# COMAR Title 09 — Maryland Department of Labor ## Subtitle 01 — Office of the Secretary ### Chapter 01 — Implementation of the Maryland Environmental Policy Act **Authority:** Natural Resources Article, §§1-301—1-304, Annotated Code of Maryland **Administrative History:** Effective date: September 1, 1974 (1:1 Md. R. 70) **Administrative History:** Amended effective November 10, 1976 (3:23 Md. R. 1302) #### Regulation .01 Applicability. *COMAR 09.01.01.01* These guidelines are applicable to the Maryland Department of Labor and to all boards, commissions, or agencies assigned to the Department. #### Regulation .02 Purpose. *COMAR 09.01.01.02* The purpose of these guidelines is to establish Departmental procedures for the preparation, review, and circulation of Environmental Effects forms and reports in compliance with the Maryland Environmental Policy Act. These guidelines specifically incorporate by reference the guidelines issued by the Department of Natural Resources on December 20, 1973. #### Regulation .03 Policy. *COMAR 09.01.01.03* All Boards, commissions, and agencies within the Maryland Department of Labor shall give appropriate consideration to possible environmental effects which may arise in conjunction with any Agency proposal or action. Environmental Assessment forms and Environmental Effects reports shall be used in the decision making process in compliance with standards established by the Department of Natural Resources. ### Chapter 02 — Hearing Regulations **Authority:** Business Regulation Article, §2-105, Annotated Code of Maryland **Administrative History:** Effective date: March 29, 1982 (9:6 Md. R. 613) **Administrative History:** Regulation .01 amended effective April 8, 1985 (12:7 Md. R. 701) **Administrative History:** Regulation .02 amended effective February 23, 1987 (14:4 Md. R. 415) **Administrative History:** Regulations .01—.04 repealed and new Regulations .01—.21 adopted effective December 12, 2002 (29:24 Md. R. 1918) #### Regulation .01 Scope. *COMAR 09.01.02.01* A. This chapter governs procedures for all contested case hearings of an administrative unit within the Department, with the exception of hearings conducted under the following: (1) Public Safety Article, Title 12, Subtitle 9, Annotated Code of Maryland, and corresponding regulations; (2) Business Regulation Article, §3-314, Annotated Code of Maryland, and corresponding regulations; (3) Labor and Employment Article, Title 5, Subtitle 2 and Subtitle 5, Part III, Annotated Code of Maryland, and corresponding regulations; (4) Labor and Employment Article, Title 8, Subtitle 5, Annotated Code of Maryland, and corresponding regulations; and (5) State Finance and Procurement Article, Title 17, Subtitle 2, Annotated Code of Maryland, and corresponding regulations. B. The procedures in this chapter are intended to supplement the procedures required by law, and may not be construed as creating additional or contrary substantive rights. C. An administrative unit may promulgate additional hearing regulations to supplement or modify this chapter under the administrative unit's enabling statute. D. If a conflict exists between this chapter and the statute or regulations governing an administrative unit, the statute or regulations of the individual administrative unit shall govern. E. If a conflict exists between this chapter and the Rules of Procedure of the Office of Administrative Hearings in COMAR 28.02.01, this chapter shall govern. #### Regulation .02 Definitions. *COMAR 09.01.02.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “ALJ” means an Administrative Law Judge appointed under State Government Article, §9-1604, Annotated Code of Maryland. (2) “Administrative Procedure Act” means State Government Article, §§10-201—10-217, Annotated Code of Maryland. (3) “Administrative unit” means a board, commission, hearing panel, committee, division, or a unit within the Department which is authorized by law or regulation to hear and determine contested cases. (4) “Applicant” means a person seeking a new or renewal license, certificate, registration, or permit from an administrative unit. (5) “Charging document” means a document issued by an administrative unit which sets forth: (a) One or more violations alleged to have been committed by a respondent; or (b) A denial or an intent to deny a license, certificate, registration, or permit. (6) “Claim” means a claim against a guaranty fund. (7) “Claimant” means an individual who has filed a claim against a guaranty fund. (8) “Complaint” means a written allegation that: (a) A licensee, registrant, certificate holder, or permit holder has committed an act which is prohibited by the appropriate statute or regulation and for which an administrative unit may take disciplinary action; or (b) A person has practiced a regulated profession or occupation, or engaged in a business, without the required license, certificate, registration, or permit. (9) “Contested case” has the meaning stated in State Government Article, §10-202, Annotated Code of Maryland. (10) “Counsel” means the attorney assigned by the Office of the Attorney General to provide a particular administrative unit with legal advice. (11) “Department” means the Maryland Department of Labor. (12) “Final order” means the final decision of an administrative unit which contains findings of fact, conclusions of law, and a disposition which: (a) Grants or denies a license, certificate, registration, or permit; (b) Sanctions by reprimand, fine, suspension, or revocation; (c) Makes a monetary award to a party from a guaranty fund or any other source, or denies an award; or (d) Dismisses disciplinary charges. (13) “Guaranty fund” has the meaning stated in Business Occupations and Professions Article, Title 17, Subtitle 4, Annotated Code of Maryland, and Business Regulation Article, Title 8, Subtitle 4, Annotated Code of Maryland, as applicable. (14) “Office of Administrative Hearings” has the meaning stated in State Government Article, §9-1602, Annotated Code of Maryland. (15) “Party” means a respondent, a claimant, an applicant, or an administrative unit, or all or some of them, as applicable. (16) “Person” has the meaning stated in Business Regulation Article, §1-101(g), Annotated Code of Maryland. (17) “Presenter of evidence” means the attorney assigned by the Office of the Attorney General to: (a) Present charges and evidence against a respondent or applicant; or (b) Represent the interests of a guaranty fund. (18) “Presiding officer” means the chairman of an administrative unit, or in the absence of a chairman, a member of the administrative unit designated by the applicable enabling statute or by the administrative unit itself to preside over the hearing of a contested case. (19) “Proposed decision” has the meaning stated in COMAR 28.02.01.02. (20) “Proposed order” means the order issued by an administrative unit, after a hearing conducted by an ALJ which: (a) Grants or denies a license, certificate, registration, or permit; (b) Sanctions by reprimand, fine, suspension, or revocation; (c) Makes or denies a monetary award to a party from a guaranty fund or any other source; or (d) Dismisses the charges. (21) “Respondent” means a person who has been called upon to answer charges made under disciplinary provisions or against whom a guaranty fund claim has been filed. #### Regulation .03 Complaints. *COMAR 09.01.02.03* A. A complaint to an administrative unit may be made by any person or administrative unit. B. The complaint shall be in writing, and shall state the facts on which the complaint is based. C. In response to a complaint, an administrative unit may take one or more of the following actions: (1) Dismiss the complaint; (2) Refer the complaint for investigation; (3) Take appropriate informal action consistent with the facts and circumstances of the complaint; (4) Charge the respondent with violation of the relevant statutory and regulatory sections and give the respondent an opportunity to appear at a hearing before the administrative unit; or (5) Schedule a hearing before the administrative unit on a claim against a guaranty fund. #### Regulation .04 Applications. *COMAR 09.01.02.04* A. An applicant who has been notified that a new or renewal license, certificate, registration, or permit, has been, or may be, denied may request a hearing before an administrative unit. B. The administrative unit shall hold a hearing to provide the applicant an opportunity to present evidence in support of the application. #### Regulation .05 Hearing Notice. *COMAR 09.01.02.05* A. An administrative unit shall provide reasonable written notice of a hearing to the parties. B. The hearing notice shall contain: (1) The date, time, place, and nature of the hearing; (2) A statement of the right to present witnesses, documents, and other forms of evidence, and the right to cross-examine witnesses of another party; (3) A statement of the right to request subpoenas for witnesses and evidence, specifying the costs, if any, associated with the request; (4) The availability on request of a copy of the hearing procedure, and the costs associated with the request; (5) A statement of the right or restrictions pertaining to representation; (6) A statement that failure to appear for the scheduled hearing may result in an adverse action against that party; and (7) A statement that the parties may agree to the evidence and waive their right to appear at the hearing. #### Regulation .06 Charging Document. *COMAR 09.01.02.06* A. The charging document shall be attached to the notice of hearing or incorporated in it. B. The charging document shall contain at least: (1) The facts asserted, or if the facts cannot be stated in detail, the issues involved; (2) The pertinent statutory and regulatory sections under which an administrative unit is taking action; (3) The potential penalties; and (4) A statement that if a hearing is not automatically scheduled, an applicant may request a hearing, and the process by which a request is made, including any time restrictions. #### Regulation .07 Service of Notices, Orders, and Other Documents. *COMAR 09.01.02.07* A. Except as provided in §B of this regulation or by prior agreement of the parties, the administrative unit shall serve all notices, orders, and other documents in one of the following ways: (1) By personal delivery; (2) By mailing a copy of the document, first class, postage prepaid, to the person's last known business or home address; or (3) If the person is represented by counsel, by delivering or mailing a copy of the document, first class, postage prepaid, to the person's attorney. B. The administrative unit shall send the hearing notice to the person against whom the action is contemplated by certified mail to the person's last known address: (1) At least 20 days before the hearing; or (2) If the parties have agreed to a date for which 20 days notice cannot be given, at the earliest time possible. C. If service of a hearing notice cannot be made under §B of this regulation, notice may be given under State Government Article, §10-209, Annotated Code of Maryland. D. Service under this regulation is effective on receipt. E. Unless the evidence shows otherwise, a document served by mail under this regulation is presumed to have been received by the addressee 3 days after the date the document was mailed. F. Service of a subpoena shall be made under Regulation .12 of this chapter. #### Regulation .08 Representation. *COMAR 09.01.02.08* A. A party to a proceeding may: (1) Appear in person or, if appearance by a representative is permitted by law, through a representative; or (2) Be represented by an attorney authorized to practice in Maryland. B. Any notice, decision, or other matter required to be sent to a party may be sent instead to the party's attorney of record at the attorney's address, and the presumption of service in Regulation .07E of this chapter shall apply. C. If a party is represented by an attorney or appears through an authorized representative, all submission of evidence, examination and cross-examination of witnesses, and all objections and motions on the party's behalf shall be made solely by the attorney or the authorized representative. #### Regulation .09 Failure to Appear. *COMAR 09.01.02.09* A hearing may proceed as scheduled in the absence of a party if the party has: A. Been served in accordance with Regulation .07 of this chapter; and B. Failed to obtain a postponement of the hearing from the administrative unit under Regulation .10 of this chapter. #### Regulation .10 Postponement. *COMAR 09.01.02.10* A. An administrative unit may postpone a hearing for good cause only if a written request for postponement is filed with the administrative unit not later than 10 days before the date of the hearing. B. If a request for postponement is received later than 10 days before the date of the hearing, the administrative unit shall deny the request unless it determines that there were extenuating circumstances which justified the delay. C. The failure of a respondent, claimant, or applicant to retain counsel or to timely request a subpoena may not be considered good cause under this regulation. D. A request for postponement based on failure to obtain service on a witness may not be granted if the party has failed to comply with Regulation .12 of this chapter. #### Regulation .11 Discovery. *COMAR 09.01.02.11* There is no prehearing discovery. #### Regulation .12 Subpoenas. *COMAR 09.01.02.12* A. On request of a party to a proceeding, an administrative unit shall issue a subpoena requiring the attendance and testimony of a witness and, if requested, the production at the hearing of relevant documents and tangible items in the possession or under the control of the witness. B. A request for the issuance of a subpoena shall be made in writing to the administrative unit not later than 10 days before the scheduled hearing date. C. If a request for issuance of a subpoena is received by the administrative unit less than 15 days before the scheduled hearing date, the requesting party shall be responsible for service of the subpoena. D. A request for a subpoena shall specify: (1) The full name and address of the person to be subpoenaed; (2) The full name, address, and telephone number of the party requesting the subpoena; (3) The caption of the action for which a subpoena is requested; (4) The date, time, and place of the hearing for which the subpoenaed person is to appear; and (5) For a subpoena for the production of documents, a description of tangible items, books, papers, or other documents. E. A subpoena request need not be served on all parties. F. Subpoenas may be served by: (1) Certified mail to the person at the address specified in the subpoena request; or (2) Personal delivery by an individual who is: (a) 18 years old or older; and (b) Not a party to the proceeding. G. Return of service of subpoena shall be made by: (1) Affidavit, if personally delivered; or (2) Return receipt, if mailed. H. A person may object to a subpoena by filing with the administrative unit, before the time specified in the subpoena for compliance, a motion to quash or for other appropriate relief. I. If a person fails to comply with a properly served subpoena, the party requesting the subpoena may apply to the appropriate circuit court for relief. #### Regulation .13 Conduct of the Proceedings. *COMAR 09.01.02.13* A. A quorum of the administrative unit shall be present for the hearing. B. The presiding officer, in consultation with counsel, shall determine all procedural and evidentiary issues governed by this chapter and by the Administrative Procedure Act, and may impose reasonable time limitations. C. The Maryland Rules of Civil Procedure may be used as a guide in resolving procedural issues governing the conduct of the hearing that are not addressed in this chapter and the Administrative Procedure Act. D. The presiding officer may conduct all or any part of the hearing by telephone, television, or other electronic means, in accordance with State Government Article, §10-211, Annotated Code of Maryland. E. Order of Proceedings. Absent unusual circumstances, the order of proceedings in a case involving disciplinary charges against a respondent shall be as follows: (1) Opening statements and preliminary matters may be heard; (2) All individuals planning to testify shall be sworn before testifying; (3) The presenter of evidence shall present the case against the respondent; (4) The respondent or the respondent's attorney or representative may present the respondent's case; (5) The presenter may present a rebuttal case; and (6) The administrative unit may hear closing arguments in the same order as the presentation of evidence and may receive written memoranda of law. F. In a disciplinary action case which includes a claim against a guaranty fund: (1) The claimant or the claimant's attorney shall present the claimant's case after the presenter of evidence has presented the case against the respondent; (2) The respondent or the respondent's attorney or representative may then present the respondent's case and respond to the claim; (3) The attorney for the guaranty fund may then present evidence on the claim; and (4) All parties may give closing argument in the same order as the presentation of evidence. G. The presenter of evidence, the respondent, and the claimant may cross-examine any witness called by any party during a combined regulatory and guaranty fund hearing. H. In an application case the order of proceedings shall be as follows: (1) The applicant or the applicant's attorney shall present the case in support of the application; (2) The presenter of evidence may then present the case in opposition to the application; and (3) The applicant may then present rebuttal. I. After the parties have completed their questioning of a witness, the presiding officer, members of the administrative unit, and counsel to the unit may question the witness. J. Upon a showing of good cause that a hearing cannot be completed on the scheduled date, an administrative unit may grant a continuance of the proceeding. #### Regulation .14 Evidence. *COMAR 09.01.02.14* The rules of evidence under this chapter shall be under State Government Article, §10-213, Annotated Code of Maryland. #### Regulation .15 Interpreters. *COMAR 09.01.02.15* A. If a party or witness cannot readily hear, speak, or understand the spoken or written English language, and applies to the administrative unit in advance of the hearing for the appointment of a qualified interpreter to assist that party or witness, the administrative unit shall appoint a qualified interpreter to provide assistance during the hearing. B. With the approval of the administrative unit, a party who intends to offer the testimony of a witness who cannot readily hear, speak, or understand the spoken or written English language, may arrange for a qualified interpreter to assist the witness. C. An interpreter shall take an oath or affirm that the interpreter will accurately translate. #### Regulation .16 Burden of Proof. *COMAR 09.01.02.16* A. In the hearing of a contested case involving allegations that the respondent violated a law or regulation, the presenter of evidence for the administrative unit shall bear the burden of proving, by a preponderance of the evidence, that the respondent committed the violations set forth in the charging document. B. In the hearing of a contested case resulting from the denial, or proposed denial, of a license, certificate, registration, or permit, the applicant shall have the burden of establishing, by a preponderance of the evidence, the applicant's entitlement to the license, certificate, registration, or permit. C. In a proceeding involving a guaranty fund claim, the claimant shall have the burden of proving, by a preponderance of the evidence, that the claimant is entitled to be compensated from the appropriate guaranty fund. #### Regulation .17 Public Hearings. *COMAR 09.01.02.17* Unless otherwise provided by statute, all hearings conducted under this chapter are open to the public. #### Regulation .18 Recording. *COMAR 09.01.02.18* A. The administrative unit shall cause the proceedings to be recorded. B. The record need not be transcribed unless requested by a party or the administrative unit. C. The cost of a typewritten transcript of any proceeding or part of a proceeding shall be paid by the party requesting the transcript. D. Except as provided in §A of this regulation, cameras, tape recorders, and other electronic and photographic equipment of any type are not permitted at the hearing, unless the equipment is intended to be introduced into evidence or used to present evidence. #### Regulation .19 Recusal. *COMAR 09.01.02.19* A member of an administrative unit shall be recused from the review of a complaint and from participating in a hearing if the individual: A. Has personal knowledge of the facts which gave rise to the complaint; B. Has a personal or business relationship with any of the parties or witnesses; or C. For any other reason may be unable to act impartially in the matter. #### Regulation .20 Decisions. *COMAR 09.01.02.20* A. After consideration of the testimony and other evidence, the administrative unit shall issue a written final order setting forth an appropriate disposition agreed to by a majority of the members of the unit who participated in the hearing. B. A member who was not present at all parts of the hearing may not vote on the disposition. C. The final order shall be issued within 90 days after the record of the proceeding is closed unless the administrative unit gives written notice to the parties that the time limit has been extended. D. The final order shall be signed by the presiding officer or a designee, and unless otherwise noted in the order, is final upon issuance. E. A copy of the decision shall be maintained in the files of the administrative unit. F. Decisions issued by an administrative unit in connection with a particular proceeding shall be mailed to the parties, or if represented by counsel to their attorney, by first-class mail within 3 business days from the date of the issuance of the order. #### Regulation .21 Judicial Review. *COMAR 09.01.02.21* A party aggrieved by the final decision in a contested case is entitled to judicial review of the decision under State Government Article, §10-222, Annotated Code of Maryland. ### Chapter 03 — Hearings Delegated to the Office of Administrative Hearings **Authority:** Business Regulation Article, §2-105, Annotated Code of Maryland **Administrative History:** Effective date: March 29, 1982 (9:6 Md. R. 614) **Administrative History:** Regulation .01 amended effective April 8, 1985 (12:7 Md. R. 701) **Administrative History:** Regulations .01—.10, Hearing Officer Regulations, repealed and new Regulations .01—.10, Hearings Delegated to the Office of Administrative Hearings, adopted effective December 12, 2002 (29:24 Md. R. 1918) #### Regulation .01 Scope. *COMAR 09.01.03.01* A. Except as provided in §B of this regulation, this chapter governs contested case hearings that an administrative unit has delegated to the Office of Administrative Hearings for a proposed decision under State Government Article, §10-205, Annotated Code of Maryland. B. This chapter does not apply to cases arising under: (1) Public Safety Article, Title 12, Subtitle 9, Annotated Code of Maryland, and corresponding regulations; (2) Business Regulation Article, §3-314, Annotated Code of Maryland, and corresponding regulations; (3) Labor and Employment Article, Title 5, Subtitle 2 and Subtitle 5, Part III, Annotated Code of Maryland, and corresponding regulations; (4) Labor and Employment Article, Title 8, Subtitle 5, Annotated Code of Maryland, and corresponding regulations; and (5) State Finance and Procurement Article, Title 17, Subtitle 2, Annotated Code of Maryland, and corresponding regulations. C. If a conflict exists between this chapter and the statute or regulations governing an administrative unit, the statute or regulations of the administrative unit shall govern. D. If a conflict exists between this chapter and the Rules of Procedure of the Office of Administrative Hearings in COMAR 28.02.01, this chapter shall govern. #### Regulation .02 Definitions. *COMAR 09.01.03.02* The definitions in COMAR 09.01.02.02 apply to this chapter. #### Regulation .03 Applicability. *COMAR 09.01.03.03* An administrative unit, after consultation with the Office of the Attorney General, may refer contested cases to the Office of Administrative Hearings. The administrative unit shall advise the Office of Administrative Hearings of the scope of authority delegated under State Government Article, §10-205, Annotated Code of Maryland. #### Regulation .04 Discovery. *COMAR 09.01.03.04* There is no prehearing discovery. #### Regulation .05 Proceedings. *COMAR 09.01.03.05* A. Except as provided in this regulation, the ALJ shall conduct an evidentiary hearing under the Administrative Procedure Act and COMAR 28.02.01. B. A motion to dismiss or any other dispositive motion may not be granted by the ALJ without the concurrence of all parties. C. The presenter of evidence, the respondent, and the claimant may cross-examine any witness called by any party during a combined regulatory and guaranty fund hearing. #### Regulation .06 Revocation of the Delegation of Authority. *COMAR 09.01.03.06* A. For a reason specified in §B of this regulation, an administrative unit or the Department may revoke, in whole or in part, the delegation of authority to the Office of Administrative Hearings to hear a contested case at any time before the earlier of: (1) The issuance of a ruling on a substantive issue; or (2) The taking of oral testimony from the first witness. B. The administrative unit or the Department may revoke the delegation of authority if, in the opinion of the administrative unit or the Department: (1) A contested case involves: (a) Unanticipated, novel, or unique legal or factual issues; or (b) Significant social, fiscal, legal, or policy issues; or (2) It is in the best interests of the parties to the case. C. The administrative unit or the Department shall provide written notice of a revocation of hearing authority to all parties and the Office of Administrative Hearings. D. The notice shall: (1) State the reason for the revocation of the delegation of authority; and (2) Specify if the revocation is in whole or in part. E. If only a partial revocation of the delegation of authority is made, the administrative unit or the Department shall identify in the notice the portions of the contested case for which delegation of authority has been revoked. F. A final decision issued by the administrative unit shall reflect the fact of full or partial revocation of the delegation of authority, and a copy of the revocation notice shall be included as part of the record. #### Regulation .07 Withdrawal of a Case. *COMAR 09.01.03.07* A. At any stage of the proceedings, upon the agreement of the parties, the case may be withdrawn from the Office of Administrative Hearings docket for settlement purposes. B. Withdrawal of the case from the Office of Administrative Hearings docket may not be deemed a dismissal of the regulatory charges or the guaranty fund claim, and may not preclude a subsequent referral to the Office of Administrative Hearings, if settlement is not accomplished. #### Regulation .08 Proposed Decisions and Orders. *COMAR 09.01.03.08* A. Upon completion of the hearing, the ALJ shall submit a proposed decision to the administrative unit. B. The Office of Administrative Hearings may not distribute the proposed decision to the parties or to the public unless the delegation of authority specifically provides for that distribution. C. The proposed decision shall comply with the requirements of the Administrative Procedure Act and COMAR 28.02.01.22, and shall include: (1) Written findings of fact; (2) Proposed conclusions of law; and (3) A recommended order. D. Within 60 days of receipt of the ALJ's proposed decision, an administrative unit shall: (1) Review the ALJ's proposed decision; (2) Issue a proposed order, which may include the ALJ's proposed decision with or without modifications; and (3) Send to the parties the proposed order and a copy of the ALJ's proposed decision in the manner set forth in §G of this regulation. E. An administrative unit may extend the 60-day period specified in §C of this regulation by a written notice to all parties. F. If the proposed order changes, modifies, or amends the ALJ's proposed decision, the proposed order shall set forth an explanation of the reasons for the changes, modifications, or amendments. G. A proposed order shall be mailed to the parties, or to their attorneys, by first-class mail within 3 business days from the date of the issuance of the order. H. The proposed order or an accompanying letter shall notify the parties that they may file written exceptions with, and present arguments to, the administrative unit. I. If no party files timely exceptions, the proposed order of the administrative unit shall become the final order. #### Regulation .09 Exceptions to the Proposed Order. *COMAR 09.01.03.09* A. Filing Exceptions. (1) A party adversely affected by a proposed order shall have 20 days from the postmark date of the proposed order to file exceptions with the administrative unit. (2) The date of filing exceptions with the administrative unit shall be the date of personal delivery to the unit or the postmark date on mailed exceptions. B. The exceptions may include a request that the proposed order be modified or reversed, or that the case be remanded for the taking of additional testimony. C. Upon receipt of exceptions to the proposed order, the administrative unit shall: (1) Schedule a date, time, and place for a hearing on the exceptions; and (2) Notify each party at least 20 days before the scheduled date of the date, time, and place of the hearing. D. By written request to the administrative unit, a party may waive the right to a hearing on the written exceptions. E. Unless a specific statute or regulation permits the hearing to be held before a panel of members of the unit, a quorum of the administrative unit shall be present at the hearing. F. At the hearing on exceptions, the presiding officer shall rule on all procedural issues governed by this regulation, and may impose reasonable time limitations. G. The record before an administrative unit on exceptions shall consist of: (1) The ALJ's proposed decision; (2) The proposed order of the administrative unit; (3) The exceptions filed by the parties and any responses to them; (4) A copy of the notice to the parties of the hearing on exceptions; (5) The transcript of the hearing before the ALJ, if filed with an administrative unit under §H of this regulation; and (6) All documentary evidence admitted into evidence before the ALJ. H. A party wishing to have the transcript made part of the record, shall at its own expense order the transcript and file three copies of it with the administrative unit at least 10 days before the scheduled date for the hearing on exceptions. If a transcript has already been prepared, the administrative unit shall make the transcript part of the record in the case. I. If the transcript has not been filed or otherwise made part of the record in the case, the parties at the hearing on exceptions may not refer to any testimony before the ALJ which was not incorporated into the ALJ's findings of fact or conclusions of law. J. If all parties agree, a stipulation of facts based on the record before the ALJ may be submitted instead of a transcript. K. Additional evidence may not be introduced unless the party seeking to introduce it demonstrates to the satisfaction of the administrative unit that the new evidence: (1) Is relevant and material; (2) Was not discovered before the ALJ hearing; and (3) Could not have been discovered before the ALJ hearing with the exercise of due diligence. L. A party wishing to introduce additional evidence before an administrative unit at a hearing on exceptions shall file a written request at least 15 days before the scheduled date of the hearing. #### Regulation .10 Final Order. *COMAR 09.01.03.10* A. The administrative unit shall issue its final order within 90 days after the date of the hearing on exceptions. B. The administrative unit may affirm, reverse, or modify the proposed order, or may remand the matter with specific instructions to the Office of Administrative Hearings. C. The administrative unit shall send a copy of the final order to the parties, or if represented by counsel to their attorneys, by first-class mail within 3 business days from the date of the issuance of the final order. D. The final order or an accompanying letter shall advise the parties of their rights to judicial review of the decision. ### Chapter 04 — Public Information Act Requests **Authority:** Business Regulation Article, §2-105; General Provisions Article, Title 4; Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.16 adopted as an emergency provision effective August 6, 1982 (9:18 Md. R. 1795); emergency status extended at 10:1 Md. R. 19; adopted permanently effective February 4, 1983 (10:2 Md. R. 109) **Administrative History:** Regulation .13 amended effective January 14, 1985 (12:1 Md. R. 16) **Administrative History:** Regulation .13B amended effective July 28, 2008 (35:15 Md. R. 1348) **Administrative History:** Regulation .14A amended effective February 3, 1992 (19:2 Md. R. 154) **Administrative History:** Regulation .17 adopted as an emergency provision effective June 8, 1995 (22:13 Md. R. 964); adopted permanently effective October 9, 1995 (22:20 Md. R. 1542) **Administrative History:** Chapter revised effective December 18, 2017 (44:25 Md. R. 1180) #### Regulation .01 General. *COMAR 09.01.04.01* A. These regulations set out procedures for filing requests with the Maryland Department of Labor (the Department) for the inspection and copying of records under the Public Information Act, General Provisions Article, Title 4, Annotated Code of Maryland. B. It is the policy of the Department to facilitate public access to the records of the Department, when access is allowed by law, by minimizing costs and time delays to persons requesting information. #### Regulation .02 Definitions. *COMAR 09.01.04.02* A. Unless otherwise noted, the definitions set forth in General Provisions Article, Title 4, Annotated Code of Maryland, apply in this chapter. B. “Custodian” means the Secretary of the Department or the Secretary’s designee employed by the Department who has personal custody and control of public records of the Department. C. “PIA Coordinator” means the Department employee who is responsible for accepting, monitoring, and, with advice from the Department’s legal staff, processing of requests for public records. D. “Public Access Ombudsman” means the official appointed under General Provisions Article, Title 4, Subtitle 1B, to address disputes under the Public Information Act, General Provisions Article, Title 4, Annotated Code of Maryland. E. “Secretary” means the Secretary of Labor. F. “Working day” means a day other than Saturday, Sunday, a State holiday, or a day of State emergency closure. G. “Written documents” means all books, papers, copies of electronic communications, maps, photographs, cards, tapes, computer disks, flash drives, recordings, computerized records, and other documentary materials, regardless of physical form or characteristics. #### Regulation .03 Who May Request. *COMAR 09.01.04.03* Any person may request to inspect or copy public records of the Department. #### Regulation .04 Request to Inspect a Public Record. *COMAR 09.01.04.04* A. Necessity for Written Request. Except as otherwise provided in General Provisions Article, Title 4, Annotated Code of Maryland, the custodian shall require a written request via regular or electronic means from a person or governmental unit that wishes to inspect a public record. B. Contents of Written Request. A written request shall contain the applicant's name and address, shall be signed by the applicant, and shall reasonably identify by brief description the record sought. C. Addressee. A written request shall be addressed to the custodian of the record. If the custodian is unknown to the applicant, the request may be addressed to the Secretary. #### Regulation .05 Response to Written Request. *COMAR 09.01.04.05* A. Decision to Grant a Request. (1) If the custodian decides to grant a written request for inspection, the custodian shall be responsible for producing the public record for inspection immediately or within a reasonable period, not to exceed 30 days from the date the request was received. (2) If the custodian reasonably believes that it will take more than 10 working days to produce the public record, the custodian shall indicate in writing via regular or electronic mail within 10 working days after receipt of the request: (a) The amount of time the custodian anticipates it will take to produce the public record; (b) An estimate of the range of fees that may be charged to comply with the request for public records; and (c) The reason why it will take more than 10 working days to produce the public records. B. Decision to Deny a Request. (1) If the custodian decides to deny the written request, the custodian shall do so within 30 days after receipt of the written request and shall immediately notify the applicant of the denial. (2) If a request is denied, the custodian shall provide the applicant, at the time of the denial or within 10 working days, a written statement that provides the following information: (a) The reason for the denial, including, for records denied under General Provisions Article, §4-343, Annotated Code of Maryland, a brief explanation of: (i) Why the denial is necessary; and (ii) Why the harm from disclosure of the public record would be greater than the public interest in providing access to the information in the public record such that disclosure of the public record would be contrary to the public interest; (b) The legal authority for the denial; (c) Without disclosing the protected information, a brief description of the undisclosed records that will enable the applicant to assess the applicability of the legal authority for the denial; and (d) Notice of the remedies available for review of the denial. C. Records Not in Custody or Control. (1) If a requested public record is not in the custody or control of the person to whom written application is made, that person shall, within 10 working days of the receipt of the request, notify the applicant that the person does not have custody or control of the requested public record. (2) If that person knows the name of the custodian of the public record or the location or possible location of the record, this information shall also be given to the applicant. D. Extension of Time. Any time limit imposed under this regulation may be extended either with the consent of the applicant for an additional period not to exceed 30 days, or if the applicant seeks resolution of a dispute under General Provisions Article, §4-1B-04, Annotated Code of Maryland, before the Public Access Ombudsman. #### Regulation .06 Electronic Records. *COMAR 09.01.04.06* A. Except as provided in §§C and D of this regulation, the custodian shall provide an applicant with a copy of the public record in a searchable and analyzable electronic format if: (1) The public record is in a searchable and analyzable electronic format; (2) The applicant requests a copy of the public record in a searchable and analyzable electronic format; and (3) The custodian is able to provide a copy of the public record, in whole or in part, in a searchable and analyzable electronic format that does not disclose information that may not be disclosed under the Act. B. The custodian shall provide a portion of the public record in a searchable and analyzable electronic format if: (1) Requested by the applicant; and (2) The custodian is able to do so by using the existing functions of the database or software program that contains the searchable and analyzable data. C. The custodian is not required to: (1) Create or reconstruct a public record in an electronic format if the public record is not available in an electronic format; or (2) Release an electronic record in a format that would jeopardize or compromise the security or integrity of the original record or of any proprietary software in which the record is maintained. D. The custodian may remove metadata from an electronic document before providing the electronic record to an applicant by: (1) Using a software program or function; and (2) Converting the electronic record into a different searchable and analyzable format. #### Regulation .07 Public Records Destroyed or Lost. *COMAR 09.01.04.07* If the custodian is aware that a requested public record of the Department has been destroyed or lost, the custodian shall within a reasonable time notify the applicant that the public record is not available and explain the reasons why the public record cannot be produced. #### Regulation .08 Review of the Denial. *COMAR 09.01.04.08* A. If the custodian denies a request to inspect or copy a public record of the Department, the applicant may file an action for judicial enforcement under General Provisions Article, §4-362, Annotated Code of Maryland, without pursuing the remedies set forth in §§B and C of this regulation. B. If the custodian charges a fee of more than $350 under Regulation .12 of this chapter, the applicant may, within 90 days after the date the fee is imposed, file a written complaint with the Board under General Provisions Article, §4-1A-05(a), Annotated Code of Maryland. C. The applicant and the custodian may contact the Public Access Ombudsman to resolve, under General Provisions Article, Title 4, Subtitle 1B, Annotated Code of Maryland, a dispute relating to a request for public records. #### Regulation .09 Disclosure Against Public Interest. *COMAR 09.01.04.09* A. Denial Pending Court Order. (1) If, in the opinion of the Secretary, disclosure of any public record that is otherwise required to be disclosed under the Act would do substantial injury to the public interest, the Secretary may temporarily deny the request and seek a court order allowing continued nondisclosure. (2) A temporary denial shall be in writing. B. Circuit Court Review. (1) Within 10 working days after the denial, the Secretary shall apply to the appropriate circuit court for an order permitting continued denial or restriction of access. (2) Notice of the Secretary’s complaint shall be served on the applicant in the manner provided for service of process by the Maryland Rules. #### Regulation .10 Time and Place of Inspection. *COMAR 09.01.04.10* A. An applicant may inspect any public record that the applicant is entitled to inspect during the normal working hours of the Department. B. The place of inspection shall be the place where the public record is located, unless the custodian, after taking into account the applicant’s expressed preferences, determines that another place of inspection is more suitable and convenient. #### Regulation .11 Inspection of Occupational and Professional Licensing Data for Compelling Public Purpose. *COMAR 09.01.04.11* A. A compelling public purpose shall be deemed to exist under General Provisions Article, §4-333, Annotated Code of Maryland, and the custodian of occupational and professional licensing records within the Department may permit the right of inspection of occupational and professional licensing data on individual persons other than that data specified under General Provisions Article, §4-333, Annotated Code of Maryland, as set forth in this regulation. B. The number, nature, and administrative status of complaints filed against the individual person who is the subject of the occupational and professional licensing record may be disclosed. C. Complaints, reports of investigation, and expert reports concerning the individual person who is the subject of the occupational and professional licensing record may be inspected if the person requesting the inspection: (1) Has filed a complaint against the person who is the subject of the occupational and professional licensing record and the request is limited to only these documents relating to this complaint; (2) Has filed a guaranty fund claim or a claim with a surety and the request is limited to only these documents relating to this guaranty fund or surety claim; (3) Is affiliated with a federal, state, local or other law enforcement agency and has requested the inspection for law-enforcement or prosecutorial purposes; or (4) Has requested the inspection on behalf of a surety investigating pending claims against the surety's bond for the particular licensee. D. A federal, state, local or other law-enforcement agency may inspect the application record of an individual person who is the subject of the occupational and professional licensing record if the requested inspection is for law enforcement or prosecutorial purposes. #### Regulation .12 Fees. *COMAR 09.01.04.12* A. The fee schedule for copying and certifying copies of records is as follows: (1) Copies. (a) The fee for each copy made is 25 cents per page if reproduction is made by a standard printer or photocopying or scanning machine within the Department; (b) The fee for each copy made otherwise shall be based on the actual cost of reproduction. (2) Certification of Copies. If a person requests that a copy of a public record be certified as a true copy, an additional fee of $1 per page (or, if appropriate, per item) shall be charged. (3) Minimum Fee Charged. A charge will not be made if the total amount of the fee would be $5 or less. B. Notwithstanding §A of this regulation, if the fees for copies, print-outs, photographs, or certified copies of any public record are specifically prescribed by a law other than the Act or this regulation, the prescribed fee shall be charged. C. If the custodian is unable to copy a public record within the Department, the custodian shall make arrangements for the prompt reproduction of the record at public or private facilities outside the Department. The custodian shall either collect from the applicant a fee to cover the actual cost of reproduction or direct the applicant to pay the cost of reproduction directly to the facility making the copy. D. Before copying a record, the custodian shall estimate the cost of reproduction, including any search and preparation fees, and either obtain the agreement of the applicant to pay the cost or require prepayment of any estimated fee before reproducing the record. E. Search and Preparation Fees. (1) Except as provided in §E(2) of this regulation, the official custodian may charge reasonable fees for time expended fulfilling the following tasks: (a) Searching for requested public records; (b) Reviewing requested public records for potential disclosure; and (c) Preparing public records for inspection and copying. (2) The official custodian may not charge any search or preparation fee for the first 2 hours of time that is needed to respond to a request to copy or inspect a public record. F. Waiver or Reduction of Fee. (1) The official custodian may waive or reduce any fee charged pursuant to this regulation if: (a) The applicant requests a waiver; and (b) The custodian determines that the waiver or reduction is in the public interest or if the applicant is indigent and files an affidavit verifying the facts support a claim of indigency. (2) In determining whether a fee is in the public interest, the custodian shall consider, among other relevant factors, the ability of the applicant to pay the fee. G. If the applicant requests that copies of a public record be mailed or delivered to the applicant or a third party, the custodian may charge the applicant for the cost of postage or delivery. #### Regulation .13 Sociological Information. *COMAR 09.01.04.13* A. Definition. For purposes of this regulation and as provided for under General Provisions Article, §4-330, Annotated Code of Maryland, “sociological information” means any of the following information requested from the Department: (1) Social Security number; (2) Personal address; (3) Personal phone number; (4) Information regarding marital status, dependents, or relatives; and (5) Information regarding employment status, including employment application. B. Nondisclosure. Unless otherwise prohibited from disclosure under applicable state or federal laws, the Department may not disclose sociological information to a requester, except that sociological information may be disclosed: (1) To public employees in performance of their public duties; (2) When required by a duly issued subpoena; or (3) When required to be disclosed as part of a licensing record. #### Regulation .14 Fees. *COMAR 09.01.04.14* A. The fee schedule for copying and certifying copies of records is as follows: (1) Copies. The fee for each copy is 25 cents per page if reproduction is made by a photocopying machine within the Department. If records are not susceptible to photocopying (for example, punch cards, magnetic tapes, blueprints, and microfilm), the fee for copies will be based on the actual cost of reproduction. (2) Certification of Copies. If a person requests that a copy of a record be certified as a true copy, an additional fee of $1 shall be charged. (3) Minimum Fee Charged. A charge will not be made if the total amount of the fee would be $1 or less. B. Notwithstanding §A above, if the fees for copies, print-outs, photographs, or certified copies of any record are specifically prescribed by a law other than the Act or this regulation, the prescribed fee shall be charged. C. If the custodian is unable to copy a record within the Department, the custodian shall make arrangements for the prompt reproduction of the record at public or private facilities outside the Department. The custodian shall either collect from the applicant a fee to cover the actual cost of reproduction or direct the applicant to pay the cost of reproduction directly to the facility making the copy. D. Before copying a record, the custodian shall estimate the cost of reproduction and either obtain the agreement of the applicant to pay the cost or demand prepayment of any estimated fee before reproducing the record. E. Except as provided in §F, below, the official custodian may charge reasonable fees for official or employee time expended searching for requested records or for any time expended preparing records for inspection and copying. F. The official custodian may not charge any search or preparation fee for the first 2 hours of official or employee time that is needed to respond to a request for information. G. Upon request, the official custodian may waive or reduce any fee charged pursuant to this regulation if the custodian determines that the waiver or reduction is in the public interest. The official custodian shall consider, among other relevant factors, the ability of the applicant to pay the cost or fee. H. If the applicant requests that copies be mailed or delivered to the applicant, the custodian may charge the applicant for the cost of postage or delivery to the applicant. #### Regulation .15 Time of Inspection. *COMAR 09.01.04.15* An applicant may inspect any public record that he is entitled to inspect during the normal working hours of the Department. #### Regulation .16 Place of Inspection. *COMAR 09.01.04.16* The place of inspection shall be the place where the document is located unless the custodian, after taking into account the applicant's expressed wish, determines that another place of inspection is more suitable and convenient. #### Regulation .17 Sociological Information. *COMAR 09.01.04.17* A. Definition. For purposes of this regulation, “sociological information” means any of the following information requested from the Department: (1) Social Security number; (2) Personal address; (3) Personal phone number; (4) Information regarding marital status, dependents, or relatives; and (5) Information regarding employment status, including employment application. B. Nondisclosure. The Department may not disclose sociological information to a requester, except that information may be disclosed: (1) To public employees in performance of their public duties; (2) To parties litigating claims for unemployment insurance to the extent the sociological information would be available to private parties in litigation; (3) When required by a duly issued subpoena; or (4) When required to be disclosed as part of a licensing record. ### Chapter 05 — Petition for Adoption of Regulations **Authority:** Business Regulation Article, §2-105; State Government Article, §10-123; Annotated Code of Maryland **Administrative History:** Effective date: January 6, 1983 (9:26 Md. R. 2571) #### Regulation .01 Purpose. *COMAR 09.01.05.01* The purpose of these regulations is to enable any interested person to request promulgation of regulations affecting matters under the authority of the Secretary or any constituent officer, commission, or agency, or to request amendment or repeal of any existing regulations. #### Regulation .02 Form of Petition. *COMAR 09.01.05.02* The petition shall be submitted in writing to the Secretary, 501 St. Paul Place, Baltimore, Maryland 21202 or to the principal office of the officer, commission, or agency to whom the petition is directed. #### Regulation .03 Content of Petition—Proposed Regulations. *COMAR 09.01.05.03* Any request for promulgation of new regulations submitted under these regulations shall include the proposed regulations and the reasons for and effect of the regulations, if adopted. #### Regulation .04 Content of Petition—Repeal or Amendment. *COMAR 09.01.05.04* Any request for amendment or repeal submitted under these regulations shall state what regulation the petitioner requests to be amended or repealed and the reasons for an effect of this request. #### Regulation .05 Review. *COMAR 09.01.05.05* The Secretary or the officer, commission, or agency to whom the petition is addressed, within 60 days after the petition is submitted, shall either deny the petition in writing, stating the reasons for the denial, or initiate rule-making proceedings. The petitioner shall be advised in writing of any action taken in response to the petition. ### Chapter 06 — Correction or Amendment of Personal Records **Authority:** Business Regulation Article, §2-105; State Government Article, §10-613; Annotated Code of Maryland **Administrative History:** Effective date: January 16, 1984 (11:1 Md. R. 42) #### Regulation .01 General. *COMAR 09.01.06.01* These regulations set out procedures for persons in interest to request the correction or amendment of personal records under State Government Article, §10-625, Annotated Code of Maryland, in the Maryland Department of Labor. #### Regulation .02 Who May Request. *COMAR 09.01.06.02* A “person in interest” as defined in State Government Article, §10-611(e), Annotated Code of Maryland, may request the Department to correct or amend any personal records pursuant to State Government Article, §10-625, Annotated Code of Maryland. #### Regulation .03 Contents of Request. *COMAR 09.01.06.03* The person in interest shall request the correction or amendment in writing. Each request shall: A. Identify the personal records the person is seeking to correct or amend; B. State the precise correction or amendment requested; C. State the reason the correction or amendment is sought; and D. Include the statement that the personal records are to the person's belief currently inaccurate or incomplete. #### Regulation .04 Filing the Request. *COMAR 09.01.06.04* A request for correction or amendment of the records shall be filed with the Department by addressing it to the custodian of the record. If the custodian is unknown to the person in interest, the request may be addressed to the Secretary. #### Regulation .05 Return of Request. *COMAR 09.01.06.05* A request for correction or amendment will be considered filed with the Department when received only to the extent that it reasonably complies with Regulation .03. If a request does not reasonably comply with Regulation .03, it shall be returned to the person with an explanation of the reason for the return and a statement that, upon completion, it may be refiled with the Department. #### Regulation .06 Response to Request. *COMAR 09.01.06.06* Within 30 days after the completed request for correction or amendment that complies with Regulations .03 and .04 is received, the custodian of the record shall: A. Make the requested correction or amendment and inform the person of the action; or B. Inform the person in writing of the: (1) Department's refusal to make the requested correction or amendment, and (2) Reason for the refusal; or C. Inform the person in writing that the request will not be acted on because: (1) The person is not a person in interest; (2) The records sought to be corrected or amended are not personal records; (3) The person requesting the correction or amendment is not entitled to inspect the records under State Government Article, §§10-615—10-619, Annotated Code of Maryland; or (4) Of any other reason authorized by law. #### Regulation .07 Refusal of Request. *COMAR 09.01.06.07* If the Department's final determination under Regulation .06 is to refuse the requested correction or amendment, as authorized by Regulation .06B, the person in interest may file with the Department a concise statement of the reasons for: A. The requested correction or amendment; and B. Disagreement with the Department's refusal to make the correction or amendment. #### Regulation .08 Requirements for Statement of Disagreement. *COMAR 09.01.06.08* The statement specified in Regulation .07 shall be filed on pages not exceeding 8 x 11 inches in size. Only one side of the page shall contain the statement. More than five pages may not be accepted by the Department in connection with a single request for correction and amendment. #### Regulation .09 Information Provided to Third Parties. *COMAR 09.01.06.09* When the Department discloses to a third party information from personal records about which a statement in compliance with Regulations .07 and .08 has been filed, the Department shall furnish a copy of the statement to the third party. #### Regulation .10 Administrative Review. *COMAR 09.01.06.10* A. A person may request an administrative review within the Department, by filing a request for review with the Secretary, if the person has been denied: (1) An amendment or correction of a record; (2) The right to file a statement; or (3) The right to have a statement to a third party forwarded pursuant to Regulation .09. B. A request for review shall be filed within 30 days of the date the person is advised of the Department's action. C. The review proceedings shall be conducted in accordance with State Government Article, §§10-204—10-214, Annotated Code of Maryland, and the administrative hearing regulations of the Department. ### Chapter 07 — Licensing of Sports Agents **Authority:** Business Regulation Article, §4-405, Annotated Code of Maryland **Administrative History:** Effective date: May 15, 1989 (16:9 Md. R. 994) #### Regulation .01 Schedule of Fees. *COMAR 09.01.07.01* A. Original License—Individual--------------------- $1,000 B. Original License—Corporation/Partnership---- $1,000 C. Renewal License—Individual--------------------- $1,000 D. Renewal License—Corporation/Partnership-----$1,000 ### Chapter 08 — Currency Transactions **Authority:** Corporations and Associations Article, §1-503, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.04 adopted as an emergency provision effective August 1, 1990 (17:17 Md. R. 2074); emergency status expired January 1, 1991 **Administrative History:** Regulations .01—.04 adopted effective October 28, 1991 (18:21 Md. R. 2307) #### Regulation .01 Definitions. *COMAR 09.01.08.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) Currency. (a) “Currency” means currency and coin of the United States or any other country including United States silver certificates, United States notes, and Federal Reserve notes. (b) “Currency” does not include bank checks, traveler's checks, bank drafts, wire transfers, money orders, or other negotiable or monetary instruments not customarily accepted as money. (2) “Department” means the Maryland Department of Labor. (3) “Person engaged in a trade or business” means an individual, partnership, firm, trust, estate, association, corporation, or other entity: (a) Engaged in vehicle sales, including motor vehicle, airplane, and boat sales; (b) That conducts real estate closings and settlements; or (c) Engaged in the sale or pledging of jewelry. (4) “Receives” means acquires, takes possession of, or transfers. (5) “Secretary” means the Secretary of Labor. #### Regulation .02 Reporting by Persons Engaging in a Trade or Business. *COMAR 09.01.08.02* A. Each person engaged in a trade or business who receives more than $10,000 in currency in one transaction, which takes place in this State, shall keep a record of each transaction. Individuals shall keep a record of only those transactions occurring during the course of the individual's trade or business. B. A single transaction may not be divided into multiple transactions in order to avoid reporting under this regulation. C. Each single transaction in excess of $10,000 shall be recorded on Form 8300, as required by 26 U.S.C. §6050-I. D. A copy in triplicate of the Form 8300 shall be filed with the Secretary of Labor, Operations and Management Unit, 501 St. Paul Place, Baltimore, Maryland 21202, within 15 days of the date of the transaction. #### Regulation .03 Availability of Reports. *COMAR 09.01.08.03* A. The Secretary shall make available to the Office of the Attorney General and the Department of Public Safety and Correctional Services a copy of each Form 8300 filed with the Secretary, on at least a monthly basis. B. The Secretary shall make available to any other criminal justice agency of federal, State, or municipal government, upon request, a copy of any Form 8300 filed with the Secretary. C. The copies of Form 8300 are not public records for the purpose of State Government Article, Title 10, Annotated Code of Maryland. #### Regulation .04 Failure to Report. *COMAR 09.01.08.04* A. After notice and opportunity for a hearing, as provided in State Government Article, Title 10, the Secretary may assess a civil penalty not to exceed $50 for each day that the Form 8300 is in arrears. B. For the purpose of determining the civil penalty, the Secretary shall assess a separate penalty for each store, division, branch, department, headquarters, or office, regardless of physical location. C. The total civil penalty may not exceed $1,000 per violation. D. In determining the amount of the civil penalty for a violation, the Secretary shall consider the amount of currency and number of transactions involved, and any pattern of compliance or noncompliance by the person engaged in the trade or business. ### Chapter 09 — New Home Warranty Security Plans **Authority:** Real Property Article, Title 10, Subtitle 6, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.03 amended as an emergency provision effective January 1, 2000 (26:27 Md. R. 2013); amended permanently effective May 1, 2000 (27:8 Md. R. 798) **Administrative History:** Regulations .01—.03 amended as an emergency provision effective January 1, 2001 (28:2 Md. R. 97); emergency status expired June 1, 2001; amended permanently effective June 25, 2001 (28:12 Md. R. 1105) **Administrative History:** Regulations .01—.08 adopted as an emergency provision effective January 1, 1991 (18:2 Md. R. 142); emergency status expired July 31, 1991 **Administrative History:** Regulations .01—.08 adopted as an emergency provision effective October 29, 1991 (18:23 Md. R. 2481); emergency status expired April 30, 1992; adopted permanently effective June 8, 1992 (19:11 Md. R. 1013) **Administrative History:** Regulation .09 adopted effective January 24, 2000 (27:1 Md. R. 74) #### Regulation .01 Disclosure by Builders Not Participating in New Home Warranty Security Plan. *COMAR 09.01.09.01* A. The disclosure shall be printed in at least 12-point type. B. The disclosure shall read as follows: #### Regulation .02 Disclosure Required by Builders Participating in New Home Warranty Security Plan. *COMAR 09.01.09.02* A. The disclosure shall be printed in at least 12-point type. B. The disclosure shall read as follows: #### Regulation .03 Disclosure Required by Builder Leaving Decision to Participate in New Home Warranty Security Plan to the Buyer. *COMAR 09.01.09.03* A. The disclosure shall be printed in at least 12-point type. B. The disclosure shall read as follows: #### Regulation .04 Notification Required to be Given to Buyer on Warranty Date. *COMAR 09.01.09.04* A. On the warranty date, if a builder participates in a New Home Warranty Security Plan or if a buyer has elected to have the builder participate in a plan, the builder shall provide the owner with evidence that the new home is covered by a new home warranty that meets the requirements of Maryland law. B. Evidence of participation is a letter from the New Home Warranty Security Plan certifying that the new home is covered by the minimum warranty required under Maryland law and specifically setting forth any additional express warranties or any exclusions to the warranty coverage. C. The letter in §B of this regulation shall include the address and telephone number of the New Home Warranty Security Plan. The letter shall contain the following statement in bold type: #### Regulation .05 Notice to Buyer Required by Builders Participating in New Home Warranty Security Plan or Electing to Allow Buyer the Option of Participating in New Home Warranty Security Plan. *COMAR 09.01.09.05* A. The notice shall be printed in at least 12-point type. B. The notice shall be incorporated into the contract in a conspicuous manner and shall read as follows: #### Regulation .06 Financial Security Requirements for New Home Warranty Security Plan. *COMAR 09.01.09.06* A. Approval of a new home warranty security plan shall continue only if the operator of the plan remains financially able to pay all valid claims. B. The operator shall demonstrate financial responsibility from time to time to the Secretary in the following manner: (1) The operator shall maintain and file with the Secretary a surety bond from an authorized insurer or an irrevocable letter of credit from a federally insured financial institution to ensure that the operator is able to meet its contractual obligations under the plan to the buyers. The amount of the bond or letter of credit is $100,000 unless a greater amount is required by the Secretary. The bond or letter of credit is in addition to any insurance or risk retention plan coverage the operator maintains to meet liability claims. (2) At such time as it appears to the Secretary that a bond or letter of credit in the amount of $100,000 is not adequate to meet potential new home warranty security plan claims, the Secretary shall require: (a) A bond or letter of credit in a higher amount; (b) The establishment by the operator of a reserve fund; or (c) Other measures to ensure financial responsibility. (3) The operator shall furnish such information and reports, and grant such access to its records, as the Secretary from time to time requires. #### Regulation .07 Registration and Effective Date of New Home Warranty Security Plan. *COMAR 09.01.09.07* A. If a contract for sale or construction of a new home between a buyer and a builder who participates in a new home warranty security plan provides, either by its terms or by virtue of an option exercised by the buyer, that the home will be registered in the plan, the operator of the plan shall register the home and shall do so at the cost agreed upon between the operator and the builder and disclosed to the buyer at the time the contract for sale or construction of the new home is entered into, unless the buyer is not charged directly or indirectly for the cost of the warranty. B. Protection under the new home warranty security plan begins on the warranty date. C. The provisions of Real Property Article, Subtitle 6, Annotated Code of Maryland, concerning new home warranties apply to each newly constructed private dwelling unit, the contract for sale or construction of which is entered into on or after January 1, 1991. The provisions of Real Property Article, Subtitle 6, Annotated Code of Maryland, do not apply in Montgomery County, except as provided in Real Property Article, §10-610, Annotated Code of Maryland. #### Regulation .08 Other Warranties. *COMAR 09.01.09.08* The warranties provided under a new home warranty security plan are in addition to warranties otherwise provided by law, including those set forth in Real Property Article, §§10-202, 10-203, and 11-131, Annotated Code of Maryland. #### Regulation .09 Notice Requirements for Denial of Coverage. *COMAR 09.01.09.09* A. Notice of Denial. (1) The operator of a plan shall notify the buyer in writing of a decision to deny warranty coverage for all or part of a claim not later than 90 days after the claim is received by the operator. (2) The notice of denial shall include: (a) Reference to the specific terms of the plan on which the denial is based; and (b) The procedures which the buyer must follow to appeal the denial, including all time limitations. B. If the operator is unable to reach a decision on the claim within 90 days, the operator shall: (1) Before the end of the 90-day period, notify the buyer in writing of the: (a) Reasons for the inability to meet the deadline, and (b) Date by which the decision will be reached; and (2) When a decision on the claim is reached, notify the buyer of a decision to deny warrant coverage in accordance with §A of this regulation. C. The operator shall send copies of all notifications of denial of coverage to the Secretary at the same time that the notice is sent to the buyer. ### Chapter 10 — Criminal Record—Effect on Licensure **Authority:** Business Regulation Article, §2-105, Annotated Code of Maryland;57 Attorney General Opinion 355 (1972) **Administrative History:** Effective date: August 12, 1996 (23:16 Md. R. 1175) #### Regulation .01 Applicability. *COMAR 09.01.10.01* The following standards shall be applied by an officer, commissioner, commission, and board within the Maryland Department of Labor to the extent the officer, commissioner, commission, or board has authority to consider the effect of a criminal conviction on the grant, denial, renewal, or revocation of a license. #### Regulation .02 Standards. *COMAR 09.01.10.02* The following standards shall be considered in the grant, denial, renewal, or revocation of a license, when an applicant or licensee has been convicted of a crime: A. The nature of the crime; B. The relationship of the crime to the activities authorized by the license; C. The relevance of the conviction to the fitness and qualification of the applicant or licensee to perform the occupation authorized by the license; D. Other crimes of which the applicant or licensee has been convicted; E. The length of time since the conviction; F. The behavior and activities of the applicant or licensee before, and subsequent to, the conviction. ### Chapter 11 — Open Meetings Act **Authority:** Business Regulation Article, §§2-105 and 2-108; General Provisions Article, Title 3; Annotated Code of Maryland **Administrative History:** Effective date: September 24, 2018 (45:19 Md. R. 865) #### Regulation .01 General. *COMAR 09.01.11.01* This chapter contains procedures regarding: A. The attendance by members of general public of open sessions of the units in the Maryland Department of Labor; and B. The recording and broadcasting of open sessions of the units within the Maryland Department of Labor. #### Regulation .02 Definitions. *COMAR 09.01.11.