(Committee Proposed Final Draft)

CODE OF CONDUCT FOR OREGON ADMINISTRATIVE LAW JUDGE

MAINTAINING THE INTEGRITY OF THE ADMINISTRATIVE HEARINGS PROCESS

1-101 (A) An Administrative Law Judge (ALJ) shall observe high standards of conduct so that the integrity, impartiality and independence of Oregon's administrative hearings system is preserved, and shall act at all times in a manner that promotes public confidence in the conduct of administrative hearings as a part of state government.

(B) An ALJ shall not engage in conduct that reflects adversely on the ALJ's character, competence, temperament or fitness to serve as an ALJ. An ALJ shall not engage in conduct involving misrepresentation, fraud, dishonesty, deceit or felonious criminal behavior.

(C) An ALJ shall not, in the performance of official duties, by words or conduct, manifest bias or prejudice based upon sex, race, national origin, religion, sexual orientation, marital status, disability, age, or socioeconomic status.

(D) An ALJ shall not allow family, social or other relationships to influence official conduct or judgment.

(E) An ALJ shall not use the position to advance the private interests of the ALJ or any person, nor shall an ALJ convey the impression that anyone has a special influence with the ALJ.

(F) An ALJ shall not testify as a character witness except pursuant to subpoena; however, an ALJ may provide a character or ability reference for a person about whom the ALJ has personal knowledge.

(G) An ALJ shall not hold membership in any organization that the ALJ knows is a discriminatory organization. For purposes of this rule, "discriminatory organization" means an organization that, as a policy or practice and contrary to applicable federal or state law, treats persons less favorably in granting membership privileges, allowing participation or providing services on the basis of sex, race, national origin, religion, sexual orientation marital status, disability, age or socioeconomic status.

IMPARTIAL AND DILIGENT PERFORMANCE OF OFFICIAL DUTIES

2-101 An ALJ shall perform diligently all official duties.

2-102 (A) An ALJ shall provide to every person who has a legal interest in a proceeding, and to that person's lawyer, or other representative authorized by law, the right to be heard according to law.

(B) The ALJ shall comply with all applicable statutes, codes and ethical rules that define and regulate ex parte contacts as they relate to any mailer before the ALJ. When applicable, the ALJ shall specifically consider the enabling statute creating a central panel of hearings in Oregon, and the Oregon Attorney General's Model Rules.

(C) An ALJ may communicate ex parte when circumstances require for scheduling, administrative purposes or emergencies that do not deal with substantive mailers or issues on the merits, provided that the ALJ reasonably believes that no party will gain a procedural or tactical advantage as a result of ex parte communication.

(D) An ALJ shall promptly disclose to the parties any communication not otherwise prohibited by this rule that will or reasonably may influence the outcome of an adversary proceeding. At a minimum, the disclosure shall identify the person with whom the communication occurred and the substance of the communication, and the ALJ shall give the parties a reasonable opportunity to respond to the information disclosed.

(E) This rule does not apply were the ALJ is acting as a mediator.

2-103 An ALJ shall not, while a proceeding is pending in any forum within the ALJ's jurisdiction make any public comment that might reasonably be expected to affect the outcome or impair the fairness of the proceeding. This rule shall not prohibit an ALJ from making public statements in the course of official duties, from explaining for public information the procedures of the forum, from establishing a defense to a criminal charge or civil claim against the ALJ, or from otherwise responding to allegations concerning the ALJ's conduct in the proceeding.

2-104 (A) Except as provided in (B) herein, an ALJ shall disqualify himself or herself in a proceeding in which the ALJ's impartiality reasonably may be questioned, including but not limited to instances when:

(1) the ALJ has a bias or prejudice concerning a party, a representative, or any other participant in the proceeding before the ALJ, or has knowledge, obtained from sources outside the proceeding, of disputed evidentiary facts concerning the proceeding;

(2) the ALJ served as a lawyer in the matter in controversy, or a lawyer with whom the ALJ previously was associated served during the period of association as a lawyer in the matter, or the ALJ or the lawyer has been a material witness in the matter;

(3) the ALJ knows that the ALJ individually or as a personal representative, trustee, conservator or guardian, or the ALJ's spouse, or any other person residing in the ALJ household has a financial interest in the subject mailer of the controversy, is a party to the proceeding or has any other interest that could be substantially affected by the outcome of the proceeding. A financial interest exists when the decision regarding the subject in controversy may substantially affect the value of a legal or equitable interest owned by the ALJ, the ALJ's spouse, or residents of the ALJ's household other than ownership interests in mutual or common investment funds insurance policies or mutual savings associations.

(4) the ALJ, the ALJs spouse, parent or child wherever residing, or any other person residing in the ALJ's household:

(a) is a party to the proceeding or an officer, director, partner or trustee of a party;
(b) is acting as a lawyer in the proceeding; or
(c) is to the ALJ's knowledge, likely to be a material witness in the proceeding.
 

(B) An Administrative Law Judge who may be disqualified under subsections (3) and (4) of this section may continue to hear the case under the following conditions:

(1) The Administrative Law Judge fully discloses to the parties the basis for the disqualification; and

(2) After the disclosure, all parties agree in writing or on the record of the proceeding that the Administrative Law Judge can continue.

2-105 An ALJ shall be faithful to the law and shall decide mailers on the basis of the facts and applicable law.

2-106 An ALJ shall not be swayed by partisan interests, public clamor or fear of criticism.

2-107 An ALJ shall maintain order and decorum in proceedings before the ALJ.

2-108 An ALJ shall not act in a way that the ALJ knows, or reasonably should know, would be perceived by a reasonable person as biased or prejudiced toward any of the litigants, witnesses, lawyers or members of the public.

MINIMIZING THE RISK OF CONFLICT WITH OFFICIAL OBLIGATIONS

3-101 An ALJ shall not serve as an officer, director, trustee or advisor of a private or public corporation or of an educational, religious, charitable, fraternal, political or civic organization if the corporation or organization recurrently participates in proceedings that would ordinarily come before the ALJ.

3-102 An ALJ shall not use his or her official position to solicit funds for any private or public corporation or for any educational, religious, charitable, fraternal, political or civic organization or permit the use of the prestige of the office for that purpose, but may be an officer, director or trustee of such an organization. This rule does not prohibit an ALJ from assisting an organization or governmental agency devoted to improvement of the law, legal education, the legal system or the administration of justice in raising, managing or investing funds nor does it prohibit the ALJ from making recommendations to public and private granting agencies on project and programs concerning the law, legal education, the legal system and the administration of justice.

3-103 Nonpublic information acquired by an ALJ in an official capacity shall not be used or disclosed for any purpose not related to official duties. An ALJ shall comply with applicable law and rules regulating confidential information.

3-104 Neither an ALJ, nor a member of the family residing in the ALJ's household, shall accept a gift, bequest, or loan from any individual or legal entity who has a significant interest in a matter that is or will be pending before the ALJ.