JUDICIAL CONDUCT FOR ADMINISTRATIVE LAW JUDGES

DEPARTMENT OF Personnel and Administration

Office of Administrative Courts

JUDICIAL CONDUCT FOR ADMINISTRATIVE LAW JUDGES

1 CCR 104-2

[Editor’s Notes follow the text of the rules at the end of this CCR Document.]

_________________________________________________________________________

PREAMBLE AND STATEMENT OF POLICY

Pursuant to Section 24-30-1003(4)(a), C.R.S. (1994), the Division of Administrative Hearings has adopted

the Code of Judicial Conduct for Administrative Law Judges of State Central Panels. The Code of Judicial

Conduct for Administrative Law Judges of State Central Panels is intended to establish basic ethical

conduct standards for administrative law judges or any other hearing officials, whatever their title, in any

state with a central panel administrative hearing system. The Code is intended to govern the conduct of

these administrative law judges and to provide guidance to assist state central panel judges in

establishing and maintaining high standards of judicial and personal conduct. This Code is based upon

the Model Code of Judicial Conduct as adopted by the ABA on August 7, 1990 and the February 1989

Model Code of Judicial Conduct for Federal Administrative Law Judges.

The text of the Canons is authoritative. The Commentary, by explanation and example, provides

guidance with respect to the purpose and meaning of the Canons. The Commentary is not intended as

statement of additional rules. When the text uses “shall” or “shall not,” it is intended to impose binding

obligations the violation of which can result in disciplinary action. When “should” or “should not” is used,

the text is a statement of what is or is not appropriate conduct, but not as a binding rule under which a

judge may be disciplined. When “may” is used, it denotes permissible discretion or, depending on the

context, it refers to action that is not covered by specific proscriptions. The terms administrative law judge

or judge are intended to include all hearing officers in any central panel state

,

the text is a statement of what is or is not appropriate conduct, but not as a binding rule under which a

judge may be disciplined. When “may” is used, it denotes permissible discretion or, depending on the

context, it refers to action that is not covered by specific proscriptions. The terms administrative law judge

or judge are intended to include all hearing officers in any central panel state.

The Canons are rules of reason. They should be applied consistent with constitutional requirements,

statutes, administrative rules, and decisional law and in the context of all relevant circumstances. The

Code is to be construed so as not to impinge on the essential independence of judges in making judicial

decisions.

The Code is designed to provide guidance to administrative law judges and to provide a structure for

regulating conduct. It is not intended, however, that every transgression will result in disciplinary action.

Whether disciplinary action is appropriate, and the degree of discipline to be imposed, should be

determined through a reasonable and reasoned application of the text and should depend on such factors

as the seriousness of the transgression, whether there is a pattern of improper activity, and the effect of

the improper activity on others or on the administrative system. The Code is not designed or intended as

a basis for civil liability or criminal prosecution. Furthermore, the purpose of the Code would be subverted

if the Code were invoked by lawyers for mere tactical advantage in a proceeding.

CANON 1

AN ADMINISTRATIVE LAW JUDGE SHALL UPHOLD THE INTEGRITY AND INDEPENDENCE OF

THE ADMINISTRATIVE JUDICIARY

An independent and honorable administrative judiciary is indispensable to justice in our society.

An administrative law judge should participate in establishing, maintaining, and enforcing, high

standards of conduct, and shall personally observe those standards so that the integrity and

Code of Colorado Regulations

Secretary of State

State of Colorado

D INDEPENDENCE OF

THE ADMINISTRATIVE JUDICIARY

An independent and honorable administrative judiciary is indispensable to justice in our society.

An administrative law judge should participate in establishing, maintaining, and enforcing, high

standards of conduct, and shall personally observe those standards so that the integrity and

Code of Colorado Regulations

Secretary of State

State of Colorado

independence of the administrative judiciary will be preserved. The provisions of this Code are to

be construed and applied to further that objective.

Commentary: Deference to the judgments and rulings of administrative proceedings depends upon public

confidence in the integrity and independence of administrative law judges. The integrity and

independence of administrative law judges depends in turn upon their acting without fear or favor.

Although judges should be independent, they must comply with the law, including the provisions of this

Code. Public confidence in the impartiality of the administrative judiciary is maintained by the adherence

of each administrative law judge to this responsibility. Conversely, violation of this Code diminishes public

confidence in the administrative judiciary and thereby does injury to the system of government under law.

CANON 2

AN ADMINISTRATIVE LAW JUDGE SHALL AVOID IMPROPRIETY AND THE APPEARANCE OF

IMPROPRIETY IN ALL ACTIVITIES

A. An administrative law judge shall respect and comply with the law and at all times shall act in a

manner that promotes public confidence in the integrity and impartiality of the

administrative judiciary.

Commentary: Public confidence in the administrative judiciary is eroded by irresponsible or improper

conduct by judges. An administrative law judge must avoid all impropriety and appearance of impropriety.

An administrative law judge must expect to be the subject of constant public scrutiny

a

manner that promotes public confidence in the integrity and impartiality of the

administrative judiciary.

Commentary: Public confidence in the administrative judiciary is eroded by irresponsible or improper

conduct by judges. An administrative law judge must avoid all impropriety and appearance of impropriety.