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Department” means the Maryland Department of Labor. (2) “Open meeting” means a public meeting of the unit within the Department required to be open to the public pursuant to the Open Meetings Act, General Provisions Article, Title 3, Annotated Code of Maryland. (3) “Unit” means an entity defined in Business Regulation Article, §2-108, Annotated Code of Maryland. #### Regulation .03 Public Attendance. *COMAR 09.01.11.03* A. The public is invited to attend and observe any open session of the unit within the Department. B. Except in instances when the unit expressly invites public testimony, questions, comments, or other forms of public participation, or when public participation is otherwise authorized by law, a member of the public attending an open session may not actively participate in the session. #### Regulation .04 Prohibited Conduct or Activity. *COMAR 09.01.11.04* A. An individual attending an open session of the unit may not engage in conduct that disrupts the session or interferes with the right or opportunity of members of the public to attend and observe the session. B. The presiding officer may: (1) Order an individual who engages in conduct prohibited in §A of this regulation or who violates any other regulation concerning the conduct of the open session to be removed from the session; (2) Request police or other assistance to restore order; or (3) Recess the session while order is restored. #### Regulation .05 Recording, Photographing, and Broadcasting of Open Sessions. *COMAR 09.01.11.05* A. During a public session, a member of the public, including a representative of the news media, may record discussions of the unit using a recording device, if the device: (1) Does not create an excessive noise that disturbs members of the unit or any other individuals attending the session; (2) Does not otherwise interfere with an individual's observation of or participation in the session; and (3) Is operated openly so that it is obvious to those in attendance that the session is being recorded. B. During a public session, a member of the public, including a representative of the news media, may photograph or video record the proceedings of the unit by means of any type of camera or other recording device, if the device: (1) Is operated without excessively bright artificial light that disturbs members of the unit or other individuals attending the open session; (2) Does not create an excessive noise that disturbs members of the unit or any individuals attending the session; (3) Does not otherwise interfere with an individual's observation of or participation in the session; and (4) Is operated openly so that it is obvious to those in attendance that the session is being recorded. C. A representative of the news media may broadcast or televise the proceedings of the open session of the unit if the equipment used: (1) Is operated without excessively bright artificial light that disturbs members of the unit or other individuals attending the open session; (2) Does not create an excessive noise that disturbs members of the unit or any individuals attending the session; (3) Does not otherwise interfere with an individual's observation of or participation in the session; and (4) Is operated openly so that it is obvious to those in attendance that the session is being recorded. D. The presiding officer may announce the recording of the proceedings. E. The presiding officer may restrict movement of a person who is using a recording device, camera, or broadcasting or television equipment if such restriction is necessary to maintain the orderly conduct of the open session. F. The presiding officer of the unit may require that an individual who intends to record, photograph, broadcast, televise, or otherwise transmit an open session let the unit know in advance of the beginning of the session. #### Regulation .06 Recordings Not Part of Record. *COMAR 09.01.11.06* A recording of an open session made by a member of the public, or any transcript derived from such a recording, may not be deemed a part of the record or any proceeding of the unit. ### Chapter 12 — Apprenticeship Maryland **Authority:** Business Regulation Article, §2-105; Labor and Employment Article, §11-603(k); Annotated Code of Maryland **Administrative History:** Effective date: March 14, 2016 (43:5 Md. R. 384) **Administrative History:** Regulations .01— .08 repealed effective May 15, 2023 (50:9 Md. R.. 378) ### Chapter 13 — Regulation of Units to Prevent Anticompetitive Actions **Authority:** State Government Article, §8-205.1, Annotated Code of Maryland **Administrative History:** Effective date: December 31, 2018 (45:26 Md. R. 1240) #### Regulation .01 Procedures. *COMAR 09.01.13.01* A. The procedures described in this regulation shall apply to a proposed decision or action of a board or commission within the Maryland Department of Labor composed in whole or in part of individuals participating in the occupation or profession regulated by the board or commission if the proposed decision or action: (1) May result in an unreasonable anti-competitive action; and (2) Does not further a clearly articulated State policy to displace competition in a regulated market in order to protect the health, safety, and welfare of the citizens of the State. B. Before the board or commission makes a decision or takes an action which may result in the outcomes described in this regulation, the board or commission shall notify the Secretary or the Secretary’s designee of the board’s or commission’s proposed action or decision. C. The Secretary or the Secretary’s designee shall review the proposed action or decision expeditiously and shall notify the board or commission in writing of the decision to approve, disapprove, modify, or remand the proposed decision or action back to the board or commission for further review. D. A decision or an action of a board or commission may not constitute a final decision or action of the board or commission until after the Secretary or the Secretary’s designee has conducted a review of the substance of the proposed decision or action by the board or commission to ensure its compliance with an articulated State policy as described in State Government Article, §8-205.1(b), Annotated Code of Maryland. E. A final decision or action of the board or commission shall comply with the written decision made by the Secretary or the Secretary’s designee in accordance with the requirements set forth in this regulation. ## Subtitle 02 — ## Subtitle 03 — Commissioner of Financial Regulation ### Chapter 01 — Credit Unions **Authority:** Business Regulation Article, §2-105; Financial Institutions Article, §2-105.1 and Title 6; Annotated Code of Maryland **Administrative History:** Effective date: December 24, 1976 (3:24 Md. R. 1392) **Administrative History:** Regulations .01—.07 repealed effective October 1, 2001 (28:19 Md. R. 1683) **Administrative History:** Regulations .08—.13 adopted as an emergency provision effective July 19, 1988 (15:18 Md. R. 2143); emergency status extended at 15:27 Md. R. 3123 **Administrative History:** Regulations .08—.18 adopted effective August 6, 1990 (17:15 Md. R. 1855) **Administrative History:** Regulation .08B amended effective October 6, 1997 (24:20 Md. R. 1403) **Administrative History:** Regulation .08 repealed and new Regulation .08 adopted effective November 2, 1998 (25:22 Md. R. 1652) **Administrative History:** Regulation .08 amended effective October 1, 2001 (28:19 Md. R. 1683) **Administrative History:** Regulation .09 repealed effective October 1, 2001 (28:19 Md. R. 1683) **Administrative History:** Regulation .10 repealed and new Regulation .10 adopted effective October 1, 2001 (28:19 Md. R. 1683) **Administrative History:** Regulation .12 repealed effective October 1, 2001 (28:19 Md. R. 1683) **Administrative History:** Regulation .13 repealed effective October 1, 2001 (28:19 Md. R. 1683) **Administrative History:** Regulation .14 repealed and new Regulation .14 adopted effective October 1, 2001 (28:19 Md. R. 1683) **Administrative History:** Regulation .14 amended effective April 29, 2002 (29:8 Md. R. 697) **Administrative History:** Regulation .17 repealed effective June 16, 1997 (24:12 Md. R. 863) **Administrative History:** Regulation .17 adopted effective December 26, 2011 (38:26 Md. R. 1696) **Administrative History:** Regulation .18 repealed effective October 1, 2001 (28:19 Md. R. 1683) #### Regulation .01—.07 Repealed. *COMAR 09.03.01.01—.07* #### Regulation .08 Real Estate Lending. *COMAR 09.03.01.08* A. Definitions. (1) “Appraisal” means an objective estimate of value established using a real estate appraisal policy approved by the board of directors in accordance with all applicable federal and State laws and regulations and in conformity with secondary market guidelines including but not limited to the Federal National Mortgage Association (FNMA) and/or Federal Home Loan Mortgage Corporation (FHLMC). (2) “Appraiser” means an individual who performs appraisals under the authority of real estate appraisal policies and procedures approved by the Commissioner of Financial Regulation under Financial Institutions Article, §2-110, Annotated Code of Maryland. (3) “Construction mortgage” means an interim loan covering residential construction and development costs in which funds are advanced at specific stages of construction with a portion held back until completion of the project. (4) “Escrow account” means either a special limited-withdrawal share account or an accounts payable account used for the accumulation of funds to pay for not more than 1 year's taxes, ground rent, assessments, insurance premiums, or other charges that could affect the credit union's lien position. (5) “Flood insurance” means insurance affording protection against loss or damage from flood and other hazards covered by a standard mortgage clause in favor of the credit union and subsequent purchasers of the mortgage. (6) “Hazard insurance” means property insurance affording protection against loss or damage from fire and other hazards covered by a standard extended coverage endorsement with a standard mortgage clause in favor of the credit union and subsequent purchasers of the mortgage. (7) “Insured or guaranteed loan” means a loan that is fully or partially insured or guaranteed by the federal government, State government, local government, or any agency of these governments. (8) “Lender's title insurance” means insurance that protects: (a) The credit union against loss due to clouds or defects in title to real property in an amount equal to the current principal balance of the loan; and (b) Subsequent purchasers of the mortgage or deed of trust. (9) “Market value” means the highest price that real property will bring in a competitive and open market under all conditions requisite to a fair sale, with the buyer and seller acting in a prudent and knowledgeable manner, and assuming the price is not affected by undue stimulus. (10) “Net worth” means retained earnings as defined under generally accepted accounting principles. Retained earnings include, but are not limited to, undivided earnings, regular reserves, and any other appropriations designated by management or the Commissioner. (11) “Permanent financing” means a longer-term mortgage loan greater than 10 years in maturity and covering development costs, construction costs, legal expenses, and other related costs. Permanent financing is also known as a take-out loan for a construction loan. (12) “Principal residence” means a structure where the owner will be domiciled or will reside permanently within the time period established by the applicable federal loan programs or within 60 days after initial disbursement of the loan. (13) “Private mortgage insurance” means mortgage insurance that is purchased for conventional loans on that amount of the loan that is in excess of 80 percent loan to value. (14) Purchase Money Mortgage. (a) “Purchase money mortgage” means the acquisition of property through the use of a first mortgage or first deed of trust. (b) “Purchase money mortgage” does not include refinances or seasoned loans. (15) “Refinance—cash out” means the repayment of an existing mortgage debt from the proceeds of a new mortgage that has the same borrower and the same security property, which: (a) Is settled in accordance with existing underwriting guidelines; and (b) May include: (i) The unpaid principal balance of the existing first mortgage, (ii) Closing costs, (iii) Points, (iv) The amount required to satisfy any outstanding subordinate mortgage liens, and (v) Additional cash that the borrower may use for any purpose. (16) “Refinance—no cash out” means the repayment of an existing mortgage debt from the proceeds of a new mortgage that has the same borrower and the same security property, which: (a) Is settled in accordance with existing underwriting guidelines; and (b) May include: (i) The unpaid principal balance of the existing first mortgage, (ii) Closing cost, (iii) Points, and (iv) The amount required to satisfy any outstanding subordinate mortgage liens. (17) Residential Real Property. (a) “Residential real property” means a structure designed for residential use by not more than four families, at least one unit of which shall be occupied by the owner of the structure. (b) “Residential real property” includes a one- to four-family unit in a planned unit development or condominium project where certain portions of the secured property are owned in common with others. (c) “Residential real property” does not include a unit in a cooperative project. (18) “Secondary mortgage loan market” means a nationally recognized market, the most common of which has been created by the Federal National Mortgage Association (FNMA) and the Federal Home Loan Mortgage Corporation (FHLMC), where first mortgages are securitized or sold, or both, separately to investors. (19) “Secondary residence” means one structure in addition to a principal residence: (a) Where the owner resides for at least 2 weeks every calendar year; or (b) Which the owner will not rent to others for at least 2 weeks every calendar year. (20) “Security instrument” means either a deed of trust or a mortgage that constitutes a lien. (21) “Value” means the lower of the appraised market value or the purchase price. B. Requirements. A credit union may make loans secured by residential real property only in accordance with a written loan policy adopted by the board of directors. The policy shall have four sections, if applicable, as follows: (1) General real estate lending policy; (2) Purchase money mortgages, refinances; (3) Construction ,mortgage—permanent financing; (4) Second mortgages, home equity loans/lines of credit; and (5) Nonconforming real estate loans. C. General Real Estate Lending Policy Section. (1) The general real estate lending policy section shall, at a minimum, address the following: (a) Types of real estate loans to be offered, for example: (i) Purchase money mortgages, refinances—cash out, or refinances—no cash out with fixed or adjustable rates; (ii) Second mortgages, home equity loans/lines of credit, open-end, closed-end with fixed or adjustable rates; (iii) Nonconforming real estate loans; and (iv) Construction mortgages; (b) The Maryland lending statute under which each type of loan is written; (c) Total real estate lending limits determined by the board of directors, which: (i) Do not exceed the lesser of 30 percent of total credit union assets that can be invested in real estate loans, or four times total credit union capital that can be invested in real estate loans, and (ii) May not be exceeded unless approved in writing by the Commissioner; (d) The credit union's market area for real estate loans; (e) The terms and pricing of real estate loans; (f) The qualifications and experience needed by personnel involved in making real estate loans; (g) Monitoring and quality control standards and procedures that address the loan portfolio, collateral, and interest rate risk; (h) Any requirement that a borrower contribute funds to an escrow account maintained in the credit union for accumulation of funds to pay real estate taxes, hazard insurance, ground rents, flood insurance, PMI, and any other similar expense items; (i) Any requirement that a borrower have hazard insurance, as permitted by the Commercial Law Article, Annotated Code of Maryland, and with the following provisions: (i) The hazard insurance company may be chosen by the borrower, and (ii) The credit union should be listed as the loss payee on the insurance policy; (j) Any requirement that a borrower provide a termite inspection on the improvements of the real property; (k) Any requirement that a borrower provide a perc test if the real property has a septic tank system; (l) Any requirement that a borrower provide a chemical/bacteriological and yield test if the property has a well water system; (m) Any requirement that a borrower provide a survey of the real property; and (n) Provisions that notify loan officers of the requirements of §C(2)—(6) of this regulation. (2) The loan application, security instrument, and note, if a deed of trust is used, shall be executed on the most current version of the Federal Housing Administration (FHA), Veterans' Administration (VA), Federal Home Loan Mortgage Corporation (FHLMC), or Federal National Mortgage Association (FNMA) standard forms or uniform instruments for the jurisdiction in which the property is located. If FHA, VA, FHLMC, or FNMA uniform instruments do not exist, the credit union shall have on file a current attorney's opinion stating that the forms in use meet the requirements of applicable federal, State, and local law. (3) The loan shall be: (a) Secured by a properly executed and recorded mortgage or deed of trust on real property naming the credit union as the secured party or beneficiary; and (b) If a deed of trust is used, supported by a properly executed promissory note. (4) A credit union shall comply with all requirements of the Flood Disaster Protection Act. (5) A credit union shall require that real estate loans in excess of $100,000 have an appraisal prepared and signed by the appraiser before the date of the approval of the loan. In the case of an insured or guaranteed loan, the appraisal form shall comply with the requirements of the insuring or guaranteeing agency. All negative comments by the appraiser shall be explained or reflect financial adjustments, or both. (6) Appraisal Guidelines. (a) In accordance with Financial Institutions Article, §2-110, Annotated Code of Maryland, the credit union shall have on file with the Commissioner an approved real estate appraisal policy and procedure which includes the following appraisal guidelines: (i) The appraiser may not have a financial interest in the real estate being appraised; (ii) The appraiser shall be independent of influence from the credit union, the borrower, the seller, or any other related third party; and (iii) The appraiser shall have demonstrated experience in appraising property similar in type and value to the real property that is being considered for the loan. (b) The credit union shall maintain evidence of the appraiser's professional certification, license, or any other recognized measure of competence in their field. D. Purchase Money Mortgages, Refinances Policy. (1) The purchase money mortgages, refinances policy section shall, at a minimum, address the following: (a) A policy statement adopted by the board of directors that all purchase money mortgages will be underwritten to be sold on the secondary market if liquidity conditions or the interest rate risk exposure to the credit union makes the sale necessary; (b) A description of the loan products offered, for example, purchase money mortgages, refinances—cash out, and refinances—no cash out; (c) A statement that any loan made under this section of the written loan policy shall be a loan to finance the purchase of a principal residence or secondary residence by a borrower or to refinance an existing mortgage or deed of trust by a borrower; (d) A requirement that loan maturities may not exceed 30 years; (e) The requirements for and the release of private mortgage insurance; (f) Underwriting guidelines that are consistent with nationally recognized secondary mortgage market standards such as the Federal National Mortgage Association (FNMA) or the Federal Home Loan Mortgage Corporation (FHLMC); and (g) Provisions notifying loan officers of the requirements of §D(2)—(5) of this regulation. (2) A loan, including an adjustable rate loan, shall be amortized by substantially equal installments sufficient to retire the loan at maturity except when allowed by law. Installments shall be payable at least monthly. (3) A loan made under this section of the real estate policy may not exceed 80 percent of the appraised value of the property securing the loan at the time of disbursement, except that: (a) An insured or guaranteed loan may equal the maximum amount acceptable to the insuring or guaranteeing agency; (b) The loan amount may equal up to 95 percent of the value of the property if private mortgage insurance is obtained for the amount of the loan in excess of 80 percent of the value; (c) A loan made in accordance with any Federal Home Loan Mortgage Corporation (FHLMC), Federal National Mortgage Association (FNMA), federal, State, county, or municipal program may equal the maximum loan-to-value amount acceptable under the program and shall be originated to be sold in the secondary market without recourse or with recourse if the program permits. (4) A credit union shall require that a borrower provide an opinion or certificate of title signed by an attorney licensed to practice in the jurisdiction in which the property is located, or a lender's title insurance policy affirming the quality and position of the lien. (5) Loan Documentation. A loan file shall be maintained for each loan, and, at a minimum, contain all of the following: (a) A loan application supported by an executed sales contract, or other applicable documents and any modifications, bearing the signature or signatures of principal parties to the transaction; (b) A written appraisal, if required, prepared and signed by the appraiser before the date of the approval of the loan; (c) In the case of an insured or guaranteed loan, an appraisal form which complies with the requirements of the insuring or guaranteeing agency; (d) When applicable, a private mortgage insurance certificate or documentation that the loan is insured or guaranteed; (e) When applicable, a complete settlement statement (Form HUD-1 or HUD-1A) detailing all charges and fees and distribution of the loan proceeds; (f) An opinion or certificate of title signed by an attorney licensed to practice in the jurisdiction in which the property is located, or a lender's title insurance policy affirming the quality and position of the lien; (g) A current hazard insurance policy; (h) A current flood insurance policy, if required; (i) A properly executed security instrument and note, if a deed of trust is used, and a document indicating the date or dates and place or places of recording of the instruments; (j) When applicable, evidence of compliance with the Federal Truth in Lending Act, 15 U.S.C. §1601 et seq., which is incorporated by reference; (k) When applicable, disclosure required by the Real Estate Settlement Procedures Act, 12 U.S.C. §2601 et seq., which is incorporated by reference; (l) Any and all other required loan documents including but not limited to credit documentation, verifications, surveys, and appraisals. E. Construction Mortgage—Permanent Financing. The construction mortgage—permanent financing loan policy section shall, at a minimum, address the following: (1) The maturity of the construction loan may not exceed 2 years unless a time extension is granted in writing by the credit union for unusual circumstances; (2) The credit union may collect interest-only payments during the term of the construction loan; (3) The loan-to-value ratio for construction mortgages may not exceed 95 percent; (4) The appraisal requirements for construction loans are the same as those in §C(5) and (6) of this regulation; (5) The construction mortgage agreement with the borrower shall contain, at a minimum, the following provisions: (a) A detailed description of the various stages at which funds will be disbursed and the inspection requirements for each stage; (b) A requirement that the final draw for the construction loan may not be made until the final use and occupancy permit from the appropriate local jurisdiction is obtained; and (c) A requirement that before the construction loan is granted, all required building permits, perc tests, wetland determinations, surveys, and other required documents shall be completed; (6) If the construction loan amount is greater than $150,000, the borrower shall purchase a performance bond to ensure the contractor fulfills the contractor's obligations; (7) If applicable, when the permanent financing pays off the construction mortgage, all applicable provisions of §D of this regulation shall apply to the purchase money mortgage; and (8) If applicable, provisions for permanent financing shall be addressed. F. Second Mortgage, Home Equity Loan/Line of Credit Policy. (1) The second mortgage, home equity loan/line of credit policy section shall, at a minimum, address the following: (a) A description of the various loan products offered, for example, second mortgages, and home equity lines of credit; (b) Underwriting guidelines that are consistent with prudent loan underwriting standards for second mortgages and home equity lines of credit or secondary market conditions as they may exist; and (c) Provisions that notify loan officers of the requirements of §F(2)—(6) of this regulation. (2) Any loan made under this section shall be secured by the borrower's principal residence or secondary residence. (3) Loan maturities may not exceed 30 years in the case of home equity loan/lines of credit with a draw period. The payback period may not exceed 20 years. (4) A loan, including an adjustable rate loan shall be amortized by substantially equal installments sufficient to retire the loan at maturity except when allowed by law. Installments shall be payable at least monthly. (5) A loan made under this section of the real estate policy may not exceed 105 percent of the appraised value of the property securing the loan at the time of disbursement. (6) A credit union shall require a written bring-to-date title opinion or certificate of title signed by an attorney licensed to practice in the jurisdiction in which the property is located, or a lender's title insurance policy affirming the quality and position of the lien. G. Nonconforming Real Estate Loan Policy. (1) The nonconforming real estate loan policy section shall, at a minimum, address the following: (a) A description of what constitutes the various loan products offered, for example, first mortgages, second mortgages, and home equity loans/lines of credit, which may be any of the following: (i) Purchase money mortgages that do not conform to secondary mortgage market standards, (ii) Purchase money mortgages that exceed secondary mortgage market requirements for debt ratios, property requirements, etc., (iii) Second mortgages to borrowers who are rolling over unsecured debt into secured debt under a board of directors/credit committee approved work-out situation; (b) A methodology to segregate this category of real estate loans from the regular mortgage loan portfolio so that effective monitoring can be achieved that recognizes the higher risks associated with this type of loan; (c) Underwriting guidelines that are consistent prudent loan underwriting standards; and (d) Provisions that notify loan officers of the requirements of §G(2)—(7) of this regulation. (2) The nonconforming loan policy shall limit nonconforming loans to not more than 10 percent of the total real estate loan limit as described in §C(1)(c) of this regulation. (3) A loan made under this section of the approved written loan policy shall be a loan secured by the borrower's principal residence or secondary residence. (4) Loan maturities may not exceed 30 years. (5) A loan, including an adjustable rate loan, shall be amortized by substantially equal installments sufficient to retire the loan at maturity except when allowed by law. Installments shall be payable monthly or more frequently. (6) A loan made under this section of the real estate loan policy may not exceed 100 percent of the appraised value of the property securing the loan at the time of disbursement unless the purpose of the loan is to secure existing unsecured debt with the credit union and no cash out is given in the transaction. (7) A credit union shall require a bring-to-date title opinion or certificate of title signed by an attorney licensed to practice in the jurisdiction in which the property is located, or a lender's title insurance policy affirming the quality and position of the lien. H. Any violation of this regulation, or any lending practices that may be considered unsafe or unsound at the discretion of the Commissioner, may result in the termination or restriction of the credit union's real estate lending policy. #### Regulation .09 Repealed. *COMAR 09.03.01.09* #### Regulation .10 Investments. *COMAR 09.03.01.10* A. In this regulation, the following terms have the meanings indicated. B. Terms Defined. (1) “Adjusted trading” means any method or transaction used to defer a loss whereby a credit union sells a security to a vendor at a price above its current market price, and simultaneously purchases or commits to purchase from the vendor another security at a price above its current market price. (2) Options or Futures Contracts. (a) “Option or futures contracts” means commitment to either buy or sell a security, on or before a future date, at a predetermined price. (b) “Option or future contract” does not include the subscription for the purchase of initial offering of an investment permitted by Financial Institutions Article §6-705, Annotated Code of Maryland. (3) “Short sale” means the sale of a security not owned by the seller. C. A credit union may not engage in adjusted trading. D. A credit union may not invest in options or futures contracts or engage in short sales. #### Regulation .11 Accounting Procedures and Records Retention. *COMAR 09.03.01.11* A. A credit union shall maintain books and financial records that: (1) Accurately and fully reflect the fiscal affairs of the credit union; and (2) Are sufficient to enable an independent certified public accountant to perform a complete audit of the credit union. B. A credit union shall maintain at least the following types of financial records: (1) Cash receipts journal; (2) Cash disbursements journal; (3) General ledger; (4) Manual or automated ledger or card system for all share or deposit accounts, or both; (5) Manual or automated loan ledger or card system; (6) Income account ledger; (7) Expense account ledger; (8) Checkbook, cancelled checks, deposit receipts, bank statements, and bank reconciliations, or micro-reduced copies of them; and (9) Any other records required to be kept by the corporation under Corporations and Associations Article, §2-111, Annotated Code of Maryland. C. A credit union shall use the double entry accounting system. D. A credit union shall ensure that its books and records are protected against destruction by fire or other calamity. E. A credit union may use computer-stored financial data to keep its books and records, if it maintains an adequate off-premises back-up data file for use in the event of system failure resulting in destruction of the primary data file. F. A credit union: (1) Shall promptly post entries in its books and records; (2) Shall balance its books and records at least quarterly; (3) May use machine posting of its books and records, if settlement or summary sheets are supported with machine tapes and all other necessary information; and (4) May use a journal voucher system if the vouchers are numbered sequentially and retained as required by §G of this regulation. G. A credit union shall retain all of its accounting records, tapes, trial balances, books, ledgers, audits, share and deposit account records, and supporting documentation for a minimum of 5 years. H. Credit unions shall use the accounting procedures contained in the “Standardized Accounting Manual for State Chartered Credit Unions”, which is incorporated by reference. This manual is published by the National Association of Credit Union Supervisors. I. Failure To Comply with this Regulation. (1) Upon a determination that a credit union has failed to comply with the requirements of this regulation, the Commissioner of Financial Regulation may take any of the following actions: (a) Order the officers of the credit union to take steps to bring the credit union into compliance; (b) Order immediate turnover of all existing books and records; (c) Suspend the treasurer, chief executive officer, comptroller, or any other person responsible for maintaining the books and records, from continuing in that capacity; and (d) Cause an immediate audit, examination, or investigation to be conducted at the cost of the credit union. (2) Before the order or suspension becomes effective, the Commissioner of Financial Regulation shall give the credit union an opportunity for a hearing. #### Regulation .12 and .13 Repealed. *COMAR 09.03.01.12* #### Regulation .14 Member Business Loans. *COMAR 09.03.01.14* A. In this regulation, the following terms have the meanings indicated: (1) “Associated member” means a member with shared ownership, investment, or other pecuniary interest in a business or commercial endeavor with the borrower. (2) “Development or construction loan” or both means a financing arrangement for acquiring property or rights to property, including land or structures, with the intent to convert it to income-producing property such as residential housing for rental, sale, commercial use, industrial use, or a similar use. (2-1) “Family member” means a spouse or other family member living in the same household. (3) “Loan-to-value ratio or LTV” means the aggregate amount of all sums borrowed including outstanding balances plus any unfunded commitment or line of credit from all sources on an item of collateral divided by the market value of the collateral used to secure the loan. (4) “Member business loan” means a loan, line of credit, or letter of credit (including an unfunded commitment), the proceeds of which will be used for a commercial, corporate, other business investment property or venture, or agricultural purpose. (5) “Member business loan” does not include a loan or loans: (a) That is fully secured by a lien on a one-to-four-family dwelling that is the member's primary residence; (b) That is fully secured by shares or deposits in credit unions, or savings and deposits in other financial institutions; (c) For which a federal, state, or local political subdivision fully insures repayment, guarantees repayment, or provides an advance commitment to purchase in full; (d) To a member or associated member which is equal to or less than $50,000; or (e) Granted to a credit union by a corporate credit union. (6) “Net worth” means retained earnings as defined under Generally accepted accounting principles. Retained earnings include, but are not limited to, undivided earnings, regular reserves, and any other appropriations designated by management or the Commissioner. (7) “Senior management employee” means the chief executive officer (typically the president or treasurer/manager), the assistant chief executive officer (typically the assistant president, vice president, or assistant treasurer/manager), or the chief financial officer (typically the comptroller). B. Requirements. A credit union may make member business loans only in accordance with the following requirements: (1) Written Business Loan Policy. (a) The board shall adopt a written business loan policy, which may be included in the credit union's overall lending policy required by Financial Institutions Article §6-605, Annotated Code of Maryland. (b) The board shall review the policy at least annually. (c) At a minimum, the policy shall address the following: (i) The types of business loans that will be made; (ii) The credit union's trade area for business loans; (iii) The maximum amount of credit union assets, in relation to net worth, that will be invested in business loans; (iv) The maximum amount of credit union assets, in relation to net worth, that will be invested in a given category or type of business loan; (v) The maximum amount of credit union assets, in relation to net worth, that will be loaned to any one member or group of associated members, subject to §B(4) of this regulation; (vi) The qualifications and experience of personnel involved in making and administering business loans, which must include at least 2 years experience in the applicable type of lending; (vii) The methodology used in determining the ability of the borrower to repay the loan, which shall include analysis of the balance sheet, cash flow analysis, income and expense, tax data, analysis of leveraging, and comparison with industry averages, excluding any document not generally available for a particular type of business loan if stated in the business loan policy; (viii) The receipt and periodic updating of financial statements, tax returns, or other documentation; (ix) Collateral requirements, including loan-to-value ratios, appraisal, title search and insurance requirements, steps to be taken to secure various types of collateral, and how often the value and marketability of collateral is reevaluated; (x) Appropriate interest rates and maturities of business loans; (xi) Loan monitoring, servicing, and follow-up procedures, including collection procedures; (xii) Guidelines for purchase and sale of member business loans and loan participations, if the credit union intends to engage in that activity; and (xiii) Restrictions on member business loans to officials, senior management employees, and their family members as stated in §D of this regulation. (2) Under §B(1)(b)(iii) of this regulation, the aggregate amount of member business loans shall be limited to the lesser of 12.25 percent of total assets or 1.75 times the credit union's net worth. (3) Collateral and Security Requirements. (a) A member business loan secured by collateral on which the credit union will have a first lien may have an LTV greater than 80 percent only if: (i) The value in excess of 80 percent is covered through private mortgage insurance or equivalent insurance acceptable to the credit union; or (ii) The loan is insured or guaranteed or subject to advance commitment to purchase by an agency of the federal government, State, or any of its political subdivisions. (b) A member business loan secured by collateral on which the credit union will have a second or lesser priority lien may not exceed an 80 percent LTV ratio. (c) A member business loan secured by collateral on which the credit union will have a first lien as well as a second or lesser priority lien may have an LTV greater than 80 percent and not greater than 95 percent, only if: (i) The value in excess of 80 percent is covered through private mortgage insurance or equivalent insurance acceptable to the credit union; or (ii) The loan is insured or guaranteed or subject to advance commitment to purchase by an agency of the federal government, State, or any of its political subdivisions. (d) Member business loans secured by collateral on which the credit union will have a first, second, or lesser lien may not exceed a 95 percent LTV ratio. (4) Loans to One Borrower. (a) The aggregate amount of outstanding member business loans, including any unfunded commitments, to any one member or group of associated members may not exceed the greater of: (i) 15 percent of the credit union's net worth; or (ii) $100,000. (b) If a portion of a member business loan is fully secured by a one-to-four-family dwelling that is the member's primary residence, by shares in the credit union, by savings or deposits in another financial institution, or is subject to an advance commitment to purchase by an agency of the federal government or of a state or any of its political subdivisions, that portion may not be taken into account in determining the 15 percent limit. (c) The Commissioner may grant a higher limit upon written request by the credit union as described in §F(2) of this regulation. (5) Development and Construction Loans. (a) Loans made for the purpose of development or construction or both are subject to the following additional requirements: (i) The aggregate amount of all development or construction loans or both may not exceed 15 percent of net worth; (ii) The borrower shall have a minimum of 30 percent equity interest in the project being financed if the loan is for land development; (iii) The borrower must have a minimum of 25 percent equity interest in the project being financed if the loan is for construction or for a combination of development and construction; and (iv) The funds for the project may be released only after on-site, written inspections by qualified personnel and according to a preapproved draw schedule and any other conditions as set forth in the loan documents. (b) The Commissioner may grant a higher limit upon written request by the credit union as described in §F(2) of this regulation. (6) Prohibition of Member Business Lending. A credit union may not make a member business loan if its net worth is less than 7 percent or its CAMEL composite rating is 4 or 5. C. Classification of Problem Business Loans. (1) Business Loan Categories. (a) A business loan may be classified by credit union management or the Commissioner into one or more of the categories described in this subsection upon a regular review. (b) Substandard. A loan classified as substandard is inadequately protected by the current sound worth and paying capacity of the obligor or the value of any collateral pledged. Loans classified as substandard have well-defined weaknesses that jeopardize the liquidation of the debt and are characterized by the distinct possibility that the credit union will sustain some loss if the weaknesses are not corrected. Loss potential, while existing in the aggregate amount of substandard loans, does not have to exist in individual loans classified substandard. (c) Doubtful. A loan classified as doubtful has all the weaknesses inherent in a substandard loan, with the added characteristic that the weaknesses make collection or liquidation in full highly improbable, on the basis of currently existing facts, conditions, and values. The possibility of loss is extremely high, but because of certain important and reasonably specific pending factors, which may strengthen the loan, its classification as an estimated loss may be deferred or limited until its more exact status may be determined. Pending factors include proposed merger, acquisition, or liquidation actions, capital injection, perfecting liens on additional collateral, and refinancing plans. (d) Loss. A loan classified as loss is considered uncollectable and of such little value that its continuance as a loan on the books of a credit union is not warranted. This classification does not necessarily mean that the loan has absolutely no recovery or salvage value, but rather that it is not practical or desirable to defer writing off this asset even though partial recovery may occur in the future. (2) Allowance for Loan Losses. (a) The determination whether a member business loan will be classified as substandard, doubtful, or loss for purposes of the valuation allowance for loan losses, will be based on factors not limited to the delinquency of the loan, including, but not limited to, the adequacy of analysis and documentation. (b) An allowance for loan losses shall be maintained for the specified classified loans as follows: (i) Loss loans at 100 percent of outstanding balance; (ii) Doubtful loans at 50 percent of outstanding balance; and (iii) Substandard loans at 10 percent of outstanding balance unless other factors (for example, history of these loans at the credit union) indicate a greater or lesser amount is appropriate. D. Restrictions on Member Business Loans to Officials, Senior Management Employees, and Their Family Members. (1) A credit union may make member business loans to officials, senior management employees, and their family members subject to the following restrictions: (a) The official, senior management employee, or their family member who will receive the proceeds of a member business loan may take no part in the decision-making process for approval of the loan; (b) All member business loans to officials, senior management employees, or their family members that, when added to the aggregate of all other credit union loans for which the official, senior management employee, or their family member is a debtor, guarantor, endorser, or cosigner, are in excess of $25,000 shall be approved by the board; and (c) The rates, terms, and conditions for any member business loan for which an official, senior management employee, or their family member is a debtor, guarantor, endorser, or cosigner may not be more favorable than the rates, terms, and conditions for a comparable loan to another member of the credit union. (2) Equity Agreements/Joint Ventures. A credit union may not grant a member business loan if a portion of the amount of income to be received by the credit union, officials, senior management employees, or their family members is tied to the profit or sale of the business or commercial endeavor for which the loan is made. E. Records Requirements. Aggregate member business loans shall be identified on the credit union's financial statements and each category of member business loan shall be separately identified in the credit union's records. F. Waiver of Limits. (1) A credit union may request a waiver of certain limits as listed in this regulation as follows: (a) Loan-to-value ratios and requirements for collateral and security under §B(3) of this regulation; (b) Maximum loan amount to one borrower or associated group of borrowers under §B(4) of this regulation; and (c) Development or construction loan limits, or both, under §B(5) of this regulation. (2) Upon written request by a credit union, the Commissioner may waive the limitations listed in §F(1) of this regulation. Federally insured credit unions need the approval of the Commissioner and the Regional Director of the National Credit Union Administration. The Commissioner shall approve or deny the request within 45 calendar days of the date the complete request was received by the Commissioner. The request for waiver shall contain the following: (a) A copy of the business loan policy; (b) A statement of the higher limit sought; (c) An explanation of the need to raise the limit; (d) Documentation to support the credit union's ability to manage the activity; (e) An analysis of the credit union's prior experience making member business loans, including at a minimum: (i) The history of loan losses and loan delinquency; (ii) Volume and cyclical or seasonal patterns; (iii) Diversification; (iv) Concentrations of credit to one borrower or group of associated borrowers in excess of 15 percent of the credit union's net worth; (v) Underwriting standards and practices; (vi) Types of loans grouped by purpose and collateral; and (vii) The qualifications of personnel responsible for underwriting and administering member business loans. (3) If the credit union's policies or practices violate safe and sound lending principles, the Commissioner may restrict all limits as listed in this chapter or revoke the credit union's approval to make member business loans. #### Regulation .15 Maximum Loans to a Single Member. *COMAR 09.03.01.15* The term “indirectly to any one member”, as used in Financial Institutions Article, §6-604, Annotated Code of Maryland, includes a loan or extension of credit made to any member who, acting directly or indirectly, individually or in concert with one or more other persons or entities, or through one or more subsidiaries: A. Acts in a common enterprise; B. Owns or controls any entity, or holds proxies for, or otherwise has power to vote, 10 percent or more of the voting shares, rights, or interests of any association or corporation; or C. Controls in any manner the election or appointment of a majority of the directors of that association or corporation. #### Regulation .16 Reports to the Commissioner of Financial Regulation. *COMAR 09.03.01.16* A. The Commissioner of Financial Regulation shall require, as additional reports pursuant to Financial Institutions Article, §6-404(b), Annotated Code of Maryland, that a Report of Condition be received by the Commissioner on or before: (1) July 30th of each year, reporting the financial condition of the credit union as of June 30th of that year; and (2) February 1st of each year, reporting the financial condition of the credit union as of December 31st of that year. B. A copy of the Report of Condition due on or before February 1st may be submitted as the annual report required to be filed on or before March 31st under Financial Institutions Article, §6-404(a), Annotated Code of Maryland. #### Regulation .17 Boards of Directors — Electronically Conducted Elections. *COMAR 09.03.01.17* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Electronically” means the use of one or more electronic devices. (2) “Electronic device” means a device having electrical, digital, magnetic, wireless, optical, electromagnetic or similar capabilities and may include, but is not limited to, telephones, voice response units, computer systems, and electronic mail systems. (3) “Electronic notice members” means members of the credit union who have opted to receive notices or statements electronically. (4) “Electronic voting instruction sheet” means the specific instructions for the electronically conducted election procedure, including, but not limited to: (a) How to access and use the electronic voting system; (b) The period of time in which votes will be taken; and (c) A description of the opt-out method. (5) “Envelope” means a postage prepaid and preaddressed envelope conforming to Financial Institutions Article, §6-329(d)(2)(ii), Annotated Code of Maryland. (6) “Identification form” means an identification form conforming to Financial Institutions Article, §6-329(d)(2)(iii), Annotated Code of Maryland. (7) “Notice of ballot” means a notice that includes all information that is on the printed ballot. (8) “Printed ballot” means a printed ballot conforming to Financial Institutions Article, §6-329(d)(2)(i), Annotated Code of Maryland. (9) “Secretary” means the secretary of the credit union. (10) “Tellers” means the tellers of election appointed by the board of directors pursuant to Financial Institutions Article, §6-329(e), Annotated Code of Maryland. C. Provided that the board of directors has duly authorized electronically conducted elections, a credit union may elect its directors electronically using the following procedure. (1) All Members. Except as provided in §C(2) of this regulation, the secretary shall mail to each member in good standing, at least 20 days before the annual meeting: (a) Either a printed ballot and an identification form or one printed form that represents a combined printed ballot and identification form; (b) An envelope; and (c) An electronic voting instruction sheet. (2) Electronic Notice Members. The secretary may electronically transmit only the notice of ballot and electronic voting instruction sheet to electronic notice members at least 20 days before the annual meeting. (3) Optional Electronically Conducted Voting Methods. In addition to the procedures in §C(1) and (2) of this regulation, the board of directors may allow members to vote electronically in person at one or more locations of the credit union. If such voting is available, the electronic voting instruction sheet shall include the relevant details concerning this process and make clear that voting at such location or locations is optional. D. Verification of Identity. (1) The tellers shall verify, or cause to be verified, the identity of each voter opting to vote electronically by name, address, credit union account number and an additional verification method. (2) The additional verification method may include: (a) The use of a verification control number on a printed ballot, notice of ballot, or identification form; (b) The use of an unique identifier, such as date of birth or last four digits of a Social Security Number; or (c) Any other method that insures the integrity of the electronic voting process. (3) The electronic voting instruction sheet shall include a description of the verification method and explain how a member uses any verifiers when voting electronically. E. Opt-Out Methods. The electronic voting instruction sheet shall notify the members of their right to opt-out of electronic voting. (1) Any member mailed a printed ballot may opt-out of electronic voting by returning the printed ballot in the envelope by the date specified on the electronic voting instruction sheet. (2) Any electronic notice member may opt-out of electronic voting by requesting a printed ballot from the secretary as indicated on the electronic voting instruction sheet. Promptly upon the receipt of any such request, the secretary shall mail an envelope, printed ballot and identification form, or one printed form that represents a combined printed ballot and identification form, to the member. F. The tellers shall test the integrity of the balloting systems at regular intervals during the election period. G. In the event of malfunction of the electronic voting system, the board of directors may in its discretion order elections to be held by printed ballot only. The printed ballots shall be mailed to all eligible members 20 days before the annual meeting. The board of directors may make reasonable adjustments to the voting time frames or postpone the annual meeting when necessary, to complete the elections before the annual meeting. ### Chapter 02 — General Regulations **Authority:** Business Regulation Article §2-105; Financial Institutions Article, §§2-105.1, 11-203, 11-503, 12-104, and 12-403; Annotated Code of Maryland **Administrative History:** Effective dates: **Administrative History:** Regulations .01—.11 effective July 1, 1970 **Administrative History:** Regulation .12 effective May 19, 1971 **Administrative History:** Regulations .13—.15 effective July 1, 1970 **Administrative History:** Regulation .16 effective December 22, 1971 **Administrative History:** Regulation .17 effective November 16, 1970 **Administrative History:** Regulation .18 effective May 19, 1971 **Administrative History:** Regulation .19 effective December 25, 1974 (1:6 Md. R. 298) **Administrative History:** Chapter revised effective August 25, 1978 (5:17 Md. R. 1327) **Administrative History:** Regulations .01—.03 repealed effective June 16, 1997 (24:12 Md. R. 863) **Administrative History:** Chapter recodified from COMAR 09.04.01 to COMAR 09.03.02, April, 1998 **Administrative History:** Regulation .01 adopted effective August 18, 2003 (30:16 Md. R. 1704) **Administrative History:** Regulation .01 amended effective February 3, 2025 (52:2 Md. R. 67) **Administrative History:** Regulation .04 amended effective February 3, 2025 (52:2 Md. R. 67) **Administrative History:** Regulation .06 adopted effective August 18, 2003 (30:16 Md. R. 1704) **Administrative History:** Regulation .07 adopted effective August 18, 2003 (30:16 Md. R. 1704) **Administrative History:** Regulation .08 adopted as an emergency provision effective January 5, 2021 (48:03 Md. R. 92); adopted permanently effective April 19, 2021 (48:8 Md. R. 308) **Administrative History:** Regulation .09 adopted effective February 3, 2025 (52:2 Md. R. 67) **Administrative History:** Regulation .10 adopted effective February 3, 2025 (52:2 Md. R. 67) **Administrative History:** Regulation .11 adopted effective February 3, 2025 (52:2 Md. R. 67) **Administrative History:** Regulation .12 adopted effective February 3, 2025 (52:2 Md. R. 67) **Administrative History:** Regulation .13 adopted effective February 3, 2025 (52:2 Md. R. 67) #### Regulation .01 Definitions. *COMAR 09.03.02.