ATCP 1.10(1)(t)
(t) Certify the contested case record for that portion of the contested case that is conducted under the auspices of the administrative law judge, if certification is necessary for a judicial review proceeding.
ATCP 1.10(2)
(2)
Limits on authority. The administrative law judge may not exercise any authority which is reserved to the secretary or final decisionmaker under this chapter, unless the secretary appoints the administrative law judge as final decisionmaker or delegates the secretary's authority to the administrative law judge in writing.
ATCP 1.10(3)(a)(a) An administrative law judge shall withdraw from a contested case if the administrative law judge determines that there is a conflict of interest or other circumstance which prevents the administrative law judge from acting impartially, or which creates an undue appearance of bias.
ATCP 1.10(3)(b)
(b) No person who participates in the investigation or advocacy of a case, or in the decision to initiate an enforcement action in that case, may act as administrative law judge in the case.
ATCP 1.10(3)(c)
(c) An administrative law judge is not disqualified solely because of the administrative law judge's employment with the department, or solely because the administrative law judge has presided over cases involving the same parties, facts or issues in the past.
ATCP 1.10(4)
(4)
Ex parte communications. If an administrative law judge receives an ex parte communication which violates s.
227.50 (1), Stats., the administrative law judge shall deal with the ex parte communication as provided under s.
227.50 (2), Stats.
ATCP 1.10 History
History: Cr.
Register, May, 1992, No. 437, eff. 6-1-92; am. (1) (intro.) and (2) to (4),
Register, June, 1999, No. 522, eff. 7-1-99;
CR 09-054: am. (1) (intro.), (h), (n), (o), (q), (t)
Register December 2010 No. 660, eff. 1-1-11.
ATCP 1.11
ATCP 1.11
Failure to appear, answer or comply with administrative law judge's order. ATCP 1.11(1)(1)
Sanctions against disobedient party. If a party, without reasonable excuse, fails to file an answer or pleading as required by s.
ATCP 1.21, fails to make a required appearance in a proceeding, fails to disclose witnesses or evidence under s.
ATCP 1.23 (3), fails to comply with a subpoena or order issued by the administrative law judge, or fails to comply with the provisions of this chapter, the administrative law judge may take any of the following actions which the administrative law judge considers just in relation to the disobedient party's failure:
ATCP 1.11(1)(a)
(a) Accept an opposing party's allegations as true, and issue a decision and order in the case based on those allegations.
ATCP 1.11(1)(b)
(b) Adopt an opposing party's proposed findings of fact, conclusions of law and order as the administrative law judge's findings of fact, conclusions of law and order.
ATCP 1.11(1)(c)
(c) By order, disqualify the disobedient party from further participation in the proceedings.
ATCP 1.11(1)(d)
(d) By order, stay further proceedings until the disobedient party cures the failure.
ATCP 1.11(1)(e)
(e) By order, prohibit the disobedient party from arguing designated issues or introducing designated matters in evidence.
ATCP 1.11(1)(f)
(f) By order, dismiss the proceeding, or any part of the proceeding, if the proceeding was initiated at the request of the disobedient party.
ATCP 1.11 Note
Note: A person who, in willful violation of a department subpoena or order, fails to appear as a witness or fails to produce evidence in a contested case proceeding, may be coerced as provided in ss.
93.14 (3) and
885.12, Stats., or may be subject to criminal penalties as provided under s.
93.21 (4), Stats.
ATCP 1.11(2)(a)
(a) Before issuing an order under sub.
(1), the administrative law judge shall mail a copy of the proposed order to the disobedient party, and shall give the disobedient party not less than 10 days to show cause why the proposed order should not be issued. This paragraph does not apply to proposed orders issued under par.
(b).
ATCP 1.11(2)(b)
(b) If the administrative law judge is not the final decisionmaker, and if an order under sub.
(1) would constitute a final order in the contested case, the administrative law judge shall issue the order as a proposed order under s.
ATCP 1.30. The final decisionmaker shall issue any final order under s.
ATCP 1.31 after the final decisionmaker considers objections to the proposed order under s.
ATCP 1.30 (2). An order dismissing any party, proceeding or cause of action is a final order under this paragraph.
ATCP 1.11 History
History: Cr.
Register, May, 1992, No. 437, eff. 6-1-92; am. (1) (intro.) and (2) (a) and (b),
Register, June, 1999, No. 522, eff. 7-1-99;
CR 09-054: am. (title), renum. (1) (b) to (e) to be (1) (c) to (f), cr. (1) (b)
Register December 2010 No. 660, eff. 1-1-11.