An administrative law judge must expect to be the subject of constant public scrutiny. An administrative

law judge must therefore expect, and accept restrictions on the administrative law judge's conduct that

might be viewed as burdensome by the ordinary citizen, and should do so freely and willingly.

The prohibition against behaving with impropriety or the appearance of impropriety applies to both the

professional and personal conduct of a judge. Because it is not practicable to list all prohibited acts, the

proscription is necessarily cast in general terms that extend to conduct by administrative law judges that

is harmful although not specifically mentioned in the Code. Actual improprieties under this standard

include violations of law, court rules, or other specific provisions of this Code. The test for appearance of

impropriety is whether the conduct would create in reasonable minds a perception that the administrative

law judge's ability to carry out judicial responsibilities with integrity, impartiality, and competence is

impaired.

See also Commentary under Canon 2C.

B. An administrative law judge shall not allow family, social, political, or other relationships to

influence the judge's judicial conduct or judgment. An administrative law judge shall not

lend the prestige of the office to advance the private interests of the administrative law

judge or others; nor shall an administrative law judge convey or permit others to convey

the impression that they are in a special position to influence the judge. An administrative

law judge shall not testify voluntarily as a character witness

icial conduct or judgment. An administrative law judge shall not

lend the prestige of the office to advance the private interests of the administrative law

judge or others; nor shall an administrative law judge convey or permit others to convey

the impression that they are in a special position to influence the judge. An administrative

law judge shall not testify voluntarily as a character witness.

Commentary: Maintaining the prestige of the administrative judiciary is essential to a system of

government in which the administrative judiciary must to the maximum extent possible, function

independently of the executive and legislative branches. Respect for the office facilitates the orderly

conduct of legitimate administrative judicial functions. Administrative law judges should distinguish

between proper and improper use of the prestige of office in all of their activities. For example, it would be

improper for an administrative law judge to allude to his or her judgeship to gain a personal advantage

such as deferential treatment when stopped by a police officer for a traffic offense. Similarly, official

letterhead must not be used for conducting an administrative law judge's personal business.

An administrative law judge must avoid lending the prestige of the office for the advancement of the

private interests of others. For example, a judge must not use the judge's judicial position to gain

advantage in a civil suit involving a member of the judge's family.

Although an administrative law judge should be sensitive to possible abuse of the prestige of the office,

an administrative law judge may, based on the judge's personal knowledge, serve as a reference or

provide a letter of recommendation.

An administrative law judge must not testify voluntarily as a character witness because to do so may lend

the prestige of the office in support of the party for whom the administrative law judge testifies

be sensitive to possible abuse of the prestige of the office,

an administrative law judge may, based on the judge's personal knowledge, serve as a reference or

provide a letter of recommendation.

An administrative law judge must not testify voluntarily as a character witness because to do so may lend

the prestige of the office in support of the party for whom the administrative law judge testifies. Moreover,

when an administrative law judge testifies as a witness, a lawyer who regularly appears before the judge

may be placed in the awkward position of cross-examining the judge. An administrative law judge may,

however, testify when properly summoned. Except in unusual circumstances where the demands of

justice require, an administrative law judge should discourage a party from requiring the judge to testify as

a character witness.

C. An administrative law judge shall not hold membership in any organization that practices

invidious discrimination on the basis of race, sex, religion, or national origin.

Commentary: It is inappropriate for a judge to hold membership in any organization that practices

invidious discrimination on the basis of race, sex, religion, or national origin. Membership of an

administrative law judge in an organization that practices invidious discrimination may give rise to

perceptions that the judge's impartiality is impaired. Canon 2C refers to the current practices of the

organization. Whether an organization practices invidious discrimination is often a complex question to

which judges should be sensitive. The answer cannot be determined from a mere examination of an

organization's current membership rolls, but rather depends on how the organization selects members

and other relevant factors, such as, that the organization is dedicated to the preservation of religious,

ethnic, or cultural values of legitimate common interest to its members, or that it is in fact and effect an

intimate, purely private organization whose membership limitations could not be constitutionally

prohibited

membership rolls, but rather depends on how the organization selects members

and other relevant factors, such as, that the organization is dedicated to the preservation of religious,

ethnic, or cultural values of legitimate common interest to its members, or that it is in fact and effect an

intimate, purely private organization whose membership limitations could not be constitutionally

prohibited. Absent such factors, an organization is generally said to discriminate invidiously if it arbitrarily

excludes from membership on the basis of race, religion, sex, or national origin persons who would

otherwise be admitted to membership. See New York State Club Ass'n Inc. v. City of New York, 487 U.S.

1,108 S.Ct. 2225, 101 L. Ed. 2d 1 (1988); Board of Directors of Rotary International v. Rotary Club of

Duarte, 481 U.S. 537, 107 S.Ct. 1940, 95 L. Ed. 2d 474 (1987); Roberts v. United States Jaycees, 468

U.S. 609, 104 S.Ct. 3244, 82 L. Ed. 2d 462 (1984).