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Assessment” means the annual assessment authorized under Financial Institutions Article, §2-120, Annotated Code of Maryland. (2) “Commissioner” has the meaning stated in Financial Institutions Article, §1-101(g), Annotated Code of Maryland. (3) “Licensed location” means any location listed by the licensee in NMLS. (4) “Licensed person” has the meaning stated in Financial Institutions Article, §2-120, Annotated Code of Maryland. (5) “Mobile unit” has the meaning stated in Financial Institutions Article, §12-101, Annotated Code of Maryland. (6) “NMLS” has the meaning stated in Financial Institutions Article, §1-101, Annotated Code of Maryland. (7) “Regulated person” has the meaning stated in Financial Institutions Article, §2-120, Annotated Code of Maryland. #### Regulation .02 Repealed. *COMAR 09.03.02.02* #### Regulation .03 Repealed. *COMAR 09.03.02.03* #### Regulation .04 Books and Records of Certain Regulated Persons. *COMAR 09.03.02.04* A. Definition. (1) In this regulation the following term has the meaning indicated. (2) Term Defined. “Loan” means: (a) A loan as defined in Financial Institutions Article, §11-201, Annotated Code of Maryland; (b) An installment loan as defined in Financial Institutions Article, §11-301, Annotated Code of Maryland; (c) An installment sale agreement as defined in Financial Institutions Article, §11-401, Annotated Code of Maryland; (d) A retail credit account transaction as defined in Commercial Law Article, §12-501, Annotated Code of Maryland; and (e) A transaction that deals with home improvement, as defined in Business Regulation Article, §8-101, Annotated Code of Maryland, made between other parties, if collateral security is required by and given to the contractor as a condition to the transaction. B. Each regulated person required to hold a license issued under Financial Institutions Article, Subtitles 2, 3, and 4, Annotated Code of Maryland, shall maintain the following records: (1) Loan Register. All loans shall be listed in a register in numerical order showing, in addition to the loan number, the date of loan, name of principal borrower, and amount of loan. (2) Individual Ledger Record. A separate ledger record shall be maintained for each borrower, showing the loan number, borrower's name and address, names of endorsers, comakers, guarantors or sureties, the amount of loan, the schedule of payments, and the type of security. In addition, the record shall show the date and amount of all payments of interest and principal as well as the principal balance due. (3) File of Original Papers. For each borrower or loan account, a separate file shall be maintained containing all papers relating to the borrower or the loan, except that promissory notes and security instruments may be kept in a separate legal paper file bearing the same account number. If notes have been hypothecated, the file shall reveal where and to whom these notes are hypothecated. (4) Receipts and Disbursement Record. All receipts from or for the account of borrowers and all disbursements to or for the account of borrowers shall be clearly recorded in a manner that makes the transactions readily identifiable. (5) Index of Obligors. An alphabetical index of all borrowers, endorsers, guarantors, or comakers shall be maintained, showing the related loan numbers. (6) Litigation and Repossession Records. The records of the licensee (individual ledger record or similar record) shall show all essential details with respect to litigation or repossession, or both. This detail with respect to litigation shall include the amount and date of judgments and any costs charged to the borrowers. With respect to repossession, the record shall include the date, amount then due, type of security repossessed, and the amount realized from sale of the security. (7) Acceptance of Equivalent Records. Records and accounting systems maintained in whole or in part by mechanical or electronic data processing methods may be used instead of the books and records required by this regulation if they contain equivalent information. (8) Credit Life Claim Register. Each licensee shall maintain a register of death claims showing the following minimum information: (a) Loan or account number; (b) Name of insured borrower; (c) Date of death of insured; (d) Date of official notification to licensee; (e) Date claim submitted to insurer; (f) Date settlement received from insurer; (g) Amount of settlement received by principal beneficiary; (h) Amount of settlement, if any, received by second beneficiary; (i) Amount of refund of unearned accident and health premium, if any. (9) Accident and Health Claim Register. Each license shall maintain a register of claims involving accident and health insurance showing the following minimum information: (a) Loan or account number; (b) Name of insured borrower; (c) Waiting period, if any, in order to qualify for payment; (d) Date disability began; (e) Date disability ended; (f) Date of doctor's certificate certifying disability and date certificate received by licensee; (g) Date claim submitted to insurer by licensee; (h) Dates and amount of payments received from insurer by licensee. (10) Purchased Loan Account Register. Within 30 days after the purchase of loan accounts from another licensee, the purchasing licensee shall maintain a list of these purchased accounts. The licensee shall also keep a list of “double loan” accounts resulting from the purchase, including the borrower's name, address, account number, and the amount of loan outstanding. The licensee shall maintain this register in compliance with Financial Institutions Article, §11-213, Annotated Code of Maryland. #### Regulation .05 Unfair and Deceptive Trade Practices. *COMAR 09.03.02.05* A. Advertising. (1) Each consumer loan licensee shall comply with all provisions of Regulation Z, promulgated under the Federal Consumer Credit Protection Act, Truth-in-Lending, that relate to the advertising of credit terms. (2) A consumer loan licensee may not use blind advertisements, such as giving only telephone numbers or box number addresses. A licensee may not advertise that any loan business will be conducted at any place other than the licensed address. (3) A consumer loan licensee may not advertise or otherwise communicate to any borrower that payments will be waived for any contingency without also advising the borrower that daily interest charges will continue during the waiver period, if this is the fact. B. Filing of Suits and Legal Process. In connection with any debt arising out of a consumer loan, a licensee may not file suit against a debtor in a foreign jurisdiction when the debtor is domiciled and regularly employed in the State. This prohibition extends to any proceedings in attachment against the debtor. C. Merchant Referral Loans. (1) Loans may not be contracted for by a licensee who knows that the borrower is purchasing the merchandise under duress or misrepresentation connected with the financing of the merchandise. (2) A licensee may not compel the borrower to use the proceeds of the loan for the prospective purchase. A check will not be made payable to the merchant, or endorsed payable to the merchant at the direction of the licensee. (3) A licensee may not pay to or accept from a merchant anything of value for making a loan to a borrower referred to the licensee by a merchant. #### Regulation .06 Contested Case Hearings Before the Commissioner. *COMAR 09.03.02.06* A. Except as otherwise provided in §§C, D, and E of this regulation, all contested case hearings before the Commissioner are governed by COMAR 09.01.02. B. For a hearing under Financial Institutions Article, §11-415, Annotated Code of Maryland, the Commissioner shall send the hearing notice described in COMAR 09.01.02.07B: (1) At least 10 days before the hearing; or (2) If the parties have agreed to a date for which 10 days notice cannot be given, at the earliest time possible. C. For a hearing under Financial Institutions Article, §11-518, Annotated Code of Maryland, the Commissioner shall send the hearing notice described in COMAR 09.01.02.07B: (1) At least 30 days before the hearing; or (2) If the parties have agreed to a date for which 30 days notice cannot be given, at the earliest time possible. D. For a hearing under Financial Institutions Article, §12-428, Annotated Code of Maryland, the Commissioner shall send the hearing notice described in COMAR 09.01.02.07B: (1) At least 15 days before the hearing; or (2) If the parties have agreed to a date for which 15 days notice cannot be given, at the earliest time possible. #### Regulation .07 Contested Case Hearings Delegated to the Office of Administrative Hearings. *COMAR 09.03.02.07* All contested case hearings delegated to the Office of Administrative Hearings are governed by COMAR 09.01.03. #### Regulation .08 Remote Work for Employees of Licensees. *COMAR 09.03.02.08* A. Scope. (1) This regulation governs the conduct of any employee operating from a location other than that which appears on the employer’s license or licenses. (2) Notwithstanding §A(1) of this regulation, this regulation does not apply to the conduct of an employee if: (a) The employer is licensed under Financial Institutions Article, Title 11, Subtitle 5, Annotated Code of Maryland; (b) The employee is licensed under Financial Institutions Article, Title 11, Subtitle 6, Annotated Code of Maryland; and (c) The employee is taking a loan application or offering or negotiating the terms of a loan in compliance with COMAR 09.03.09.07. (3) Nothing contained in this regulation shall be deemed to prohibit an employee of a licensee from conducting any business for which a license is required at a location other than the locations set forth on the employer’s license or licenses if applicable law or regulation does not limit that conduct to the location shown on the license. (4) A licensee may not use this regulation to evade the requirements of any applicable law or regulation. B. Definitions. (1) Terms Defined. (2) In this regulation, the following terms have the meanings indicated. (a) “Affiliate” means a person that directly or indirectly, through one or more intermediaries, controls, is controlled by, or is under common control with another person. (b) “Authorized delegate” has the meaning stated in Financial Institutions Article, §12-401, Annotated Code of Maryland. (c) “Board” has the meaning stated in Business Regulation Article, §7-101, Annotated Code of Maryland. (d) “Breach of the security of a system” has the meaning stated in Commercial Law Article, §14-3504, Annotated Code of Maryland. (e) “Consumer” means an individual who resides in Maryland. (f) “Employee” means an employee of a licensee who is not an independent contractor or an authorized delegate. (g) “Independent contractor” has the meaning stated in Financial Institutions Article, §11-601, Annotated Code of Maryland. (h) “License” means any of the following: (i) A license issued by the Board under Business Regulation Article, Title 7, Annotated Code of Maryland, to do business as a collection agency; (ii) A license issued by the Commissioner under Commercial Law Article, Title 14, Subtitle 19, Annotated Code of Maryland, to engage in the business of a credit services business; (iii) A license issued by the Commissioner under Financial Institutions Article, Title 11, Subtitle 2, Annotated Code of Maryland, to make loans under the Maryland Consumer Loan Law; (iv) A license issued by the Commissioner under Financial Institutions Article, Title 11, Subtitle 3, Annotated Code of Maryland, to make installment loans; (v) A license issued by the Commissioner under Financial Institutions Article, Title 11, Subtitle 4, Annotated Code of Maryland, to engage in business as a sales finance company; (vi) A license issued by the Commissioner under Financial Institutions Article, Title 11, Subtitle 5, Annotated Code of Maryland, to engage in business as a mortgage lender; (vii) A license issued by the Commissioner under Financial Institutions Article, Title 12, Subtitle 1, Annotated Code of Maryland, to provide check cashing services; (viii) A license issued by the Commissioner under Financial Institutions Article, Title 12, Subtitle 4, Annotated Code of Maryland, to engage in the business of money transmission; or (ix) A license issued by the Commissioner under Financial Institutions Article, Title 12, Subtitle 9, Annotated Code of Maryland, to provide debt management services. (i) “Licensee” means a person issued a license or licenses for the purpose of conducting the business for which the license or licenses are issued. (j) “Personal information” has the meaning stated in Commercial Law Article, §14-3501, Annotated Code of Maryland. (k) “Records” has the meaning stated in Commercial Law Article, §14-3501, Annotated Code of Maryland. (l) “Security program” means a written program created by or on behalf of a licensee for the purpose of allowing the licensee’s employees to safely and securely access the licensee’s information technology systems, other systems, and data from a location authorized by this section. C. Certain Remote Work Permitted. An employee of a licensee may work remotely and is not considered conducting business for which a license is required at a location other than the address that appears on the license or licenses of that licensee if the conditions set forth in this regulation are met. D. Locations. The location from which the employee is working: (1) May not be owned or leased by the licensee or an affiliate of a licensee, or for the benefit of the licensee or an affiliate of the licensee; (2) May not be a location that offers temporary office space unless the employee is using the location on a temporary basis due to the unavailability of the employee’s regular work location; (3) May not be held out to the public by use of signage, advertisement, or other means, as a location at which the licensee conducts business for which a license is required; (4) May not provide work space, telephone service, or internet service maintained in the name of the licensee or an affiliate and that is not intended primarily for the purpose of conducting business for which a license is required; (5) May not be a location where the employee will meet in person with nonemployees in connection with the business for which a license is required; (6) May not be a location that will receive or dispense cash, negotiable instruments, or other monetary value in connection with the business for which a license is required, other than compensation paid to the employee by the licensee; (7) May not be used for the receipt of mail relating to business for which a license is required; (8) May not be used for storage of books or records, in any form, relating to business for which a license is required unless: (a) The records were produced or used in the normal course of employment by the employee working at that location and the licensee maintains and administers procedures for the employee to promptly and securely transmit those records to its location for the storage of books and records; or (b) The licensee is permitted by applicable law or regulation to store the books or records of the licensee at that location; (9) Shall provide a workspace that is secure, provide for appropriate protection of personal information as required under applicable law, and have the appropriate technological security measures and physical safeguards in place to protect personal information; (10) Shall be a location used only by a single employee unless: (a) Other employees using the location maintain a common household with each other; or (b) The location is used for a period not exceeding 2 weeks every calendar quarter to facilitate business or nonbusiness travel; (11) May not be used to conduct a specific act that applicable law or regulation requires be conducted only at specified locations; and (12) Shall be authorized by the licensee as a location from which the employee may work. E. Security Standards. (1) A licensee that allows any employee to work at a location authorized by this section shall develop, implement, and maintain a security program that is consistent with all applicable laws and regulations, meets or exceed standards of the industry in which the licensee conducts its business, addresses known vulnerabilities, and is commensurate with the licensee’s size and complexity. (2) The licensee’s security program may be part of the licensee’s comprehensive data and cyber security program. (3) A licensee’s security program shall consider the following objectives: (a) Allowing employees working at locations authorized by this section to access the licensee’s information technology system, other systems, and data needed to perform the employee’s job functions in a safe and secure manner; (b) Ensuring the security and confidentiality of the licensee’s data containing personal information and other sensitive information; (c) Protecting the licensee’s information technology systems, other systems, and data against security breaches and unauthorized access, including unauthorized access by employees; (d) Identifying the types of devices an employee may use to access the licensee’s information technology systems, other systems, and data, and protecting those devices from security breaches and unauthorized access; and (e) Providing training and support of the licensee’s employees necessary to ensure compliance with the security program and establishing appropriate sanctions for failures to comply. (4) A licensee shall have an established governance process in place to control and monitor the security program which shall include, as appropriate for the size and complexity of the licensee and its information technology systems, other systems, and data: (a) The approval of the security program by the board of directors, ownership, or most senior level of management; and (b) A management structure that encompasses: (i) Assigning responsibilities and authorities for ensuring adherence to the security program; (ii) Documenting accountability for functions to ensure compliance with the security program; and (iii) Reporting to the board of directors, ownership, or most senior level of management, no less than annually, regarding the effectiveness of the security program. (5) In connection with the security program, a licensee shall complete a comprehensive remote access and data security risk assessment, including: (a) Identification and assessment of risks and vulnerabilities created by allowing employees to work at locations authorized by this section and to access the licensee’s information technology systems, other systems, and data from such locations; and (b) Identification of the devices, data, information technology system, and other systems that need to be protected. (6) A licensee shall perform periodic testing and monitoring of the security program as appropriate for the size and complexity of the licensee’s information technology and other systems, including: (a) Evaluating the effectiveness of the security program; (b) Evaluating employee compliance with the security program; (c) Taking corrective action to address any significant deficiencies identified during the course of licensee’s evaluation of the effectiveness of the security program; (d) Monitoring of external sources for new vulnerabilities; (e) Updating, as appropriate, its remote access and data security risk assessment; and (f) Developing and implementing additional control frame works for any new or changed threats or risks identified by the licensee. (7) A licensee shall review the security program at least annually and make changes necessary to achieve the objectives of the security program. (8) A licensee that adequately demonstrates compliance with standards issued by the National Institute of Standards and Technology, United States Department of Commerce, relating to remote workers and remote access, as such may be revised from time to time, shall be deemed to be in compliance with this section. F. Supervision of Employees. (1) A licensee shall at all times reasonably and adequately supervise the work-related activities of each employee working at a location authorized by this section. (2) If the Commissioner determines that the licensee does not provide reasonable and adequate supervision of the employee, after written notice from the Commissioner, and within 5 business days of receiving such notice, the licensee will terminate the employee’s eligibility to work at a location provided for under this regulation. (3) A licensee shall maintain and update, as appropriate, written records with respect to an employee working from locations provided for in this section, including the initial authorization to work from any such location, any updated authorization, and information regarding the location and any due diligence the license has undertaken to ensure compliance with this regulation. (4) The licensee shall retain the records required by §F(3) of this regulation for the greater of 2 years from the date the employee ceases using such location in connection with the business for which a license is required or any retention period required by applicable law or regulation. G. Identification of Licensee. The employee may not, in connection with the business for which a license is required, conceal, misrepresent or otherwise mislead any person with respect to the identity of the licensee. H. Principal Executive Office. The licensee shall, at a minimum, maintain a principal executive office. I. Security Breach. If a breach of the security of a system occurs at a location provided for in this regulation, the following steps shall be taken: (1) Upon learning of the breach of the security of a system, the employee shall immediately notify the licensee; (2) Upon learning of the breach of the security of a system, the licensee shall within 72 hours notify the Commissioner and make any other notifications that may be required under applicable law or regulation; (3) The licensee shall investigate the breach of the security of a system and document its findings, including the remedial steps, if any, that have been undertaken by the licensee to remediate any harm to consumers and to update policies, procedures, and processes as a result of the findings; and (4) If requested by the Commissioner, the licensee shall provide a copy of the documentation of the investigation required in this section. #### Regulation .09 Approval for Addition, Deletion, or Change of Location or Trade Name. *COMAR 09.03.02.09* A. Approval to Add, Delete, or Change a Licensed Location. (1) A regulated person who wishes to add, delete, or change the address of a licensed location shall provide the Commissioner notice of the addition, deletion, or change of address through NMLS. (2) Any addition, deletion, or change of address of a licensed location will be deemed approved by the Commissioner no less than 30 days after it is provided through NMLS unless the Commissioner has either requested additional information or denied the addition, deletion, or change of address. (3) A regulated person may not delete or change the address of its principal executive office as designated within the person’s NMLS Form MU1 except by amending the address within the person’s NMLS Form MU1, or such form as NMLS may prescribe to replace Form MU1 for this purpose, in the manner prescribed by NMLS. (4) The licensee has 15 days after the Commissioner requests any additional information to provide that information or the regulated person’s application to add, delete, or change an address may be deemed withdrawn. B. Approval to Add, Delete, or Change a Trade Name. (1) A regulated person who wishes to add, delete, or change a trade name shall provide the Commissioner with notice of the addition, deletion, or change through NMLS and comply with the provisions of Financial Institutions Article, §2-121, Annotated Code of Maryland. (2) No later than 30 days after the information is provided through NMLS, the Commissioner shall respond to the regulated person with an approval, denial, or request for additional information. (3) The licensee has 15 days after the Commissioner requests any additional information to provide that information or the regulated person’s application to add, delete or change a trade name may be deemed withdrawn. #### Regulation .10 Non-Depository Licensee Assessment. *COMAR 09.03.02.10* A. Timing of Assessment. (1) The Commissioner shall notify licensed persons of an assessment no earlier than May 1 or later than June 1 of each year regardless of whether any sum is due. (2) The assessment shall be based on information available to the Commissioner at the time of the assessment. B. Information Included in the Assessment Notice. The Commissioner shall include the following information in each notice of Assessment: (1) The amount of the assessment, if any, due that year; (2) The means the Commissioner used in calculating the licensed person’s assessment; and (3) How the licensee can dispute the amount of assessment if they believe it was calculated incorrectly. C. Impact of License Surrender Prior to Assessment. (1) A licensee incurs an obligation to pay an assessment on January 1 of the year in which the assessment is imposed or on the date in which the licensee becomes licensed, if not licensed on January 1. (2) Surrender of a license does not relieve a licensee of their obligation to pay an assessment. D. Information on Assessment. In conjunction with the assessment, the Commissioner shall provide licensees with information regarding the manner in which the assessment was calculated. #### Regulation .11 Licensees Providing Check Cashing Services. *COMAR 09.03.02.11* A. Definition. (1) In this regulation, the following term has the meaning indicated. (2) Term Defined. “Licensee” has the meaning stated in Financial Institutions Article, §12-101, Annotated Code of Maryland. B. Any licensee listing a mobile unit as a licensed location shall provide information identifying the geographic area the mobile unit will serve. C. The Commissioner shall deem a licensee compliant with §B of this regulation if the person makes a reasonable and good faith effort to identify the Maryland counties or cities the mobile unit will serve. #### Regulation .12 Licensees Providing Money Transmission Services. *COMAR 09.03.02.12* A. Definitions. (1) In this regulation, the following terms have the meanings indicated. (2) Terms Defined. (a) “Licensee” has the meaning stated in Financial Institutions Article, §12-401, Annotated Code of Maryland. (b) “Self-service financial kiosk” has the meaning stated in Financial Institutions Article, §12-401, Annotated Code of Maryland . B. Any licensee listing a self-service financial kiosk as a licensed location shall provide information identifying the geographic area the self-service financial kiosk will serve. C. The Commissioner shall deem a licensee compliant with §B of this regulation if the person makes a reasonable and good faith effort to identify the Maryland counties or cities the self-service financial kiosk will serve. #### Regulation .13 Availability of List of Licensed Locations. *COMAR 09.03.02.13* Upon written request by any person the Commissioner shall provide the list of Licensed Locations that any Licensed Person has provided. ### Chapter 03 — Procedure for Handling Applications **Authority:** Financial Institutions Article, §2-105.1; Title 3, Subtitles 2 and 7; Title 5, Subtitle 10; and Title 6, Subtitle 2, Annotated Code of Maryland **Administrative History:** Effective date: January 14, 1976 (3:3 Md. R. 146) **Administrative History:** Regulation .01 amended effective July 9, 2012 (39:13 Md. R. 785) **Administrative History:** Regulations .07 and .11 amended effective March 9, 1977 (4:5 Md. R. 372) #### Regulation .01 Scope. *COMAR 09.03.03.01* Regulations under this chapter contain procedures by which the Commissioner of Financial Regulation of the State of Maryland may reach informed decisions with respect to: A. Applications to charter state banking institutions and credit unions pursuant to Financial Institutions Article, Title 3, Subtitle 2, and Title 6, Subtitle 2, Annotated Code of Maryland; B. Applications by banks for merger or consolidation pursuant to Financial Institutions Article, Title 3, Subtitle 7, Annotated Code of Maryland; C. All other applications where the Presiding Officer deems it desirable to employ the procedures established here in determining legislative-type facts. #### Regulation .02 Definitions. *COMAR 09.03.03.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Hearing panel” means the Presiding Officer and other individuals designated by him to hear the case; however, the decision shall be made by the Presiding Officer. (2) “Presiding Officer” means the Commissioner of Financial Regulation or the Deputy Commissioner when acting pursuant to Financial Institutions Article, §2-103(e), Annotated Code of Maryland (Deputy Commissioner to act in case of vacancy). #### Regulation .03 Publication. *COMAR 09.03.03.03* Within 30 calendar days after an application is filed with the Commissioner of Financial Regulation, he shall publish in the Maryland Register a notice containing the name of the applicant, its proposed location, the subject matter of the application, and the date upon which the application was filed. #### Regulation .04 Solicitation of Comments. *COMAR 09.03.03.04* In addition to publication under Regulation .03 of this chapter, the Commissioner of Financial Regulation may solicit comments from each person or organization he believes has information concerning the application. #### Regulation .05 Comments and Request for a Hearing. *COMAR 09.03.03.05* Any interested person or organization may submit to the Commissioner of Financial Regulation written comments concerning the application. These comments and all requests for a hearing should be received by the Commissioner of Financial Regulation within 20 calendar days from the date of publication under Regulation .03 of this chapter. #### Regulation .06 Public Information. *COMAR 09.03.03.06* The Commissioner's file on the application shall include all information received from any person or organization in regard to that application. The information available for public inspection consists of that portion of the file which may be disclosed under State Government Article, Title 10, Subtitle 6 (Access to Public Records) and Financial Institutions Article, §5-209 (Confidentiality of Information), Annotated Code of Maryland. #### Regulation .07 Scheduling of a Hearing. *COMAR 09.03.03.07* The Commissioner of Financial Regulation may schedule a hearing on the application in the following instances: A. Upon a request made within the time limit set forth in Regulation .05 of this chapter by a person or organization other than the applicant, unless the Commissioner of Financial Regulation finds that the objections raised to the application are frivolous and insubstantial; B. Upon specific request of the applicant in the application; or C. If he deems a hearing helpful in obtaining additional information. #### Regulation .08 Notice of Hearings. *COMAR 09.03.03.08* If a hearing is scheduled, at least 20 calendar days before the scheduled date of the hearing, notice shall be mailed to: A. The applicant; B. Those who made a timely request for a hearing under Regulation .05 of this chapter; and C. Other persons designated by the Presiding Officer. #### Regulation .09 Hearing Rules. *COMAR 09.03.03.09* A. Only the persons or organizations receiving notice under Regulation .08 of this chapter are parties to the hearing. B. All hearings shall be open to the public. C. Each party to the hearing shall be permitted to make a short opening statement outlining his position. D. Following the opening statements, the applicant and then each of the other parties to the hearing shall present its data and materials, oral and documentary. E. Each party is responsible for obtaining the party's witnesses for the hearing. All witnesses shall be sworn. F. The Presiding Officer may admit and give probative effect to evidence which possesses probative value commonly accepted by reasonable and prudent men in the conduct of their affairs. The Presiding Officer shall give effect to the rules of privilege recognized by law. He may exclude incompetent, irrelevant, immaterial, and unduly repetitious evidence. G. Each party may cross-examine the witnesses who testify and may submit rebuttal evidence. H. At appropriate points during a hearing, the Presiding Officer may recognize anyone for the purpose of asking questions of a witness. The hearing panel may call witnesses of its own or recall witnesses of a party for the purpose of eliciting facts or opinions. The hearing panel may call for the production of documents relevant to the proceedings and may file them in the case. I. The Presiding Officer shall arrange to have all hearings recorded. Parties requesting copies of the transcript shall bear the expense of the copies. J. The record shall consist of all the information submitted to the Presiding Officer and the testimony and exhibits presented at the hearing that information which is protected from disclosure in accordance with Regulation .06 of this chapter does not lose that status by virtue of its having been considered by the hearing panel. K. Judicial Notice and Expertise. The Presiding Officer may take notice of judicially cognizable facts and, in addition, may take notice of general, technical, or scientific facts within his specialized knowledge. The parties shall be notified either before or during the hearing, or by reference in preliminary reports or otherwise, of the material so noticed, and shall be afforded an opportunity to contest the facts so noticed. The Presiding Officer may utilize his experience, technical competence, and specialized knowledge, and that of the other members of the hearing panel, in the evaluation of the evidence presented to the hearing panel. #### Regulation .10 Decision. *COMAR 09.03.03.10* If a hearing is held, the Presiding Officer shall state his decision and reasons for it in writing. A copy of the decision and reasons shall be mailed to all parties. #### Regulation .11 Retained Authority. *COMAR 09.03.03.11* If the Presiding Officer in his sole discretion determines that the operation of any of the aforegoing rules in a particular case would not aid him in fulfilling his statutory duties, and if he shall also determine that the suspension or modification of the rule in question would not prevent him from handling the application in an efficient and orderly manner, he may suspend or modify the rule accordingly and shall so notify the parties. ### Chapter 04 — Retail Installment Sellers **Authority:** Financial Institutions Article, §2-105.1 and Title 11, Subtitle 4; Commercial Law Article, Title 12, Subtitle 6; Annotated Code of Maryland **Administrative History:** Effective date: June 12, 1981 (8:12 Md. R. 1061) **Administrative History:** Chapter recodified from COMAR 09.04.03 to COMAR 09.03.04, April, 1998 **Administrative History:** Regulation .02 amended effective September 7, 1998 (25:18 Md. R. 1434) #### Regulation .01 Repossession. *COMAR 09.03.04.01* In every case where written notice is delivered or sent to the obligor as required by Commercial Law Article, §12-624(d), Annotated Code of Maryland, this notice will state, as part of the buyer's right to redeem and the amount payable for it, the following: A. If written notice of intention to repossess was served on the buyer pursuant to Commercial Law Article, §12-624(c), Annotated Code of Maryland, the actual cost of towing or retaking, the exact daily rate of storage, and any other costs relating to retaking and storing which the buyer may be required to pay shall be stated in the notice. B. If written notice of intention to repossess was not served on the buyer pursuant to Commercial Law Article, §12-624(c), Annotated Code of Maryland, the notice shall state that: (1) The buyer is not required to pay any of the expenses of retaking or storing and (2) If there is an attempt by any person to require the buyer to pay any amount for retaking or storing, the charge is illegal. C. In addition to the above, all payments by the buyer to redeem any goods repossessed shall be made at a single address of the holder or his designated agent. The exact address, as required by Commercial Law Article, §12-624(d), Annotated Code of Maryland, shall be stated in the written notice. If there is more than one obligor, the required notice shall be sent to all obligors on the contract if the obligors have different addresses. D. The Commissioner may hold hearings in accordance with applicable statutory authority in order to determine whether any notice after repossession is in compliance with the law and this regulation. #### Regulation .02 Application of Proceeds of Resale by Holder of Repossessed Goods. *COMAR 09.03.04.02* A. In all cases of private sale of repossessed goods, a full accounting shall be made to the buyer in writing. The seller shall retain a copy of this accounting for at least 24 months. B. The accounting shall contain the following information: (1) The unpaid balance at the time the goods were repossessed; (2) The refund credit of unearned finance charges and insurance premiums, if any; (3) The remaining net balance; (4) The proceeds of the sale of the goods; (5) The remaining deficiency balance, if any, or the amount due the buyer; (6) All expenses incurred as a result of the sale; (7) The purchaser's name, address, and business; (8) The number of bids sought and received; and (9) Any statement as to the condition of the goods at the time of repossession which would cause their value to be increased or decreased above or below the market value for goods of like kind and quality. C. Upon compliance with Commercial Law Article, §12-631, Annotated Code of Maryland, if the Commissioner finds that any sale of repossessed goods was not a bona fide sale, the Commissioner may require the seller to show cause why a determination should not be made that he has not complied with Commercial Law Article, §12-626, Annotated Code of Maryland. If the seller contends that the sale was a bona fide sale in compliance with the statute, he shall have an opportunity to be heard pursuant to the Rules of Procedure of the Commissioner of Financial Regulation. Upon a determination after hearing that the sale was not bona fide, an order disallowing any claim of deficiency liability may be entered. D. The Commissioner from time to time may issue reasonable regulations to determine whether the public or private sale is bona fide. #### Regulation .03 Insurance. *COMAR 09.03.04.03* A. Except as provided elsewhere in this regulation, if an insurance premium is financed as part of an installment sale agreement, whether for dual interest physical damage insurance or third-party liability insurance, or both, and the insurance is terminated for any reason by the insurer and the unearned premium returned to the holder of the installment sale agreement, the holder immediately shall remit the unearned premium to the buyer less only those amounts then due and payable under the contract. B. Upon receipt by the holder of the installment sale contract of notice of cancellation of the dual interest coverage, if the holder orders single interest physical damage insurance, the premium for this coverage shall be considered due and payable on the date the coverage is effective. The cost of this single interest coverage may be deducted by the holder from the return premium received by the holder from the insurance company which terminated the dual interest coverage, but only if proper notice is given to the buyer that the unearned premium refund will be so applied and the buyer is given a reasonable opportunity to secure physical damage dual interest coverage from an insurance agent, broker, or company of his choice. C. If single interest coverage is procured by the holder, and the buyer later independently procures dual interest coverage, the single interest coverage promptly shall be cancelled by the holder upon proper notice that dual interest coverage is effective. Except as provided below, the return premium refund resulting from cancellation shall be remitted promptly to the buyer less only those amounts then due and payable under the contract. D. While the buyer in all cases shall have an absolute right to receive, and the holder to remit, net funds in cash, in which event the buyer shall remain obligated to the holder to repay the same as part of the indebtedness under the contract, the holder may make available to the buyer the following options: (1) To receive these net funds, in whole or in part, in cash, in which event the buyer's indebtedness under the contract will not be reduced; (2) To have these net funds, in whole or in part, applied to reduce pro rata the monthly installment payments due for the remaining term of the contract; (3) To have these net funds, in whole or in part, applied to the last installment payable, but not yet due, in which event, if this application results in prepayment in full of the buyer's remaining indebtedness under the contract, the buyer shall be entitled to a rebate of the finance charge to the extent required by Commercial Law Article, §12-620, Annotated Code of Maryland; (4) To have these net funds, in whole or in part, applied to the next installment payable, but not yet due, in which event, if this application results in prepayment in full of the buyer's remaining indebtedness under the contract, the buyer shall be entitled to a rebate of the finance charge to the extent required by Commercial Law Article, §12-620, Annotated Code of Maryland; (5) To make another disposition of the funds as the parties may mutually agree upon in writing. E. In any case, the holder may elect to remit the unearned premium to the buyer, less any amounts then due and payable, if remittance is made not later than 10 days after the holder's receipt of the unearned premium by check delivered by first class mail to the last known address of the buyer. If the holder makes this election, the holder is not required to offer the buyer any option as described in §D of this regulation, and the full amount of the buyer's indebtedness under the contract, including the amount so remitted, shall remain intact. F. Notwithstanding contract conditions to the contrary, notification explaining the above options shall be presented to the buyer in writing not later than 10 days after the holder's receipt of the notice of cancellation, delivered to the buyer's last known address by certified mail, return receipt requested. If the buyer fails to respond to this notice within 15 days from the date of mailing or within 15 days from the date of the holder's receipt of the unearned premium, whichever is later, the holder promptly shall send to the buyer a check for the net amount due and the buyer's indebtedness under the contract, including the amount so remitted, will remain intact. If delivery of this notification or of the check cannot be accomplished by the postal authorities, the holder shall hold the funds for the benefit of the buyer and when the debt is reduced to the point at which the funds held for the benefit of the buyer offset the remaining indebtedness due, the buyer will be notified that the contract has been paid in full. G. If, at any time, the buyer defaults in the performance of any requirement under the contract, nothing contained in this regulation shall prohibit the holder from electing to accelerate the entire indebtedness and repossess the collateral, pursuant to the rights granted to the holder by Commercial Law Article, §12-624, Annotated Code of Maryland, and, in this event, the holder has the right to credit against the unpaid balance due under the contract, the return premium funds held for the benefit of the buyer. ### Chapter 05 — Code of Conduct—Mortgage Brokers and Mortgage Bankers *Repealed* **Administrative History:** Effective date: November 14, 1980 (7:23 Md. R. 2165) **Administrative History:** Regulations .02B and .10 amended effective August 16, 1982 (9:16 Md. R. 1604) **Administrative History:** Regulation .16 adopted effective August 16, 1982 (9:16 Md. R. 1604) **Administrative History:** Chapter repealed effective March 13, 2006 (33:5 Md. R. 519) ### Chapter 06 — Mortgage Lenders **Authority:** Business Regulation Article, §2-105; Financial Institutions Article, §§2-105.1, 11-503,11-503.1, 11-505, 11-506(a) and (c)(1), 11-507, 11-508(g), 11-511, 11-511.1, 11-513(a), and 11-515(c);Real Property Article, §3-104.1; Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.15, Code of Conduct—Mortgage Lenders, adopted as an emergency provision effective July 1, 1989 (16:14 Md. R. 1564); emergency status extended at 16:26 Md. R. 2782 (Emergency provisions are temporary and not printed in COMAR) **Administrative History:** Regulations .01—.16, Mortgage Lenders, adopted effective February 19, 1990 (17:3 Md. R. 297) **Administrative History:** Regulation .06A amended effective July 31, 1995 (22:15 Md. R. 1119) **Administrative History:** Regulation .08B amended effective June 16, 1997 (24:12 Md. R. 864) **Administrative History:** Chapter recodified from COMAR 09.04.06 to COMAR 09.03.06, April, 1998 **Administrative History:** Regulation .01 amended effective March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .02B amended effective November 3, 2008 (35:22 Md. R. 1956); January 1, 2009 (35:26 Md. R. 2247); March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .03 amended as an emergency provision effective July 1, 2009 (36:15 Md. R. 1158); emergency status extended at 37:3 Md. R. 170; emergency status expired March 15, 2010 **Administrative History:** Regulation .03 amended effective March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .03A amended effective November 3, 2008 (35:22 Md. R. 1956) **Administrative History:** Regulation .03I adopted effective November 3, 2008 (35:22 Md. R. 1956) **Administrative History:** Regulation .03J adopted effective January 1, 2009 (35:26 Md. R. 2247) **Administrative History:** Regulation .04B amended as an emergency provision effective February 19, 2008 (35:6 Md. R. 695); emergency status extended at 35:18 Md. R. 1599; emergency action expired August 24, 2008 **Administrative History:** Regulation .04B amended effective August 25, 2008 (35:17: Md. R. 1485); November 3, 2008 (35:22 Md. R. 1956); March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .07B amended effective March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .07D adopted effective November 3, 2008 (35:22 Md. R. 1956) **Administrative History:** Regulation .15G adopted effective June 15, 1998 (25:12 Md. R. 946) **Administrative History:** Regulation .15G repealed effective March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .17 adopted effective June 26, 2000 (27:12 Md. R. 1138) **Administrative History:** Regulation .17 amended effective March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .17B, G amended effective September 2, 2013 (40:17 Md. R. 1419) **Administrative History:** Regulation .17C amended effective April 29, 2002 (29:8 Md. R. 697) **Administrative History:** Regulation .18 adopted effective February 17, 2003 (30:3 Md. R. 178) **Administrative History:** Regulation .18B, C amended effective March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .19 adopted effective October 1, 2004 (31:19 Md. R. 1431) **Administrative History:** Regulation .19 repealed effective March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .20 adopted effective November 3, 2008 (35:22 Md. R. 1956) **Administrative History:** Regulation .21 adopted effective November 3, 2008 (35:22 Md. R. 1956) **Administrative History:** Regulation .23 adopted effective January 1, 2009 (35:26 Md. R. 2247) **Administrative History:** Regulation .23A amended effective July 1, 2016 (43:11 Md. R. 633) **Administrative History:** Chapter revised effective October 4, 2019 (46:19 Md. R. 813) **Administrative History:** Regulation .02B amended effective June 27, 2022 (49:13 Md. R. 688); February 3, 2025 (52:2 Md. R. 67) **Administrative History:** Regulation .02B amended as an emergency effective December 18, 2024 (52:1 Md. R. 17); emergency action expired June 16, 2025 **Administrative History:** Regulation .04 amended effective October 4, 2021 (48:20 Md. R. 851); February 3, 2025 (52:2 Md. R. 67) **Administrative History:** Regulation .04A amended as an emergency effective December 18, 2024 (52:1 Md. R. 17); emergency action expired June 16, 2025 **Administrative History:** Regulation .06B amended effective February 3, 2025 (52:2 Md. R. 67) **Administrative History:** Regulation .16 amended effective February 3, 2025 (52:2 Md. R. 67) **Administrative History:** Regulation .26 adopted effective June 27, 2022 (49:16 Md. R. 688) **Administrative History:** Regulation .27 adopted effective June 27, 2022 (49:16 Md. R. 688) **Administrative History:** Regulation .28 adopted effective December 11, 2023 (50:24 Md. R. 1041) #### Regulation .01 Scope. *COMAR 09.03.06.01* This chapter governs the conduct of any person engaged in mortgage lending, mortgage brokering, or mortgage servicing of loans secured by residential real estate located in this State, unless specifically exempt from licensure under Financial Institutions Article, §11-502, Annotated Code of Maryland. #### Regulation .02 Definitions. *COMAR 09.03.06.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Advertisement” means a statement in any medium used or intended to induce any person to apply for a mortgage loan. (2) “Annual percentage rate (APR)” has the meaning stated in 12 CFR Part 1026, as it may be amended from time to time. (3) Applicant. (a) “Applicant” means a borrower who has not received a commitment from a licensee to make the loan requested. (b) “Applicant” does not include a person whose request for a mortgage loan has been denied. (4) “Average prime offer rate” has the meaning stated in 12 CFR Part 1026, as it may be amended from time to time. (5) “Borrower” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. (6) “Breach of the security of a system” has the meaning stated in Commercial Law Article, §14-3504, Annotated Code of Maryland. (7) Broker. (a) This section defines whether a person is acting as a broker or a lender in a particular transaction. (b) For purposes of all Maryland laws and regulation applicable to mortgage lenders, a person is acting as a broker if: (i) The person aids or assists a borrower in obtaining a mortgage loan for a fee or other valuable consideration; and (ii) The creditor identified in the loan documents is a different person than the person described in §B(7)(b)(i) of this regulation. (c) There is no broker in a transaction solely because the lender contracts with a third party for processing or underwriting services if: (i) The person contracting to perform the processing or underwriting did not generate the loan application; and (ii) The loan is closed in the name of the lender which did generate the loan application. (8) “Commissioner” has the meaning stated in Financial Institutions Article, §1-101, Annotated Code of Maryland. (9) “Commitment” has the meaning stated in Commercial Law Article, §12-125(a)(3), Annotated Code of Maryland. (10) “Corporate governance” means the management structure of the licensee and the processes by which the business is managed, including the corporate controls, rules, policies, processes, and practices used to oversee and manage the institution. (11) “Customer information” has the meaning stated in 16 CFR Part 314, as it may be amended from time to time. (12) “Dwelling” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. (13) “Electronic record” has the meaning stated in Commercial Law Article, §21-101(h), Annotated Code of Maryland. (14) “Escrow account” has the meaning stated in Commercial Law Article, §12-109(a)(3), Annotated Code of Maryland. (15) “External audit” means the formal report prepared by an independent certified public accountant expressing an opinion on whether the financial statements are presented fairly, in all material aspects, in accordance with the applicable financial reporting framework, and is inclusive of an evaluation of the adequacy of a company’s internal control structure. (16) “Financing agreement” has the meaning stated in Commercial Law Article, §12-125(a)(4), Annotated Code of Maryland. (17) “Fully indexed rate” has the meaning stated in 12 CFR Part 1026, as it may be amended from time to time. (18) “Higher-priced mortgage loan” has the meaning stated in 12 CFR Part 1026, as it may amended from time to time. (19) “Information security program” has the meaning stated in 16 CFR §314.2, as it may be amended from time to time. (20) “Initial application” means the submission of a borrower’s financial information in anticipation of a credit decision relating to a mortgage loan, which shall include the borrower’s name, the borrower’s monthly income, the borrower’s social security number to obtain a credit report, the property address, an estimate of the value of the property, and the mortgage loan amount sought. (21) “Internal audit” means the internal independent and objective assurance and consulting activity performed to evaluate and improve the effectiveness of a licensee’s operations, risk management, internal controls, and governance processes. (22) Lender. (a) “Lender” means a person who makes a mortgage loan. (b) “Lender”, as used in these regulations, does not include a person acting as a: (i) Mortgage broker; or (ii) Mortgage servicer. (23) “License” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. (24) “Licensed location” means any location listed by the licensee in NMLS. (25) “Licensee” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. (26) “Loan” as used in these regulations, unless the context indicates otherwise, means a mortgage loan. (27) “Loan application” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. (28) “Loss mitigation option” has the meaning stated in 12 C.F.R. Part 1024, as it may be amended from time to time. (29) “Mortgage lender” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. (30) “Mortgage loan” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. (31) “Mortgage loan originator” has the meaning stated in Financial Institutions Article, §11-601, Annotated Code of Maryland. (32) Mortgage Servicer. (a) “Mortgage servicer” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. (b) “Mortgage servicer” includes a person that engages in one or more of the following actions for the benefit of other persons in connection with mortgage loans: (i) Performs the routine administration of mortgage loans as agent of a servicer or MSR investor under the terms of a subservicing contract; (ii) Invests in and owns mortgage servicing rights and relies on subservicers to administer the mortgage loans on its behalf; (iii) Collects or receives payments directly from borrowers for distribution to the owner of the mortgage loan or another third party, including a master servicer; (iv) Evaluates borrower eligibility for loss mitigation options; (v) Communicates with the borrower regarding loss mitigation options; (vi) Is responsible for supervision of third parties that take action to protect a secured party’s interest in the property under the applicable security instrument, such as maintenance of hazard and mortgage insurance coverage and preservation of the property; or (vii) Conducts or supervises the foreclosure process, except if the person is an attorney representing a mortgagee or its successors and assigns, or is acting as a substitute trustee in a foreclosure action under a deed of trust. (33) “Mortgage servicing rights” or “MSR” means the contractual right to service a mortgage loan on behalf of the owner of the associated mortgage in exchange for specified compensation in accordance with the servicing contract. (34) “MSR Investor” means a person who invests in and owns mortgage servicing rights and relies upon subservicers to administer the mortgage loans on the person’s behalf, and who may be referred to as a master servicer. (35) “NMLS” has the meaning stated in Financial Institutions Article, §1-101, Annotated Code of Maryland. (36) “Person” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. (37) “Processing”, when used in the context of processing a loan application, means the: (a) Collection of data, documents, and other materials which a lender or broker requires in order to evaluate whether a loan will be granted or denied; (b) Preparation of all materials necessary for closing a loan; and (c) Scheduling of the closing of a loan. (38) “Residential real estate” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. (39) “Risk management program” means the policies, procedures, and internal controls designed to identify, measure, monitor and mitigate risk. (40) “Service provider” has the meaning stated in 16 CFR Part 314, as it may be amended from time to time. (41) Social Media. (a) “Social media” means an Internet website or application software that: (i) Requires a person to register or create an account to become a member; and (ii) Allows two or more members to communicate directly with one another. (b) “Social media” includes an Internet website or application software that allows members to communicate by means of one or more of the following: (i) Text; (ii) Video; (iii) Still photograph; or (iv) Audio. (c) “Social media” does not include an electronic mail account. (42) “Subservicer” means a person performing the routine administration of mortgage loans as an agent of a servicer or MSR investor under the terms of a subservicing contract. (43) “Trade name” means any word or group of words used to identify a business to the public. (44) “Underwriting” means the evaluation of information and materials about the loan, the applicant, and the property which will secure the loan, to determine whether the loan will be made or denied. #### Regulation .03 Delivery and Receipt of Mortgage Disclosures. *COMAR 09.03.06.03* A. A licensee shall be deemed to have complied with a requirement under Commercial Law Article, Title 12, Subtitles 1, 3, 4, 8, 9, or 10, Annotated Code of Maryland, to provide a written disclosure or agreement within a specified time period after the date the loan application is completed if the mortgage disclosure or agreement is provided to an applicant in person, or placed in the mail, before the end of the time period specified in the applicable statute. B. Electronic Disclosures. (1) Mortgage disclosures required by Commercial Law Article, Title 12, Subtitles 1, 3, 4, 8, 9, 10, 12, or 13, Annotated Code of Maryland, may be provided to an applicant in electronic form, subject to compliance with the consumer consent and other applicable provisions of the Electronic Signatures in Global and National Commerce Act (15 U.S.C. §7001 et seq.) and the Maryland Uniform Electronic Transactions Act (Commercial Law Article, Title 21, Annotated Code of Maryland). (2) For the purpose described in §A of this regulation, unless otherwise agreed between the licensee and an applicant, the time of sending and receipt of a mortgage disclosure sent as an electronic record shall be governed by Commercial Law Article, §21-114, Annotated Code of Maryland. #### Regulation .04 Licensing and Application Requirements. *COMAR 09.03.06.04* A. Scope. (1) If otherwise required to be licensed under Financial Institutions Article, §11-502, Annotated Code of Maryland, a person is not exempt because the person: (a) Is an out-of-State deposit-taking financial institution; (b) Does not have offices in Maryland; (c) Does not have tax situs in Maryland; or (d) Is not required to register as a foreign corporation doing business in Maryland. (2) Repealed. (3) For purposes of Financial Institutions Article, §11-506, Annotated Code of Maryland, an individual is considered to have at least 3 years of experience in the mortgage lending business if: (a) The individual has received compensation in connection with a minimum of 12 closed mortgage loans per year for each of the 3 years; or (b) The individual has worked in the mortgage lending business at least an average of 20 hours per week for each of the 3 years. (4) The Commissioner may consider the totality of an individual's particular duties and activities while engaged in the mortgage lending business to determine whether the individual has at least 3 years of experience. (5) For purposes of Financial Institutions Article, §11-506, Annotated Code of Maryland, a “principal officer” includes: (a) An individual who owns, directly or indirectly, 10 percent or more of the business entity; (b) An individual who serves on the board of directors or board of managers; (c) An elected or appointed senior officer, including President, Executive Vice President, Senior Vice President, Treasurer, Secretary, Chief Executive Officer, Chief Operating Officer, Chief Legal Officer, Chief Credit Officer, and Chief Compliance Officer; or (d) An individual, regardless of title, who has the power to direct the management or policies of the mortgage lending business. B. Unlicensed Mortgage Lender. A licensee may not broker a loan to, or accept a loan referral from, a person the licensee knows is not licensed by the Commissioner, unless the licensee reasonably and in good faith believes that the person is properly licensed or exempt from the licensing requirement. C. Renewals. (1) A licensee may renew a license by filing a completed renewal application before the expiration of its current license. (2) A person who fails to comply with §C(1) of this regulation shall file an application for a new license with all application and investigation fees, unless the renewal application is filed with the Commissioner within 30 days after the date on which the current license expired. D. Bond Termination. (1) If a licensee's bond, letter of credit, or trust account is cancelled, expired, or closed and no substitute bond or authorized security is in place: (a) Upon notice of the termination from the bond surety, or issuer of the letter of credit or trust account, the licensee shall immediately cease doing any business as a mortgage lender; and (b) The mortgage lender's license is suspended. (2) If the termination remains in effect for more than 30 days, an application for a new license shall be filed with all application and investigation fees. E. Loan Processing Under Expired License. (1) If a licensee files an application for license renewal with the Commissioner at least 2 calendar weeks before the license expires and the Commissioner has not approved the application before the license expires, the licensee may continue to process and close loans until the Commissioner takes final action on the application in accordance with State Government Article, §10-226(b), Annotated Code of Maryland. (2) If a licensee files an application for license renewal with the Commissioner less than 2 calendar weeks before the license expires and the Commissioner has not approved the application before the license expires, the licensee shall cease processing and closing loans when the license expires. F. Complaint Resolution. (1) A licensee shall designate a person as being responsible for, and authorized to make, decisions regarding the resolution of complaints received from the Commissioner. (2) A licensee shall provide to the Commissioner the name of the person designated under §G(1) of this regulation as part of an application for: (a) A new license; and (b) A license renewal. (3) A person designated under §G(1) of this regulation shall have: (a) The necessary skills and knowledge of the mortgage industry to be able to adequately respond to consumer complaints; and (b) Authority to resolve the complaint, or shall report directly to an individual with such authority. (4) A licensee shall notify the Commissioner through NMLS of any change in the person designated under §G(1) of this regulation within 10 business days of the change. G. Designation of Mortgage-Related Activity. (1) A licensee shall designate on its original license application and on any license renewal application whether it will act, under its license, as one or more of the following: (a) A lender; (b) A mortgage broker; or (c) A mortgage servicer. (2) Notification. (a) A licensee shall notify the Commissioner in writing through NMLS if, after the issuance or the renewal of its license, the licensee begins conducting a new activity that the licensee did not designate under §H(1) of this regulation. (b) A licensee shall deliver the notification through NMLS to the Commissioner within 10 business days after beginning the new activity. H. NMLS. I. Applications. (1) The Commissioner shall approve or deny an application for an initial license, a renewal license, or a license amendment within 60 days after the Commissioner receives a completed application, including, if applicable, a surety bond and all required fees. (2) If the Commissioner notifies an applicant that an application for an initial license, a renewal license, or a license amendment is incomplete, the Commissioner shall itemize the steps that the applicant must take to complete the application. (3) The application for an initial license, a renewal license, or a license amendment may not be approved until after the applicant completes all steps identified in the Commissioner’s notice. (4) If an application for an initial license, a renewal license, or license amendment is incomplete when submitted and remains incomplete, the Commissioner may cease processing and deem the incomplete application withdrawn, provided that the Commissioner has previously notified the applicant of the basis for incompleteness in accordance with §J(2) of this regulation, and given the applicant not less than 15 days to correct the incompleteness. #### Regulation .05 Records. *COMAR 09.03.06.05* A. Preservation of Records. (1) A licensee shall preserve the records of a mortgage loan in one or more of the following ways: (a) Original books, accounts, and files; (b) An approved electronic equivalent; or (c) An approved microphotographic copy. (2) A licensee’s use of electronic or microphotographic preservation of records, or storage of books and records at a location other than the licensee’s place of business, shall be considered approved by the Commissioner if the licensee: (a) Completes an attestation in the format prescribed by the Commissioner; and (b) Uploads an electronic copy of the attestation to NMLS in accordance with directions provided by the Commissioner. (3) A licensee who stores records in the form of electronic copies shall: (a) Store the records in a format that shall allow the Commissioner to read the records using common, readily available software; (b) Maintain electronic copies of the original documents that are: (i) Complete; (ii) Accurate; (iii) Unaltered; and (iv) Unabridged; (c) Ensure that, when printed, the records will be legible; (d) Protect the records from: (i) Deletion; (ii) Damage to or failure of electronic storage media; and (iii) Unauthorized access, use, modification, or disclosure; and (e) Be permitted to alter electronic documents in any manner that does not affect the content of the records. (4) A licensee who stores records at a location other than its licensed address shall: (a) Ensure that all records are: (i) Complete; (ii) Accurate; (iii) Unaltered; and (iv) Unabridged; (b) Protect the records from: (i) Deletion; (ii) Damage to, or failure of, electronic storage media; and (iii) Unauthorized access, use, modification, or disclosure; and (c) Immediately notify the Commissioner when a licensee discovers or is notified of a potential loss of records, completes a reasonable and prompt investigation, and then determines that records have been lost or are reasonably likely to be lost. (5) Time Period. (a) A lender shall retain records for 61 months after a loan is denied, repayment of the loan is made in full, or the loan is sold, whichever occurs first. (b) A mortgage servicer shall retain records for 61 months after final payment is made or the right to service the loan under either a servicing or subservicing agreement is terminated or transferred, whichever occurs first. (c) If a licensee acts as a broker in a mortgage loan, records of the mortgage loan shall be retained for 61 months after the mortgage loan is made or denied. (6) Records required to be retained shall be maintained separately from the records of any other business of the licensee or its employees. (7) Notwithstanding §A(3) of this regulation, a licensee may commingle records of mortgage loans with records of other types of loans made, brokered, or held by the licensee, if the mortgage loans can be readily retrieved for an examination. B. Content of Records. (1) For each mortgage loan made or serviced by a licensee, a file shall be maintained which contains, at a minimum, the following: (a) The date of the loan closing; (b) The annual percentage rate of interest payable on the loan; (c) Documentation of all charges and fees disbursed from the proceeds of the loan or collected directly from the borrower; (d) Documentation of disbursements of loan proceeds to creditors of the borrower; (e) Documentation of any broker's agreement signed by the borrower if a broker fee is paid from the loan proceeds at closing; (f) The amount of any origination or discount fee; (g) A notation of any applicable governmental loan program for each loan; (h) An accurate history or audit trail, since the date of loan closing, of the application of all: (i) Payments; (ii) Charges; and (iii) Credits; (i) The objective index used to determine the interest rate from time to time if the loan has an adjustable rate; (j) If the loan was assigned by the licensee, the name of the assignee, and the date of the assignment; (k) Any document which indicates whether the security interest is in first or second lien position at the time the loan is made; (l) All required State and federal disclosure documents; (m) Records of all monies received from a borrower for fees to be paid to third parties for services in connection with the loan; (n) Records indicating that the services were provided and the fees paid by the licensee to the third party; (o) A record of dates on which a credit report, appraisal, and other services or items were ordered by the licensee; (p) Any other document on which the licensee relied in underwriting the loan; (q) Optional insurance: (i) Insurance information regarding optional insurance coverage purchased by the borrower in connection with the loan, including the premium charged, the types of coverages, and written authorization from the borrower for each type of coverage; (ii) This paragraph does not apply to hazard insurance and flood insurance on the property securing the mortgage loan; (r) Records of any foreclosure action begun by the licensee by filing an order to docket or a complaint to foreclose including, if applicable: (i) The name and license number or NMLS unique identifier of the mortgage originator that originated the loan if that information is contained in the security instrument underlying the foreclosure or is otherwise known to the licensee; (ii) The name and license number or NMLS unique identifier of the mortgage lender that originated the loan; and (iii) Copies of all documents provided to the borrower or filed with a court in conjunction with the foreclosure action; (s) Copies of all documents filed by or on behalf of the licensee in a borrower’s bankruptcy proceeding involving the mortgage loan; (t) If the licensee is a mortgage servicer: (i) Copies of all written correspondence