ATCP 1.12
ATCP 1.12
Party may appear by attorney. ATCP 1.12(1)(1)
General. In any contested case, a party may be represented by an attorney who is authorized to practice law in this state. An attorney retained to represent any party in a contested case shall immediately give notice of that representation to the department and to all other parties to the contested case.
ATCP 1.12(2)
(2)
Actions binding. Actions and omissions by a party's attorney in a contested case are binding on that party, as if the party had taken or omitted those actions directly.
ATCP 1.12(3)
(3)
Service of documents. If a party in a contested case is represented by an attorney, a document served on that attorney is deemed to be served on that party.
ATCP 1.13
ATCP 1.13
Documents; filing, identification and service. ATCP 1.13(1)(1)
Docket file. The department shall create a docket file for every contested case. The docket file shall be captioned with the docket number and title of the case, “In the matter of ......... ". The docket file shall include the record of the case and any other material filed in connection with the case, subject to the direction of the administrative law judge or final decisionmaker.
ATCP 1.13(2)
(2)
Documents captioned. Pleadings, notices, motions, briefs, stipulations, decisions, orders and other documents filed in a contested case shall, to the extent practicable, be captioned with all of the following:
ATCP 1.13(3)
(3)
Filing deadlines. If a party is required to file a document on or before a specified date, the party complies with the filing deadline if the party mails the document on or before the deadline date.
ATCP 1.13(4)
(4)
Documents filed by parties; service on other parties. ATCP 1.13(4)(a)(a) Except as provided under par.
(d), whenever a party files a document in a contested case, that party shall mail or deliver a copy of the document to every other party in the case.
ATCP 1.13(4)(b)
(b) By filing a document in a contested case, the filing party certifies that he or she has mailed or delivered a copy of the filed document to every other party as required by par.
(a). No other affidavit of mailing or service is required.
ATCP 1.13(4)(c)
(c) If any party claims not to have received a copy of any document filed under par.
(a), an affidavit of mailing constitutes presumptive proof of service.
ATCP 1.13(4)(d)
(d) Paragraphs
(a) to
(c) do not apply to a complaint, request for hearing, or other document filed under subch.
III to initiate a contested case.
ATCP 1.13 Note
Note: When the department initiates a contested case in response to a complaint, request for hearing, or other document filed under subch. III, the department provides notice to the other parties in conjunction with the department's hearing notice under s.
ATCP 1.20. Accordingly, the party filing the complaint or request for hearing need not serve a copy on the other parties at the time of filing.
ATCP 1.13(5)
(5)
Documents issued by secretary, final decisionmaker or administrative law judge. Whenever the secretary, final decisionmaker or administrative law judge issues a hearing notice, order, subpoena or other process in a contested case, a copy of that document shall be mailed or delivered to each party in the case. Service by mail may be proved by a signed return receipt. Proof of mailing does not constitute presumptive proof of service.
ATCP 1.13 History
History: Cr.
Register, May, 1992, No. 437, eff. 6-1-92;
am. (1) and (5),
Register, June, 1999, No. 522, eff. 7-1-99.
ATCP 1.14(1)(1)
General. Except as provided under subch.
III, a person requesting an order from the administrative law judge or final decisionmaker shall make that request in the form of a motion. A motion shall clearly describe the order sought, and the grounds for granting that order. A person may move the administrative law judge or final decisionmaker for any substantive or procedural order authorized by law, including either of the following:
ATCP 1.14(1)(a)
(a) An order dismissing a party or case for lack of personal or subject matter jurisdiction. A motion to dismiss for lack of jurisdiction may be made at any point in the proceeding, but should be made as soon as the basis for the motion becomes apparent to the moving party.
ATCP 1.14(1)(b)
(b) An order dismissing a case, prior to hearing, for failure to state a claim on which relief can be granted.
ATCP 1.14(2)
(2)
Form of motion. Every motion, except the following, shall be submitted in writing:
ATCP 1.14(2)(a)
(a) A motion made orally at a prehearing conference or hearing, unless the administrative law judge requires that the motion be submitted in writing.
ATCP 1.14(2)(b)
(b) An oral motion for an extension of time, if the administrative law judge agrees to hear that oral motion.
ATCP 1.14(3)
(3)
Written motions. A person filing a written motion shall comply with s.
