate do? Q When may a magistrate issue a summons? Q When a defendant fails to respond to a summons issued by the court (judge), what type of order does the court issue? Q When a defendant fails to respond to a summons issued by a magistrate, what type of order does the magistrate issue? True or False Q Courts only collect the arrest fee when a defendant is arrested and taken to jail. Q The arrest fee is $5. Q The city must remit $1 of the arrest fee to the State for every arrest that a city officer makes. Q The warrant fee can be collected upon conviction of a defendant only when a peace officer executes the warrant. Q If another law enforcement agency executes the warrant, the court is required to send the $50 warrant fee to the other law enforcement agency even if the defendant is found not guilty. Q The warrant fee must be allocated to the police department budget. Q The court may collect the $25 special expense fee on nonappearance crime warrants only after the city has adopted an ordinance requiring the fee to be collected Level I Charging and Pre-Trial 4-31

165 Q A search warrant is a verbal order of a magistrate. Q A search warrant may command a peace officer to search for and seize a person s property. Q A municipal judge who is not a licensed attorney may issue any type of search warrant. Q After a search warrant is executed, the clerk must make a copy of the affidavit and have it available to the public. A. Definition of Bail PART 6 BAIL Bail is the security given by the accused that he or she will appear and answer before the proper court the accusation brought against him or her. Bonds are a type of bail and include personal or surety bonds or a cash deposit. Arts and 17.02, C.C.P. B. When Bail is Fixed Defendants accused of fine-only offenses have a constitutional and statutory right to bail. Art. I, Sec. 11, Tex. Const.; Art. 1.07, C.C.P. Bail in a fine-only misdemeanor case may be set in two different instances. A person who is arrested must be taken before a magistrate for certain warnings under Article of the Code of Criminal Procedure. The magistrate, after giving the required warnings, shall admit the person to bail if allowed by law; thus, the first instance would be bail set by the magistrate prior to formal charges being filed. The second instance would be bail set by the judge. A municipal judge may require a defendant to give bail to secure the defendant s appearance in accordance with the Code of Criminal Procedure. Art , C.C.P. The rules regarding bail are applicable to all courts. They apply when a judge or magistrate sets and takes bail, when a peace officer takes bail, or when a witness is required to give bail. Art , C.C.P. For more information and an in-depth discussion on legal issues taking bail, see Mark Goodner, Bail: Filing, Taking, and the Limits on Law Enforcement Involvement, The Recorder (May 2015) at 1. C. Records of Bail A magistrate or other officer who sets the amount of bail or who takes bail must record the following information in a well-bound book: the name of the person whose appearance the bail secures; the amount of bail; the date bail is set; the magistrate or officer who sets bail; the offense or other cause for which the appearance is secured; 2015 Level I Charging and Pre-Trial 4-32

166 the magistrate or other officer who takes bail; the date the person is released; and the name of the bondsman, if any. Art , C.C.P. If a state law relating to the keeping of records by a local government officer or employee requires the records to be kept in a book, record book, or well-bound book, or contains any similar requirement that a record be maintained in bound paper form, the record may be maintained on microfilm or stored electronically in accordance with the requirements of the Chapters 204 and 205 of the Local Government Code and rules adopted under those chapters, unless the law specifically prohibits those methods. Sec , L.G.C. D. Surety Bond A surety bond is a written undertaking entered into by a defendant and the defendant s sureties guaranteeing the appearance of the defendant (the principal) before some court or magistrate to answer a criminal charge. Art , C.C.P. If the defendant fails to appear, the surety or sureties are liable to the court for the bond amount. E. Personal Bond A magistrate or judge can also release a person on a personal bond, in lieu of having sureties. Art , C.C.P. This means the defendant is giving their word that they will appear and if not, will become liable for the amount of the bond. F. Cash in Lieu of Surety A defendant in any criminal action may deposit with the custodian of funds of the court in which the prosecution is pending money in the amount of the bond in lieu of having sureties. Art , C.C.P. Cash funds deposited must be receipted by the officer receiving the money and deposited with the custodian of the funds of the court (usually, the city designates the court clerk as the custodian of the court funds). Prior to 2011, cash bonds were refunded to the defendant if and when the defendant complied with the conditions of their bonds, and upon order of the court. Effective September 1, 2011, Article of the Code of Criminal Procedure was amended in an effort to insure that third parties who post cash bonds for a defendant get that money back, rather than having the refunded bond go to the defendant. Thus, if a bond is to be refunded, the bond shall be refunded to the person whose name is on the receipt issued when the bond was posted. If a receipt is not produced, then the bond can be refunded to the defendant. The law is silent, however, as to how long the court should wait for a receipt to be produced by a third party. PART 7 BOND FORFEITURES When a defendant posts bond, he or she agrees as a condition of being released, to appear in court. The failure to perform the condition on the bond causes the court to declare forfeiture of the bail. The term forfeiture simply means to become liable for the payment of a sum of money as a consequence of a certain act. In other words, a bond forfeiture is a lawsuit to recover the amount of a bond from a defendant or surety because of the violation of the conditions of the 2015 Level I Charging and Pre-Trial 4-33

167 bond. Generally, Chapter 22 of the Code of Criminal Procedure governs bond forfeiture proceedings. The exception to using the procedures in Chapter 22 is found in Article of the Code of Criminal, which provides an alternative method of forfeiting a cash bond applicable to municipal and justice courts. A. Procedures when Forfeited When a defendant fails to appear in court, bail is required to be forfeited. Art , C.C.P. Before bail is forfeited, the defendant s name must be called distinctly at the courthouse door. Art , C.C.P. If the defendant fails to appear or to answer, the clerk prepares a judgment nisi for the judge s signature. A judgment nisi recites the amount of the forfeiture, who is liable for the judgment, and that the judgment will be made final unless good cause is shown as to why the defendant did not appear. The clerk enters the judgment nisi on the scire facias docket, which is a civil docket especially for bail forfeitures. The clerk then prepares a citation, which is a civil notice of the forfeiture proceeding. For much more detailed information on bond forfeiture proceedings, see the chapter on Bond Forfeitures in the Level II Study Guide. B. Alternative Procedures for Forfeiting a Cash Bond Article of the Code of Criminal Procedure permits a judge to forfeit a cash bond for fine and costs if the defendant: enters a written and signed plea of nolo contendere and a waiver of jury trial; and fails to appear according to the terms of the defendant s release. The judge must immediately notify the defendant of the conviction, forfeiture, and the right to apply for a new trial within 10 days from the judgment. If the defendant applies for a new trial, the court must permit the defendant to withdraw the previously entered plea of nolo contendere and waiver of jury trial. If the defendant does not request a new trial within 10 days of the judgment, the judgment becomes final and the court reports the court costs to the State Comptroller and turns the fine portion of the bond over to the general revenue fund of the city. If the defendant has been in jail, the court must also give jail-time credit at $50 for a period of time specified in the judgment. Period of time is defined to mean not less than eight hours or more than 24 hours. This may result in the court refunding part or the entire bond. True or False Q When a defendant posts a bond with the court, he or she is promising to appear in court at a later date. Q Only a magistrate may set a bond. Q Defendants may not use cash as security on a bail bond. Q When the court allows a personal bond, the security is the person s word that he or she will appear in court. Q A cash bond received by a peace officer must be deposited with the custodian of the 2015 Level I Charging and Pre-Trial 4-34

168 funds of the court. Q Do defendants charged with Class C misdemeanors in municipal court have to follow the same bail rules as someone posting a bond for trial in district court? Q When a defendant complies with the conditions of a bond by making all required appearances in court, may a court keep the bond to pay the fine if the defendant is convicted? Q When is the court required to forfeit a defendant s bail? Q When a defendant fails to appear after having posted a bond, what must the court do? Q What is a judgment nisi? Q What is a scire facias docket? Q Does the court clerk have the authority to serve a citation in a bond forfeiture case? Q When may the judge forfeit a cash bond without going through the bond forfeiture proceedings in Chapter 22? Q If the defendant wants a new trial, what must the defendant do? Q When the defendant requests a new trial, what must the court do? Q When the defendant does not request a new trial, what does the court do with the bond money? 2015 Level I Charging and Pre-Trial 4-35

169 ANSWERS TO QUESTIONS PART 1 Q. 1. No, because no complaint has been filed, so the court has no jurisdiction over the case. The charging instrument must be filed with the court to vest jurisdiction of a case in the court. Q. 2. A sworn complaint must be filed with the defendant fails to appear or when the defendant pleads not guilty unless the defendant and prosecutor agree in writing to proceed on the citation. Q. 3. The clerk. Q. 4. The defendant is entitled to notice of the charge he or she is accused of committing, and knowing the date helps the defendant prepare a defense. Also, the complaint must be filed within the statute of limitations. Q. 5. A municipal judge, court clerk, deputy court clerk, city secretary, city attorney, or deputy city attorney. Q. 6. The certificate of the person before whom the complaint is sworn. It is the clause written at the foot of a complaint stating when and before whom the complaint was sworn. Q. 7. Municipal Court of/in, Texas. Q. 8. Yes, under Article (g) of the Code of Criminal Procedure. Q. 9. To authenticate the acts of the judge and clerk. Q. 10. Intentionally, knowingly, recklessly, criminal negligence. Q. 11. Intentionally, knowingly, or recklessly. Q. 12. If the ordinance violation is punishable by a fine exceeding $500. Q. 13. The same case. The sworn complaint replaces the citation. Q. 14. When the defendant waives the filing of a sworn complaint, the prosecutor and defendant agree in writing, and the agreement is filed with the court. Q. 15. A sworn complaint. Q. 16. True. Q. 17. True. Q. 18. False (all defendants have a right to notice). Q. 19. False (defendants are entitled to notice not later than the day before any proceeding). Q. 20. True. Q. 21. True. Q. 22. False (the citation is in lieu of the arrest, as a substitute for the custodial arrest). Q. 23. True. Q. 24. True. Q. 25. False (the defendant waives and forfeits the right to object if he or she does not do so before the commencement of the trial on the merits) Level I Charging and Pre-Trial 4-36

170 Q. 26. True. Q. 27. True. Q. 28. False (the complaint must state the offense occurred in the territorial limits of the city). Q. 29. False. Q. 30. False. Q. 31. False. Q. 32. True. Q. 33. True. Q. 34. False (intentionally is the highest, criminal negligence is the lowest). Q. 35. True. Q. 36. False. Q. 37. False. Q. 38. True. Q. 39. False. Q. 40. False. Q. 41. True. Q. 42. True. Q. 43. False. Q. 44. False. Q. 45. True. Q. 46. False. Q. 47. True. PART 2 Q. 48. The judge or clerk is noting brief entries of the proceedings in a particular case. Q. 49. The law requires that a judge keep a docket. Q. 50. The maintenance of a docket is a ministerial duty. A clerk may enter proceedings on a docket because the judge is required to keep the docket, and the law specifically states the information that must be contained in it. The judge has no discretion in performing this duty. Q. 51. True. Q. 52. False. Q. 53. False (the docket must also contain the return date). Q. 54. True. Q. 55. The judge. Q. 56. No Level I Charging and Pre-Trial 4-37

171 PART 3 Q. 57. True. Q. 58. False. Q. 59. True. Q. 60. Arraignment is the procedure where the judge identifies the defendant, explains the charge, and requests a plea. Q. 61. The waiver of jury trial. Q. 62. No. Q. 63. The court must give the defendant notice of the fine and the amount of the appeal bond. The notice may be in person or by certified mail with return receipt requested. Q. 64. True. Q. 65. False. Q. 66. True. Q. 67. True. Q. 68. False. Q. 69. True. Q. 70. False (it is considered a no contest plea). Q. 71. False. Q. 72. False. Q. 73. False (the judge must grant the motion if made within 10 days of the judgment). Q. 74. True. PART 4 Q. 75. False (the defendant has not been in or released from custody yet). Q. 76. False (the defendant must just have been released from custody on the condition he or she subsequently appear; there is no requirement the defendant be released with bail). Q. 77. True. Q. 78. True. Q. 79. False (the maximum fine is $500). Q. 80. True. Q. 81. True. Q. 82. False (the two are separate charges). Q. 83. False (FMFR is not a Rules of the Road offense; the correct charge would be FTA). Q. 84. True. PART 5 Q. 85. True Level I Charging and Pre-Trial 4-38

172 Q. 86. True. Q. 87. False. Q. 88. False (a complaint may contain probable cause if additional information is added to the complaint to cause the judge to believe that this defendant has committed the crime alleged in the complaint). Q. 89. False. Q. 90. True. Q. 91. A municipal court clerk may not issue a warrant or capias because he or she does not have the authority to determine probable cause. Only a judge or magistrate may determine probable cause. Q. 92. The city police officer may serve process in the county in which the city is located. Q. 93. The city police officer may serve warrants throughout each county in which the city is located. Q. 94. It depends on whether or not the neighboring city is located in the same county in which the peace officer s city is located. Q. 95. A written order; a writ. Q. 96. False (as a magistrate, a mayor does have the authority. See Art. 2.09, C.C.P.). Q. 97. True. Q. 98. In the State of Texas. Q. 99. To the proper officer. Q The officer is required to bring the accused before the court if the judge issued the warrant or a magistrate if the warrant was issued by a magistrate. Q The description in the complaint if the warrant is issued by a judge, or a reasonably definite description if the warrant is issued by a magistrate. Q Yes. Q Either in the body of the warrant or in connection with the judge s signature. Q True. Q False (the officer must take the person before a magistrate without unnecessary delay, but not later than 48 hours after the arrest.) Q False. Q Any peace officer or someone specially named in the warrant. Q Any peace officer or someone specially named in the warrant. Q True. Q True. Q True. Q False (the judge must always determine probable cause). Q Either a judge of a court of record or a magistrate in the county in which the warrant is being executed must endorse a warrant issued by a mayor Level I Charging and Pre-Trial 4-39

173 Q If a magistrate endorses the warrant, the wording is Let this warrant be executed in the County of. If a judge of a court of record endorses the warrant, the wording is Let this warrant be executed in any county of the State of Texas. Q False (a mayor who is also the judge of the city may issue a capias; however, a capias may be issued only by a judge with authority to hear the case and not by a magistrate. In general-law cities that have not adopted an ordinance to create the position of municipal judge, the mayor is the judge.). Q True. Q False. Q False. Q False. Q True. Q A capias is required to be issued when a forfeiture of bail is declared. Q The capias is still valid and may be executed at any time. Q Yes. Q The return is made to the court from which the capias was issued. Q The officer must state the reason for failing to execute the warrant, and if the defendant cannot be located, what efforts have been made to find the defendant. Q False. Q True. Q False (a mayor may issue a summons as a magistrate or if the mayor is also the municipal judge, the mayor may issue the summons as a judge). Q True. Q False (in the form of a felony capias). Q True. Q False. Q True. Q True. Q True. Q False (summons for an individual may be mailed to the defendant s last known address). Q True. Q False. Q A summons issued by a magistrate is in the same form as a warrant except that it shall summons the defendant to appear before a magistrate at a stated time and place. Q It gives notice to a person that charges have been filed in court against him or her and gives the defendant a day and time to appear in court. Q Anytime that he or she may issue a warrant of arrest. Q A capias Level I Charging and Pre-Trial 4-40

174 Q A warrant of arrest. Q False (the arrest fee is also assessed when a defendant is issued a citation by a peace officer). Q True. Q False (the city need only remit to the State when the officer is employed by the State). Q False (the warrant fee applies also if a peace officer processes the warrant). Q False (the warrant fee only is assessed upon conviction). Q False (the warrant fee goes into the city s general revenue fund). Q True. Q False (it is a written order). Q True. Q False (municipal judges who are not attorneys may not be able to issue a blood search warrant). Q True. PART 6 Q True. Q False (a judge can require a defendant to post a bond in municipal court under Article , C.C.P.). Q False. Q True. Q True. Q Yes. Q Technically, the bond is to be refunded and fines/costs assessed against the defendant. The defendant is entitled to jail credit, so the amount held in bond and the amount owed after judgment may not match up. Legally, the bond shall be refunded and the defendant shall pay new money to satisfy the judgment. In reality, courts convert the bond to make it easier on both the defendant and the court. Q When the defendant fails to appear. Q Article of the Code of Criminal Procedure requires that the court order the defendant s name called outside the courtroom. This is an element of the bond forfeiture lawsuit. This requirement makes sure that the defendant had notice that his or her case was being called before the court. Q A judgment nisi recites the amount of the forfeiture, who is liable for the judgment, and that the judgment will be made final unless good cause is shown as to why the defendant did not appear. Q It is a civil docket in which the court enters proceedings of a bond forfeiture. Q Yes, if requested to do so by the prosecutor Level I Charging and Pre-Trial 4-41

175 Q A judge may take a bond for the fine and costs when a defendant has entered a written and signed conditional plea of nolo contendere and a waiver of jury trial, and the defendant fails to appear according to the terms of the defendant s release. Q The defendant must make a request for a new trial within 10 days from the date the judgment was entered. Q The court must allow the defendant to withdraw the plea of nolo contendere and enter a plea of not guilty and reinstate the defendant s bond. Q The court reports the court costs to the comptroller s office and deposits the fine portion of the bond in the general revenue fund of the city. If the defendant has been in jail, the court is also required to give jail-time credit and may have to refund that credit to the defendant Level I Charging and Pre-Trial 4-42

176 Ryan Kellus Turner General Counsel & Director of Education TMCEC Winter 2011 Forms of Probation in Chapter 45 Code of Criminal Procedure Deferred Disposition Chemically Dependent Persons Art Art Art Art See, Chart: Comparison of Deferred Options Article Code of Criminal Procedure (It s Not Deferred Adjudication) 1

177 What Does it Take to Get Deferred Disposition? Permission from the Judge. It s Discretionary Plea of (1) guilty or (2)nolo contendere Or (3) upon a Finding of Guilt (i.e. It is a Sentencing Option for the Judge) Payment of court costs All at once, OR In installments, community service, or combination Court defers proceedings for 1 to 180 days What Does it Cost? Special Expense Fee (SEF) Art (a) SEF - a dollar amount not to exceed the amount of the fine that could be imposed on the defendant as punishment for the offense. fee prior to the end of the deferral period. Prior to 1999, SEF could not be collected until the end of the deferral period. SEF may be collected at any time before the date on which the period of probation ends. The judge may elect not to impose the SEF for good cause shown by the defendant. If the judge orders the collection of a SEF, the judge shall require that the amount of the special expense fee be credited toward the payment of the amount of the fine imposed by the judge. Deferred Disposition: Application All fine only Offenses Except Offenses committed in a construction maintenance work zone ( T.C.) The preceding is an incomplete rule of law. Why? DUI and consumption w/2 convictions (Ch. 106 ABC) Holder of CDL (includes at time of offense) Accused of state law or city ordinance involving Offense Relating to Motor Vehicle Control Excluding parking violations 2

178 Deferred Disposition -Art (b): Conditions May Be Imposed (1) Post bond in amount of fine to secure payment of fine (2) Pay restitution to Victim not to exceed fine (3)Professional counseling (4) Diagnostic testing for alcohol or drugs (5) Psychosocial assessment (6) Participate in alcohol and drug abuse treatment or education program (7) Pay directly or through court costs of testing, assessment, treatment or education program (8)Driving Safety Course (9) Require Submission of Proof (10) ANY REASONABLE CONDITION Deferred Disposition -Art (b): Conditions MUST Be Imposed (when granted in certain cases) YOUTHFUL DRIVERS (b-1) Only applies to traffic offenses ( (e), TC?) that are moving violations Alleged against defendant s under 25 Provisional DL holders required to be re-examined for DL Must pay $10 to DPS for Gen. Rev. YOUTHFUL DRINKERS (Ch. 106 ABC) All alcohol offenses, including PI-under age 21 (Status Offenses) Alcohol Awareness Course required Community service required (except DUI) First offense - 8 to 12 hours Second offense - 20 to 40 hours DSC + Alive at 25 = Safer Roads In addition to DSC, effective 9/1/11, courts may order participation in Alive at 25 Curriculum (Art (b-1)) Gives judges one more option to reach young drivers charged with moving violations Must be a 4-hour, live, interactive class Must make written promise not to engage in dangerous driving habits 3

179 Deferred Disposition: Pass or Fail? Completion of Terms (c) Judge Dismisses Complaint Dismissal Noted in the Docket as No Final Conviction Expunction (e) Under Article 55.01, CCP (in District Court) Even without, after dismissal complaint may not be used for any purpose Failure to Complete Terms (c-1) Mandatory Show Cause Hearing Notice in Writing to Address on File or On File with Court Additional Period Court MAY impose judgment or reduce fine if Defendant is 25+ (c-2) Court MUST impose fine if under 25 (d-1) Defendant pays fine or may appeal Deferred Disposition: DPS Reporting Report to DPS May NOT report traffic offenses deferred unless defendant fails to complete and there is a conviction (Sec , T.C.) MUST report deferred disposition for all Alcoholic Beverage Code Status Offenses (Sec , A.B.C.) (Reported on DIC-15 when case deferred) Article Code of Criminal Procedure (It s Not Defensive Driving ) 4

180 Two Paths to DSC Mandatory DSC Art , Subsection (b) vs. Discretionary DSC Art , Subsection (d) Paths to DSC As a Condition of Deferred Disposition Art Mandatory (b) DSC Discretionary (d) DSC is About Jumping Through the Hoops.. Eligible Offense? Proper and Timely Request? Defendant Meets All Qualifications? 5

