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Rule 1.500 – Duty to disclose; required disclosures

May 13, 2021 | Civil Procedure, Iowa

1. 500(1)Initial disclosures.

a. In general. Except as exempted by rule 1.500(1)(e) or as otherwise stipulated or ordered by the court, a party must, without awaiting a discovery request, provide to the other parties:

(1) The name and, if known, the address, telephone numbers, and electronic mail address of each individual likely to have discoverable information, along with the subjects of that information, that the disclosing party may use to support its claims or defenses, unless the use would be solely for impeachment.
(2) All documents, electronically stored information, and tangible things that the disclosing party has in its possession, custody, or control and may use to support its claims or defenses, unless the use would be solely for impeachment.

1. Unless good cause exists for not doing so, copies of the documents or electronically stored information listed must be served with the disclosure.
2. If copies of any document or electronically stored information are not produced, the disclosing party must state the good cause for not producing the items and provide a description by category, location, and the name and address of the custodian of the document or electronically stored information.
3. A party who provides documents in disclosure must produce them as they are kept in the usual course of business.
(3) A computation of each category of damages claimed by the disclosing party, who must also make available for inspection and copying as under rule 1.512 the documents or other evidentiary material, unless privileged or protected from disclosure, on which each computation is based, including materials bearing on the nature and extent of injuries suffered; provided, however, that this rule 1.500(1)(a)(3) does not require disclosure of the exact dollar amounts claimed for noneconomic damages.
(4) For inspection and copying as under rule 1.512, and notwithstanding rule 1.503(2), the declarations page of any insurance agreement under which any person carrying on an insurance business may be liable to satisfy part or all of a judgment that may be entered in the action or to indemnify or reimburse for payments made to satisfy the judgment, and, in any action in which coverage is or may be contested, a copy of the agreement and all letters from the insurer to the insured regarding coverage.
b. Claims for personal or emotional injury. Except as exempted by rule 1.500(1)(e) or as otherwise stipulated or ordered by the court, and in addition to the initial disclosures required by rule 1.500(1)(a), any party asserting a claim for damages for personal or emotional injuries must, without awaiting a discovery request, provide to the other parties:

(1) The claimant’s full name and date of birth.
(2) The claimant’s Medicare health insurance claim number (HICN).
(3) The names and addresses of all doctors, hospitals, clinics, pharmacies, and other health care providers claimant consulted within five years prior to the date of injury up to the present date.
(4) Legally sufficient written waivers allowing the opposing party to obtain those records subject to appropriate protective provisions authorized by rule 1.504. The opposing party must give contemporaneous notice to the claimant when the opposing party uses the waivers to obtain records and must provide a copy of all records obtained by waiver to the claimant and all other parties. Any party who requests that the opposing party produce these records in nonelectronic form must bear the opposing party’s costs of producing them in that form.
c. Claims for lost time or earning capacity. Except as exempted by rule 1.500(1)(e) or as otherwise stipulated or ordered by the court, and in addition to the initial disclosures required by rule 1.500(1)(a), any party asserting a claim for damages for lost time or lost earning capacity must, without awaiting a discovery request, provide to the other parties:

(1) The claimant’s federal and state income tax returns for the five years prior to the date of disclosure.
(2) The names and addresses of all persons by whom the claimant has been employed for the five years prior to the date of disclosure.
(3) Legally sufficient written waivers allowing the opposing party to obtain the claimant’s personnel files and payment histories from each employer subject to appropriate protective provisions authorized by rule 1.504.

1. The opposing party must give contemporaneous notice to the claimant when the opposing party uses the waiver to obtain records and must provide a copy of all records obtained by waiver to the claimant and all other parties.
2. Any party who requests that the opposing party produce these records in nonelectronic form must bear the opposing party’s costs of producing them in that form.
d. Domestic relations proceedings.

(1) Except as otherwise stipulated or ordered by the court and in lieu of the initial disclosures required by rule 1.500(1)(a), in domestic relations actions involving any contested claim, including divorce, custody, modification, and paternity actions, each party must, without awaiting a discovery request, provide to the other party copies of the following:

1. Paystubs or other documentation showing the party’s income from all sources, deductions for federal and state taxes, health insurance premiums, union dues, and mandatory pension withholdings for the past six months. If children are involved, the party providing health insurance must provide a breakdown of the cost of an individual health insurance plan and the cost of a family plan.
2. The party’s federal and state income tax returns, including all schedules and W-2’s, for the three most recent years if not in the possession of the other person.
3. A current financial affidavit, including a description of all assets and liabilities.
4. Statements of account or other documentation to support the assets or liabilities listed in the financial affidavit.
(2) If the action is a modification case or an unmarried custody case, the parties must provide only the information contained in rules 1.500(1)(d)(1)(1) and 1.500(1)(d)(1)(2).
e. Proceedings exempt from initial disclosure. Unless otherwise ordered by the court or agreed to by the parties, the requirements of rules 1.500(1) (a) through (d) do not apply to the following:

(1) Actions for certiorari or for judicial review of administrative agency actions under Iowa Code chapter 17A.
(2) Actions for forcible entry and detainer.
(3) Domestic relations proceedings in which there are no contested claims.
(4) Adoption proceedings, name change proceedings, actions under Iowa Code chapter 236, and actions initiated by the Child Support Recovery Unit.
(5) Foreclosure proceedings in which there are no contested claims.
(6) Actions for postconviction relief or any other proceeding to challenge a criminal conviction or sentence.
(7) Probate proceedings in which there are no contested claims.
(8) Juvenile proceedings.
(9) Mental health proceedings.
(10) Actions under Iowa Code chapters 225, 229, and 229A.
(11) Actions to enforce an arbitration award or an out-of-state judgment.
(12) Small claims proceedings under Iowa Code chapter 631.
f. Time for initial disclosures in general. Except in domestic relations proceedings, a party must make the initial disclosures at or within 14 days after the parties’ rule 1.507 discovery conference unless a different time is set by stipulation or court order, or unless a party objects during the conference that initial disclosures are not appropriate in the action and states the objection in the proposed discovery plan. In ruling on the objection, the court must determine what disclosures, if any, are to be made and must set the time for disclosure. In domestic relations proceedings, a party must make the initial disclosures within 60 days of filing of the petition unless a different time is set by stipulation or court order or unless the court, upon motion, relieves the parties from the obligation to provide initial disclosures.
g. Time for initial disclosures for parties served or joined later. A party who is first served or otherwise joined after the rule 1.507 discovery conference must make the initial disclosures within 30 days after being served or joined, unless a different time is set by stipulation or court order.
h. Basis for initial disclosure; unacceptable excuses. A party must make the initial disclosures based on the information then reasonably available to the party. A party is not excused from making the disclosures because the party has not fully investigated the case, because the party challenges the sufficiency of another party’s disclosures, because another party has not made that party’s disclosures, or because the information is in the possession, custody, or control of the party’s insurance carrier.
1. 500(2)Disclosure of expert testimony.

a. In general. In addition to the disclosures required by rule 1.500(1), a party must disclose to the other parties the identity of any witness the party may use at trial to present evidence under Iowa Rules of Evidence 5.702, 5.703, and 5.705.
b. Witnesses who must provide a written report. Unless otherwise stipulated or ordered by the court, this disclosure must be accompanied by a written report-prepared and signed by the witness-if the witness is one retained or specially employed to provide expert testimony in the case or one whose duties as the party’s employee regularly involve giving expert testimony. The report must contain the following:

(1) A complete statement of all opinions the witness will express and the basis and reasons for them.
(2) The facts or data considered by the witness in forming the opinions.
(3) Any exhibits that will be used to summarize or support the opinions.
(4) The witness’s qualifications, including a list of all publications authored in the previous ten years.
(5) A list of all other cases in which, during the previous four years, the witness testified as an expert at trial or by deposition.
(6) A statement of the compensation to be paid for the study and testimony in the case.
c. Witnesses who do not provide a written report. Unless otherwise stipulated or ordered by the court, if the witness is not required to provide a written report, this disclosure must state:

(1) The subject matter on which the witness is expected to present evidence under Iowa Rules of Evidence 5.702, 5.703, or 5.705.
(2) A summary of the facts and opinions to which the witness is expected to testify.
d. Time to disclose expert testimony. A party must make these disclosures at the times and in the sequence set forth in the court’s trial scheduling order. If not otherwise ordered, expert disclosures shall be due:

(1) No later than 90 days before the date set for trial; or
(2) Within 30 days after the other party’s disclosures if the evidence is intended solely to contradict or rebut evidence on the same subject matter identified by another party under rule 1.500(2)(b) or (c)
e. Supplementing disclosures. The parties must supplement these disclosures when required under rule 1.508(3).
1. 500(3)Pretrial disclosures.

a. In general. In addition to the disclosures required by rules 1.500(1) and 1.500(2), a party must provide to the other parties and promptly file the following information about the evidence the party may present at trial other than evidence to be used solely for impeachment:

(1) The name and, if not previously provided, the address, telephone numbers, and electronic mail address of each witness, separately identifying the witnesses the party expects to present and those the party may call if the need arises.
(2) The page and line designation of those witnesses whose testimony the party expects to present by deposition and, if not taken stenographically, a transcript of the pertinent parts of the deposition.
(3) An identification of each document or other exhibit, including summaries of other evidence, separately identifying those items the party expects to offer and those it may offer if the need arises.
b. Time for pretrial disclosures; objections. Pretrial disclosures must be made at least 14 days before trial. This deadline may be modified by order of the court or stipulation of the parties, provided, however, that the parties may not stipulate to a pretrial disclosure deadline of less than 7 days before trial. A party may serve and promptly file a list of the following objections: any objections to the use under rule 1.704 of a deposition designated by another party under rule 1.500(3)(a)(2), and any objection, together with the grounds for it, that may be made to the admissibility of materials identified under rule 1.500(3)(a)(3). Objections must be served and filed within 7 days of the pretrial disclosures, or within 4 days if the pretrial disclosure deadline is less than 10 days before trial, unless the court directs otherwise. An objection not so made, except for one under Iowa Rule of Evidence 5.402 or 5.403, is waived unless excused by the court for good cause.
c. Duty to supplement unaffected. Rule 1.500(3) does not affect the obligation of a party to timely supplement disclosures and discovery responses as required by rule 1.503(4)(a)(2).
1. 500(4)Form of disclosures. Unless the court orders otherwise, all disclosures under rule 1.500 must be in writing, signed, and served.
1. 500(5)Supplementing the disclosures. The parties must supplement these disclosures when required under rules 1.503(4) and 1.508(3).
1. 500(6)Effective date. Rule 1.500 applies only to actions commenced on or after January 1, 2015, provided that the court may in any case direct the parties to comply with all or part of the rule as part of a pretrial order.

Iowa. R. Civ. P. 1.500

Court Order August 28, 2014, October 30, 2014, effective January 1, 2015; Court Order April 1, 2015, temporarily effective April 1, 2015, permanently effective June 1, 2015

COMMENT:

Rule 1.500. The entirety of rule 1.500 is added. With some modifications, the rule adopts the required disclosures currently used by the federal courts and by a number of states that have also recently engaged in civil justice reform. Like its federal counterpart, the rule seeks to accelerate the exchange of basic information and eliminate the delay and expense of serving formal discovery requests seeking routine information that will be produced as a matter of course in most cases.

The information disclosed under rule 1.500(1) is subject to a continuing duty to supplement. See rule 1.500(5). [Court Order August 28, 2014, effective January 1, 2015]

COMMENT:

Rule 1.500(2)(d). The rule contemplates that in many, if not most, cases, scheduling of disclosure of expert testimony will be governed by atrial scheduling order. See Iowa R. Civ. P. 1.907; Iowa Ct. R. 23.5 -Form 2: Trial Scheduling and Discovery Plan. [Court Order August 28, 2014, October 30, 2014, effective January 1, 2015]

COMMENT:

Rules 1.500(3)(a) and 1.500(3)(b). Rules 1.500(3)(a) and (b) mirror Federal Rule of Civil Procedure 26(a)(3). The duty to disclose final trial witnesses, deposition testimony, and exhibits is governed by the Time Standards for Case Processing in rule 23.5 of the Iowa Court Rules. Rule 23.5 is mandatory and applies to all civil actions. This rule incorporates into the Iowa Rules of Civil Procedure the duty to make pretrial disclosures. Iowa Court Rule 23.5 -Form 2: Trial Scheduling and Discovery Plan, implements these and other scheduling deadlines. [Court Order August 28, 2014, October 30, 2014, effective January 1, 2015]

Rule 1.500(3)(b). The federal rules require that pretrial disclosures occur at least 30 days before trial and that objections occur within 14 days thereafter. Former rule 23.5 -Form 2 of the Iowa Court Rules imposed a later deadline, requiring disclosure of all witness and exhibit lists at least 7 days before trial, with objections due within 5 days thereafter (2 days before trial). Requiring pretrial disclosures 30 days before trial could result in unnecessary time and effort. The former 7-day deadline, however, may have been in some circumstances too close to trial. Rule 1.500(3)(b) requires parties to make pretrial disclosures two weeks in advance of trial, unless they stipulate to a different deadline, which cannot be less than one week before trial. The rule also gives opposing parties one week thereafter to respond, unless the disclosure deadline was less than 10 days before trial. Iowa Court Rule 23.5 -Form 2: Trial Scheduling and Discovery Plan reflects these changes. [Court Order August 28, 2014, October 30, 2014, effective January 1, 2015]