between the licensee or its vendors and the borrower; (ii) Written records of verbal communications between the mortgage servicer or its vendors and the borrower; and (iii) Copies of any audio recordings of communication with the borrower; and (u) Other documents necessary to prove compliance with any State or federal statute or regulation applicable to the mortgage loan. (2) Notwithstanding §B(1) of this regulation, a licensee acting as a broker in connection with a particular mortgage loan: (a) Shall retain copies of all records listed in §B(1) of this regulation which the licensee obtains in the course of processing or underwriting a loan; (b) Shall retain a copy of the broker agreement between the licensee and the borrower; (c) Shall retain a record of the lender to whom the loan was brokered; (d) Shall retain a record of the amount of any finder’s fee received; (e) Shall retain a record of any compensation, as required by federal law; and (f) Is not responsible for retaining any record unless the licensee at some time is in physical possession of a copy of that record. (3) A licensee shall maintain all records that demonstrate that the licensee meets the general qualifications for a license as described in Financial Institutions Article, §11-506, Annotated Code of Maryland. (4) Records retained for longer than the minimum time period shall be made available to the Commissioner upon the Commissioner's reasonable request. C. Provision of Records to the Commissioner. (1) A licensee who keeps books and records at a licensed location shall, at the request of the Commissioner, immediately make those books and records available to the Commissioner at the licensed location. (2) A licensee who keeps books and records at a location other than the licensed location with prior permission by the Commissioner shall, within 5 business days of a request by the Commissioner, make those books and records available to the Commissioner at the licensed location. (3) A licensee shall ensure that the Commissioner receives any records requested in writing by the Commissioner within 10 business days from the date of the request. (4) When delivered to the Commissioner, records shall be: (a) In an electronic format agreed to by the Commissioner; (b) In paper form, if the licensee does not maintain its records in an electronic format; and (c) Organized in any manner requested by the Commissioner. D. Loss of Records. A licensee shall immediately notify the Commissioner of any actual or potential loss of records required to be kept by this regulation. #### Regulation .06 Advertising and Solicitation. *COMAR 09.03.06.06* A. A person may not publish, or cause to be published, any advertisement, or make or cause to be made any representation, that: (1) Contains any false, misleading, or deceptive statements regarding the making, brokering, or servicing of mortgage loans; or (2) Misrepresents terms, availability, rates, or charges incident to a mortgage loan. B. Licensee Name and Address. (1) A licensee may not advertise under any name or address other than a name or address that: (a) Is listed as a licensed location in NMLS; or (b) Has been approved by the Commissioner pursuant to COMAR 09.03.02.09A. (2) Notwithstanding §B(1) of this regulation, an advertisement: (a) Need not disclose any address of the advertiser; and (b) May use the trade name of a parent corporation. (3) Notwithstanding §B(1) of this regulation, a licensee may use an e-mail address or website address that is different from the name or website address that appears on the licensee's license, provided that the content of any e-mail correspondence, or of the website itself, uses only a name that appears on the licensee's license or has been approved by the Commissioner pursuant to [Regulation .04L of this chapter] COMAR 09.03.02.09B and is listed as a trade name on the licensee's NMLS record. (4) A licensee shall disclose its NMLS unique identifier in every advertisement. (5) Notwithstanding §B(4) of this regulation, a licensee who utilizes social media for advertising purposes need not disclose the licensee's NMLS unique identifier in each statement published through a social media platform, provided that the NMLS unique identifier is displayed prominently on the licensee's profile page within the social media platform. (6) A licensee is responsible for a violation of §A of this regulation even if a parent corporation's trade name is used as permitted in §B(2)(b) of this regulation. (7) A licensee is responsible for any advertisement disseminated by an employee of the licensee if such advertisement relates to activities performed by the licensee or by the employee in the employee's capacity as an employee of the licensee. #### Regulation .07 Financing Agreements. *COMAR 09.03.06.07* A. For purposes of Commercial Law Article, §§12-125, 12-922, and 12-1022, Annotated Code of Maryland: (1) An application is completed at the time of initial application; (2) Settlement occurs when the loan proceeds are disbursed by the person conducting settlement to the borrower or to third parties as required by the lender's instructions; (3) Settlement has not occurred when the loan proceeds are disbursed from the lender to the custody of an escrow agent pending expiration of a time period during which the borrower is entitled by statute to rescind the loan. B. In a loan transaction where there is a separate broker and lender, only one financing agreement need be provided to the applicant. C. A financing agreement need not be provided under Commercial Law Article, §12-125, 12-922, or 12-1022, Annotated Code of Maryland, if within 10 business days after initial application the: (1) Loan is closed; or (2) Applicant receives a written commitment. #### Regulation .08 Agreements with the Borrower. *COMAR 09.03.06.08* A. Written Agreements. (1) Agreements between a borrower and a licensee shall be: (a) In writing; and (b) Provided promptly to the borrower following execution by all parties. (2) Exact copies of original documents may be provided to the borrower to satisfy this section. B. Agreements in Blank. (1) A person may not obtain a borrower's or guarantor's signature on any of the following documents if blanks remain to be filled in after execution by the borrower: (a) A note; (b) A deed of trust; (c) A mortgage; (d) An affidavit by the borrower; (e) Any written certification or statement by the borrower as to use of loan proceeds; (f) Any other instrument granting a security interest in property; (g) Any other document which constitutes a debt obligation of the borrower; and (h) A finder's fee agreement required under Commercial Law Article, §12-805, Annotated Code of Maryland. (2) The prohibitions of §B(1) of this regulation do not apply to blanks for the signatures of a: (a) Notary public; (b) Witness who is not a borrower, guarantor, or obligor on the loan; or (c) Person required to sign a certification or affidavit required by law for recordation. C. Undisclosed Fees. (1) Unless disclosed in written agreements signed by the borrower, a licensee may not, directly or indirectly, impose any fee or charge payable by or on behalf of the borrower. (2) In this section “written agreements” includes all closing documents signed by the borrower. (3) Compliance with applicable disclosures under 12 CFR §§1026.37 and 1026.38 shall be deemed compliance with §C(1) and (2) of this regulation. (4) This section does not apply to changes in amounts collected to be placed in an escrow account maintained after the loan is made. D. Security Instruments. Licensees shall comply with the requirements relating to security instruments to be recorded in connection with the inclusion of the name and licensee number of the mortgage lender and mortgage originator, or an affidavit in lieu thereof, as set forth in Real Property Article, §3-104.1, Annotated Code of Maryland. #### Regulation .09 Loan Processing. *COMAR 09.03.06.09* A. A mortgage lender: (1) May not cause or permit any loan to be characterized as a commercial loan if there are circumstances known to the licensee which indicate that any portion of the loan proceeds will not be used for commercial purposes; (2) Which cannot guarantee acceptance of a borrower's application into a particular loan program, shall disclose that fact to the applicant in writing; (3) Shall keep an applicant generally informed of the progress of the processing of a loan application in the event that problems arise in the processing or underwriting of a loan which may delay closing; and (4) Shall comply with all State and federal laws and regulations applicable to a particular loan. B. If a mortgage lender elects to make a loan under Commercial Law Article, Title 12, Subtitle 9 or Subtitle 10, Annotated Code of Maryland, the lender shall make that election in writing in the: (1) Agreement, note, or other evidence of an extension of closed end credit; or (2) Agreement governing a revolving credit plan. #### Regulation .10 Fees. *COMAR 09.03.06.10* A. A licensee may not retain a fee, or any portion of a fee, collected from the borrower if the fee is represented as a charge to be paid to a third party for services in connection with the loan. B. Timing of Collection. (1) If a financing agreement is required under Commercial Law Article, §12-125, 12-922, or 12-1022, Annotated Code of Maryland, and these regulations, a licensee may not collect any fee from the applicant before providing the financing agreement executed by the lender. (2) Notwithstanding §B(1) of this regulation, a licensee may collect fees which are to be fully paid to third parties for services in connection with the loan, before providing a financing agreement. C. A licensee may condition the making of a loan on the real estate seller's paying certain fees only if: (1) The seller has agreed in writing to pay those fees; or (2) At the time the borrower elects the type of loan applied for, the licensee discloses in writing: (a) Fees which the seller may be required to pay, (b) The fact that the borrower has the responsibility for informing the seller about the fees, and (c) The fact that the loan will not be made unless the seller, or someone other than the borrower, pays those fees. D. If a licensee fails to comply with §C of this regulation, the licensee may not: (1) Fail to close the loan solely because the seller refuses at closing to pay certain fees; or (2) Threaten at closing to refuse to make the loan unless the seller pays certain fees. #### Regulation .11 Closing. *COMAR 09.03.06.11* A. Disbursement of Loan Proceeds. (1) A licensee shall disburse all loan proceeds in a timely manner as provided in the loan documents. (2) Disbursement of all loan proceeds to a third-party closing agent is deemed compliance with this section. B. A licensee may not collect a separate settlement fee in a loan when closing is conducted by: (1) The lender; (2) A subsidiary of the lender; (3) A sister corporation of the lender; (4) An owner or part owner of the lender; (5) A partner of the lender; or (6) A director, officer, or employee of the lender. C. Duties on Failure to Close. (1) If a loan transaction is not closed, the licensee shall, upon written request by the applicant, return to the applicant: (a) All original documents and other materials which were supplied to the licensee by the borrower; and (b) If paid for by the borrower, a copy of the appraisal report. (2) Section C(1)(b) of this regulation does not apply to any portion of an appraisal report which any federal law or regulation prohibits the licensee from releasing to the applicant. (3) The licensee may retain copies of all documents returned to the borrower. (4) This section does not apply to a written application for a loan. #### Regulation .12 Brokers. *COMAR 09.03.06.12* A. A person acting as a mortgage broker in a loan transaction may not obtain an exclusive dealing or exclusive agency agreement from any borrower. B. Notwithstanding §A of this regulation, a person acting as a mortgage broker may obtain an agreement from a borrower that, in the event the loan is not made, restricts the borrower from obtaining a loan within 180 days after the borrower's initial application to the broker, from any lender identified to the borrower by the broker. C. Fees. (1) Except for a fee to be paid to a third party for services in connection with the loan, a person acting as a broker in a loan transaction may not collect a fee from an applicant before the loan is closed. (2) Section C(1) does not authorize any fee not permitted under applicable sections of Commercial Law Article, Title 12, Annotated Code of Maryland. D. Cure of Unintentional Violation. (1) This section applies only to a licensee that engages in both brokering and lending in the regular course of its business. (2) At the time a loan application is received, a licensee that collects a fee which would be prohibited under §C(1) of this regulation may cure a violation by tendering a refund of the impermissible fee collected if: (a) At the time the loan application was received the licensee believed in good faith that the licensee was acting as a lender not a broker in the transaction; and (b) Within 5 business days after determination by the licensee that the loan will be closed in the name of a third-party lender, the licensee: (i) Tenders to the applicant a refund of all impermissible fees, and (ii) Provides the applicant with a written broker agreement as required under Commercial Law Article, §12-805(d), Annotated Code of Maryland. #### Regulation .13 Expedition. *COMAR 09.03.06.13* A. A licensee shall act expeditiously in processing and underwriting loan applications. B. A licensee may not: (1) Issue any agreement that locks in or sets an interest rate and points on the loan applied for, if the licensee knows that the time period established in the agreement after which the rate may change is not sufficient for the loan to be closed; (2) Accept more applications than the licensee can reasonably expect to be processed and closed within established lock-in periods; or (3) Delay the settlement of a loan with the specific intent to, and for the purpose of: (a) Increasing any cost to the borrower; or (b) Avoiding any legal obligation to the borrower. C. Ordering Underwriting Documents — Timing. (1) This section applies only to: (a) Purchase money mortgage loan applications; and (b) Loan applications in which the licensee establishes a deadline for closing, after which the loan terms offered to the applicant may change. (2) If a licensee fails to close a loan by the expiration date of a contract of sale supplied by the borrower, or by a deadline for closing established by the licensee, there is a rebuttable presumption that the licensee failed to process the loan expeditiously if the licensee fails to order: (a) A credit report and property appraisal within 5 business days after initial application; or (b) Within 5 business days, other reports from third parties needed for underwriting after discovery that the reports will be needed. (3) This section does not apply to: (a) Verification of employment; and (b) Verification of deposits. #### Regulation .14 Payoff and Accounting Statements — Releases. *COMAR 09.03.06.14* A. Within 5 business days after written request by the borrower, a licensee shall provide the borrower or the borrower's designee with a written statement of the dollar figure which will repay a loan in full. B. Upon written request by the borrower, a licensee shall provide, within a reasonable time, but not in excess of 45 days, an accounting statement to the borrower, setting forth: (1) All payments made on the loan; (2) All amounts credited to principal and interest; and (3) Any other charges. C. If a loan is being serviced by a different entity than the licensee, this regulation applies when the servicer of the loan is in receipt of a written request from the borrower for a payoff or accounting statement. D. Within 30 days from the date a loan is repaid in full, a licensee shall: (1) Prepare and forward to the borrower documents sufficient for the borrower to obtain a release of the lien securing the loan; or (2) Prepare and deliver to the appropriate city or county land records office documents which are sufficient to release the lien securing the loan. #### Regulation .15 Waivers. *COMAR 09.03.06.15* A. An act, agreement, or statement of an applicant may not constitute a valid waiver of any benefit or protection provided to an applicant under these regulations or applicable law. B. Nothing in this regulation affects the validity of any waiver specifically permitted under the Commercial Law Article, Annotated Code of Maryland. #### Regulation .16 Bonds, Letters of Credit, and Trust Accounts. *COMAR 09.03.06.16* A. The required amount of a bond, letter of credit, or trust account established to meet the requirements of Financial Institutions Article, §11-508, Annotated Code of Maryland, shall be subject to recalculation at the time a license is renewed. B. Restitution awarded and to be paid from a letter of credit or trust account shall be paid as follows: (1) Awards resulting from individual complaints shall be paid in the order in which they are received by the Commissioner; (2) Awards resulting from an examination by the Commissioner that will exceed the total available under the letter of credit or trust account shall be paid on a pro rata basis; (3) Claims against a letter of credit or trust account shall be filed by a claimant with the Commissioner within 3 years after the occurrence from which the claim arises; and (4) Notwithstanding §C(1) of this regulation, if the aggregate amount of all pending claims exceeds the amount of the letter of credit or trust account, the Commissioner may require a prorated distribution. C. The Commissioner may require part or all of the funds in a letter of credit or trust account to remain on deposit if: (1) There are unresolved pending claims against the account or letter of credit, which were timely filed; and (2) The amount required by the Commissioner to be maintained is reasonably calculated to cover the payment of those claims. D. Claims against a bond, letter of credit, or trust account may not include: (1) Attorneys' fees; (2) Damages for personal injury; or (3) Punitive damages. E. A surety under a bond issued under Financial Institutions Article, §11-508, Annotated Code of Maryland, shall: (1) Pay directly to a claimant any meritorious claim; and (2) Immediately notify the Commissioner when it pays a claim to a claimant. #### Regulation .17 Enforcement. *COMAR 09.03.06.17* A person who violates these regulations is subject to the enforcement provisions of Financial Institutions Article, §11-517, Annotated Code of Maryland. #### Regulation .18 Continuing Education. *COMAR 09.03.06.18* A. Purpose and Applicability. (1) The State legislature has determined that it is in the public interest to require licensees to comply with a continuing education requirement as a prerequisite to the renewal of a mortgage lender license. (2) The continuing education requirement does not apply to the original application for a license. B. Definitions. In this regulation, the following terms have the meanings indicated: (1) “Continuing education course” or “course” means an educational program related to mortgage lending or brokering which contributes directly to the enhancement of professional competence of a covered employee to engage in the mortgage lending business, as defined in Financial Institutions Article, §11-501, Annotated Code of Maryland. (2) Covered Employees. (a) “Covered employees” means the person with the required experience under Financial Institutions Article, §11-506(b)(2), (3), and (4), Annotated Code of Maryland, and the manager of each branch office licensed, or required to be licensed, by the Commissioner. (b) “Covered employees” does not include an employee who: (i) Has been employed by the licensee for less than 6 months before the expiration date of the licensee's current license; and (ii) Had no prior experience as a covered employee with any other licensee. C. Requirements. (1) Except as provided in §A(2) of this regulation, in order to renew a license, each covered employee of a licensee shall successfully complete in the licensing period immediately preceding the current renewal period at least 8 hours of continuing education in approved courses. (2) The required 8 hours of continuing education shall be the same as the continuing education requirements for mortgage loan originators set forth in Financial Institutions Article, §11-612, Annotated Code of Maryland, and COMAR 09.03.09.03, and include at least the following subjects in the number of hours indicated: (a) Federal law and regulations relating to mortgage origination — 3 hours; (b) Ethics, including instruction on fraud, consumer protection, and fair lending issues — 2 hours; (c) Lending standards and loan terms for the nontraditional mortgage product market — 2 hours; and (d) Maryland law and regulations relating to mortgage lending and origination — 1 hour. (3) Hours in excess of the minimum requirement during any licensing period may not be carried over to a successive period. D. Reporting, Verification, and Record Keeping. (1) A licensee, when applying for a license renewal, shall: (a) Provide to the Commissioner any information or certification as the Commissioner may require as proof of satisfactory completion of each covered employee's education requirements; and (b) Submit to the Commissioner, in the manner the Commissioner requires, a list of all covered employees. (2) The Commissioner may require verification, on a random or other basis, of satisfactory completion of the requirements of this regulation. (3) A licensee shall retain the evidence reasonably acceptable to the Commissioner to verify satisfactory completion of the requirements of this regulation for a period of at least 3 years after issuance of the renewal license to which it applies. E. Nonrenewal, Suspension, or Revocation of License. (1) Subject to the notice and hearing requirements of Financial Institutions Article, §11-518, Annotated Code of Maryland, failure to comply with the requirements of this regulation is grounds for: (a) Denial of a license renewal under Financial Institutions Article, §11-511(b), Annotated Code of Maryland; or (b) Suspension or revocation of a license or other sanctions pursuant to Financial Institutions Article, §11-517, Annotated Code of Maryland. (2) The Commissioner may issue to a licensee a cease and desist order under Financial Institutions Article, §11-517, Annotated Code of Maryland, which: (a) Prohibits a covered employee who has failed to comply with this regulation from qualifying as the person with the required experience under Financial Institutions Article, §11-506(b)(2), (3), and (4), Annotated Code of Maryland, or acting as a manager of a branch office; and (b) Continues in effect until the licensee demonstrates to the Commissioner completion by the covered employee of all educational requirements of this regulation. #### Regulation .19 Ability to Repay. *COMAR 09.03.06.19* A. Purpose and Scope. (1) The General Assembly has determined that it is in the public interest to require lenders to comply with special rules with respect to certain mortgage loans. (2) This regulation applies to loans subject to Commercial Law Article, §§12-127, 12-311, 12-409.1, and 12-1029, Annotated Code of Maryland. B. Subject to §C of this regulation, a lender shall give due regard to the borrower’s ability to repay the mortgage loan, as follows: (1) A borrower’s monthly gross income shall be compared to the nonmetropolitan median family income for the county in which the property is located, as reported in the most recent estimates made available by the United States Department of Housing and Urban Development as of the date of initial application for a loan if the residential real estate securing the loan of a borrower is not located in a metropolitan statistical area; (2) A borrower’s total scheduled monthly payment obligations are the amounts required to be paid to satisfy the borrower’s legally enforceable minimum monthly financial obligations as of the date of initial application for a loan; (3) A borrower’s total scheduled monthly payment obligations include secured and unsecured debt, alimony, child support, and other similar legally enforceable financial obligations payable in two or more installments; (4) A borrower’s total scheduled monthly payment obligations do not include any debts that are consolidated with, or paid off by, a mortgage loan; and (5) A lender’s consideration of a borrower’s scheduled monthly payment obligations may be limited to information provided directly by the borrower and verified by a consumer report from a consumer reporting agency, unless information provided by the borrower or the consumer reporting agency reasonably leads to further investigation by the lender. C. Compliance with applicable provisions in 12 CFR Part 1026.43, as it may be amended from time to time, may be substituted for the obligations required by, and shall be sufficient to meet the requirements of, §B of this regulation. #### Regulation .20 Duty of Care. *COMAR 09.03.06.20* A. Good Faith and Fair Dealing. A licensee has a duty of good faith and fair dealing in communications, transactions, and course of dealings with a borrower in connection with the advertisement, solicitation, making, servicing, purchase, or sale of any mortgage loan, including, but not limited to: (1) The duty to recommend to a borrower or induce a borrower to enter into only a mortgage loan refinancing that has a net tangible benefit to a borrower, considering all of the circumstances, including the terms of a loan, the cost of a loan, and the borrower's circumstances; (2) The duty to provide to a borrower who is offered a higher-priced mortgage loan information about the non-higher-priced mortgage loans that the licensee can make available and for which the borrower may qualify; and (3) The duty when servicing mortgage loans to: (a) Promptly provide borrowers with an accurate accounting of the debt owed when borrowers request an accounting; (b) Make borrowers in default aware of loss mitigation options and services offered by the licensee; (c) Provide trained personnel and telephone facilities sufficient to promptly answer and respond to borrower inquiries regarding their mortgage loans; and (d) Pursue loss mitigation when possible. B. Method to Determine Net Tangible Benefit. (1) When determining whether a refinance of a mortgage loan will provide a net tangible benefit to the borrower, a licensee shall make a reasonable inquiry of the borrower to determine what net tangible benefit, if any, the borrower will receive from a mortgage loan. Net tangible benefits may include, but are not limited to: (a) Obtaining a lower interest rate; (b) Obtaining a lower monthly payment, including principal, interest, taxes, and insurance; (c) Obtaining a shorter amortization schedule; (d) Changing from an adjustable rate to a fixed rate; (e) Eliminating a negative amortization feature; (f) Eliminating a balloon payment feature; (g) Receiving cash-out from the new loan in an amount greater than all closing costs incurred in connection with the loan; (h) Avoiding foreclosure; (i) Eliminating private mortgage insurance; and (j) Consolidating other existing loans into a new mortgage loan. (2) A licensee is considered to have conducted a reasonable inquiry of whether a refinance of a mortgage loan provides a net tangible benefit to a borrower if the mortgage lender has the borrower complete and sign a net tangible benefit worksheet on the form prescribed by the Commissioner, or a form that is substantially similar to the form prescribed by the Commissioner. #### Regulation .21 Nontraditional and Higher-Priced Mortgage Loans. *COMAR 09.03.06.21* A. In this regulation, the following terms have the meanings indicated: (1) “Interest-only mortgage loan” means a mortgage loan on which, for a specified period of time, the borrower is required to: (a) Pay only the interest due on the mortgage loan; and (b) After the interest-only period ends, make payments that include both principal and interest. (2) “Nontraditional mortgage loan” means any mortgage loan that allows the borrower to defer repayment of principal, interest, or both, including, but not limited to, all interest-only mortgage loans and payment-option ARMs. (3) “Payment-option ARM” means an adjustable rate mortgage loan: (a) That allows the borrower to choose from a number of different payment options, which may include, but are not limited to: (i) A minimum payment option based on an introductory interest rate; or (ii) A fully amortizing principal and interest payment based on a 15-year or 30-year loan term, plus any required escrow payments; and (b) For which, at a certain point in the mortgage loan term, the monthly payment amount is required to be set at an amount that will fully amortize the outstanding balance of the loan over the remaining loan term. (4) “Reduced documentation mortgage loan” means a mortgage loan for which the lender sets reduced or minimum documentation standards to substantiate the borrower's income and assets. B. Marketing and Promotion. (1) Licensee marketing and promotional communications and materials for nontraditional and higher-priced mortgage loans shall include information about the costs, terms, features, and risks of nontraditional and higher-priced loans that can assist consumers in their product selection, including, as applicable, information on the following: (a) Payment shock resulting from potential interest rate increases, including how the new payment will be calculated when the introductory fixed-rate period expires; (b) Negative amortization, including: (i) That the effect of negative amortization is the increase in the principal mortgage loan amount and the decrease of home equity; and (ii) Any other negative consequences, such as the possibility that a negatively amortizing mortgage loan could make it more difficult to refinance or to obtain cash upon a sale; (c) Prepayment penalties that may be imposed if the mortgage, or any part of it, is paid off before maturity, including how any prepayment penalty may be calculated and when it may be imposed; (d) Balloon payments, including: (i) That a balloon payment is a scheduled lump sum usually due at the end of the mortgage loan term that is significantly larger than the other regularly scheduled periodic payments; and (ii) That the inability to make a balloon payment could result in a foreclosure; (e) Responsibility for taxes and insurance when: (i) The borrower is required to make payments for real estate taxes and property insurance, in addition to the loan payment; and (ii) The lender does not establish an escrow account for the collection and disbursement of these payments, including the fact that the cost of taxes and insurance may be substantial; and (f) Cost of reduced documentation loans when there is a pricing premium attached to a reduced documentation or stated income mortgage loan. (2) Illustrations. (a) In complying with this regulation, a licensee may utilize the sample illustrations included in: (i) The Illustrations of Consumer Information for Nontraditional Mortgage Borrowers issued by the Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Office of Thrift Supervision, and the National Credit Union Administration as final guidance on June 8, 2007; and (ii) Any consumer information for higher-priced or subprime mortgage lending that may be issued by the foregoing federal regulators or a similar interagency group as final guidance. (b) A licensee may revise and adapt the illustrations described in §B(2)(a) of this regulation to make them applicable to the specific mortgage loan products offered by the licensee. C. Risk Management Policies, Procedures, and Control Systems. (1) A licensee acting as a lender offering nontraditional or higher-priced mortgage loans shall adopt risk management policies, procedures, and controls for these products. (2) Policies and Procedures. (a) A licensee acting as a lender that offers or originates nontraditional or higher-priced mortgage loan products shall train its lending personnel to convey information to consumers about the product terms and risks in a timely, accurate, and complete manner. If the lender offers new or additional nontraditional or higher-priced mortgage loan products, the lender shall provide lending personnel with additional training as necessary to enable the lending personnel to convey information to consumers in a timely, accurate, and complete manner. The lender shall monitor lending personnel to determine whether the personnel are conveying information in the manner required. (b) A licensee acting as a lender shall review consumer complaints to identify potential noncompliance and other risks. The review shall include: (i) A legal review as appropriate; and (ii) A review to ensure that compensation programs do not improperly encourage lending personnel to direct consumers to particular products. (c) A licensee acting as a lender that originates, invests in, or services nontraditional or higher-priced mortgage loan products using a mortgage broker, correspondent, or other third party shall take appropriate steps to ensure third-party practices are consistent with the policies of the lender, including, but not limited to: (i) Conducting due diligence and establishing other criteria for entering into and maintaining relationships with a third party; (ii) Designing third-party compensation incentives to avoid nontraditional or higher-priced mortgage loan product originations that are not consistent with the policies of the lender; (iii) Setting requirements for agreements with a third party; (iv) Establishing procedures and systems to monitor third-party compliance with applicable agreements, polices, and laws; and (v) Implementing appropriate corrective actions if a third party fails to comply with applicable agreements, policies, or laws. (d) A licensee acting as a lender shall establish written policies and procedures to implement the requirements set forth in this subsection. (3) Control Systems. (a) A licensee acting as a lender shall design and implement control systems, including quality control, compliance, and audit procedures to focus on mortgage lending activities that pose high risk. (b) The procedures shall include controls to monitor compliance with underwriting standards and monitor exceptions to those standards. (c) A licensee acting as a lender shall have systems and controls in place for establishing and maintaining relationships with third-party originators, including procedures for performing due diligence. (d) Lender oversight of third parties shall involve monitoring the quality of originated nontraditional and higher-priced mortgage loans to ensure that the products: (i) Reflect the lending standards of the lender; and (ii) Comply with applicable laws and regulations. (e) A licensee acting as a lender shall develop and use control systems to monitor whether the lender's actual practices are consistent with the policies and procedures of the lender relating to nontraditional and higher-priced mortgage loans. #### Regulation .22 Fees. *COMAR 09.03.06.22* A. Application Investigation Fee. The nonrefundable investigation fee required by Financial Institutions Article, §11-507(b)(1), Annotated Code of Maryland, is $1. B. Initial License Fee. (1) The license fee required by Financial Institutions Article, §11-507(b)(2), Annotated Code of Maryland, is $1,000 for a 1-year license term. (2) In addition to the initial license fee set forth in §B(1) of this regulation, an applicant for a license shall pay to NMLS the license application processing fee and any other fees that NMLS imposes in connection with the application. C. Renewal Fee. (1) The renewal fee required by Financial Institutions Article, §11-511(b)(2), Annotated Code of Maryland, is $1,000 for a 1-year renewal term. (2) In addition to the renewal fee set forth in §C(1) of this regulation, an applicant for a renewal shall pay to NMLS the renewal application processing fee and any other fees that NMLS imposes in connection with the application. D. Examination and Investigation Fee. A licensee shall pay all reasonable costs, including the actual cost per day for each of the Commissioner’s employees engaged in examinations or investigations performed by the Commissioner as authorized by Financial Institutions Article, §11-515(c), Annotated Code of Maryland. #### Regulation .23 Supervision of Mortgage Loan Originators. *COMAR 09.03.06.23* A. A licensee who is the employer of a mortgage loan originator shall at all times reasonably and adequately supervise those activities of the mortgage loan originator that are conducted within the scope of the mortgage loan originator’s employment. B. In order to determine whether supervision by the licensee is reasonable and adequate, the Commissioner may consider factors that include the following: (1) The availability of: (a) Experienced supervisory personnel to review and discuss: (i) Mortgage loan terms; (ii) Disclosure requirements; and (iii) Advertising; and (b) Regularly updated policies and procedures that provide adequate guidance to mortgage loan originators in the following areas: (i) Licensing and education requirements; (ii) State and federal mortgage lending laws and regulations, including any new requirements or changes to existing requirements; (iii) The preparation, execution, and review of disclosures, agreements, and other documents; and (iv) Advertising; and (2) Evidence of: (a) Review of disclosures, agreements, and other documents prepared or executed by mortgage loan originators; (b) Compliance with the policies and procedures specified in §B(1)(b) of this regulation; and (c) Dissemination of the policies and procedures specified in §B(1)(b) of this regulation. C. If the Commissioner determines that the licensee does not provide reasonable and adequate supervision in the areas specified under §B of this regulation, the burden of proof shall be on the licensee to show that the supervision the licensee provides is reasonable and adequate. #### Regulation .24 Data Protection. *COMAR 09.03.06.24* A. A licensee that adequately demonstrates compliance with the federal Interagency Guidelines Establishing Information Security Standards, 12 CFR Part 30, Appendix B, as it may be amended from time to time, shall be deemed to be in compliance with §§B—G of this regulation. B. A licensee shall develop, implement, and maintain a comprehensive information security program that is commensurate with the licensee’s size and complexity, the nature and scope of the licensee’s activities, and the sensitivity of any customer information at issue. C. A licensee’s information security program shall consider the following objectives: (1) Ensuring the security and confidentiality of customer information; (2) Protecting against any anticipated threats or hazards to the security or integrity of such information; and (3) Protecting against unauthorized access to or use of such information that could result in substantial harm or inconvenience to any customer. D. Governance over Information Technology. (1) A licensee shall have an established governance process in place to control and monitor information security. (2) The governance process shall include, as appropriate for the size and complexity of the licensee and its information technology systems: (a) The establishment of policies and procedures related to information technology approved by the board of directors, ownership, or most senior level of management; and (b) A management structure that encompasses: (i) Assigning responsibilities and authorities for ensuring adherence to information technology policies and procedures; (ii) Documenting accountability for functions to ensure compliance with information technology policies and procedures; and (iii) Reporting to the board of directors, ownership, or most senior level of management, no less than annually, regarding the effectiveness of the information technology policies and procedures. E. Information Technology Security Risk Assessment. (1) A licensee shall complete an information technology security risk assessment on a periodic basis, but not less than once every 3 years. (2) A licensee’s security risk assessment shall include: (a) Identification of the data and information systems that need to be protected; (b) Classification and ranking of sensitive data, systems, and applications; and (c) Identification and assessment of threats and vulnerabilities. F. Information Technology Security Testing and Monitoring. (1) A licensee shall perform periodic testing and monitoring of information technology security controls as appropriate for the size and complexity of the licensee’s information technology systems. (2) A licensee’s periodic testing and monitoring of information technology security controls shall include: (a) Evaluating the effectiveness of existing internal controls; (b) Taking corrective action to address any significant deficiencies identified during the course of licensee’s evaluation of the effectiveness of existing internal controls; (c) Monitoring of external sources for new vulnerabilities; and (d) Developing and implementing additional control frame works for any new or changed threats or risks identified by the licensee. G. Third Party Provider Oversight. A licensee shall oversee third party service providers by: (1) Taking reasonable steps to select and retain service providers that are capable of maintaining appropriate safeguards for the customer information at issue; and (2) Requiring service providers by contract to implement and maintain such safeguards. H. Reporting Obligations. A licensee shall provide notice of a breach of the security of a system to the Commissioner prior to giving the notice required by Commercial Law Article, §14-3504(b), Annotated Code of Maryland. I. Record Retention. A licensee shall provide copies of risk assessments under §E of this regulation and results of periodic testing under §F of this regulation to the Commissioner upon request. #### Regulation .25 Significant Event Reporting. *COMAR 09.03.06.25* A. A licensee shall comply with the duty to report set forth in COMAR 09.03.10.02. B. A licensee shall notify the Commissioner in writing through NMLS, and, if applicable, amend the licensee’s information and disclosures in NMLS, within 2 business days of the occurrence of any of the following events: (1) Insolvency, filing for bankruptcy or reorganization of the licensee, the placement into receivership by any court, or an assignment for the benefit of creditors; (2) Receiving notification of any initiation of a settlement agreement or other form of consensual resolution, or entry of judgment in any administrative, civil, or criminal action against the licensee by any governmental entity; (3) Expiration or nonrenewal of, or monetary or nonmonetary default under, a line of credit agreement or warehouse credit agreement; (4) Suspension or termination of the licensee’s status as an approved seller or seller/servicer by the Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Government National Mortgage Association, or a direct endorsement mortgagee by the Federal Housing Administration; (5) A change to net worth resulting from market valuation or future loss liability or another change that causes the net worth of the licensee to fall below the requirements of Financial Institutions Article, §11-508.1, Annotated Code of Maryland; (6) Cancellation or modification by the licensee, or termination by a surety of the licensee’s surety bond required by Financial Institutions Article, §11-508, Annotated Code of Maryland; and (7) Becoming aware of systemic violations of any provision of Financial Institutions Article, Title 11, Subtitle 5, Annotated Code of Maryland, any regulation adopted thereunder, or any other law regulating mortgage loan lending in the State. C. The notice required by §B(2) of this regulation shall include, as applicable, a copy of the complaint, settlement agreement, or judgment that is the subject of the notice. #### Regulation .26 Corporate Governance. *COMAR 09.03.06.26* A. Corporate Governance — Generally. (1) A licensee shall establish, document, and maintain sufficient corporate governance. (2) Each element of a licensee’s corporate governance shall be commensurate with the size, operational complexity, and overall risk profile of the licensee. (3) For purposes of this regulation, the operational complexity and risk profile of a licensee shall, in part, be defined by the results of regulatory examinations, any external audits, and internal audits. (4) A licensee bears the burden of demonstrating to the Commissioner that its corporate governance is sufficient and commensurate with its size, operational complexity, and overall risk profile. (5) A licensee’s corporate governance shall, at a minimum, include: (a) Clearly defined responsibilities and accountability; (b) Internal controls, policies, processes, and practices for monitoring, testing, and ensuring compliance with the corporate governance framework; (c) Internal controls, policies, processes, and practices for training of employees on corporate governance requirements; and (d) Internal controls, policies, processes, and practices addressing internal audits, external audits, and risk management as set forth in §§B, C and D of this regulation. (6) Each licensee shall, not less than annually, conduct a review of its corporate governance to determine its overall effectiveness, address emerging risks, and otherwise assure that the corporate governance remains commensurate with the size, operational complexity, and overall risk profile of the licensee. (7) Any documentation, controls, policies, procedures, requirements, audits, reports, or other materials included in this regulation shall be made available to the Commissioner upon the Commissioner’s request. B. Internal Audit. (1) A licensee shall establish internal audit requirements that are appropriate for the size, complexity, and risk profile of the licensee. (2) Unless impracticable given the size of the licensee, internal audit functions shall be performed by employees of the licensee who report to the licensee’s owners or board of directors and who are not otherwise supervised by the persons who directly manage the activities being reviewed. (3) Employees performing internal audit functions shall have sufficient knowledge, training, and resources to provide a reliable evaluation of the licensee’s operations, risk management, internal controls, and governance processes. C. External Audit. (1) If the Commissioner determines based on the size, operational complexity, and overall risk profile of the licensee that an external audit is appropriate, the Commissioner may direct a licensee to receive an external audit. (2) If the Commissioner directs a licensee to receive an external audit, that external audit shall include: (a) Annual financial statements, including a balance sheet, statement of operations (income statement), and cash flows, including notes and supplemental schedules prepared in accordance with generally accepted accounting principles; (b) Assessment of the internal control structure; (c) Computation of tangible net worth; (d) Validation of MSR valuation and reserve methodology, if applicable; (e) Verification of adequate fidelity and errors and omissions (E&O) insurance; (f) Testing of controls related to risk management activities, including compliance and stress testing, if applicable; and (g) Any other element the Commissioner deems appropriate. (3) Nothing in this section is intended to abrogate a requirement of a licensee to receive an external audit under any other law, rule, regulation, or bylaw, policy, or procedure of the licensee. D. Risk Management. (1) A licensee shall at all times maintain a risk management program that identifies, measures, monitors, and controls risk sufficient for the size, operational complexity, and overall risk profile of the licensee. (2) The risk management program shall have appropriate processes and models in place to measure, monitor and mitigate financial risks and changes to the risk profile of the licensee. (3) Evidence of risk management activities throughout the year shall be maintained, including findings of issues and the response to address those findings. E. Authority to Address Risk as Necessary. If risk is determined by a formal review of a licensee to be extremely high, the Commissioner may order or direct the licensee to satisfy additional conditions necessary to ensure that the licensee will continue to operate in a safe and sound manner and be able to continue to engage in business as a mortgage lender in compliance with State and federal law and/or regulation. F. A covered institution as defined in Regulation .27 of this chapter is not subject to this regulation. #### Regulation .27 Enhanced Prudential Standards for Certain Mortgage Servicers. *COMAR 09.03.06.27* A. Definitions. (1) In this regulation, the following terms have the meanings indicated. (2) Terms Defined. (a) “Agency” means Fannie Mae, Freddie Mac, and Ginnie Mae. (b) “Allowable assets for liquidity means” those assets that may be used to satisfy the liquidity requirements herein, including unrestricted cash and cash equivalents and unencumbered investment grade assets held for sale or trade (for example, agency MBS, obligations of Fannie Mae or Freddie Mac, or U.S. Treasury obligations). (c) “Board of directors” means the formal body established by a covered institution that is responsible for corporate governance and compliance with this regulation. (d) “Covered institution” means a licensee who is a mortgage servicer with servicing portfolios of 2,000 or more one-unit to four-unit residential mortgage loans serviced or subserviced for others, excluding whole loans owned, and loans being interim serviced prior to sale as of the most recent calendar year end, reported in the NMLS Mortgage Call Report, and who operates in two or more states, districts, or territories of the United States, either currently or as of the prior calendar year end. (e) “Fannie Mae” means Federal National Mortgage Association. (f) “FHFA” means the Federal Housing Finance Agency. (g) “Freddie Mac” means Federal Home Loan Mortgage Corporation. (h) “Ginnie Mae” means Government National Mortgage Association. (i) “Interim serviced prior to sale” means the activity of collecting a limited number of contractual mortgage payments immediately after origination on loans held for sale but prior to the loans being sold into the secondary market. (j) “Mortgage Call Report” means the quarterly or annual report of residential real estate loan origination, servicing, and financial information completed by companies licensed in NMLS. (k) “Mortgage-backed security” or “MBS” means a financial instrument, often a debt security, collateralized by residential mortgages. (l) “Operating liquidity” means the funds necessary to perform normal business operations, such as payment of rent, salaries, interest expenses, and other typical expenses associated with operating the entity. (m) “Residential mortgage loans serviced” means the specific portfolio or portfolios of residential mortgage loans for which a licensee is contractually responsible to the owner or owners of the mortgage loans for the defined servicing activities. (n) “Reverse mortgage loan” has the meaning stated in Commercial Law Article, §12-1201, Annotated Code of Maryland. (o) “Risk management assessment” means a functional evaluation performed under the risk management program and any report thereof provided to the board of directors under the relevant governance protocol. (p) “Servicing liquidity” or “liquidity” means the financial resources available to the licensee to meet such financial obligations as may arise from the servicing of mortgage loans, including, but not limited to, acquiring and financing MSRs, hedging costs associated with the MSR asset and financing facilities, including margin calls, and advancing or financing the advance of principal, interest, taxes, insurance, and any other servicing related advances. (q) “Subserviced for others” means the contractual activities performed by subservicers on behalf of a servicer or MSR investor. (r) “Tangible net worth” means total equity less receivables due from related entities, less goodwill, and other intangibles, less pledged assets. (s) “Whole loans” means those loans for which a mortgage and the underlying credit risk is owned and held on the balance sheet of the entity with all ownership rights. B. Applicability — Exclusions. (1) This regulation shall be applicable to covered institutions as defined. For entities within a holding company or affiliated group of companies, applicability shall be at the covered institution level. (2) The following exclusions apply: (a) This regulation does not apply to a not-for-profit mortgage servicer or a housing finance agency. (b) Section C of this regulation does not apply to a mortgage servicer solely owning and/or conducting reverse mortgage loan servicing, or the reverse mortgage loan portfolio administered by a covered institution or the whole loan portion of portfolios. C. Financial Condition. (1) A covered institution shall maintain capital and liquidity in compliance with this section. (2) For the purposes of complying with the capital and liquidity requirements of this section, all financial data shall be determined in accordance with generally accepted accounting principles. (3) A covered institution that meets the FHFA Eligibility Requirements for Enterprise Single-Family Seller/Servicers for capital, net worth ratio, and liquidity, regardless of whether the covered institution is approved for Fannie Mae or Freddie Mac servicing, meets the requirements of §C(1) and (2) of this regulation. (4) A covered institution shall maintain written policies and procedures implementing the capital and servicing liquidity requirements of this section. Such policies and procedures shall include a sustainable written methodology for satisfying the requirements of §C(3) of this regulation and be available to the Commissioner upon request. (5) Operating Liquidity. (a) A covered institution shall maintain sufficient allowable assets for operating liquidity in addition to the amounts required for servicing liquidity, to cover normal business operations. (b) A covered institution shall have in place sound cash management and business operating plans that match the size, operational complexity, and overall risk profile of the covered institution to ensure normal business operations. (c) A covered institution’s management shall develop, establish, and implement plans, policies, and procedures for maintaining operating liquidity sufficient for the ongoing needs of the covered institution. Such plans, policies, and procedures shall contain sustainable, written methodologies for maintaining sufficient operating liquidity and be available to the Commissioner upon request. D. Corporate Governance. (1) Each element of a covered institution’s corporate governance shall be commensurate with the size, operational complexity, and overall risk profile of the covered institution. (2) Any documentation, controls, policies, procedures, requirements, audits, reports, or other materials included in this regulation shall be made available to the Commissioner upon the Commissioner’s request. (3) For purposes of this regulation, the operational complexity and risk profile of a covered institution shall, in part, be defined by the results of regulatory examinations, external audits, and internal audits. (4) A covered Institution shall establish and maintain a board of directors responsible for oversight of the covered institution. (5) For a covered institution that is not approved to service loans by Fannie Mae, Freddie Mac, or Ginnie Mae, or if these agencies have granted approval for a board alternative, an institution may establish a similar body constituted to exercise oversight and fulfill all board of directors’ responsibilities in this section. (6) In addition to any other responsibilities required of the board of directors under State or federal law, or these regulations, the board of directors shall be responsible for: (a) Establishing a written corporate governance framework, including appropriate internal controls designed to monitor corporate governance and assess compliance with the corporate governance framework; (b) Monitoring and ensuring institution compliance with the corporate governance framework and these regulations; and (c) Accurate and timely regulatory reporting, including the requirements for filing the Mortgage Call Report. (7) Internal Audit. (a) The board of directors shall establish internal audit requirements that are appropriate for the size, complexity, and risk profile of the covered institution. (b) Internal audit functions shall be performed by employees of the covered institution who report to the board of directors or its authorized equivalent under this section and who are not otherwise supervised by the persons who directly manage the activities being reviewed. (c) Employees performing internal audit functions shall have sufficient knowledge, training, and resources to provide a reliable evaluation of the covered institution’s operations, risk management, internal controls, and governance processes. (8) External Audit. (a) A covered institution shall receive an external audit, which shall include audited financial statements and audit reports, conducted by an independent public accountant annually. (b) The external audit shall include at a minimum: (i) Annual financial statements including a balance sheet, statement of operations (income statement), and cash flows, including notes and supplemental schedules prepared in accordance with generally accepted accounting principles; (ii) Assessment of the internal control structure; (iii) Computation of tangible net worth; (iv) Validation of MSR valuation and reserve methodology, if applicable; (v) Verification of adequate fidelity and errors and omissions (E&O) insurance; and (vi) Testing of controls related to risk management activities, including compliance and stress testing, if applicable. (9) Risk Management. (a) A covered institution shall establish a documented risk management program under the oversight of the board of directors that identifies, measures, monitors, and controls risk sufficient for the size, operational complexity, and overall risk profile of the covered institution. (b) The risk management program shall have appropriate processes and models in place to measure, monitor, and mitigate financial risks and changes to the risk profile of the covered institution and assets being serviced. (c) The risk management program shall be scaled to the complexity of the covered institution, but shall be sufficiently robust to manage risks in several areas, including, but not limited to: (i) Credit risk — the potential that a borrower or counterparty will fail to perform on an obligation; (ii) Liquidity risk — the potential that the covered institution will be unable to meet its obligations as they come due because of an inability to liquidate assets or obtain adequate funding or that it cannot easily unwind or offset specific exposures; (iii) Operational risk — the risk resulting from inadequate or failed internal processes, people, and systems or from external events; (iv) Market risk — the risk to the covered institution’s condition resulting from adverse movements in market rates or prices; (v) Compliance risk — the risk of regulatory sanctions, fines, penalties, or losses resulting from failure to comply with laws, rules, regulations or other supervisory requirements applicable to the covered institution; (vi) Legal risk — the potential that actions against the covered institution that result in unenforceable contracts, lawsuits, legal sanctions or adverse judgments can disrupt or otherwise negatively affect the operations or condition of the covered institution; and (vii) Reputation risk — the risk to earnings and capital arising from negative publicity regarding the covered institution’s business practices. (d) Risk Management Assessment. A covered institution shall conduct a risk management assessment on an annual basis, concluding with a formal report to the board of directors. Evidence of risk management activities throughout the year shall be maintained and made part of the report, including findings of issues and the response to address those findings. E. Authority to Address Risk as Necessary. (1) If risk is determined by a formal review of a specific covered institution to be extremely high, the Commissioner may order or direct the covered institution to satisfy additional conditions necessary to ensure that the covered institution will continue to operate in a safe and sound manner and be able to continue to service loans in compliance with State and federal law and/or regulation. (2) If risk is determined by a formal review of any covered institution to be extremely low, the Commissioner may provide notice that all or part of this regulation is not applicable to that covered institution. (3) If economic, environmental, or societal events are determined to be of such severity to warrant a temporary suspension of all or certain sections of this regulation, the Commissioner may provide public notice of such temporary suspension. #### Regulation .28 Examination of Licensees. *COMAR 09.03.06.28* A. Definitions. (1) In this regulation, the following terms have the meanings indicated. (2) Terms Defined. (a) “Examination” means the Commissioner’s examination of a licensee pursuant to Financial Institutions Article, §11-515(a), Annotated Code of Maryland. (b) “Report of examination” means a report issued by the Commissioner or a responsible supervisory agency following the examination of a mortgage lender. (c) “Responsible supervisory agency” means the supervisory agency of any state primarily responsible for the supervision and examination of mortgage lenders operating in its state. B. Examinations. (1) When exercising the Commissioner’s authority to examine a licensee, the Commissioner may consider the report of examination for that licensee issued by a responsible supervisory agency, and accept the information contained therein, if: (a) The responsible supervisory agency issued its report of examination on a date which satisfies the Commissioner’s examination schedule for that licensee under Financial Institutions Article, §11-515(a)(2), Annotated Code of Maryland; (b) The Commissioner reasonably determines the responsible supervisory agency possesses supervision and examination authority over mortgage lenders operating in that agency's state substantially similar to the supervision and examination authority the Commissioner has over a licensee operating in Maryland; (c) The Commissioner reasonably determines the responsible supervisory agency has standards for the purposes of examining mortgage lenders that are reasonably equivalent to the requirements of Financial Institutions Article, §11-501 et seq., Annotated Code of Maryland; and (d) The Commissioner reviews the report of examination prepared by the responsible supervisory agency and determines the report of examination is in form and scope substantially similar to a report of examination the Commissioner would issue following its examination of the licensee. (2) The Commissioner’s consideration of the report of examination of a responsible supervisory agency pursuant to §B(1) of this regulation does not limit the Commissioner’s ability to: (a) Examine an aspect of the licensee’s business not addressed in that report of examination; (b) Further examine an aspect of the licensee’s business addressed in that report of examination; (c) Request documents or other information from the licensee or otherwise require the licensee to make its books and records available to the Commissioner; (d) Interview or examine officers, directors, employees, or agents of the licensee; (e) Take other actions consistent with the examination of a licensee; or (f) Require the licensee to pay to the Commissioner examination related fees as set forth in Financial Institutions Article, §11-515(c), Annotated Code of Maryland. C. Commissioner's Report of Examination. (1) The Commissioner may adopt, in whole or in part, the report of examination of a responsible supervisory agency the Commissioner considered under §B of this regulation as the Commissioner’s report of examination. (2) The Commissioner may supplement a report of examination of a responsible supervisory agency adopted as the Commissioner’s report of examination under §C(1) of this regulation with information the Commissioner considers relevant. D. Treatment of Report of Examination. (1) The Commissioner shall treat the report of examination of a responsible supervisory agency the Commissioner considers under §B of this regulation in its examination of a licensee as information obtained in the course of examining that licensee, as set forth in Financial Institutions Article, §2-117 Annotated Code of Maryland. (2) A report of examination of a responsible supervisory agency adopted by the Commissioner pursuant to §C of this regulation, together with any information added to that report of examination by the Commissioner, is the Commissioner’s report of examination and property of the Commissioner. (3) Any report of examination of a responsible supervisory agency considered or adopted by the Commissioner pursuant to §B or C of this regulation shall remain subject to the terms and conditions of the agreement under which the responsible supervisory agency shared such report of examination with the Commissioner. ### Chapter 07 — Credit Reporting Agencies **Authority:** Business Regulation Article, §2-105; Commercial Law Article, §§14-1216(b) and (e), 14-1217(b)(9) and (10) and (d), 14-1218(e), and 14-1226(f) and (g); Financial Institutions Article, §2-105.1(b) and (c); Annotated Code of Maryland **Administrative History:** Effective date: June 6, 1994 (21:11 Md. R. 950) **Administrative History:** Chapter recodified from COMAR 09.04.07 to COMAR 09.03.07, April, 1998 **Administrative History:** Chapter revised effective October 19, 2020 (47:21 Md. R. 903) #### Regulation .01 Scope. *COMAR 09.03.07.01* This chapter governs certain registration requirements and business operations of consumer reporting agencies who collect credit information and furnish consumer reports on residents of this State. The provisions of this chapter are to promote accuracy in consumer reports. #### Regulation .02 Definitions. *COMAR 09.03.07.