181 DSC: Offenses Eligible? DSC APPLIES to: Jurisdiction of JP or Municipal Court Involves the Operation of Motor Vehicle Subtitle C Rules of the Road Disobeying Warning Signs Juvenile Offenders on Same Violations DOES NOT APPLY to Offense Committed by CDL holder (s) - Including at time of offense and Does NOT APPLY to Speeding 25 mph over limit (b)(5) or 95 mph Passing a school bus Hit and Run Offenses (Occupied Vehicles) Serious traffic offenses (CMV) Work Zone While Workers are Present Subtitle C Rules of Road Not including Seatbelt and Inspection Offenses DSC - Subsection (b) As a Matter of Right (i.e. Mandatory Upon Request) 1. Eligible Offense 2. If Defendant Elects DSC 3. And does so Timely 4. And Defendant meets Qualifications DSC Proper and Timely Request (b)(3) MANNER OF REQUEST Presented In Person By Attorney Or By Written Request By Certified Mail TIMELY REQUEST On or Before Answer Date on Citation Mailbox Rule Art , C.C.P. If mailed on or before answer date Must be received within 10 days of answer date Keep envelope Legible postmark evidence(us Mail) 6

182 DSC Qualifications (b)(4) Evidence of Financial Responsibility Under Chapter 601 of Trans. Code Texas DL Or No Tx DL but: U.S. Military Including spouse and dependent children Active Duty No DSC or MOC in any state in last 12 mos. Before date of offense When Does Discretionary DSC (Art (d)) Apply? ONLY APPLIES WHEN Defendant had DSC in preceding 12 months Request not timely, but before Final Disposition REMEMBER -If not Eligible under , Judge generally MAY allow DSC as a Condition of Deferred Disposition (Art ) DSC: What Does it Cost? Mandatory - Section (b) no more than $10, plus Court Cost Discretionary - Section (d) Special expense up to fine amount, plus Court Cost No Refunds if Course not Taken One Course = One Case 7

183 Special DSC Safety Seats and Seatbelts (Sec (i) Trans. Code) (It s Not Regular DSC!) ONLY Applies to Violations of Trans. Code Sec (Child Safety Seat) & Sec (b) (Child Not Wearing Seatbelt) This Special DSC MUST be Approved by TEA and Consist of 4 hours of Instruction Encouraging Use of Child Seats and Seatbelts Judge may allow Special DSC even if defendant has had regular DSC within last 12 months (Article (u), C.C.P.) DL record must show no Special DSC in last 12 months DSC- Required Notice (q) and (r) Citation must have required notice: You may be able to require that this charge be dismissed by successfully completing a driving safety course or a motorcycle operator training course. You will lose that right if, on or before your appearance date, you do not provide the court with notice of your request to take the course. No Notice = Mandatory DSC continues until notice is given DSC - Subsection (c) Court enters Judgment on Plea. Court costs Collected Court Defers imposition of Final Judgment for 90 Days During Deferral Period Statute Requires: Proof of DSC Driving Record Defendant s Responsibility or (c-1) State Electronic Internet Portal Affidavit Including Military Affidavit 8

184 DSC Pass or Fail? On proof of Completion Court removes judgment Reports to DPS date of completion Court may only dismiss one charge for each completion Note: DSC certificates may not be uniform in appearance Failure to complete Court notifies in writing of show cause hearing of failure of time of hearing of place of hearing Court mails notice to address on file with court DSC - Show Cause Hearing Appears at Show Cause: Court may allow extension of time to present certificate, or Court may impose judgment Defendant may pay the fine or appeal Failure to appear at Show Cause: Impose judgment on underlying charge requiring fine to be paid immediately Capias Pro Fine may issue Completion Cycle Comparison 5. Complaint Dismissed See, Chart: Comparison of Deferred Options Deferred Disposition Art , CCP 1. Deferred Requested DSC/MOC Art , CCP 5. Judgment Removed Charge Dismissed 1. DSC Requested 4. Conditions Satisfied 2. Deferred Granted 4. Proof of Completion Submitted 2. DSC Granted 3. Conditions Imposed 3. Judgment Entered 90 Days 9

185 COMPARISONS OF DEFERRED OPTIONS (Effective September 1, 2011) Application/Use How Often Plea Required Proof of TX DL or on Active Military Duty Proof of Financial Responsibility State Court Cost Collected Time Limit Optional Administrative or Special Expense Fee Driving Safety Course (DSC) or Motorcycle Operator Course (MOC) Dismissal Procedures, Article , C.C.P. If defendant is at least 25 years of age, applies to the following traffic offenses that involve the operation of a motor vehicle: Section , T.C.; (Obeying Warning Signs) Subtitle C, Title 7, T.C.; (Rules of the Road) Section (a)(3), T.C. (Operation of Motor Vehicle by Minor) If defendant is under 25, applies to offenses that involve the operation of a motor vehicle classified as moving violations Does not apply to: Offenses committed in a construction work maintenance zone when workers are present, Sec , T.C.; Art (p)(3), C.C.P.; Traffic offenses committed by a person with a commercial driver s license, Art (s), C.C.P.; Passing a school bus, Sec , T.C.; Leaving the scene of an accident, Sec or , T.C.; or Speeding 25 mph or more over the limit or in excess of 95 m.p.h. Art (b)(5), C.C.P. Court must advise person charged with an offense to which DSC applies of right to take course. Defendant may request if the defendant has not had a driving safety course within the 12 months preceding the date of the current offense. Under Subsection (u), defendants may take DSC for a violation of Child Passenger Safety Seat laws even if they have taken DSC in the last 12 months, as long as the judge requires the defendant to take a specialized DSC (including 4 hours of instruction on child passenger safety seat systems) and any course the defendant has taken in the last 12 months did not include such instruction. If the defendant is a member, spouse, or dependant child of a member, of the US military forces serving on active duty, the defendant cannot have taken a driving safety course/motorcycle operator course in another state within the 12 months preceding the date of the current offense. Under Subsection (d), the court has discretion to grant DSC/MOC even if one has been taken within the previous 12 month period, or if the request was not made timely. A plea of guilty or nolo contendere is required when the request is made. Request must be made on or before answer date on citation. Judge has discretion to grant a late request under Subsection (d). Defendant must have a Texas driver s license or permit. If the defendant is on active military duty or is an active duty military spouse or dependant child, the defendant does not have to have a Texas driver s license or permit. Defendants are required to present proof of financial responsibility as required by Chapter 601, Transportation Code. YES Court defers imposition of the judgment for 90 days. The defendant must take the course and present evidence of completion by the 90 th day. Defendant is also required to present to the court a copy of his or her driving record as maintained by DPS and an affidavit stating that he or she was not taking DSC or MOC at the time of the request nor has he or she taken a course that is not on his or her driving record. Under Subsection (u), the defendant s driving record and affidavit are required to show that defendant did not have specialized DSC in preceding 12 months. If defendant makes request on or before answer date, the court may only assess an administrative $10 non-refundable fee. If the judge grants a course before the final disposition of the case under Subsection (d), the court may assess a fee not to exceed the maximum possible penalty for the offense. Suspension of Sentence and Deferral of Final Disposition, Article , C.C.P. Applies to all fine-only offenses except: Traffic offenses committed in a construction work maintenance zone when workers present (Sec , T.C.; Art (f)(1), C.C.P.); or A violation of a state law or local ordinance relating to motor vehicle control, other than a parking violation, committed by a person who holds a commercial driver s license; or held a commercial driver s license when offense committed (Art (f), C.C.P.). Subject to judicial discretion. A plea of guilty or nolo contendere or a finding of guilt required. NO NO YES Judge may allow defendant to pay out during deferral period by time payments, performing community service, or both. Not to exceed 180 days. (1 to 180 days) SPECIAL EXPENSE FEE (SEF), not to exceed amount of fine that could be imposed at the time the court grants the deferral. Court may elect not to collect for good cause shown. SEF may be collected at anytime before the date the probation ends. In the event of default, the judge shall require that the amount of the SEF be credited toward the amount of the fine imposed by the judge. Funded by a grant from the Texas Court of Criminal Appeals Rev. 08/11

186 Fee for Driving Record Other Requirements Satisfactory Completion Failure to Complete Driving Safety Course (DSC) or Motorcycle Operator Course (MOC) Dismissal Procedures Article , C.C.P. Rather than allowing the defendant to obtain his or her driving record and provide it to the court, the court may obtain the driving record from DPS. A $10 fee plus the $2 state electronic Internet portal fee may be imposed if the court chooses this option (Art (c-1), C.C.P.). Request may be oral or in writing. If mailed, request must be sent certified mail. (Art (b)(3), C.C.P.) When a defendant requests a course on or before the answer date on the citation, the defendant must present evidence of a valid Texas driver s license or permit, or show that he or she is on active military duty. On or before the 90 th day after the request, the defendant must present: 1. Evidence of course completion; 2. A copy of his or her driving record as maintained by DPS, if any; 3. If the defendant is on active military duty and does not have a Texas driver s license, the affidavit must state that the defendant was not taking a driving safety course or motorcycle operator course, as appropriate, in another state on the date of the request to take the course was made and had not completed such a course within the 12 months preceding the date of the offense; 4. An affidavit stating that he or she was not taking a course at the time of request for the current offense nor had he or she taken a course that was not yet on his or her driving record within the 12 months preceding the date of the current offense; 5. If the offense is charged under Section , T.C., (Child Passenger Safety Seat Systems), the defendant s driving record and affidavit are only required to show that they have not taken the specialized DSC in the last 12 months. Judge shall remove the judgment and dismiss the case; the dismissal must be noted in the docket. Court reports the completion date of the course after the court dismisses the case. If defendant fails to furnish the evidence of course completion, a copy of his or her driving record as maintained by DPS that shows that he or she had not taken DSC or MOC within the 12 months preceding the date of offense, and the affidavit, the court shall set a show cause hearing and notify the person by mail. At the hearing the judge may, on a showing of good cause, allow the defendant time to present the uniform certificate of course completion. If the court does not grant more time, the court shall enter a final judgment ordering the defendant to pay the fine. If a defendant fails to appear at the show cause hearing, the court may, after signing a final judgment, issue a capias pro fine. Suspension of Sentence and Deferral of Final Disposition Article , C.C.P. Court is not required to order the defendant to obtain a driving record (it may, however, be mandated as a reasonable condition). There is no authorization for the court to collect a fee for obtaining the defendant s driving record. Requirements: Judge may require the defendant to do the following: 1. Post bond in the amount of the fine assessed to secure payment of the fine; 2. Pay restitution to the victim of the offense in an amount not to exceed the fine assessed; 3. Submit to professional counseling; 4. Submit to diagnostic testing for alcohol or controlled substance or drug; 5. Submit to psychosocial assessment; 6. Participate in an alcohol or drug abuse treatment or education program; 7. Pay the costs of any diagnostic testing, psychosocial assessment, or participation in a treatment or education program either directly or through the court as court costs; 8. Complete DSC or other course as directed by the judge; 9. Present to the court satisfactory evidence of compliance with the terms imposed by the judge; and 10. Comply with any other reasonable condition If defendant under age 25 is charged with a moving traffic offense, Subsection (b)(8) does not apply. The judge shall require DSC. The judge may also require an additional DSC for drivers under age 25 per section , Education Code. If the defendant holds a provisional license, the judge shall require the defendant to be examined by DPS under Sec (b)(2), T.C., and pay DPS a $10 fee. For Alcoholic Beverage Code Offenses and the offense of Public Intoxication (Sec (e), P.C., defendant under the age of 21), court must require an alcohol awareness course. Sec (a), A.B.C. For Alcoholic Beverage Code offenses, except DUI, and the offense of Public Intoxication (Sec (e), P.C., defendant under the age of 21), court must require community service. Sec (d), A.B.C. 1st offense: eight to 12 hours. 2nd offense: 20 to 40 hours. Judge shall dismiss and note in docket that complaint is dismissed. (Only report to DPS the order of deferred for Alcoholic Beverage Code offenses.) If defendant fails to comply with terms of the deferral, the court shall set a show cause hearing and notify the person by mail to the address on file. At the hearing the judge may, on a showing of good cause, allow an additional period during which the defendant may present evidence of compliance with requirements. If at the show cause hearing or by the conclusion of the additional period the defendant does not present satisfactory evidence of compliance, the judge may enter judgment and impose the fine. The judge may reduce fine previously assessed if the defendant is at least 25 years of age or older and not charged with a traffic offense. If the offense is a traffic offense, the court must report the traffic conviction to DPS. If a defendant fails to appear at the show cause hearing, the court may, after signing a final judgment, issue a capias pro fine. Appeal The entering of the final judgment triggers the requirements for making a timely appeal (Arts , C.C.P.). The entering of the final judgment triggers the requirements for making a timely appeal (Arts , C.C.P.). Funded by a grant from the Texas Court of Criminal Appeals Rev. 08/11

187 Mark Goodner Deputy Counsel & Director of Judicial Education TMCEC Jurisdiction of Juveniles Juvenile Records Juveniles Juvenile Procedure & Penalties Noncompliance There are Two Components to the Texas Juvenile Justice System The Civil Juvenile Justice System The Criminal Juvenile Justice System

188 The Passing of the Paddle How Did We Get Here? Legislature Inconsistent Get Tough / Zero Tolerance Fear of Juvenile Crime Juvenile Super Predator Juvenile Super Predators!

189 How Did We Get Here? 1. Legislature Inconsistent 2. Get Tough / Zero Tolerance Fear of Juvenile Crime Juvenile Super Predator 3. Chapter 37 Education Code 1. ISD Police Departments 2. School Resource Officers 3. Criminal enforcement of rules adopted by school boards 4. The Tipping Point Columbine Massacre Municipal Court Juvenile Jurisdiction Fine-only misdemeanors Adults Juveniles BUT!!!! More! WHY? Usuals Juvenile-only offenses Status Offenses Action that is prohibited for minors or children because of their age conduct that would not be a crime if committed by an adult

190 Sources of Juvenile-related Criminal Violations Local ordinances Alcoholic Beverage Code Health & Safety Code Penal Code Transportation Code Waiver of Jurisdiction Mandatory Waiver: 51.08(b)(1)F.C. 2 or more convictions for fine-only offenses other than traffic 2 or more convictions of city ordinance When there are one or more convictions of each of the types of misdemeanors above 3 rd Strike They re out! NEW: Shall waive if court has previously dismissed a complaint under Section 8.08, P.C.

191 Waiver of Jurisdiction Discretionary Waiver: 51.08(b)(2), F.C. Applies to all other cases any fine-only offense except traffic or tobacco Exception to Mandatory Waiver A court with a juvenile case manager program may retain jurisdiction over 3 rd and subsequent offenses But, not required to keep them No Waiver Traffic offenses Regardless of # of traffic convictions Tobacco Offenses

192 Waiver Procedure With waiver and transfer to juvenile court, the court should Forward all pertinent documents with transfer order Include information about the two prior cases (if mandatory) Retain a copy of all documents Minor & Juvenile Appearance: General CCP, under 17: Must be in open court Parent required to appear with child Court must summon parent Court may waive presence if unable to locate or compel parent s presence CCP Court should provide notice of obligation to notify court in writing of the child s current address Minor & Juvenile Appearance: Specific for ABC offenses ABC Plea of guilty must be in open court

193 Minor & Juvenile Appearance: Specific for Education Code Failure to Attend School Hearings ( CCP) Court is required to summon parents to appear with defendant regardless of age Juvenile Penalties: ABC and ABC (DUI) Class C misd. (max $500 fine) Alcohol awareness program or Drug and Alcohol Driving Awareness Program (DADAP) Alcohol-related community service DL suspension or denial 3 rd Conviction Enhanceable Juvenile Penalties: ABC Alcohol Awareness Program or DADAP If completed Court may reduce fine to half Failure to complete Court can give another 90 days Court must order DPS to suspend or deny issuance of DL for up to 6 months (1 st ) or 1 year (2 nd )

194 Alcohol Awareness Program Required on conviction or as a condition of deferred under for the following offenses: : Purchase of Alcohol by a Minor : Attempt to Purchase Alcohol by a Minor : Consumption of Alcohol by a Minor : Driving (or Boating) Under the Influence : Possession of Alcohol by a Minor : Misrepresentation of Age by a Minor PC Public Intoxication Alcohol Awareness or DADAP If completed Court may reduce fine to half the amount assessed Failure to complete Court can give another 90 days Court must order DPS to suspend or deny issuance of DL for up to 6 months (1 st ) or 1 year (2 nd ) Must be approved by the Department of State Health Services (AAP) or TEA (DADAP) Information about programs can be found at Juvenile Penalties: Education Code (c)(3) Max $500 fine In addition to fine, a court may order a sanction under CCP: Attend school without unexcused absences Attend GED prep classes Attend special program At risk class Community service Tutorial program (many different ones) Suspend or Deny DL up to 1 year

195 Juvenile Penalties: Health & Safety Code Max fine of $250 Court shall suspend fine and order tobacco awareness program. Court dismisses charge on completion of course (1 st or lowers fine on 2 nd ) Court costs still paid If no course, then 8-12 hours of tobacco-related community service Failure to completedl susp up to 180 days Juvenile Penalties: Penal Code & Transportation Code Generally same as adult penalties Penal Up to $500 fine PI gets same penalty as non-dui ABC offenses Transportation Code Same as adult

196 Methods of Discharging Fines Payment Community Service Formerly only for the indigent Now also for kids Waiver upon indigence and hardship Discharge of fines through tutoring Community Service Comes in FOUR Flavors 1. As a Mandatory Remedial Measure (status offenses involving juveniles: MIP, DUI, MIC, Tobacco, etc.) 2. As a reasonable condition of Deferred Disposition (Art (b)(10) CCP) 3. As a Means for an Indigent Person to Discharge fine and Costs (Note: Must be Indigent. Community Service is as good as $$$) 4. As A Means for a Defendants under the age of 17 to discharge assessed fines and costs ( ) Works just like except no requirement to have insufficient resources to or income to pay No clause about a minimum of $50 per 8 hours worked!!! (community service max of 200 hours) - discharge all or part of fine and costs - must specify the number of hours the defendant is required to work only for a governmental entity or nonprofit org. that provides services to the general public that enhances social welfare and the general well being of the community - agreement to supervise and report work -generally not more than 16 hours per week

197 Juvenile FTA: Generally FTA may be charged, P.C. Court may issue order for nonsecure custody CCP Child can be charged with failure to provide notice of current address (h) CCP Court may report FTA to DPS Juvenile FTA: Transportation VPTA may be charged for Rules of the Road offenses, T.C. FTA for other traffic offenses Court shall report failure to appear to DPS Juvenile Contempt: CCP Court must provide notice of and conduct hearing before it may Refer child to juvenile court for delinquent conduct, OR Retain jurisdiction and hold child/person in contempt $500 max fine and/or DL suspension until full compliance

198 Juvenile Now Adult: FTA CCP Court must have used all available procedures under Ch. 45 while younger than 17 before proceeding to CCP Order for nonsecure custody Failure to provide notice of current address Juvenile contempt Juvenile Now Adult: FTA CCP At 17, court issues order to appear. warning about continuing obligation to appear failure to appear may result in warrant Fails to appear after notice prosecutor may file complaint for violation of continuing obligation to appear (VCOA) under , and Court may issue arrest warrant Bigger than Schools 12. Capacity (ALL Children EXCEPT Traffic Offenses) Sec P.C. Requires Prosecutor Notice Subject to State s Appeal per Art CCP Once Made, Subsequent Cases Trigger Automatic Transfer to Juvenile Court 14. Infancy Defense: 8.07 P.C. Under 10 (No Offense) Ages (Presumption of No Criminal Responsibility: EXCEPTION Traffic and Curfew Offenses)

199 Juvenile Now Adult: Capias Pro Fine CCP Before capias pro fine is issued, court must determine Person is 17 Issuance is justified Sophistication and maturity Criminal record and history of individual Likelihood of bringing about discharge by other procedures Court has proceeded under contempt Juvenile Justice Code Purposes ( Family Code) to promote the concept of punishment for criminal acts To provide treatment, training, and rehabilitation To provide for the care, protection, and the wholesome, moral, mental, and physical development of children coming within its provisions to remove, where appropriate, the taint of criminality from children committing certain unlawful acts Controlling the Taint of Criminality Pre-2009 Juvenile Records no different than other criminal records Way to make them disappear

200 Juvenile Records Adds Art Class C, other than traffic, Confidential Contemplates appeals as well Adds Art Access Courts Crim J Agencies DPS Child Defendant Parent/Guardian SB 393 vs HB 529 SB 393 Amends and CCP Expanded Conditional confidentiality of juvenile records. Expands juvenile confidentiality to include cases dismissed after successful completion of deferred disposition. Effective September 1, HB 528 Amends , CCP, FC Absolute confidentiality of juvenile records (nontraffic, class C misdemeanors). All records are confidential from the charging of the juvenile, regardless of satisfaction of the conditions of judgment. Effective January 1, AG Opinion SB 393/HB 528 Dissected Question 2: If there were an irreconcilable conflict, would SB 393 control over HB 528? Answer: Since there is no irreconcilable conflict, the Attorney General s office did not answer this question.