ATCP 1.13 (2) and
(4). If the moving person offers any affidavit, brief or other document in support of a motion, the moving person shall include a copy of that document with the motion.
ATCP 1.14(4)(a)(a) Except as provided under par.
(b) or
(c), the administrative law judge or final decisionmaker shall give all parties an opportunity to argue a motion before the administrative law judge or final decisionmaker rules on the motion. The administrative law judge shall notify every party of any scheduled motion hearing.
ATCP 1.14(4)(b)
(b) Paragraph
(a) does not prohibit a final decisionmaker from issuing a summary special order which is authorized by law.
ATCP 1.14(4)(c)
(c) An administrative law judge or final decisionmaker may, on an ex parte basis, rule on a motion for extension of time.
ATCP 1.14 History
History: Cr.
Register, May, 1992, No. 437, eff. 6-1-92; am. (1) (intro.), (2) (a), (b), (4) (a) and (c),
Register, June, 1999, No. 522, eff. 7-1-99.
ATCP 1.15(1)(1)
General. The final decisionmaker, administrative law judge, or a party's attorney of record may issue a subpoena in a contested case to compel the attendance of any witness or the production of relevant evidence.
ATCP 1.15(2)
(2)
Request for subpoena. A party may request the administrative law judge or final decisionmaker to issue a subpoena on behalf of that party. The requesting party shall submit the proposed subpoena for signature by the administrative law judge or final decisionmaker, and shall mail or deliver a copy of the request to every other party. A party may object to a subpoena or subpoena request and may request a hearing on the objection. The administrative law judge or final decisionmaker shall not sign a subpoena in blank. A party requesting a subpoena is responsible for serving that subpoena, and for paying any service, witness or travel fees.
ATCP 1.15 Note
Note: A person may request form subpoenas from the administrative law judge which may be used in preparing subpoenas under this section. If a person fails to comply with a department subpoena, that person may be compelled as provided under s.
885.12, Stats., or may be subject to penalties under s.
93.21 (4), Stats.
ATCP 1.16
ATCP 1.16
Record of oral proceedings; transcripts. ATCP 1.16(1)(1)
Record of oral proceedings. Oral proceedings in a contested case shall be stenographically or electronically recorded. Oral proceedings in a contested case shall be electronically recorded unless the administrative law judge determines that a stenographic record is necessary and the department approves the creation of a stenographic record.
ATCP 1.16(2)
(2)
Electronic recording; copies. If an oral proceeding in a contested case is electronically recorded, a copy of the recording shall be furnished at cost to any party who requests a copy.
ATCP 1.16(3)
(3)
Written transcript. Upon request by any party, the department shall provide the requester with a written transcript of oral proceedings in a contested case. The written transcript may be made from an electronic recording of the oral proceedings. The department shall charge a fee for the written transcript as provided under sub.
(4). If the department provides a written transcript of a contested case proceeding to any requester, the department shall inform every party to that case that the written transcript is available.
ATCP 1.16(4)
(4)
Transcript fees. If the department provides a written transcript to a requester under sub.
(3), the department shall charge a fee as follows:
ATCP 1.16(4)(a)
(a) Except as provided under par.
(b) or
(c), the department shall charge the requester a transcription fee that covers the department's per page transcription costs plus a copying fee of $.25 per page. If 2 or more parties request a written transcript, the department shall charge each requester a copying fee of $.25 per page, but may divide the transcription fee equitably among the requesters.
ATCP 1.16(4)(b)
(b) If the department prepares a written transcript for its own purposes, or at the request of any party for purposes of a judicial review proceeding under s.
227.53, Stats., the department shall assume the costs of transcription. Any party may obtain a copy of the transcript for a copying fee of $.25 per page.
ATCP 1.16(4)(c)
(c) The department may provide a written transcript free of charge to a requesting party if the requesting party demonstrates, to the department's satisfaction, that the requesting party is impecunious and has a legal need for the transcript.
ATCP 1.16(5)
(5)
Information protected from disclosure. This section does not require the department to disclose information in violation of an order under s.
ATCP 1.25 (2) (b).
ATCP 1.16 History
History: Cr.
Register, May, 1992, No. 437, eff. 6-1-92; am. (1),
Register, June, 1999, No. 522, eff. 7-1-99;
CR 09-054: am. (1) to (3), (4) (a), (b)
Register December 2010 No. 660, eff. 1-1-11.
