Fifth Judicial District Court

Letter From Jean Willis - Code of Conduct - Financial Fraud Policy -
Computer and Internet Use

JEAN WILLIS
COURT ADMINISTRATOR
FIFTH JUDICIAL DISTRICT
CHAVES, EDDY AND LEA COUNTIES
BOX 1776 ROSWELL, NEW MEXICO 88202-1776

January 6, 2005

TO: DISTRICT JUDGES AND EMPLOYEES OF THE FIFTH JUDICIAL
DISTRICT COURT-CHAVES, EDDY AND LEA COUNTIES

FROM: JEAN WILLIS, COURT ADMINISTRATOR

RE: ADMINISTRATIVE ORDER ADOPTING CODE OF CONDUCT
AND FRAUD POLICY FOR THE FIFTH JUDICIAL DISTRICT

EFFECTIVE JANUARY 3, 2005

NEW MEXICO JUDICIAL BRANCH COMPUTER AND INTERNET
POLICY ADOPTED BY THE SUPREME COURT OCT. 19, 2004

Each employee will be receiving by e-mail the above policies. Please make a copy for your personal file.
Every employee is instructed to read and comply. These policies will also be placed on the
Fifth Judicial District Court web-site.

One of the requirements of the external auditor for the Fifth District is that training
sessions on the Fraud Policy be held in each county.

You will be notified of the date as soon as they are scheduled.

If you have any questions, please contact me.

Back to the top - Home

FIFTH JUDICIAL DISTRICT
CHAVES, EDDY AND LEA COUNTIES

CODE OF CONDUCT

The Fifth Judicial District and its employees must, at all times, comply with all applicable laws and regulations. The Fifth Judicial District will not condone the activities of employees who achieve results through violation of the law or unethical business dealings. This includes any payments for illegal acts, indirect contributions, rebates, and bribery. The Fifth Judicial District does not permit any activity that fails to stand the closest possible public scrutiny.

All business conduct should be well above the minimum standards required by law. Accordingly, employees must ensure that their actions cannot be interpreted as being, in any way, in contravention of the laws and regulations governing the operations of the Fifth Judicial District.

Employees uncertain about the application or interpretation of any legal requirements should refer the matter to their immediate supervisor, who, if necessary, should seek the advice of the Court Administrator or the Chief Judge.

GENERAL EMPLOYEE CONDUCT

The Fifth Judicial District expects its employees to conduct themselves in a professional manner.

SEXUAL HARASSMENT

Employees must not engage in sexual harassment, or conduct themselves in a way that could be construed as such, for example, by using inappropriate language, keeping or posting inappropriate materials in their work area, or accessing inappropriate materials on their computer.

DRESS AND GROOMING

Employees should pay particular care to their dress and grooming so that they reflect the formal and dignified atmosphere of the court.

Generally, apparel shall be neat, clean and pressed, not faded, worn, tight fitting, revealing, conspicuous or extreme in style or color. Businesslike and professional apparel includes but is not necessarily limited to coordinated suits, pants, skirts, shirts, blouses, dresses, sport coats, jackets, vests, sweaters, regular and bolo ties, jewelry, hosiery, tights, shoes, boots and sandals.

The following apparel are not businesslike and professional:

Rubber thongs, flip flops, tennis shoes, sneakers, T-shirts, tank, midriff, halter and crop tops, backless, strapless and shoulder-less apparel, jeans of any type, sweats of any type, exercise apparel like leotards, spandex or lycra pants, sport socks, shorts, distracting designs or slogans.

Good personal hygiene is required. Hair shall be neat and clean, and not conspicuous or extreme in style or color.

At times, exceptions to the general standards may be acceptable or necessary because of the nature of an employee’s work or other special circumstances. Exceptions must be approved by the Chief Judge, Court Administrator, or their designee.

Managers and supervisors are responsible for enforcing these standards. In the event of extreme or repeated violations, managers or supervisors may direct the employee(s) to return home to correct his/her dress and/or grooming. The employee may be subject to disciplinary action. The employee shall not be paid for the time they use in returning home and coming back to work.