201 AG Opinion SB 393/HB 528 Dissected Question 4a: Assuming no irreconcilable conflict, should proceedings involving children with nontraffic, fine only cases be closed to the public? Answer: No. The Senate Bills and House Bill do not require such action. Art. 1.24, CCP [t]he proceedings and trials in all courts shall be public. Art (d), CCP All judgments, sentences and final orders of the judge shall be rendered in open court. AG Opinion SB 393/HB 528 Dissected Question 4b: Assuming no irreconcilable conflict, can court dockets be publicly disclosed? Answer: Yes. Schedule dockets are considered an administrative instrument of the court and provide the public with knowledge of pending hearings and proceedings. These dockets are not considered a record or file subject to confidentiality. Takeaways from the AG s Opinion Municipal and JP Courts are required to keep all criminal records, files, and information on juvenile non traffic, fine only cases confidential from the public from the time the juvenile is charged with the offense. Dockets utilized for the purpose of scheduling are able to be posted in public view. Proceedings on juvenile cases can be open to the public. The AG s opinion provides clarity on legislative intent. Courts must apply their own judgment and interpretation as to how the changes in law are to be applied.

202 3 rd Parties and HB 528 It was not the intent of the legislature to affect the Court s normal business operations. What about Collection companies Community service agencies Teen court agencies Bondsmen Simple solution: Institute a release of information Truancy & HB 2398 Fail to Attend is gone Parent Contributing is still alive and kicking Municipal Courts are also Truancy Courts Cases are expunged $50 cost only for Truancy Court Expunction

203 Expunctions General: Children Convicted or Dismissed after Deferred Disposition of Fine Only Offenses CCP Article Failure to Attend School CCP Article Offenses Involving Minors and Alcohol ABC Section Tobacco Cases Health & Safety Code Section General Expunction Provisions Mandatory Notification One conviction or deferred committed as child At 17 Fine Only Offenses and City Ordinances Does NOT apply to: ABC Offenses Tobacco FTAS Failure to Attend School Expunction, CCP Article No more FTAS After 18 Truancy offense=ftas Courts should expunge all convictions and dismissals

204 Alcohol Expunction Only ABC After 21 Only one ABC conviction Not available after deferred disposition No mandatory notification Tobacco Expunction Only HSC Tobacco cases Completion of Tobacco Awareness Unlimited times No age limit Not available after deferred disposition No required notification Order and Notification Person making request must pay $30 fee to defray costs of notifying other agencies at time of request. Judge must sign written Order of Expunction Order must require that conviction, together with all complaints, verdicts, sentences, and prosecutorial and law enforcement records, and any other documents relating to the offense, expunged from the person's record.

205 Clerk Must Disseminate Order Clerk disseminates the Order to all courts, agencies or entities that might have any information related to the case subject to the expunction order The order must be sent to police agencies that may have arrest/ detention/ warrant information as well as courts and prosecutors Thank you for your time!

206 MUNICIPAL JUVENILE/MINOR CHART Alcoholic Beverage Code Alcoholic Beverage Code/DUI/BUI Education Code Health and Safety Code Penal Code Transportation Code Chapter 729 Jurisdiction Yes. (See Art. 4.14, C.C.P.; Sec , G.C.; Sec. 8.07, P.C.; and Sec , F.C.) Yes. (See Art. 4.14, C.C.P.; Sec , G.C.; Sec. 8.07, P.C.; and Sec , F.C.) Yes. (See Art. 4.14, C.C.P.; Sec , G.C.; Sec. 8.07, P.C.; and Sec , F.C.) Court required to dismiss complaint for failure to attend school if not filed by 7 th day after student s last absence. Yes. (See Art. 4.14, C.C.P.; Sec , G.C.; Sec. 8.07, P.C.; and Sec , H.S.C.) Yes. (See Art. 4.14, C.C.P.; Sec , G.C.; Sec. 8.07, P.C.; and Sec (f), F.C.) All fine-only offenses. Yes. (See Art. 4.14, C.C.P.; Sec , G.C.; Sec , F.C.; and Sec (a), T.C.) For exceptions, see section on common offenses. Waiver of Jurisdiction - Transfer to Juvenile Court 1 Sec , F.C. Sec , F.C. Under age 17: May waive jurisdiction over first and second violations; Shall waive jurisdiction after two previous convictions of any nontraffic fine-only offenses. Shall waive jurisdiction if the court or another court has previously dismissed a complaint against the child under Section 8.08, Penal Code. At age 17 or more, after two previous convictions, charge may be enhanced and filed in county court. Sec , F.C. Under age 17: May waive jurisdiction over first and second violations; Shall waive jurisdiction after two previous convictions of any non-traffic fine-only offenses. Shall waive jurisdiction if the court or another court has previously dismissed a complaint against the child under Section 8.08, Penal Code. At age 17 or more, after two previous convictions, charge may be enhanced and filed in county court. Sec , F.C. Under age 17: May waive jurisdiction over first and second violations; Shall waive jurisdiction after two previous convictions of any non-traffic fine-only offenses. Shall waive jurisdiction if the court or another court has previously dismissed a complaint against the child under Section 8.08, Penal Code. Age 17 court retains jurisdiction. Sec , H.S.C May not waive jurisdiction. Title 3, Family Code (including transfer to juvenile court) does not apply to Subchapter N, H.S.C. Sec , F.C. Under age 17: May waive jurisdiction over first and second violations; Shall waive jurisdiction after two previous convictions of any nontraffic fine-only offenses. Shall waive jurisdiction if the court or another court has previously dismissed a complaint against the child under Section 8.08, Penal Code. Shall waive jurisdiction if there is pending Sexting (section , P.C.) complaint against a child (under 17 years of age) Sec , F.C. Municipal court may not waive its jurisdiction over traffic violations. Age Art (h), C.C.P.; Sec , F.C. Sec. 8.07, P.C. Sec Definition of a minor - Under age 21. Sec , F.C. & Art (h), C.C.P. Child defined as at least 10 years of age & younger than age 17. Sec. 8.07, P.C. Person may not be prosecuted for or convicted of a fine-only offense committed when younger than 10 years of age. Person at least 10 but younger than 15 is presumed incapable of committing a fine only offense (other than curfew). Presumption may be refuted if prosecution proves by preponderance of evidence that child had sufficient capacity to understand that conduct Sec Definition of a minor - Under age 21. Sec , F.C. & Art (h), C.C.P. Child defined as at least 10 years of age & younger than age 17. Sec. 8.07, P.C. Person may not be prosecuted for or convicted of a fine-only offense committed when younger than 10 years of age. Person at least 10 but younger than 15 is presumed incapable of committing a fine only offense (other than curfew). Sec Compulsory School Attendance Municipal court has jurisdiction if child at least age 10; Child under age 6, if previously enrolled in 1st grade, or At least age 6 and who has not reached his or her 18th birthday. (See Sec for Exemptions.) Sec. 8.07, P.C. Person may not be prosecuted for or convicted of a fine-only offense committed when younger than 10 years of age. Person at least 10 but younger than 15 is presumed incapable of committing a fine only offense (other than Sec , H.S.C. Definition of a minor - Under age 18. Sec , F.C. & Art (h), C.C.P. Child defined as at least 10 years of age & younger than age 17. Sec. 8.07, P.C. Person may not be prosecuted for or convicted of a fine-only offense committed when younger than 10 years of age. Person at least 10 but younger than 15 is presumed incapable of committing a fine only Sec Age Affecting Criminal Responsibility under age 17. Sec , F.C. & Art (h), C.C.P. Child defined as at least 10 years of age & younger than age 17. Section Defendant must be 17 for municipal court to have jurisdiction. Sec. 8.07, P.C. Person may not be prosecuted for or convicted of a fine-only offense committed when younger than 10 years of age. Person at least 10 but Sec Operation of Motor Vehicle by Minor- Under age 17. Sec , F.C. & Art (h), C.C.P. Child defined as at least 10 years of age & younger than age 17. Sec. 8.07, P.C. Person may not be prosecuted for or convicted of a fine-only offense committed when younger than 10 years of age. Person at least 10 but younger than 15 is presumed incapable of committing a fine only offense (other than curfew). Presumption may be refuted if prosecution proves by preponderance of evidence that child had sufficient capacity to understand that conduct was wrong at time conduct was engaged in. Rev. 8/13 Funded by a grant from the Texas Court of Criminal Appeals Page 1 of 10

207 MUNICIPAL JUVENILE/MINOR CHART Alcoholic Beverage Code Alcoholic Beverage Code/DUI/BUI Education Code Health and Safety Code Penal Code Transportation Code Chapter 729 was wrong at time conduct was engaged in. Presumption may be refuted if prosecution proves by preponderance of evidence that child had sufficient capacity to understand that conduct was wrong at time conduct was engaged in. curfew). Presumption may be refuted if prosecution proves by preponderance of evidence that child had sufficient capacity to understand that conduct was wrong at time conduct was engaged in. offense (other than curfew). Presumption may be refuted if prosecution proves by preponderance of evidence that child had sufficient capacity to understand that conduct was wrong at time conduct was engaged in. younger than 15 is presumed incapable of committing a fine only offense (other than curfew). Presumption may be refuted if prosecution proves by preponderance of evidence that child had sufficient capacity to understand that conduct was wrong at time conduct was engaged in. Common Offenses Sec Purchase of Alcohol by Minor; Sec Attempt to Purchase Alcohol by a Minor; Sec Consumption of Alcohol by a Minor; Sec Possession of Alcohol by a Minor; Sec Misrepresentation of Age by a Minor. Sec Driving or Operating Watercraft Under the Influence of Alcohol by a Minor. Sec Failure to Attend School; Sec Rules (Enacted by School Board); Sec Trespass on School Grounds; Sec Possession of Intoxicants on School Grounds; Sec Disruption of Classes; Sec Disruption of Transportation. Sec Possession of cigarettes or tobacco; Purchase of cigarettes or tobacco; Consumption of cigarettes or tobacco; Acceptance of cigarettes or tobacco; Display false proof of age. Sec Assault by threat; Sec Criminal Mischief; Sec Theft under $50; Sec Bail Jumping/Failure to Appear; Sec Disorderly Conduct. Sec (a), T.C.; Sec. 8.07(a)(2), P.C.; Sec (16), F.C. Ch Registration of Vehicles, except Secs or ; Ch Driver s Licenses, except Sec ; Subtitle C. Rules of the Road, except offenses punishable by imprisonment or by confinement in jail; Ch Safety Responsibility Ch Vehicle Size & Weight; Ch Motorcycles & All Terrain Vehicles; Ch Parking, Towing & Storage of Vehicles. Penalties² Sec for offenses under Secs , , , , st conviction Class C misdemeanor (max $500); Mandatory alcohol awareness program or Drug and Alcohol Driving Awareness Program (DADAP), Sec (if defendant resides in county of 75,000 or less and no readily available alcohol awareness program, court may allow online alcohol awareness program or not less than eight hours of alcohol-related community service; DADAP is available online); Mandatory 8-12 hours alcoholrelated community service; Sec st conviction Class C misdemeanor (max $500); Mandatory alcohol awareness program or Drug and Alcohol Driving Awareness Program (DADAP), Sec (if defendant resides in county of 75,000 or less and no readily alcohol awareness program available program, court may allow online alcohol awareness program or not less than eight hours of alcoholrelated community service; DADAP is available online); Secs , , , , , Class C misdemeanors (max $500) Sec (c) 3 In addition to a fine, a court may order a sanction under Art , C.C.P.: Attend school without unexcused absences; Attend preparatory class for GED (older child that will not do well in classroom environment) or, if child is 16 or older, take GED exam; Attend a special program: alcohol & drug abuse Secs and st conviction A fine not to exceed $250, but court shall suspend execution of sentence (court costs must still be assessed and imposed) and order tobacco awareness program. Court dismisses charge on completion of course. If no course available, court shall require 8-12 hours tobacco-related community service. Failure to complete Sec Class C misdemeanor (max fine $500). Under age 17 & two prior convictions, see waiver provisions in chart. Public Intoxication (Sec ): Persons under age 21 charged with public intoxication, the penalty is under Sec , A.B.C.: See penalties for Alcoholic Beverage Code Offenses other than DUI. Art , C.C.P. Minor convicted of sexting may be ordered to Secs and Penalty same as adult defendant. See general and specific penalty clauses throughout Transportation Code. Rev. 8/13 Funded by a grant from the Texas Court of Criminal Appeals Page 2 of 10

208 MUNICIPAL JUVENILE/MINOR CHART Alcoholic Beverage Code Alcoholic Beverage Code/DUI/BUI Education Code Health and Safety Code Penal Code Transportation Code Chapter 729 DL suspension or denial 30 days; eff. 11 th day after conviction. 2 nd conviction Class C misdemeanor (max $500); Optional alcohol awareness program; Mandatory hours alcoholrelated community service; DL suspension or denial 60 days; eff. 11 th day after conviction. 3 rd conviction Under age 17: See waiver provisions in chart. Age 17 & under 21 Fine $250 to $2000 and/or confinement not to exceed 180 days if charge enhanced. Complete alcohol awareness program Court may reduce the fine to half the amount assessed. Failure to complete alcohol awareness program Court may give another 90 days to complete. 1 st conviction: court must order DPS to suspend or deny issuance of DL for up to six months. Sec (c), A.B.C. 2 nd or subsequent conviction: court must order DPS to suspend or deny issuance of DL not to exceed one year. Mandatory 20 to 40 hours alcohol-related community service; Administrative DL suspension (separate proceeding under Chapters 524 and 724, T.C. court does not suspend). 2 nd conviction Class C misdemeanor (max $500); Optional alcohol awareness program; Mandatory 40 to 60 hours of alcohol-related community service; Administrative DL suspension (separate proceeding Chapters 524 and 724, T.C.). 3 rd conviction Under age 17: See waiver provisions in chart. Age 17 & under 21 Fine $250 to $2000 and/or confinement not to exceed 180 days if charge enhanced. Complete alcohol awareness program Court may reduce the fine to half the amount assessed. Failure to complete alcohol awareness program Court may give another 90 days to complete. 1 st conviction: court must order DPS to suspend or deny issuance of DL for up to six months. Sec (c), A.B.C. 2 nd or subsequent conviction: court must order DPS to suspend or deny issuance of DL not to exceed one year. program, rehabilitation program, counseling program, training in self-esteem & leadership, work and job skills training, training in parenting, manners training, violence avoidance training, sensitivity training, advocacy, and mentoring training; Attend class for student at risk of dropping out of school (may require parent to attend with child); Community service; Participate in tutorial program; Order DPS to suspend or deny issuance of a DL for a period of time not to exceed 365 days. Court shall dismiss the complaint if individual has successfully complied with the conditions imposed. under , C.C.P., or if the individual presents to the court proof of a high school diploma or equivalency certificate. tobacco awareness course or community service, court required to order DPS to suspend or deny issuance of DL for up to 180 days after date of order. Subsequent offenses (enhanced) A fine not to exceed $250; Court shall suspend execution of sentence and order tobacco awareness course; Upon completion of course, court may reduce fine to not less than half; Failure to complete tobacco awareness course or community service, court required to order DPS to suspend or deny issuance of DL not to exceed 180 days after date of order. attend a successfully complete an educational program addressing legal aspects, consequences, and effects of sexting, bullying, cyber-bullying, and harassment. Appearance Sec , A.B.C. Plea of guilty must be in open court. Sec , A.B.C. Plea of guilty must be in Art , C.C.P. Under age 17: Art , C.C.P. Under age 17: Art , C.C.P. Under age 17, generally, Art , C.C.P. Under age 17: Rev. 8/13 Funded by a grant from the Texas Court of Criminal Appeals Page 3 of 10

209 MUNICIPAL JUVENILE/MINOR CHART Custody³ Art , C.C.P. Alcoholic Beverage Code Art , C.C.P. Under age 17: Must be in open court; Parent or guardian required to appear with child; Court must summon parent or guardian; Court may waive presence, if unable to locate or compel parent s presence. Art , C.C.P. Court should provide notice to the child and parent of child s (under age 17) and parent s obligation to notify the court in writing of the child s current address. A child at least age 10 and under age 17 may be taken into nonsecure custody. Child may be: - released to parent, guardian, custodian, or other responsible adult; - taken before a municipal or justice court; - taken to a place of nonsecure custody held for not more than 6 hours. If a minor who is a child has been referred to juvenile court under Sec (b), F.C., or Art , C.C.P., the child may be detained in a juvenile detention facility. A minor age 17 when offense committed may be handled as an adult. Alcoholic Beverage Code/DUI/BUI open court. Art , C.C.P. Under age 17: Must be in open court; Parent or guardian required to appear with child; Court must summon parent or guardian; Court may waive presence, if unable to locate or compel parent s presence. Art , C.C.P. Court should provide notice to the child and parent of child (under age 17) and parent s obligation to notify the court in writing of the child s current address. A child at least age 10 and under age 17 may be taken into nonsecure custody. Child may be: - released to parent, guardian, custodian, or other responsible adult; - taken before a municipal or justice court; - taken to a place of nonsecure custody held for not more than 6 hours. If a minor who is a child has been referred to juvenile court under Sec (b), F.C., or Art , C.C.P., the child may be detained in a juvenile detention facility. A minor age 17 when offense committed may be handled as an adult. Education Code Health and Safety Code Penal Code Transportation Code Chapter 729 Must be in open court; Parent or guardian required to appear with child; Court must summon parent or guardian; Court may waive presence, if unable to locate or compel parent s presence. Art , C.C.P. Failure to Attend School Proceedings: court required to summon parents to appear with defendant regardless of defendant s age. Art , C.C.P. Court should provide notice to the child and parent of child s (under age 17) and parent s obligation to notify the court in writing of the child s current address. A child at least age 10 and under age 17 may be taken into nonsecure custody. Child may be: - released to parent, guardian, custodian, or other responsible adult; - taken before a municipal or justice court; - taken to a place of nonsecure custody held for not more than 6 hours. Sec (d-1), E.C. Order based on probable cause that individual failed to attend school: - A child may be taken into custody. Individual may be: - released to parent, guardian, custodian, or other responsible adult; - taken before a municipal or justice court that has venue. Must be in open court; Parent or guardian required to appear with child; Court must summon parent or guardian; Court may waive presence, if unable to locate or compel parent s presence. Age 17 parent s presence not required. Art , C.C.P. Court should provide notice to the child and parent of child s (under age 17) and parent s obligation to notify the court in writing of the child s current address. A child at least age 10 and under age 17 may be taken into nonsecure custody. Child may be: - released to parent, guardian, custodian, or other responsible adult; - taken before a municipal or justice court; - taken to a place of nonsecure custody held for not more than 6 hours. If a minor who is a child has been referred to juvenile court under Sec (b), F.C., or Art , C.C.P., the child may be detained in a juvenile detention facility. A minor age 17 when offense committed may be handled as an adult. or under age 18 if charged with Sexting under Section , P.C.: Must be in open court; Parent or guardian required to appear with child; Court must summon parent or guardian; Court may waive presence, if unable to locate or compel parent s presence. Art , C.C.P. Court should provide notice to the child and parent of child s (under age 17) and parent s obligation to notify the court in writing of the child s current address. A child at least age 10 and under age 17 may be taken into nonsecure custody. Child may be: - released to parent, guardian, custodian, or other responsible adult; - taken before a municipal or justice court; - taken to a place of nonsecure custody held for not more than 6 hours. If a child has been referred to juvenile court under Sec (b), F.C., or Art , C.C.P., the child may be detained in a juvenile detention facility. Must be in open court; Parent or guardian required to appear with child; Court must summon parent or guardian; Court may waive presence, if unable to locate or compel parent s presence. Art , C.C.P. Court should provide notice to the child and parent of child s (under age 17) and parent s obligation to notify the court in writing of the child s current address. A child at least age 10 and under age 17 may be taken into nonsecure custody. Child may be: - released to parent, guardian, custodian, or other responsible adult; - taken before a municipal or justice court; - taken to a place of nonsecure custody held for not more than 6 hours. If a child has been referred to juvenile court under Sec (b), F.C., or Art , C.C.P., the child may be detained in a juvenile detention facility. Failure to Sec , P.C. Failure to Appear may Sec , P.C. Failure to Sec , P.C. Failure to Sec , P.C. Failure to Sec , P.C. Failure to Sec , T.C. Violation of Promise Rev. 8/13 Funded by a grant from the Texas Court of Criminal Appeals Page 4 of 10

