New Mexico Judicial Ethics Handbook

1 New Mexico Judicial Ethics Handbook Judicial Ethics for New Mexico Courts April 2011 New Mexico Judicial Education Center Institute of Public Law, University of New Mexico School of Law This document was originally developed under grant SJI-93-02B-D-204 from the State Justice Institute. The points of view expressed are those of the authors and do not necessarily represent the official position or policies of the State Justice Institute. New Mexico Judicial Ethics Handbook 1999, 2000, 2004, 2006, 2011 by the New Mexico Judicial Education Center, University of New Mexico School of Law New Mexico Judicial Education Center MSC11 6060 1 University of New Mexico Albuquerque, NM 87131-0001 Phone: 505-277-5006 Fax: 505-277-7064 This Handbook is intended for educational and informational purposes only.

2 It is not intended to provide legal advice. Readers are responsible for consulting the statutes, ordinances, rules and cases pertinent to their issue or proceeding. Readers should keep in mind that laws and procedures are subject to change. i Judicial Ethics TABLE OF CONTENTS Introduction Foreward .. 1-1 1-100. Purpose .. 1-2 1-200. Scope .. 1-2 1-300. Format .. 1-2 1-400. 1-3 1-500. Citations and references .. 1-3 Legal Authorities 2-100. Applicable Law .. 2-1 2-200. Introduction .. 2-1 2-300. Constitutional provisions .. 2-1 2-310. General grant of Judicial power .. 2-1 2-320.

3 Superintending control .. 2-1 2-321. Authority .. 2-1 2-322. Purpose .. 2-2 2-323. Application to Judicial discipline .. 2-2 2-330. Impeachment .. 2-2 2-340. New Mexico Judicial Standards Commission .. 2-2 2-341. Creation .. 2-2 2-342. Jurisdiction of the Commission .. 2-3 2-343. Powers .. 2-3 2-344. Membership .. 2-3 2-345. Procedures .. 2-3 2-346. Confidentiality .. 2-3 2-347. Authorized actions .. 2-3 2-400. Code of Judicial Conduct .. 2-4 2-410. Citation .. 2-4 2-420. History .. 2-4 2-430. Judges subject to Code .. 2-4 2-440. Conduct subject to Code.

4 2-5 2-450. Applicability of Code .. 2-5 2-460. Standard of review .. 2-5 2-500. Other Court Rules .. 2-5 2-600. Statutes .. 2-5 2-700. Advisory Committee on the Code of Judicial Conduct .. 2-6 2-800. Types of Ethical Violations .. 2-6 2-810. Standard of conduct .. 2-6 2-820. Willful misconduct .. 2-6 2-821. Definition .. 2-6 2-822. Relationship to Code .. 2-6 2-823. Examples .. 2-7 2-824. Defense .. 2-7 ii 2-830. Other ethical violations .. 2-7 2-840. Relevant factors in determining appropriate sanctions .. 2-7 Basic Principles of Judicial Conduct 3-100. Checklist.

5 3-1 3-200. Applicable Law .. 3-2 3-300. Introduction .. 3-2 3-400. Integrity and Independence .. 3-2 3-500. Impropriety and Appearance of Impropriety .. 3-4 3-510. General rule .. 3-4 3-520. Scope of rule .. 3-4 3-530. Injudicious conduct .. 3-5 3-540. Misuse of power .. 3-6 3-550. Criminal charges .. 3-6 3-560. Creating potential conflict-of-interest .. 3-7 3-570. Relevant factors .. 3-7 3-600. Respect for the Law .. 3-7 3-610. General rule .. 3-7 3-620. Scope of rule .. 3-8 3-630. Statutory duties .. 3-9 3-700. Impartiality .. 3-9 3-710. General rule.

6 3-9 3-720. Policy .. 3-9 3-730. Effect .. 3-9 3-731. Distinguish impartiality from opinion .. 3-9 3-732. Other activities .. 3-10 3-740. Testimony as character witness .. 3-10 3-800. Related Topics .. 3-10 Exercise of Judicial Power 4-100. Checklist .. 4-1 4-200. Applicable Law .. 4-3 4-300. Introduction .. 4-3 4-400. Abuse of Power .. 4-3 4-410. Advancing private interests of others .. 4-3 4-411. Judge s own action .. 4-3 4-412. Influencing others .. 4-4 4-420. Use of Judicial power for personal gain .. 4-5 4-421. Avoiding prosecution .. 4-5 4-422. Retaliation and embroilment.

7 4-5 4-430. Resolving controversies outside the Judicial process .. 4-6 4-500. Legal Error .. 4-6 4-510. Pattern of legal error .. 4-6 4-520. Egregious legal error .. 4-7 4-530. Specific situations .. 4-7 4-531. Abdicating decision-making responsibilities .. 4-7 iii 4-532. Improper delegation of Judicial responsibilities .. 4-7 4-533. Improperly assuming jurisdiction .. 4-7 4-534 Ignoring required procedures .. 4-7 4-535. Swearing of witness 29 4-535 Swearing of Witnesses .. 4-8 4-536. Bonds .. 4-8 4-600. Abuse of Contempt Power .. 4-8 4-610. Introduction.

8 4-8 4-620. Contempt defined .. 4-9 4-630. Basic legal requirements .. 4-9 4-631. Grounds .. 4-9 4-632. Direct contempt .. 4-9 4-633. Indirect contempt .. 4-9 4-640. Contempt hearing .. 4-9 4-650. Pattern of abuse .. 4-10 4-660. Embroilment .. 4-10 4-670. Common scenarios demonstrating abuse of the contempt power .. 4-10 4-671. Invalid underlying basis .. 4-10 4-672. Animosity toward attorneys .. 4-11 4-673. Animosity toward parties and witnesses .. 4-12 4-674. Animosity toward others .. 4-12 4-680. Controlling the courtroom while avoiding contempt .. 4-12 4-700.

9 Abuse of Adversary Process .. 4-13 4-710. The pro se litigant .. 4-13 4-720. Interfering with attorney-client relationship .. 4-13 4-721. Proceeding in absence of counsel .. 4-13 4-722. Denying or trivializing right to counsel .. 4-14 4-723. Undermining the attorney-client relationship .. 4-14 4-730. Allowing non-attorney representation .. 4-15 4-740. Assuming adversarial role .. 4-15 4-750. Coercing case dispositions .. 4-15 4-760. Participating in settlement discussions .. 4-16 4-770. Other procedures resulting in denial of due process .. 4-16 4-780. Abuse of bail.

10 4-16 4-790. Inappropriate criminal sanctions and civil remedies .. 4-16 4-791. External factors .. 4-16 4-792. Fees and costs .. 4-16 4-7100. Favoritism .. 4-17 4-800. Related Topics .. 4-17 Ex Parte Communications 5-100. Checklist .. 5-1 5-200. Applicable Law .. 5-3 5-300. Introduction .. 5-3 5-400. General Rule .. 5-3 5-500. Scope of Rule .. 5-3 5-510. Persons .. 5-3 iv 5-520. Subject matter .. 5-3 5-530. Negative repercussions of ex parte communications .. 5-4 5-600. Permitted Ex Parte Communications .. 5-4 5-610. Communications authorized by law .. 5-4 5-620.