Opinion ID: 6494575
Heading Depth: 3
Heading Rank: 3

Heading: Summary of the Procedure on Disclosure of Ex Parte Communications

Text: Undisclosed ex parte communications pose a substantial risk on the reality and appearance of fairness in agency adjudications, have the potential to inhibit fair and objective agency decisionmaking based on the eviden-tiary record, present a danger to effective and objective judicial review, and are inconsistent with the strictures of HAPA. Consequently, disclosure and placement in the record of ex parte communications are required if they (1) involve substantive matters, (2) are facially phrased as a procedural inquiry but bear the potential to subtly affect the substantive decisionmaking of an agency adjudicator, or (3) are made to or received from a party or an interested person, regardless of whether the subject is substantive or procedural. 5 See Mauna Kea Power Co., 76 Hawai'i at 262-63, 874 P.2d at 1087-88. Disclosure would allow the parties to challenge or respond to the contents of such ex parte communications, see id. and permit courts to effectively review the implications of the communications to the validity of the agency decision, I PATCO v. FLRA II, 685 F.2d at 564 n.32. Further, in order for disclosure to effectively serve the values protected by due process and HAPA, the contents of the disclosure should be sufficiently detailed to allow the parties to adequately respond to the ex parte communications and to permit the courts to independently review the nature and substance of the communications. Mauna Kea Power Co., 76 Hawai'i at 261, 874 P.2d at 1086; PATCO v. FLRA II, 685 F.2d at 564 n.32 (observing that “effective judicial review may be hampered if ex parte communications prevent adversarial decision of factual issues by the agency”). Therefore, in all instances where an adjudicating agency de-cisionmaker must disclose ex parte communications, see supra, the disclosure should include (a) any written ex parte communication, (b) any writing memorializing the nature, character, or substance of an oral communication, and (c) any response to the ex parte communication. This approach enhances the integrity of administrative adjudication, safeguards the parties’ interests subject to an agency’s adjudication, and insures against the appearance of impropriety. See Sandy Beach Def. Fund v. City Council of Honolulu, 70 Haw. 361, 377, 773 P.2d 250, 260 (1989) (reasoning that “the probable value, if any, of additional or alternative procedural safeguards” should figure in the determination of the kind of procedures that must be afforded in a proceeding). Further, given that the rights and interests involved in many contested cases are profoundly important, this approach is necessary to adequately protect and implement those rights and interests. See id. (stating that the interests affected by a governmental act is a relevant consideration in deciding what procedural protections are warranted by due process). If the approach described herein is not adopted, the same type of ex parte communications that occurred in this case would likely recur in future contested proceedings no matter how ardent the majority’s entreaty that agencies should be more open under similar circumstances. The risk that off-the-record information would influence the deci-sionmaking process of an agency adjudicator would remain open, and the possibility that individuals would be deprived of important rights and interests would remain high. See id. (holding that “the risk of erroneous deprivation” of individual interests through the procedures used should be considered in deciding whether certain procedures are mandated by due process). Further, a rule that comes short of requiring disclosure of substantive ex parte communications and ex parte communications exchanged with parties or interested persons would preclude courts from meaningfully reviewing the validity of agency adjudications. See PATCO v. FLRA II, 685 F.2d at 564 n.32. Likewise, a conclusory disclosure as to the nature and content of ex parte communications would inhibit a reviewing court’s duty to independently review the outcome of agency adjudications and would cause the court to summarily accept the agency’s explanation as true and dispositive. Finally, the additional burden that may accrue to an adjudicating agency of complying with the disclosure principles discussed in this opinion is very slight. Given that agencies are already required to effectuate the Hawai'i Constitution, see Mauna Kea, 136 Hawai'i at 413-15, 363 P.3d at 261-63 (Pollack, J., concurring), and the various statutory mandates of HAPA, see supra note 3, obligating agencies to adhere to procedures regarding ex parte communications that parallel those that apply to courts will not be unduly burdensome. See Sandy Beach Def. Fund, 70 Haw. at 377, 773 P.2d at 260 (noting that the burden on the government of certain procedural protections is relevant to whether such protections should be imposed). And any additional burden that may befall agencies is overwhelmingly outweighed by the benefits of the disclosure procedures discussed. See id. (noting that the “probable value” of additional procedural protections should be balanced against the burden on the government in determining what process is due). Not only will these disclosure procedures guard against the appearance of impropriety that could result in the invalidation of an agency decision, see Mauna Kea, 136 Hawai'i at 399, 363 P.3d at 247 (vacating a permit that BLNR issued because the proceedings produced the appearance of impropriety), but they will also ensure that the proceedings are conducted in compliance with the values embodied by due process and HAPA. Accordingly, substantive ex parte communications, procedural ex parte communications that bear the potential of influencing an agency adjudicator’s decisionmaking process, and ex parte communications exchanged between adjudicating agencies and parties and interested persons must be disclosed consistent with due process. 6