210 MUNICIPAL JUVENILE/MINOR CHART Appear Alcoholic Beverage Code be charged. Art , C.C.P. Court may issue an order for nonsecure custody. Art (h), C.C.P. Child may be charged with the offense of failure to provide written notice of current address. (It is an affirmative defense to prosecution if the child and parent were not informed of their obligation to notify the court of change of address.) Secs (8) and (6), T.C. Court may report failure to appear to DPS. Alcoholic Beverage Code/DUI/BUI Appear may be charged. Art , C.C.P. Court may issue an order for nonsecure custody. Art (h), C.C.P. Child may be charged with the offense of failure to provide written notice of current address. (It is an affirmative defense to prosecution if the child and parent were not informed of their obligation to notify the court of change of address.) Secs (8) and (6), T.C. Court may report failure to appear to DPS. Education Code Health and Safety Code Penal Code Transportation Code Chapter 729 Appear may be charged. Art , C.C.P. Court may issue an order for nonsecure custody. Art (h), C.C.P. Child may be charged with the offense of failure to provide written notice of current address. (It is an affirmative defense to prosecution if the child and parent were not informed of their obligation to notify the court of change of address.) Secs (8) and (6), T.C. Court may report failure to appear to DPS. Appear may be charged. Art , C.C.P. Court may issue an order for nonsecure custody. Art (h), C.C.P. Child may be charged with the offense of failure to provide written notice of current address. (It is an affirmative defense to prosecution if the child and parent were not informed of their obligation to notify the court of change of address.) Secs (8) and (6), T.C. Court may report failure to appear to DPS. Appear may be charged. Art , C.C.P. Court may issue an order for nonsecure custody. Art (h), C.C.P. Child may be charged with the offense of failure to provide written notice of current address. (It is an affirmative defense to prosecution if the child and parent were not informed of their obligation to notify the court of change of address.) Secs (8) and (6), T.C. Court may report failure to appear to DPS. to Appear may be charged for Subtitle C, Rules of the Road offenses. Sec P.C. Failure to Appear may be charged for other traffic offenses. Art , C.C.P. Court may issue an order for nonsecure custody. Art (h), C.C.P. Child may be charged with the offense of failure to provide written notice of current address. (It is an affirmative defense to prosecution if the child and parent were not informed of their obligation to notify the court of change of address.) Sec , T.C. Court shall report failure to appear to DPS. Violation of a Court Order; Failure to Pay Fine: Art , C.C.P. Art , C.C.P. Applies to: children under age 17; children who turn age 17 before contempt proceedings can be held; and persons who failed to obey court order while age 17 or older. Court must provide notice of and conduct a hearing on contempt, before court may: refer the child to the juvenile court for delinquent conduct for contempt of the municipal court order (if child turns age 17 court may not refer to juvenile court); or retain jurisdiction and hold child/person in contempt of court - max fine $500; and/or - order suspension or denial of DL until child/person fully complies with orders. All defendants: Failure to complete alcohol awareness course, see section on penalties this chart. Art , C.C.P. Applies to: children under age 17; children who turn age 17 before contempt proceedings can be held; and persons who failed to obey court order while age 17 or older. Court must provide notice of and conduct a hearing on contempt, before court may: refer the child to the juvenile court for delinquent conduct for contempt of the municipal court order (if child turns age 17 court may not refer to juvenile court); or retain jurisdiction and hold child/person in contempt of court - max fine $500; and/or - order suspension or denial of DL until child/person fully complies with orders. All defendants: Failure to complete alcohol awareness course, see section on penalties this chart. Art , C.C.P. Applies to: children under age 17; children who turn age 17 before contempt proceedings can be held; and persons who failed to obey court order while age 17 or older. Court must provide notice of and conduct a hearing on contempt, before court may: refer the child to the juvenile court for delinquent conduct for contempt of the municipal court order (if child turns age 17 court may not refer to juvenile court); or retain jurisdiction and hold child/person in contempt of court - max fine $500; and/or - order suspension or denial of DL until child/person fully complies with orders. Art , C.C.P. Applies to: children under age 17; children who turn age 17 before contempt proceedings can be held; and persons who failed to obey court order while age 17 or older. Court must provide notice of and conduct a hearing on contempt, before court may: refer the child to the juvenile court for delinquent conduct for contempt of the municipal court order (if child turns age 17 court may not refer to juvenile court); or retain jurisdiction and hold child/person in contempt of court - max fine $500; and/or - order suspension or denial of DL until child/person fully complies with orders. Art , C.C.P. Applies to: children under age 17; children who turn age 17 before contempt proceedings can be held; and persons who failed to obey court order while age 17 or older. Court must provide notice of and conduct a hearing on contempt, before court may: refer the child to the juvenile court for delinquent conduct for contempt of the municipal court order (if child turns age 17 court may not refer to juvenile court); or retain jurisdiction and hold child/person in contempt of court - max fine $500; and/or - order suspension or denial of DL until child/person fully complies with orders. Art , C.C.P. Applies to: children under age 17; children who turn age 17 before contempt proceedings can be held; and persons who failed to obey court order while age 17 or older. Court must provide notice of and conduct a hearing on contempt, before court may: refer the child to the juvenile court for delinquent conduct for contempt of the municipal court order (if child turns age 17 court may not refer to juvenile court); or retain jurisdiction and hold child/person in contempt of court - max fine $500; and/or - order suspension or denial of DL until child/person fully complies with orders. Rev. 8/13 Funded by a grant from the Texas Court of Criminal Appeals Page 5 of 10

211 MUNICIPAL JUVENILE/MINOR CHART Alcoholic Beverage Code Alcoholic Beverage Code/DUI/BUI Education Code Health and Safety Code Penal Code Transportation Code Chapter 729 All defendants: Failure to complete tobacco awareness course, see section on penalties this chart. Expunction⁵ Sec , A.B.C. Yes. May apply to municipal court at age 21 if only one conviction under Alcoholic Beverage Code. Sec (d), A.B.C. Court shall charge $30 fee for each application. Sec , A.B.C. Yes. May apply to municipal court at age 21 if only one conviction under Alcoholic Beverage Code. Sec (d), A.B.C. Court shall charge $30 fee for each application. Art Court must notify child of right; Court must give copy of Art , C.C.P., to defendant and parent Art (a) May apply to municipal court if only one conviction for offense of failure to attend school; May apply at age 18; Must submit written request made under oath; Form of submission determined by applicant; Must pay $30 fee. Art (e) Regardless of number of convictions, court shall expunge if individual successfully complied with any conditions imposed under Art Regardless of number of convictions, court shall expunge if individual presents proof (by age 21) of high school diploma or equivalency certificate. No $30 fee charged. Art , C.C.P. Other fine-only Education Code Offenses: Court must notify child of right; Court must give copy of Art , C.C.P.; Not more than one conviction; Child may apply on or after age 17; Sec , H.S.C. May apply to municipal court to have conviction expunged; Applicant must have completed tobacco awareness course; May have multiple convictions expunged as long as applicant completed tobacco awareness course for each conviction. Court shall charge $30 fee. Art , C.C.P. Court must notify child of right; Court must give copy of Art , C.C.P., to defendant and parent; Not more than one conviction; Child may apply on or after age 17; Apply to trial court; Child makes request under oath; Court shall charge $30 fee. Ch. 55, C.C.P. Expunction order must be filed in district court. Rev. 8/13 Funded by a grant from the Texas Court of Criminal Appeals Page 6 of 10

212 MUNICIPAL JUVENILE/MINOR CHART Alcoholic Beverage Code Alcoholic Beverage Code/DUI/BUI Education Code Health and Safety Code Penal Code Transportation Code Chapter 729 Apply to trial court; Child makes request under oath; Court shall charge $30 fee. Child Turns Age 17 after Failure to Appear Art , C.C.P. Court must have used all available procedures under Chapter 45 to secure appearance while under the age of 17 before proceeding under Art , C.C.P. At age 17 or older, court issues an order to appear. Order must have a warning about continuing obligation to appear and that failure to appear may result in a warrant being issued. If person fails to appear after notice, prosecutor may file complaint for violation of obligation to appear under Art and court may issue a warrant of arrest. Art , C.C.P. Court must have used all available procedures under Chapter 45 to secure appearance while under the age of 17 before proceeding under Art , C.C.P. At age 17 or older, court issues an order to appear. Order must have a warning about continuing obligation to appear and that failure to appear may result in a warrant being issued. If person fails to appear after notice, prosecutor may file complaint for violation of obligation to appear under Art and court may issue a warrant of arrest. Art , C.C.P. Court must have used all available procedures under Chapter 45 to secure appearance while under the age of 17 before proceeding under Art , C.C.P. At age 17 or older, court issues an order to appear. Order must have a warning about continuing obligation to appear and that failure to appear may result in a warrant being issued. If person fails to appear after notice, prosecutor may file complaint for violation of obligation to appear under Art and court may issue a warrant of arrest. Art , C.C.P. Court must have used all available procedures under Chapter 45 to secure appearance while under the age of 17 before proceeding under Art , C.C.P. At age 17 or older, court issues an order to appear. Order must have a warning about continuing obligation to appear and that failure to appear may result in a warrant being issued. If person fails to appear after notice, prosecutor may file complaint for violation of obligation to appear under Art and court may issue a warrant of arrest. Art , C.C.P. Court must have used all available procedures under Chapter 45 to secure appearance while under the age of 17 before proceeding under Art , C.C.P. At age 17 or older, court issues an order to appear. Order must have a warning about continuing obligation to appear and that failure to appear may result in a warrant being issued. If person fails to appear after notice, prosecutor may file complaint for violation of obligation to appear under Art and court may issue a warrant of arrest. Art , C.C.P. Court must have used all available procedures under Chapter 45 to secure appearance while under the age of 17 before proceeding under Art , C.C.P. At age 17 or older, court issues an order to appear. Order must have a warning about continuing obligation to appear and that failure to appear may result in a warrant being issued. If person fails to appear after notice, prosecutor may file complaint for violation of obligation to appear under Art and court may issue a warrant of arrest. Child Turns age 17 after Failing to Pay Fine; Copias Pro Fine; Art , C.C.P. Art , C.C.P. Court must determine before issuing a capias pro fine: that person is age 17 or older; that issuance of capias pro fine is justified (must consider sophistication & maturity, criminal record and history of individual, and the reasonable likelihood of bringing about the discharge of judgment by other procedures); and that the court has proceeded under Art , C.C.P. Art , C.C.P. Court must determine before issuing a capias pro fine: that person is age 17 or older; that issuance of capias pro fine is justified (must consider sophistication & maturity, criminal record and history of individual, and the reasonable likelihood of bringing about the discharge of judgment by other procedures); and that the court has proceeded under Art , C.C.P. Art , C.C.P. Court must determine before issuing a capias pro fine: that person is age 17 or older; that issuance of capias pro fine is justified (must consider sophistication & maturity, criminal record and history of individual, and the reasonable likelihood of bringing about the discharge of judgment by other procedures); and that the court has proceeded under Art , C.C.P. Art , C.C.P. Court must determine before issuing a capias pro fine: that person is age 17 or older; that issuance of capias pro fine is justified (must consider sophistication & maturity, criminal record and history of individual, and the reasonable likelihood of bringing about the discharge of judgment by other procedures); and that the court has proceeded under Art , C.C.P. Art , C.C.P. Court must determine before issuing a capias pro fine: that person is age 17 or older; that issuance of capias pro fine is justified (must consider sophistication & maturity, criminal record and history of individual, and the reasonable likelihood of bringing about the discharge of judgment by other procedures); and that the court has proceeded under Art , C.C.P. Art , C.C.P. Court must determine before issuing a capias pro fine: that person is age 17 or older; that issuance of capias pro fine is justified (must consider sophistication & maturity, criminal record and history of individual, and the reasonable likelihood of bringing about the discharge of judgment by other procedures); and that the court has proceeded under Art , C.C.P. Rev. 8/13 Funded by a grant from the Texas Court of Criminal Appeals Page 7 of 10

213 MUNICIPAL JUVENILE/MINOR CHART Reports Parents Alcoholic Beverage Code Sec (c), F.C. Under age 17 Juvenile court when case filed; Juvenile court when case disposed. Secs (8) and (6), T.C. Under age 17 DPS, if child fails to appear; DPS, when case adjudicated. Sec , T.C. DPS, when child found in contempt for failure to pay under Art , C.C.P. & court orders suspension or denial of DL; DPS, when child makes final disposition. Sec , A.B.C. Tex. Alcoholic Bev. Commission, if requested. Sec , A.B.C. All minors DPS, upon conviction or order of deferred. Sec (d), A.B.C. All minors DPS, court order of DL suspension or denial not to exceed six months upon failure to complete alcohol awareness program or community service. Art , C.C.P. Court required to issue summons for parents. Failure to appear with child in court is a Class C misdemeanor. Art (a), C.C.P. Parent includes a person standing in parental relation, a managing conservator, or a custodian. Art (g), C.C.P. Failure to appear with child in court is a Class C misdemeanor. Art (h), C.C.P. Failure to notify the court in writing Alcoholic Beverage Code/DUI/BUI Sec (c), F.C. Under age 17 Juvenile court when case filed; Juvenile court when case disposed. Secs (8) and (6), T.C. Under age 17 DPS, if child fails to appear; DPS, when case adjudicated. Sec , T.C. DPS, when child found in contempt for failure to pay under Art , C.C.P. & court orders suspension or denial of DL; DPS, when child makes final disposition. Sec , A.B.C. Tex. Alcoholic Bev. Commission, if requested. Sec , A.B.C. All minors DPS, upon conviction, order of deferred, and acquittal under Sec (d), A.B.C. All minors DPS, court order of DL suspension or denial not to exceed six months upon failure to complete alcohol awareness program or community service. Art , C.C.P. Court required to issue summons for parents. Failure to appear with child in court is a Class C misdemeanor. Art (a), C.C.P. Parent includes a person standing in parental relation, a managing conservator, or a custodian. Art (g), C.C.P. Failure to appear with child in court is a Class C misdemeanor. Education Code Health and Safety Code Penal Code Transportation Code Chapter 729 Sec (c), F.C. Under age 17 Juvenile court when case filed; Juvenile court when case disposed. Secs (8) and (6), T.C. Under age 17 DPS, if child fails to appear; DPS when case adjudicated. Sec , T.C. DPS, when child found in contempt for failure to pay under Art , C.C.P. & court orders suspension or denial of DL; DPS, when child makes final disposition. Art , C.C.P. Court required to issue summons for parents. Failure to appear with child in court is a Class C misdemeanor. Sec E.C. May be charged with the offense of Parent Contributing to Nonattendance, a Class C misdemeanor. Art , C.C.P. Order parent to attend a class for students at risk of dropping out of school. Sec , H.S.C. All minors DPS, if defendant fails to present evidence of completion of tobaccorelated program or community service. Court required to order DL suspended or denied for a period not to exceed 180 days. Secs (8) and (6), T.C. Under age 17 DPS, if child fails to appear; DPS when case adjudicated. Sec , T.C. DPS, when child found in contempt for failure to pay under Art , C.C.P. & court orders suspension or denial of DL; DPS, when child makes final disposition. Art , C.C.P. Court required to issue summons for parents. Failure to appear with child in court is a Class C misdemeanor. Art (a), C.C.P. Parent includes a person standing in parental relation, a managing conservator, or a custodian. Art (g), C.C.P. Failure to appear with child in court is a Class C Sec (c), F.C. Under age 17 Juvenile court when case filed; Juvenile court when case disposed. Secs (8) and (6), T.C. Under age 17 DPS, if child fails to appear; DPS when case adjudicated. Sec , T.C. DPS, when child found in contempt for failure to pay under Art , C.C.P. & court orders suspension or denial of DL; DPS, when child makes final disposition. Sec , P.C. Upon conviction, prosecutor required to notify school of conviction of assault and possession of drug paraphernalia. Art , C.C.P. Court required to issue summons for parents. Failure to appear with child in court is a Class C misdemeanor. Art (a), C.C.P. Parent includes a person standing in parental relation, a managing conservator, or a custodian. Art (g), C.C.P. Failure to appear with child in court is a Class C Sec , T.C. Convictions reported to DPS. Sec , T.C. Under age 17 Court required to report failure to appear. Secs (7) and (5), T.C. DPS, if child fails to appear; DPS when case adjudicated. Sec , T.C. DPS, when child found in contempt for failure to pay under Art , C.C.P. & court orders suspension or denial of DL.; DPS, when child makes final disposition. Art , C.C.P. Court required to issue summons for parents. Failure to appear with child in court is a Class C misdemeanor. Art (a), C.C.P. Parent includes a person standing in parental relation, a managing conservator, or a custodian. Art (g), C.C.P. Failure to appear with child in court is a Class C misdemeanor. Art , C.C.P. Court may order: Attend a parenting class. Rev. 8/13 Funded by a grant from the Texas Court of Criminal Appeals Page 8 of 10

214 MUNICIPAL JUVENILE/MINOR CHART Alcoholic Beverage Code Alcoholic Beverage Code/DUI/BUI Education Code Health and Safety Code Penal Code Transportation Code Chapter 729 of the child s current address is a Class C misdemeanor. Art , C.C.P. Court may order: Attend a parenting class. Attend child s school classes & functions. Pay up to $100 for special program for child. Parent to do an act or refrain from doing an act that will increase likelihood that child will comply. Sec (d), A.B.C. Court may order parent to do any act or refrain from an act to increase likelihood that minor will complete alcohol awareness program after child fails to complete program. Art (h), C.C.P. Failure to notify the court in writing of the child s current address is a Class C misdemeanor. Art , C.C.P. Court may order: Attend a parenting class. Attend child s school classes & functions. Pay up to $100 for special program for child. Parent to do an act or refrain from doing an act that will increase likelihood that child will comply. Sec (d), A.B.C. Court may order parent to do any act or refrain from an act to increase likelihood that minor will complete alcohol awareness program after child fails to complete program. Art (a), C.C.P. Parent includes a person standing in parental relation, a managing conservator, or a custodian. Art , C.C.P. Court may order: Attend a parenting class. Attend child s school classes & functions. Pay up to $100 for special program for child. Parent to do an act or refrain from doing an act that will increase likelihood that child will comply. Art (d), C.C.P. Failure to comply with summons to appear with child charged with failure to attend school is a Class C misdemeanor. Art (h), C.C.P. Failure to notify the court in writing of the child s current address is a Class C misdemeanor. misdemeanor. Art , C.C.P. Court may order: Attend a parenting class. Attend child s school classes & functions. Pay up to $100 for special program for child. Parent to do an act or refrain from doing an act that will increase likelihood that child will comply. Art (h), C.C.P. Failure to notify the court in writing of the child s current address is a Class C misdemeanor. misdemeanor. Art , C.C.P. Court may order: Attend a parenting class. Attend child s school classes & functions. Pay up to $100 for special program for child. Parent to do an act or refrain from doing an act that will increase likelihood that child will comply. Art (h), C.C.P. Failure to notify the court in writing of the child s current address is a Class C misdemeanor. Art , C.C.P. Parent (or defendant) must pay for courtordered educational program for child convicted of sexting. Attend child s school classes & functions. Pay up to $100 for special program for child. Parent to do an act or refrain from doing an act that will increase likelihood that child will comply. Art (h), C.C.P. Failure to notify the court in writing of the child s current address is a Class C misdemeanor. Rev. 8/13 Funded by a grant from the Texas Court of Criminal Appeals Page 9 of 10

215 MUNICIPAL JUVENILE/MINOR CHART 1 Art , C.C.P., provides authority for municipal courts to employ case managers for juvenile cases. Sec.51.08, F.C., provides that a court that has implemented a juvenile case manager program under Art , C.C.P., may, but is not required to, waive its original jurisdiction under subsection (b)(1) of Section 51.08, F.C. Article , C.C.P., provides that cities may adopt an ordinance creating a juvenile case manger fund and collect a fee of up to $5 to fund a juvenile case manager. 2 Art , C.C.P. When a child who is at least 10 years old and younger than age 17 is charged with a fine-only offense, the court may, in addition to a fine, order the following sanctions: 1) Refer the child or child s parent for services under Sec , F.C.; 2) Require child to attend a special program that is in best interest of child, including rehabilitation, counseling, self-esteem and leadership, work and job skills training, job interviewing and work preparation, self-improvement, parenting, manners, violence avoidance, tutoring, sensitivity training, parental responsibility, community service, restitution, advocacy or mentoring program; 3) Require parents to do an act or refrain from an act that will increase the likelihood that the child will comply with court orders, including attending a parenting class or parental responsibility program and attending the child s school classes or functions; 4) Order the parents of a child required to attend a special program to pay an amount not greater than $100 for the costs of the program; 5) Require both the child and parent to submit proof of attendance. (If program involves the expenditure of county funds, county must approve child s attendance.) Deferred Disposition If the court grants deferred for all Alcoholic Beverage Code offenses except DUI, the court must require the defendant to perform the community service requirements and attend an alcohol awareness course; for DUI, the court must require an alcohol awareness course. If defendant charged with the offense of public intoxication is under age 21, and the court grants deferred, the court must order the community service requirements under Sec , A.B.C., and attendance at an alcohol awareness course. 3 A dispositional order under Art , C.C.P., is effective for the period specified by the court in the order but may not extend beyond the 180 th day after the date of the order or beyond the end of the school year in which the order was entered, whichever period is longer. 4 Art , C.C.P., Children Taken into Custody for Violation of Juvenile Curfew or Order: 1) Release person to parent, guardian or custodian; 2) Take person before a justice or municipal court; or 3) Take person to juvenile curfew processing office (similar to nonsecure custody and not held for more than six hours). 5 Art , C.C.P., provides that proceedings under Art , C.C.P. (Deferred Disposition), and proceedings under Art , C.C.P. (Teen Court), may be expunged under Art , C.C.P. 6 Under Sec (f), E.C., when a court grants deferred disposition to a parent charged with parent contributing to nonattendance, the court may require the defendant to attend a program that provides instruction designed to assist the parent in identifying problems that contribute to his or her child s absence from school and strategies for resolving those problems. ATTENTION In 2011, conditional confidentiality was extended to non-traffic Class C misdemeanor convictions. Under S.B. 393, Articles and , CCP reflect the belief that if the Legislature is willing to extend confidentiality to children who are found guilty of certain fine-only offenses, it should be willing in a similar manner to extend confidentiality to the greater number of children who have avoided being found guilty by successfully completing some form of probation. S.B. 394 (passed on 5/16/13) also extends conditional confidentiality to successfully completed deferral of disposition. H.B. 528 (passed on 5/20/13) closes public right of inspection upon charging. S.B. 393 received the last record vote and was passed on 5/23/13. If H.B. 528 is deemed in irreconcilable conflict with S.B. 393 and the bills cannot be harmonized, the bill that passed last in time prevails (i.e., S.B.393). The conflict between these bills will be decided by an Attorney General Opinion. S.B. 393 and S.B. 394 are effective 9/1/13. H.B. 528 is not effective until 1/1/14. Rev. 8/13 Funded by a grant from the Texas Court of Criminal Appeals Page 10 of 10