Although Canon 2C relates only to membership in organizations that invidiously discriminate on the basis

of race, sex, religion, or national origin, an administrative law judge's membership in an organization that

engages in any discriminatory membership practices prohibited by the law of the jurisdiction also violates

Canon 2 and Canon 2A and gives the appearance of impropriety. In addition, it would be a violation of

Canon 2 and Canon 2A for an administrative law judge to arrange a meeting at a club that the judge

knows practices invidious discrimination on the basis of race, sex, religion, or national origin in its

membership or other policies, or for the judge to regularly use such a club. Moreover, public manifestation

by an administrative law judge of the judge's knowing approval of invidious discrimination on any basis

gives the appearance of impropriety under Canon 2 and diminishes public confidence in the integrity and

impartiality of the administrative judiciary, in violation of Canon 2A

origin in its

membership or other policies, or for the judge to regularly use such a club. Moreover, public manifestation

by an administrative law judge of the judge's knowing approval of invidious discrimination on any basis

gives the appearance of impropriety under Canon 2 and diminishes public confidence in the integrity and

impartiality of the administrative judiciary, in violation of Canon 2A.

When a person who is an administrative law judge at the time this Code becomes effective [in the

jurisdiction in which the person is a judge]1 learns that an organization to which the judge belongs

engages in invidious discrimination that would preclude membership under Canon 2C or under Canon 2

and Canon 2A, the administrative law judge is permitted, in lieu of resigning, to make immediate efforts to

have the organization discontinue its invidiously discriminatory practices, but the judge is required to

suspend participation in any activities of the organization. If the organization fails to discontinue its

invidiously discriminatory practices as promptly as possible (and in all events within a year of the judge's

first learning of the practices), the administrative law judge is required to resign immediately from the

organization.

1The language within the brackets should be deleted when the jurisdiction adopts this provision.

CANON 3

AN' ADMINISTRATIVE LAW JUDGE SHALL PERFORM THE DUTIES OF THE OFFICE IMPARTIALLY

AND DILIGENTLY

The judicial duties of an administrative law judge 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:

A. Adjudicative responsibilities:

(1) An administrative law judge shall hear and decide matters assigned to the

judge except those in which disqualification is required.

(2) An administrative law judge shall be faithful to the law and maintain

professional competence in it. A judge shall be unswayed by partisan

interests, public clamor, or fear or criticism.

duties, the

following standards apply:

A. Adjudicative responsibilities:

(1) An administrative law judge shall hear and decide matters assigned to the

judge except those in which disqualification is required.

(2) An administrative law judge shall be faithful to the law and maintain

professional competence in it. A judge shall be unswayed by partisan

interests, public clamor, or fear or criticism.

(3) An administrative law judge shall maintain order and decorum in proceedings

before the judge.

(4) An administrative law judge shall be patient, dignified, and courteous to

litigants, witnesses, representatives, and others with whom the judge deals

in an official capacity, and shall require similar conduct of representatives,

staff members, and others subject to the judge's direction and control.

Commentary: The duty to hear all proceedings fairly and with patience is not inconsistent

with the duty to dispose promptly of the business of the judge. Judges can be efficient

and businesslike while being patient and deliberate.

(5) An administrative law judge shall perform judicial duties without bias or

prejudice. A judge shall not, in the performance of judicial duties, by words

or conduct manifest bias or prejudice, including but not limited to bias or

prejudice based upon race, sex, religion, national origin, disability, age,

sexual orientation, or socioeconomic status, and shall not permit staff and

others subject to the judge's direction and control to do so.

Commentary: A judge must refrain from speech, gestures, or other conduct that could

reasonably be perceived as sexual harassment and must require the same standard of

conduct of others subject to the judge's direction and control. Facial expression and body

language, in addition to oral communication, can give to parties or lawyers in the

proceeding, the media, and others an appearance of bias. A judge must be alert to avoid

behavior that may be perceived as prejudice.

that could

reasonably be perceived as sexual harassment and must require the same standard of

conduct of others subject to the judge's direction and control. Facial expression and body

language, in addition to oral communication, can give to parties or lawyers in the

proceeding, the media, and others an appearance of bias. A judge must be alert to avoid

behavior that may be perceived as prejudice.

(6) An administrative law judge shall accord to all persons who are legally

interested in a proceeding, or their representative, full right to be heard

according to law, and except as authorized by law, neither initiate nor

consider ex parte or other communications as to substantive matters

concerning a pending or impending proceeding. A judge may obtain the

advice of a disinterested expert on the law applicable to a proceeding

before the judge, by amicus curiae or as otherwise authorized by law, if the

judge affords the parties reasonable opportunity to respond. A 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 judge. A

judge may initiate or consider any ex parte communications when

expressly authorized by law to do so.

Commentary: The proscription against communications concerning a proceeding

includes communications from lawyers, law teachers, and other persons who are not

participants in the proceeding except as authorized by law, but does not preclude a judge

from consulting with other judges or subordinate personnel whose function is to aid the

judges in carrying out adjudicative responsibilities. To the extent reasonably possible, all

parties or their lawyers shall be included in communications with a judge.

m lawyers, law teachers, and other persons who are not

participants in the proceeding except as authorized by law, but does not preclude a judge

from consulting with other judges or subordinate personnel whose function is to aid the

judges in carrying out adjudicative responsibilities. To the extent reasonably possible, all

parties or their lawyers shall be included in communications with a judge.

(7) An administrative law judge shall dispose of all judicial matters promptly,

efficiently, and fairly.