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Breach of the security of a system” has the meaning stated in Commercial Law Article, §14-3504, Annotated Code of Maryland. (2) “Business customer” means a person who supplies to a consumer reporting agency information for inclusion in a consumer report. (3) “Collection agency” has the meaning stated in Business Regulation Article, §7-101, Annotated Code of Maryland. (4) “Commissioner” has the meaning stated in Commercial Law Article, §14-1201, Annotated Code of Maryland. (5) “Consumer” means an individual who resides in Maryland. (6) “Consumer report” has the meaning stated in Commercial Law Article, §14-1201, Annotated Code of Maryland. (7) Consumer Reporting Agency. (a) “Consumer reporting agency” has the meaning stated in Commercial Law Article, §14-1201, Annotated Code of Maryland. (b) “Consumer reporting agency” does not include a person who regularly extends credit to consumers and is: (i) Licensed to extend credit by the Commissioner; or (ii) A financial institution chartered under the laws of this State or the laws of the United States, the lending operators of which are subject to supervision, examination, and regulation by a State or federal agency. (8) “Control person” means a person who has the power, directly or indirectly, to direct the management or policies of a consumer reporting agency, whether through ownership of securities, by contract, or otherwise. (9) “File” has the meaning stated in Commercial Law Article, §14-1201, Annotated Code of Maryland. (10) “Nationwide Mortgage Licensing System and Registry” or “NMLS” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. (11) “Person” has the meaning stated in Commercial Law Article, §14-1201, Annotated Code of Maryland. (12) “Personal information” has the meaning stated in Commercial Law Article, §14-3501, Annotated Code of Maryland. (13) “Simple and easy to understand” has the meaning stated in 16 CFR §642.2. (14) “Specialty consumer reporting agency” means a consumer reporting agency that prepares and retains files for one or more of the following: (a) Residential history; (b) Tenant history; or (c) Employment history. #### Regulation .03 Annual Registration. *COMAR 09.03.07.03* A. During the time period established by the Commissioner under §B of this regulation, each consumer reporting agency shall: (1) Obtain and maintain a valid unique identifier issued by NMLS when an account is created with NMLS; and (2) Transfer registration information to NMLS. B. The Commissioner shall establish a time period that is not less than 2 months after the effective date of these regulations within which a registrant must transfer registration information to NMLS. C. At least 30 days before the transfer period begins, the Commissioner shall: (1) Notify all registrants of the transfer period; and (2) Provide instructions for the transfer of registration information to NMLS. D. Subject to §A of this regulation, a consumer credit reporting agency submitting an initial registration or a registration renewal shall apply for the initial registration or registration renewal through NMLS on or after November 1 of the year in which these regulations are effective and annually thereafter. E. To register, the consumer reporting agency shall provide all information required by the Commissioner through NMLS, including: (1) The address of the principal executive office; (2) The name of a responsible official of the consumer reporting agency who is available to respond expeditiously to inquiries or complaints referred by the Commissioner or the Commissioner's designee; (3) A toll-free telephone number for use by the Commissioner or the Commissioner's designee, at which the responsible official required to be identified in this section may be reached; (4) A toll-free telephone number or numbers maintained by the consumer reporting agency which is available to all Maryland residents for making inquiries; (5) A certification by a control person that the consumer reporting agency has trained personnel sufficient to promptly and properly investigate and respond to consumer complaints and inquiries available; (6) The mailing address or addresses to which a consumer may correspond with the consumer reporting agency in order to: (a) Obtain a copy of their consumer report, and (b) File written complaints or disputes about the accuracy of information contained in their consumer report; (7) A certification by a control person who has primary oversight responsibility for the consumer reporting agency’s technology system that the consumer reporting agency is in compliance with all applicable data security requirements, including the requirements of the Fair Credit Reporting Act (15 U.S.C. §1681 et seq.) and, if applicable, the Gramm-Leach-Bliley Act (15 U.S.C. §6801 et seq.) and their respective implementing regulations; (8) A copy of the declaration page, certificate of liability, or similarly summarized coverage page of the consumer reporting agency’s cyber risk insurance policy, if applicable; (9) A list of all websites and web applications where there is consumer access to a service offered by the consumer reporting agency; (10) The total number of consumer reports the consumer reporting agency assembled or evaluated over the previous 12 months; and (11) The name of any third-party technology vendor that the consumer reporting agency utilizes to assemble, evaluate, or store consumer reports prepared by the consumer reporting agency. F. If, except for the information required in §E(10) and (11) of this regulation, the information supplied in a consumer reporting agency's registration becomes inaccurate at any time during the calendar year, the consumer reporting agency shall immediately submit the changes to the Commissioner through NMLS. #### Regulation .04 Bond. *COMAR 09.03.07.04* A. The amount of a consumer reporting agency surety bond shall be determined as follows based on the number of consumer reports that the consumer reporting agency assembled, evaluated, or sold during the prior calendar year: (1) Less than or equal to 10 percent of the total population of Maryland as published by the United States Census Bureau and listed on the Commissioner’s website shall file through NMLS a $100,000 bond; (2) More than 10 percent but less than or equal to 25 percent of the total population of Maryland as published by the United States Census Bureau and listed on the Commissioner’s website shall file through NMLS a $250,000 bond; (3) More than 25 percent but less than or equal to 50 percent of the total population of Maryland as published by the United States Census Bureau and listed on the Commissioner’s website shall file through NMLS a $500,000 bond; (4) More than 50 percent but less than or equal to 75 percent of the total population of Maryland as published by the United States Census Bureau and listed on the Commissioner’s website shall file through NMLS a $750,000 bond; or (5) More than 75 percent of the total population of Maryland as published by the United States Census Bureau and listed on the Commissioner’s website shall file through NMLS a $1,000,000 bond. B. In considering a request to grant an exemption to the requirement for a consumer reporting agency to file a surety bond with the Commissioner at the time of registration or registration renewal, the Commissioner may grant to a consumer reporting agency an exemption from the surety bond required under §A of this regulation if the Commissioner determines that the following conditions are met: (1) The granting of an exemption is not detrimental to the public interest; (2) The consumer reporting agency has conducted its business in a lawful manner; (3) The consumer reporting agency has complied, and has the capability and systems in place to continue to comply, with the provisions of the Maryland Personal Information Protection Act, Commercial Law Article, §14-3501, et seq., Annotated Code of Maryland; and (4) The consumer reporting agency demonstrates the financial ability to pay potential claims by establishing any of the following: (a) The tangible net worth of the consumer reporting agency, as reported on an unconsolidated basis and certified by a control person, is equal to or greater than twice the amount of the surety bond required under §A of this regulation or this section; (b) The consumer reporting agency’s short-term credit rating by a nationally recognized rating agency is at least equal to P2, A2, or F2 or an equivalent rating; (c) The consumer reporting agency has regularly maintained and, during the registration period shall maintain, liquid assets, in form acceptable to the Commissioner, and in an amount that is at least equal to or greater than twice the amount of the surety bond required under §A of this regulation or this section; or (d) In the case of a specialty consumer reporting agency, the consumer reporting agency maintains a current accreditation by the Professional Background Screening Association or any similar accreditation program approved by the Commissioner. #### Regulation .05 Operational Procedures. *COMAR 09.03.07.05* A. A consumer reporting agency shall devise procedures to identify inaccurate information in consumer credit information submitted to it by a person who furnishes information to a consumer reporting agency. B. As a part of the procedures required in §A of this regulation, a consumer reporting agency: (1) Shall comply with 15 U.S.C. §1681i; (2) May not include in a consumer’s file any loan, regardless of the date of the loan, that has been determined to be usurious or otherwise void or unenforceable under Maryland law pursuant to a court order or final order issued by the Commissioner and for which the credit reporting agency received said order from a court, the Commissioner, a consumer or consumer’s representative to which the information relates, or identified through any other process instituted by the credit reporting agency that would notify them of such a determination; and (3) Shall use personal information and publicly available information to match tax liens and judgments to the appropriate consumer report, except that this requirement does not apply to a consumer reporting agency that is acting as a “reseller” as defined under 15 U.S.C. §1681a(u) with respect to that consumer report. C. Complaints — General. (1) This section does not apply to a report of information made to a consumer reporting agency before the effective date of this chapter. (2) A consumer reporting agency may not list information which was received from a collection agency in a consumer's file unless there is also included in the consumer's file information sufficient to enable the consumer to identify the creditor who referred the debt to the collection agency. D. Complaints — Specific Types. (1) This section does not apply: (a) If the consumer reporting agency has reason to believe that the consumer complaint: (i) Is fraudulent; or (ii) Has been previously investigated by the consumer reporting agency and found to be without merit; (b) Unless the consumer complaint contains the consumer's: (i) Full name; (ii) Date of birth; (iii) Social Security number; (iv) Home addresses for the preceding 3 years; and (v) Signature; (c) If the complaint is filed by or with the assistance of a credit repair agency that is required to be licensed, but is not licensed, by the Commissioner under Commercial Law Article, Title 14, Subtitle 19, Annotated Code of Maryland. (2) Except as provided in §D(1) of this regulation, this section applies to a written complaint submitted to a consumer reporting agency in which the consumer alleges that there is false information contained in the consumer report attributable to the: (a) Consumer having been the victim of credit fraud; or (b) Mixing of the information in the consumer's file with that of another person. (3) There is a rebuttable presumption that a consumer complaint to which this section is applicable, and which is submitted to a consumer reporting agency, is: (a) Legitimate; and (b) Not frivolous. (4) The presumption established by this section is rebutted if the consumer reporting agency receives verification from the source of the disputed information in the consumer report that the information pertains to the consumer. (5) Complaints subject to the presumption established by this section shall receive expedited handling by the consumer reporting agency. (6) The consumer reporting agency shall include in its investigation of a consumer complaint to which this section is applicable, an attempt to verify the disputed information using the consumer's Social Security number. (7) If the presumption established by this section is: (a) Rebutted, the consumer reporting agency shall mail a written notice to the consumer stating: (i) That the information was verified; and (ii) The rights of the consumer under Commercial Law Article, Title 14, Subtitle 12, Annotated Code of Maryland; (b) Not rebutted, the consumer reporting agency shall delete the information from the consumer's file and mail: (i) Written notice of the correction to the consumer and to each person designated by the consumer to receive a copy of the correction in accordance with Commercial Law Article, §14-1208, Annotated Code of Maryland; and (ii) A statement of the rights of the consumer under Commercial Law Article, Title 14, Subtitle 12, Annotated Code of Maryland. E. Costs. A consumer reporting agency shall pay the actual cost per day for each investigator engaged in an investigation by the Commissioner. #### Regulation .06 Permissible Purposes of Consumer Reports. *COMAR 09.03.07.06* A. If the Commissioner finds that a person is in the business of making loans that are usurious or otherwise void or unenforceable under Maryland law or can use information in credit reports in connection with the making of loans that are usurious or otherwise void or unenforceable under Maryland law, and issues a written order to a consumer reporting agency not to furnish credit reports to that person, the consumer reporting agency shall comply with the order within 30 days of receipt of the written order. B. If the Commissioner finds that a loan is usurious or otherwise void or unenforceable under Maryland law or that a person is in the business of making loans that are usurious or otherwise void under Maryland law, and issues a written order to a consumer reporting agency prohibiting the consumer reporting agency from including the loan in a consumer’s file, the consumer reporting agency shall comply with the written order within 30 days of receipt of the written order. #### Regulation .07 Current Listing of Consumer Reporting Agencies. *COMAR 09.03.07.07* The Commissioner shall make available to the public a current listing of the names, addresses, and telephone numbers of registered consumer reporting agencies through the NMLS Consumer Access portal. ### Chapter 08 — Debt Management Services *Repealed* **Administrative History:** Effective date: September 29, 2003 (30:19 Md. R. 1330) **Administrative History:** Regulation .01 repealed effective October 1, 2005 (32:18 Md. R. 1518) ### Chapter 09 — Mortgage Loan Originators **Authority:** Business Regulation Article, §2-105; Financial Institutions Article, §§ 2-105. 1, 11-602, 11-603. 1, 11-605, 11-606, 11-609, 11-612, 11-612.1, and 11-613(b); Annotated Code of Maryland **Administrative History:** Effective date: March 13, 2006 (33:5 Md. R. 519) **Administrative History:** Regulation .01 amended effective March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .02B amended effective November 3, 2008 (35:22 Md. R. 1957); January 1, 2009 (35:26 Md. R. 2247) **Administrative History:** Regulation .02B amended as an emergency provision effective July 1, 2009 (36:15 Md. R. 1159); emergency status extended at 37:3 Md. R. 170; emergency status expired effective March 15, 2010 **Administrative History:** Regulation .02B amended effective March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .03 amended effective November 3, 2008 (35:22 Md. R. 1957) **Administrative History:** Regulation .03 amended as an emergency provision effective July 1, 2009 (36:15 Md. R. 1159); emergency status extended at 37:3 Md. R. 170; emergency status expired effective March 15, 2010 **Administrative History:** Regulation .03 amended effective March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .04 adopted effective November 3, 2008 (35:22 Md. R. 1957) **Administrative History:** Regulation .04 amended effective March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .05 adopted effective November 3, 2008 (35:22 Md. R. 1957) **Administrative History:** Regulation .05 repealed and new Regulation .05 adopted as an emergency provision effective July 1, 2009 (36:15 Md. R. 1159); emergency status extended at 37:3 Md. R. 170; emergency status expired effective March 15, 2010 **Administrative History:** Regulation .05 repealed and new Regulation .05 adopted effective March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .06 adopted effective January 1, 2009 (35:26 Md. R. 2247) **Administrative History:** Regulation .06 repealed and new Regulation .06 adopted as an emergency provision effective July 1, 2009 (36:15 Md. R. 1159); emergency status extended at 37:3 Md. R. 170; emergency status expired effective March 15, 2010 **Administrative History:** Regulation .06 repealed and new Regulation .06 adopted effective March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .06C adopted as an emergency provision effective September 30, 2010 (37:18 Md. R. 1211); emergency status expired March 28, 2011 **Administrative History:** Regulation .07 adopted effective January 1, 2009 (35:26 Md. R. 2247) **Administrative History:** Regulation .07 amended as an emergency provision effective July 1, 2009 (36:15 Md. R. 1159); emergency status extended at 37:3 Md. R. 170; emergency status expired effective March 15, 2010 **Administrative History:** Regulation .07 amended effective July 1, 2016 (43:11 Md. R. 633) **Administrative History:** Regulation .07C-1 adopted effective March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Chapter revised effective July 31, 2017 (44:15 Md. R. 759) **Administrative History:** Regulation .02B amended effective February 3, 2025 (52:2 Md. R. 67) **Administrative History:** Regulation .07 amended effective February 3, 2025 (52:2 Md. R. 67) #### Regulation .01 Scope. *COMAR 09.03.09.01* This chapter governs the conduct of any individual employed as a mortgage loan originator with respect to residential real estate located in this State. #### Regulation .02 Definitions. *COMAR 09.03.09.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Applicant” means an individual applying for a license. (2) “Average prime offer rate” has the meaning stated in 12 CFR Part 1026, as may be amended from time to time. (3) “Commissioner” has the meaning stated in Financial Institutions Article, §1-101, Annotated Code of Maryland. (4) “Continuing education” or “course” means an educational program related to mortgage lending or brokering which contributes directly to the enhancement of professional competence of a mortgage loan originator to engage in the mortgage lending business, as defined in Financial Institutions Article, §11-501, Annotated Code of Maryland. (5) “Dwelling” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. (6) “Higher-priced mortgage loan” has the meaning stated in 12 CFR Part 1026 as may be amended from time to time. (7) “License” has the meaning stated in Financial Institutions Article, §11-601, Annotated Code of Maryland. (8) “Licensed location” means any location listed by the licensee in NMLS. (9) “Licensee” has the meaning stated in Financial Institutions Article, §11-601, Annotated Code of Maryland. (10) “Mortgage lending business” has the meaning state in Financial Institutions Article, §11-501, Annotated Code of Maryland. (11) “Mortgage loan” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. (12) “Mortgage loan originator” has the meaning stated in Financial Institutions Article, §11-601, Annotated Code of Maryland. (13) “NMLSR” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. (14) “Residential real estate” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. #### Regulation .03 Education and Testing Requirements. *COMAR 09.03.09.03* A. Prelicensing Education. To qualify for a license, a mortgage loan originator shall have: (1) Successfully completed at least 20 hours of prelicensing education as required by Financial Institutions Article, §11-606, Annotated Code of Maryland, which shall include at least the following subjects in the number of hours indicated: (a) Federal law and regulations relating to mortgage origination — 3 hours; (b) Ethics, including instruction on fraud, consumer protection, and fair lending issues — 3 hours; (c) Lending standards and loan terms for the nontraditional mortgage product market — 2 hours; (d) Maryland law and regulations relating to mortgage lending and origination — 3 hours; (e) Maryland finder's fee law as stated in Commercial Law Article, §12-801 et seq., Annotated Code of Maryland — 2 hours; and (f) Undefined or elective instruction on mortgage origination — 7 hours; and (2) Achieved a passing grade on a written examination as required by Financial Institutions Article, §11-606.1, Annotated Code of Maryland. B. Continuing Education. To renew a license, a mortgage loan originator shall have successfully completed in the 12 months immediately preceding the current renewal period at least 8 hours of continuing education in approved courses, as required by Financial Institutions Article, §11-612, Annotated Code of Maryland, which shall include at least the following subjects in the number of hours indicated: (1) Federal law and regulations relating to mortgage origination — 3 hours; (2) Ethics, including instruction on fraud, consumer protection, and fair lending issues — 2 hours; (3) Lending standards and loan terms for the nontraditional mortgage product market — 2 hours; and (4) Maryland law and regulations relating to mortgage lending and origination — 1 hour. C. Reporting, Verification, and Record Keeping. (1) A mortgage loan originator, when applying for an initial license or for a renewal license, shall provide to the NMLSR and to the Commissioner such information or certification as they may respectively require as proof of satisfactory completion of the education and testing requirements of this regulation. (2) The Commissioner may require verification, on a random or other basis, of satisfactory completion of the requirements of this regulation. (3) A licensee shall retain evidence acceptable to the Commissioner to verify satisfactory completion of the requirements of this regulation for at least 3 years after issuance of the license to which it applies. D. Denial, Nonrenewal, Suspension, or Revocation of License. Subject to the notice and hearing requirements of Financial Institutions Article, §11-616, Annotated Code of Maryland, failure to comply with the requirements of this regulation is grounds for: (1) Denial of a license under Financial Institutions Article, §11-607(e), Annotated Code of Maryland; or (2) Suspension or revocation of a license or other sanctions pursuant to Financial Institutions Article, §11-615, Annotated Code of Maryland. #### Regulation .04 Duty of Care. *COMAR 09.03.09.04* A. Good Faith and Fair Dealing. A mortgage loan originator has a duty of good faith and fair dealing in communications and transactions with a borrower, including, but not limited to: (1) The duty to recommend to a borrower or induce a borrower to enter into only a mortgage loan refinancing that has a net tangible benefit to a borrower, considering all of the circumstances, including the terms of a loan, the cost of a loan, and the borrower's circumstances; and (2) The duty to provide to a borrower who is offered a higher-priced mortgage loan information about the non-higher-priced mortgage loans that the licensee can make available and for which the borrower may qualify. B. Method to Determine Net Tangible Benefit. (1) When determining whether a refinance of a mortgage loan will provide a net tangible benefit to the borrower, a mortgage loan originator shall make a reasonable inquiry of a borrower to determine what net tangible benefit, if any, the borrower will receive from a mortgage loan. Net tangible benefits may include, but are not limited to: (a) Obtaining a lower interest rate; (b) Obtaining a lower monthly payment, including principal, interest, taxes, and insurance; (c) Obtaining a shorter amortization schedule; (d) Changing from an adjustable rate to a fixed rate; (e) Eliminating a negative amortization feature; (f) Eliminating a balloon payment feature; (g) Receiving cash-out from the new loan in an amount greater than all closing costs incurred in connection with the loan; (h) Avoiding foreclosure; (i) Eliminating private mortgage insurance; and (j) Consolidating other existing loans into a new mortgage loan. (2) A mortgage loan originator is considered to have conducted a reasonable inquiry of whether a refinance of a mortgage loan provides a net tangible benefit to a borrower if the mortgage loan originator has the borrower complete and sign a net tangible benefit worksheet on the form prescribed by the Commissioner for that purpose, or a form that is substantially similar to the form prescribed by the Commissioner. #### Regulation .05 Applications. *COMAR 09.03.09.05* A. The Commissioner shall approve or deny an application for an initial license, a renewal license, or a license amendment within 60 days after the Commissioner receives a completed application, including a surety bond and all required fees. B. If the Commissioner notifies an applicant that an application for an initial license, a renewal license, or a license amendment is incomplete, the Commissioner shall itemize the steps which the applicant must take to complete the application. C. The application for an initial license, a renewal license, or a license amendment may not be approved until after the applicant completes all steps identified in the Commissioner’s notice. D. If an application for an initial license, a renewal license, or a license amendment is incomplete when submitted and remains incomplete, the Commissioner may cease processing and deem the incomplete application withdrawn, provided that the Commissioner has previously notified the applicant of the basis for incompleteness in accordance with §B of this regulation, and gives the applicant not less than 15 days to correct the incompleteness. #### Regulation .06 Fees. *COMAR 09.03.09.06* A. Application Investigation Fee. The nonrefundable investigation fee required by Financial Institutions Article, §11-604(c)(1), Annotated Code of Maryland, is $1. B. Initial License Fee. (1) The license fee required by Financial Institutions Article, §11-606(b)(2), Annotated Code of Maryland, is $225 for a 1-year license term. (2) In addition to the initial license fee set forth in §B(1) of this regulation, an applicant for a license shall pay to NMLSR the license application processing fee and any other fees that NMLSR imposes in connection with the application. C. Renewal Fee. (1) The renewal fee required by Financial Institutions Article, §11-609(b)(2), Annotated Code of Maryland, is $225 for a 1-year renewal term. (2) In addition to the renewal fee set forth in §C(1) of this regulation, an applicant for a renewal shall pay to NMLSR the renewal application processing fee and any other fees that NMLSR imposes in connection with the application. C-1. Licensing Fees for Affiliated Insurance Producer-Mortgage Loan Originator Subject to Financial Institutions Article, §11-603.1, Annotated Code of Maryland. (1) Application Investigation Fee. The nonrefundable investigation fee required by Financial Institutions Article, §11-604(c)(1), Annotated Code of Maryland, is $1. (2) Initial License Fee. (a) The license fee required by Financial Institutions Article, §11-604(b)(2), Annotated Code of Maryland, is $700 for a 1-year Affiliated Insurance Producer-Mortgage Loan Originator license term. (b) In addition to the initial license fee set forth in §B(2)(a) of this regulation, an applicant for a license shall pay to NMLSR the license application processing fee and any other fees that NMLSR imposes in connection with the application. (3) Renewal Fee. (a) The renewal fee required by Financial Institutions Article, §11-609(b)(2), Annotated Code of Maryland, is $700 for a 1-year renewal term. (b) In addition to the renewal fee set forth in §B(3)(a) of this regulation, an applicant for a renewal shall pay to NMLSR the renewal application processing fee and any other fees that NMLSR imposes in connection with the application. D. Investigation Fee. The fee for each of the Commissioner's employees engaged in investigations performed by the Commissioner as authorized by Financial Institutions Article, §11-613(b), Annotated Code of Maryland, is $250 per day. E. License Amendment Fee. The license amendment fee required by Financial Institutions Article, §11-603(c)(2), Annotated Code of Maryland, is $20. #### Regulation .07 Locations. *COMAR 09.03.09.07* A. A mortgage loan originator may not conduct mortgage lending business at any location different from a licensed location that is listed for the mortgage loan originator or the mortgage loan originator's employer on NMLS. B. Notwithstanding §A of this regulation, a mortgage loan originator may take a loan application or offer or negotiate terms of a mortgage loan at a location other than the licensed location of the mortgage loan originator or the mortgage loan originator's employer if neither the mortgage loan originator nor the mortgage loan originator's employer: (1) Owns or leases the location for the purpose of conducting mortgage lending business; (2) Indicates or suggests by use of signage that the mortgage loan originator or the mortgage loan originator's employer utilizes the location for taking mortgage loan applications or offering or negotiating terms of mortgage loans; (3) Advertises that the mortgage loan originator or the mortgage loan originator's employer takes mortgage loan applications or offers or negotiates terms of mortgage loans at the location; (4) Maintains work space, telephone service, or internet service at the location in the name of the mortgage loan originator or the mortgage loan originator's employer for the purpose of conducting mortgage lending business; (5) Receives mail relating to the mortgage lending business at the location; or (6) Stores books or records relating to the mortgage lending business at the location. #### Regulation .08 Loan Origination Under Expired License. *COMAR 09.03.09.08* A. A person may not take or receive a mortgage loan application or offer or negotiate the terms of a mortgage loan without a license. B. Notwithstanding §A of this regulation, a mortgage loan originator operating under an expired license resulting from a failure to timely renew may offer or negotiate the terms of a mortgage loan if: (1) The application for the mortgage loan was taken or received before the deadline for renewal of the license; and (2) The licensee’s employer does not employ any other mortgage loan originator licensed by the Commissioner. #### Regulation .09 Advertising and Solicitation. *COMAR 09.03.09.09* A. A mortgage loan originator may not publish, or cause to be published, any advertisement, or make or cause to be made any representation, that: (1) Contains any false, misleading, or deceptive statements regarding the making, brokering, or servicing of mortgage loans; or (2) Misrepresents terms, availability, rates, or charges incident to a mortgage loan. B. Licensee Name and Address. (1) A mortgage loan originator may not advertise under any name or address other than the name and address which appear on its license. (2) Notwithstanding §B(1) of this regulation: (a) An advertisement need not disclose any address of the advertiser; and (b) A mortgage loan originator may advertise under any name: (i) By which the mortgage loan originator is commonly known; and (ii) Which is shown in the mortgage loan originator’s NMLSR record. (3) In any advertisement, a mortgage loan originator must disclose: (a) The name or approved trade name of the mortgage loan originator’s employer; and (b) The mortgage loan originator’s NMLSR Unique Identifier. (4) Notwithstanding §B(3) of this regulation, a mortgage loan originator who utilizes social media for advertising purposes need not disclose the name of the mortgage loan originator’s employer or the NMLSR Unique Identifier of the mortgage loan originator in each statement published through a social media platform, provided that such information is disclosed prominently on the mortgage loan originator’s home page within that social media platform. ### Chapter 10 — Credit and Other Regulation **Authority:** Business Regulation Article, §2-105; Financial Institutions Article, §§2-105.1, 5-909(1), 11-203, 11-503, 11-602, 12-104, 12-403(1), and 12-903(1); Annotated Code of Maryland **Administrative History:** Effective date: November 3, 2008 (35:22 Md. R. 1957) **Administrative History:** Regulation .01B amended effective March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .03A, B amended effective March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .04 adopted effective July 16, 2020 (47:14 Md. R. 675) **Administrative History:** Regulation .05 adopted as an emergency provision effective October 5, 2020 (47:20 Md. R. 872); adopted permanently effective February 22, 2021 (48:4 Md. R. 176) #### Regulation .01 Definitions. *COMAR 09.03.10.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) Balloon Payment. (a) “Balloon payment” means any scheduled payment on a mortgage loan that is more than two times the average of all other payments scheduled to repay the mortgage loan. (b) “Balloon payment” does not include a down payment. (2) “Commissioner” means the Commissioner of Financial Regulation in the Maryland Department of Labor. (3) “Fraud” means any act that: (a) Constitutes a criminal violation of any article of the Annotated Code of Maryland and is part of an attempt or scheme to defraud any person; or (b) Whether or not a criminal offense, is an intentional misrepresentation of any material fact or is conduct that is intended to prevent the discovery of a material fact, and is part of an attempt or scheme to defraud any person. (4) “Initial application” has the meaning stated in COMAR 09.03.06.02B(14). (5) “Mortgage loan” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. (6) “Regulated person” means an individual, corporation, business trust, financial institution, estate, trust, partnership, association, two or more persons having a joint or common interest, or any other legal or commercial entity that is subject to the regulatory authority of the Commissioner pursuant to Financial Institutions Article, or Commercial Law Article, Annotated Code of Maryland. (7) “Residential real estate” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. (8) “Settlement” means the disbursement of the proceeds of a mortgage loan by the person conducting the settlement to the borrower or to third parties as required by the lender's instructions. #### Regulation .02 Reporting Fraud, Other Violations of Law, and Convictions. *COMAR 09.03.10.02* A. Duty to Report. (1) Except as provided in §E of this regulation, a regulated person shall submit a report to the Commissioner within 30 business days after the person discovers that an act, or has reason to believe that an act, of fraud, theft, or forgery has been committed by a regulated person, including the person, or any owner, director, officer, member, partner, employee, or agent of a regulated person. (2) Except as provided in §E of this regulation, a regulated person that is, or that has an owner, director, officer, member, partner, employee, or agent that is, convicted of any felony, or of a misdemeanor involving fraud, theft, or forgery, shall submit a report to the Commissioner informing the Commissioner of the conviction within 5 business days from the date on which the regulated person receives knowledge of the conviction. B. Contents of Report. (1) A regulated person submitting a report pursuant to this regulation shall utilize the reporting form prescribed by the Commissioner. (2) If it is determined after the submission of a report that information contained in the report is false or otherwise inaccurate, the regulated person that submitted the report shall be considered to be in compliance with the reporting requirements of this regulation if the regulated person reasonably believed that the information was true and accurate at the time the report was submitted and the regulated person took reasonable steps to verify its truth and accuracy. C. Nondisclosure of Report. A regulated person submitting a report to the Commissioner pursuant to this regulation may not disclose to any person that is a subject of the report the existence of the report or that the report has been submitted to the Commissioner. D. Reports to Law Enforcement Authorities. Except as provided in §E of this regulation, a regulated person that discovers that an act, or suspected act, of fraud, theft, or forgery required to be reported pursuant to this regulation has been committed, the regulated person shall report the details of the incident to the appropriate law enforcement authorities. E. Exceptions. The provisions of this regulation do not apply to a bank, savings bank, trust company, or credit union having a branch that accepts deposits in this State. #### Regulation .03 Disclosures for Certain Mortgage Loans. *COMAR 09.03.10.03* A. Mortgage Loan Provisions Requiring Disclosure. A regulated person that offers to make or procure a mortgage loan secured by residential real estate shall provide to the borrower the disclosures set forth in §B of this regulation if the terms of the mortgage loan: (1) Include a balloon payment; (2) Do not provide for the establishment of an escrow account for the payment of taxes and insurance; or (3) Include mandatory binding arbitration. B. Content and Form of Disclosures. (1) If the terms of a mortgage loan of the type described in §A of this regulation contain a balloon payment feature, a disclosure containing the following information, as applicable, and in substantially similar form, shall be provided to the borrower: (2) If the terms of a mortgage loan of the type described in §A of this regulation, which is secured by a first-position lien on residential real estate, do not provide for the establishment of an escrow account from which property tax and homeowner's insurance payments are made, a disclosure containing the following information, as applicable, and in substantially similar form shall be provided to the borrower: (3) If the terms of a mortgage loan of the type described in §A of this regulation contain a provision requiring the borrower to engage in binding arbitration to resolve disputes, a disclosure containing the following information, as applicable, and in substantially similar form shall be provided to the borrower: (4) The disclosures required by this regulation shall be written clearly and conspicuously and shall appear in at least a 10-point type font. The applicable disclosures shall appear together on a sheet or sheets of paper that contain no information other than the disclosures. All of the disclosures may be printed on a sheet or sheets of paper that include check boxes that may be marked to indicate which disclosures apply. BALLOON PAYMENT: This mortgage loan contains a balloon payment provision. A balloon payment is a scheduled lump sum usually due at the end of the mortgage loan term that is significantly larger than the other regularly scheduled periodic payments. If you cannot pay the balloon payment when due, you may have to obtain a new loan to make the balloon payment or you may lose your property through foreclosure. Before deciding to take this loan, consider your ability to pay the balloon payment when it comes due. The balloon payment on the mortgage loan you have applied for is due (insert number of months) from the date your mortgage loan begins. C. Timing. (1) A regulated person shall deliver to a borrower the disclosures required by this regulation within 10 business days after the application for the mortgage loan is completed, and not less than 72 hours before the time of settlement agreed to by the parties. (2) An application for a mortgage loan is completed at the time of initial application. (3) If any change to the terms of a mortgage loan requires additional or modified disclosures pursuant to this regulation, the regulated person shall deliver to the borrower a final set of disclosures at least 72 hours before the time of settlement agreed to by the parties. #### Regulation .04 Consumer Loans. *COMAR 09.03.10.04* The term loan account in Financial Institutions Article, §11-219, Annotated Code of Maryland: A. Means any loan or advance of money or credit subject to Commercial Law Article, Title 12, Subtitle 3, Annotated Code of Maryland, the Maryland Consumer Loan Law — Credit Provisions, regardless of whether the loan or advance of money or credit is or purports to be made under Commercial Law Article, Title 12, Subtitle 3, Annotated Code of Maryland; and B. Does not include an installment loan as defined in Financial Institutions Article, §11-302, Annotated Code of Maryland. #### Regulation .05 Mobile Home Retail Sales Financing Information Disclosure Statement. *COMAR 09.03.10.05* The written statement required in Commercial Law Article, §14–4202(b)(3), Annotated Code of Maryland, shall be in a form substantially similar to the following: Form on following page. ### Chapter 11 — Recordation of Security Instruments for Residential Property **Authority:** Real Property Article, §3-104.1, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulation .01 adopted as an emergency provision effective April 10, 2008 (35:10 Md. R. 970); emergency status extended at 35:23 Md. R. 2012 **Administrative History:** Regulation .02 adopted as an emergency provision effective May 23, 2008 (35:13 Md. R. 1177); emergency status extended at 35:23 Md. R. 2012 **Administrative History:** Regulations .01 and .02 adopted effective December 29, 2008 (35:26 Md. R. 2247) **Administrative History:** Regulation .01B amended effective March 15, 2010 (37:5 Md. R. 427); July 3, 2017 (44:13 Md. R. 621) **Administrative History:** Regulation .02 amended effective March 15, 2010 (37:5 Md. R. 427) **Administrative History:** Regulation .02A amended effective July 3, 2017 (44:13 Md. R. 621) #### Regulation .01 Definitions. *COMAR 09.03.11.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Mortgage lender licensee” means a person licensed under Financial Institutions Article, §§11-501—11-524, Annotated Code of Maryland. (2) “Mortgage loan” means any loan or extension of credit secured by residential property. (3) “Mortgage loan originator licensee” means an individual licensed under Financial Institutions Article, §§11-601—11-618, Annotated Code of Maryland. (4) “Nationwide Mortgage Licensing System and Registry (NMLSR)” has the meaning stated in Financial Institutions Article, §11-501, Annotated Code of Maryland. (5) “Residential property” has the meaning stated in Real Property Article, §3-104.1, Annotated Code of Maryland. (6) “Security instrument” means a mortgage, deed of trust, or any other instrument securing a mortgage loan. (7) Single Family Dwelling Unit. (a) “Single family dwelling unit” means a structure principally designed for the residential habitation of one family. (b) “Single family dwelling unit” includes an individual residential condominium unit within a larger structure or complex, regardless of the total number of individual units in that structure or complex. (c) “Single family dwelling unit” does not include a structure that: (i) Is not intended, and has never been used, for human habitation; or (ii) Is intended for human habitation, has never been occupied, but for which a use and occupancy permit, if required, has never been issued. (8) “Unique identifier” has the meaning stated in Financial Institutions Article, §11-601, Annotated Code of Maryland. #### Regulation .02 Information in Recorded Security Instrument. *COMAR 09.03.11.02* A. Licensee Information or Affidavit in Lieu of Licensee Information. (1) If a mortgage lender licensee is named in the promissory note or agreement evidencing a mortgage loan on a residential property that is secured by a security instrument to be recorded under Real Property Article, §3-104.1, Annotated Code of Maryland, the following information shall be filed with the security instrument: (a) The name of the mortgage lender licensee; and (b) The Maryland mortgage lender license number of the mortgage lender licensee or the NMLSR unique identifier of the mortgage lender licensee. (2) If a mortgage loan originator licensee originated the mortgage loan on residential property that is secured by a security instrument to be recorded under Real Property Article, §3-104.1, Annotated Code of Maryland, the following information shall be filed with the security instrument: (a) The name of the mortgage loan originator licensee; and (b) The Maryland mortgage loan originator license number of the mortgage loan originator licensee or the NMLSR unique identifier of the mortgage loan originator licensee. (3) A person exempt or excepted from the requirement to be licensed as a Maryland mortgage lender shall file an affidavit with the security instrument to be recorded in lieu of mortgage lender licensee information. (4) A person exempt or excepted from the requirement to be licensed as a Maryland mortgage loan originator, or that person's employer, shall file an affidavit with the security instrument to be recorded in lieu of mortgage loan originator licensee information. B. Information/Affidavit Form. (1) Persons filing licensee information or an affidavit in lieu of licensee information under this regulation shall use a form that is substantially the same as the following: (2) The affidavit recorded with a security instrument may be a duplicate of the original affidavit. (3) The person who employs the individual who originated a mortgage loan to be secured by the security instrument to be recorded may provide the affidavit recorded with the security instrument under this regulation on behalf of that employee. Licensee Information or Affidavit Filed in Accordance with Real Property Article, §3-104.1, Annotated Code of Maryland C. Location and Subsequent Filings. (1) Location. Except as provided in §C(2) of this regulation, the licensee information or affidavit shall be contained in a separate sheet to be attached to and recorded after the last page of the security instrument and immediately preceding the intake sheet. (2) Subsequent Filing. (a) If the licensee information or affidavit required by this regulation is not attached to the security instrument at the time the security instrument is recorded, the licensee information or affidavit may be recorded separately as a supplemental instrument, after the date the security instrument is recorded, by the deed of trust note holder, mortgagee, mortgage assignee, deed of trust beneficiary, or agent of any of the foregoing. (b) An amendment adding or correcting any information contained in the document filing required by this regulation may be recorded separately as a supplemental instrument, after the date the security instrument is recorded, by the deed of trust note holder, mortgagee, mortgage assignee, deed of trust beneficiary, or agent of any of the foregoing. (c) A subsequently filed document recorded under this subsection shall contain: (i) The date of the security instrument securing the mortgage loan; (ii) The address of the property subject to the security instrument securing the mortgage loan; (iii) The name of the parties to the security instrument securing the mortgage loan; (iv) The liber/book and folio/page number for the security instrument securing the mortgage loan; and (v) The original principal amount of the mortgage loan secured by the security instrument. (d) A subsequently filed document recorded under this subsection shall be acknowledged before a notary public. (e) The subsequent filing shall be indexed in the Grantor Index in the land records as to the grantor or mortgagor. ### Chapter 12 — Foreclosure Procedures for Residential Property **Authority:** Financial Institutions Article, §2-105.1; Real Property Article, §§7-105.1, 7-105.13, 7-105.14, and 7-105.18, Annotated Code of Maryland **Administrative History:** Effective date: December 29, 2008 (35:26 Md. R. 2248) **Administrative History:** Regulation .01B amended effective March 15, 2010 (37:5 Md. R. 428) **Administrative History:** Regulation .02A amended effective March 15, 2010 (37:5 Md. R. 428) **Administrative History:** Chapter revised as an emergency provision effective July 1, 2010 (37:15 Md. R. 986); emergency provision extended to 6/24/2011 (38:2 Md. R. 79); emergency provision extended to 11/24/2011 (38:14 Md. R. 787) **Administrative History:** Regulation .02C amended as an emergency provision effective November 26, 2010 (37:26 Md. R. 1784); emergency provision extended to 10/24/2011 (38:9 Md. R. 551); emergency provision expired **Administrative History:** Regulations .01—.03 repealed and new Regulations .01—.12 adopted as an emergency provision effective October 25, 2011 (38:23 Md. R. 1416); emergency provision extended to July 30, 2012 (39:3 Md. R. 256); emergency provision extended to January 15, 2013 (39:15 Md. R. 961); emergency provision expired October 1, 2012 (39:21 Md. R. 1376) **Administrative History:** Regulations .01—.03 repealed and new Regulations .01—.12 adopted as an emergency provision effective October 1, 2012 (39:21 Md. R. 1376); adopted permanently effective January 7, 2013 (39:26 Md. R. 1663) **Administrative History:** Regulation .01B amended effective February 1, 2015 (41:25 Md. R. 1552); July 3, 2017 (44:13 Md. R. 621); November 6, 2017 (44:22 Md. R. 633) **Administrative History:** Regulation .02B amended effective July 3, 2017 (44:13 Md. R. 621) **Administrative History:** Regulation .02B, D amended effective February 1, 2015 (41:25 Md. R. 1552) **Administrative History:** Regulation .08E adopted effective November 6, 2017 (44:22 Md. R. 1037) **Administrative History:** Regulation .09E amended effective July 1, 2016 (43:11 Md. R. 633) **Administrative History:** Chapter revised effective March 1, 2023 (49:26 Md. R. 1078) #### Regulation .01 Definitions. *COMAR 09.03.12.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Addressed envelope” means: (a) An envelope that is preprinted with the address where it should be delivered; (b) An envelope that contains a label with a preprinted address where it should be delivered; or (c) An envelope with a window that will accommodate a visible preprinted cover page that contains an address where the envelope should be delivered with instructions on how to use the cover page to display the address. (2) “Administrative law judge” has the meaning stated in COMAR 28.02.01.02(B)(1). (3) “Borrower” means: (a) A mortgagor; or (b) A grantor of a deed of trust. (4) “Commissioner” means the Commissioner of Financial Regulation in the Maryland Department of Labor. (5) “Date of default” means the first calendar day after the borrower has failed to meet the borrower's obligations under the terms of the debt instrument where the debt instrument characterizes that failure as a default. (6) “Debt instrument” means an agreement, promissory note, or other evidence of a mortgage loan. (7) “Federally related mortgage loan” has the meaning stated at 12 C.F.R. 1024.2. (8) “Final loss mitigation affidavit” has the meaning stated in Real Property Article, §7-105.1(a), Annotated Code of Maryland. (9) “Foreclosure mediation” has the meaning stated in Real Property Article, §7-105.1(a), Annotated Code of Maryland. (10) “Housing counseling services” has the meaning stated in Real Property Article, §7-105.1(a), Annotated Code of Maryland. (11) Inspection. (a) “Inspection” means a limited nonintrusive examination to determine occupancy status of a property. (b) “Inspection” may include, but is not limited to: (i) Physical survey of the property; or (ii) Review of loan documents, recorded instruments, court orders, public records, photos taken upon physical survey of the property, or other documents identifying loan type or ownership. (12) “Loss mitigation analysis” has the meaning stated in Real Property Article, §7-105.1(a), Annotated Code of Maryland. (13) “Loss mitigation program” has the meaning stated in Real Property Article, §7-105.1(a), Annotated Code of Maryland. (14) “Mediator” means the administrative law judge within the Office of Administrative Hearings who will serve as the neutral third party in a foreclosure mediation. (15) “Mortgage lender licensee” means a person licensed under Financial Institutions Article, §§11-501—11-524, Annotated Code of Maryland. (16) “Mortgage loan” means any loan or extension of credit secured by residential property. (17) “Mortgage loan originator licensee” means an individual licensed under Financial Institutions Article, §§11-601—11-618, Annotated Code of Maryland. (18) “Nationwide Mortgage Licensing System and Registry (NMLS)” has the meaning stated in Financial Institutions Article, §1-101, Annotated Code of Maryland. (19) Owner-Occupied Residential Property. (a) “Owner-occupied residential property” has the meaning stated in Real Property Article, §7-105.1(a), Annotated Code of Maryland. (b) “Owner-occupied residential property” does not include property secured by mortgage loans or other debt instruments if the borrower is: (i) One or more persons who have made a written statement in connection with the original loan application that the loan is for business or investment purposes; (ii) A corporation; (iii) A limited liability company; (iv) A joint venture; or (v) A partnership or a limited partnership. (20) “Person” has the meaning stated in Financial Institutions Article, §11-501(p), Annotated Code of Maryland. (21) “Postfile mediation” has the meaning stated in Real Property Article, §7-105.1(a), Annotated Code of Maryland. (22) “Prefile mediation” has the meaning stated in Real Property Article, §7-105.1(a), Annotated Code of Maryland. (23) “Preliminary loss mitigation affidavit” has the meaning stated in Real Property Article, §7-105.1(a), Annotated Code of Maryland. (24) “Record owner” has the meaning stated in Maryland Rule 14-202(n). (25) Representative of the Secured Party. (a) “Representative of the secured party” means a person who has representative authority to perform the duties and responsibilities of the secured party. (b) “Representative of the secured party” does not include an attorney acting solely as legal counsel on behalf of the secured party or on behalf of the representative of the secured party, unless specifically authorized to perform the duties and responsibilities of the secured party. (c) “Representative of the secured party” includes an attorney acting as trustee under a deed of trust. (26) “Residential property” has the meaning stated in Real Property Article, §7-105.1(a), Annotated Code of Maryland. (27) “Secured party” has the meaning stated in Maryland Rule 14-202(q). (28) Single Family Dwelling Unit. (a) “Single family dwelling unit” means a structure principally designed for the residential habitation of one family. (b) “Single family dwelling unit” includes an individual residential condominium unit within a larger structure or complex, regardless of the total number of individual units in that structure or complex. (c) “Single family dwelling unit” does not include a structure that: (i) Is not intended, and has never been used, for human habitation; or (ii) Is intended for human habitation and has never been occupied and for which a use and occupancy permit, if required, has never been issued. (29) “Unique identifier” has the meaning stated in Financial Institutions Article, §11-601, Annotated Code of Maryland. (30) “Vacant and abandoned” means a finding by the appropriate circuit court that a residential property is vacant and abandoned pursuant to Real Property Article, §7-105.18(c), Annotated Code of Maryland. #### Regulation .02 Notice of Intent to Foreclose. *COMAR 09.03.12.02* A. Subject to §§F, G, and H of this regulation, a person required to send a notice of intent to foreclose under Real Property Article, §7-105.1, Annotated Code of Maryland, shall send a notice of intent to foreclose, which shall fully conform with §B, C, or D of this regulation. B. Owner-Occupied Residential Property. (1) Subject to §C of this regulation, a notice of intent to foreclose on owner-occupied residential property shall be in a form substantially similar to that in: (a) Appendix A of this regulation if the loan is not a federally related mortgage loan; (b) Appendix A-f of this regulation if the loan is a federally related mortgage loan; or (c) With respect to a notice of intent to foreclose from a secured party offering prefile mediation for a loan that is not a federally related mortgage loan, Appendix A-1 of this regulation, as follows: (i) Appendix A-1 shall be accompanied in the same envelope or package by the packets of documents and forms substantially similar to Schedule 1 (Prefile Mediation Packet) and Schedule 2 (Loss Mitigation Packet) of Appendix A-1 of this regulation. (ii) Each of the documents and forms constituting Appendix A-1, Schedule 1, and Schedule 2 as required under subparagraph (i) of this paragraph shall be in the sequence of documents and forms presented in Appendix A-1, Schedule 1, and Schedule 2, respectively of this regulation. Appendix A-1 shall be the first in the sequence. Schedule 1 shall be the second in the sequence and shall be directly behind Appendix A-1. Schedule 2 shall be the third in the sequence and shall be directly behind Schedule 1. Appendix A-1, Schedule 1, and Schedule 2 shall be separated from each other by any reasonable method that ensures that the borrower can identify the forms and documents constituting each of Appendix A-1, Schedule 1, and Schedule 2. (iii) The Loss Mitigation Application and Instruction required in Schedule 2 of Appendix A-1 may be in the form authorized under Regulation .03 of this chapter. (d) With respect to a notice of intent to foreclose from a secured party offering prefile mediation for a loan that is a federally related mortgage loan, Appendix A-1(f) of this regulation, as follows: (i) Appendix A-1(f) shall be accompanied in the same envelope or package by the packets of documents and forms substantially similar to Schedule 1 (Prefile Mediation Packet) and Schedule 2 (Loss Mitigation Packet) of Appendix A-1(f) of this regulation. (ii) Each of the documents and forms constituting Appendix A-1(f), Schedule 1, and Schedule 2 as required under subparagraph (i) of this paragraph shall be in the sequence of documents and forms presented in Appendix A-1(f), Schedule 1, and Schedule 2, respectively. Appendix A-1(f) shall be the first in the sequence. Schedule 1 shall be the second in the sequence and shall be directly behind Appendix A-1(f), Schedule 2 shall be the third in the sequence and shall be directly behind Schedule 1. Appendix A-1(f), Schedule 1, and Schedule 2 shall be separated from each other by any reasonable method that ensures that the borrower can identify the forms and documents constituting each of Appendix A-1(f), Schedule 1, and Schedule 2. (iii) The Loss Mitigation Application and Instruction required in Schedule 2(f) of Appendix A-1(f) may be in the form authorized under Regulation .03 of this chapter. (2) For purposes of the notice set forth in §B(1) of this regulation, the names and license numbers of mortgage lender licensees and mortgage loan originator licensees are required to be included in the notice only if this information is included on or recorded with the security instrument securing the mortgage loan related to the notice, or is otherwise known to the person sending the notice. The person sending the notice set forth in §B(1) of this regulation may satisfy the requirement to include the license number of the mortgage lender licensee and mortgage loan originator licensee by including the NMLS unique identifier. If the mortgage lender was exempt from licensure under Financial Institutions Article, §11-501 et seq., Annotated Code of Maryland, at the time the mortgage loan was made, then a mortgage lender license number is not required under this section. If the mortgage loan originator was exempt from licensure under Financial Institutions Article, §11-601 et seq., Annotated Code of Maryland, at the time the mortgage loan was originated, then a mortgage lender license number is not required under this section. (3) The notice of intent to foreclose shall be accompanied in the same envelope or package by: (a) A loss mitigation application for loss mitigation programs that are applicable to the loan secured by the mortgage or deed of trust that is the subject of the notice. If the secured party does not have its own loss mitigation application, the secured party shall use the form of loss mitigation application set forth in Regulation .03 of this chapter; (b) Instructions for completing the loss mitigation application with a telephone number to call to confirm receipt by the secured party, or representative of the secured party, of the completed application; (c) A description of the eligibility requirements for the loss mitigation programs offered by the secured party that may be applicable to the loan secured by the mortgage or deed of trust that is the subject of the notice. If the mortgage loan is owned, securitized, insured, or guaranteed by the Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, or Federal Housing Administration, providing documentation to the borrower as required by those programs satisfies the requirement to provide a description of the eligibility requirement for the applicable loss mitigation program; and (d) An addressed envelope in conformity with Regulation .10 of this chapter addressed to the person (an individual, a group of individuals, or a department such a “loss mitigation department”) responsible for conducting the loss mitigation analysis on behalf of the secured party for the mortgage loan. C. If the basis for the authority to foreclose on the owner-occupied residential property is a homeowners’ association lien, condominium association lien, mechanic’s lien, a similar statutory or contractual lien, or a basis other than a mortgage loan default, a notice of intent to foreclose shall be in a form substantially similar to that in Appendix B of this regulation. D. Not an Owner-Occupied Residential Property. (1) A notice of intent to foreclose on residential property that is not an owner-occupied residential property shall be in a form substantially similar to that in Appendix C of this chapter if the loan is not a federally related mortgage loan. (2) A notice of intent to foreclose on residential property that is not an owner-occupied residential property shall be in a form substantially similar to that in Appendix C(f) of this chapter if the loan is a federally related mortgage loan. (3) A notice of intent to foreclose under §D(1) or (2) of this regulation shall be sent to the borrower and record owner only if the secured party, or representative of the secured party, has a reasonable belief that the residential property is not owner-occupied residential property. (4) If the borrower or record owner contests the determination that the residential property is not owner-occupied residential property, and it is determined that the residential property is owner-occupied residential property, the secured party shall send the appropriate notice of intent to foreclose in compliance with Real Property Article, §7-105.1, Annotated Code of Maryland, and this regulation. E. Any notice of intent to foreclose under this regulation may include a separate addendum, sequenced at the end of the notice of intent to foreclose, with any additional information, notice, or advice required as a prerequisite to commencing foreclosure by the terms of the deed of trust or mortgage that is the subject of the notice, government regulatory guidelines applicable to such deed of trust or mortgage or by the servicer, investor, or insurer of such deed of trust or mortgage, provided the additional information, notice, or advice does not contradict any information required to be contained in the notice of intent to foreclose. F. Filing Electronically. A person required to send the Commissioner a copy of a notice of intent to foreclose under Real Property Article, §7-105.1, Annotated Code of Maryland, shall meet that requirement by making an electronic submission within 5 business days of mailing a notice of intent to foreclose through the Maryland Foreclosure Registration System (the “System”). A link to the System is available on the Commissioner’s website at http://www.labor.maryland.gov/finance. G. The secured party, or representative of the secured party, shall include all information required in a form provided for under §B, C, or D of this regulation in the spaces indicated by brackets and blank lines. H. A notice of intent to foreclose that is sent in compliance with Real Property Article, §7-105.1, Annotated Code of Maryland, and is otherwise valid under the law, shall expire and will not be effective: (1) If, after 1 year from the date on which it is sent to the borrower, an action to foreclose the mortgage or deed of trust pursuant to such notice of intent to foreclose has not been filed; (2) If an action to foreclose the mortgage or deed of trust filed pursuant to such notice of intent to foreclose is dismissed by the appropriate adjudicative body; (3) If the borrower cures the default described in the notice of intent to foreclose and becomes current on payment, whether pursuant to the terms of the mortgage or deed of trust or a loss mitigation agreement entered into by the parties; (4) As provided for in Real Property Article, §7-105.1(d)(18), Annotated Code of Maryland; or (5) As provided for in §D(4) of this regulation. I. If a notice of intent to foreclosure expires and becomes ineffective as provided for in §H(1) of this regulation, the secured party shall send a new notice of intent to foreclose in compliance with Real Property Article, §7-105.1, Annotated Code of Maryland, and this regulation prior to filing an action to foreclose a mortgage or deed of trust on residential property. J. The Commissioner