ATCP 1.20
ATCP 1.20
Hearing notice. To initiate a contested case proceeding, the secretary shall issue a hearing notice to each of the parties. The hearing notice shall be signed and dated by the secretary, and shall be captioned as provided in s.
ATCP 1.13 (2). The hearing notice shall include all of the following:
ATCP 1.20(1)
(1)
Nature of the proceeding. A statement of the general nature of the proceeding, including whether the proceeding is a class 1, class 2, or class 3 proceeding under s.
227.01 (3), Stats.
ATCP 1.20(2)
(2)
Legal authority. A statement of the department's legal authority to conduct the contested case proceeding.
ATCP 1.20(3)
(3)
Administrative law judge. The name of the administrative law judge who is appointed to preside over the contested case, unless the secretary intends to preside in person.
ATCP 1.20(4)
(4)
Final decisionmaker. The name and position of the final decisionmaker who is appointed to issue a final decision in the case, unless the secretary intends to issue the final decision.
ATCP 1.20(5)
(5)
Hearing. Except as provided under sub.
(6), the date, time and location at which a hearing will be held in the proceeding. Except in an emergency, or by agreement of all parties, the hearing date shall be not less than 30 days after the hearing notice is issued. If any party is required to file an answer or other pleading under s.
ATCP 1.21, the hearing date shall not precede the last date for filing the answer or other pleading. The administrative law judge may reschedule a hearing as the administrative law judge deems appropriate.
ATCP 1.20(6)
(6)
Prehearing conference. Instead of scheduling a hearing, the hearing notice may schedule a prehearing conference under s.
ATCP 1.14. The hearing notice may specify that the prehearing conference is to be conducted by telephone, or it may authorize the parties to request a telephone prehearing conference.
ATCP 1.20 Note
Note: If the hearing notice schedules a prehearing conference, rather than a hearing, the administrative law judge will schedule the hearing after consulting the parties.
ATCP 1.20(7)
(7)
Matters asserted. A short and plain statement of the matters asserted. This statement may incorporate, by reference, the complaint or pleading filed by the initiating party under subchapter III. If the contested case is initiated in response to a complaint under s.
ATCP 1.05, a copy of the complaint shall be included with the hearing notice.
ATCP 1.20(8)
(8)
Required answer or pleading. A notice to affected parties that they are required to file an answer or responsive pleading, if such is the case. If a proceeding is initiated in response to a complaint under s.
ATCP 1.05, the notice shall inform each respondent named in the complaint that he or she must file an answer to the complaint under s.
ATCP 1.21 (1).
ATCP 1.20(9)
(9)
Consequences of failing to appear or file answer. A statement that, if a party fails to appear or file an answer or pleading as required, the department may issue a decision and order against that party without further notice or hearing.
ATCP 1.20 History
History: Cr.
Register, May, 1992, No. 437, eff. 6-1-92; am. (3),
Register, June, 1999, No. 522, eff. 7-1-99;
CR 09-054: am. (5), (8)
Register December 2010 No. 660, eff. 1-1-11.
ATCP 1.21
ATCP 1.21
Answers; required pleadings. ATCP 1.21(1)(a)(a) If a respondent is named in a complaint under s.
ATCP 1.05, and is served with a copy of the complaint and the hearing notice issued under s.
ATCP 1.20, the respondent shall file a written answer to the complaint. The respondent shall file the answer within 20 days after the complaint and hearing notice are served on the respondent. Upon request by a respondent, the administrative law judge may grant the respondent an extension of time to file an answer.
ATCP 1.21(1)(b)
(b) An answer under par.
(a) shall be in writing, and shall be captioned as provided in s.
ATCP 1.13 (2). The answer shall be signed by the respondent or the respondent's attorney, and shall clearly and specifically state the respondent's position with respect to each allegation in the complaint.
ATCP 1.21(2)
(2)
Other pleadings. In a hearing notice under s.
ATCP 1.20, the secretary may require the parties to file written pleadings in order to identify the positions of the parties and the matters at issue in the proceeding. The administrative law judge may require the parties to file any supplementary pleadings which the administrative law judge considers necessary.
ATCP 1.21(3)
(3)
Amendments. A party may, with leave from the administrative law judge, amend an answer or pleading at any point in a contested case proceeding. The administrative law judge may withhold leave if the amendment would unduly delay or disrupt the proceeding, or would work a significant injustice against any party.