Commentary: In disposing of matters promptly, efficiently, and fairly, a judge must

demonstrate due regard for the rights of the parties to be heard and to have issues

resolved without unnecessary cost or delay. Prompt disposition of the judge's business

requires a judge to devote adequate time to his or her duties, to be punctual in attending

hearings and expeditious in determining matters under submission, and to insist that

other subordinate officials, litigants, and their representatives cooperate with the judge to

that end.

(8) An administrative law judge shall abstain from public comment about a pending

or impending proceeding before any judge in the administrative process

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 trial or hearing and shall require similar abstention on the part of

personnel subject to the judge's direction and control. This subsection

does not prohibit judges from making public statements in the course of

their official duties or from explaining for public information the hearing

procedures of agencies.

Commentary: “Agency personnel” does not include the lawyers in a proceeding before a

judge. The conduct of lawyers is governed by rules of professional conduct. This

subsection is not intended to preclude participation in an association of judges merely

because such association makes public comments about a pending or impending

proceeding in the administrative process

aring

procedures of agencies.

Commentary: “Agency personnel” does not include the lawyers in a proceeding before a

judge. The conduct of lawyers is governed by rules of professional conduct. This

subsection is not intended to preclude participation in an association of judges merely

because such association makes public comments about a pending or impending

proceeding in the administrative process. The subsection is directed primarily at public

comments by a judge concerning a proceeding before another judge.

(9) An administrative law judge shall not disclose or use, for any purpose unrelated

to judicial duties, nonpublic information acquired in a judicial capacity.

B. Administrative responsiblities:

(1) An administrative law judge shall diligently discharge assigned administrative

responsibilities, maintain professional competence in judicial

administration, and facilitate the performance of the administrative

responsibilities of other administrative law judges.

(2) An administrative law judge shall require staff and other persons subject to the

judge's direction and control to observe the standards of fidelity and

diligence that apply to the judge.

(3) An administrative law judge shall take or initiate appropriate disciplinary

measures against a judge or a lawyer for unprofessional conduct of which

the judge may become aware.

(4) An administrative law judge with supervisory authority for the judicial

performance of other judges shall take reasonable measures to assure the

prompt disposition of matters before them and the proper performance of

their other judicial responsibilities.

Commentary: Disciplinary measures may include reporting a lawyer's misconduct to an

appropriate disciplinary body. Internal agency procedure which routes the complaint can

be utilized as long as the judge remains responsible for initiation of the action.

C. Disqualification:

to assure the

prompt disposition of matters before them and the proper performance of

their other judicial responsibilities.

Commentary: Disciplinary measures may include reporting a lawyer's misconduct to an

appropriate disciplinary body. Internal agency procedure which routes the complaint can

be utilized as long as the judge remains responsible for initiation of the action.

C. Disqualification:

(1) An administrative law judge shall disqualify himself or herself in any

proceeding in which the judge's impartiality might reasonably be

questioned, including but not limited to instances where:

Commentary: By decisional law, the rule of necessity may supersede the rule of

disqualification. For example, a judge might be required to participate in judicial review of

a judicial salary statute, or might be the only judge available in a matter requiring

immediate judicial action. In the latter case, the judge must disclose on the record the

basis for possible disqualification and use reasonable efforts to transfer the matter to

another judge as soon as practicable.

(a) the judge has a personal bias or prejudice concerning the proceeding;

(b) in private practice the judge served as a lawyer in the matter in

controversy, or a lawyer with whom the judge previously practiced

law served during such association as a lawyer concerning the

matter, or the judge or such lawyer has been a material witness

concerning it;

Commentary: A lawyer in a governmental agency does not necessarily have an

association with other lawyers employed by that agency within the meaning of

this subsection.

(c) the judge has served in governmental employment and in such capacity

participated as counsel, advisor, or material witness concerning the

proceeding or expressed an opinion concerning the merits of the

particular case in controversy;

tary: A lawyer in a governmental agency does not necessarily have an

association with other lawyers employed by that agency within the meaning of

this subsection.

(c) the judge has served in governmental employment and in such capacity

participated as counsel, advisor, or material witness concerning the

proceeding or expressed an opinion concerning the merits of the

particular case in controversy;

(d) the judge knows that he or she, individually or as a fiduciary, or his or

her spouse or child wherever residing, or any other member of the

judge's family or a person treated by the judge as a member of the

judge's family residing in the 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 more than de minimis

interest that could be substantially affected by the outcome of the

proceeding;

(e) the judge or the judge's spouse, or a person within the third degree of

relationship to either of them, or the spouse of such a person:

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

party;

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

Commentary: The fact that a lawyer in a proceeding is affiliated with a law firm

with which a lawyer-relative of the judge is affiliated does not of itself disqualify

the judge. Under appropriate circumstances, the fact that “the judge's impartiality

might reasonably be questioned” under Canon 3C(1), or that the lawyer-relative

known by the judge to have an interest in the law firm that could be “substantially

affected by the outcome of the proceeding” under Canon 3C(1)(d)(iii) may require

the judge's disqualification.

(iii) is known by the judge to have a-more than de minimis interest

that could be substantially affected by the outcome of the

proceeding;

(iv) is to the judge's knowledge likely to be a material witness in the

proceeding.

e to have an interest in the law firm that could be “substantially

affected by the outcome of the proceeding” under Canon 3C(1)(d)(iii) may require

the judge's disqualification.