STATEMENT ON ILLEGAL DRUGS AND ALCOHOL

The unlawful manufacture, distribution, dispensing, possession or use of controlled substances or alcohol in the Fifth Judicial District facilities or as part of any of its activities by any employee of the Fifth Judicial District is strictly prohibited.

As a condition of employment, all employees of the Fifth Judicial District shall abide by the terms and conditions of this statement. Violation of this statement shall result in disciplinary action, which may include dismissal.

CONFLICTS OF INTEREST

The Fifth Judicial District expects that employees will perform their duties conscientiously, honestly, and in accordance with the best interests of the Fifth Judicial District. Employees must not use their position or the knowledge gained as a result of their position for private or personal advantage. Regardless of the circumstances, if employees sense that a course of action they have pursued, are presently pursuing, or are contemplating pursuing may involve them in a conflict of interest with their employer, they should immediately communicate all the facts to their supervisor.

OUTSIDE ACTIVITIES AND EMPLOYMENT

All employees share a serious responsibility for the Fifth Judicial District’s good public relations.

Employees must avoid acquiring any business interest or participating in any outside activity that would, or would appear to:

Create an excessive demand upon their time and attention, thus depriving the Fifth Judicial District of their best efforts on the job.
Create a conflict of interest - an obligation, interest, or distraction that may interfere with the independent exercise of
judgment in the Fifth Judicial District’s best interest.

RELATIONSHIPS WITH CLIENTS AND SUPPLIERS

Employees should avoid investing in or acquiring a financial interest for their own accounts in any business organization that has a contractual relationship with the Fifth Judicial District, or that provides goods or services, or both to the District, if such investment or interest could influence or create the impression of influencing their decisions in the performance of their duties on behalf of the Fifth Judicial District.

GIFTS, ENTERTAINMENT AND FAVORS

Employees must not accept entertainment, gifts, or personal favors that could, in any way, influence, or appear to influence, decisions in favor of any person or organization with whom or with which the Fifth Judicial District has, or is likely to have, business dealings. Similarly, employees must not accept any other preferential treatment under these circumstances because their position with the Fifth Judicial District might be inclined to, or be perceived to, place them under obligation.

KICKBACKS AND SECRET COMMISSIONS

Regarding the Fifth Judicial District’s business activities, employees may not receive payment or compensation of any kind, except as authorized by law. In particular, the Fifth Judicial District strictly prohibits the acceptance of kickbacks and secret commissions from suppliers or others. Any breach of this rule will result in immediate termination and prosecution to the fullest extent of the law.

FIFTH JUDICIAL DISTRICT FUNDS AND OTHER ASSETS

Employees who have access to Fifth Judicial District funds in any form must follow the prescribed procedures for recording, handling, and protecting money as detailed in the Fifth Judicial District’s manuals or other explanatory materials, or both. The Fifth Judicial District imposes strict standards to prevent fraud and dishonesty. If employees become aware of any evidence of fraud and dishonesty, they should immediately advise their supervisor so the Fifth Judicial District can promptly investigate further.

When an employee’s position requires spending Fifth Judicial District funds or incurring any reimbursable personal expenses, that individual must use good judgment on the Fifth Judicial District’s behalf to ensure that good value is received for every expenditure.

Fifth Judicial District funds and all other assets of the Fifth Judicial District are for the Fifth Judicial District’s purposes only and not for personal benefit. This includes the personal use of assets, such as computers, telephones, supplies, postage, etc.

RECORDS AND COMMUNICATIONS

Accurate and reliable records of many kinds are necessary to meet the Fifth Judicial District’s legal and financial obligations and to manage the affairs of the district. The Fifth Judicial District’s books and records must reflect in an accurate and timely manner all business transactions. The employees responsible for accounting and record keeping must fully disclose and record all assets, liabilities, or both, and must exercise diligence in enforcing these requirements.