shall retain an electronic copy of all submissions made on the System for at least 6 months. #### Regulation .03 Loss Mitigation Application and Instructions. *COMAR 09.03.12.03* A secured party, or representative of the secured party, that does not have its own loss mitigation application shall use a loss mitigation application in a form substantially similar to that in Appendix G of this chapter. APPENDIX G IS AT THE END OF CHAPTER. #### Regulation .04 Prefile Mediation Process. *COMAR 09.03.12.04* A. A borrower who elects to accept a secured party's offer to participate in prefile mediation in accordance with Real Property Article §7-105.1, Annotated Code of Maryland, shall send to the secured party or the identified representative of the secured party the completed and signed application for prefile mediation included in Schedule 1 to Appendix A-1 within 25 days after the date on which the notice of intent to foreclose was mailed by the secured party. The instructions for the prefile mediation application shall include a telephone number to confirm receipt by the secured party or the secured party's representative of the application. B. Within 5 business days after the date on which the secured party or the identified representative of the secured party receives an application for prefile mediation from a borrower, the secured party or the representative of the secured party shall notify the Office of Administrative Hearings that the borrower has submitted an application for prefile mediation. The notification shall be in a form substantially similar to that in Appendix I of this regulation. C. The obligation of the Office of Administrative Hearings to schedule a mediation session arises upon the receipt of notice from the secured party required under §B of this regulation. D. The Office of Administrative Hearings shall conduct the mediation session within 60 days after the receipt of the notice required under §B of this regulation from the secured party unless a postponement, requested in accordance with Appendix OAH-2 of this chapter, is granted. E. The total fee for prefile mediation is $1. In accordance with instructions from the Department of Housing and Community Development, the secured party shall pay the full amount of the prefile mediation fee to the Housing Counseling and Foreclosure Mediation Fund established under Housing and Community Development Article, §4-507, Annotated Code of Maryland. The secured party may elect to pay the prefile mediation fee on behalf of the homeowner or collect all or any portion of the fee as part of the resolution of the mortgage loan through prefile mediation or foreclosure, as applicable. F. Good Faith and Fair Dealing. The secured party, or any representative of the secured party, has a duty of good faith and fair dealing in its participation at a prefile foreclosure mediation, including, but not limited to: (1) Providing the borrower with an accurate accounting of the debt owed; (2) Making the borrower aware of all loss mitigation options and services offered by the secured party; and (3) Pursuing loss mitigation when reasonably possible. #### Regulation .05 Preliminary Loss Mitigation Affidavit. *COMAR 09.03.12.05* A. Subject to §B of this regulation, a preliminary loss mitigation affidavit required by Real Property Article, §7-105.1(h)(3), Annotated Code of Maryland, and this chapter shall be in a form substantially similar to that in Appendix D of this regulation. B. The secured party, or representative of the secured party, shall include all information required in the form provided for under §A of this regulation in the spaces indicated by blank lines. #### Regulation .06 Final Loss Mitigation Affidavit. *COMAR 09.03.12.06* A. Subject to §B of this regulation, a final loss mitigation affidavit required by Real Property Article, §7-105.1(h)(4), Annotated Code of Maryland, and this chapter shall be in a form substantially similar to that in Appendix E of this regulation. B. The secured party, or representative of the secured party, shall include all information required in the form provided for under §A of this regulation in the spaces indicated by blank lines. #### Regulation .07 Notice of Foreclosure Action. *COMAR 09.03.12.07* A. Notice of Foreclosure Action to Accompany a Preliminary Loss Mitigation Affidavit. (1) A form substantially similar to that in Appendix H-1 of this regulation shall be used to comply with the notice of filing requirement when accompanying a preliminary loss mitigation affidavit, as well as an order to docket or complaint to foreclose, as required by Real Property Article, §7-105.1, Annotated Code of Maryland. (2) The form used under this regulation to comply with the notice of filing requirement to accompany a preliminary loss mitigation affidavit shall be the first in the sequence of papers and documents in the packet sent to the borrower. (3) The preliminary loss mitigation affidavit shall be the second in the sequence of papers and documents in the packet sent to the borrower and shall be directly behind the form used under this section. (4) The remainder of the papers and documents in the packet sent to the borrower may be in any other sequence. (5) The sequence requirements of §A(2) and (3) of this regulation apply only to the papers and documents sent to the borrower. B. Notice of Foreclosure Action to Accompany a Final Loss Mitigation Affidavit. (1) A form substantially similar to that in Appendix H-2 of this regulation shall be used to comply with the notice of filing requirement when accompanying a final loss mitigation affidavit and the form used under this chapter to request postfile mediation, as well as an order to docket or complaint to foreclose, as required by Real Property Article, §7-105.1, Annotated Code of Maryland. (2) The form used under this section to comply with the notice of filing requirement to accompany a final loss mitigation affidavit shall be the first in the sequence of papers and documents in the packet sent to the borrower, and shall be on yellow paper. (3) The form used under this chapter to request postfile mediation shall be the second in the sequence of papers and documents in the packet sent to the borrower and shall be directly behind the form used under this section. (4) The final loss mitigation affidavit shall be the third in the sequence of papers and documents in the packet sent to the borrower and shall be directly behind the form used under this chapter to request postfile mediation. (5) The remainder of the papers and documents in the packet sent to the borrower may be in any other sequence. (6) The sequence requirements of §B(2), (3), and (4) of this regulation apply only to the papers and documents sent to the borrower. C. Notice of Foreclosure Action with Respect to Borrowers Who Have Participated in Prefile Mediation. (1) A form substantially similar to that in Appendix H-3 of this regulation shall be used to comply with the notice of filing requirement when accompanying an order to docket or complaint to foreclose for owner-occupied residential property with respect to which the borrower has participated in prefile mediation that has not resulted in a prefile mediation agreement, as required by Real Property Article, §7-105.1, Annotated Code of Maryland. (2) A form substantially similar to that in Appendix H-4 of this regulation shall be used to comply with the notice of filing requirement when accompanying an order to docket or complaint to foreclose for owner-occupied residential property with respect to which the borrower has participated in prefile mediation that has resulted in a prefile mediation agreement, as required by Real Property Article, §7-105.1, Annotated Code of Maryland. D. Notice of Foreclosure Action for Non Owner-Occupied Properties. A form substantially similar to that in Appendix H-5 of this regulation shall be used to comply with the notice of foreclosure action requirement when accompanying an order to docket or complaint to foreclose with respect to a property that is not an owner-occupied residential property, as required by Real Property Article, §7-105.1, Annotated Code of Maryland. E. Notice of Foreclosure Action Based on a Certificate of Vacancy or a Certificate of Property Unfit for Human Habitation. (1) A form substantially similar to that in Appendix H-6 of this regulation shall be used to comply with the notice of filing requirement when accompanying an order to docket or complaint to foreclose based on a certificate of vacancy or a certificate of property unfit for human habitation pursuant to Real Property Article, §7-105.13, Annotated Code of Maryland. (2) The form used under this section to comply with the notice of filing requirement based on a certificate of vacancy or a certificate of property unfit for human habitation shall be the first in the sequence of papers and documents in the packet sent to the borrower, and shall be on yellow paper. (3) The form used under this chapter to describe the procedure to challenge a certificate of vacancy or certificate of property unfit for human habitation shall be the second in the sequence of papers and documents in the packet sent to the borrower and shall be directly behind the form used under this section. (4) The form used under this chapter to make a challenge to a certificate of vacancy or certificate of property unfit for human habitation shall be the third in the sequence of papers and documents in the packet sent to the borrower and shall be directly behind the form used to describe the procedure to challenge a certificate of vacancy or certificate of property unfit for human habitation. (5) The remainder of the papers and documents in the packet sent to the borrower may be in any other sequence. (6) The sequence requirements of §E(2), (3), and (4) of this regulation apply only to the papers and documents sent to the borrower. F. Notice of Foreclosure Action with Respect to Properties Found to Be Vacant and Abandoned. A form substantially similar to that in Appendix H-7 of this regulation shall be used to comply with the notice of filing requirement when accompanying an order to docket or complaint to foreclose with respect to a property that is vacant and abandoned. #### Regulation .08 Postfile Foreclosure Mediation. *COMAR 09.03.12.08* A. Subject to §B of this regulation, a request for postfile mediation required by Real Property Article, §7-105.1(h)(4), Annotated Code of Maryland, and this chapter shall be in a form substantially similar to that in Appendix F of this regulation. B. The secured party, or representative of the secured party, shall include all information required in the form provided for under §A of this regulation in the spaces indicated by blank lines. C. Good Faith and Fair Dealing. The secured party, or any representative of the secured party, has a duty of good faith and fair dealing in its participation at a postfile foreclosure mediation, including, but not limited to: (1) Providing the borrower with an accurate accounting of the debt owed; (2) Making the borrower aware of all loss mitigation options and services offered by the secured party; and (3) Pursuing loss mitigation when reasonably possible. #### Regulation .09 Office of Administrative Hearings. *COMAR 09.03.12.09* A. Borrower Information Worksheet and Instructions. (1) With respect to a scheduled prefile mediation session, the Office of Administrative Hearings shall provide the Borrower(s) Information Worksheet and the instructions regarding the documents and information that must be provided by each party to the other and to the Office of Administrative Hearings in a form substantially similar to that in Appendix OAH-1 of this regulation. (2) With respect to a scheduled postfile mediation session, the Office of Administrative Hearings shall provide the Borrower(s) Information Worksheet and the instructions regarding the documents and information that must be provided by each party to the other and to the Office of Administrative Hearings in a form substantially similar to that in Appendix OAH-2 of this regulation. B. Housing Counseling. (1) The certification of housing counseling shall be in the form, and shall be delivered to the Office of Administrative Hearings at the time, required by COMAR 05.19.02.02. (2) At the option of the secured party, a borrower who fails to deliver the housing counseling certification may sign a borrower certification of housing counseling in a form substantially similar to that in Appendix OAH-5 of this regulation. (3) At the option of the secured party, the secured party may waive the housing counseling certification at the prefile mediation session by signing the waiver of housing counseling in a form substantially similar to that in Appendix OAH-6 of this regulation. (4) Housing counseling services provided in accordance with Real Property Article, §7-105.1(d)(10), Annotated Code of Maryland, shall comply with the National Industry Standards for Foreclosure Counseling created by the Advisory Council for the National Industry Standards for Homeownership Education and Counseling. C. Mediation Checklist. (1) The mediation checklist required by Real Property Article, §7-105.1(d)(10), Annotated Code of Maryland, to be used in a prefile mediation shall be in a form substantially similar to that in Appendix OAH-3 of this regulation and may, as applicable, include Appendix OAH-5 or Appendix OAH-6 of this regulation. (2) The mediation checklist required by Real Property Article, §7-105.1(l), Annotated Code of Maryland, to be used in a postfile mediation shall be in a form substantially similar to that in Appendix OAH-4 of this regulation. D. Designee Language. Each mediation agreement resulting from prefile mediation shall include the following statements in 14 point, bold type: E. Appearance. (1) At a scheduled foreclosure mediation, the secured party, or a representative of the secured party, shall be present in person or by telephonic means for the entirety of the foreclosure mediation in accordance with COMAR 28.02.01.20B. (2) If the secured party, or a representative of the secured party, fails to appear for the entirety of the foreclosure mediation, then the secured party shall be deemed to have failed to appear pursuant to COMAR 28.02.01.23. (3) In the case of postfile mediation, if the mediator determines that a party fails to appear at a scheduled foreclosure mediation, then the mediator shall file a notice with the appropriate circuit court stating such a finding. (4) If the secured party, itself or through a representative of the secured party, is found by the mediator to have failed to appear at a scheduled foreclosure mediation, then the secured party may not schedule a foreclosure sale until: (a) The secured party, or a representative of the secured party, appears and participates in a foreclosure mediation; (b) The borrower withdraws the borrowers’ request to participate in the foreclosure mediation; or (c) The foreclosure action has been dismissed and a new foreclosure action is filed in full compliance with State law and this chapter. F. Mediation Documents and Information. (1) The Commissioner may allow the submission of information and documents required for the foreclosure mediation under this regulation by an electronic method. (2) Documents and information provided by one party to another and to the Office of Administrative Hearing as provided for in this regulation, shall be furnished timely and in an accessible and legible format. G. Postfile Mediation Agreement Terms. If the postfile mediation results in an agreement, including a conditional agreement, the Office of Administrative Hearings shall draft the postfile mediation agreement term sheet during the mediation session, and, at the conclusion of a postfile mediation session, the mediator and each party shall sign the term sheet. H. Mediation Outcome. (1) Pursuant to the time frame provided for in Real Property Article, §7-105.1(l)(4), Annotated Code of Maryland, the Office of Administrative Hearings shall file a report with the court that states the outcome of the request for foreclosure mediation that will include: (a) A statement as to whether the postfile mediation was held and, if not, the reasons why it was not held; (b) If applicable, a copy of the mediation checklist as provided for in this regulation; and (c) If applicable, the documented postfile mediation agreement term sheet provided for in §G of this regulation. (2) The Office of Administrative Hearings shall furnish a copy of the report provided for in Real Property Article, §7-105.1(l)(4), Annotated Code of Maryland, as described in this section, to each party that appears at the mediation. (3) The contents of the report filed by the Office of Administrative Hearings pursuant to Real Property Article, §7-105.1(l)(4), Annotated Code of Maryland, shall be privileged. #### Regulation .10 Addressed Envelope. *COMAR 09.03.12.10* A. The following addressed envelopes are required by this chapter and shall be in the form and include the information set forth in this regulation. B. Required Addressed Envelopes. (1) An addressed envelope accompanying the Notice of Intent to Foreclose shall be directed to the person responsible for conducting loss mitigation analysis on behalf of the secured party (the person may be an individual, a group of individuals, or a department such as a “loss mitigation department”). (2) An addressed envelope accompanying the Preliminary Loss Mitigation Affidavit (if applicable) shall be directed to the foreclosure attorney handling the foreclosure on behalf of the secured party. (3) The two addressed envelopes accompanying the Final Loss Mitigation Affidavit shall include: (a) In the case of the addressed envelope to be mailed to the clerk of the court with a request for postfile mediation: (i) The address of the Clerk of the Court; and (ii) The words “Request for Foreclosure Mediation” on the face of the addressed envelope in at least 14-point bold type; and (b) For the addressed envelope to be mailed to the foreclosure attorney in connection with a request for postfile mediation, the address of the foreclosure attorney handling the foreclosure on behalf of the secured party. C. A copy of any addressed envelope described in this regulation need not be filed with the Clerk of the Court. D. A secured party or representative of a secured party may include with Appendix A-1 addressed envelopes for any necessary notices or mailings by the borrower. #### Regulation .11 Time. *COMAR 09.03.12.11* In computing any period of time prescribed by this chapter, Maryland Rule 1-203 shall apply. #### Regulation .12 Filing of Duplicate Forms. *COMAR 09.03.12.12* Any affidavit, application, or other form submitted to a circuit court as required by this chapter may be a duplicate of the original affidavit, application, or other form. #### Regulation .13 Challenges to Certificates of Vacancy or Certificates of Unfitness for Human Habitation. *COMAR 09.03.12.13* A. A form substantially similar to that in Appendix J of this regulation shall be used to comply with the requirement to provide a description of the procedure to challenge a certificate of vacancy or certificate of property unfit for human habitation when accompanying an order to docket or complaint to foreclose based on a certificate of vacancy or a certificate of property unfit for human habitation pursuant to Real Property Article, §7-105.13, Annotated Code of Maryland. B. A form substantially similar to that in Appendix K of this regulation shall be used to comply with the requirement to provide the form to be used to make a challenge to a certificate of vacancy or certificate of property unfit for human habitation when accompanying an order to docket or complaint to foreclose based on a certificate of vacancy or a certificate of property unfit for human habitation pursuant to Real Property Article, §7-105.13, Annotated Code of Maryland. #### Regulation .14 Enforcement. *COMAR 09.03.12.14* The Commissioner may enforce the provisions of this chapter by exercising any of the powers provided under Financial Institutions Article, §§2-114—2-116, Annotated Code of Maryland. ### Chapter 13 — State Collection Agency Licensing Board — Fees **Authority:** Business Regulation Article, Title 7, Subtitle 1 and §§7-302, 7-302.1, and 7-306, Annotated Code of Maryland **Administrative History:** Effective date: October 3, 2011 (38:19 Md. R. 1147) **Administrative History:** Regulation .02 amended effective July 2, 2018 (45:13 Md. R. 664) #### Regulation .01 Purpose. *COMAR 09.03.13.01* This chapter is intended to carry out the provisions of Business Regulation Article, §§7-302 and 7-302.1, Annotated Code of Maryland. In particular, it is intended to set license-related fees to cover the actual documented direct and indirect costs of regulating collection agencies in accordance with the provisions of Business Regulation Article, Title 7, Annotated Code of Maryland. #### Regulation .02 Fees. *COMAR 09.03.13.02* A. Initial License Fee. The initial license fee required by Business Regulation Article, §§7-302(a) and 7-302.1, Annotated Code of Maryland, is $350 for a 1-year license term. B. Renewal Fee. The renewal fee required by Business Regulation Article, §7-306(b)(2), Annotated Code of Maryland, is $350 for a 1-year renewal term. ### Chapter 14 — Money Transmitters **Authority:** Business Regulation Article, §2-105; Financial Institutions Article, §§2-105.1, 12-401, and 12-403, Annotated Code of Maryland **Administrative History:** Effective date: May 27, 2013 (40:10 Md. R. 916) **Administrative History:** Chapter revised effective December 11, 2023 (50:24 Md. R. 1041) #### Regulation .01 Definitions. *COMAR 09.03.14.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Acting in concert” means persons knowingly acting together with a common goal of jointly acquiring control of a licensee whether or not pursuant to an express agreement. (2) “Authorized delegate” has the meaning stated in Financial Institutions Article, §12-401, Annotated Code of Maryland. (3) “Bank Secrecy Act” means the Bank Secrecy Act, 31 U.S.C. §5311, et seq. and its implementing regulations, as amended and recodified from time to time. (4) “Closed loop stored value” means stored value that is redeemable by the issuer only for goods or services provided by the issuer or its affiliate or franchisees of the issuer or its affiliate, except to the extent required by applicable law to be redeemable in cash for its cash value. (5) “Control” means: (a) The power to vote, directly or indirectly, at least 25 percent of the outstanding voting shares or voting interests of a licensee or person in control of a licensee; (b) The power to elect or appoint a majority of key individuals or executive officers, managers, directors, trustees, or other persons exercising managerial authority of a person in control of a licensee; or (c) The power to exercise, directly or indirectly, a controlling influence over the management or policies of a licensee or person in control of a licensee. (6) “Corporate governance” means the management structure of the licensee and the processes by which the business is managed, including the corporate controls, rules, policies, processes, and practices used to oversee and manage the institution. (7) “Eligible rating” means a credit rating of any of the three highest rating categories provided by an eligible rating service, whereby each category may include rating category modifiers such as “plus” or “minus” for S&P, or the equivalent for any other eligible rating service. (8) “Eligible rating service” means any Nationally Recognized Statistical Rating Organization (NRSRO) as defined by the U.S. Securities and Exchange Commission, and any other organization designated by the Commissioner. (9) “External audit” means the formal report prepared by an independent certified public accountant expressing an opinion on whether the financial statements are presented fairly, in all material aspects, in accordance with the applicable financial reporting framework, and is inclusive of an evaluation of the adequacy of a company’s internal control structure. (10) “Federally insured depository financial institution” means a bank, credit union, savings and loan association, trust company, savings association, savings bank, industrial bank, or industrial loan company organized under the laws of the United States or any state of the United States, if that bank, credit union, savings and loan association, trust company, savings association, savings bank, industrial bank, or industrial loan company has federally insured deposits. (11) “In this State” means: (a) For a transaction requested in person, at a physical location within Maryland; and (b) For a transaction requested electronically or by phone, the provider of money transmission may determine if the person requesting the transaction is “in this State” by relying on other information provided by the person regarding the location of the individual’s residential address or a business entity’s principal place of business or other physical address location, and any records associated with the person that the provider of money transmission may have that indicate that location, including but not limited to an address associated with an account. (12) “Individual” means a natural person. (13) “Internal audit” means the internal independent and objective assurance and consulting activity performed to evaluate and improve the effectiveness of a licensee’s operations, risk management, internal controls, and governance processes. (14) “Key individual” means any individual ultimately responsible for establishing or directing policies and procedures of the licensee, such as an executive officer, manager, director, or trustee. (15) “Licensee” has the meaning stated in Financial Institutions Article, §12-401, Annotated Code of Maryland. (16) “Maryland Money Transmission Act” means Financial Institutions Article, Title 12, Subtitle 4, Annotated Code of Maryland. (17) “Material litigation” has the meaning stated in Financial Institutions Article, §12-401, Annotated Code of Maryland. (18) “Monetary value” means a medium of exchange, whether or not redeemable in money. (19) Money Transmission. (a) “Money transmission” has the meaning stated in Financial Institutions Article, §12-401, Annotated Code of Maryland. (b) “Money transmission” includes a payroll processing service. (20) “MSB accredited state” means a state agency that is accredited by the Conference of State Bank Supervisors and Money Transmitter Regulators Association for money transmission licensing and supervision. (21) “Multistate licensing process” means any agreement entered into by and among state regulators relating to coordinated processing of applications for money transmission licenses, applications for the acquisition of control of a licensee, control determinations, or notice and information requirements for a change of key individuals. (22) “NMLS” has the meaning stated in Financial Institutions Article, §1-101, Annotated Code of Maryland. (23) “Outstanding money transmission obligations” has the meaning assigned to the term “outstanding money transmission” in Financial Institutions Article, §12-401, Annotated Code of Maryland. (24) “Passive investor” means a person that: (a) Does not have the power to elect a majority of key individuals or executive officers, managers, directors, trustees, or other persons exercising managerial authority of a person in control of a licensee; (b) Is not employed by and does not have any managerial duties of the licensee or person in control of a licensee; (c) Does not have the power to exercise, directly or indirectly, a controlling influence over the management or policies of a licensee or person in control of a licensee; and (d) Either: (i) Attests to §B(24)(a)—(c) of this regulation, in a form and in a medium prescribed by the Commissioner; or (ii) Commits to the passivity characteristics of §B(24)(a)—(c) of this regulation in a written document. (25) Payment Instrument. (a) “Payment instrument” has the meaning stated in Financial Institutions Article, §12-401, Annotated Code of Maryland. (b) “Payment instrument” does not include prepaid access or any instrument that is: (i) Redeemable by the issuer only for goods or services provided by the issuer or its affiliate or franchisees of the issuer or its affiliate, except to the extent required by applicable law to be redeemable in cash for its cash value; or (ii) Not sold to the public but issued and distributed as part of a loyalty, rewards, or promotional program. (26) Payroll Processing Services. (a) “Payroll processing services” means receiving money for transmission pursuant to a contract with a person to deliver wages or salaries, make payment of payroll taxes to state and federal agencies, make payments relating to employee benefit plans, or make distributions of other authorized deductions from wages or salaries. (b) “Payroll processing services” does not include an employer performing payroll processing services on its own behalf or on behalf of its affiliate. (27) “Person” has the meaning stated in Financial Institutions Article, §1-101, Annotated Code of Maryland. (28) Prepaid Access. (a) “Prepaid access” has the meaning stated in Financial Institutions Article, §12-401, Annotated Code of Maryland. (b) “Prepaid access” includes, but is not limited to, “prepaid access” as defined by 31 CFR §1010.100, as amended or recodified from time to time. (c) Prepaid access does not include a payment instrument or closed loop stored value, or stored value not sold to the public but issued and distributed as part of a loyalty, rewards, or promotional program. (29) “Receiving money for transmission” or “money received for transmission” means receiving money or monetary value in the United States for transmission within or outside the United States by electronic or other means. (30) “Risk management program” means the policies, procedures, and internal controls designed to identify, measure, monitor and mitigate risk. (31) “Tangible net worth” means the aggregate assets of a licensee, excluding all intangible assets, less liabilities, as determined in accordance with United States generally accepted accounting principles. #### Regulation .02 Examination Fees. *COMAR 09.03.14.02* A. This chapter is intended to set fees to cover the reasonably incurred costs of examinations of a licensee or its authorized delegate pursuant to Financial Institutions Article, §12-424(c), Annotated Code of Maryland. B. The Commissioner of Financial Regulation sets the following daily fees for each of the Commissioner's employees engaged in the examination of a licensee or its authorized delegate: (1) $300 per day for an employee serving in a position of Financial Regulation Non-Depository Examiner in the Office of the Commissioner; and (2) $375 per day for an employee serving in a position of Financial Regulation Non-Depository Examiner Supervisor in the Office of the Commissioner. C. A licensee or its authorized delegate shall reimburse each of the Commissioner's employees engaged in on-site examination for travel, meal, lodging, and other related travel expenses using the criteria and at the rates set forth in the Standard State Travel Regulations. D. The revenues collected from the fees set pursuant to these regulations shall be deposited in the Money Transmission Fund pursuant to Financial Institutions Article, §12-404, Annotated Code of Maryland. #### Regulation .03 Persons Not Engaging in Money Transmission. *COMAR 09.03.14.03* A. In accordance with the Maryland Money Transmission Act, the following persons are not engaging in money transmission when engaging in the activities described: (1) An operator of a payment system when providing processing, clearing, or settlement services, between or among persons exempted under the Maryland Money Transmission Act or licensees, in connection with wire transfers, credit card transactions, debit card transactions, stored-value transactions, automated clearing house transfers, or similar funds transfers. (2) A person appointed as an agent of a payee when collecting and processing a payment from a payor to the payee for goods or services, other than money transmission itself, provided to the payor by the payee, if: (a) There exists a written agreement between the payee and the agent directing the agent to collect and process payments from payors on the payee’s behalf; (b) The terms of the written agreement required by §A(2)(a) of this regulation are consistent with a principal’s appointment of an agent under Maryland law; (c) The payee holds the agent out to the public as accepting payments for goods or services on the payee’s behalf; (d) Payment for the goods and services is treated as received by the payee upon receipt by the agent so that the payor’s obligation is extinguished and there is no risk of loss to the payor if the agent fails to remit the funds to the payee; (e) The agent is not serving in an escrow capacity in connection with the transaction; (f) The agent is not acting as agent to more than one party in the transaction; and (g) Payment by the agent to the payee occurs promptly and is not conditioned on the occurrence of any future event or performance by any party to the transaction. (3) A person that acts as an intermediary by processing payments between an entity that has directly incurred an outstanding money transmission obligation to a sender, and the sender’s designated recipient, if that the entity: (a) Is properly licensed or exempt from licensing requirements under the Maryland Money Transmission Act; (b) Provides a receipt, electronic record, or other written confirmation to the sender identifying the entity as the provider of money transmission in the transaction; and (c) Bears sole responsibility to satisfy the outstanding money transmission obligation to the sender, including the obligation to make the sender whole in connection with any failure to transmit the funds to the sender’s designated recipient. (4) A person expressly appointed as a third-party service provider to or agent of an entity exempt under the Maryland Money Transmission Act solely to the extent that: (a) That service provider or agent is acting on behalf of and pursuant to a written agreement with the exempt entity sets forth the specific functions that the service provider or agent is to perform; and (b) The exempt entity assumes all risk of loss and all legal responsibility for satisfying the outstanding money transmission obligations owed to purchasers and holders of the outstanding money transmission obligations upon receipt of the purchaser’s or holder’s money or monetary value by the service provider or agent. B. The Commissioner may require that any person claiming to be either exempt from licensing pursuant to the Maryland Money Transmission Act or engaging in one or more activities not constituting money transmission pursuant to §A of this regulation provide information and documentation to the Commissioner demonstrating that it qualifies for any claimed exemption or is not engaged in activities constituting money transmission. #### Regulation .04 Relationship to Federal Law. *COMAR 09.03.14.04* A. If State money transmission jurisdiction is conditioned on a federal law, any inconsistencies between a provision of the Maryland Money Transmission Act and the federal law governing money transmission shall be governed by the applicable federal law to the extent of the inconsistency. B. If any inconsistencies exist between the Maryland Money Transmission Act and a federal law that governs pursuant to this regulation, the Commissioner may provide interpretive guidance that: (1) Identifies the inconsistency; and (2) Identifies the appropriate means of compliance with federal law. #### Regulation .05 Application for License. *COMAR 09.03.14.05* A. In addition to the requirements set forth in Financial Institutions Article, §12-407, Annotated Code of Maryland, applications for a license shall contain at a minimum and as applicable: (1) The legal name and residential and business addresses of the applicant and any fictitious or trade name used by the applicant in conducting its business; (2) A list of any criminal convictions of the applicant and any material litigation in which the applicant has been involved in the 10-year period next preceding the submission of the application; (3) A description of any money transmission previously provided by the applicant and the money transmission that the applicant seeks to provide in this State; (4) A list of the applicant’s proposed authorized delegates and the locations in this State where the applicant and its authorized delegates propose to engage in money transmission; (5) A list of other states in which the applicant is licensed to engage in money transmission and any license revocations, suspensions, or other disciplinary action taken against the applicant in another state; (6) Information concerning any bankruptcy or receivership proceedings affecting the licensee or a person in control of a licensee; (7) A sample form of contract for authorized delegates, if applicable; (8) A sample form of payment instrument or stored value, as applicable; (9) The name and address of any federally insured depository financial institution through which the applicant plans to conduct money transmission; and (10) Any other information the Commissioner reasonably requires with respect to the applicant. B. In addition to the requirements set forth in Financial Institutions Article, §12-407, Annotated Code of Maryland, if an applicant is a corporation, limited liability company, partnership, or other legal entity, the applicant shall also provide: (1) The date of the applicant’s incorporation or formation and state or country of incorporation or formation; (2) If applicable, a certificate of good standing from the state or country in which the applicant is incorporated or formed; (3) A brief description of the structure or organization of the applicant, including any parents or subsidiaries of the applicant, and whether any parents or subsidiaries are publicly traded; (4) The legal name, any fictitious or trade name, all business and residential addresses, and the employment, as applicable, in the 3-year period next preceding the submission of the application of each key individual and person in control of the applicant; (5) A list of any criminal convictions and material litigation in which a person in control of the applicant that is not an individual has been involved in the 3-year period preceding the submission of the application; (6) A copy of audited financial statements of the applicant for the most recent fiscal year and for the 2-year period next preceding the submission of the application or, if the audited statements are not available for good cause and the Commissioner determines the Commissioner can make findings necessary to grant or deny the license, certified unaudited financial statements for the most recent fiscal year or other period acceptable to the Commissioner; (7) A certified copy of unaudited financial statements of the applicant for the most recent fiscal quarter; (8) If the applicant is a publicly traded corporation, a copy of the most recent report filed with the United States Securities and Exchange Commission under §13 of the federal Securities Exchange Act of 1934, 15 U.S.C. §78m, as amended or recodified from time to time; (9) If the applicant is a wholly owned subsidiary of: (a) A corporation publicly traded in the United States, a copy of audited financial statements for the parent corporation for the most recent fiscal year or a copy of the parent corporation’s most recent report filed under §13 of the U.S. Securities Exchange Act of 1934, 15 U.S.C. §78m, as amended or recodified from time to time; or (b) A corporation publicly traded outside the United States, a copy of similar documentation filed with the regulator of the parent corporation’s domicile outside the United States; (10) The name and address of the applicant’s registered agent in this State; and (11) Any other information the Commissioner reasonably requires with respect to the applicant. C. The Commissioner may waive or modify the requirement to produce audited financial statements in Financial Institutions Article, §12-407, Annotated Code of Maryland, if: (1) The applicant cannot produce audited financial statements required by Financial Institutions Article, §12-407, Annotated Code of Maryland; (2) The Commissioner determines good cause exists for the applicant’s inability to produce audited financial statements required by Financial Institutions Article, §12-407, Annotated Code of Maryland; (3) The applicant produces certified unaudited financial statements for the most recent fiscal year or other period required by the Commissioner; and (4) The Commissioner determines the Commissioner can make findings necessary to grant or deny the license based on all information presented. D. The Commissioner may waive one or more requirements of this regulation or permit an applicant to submit other information in lieu of the required information. E. Applications. (1) The Commissioner shall approve or deny an application for an initial license, a renewal license, or a license amendment within 60 days after the Commissioner receives a completed application, including, if applicable, a surety bond and all required fees. (2) If the Commissioner notifies an applicant that an application for an initial license, a renewal license, or a license amendment is incomplete, the Commissioner shall itemize the steps that the applicant must take to complete the application. (3) The application for an initial license, a renewal license, or a license amendment may not be approved until after the applicant completes all steps identified in the Commissioner’s notice. (4) If an application for an initial license, a renewal license, or license amendment is incomplete when submitted and remains incomplete, the Commissioner may stop processing and consider the incomplete application withdrawn, if the Commissioner has previously notified the applicant of the basis for incompleteness in accordance with §E(2) of this regulation, and given the applicant not less than 15 days to correct the incompleteness. F. Trade Names. (1) Prior to a licensee’s use of a trade name to engage in the business of money transmission in Maryland, the licensee shall: (a) Register the trade name with the Maryland Department of Assessments and Taxation; and (b) Obtain the approval of the Commissioner for the use of the trade name by: (i) Designating on an original license application, a license renewal application, or an amendment to an existing license, through NMLS, any trade name under which the licensee will engage in the business of money transmission in this State; and (ii) Specifying on an original license application, a license renewal application, or an amendment to an existing license, through NMLS, which licensed locations will utilize the trade name. (2) At all times after obtaining the approval of the Commissioner for the use of the trade name, a licensee shall maintain registration of the trade name in accordance with the requirements of Corporations and Associations Article, §1-406, Annotated Code of Maryland, and accompanying regulations. (3) A licensee shall immediately notify the Commissioner if the licensee amends, cancels, or otherwise fails to renew the registration of a trade name which the Commissioner has approved previously. #### Regulation .06 Information Requirements for Certain Individuals. *COMAR 09.03.14.06* A. Any individual in control of a licensee or applicant, any individual that seeks to acquire control of a licensee, and each key individual shall furnish to the Commissioner through NMLS the following items: (1) The individual’s fingerprints for submission to the Federal Bureau of Investigation and the Commissioner for purposes of a national criminal history background check unless the person currently resides outside of the United States and has resided outside of the United States for the last 10 years; and (2) Personal history and experience in a form and in a medium prescribed by the Commissioner, to obtain the following: (a) An independent credit report from a consumer reporting agency unless the individual does not have a Social Security number, in which case, this requirement shall be waived; (b) Information related to any criminal convictions or pending charges; and (c) Information related to any regulatory or administrative action and any civil litigation involving claims of fraud, misrepresentation, conversion, mismanagement of funds, breach of fiduciary duty, or breach of contract. B. If the individual has resided outside of the United States at any time in the last 10 years, the individual shall also provide an investigative background report prepared by an independent search firm that meets the following requirements: (1) At a minimum, the search firm: (a) Shall demonstrate that it has sufficient knowledge, resources, and employs accepted and reasonable methodologies to conduct the research of the background report; and (b) May not be affiliated with or have an interest with the individual it is researching. (2) At a minimum, the investigative background report shall be written in the English language and shall contain the following: (a) If available in the individual’s current jurisdiction of residency, a comprehensive credit report, or any equivalent information obtained or generated by the independent search firm to accomplish that report, including a search of the court data in the countries, provinces, states, cities, towns, and contiguous areas where the individual resided and worked; (b) Criminal records information for the past 10 years, including, but not limited to, felonies, misdemeanors, or similar convictions for violations of law in the countries, provinces, states, cities, towns, and contiguous areas where the individual resided and worked; (c) Employment history; (d) Media history, including an electronic search of national and local publications, wire services, and business applications; and (e) Financial services-related regulatory history, including but not limited to money transmission, securities, banking, insurance, and mortgage-related industries. #### Regulation .07 Multistate Licensing Process. *COMAR 09.03.14.07* A. If an applicant for licensure under the Maryland Money Transmission Act avails itself or is otherwise subject to a multistate licensing process: (1) Subject to §B of this regulation, the Commissioner’s investigation of the applicant under Financial Institutions Article, §12-409, Annotated Code of Maryland, may include the investigation results of a lead investigative state; or (2) If Maryland is a lead investigative state, the Commissioner may investigate the applicant pursuant to Financial Institutions Article, §12-409, Annotated Code of Maryland, and the timeframes established by agreement through the multistate licensing process, except that, in no case shall the timeframe be noncompliant with the application period in Financial Institutions Article, §12-409, Annotated Code of Maryland. B. The Commissioner’s investigation of the applicant under Financial Institutions Article, §12-409, Annotated Code of Maryland, may include the investigation results of a lead investigative state if: (1) The Commissioner reasonably determines that the lead investigative state possesses licensing and supervision authority over money transmission in its state substantially similar to the licensing and supervision authority of the Commissioner over money transmission in Maryland; (2) The Commissioner reasonably determines that the investigation of the lead investigative state adequately addresses the applicant’s financial condition and responsibility, financial and business experience, character, and general fitness; (3) The Commissioner reasonably determines the lead investigative state has sufficient staffing, expertise, and minimum standards for the purposes of investigating an applicant for a license permitting money transmission; and (4) The Commissioner supplements the investigation of the lead investigative state with any information the Commissioner considers relevant. #### Regulation .08 Corporate Governance. *COMAR 09.03.14.08* A. A licensee shall establish, document, and maintain sufficient corporate governance, as follows: (1) Each element of a licensee’s corporate governance shall be commensurate with the size, operational complexity, and overall risk profile of the licensee. (2) For purposes of this regulation, the operational complexity and risk profile of a licensee shall, in part, be defined by the results of regulatory examinations, any external audits, and internal audits. (3) A licensee bears the burden of demonstrating to the Commissioner that its corporate governance is sufficient and commensurate with its size, operational complexity, and overall risk profile. (4) A licensee’s corporate governance shall, at a minimum, include: (a) Clearly defined responsibilities and accountability; (b) Internal controls, policies, processes, and practices for monitoring, testing, and ensuring compliance with the corporate governance framework; (c) Internal controls, policies, processes, and practices for training of employees on corporate governance requirements; and (d) Internal controls, policies, processes, and practices addressing internal audits, external audits, and risk management as set forth in §§B—D of this regulation. (5) Each licensee shall, not less than annually, conduct a review of its corporate governance to determine its overall effectiveness, address emerging risks and otherwise assure that the corporate governance remains commensurate with the size, operational complexity, and overall risk profile of the licensee. (6) Any documentation, controls, policies, procedures, requirements, audits, reports, or other materials included in this regulation shall be made available to the Commissioner upon the Commissioner’s request. B. Internal Audit. (1) A licensee shall establish internal audit requirements that are appropriate for the size, complexity, and risk profile of the licensee. (2) Unless impracticable given the size of the licensee, internal audit functions shall be performed by employees of the licensee who report to the licensee’s owners or board of directors and who are not otherwise supervised by the persons who directly manage the activities being reviewed. (3) Employees performing internal audit functions shall have sufficient knowledge, training, and resources to provide a reliable evaluation of the licensee’s operations, risk management, internal controls, and governance processes. C. External Audit. (1) If the Commissioner determines, based on the size, operational complexity, and overall risk profile of the licensee, that an external audit is appropriate, the Commissioner may direct a licensee to receive an external audit. (2) If the Commissioner directs a licensee to receive an external audit, that external audit shall include: (a) Annual financial statements including a balance sheet, statement of operations (income statement), and cash flows, including notes and supplemental schedules prepared in accordance with generally accepted accounting principles; (b) Assessment of the internal control structure; (c) Computation of tangible net worth; (d) Validation of permissible investments; (e) Verification of adequate fidelity and errors and omissions (E&O) insurance; (f) Testing of controls related to risk management activities, including compliance and stress testing, if applicable; and (g) Any other element the Commissioner considers appropriate. (3) Nothing in this regulation is intended to abrogate a requirement of a licensee to receive an external audit under any other law, rule, regulation, or by-law, policy, or procedure of the licensee. D. Risk Management. (1) A licensee shall at all times maintain a risk management program that identifies, measures, monitors, and controls risk sufficient for the size, operational complexity, and overall risk profile of the licensee. (2) The risk management program shall have appropriate processes and models in place to measure, monitor, and mitigate financial risks and changes to the risk profile of the licensee. (3) Evidence of risk management activities throughout the year shall be maintained, including findings of issues and the response to address those findings. E. Authority to Address Risk as Necessary. If risk is determined by a formal review of a licensee to be extremely high, the Commissioner may order or direct the licensee to satisfy additional conditions necessary to ensure that the licensee will continue to operate in a safe and sound manner and be able to continue to engage in the business of money transmission in compliance with state and federal law and regulation. #### Regulation .09 Maintenance of License. *COMAR 09.03.14.09* A. If a licensee does not continue to meet the qualifications or satisfy the requirements that apply to an applicant for a new license, the Commissioner may suspend or revoke the licensee’s license in accordance with the procedures established under the Maryland Money Transmission Act. B. An applicant for a license shall demonstrate that it meets or will meet, and a money transmission licensee shall at all times meet, the requirements in Regulation .18 of this chapter. #### Regulation .10 Acquisition of Control and Change of Key Individual. *COMAR 09.03.14.10* A. Any person, or group of persons acting in concert, seeking to acquire control of a licensee shall comply with Financial Institutions Article, §12-415, Annotated Code of Maryland. B. Any person, or group of persons acting in concert, seeking the Commissioner’s approval under Financial Institutions Article, §12-415, Annotated Code of Maryland, to acquire control of a licensee shall, in cooperation with the licensee, submit an application in a form and in a medium prescribed by the Commissioner, together with any information the Commissioner requires or requests. C. The application required by this regulation shall include information required by Regulation .06 of this chapter for any new key individuals that have not previously completed the requirements of Regulation .06 of this chapter for a licensee. D. When an application for acquisition of control under this regulation appears to include all the items and address all matters that are required, the application shall be considered complete, and the Commissioner shall promptly notify the applicant in a record of the date on which the application was determined to be complete and: (1) Except as provided in Financial Institutions Article, §12-415(b)(2) or (3)(ii), Annotated Code of Maryland: (a) The Commissioner shall approve or deny the application within 60 days after the completion date; or (b) If the application is not approved or denied within 60 days after the completion date: (i) The application is approved; and (ii) The person, or group of persons acting in concert, are not prohibited from acquiring control. (2) The Commissioner may for good cause extend the application period. E. A determination by the Commissioner that an application is complete and is accepted for processing means only that the application, on its face, appears to include all the items and address all the matters that are required, and is not an assessment of the substance of the application or of the sufficiency of the information provided. F. When an application is filed and considered complete under this regulation, the Commissioner shall investigate the financial condition and responsibility, financial and business experience, character, and general fitness of the person, or group of persons acting in concert, seeking to acquire control. The Commissioner shall approve an acquisition of control pursuant to this regulation if the Commissioner finds that all of the following conditions have been fulfilled: (1) The requirements of §§B and C of this regulation have been met, as applicable; (2) Following the change in control, the financial condition and responsibility, financial and business experience, competence, character, and general fitness of the licensee will remain consistent with State licensure requirements; and (3) That it is in the interest of the public to permit the person, or group of persons acting in concert, to control the licensee. G. Under the following circumstances, the Commissioner may consider the investigation of an applicant by another State: (1) If an applicant avails itself or is otherwise subject to a multistate licensing process: (a) Subject to §G(2) of this regulation, the Commissioner’s investigation of the applicant under §F of this regulation may include the investigation results of a lead investigative state; or (b) If Maryland is a lead investigative state, the Commissioner may investigate the applicant pursuant to §F of this regulation and the timeframes established by agreement through the multistate licensing process, except that, in no case shall the timeframe be noncompliant with the application period in Financial Institutions Article, §12-415, Annotated Code of Maryland. (2) The Commissioner’s investigation of the applicant under §F of this regulation may include the investigation results of the lead investigative state under §G(1)(a) of this regulation if: (a) The Commissioner reasonably determines that the lead investigative state possesses licensing and supervision authority over money transmission in its state substantially similar to the licensing and supervision authority of the Commissioner over money transmission Maryland; (b) The Commissioner reasonably determines that the lead investigative state adequately addresses the applicant’s anticipated financial condition and responsibility, financial and business experience, character, and general fitness following the proposed change of control; (c) The Commissioner reasonably determines the lead investigative state has sufficient staffing, expertise, and minimum standards for the purposes of investigating a change of control application; and (d) The Commissioner supplements the investigation of the lead investigative state with any information the Commissioner considers relevant. H. The Commissioner shall issue a formal written notice of the denial of an application to acquire control within 30 days of the decision to deny the application. The Commissioner shall set forth in the notice of denial the specific reasons for the denial of the application. A licensee whose application is denied by the Commissioner under this regulation may request a hearing within 30 days after receipt of the written notice of the denial pursuant to State Government Article, §10-207, Annotated Code of Maryland. I. The requirements of Financial Institutions Article, §12-415, Annotated Code of Maryland, as applied to a change of control of a licensee and as provided for in §§A and B of this regulation do not apply to any of the following: (1) A person that acts as a proxy for the sole purpose of voting at a designated meeting of the shareholders or holders of voting shares or voting interests of a licensee or a person in control of a licensee; (2) A person that acquires control of a licensee as a personal representative, custodian, guardian, conservator, or trustee, or as an officer appointed by a court of competent jurisdiction or by operation of law; (3) A public offering of securities of a licensee or a person in control of a licensee, except that, if a single person or group of persons acting in concert acquire control of the licensee as a result of the public offering, the licensee shall obtain the Commissioner’s approval under Financial Institutions Article, §12-415, Annotated Code of Maryland, and this regulation; or (4) An internal reorganization of a person in control of the licensee if the ultimate person in control of the licensee remains the same. J. Persons in §I(2)—(4) of this regulation in cooperation with the licensee shall notify the Commissioner within 15 days after the acquisition of control. K. Streamlined Acquisition of Control. (1) The requirements of Financial Institutions Article, §12-415, Annotated Code of Maryland, as applied to a change of control of a licensee shall be considered satisfied and no application under §B of this regulation will be required of a person that has complied with and received approval to engage in money transmission under the Maryland Money Transmission Act or was identified as a person in control in a prior application filed with and approved by the Commissioner or by an MSB accredited state pursuant to a multistate licensing process, if: (a) The person has not had a license revoked or suspended or controlled a licensee that has had a license revoked or suspended while the person was in control of the licensee in the previous 5 years; (b) If the person is a licensee, the person is well managed and has received at least a satisfactory rating for compliance at its most recent examination by an MSB accredited state if that rating was given; (c) The licensee to be acquired is projected to meet the qualifications for licensure under the Maryland Money Transmission Act, including the requirements of Regulation .18 of this chapter, after the acquisition of control is completed, and if the person acquiring control is a licensee, that licensee is also projected to meet the qualifications for licensure under the Maryland Money Transmission Act, including the requirements of Regulation .18 of this chapter, after the acquisition of control is completed; (d) The licensee to be acquired will not implement any material changes to its business plan as a result of the acquisition of control, and if the person acquiring control is a licensee, that licensee also will not implement any material changes to its business plan as a result of the acquisition of control; (e) The person provides notice of the acquisition in cooperation with the licensee and attests to §K(1)(a)—(d) of this regulation in a form and in a medium prescribed by the Commissioner; and (f) The person provides the Commissioner with any additional information the Commissioner requests in connection with the notice. (2) If the Commissioner requests additional information in connection with a notice, the notice may not be considered complete until that information is provided to the Commissioner. (3) If the notice is not disapproved within 30 days after the date on which the notice was determined to be complete, the notice is considered approved. (4) A licensee whose notice is disapproved by the Commissioner under this regulation may request a hearing within 30 days after receipt of the written notice of the disapproval pursuant to State Government Article, §10-207, Annotated Code of Maryland. L. Before filing an application or notice under §B or K of this regulation, a person or group of persons acting in concert may request in writing a determination from the Commissioner as to whether the person or group of persons acting in concert would be considered a person in control of a licensee upon consummation of a proposed transaction. If the Commissioner determines that the person or group of persons acting in concert would not be a person in control of a licensee, the proposed person or group of persons acting in concert is not subject to the requirements of Financial Institutions Article, §12-415(b), Annotated Code of Maryland, as applied to a change of control of a licensee. M. Rebuttable Presumption of Control. (1) A person is presumed to exercise a controlling influence if the person holds the power to vote, directly or indirectly, at least 10 percent of the outstanding voting shares or voting interests of a licensee or person in control of a licensee. (2) A person presumed to exercise a controlling influence can rebut the presumption of control if the person is a passive investor. (3) For purposes of determining the percentage of a person controlled by any other person, the person’s interest shall be aggregated with the interest of any other immediate family member, including the person’s spouse, parents, children, siblings, mothers- and fathers-in law, sons- and daughters-in-law, brothers- and sisters-in-law, and any other person who shares that person’s home. #### Regulation .11 Notice and Information Requirements for a Change of Key Individuals. *COMAR 09.03.14.11* A. A licensee adding or replacing any key individual shall: (1) Provide notice in a manner prescribed by the Commissioner as soon as reasonably practicable, but in no event later than 15 days after the effective date of the key individual’s appointment; and (2) Provide information as required by Regulation .06 of this chapter within 30 days of the date on which the notice was provided pursuant to this regulation. B. Within 90 days of the date on which the notice provided pursuant to this regulation was determined to be complete, the Commissioner may issue a notice of disapproval of a key individual if the competence, experience, character, or integrity of the individual would not be in the best interests of the public or the customers of the licensee to permit the individual to be a key individual of that licensee. C. A notice of disapproval shall contain a statement of the basis for disapproval and shall be sent to the licensee and the disapproved individual. A licensee receiving a notice of disapproval under this regulation may request a hearing within 30 days after receipt of the written notice of the disapproval pursuant to State Government Article, §10-207, Annotated Code of Maryland. D. If the notice provided pursuant to this regulation is not disapproved within 90 days after the date on which the notice was determined to be complete, the key individual is considered approved. #### Regulation .12 Bank Secrecy Act Reports. *COMAR 09.03.14.12* A licensee and an authorized delegate shall file all reports required by federal currency reporting, record keeping, and suspicious activity reporting requirements as set forth in the Bank Secrecy Act and other federal and state laws pertaining to money laundering. The timely filing of a complete and accurate report required under this regulation with the appropriate federal agency is considered compliant with the requirements of this regulation. #### Regulation .13 Authorized Delegates. *COMAR 09.03.14.13* A. For purposes of this regulation, “remit” means to make direct payments of money to a licensee or its representative authorized to receive money or to deposit money in a bank in an account specified by the licensee. B. Before a licensee may conduct business through an authorized delegate or allows a person to act as the licensee’s authorized