(iii) is known by the judge to have a-more than de minimis interest

that could be substantially affected by the outcome of the

proceeding;

(iv) is to the judge's knowledge likely to be a material witness in the

proceeding.

(2) A judge shall inform himself or herself about the judge's personal and fiduciary

financial interests, and make a reasonable effort to inform himself or

herself about the personal financial interests of his or her spouse and

minor children residing in the judge's household.

(3) For the purposes of this Code the following words or phrases shall have the

meaning indicated:

(a) the degree of relationship is calculated according to the civil law

system;

Commentary: According to the civil law system, the third degree of relationship

test would, for example, disqualify the judge if the judge's or his or her spouse's

parent, grandparent, uncle or aunt, brother or sister, or niece or her husband,

nephew or his wife were a party or lawyer in the proceeding, but would not

disqualify the judge if a cousin were a party or lawyer in the proceeding.

(b) “fiduciary” includes such relationships as executor, administrator,

trustee, and guardian;

(c) “financial interest” means ownership of a more than de minimis legal or

equitable interest, or a relationship as director, advisor, or other

active participant in the affairs of a party, except that:

proceeding, but would not

disqualify the judge if a cousin were a party or lawyer in the proceeding.

(b) “fiduciary” includes such relationships as executor, administrator,

trustee, and guardian;

(c) “financial interest” means ownership of a more than de minimis legal or

equitable interest, or a relationship as director, advisor, or other

active participant in the affairs of a party, except that:

(i) ownership in a mutual or common investment fund that holds

securities is not a “financial interest” in such securities

unless the judge participates in the management of the

fund;

(ii) an office in an educational, religious, charitable, fraternal, or

civic organization is not a “financial interest” in securities

held by the organization;

(iii) the proprietary interest of a policy holder 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;

(iv) 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.

(d) “proceeding” includes prehearing or other stages of litigation.

D. Remittal of disqualification:

An administrative law judge disqualified by the means of Canon 3C may, instead of

withdrawing from the proceeding, disclose on the record the basis of the

disqualification. If, based on such disclosure, the parties and representatives,

independently of the judge's participation, all agree in writing that the judge's

relationship is immaterial, the judge is no longer disqualified, and may participate

in the proceeding. The agreement, signed by all parties and representatives, shall

be incorporated in the record of the proceeding.

Commentary: Canon 3D is derived from the ABA model code with amendments

conforming to 28 U.S.C. 455

,

independently of the judge's participation, all agree in writing that the judge's

relationship is immaterial, the judge is no longer disqualified, and may participate

in the proceeding. The agreement, signed by all parties and representatives, shall

be incorporated in the record of the proceeding.

Commentary: Canon 3D is derived from the ABA model code with amendments

conforming to 28 U.S.C. 455. The procedure is designed to minimize the chance that a

party or representative will feel coerced into an agreement. When a party is not

immediately available, the judge without violating this section may proceed on the written

assurance of the lawyer that his or her party's consent will be subsequently filed.

CANON 4

AN ADMINISTRATIVE LAW JUDGE SHALL REGULATE EXTRA-JUDICIAL ACTIVITIES TO MINIMIZE

THE RISK OF CONFLICT WITH JUDICIAL DUTIES

A. Extra-judicial activities in general:

An administrative law judge shall conduct all of the judge's extra-judicial activities so that

they do not:

(1) cast reasonable doubt on the judge's capacity to act impartially as a judge;

(2) demean the judicial office; or

(3) interfere with the proper performance of judicial duties.

Commentary: Complete separation of a judge from extra-judicial activities is neither

possible nor wise; a judge should not become isolated from the community in which the

judge lives.

Expressions of bias or prejudice by a judge, even outside the judge's judicial

activities, cast reasonable doubt on the judge's capacity to act impartially as a

judge. Expressions which may do so include jokes or other remarks demeaning

individuals on the basis of their race, sex, religion, national origin, disability, age,

sexual orientation, or socioeconomic status.

B. Avocational activities:

An administrative law judge may speak, write, lecture, teach, and participate in other extra-

judicial activities concerning the law, the legal system, the administration of justice, and

non-legal subjects, subject to the requirements of this Code.

ls on the basis of their race, sex, religion, national origin, disability, age,

sexual orientation, or socioeconomic status.

B. Avocational activities:

An administrative law judge may speak, write, lecture, teach, and participate in other extra-

judicial activities concerning the law, the legal system, the administration of justice, and

non-legal subjects, subject to the requirements of this Code.

Commentary: As a judicial officer and person specially learned in the law, a judge is in a unique

position to contribute to the improvement of the law, the legal system, and the administration of

justice, including the revision of substantive and procedural law. To the extent that time permits, a

judge is encouraged to do so, either independently or through a bar association, judicial

conference, or other organization dedicated to the improvement of the law.

C. Governmental, civic, and charitable activities:

(1) An administrative law judge shall not appear at a public hearing before, or otherwise

consult with, an executive or legislative body or official except on matters

concerning the law, the legal system, or the administration of justice or except

when acting pro se in a matter involving the judge or the judge's interests.

Commentary: The judge has a professional obligation to avoid improper influence.