216 7/7/2017 RECORDS MANAGEMENT & RETENTION Hilda Cuthbertson, CCCII, ICM Fellow New Clerks July 2017 OBJECTIVES Explain the goal of a records inventory Explain state rules regarding records retention List the elements of a record s life cycle List the steps to develop a records management program Explain the goal of a records inventory List the criteria for destroying records and methods of destroying records. Did we do process this much paper? 1

217 7/7/2017 WHAT IS RECORDS MANAGEMENT? RECORDS MANAGEMENT Active supervision and control of records, which includes the economical and efficient creation, organization, use, maintenance, and disposition of records. Municipal Court Clerks are responsible for the care, control, maintenance, and archival of all municipal court records. Also responsible for the management of time and the events involved in the movement of cases through the court system. 2

218 7/7/2017 Texas Legislature adopted the Local Government Records Act in State of Texas expects government to operate efficiently and cost effectively and to preserve its records. What kind of records does a Court have? Citations Documents Medical documents Payment Plans Financial Affidavits Complaints Warrants Receipts Juror information Cases Reports Historical information Personnel Files TCOLE Memos Contracts Training manuals Policy and Procedures General Accounting Budget Audit reports Deposits Refunds Cash bonds Bond Forfeitures Revenue Court Costs Financial WHAT IS A BUDGET? Financial Document Written Financial Priorities A Spending Plan A Communication Plan Basis For Accountability 3

219 7/7/2017 INTERNAL CONTROLS Control Environment Risk Assessment Control Activities Information and Communication Monitoring CONTROL ACTIVITIES Appropriate Division of Duties Sound Procedures for Authoring, Recording, and Reporting Transactions 4

220 7/7/2017 Why is this important to Courts? Should have a successful records management system Should effectively manage the caseflow of the cases Should understand the laws and rules governing the maintenance of court records. Economical establishment and maintenance of court records Efficiently and effectively disposed of court records. What did this act establish? 1. Requirement for local governments 2. Established records management officers 3. Custodians of the records 4. Removed restrictions such as requiring records to be kept in well bound books, Section Local Government Code Records Life Cycle Creation or Receipt Disposition Records Life Cycle Active Use Inactive Storage 5

221 7/7/2017 INVENTORY GOAL: Not to inventory every PIECE of paper, rather to determine and identify record categories PURPOSE: To determine what types of records the Court Has WHAT: Where are these records located or where will they be located? Provides a picture of records to be managed and analyzed. Assist in implementing or revamping policy Meeting State Retention requirements BENEFITS: Save space or plan for future space Proper evaluation of file functions and activities Assessing length of usefulness of records Appraisal of legal implications of records Preparing for inventory: INVENTORY Define objectives Communicate goal and plan to Staff Be specific about the data to be collected Determine file locations Prepare an inventory form Establish work schedules and completion dates Select team members for the inventory process Successful inventory: INVENTORY Identified records by category or record series Physical location of all records Reference activity Analysis cost of recordkeeping Categorize equipment and supplies Methods for disposition of obsolete records 6

222 7/7/2017 Public Information Act, Government Code Chapter 552 Implements the open records policy Applies to governmental bodies Expressly excludes the judiciary meaning that they provisions do not apply to municipal courts However, case law has long recognized the general right to inspect and copy court records and documents. Nixon v. Warner Communications, Inc., 435 U.S. 589(1978). Request for Information City s Records Management Officer (RMO) Know City s policy Develop a policy for how public can access records, if City does not have a RMO Develop and establish a written form used requests Stamp date received/receiver s initials Present request to judge to make decision whether to release records REQUESTS FOR INFORMATION for copies, electronic media, USB drives, etc. (be consistent with City policy) General Services Commission Section Government Code/check with RMO Keep requests on file Document when and how information is provided to requestor 7

223 7/7/2017 RECORDS RETENTION Every City required to establish and implement a records management program by ordinance January 1, 1991 Sec Local Government Code (LGC) provide methods and procedures to fulfill duties and responsibilities Establish the office of Records Management Officer (RMO) RMO responsible to have prepared and filed a records retention schedule to the Texas State Library and Archives Commission (TSL) City/Courts records retention schedules can not be less than the prescribed state or federal law or established retention schedule by TSL (Sec LGC) RECORDS RETENTION Retention schedule for JPs and municipal courts is Local Schedule LC TSL website: No local government can dispose of a record listed in the TSL mandatory retention prior to expiration of retention period Local government/courts retention period can exceed TSL Required to cooperated with RMO carrying out policies and procedures to meet state statues Sec LGC DISPOSITION OF RECORDS LGC Section establishes criteria for destroying records records may be destroyed, if: Has met TSL and local retention period Appears as an obsolete record approved by TSL TSL approves request for authorization to dispose of unscheduled records TSL s retention period has not yet expired, record has retention period of less than 10 years and has been converted to electronic medium in accordance with LGC Chapter 25 TSL s retention period has not yet expired, record has retention period of 10 years or more, local govt. has submitted request to TSL for approval for electronic storage. Court expunction order issued by a district court pursuant to state law 8

224 7/7/2017 NOTICE OF DESTRUCTION City should have a policy If City does not have a policy contact TSL Must request approval to destroy records from RMO or TSL If no RMO request approval from TSL Must be in writing Must receive written authorization to destroy Maintain on file a copy of the records destroyed DESTRUCTION METHODS LGC Section Methods include: Burning Shredding Pulping Burying in landfill Selling or donating for recycling Confidential records under the Public Information Act or other state laws must be burned, pulped or shredded. UNLAWFUL DESTRUCTION OF RECORDS LGC Section Class A misdemeanor Offense Officer/Employee knowingly/intentionally violates any requirements of LGC act or rules adopted under it by destroying or alienating a record or by intentionally failing to deliver records to a successor in office Penal Code Section 37.10(3) offense to intentionally destroy a governmental record Important to adhere strictly to records retention and disposition schedules developed by the City and approved by TSL More information in Level II, Records and Caseflow Management 9

225 7/7/

226 Presented by Victoria Medley Court Administrator City of Amarillo 1 VPTA Violation of Promise to Appear FTA Failure to Appear City Ordinance Appearances Other Parents, JNA, Parks & Wildlife 2 Definitions If and When Charges May be Brought Creating Cases How Defendants May Handle These Cases Fines / Court Costs / Fees 3

227 Separate and distinct criminal charge Original case sometimes called underlying charge Does not affect issuance of warrants on original charge Does not affect reporting of original charge under DPS s FTA program 4 VPTA and FTA 5 Person willfully violates written promise to appear in court as provided by this subchapter (traffic citation) regardless of the disposition of the charge Section , T.C. Separate and distinct criminal charge 6

228 Defendant lawfully released from custody with or without bail and intentionally or knowingly fails to appear in accordance with the terms of the release. Section 38.10, P.C. Separate and distinct criminal charge 7 Defense to prosecution if the defendant had reasonable excuse for failing to appear in accordance with his release Who decides? 8 VPTA traffic citation Who can write? In custody? FTA released from custody Who can take into custody? Are all citations custody? Only peace officers can take into custody by citation or arrest 9

229 Peace Officer s Authority to issue: Section , T.C. For offenses under Subtitle C, T.C. Article 14.06(b), C.C.P. For Class C misdemeanors except Public Intoxication 10 Must be a criminal offense Defendant must have been in custody of a police officer (or had traffic citation issued) and released Defendant must have agreed to appear (in writing) and did not 11 VPTA Violations of Subtitle C, T C Rules of the Road - Criminal violations Issued by peace officer FTA All other criminal violations Issued by peace officer 12

230 Azeez v. State (City of Houston) Texas Court of Criminal Appeals March 5, 2008 Accepted rules of statutory code construction The more specific law applies TMCEC s The Recorder June Registration Speeding Running Red Light Cameras at Red Lights Failure to Maintain Financial Responsibility Driver License & Commercial Driver License Fail to Yield ROW Disorderly conduct Parking 14 No Prosecutors decision to charge But Judges may decide Should weight advantages and disadvantages What are some? 15

231 Questions? 16 Other Non-Appearance Situations 17 Defendant lawfully issued a citation requiring defendant to appear and obtaining promise to appear in writing City Ordinance (home rule cities) Chapter L.G.C. Separate and distinct criminal violation 18

232 Parent served a summons to appear with child Article (d), C.C.P. Notice to JNA (juvenile now adult) of continuing obligation to appear Article , C.C.P. Parks & Wildlife Officers authorized to issue citations Usually filed in JP Courts Sections and , Parks and Wildlife Code 19 Creating and Handling Non-appearance Cases 20 Starts with a Sworn Complaint Create New Case The charge is not the same different case no. court costs not be the same as underlying case The officer is not the same The violation location is not the same The fine does not have to be the same Different probable cause affidavit 21

233 The same as any other case Pay, TPP, Community Service, CTS, etc. Note: VPTA conviction reported to DPS (3333) If defendant does not come in on this charge: Issue warrant Do probable cause affidavit Report to DPS (Omnibase) Program Collection Agency 22 VPTA Maximum fine $200 Court costs same as other Subtitle C violations BUT no $5.00 arrest fee Warrant, collection, FTA (Omnibase), TPP fees are the same Special Expense Fee of $25.00 if ordinance on file ( CCP) 23 FTA Maximum fine $500 Court costs same as other non-subtitle C violations BUT no $5.00 arrest fee Warrant, collection, FTA (Omnibase), TPP fees are the same Special Expense Fee of $25.00 if ordinance on file ( CCP) 24

234 COA Maximum fine $500 Court costs same as other non-subtitle C violations BUT no $5.00 arrest fee Warrant, collection, FTA (Omnibase), TPP fees are the same No Special Expense Fee 25 VPTA Filed Defendant was arrested or received a citation from a (in custody) for a violation of an offense under of the Transportation Code and promised to but did not Fines/Costs/Fees Maximum fine and court costs/fees same as other traffic offenses EXCEPT no $5 May charge an additional fee for warrant service if have an ordinance on file 26 FTA Filed Defendant has been in (including received a non-traffic citation) by a on a class c charge other than traffic and was released to but did not Fines/Costs/Fees Maximum fine and court costs the same as another other non-traffic class c misdemeanor except no $5 fee May charge an additional fee for warrant service if have an ordinance on file 27

235 COA filed (home rule cities only) Defendant issued by a officer on a city ordinance and promised to but did not Fine/Court Costs/Fees Maximum fine and court costs the same as another other non-traffic class c misdemeanor except no $5 fee 28 Rebecca Stark (512) Codes Legislation 29 THE END 30

236 11/30/2016 Warrants, Capias and Capias Pro Fines PRESENTED BY: VICTORIA JARAMILLO MEDLEY COURT ADMINISTRATOR CITY OF AMARILLO Class Review Probable Cause Judges and Magistrates Types of Warrants Warrant of Arrest Capias Capias Pro Fine SERVICES OF WARRANTS FEES /COSTS 2 Probable Cause 3 The amount of evidence necessary to cause a person to believe someone has commented a crime. 1

237 11/30/2016 Probable Cause 4 Required by.. U.S. Constitution, IV Amendment Texas Constitution, Article I, Section 9 Texas Code of Criminal Procedure, Article 1.06 Probable Cause 5 Who determines if there is enough evidence: -Judge -Magistrate Probable Cause Affidavit 6 Must swear that there is sufficient evidence to charge a crime How do you do that? Affidavit (sworn written statement) Citations are not probable cause affidavits but may have an affidavit as part of the citation Complaints not usually sufficient to act as probable cause affidavits but can be if cause is included 2

238 11/30/2016 Probable Cause Affidavit 7 Who prepares/signs affidavits/complaints: - Officer - Clerks based on citations Probable Cause Affidavit Documents requiring: Warrants Warrants of Arrest Capias Capias Pro Fine Warrant for Seizure of Animals Search Warrants Art (b), C.C.P 8 AVAILABLE TO PUBLIC AFTER EXECUTED 9 Judges And Magistrates 3

239 11/30/2016 Judges 10 Authority over cases in their jurisdiction Article , Code of Criminal Procedure Article 4.14, Code of Criminal Procedure Magistrates 11 Authority is county-wide Accept Complaints and Issue Warrants Class A and B misdemeanors Felonies Issue Search Warrants Judges and Magistrates 12 Municipal Judges and Mayors are magistrates in Texas - Article 2.09, C.C.P 4

240 11/30/ Types of Class C Misdemeanor Warrants Types of Warrants for Arrest 14 Capias Capias Pro Fine Arrest Warrant Types of Warrants for Arrest 15 Capias Issued (signed) by Judge only Chapter 23, C.C.P. Pre-judgment Usually failed to come to court/appear Need complaint for Class C Misdemeanor Art (d) C.C.P. Need probable cause (affidavit/complaint) Requirements: Article , C.C.P. 5

241 11/30/2016 Types of Warrants for Arrest Capias Pro Fine Issued (signed) by Judge only Post Judgment Do not need complaint if have guilty or no contest plea on the citation Should have probable cause (affidavit)unless judge personally reviews case for probable cause Requirements: Article 43.05, C.C.P 16 Types of Warrants for Arrest Arrest Warrant Pre-judgment Issued (signed) by Magistrate Need probable cause (affidavit) Requirements: Article 15.02, C.C.P. 17 Clerks Role Preparation Prepare documents ( or make sure prepared) Probable cause (affidavit/complaint) Complaint (for Capias) Correct warrant type 18 Check information entered on forms for errors Typing or spelling errors Information accurate 6

242 11/30/ Warrant Service/ Execution Authority 20 Authority to serve Municipal Court process (warrants and summons) City police and marshals under the same rules as sheriffs and constables Anywhere in county or counties where city situated Article , C.C.P. Execution of all Arrest Warrant Types 21 Warrants are good in every part of state Any peace office may serve (execute) Do not need original warrant to serve Warrant good forever if complaint filed appropriately * Forever is until Judge recalls the warrant 7

243 11/30/2016 Out-of-County Execution - Capias Fine-only offense The magistrate has the authority to take a plea, set and collect a fine, and grant jail credit on non-adjudicated cases only Paperwork and money must be sent within 11 business days to court with jurisdiction Article 15.18, C.C.P 22 Clerks Role Execution Coordinate with police department Original, copy, electronically connected Ensure prompt recall when served/paid After service of the warrant Ensure correct costs/fees Affidavit and warrant public information Public may view 23 Arrest Fee 24 $5.00 arrest fee (part of the total court costs ) Collected upon conviction City keeps if local officer issued citation or made warrantless arrest If peace officer with statewide authority issues citation or makes arrest, $1.00 goes to state 8

244 11/30/2016 Warrant Fee 25 Article (a)(2), C.C.P. $50.00 fee upon conviction for: For services of a peace officer to serve or process a warrant Capias Capias Pro Fine Warrant of Arrest Collect Warrant Fee 26 Arresting law enforcement agency other than one where warrant issued May request $50; may request mileage Must make request within 15 days of arrest Paid upon conviction Article (a) (2), C.C.P. If peace officer with statewide authority makes the arrest, court remits $10 of the $50 to the State Comptroller Article (a) (2), C.C.P. Fee for Summons Summons for defendant or parents or guardian of Juvenile Fee of $35.00 Service of Summons Defendant must be convicted Article (4), C.C.P. 27 9

245 11/30/2016 Special Expense Fee 28 Collected on: Failure to Appear Violate Promise to Appear Ordinance required Amount not to exceed $25.00 Warrant must be Executed Article , C.C.P. Probable Cause: RECAP The amount of necessary to cause a person to believe someone has committed a. ( slide 3) Needed for and. (slide 8) 29 Warrant Types issued by (slide 15) Capias Pro Fine issued by (slide 16) issued by (slide 17) Recap 30 Only a or can sign (issue) any type of warrant (slides 15,16,17) A must be prepared before a capias is issued (slide 18) Warrants may be served anywhere in the but your peace officer can only serve in the. (slide 20) 10

246 11/30/2016 Recap 31 Four Costs/Fees $5.00 (slide 24) $ warrant fee (slide 25) $ summons service fee (slide 27) $25.00 additional service fee for and warrants (slide 28) 32 Questions? 11

247 11/30/2016 December 2016 Austin Activities to Improve the Law. A judge may: speak, write, lecture, teach and participate in extra-judicial activities concerning the law, the legal system, the administration of justice and non-legal subjects, subject to the requirements of this Code This is express permission, which is rare in the Code of Judicial Conduct! Students gain understanding of court system spark an interest Interaction with children If using TMCEC/DRSR materials, students see the consequences of unsafe driving Experiences to share from the crowd? 1

248 11/30/2016 Schools Teacher Team leaders or chairs (especially social studies chair) School Resource Officer Parent Teacher Association (PTA) president or other officer Principal make sure to CC this person! Community groups Leaders of Organizations for kids -Girl/Boy Scouts, Boys/Girls Club, summer camps Secretary or Presidents of Religious/faith based Organizations Secretary or members of Neighborhood groups Planning secretary or Sargent of Arms in Professional groups Kiwanis, Chamber of Commerce, Daughters of the American Revolution Brainstorm: Any other groups? Mock Trial Guide State v. Young TWO WAYS TO GET MATERIALS DIGITAL COPIES ONLINE HARD COPIES THROUGH THE MAIL 2

249 11/30/2016 Contact: Ned Minevitz or Liz De La Garza Order Forms Available at the TxDOT Table, too! Judge: Prosecutor: Defense Counsel: Police Officer: Human Factors Engineer: Defendant: Ned Minevitz, TMCEC 3

250 11/30/2016 Detective Cross-Exam: Page 53 Human Factors Engineer Cross- Exam: Page 49 Defendant Cross-Exam: Page 62 4

251 7/7/2017 I Walk the Line! Legal Advice vs. Legal Information FREDERICK P. GARCIA, JR. Clerk of the Court, City of San Antonio Objectives Explain Roles & Responsibilities of Clerks and Court Personnel Define Legal Advice, Legal Information & Ex Parte Communications Outline Quality Service Techniques for Answering Difficult Questions Provide Practical Informational Resources for Clerks & Defendants Roles and Responsibilities of Clerks and Court Personnel Provide Access to the Courts Provide Service Provide Accurate Information 1

252 7/7/2017 Why Clerks Must Not Give Legal Advice, But Should Provide Legal Information Remain Neutral Remain Impartial No Unauthorized Practice of Law Define What Constitutes Legal Advice A written or oral statement that: Interprets some aspect of the law, court rules or court procedures; Recommends a specific course of conduct a person should take in an actual or potential legal proceeding; or Applies the law to the individual person s specific factual circumstances Telling a member of the public WHAT to do, rather than HOW to do it, may be giving legal advice. Define What Constitutes Legal Information Clerks and court personnel MAY: Provide public information contained in dockets, calendars, case files, indexes, and other reports. Recite common, routinely-employed court rules, court procedures, administrative practices, and local rules, and explain generally how the court and judges function. Refer self-represented litigants to a law library or the court s website for statutes, court rules, or forms. Explain the meaning of terms and documents used in the court process. Answer questions concerning deadlines or due dates (without calculating due dates). Identify and refer self-represented litigants to court forms. 2

253 7/7/2017 Define What Constitutes Legal Information Clerks and court personnel may NOT: Recommend whether to file a certain pleading. Recommend wording or content for a pleading. Recommend specific people against whom to file pleadings. Recommend specific claims or arguments to assert at trial. Recommend what type of damages to seek or from whom to seek them. Recommend techniques for presenting evidence in pleadings or at trial. Recommend which objections to raise or which motions to file. Recommend whether a party should ask for a continuance. Recommend whether or not parties should try to settle their dispute prior to trial. Interpret applications of statutes. Perform legal research for a party by researching case law, statutes, opinions, etc. Predict the outcome of a case. What is Ex Parte Communication? Black s Law Dictionary defines ex parte as on one side only; by or for one party; done for one party only. Ex parte refers to situations in which only one party appears before a judge or communicates with a judge. With few exceptions, the court rules require that all documents filed with the court must be given to all other parties in the case so that the other parties have an opportunity to respond. Thus, it is improper to give information to the judge unless that information has been provided to the other parties in the case. Solutions to Avoid Ex Parte Communication If a party submits a written ex parte communication for a judge, ask the judge what the judge would like to do with the communication. o Send a copy to all the parties before the judge reviews it or o Send it back to the individual who submitted the document. If a party asks to talk to a judge, suggest that they write down what they want to say and file it with the court. This written communication should: o Include a proper heading, including the case number. o Be dated and signed, with the name printed under signature. o Include the party s address and telephone number over the heading. o Be copied to the opposing party or counsel following Texas Rules of Civil Procedure. The original should be submitted to the clerk and the party should keep a copy for their records. If the party has an emergency situation and there is no time to submit a written request, communicate with the judge if allowed by local rules. The party should be warned that the request may not be granted. 3

