470 IAC 1-4-4 - Conduct and authority of administrative law judge

Authority: IC 12-13-2-3; IC 12-13-5-3

Affected: IC 12-13

Sec. 4.

(a) An administrative law judge's (ALJ) conduct shall be in a manner that promotes public confidence in the integrity and impartiality of the administrative hearing process. The ALJ who conducts a hearing is prohibited from:

(1) consulting any party or party's agent on any fact in issue unless upon notice and opportunity for all parties to participate;

(2) performing any of the investigative or prosecutorial functions of the agency in the administrative action heard or to be heard by him or her or in a factually related administrative or judicial action;

(3) being influenced by partisan interests, public clamor, or fear of criticism;

(4) conveying or permitting others to convey the impression that they are in a special position to influence the ALJ;

(5) commenting publicly, except as to hearing schedules or procedures, about pending or impending proceedings; or

(6) engaging in financial or business dealings that tend to:

(A) reflect adversely on his or her impartiality;

(B) interfere with the proper performance of his or her duties;

(C) exploit the ALJ's position; or

(D) involve the ALJ in frequent financial business dealings with attorneys or other persons who are likely to come before the ALJ.

(b) An ALJ shall disqualify himself or herself in a proceeding in which his or her impartiality might reasonably be questioned, or in which the ALJ's personal bias, prejudice, or knowledge of a disputed evidentiary fact might influence the decision. Nothing in this subsection prohibits a person who is an employee of an agency from serving as an ALJ.

(c) The ALJ shall be authorized to:

(1) administer oaths and affirmations;

(2) issue subpoenas;

(3) rule upon offers of proof;

(4) receive relevant evidence;

(5) facilitate discovery in accordance with the Indiana rules of trial procedure;

(6) regulate the course of the hearing and conduct of the parties;

(7) hold informal conferences for the settlement or simplification of the issues under appeal;

(8) dispose of procedural motions and similar matters; and

(9) exercise such other powers as may be given by the law relating to the particular program area under appeal.

Notes

470 IAC 1-4-4

Division of Family Resources; 470 IAC 1-4-4; filed May 22, 1987, 12:45 p.m.: 10 IR 2278, eff Jul 1, 1987; filed Jun 19, 1996, 9:00 a.m.: 19 IR 3075; readopted filed Jul 12, 2001, 1:40 p.m.: 24 IR 4235; readopted filed Oct 24, 2007, 11:25 a.m.: 20071121-IR-470070448RFA; readopted filed Aug 23, 2013, 3:36 p.m.: 20130918-IR-470130306RFA Readopted filed 11/13/2019, 11:56 a.m.: 20191211-IR-470190490RFA