Employees must not make or engage in any false record or communication of any kind, whether internal or external, including but not limited to:

False expense, attendance, production, financial or similar reports and statements.

DEALING WITH OUTSIDE PEOPLE AND ORGANIZATIONS

Employees must take care to separate their personal roles from their Fifth Judicial District positions when communicating on matters not involving the business of the Fifth Judicial District. Employees must not use Fifth Judicial District identification, stationery, supplies, and equipment for personal or political matters.

When communicating publicly on matters that involve the business of the Fifth Judicial District, employees must not presume to speak for the district on any topic, unless they are certain that the views they express are those of the Fifth Judicial District, and it is the Fifth Judicial District’s desire that such views be publicly disseminated.

When dealing with anyone outside the Fifth Judicial District, including public officials, employees must take care not to comprise the integrity or damage the reputation of either the Fifth Judicial District, or any outside individual, business or government body.

CONFIRMATION OF CODE OF CONDUCT

All employees of the Fifth Judicial District shall receive and sign confirmation that they understand and will adhere to the Code of Conduct Policy as well as all policies in place in the Fifth Judicial District.

FURTHER INFORMATION

When a question arises as to whether any action complies with this Code, applicable law, rule or regulation, or if an employee simply needs guidance with respect to how an ethical issue should be addressed, that employee is expected to address those issues to the

Immediate Supervisor, Court Administrator or Chief Judge. Listed are the addresses and phone.

Hon. Jay W. Forbes,
Chief Judge
Fifth Judicial District
102 N. Canal, Suite 345 Carlsbad, NM 88220
505-885-4828

Jean Willis,
Court Administrator
Fifth Judicial District Court
P. O. Box 1776 Roswell, NM 88202-1776
505-622-2565

Back to the top - Home

FIFTH JUDICIAL DISTRICT
CHAVES, EDDY AND LEA COUNTIES
STATE OF NEW MEXICO

FINANCIAL FRAUD POLICY

STATEMENT OF POLICY AND PRINCIPLES

The Fifth Judicial District is committed to protecting its revenue, property, information and other assets from any attempt, either by members of the public, contractors, sub- contractors, agents, intermediaries or its employees, to gain by deceit, financial or other benefits. This policy sets out specific guidelines and responsibilities regarding appropriate actions that must be followed for investigating fraud. The Fifth Judicial District is committed in pursuing the mission and goals of the New Mexico Judiciary while requiring truthful financial reporting at all times.

DEFINITIONS

AOC ADMINISTRATIVE OFFICE OF THE COURTS

CA COURT ADMINISTRATOR

CFO CHIEF FINANCIAL OFFICER

FRAUD, INCLUDES, BUT IS NOT LIMITED TO:

1. Forgery or alteration of documents (checks, time sheets, contractor agreements
purchase orders, other financial documents, electronic files, etc.)

2. Any embezzlement or misappropriation of funds, supplies or any other asset.

3. Any irregularity in the handling or reporting of money transactions.

4. Misappropriation of furniture, fixtures and equipment.

5. Seeking or accepting anything of material value from vendors, consultants or
contractors doing business with the Fifth Judicial District.

6. Unauthorized use or misuse of agency property, equipment, materials or records.

7. Any computer related activity involving the alteration, destruction, forgery or
manipulation of data for fraudulent purposes or misappropriation of agency owned software.

8. Any claim for reimbursement of expenses that are not made for the exclusive
benefit of the agency.

9. Any similar or related irregularity.

APPLICABILITY

This policy applies to all employees of the Fifth Judicial District as defined in the New Mexico Judicial Branch Personnel Rules.

GENERAL POLICY AND RESPONSIBILITIES

1. It is the Fifth Judicial District’s intent to fully investigate any suspected acts of fraud, misappropriation or other similar irregularity. An objective and impartial investigation will be conducted regardless of the position, title, length of service or relationship with the New Mexico Judiciary of any party who might be or becomes involved in or becomes/is the subject of such investigation.

