Chapter Ins 5

Ins 5.29 History History: Cr. Register, March, 1996, No. 483, eff. 4-1-96.

Ins 5.31 Ins 5.31 Proceedings open to public; exceptions.

Ins 5.31(1) (1) Proceedings open. The public may attend the proceedings in every contested case except as provided in s. 601.44 (6) or 645.24 (1), Stats., or as otherwise ordered by the administrative law judge.

Ins 5.31(2) (2) Exceptions. Upon motion by any party, the administrative law judge may do any of the following by order:

Ins 5.31(2)(a) (a) Prohibit the disclosure of information or restrict attendance at any portion of a proceeding if the administrative law judge determines that the order is necessary to prevent disclosure of a trade secret, as defined in s. 227.46 (7) (b), Stats., or other information which is protected by law from public disclosure.

Ins 5.31(2)(b) (b) Exclude prospective witnesses from attending portions of a proceeding if the administrative law judge determines that the order will promote the interests of justice. Exclusionary orders shall conform to s. 906.15, Stats.

Ins 5.31(2)(c) (c) Prohibit any person from further attendance at a proceeding if that person engages in disruptive behavior which inhibits the orderly conduct of the proceeding.

Ins 5.31 History History: Cr. Register, March, 1996, No. 483, eff. 4-1-96.

subch. VIII of ch. Ins 5 Subchapter VIII — Prehearings; Hearing Procedure

Ins 5.33 Ins 5.33 Prehearing conference.

Ins 5.33(1) (1) Purposes. One or more prehearing conferences may be held to consider or determine any of the following:

Ins 5.33(1)(a) (a) Possibilities for settling the case.

Ins 5.33(1)(b) (b) The clarification of issues.

Ins 5.33(1)(c) (c) The necessity or desirability of amending the pleadings.

Ins 5.33(1)(d) (d) The possibility of obtaining stipulations of fact, law or evidence that will avoid unnecessary arguments or offers of proof.

Ins 5.33(1)(e) (e) The party having the burden of proof in the proceeding.

Ins 5.33(1)(f) (f) The identification of witnesses and evidence for hearing.

Ins 5.33(1)(g) (g) Limitations on the number of witnesses.

Ins 5.33(1)(h) (h) The deadline for prefiling exhibits and prepared testimony under s. Ins 5.39 (5) (e).

Ins 5.33(1)(i) (i) Prehearing motions and discovery requests.

Ins 5.33(1)(j) (j) The need for an interpreter under s. 885.37 (3) (b), Stats.

Ins 5.33(1)(k) (k) The scheduling of proceedings in the contested case, including the date, time and location of additional prehearing conferences, motion hearings and the hearing.

Ins 5.33(1)(L) (L) The scheduling of any telephonic testimony that will be offered.

Ins 5.33(1)(m) (m) Other matters which may aid the orderly consideration and disposition of the contested case.

Ins 5.33(2) (2) Memorandum. At the conclusion of a prehearing conference, the administrative law judge shall prepare a memorandum for the record under s. 227.44 (4) (b), Stats., which summarizes the action taken and the agreements reached at the conference. Agreements reached are binding on the parties throughout the proceeding, except as otherwise ordered by the administrative law judge. The administrative law judge may, in conjunction with the memorandum, issue any procedural orders necessary to implement the actions taken at the prehearing conference. Copies of the memorandum shall be served on all parties.

Ins 5.33(3) (3) Submission on briefs. If the parties agree, during or after a prehearing conference, that there is no dispute of material fact, the matter may be submitted to the administrative law judge on written stipulated facts and briefs, as provided in s. Ins 5.41.

Ins 5.33 History History: Cr. Register, March, 1996, No. 483, eff. 4-1-96; correction in (1) (j) made under s. 13.93 (2m) (b) 7., Stats., Register June 2005 No. 594.

Ins 5.35 Ins 5.35 Discovery.

Ins 5.35(1) (1) Class 2 contested cases. In a class 2 contested case, every party is entitled to discovery as provided in s. 227.45 (7), Stats., and ch. 804, Stats.

Ins 5.35(2) (2) Other contested cases. In a class 1 or class 3 contested case, the administrative law judge may by order authorize discovery by any party under s. 227.45 (7), Stats., and ch. 804, Stats. Except as provided in s. 227.45 (7) (a) to (d), Stats., the decision to grant or deny a discovery request in a class 1 or class 3 contested case is subject to the administrative law judge’s discretion. The administrative law judge may issue a discovery order in response to a motion by any party.

Ins 5.35(3) (3) Exchange of evidence and witness lists.

Ins 5.35(3)(a) (a) Except as provided under par. (b), or unless the administrative law judge orders otherwise, each party in a contested case shall serve every other party with all of the following by the date ordered by the administrative law judge:

Ins 5.35(3)(a)1. 1. The name and address of every person whom the party intends to call as a witness at the hearing. Expert witnesses shall be identified as such.