254 7/7/2017 Quality Service: Strategies for Answering Difficult Questions Listen Closely and Ask Questions Be Patient Explain Answers and Give Reasons Identify Procedural Explanations vs. Recommendations CASE #1 I WALK THE LINE! CAN PROVIDE Procedural Explanations CANNOT PROVIDE Procedural Recommendations QUESTION: Can you tell me how to file a appeal from my traffic conviction? QUESTION: Can you tell me whether it would be better to take defensive driving course or probation to keep a ticket off my driving record? RESPONSE: Yes. Not later than 10 days after the date the judgment was entered, you must file an appeal bond. The judge must approve the bond. Once the bond has been filed and your appeal perfected, we will forward your case file to the county court. The county court will then notify you of your court appearance date. The appeal bond form is on the court s website. RESPONSE: I cannot tell you which process would be best for your situation because I cannot give you legal advice. You may want to talk to an attorney about this issue to determine which process best fits your situation. You may also contact other legal resource organizations in your area, or you may conduct research at the local law library. General Information about Court Operations vs. Confidential or Restricted Information about Court Operations CASE #2 I WALK THE LINE! CAN PROVIDE General Information CANNOT PROVIDE Confidential or Restricted Information QUESTION: When will my case go to trial? RESPONSE: This time frame may depend on the type of case you have. Generally, after an appearance and a plea of not guilty a trial date and time will be scheduled for you. Your case will be scheduled depending on the individual court docket availability. QUESTION: Can you tell me when Judge Doe will be on vacation, so I don t have to appear in front of him again? RESPONSE: I can t give you personal information about the judge. 4

255 7/7/2017 Explaining Legal Terms vs. Providing Legal Interpretations CASE #3 I WALK THE LINE! CAN PROVIDE Legal Definition CANNOT PROVIDE Legal Interpretations QUESTION: What does certificate of service mean? RESPONSE: The rules require parties to file proof with the court that they complied with the requirement to serve other parties. This is called certificate of service. The rules require parties to give copies of any document filed with the court to all other parties in the case. The methods for service available to Texas litigants are outlined in the court rules and state statutes, in particular you may wish to look at Rule 21a of the Texas Rules of Civil Procedure. The rules are available on the court s website. QUESTION: My neighbors leave their kids at home all day without supervision. Isn t that child neglect? RESPONSE: I am not an attorney or a judge and cannot make that legal determination. I can, however, refer you to Child Protective Services who may be able to help you. If you are concerned that the children are in any kind of danger, contact law enforcement. Providing Forms and Approved Instructions vs. Filling Out Forms CASE #4 CAN PROVIDE Providing Forms and Approved Instructions I WALK THE LINE! CANNOT PROVIDE Filling Out Forms QUESTION: I need to file an appeal bond and I have no idea where to begin. Is there some place I can go to find out how to get started? RESPONSE: Sure. Our court s website has a form that you can use. You may also go to the local law library for information. QUESTION: The Motion for New Trial form I have asks me to state the legal grounds for my request for a new trial. What information should I put there? RESPONSE: I cannot help you decide what information to enter. If you have questions about what information is appropriate to enter on the forms, you can ask an attorney or visit a legal clinic. Information about legal clinics is available on the court s website. Public Case Information vs. Confidential Case Information CASE #5 I WALK THE LINE! CAN PROVIDE Public Case Information CANNOT PROVIDE Confidential Case Information QUESTION: My mother received a traffic ticket last year and I lost my paperwork regarding her probation case. Can you give me the case number, and can I get copies of the pertinent documents? RESPONSE: Yes. I need to know her name. I ll check our records and give you the case number. Then, you can view the case file. QUESTION: I think there is a mental health case for my uncle in your court. His name is John Smith. Can you tell me anything about his case? RESPONSE: Mental health cases are private and therefore I cannot provide you with any information. This type of information can only be disclosed by court order. The Office of Court Administration publishes manuals addressing requests for court case records: 5

256 7/7/2017 Options vs. Opinions CASE #6 I WALK THE LINE! CAN PROVIDE Options CANNOT PROVIDE Opinions QUESTION: What can I do if I cannot afford to pay for the appellant record for my appeal? QUESTION: I have a number of traffic convictions the last few years. I don t want my auto liability insurance premiums to go higher. What should I do to avoid this? RESPONSE: You can request the trial judge by motion and affidavit to have the appellate record furnished without charge. If granted, this allows you to get the trial record without a fee. The forms are available on the court s websit. RESPONSE: I can t advise you what you can do because I cannot give you legal advice. You may want to consult an attorney. You can contact a local lawyer referral service to find out if there are any free legal advice clinics that you could attend to get further information, or see Texas Law Help s Find Legal Assistance web page. Citing Statutes, Court Rules & Ordinances vs. Researching Statutes, Court Rules & Ordinances CASE #7 I WALK THE LINE! CAN PROVIDE Cites of Statutes, Court Rules & Ordinances CANNOT PROVIDE Research of Statutes, Court Rules & Ordinances QUESTION: Can I get a copy of a document from a case? Is it a public record? RESPONSE: Court records and documents are public record unless they have been sealed under Rule 76a of the Texas Rules of Civil Procedure, or they are confidential under some other law. The law requires that we charge a copying fee. If the document needs to be certified, there is an additional fee and per page copy fee. QUESTION: What laws animal cruelty cases? RESPONSE: I cannot perform legal research for you, but you can do that research yourself or contact an attorney to assist you. The statutes and rules are available online and at the law library. Contact the State Law Library for help getting started in your research. General Referrals vs. Subjective or Biased Referrals CASE #8 I WALK THE LINE! CAN PROVIDE General Referral CANNOT PROVIDE Subjective or Biased Referral QUESTION: I need take a defensive driving class. Where do I find one? RESPONSE: We do not have lists of defensive driving providers at the court. The provider must be approved by the Texas Department of Licensing and Regulation. You can search their web site or the internet for approved providers. QUESTION: Can you recommend a good defensive driving class? RESPONSE: I m sorry, but the court must remain impartial. I cannot recommend a specific defensive driving school. I suggest that you check the phone book or the internet for a driving safety course provider. Develop and have available a list of general resources and referrals. Good general referrals include the yellow pages and the Internet. 6

257 7/7/2017 Permissible vs. Impermissible Forms of Ex Parte Communication CASE #9 I WALK THE LINE! CAN PROVIDE Permissible Forms of Ex Parte Communication CANNOT PROVIDE Impermissible Forms of Ex Parte Communication QUESTION: Has the judge ruled on the motion to dismiss yet? RESPONSE: No, the judge has not ruled on the motion yet. It is still under advisement. QUESTION: I am a prosecutor in the domestic violence case today. Please tell the judge that I don t think we re going to have a trial today because the defendant has already admitted he hit the victim. RESPONSE: I cannot tell the judge information about potential evidence in the case because it would be an impermissible ex parte communication. I can relay to the judge that the prosecutor states the trial will not go forward, or I can ask the judge if he would be willing to speak to you. Provide Practical Informational Resources for Defendants Resources Court Personnel Tips YES, WE CAN We can explain and answer questions about how the court works. We can provide the number of the local lawyer referral service, legal services program, Texas State Bar lawyer referral service, and other services where legal information is available. We can give general information about court rules, procedures and practices. We can provide court schedules and information on how to get a case scheduled. We can give you information from your case file. We can give you samples of court forms that are available. We can usually answer questions about court deadlines. NO, WE CANNOT We cannot tell you whether or not you should bring your case to court. We cannot tell you what words to use in your court papers. However, we will check your papers for completeness. For example, we check for signatures, notarization, correct county name, correct case number and presence of attachments. We cannot recommend what to say in court. We cannot give an opinion about what will happen if you bring your case to court. We cannot talk to the judge for you or let you talk to the judge in private. We cannot change an order signed by a judge We cannot tell you what deadlines apply in your case. 7

258 7/7/2017 Resources Legal Information o o o o o o o o o o DEFINING LEGAL INFORMATION VS. LEGAL ADVICE INSTRUCTIONS ~ Legal Information vs. Legal Advice TEXAS LAW HELP ~ ALTERNATIVE DISPUTE RESOLUTION ~ LEGAL ASSISTANCE ORGANIZATIONS AND OTHER NON-PROFIT ORGANIZATIONS ~ & FINDING AN ATTORNEY ~ & STATE BAR OF TEXAS ~ & Low Income Texans (800) , ext probono@texasbar.com fax: TEXAS LAW LIBRARIES ~ TEXAS STATUTES & LEGISLATIVE PROCESS ~ (Statutes) & (Texas Legislature) TEXAS COURT SYSTEM ~ TEXAS FORMS ~ ( list of forms and topics ) Questions?!? FREDERICK P. GARCIA, JR. Clerk of the Court 401 S. Frio St. San Antonio, TX fred.garcia@sanantonio.com Telephone:

259 COURT COSTS Tammy Odom Court Administrator City of Texas City Where are costs located? Chapter 102, CCP Juror Reimbursement Fee, Truancy Prevention & Diversion Fund, Child Safety Fund and Moving Violation Fee Chapter 133, LGC Consolidated Court Fee, Indigence Defense Fund and Judicial Support Fee Individual statutes Transportation Code and Education Code All together in Chapter 102, GC Overall authority to collect court costs Art , CCP: officer may not impose a cost for a service not performed or for a service for which a cost is not expressly provided by law How are costs reported? to the State Comptroller on the quarterly reporting form on the last day of the month following a calendar quarte Jan-Mar (due April 30 th ) Apr-Jun (due July 31 st ) Jul-Sep (due October 31 st ) Oct-Dec (due January 31 st ) categorized according to the class of offense city can retain a % if reported timely or must state that no fees were collected Chapter 133, LGC 1

260 State court costs $$$ State court costs Cost Amount % Retained Applies to CF ( , LGC) JSF ( , LGC) IDF ( , LGC) JRF ( , CCP) STF ( , TC) $40 10% $6 10% $2 10% $4 10% $30 5% All but parking & pedestrian All but parking & pedestrian All but parking & pedestrian All but parking & pedestrian Only to Rules of the Road offenses Most Recent Changes 2

261 Most Recent Changes Fee Amount % Retained Applies to MVF ( , CCP) Sept 2009 $ % Moving Violations {37 T.A.C (b)} CSS ( , TC) Sept 2011 $0.15 0% REPEALED TPDF ( , CCP) Sept 2013 $ % or 0% All except parking and pedestrian violations When to assess? , Government Code Applies to new court costs and fees and changed costs/fees Effective date generally rolled forward to January 1st Exceptions: If bill explicitly provides section does not apply If bill takes effect before August 1 st or after January 1st Comptroller required to identify list of bills affected by August 1st Costs that stay with the city $ 3

262 Costs that stay with the city Cost Amount Applies to CS ( , CCP) CS ( , CCP) CS ( , CCP) TFC ( , TC) Jury fee ( , CCP) Jury fee (45.026, CCP) $25 Rules of the Road offenses committed in school crossing zone $25 Passing a school bus { , T.C.} $20 Failure to attend school & contributing to nonattendance { & , E.C.} $3 Rules of the Road offenses $3 Actual Convicted by jury or withdraw request for jury w/in 24 hours Failed to appear for jury trial Costs authorized by ordinance Cost Amount Applies to Building Security Fund ( , CCP) Technology Fund ( , CCP) Juvenile Case Manager Fund ( , CCP) Child Safety Fund ( , CCP) $3 All up to $4 up to $5 $2-5 (pop > 850,000) up to $5 (pop < 850,000) All All Parking ordinances & based on population Special Expense Fee (45.203, CCP) up to $25 Service of warrant for FTA / VPTA Fees for services of peace officers Fee Amount % Retained Arrest fee $5 Warrant fee $50 100% ( , CCP) or 80% ( , LGC) 100% ( , CCP) or 80% ( , LGC) Defendant or parent summons fee $35 100% Subpoena fee $5 100% Jury summons fee $5 100% Overtime for testifying off duty or mileage Actual 100% 4

263 Fees for contractual enforcement options Fee Amount Retention OmniBase Fee $30 Scofflaw Fee $20 $20 remitted to the State $ 6 remitted to OmniBase $ 4 retained by city $20 remitted to County Tax-Assessor Third Party Collection Fee 30% 30% fee remitted to Collection Agency Miscellaneous Fees Administrative fees DSC by right = up to $10 DSC by judge s discretion = up to amount of fine Teen court = 2 $10 fees (or 2 $20 if in TX-LA border) Compliance dismissals = up to $10/$20 (see chart) Defense: display valid DL = up to $10 (see chart) Driving record Special expense fees Deferred disposition = up to maximum amount of fine Restitution fee = $12 (42.037, CCP) Time payment fee = $25 ( , LGC) Costs are mandatory When must they be assessed? Upon CONVICTION: When judgment and sentence imposed When receives deferred disposition When disposition is deferred (i.e. DSC) When must they be paid? In entirety when pronounced In entirety at later date In specified intervals at specified dates 5

264 Waiver of costs Court costs are MANDATORY However, a judge may waive costs only when (1) teen court is granted; or (2) an indigent defendant defaults in payment of a fine or costs and community service would be an undue hardship When a defendant has insufficient resources or income, judge may require community service, credited at not less than $50 for every 8 hours of service If defendant served time in jail for committing the offense or for any warrants associated with the offense, judge shall credit defendant for time served Common mistakes: Allocating wrong amounts to court costs and fees Failing to properly implement legislative changes Failing to assess court costs and fees when they should have been assessed Improperly waiving courts costs and fees 6

265 Questions? TMCEC OCA State Comptroller x34276 My contact info Tammy Odom

266 7/12/2017 Conviction Reporting, Enforcement Actions Administrative Hearings and the Driver Responsibility Program Melissa Eager Program Supervisor III Amy Calhoun Program Supervisor III Tim Preece Program Administrator What will be covered: Understanding Enforcement Actions Reporting Convictions and Suspensions Reporting Corrections 2 A girl who was just learning to drive went down a one way street in the wrong direction, but didn t break the law. How is that possible? 3 1

267 7/12/2017 Understanding Enforcement Actions Mandatory vs. Administrative Enforcement Actions Mandatory suspensions are a direct result from convictions or court orders DWI No Insurance Drug DWLI Administrative suspensions are initiated by the Department as an indirect result of a conviction(s) Habitual Violator Provisional Violator NRVC Departmental DWLI 5 Enforcement Actions Suspensions set amount of time Exception: surcharges are indefinite Revocations, Cancellations and Denials indefinite until compliance is received Exception: denials can be set amount of time Disqualifications set amount of time commercial motor vehicle privileges only 6 2

268 7/12/2017 Reporting Convictions Reporting Timely Texas Statute: TRC Section requires convictions to be reported by the 7th day after the conviction date Federal Statute: Federal Motor Carrier Safety Regulations (FMCSR) requires convictions for CDL/CMV to be reported to CDLIS by the 10th day after the conviction date 8 Reporting Convictions As of March 1, 2013, all traffic convictions sent to the department for processing are required to be submitted via the SFTP website. All files must be in the 109 Byte record length format. All Files must be named using the DPS standard naming convention(pcourt_txdps_mmddyy_seq.txt) and include a Header and Trailer in order for the file to be processed. Files will be rejected if not in the correct format or text file. Please contact a Conviction Reporting Representative at (512) or you may us at data.submission@dps.texas.gov with any questions regarding this process 9 3

269 7/12/2017 Reporting Convictions Convictions requiring a suspension must be submitted on the following DPS approved forms: CR43/CR44 DIC 81 DL 115 (formerly DIC 15) DL 117 (formerly DIC 17) Please refer to Handout DPS Violation Codes 10 DL115 DL115 Convictions reported on this form: Alcoholic Beverage Code Zero Tolerance offenses Delinquent Conduct/Graffiti Truancy Fail to complete alcohol/tobacco awareness course Deferrals MUST be reported For enhancement to subsequent offenses 12 4

270 7/12/2017 Alcoholic Beverage Code Violations Alcoholic Beverage Code violations apply to persons under 21 years of age Reported on the DL 115 The automatic suspension begins on the 11 th day after conviction The suspension periods are: First offense: 30 day unless reported as deferred Second offense: 60 day suspension Third or subsequent offense: 180 day suspension Court can not defer a third or subsequent suspension Statute: Alcoholic Beverage Code, Sections: ; ; ; Failure to Complete Class Apply to individuals years of age for tobacco awareness and years of age for alcohol awareness Failure to complete a class for alcohol or tobacco awareness is a suspension not to exceed 180 days for the 1st offense and up to 365 for 2nd or subsequent offenses Court must provide a minimum of 90 days between the disposition/conviction date and beginning suspension date AA suspension request must include the underlying offense; i.e. Fail to complete AA class for MIP. Statute: Alcoholic Beverage Code Sec ; Health & Safety Code Sec , and ; 14 Suspensions for Juveniles Apply to Drivers years of age at the time of offense Delinquent conduct and graffiti carry a suspension not to exceed 1 year and begins on conviction date Suspension beginning and ending dates must be reported by the court Statute: Family Code Sections 54.04, ; Penal Code

271 7/12/2017 Truant Conduct Offenses for Truant Conduct apply to individuals Reported on the DL 115 Became effective 09/01/ days from the date of the order; or The last day of the school year Suspension Dates are required Statute: Family Code (c); DL115 Enter as much as possible for defendant information Zero Tolerance offense do not report until final disposition Complete all court information 17 Drug Suspensions Should be reported on DL 117 unless a Juvenile at the time of the offense Licensed Drivers receive an automatic 180 day suspension beginning on the conviction date ID card holders/unlicensed Drivers receive a 180 day denial upon application for a driver license Drug Education Program is required for every conviction and cannot be waived Drug deferrals should NOT be reported Dangerous Drug, Volatile Chemical and Controlled Substance Act Offenses for anyone under 21 years of age is a one year suspension beginning on the conviction date Drug Education Program MAY be required. Statute: TRC ; ; and Health & Safety Code Section ; 484;

272 7/12/2017 Drug Paraphernalia Do not report Drug Paraphernalia unless it requires a suspension. Report on DL 117 If the court reports a Drug Paraphernalia offense that indicates misdemeanor it will not be reflected on the record, it will be returned back to the court. If the court DOES NOT indicate that the offense is a misdemeanor then it will be applied to the record as a Drug Offense that requires a 180 day suspension/prohibition period, an SR 22 requirement and the completion of an Education Program. Statute: TRC ; HSC (c) 19 DL117 Enter as much as possible for defendant information and Complete all court information 20 Corrections 21 7

273 7/12/2017 Corrections If a conviction is reported in error, the court must submit a Department approved correction form to Conviction Reporting to have the record amended. DPS Correction forms should be submitted via: to convictionreporting@dps.texas.gov Fax to or Please allow 3 5 business days from receipt of the correction form for completion. Entry of convictions on a Driver record could potentially cause additional enforcement action(s), therefore, a correction requires extensive review of the record to ensure accuracy. Do not provide the correction forms to customers or attorneys. 22 Correction Form Complete all information that applies to correction. Must select reason for correction Only complete Correct Defendant Information & Correct Conviction Information if reported offense was for an incorrect individual 23 Non Resident Violator Compact 24 8

274 7/12/2017 Non Resident Violator Compact For Out of State Failure To Appear, Failure to Pay or Failure to Comply A reciprocal agreement among member states that initiates revocation action for a non resident driver with an unsatisfied traffic citation. The revocation remains in effect until the terms of that citation are met. Must be reported to home jurisdiction with in 6 months the of citation date. Only DLs and CDLs Traffic violations which alone do not carry a suspension or revocation 25 Complete as much information as possible Submit to DPS as soon as possible Visit ww.aamva.org to obtain format copy NRVC Form 26 License Eligibility Online A driver can obtain information 24/7 from the Texas.gov online service This online service provides the driver with Driving status List of enforcement actions Compliance Requirements Ability to pay fees Ability to request a hearing Visit and click Driver License Reinstatement and Status 27 9

275 7/12/2017 FY 2016 Mandatory Suspensions 125,435 Administrative 369,600 Suspensions 280,190 Disqualifications 19,331 Revocations 46,312 Crash cases 23,767 Electronic Submissions 2,994,815 Corrections 37, Driver Responsibility Program 29 Driver Responsibility Program (DRP) The program is governed by Chapter 708, TRC. Surcharges are assessed to driving records based on certain traffic citations. The program applies only to offenses that occurred on or after September 1,

276 7/12/ Types of Surcharges Points Based Assessed every year a driver record reflects 6 or more points of moving violations. Conviction Based Assessed each year for 3 years from the date of conviction. No points are applied for these offenses since the surcharge is automatic upon conviction. 31 Contact Information Conviction Reporting convictionreporting@dps.texas.gov Melissa Eager (Conviction Reporting) (512) melissa.eager@dps.texas.gov Amy Calhoun (Conviction Reporting) (512) amy.calhoun@dps.texas.gov Tim Preece (DRP) Timothy.preece@dps.texas.gov 32 Questions? 33 11