2. The Court Administrator and Chief Financial Officer are responsible for instituting and maintaining a system of internal controls to provide security and accountability for the resources entrusted to them. Court Management should be familiar with the types of improprieties that might occur within their area of responsibility and be alert for any indications of such conduct.

3. Court Management should insure that adequate training has been provided to all agency employees regarding the court’s operating, case management and security policies and procedures.

4. Great care must be taken in the dealing with suspected fraudulent activities to avoid any incorrect accusations, alerting suspected individuals that an investigation is under way, violating any person’s right to due process, or making statements that could lead to claims of false accusation or other civil rights violations.

5. The agency Court Administrator and Chief Financial Officer, in consultation with the Chief Judge, has the primary responsibility for the investigation of all activity as defined in this policy.

6. The agency CA and CFO will notify the Administrative Office of the Court’s Chief Financial Officer and the Director of the Administrative Office of the Courts of fraudulent or irregular conduct upon the commencement of the investigation to the extent practical. Throughout the investigation these officials should be informed of pertinent investigative findings.

7. In all circumstances, where there are reasonable grounds to indicate that a fraud may have occurred, the AOC CFO, subject to the advice of the AOC Director will contact the local law enforcement agency.

8. Upon the conclusion of the investigation, the results will be reported to the Chief
Justice of the Supreme Court, AOC Director, AOC CFO and the Chief Judge.

9. The New Mexico Judiciary will pursue every reasonable effort, including court
ordered restitution, to obtain recovery of the agency losses from the offender,
or other appropriate source(s).

PROCEDURES

1. All Employee

Any employee who has knowledge of an occurrence of irregular conduct or has reason to suspect that a fraud has occurred, shall immediately notify his/her immediate supervisor. If the employee has reason to believe that the employee’s supervisor may be involved, the employee shall immediately notify the agency Court Administrator and Chief Financial Officer. The employee shall not discuss the matter with anyone other than his/her immediate supervisor, the agency CA and CFO, and/or the local law enforcement agency if necessary. Employees who knowingly make false allegations will be subject to disciplinary action up to and including termination.

2. Supervisors

Upon notification from an employee of suspected fraud, or if the supervisor has reason to suspect that a fraud has occurred, the supervisor shall immediately notify the agency CA and CFO and the Chief Judge. The supervisor shall not attempt to investigate the suspected fraud or to discuss the matter with anyone other than the person to whom the fraud was reported, the Chief Judge and local law enforcement agency if necessary.

3. Agency Court Administrator and Chief Financial Officer

Upon notification from an employee or supervisor of suspected fraud, or if the agency CA or CFO has reason to suspect that a fraud has occurred the agency CA and CFO shall immediately contact the Chief Judge. The Chief Judge shall not attempt to investigate the suspected fraud or to discuss the matter with anyone other than the AOC CFO and AOC Director and local law enforcement agency if necessary.

4. Chief Judge

Upon notification or discovery of a suspected fraud, the Chief Judge will promptly instruct the agency CFO to investigate the fraud. In all circumstances where there appears to be reasonable grounds for suspecting that a fraud has taken place, the Chief Judge, in consultation with the AOC CFO and the AOC Director, may contact the local law enforcement agency depending on the severity. In circumstances where there appears to be reasonable grounds for suspecting a cash fraud in a single or aggregate amount of $250.00 or more has taken place, the Chief Judge, in consultation with the AOC CFO and the AOC Director, will contact a local law enforcement agency.

5. Security of Evidence

Once a suspected fraud is reported, the agency CA and CFO, in consultation with the Chief Judge, shall take immediate action to prevent the theft, alteration, or destruction of relevant records. Such actions include, but are not necessarily limited to, removing the records and placing them in a secure location, limiting access to the location where the records currently exist and preventing the individual suspected of committing the fraud from having access to the records.

6. Confidentiality

All participants in a fraud investigation shall keep the details and results of the investigation confidential. However, the Chief Judge, in consultation with the AOC CFO and AOC Director, and local law enforcement agency, may disclose particulars of the investigation with potential witnesses if such disclosure would further the investigation.