(2) An administrative law judge shall not accept appointment to a governmental committee

or commission or other governmental position that is concerned with issues of

fact or policy on matters other than the improvement of the law, the legal system,

or the administration of justice. A judge may, however, represent a country, state,

or locality on ceremonial occasions or in connection with historical, educational,

or cultural activities.

Commentary: Canon 4C(2) prohibits a judge from accepting any governmental position except

one relating to the law, legal system, or administration of justice

than the improvement of the law, the legal system,

or the administration of justice. A judge may, however, represent a country, state,

or locality on ceremonial occasions or in connection with historical, educational,

or cultural activities.

Commentary: Canon 4C(2) prohibits a judge from accepting any governmental position except

one relating to the law, legal system, or administration of justice. The appropriateness of

accepting extra-judicial assignments must be assessed in light of the demands on judicial

resources created by crowded dockets and the need to protect the judge from involvement in

extra-judicial matters that may prove to be controversial. Judges should not accept governmental

appointments that are likely to interfere with the effectiveness and independence of the

administrative judiciary.

(3) An administrative law judge may participate in civic and charitable activities that do not

reflect adversely upon impartiality or interfere with the performance of judicial

duties. A judge may serve as an officer, director, trustee, or non-legal advisor of an

educational, religious, charitable, fraternal, or civil organization not conducted for

the economic or political advantage of its members, subject to the following

limitations:

(a) A judge shall not serve if it is likely that the organization will be engaged in

proceedings that would ordinarily come before the judge or will be

regularly engaged in adversary proceedings before the central panel in

which the judge serves.

Commentary: The changing nature of some organizations and of their relationship to the

law makes it necessary for a judge to reexamine regularly the activities of each

organization with which he or she is affiliated to determine if it is proper to continue his or

her relationship with that organization.

(b) An administrative law judge as an officer, director, trustee or non-legal advisor,

or as a member, or otherwise:

ing nature of some organizations and of their relationship to the

law makes it necessary for a judge to reexamine regularly the activities of each

organization with which he or she is affiliated to determine if it is proper to continue his or

her relationship with that organization.

(b) An administrative law judge as an officer, director, trustee or non-legal advisor,

or as a member, or otherwise:

(i) may assist such an organization in planning fund-raising and may

participate in the management and investments of the

organization's funds, but shall not personally participate in the

solicitation of funds or other fund-raising activities, except that a

judge may solicit funds from other judges over whom the judge

does not exercise supervisory authority;

(ii) may make recommendations to public and private fund-granting

organizations on projects and programs concerning the law, the

legal system, or the administration of justice;

(iii) shall not personally participate in membership solicitation if the

solicitation might reasonably be perceived as coercive or, except as

permitted in Canon 4C(3)(b)(i), if the membership solicitation is

essentially a fund-raising mechanism;

(iv) shall not use or permit the use of the prestige of judicial office for fund-

raising or membership solicitation.

Commentary: An administrative law judge may solicit membership or endorse or

encourage membership efforts for an organization devoted to the improvement of the

law, the legal system, or the administration of justice or a nonprofit educational, religious,

charitable, fraternal, or civic organization as long as the solicitation cannot reasonably be

perceived as coercive and is not essentially a fund-raising mechaniam. Solicitation of

funds for an organization and solicitation of memberships similarly involve the danger that

the person solicited will feel obligated to respond favorably to the solicitor if the solicitor is

in a position of influence or control

e, fraternal, or civic organization as long as the solicitation cannot reasonably be

perceived as coercive and is not essentially a fund-raising mechaniam. Solicitation of

funds for an organization and solicitation of memberships similarly involve the danger that

the person solicited will feel obligated to respond favorably to the solicitor if the solicitor is

in a position of influence or control. A judge must not engage in direct, individual

solicitation of funds or memberships in person, in writing, or by telephone except in the

following cases: 1) a judge may solicit for funds or memberships other judges over whom

the judge does not exercise supervisory or appellate authority, 2) a judge may solicit

other persons for membership in the organizations described above if neither those

persons nor persons with whom they are affiliated are likely ever to appear before the

central panel on which the judge serves, and 3) a judge who is an officer of such an

organization may send a general membership solicitation mailing over the judge's

signature.

Use of an organization letterhead for fund-raising or membership solicitation does not

violate Canon 4C(3)(b) provided the letterhead lists only the judge's name and office or

other position in the organization, and if comparable designations are listed for other

persons, the judge's judicial designation. In addition, a judge must also make reasonable

efforts to ensure that the judge's staff, and others subject to the judge's direction and

control do not solicit funds on the judge's behalf for any purpose, charitable or otherwise.

D. Financial activities:

(1) An administrative law judge shall not engage in financial and business dealings that:

(a) may reasonably be perceived to exploit the judge's judicial position, or

must also make reasonable

efforts to ensure that the judge's staff, and others subject to the judge's direction and

control do not solicit funds on the judge's behalf for any purpose, charitable or otherwise.

D. Financial activities:

(1) An administrative law judge shall not engage in financial and business dealings that:

(a) may reasonably be perceived to exploit the judge's judicial position, or

(b) involve the judge in transactions or continuing business relationships with

those lawyers or other persons likely to come before the central panel on

which the judge serves.