277 Texas Department of Public Safety Conviction Reporting Phone: (512) Fax: (512) Updated: 10/18/2012 Code Text Reference Form 3040 AGGRAVATED ASSAULT WITH MOTOR VEHICLE PC DIC AID AND ABET-OVER GROSS WT. 15% OR OVER AID AND ABET-OVER GROSS WT. UNDER 15% ALCOHOL BEVERAGE CODE OFFENSE (A)(2) DIC ALTER OR FORGE CERTIFICATE OF TITLE ALTER VEHICLE IDENTIFICATION NUMBER ALTER/CHANGE/MUTILATE TRANSFER PAPERS (B)(2) 3329 AMUSEMENT RIDE INTOXICATED-PROBATED PC DIC AMUSEMENT RIDE INTOXICATION PC DIC APPLY FOR REGISTRATION W/O MOTOR NUMBER ARTICLES INTERFERED WITH HANDLING BIKE ATTEMPT TO PURCHASE ALCOHOL-MINOR ABC ATTEMPT TO PURCHASE ALCOHOL-MINOR-DEFFERED ABC H(2) 3337 BAIL JUMPING - FAILURE TO APPEAR PC BIKE RIDER-FAIL TO USE DUE CARE-PASSING BIKE RIDER-HAZARDOUS TRAFFIC VIOLATION BOATING WHILE INTOXICATED PC DIC BOATING WHILE INTOXICATED-PROBATED PC DIC BRAKES NOT ON ALL WHEELS WHEN REQUIRED BUS FAILED TO STOP AT RAIL ROAD CROSSING BUS SHIFTING GEARS WHILE CROSS RAIL ROAD TRACKS BUYER ACCEPTS PAPERS WHOLLY/PART BLANK CARELESS DRIVING CARRY PASSENGER WITHOUT HELMET CHANGED LANE WHEN UNSAFE CHILD NOT SECURED BY SEAT BELT CLEARANCE LAMPS IMPROPERLY MOUNTED CLEARANCE LIGHTS NOT VISIBLE SUFFICIENT DISTANCE CLUNG TO VEHICLE COASTING COMPLETED TEEN COURT PROGRAM CCP CONSUME ALCOHOL WHILE DRIVING PC CONSUMPTION OF ALCOHOL - MINOR ABC CONSUMPTION OF ALCOHOL - MINOR-DEFERRED ABC H(2) 3245 CONTROLLED SUBSTANCE ACT OFFENSE (A)(5) DIC CORONER FAIL TO REPORT TO DPS CRIMINAL NEGLIGENT HOMICIDE PC DIC CROSS RR WITH HEAVY EQUIPMENT WITHOUT NOTICE CROSSING FIRE HOSE WITHOUT PERMISSION CROSSING PHYSICAL BARRIER CROSSING RR WITH HEAVY EQUIPMENT W/OUT STOP/SAFETY CUT ACROSS DRIVEWAY TO MAKE TURN CUT CORNER LEFT TURN CUT IN AFTER PASSING DANGEROUS DRUG ACT OFFENSE (A)(3) DIC-17/DIC DEALERS LICENSE VIOLATION DEFECTIVE BRAKES DEFECTIVE EXHAUST EMISSION SYSTEM DEFECTIVE HEAD LAMPS DEFECTIVE PARKING LAMPS DEFECTIVE SAFETY GLAZING MATERIAL

278 3170 DEFECTIVE STOP LAMPS DEFECTIVE TAIL LAMPS DEFECTIVE TURN SIGNAL LAMPS DEFECTIVE WINDSHIELD WIPER DEPOSITED GLASS/OTHER DEBRIS ON HIGHWAY DID NOT USE DESIGNATED LANE OR DIRECTION DISPLAY ALTERED DRIVER LICENSE DISPLAY DL/ID ISSUED TO ANOTHER DIC DISPLAY EXPIRED LICENSE PLATES DISPLAY FICTITIOUS DRIVER LICENSE DISPLAY FICTITIOUS LICENSE PLATE DISPLAY SUSPENDED DRIVER LICENSE DISPLAY TRAFIC SIGN/SIGNAL W/ADVERTISING DISPLAY UNCLEAN LICENSE PLATES DISREGARD POLICE OFFICER DISREGARD SOLE GREEN TURN SIGNAL ARROW DISREGARD WARNING SIGNS OR BARRICADES DISREGARDED RAIL ROAD CROSSING GATE OR FLAGMAN DISREGARDED FLASHING RED SIGNAL DISREGARDED FLASHING YELLOW SIGNAL DISREGARDED LANE CONTROL SIGNAL DISREGARDED NO LANE CHANGE SIGN DISREGARDED NO PASSING ZONE DISREGARDED PEDESTRIAN CONTROL SIGNAL DISREGARDED SIGNAL AT RAIL ROAD CROSSING DISREGARDED TRAFFIC CONTROL DEVICE DISREGARDED TURN MARKS AT INTERSECTION DISREGARDED WARNING SIGN AT CONSTRUCTION DRAWBAR OVER 15 FEET DRIVE INTO BLOCK WHERE FIRE ENG STOPPED DRIVER OPENED DOOR IN MOVING TRAFFIC DRIVING AROUND BARRICADES DRIVING SAFETY COURSE CCP DRIVING UNDER INFLUENCE DIC DRIVING UNDER INFLUENCE - MINOR ABC DRIVING UNDER INFLUENCE OF DRUGS DIC DRIVING UNDER INFLUENCE-MINOR-DEFERRED ABC H(2) 3335 DRIVING WHILE IMPAIRED DIC DRIVING WHILE INTOXICATED DIC DRIVING WHILE INTOXICATED - PROBATED ART 42.12(1) DIC DRIVING WHILE INTOXICATED >0.16 PROBATED DIC DRIVING WHILE INTOXICATED 0.16 OR GREATER DIC DRIVING WHILE INTOXICATED W/CHILD UNDER 15 YOA PROBATED DIC DRIVING WHILE INTOXICATED W/CHILD UNDER 15YOA PC DIC DRIVING WHILE INTOXICATED-UNDER (A)(1) DIC DRIVING WHILE LICENSE DISQUALIFIED-CMV DRIVING WHILE LICENSE INVALID DRIVING WHILE LICENSE INVALID- BOND FORFEITURE DROVE CENTER LANE-NOT PASS OR LEFT TURN DROVE ON SIDEWALK DROVE ON STREETCAR TRACKS WHERE PROHIBITED DROVE ON WRONG SIDE--DIVIDED HIGHWAY DROVE ON WRONG SIDE-RAIL ROAD CROSSING DROVE ONTO CONTROLLED ACCESS HWY WHERE PROHIBITED DROVE THROUGH SAFETY ZONE DROVE TO LEFT OF ROTARY TRAFFIC ISLAND DROVE WITHOUT LIGHTS WHEN REQUIRED DROVE WRONG WAY IN DESIGNATED LANE

279 3016 DROVE WRONG WAY ON ONE-WAY ROADWAY DRUG OFFENSE DIC-17/DIC DRUG OFFENSE-BOND FORFEITURE DIC DUTY STATUS NOT CURRENT Fed Reg DUTY STATUS NOT RETAINED-PREVIOUS 7 DAYS Fed Reg DWI BOND FORFEITURE DIC DWI EDUCATION PROGRAM EXTENDED DIC DWI EDUCATION PROGRAM REQUIRED CCP DIC DWI EDUCATION PROGRAM WAIVED CCP DIC EMPLOY UNLICENSED COMMERCIAL DRIVER ENDORSEMENT VIOLATION - CMV EVADE ARREST/DETENTION PC DIC EXPIRED COMMERCIAL DRIVER LICENSE EXPIRED DRIVER LICENSE FAIL COMPLY REQ STRIKING UNATTENDED VEH FAIL COMPLY STRIKING FIXTURES ON HIGHWAY FAIL DEL CERT OF TITLE AT TIME OF SALE FAIL PRESENT NEW MOTOR NUM REC/TAX COLL FAIL STOP PROPER PLACE-FLASH RED SIGNAL FAIL SURRENDER CERT OF TITLE-VEH JUNKED FAIL TO CONTROL SPEED FAIL TO DISPLAY DL FAIL TO DISPLAY LICENSE RECEIPTS-CMV (C) 3503 FAIL TO KEEP BIKE ON RIGHT SIDE OF ROAD FAIL TO MAINTAIN FIN. RESPONSIBILITY-2ND OFFENSE FAIL TO MAKE WRITTEN REPORT ACCIDENT TO DPS FAIL TO PAY TOLL FAIL TO REDUCE/SHIFT LOAD FAIL TO REMOVE INJURIOUS MATERIAL-HWY FAIL TO REPORT ACCIDENT SAFETY RESPONSIBILITY LAW FAIL TO REPORT CHANGE OF ADDRESS OR NAME FAIL TO REPORT INJURY ACCIDENT AT ONCE FAIL TO STOP AND RENDER AID DIC FAIL TO STOP FROM ALLEY DRIVEWAY OR BUILDING FAIL TO STOP PROPER PLACE-NOT INTERSECT FAIL TO STOP PROPER PLACE-TRAFFIC LIGHT FAIL TO STOP-DESIGNATED POINT-STOP SIGN FAIL TO STOP-DESIGNATED POINT-YIELD SIGN FAIL TO SURR LICENSE PLATES AND/OR DL FAILED TO CONCEAL SIGNS ON SCHOOL BUS EDC FAILED TO DIM HEADLIGHTS--MEETING FAILED TO DIM HEALIGHTS--FOLLOWING FAILED TO DRIVE IN SINGLE LANE FAILED TO GIVE ONE-HALF OF ROADWAY FAILED TO GIVE WAY WHEN OVERTAKEN FAILED TO KEEP TO RIGHT OF MOUNTAIN ROAD FAILED TO PASS MET VEHICLE TO RIGHT FAILED TO REPORT CHNG ADDR OR NAME - CDL FAILED TO SIGNAL DISTANCE BEFORE TURN FAILED TO SIGNAL --FOR STOP FAILED TO SIGNAL LANE CHANGE FAILED TO SIGNAL TURN FAILED TO SOUND HORN--MOUNTAIN ROAD FAILED TO STOP AT MARKED RAIL ROAD CROSSING FAILED TO STOP FOR APPROACHING TRAIN FAILED TO STOP FOR SCHOOL BUS DIC FAILED TO STOP FOR STREETCAR OR STOP WRONG LOCATION FAILED TO USE DUE CARE FOR PEDESTRIAN

280 3154 FAILED TO USE PROPER HEADLIGHT BEAM FAILED TO YEILD RIGHT OF WAY ON LEFT AT OBSTRUCTION FAILED TO YIELD AT STOP INTERSECTION FAILED TO YIELD AT YIELD INTERSECTION FAILED TO YIELD RIGHT OF WAY FAILED TO YIELD RIGHT OF WAY AT OPEN INTERSECTION FAILED TO YIELD RIGHT OF WAY TO PEDESTRIAN ON SIDEWALK FAILED TO YIELD RIGHT OF WAY--ON GREEN SIGNAL FAILED TO YIELD RIGHT OF WAY--TURN LEFT FAILED TO YIELD ROW LEAVING PRIVATE DR., ALLEY, ETC FAILED TO YIELD ROW TO EMERGENCY VEHICLE FAILED TO YIELD ROW TO PEDESTRIAN AT SIGNAL INTERSECT FAILED TO YIELD TURN RIGHT ON RED SIGNAL FAILED TO YIELD WHEN CHANGING LANES FAILURE TO IDENTIFY PC FALSE AFFIDAVIT--FELONY FALSE LOG - MAKING FALSE REPORT Fed Reg FALSE STATEMENT DL/ID APPLICATION DIC FALSE STATEMENT ON CDL APPL OR CERT FALSE STATEMENT ON DRIVER LICENSE APPLICATION FALSE SWEARING DL APPLICATION FARM LICENSE VIOLATION FELONY-USE OF CMV FELONY-USE OF CMV-CONTROLLED SUBSTANCE DIC FICTITIOUS DRIVER LICENSE IN POSSESSION FICTITIOUS LICENSE PLATE/REGISTRATION/SAFETY INSPECTION DIC FLASH LIGHT/SIGN WITHIN 1000 FT INTERSEC FLEEING FROM POLICE OFFICER FLYING WHILE INTOXICATED PC DIC FLYING WHILE INTOXICATED-PROBATED PC DIC FOLLOWING FIRE APPARATUS FOLLOWING TOO CLOSELY FRAUDULENT GOVERNMENT RECORD DIC FYROW FOR BLIND OR INCAPACITATED PERSON FYROW TO PEDESTRIAN IN CROSSWALK--NO SIGNAL GRAFFITI OFFENSE PC DIC-17/DIC HAZARD MATERIAL PLACARD VIOLATION HEADLAMPS GLARING-NOT ADJUSTED HEAVY EQUIPMENT DISREGARDED SIGNAL OF TRAIN HORN VIOLATION ID LAMPS NOT VISIBLE SUFFICIENT DISTANCE ILLEGAL BACKING ILLEGAL CLEATS ILLEGAL LOAD EXTENSION ILLEGAL PASS ON RIGHT ILLEGAL USE OF METAL TIRES ILLEGALLY PASSED STREETCAR IMPEDING TRAFFIC IMPROPER FLASHING LIGHTS IMPROPER LOADING IMPROPER LOG (FORM OF LOG) Fed Reg IMPROPER LOOKOUT IMPROPER PASSING IMPROPER SIGNS ON SCHOOL BUS EDC IMPROPER TIME BASE - 24 HOUR PERIOD Fed Reg IMPROPER TURN IMPROPER TURN OR STOP SIGNAL IMPROPER USE OF AUXILIARY DRIVING LAMPS

281 3150 IMPROPER USE OF AUXILIARY PASSING LAMPS IMPROPER USE OF BACK-UP LAMP IMPROPER USE OF FOG LAMPS IMPROPER USE OF SPOT LAMPS IMPROPERLY DIRECTED LAMPS IMPROPERLY SECURED TAILGATE INADEQUATE BED-SIDEBOARD FRONT/REAR INADEQUATE BRAKE RESERVOIR INADEQUATE OR DEFECTIVE BED INADEQUATE RESERVOIR SAFEGUARD INCREASED SPEED WHILE BEING OVERTAKEN INSUFFICIENT CLEARANCE RR XING 3314 INTERFERE WITH FUNERAL PROCESSION PC INTERFERE WITH STREETCAR INTOXICATION ASSAULT DIC INTOXICATION ASSAULT MOTOR VEHICLE DIC INTOXICATION MANSLAUGHTER DIC INTOXICATION MANSLAUGHTER MOTOR VEHICLE DIC INVOLUNTARY MANSLAUGHTER PC DIC JAYWALKING-CROSS INTERSECTION DIAGONALLY JUDGE/CLERK FAIL TO REPORT CONVICTIONS LACK OF CAUTION ON GREEN ARROW SIGNAL LEAVE REFUSE ON HIGHWAY LEAVING SCENE OF ACCIDENT LEND/PERMIT USE DRIVER LICENSE/IDENTIFICATION CARD DIC LOG NOT SENT/MORE THAN ONE CARRIER Fed Reg LOOSE MATERIAL NOT REMOVED-LOADED VEH LOOSE MATERIAL NOT REMOVE-UNLOADED VEH MADE U-TURN ON CURVE--OR HILL MINOR IN POSSESSION ABC MINOR IN POSSESSION - DEFFERED ABC H(2) 3230 MIRROR VIOLATION MISREPRESENTATION OF AGE - MINOR ABC MISREPRESENTATION OF AGE-MINOR-DEFERRED ABC H(2) 3592 MODIFIED OR WEIGHTED MOTOR VEHICLE MORE THAN 4 DRIVING LAMPS LIGHTED MORE THAN ONE DL IN POSSESSION - CMV MORE THAN ONE VALID DL IN POSSESSION MOTOR VEHICLE FUEL THEFT PC DIC MOTORCYCLE SAFETY COURSE CCP MUFFLER VIOLATION MURDER WITH MOTOR VEHICLE PC MVI INSPECTION VIOLATION NEGLIGENT COLLISION NO AUTO BRAKE APPL ON BREAKAWAY TRAILERS NO BEAM INDICATOR NO CLEARANCE LAMPS NO COMMERCIAL DRIVER LICENSE NO DRIVER LICENSE NO FIRE EXTINGUISHER NO FLAGS ON PROJECTING LOAD DAYTIME NO FRONT AND REAR SIGNS ON SCHOOL BUS EDC NO FRONT SEAT BELTS WHEN REQUIRED NO HEAD LAMPS - WHEN NOT EQUIPPED NO IN-TRANSIT LICENSE NO LAMPS OR REFLECTORS ON LOAD AT NIGHT NO LICENSE PLATE LIGHT NO LIGHT ON ANIMAL-DRAWN VEHICLE

282 3049 NO MOTOR VEHICLE LIABILITY INSURANCE NO MOTOR VEHICLE LIABILITY INSURANCE - SR 22 NOT REQUIRED 3112 NO MOTORCYCLE LICENSE NO MUDFLAPS OR IMPROPER MUDFLAPS NO MULTIPLE-BEAM ROADLIGHTING EQUIPMENT NO PARKING LAMPS NO RECORD OF DUTY STATUS Fed Reg NO REFLECTORS WHEN REQUIRED NO SEAT BELT - DRIVER NO SEAT BELT - PASSENGER NO SINGLE CONTROL TO OPERATE ALL BRAKES NO STOP LAMPS NO TAIL LAMPS NO TEXAS CDL - DOMICILED OVER 30 DAYS NO TURN SIGNAL LAMPS--WHEN REQUIRED NO TWO MEANS EMERGENCY BRAKE OPERATION NO VEHICLE HAZMAT WARNING LIGHT ON FARM EQUIPMENT NO WARNING SIGNAL FOR BRAKES NO WHITE FLAG ON TOW CHAIN OR CABLE NO WINDSHIELD WIPER NO/DEFECTIVE BRAKE ON BIKE OR MOTOR-BIKE NO/DEFECTIVE LIGHT-FRONT BIKE/MOTOR-BIKE NO-DEFECTIVE LAMP OR REFLECTORS-FARM EQUIPMENT NONE OR DEFECTIVE PARKING BRAKES NON-MOTORIZED VEH ON PROHIBITED ROADWAY OBSCURE/INTERFERE TRAFFIC CONTROL DEVICE OBSTRUCTED VIEW THROUGH WINDSHIELD OBSTRUCTING TRAFFIC OBTAIN UNAUTHORIZED LICENSE PLATE OPEN CONTAINER IN MOTOR VEHICLE- DRIVER 3323 OPEN CONTAINER IN MOTOR VEHICLE-PASSENGER PC OPEN DOOR IN LANE OF TRAFFIC/NON-DRIVER OPERATE WITH LICENSE FOR OTHER CLASS VEHICLE OPERATE MOTOR VEH WITH FICTITIOUS PLATE OPERATE MOTOR VEHICLE WITHOUT PLATES OPERATE MOTORCYCLE W/O APPROVED HEADGEAR OPERATE UNREGISTERED MOTOR VEHICLE OPERATE VEH MORE THAN ONE PASS-MINOR OPERATE VEHICLE WITH CHILD IN OPEN BED OPERATING VEHICLE WHERE PROHIBITED ORIG. LOG NOT SENT TO CARRIER IN 13 DAYS Fed Reg OVER 20,000 LBS SINGLE AXLE-PERMIT VIOLATION OVER 20,000 SINGLE AXLE OVER 34,000 LBS TANDEM AXLE-PERMIT VIOLATION OVER 34,000 LBS. TANDEM AXLE OVER 44,000LBS. TANDEM - CEMENT OVER 44,000LBS. TANDEM - SOLID WASTE OVER 64,000 LBS GROSS WEIGHT- SOLID WASTE OVER 64,000LBS GROSS WEIGHT- CEMENT OVER ALLOWABLE GROSS WEIGHT-PERMIT VIOL OVER AXLE LOAD (ZONED) OVER GROSS (ZONED) OVER GROSS WEIGHT OVER PERMISSIBLE WHEEL WEIGHT OVER TANDEM LOAD (ZONED) OVER TIRE SIZE LIMITATION OVER WEIGHT GROUP OF AXLES OVER WHEEL LOAD (ZONED)