delegate, the licensee shall: (1) Adopt, and update as necessary, written policies and procedures reasonably designed to ensure that the licensee’s authorized delegates comply with applicable state and federal law; (2) Enter into a written contract pursuant to Financial Institutions Article, §12-413(b), Annotated Code of Maryland; and (3) Conduct a reasonable risk-based background investigation sufficient for the licensee to determine whether the authorized delegate has complied and will likely comply with applicable state and federal law. C. An authorized delegate shall operate in full compliance with the Maryland Money Transmission Act and any regulations implementing the Maryland Money Transmission Act. D. The written contract required by Financial Institutions Article, §12-413(b), Annotated Code of Maryland, shall be signed by the licensee and the authorized delegate and, at a minimum, shall: (1) Appoint the person signing the contract as the licensee’s authorized delegate with the authority to conduct money transmission on behalf of the licensee; (2) Set forth the nature and scope of the relationship between the licensee and the authorized delegate and the respective rights and responsibilities of the parties; (3) Require the authorized delegate to agree to fully comply with all applicable state and federal laws, rules, and regulations pertaining to money transmission, including the Maryland Money Transmission Act and any regulations implementing the Maryland Money Transmission Act, relevant provisions of the Bank Secrecy Act, and the USA PATRIOT ACT; (4) Require the authorized delegate to remit and handle money and monetary value in compliance with Financial Institutions Article, §12-418, Annotated Code of Maryland; (5) Impose a trust on money and monetary value net of fees received for money transmission for the benefit of the licensee; (6) Require the authorized delegate to prepare and maintain records as required by the Maryland Money Transmission Act and any regulations implementing the Maryland Money Transmission Act, or as reasonably requested by the Commissioner; (7) Acknowledge that the authorized delegate consents to examination or investigation by the Commissioner; (8) State that the licensee is subject to regulation by the Commissioner and that, as part of that regulation, the Commissioner may suspend or revoke an authorized delegate designation or require the licensee to terminate an authorized delegate designation; and (9) Acknowledge receipt of the written policies and procedures required under Financial Institutions Article, §12-413(c), Annotated Code of Maryland. E. If the licensee’s license is suspended, revoked, surrendered, or expired, the licensee shall, within 5 business days, provide documentation to the Commissioner that the licensee has notified all applicable authorized delegates of the licensee whose names are in a record filed with the Commissioner of the suspension, revocation, surrender, or expiration of a license. Upon suspension, revocation, surrender, or expiration of a license, applicable authorized delegates shall immediately stop providing money transmission as an authorized delegate of the licensee. F. An authorized delegate of a licensee holds in trust for the benefit of the licensee all money net of fees received from money transmission. If any authorized delegate commingles any funds received from money transmission with any other funds or property owned or controlled by the authorized delegate, all commingled funds and other property shall be considered held in trust in favor of the licensee in an amount equal to the amount of money net of fees received from money transmission. G. An authorized delegate may not use a subdelegate to conduct money transmission on behalf of a licensee without the written consent of the Commissioner. H. A person may engage in the business of money transmission as an authorized delegate only on behalf of a person licensed under the Maryland Money Transmission Act. I. A person that engages in the business of money transmission on behalf of an unlicensed person shall be considered to be providing money transmission services in violation of the Maryland Money Transmission Act and shall be jointly and severally liable with the unlicensed or nonexempt person. #### Regulation .14 Timely Transmission. *COMAR 09.03.14.14* A. Every licensee shall forward all money received for transmission in accordance with the terms of the agreement between the licensee and the sender unless the licensee has a reasonable belief or a reasonable basis to believe that the sender may be a victim of fraud or that a crime or violation of law, rule, or regulation has occurred, is occurring, or may occur. B. If a licensee fails to forward money received for transmission in accordance with this regulation, the licensee shall respond to inquiries by the sender with the reason for the failure unless providing a response would violate a state or federal law, rule, or regulation. #### Regulation .15 Refunds. *COMAR 09.03.14.15* A. This regulation does not apply to: (1) Money received for transmission subject to the federal Remittance Rule (12 CFR Part 1005, Subpart B), as amended or recodified from time to time; or (2) Money received for transmission pursuant to a written agreement between the licensee and payee to process payments for goods or services provided by the payee. B. Every licensee shall refund to the sender within 10 days of receipt of the sender’s written request for a refund of any money received for transmission unless any of the following occurs: (1) The money has been forwarded within 10 days of the date on which the money was received for transmission and prior to receipt of the request for a refund; (2) Instructions have been given committing an equivalent amount of money to the person designated by the sender within 10 days of the date on which the money was received for transmission and prior to receipt of the request for a refund; (3) The agreement between the licensee and the sender instructs the licensee to forward the money at a time that is beyond 10 days of the date on which the money was received for transmission. If funds have not yet been forwarded in accordance with the terms of the agreement between the licensee and the sender, the licensee shall issue a refund in accordance with the other provisions of this regulation; (4) The refund request does not enable the licensee to: (a) Identify the sender’s name and address or telephone number; or (b) Identify the particular transaction to be refunded if the sender has multiple transactions outstanding; (5) The refund is requested for a transaction that the licensee has not completed based on a reasonable belief or a reasonable basis to believe that a crime or violation of law, rule, or regulation has occurred, is occurring, or may occur; or (6) The licensee attempted in good faith to forward the money within 10 days of receipt from the sender and forwarded the money prior to the receipt of the request for a refund. #### Regulation .16 Receipts. *COMAR 09.03.14.16* A. This regulation does not apply to: (1) Money received for transmission subject to the federal Remittance Rule (12 CFR Part 1005, Subpart B), as amended or recodified from time to time; (2) Money received for transmission pursuant to a written agreement between the licensee and payee to process payments for goods or services provided by the payee; or (3) Payroll processing services. B. For purposes of this regulation “receipt” means a paper receipt, electronic record, or other written confirmation. For a transaction conducted in person, the receipt may be provided electronically if the sender requests or agrees to receive an electronic receipt. For a transaction conducted electronically or by phone, a receipt may be provided electronically. All electronic receipts shall be provided in a retainable form. C. Contents of Receipt. (1) Every licensee or its authorized delegate shall provide the sender a receipt for money received for transmission. (2) The receipt shall contain the following information, as applicable: (a) The name of the sender; (b) The name of the designated recipient; (c) The date of the transaction; (d) The unique transaction or identification number; (e) The name of the licensee, NMLS Unique ID, the licensee’s business address, and the licensee’s customer service telephone number; (f) The amount of the transaction in United States dollars; (g) Any fee charged by the licensee to the sender for the transaction; and (h) Any taxes collected by the licensee from the sender for the transaction. (3) The receipt required by this regulation shall be in English and in the language principally used by the licensee or authorized delegate to advertise, solicit, or negotiate, either orally or in writing, for a transaction conducted in person, electronically, or by phone, if other than English. #### Regulation .17 Disclosures for Payroll Processing Services. *COMAR 09.03.14.17* A. A licensee that provides payroll processing services shall: (1) Issue reports to clients detailing client payroll obligations in advance of the payroll funds being deducted from an account; and (2) Make available worker paystubs or an equivalent statement to workers. B. If the licensee’s client designates the intended recipients to the licensee and is responsible for providing the disclosures required by §A(2) of this regulation, §A of this regulation does not apply to a licensee providing payroll processing services. #### Regulation .18 Prudential Standards. *COMAR 09.03.14.18* A. Financial Responsibility. In considering the financial responsibility of a licensee, the Commissioner may consider the amount of tangible net worth a licensee maintains in excess of the statutory requirement under Financial Institutions Article, §12-406, Annotated Code of Maryland. B. Surety Bonds. A licensee may exceed the maximum required bond amount in Financial Institutions Article, §12-412(d), Annotated Code of Maryland. C. Maintenance of Permissible Investments. (1) A licensee shall maintain at all times permissible investments in accordance with Financial Institutions Article, §12-418(a), Annotated Code of Maryland. (2) Except for permissible investments enumerated in §D(1) of this regulation, the Commissioner, with respect to any licensee, may by order limit the extent to which a specific investment maintained by a licensee within a class of permissible investments may be considered a permissible investment, if the specific investment represents undue risk to customers, not reflected in the market value of investments. (3) Permissible investments, even if commingled with other assets of the licensee, are held in trust for the benefit of the purchasers and holders of the licensee’s outstanding money transmission obligations. Permissible investments held in trust for the benefit of the purchasers and holders of the licensee’s outstanding money transmission obligations are considered held in trust for the benefit of those purchasers and holders on a pro rata and equitable basis in accordance with statutes pursuant to which permissible investments are required to be held in Maryland, and other states, as applicable. (4) Any trust established under §C(3) of this regulation shall be terminated upon extinguishment of all of the licensee’s outstanding money transmission obligations. (5) The Commissioner may allow other types of investments that the Commissioner determines are of sufficient liquidity and quality to be a permissible investment. The Commissioner may participate in efforts with other state regulators to determine that other types of investments are of sufficient liquidity and quality to be a permissible investment. D. Types of Permissible Investments. (1) The following investments meet the definition of permissible investments pursuant to Financial Institutions Article, §12-401(r), Annotated Code of Maryland: (a) Cash (including demand deposits, savings deposits, and funds in those accounts held for the benefit of the licensee’s customers in a federally insured depository financial institution) and cash equivalents including ACH items in transit to the licensee and ACH items or international wires in transit to a payee, cash in transit via armored car, cash in smart safes, cash in licensee-owned locations, debit card or credit card-funded transmission receivables owed by any bank, or money market mutual funds rated “AAA” by S&P, or the equivalent from any eligible rating service; (b) Certificates of deposit or senior debt obligations other than a capital note of an insured depository institution, as defined in §3 of the Federal Deposit Insurance Act, 12 U.S.C. §1813, as amended or recodified from time to time, or as defined under the federal Credit Union Act, 12 U.S.C. §1781, as amended or recodified from time to time; (c) An obligation of the United States or a commission, agency, or instrumentality of the United States, an obligation that is guaranteed fully as to principal and interest by the United States, or an obligation of a state or a governmental subdivision, agency, or instrumentality of the United States; (d) The full drawable amount of an irrevocable standby letter of credit for which the stated beneficiary is the Commissioner that stipulates that the beneficiary need only draw a sight draft under the letter of credit and present it to obtain funds up to the letter of credit amount within 7 days of presentation of the items required by §D(4) of this regulation; and (e) One hundred percent of the surety bond or deposit that exceeds the amount required under Financial Institutions Article, §12-412, Annotated Code of Maryland. (2) A letter of credit under §D(1) of this regulation: (a) Shall be issued by a federally insured depository financial institution, a foreign bank that is authorized under federal law to maintain a federal agency or federal branch office in a state or states, or a foreign bank that is authorized under state law to maintain a branch in a state that: (i) Bears an eligible rating or whose parent company bears an eligible rating; and (ii) Is regulated, supervised, and examined by United States federal or state authorities having regulatory authority over banks, credit unions, and trust companies; (b) Shall be irrevocable, unconditional and indicate that it is not subject to any condition or qualification outside of the letter of credit; (c) May not contain reference to any other agreements, documents, or entities, or otherwise provide for any security interest in the licensee; and (d) Shall contain an issue date and expiration date, and expressly provide for automatic extension, without a written amendment, for an additional period of 1 year from the present or each future expiration date, unless the issuer of the letter of credit notifies the Commissioner in writing by certified or registered mail or courier mail or other receipted means, at least 60 days prior to any expiration date, that the irrevocable letter of credit will not be extended. (3) If the issuer of a letter of credit under §D(2) of this regulation issues any notice of expiration or nonextension of that letter of credit, the licensee shall be required to demonstrate to the satisfaction of the Commissioner, 15 days prior to expiration, that the licensee maintains and will maintain permissible investments in accordance with Financial Institutions Article, §12-418(a), Annotated Code of Maryland, upon the expiration of the letter of credit. If the licensee is not able to do so, the Commissioner may draw on the letter of credit in an amount up to the amount necessary to meet the licensee’s requirements to maintain permissible investments in accordance with Financial Institutions Article, §12-418(a), Annotated Code of Maryland. Any draw shall be offset against the licensee’s outstanding money transmission obligations. The drawn funds shall be held in trust by the Commissioner or the Commissioner’s designated agent, to the extent authorized by law, as agent for the benefit of the purchasers and holders of the licensee’s outstanding money transmission obligations. (4) A letter of credit under §D(1) of this regulation shall provide that the issuer of the letter of credit will honor, at sight, a presentation made by the beneficiary to the issuer of the following documents on or prior to the expiration date of the letter of credit: (a) The original letter of credit (including any amendments); and (b) A written statement from the beneficiary stating that any of the following events have occurred: (i) The filing of a petition by or against the licensee under the United States Bankruptcy Code, 11 U.S.C. §101-110, as amended or recodified from time to time, for bankruptcy or reorganization; (ii) The filing of a petition by or against the licensee for receivership, or the commencement of any other judicial or administrative proceeding for its dissolution or reorganization; (iii) The Commissioner has issued an order of restitution pursuant to an enforcement action against the licensee; (iv) The Commissioner sought the seizure of assets of a licensee pursuant to a judicial or administrative order; or (v) The beneficiary has received notice of expiration or nonextension of a letter of credit and the licensee failed to demonstrate to the satisfaction of the beneficiary that the licensee will maintain permissible investments in accordance with Financial Institutions Article, §12-418(a), Annotated Code of Maryland, upon the expiration or nonextension of the letter of credit. (5) The Commissioner may designate an agent to serve on the Commissioner’s behalf as beneficiary to a letter of credit under §D(1) of this regulation if the agent and letter of credit meet requirements established by the Commissioner. The Commissioner’s agent may serve as agent for multiple licensing authorities for a single irrevocable letter of credit if the proceeds of the drawable amount satisfy the purposes of the letter of credit under §D(1) of this regulation and are assigned to the Commissioner. (6) The Commissioner may participate in multistate processes designed to facilitate the issuance and administration of letters of credit, including but not limited to services provided by the NMLS and State Regulatory Registry, LLC. (7) Unless permitted by the Commissioner by rule or by order to exceed the limit as set forth in this regulation, the following investments are permissible pursuant to Financial Institutions Article, §12-401(r), Annotated Code of Maryland, to the extent specified: (a) Receivables that are payable to a licensee from its authorized delegates in the ordinary course of business that have not been held by an authorized delegate in excess of the time permitted under Financial Institutions Article, §12-418(b), Annotated Code of Maryland, up to 50 percent of the aggregate value of the licensee’s total permissible investments. (b) Of the receivables permissible under §D(7)(a) of this regulation, receivables that are payable to a licensee from a single authorized delegate in the ordinary course of business may not exceed 10 percent of the aggregate value of the licensee’s total permissible investments. (c) The following investments are permissible up to 20 percent per category and combined up to 50 percent of the aggregate value of the licensee’s total permissible investments: (i) A short-term (up to 6 months) investment bearing an eligible rating; (ii) Commercial paper bearing an eligible rating; (iii) A bill, note, bond, or debenture bearing an eligible rating; (iv) U.S. tri-party repurchase agreements collateralized at 100 percent or more with U.S. government or agency securities, municipal bonds, or other securities bearing an eligible rating; (v) Money market mutual funds rated less than “AAA” and equal to or higher than “A-” by S&P, or the equivalent from any other eligible rating service; and (vi) A mutual fund or other investment fund composed solely and exclusively of one or more permissible investments listed in §D(7)(a)—(c) of this regulation. (d) Cash (including demand deposits, savings deposits, and funds in those accounts held for the benefit of the licensee’s customers) at foreign depository institutions are permissible up to 10 percent of the aggregate value of the licensee’s total permissible investments if the licensee has received a satisfactory rating in its most recent examination and the foreign depository institution: (i) Has an eligible rating; (ii) Is registered under the Foreign Account Tax Compliance Act; (iii) Is not located in any country subject to sanctions from the Office of Foreign Asset Control; and (iv) Is not located in a high-risk or noncooperative jurisdiction as designated by the Financial Action Task Force. E. Eligibility Ratings. (1) Long-term credit ratings are considered eligible if the rating is equal to A- or higher by S&P, or the equivalent from any other eligible rating service. (2) Short-term credit ratings are considered eligible if the rating is equal to or higher than A-2 or SP-2 by S&P, or the equivalent from any other eligible rating service. (3) If the ratings differ among eligible rating services, the highest rating shall apply when determining whether a security bears an eligible rating. ### Chapter 15 — Shared Appreciation Agreements **Authority:** Financial Institutions Article, §§2-105.1, 12-926, and 12-1030, Annotated Code of Maryland **Administrative History:** Effective date: November 25, 2024 (51:23 Md. R. 1036) #### Regulation .01 Definitions. *COMAR 09.03.15.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Actual change in value” means, with respect to each scenario included on the disclosure form found in Appendix A of this chapter, the average annual change in value for homes in the State of Maryland over the most recent number of years used in that scenario. (2) “Annual percentage rate” has the meaning stated in 12 CFR §1026.22(a), as amended from time to time. (3) “Annualized cost” means a measure of the cost of credit, expressed as a yearly rate, provided to allow a borrower to compare the cost of a shared appreciation agreement with the cost of other forms of credit. (4) “Arms-length sale” means a transaction for the sale of property between two unrelated and unaffiliated parties of equal bargaining power acting independently and in their respective self-interests. (5) “Automated valuation model” or “AVM” means a statistically based estimate of a property’s value based on publicly available information such as comparable sales, property characteristics, and price trends. (6) “Borrower” means a person who receives funds under a shared appreciation agreement. (7) “Broker price opinion” or “BPO” means an estimate, provided by a real estate broker licensed by the State or another qualified professional, of the price for which a property is likely to sell. (8) “Commitment” has the meaning stated in Commercial Law Article, §12-922, Annotated Code of Maryland. (9) “Estimated fair market value” means: (a) An estimate of value determined through either the use of an appraisal from an appraiser licensed by the State or the use of an automated valuation model or broker price opinion; or (b) An estimate of value provided by the borrower, if a disclosure is provided before the lender obtains an appraisal, automated valuation model, or broker price opinion. (10) “Final payment amount” means the amount a borrower will be required to pay the lender at the termination of the shared appreciation agreement. (11) “Final value” means the value of the property at the termination of the shared appreciation agreement as calculated using the estimated fair market value of the property, or, in an arms-length sale, the sale price of the property. (12) “Financing agreement” has the meaning stated in Commercial Law Article, §12-922, Annotated Code of Maryland. (13) “Lender” means a person who makes a mortgage loan under a shared appreciation agreement. (14) “Share based repayment amount” means the lender’s share of the property’s appreciation or value at the termination of the shared appreciation agreement as calculated without regard to any contractual limit on the repayment amount. (15) “Shared appreciation agreement” has the meaning stated in Financial Institutions Article, §11-501(r), Annotated Code of Maryland. (16) “Starting value” means the estimated fair market value of a property minus any discount applied by the lender. (17) “Truth in Lending Act” refers to 15 U.S.C. 1601, et seq., and its implementing regulations under 12 CFR 1026. #### Regulation .02 Required Disclosures. *COMAR 09.03.15.02* A. Financing Agreements and Commitments. (1) In addition to providing any other disclosures required by Commercial Law Article, Title 12, Subtitles 9 and 10, Annotated Code of Maryland, a lender receiving an application for a shared appreciation agreement shall, regardless of lien position, provide a borrower with a financing agreement. (2) The lender shall satisfy the requirement to provide a financing agreement for a mortgage loan made under a shared appreciation agreement in the following manner: (a) By providing the disclosure form found in Appendix A of this chapter, or a substantially similar form, within 10 business days after the date an application for a shared appreciation agreement is completed; and (b) By calculating the annualized cost based on the term in each scenario within the form in Appendix A of this chapter using the method prescribed in 12 CFR Part 1026 Appendix J for calculating an annual percentage rate. (3) If the terms of the disclosure provided by the lender under §A(2) of this regulation are subject to change, a lender offering a shared appreciation agreement, regardless of lien position, shall provide a borrower with a commitment. (4) The lender shall satisfy the requirement to provide a commitment for a mortgage loan made under a shared appreciation agreement in the following manner: (a) By providing the disclosure form found in Appendix A of this chapter, or a substantially similar form, with a statement that the terms therein are not subject to change, at least 72 hours before the settlement time agreed to by both parties; and (b) By calculating the annualized cost based on the term in each scenario within the form in Appendix A of this chapter using the method prescribed in 12 CFR Part 1026 Appendix J for calculating an annual percentage rate. B. Compliance with Disclosures in Appendix A of this Chapter. (1) A form will be considered substantially similar to the one in Appendix A of this chapter if it includes all information provided in Appendix A of this chapter. (2) A lender shall disclose the following information regarding the estimated fair market value of the property: (a) The method used to calculate the estimated fair market value; (b) The amount, if any, by which the lender is discounting the estimated fair market value in establishing the property’s initial value; (c) The estimated fair market value of the property and any discount applied to that value in determining the starting value; and (d) The potential impact of that discount on their repayment amount. C. Compliance with Applicable Law. Compliance with this regulation shall constitute compliance with any requirements under Commercial Law Article, §12-922 or 12-1022, Annotated Code of Maryland, to provide a financing agreement or a commitment. #### Regulation .03 Calculation of Property Value. *COMAR 09.03.15.03* A. Means of Calculating the Property Value. (1) The lender shall use the estimated fair market value to determine the starting value of the property. (2) The starting value may represent a discount of the estimated fair market value at the time the shared appreciation agreement is executed. (3) Except as provided in §B of this regulation, the lender shall use the same method for calculating the estimated fair market value in connection with determining the starting value and the final value. (4) An appraisal, AVM, or BPO used to determine fair market value shall be obtained by the lender from an unaffiliated third-party. (5) In complying with the requirements of Regulation .02A(2) of this chapter, a lender may use a value stipulated by the borrower as the estimated fair market value if the lender has not yet obtained an appraisal, BPO, or AVM and the terms of the disclosure provided under Regulation .02 of this chapter are subject to change. (6) In complying with the requirements of Regulation .02A(4) of this chapter, a lender shall use an appraisal, BPO, or AVM. B. Sale of Property. If a shared appreciation agreement terminates with the sale of the property, the final value may not exceed the sale price if: (1) The sale was an arms-length sale; (2) The property was not sold as part of a foreclosure; and (3) The borrower did not retain an interest in the property, including an interest as a life estate. #### Regulation .04 Calculating Values in Appendix A of this Chapter. *COMAR 09.03.15.04* A. Actual Appreciation. Actual change in value shall be calculated using the All-Transactions House Price Index as published by the Federal Reserve Bank of St. Louis unless this index becomes unavailable, in which case the Commissioner may designate an alternate index. B. Final Payment Amount. The final payment amount shall be the lender’s share of appreciation or equity, plus, if applicable under the terms of the agreement, any other amounts payable by the borrower at termination, minus any amount over any repayment limit to which the lender and the borrower have agreed. #### Regulation .05 Ability to Repay. *COMAR 09.03.15.05* A lender offering a shared appreciation agreement is deemed to have given due regard to a borrower’s ability to repay if disclosures are provided by the lender to the borrower in compliance with Regulation .02 of this chapter, provided that: A. The shared appreciation agreement does not require periodic payments prior to termination of the agreement; and B. The term of the shared appreciation agreement is no less than 5 years. ### Chapter 16 — Virtual Currency Kiosks **Authority:** Financial Institutions Article, §§2-105.1, and 12-1209, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.10 adopted as an emergency provision effective December 5, 2025 (52:26 Md. R. 1306); adopted permanently effective March 30, 2026 (53:6 Md. R. 286) #### Regulation .01 Scope. *COMAR 09.03.16.01* Scope. This chapter governs Kiosks, as such term is defined herein, and the conduct of any person operating a Kiosk in the State. #### Regulation .02 Definitions. *COMAR 09.03.16.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined (1) “Commissioner” has the meaning stated in Financial Institutions Article, §1-101, Annotated Code of Maryland. (2) “Electronic Notice of Fraud” means any (a) Any electronic communication from a User to an Operator expressing a concern that a transaction the User conducted using a Virtual Currency Service provided through the Operator’s Kiosk was a Fraudulent Transaction; and (b) Sent to an Operator using either: (i) A process established on the Operator’s website for submitting a Notice of Fraud through the website; or (ii) An email address the Operator uses for receiving Notices of Fraud. (3) “Fee” means any cost, charge, fee, or other expenses, however defined, collected by or on behalf of an Operator and collected from or charged to any User in connection with obtaining: (a) A Virtual Currency Service from a Kiosk; or (b) Any money transmission involving virtual currency facilitated through a Kiosk. (4) “Fixed Location Kiosk” means a Kiosk the Operator intends to operate at a single location for the calendar year in which the Kiosk is registered hereunder. (5) “Fraud” means: (a) Any common law fraud; (b) An intentional act or attempt to obtain something of value from a person through threats, willful misrepresentation, or representations made with a reckless disregard for the truth; or (c) Any willful false or reckless representation of a material fact, whether by words or by conduct, by false, reckless, or misleading allegations, or by concealment of that which should have been disclosed, which causes a person to act, or fail to act, to the detriment of the person’s interest. (6) “Fraudulent Transaction” means any transaction involving a User who obtains a Virtual Currency Service from a Kiosk in connection with the transaction if the User engaged in the transaction because of Fraud perpetrated by another person. (7) Kiosk. (a) “Kiosk” means a virtual currency kiosk (b) “Kiosk” includes any Fixed Location Kiosk and Mobile Kiosk. (8) “Mail” means first class United States mail, postage prepaid. (9) “Mobile Kiosk” means a Kiosk the Operator intends to operate at more than one location for the calendar year in which the Kiosk is registered. (10) “Money Transmission” has the meaning stated in Financial Institutions Article, §12-401, Annotated Code of Maryland. (11) “NMLS” has the meaning stated in Financial Institutions Article, §1-101, Annotated Code of Maryland. (12) “Non-Electronic Notice of Fraud” means: (a) Any verbal or written communication from a User to an Operator which expresses a concern that the transaction the User conducted with a Virtual Currency Service provided through the Operator’s Kiosk was a Fraudulent Transaction; and (b) Sent to an Operator in any manner that does not constitute an Electronic Notice of Fraud. (13) “Notice of Fraud” means any: (a) Electronic Notice of Fraud; and (b) Non-electronic Notice of Fraud. (14) “Operator” means a Virtual Currency Kiosk Operator. (15) User. (a) “User” means any person using a Kiosk located in the State to obtain a Virtual Currency Service. (b) “User” includes a person who authorizes a third party to obtain a Virtual Currency Service using a Kiosk on behalf of the User. (16) “Receipt” means the receipt an Operator must dispense or display to a User under Financial Institutions Article §12-1204, Annotated Code of Maryland. (17) “Registration Fee” means any fee imposed by the Commissioner to: (a) Register as an Operator; or (b) Register a Kiosk. (18) “State” means the state of Maryland. (19) “Virtual Currency” has the meaning stated in Financial Institutions Article, §12-1201, Annotated Code of Maryland. (20) “Virtual Currency Address” means an alphanumeric identifier representing a destination for a virtual currency transfer that is associated with a virtual currency wallet. (21) “Virtual Currency Kiosk” has the meaning stated in Financial Institutions Article, §12-1201, Annotated Code of Maryland. (22) “Virtual Currency Kiosk Operator” has the meaning stated in Financial Institutions Article, §12-1201, Annotated Code of Maryland. (23) “Virtual Currency Service” has the meaning stated in Financial Institutions Article, §12-1201, Annotated Code of Maryland. (24) “Virtual Currency Wallet” means a software application or other mechanism providing a means for holding, storing and transferring virtual currency. #### Regulation .03 Registration. *COMAR 09.03.16.03* A. Registration of Operator. (1) A person may not operate a Kiosk in the State after January 1, 2026, unless registered as an Operator with the Commissioner. (2) A person shall register through NMLS with the Commissioner as an Operator: (a) On or before January 1, 2026, if operating a Kiosk in the State on or before that date; or (b) Prior to operating a Kiosk in the State after January 1, 2026. (3) A person registering as an Operator shall pay: (a) The Commissioner a non-refundable Registration Fee of $2,000; and (b) Any cost or fee required by NMLS. (4) A person registering as an Operator shall provide through NMLS: (a) The legal name of the Operator and any trade name used by the Operator in accordance with Financial Institutions Article §2-121, Annotated Code of Maryland; (b) The address of the operator’s principal executive office; (c) The names of any persons directly or indirectly holding an ownership share of 10 percent or more of the operator; (d) A flow of funds for all Virtual Currency Services the Operator will offer through its Kiosks; and (e) Any other information the Commissioner requests. B. Registration of Kiosks. (1) An Operator may not operate a Kiosk in the State on or after January 1, 2026, unless the Operator has registered that Kiosk with the Commissioner. (2) A person shall register each Kiosk operated in the State through NMLS with the Commissioner: (a) On or before January 1, 2026, if operating that Kiosk in the State on or before that date; or (b) Prior to operating that Kiosk in the State after January 1, 2026. (3) An Operator registering a Kiosk shall pay: (a) The Commissioner a non-refundable Registration Fee of $200 for each registered Kiosk; and (b) Any fee required by NMLS. (4) An Operator registering a Kiosk shall provide through NMLS: (a) Unique identifying information for the Kiosk, such as the manufacturer name, model number, serial number, or asset tag; (b) If the Kiosk is a Fixed Location Kiosk, the address at which the Kiosk will be operated; (c) If the Kiosk is a Mobile Kiosk: (i) The address of each location at which the Operator expects to operate the Kiosk for more than 30 calendar days; and (ii) The geographic area encompassing the locations at which the Operator expects to operate the Kiosk for 30 calendar days or less; (d) A description of all services to be provided by the Kiosk; and (e) Any other information the Commissioner requests. (5) An Operator shall designate a Kiosk intended for use as a Fixed Location Kiosk as a Fixed Location Kiosk through NMLS in accordance with the process the Commissioner requires. (6) An Operator shall designate a Kiosk intended for use as a Mobile Kiosk as a Mobile Kiosk through NMLS in accordance with the process the Commissioner requires. (7) An Operator may only operate a Kiosk at the address or, if a Mobile Kiosk, in the geographic area listed for that Kiosk in NMLS. (8) An Operator may change the designation of a Kiosk as either a Mobile Kiosk or a Fixed Location Kiosk through NMLS by: (a) Changing the designation through the process the Commissioner requires; (b) Paying any required fee; and (c) Updating the Kiosk’s location information. (9) Contemporaneously with changing a Kiosk’s location, an Operator must update information in NMLS to accurately reflect the new location. C. Term of Registrations and Renewals. (1) The term of any registration under this regulation shall: (a) Begin the day the Operator completes the registration in NMLS; and (b) Expire on December 31 of the year: (i) The Operator completes the registration, if completed before November 1; or (ii) Succeeding the year the Operator completes the registration, if completed between November 1 and December 31. (2) On or after November 1 of each year, registration as an Operator and for each individual Kiosk under this regulation may be renewed for a 1-year term if the Operator: (a) Is otherwise entitled to be registered; (b) Completes the renewal process established through NMLS; (c) Provides through NMLS any information the Commissioner requests as part of the renewal; (d) Submits through NMLS the annual report required by Regulation .08 of this chapter; (e) Pays any fees imposed by NMLS; (f) Pays the Commissioner a non-refundable Registration Fee of $2,000 to register as an Operator; and (g) Pays the Commissioner a non-refundable Registration Fee of $200 for each Kiosk the Operator intends to operate in the State. D. A person may not renew registration for a Kiosk unless the person has renewed its registration as an Operator. E. All Registration Fees shall be paid to the Commissioner through NMLS. F. Money Transmission. (1) Registration as an Operator does not exempt a person from licensure under Financial Institutions Article, Title 12, Subtitle 4, Annotated Code of Maryland, if one or more Kiosks operated by the Operator facilitate money transmission. (2) Possession of a license, or exemption from licensure, under Financial Institutions Article, Title 12, Subtitle 4, Annotated Code of Maryland, does not exempt a person from registration under Financial Institutions Article, Title 12, Subtitle 12, Annotated Code of Maryland, if that person operates a Kiosk offering virtual currency services. (3) A Kiosk shall be deemed to facilitate money transmission if it is capable of facilitating money transmission, regardless of whether the Operator purports to offer money transmission services through that kiosk, unless the Operator disables this function and prevents such facilitation. (4) An Operator offering both Virtual Currency Services and money transmission through a Kiosk shall fully comply with all applicable provisions of: (a) Financial Institutions Article, Title 12, Subtitle 4, Annotated Code of Maryland, and all regulations issued thereunder; and (b) Financial Institutions Article, Title 12, Subtitle 12, Annotated Code of Maryland, and all regulations issued thereunder. G. Other Services. (1) An Operator may only offer the following services through a Kiosk: (a) Virtual Currency Services; (b) Money transmission, provided the Operator complies with the licensing provisions of Financial Institutions Article, Title 12, Subtitle 4, Annotated Code of Maryland; and (c) Any other service State law expressly authorizes an operator to offer through a Kiosk. (2) Any service offered through a Kiosk must comply with all State law relating to that service, including all applicable licensing or registration requirements. #### Regulation .04 Fee Refunds for Fraudulent Transactions. *COMAR 09.03.16.04* A. Scope. (1) This regulation governs the procedure by which a User may request a Fee Refund on a transaction the User alleges is a Fraudulent Transaction. (2) A User’s rights under this regulation are in addition to any rights a User may have under any applicable law. B. Definitions. (1) In this regulation, the following terms have the meanings indicated. (2) Terms Defined. (a) “Fee Refund” means a refund under this regulation of the Fee charged to that User. (b) “Refund Claim” means a User’s claim for a Fee Refund. (c) “Refund Denial” means an Operator’s denial of a Refund Claim. (d) “Written Confirmation” means a written confirmation of a verbally given Notice of Fraud. C. Notice of Fraud by User. (1) An Operator shall treat any Notice of Fraud as a Refund Claim. (2) A User must provide a Notice of Fraud to an Operator no more than 90 calendar days after the alleged Fraudulent Transaction. (3) A Notice of Fraud is sufficient for this regulation if it: (a) Includes the User’s name; (b) Provides a copy of the Receipt or otherwise provides information sufficient to identify the Virtual Currency Services the User obtained through the Operator’s Kiosk; and (c) Contains a brief description of why the User believes the transaction was a Fraudulent Transaction. (4) An Operator may not engage in any act or subterfuge to make it difficult for a User to provide a Notice of Fraud. D. Place of Notice. (1) An Operator must offer a User: (a) At least one method to submit an Electronic Notice of Fraud; and (b) At least one method to submit a Non-electronic Notice of Fraud. (2) The Operator shall conspicuously include information on its website and in any promotional materials explaining how a User may submit: (a) An Electronic Notice of Fraud; and (b) A Non-electronic Notice of Fraud. (3) An Operator may require the User to submit a Non-electronic Notice of Fraud only to a telephone number or address disclosed on the Receipt, provided that the Operator: (a) Has reasonable procedures to redirect a User to the specified telephone number or address if the User attempts to provide a Non-electronic Notice of Fraud by other means; (b) Has reasonable procedures to route any written Non-electronic Notice of Fraud the Operator receives at any other address to the department or personnel responsible for investigating and resolving a Refund Claim; and (c) Conspicuously displays the designated telephone number or address for a User to provide a Non-electronic Notice of Fraud on any website the Operator maintains. (4) If a User provides a written Notice of Fraud to an address other than the address designated by the Operator and the Operator receives such Notice of Fraud: (a) The Operator must process the Notice of Fraud as a Refund Claim in accordance with this regulation; and (b) The time frame for investigating and resolving the Refund Claim shall begin 5 business days after the Operator’s receipt of the Notice of Fraud at the incorrect address. E. Written Confirmation. (1) An Operator may require a User to provide Written Confirmation of a verbal Non-electronic Notice of Fraud within 30 calendar days of the verbal Non-electronic Notice of Fraud. (2) An Operator requiring a Written Confirmation under this Section shall: (a) At the time of the verbal Non-electronic Notice of Fraud: (i) Inform the User that the Operator must receive a Written Confirmation; and (ii) Inform the User that the Operator will mail the User a notice concerning the Written Confirmation; and (b) Within 3 business days of the verbal Non-electronic Notice of Fraud, mail the User written notice stating: (i) The Operator requires a Written Confirmation; (ii) A specific date at least 30 calendar days after the date of the notice by which the User must submit the Written Confirmation; (iii) The address to send the Written Confirmation; and (iv) The User’s failure to timely provide a Written Confirmation may result in a Refund Denial. (3) An Operator may not require the Written Confirmation to include information inconsistent with the definition of a Non-electronic Notice of Fraud. (4) A User who verbally provides a Non-electronic Notice of Fraud within the time frame established by §E(2) of this regulation has timely submitted a Notice of Fraud. (5) If a User fails to provide the Written Confirmation within 30 calendar days of the Operator’s full compliance with §E(2) of this regulation: (a) The Operator may mail written notice to the User: (i) Informing the User that the Operator has not received the Written Confirmation; (ii) Requiring the User to provide the Written Confirmation within 30 calendar days of the notice; and (iii) Informing the User the Operator may deny the Refund Claim if the User fails to provide the Written Confirmation within 30 calendar days of the notice. (b) A User’s failure to provide a timely Written Confirmation following the Operator’s compliance with §E(5)(a) of this regulation constitutes grounds to issue a Refund Denial. F. Investigation and Resolution. (1) Except as otherwise expressly set forth in this regulation, an Operator shall have 30 calendar days from receipt of a Notice of Fraud to investigate and resolve the Refund Claim. (2) If the Operator requested a Written Confirmation in compliance with §E of this regulation, the Operator shall have 30 calendar days from receipt of the Written Confirmation to investigate and resolve the Refund Claim. (3) In connection with its investigation of a Refund Claim, an Operator may: (a) Inquire if the User filed a police report; (b) Inquire if the User possesses any documents or communications relating to the alleged Fraudulent Transaction; and (c) Request copies of any police report filed or documents possessed by the User and relating to the alleged Fraudulent Transaction. (4) In connection with its investigation of a Refund Claim, an Operator may not: (a) Require the filing of a police report; (b) Require the User to provide copies of a filed police report or documents relating to the alleged Fraudulent Transaction; (c) Imply that a failure to file a police report, provide copies of a filed police report, or provide copies of documents relating to the alleged Fraudulent Transaction will impact the Refund Claim; (d) Issue a Refund Denial based on a failure to file a police report, failure to provide copies of a filed police report, or failure to provide copies of documents relating to the to the alleged Fraudulent Transaction; or (e) Charge any cost, fee, or other amount to investigate and resolve a Refund Claim. (5) A User shall reasonably cooperate with the Operator’s investigation of a Refund Claim by answering questions concerning the Fraudulent Transaction. (6) Within 3 business days of completing its investigation, an Operator shall resolve a Refund Claim by mailing the User either: (a) A Refund Denial; or (b) A statement granting the Refund Claim. (7) A Refund Denial must: (a) Generally describe the Operator’s investigative process; (b) List any facts the Operator relied on for the Refund Denial; (c) Describe any other factors the Operator relied on for the Refund Denial; (d) Inform the User of the right to file a complaint regarding the Refund Denial with the Commissioner; and (e) Provide the User with a link or other information needed to reach the Commissioner. (8) An Operator may not issue a Refund Denial based on any of the following: (a) User’s negligence; (b) User’s failure to consider or act upon warnings and disclosures provided by the Operator; (c) User’s responses to questions posed by the Operator when the User obtained the Virtual Currency Services; or (d) User submission of a Notice of Fraud for a prior transaction. (9) A Fee Refund shall be issued promptly in United States currency. (10) A User receiving a Refund Denial may file a complaint with the Commissioner. (11) A complaint concerning a Refund Denial must be filed with the Commissioner within 3 years of the User’s receipt of the Refund Denial. #### Regulation .05 Fraud Prevention. *COMAR 09.03.16.05* A. An Operator shall maintain restrictions that prevent more than one User of the Operator from using the same virtual currency wallet. B. An Operator shall have the ability to prevent designated virtual currency wallets from being used at any Kiosk of the Operator. C. An Operator shall use an established third party that specializes in performing blockchain analyses to preemptively perform such analyses to identify and prevent high risk or sanctioned virtual currency wallets from being used by Users at Kiosks of the Operator. D. An Operator shall establish, in the Operator’s policies and procedures, a risk-based method of monitoring Users on a post-transaction basis. E. An Operator shall designate and employ a chief compliance officer. #### Regulation .06 Communications and Notices. *COMAR 09.03.16.06* A. An Operator shall provide all required notices and communications to a User under this chapter using information the Operator collects from the User under Financial Institutions Article, §12-1204 (c), Annotated Code of Maryland. B. This regulation does not apply to: (1) The Receipt; and (2) Any notices or communications this chapter requires the Operator to: (a) Physically place on the Kiosk; or (b) Display on a Kiosk screen. C. An Operator shall provide reasonable procedures for a User to securely change contact information the User previously supplied to the Operator. D. An Operator shall provide reasonable procedures for a User to select the User’s preferred method of communication. E. The User’s selection of a preferred method of communication shall not relieve an Operator of any duty to provide information in a manner expressly required by this chapter. #### Regulation .07 Lighting, Safety, and Signage. *COMAR 09.03.16.07* A. Each Kiosk operated in the State by an Operator shall comply with Financial Institutions Article, §§1-402 (b), (c) and 1-402.1, Annotated Code of Maryland for each Kiosk it operates. B. For the purposes of this regulation only, the Operator shall treat the Kiosk as an automated teller machine. C. The exceptions contained in Financial Institutions Article, §§1-402 (a), Annotated Code of Maryland do not apply to a Kiosk. D. An Operator shall evaluate the safety of each Kiosk, regardless of location. E. The required safety evaluation need not consider the factors identified in Financial Institutions Article, §§1-402(b)(2), Annotated Code of Maryland, for a Kiosk located in a building meeting the requirements of Financial Institutions Article, §§1-402 (a)(2)(i), Annotated Code of Maryland. F. Each Kiosk operated in the State shall conspicuously display signage stating: “This Kiosk offers services relating to virtual currencies. The Maryland Commissioner of Financial Regulation will accept all questions or complaints regarding this Kiosk, operated by (name of Operator and NMLS unique identifier) at (address of Commissioner), phone (toll-free phone number of the Commissioner), or https://labor.maryland.gov/finance/ . You may confirm registration of this Kiosk with the Maryland Commissioner of Financial Regulation at (NMLS consumer access website).” #### Regulation .08 Screen Disclosures. *COMAR 09.03.16.08* A. All required on-screen notices and disclosures under Financial Institutions Article §12-1201 et. seq., Annotated Code of Maryland, and this chapter shall: (1) Remain on the Kiosk screen for a minimum of: (a) Four seconds if the notice or disclosure contains 12 or less words; or (b) One second for every 3 words, or fractions thereof, contained in the notice or disclosure; and (2) Require User action to advance to another screen. B. For the purposes of calculating the time period a notice or disclosure must remain on a screen pursuant to Part A of this regulation, the words contained in a notice or disclosure include words that require scrolling to view. #### Regulation .09 Receipts. *COMAR 09.03.16.09* A. In addition to information required by Financial Institutions Article, §12-1204, Annotated Code of Maryland, a Receipt shall include: (1) The name of, and contact information for, the Operator, including, but not limited to, the Operator's business address and a customer service telephone number established by the Operator to answer questions and register complaints; (2) The Operator’s NMLS unique identifier; (3) The User’s name; (4) The date of the transaction reflected in the Receipt; (5) The amount of such virtual currency transaction expressed in United States currency; (6) The exchange rate for the transaction, if applicable; (7) The virtual currency address for that virtual currency transaction; (8) The full unique transaction hash or identification number associated with the transaction; (9) The public virtual currency address of the User; (10) Any fee charged by the Operator; (11) Any tax collected by the Operator for such virtual currency transaction; (12) If the transaction reflected in the Receipt involves money transmission, the recipient’s name and virtual currency address; (13) A statement that the User may request a Fee Refund of any Fee charged in connection with a Fraudulent Transaction by submitting a Notice of Fraud; (14) A statement explaining how a User may submit a Notice of Fraud, including any address or phone number the Operator has designated pursuant to Regulation .03 of this chapter for submitting a Notice of Fraud; and (15) A statement the Maryland Commissioner of Financial Regulation will accept all questions or complaints regarding the Kiosk, at (address of Commissioner), phone (toll-free phone number of the Commissioner), or https://labor.maryland.gov/finance/. B. The Receipt shall be provided in English and in the any other language principally used by the Operator to advertise its services or transact business on the Kiosk. C. The Kiosk shall offer the User the ability to elect to receive the Receipt electronically at the time of the transaction; D. If the User does not elect electronic delivery of the Receipt, the Receipt shall be delivered to the User in retainable form at the time of the transaction. E. An Operator shall maintain all transactional data required for a Receipt for a period of 7 years from the date of the transaction. F. A Receipt that satisfies the requirements of this Regulation shall be deemed to satisfy the requirements contained in COMAR 09.03.14.16C for a virtual currency transaction conducted on a Kiosk that involves money transmission. G. Compliance with COMAR 09.03.14.16C does not relieve an Operator of any additional requirements imposed by this regulation. #### Regulation .10 Annual Report. *COMAR 09.03.16.10* A. An Operator shall prepare an annual report listing the following information for each Kiosk it maintains: (1) Information sufficient to identify that Kiosk; (2) The total number of transactions and the total dollar amount of transactions processed by that Kiosk; (3) If the Kiosk was not operating for the full 12 months covered by the annual report, information sufficient to determine the timeframe in which the Operator operated that Kiosk in the State; (4) The number of Notices of Fraud received for that Kiosk; (5) If the Kiosk is a Mobile Kiosk, the location of the Mobile Kiosk at the time of the transaction described in each Notice of Fraud; (6) The number and dollar amount of Refund Denials issued for that Kiosk; (7) The number and dollar amount of Fee Refunds issued for that Kiosk; and (8) The dollar amount of Fees subject to Notices of Fraud for that Kiosk. B. The Annual Report required by this regulation: (1) Should include information with respect to each Kiosk for the lesser of: (a) The preceding 12 months; or (b) The timeframe in which that Kiosk offered Virtual Currency Services in the State; and (2) May run for any 12 consecutive monthly period ending no earlier than September 1 of the current calendar year. C. The Operator shall submit this annual report to the Commissioner through NMLS: (1) At the time the Operator renews its Operator registration in accordance with Regulation .03 of this chapter; or (2) On or before December 31st of the current calendar year if the Operator does not intend to renew its Operator registration in accordance with Regulation .03 of this chapter. ## Subtitle 04 — Commissioner of Consumer Credit ### Chapter 01 — General Regulations *Chapter recodified from COMAR 09.04.01 to COMAR 09.03.02, April, 1998* ### Chapter 02 — Consumer Loan Licenses *Chapter repealed effective June 16, 1997 (24:12 Md. R. 864)* ### Chapter 03 — Retail Installment Sellers *Chapter recodified from COMAR 09.04.03 to COMAR 09.03.04, April, 1998* ### Chapter 04 — Collection Agency Licensing Board *Chapter repealed effective June 16, 1997 (24:12 Md. R. 864)* ### Chapter 05 — Secondary Mortgage Loan Law *Chapter repealed effective June 16, 1997 (24:12 Md. R. 864)* ### Chapter 06 — Mortgage Lenders *Chapter recodified from COMAR 09.04.06 to COMAR 09.03.06, April, 1998* ### Chapter 07 — Credit Reporting Agencies *Chapter recodified from COMAR 09.04.07 to COMAR 09.03.07, April, 1998* ## Subtitle 05 — Division of Savings and Loan Associations ## Subtitle 06 — Maryland Deposit Insurance Fund Corporation ## Subtitle 07 — ## Subtitle 08 — Home Improvement Commission ### Chapter 01 — General Regulations **Authority:** Business Regulation Article, §§8-207(a), 8-212(a)(1) and (2), 8-309, 8-311(a)(11)—(13), 8-501(c)(1)(ix), and 8-616, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulation .04 repealed and new Regulation adopted effective May 19, 1986 (13:10 Md. R. 1154) **Administrative History:** Regulation .06 repealed effective December 1, 1986 (13:24 Md. R. 2557) **Administrative History:** Regulations .07 and .20 amended effective January 16, 1984 (11:1 Md. R. 42) **Administrative History:** Regulations .23 and .24 amended effective November 19, 1984 (11:23 Md. R. 1991) **Administrative History:** Regulation .31 amended effective August 25, 1978 (5:17 Md. R. 1328) **Administrative History:** Regulation .32 amended effective August 3, 1977 (4:16 Md. R. 1211) **Administrative History:** Regulations .33—.34 effective June 19, 1974 **Administrative History:** Regulation .33 repealed and new Regulation .33 adopted effective November 19, 1984 (11:23 Md. R. 1991) **Administrative History:** Regulation .35 adopted effective June 1, 1979 (6:11 Md. R. 978) **Administrative History:** Regulation .36 adopted effective May 16, 1980 (7:10 Md. R. 952) **Administrative History:** Regulation .36D amended effective December 2, 1985 (12:24 Md. R. 2347) **Administrative History:** Regulation .37 adopted effective November 19, 1984 (11:23 Md. R. 1991) **Administrative History:** Regulation .38 adopted effective March 25, 1985 (12:6 Md. R. 594) **Administrative History:** Regulation .39 adopted effective March 25, 1985 (12:6 Md. R. 595) **Administrative History:** Regulation .40 adopted effective May 19, 1986 (13:10 Md. R. 1154) **Administrative History:** Regulation .41 adopted effective April 20, 1987 (14:8 Md. R. 938) **Administrative History:** Chapter revised effective December 14, 1987 (14:25 Md. R. 2658) **Administrative History:** Regulation .04B, D amended effective June 23, 2025 (52:12 Md. R. 599) **Administrative History:** Regulation .04B amended effective July 10, 2000 (27:13 Md. R. 1211) **Administrative History:** Regulation .06 adopted effective February 22, 1988 (15:4 Md. R. 471) **Administrative History:** Regulation .09B amended effective February 19, 2001 (28:3 Md. R. 205) **Administrative History:** Regulation .11 amended effective June 1, 1995 (22:10 Md. R. 705) **Administrative History:** Regulation .16C amended effective August 6, 1990 (17:15 Md. R. 1857) **Administrative History:** Regulation .17 repealed effective March 20, 2000 (27:5 Md. R. 583) **Administrative History:** Regulation .16H adopted effective June 1, 1995 (22:10 Md. R. 705) **Administrative History:** Regulation .18 D adopted effective May 27, 2024 (51:10 Md. R. 524) **Administrative History:** Regulation .19 amended effective June 23, 2025 (52:12 Md. R. 599) **Administrative History:** Regulation .22 adopted effective October 26, 1992 (19:21 Md. R. 1890) **Administrative History:** Regulation .23 adopted effective April 12, 1993 (20:7 Md. R. 641) **Administrative History:** Regulation .23A amended effective April 30, 1994 (21:7 Md. R. 529) **Administrative History:** Regulation .24 adopted effective April 30, 1994 (21:7 Md. R. 529) **Administrative History:** Regulation .25 adopted effective October 31, 1994 (21:20 Md. R. 1732) **Administrative History:** Regulation .26 adopted effective August 20, 2012 (39:16 Md. R. 1080) **Administrative History:** Regulation .27 adopted effective April 8, 2019 (46:7 Md. R. 370) #### Regulation .01 Definitions. *COMAR 09.08.01.01* The definitions contained in Business Regulation Article, §8-101, Annotated Code of Maryland, are incorporated into these regulations, by reference, as Regulation .01. #### Regulation .02 Definition of Canvasser, Solicitor. *COMAR 09.08.01.02* The definitions of canvasser, solicitor, or similar term will be considered the same as the definition for a salesman; those persons using these terms will be subject to licensing and the requirements of the Maryland Home Improvement Law. #### Regulation .03 Licenses for Contractors and Salesmen. *COMAR 09.08.01.03* All contractors and salesmen required to be licensed shall have licenses on and after October 1, 1962. #### Regulation .04 Corporate or Partnership Licensure. *COMAR 09.08.01.04* A. A corporation or partnership may not act as a home improvement contractor unless it obtains a corporate or partnership home improvement contractor's license. B. To obtain and maintain a corporate or partnership home improvement license, the corporation or partnership shall employ one individual licensed contractor who shall be in responsible charge of the corporation's or partnership's home improvement work. C. The corporation or partnership and the individual in responsible charge of the corporation's or partnership's home improvement work shall be jointly and severally responsible for: (1) Payment of any fees required by Business Regulation Article, §§8-302, 8-303, 8-308, and 8-404, Annotated Code of Maryland; (2) Filing of a bond or other evidence of financial responsibility required by Business Regulation Article, §8-303(c), Annotated Code of Maryland; (3) Repayment to the Home Improvement Commission Guaranty Fund pursuant to Business Regulation Article, §8-410, Annotated Code of Maryland, for any payments made to claimants from the Fund on account of violations by the corporation or partnership or the individual in responsible charge. D. For purposes of applying the limitation in Business Regulation Article, §8-405(e)(2), Annotated Code of Maryland, on Fund awards on account of the conduct of any one licensed contractor, the combined liability of a licensed corporation or partnership and the individual in responsible charge of the corporation's or partnership's work may not exceed the limitation in the aggregate. E. The Commissions may, pursuant to Business Regulation Article, §8-311, Annotated Code of Maryland, sanction a corporation or partnership for conduct which is in violation of Business Regulation Article, Title 8, Annotated Code of Maryland. #### Regulation .05 Issue of Salesman's License under Legal Name. *COMAR 09.08.01.05* A salesman's license will be issued only in the legal name of the applicant for the license. #### Regulation .06 License Numbers on Vehicles. *COMAR 09.08.01.06* A. Licensed contractors and subcontractors shall conspicuously display their home improvement license number preceded by the designation "MHIC #' on both sides of all vehicles primarily used either by the licensee or under the licensee's direction and control for the performance of home improvement work. B. For purposes of this regulation, performance of home improvement work: (1) Shall include, but not be limited to, transporting materials to and from the jobsite; (2) May not include sales work. C. Contractors or subcontractors are required to display only their own license numbers while they are performing work as a subcontractor. D. Displays required by this regulation shall be at least 3 inches in height. #### Regulation .07 Salesman's Representation of Contractors. *COMAR 09.08.01.07* A. A salesman may not represent any contractor unless the salesman complies with the provisions of this regulation. B. A salesman seeking to represent any contractor shall make application on forms provided by the Commission. C. A salesman may not represent more than two contractors at any one time. D. Before the Commission may authorize a salesman to represent two contractors at the same time, the salesman shall provide to the Commission the following: (1) Written notice of appointment or employment signed by both the contractor duly licensed with the Commission and the salesman; and (2) A copy of notification by certified mail, and evidence of its receipt, to each contractor represented by the salesman stating the names and addresses of each contractor represented by the salesman. E. A contractor shall promptly notify the Commission when his association with any salesman is terminated, and a salesman shall promptly return to the Commission any authorization issued by the Commission to represent the contractor. #### Regulation .08 Duty of Prime Contractor on Home Improvement Contract. *COMAR 