Introduction to the The State Commission on Judicial Conduct TMCEC Ethics Training for New Municipal Court Clerks Jacqueline Habersham Deputy General Counsel Texas Commission on Judicial Conduct 1 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 2 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. 3 Judicial Ethics for New Municipal Clerks 1
Does the Commission have authority over Court Clerks? 4 Read the Canons 5 I m not a judge. Why should I read the Canons? For your JOB For your JUDGE For JUSTICE 6 Judicial Ethics for New Municipal Clerks 2
Where Can I Find the Code of Judicial Conduct (the Canons)? State Commission on Judicial Conduct, www.scjc.state.tx.us, and click Governing Provisions. Or link from the Texas Municipal Courts Education Center, www.tmcec.com, to Judges and click Code of Judicial. 7 CANONS THAT RELATE TO COURT STAFF 8 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 9 Judicial Ethics for New Municipal Clerks 3
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 10 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 11 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 12 Judicial Ethics for New Municipal Clerks 4
Fact or Fiction? The Judicial Conduct Commission may discipline a judge if it is found that a member of the judge s staff was manifesting bias or prejudice based upon race, sex, religion, national origin, disability, age, sexual orientation or socioeconomic status. 13 FACT The conduct commission only has authority to discipline the JUDGE. The judge may be disciplined if he or she knowingly permits staff, court official and others subject to the judge s direction and control to manifest bias or prejudice. 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
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 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. 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
Fact or Fiction? You are subject to the same rules prohibiting ex parte communication as your judge. 19 FACT Canon 3 requires that the judge require compliance with the rules regarding ex parte communication by court personnel subject to the judge s direction and control. 20 DEMEANOR ISSUES YOU FACE EACH DAY 21 Judicial Ethics for New Municipal Clerks 7
Carrie, The Cranky 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. 22 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. 23 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 24 Judicial Ethics for New Municipal Clerks 8
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
EX PARTE ISSUES YOU FACE EACH DAY 28 The Infamous Letter While processing today s mail, you open a letter addressed to the Judge. It is from a self-represented litigant and gives the judge several reasons why the judge should rule in that litigant s favor. The litigant also informs that court of his desire to plead not guilty and request for jury trial. 29 What Should You Do About The Letter? 1. Show it to the Judge at once. 2. File it away in the clerk s file, send copy to the prosecutor, and send letter cautioning the litigant not to repeat the conduct. 3. Remind the judge of the attempt at ex parte when the trial starts. 30 Judicial Ethics for New Municipal Clerks 10
Court Records 31 Dan The Difficult 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 fees, Dan yells a string of profanities and accuses you of being in on the conspiracy to steal his money. 32 Paul s Post-It Note After Dan finally escorted off the premises, Paul attached this post it note to the court s file: FYI This guy was a bat crap crazy! 33 Judicial Ethics for New Municipal Clerks 11
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. 34 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 35 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 36 Judicial Ethics for New Municipal Clerks 12
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 37 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 38 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 39 Judicial Ethics for New Municipal Clerks 13
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 40 COMMISSION OPERATIONS 41 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 No Statute of Limitations 42 Judicial Ethics for New Municipal Clerks 14
What do I do if a Commission Investigator calls? Don t Panic 43 How To Contact the Commission on Judicial Conduct Toll-Free: (877) 228-5750 In Austin: (512) 463-5533 Executive Director: Eric Vinson Website: scjc.texas.gov (includes Canons, Annual Reports and Sanction Summaries) 44 Judicial Ethics for New Municipal Clerks 15