Guide to the Ethics of Ex Parte Communications

Ex parte communications can become an administrative quagmire for anyone trying to deal with tribunals that regulate business matters. These communications involve contact between a decision maker and one party outside the presence of another, interested party. At a time when codes of ethics are enacted to make corporate financial officers and boards of directors more accountable to their stockholders, and thus, to restore the confidence of the investing public, it appears most important that administrative judges and hearing officers adhere strictly to their own Codes of Conduct. This article defines and explains ex parte contacts and consequent problems that might arise during administrative appeals. It is not the author’s intent to present the law of any specific jurisdiction, but to present a general overview of typical state law in the United States, a market of interest to many entrepreneurs and exporters worldwide.