Ins 5.35(3)(a)2. 2. A copy of every document which the party intends to offer as evidence at the hearing.

Ins 5.35(3)(a)3. 3. A description of each item of physical evidence which the party intends to offer as evidence at the hearing. Upon request by any other party, the party offering the physical evidence shall permit the requesting party to make reasonable inspection of the physical evidence before the hearing.

Ins 5.35(3)(b) (b) Paragraph (a) does not apply to witnesses or evidence used solely to impeach witness testimony.

Ins 5.35(3)(c) (c) After considering all of the following and any other relevant factors, the administrative law judge may exclude evidence offered by a party who, without showing good cause, fails to comply with par. (a):

Ins 5.35(3)(c)1. 1. The prejudice or surprise to the party against whom the evidence is offered and the ability of the party to cure any prejudice.

Ins 5.35(3)(c)2. 2. The extent to which waiver of the requirements of par. (a) would disrupt the orderly and efficient hearing of the contested case.

Ins 5.35(3)(c)3. 3. Bad faith or willfulness in failing to comply with par. (a).

Ins 5.35(4) (4) Protective orders. Upon motion by any party, and for good cause shown, the administrative law judge may issue a protective order under s. 804.01 (3), Stats., limiting discovery in any contested case, including a class 2 contested case.

Ins 5.35(5) (5) Order compelling discovery. If a person fails to respond to a discovery request under this section, the party seeking discovery may move the administrative law judge for an order compelling discovery. Upon motion by any party, the administrative law judge may issue an order compelling discovery under s. 804.12, Stats.

Ins 5.35 History History: Cr. Register, March, 1996, No. 483, eff. 4-1-96.

Ins 5.37 Ins 5.37 Stipulations; settlement.

Ins 5.37(1) (1) Stipulations. The parties may stipulate to any matter at issue in a contested case. The parties may submit a written stipulation signed by the parties to the administrative law judge who shall enter it in the record. During a proceeding, the administrative law judge, or any of the parties at the direction of the administrative law judge, shall dictate the contents of any oral stipulation for inclusion in the record.

Ins 5.37(2) (2) Settlement. At any time during a contested case proceeding, the parties may agree to settle the case. The parties shall notify the administrative law judge of the agreement to settle.

Ins 5.37 History History: Cr. Register, March, 1996, No. 483, eff. 4-1-96.

Ins 5.39 Ins 5.39 Hearing.

Ins 5.39(1) (1) Date, time and location.

Ins 5.39(1)(a) (a) A hearing shall be held at the date, time and location specified in the notice of hearing under s. Ins 5.12, or at another date, time and location ordered by the administrative law judge. In rescheduling the date, time and location, the administrative law judge shall consider all of the following:

Ins 5.39(1)(a)1. 1. The location and convenience of office staff involved in the proceeding.

Ins 5.39(1)(a)2. 2. The location and convenience of witnesses.

Ins 5.39(1)(a)3. 3. The location and convenience of the parties.

Ins 5.39(1)(b) (b) A hearing, or any portion of a hearing, may be held by telephone or video-conference if the administrative law judge determines that this method is justified for the convenience of any party or witness, and that no party is unfairly prejudiced by this method. The party calling a witness to testify by telephone or video-conference shall notify the administrative law judge before the hearing to allow for making the necessary arrangements and is responsible for providing the witness with a complete set of numbered copies of all exhibits.

Ins 5.39(1)(c) (c) The administrative law judge may adjourn, recess or postpone a hearing as he or she considers appropriate.

Ins 5.39(2) (2) Opening hearing.

Ins 5.39(2)(a) (a) The administrative law judge shall open the hearing with a concise statement of its scope and purpose and shall enter the appearances in the record. If the administrative law judge permits opening statements, they shall be limited to the following:

Ins 5.39(2)(a)1. 1. A brief summary or outline in clear and concise form of the evidence intended to be offered.

Ins 5.39(2)(a)2. 2. A statement of the ultimate legal points relied upon.

Ins 5.39(2)(b) (b) Opening statements are optional with each party, and do not constitute evidence. The administrative law judge may limit the length of opening statements.

Ins 5.39(3) (3) Order of hearing; burden of proof.

Ins 5.39(3)(a) (a) In a class 1 proceeding where the office has denied a license application, the office shall proceed first with the presentation of evidence. The petitioner has the burden of proving, by a preponderance of the evidence, that the denial should be modified or rescinded.

Ins 5.39(3)(b) (b) In a class 2 proceeding, the office shall proceed first with the presentation of evidence and has the burden of proving its case by a preponderance of the evidence.

