Chapter III - IMPARTIALITY AND DILIGENCE IN DUTY

As amended through June 10, 2024

A. An Administrative Law Judge shall perform the duties of the office impartially and diligently.

B. The judicial duties of an Administrative Law Judge shall take precedence over all other activities. Judicial duties include all the duties of the office prescribed by law. In the performance of these duties, the following standards apply:

(1) an Administrative Law Judge shall be faithful to the law and maintain professional competence in it;

(2) an Administrative Law Judge shall not be swayed by partisan interests, public clamor or fear of criticism;

(3) an Administrative Law Judge shall maintain order and decorum in proceedings; and

(4) an Administrative Law Judge shall be patient, dignified, and courteous to litigants, witnesses, lawyers and others with whom the Administrative Law Judge deals in an official capacity and, consistent with applicable law, shall require similar conduct of lawyers or other representatives, staff members and others subject to the Administrative Law Judge's direction and control.

C. An Administrative Law Judge shall accord to all persons who are legally interested in a proceeding, or their representatives, full right to be heard according to law.

D. An Administrative Law Judge shall not initiate, permit or consider ex parte communications or consider other communications made to the Administrative Law Judge outside the presence of the parties concerning a pending or impending proceeding except that;

(1) where circumstances require, ex parte communications for scheduling, administrative purposes or emergencies that do not deal with substantive matters or issues on the merits are authorized; provided:

(a) the Administrative Law Judge reasonably believes that no party will gain a procedural or tactical advantage as a result of the ex parte communication, and

(b) the Administrative Law Judge makes provisions promptly to notify all other parties of the substance of the ex parte communication and allows an opportunity to respond;

(2) an Administrative Law Judge may consult other Administrative Law Judges and support personnel whose function is to aid the Administrative Law Judge in carrying out his or her adjudicative responsibilities;

(3) an Administrative Law Judge may, with the consent of the parties, confer separately with the parties and their lawyers in an effort to mediate or settle matters pending before the Administrative Law Judge; and

(4) an Administrative Law Judge may initiate or consider any ex parte communications when expressly authorized by law to do so.

E. Decisions of an Administrative Law Judge shall be based exclusively on the law and on all evidence in the record of the proceeding.

F. An Administrative Law Judge shall dispose of all judicial matters promptly, officially and fairly.

G. An Administrative Law Judge shall require participants in proceedings before the Administrative Law Judge to refrain from manifesting, by words or conduct, bias or prejudice based upon race, sex, religion, national origin, disability, age, sexual orientation or socioeconomic status or other basis prohibited under applicable law, against parties, witnesses, counsel or others. This Section does not preclude non-frivolous advocacy when race, sex, religion, national origin, disability, age, sexual orientation or socioeconomic status, or other similar factors, are issues in the proceeding.

H. An Administrative Law Judge shall not, while a proceeding is pending or impending, make any public comment that might reasonably be expected to affect its outcome or impair its fairness or make any nonpublic comment that might substantially interfere with a fair hearing. The Administrative Law Judge shall require similar abstention on the part of agency personnel subject to the Administrative Law Judge's direction and control. This Section does not prohibit Administrative Law Judges from making public statements in the course of their official duties or from explaining for public information the procedures of the agency. This Section does not apply to proceedings in which the Administrative Law Judge is a litigant in a personal capacity.

I. An Administrative Law Judge shall not disclose or use, for any purpose unrelated to judicial duties, information acquired in a judicial capacity that by law is not available to the general public. This includes, without limitation, all information learned that is privileged under the deliberative process privilege, the attorney-client privilege, and the work-product doctrine. This provision applies to information learned both while presiding in a matter, discussing a matter with another Administrative Law Judge or other OAH employee, or in any administrative, managerial or other capacity while serving in OAH.

J. An Administrative Law Judge should not be subject to the authority, direction or discretion of one who has served as investigator, prosecutor or advocate in a proceeding before the Administrative Law Judge or in its pre-adjudicative stage.