7. Personnel Actions

If a suspicion of fraud is substantiated by the investigation, disciplinary action, up to and including termination, shall be taken by the appropriate level of management, in consultation with the AOC Human Resources Division, the Chief Judge, the AOC CFO and the AOC Director, in conformance with the New Mexico Judicial Branch Personnel Rules.

8. Whistle Blower Protection

No employee or person acting on behalf of an employer shall:

- terminate employment or threaten to terminate employment of an employee;

- discipline or suspend or threaten to discipline or suspend an employee;

- impose any penalty upon an employee; or

- intimidate or coerce an employee, because the employee has acted in accordance with the requirement of the policy.

The violation of this section will result in disciplinary action up to and including termination.

9. Media Issues

Any judicial employee or elected official contacted by the media with respect to an fraud investigation shall refer the media to the Director of the AOC or designate. The alleged fraud investigation shall not be discussed with the media by any person other than through the Director of the AOC or designate, in consultation with the Chief Judge.

10. Documentation

At the conclusion of the investigation, the Chief Judge will document the results in a confidential memorandum report to the Chief Justice of the Supreme Court with a copy to the AOC CFO and the AOC Director. If the report concludes that the allegations are founded, the report will be forwarded to the local law enforcement agency. The Chief Judge and the agency Court Administrator and CFO will also be required to submit a report to the AOC CFO documenting the procedures in place, and enforcement of the procedures, in order to prevent future similar occurrences.

11. Reporting to External Auditors

The Chief Judge will report findings of fraud to the external auditors of the Fifth Judicial District.

The AOC will review the results of any investigations with responsible management and cognizant administrators as necessary, making recommendations for improvement to the systems of internal control.

Identification or allegations of acts outside the scope of this policy, such as personal improprieties or irregularities, whether moral, ethical, or behavioral, safety or work environment related, or complaints of discrimination or sexual harassment, should be resolved by the respective agency management in conjunction with the AOC Human Resources Division.

New Mexico Judicial Branch " New Mexico Judicial Branch "

Computer and Internet Use Policy "Computer and Internet Use Policy"

Judiciary-supplied Computer Hardware and Software "Judiciary-supplied Computer Hardware and Software"

Computer hardware and software are provided to assist you in accomplishing your work. You may use the equipment that you have been assigned for any work-related purpose. You may not use New Mexico Judiciary equipment for non-judicial business purposes, which includes but is not limited to political or business-for-profit activities. Limited personal use is permitted during normal breaks, lunch periods or before and after normal business hours (or before or after regular working hours for staff and judges on flex time) as long as such use does not interfere with judicial business. The Judicial Information Division (JID) may perform audits on any judicially owned computer.

E-mail and the Internet "E-mail and the Internet"

The purpose of the Internet and e-mail is to conduct the business of the New Mexico Judiciary. Staff and judges are encouraged to use the Internet and e-mail when such use can make communication more efficient and effective or provide valuable sources of work-related information. For the purpose of this policy, the Internet includes but is not necessarily limited to e‑mail, chat groups, newsgroups, listserv subscriptions, and electronic surveys. For legal and practical reasons, it is essential that we work together to maintain the integrity of these systems. Please note that e-mail is a transmission mechanism for documents and not a document type. Depending on the context, e-mail can be a memorandum, a letter (correspondence), or another document type.

Internet access systems including office e-mail are owned and operated by the New Mexico Judiciary to enhance the efficiency and effectiveness of its staff and judges. Every staff member and judge is responsible for using the New Mexico Judiciary’s e-mail and Internet access systems in an ethical and appropriate manner. This policy was developed to ensure that such resources are used appropriately.