Ins 5.39(3)(c) (c) In any case not governed by par. (a) or (b), the petitioner shall proceed first with the presentation of evidence unless the administrative law judge specifies a different order of proof to promote an orderly consideration of the contested case. The petitioner has the burden of proof unless the administrative law judge orders otherwise. The standard of proof shall be a preponderance of the evidence. The rules of civil procedure for actions in circuit court shall guide the administrative law judge in deciding the order of proof and the party having the burden of proof, if disputed.

Ins 5.39(4) (4) Witnesses.

Ins 5.39(4)(a) (a) Oath or affirmation. The administrative law judge or court reporter, if one is present, shall administer an oath or affirmation to each witness, including a witness appearing by telephone or video-conference, before he or she testifies, as provided in s. 906.03, Stats.

Ins 5.39(4)(b) (b) Examination of witnesses.

Ins 5.39(4)(b)1. 1. If the office is a party to the proceeding, an employee of the office designated by the commissioner to act as counsel for the office shall examine and cross-examine witnesses on behalf of the office.

Ins 5.39(4)(b)2. 2. A party or the party’s attorney on behalf of the party, may examine and cross-examine witnesses. Only one individual may examine or cross-examine a witness on behalf of a party except with permission from the administrative law judge.

Ins 5.39(4)(b)3. 3. The administrative law judge may examine any witness.

Ins 5.39(4)(c) (c) Adverse witnesses. Any party may call as an adverse witness any other party, any officer, agent or employee of a party or any witness on behalf of a party, if permitted by the administrative law judge.

Ins 5.39(4)(d) (d) Cross-examination. Cross-examination is not limited to matters covered on direct examination. The administrative law judge may limit cross-examination as necessary to avoid needless waste of time or undue harassment of witnesses.

Ins 5.39(4)(e) (e) Limitation. The administrative law judge may limit the scope of redirect and recross-examination.

Ins 5.39(4)(f) (f) Leading questions. Leading questions may not ordinarily be used in the direct examination of a witness, but may be used in cross-examination. A party may use leading questions in the direct examination of either of the following:

Ins 5.39(4)(f)1. 1. An opposing party, or an officer, agent or employee of an opposing party.

Ins 5.39(4)(f)2. 2. A witness who is hostile, unwilling, adverse or evasive, if the administrative law judge permits the use of leading questions in the examination of that witness.

Ins 5.39(5) (5) Evidence.

Ins 5.39(5)(a) (a) Admissibility.

Ins 5.39(5)(a)1. 1. The receipt of testimony and other evidence in contested cases is governed by s. 227.45, Stats. The administrative law judge shall admit evidence that has reasonable probative value, but shall exclude evidence that is immaterial, irrelevant or unduly repetitious, or that lacks reasonable probative value. The administrative law judge may admit hearsay evidence and shall accord it as much weight as the administrative law judge considers warranted by the circumstances.

Ins 5.39(5)(a)2. 2. Evidence submitted at the hearing need not be limited to matters set forth in the pleadings. If variances occur, the pleadings shall be considered conformed to the evidence. The administrative law judge may grant a postponement if necessary to give a party adequate time to rebut the evidence involved in a variance.

Ins 5.39(5)(b) (b) Objections; offers of proof.

Ins 5.39(5)(b)1. 1. If the administrative law judge sustains an objection to the admission of evidence, the party seeking to have the evidence admitted may make an offer of proof. The administrative law judge shall direct the form of the offer of proof.

Ins 5.39(5)(b)2. 2. Failure of a party to object on the record to the admission of any evidence is a waiver of the right to object.

Ins 5.39(5)(b)3. 3. Failure of a party to make an offer of proof is a waiver of the right to object to the administrative law judge’s ruling on the objection.

Ins 5.39(5)(b)4. 4. The administrative law judge may order the parties to brief any objection. If the party making the objection fails to brief it, the objection is waived.

Ins 5.39(5)(c) (c) Documents. Documentary exhibits shall, as far as practicable, be on 8-1/2 by 11 inch paper, unless the administrative law judge permits otherwise or unless the document is a form printed on 8-1/2 by 14 inch paper. The administrative law judge may order charts used as exhibits to be reduced to 8-1/2 by 11 inch copies.

Ins 5.39(5)(d) (d) Copies. The administrative law judge may permit the filing or use of a copy in place of any original document, subject to authentication by the proponent if its authenticity is challenged in a prehearing motion.

Ins 5.39(5)(e) (e) Prefiled exhibits and prepared testimony. The administrative law judge may permit or order the parties to submit evidence in the form of documentary exhibits or prepared testimony or both before the hearing. The administrative law judge shall specify the date by which the evidence shall be submitted, in order to allow the parties reasonable time for review. Exhibits and testimony submitted under this paragraph shall be admitted in evidence as though given orally if the author is present and available for cross-examination.

Ins 5.39(5)(f) (f) Technical data. If evidence consists of technical data that would make oral presentation difficult to follow, or if information can be more effectively presented visually, it may be presented in exhibit form and supplemented and explained by oral testimony.