Commentary: A judge must avoid financial and business dealings that involve the judge

in frequent transactions or continuing business relationships with persons likely to come

either before the judge personally or before other judges on the judge's central panel. In

addition, a judge should discourage members of the judge's family from engaging in

dealings that would reasonably appear to exploit the judge's judicial position or involve

those family members in frequent transactions or continuing business relationships with

persons likely to come before the judge. This rule is necessary to avoid creating an

appearance of exploitation of office or favoritism and to minimize the potential for

disqualification.

(2) An administrative law judge may, subject to the requirements of this Code, hold and

manage investments of the judge and members of the judge's family, including real

estate, and engage in other remunerative activity.

(3) An administrative law judge shall not serve as an officer, director, manager, general

partner, advisor, or employee of any business entity except that a judge may,

subject to the requirements of this Code, manage and participate in:

(a) a business closely-held by the judge or members of the judge's family, or

the judge's family, including real

estate, and engage in other remunerative activity.

(3) An administrative law judge shall not serve as an officer, director, manager, general

partner, advisor, or employee of any business entity except that a judge may,

subject to the requirements of this Code, manage and participate in:

(a) a business closely-held by the judge or members of the judge's family, or

(b) a business entity primarily engaged in investment of the financial resources of

the judge or members of the judge's family.

Commentary: Subject to the requirement of this Code, a judge may participate in a

business that is closely-held either by the judge alone, by members of the judge's family,

or by the judge and members of the judge's family.

Although participation by a judge in a closely-held family business might otherwise be

permitted by Canon 4D(3), a judge may be prohibited from participation by other

provisions of this Code when, for example, the business entity frequently appears before

the judge's central panel or the participation requires significant time away from judicial

duties. Similarly, a judge must avoid participating in a closely-held family business if the

judge's participation would involve misuse of the prestige of the judicial office.

(4) An administrative law judge shall manage the judge's investments and other financial

interests to minimize the number of cases in which the judge is disqualified. As

soon as the judge can do so without serious financial detriment, the judge should

divest himself or herself of investments and other financial interests that might

require frequent disqualification.

restige of the judicial office.

(4) An administrative law judge shall manage the judge's investments and other financial

interests to minimize the number of cases in which the judge is disqualified. As

soon as the judge can do so without serious financial detriment, the judge should

divest himself or herself of investments and other financial interests that might

require frequent disqualification.

(5) An administrative law judge shall not accept, and shall urge members of the judge's

family or a person treated by the judge as a member of the judge's family residing

in the judge's household not to accept a gift, bequest, favor, or loan from anyone

except for:

Commentary: Because a gift, bequest, favor, or loan to a member of the judge's family

residing in the judge's household might be viewed as intended to influence the judge, a

judge must inform those family members of the relevant ethical constraints upon the

judge in this regard and discourage those family members from violating them. A judge

cannot, however, reasonably be expected to know or control all of the financial or

business activities of all family members residing in the judge's household.

(a) a gift incident to a public testimonial, books, tapes, and other resource

materials supplied by publishers on a complimentary basis for official use,

or an invitation to the judge and the judge's spouse or guest to attend a

bar-related function or an activity devoted to the improvement of the law,

the legal system, or the administration of justice;

(b) a gift, award, or benefit incident to the business, profession, or other separate

activity of a spouse or other family member of a judge residing in the

judge's household, including gifts, awards, and benefits for the use of both

the spouse or other family member and the judge (as spouse or family

member), provided the gift, award, or benefit could not reasonably be

perceived as intended to influence the judge in the performance of judicial

duties;

(c) ordinary social hospitality;

vity of a spouse or other family member of a judge residing in the

judge's household, including gifts, awards, and benefits for the use of both

the spouse or other family member and the judge (as spouse or family

member), provided the gift, award, or benefit could not reasonably be

perceived as intended to influence the judge in the performance of judicial

duties;

(c) ordinary social hospitality;

(d) a gift from a relative or friend, for a special occasion, such as a wedding,

anniversary, or birthday, if the gift is fairly commensurate with the

occasion and the relationship;

Commentary: A gift to a judge, or to a member of the judge's family living in the judge's

household, that is excessive in value raises questions about the judge's impartiality and

the integrity of the judicial office and might require disqualification of the judge where

disqualification would not otherwise be required.

(e) a gift, bequest, favor, or loan from a relative or close personal friend whose

appearance or interest in a case would in any event require

disqualification;

(f) a loan from a lending institution in its regular course of business on the same

terms generally available to persons who are not administrative law judges;

(g) a scholarship or fellowship awarded on the same terms and based on the same

criteria applied to other applicants; or

(h) any other gift, bequest, favor, or loan only if: the donor is not a party or other

person who has come or is likely to come or whose interests have come or

are likely to come before the judge.

Commentary: Canon 4D(5)(h) prohibits judges from accepting gifts, favors, bequests, or

loans from lawyers or their firms if they have come or are likely to come before the judge;

it also prohibits gifts, favors, bequests, or loans from clients of lawyers or their firms when

the clients' interests have come or are likely to come before the judge.

E. Fiduciary activities:

y to come before the judge.

Commentary: Canon 4D(5)(h) prohibits judges from accepting gifts, favors, bequests, or

loans from lawyers or their firms if they have come or are likely to come before the judge;

it also prohibits gifts, favors, bequests, or loans from clients of lawyers or their firms when

the clients' interests have come or are likely to come before the judge.

