Iowa Administrative Code › Agency 501 - Law Enforcement Academy › Chapter 6 - Decertification › Rule 501-6.11 - Ex Parte Communication

Current through Register Vol. 47, No. 3, July 24, 2024
(1)
			 Prohibited communications. Unless required for the disposition of ex parte
			 matters specifically authorized by statute, following issuance of the notice of
			 hearing, there shall be no communication, directly or indirectly, between the
			 presiding officer and any party or representative of any party or any other
			 person with a direct or indirect interest in such case in connection with any
			 issue of fact or law in the case except upon notice and opportunity for all
			 parties to participate. This does not prohibit persons jointly assigned such
			 tasks from communicating with each other. Nothing in this provision is intended
			 to preclude the presiding officer from communicating with members of the
			 council or seeking the advice or help of persons other than those with a
			 personal interest in, or those engaged in personally investigating,
			 prosecuting, or advocating in, either the case under consideration or a pending
			 factually related case involving the same parties as long as those persons do
			 not directly or indirectly communicate to the presiding officer any ex parte
			 communications they have received of a type that the presiding officer would be
			 prohibited from receiving or that furnish, augment, diminish, or modify the
			 evidence in the record.
(2)
			 Prohibitions on ex parte communications commence with the issuance of the
			 notice of hearing in a contested case and continue for as long as the case is
			 pending.
(3) Written, oral or other
			 forms of communication are "ex parte" if made without notice and opportunity
			 for all parties to participate.
(4)
			 To avoid prohibited ex parte communications, notice must be given in a manner
			 reasonably calculated to give all parties a fair opportunity to participate.
			 Notice of written communications shall be provided in compliance with rule
			 501-6.3 (80B,17A) and may be
			 supplemented by telephone, facsimile, electronic mail or other means of
			 notification. Where permitted, oral communications may be initiated through
			 conference telephone call including all parties or their
			 representatives.
(5) Council
			 members acting as presiding officers may communicate with each other without
			 notice or opportunity for parties to participate.
(6) The director or other persons may be
			 present in deliberations or otherwise advise the presiding officer without
			 notice or opportunity for parties to participate as long as they are not
			 disqualified from participating in the making of a proposed or final decision
			 under any provision of law and they comply with subrule 6.11(1).
(7) Communications with the presiding officer
			 involving uncontested scheduling or procedural matters do not require notice or
			 opportunity for parties to participate. Parties should notify other parties
			 prior to initiating such contact with the presiding officer when feasible, and
			 shall notify other parties when seeking to continue hearings or other deadlines
			 pursuant to rule 501-6.7 (80B,17A).
(8) Disclosure of prohibited communications.
			 A presiding officer who receives a prohibited ex parte communication during the
			 pendency of a contested case must initially determine if the effect of the
			 communication is so prejudicial that the presiding officer should be
			 disqualified. If the presiding officer determines that disqualification is
			 warranted, a copy of any prohibited written communication, all written
			 responses to the communication, a written summary stating the substance of any
			 prohibited oral or other communication not available in written form for
			 disclosure, all responses made, and the identity of each person from whom the
			 presiding officer received a prohibited ex parte communication shall be
			 submitted for inclusion in the record under seal by protective order (or
			 disclosed). If the presiding officer determines that disqualification is not
			 warranted, such documents shall be submitted for inclusion in the record and
			 served on all parties. Any party desiring to rebut the prohibited communication
			 must be allowed the opportunity to do so upon written request filed within ten
			 days after notice of the communication.
(9) Promptly after being assigned to serve as
			 presiding officer at any stage in a contested case proceeding, a presiding
			 officer shall disclose to all parties material factual information received
			 through ex parte communication prior to such assignment unless the factual
			 information has already been or shortly will be disclosed pursuant to Iowa Code
			 section
			 17A.13(2)
			  or through discovery. Factual information
			 contained in an investigative report or similar document need not be separately
			 disclosed by the presiding officer as long as such documents have been or will
			 shortly be provided to the parties.
(10) The presiding officer may render a
			 proposed or final decision imposing appropriate sanctions for violations of
			 this rule including default, a decision against the offending party, censure.
			 or suspension or revocation of the privilege to practice before the department.
			 Violation of ex parte communication prohibitions by department personnel shall
			 be reported to (agency to designate person to whom violations should be
			 reported) for possible sanctions including censure, suspension, dismissal, or
			 other disciplinary action.