Subchapter B - Rules of Conduct
§ 1-11 Appearances.
(a) A party may appear in person, by an attorney, or by a duly authorized representative. A person appearing for a party, including by telephone conference call, is required to file a notice of appearance with OATH. Docketing of a case by an attorney or representative of a party will be deemed to constitute the filing of a notice of appearance by that person. The filing of any papers by an attorney or representative who has not previously appeared will constitute the filing of a notice of appearance by that person, and will conform to the requirements of subdivisions (b), (d) and (e) of this section.
(b) The appearance of a member in good standing of the bar of a court of general jurisdiction of any state or territory of the United States must be indicated by the suffix "Esq." and the designation "attorney for (petitioner or respondent)", and the appearance of any other person must be indicated by the designation "representative for (petitioner or respondent)".
(c) Absent extraordinary circumstances, no application may be made or argued by any attorney or other representative who has not filed a notice of appearance. Any application submitted on behalf of a party or participation in a conference, whether by e-mail, letter or phone, will be deemed an appearance by the attorney or representative. After making such an appearance, the attorney or representative must file a notice of appearance in conformity with subdivisions (b), (d) and (e) of this section.
(d) A person may not file a notice of appearance on behalf of a party unless he or she has been retained by that party to represent the party before OATH. Filing a notice of appearance constitutes a representation that the person appearing has been so retained. Filing a notice of appearance pursuant to subdivision (a) of this section constitutes a representation that the person appearing has read and is familiar with the rules of this subchapter.
(e) Each attorney or representative appearing before OATH must provide his or her address, telephone number, fax number, and an e-mail address on all notices of appearance and must provide prompt written notice of any change in name, address, telephone number, fax number, or e-mail address.
§ 1-12 Withdrawal and Substitution of Counsel.
(a) An attorney who has filed a notice of appearance must not withdraw from representation without the permission of the administrative law judge, on application. Withdrawals will not be granted unless upon consent of the client or when other cause exists as delineated in the applicable provisions of the Code of Professional Responsibility.
(b) Notices of substitution of counsel must be served and filed with OATH and the opposing party. A party may substitute counsel without leave of the administrative law judge as long as the substitution is made more than twenty days before trial. Applications for later substitutions of counsel will be granted freely absent prejudice or substantial delay of proceedings.
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§ 1-13 Conduct; Suspension From Practice at OATH.
(a) Individuals appearing before OATH must comply with the rules of this chapter and any other applicable rules, and must comply with the orders and directions of the administrative law judge.
(b) Individuals appearing before OATH must conduct themselves at all times in a dignified, orderly and decorous manner. In particular, at the trial, all parties, their attorneys or representatives, and observers must address themselves only to the administrative law judge, avoid colloquy and argument among themselves, and cooperate with the orderly conduct of the trial.
(c) Attorneys and other representatives appearing before OATH must be familiar with the rules of this title.
(d) Attorneys appearing before OATH must conduct themselves in accordance with the canons, ethical considerations and disciplinary rules set forth in the code of professional responsibility in their representation of their clients, in their dealings with other parties, attorneys and representatives before OATH, and with OATH’s administrative law judges and staff.
(e) Willful failure of any person to abide by the standards of conduct stated in paragraphs (a) through (d) of this section, may, in the discretion of the administrative law judge, be cause for the imposition of sanctions. Such sanctions may include formal admonishment or reprimand, assessment of costs or imposition of a fine, exclusion of the offending person from the proceedings, exclusion or limitation of evidence, adverse evidentiary inference, adverse disposition of the case, in whole or in part, or other sanctions as the administrative law judge may determine to be appropriate. The imposition of sanctions may be made after a reasonable opportunity to be heard. The form of the trial will depend upon the nature of the conduct and the circumstances of the case.
(f) In the event that an attorney or other representative of a party persistently fails to abide by the standards of conduct stated in paragraphs (a) through (d) of this section, the chief administrative law judge may, upon notice to the attorney or representative and a reasonable opportunity to rebut the claims against him or her, suspend that attorney or representative from appearing at OATH, either for a specified period of time or indefinitely until the attorney or representative demonstrates to the satisfaction of the chief administrative law judge that the basis for the suspension no longer exists.
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§ 1-14 Ex Parte Communications.
(a) Except for ministerial matters, on consent, in an emergency, or as provided in § 1-31(a), communications with the administrative law judge concerning a case must only occur with all parties present. If an administrative law judge receives an ex parte communication concerning the merits of a case to which he or she is assigned, then he or she must promptly disclose the communication by placing it on the record, in detail, including all written and oral communications and identifying all individuals with whom he or she has communicated. A party desiring to rebut the ex parte communication will be allowed to do so upon request.
(b) Communications between OATH and a party docketing a case, to the extent necessary to the placement of a case on the trial calendar or conference calendar pursuant to § 1-26(a), will be deemed to be ministerial communications. Communications between OATH and a party docketing a case, to the extent necessary to a request for expedited calendaring pursuant to § 1-26(c), will be deemed to be emergency communications.
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