K. An Administrative Law Judge shall diligently discharge assigned administrative responsibilities without bias or prejudice, maintain professional competence in judicial administration and facilitate the performance of the administrative responsibilities of other Administrative Law Judges.

L. An Administrative Law Judge shall require staff and other persons subject to the Administrative Law Judge's direction and control to observe the standards of fidelity and diligence that apply to the Administrative Law Judge.

M. An Administrative Law Judge shall take appropriate action or initiate appropriate disciplinary measures against an Administrative Law Judge, lawyer, representative or others for unprofessional conduct of which the Administrative Law Judge may become aware.

N. An Administrative Law Judge shall disqualify himself or herself in any proceeding in which the Administrative Law Judge's impartiality might reasonably be questioned, including but not limited to instances where:

(1) the Administrative Law Judge has a personal bias or prejudice concerning a party or a party's lawyer or other representative involved in the proceeding;

(2) the Administrative Law Judge served as lawyer or representative in the matter in controversy, or a lawyer with whom the Administrative Law Judge practiced law served during such association as a lawyer concerning the matter, or the Administrative Law Judge or such lawyer has been a material witness concerning it;

(3) the Administrative Law Judge has served in other governmental employment and in such capacity participated as counsel, adviser or material witness concerning the proceeding or expressed an opinion concerning the merits of the particular case in controversy;

(4) the Administrative Law Judge, individually or as a fiduciary, or the Administrative Law Judge's spouse or minor child residing in the Administrative Law Judge's household, has a more than de minimis financial interest in the subject matter in controversy or in a party to the proceeding, or any other interest that could be substantially affected by the outcome of the proceeding; or

(5) the Administrative Law Judge or the Administrative Law Judge's spouse or a person within the third degree of relationship to either of them or the spouse of such a person:

(a) is a party to the proceeding, or an officer, director or trustee of a party;

(b) is acting as a lawyer or representative in the proceeding;

(c) is known by the Administrative Law Judge to have an interest that could be substantially affected by the outcome of the proceeding; or

(d) is to the Administrative Law Judge's knowledge likely to be a material witness in the proceeding.

O. Administrative Law Judges should be aware of their personal and fiduciary financial interests, and make a reasonable effort to keep informed about the personal financial interests of their spouse and minor children residing in the Administrative Law Judges' households. For the purposes of this provision, the following words or phrases shall have the meaning indicated:

(1) "degree of relationship" shall be calculated according to the civil law system;

(2) "fiduciary" includes such relationships as executor, administrator, trustee and guardian;

(3) "financial interest" means ownership of more than a de minimis legal or equitable interest, however small, or a relationship as director, advisor or other active participant in the affairs of a party, except that:

(a) ownership in a mutual or common investment fund that holds securities is not a "financial interest" in such securities unless the Administrative Law Judge participates in the management of the fund;

(b) an office in an educational, religious, charitable, fraternal or civic organization is not a "financial interest" in securities held by the organization;

(c) the proprietary interest of a policyholder in a mutual insurance company or a depositor in a mutual savings association or a similar proprietary interest is a "financial interest" in the organization only if the outcome of the proceeding could substantially affect the value of the interest; and

(d) ownership of government securities is a "financial interest" in the issuer only if the outcome of the proceeding could substantially affect the value of the securities; and

(4) "proceeding" includes pre-hearing or other stages of litigation.

P. An Administrative Law Judge disqualified by means of this provision may, instead of withdrawing from the proceeding, disclose on the record the basis of the disqualification. If, following disclosure of any basis for disqualification other than personal bias or prejudice concerning a party, the parties and lawyers or representatives, independently of the Administrative Law Judge's participation and by informed consent, agree that the Administrative Law Judge should not be disqualified, and if the Administrative Law Judge concurs, the Administrative Law Judge may preside over the proceeding. The agreement shall be incorporated in the record of the proceeding.