Agency Adjudication

Question 1

What are the main types of agency adjudication?

Answer 1

1. Imposing a fine or sanction for violation of a rule
2. Suspending or revoking a license to engage in a profession
3. Denying or suspending a benefit to a person

Question 2

What type of function is agency adjudication?

Answer 2

Quasi-judicial

Question 3

What is an adjudicatory proceeding?

Answer 3

Defined in the State Administrative Procedure Act as any activity in which a determination is made as to the legal right, duties, or privileges of named parties where the agency is required by law to make such determination only on a record and after an opportunity to be heard

Question 4

Which agency proceedings are not subject to the State Administrative Procedure Act?

Answer 4

1. Disciplinary proceedings against agency employees

2. Hearings on traffic infractions

Question 5

What are the relaxed evidentiary rules for agency adjudications?

Answer 5

1. Hearing officer may rely on hearsay
2. Evidence may be submitted in excerpts or copies
3. Official documents need not authenticated

** No hearsay or best evidence rules

Question 6

What circumstances give rise to a problem in an agency adjudication?

Answer 6

1. Agency failed to give notice
2. Presiding officer is biased
3. Hearing was not properly conducted

Question 7

How must an agency give notice of an adjudication?

Answer 7

1. Statement of the time, place, and nature of the meeting
2. Statement of the legal authority and jurisdiction
3. Particular sections of the statutes and rules involved
4. Short and plain statement of the matters asserted

Question 8

When is a presiding officer biased?

Answer 8

1. Personal or business relationship with one of the parties
2. Personal interest in the matter being adjudicated
3. Prejudged the case

Insufficient evidence of bias:

1. Presiding officer ruled against a party in a prior proceeding
2. Presiding officer presided over a prior proceeding involving a similar claim, similar defense, or same party

Question 9

How do you raise the objection of a biased presiding officer?

Answer 9

1. File an affidavit of personal bias or disqualification of a presiding officer
2. Agency determines the matter on the record
3. Agency’s determination is subject to judicial review at the end of the adjudicatory proceeding
4. Burden of proof is on the objecting party. There is a rebuttable presumption that the hearing officer is free from bias. Must show bias and that the result of the hearing was a result of the bias.

Question 10

Under what circumstances is a hearing not properly conducted?

Answer 10

1. Ex parte communications
   Hearing officer may not communicate, directly or indirectly, with any person or party or his representative in connection with an issue of fact unless notice is given and an opportunity for all parties to participate is given
2. Consideration of outside evidence
   Hearing officer may rely on facts outside the record that may be judicially notice or are within the specialized knowledge of the agency
3. Proceedings and decisions not on the record
4. Improper final decision

Question 11

What proceedings and decisions must be on the record?

Answer 11

1. Any notices, pleadings, motions and rulings
2. Any evidence presented
3. Statement of matters officially noticed (except for obvious facts)
4. Final decision

Question 12

What are the requirements of the final decision?

Answer 12

1. In writing or stated in the record, AND

2. Include findings of fact and conclusions of law