283 3593 OVERCROWDED SCHOOL BUS OVERHEIGHT OVERLENGTH VEHICLE OVERWEIGHT GROUP OF AXLES (B-BRIDGE LAW) OVERWEIGHT GRP OF AXLES-PERMIT VIOLATION OVERWIDTH OVRWGHT GRP OF AXLES BRIDGE LW PERMIT BP OWNER PERMIT NON-HAZARD VIOLATION OWNER/GUARDIAN PERMIT HAZARD VIOLATION PARK /STAND W/IN 30 FT TRAFFIC CONTROL DEVICE PARK ALONG/OPPOSITE STREET EXCAVATION PARK WITHOUT LOCKING IGNITION/REMOVE KEY PARK/STAN W/IN 20 FT FIRE STATION DRIVEWAY PARK/STAND IN FRONT OF PUBLIC/PRIVATE DRIVE PARK/STAND W/IN 20 FT CROSSWALK AT INTERSECTION PARK/STAND WITHIN 15 FT OF FIRE HYDRANT PARK/STAND/STOP BETWEEN SAFETY ZONE-CURB PARK/STOP/STAND ON A RAILROAD PARK/STOP/STAND ON A SIDEWALK PARK/STOP/STAND PROHIBITED AREA-HWY SIGN PARKED ALL NIGHT WHERE PROHIBITED PARKED AND FAILED TO SET BRAKES PARKED AT ANGLE-NOT PERMITTED PARKED DOUBLE PARKED FACING TRAFFIC PARKED FAIL TO STOP ENGINE PARKED IN BLOCK WHERE FIRE ENGINE STOPPED PARKED IN PROHIBITED MILITARY ZONE PARKED ON CROSSWALK PARKED ON GRADE--FAILED TO TURN WHEELS PARKED OVERTIME PARKED UPON A BRIDGE OR IN TUNNEL PARKED WITH HEAD LAMPS NOT DIMMED PARKED WITHIN 50 FT OF RAILROAD CROSSING PARKED WITHIN AN INTERSECTION PARKED WITHOUT LIGHTS PARKING IN PROHIBITED AREA PARKING METER VIOLATION PARKING ON ROADWAY PARKING UNLAWFULLY-UNAUTHORIZED PARK-WHEEL OVER 18 IN FROM CURB/ROAD EDGE PASSED VEHICLE STOPPED FOR PEDESTRIAN PASSED--INSUFFICIENT CLEARANCE PASSENGER INTERFER W/DRIVER VIEW/CONTROL PASSENGERS/LOAD OBSTRUCT DRIVER'S VIEW OR CONTROL PASSING AUTHORIZED EMERGENCY VEHICLE PED CROSS BETWEEN INTERSEC WHERE PROHIB PED FAIL YIELD ROW WHEN NOT IN CROSSWALK PED FAIL YIELD ROW-TUNNEL/CROSS PROVIDE PED ON/ADJACENT TO HWY-PUB INTOXICATION PC PEDESTRIAN DISOBEYED POLICE OFFICER PEDESTRIAN DISREGARDED RED SIGNAL-REGULAR LIGHT PEDESTRIAN DISREGARDED YELLOW SIGNAL-REGULAR LIGHT PEDESTRIAN ENTERING PATH OF VEHICLE PEDESTRIAN ON PROHIBITED ROADWAY PEDESTRIAN-USE LEFT HALF OF CROSSWALK PERMIT LIVESTOCK TO ROAM AGC PERMIT UNLAWFUL USE OF DRIVER LICENSE

284 3365 PERMIT UNLIC OPER TO DRIVE/NON-GUARDIAN PERMIT UNLICENSE MINOR TO DRIVE-GUARDIAN PLACE/MAINTAIN UNAUTHORIZED SIGN/DEVICE POSSESS DECEPTIVE DL/ID DIC POSSESS MORE THAN 1 VALID DL/ID (TX) DIC POSSESS/SELL VEH W/VIN REMOVED/ALTERED PRESENT DRIVER LICENSE ISSUED TO ANOTHER PERSON PROHIBITED MOTOR VEHICLE ON CONTROL ACCESS HIGHWAY PUBLIC INTOXICATION - MINOR PC PUBLIC INTOXICATION - MINOR - DEFERRED ABC H(2) 3282 PULL MORE THAN ONE TRAILER OR VEHICLE PURCHASE OF ALCOHOL - MINOR ABC PURCHASE OF ALCOHOL - MINOR - DEFERRED ABC H(2) 3807 PURCHASE/FURNISH ALCOHOL TO MINOR 3004 RACING DIC RAN RED LIGHT RAN STOP SIGN RECKLESS DRIVING RED LIGHT ON FRONT REFLECTORS IMPROPERLY MOUNTED REFLECTORS NOT VISIBLE SUFFICIENT DISTANCE REFUSE TO SURRENDER DL/ID REFUSE TO SURRENDER DRIVER LICENSE-SUSPENDED REMOVED ORIG EQUIP EXHAUST EMISSION SYST RENT MOTOR VEHICLE TO UNLICENSED PERSON REPEAT OFFENDER EDUCATION PROGRAM REQUIRED CCP DIC REPEAT OFFENDER EDUCATION PROGRAM WAIVED CCP DIC REQUIRED INFORMATION NOT SHOWN ON LOG Fed Reg RESTRICTION VIOLATION - CMV RIDE IN SEMI TRAILER 3368 RIDING IN HOUSE TRAILER RODE IMPROPERLY ON BICYCLE RODE IMPROPERLY ON BICYCLE-TOO MANY RODE MORE THAN TWO BICYCLES ABREAST SAFETY SEAT COURSE 3673 SELL IMITATION LICENSE PLATE 3674 SELL UNREGISTERED SECONDHAND VEHICLE SELL/DISTRIBUTE DECEPTIVE DL/ID DIC SHOP FAIL KEEP REPAR REC-VEH BOUGHT/SOLD 3191 SIDE MARKER LAMPS NOT VISIBLE SUFFICIENT DISTANCE SLOWER VEHICLE FAILED TO KEEP TO RIGHT SPEED UNDER MINIMUM SPEEDING SPEEDING - FUEL CONSERVATION ROADWAY SPEEDING 15 MILES OR MORE OVER POSTED LIMIT SPEEDING EQUAL TO OR GREATER THAN 10% ABOVE POSTED LIMIT SPEEDING -SCHOOL ZONE STANDING IN PROHIBITED AREA STOOD ON/NEAR ST/HWY-SOLICIT GUARD VEH STOOD RDWY TO SOLICIT RIDE/CONTR/EMPLOY STOPPING IN PROHIBITED AREA TAIL LAMP IMPROPERLY LOCATED TAMPERING WITH BARRICADE TAX COLLECTOR REGISTER VEH W/O NUMBER TELEVISION IMPROPER LOCATED IN VEHICLE TOO MANY AUXILIARY DRIVING LAMPS TOO MANY AUXILIARY PASSING LAMPS TOO MANY FOG LAMPS

285 3119 TOO MANY RIDERS ON MOTORCYCLE TOO MANY SPOT LAMPS TRACTOR BRAKES NOT PRO CASE BREAKAWAY TRAIN OBSTRUCTING CROSSING TRANSFER VEHICLE-PAPERS BLANK/PART BLANK TRANSPORT LOOSE MATERIALS TURNED ACROSS DIVIDING SECTION TURNED LEFT FROM WRONG LANE TURNED RIGHT FROM WRONG LANE TURNED RIGHT TOO WIDE TURNED WHEN UNSAFE UNAUTHORIZED GLASS COATING MATERIAL UNAUTHORIZED MOTOR NUMBER ON MOTOR VEH UNAUTHORIZED SIREN OR BELL OR WHISTLE UNAUTHORIZED TRAFFIC DEVICE-LOCAL AUTH UNAUTHORIZED USE OF SIREN, BELL, WHISTLE UNLAWFUL DISPLAY/POSSESSION DL/ID DIC UNRESTRAINED CHILD-SAFETY SEAT VIOLATION (a) 3239 UNSAFE AIR CONDITION EQUIPMENT UNSAFE SPEED UNSAFE START FROM PARKED, STOPPED, STANDING USE EQUIPMENT NOT APPROVED USE OF ILLEGALLY OBTAINED DL/ID USE SCHOOL BUS SIGNAL-WRONG PURPOSE USE WIRELESS DEVICE WHILE DRIVING BUS 3307 USE WIRELESS DEVICE WHILE DRIVING MINOR 3236 VEHICLE EMBLEM VIOLATION VEHICLE HAUL EXPLOSIVE FAIL REDUCE SPEED RR CROSSING VEHICLE HAUL EXPLOSIVE FAIL STOP AT RR CROSSING VEHICLE W/OUT REQUIRED EQUIP OR IN UNSAFE CONDITION VIOLATE DL RESTRICTION ON OCC LICENSE VIOLATE DRIVER LICENSE RESTRICTION VIOLATE OPERATING HOURS-MINOR VIOLATE OUT OF SERVICE ORDER HAZMAT AND/OR PASS 3333 VIOLATE PROMISE TO APPEAR VIOLATED OUT OF SERVICE ORDER DIC-17/DIC VOLATILE CHEMICAL ACT OFFENSE (A)(4) DIC-17/DIC WALK ON ROADWAY WHERE SIDEWALK PROVIDED WALKED ON HWY WITH TRAFFIC-NO SIDEWALK WARNING DEVICES NOT DISPLAYED WARNING DEVICES NOT INSTALLED OR DEFECT WEIGHT VIOLATION - 2ND OFFENSE WEIGHT VIOLATION - 3RD OFFENSE WRECKER DRIVER FAIL TO REMOVE GLASS-HWY WRONG COLOR BACKUP LIGHT WRONG COLOR CLEARANCE LIGHTS WRONG COLOR ID LAMP WRONG COLOR LICENSE PLATE LIGHT WRONG COLOR REFLECTORS WRONG COLOR SIDE MARKER WRONG COLOR SIGNAL DEVICE WRONG COLOR STOPLIGHT WRONG SIDE OF ROAD WRONG SIDE ROAD-NOT PASSING All violations identified in bold and requiring a suspension must be submitted using the appropriate DI form. For more information regarding the necessary submission form, please contact Conviction Reporting (512)

286 NOTICE OF CONVICTION AND SUSPENSION/DISQUALIFICATION (PRINT OR TYPE) NAME (LAST) (FIRST) (MIDDLE) (SSN) DRIVER LICENSE NO., ID NO OR NONE BIRTHDATE RACE SEX (indicate State if other than Texas) ADDRESS CITY, TEXAS (Zip Code) OFFENSE COMMITTED (Type and/or description of offense) DATE OFFENSE COMMITTED DISPOSITION/CONVICTION DATE OFFENSE COMMITTED IN TRANSPORTING HAZARDOUS COMMERCIAL VEHICLE YES NO UNKNOWN MATERIAL YES NO UNKNOWN EMPLOYER (IF CONVICTED OF VIOLATING OUT OF SERVICE ORDER) NOTE: COURT MUST PROVIDE SUSPENSION OR DISQUALIFICATION DATES BEGINNING DATE ENDING DATE CERTIFIED BY SIGNATURE TITLE COURT COUNTY CAUSE/DOCKET # MAIL TO: TEXAS DEPARTMENT OF PUBLIC SAFETY DRIVER IMPROVEMENT & COMPLIANCE PO BOX 4087 AUSTIN TX DIC-15 (03/08)

287 Texas Department of Public Safety Conviction Reporting Phone: (512) Fax: (512) Automated Report Sample 109 Byte All files must be in the 109 Byte record length format and must include a Header and Trailer in order for the file to be processed; failure to do so will result in the file being rejected. The report must emulate the sample shown below; if the report appears different from below please consult with your software provider to correct the report. This report is in a plain text (.TXT) document format. Any Text Editor can be used to view and edit the text document. Conviction Report Sample H MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY T TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX 109 Total Bytes Report must be in ASCII Format. Rev 08/12

288 Texas Department of Public Safety Conviction Reporting Phone: (512) Fax: (512) Automated Report Sample 109 Byte Conviction Report Field Identification H MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY 12345MOUSE,MICKEY TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX TX NNN CIY0000YYXXXX T Total Bytes Report must be in ASCII Format. Rev 08/12

289 Texas Department of Public Safety Conviction Reporting Phone: (512) Fax: (512) Automated Report Sample 109 Byte Field Definitions & Format POSITION LENGTH FIELD CORRECT FORMAT DESCRIPTION OF THE FIELD FIELD: REQUIRED/OPTIONAL Line 1 Header H Location Code Date that the file is generated. The field is 9 characters long ( H + MMDDYYYY) and must follow the format. Use the 5 digit code assigned by DPS to identify your court. Required Required 6 28 Name JONES,JOHN CHARLES JR VANPELT,ARTHUR SAM SMITH,KATHY OHARE,CHRIS MATTHEW LAST,FIRST MIDDLE SUFFIX Only two special characters are allowed in this field: A hyphen (-) and a comma (,). There are no space(s) in the last name. There are no space(s) before or after the comma. Required 34 8 Driver License # If the defendant has only an Identification card, submit ID# in place of DL#. If no number is available leave blank. Optional 42 2 State TX Use the two character abbreviation for the state/country in which the defendant is licensed/resides. Required 44 8 Date of Birth The defendant s date of birth MMDDYYYY Required 52 4 Violation Code 3586 Use the 4 digit DPS code assigned to the arrest title. Required 56 8 Offense Date Enter in MMDDYYYY format. offense was committed. This is the date the Required

290 64 8 Conviction Date Enter in MMDDYYYY format. This is the day the case was disposed of. If a DSC was taken, enter the date the course was completed. Required 72 3 Court 100 = Municipal 211 = JP Court Pct 1 Place = Countywide JP All municipal courts are designated as 100. For JP courts, the first digit is 2 and the next two digits are the precinct and place. If a court does not have a place use 1. Countywide JP courts are designated as 200. Required Docket Number This is the reference number for the violation and case in your court. Required 85 1 CMV? Y or N 86 1 HAZ MAT? Y or N 87 1 CDL? Y or N 88 9 Social Security Number 97 2 Issuing Officer Was the defendant operating a commercial motor vehicle (CMV) when the offense occurred? If the vehicle was a CMV, was the vehicle transporting hazardous materiasl? Was the defendant holding a commercial driver license (CDL) at the time of the offense? Required Required Required If unavailable leave blank. Optional CI = City CO = County ST = Trooper (TXDPS) OT = Other Agency Designate what agency issued the ticket. Required 99 1 Plea Y/N Did the defendant plea guilty? Optional Fine Fine Amount Enter fine amount. Optional Search of vehicle Y/N Was the defendant s vehicle searched when the offense occurred? Optional Consent for search Y/N Did the defendant give consent for search of vehicle during the time of the offense? Optional Filler XXXX Must always be filled with XXXX. Required Amount of convictions that are in the report. The field is Final Line Trailer T characters long (T+10 digits) and must follow the Required format. 109 TOTAL BYTES 109 Total Bytes Report must be in ASCII Format. Rev 08/12

291 Automated Report Sample 109 Byte Byte Size Layout Header CL9 H M M D D Y Y Y Y Location Code Name CL5 CL Driver License Number State Date of Birth (MMDDYYYY) Violation Code Offense Date (MMDDYYYY) CL8 CL2 CL8 CL4 CL Conviction Date (MMDDYYYY) Court Reference or Docket Number CMV? HAZ- MAT? CDL? CL8 CL3 CL10 CL1 CL1 CL Social Security Issuing Search Consent Officer Plea Fine Of For Filler Vehicle Search CL9 CL2 CL1 CL4 CL1 CL1 CL Trailer CL11 T LRECL=109 DRAWN BY: AUTOMATED CONVICTION REPORTING DATE: 08/2012 PAGE 1 OF 1

292 Texas Department of Public Safety Conviction Reporting Phone: (512) Fax: (512) Conviction Report File Naming Sequence All files must be named using the DPS standard naming convention below; the court name must be used in the filename. Failure to do so will result in the file being rejected. If your filename is automatically generated, the file can be renamed manually by the court personnel. The software provider can also be contacted for assistance in the naming of your conviction reports. Filename Sequence & Examples: Sequence PCOURT_TXDPS_MMDDYYYY_SEQ.TXT P=Production COURT=Court from where the file originates TXDPS=Agency to where the file is being sent MMDDYYYY=Date of the file SEQ=The file s sequence number (The sequence number should always be 01 unless the court is submitting multiple files for the same date, and then it should increase sequentially for each file submitted on that date) Examples: Municipal Court: Justice of the Peace: County Wide: Criminal: PAUSTINMUN_TXDPS_ _01.TXT PTRAVISJP1-1_TXDPS_ _01.TXT PDALLAMJP_TXDPS_ _01.TXT PDALLASCRIM_TXDPS_ _01.TXT ***All production files must begin with the letter P.*** Rev 08/12

293 Texas Department of Public Safety Conviction Reporting Phone: (512) Fax: (512) File Error Reason for Rejection Reason for Rejection File Type Filename Header and/or Trailer Location and/or Court Code Record Length Condition All files must be 109 Byte record length plain text file (.TXT) All files must be named using the DPS standard naming convention. See Conviction Report File Naming Sequence *** All files must contain a valid Header and Trailer. See Automated Report Sample 109 Byte Field Definitions & Format All conviction lines must contain the court designated Location and Court code. See Automated Report Sample 109 Byte Field Definitions & Format All conviction lines must be a record length of 109 bytes. See Automated Report Sample 109 Byte Ticket Error Reason for Rejection Reason for Rejection Invalid Offense Code Invalid Date Condition Offense Code is not one of the codes listed in the DPS Violation Codes list. Offense Date > Current Date Conviction Date > Current Date Date of Birth > Current Date Offense Date, Date of Birth, and Conviction Date are in an invalid format other than MMDDYYYY MM 01 12, numeric DD 01 31, numeric Offense Date > Conviction Date Rev 08/12

294 Texas Municipal Courts Education Center (TMCEC) Provides Judicial education Founded in 1983 Funded thru a grant from the Court of Criminal Appeals Offers over 30 seminars per year Education year is September to August Texas Municipal Courts Association(TMCA) Organization for judges, clerks, marshals, & prosecutors since 1974 Membership fee of $60.00 per year Membership year is September to August Hold one conference per year 10 Regions 1

295 Texas Court Clerks Association(TCCA) Organization for clerks only since 1972 Membership fee of $40.00 per year Membership year is January to December Hold one conference per year 8 Local Chapters Why join? Cost Enjoy reduced rates to attend conference and to test Scholarship funds available Training Opportunities Annual Conference in October Chapter meetings, education & testing Why join? Communications The Scribe bi-annual newsletter Website Facebook s Networking/Mentoring Contact info for over members from across the State 2

296 Why join? Other Opportunities Serve as a Board/Committee member Train the Trainer program which allows members to share their knowledge and experience with other clerks Facilitator Share your knowledge and skills by teaching a class or a prep session 3

297 7/10/2017 Your Relationship with Community Service Presented by: Tracie Glaeser, CMCC, CCM TMCEC Program Coordinator Objective O Look at CCP O Why will Community Service change? O How will Community Service change? O Provide some new CS tools O What is a qualified agency? O Difficult placements What to do? Community Service Comes in FOUR Flavors O A means for defendant to discharge fine and costs (Community Service is as good as $$$) O A mandatory remedial measure (status offenses involving juveniles: MIP, DUI, MIC, Tobacco, etc.) O A reasonable condition of deferred disposition (Art (b)(10) CCP) O A means for defendant under age 17 to discharge fines and costs ( ) 1

298 7/10/2017 Past..Present..Future O Past O no reporting to OCA O no guidance specific to municipal court O Present O Sensational media stories-debtors prisons O Requirements for judges to order O Future O WILL become important issues in 5 years O Statue has been expanded effective Sept Question 1 O Defendant has been on a payment plan and defaulted on her last 2 payments. The judge may require community service and enter an order mandating a specific number of hours due by a certain date in lieu of payment. O Is this True or False? Question 2 O Defendant has $100 in her pocket. She wants to put all $100 dollars down on a balance of $500. Judge can accept the $100 and order community service for the remaining $400. O Is this True or False? 2

299 7/10/2017 Question 3 O Defendant has $100 in her pocket. She wants to put all of the $100 down on a balance of $500. The Judge can order the $132 in court costs to be paid and $368 fine to be satisfied by community service. O Is this True or False? Question 4 O Defendant has been on a payment plan and defaulted on her last 2 payments. She has $100 in her pocket & wants to put all of that down on a balance of $500. The Judge must order community service because she missed 2 payments and does not have enough to pay the fine and costs. O Is this True or False? When Art (a) CCP O May require Community Service for a previously assessed fine or costs when defendant O Fails to pay O Insufficient resources to pay O All or Part of fine and or costs 3

300 7/10/2017 Question 5 O Defendant has changed his mind and comes back 2 hours later with $500 to pay in full. The clerk can take the $500 and clear the case by payment in full. O Is this True or False? Exception for Payment Art (a) CCP ODefendant may pay fine & costs remaining at any time to discharge the Community Service obligation Question 6 O Defendant is in court for $500 fine & costs which he alleges he can t pay. The judge may verbally state in open court the defendant must clean the park down the street within the month to discharge the balance due. O Is this True or False? 4

301 7/10/2017 How Ordered Art (b) CCP OA written order is required O In the Judge s order OA Judge MUST Specify the number of hours the defendant is required to work Question 7 O Defendant is in court for $500 fine & costs and brings in a letter from his full time supervisor at a local grocery store, who states he worked on a Christmas food drive for 30 hours as a volunteer for their organization. The judge may accept this as Community Service. O Is this True or False? With Whom? Art (c) CCP OOnly for (a) governmental entity or (b) non profit organization Oprovides service to general public Oenhances social welfare Owell being of community 5

302 7/10/2017 Beginning SB1913 / HB 351 O Defendant Participates O Expanded to include 7 new options: O Job Skills Training O Prep for High School Equivalency Exam O Alcohol/Drug Abuse Program O Counseling/Self Improvement Program O Mentoring or O Similar Activity Find Non Profits! This link will help you find non profits in your area Test it out! Responsibility of Agency Art (c) CCP OMust accept defendant OAgree to supervise the performance of work OAgree to report on the work to court of jurisdiction 6

303 7/10/2017 Monitor & Verify Question 8 O Defendant is in court for $500 fine & costs. She asks to work all of her CS hours in the next 2 weeks because she has a break between her old job and her new job. The judge may issue a written order for 50 hours due at the end of a 2 week period. O Is this True or False? Hours Ordered Art (d) CCP ONot more than 16 hours per week OException If it is not a hardship for defendant or dependents 7

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305 7/10/2017 Minimum Hourly Rate Art (e) CCP ONot less than $50 for each 8 hours worked O Statutory minimum CS wage- $6.25 per hour O Minimum Wage in Texas-$7.25 Minimum Hourly Rate Effective Sept 1, 2017 ONot less than $100 for each 8 hours worked O Statutory minimum CS wage- $12.50 per hour Use a Calculator Tool! 9