3. Exercise of care when sending electronic communications using judicial resources

Staff and judges must exercise the same care in drafting e‑mail, communicating in Internet chat groups, and posting items to Internet newsgroups as they would for any other written office communications. Externally distributed broadcast e-mail by staff, that is, e-mail sent to e-mail subscriber groups or other groups of recipients, must be approved by the staff member’s supervisor before being posted or sent. An exception will be made for those who subscribe to work-related e-lists (list-servsä) or other Internet services for exchanging information as long as the staff member obtains permission in advance to subscribe to such services from his/her supervisor. Any such communications that are traceable to judicial computers (IP addresses or URLs) must be clearly identified as not being official judicial communications. Please remember that all nmcourts.com e-mail may be perceived by external recipients as having the same weight as official correspondence and should be treated as such.

Staff and judges should only access and use the e-mail and Internet accounts assigned to him or her. Each is responsible for the security of the e-mail and Internet accounts assigned to him/her, and must protect his/her accounts by using a secure password for each account. Staff and judges should not disclose passwords to others within the New Mexico Judiciary except on a need-to-know basis. Passwords are not to be disclosed to anyone outside the Judiciary. Unless you have specific authorization, you must not access another person’s e-mail or Internet accounts.

·The New Mexico Judiciary’s Internet/e-mail resources may not be used for transmission, retrieval or storage of materials of a discriminatory or harassing nature, or materials that are pornographic, obscene, defamatory or otherwise abusive or inappropriate.

·No derogatory or inflammatory remarks about an individual’s sex, race, age, disability, religion, national origin, physical attributes or sexual preferences shall be transmitted using New Mexico Judiciary resources.

·The New Mexico Judiciary’s e-mail/Internet resources may not be used for commercial advertisements, solicitations or promotions, personal gain, or political activities.

·The Judiciary’s Internet/e-mail resources may not be used for any purpose that is illegal, against policies and procedures, or contrary to the interests of the New Mexico Judiciary.

Limited, occasional or incidental personal use of e-mail and the Internet is allowed when such use takes place on a person’s own time (e.g., before or after work or during the staff member's assigned regular breaks or lunch hour). This use is subject to the limitations set forth in this policy and must not: (a) directly or indirectly interfere with the Judiciary’s operation of computing facilities or e-mail services, (b) burden the Judiciary with noticeable incremental cost, or (c) interfere with the Internet/email user’s employment or other obligations to the Judiciary.

7. Internet downloads including downloads of software applications, streaming video, movies, games, music, and graphics

All Internet downloads of commercial software applications and/or copyrighted material copied from non-judiciary computers or networks must be approved in advance of the download by the employee’s supervisor. In addition, staff and judges should be cautious about downloading materials that may contain invasive computer code (e.g., viruses, worms and trojans). Any computer used to access the Internet must have licensed virus protection software installed and configured to scan all incoming files. It is the responsibility of all staff and judges to verify that the virus protection on any machine that they use is operating and up-to-date as defined by JID.

Staff and judges obtaining access to materials from outside the New Mexico Judiciary, whether through the Internet, e-mail or other means must respect all copyrights and may not copy, retrieve, modify or forward copyrighted materials except with either explicit written permission from the owner or other accepted fair-use exception.

Monitoring and Expectation of Privacy "Monitoring and Expectation of Privacy"

The Judiciary reserves the right to access and/or monitor all Internet, e-mail and computer storage at any time for any reason including, but not limited to: (a) system administration and maintenance; (b) when there is a valid business reason; (c) to ensure compliance with this policy; and (d) as required to comply with a court order or legal obligation to produce records or information. Remember, even if material is erased or deleted from these systems, it can often be reconstructed and retrieved; therefore assume that every message created may be disclosed. JID staff and judges are required to keep information about the records of all staff and judges confidential except as otherwise ordered by a court. In addition, the New Mexico Judiciary reserves the right to revoke access to its Internet and/or e-mail systems at any time for any reason, including, but not limited to, violations of this policy.

Discipline "Discipline"

Violations of this policy may subject staff members to disciplinary action, consistent with the procedures set out in the New Mexico Judicial Branch Personnel Rules. Violations may subject judges to referral to the Judicial Standards Commission.

Back to the top - Home