E. Fiduciary activities:

(1) An administrative law judge shall not serve as executor, administrator, or other

personal representative, trustee, guardian, attorney in fact, or other fiduciary,

except for the estate, trust, or person of a member of the judge's family, and then

only if such service will not interfere with the proper performance of judicial duties.

(2) An administrative law judge shall not serve as a fiduciary if it is likely that the judge as

a fiduciary will be engaged in proceedings that would ordinarily come before the

judge, or if the estate, trust, or ward becomes involved in adversary proceedings in

the central panel on which the judge serves.

(3) The same restrictions on financial activities that apply to a judge personally also apply

to the judge while acting in a fiduciary capacity.

Commentary: The restrictions imposed by this Canon may conflict with the judge's obligation as a

fiduciary. For example, a judge should resign as trustee if detriment to the trust would result from

divestiture of holdings the retention of which would place the judge in violation of Canon 4D(4).

F. Service as arbitrator or mediator.

ally also apply

to the judge while acting in a fiduciary capacity.

Commentary: The restrictions imposed by this Canon may conflict with the judge's obligation as a

fiduciary. For example, a judge should resign as trustee if detriment to the trust would result from

divestiture of holdings the retention of which would place the judge in violation of Canon 4D(4).

F. Service as arbitrator or mediator.

An administrative law judge may act as an arbitrator or mediator provided there is no

conflict with the judge's official duties.

G. Practice of Law.

A full-time administrative law judge shall not practice law. Notwithstanding this

prohibition, a judge may act pro se and may, without compensation, give legal advice to

and draft or review documents for a member of the judge's family. A member of the

judge's family denotes a spouse, child, grandchild, parent, grandparent, or other relative

or person with whom the judge maintains a close familial relationship.

Commentary: This prohibition refers to the practice of law in a representative capacity and not in

a pro se capacity. A judge may act for himself or herself in all legal matters, including matters

involving litigation and matters involving appearances before or other dealings with legislative and

other governmental bodies. However, in so doing, a judge must not abuse the prestige of office to

advance the interests of the judge or the judge's family.

The Code allows a judge to give legal advice to and draft legal documents for members of the

judge's family, so long as the judge receives no compensaton. A judge must not, however, act as

an advocate or negotiator for a member of the judge's family in a legal matter.

An administrative law judge may perform pro bono legal services provided there is no conflict with

the judge's official duties and the proceedings will not take place in the central panel in which the

judge is a member.

H. Compensation and reimbursement

e judge receives no compensaton. A judge must not, however, act as

an advocate or negotiator for a member of the judge's family in a legal matter.

An administrative law judge may perform pro bono legal services provided there is no conflict with

the judge's official duties and the proceedings will not take place in the central panel in which the

judge is a member.

H. Compensation and reimbursement.

An administrative law judge may receive compensation and reimbursement of expenses

for the extra-judicial activities permitted by this Code, if the source of such payments does

not give the appearance of influencing the judge's performance of judicial duties or

otherwise give the appearance of impropriety.

(1) Compensation shall not exceed a reasonable amount nor should it exceed what

a person who is not a judge would receive for the same activity.

(2) Expense reimbursement shall be limited to the actual cost of travel, food, and

lodging reasonably incurred by the judge and, where appropriate to the

occasion, by the judge's spouse or guest. Any payment in excess of such

an amount is compensation.

I. Disclosure.

Disclosure of an administrative law judge's income, debts, investments, or other assets is

required only to the extent provided by law.

Commentary: A judge has the right of any other citizen, including the right to privacy of the

judge's financial affairs, except to the extent that limitations established by law are required to

safeguard the proper performance of the judge's duties.

CANON 5

AN ADMINISTRATIVE LAW JUDGE SHALL REFRAIN FROM POLITICAL ACTIVITY

INAPPROPRIATE TO THE JUDICIAL OFFICE

red only to the extent provided by law.

Commentary: A judge has the right of any other citizen, including the right to privacy of the

judge's financial affairs, except to the extent that limitations established by law are required to

safeguard the proper performance of the judge's duties.

CANON 5

AN ADMINISTRATIVE LAW JUDGE SHALL REFRAIN FROM POLITICAL ACTIVITY

INAPPROPRIATE TO THE JUDICIAL OFFICE

Commentary: Administrative law judges retain the right to participate in the political process as voters.

Administrative law judges, depending upon their employment status, may engage in other appropriate

political activity.

It is generally inappropriate, however, for any full-time administrative law judge to act as a leader or hold

office in a political organization or make speeches on behalf of a political organization. While it may be

inappropriate to publicly endorse or publicly oppose a candidate for public office, a full-time administrative

law judge is not prohibited from privately expressing his or her views on candidates for public office.

A candidate for reappointment to an administrative law judge position or an administrative law judge

seeking another governmental office should not engage in political activity to secure the appointment.

Such persons may communicate with the appointing authority and any entity or person designated to

screen candidates, or seek support or endorsement for the appointment from organizations that regularly

make recommendations for reappointment or appointment to the office.

A full-time administrative law judge shall resign from office when the judge becomes a candidate either in

a party primary or in a general election for an elective public office.