09.08.01.08* In the performance of any Home Improvement Contract it shall be the non-delegable duty and obligation of the prime contractor to secure, or see to the securing of, every permit, license, or special exception necessary to the proper completion of the contract according to applicable state or local building laws. #### Regulation .09 Advertising. *COMAR 09.08.01.09* A. General Requirements. (1) A licensed home improvement contractor may not solicit home improvement business by way of advertisement in a newspaper, magazine, circular, or printed document, or by way of television or radio announcement, unless the name and license number of the contractor are stated in the advertisement. (2) A licensee may not directly or indirectly publish any advertisement relating to home improvements, including finance or credit terms, that contains an assertion, representation, or statement of fact that is false, deceptive, or misleading. (3) General statements, such as “Factory to You”, “Direct to You”, “Buy from the Manufacturer”, “Save the Middleman's Profit”, or phrases of similar meaning may not be used unless the advertiser is actually the maker or producer of the merchandise advertised or offered for sale. B. Discount Coupons. An advertisement which offers a discount coupon may not contain a requirement that the coupon be presented before the contractor provides an estimate or proposal. C. Guaranties or Warranties. (1) If reference is made to a guaranty or warranty, or the word “guarantied” or “warranted” is used, the terms, conditions, limitations, and period of time covered shall be clearly and conspicuously disclosed. The terms shall indicate whether items such as “labor and material only”, “repair”, “replacement”, or “full refund” are offered. Basic limitations shall be disclosed in the advertisement. (2) With respect to any guaranty offered by a licensee, compliance with the Maryland Consumer Products Guaranty Act, Commercial Law Article, §14-401—14-409, Annotated Code of Maryland, shall constitute prima facie evidence that a licensee has complied with §A(2) of this regulation. The Maryland Home Improvement Commission shall provide a copy of the Consumer Products Guaranty Act to any licensee within 5 days after receipt of a written request. D. Special Disclosure Requirements. (1) Credit Terms and Charges. (a) Statements and claims regarding installment buying plans, finance, credit service, and carrying or service charges, including references to down payments, amounts, and frequency of payments, shall be accurate and clearly understandable, made in good faith, and in compliance with all other statutes or regulations regulating installment contracts. (b) If a repayment price is offered, it shall be stated in specific amounts. The number of payments shall be stated, and the combination of amounts and number of payments advertised shall be readily available. (2) Prices. (a) If a price is stated in an advertisement which does not include all costs of items necessary for the proper function and appearance of the installed product, this shall be clearly and conspicuously qualified in conjunction with the stated price by an explanatory statement. (b) When the price or specific credit terms are stated in an advertisement, the advertisement shall accurately describe what is being offered at that price or on those terms. Any limitations to, or conditions on, what will be supplied at the stated price or credit terms shall be clearly and conspicuously stated in immediate conjunction with the featured statement. (c) If the price advertised does not include all of the accessories which either appear in the advertisement, or which are necessary to affect proper installation and proper use of the item, the advertisement shall state that fact clearly and prominently in immediate conjunction with the advertised price. Extra charges may not be used as a device to disguise the actual selling price of merchandise. (3) Delivery Charges. If an extra charge is required to make delivery of an advertised home improvement item, it shall be clearly and conspicuously stated in the advertisement. (4) Installation Charge. If installation is extra, the advertising shall disclose the fact clearly and conspicuously in immediate conjunction with the advertisement. For example: (a) Installation Extra; (b) Plus Installation; (c) Installation at Extra Cost. (5) Offer Not Valid in Maryland. A statement that an offer in an advertisement is not valid in Maryland shall be conspicuously displayed in the advertisement. #### Regulation .10 Model Home Offers and Referral Offers. *COMAR 09.08.01.10* A licensee may not promise to any owner that the owner's building will be used as a “model home,” “advertising job,” or for other similar purposes, when the licensee also will: A. Pay a commission or other compensation to the owner for any sale made within any specified distance from the owner's building; or B. Consequently reduce the cost for the owner of any home improvement work. #### Regulation .11 Notice of Change of Licensing Information. *COMAR 09.08.01.11* Licensees shall notify the Commission, in writing, within 10 days, of any change of control in ownership or management, or a change of address or trade name of the licensee. This notice shall be sent to the Executive Director of the Commission by certified mail, return receipt requested. #### Regulation .12 Duty of Prime Contractor to Pay Subcontractors and Workmen. *COMAR 09.08.01.12* In the performance of any home improvement contract, it shall be the nondelegable duty and obligation of the prime contractor to pay the subcontractors and workmen and materialmen so as to avoid the subjection of the property of the owner to mechanics' liens and materialmen's liens. #### Regulation .13 Time Limitations for Filing Complaints. *COMAR 09.08.01.13* The Commission may summarily dismiss any complaint brought against a licensee after 3 years from the date of the home improvement contract for the work from which the complaint arises, unless the Commission finds that the complainant's delay in bringing the complaint was justified and that the delay does not result in an undue burden for the licensee. #### Regulation .14 Application for Licensure as Home Improvement Contractor. *COMAR 09.08.01.14* An application for licensure as a home improvement contractor, whether it is in the name of an individual, partnership, proprietorship, or corporation, may not be accepted, if the name under which the licensee will be trading is the same as the name being used by an existing licensee, or is so similar to the name being used by an existing licensee that it will cause confusion on the part of the public at large. This regulation shall apply prospectively only to new applications received as of July 1, 1974. #### Regulation .15 Contracts Subject to Approval of Licensee. *COMAR 09.08.01.15* A. Every home improvement contract which contains a stipulation or condition or which is represented to be that the contract is subject to the approval of the contractor before it becomes binding or any other language requiring prior approval before acceptance shall state that approval or disapproval of the contract shall be made within 10 working days from the date of the contract. The owner shall be duly informed, in writing, by the contractor of the decision approving or disapproving the contract within that time. B. If the home improvement contract described in §A of this regulation is not approved, money or other collateral tendered as a deposit or down payment to a contractor, salesman, or any other person shall be returned to the owner within 3 working days of the date of disapproval, and not later than 13 working days from the date of the contract. #### Regulation .16 Examination. *COMAR 09.08.01.16* A. The examination shall be held as often as necessary at a test site determined by the Commission. This examination may be offered at various political subdivisions throughout the State. The examination shall include the law relating to the practice of home improvement contracting and the applicant's competence to perform home improvement work. The examination for competence may be oral or written. B. Each applicant shall file with the Commission a written application on forms which will be furnished on request. The application must be filed not later than 1 week before the date on which the examination is held, and must be accompanied by the required fee, and a full face photograph, taken within the year preceding the initial application. C. The passing mark shall be 70 in the subject matter. If the applicant has failed to pass the examination, he will not be eligible to reapply until 21 days have elapsed. A request for a second reconsideration received after the second failure will not be accepted until 60 days have elapsed. D. If an applicant fails to sit for the examination as scheduled, the applicant shall, in order to be rescheduled for the examination, file a written application, on forms provided by the Commission, accompanied by the fee as determined in Business Regulation Article, §8-302(c), Annotated Code of Maryland. The Commission may, for good cause and upon written request of the applicant, waive the requirement for a subsequent fee. E. The time limitation within which an applicant is required to pass is as stated in §C of this regulation. If an applicant has been denied registration of a license, because of failure to pass the examination, the applicant may submit to the Commission a request for reconsideration. F. As soon as practicable after grading of the examination papers has been completed, every applicant will be notified in writing what his grades are. Within a period of 30 days after the notice, the applicant may request the Executive Director of the Commission for permission to review his examination papers. G. The fee for the written examination shall be authorized as determined in Business Regulation Article, §8-302(c), Annotated Code of Maryland. H. An applicant for a new license shall pass the examination within the 2-year period immediately preceding receipt of the license application by the Commission. #### Regulation .17 Repealed. *COMAR 09.08.01.17* #### Regulation .18 License Renewals. *COMAR 09.08.01.18* A. Applications Within 2 Years of License Expiration. (1) An application for a license previously issued which is received within 2 years from the date of the previously issued license's expiration shall be presumed to be an application for a renewal of that license. (2) Upon a showing of good cause by the applicant, an application described in §A(1) of this regulation may be considered an application for a new license. B. Applications After 2 Years of License Expiration. (1) An application for a license previously issued which is received more than 2 years from the date of the previously issued license's expiration shall be presumed to be an application for a new license. (2) Upon a showing of good cause by the applicant, an application described in §B(1), above, may be considered an application for a renewal of the previously issued license. C. Effective Date of Renewals. A license renewed pursuant to this regulation may not be retroactive to the date that the previously issued license expired, but shall take effect on the date that the applicant fulfills the Commission's requirements for a renewal. The license shall expire 2 years from the date on which the previously issued license expired. D. Guaranty Fund Assessment. Before the Commission renews a contractor license, the contractor shall pay a fee of $175 to be credited to the Fund. #### Regulation .19 Financial Solvency. *COMAR 09.08.01.19* A. An applicant for an original contractor's license shall submit to the Commission with the application a credit report from an approved credit reporting agency and a statement of all outstanding judgments and pending civil actions against the applicant. B. The Commission shall consider this credit report and statement in determining whether the applicant has demonstrated financial solvency as required by Business Regulation Article, § 8-311(a)(9), Annotated Code of Maryland. C. An applicant that does not demonstrate a net worth equal to the maximum Fund award available to one claimant for acts of omissions of one contractor under Business Regulation Article, §8-405(e)(1), Annotated Code of Maryland, must obtain a 2-year surety bond for that amount. D. A licensee that obtains a surety bond to satisfy the financial solvency requirement must maintain a surety bond for an amount equal to the maximum Fund award available to one claimant for acts of omissions of one contractor at all times unless the licensee demonstrates a sufficient net worth and the Commission authorizes the licensee to cancel the bond. E. At any time, the Commission may require a licensee to demonstrate financial solvency and may revoke a license if the licensee fails to do so. F. The fact that an applicant or licensee holds a surety bond does not preclude the Commission from denying an application or revoking or suspending a license under Business Regulation Article, §8-311(a)(9, Annotated Code of Maryland. #### Regulation .20 Interest on Guaranty Fund Repayments. *COMAR 09.08.01.20* A contractor required to repay the Guaranty Fund pursuant to Business Regulation Article, §8-410(c), Annotated Code of Maryland, shall repay the amount paid from the Fund on the contractor's account plus interest at the rate of 10 percent per annum simple interest. #### Regulation .21 Television Antenna Installation. *COMAR 09.08.01.21* A. As used in this regulation, “television antenna” means a device used to receive television signals from terrestrial over-the-air-broadcasts or satellites for use in a building used or designed to be used as a residence or dwelling place of one, two, or three single family units. B. The installation of a television antenna may not be subject to the Maryland Home Improvement Law if all of the following criteria are met: (1) The party requesting the installation does not intend for the television antenna to be fabricated into and become a permanent fixed part of the building or adjacent land; (2) The installation does not require any substantial modification or alteration of the building to mount the television antenna or to install the wiring from the television antenna; (3) The attachment of the television antenna is accomplished by means of screws or other similar devices that may be removed and after removal the building does not require any repair other than repairing the screw holes and normal finishing work; (4) The television antenna and its attaching mount may be removed without damage to the building, the land, or the television antenna and its attaching mount; and (5) The installation does not require the permanent affixation of a pole or similar device to the building or adjacent land. C. An installation of a television antenna not meeting the criteria of §B of this regulation shall be subject to the Maryland Home Improvement Law unless otherwise determined by the Commission on a case-by-case basis. D. A party under §C of this regulation shall have the burden of persuasion that the television antenna installation is not subject to the Maryland Home Improvement Law. #### Regulation .22 Outstanding Obligations. *COMAR 09.08.01.22* Under Business Regulation Article, §8-306(d)(1), Annotated Code of Maryland, an applicant's outstanding obligation is considered a financial obligation arising out of the applicant's conviction for violation of Business Regulation Article, §8-601, Annotated Code of Maryland. #### Regulation .23 Experience or Education Requirement. *COMAR 09.08.01.23* A. Trade Experience. (1) An applicant for a home improvement contractor's license shall have at least 2 years of trade experience. (2) “Trade experience” includes one or more of the following: (a) Participation in a registered apprenticeship program; (b) Employment in performing home improvements; (c) Employment in performing commercial or residential construction, repairs, or renovations; (d) Participation in a community service or charitable building or renovation program; or (e) Performing repairs and improvements which require a building permit on one's home or the home of family members. (3) Experience as a licensed home improvement salesperson for at least 2 years may be credited as trade experience, if the Home Improvement Commission determines that the applicant has gained substantial knowledge of the operation of a home improvement business. B. Business Experience in Other Areas. Experience in the capacity of supervisor, manager, or owner of a business may be substituted for 1 year of the required trade experience, based on a review by the Home Improvement Commission, or an applicant for a home improvement contractor's license may substitute for the required trade experience educational training in: (1) Vocational school training in a building trade; or (2) Participation in a building trade work-study program. C. Experience or educational qualifications of applicants for a home improvement contractor's license who have documented handicaps shall be considered by the Commission on an individual basis. #### Regulation .24 Street Address Required. *COMAR 09.08.01.24* A. This regulation applies to all applications, both original and renewal, received after April 30, 1994. B. An applicant for a contractor license shall provide to the Commission the actual street address of the contractor's principal business office. An applicant may not provide a post office box or private mail drop as the applicant's business address of record. #### Regulation .25 Arbitration Clause. *COMAR 09.08.01.25* A. A mandatory arbitration clause in a home improvement contract shall include the following information: (1) The name of the person or organization that will conduct the arbitration; (2) Whether any mandatory fees will be charged to the parties for participation in the arbitration and include the fee schedule; (3) Whether the arbitrator's findings are binding; and (4) A disclosure that, under Business Regulation Article, §8-405(c), Annotated Code of Maryland, a claim against the Home Improvement Guaranty Fund by an owner shall be stayed until completion of any mandatory arbitration proceeding. B. The parties shall affix their initials and date immediately adjacent to any mandatory arbitration clause in a home improvement contract, at the time of execution of the contract. C. This regulation shall apply to all home improvement contracts executed after October 31, 1994. #### Regulation .26 Required Notice in Contracts. *COMAR 09.08.01.26* A. A home improvement contract shall contain a notice stating that: (1) Formal mediation of disputes between homeowners and contractors is available through the Maryland Home Improvement Commission; (2) The Maryland Home Improvement Commission administers the Guaranty Fund, which may compensate homeowners for certain actual losses caused by acts or omissions of licensed contractors; and (3) A homeowner may request that a contractor purchase a performance bond for additional protection against losses not covered by the Guaranty Fund. B. The notice required by this regulation shall be included within the contract or, until July 1, 2013, may be included in an addendum attached to the contract, provided that the addendum is signed by the homeowner and contractor. #### Regulation .27 Failure to Respond. *COMAR 09.08.01.27* A. If an applicant or licensee receives from the Commission a written communication requesting a response, the applicant or licensee shall respond within 30 days of the date of the mailing. B. The Commission shall send a written communication by first-class mail to the last business address furnished to the Commission by the applicant or licensee. C. It is a responsibility of an applicant or licensee to notify the Commission in writing if there has been a change in the applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Commission to be a violation of Business Regulation Article, §§8-311(a)(11)—(13) and 8-616, Annotated Code of Maryland. ### Chapter 02 — Procedural Regulations **Authority:** Business Regulation Article, §8-207, Annotated Code of Maryland **Administrative History:** Effective date: July 7, 1976 (3:14 Md. R. 746) **Administrative History:** Regulation .06 amended effective August 26, 1985 (12:17 Md. R. 1703 **Administrative History:** Regulations .14 and .15 adopted effective August 26, 1985 (12:17 Md. R. 1703) **Administrative History:** Regulations .01—.15 repealed and new Regulation .01 adopted effective August 18, 2003 (30:16 Md. R. 1075) #### Regulation .01 Contested Case Hearings. *COMAR 09.08.02.01* A. All contested case hearings before the Commission shall be governed by COMAR 09.01.02. B. All contested case hearings delegated to the Office of Administrative Hearings shall be governed by COMAR 09.01.03. ### Chapter 03 — Claims Against the Home Improvement Guaranty Fund **Authority:** Business Regulation Article, §§8-207 and 8-405, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.05, Bonding, adopted as an emergency provision effective June 1, 1979 (6:14 Md. R. 1200); adopted permanently effective November 16, 1979 (6:23 Md. R. 1839) **Administrative History:** Chapter revised effective July 5, 1982 (9:13 Md. R. 1350); repealed effective August 26, 1985 (12:17 Md. R. 1704) **Administrative History:** Regulations .01—.03 adopted effective August 26, 1985 (12:17 Md. R. 1704) **Administrative History:** Regulations .01—.03, Financial Responsibility, repealed effective September 5, 1988 (15:18 Md. R. 2145) **Administrative History:** Regulations .01—.03, Claims Against the Home Improvement Guaranty Fund, adopted effective September 5, 1988 (15:18 Md. R. 2145) **Administrative History:** Regulation .02A, E amended effective June 23, 2025 (52:12 Md. R. 599) **Administrative History:** Regulation 02H adopted effective June 23, 2025 (52:12 Md. R. 599) **Administrative History:** Regulation .03A amended effective July 7, 1993 (20:13 Md. R. 1046) **Administrative History:** Regulation .03B, D amended effective January 19, 2015 (42:1 Md. R. 17); June 23, 2025 (52:12 Md. R. 599) **Administrative History:** Regulation .03D amended effective April 3, 2000 (27:6 Md. R. 641); September 7, 2001 (28:17 Md. R. 1555) #### Regulation .01 Scope. *COMAR 09.08.03.01* This chapter shall apply to all claims arising from transactions or events occurring on or after July 1, 1988. #### Regulation .02 Processing of Claims. *COMAR 09.08.03.02* A. Filing of Claims. A claimant who seeks compensation from the Home Improvement Guaranty Fund (“Fund”) shall file a claim with the Commission on a claim form prepared by the Commission. This claim form shall contain at a minimum: (1) The amount claimed based on actual loss; (2) The facts and circumstances giving rise to the claim; (3) The address of the home where the claimant resides; (4) The address of each residential property, whether located within or outside of Maryland, owned by the claimant at any time from the date of the contract giving rise to the claim through the date of filing the claim, and the number of dwelling units at each property; and (5) An affirmation by the claimant that all statements in the claim are true. B. Contractor's Response. (1) The Commission shall, upon receipt of a claim, forward a copy of the claim to the contractor alleged to be responsible for the claimant's loss. (2) A contractor to whom the Commission has forwarded a copy of a claim shall submit a written response to the allegations in the claim within 10 days of receipt of the claim. C. Amending of Claims. Once a verified claim has been filed with the Commission, the claimant may not amend the claim unless the claimant can establish to the satisfaction of the Commission that either the: (1) Claimant did not know and could not have reasonably ascertained the facts on which the proposed amendment is based at the time the claim was filed; or (2) Claimant's proposed amendment would not prejudice the contractor whose conduct gave rise to the claim. D. Review by Hearing Board. (1) The claim, along with any written response received from a contractor, shall be referred to a hearing board of the Commission for investigation and review. (2) Setting Claim Hearings. (a) Unless the hearing board determines that the claim is made in bad faith, is frivolous, or is legally insufficient, the hearing board shall set the claim for a hearing before either a hearing officer, a hearing board comprised of commissioners other than the commissioners on the hearing board which reviewed the claim, or the full Commission. (b) The hearing board may set the claim for a hearing: (i) Solely on the claim; (ii) On both the claim and any regulatory charges arising from the same events or transactions on which the claim was based; or (iii) On the claim and any other outstanding claims and regulatory charges against the contractor alleged to be responsible for the claimant's loss. (3) Dismissal of Claims by Hearing Board. (a) Claimant's Response. (i) If, upon initial review, the hearing board finds that the claim is frivolous, made in bad faith, or legally insufficient, the hearing board shall forward its finding, including the basis for its finding, to the claimant. (ii) The claimant shall have 30 days from the date of the hearing board's letter forwarding its finding to respond in writing to the hearing board. (b) Final Decision to Dismiss. (i) If the hearing board, after a review of any written response from the claimant, determines that the claim is frivolous, made in bad faith, or legally insufficient, the hearing board shall issue an Order dismissing the claim. (ii) Unless the Commission or any of its members determines within 15 days of the issuance by a hearing board of its Order that a full hearing by the Commission is required, the Order of the hearing board shall be a Final Order which may be appealed by the claimant directly to the circuit court where any party resides or has a principal place of business. (c) The hearing board may dismiss a claim as legally insufficient if the claimant has unreasonably rejected good faith efforts by the contractor to resolve the claim. (d) The hearing board may dismiss a claim as legally insufficient if the contractor was unlicensed when the contract was entered into but licensed during the performance of the contract unless: (i) The claimant establishes by a preponderance of the evidence that the claimant did not know that the contractor was unlicensed at the time the contract was entered into; and (ii) A substantial portion of the contractor's alleged misconduct occurred after the contractor became licensed. E. Compulsory Binding Arbitration. When a contract between a claimant and a contractor requires that all contract disputes be submitted to binding arbitration, the claimant shall either: (1) Submit their dispute to binding arbitration as required by the contract; or (2) Provide evidence to the Commission that the claimant has made good faith efforts to bring the dispute to binding arbitration which the contractor has either rejected or not responded to. The Commission shall then give the contractor written notice that, if the contractor does not demonstrate to the Commission within 10 days of the date of the letter that it has engaged in the arbitration process and has paid its share of any fees necessary to commence the arbitration process, the Commission will deem the contractor to have waived the right to enforce the compulsory arbitration clause and process the claimant's claim pursuant to this chapter. F. Final Decisions by Court or Arbitrator. If a claimant provides the Commission with a final unappealable and non-default decision by a court or arbitrator awarding the claimant money damages against a licensed contractor when the conditions precedent to recovery set forth in Business Regulation Article, §8-405(a) and (c), Annotated Code of Maryland, are met, the Commission shall: (1) Send a copy of the decision to the contractor and give the contractor 21 days to comment on the decision; and (2) Issue a Final Order to compensate the claimant from the Fund for any actual losses awarded to the claimant by the decision and not paid by the contractor, subject to the limitations set out in Regulation .03B(1) and D(2) of this chapter. G. Time Limitation. A claim may not be brought against the Fund after 3 years from the date that the claimant discovered, or by exercise of ordinary diligence should have discovered, the loss or damage. H. An owner is ineligible to make a claim against the Fund under Business Regulation Article, §8-405(f)(2)(ii), Annotated Code of Maryland, if they do not reside in the home as to which the claim is made and they simultaneously owned more than three residences or dwelling places, whether located within or outside of Maryland, at any time from the date of the contract underlying their claim through the date the claim was filed. #### Regulation .03 Adjudication of Claims. *COMAR 09.08.03.03* A. Claim Hearings. (1) Parties. (a) The claimant who brought the claim, and the contractor alleged to be responsible for the monetary loss of the claimant, shall be parties in all claim hearings. (b) Assistant Attorneys General. Assistant attorneys general assigned to either represent the Fund on a claim, or present regulatory charges, shall participate as a party in the hearing and receive all appropriate notices. (c) The same assistant attorney general assigned to present the regulatory case may be assigned to represent the Fund. (2) Notice. (a) The Commission shall notify all parties to a claim hearing of the date, time, and place of the hearing. (b) This notice shall contain a statement of any regulatory charges brought against the contractor which will be heard at the claim hearing. (c) The notice shall be mailed so as to give at least 10 days notice of the claim hearing. (3) The burden of proof shall be on the claimant to establish the validity of the claim. (4) Conduct of the Hearing. (a) If a hearing does not involve regulatory charges, the order of presentation shall be as follows: (i) The claimant shall present the case for the claim; (ii) The contractor may submit any evidence against the claim; (iii) An assistant attorney general representing the Fund may submit evidence concerning the claim; and (iv) Any party in the hearing may cross-examine any witnesses and submit rebuttal evidence and closing arguments. (b) If a hearing involves regulatory charges and a claim arising from the same event or transaction, the order of presentation shall be as follows: (i) The assistant attorney general representing the State shall present the case for the regulatory charges against the contractor; (ii) The claimant shall present the case for the claim; (iii) The contractor may submit evidence against the charges and the claim; (iv) An assistant attorney general representing the Fund may submit evidence concerning the claim; and (v) Any party in the hearing may cross-examine any witnesses and submit rebuttal evidence and closing arguments. (c) When a hearing involves regulatory charges and a claim arising from the same event or transaction, all evidence submitted at the hearing concerning that event or transaction shall be considered in determining the validity of the charges and the claim. B. Measure of Awards from Guaranty Fund. (1) The Commission may not award from the Fund any amount for: (a) Consequential or punitive damages; (b) Personal injury; (c) Attorney's fees; (d) Court costs; (e) Interest; (f) Payments made to a person who does not hold a contractor license to correct or complete a deficient home improvement unless the work performed by the unlicensed person did not require a contractor license or was performed by a person who was not required to hold a contractor license under Business Regulation Article, §8-301(c)(4)-(6), Annotated Code of Maryland; or (g) Estimated costs to correct or complete a deficient home improvement based on the estimates of a person who does not hold a contractor license unless the estimated work did not require a contractor license or the unlicensed person was not required to hold a contractor license under Business Regulation Article, §8-301(c)(4)-(6), Annotated Code of Maryland. (2) The Fund may only compensate claimants for actual losses they incurred as a result of misconduct by a licensed contractor. (3) Unless it determines that a particular claim requires a unique measurement, the Commission shall measure actual loss as follows: (a) If the contractor abandoned the contract without doing any work, the claimant's actual loss shall be the amount which the claimant paid to the contractor under the contract. (b) If the contractor did work according to the contract and the claimant is not soliciting another contractor to complete the contract, the claimant's actual loss shall be the amount which the claimant paid to the original contractor less the value of any materials and services provided by the contractor. (c) If the contractor did work according to the contract and the claimant has solicited or is soliciting another contractor to complete the contract or correct the contractor’s poor work, the claimant's actual loss shall be the amounts the claimant has paid to or on behalf of the contractor under the original contract, added to any reasonable amounts the claimant has paid or will be required to pay another contractor to repair poor work done by the original contractor under the original contract and complete the original contract, less the original contract price. If the Commission determines that the original contract price is too unrealistically low or high to provide a proper basis for measuring actual loss, the Commission may adjust its measurement accordingly. (4) The Commission may not award from the Fund an amount in excess of the amount paid by or on behalf of the claimant to or on behalf of the contractor against whom the claim is filed. C. Determinations. (1) Hearing Officers. (a) If the claim hearing is held before a hearing officer, the provisions of COMAR 09.01.03 shall be applicable. (b) A hearing board comprised of commissioners other than commissioners who initially reviewed the claim shall adopt, reject, or modify the hearing officer's recommendations pursuant to COMAR 09.01.03. (2) Unless the Commission or any of its members determines within 15 days of its issuance that a full hearing by the Commission is required, a hearing board's decision on a claim shall be a Final Order of the Commission which may be appealable by any aggrieved party to the circuit court where any party resides or has a principal place of business. (3) If the claim hearing is held before the full Commission, the Commission shall issue a decision on the claim which shall be a Final Order which may be appealed by an aggrieved party to the circuit court where any party resides or has a principal place of business. D. Payments. (1) Upon the issuance of a Final Order that a claim is valid, with all appeals to court exhausted, the Commission shall pay the claim from the Fund subject to the limitations in §§B(1) and D(2) of this regulation. (2) The Commission may not award from the Fund: (a) To any one claimant more than the amount authorized in Business Regulation Article, §8-405(e)(1), Annotated Code of Maryland, for acts or omissions of one contractor; or (b) More than the amount authorized in Business Regulation Article, §8-405(e)(2), Annotated Code of Maryland) to claimants on account of the conduct of any one licensee, unless, after the Commission has paid out that amount on account of the conduct of one licensed contractor, that contractor has repaid the full amount. (3) If the aggregate amount of the approved claims to be paid from the Fund involving one contractor exceeds the maximum payout amount authorized in Business Regulation Article, §8-405(e)(2), Annotated Code of Maryland, the Commission may either: (a) Pay the approved claims in the order filed until the maximum payout is reached; or (b) Prorate the approved claims by awarding each claimant the same percent of their approved claim which the maximum payout amount is of the total amount of the approved claims. (4) For purposes of this regulation, the term “approved claim” means the amount which the Commission has approved to be paid from the Fund which cannot exceed the amount authorized in Business Regulation Article, §8-405(e)(1), Annotated Code of Maryland. ### Chapter 04 — Claims Arising Before June 1, 1985 *Repealed* **Administrative History:** Effective date: August 26, 1985 (12:17 Md. R. 1703) **Administrative History:** Chapter repealed effective April 1, 1996 (23:5 Md. R. 378) ### Chapter 05 — Claims Arising After June 1, 1985 *Repealed* **Administrative History:** Effective date: August 26, 1985 (12:17 Md. R. 1703) **Administrative History:** Regulation .01 amended effective September 5, 1988 (15:18 Md. R. 2145) **Administrative History:** Regulation .04C, H amended effective June 29, 1987 (14:13 Md. R. 1472) **Administrative History:** Regulation .04D amended effective June 7, 1993 (20:11 Md. R. 912) **Administrative History:** Chapter repealed effective April 1, 1996 (23:5 Md. R. 378) ### Chapter 06 — Civil Citations **Authority:** Business Regulation Article, §§8-207(a) and 8-620(c)(1), Annotated Code of Maryland **Administrative History:** Effective date: May 14, 2012 (39:9 Md. R. 611) **Administrative History:** Regulation .02I, T, Z amended effective June 23, 2025 (52:12 Md. R. 599) **Administrative History:** Regulation .02DD adopted effective June 23, 2025 (52:12 Md. R. 599) #### Regulation .01 Scope. *COMAR 09.08.06.01* Unless otherwise indicated, the fines under Regulation .02 of this chapter apply for civil citations issued by the Commission under Business Regulation Article, §8-620(c)(1), Annotated Code of Maryland. #### Regulation .02 Violation. *COMAR 09.08.06.02* A. Failure to include the name or license number in an advertisement: (1) First violation — $100; and (2) Second or subsequent violation — $300. B. Publishing a false, misleading, or deceptive advertisement: (1) First violation — $300; and (2) Second or subsequent violation — $1,000. C. Failure to display the license number on vehicle: (1) First violation — $100; and (2) Second or subsequent violation — $300. D. Perform or sell a home improvement with or through an unlicensed person: (1) First violation — $1,500; and (2) Second or subsequent violation — $5,000. E. Failure of a salesperson to account for, or remit, a payment received: (1) First violation — $1,000; and (2) Second or subsequent violation — $3,000. F. Failure of a contractor to notify Commission of the hiring or termination of a salesperson: (1) First violation — $500; and (2) Second or subsequent violation — $1,000. G. Failure of a contractor to notify the Commission within 10 days of a change of ownership, management, address, or trade name: (1) First violation — $500; and (2) Second or subsequent violation — $1,000. H. Violation of a building law of the State or a political subdivision, a safety or labor law of the State, the Maryland Workers’ Compensation Act, or the lead paint accreditation requirement under Environment Article, §6-1002, Annotated Code of Maryland: (1) First violation — $500; and (2) Second or subsequent violation — $1,500. I. Acting as a contractor or selling a home improvement under a name other than that under which the person is licensed: (1) First violation — $500; and (2) Second or subsequent violation — $1,500. J. Failure to have a written and legible contract: (1) First violation — $500; and (2) Second or subsequent violation — $1,500. K. Failure to have on a contract, the name, address, telephone number, and license number of the contractor: (1) First violation — $500; and (2) Second or subsequent violation — $1,500. L. Failure to have on a contract a clear description of each document that it incorporates: (1) First violation — $500; and (2) Second or subsequent violation — $1,500. M. Failure to have a contract signed by each party: (1) First violation — $500; and (2) Second or subsequent violation — $1,500. N. Failure to have on a contract the approximate start and completion dates: (1) First violation — $500; and (2) Second or subsequent violation — $1,500. O. Failure to have on a contract notice about the Commission and telephone number of the Commission: (1) First violation — $500; and (2) Second or subsequent violation — $1,500. P. Failure to have on a contract a written notice as required whenever payment is secured by an interest in real estate: (1) First violation — $500; and (2) Second or subsequent violation — $1,500. Q. Failure to have the notice required under Business Regulation Article, §8-501(c)(2), Annotated Code of Maryland, initialed by owner: (1) First violation — $1,000; and (2) Second or subsequent violation — $2,000. R. Failure to provide a copy of a contract to an owner: (1) First violation — $500; and (2) Second or subsequent violation — $1,000. S. Failure to have on a contract including a mandatory arbitration clause the notice required under COMAR 09.08.01.25A: (1) First violation — $500; and (2) Second or subsequent violation — $1,000. T. Failure to obtain owner’s initials on a mandatory arbitration clause in a contract: (1) First violation — $1,000; and (2) Second or subsequent violation — $2,000. U. Demand or receive any payment before contract is signed: (1) First violation — $500; and (2) Second or subsequent violation — $1,500. V. Receipt of more than 1/3 deposit at the time of contract signing: (1) First violation — $500; and (2) Second or subsequent violation — $1,500. W. Failure to comply with an order or requirement of Commission: (1) First violation — $500; and (2) Second or subsequent violation — $1,500. X. Offering to act as a contractor without a license from the Commission: (1) First violation — $1,000; and (2) Second or subsequent violation — $3,000. Y. Acting as a contractor without a license from the Commission: (1) First violation — $1,500; and (2) Second or subsequent violation — $5,000. Z. . Reserved. AA. Offering to sell a home improvement without a license from the Commission: (1) First violation — $500; and (2) Second or subsequent violation — $1,500. BB. Selling a home improvement without a license from the Commission: (1) First violation — $1,000; and (2) Second or subsequent violation — $3,000. CC. Accepting a completion certificate with knowledge that the document is false: (1) First violation — $2,000; and (2) Second or subsequent violation — $5,000. DD. Failure to maintain a surety bond that a licensee is required to hold to satisfy financial solvency requirements under Business Regulation Article, §8-305, Annotated Code of Maryland: (1) First violation—$2,000; and (2) Second or subsequent violation—$5,000. ### Chapter 07 — Fees **Authority:** Business Regulation Article, §§2-106.11, 2-106.12, 8-207, 8-209, 8-210, 8-213, 8-302, 8-303, 8-308, and 8-308.1, Annotated Code of Maryland **Administrative History:** Effective date: February 11, 2019 (46:3 Md. R. 106) **Administrative History:** Regulation .02A amended effective May 27, 2024 (51:10 Md. R. 524) #### Regulation .01 Purpose. *COMAR 09.08.07.01* This chapter is intended to carry out the provisions of Business Regulation Article, §2-106.11, 2-106.12, 8-207, 8-209, 8-210, 8-213, 8-302, 8-303, 8-308, and 8-308.1, Annotated Code of Maryland. In particular, it is intended to set various fees in order to cover the actual documented direct and indirect costs of fulfilling the statutory and regulatory duties of the Home Improvement Commission. #### Regulation .02 Schedule of Fees. *COMAR 09.08.07.02* A. Pursuant to Business Regulation Article, §8-213, Annotated Code of Maryland, the Commission shall set fees to produce funds to approximate the cost of maintaining the Commission. Fees charged by the Commission are as follows: (1) License application fees: (a) Contractor — $281.25 for each place of business of the contractor; (b) Salesperson — $112.50; and (c) Application processing fee — $22.50; (2) License renewal fees: (a) Contractor — $281.25 for each place of business of the contractor; and (b) Salesperson — $112.50; (3) Inactive status fees: (a) Inactive status application fee — $56.25; (b) Renewal fees while license is in inactive status: (i) Contractor — $126.75; and (ii) Salesperson — $42.25; and (c) Reactivation of inactive license reissuance fee — $11.25; (4) Certification of license status fee —$1.25; and (5) Document copy fee — $1.25 per page. B. Examination Fee. An applicant for an examination or reexamination shall pay an examination or reexamination fee directly to the testing service chosen by the Commission to develop or administer the examination, as such fees are established by the testing service selected by the Commission. ## Subtitle 09 — Maryland Board of Electricians ### Chapter 01 — Fees and Deadlines **Authority:** Business Occupations and Professions Article, §§6-205, 6-207, 6-305, 6-306, 6-306.1, 6-309—6-313, 6-401, 6-402, and 6-606; Business Regulation Article, §§2-106.9 and 2-610.10; Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01 and .02 adopted as an emergency provision effective April 10, 1995 (22:9 Md. R. 641); emergency status expired September 10, 1995 **Administrative History:** Regulations .01 and .02 adopted effective November 20, 1995 (22:23 Md. R. 1801) **Administrative History:** Regulation .01 amended as an emergency provision effective December 1, 2005 (32:26 Md. R. 1993); emergency status expired April 28, 2006 **Administrative History:** Regulation .01 amended effective July 3, 2006 (33:13 Md. R. 1063); May 22, 2017 (44:10 Md. R. 470) **Administrative History:** Chapter revised effective August 27, 2018 (45:17 Md. R. 802) **Administrative History:** Regulation .01 amended as an emergency provision effective July 15, 2021 (48:17 Md. R. 665); emergency provision expired December 1, 2021 **Administrative History:** Regulation .01 amended effective December 27, 2021 (48:26 Md. R. 1110) **Administrative History:** Regulation .02B amended as an emergency provision effective July 15, 2021 (48:17 Md. R. 665); emergency provision expired December 1, 2021 **Administrative History:** Regulation .03 amended effective March 18, 2024 (51:5 Md. R. 229) **Administrative History:** Regulation .02B amended effective December 27, 2021 (48:26 Md. R. 1110) **Administrative History:** Regulation .03A amended as an emergency provision effective July 15, 2021 (48:17 Md. R. 665); emergency provision expired December 1, 2021 **Administrative History:** Regulation .03A amended effective December 27, 2021 (48:26 Md. R. 1110) **Administrative History:** Regulation .03A amended as an emergency provision effective August 31, 2023 (50:19 Md. R. 853); amended permanently effective November 27, 2023 (50:23 Md. R. 1004) **Administrative History:** Regulation .04 amended as an emergency provision effective July 15, 2021 (48:17 Md. R. 665); emergency provision expired December 1, 2021 **Administrative History:** Regulation .04 amended effective December 27, 2021 (48:26 Md. R. 1110) #### Regulation .01 Purpose. *COMAR 09.09.01.01* This chapter is intended to carry out the provisions of Business Regulation Article, §§2-106.9 and 2-106.10, Annotated Code of Maryland, and Business Occupations and Professions Article, Title 12, Annotated Code of Maryland. In particular, it is intended to set various fees in order to cover the actual documented direct and indirect costs of fulfilling the statutory and regulatory duties of the State Board of Electricians, the State Board of Stationary Engineers, the State Board of Plumbing, and the State Board of Heating, Ventilation, Air-Conditioning, and Refrigeration Contractors. #### Regulation .02 Definitions. *COMAR 09.09.01.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Board” means the State Board of Electricians. (2) “License fee” means the fee paid by an applicant or licensee, as applicable, in connection with the issuance and renewal of a license and the issuance of a limited license and a reciprocal license. (3) “Mechanical boards” means collectively the: (a) State Board of Electricians; (b) State Board of Stationary Engineers; (c) State Board of Plumbing; and (d) State Board of Heating, Ventilation, Air-Conditioning, and Refrigeration Contractors. (4) “Secretary” means the Secretary of Labor. #### Regulation .03 Fees and Costs. *COMAR 09.09.01.03* A. The Secretary and the mechanical boards have agreed to average their direct and indirect costs, based on the calculation of costs performed by the Secretary in consultation with the mechanical boards. Based on these calculations, the Board sets the following nonrefundable fees as of January 24, 2024: (1) Original License: (a) Master — $22.50; (b) Journeyperson — $16.50; and (c) Apprentice — $11. (2) License renewal: (a) Master — $28; (b) Journeyperson — $16.50; and (c) Apprentice — $11. (3) Uninsured status certificate: (a) Initial uninsured status — $56; and (b) Uninsured status renewal — $56. (4) Reapplication after expiration of uninsured status — $112.50. (5) Reactivation — $56. (6) Reinstatement of license: (a) Up to and including 30 days after license expiration — $28; (b) 31 days through 60 days after license expiration — $56; and (c) 61 or more days after license expiration — $112.50. (7) Local registration assignment identification — $56. (8) Status change — $56. (9) Letter of Good Standing — $50. B. The Secretary and the mechanical boards have agreed to average their direct and indirect costs, based on the calculation of costs performed by the Secretary in consultation with the mechanical boards. Based on these calculations, the Board sets the following nonrefundable fees as of January 24, 2025: (1) Original License: (a) Master — $25; (b) Journeyperson — $18.50; and (c) Apprentice — $12. (2) License renewal: (a) Master — $31.50; (b) Journeyperson — $18.50; and (c) Apprentice — $12. (3) Uninsured status certificate: (a) Initial uninsured status — $63; and (b) Uninsured status renewal — $63. (4) Reapplication after expiration of uninsured status — $126; (5) Reactivation — $63. (6) Reinstatement of License: (a) Up to and including 30 days after license expiration — $31.50; (b) 31 days through 60 days after license expiration — $63; and (c) 61 or more days after license expiration — $126. (7) Local registration assignment identification — $63. (8) Status change — $63. (9) Letter of Good Standing — $50. C. An applicant for an examination or reexamination shall pay an examination or reexamination fee directly to the testing service chosen by the Board to develop or administer the examination, as such fees are established by the testing service selected by the Board. #### Regulation .04 Deadlines. *COMAR 09.09.01.04* If an individual fails to pass a required license examination, the individual shall wait a period of at least 30 days before retaking the examination. ### Chapter 02 — Continuing Education **Authority:** Business Occupations and Professions Article, §§6-205(2)(ii), 6-310(c)(3) and (4), and 6-311(b)(3), Annotated Code of Maryland **Administrative History:** Effective date: July 22, 2013 (40:14 Md. R. 1173) **Administrative History:** Regulation .01 amended as an emergency provision effective July 15, 2021 (48:17 Md. R. 665); emergency provision expired December 1, 2021 **Administrative History:** Regulation .01 amended effective December 27, 2021 (48:26 Md. R. 1110) **Administrative History:** Regulation .01 amended as an emergency provision effective August 31, 2023 (50:19 Md. R. 853); adopted permanently effective November 27, 2023 (50:23 Md. R. 1004) **Administrative History:** Regulation .01B amended effective September 2, 2024 (51:17 Md. R. 777) **Administrative History:** Regulation .02 amended as an emergency provision effective July 15, 2021 (48:17 Md. R. 665); emergency provision expired December 1, 2021 **Administrative History:** Regulation .02 amended effective December 27, 2021 (48:26 Md. R. 1110) **Administrative History:** Regulation .02A, B amended effective July 21, 2025 (52:14 Md. R. 712) **Administrative History:** Regulation .03 amended as an emergency provision effective July 15, 2021 (48:17 Md. R. 665); emergency provision expired December 1, 2021 **Administrative History:** Regulation .03 amended effective December 27, 2021 (48:26 Md. R. 1110) #### Regulation .01 Required Hours of Continuing Education. *COMAR 09.09.02.01* A. To be eligible for renewal of a license, as required by Business Occupations and Professions Article, §6-310(c)(3), Annotated Code of Maryland, an applicant shall have completed during the prior license term: (1) 10 hours of qualifying continuing education for renewal of a master license or uninsured status except as provided in §B(2) of this regulation; and (2) 5 hours of qualifying continuing education for renewal of a journeyperson license or uninsured status except as provided in paragraph §B(2) of this regulation. B. A State licensed electrician on uninsured status who: (1) Has completed the continuing education required by §A of this regulation will be issued a license with the designation “authorized to work” in accordance with Business Occupations and Professions Article, §§6-311(d)(3)(iv) and 6-604(i), Annotated Code of Maryland; or (2) Has not completed the continuing education required by §A of this regulation will be issued a license with the designation “not authorized to work” in accordance with Business Occupations and Professions Article, §§6-311(d)(3)(iv) and 6-604(i), Annotated Code of Maryland. C. Acquisition of Qualifying Continuing Education. (1) The continuing education required by §A of this regulation must have been obtained during the 24 months immediately preceding license renewal. (2) Continuing education hours required by §A of this regulation obtained prior to the immediately preceding license term shall not be considered toward an applicant's eligibility for license renewal. D. The following standards will be used to measure the hours of credit to be given for acceptable continuing education programs completed by individual applicants. (1) Only participation hours or the equivalent, and not hours devoted to preparation, shall be counted. (2) Services as teacher, lecturer, or instructor of subject matter related to the provision of electrical services qualifying for continuing education credit shall be included to the extent that such services contribute to the licensee's occupational competence. Repetitious presentation, that is, those that are substantially the same subject material, may be included only once in each reporting cycle. Hours allowable in the capacity of teacher, lecturer, or instructor may not exceed 5 hours of the minimum requirements with no carry-over provision for excess hours. (3) A teacher, lecturer, or instructor of a qualifying continuing education program shall receive 1 hour of continuing education credit for every hour of presentation or instruction. #### Regulation .02 Subject Matter for Continuing Education. *COMAR 09.09.02.02* Continuing educational hours from a course or training satisfy the requirement of Regulation .01A of this chapter if the course or training is: A. Based on any article of or update to the National Electrical Code (NEC) or any local variants adopted by a local board in accordance with Business Occupations and Professions Article, §6-205(b)(1), Annotated Code of Maryland, as it may be amended, modified, or updated from time to time; and which has been incorporated by reference in COMAR 09.12.50.02-1B(3); B. Based on any code or standard of the National Fire Protection Association (NFPA) that relates to the provision of electrical services as defined in Business Occupations and Professions Article, §6-101(k), Annotated Code of Maryland, as it may be amended, modified, or updated from time to time; and which has been incorporated by reference in COMAR 09.12.50.02-1B(3); or C. Compliant with the requirements set forth in Business Occupations and Professions Article, §6-205(b), Annotated Code of Maryland. #### Regulation .03 Approved Methods for Completion of Required Continuing Education. *COMAR 09.09.02.03* At least 5 of the 10 hours of continuing education required by Regulation .01A(1) of this chapter for master license renewal shall be obtained in a classroom setting. ### Chapter 03 — General Regulations **Authority:** Business Occupations and Professions Article, §§6-205, 6-307.1, 6-314(2), 6-316(a)(9), and 6-604(c), Annotated Code of Maryland **Administrative History:** Effective date: December 31, 2018 (45:26 Md. R. 1240) **Administrative History:** Regulation .02 adopted as an emergency provision effective July 15, 2021 (48:17 Md. R. 665); emergency provision expired December 1, 2021 **Administrative History:** Regulation .02 adopted effective December 27, 2021 (48:26 Md. R. 1110) **Administrative History:** Regulation .03 adopted effective April 17, 2023 (50:7 Md. R. 302) #### Regulation .01 Failure to Respond. *COMAR 09.09.03.01* A. If an applicant or licensee receives from the Board a written communication requesting a response, the applicant or licensee shall respond in writing within 30 days of the date of the mailing. B. The Board shall send a written communication by first-class mail to the last address furnished to the Board by the applicant or licensee. C. It is the responsibility of an applicant or licensee to notify the Board in writing if there has been a change in an applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Board to be a violation of Business Occupations and Professions Article, §6-316(a)(9), Annotated Code of Maryland. #### Regulation .02 Apprentice License Required for Journeyperson License Eligibility. *COMAR 09.09.03.02* On or after July 1, 2024, to be eligible for a journeyperson license, an applicant shall have held, for a period of 4 years, a current apprentice license issued by the Board or a local board, and during that period shall have completed the 4-year work experience requirement pursuant to Business Occupations and Professions Article, §6-304(c), Annotated Code of Maryland, to receive credit toward eligibility for a journeyperson license. #### Regulation .03 Time for Submitting a License Application. *COMAR 09.09.03.03* An applicant for a license filed pursuant to Business Occupations and Professions Article, §6-307.1(2), Annotated Code of Maryland, authorizing the Board to issue a journeyperson license to an applicant who has successfully completed an applicable electrician apprentice program approved by the Maryland Apprenticeship and Training Council or federal Office of Apprenticeship, shall have completed the apprentice program within 2 years of the date the journeyperson license application is filed. ## Subtitle 10 — Racing Commission ### Chapter 01 — Thoroughbred Rules **Authority:** Business Regulation Article, §11-210, Annotated Code of Maryland **Administrative History:** Effective date: All rules were in effect as of 7/1/70, except as noted below: **Administrative History:** Regulation .01A amended effective October 16, 1989 (16:20 Md. R. 2180) **Administrative History:** Regulation .01B amended effective December 12, 1980 (7:25 Md. R. 2336) **Administrative History:** Regulation .01C adopted effective July 27, 1987 (14:15 Md. R. 1659) **Administrative History:** Regulation .03E: 8/3/72 **Administrative History:** Regulation .03H-1 adopted effective May 19, 1986 (13:10 Md. R. 1155) **Administrative History:** Regulation .03I: 7/6/71 **Administrative History:** Regulation .03N amended as an emergency provision effective November 17, 1981 (8:25 Md. R. 1992) **Administrative History:** Regulation .03N amended effective March 29, 1982 (9:6 Md. R. 614) **Administrative History:** Regulation .03R amended effective July 27, 1987 (14:15 Md. R. 1659) **Administrative History:** Regulation .03W repealed effective July 20, 1981 (8:14 Md. R. 1227) **Administrative History:** Regulation .03AA: 7/8/71 **Administrative History:** Regulation .03BB adopted as an emergency provision effective January 23, 1990 (17:3 Md. R. 294); emergency status expired March 31, 1990; adopted permanently effective June 11, 1990 (17:11 Md. R. 1341); recodified to Regulation .03AA **Administrative History:** Regulation .07 amended as an emergency provision effective December 18, 1984 (12:1 Md. R. 13); emergency status expired April 9, 1985 (Emergency provisions are temporary and not printed in COMAR) **Administrative History:** Regulation .07A amended effective March 6, 1989 (16:4 Md. R. 495) **Administrative History:** Regulation .07N amended as an emergency provision effective August 18, 1986 (13:17 Md. R. 1920); emergency status expired September 5, 1986; amended permanently effective October 20, 1986 (13:21 Md. R. 2320); October 18, 1987 (14:19 Md. R. 2060); October 16, 1989 (16:20 Md. R. 2180) **Administrative History:** Regulation .07N-1 adopted effective October 18, 1987 (14:19 Md. R. 2060) **Administrative History:** Regulation .07S and V repealed effective October 19, 1987 (14:21 Md. R. 2222) **Administrative History:** Regulation .07U: 9/1/73 (amended) **Administrative History:** Regulation .07Z: 7/21/76 (3:11 Md. R. 595) **Administrative History:** Regulation .07AA: 6/22/72 **Administrative History:** Regulation .07BB adopted effective January 1, 1978 (4:26 Md. R. 2023) **Administrative History:** Regulation .07 amended effective April 22, 1985 (12:8 Md. R. 802) **Administrative History:** Regulation .07M amended effective February 16, 2026 (53:3 Md. R. 121) **Administrative History:** Regulation .08K repealed effective April 22, 1985 (12:8 Md. R. 802) **Administrative History:** Regulation .09A: 1/29/71 **Administrative History:** Regulation .09B amended 7/21/76 (3:15 Md. R. 790) **Administrative History:** Regulation .10F adopted effective 3/30/77 (4:7 Md. R. 579) (adopted as COMAR 09.10.10.02) **Administrative History:** Regulation .11A amended effective 3/23/77 (4:7 Md. R. 579); October 16, 1989 (16:20 Md. R. 2180) **Administrative History:** Regulation .11B amended as an emergency provision effective October 18, 1982 (9:23 Md. R. 2254); text recodified from Regulation .14 to .11 and emergency status extended at 10:2 Md. R. 103, 10:12 Md. R. 1069, and 10:17 Md. R. 1520; adopted permanently effective December 19, 1983 (10:25 Md. R. 2267) **Administrative History:** Regulation .11B amended effective May 21, 1984 (11:10 Md. R. 862); December 17, 1984 (11:25 Md. R. 2132); August 26, 1985 (12:17 Md. R. 1704); March 6, 1989 (16:4 Md. R. 495); October 16, 1989 (16:20 Md. R. 2180); June 11, 1990 (17:11 Md. R. 1342) **Administrative History:** Regulation .11D: 4/16/75 (2:28 Md. R. 564); amended effective 9/23/77 (4:19 Md. R. 1467 and 6/15/79 (6:12 Md. R. 1047); amended as an emergency provision at 6:26 Md. R. 2070; emergency status changed at 7:2 Md. R. 111 and 7:7 Md. R. 704; adopted permanently effective August 22, 1980 (7:17 Md. R. 1670); amended effective May 2, 1980 (7:9 Md. R. 847) **Administrative History:** Regulation .11D adopted as an emergency provision effective June 26, 1985 (12:15 Md. R. 1508); emergency status extended at 12:22 Md. R. 2100 (Emergency provisions are temporary and not printed in COMAR) **Administrative History:** Regulation .11D adopted effective January 27, 1986 (13:2 Md. R. 136) **Administrative History:** Regulation .11F adopted effective June 11, 1990 (17:11 Md. R. 1342) **Administrative History:** Regulation .11G amended effective 6/15/79 (6:12 Md. R. 1047); amended as an emergency provision effective September 5, 1980 (7:18 Md. R. 1732); amended permanently effective December 26, 1980 (7:26 Md. R. 2420) **Administrative History:** Regulation .11K amended 7/21/76 (3:15 Md. R. 790) **Administrative History:** Regulation .11 amended effective January 17, 1983 (10:1 Md. R. 28) **Administrative History:** Regulation .11 amended under Regulation .14 as an emergency provision effective October 18, 1982 (9:23 Md. R. 2254); emergency status extended at 10:2 Md. R. 103 (Emergency provisions are temporary and not printed in COMAR) **Administrative History:** Regulation .13A—C: 8/11/73 (amended) **Administrative History:** Regulation .13 amended effective October 6, 1978 (5:20 Md. R. 1499) **Administrative History:** Regulation .14: 1/73; amended as an emergency provision at 7:2 Md. R. 111; emergency status changed at 7:7 Md. R. 704 (Emergency provisions are temporary and not printed in COMAR); amended effective August 22, 1980 (7:17 Md. R. 1670) **Administrative History:** Regulation .14 repealed effective January 17, 1983 (10:1 Md. R. 28) **Administrative History:** Regulation .16A amended effective July 27, 1987 (14:15 Md. R. 1659) **Administrative History:** Regulation .16B amended 7/21/76 (3:15 Md. R. 790) **Administrative History:** Regulation .17G(2)—(4): 8/11/73 **Administrative History:** Regulation .17G amended as an emergency provision effective November 12, 1986 (13:24 Md. R. 2553); emergency status expired November 30, 1986 (Emergency provisions are temporary and not printed in COMAR) **Administrative History:** Regulation .17G amended effective March 6, 1989 (16:4 Md. R. 496); October 16, 1989 (16:20 Md. R. 2180) **Administrative History:** Regulation .17H amended effective October 16, 1989 (16:20 Md. R. 2180) **Administrative History:** Regulation .17N: 9/9/74 (1:1 Md. R. 16) **Administrative History:** Regulation .17R, BB, VV amended 7/21/76 (3:15 Md. R. 790) **Administrative History:** Regulation .17BB amended effective March 6, 1989 (16:4 Md. R. 496) **Administrative History:** Regulation .17OO: September 9, 1974 (1:1 Md. R. 17) **Administrative History:** Regulation .17XX amended effective December 11, 2023 (50:24 Md. R. 1041) **Administrative History:** Regulation .17YY amended effective March 29, 1982 (9:6 Md. R. 614) **Administrative History:** Regulation .17ZZ adopted effective June 18, 1984 (11:12 Md. R. 1062) **Administrative History:** Regulation .17ZZ amended effective March 6, 1989 (16:4 Md. R. 496) **Administrative History:** Regulation .19C, D amended effective May 20, 1985 (12:10 Md. R. 960) **Administrative History:** Regulation .20A amended effective March 6, 1989 (16:4 Md. R. 496); October 16, 1989 (16:20 Md. R. 2180) **Administrative History:** Regulation .20C: 8/14/71; amended effective April 21, 1978 (5:8 Md. R. 594) **Administrative History:** Regulation .21J(2): 8/14/71 **Administrative History:** Regulation .21R: 8/14/71 **Administrative History:** Regulation .22L adopted effective January 1, 1978 (4:26 Md. R. 2023) **Administrative History:** Regulation .22M adopted effective February 22, 1988 (15:4 Md. R. 471) **Administrative History:** Regulation .23A: 8/11/73 **Administrative History:** Regulation .23A amended 9/9/74 (1:1 Md. R. 16) **Administrative History:** Regulation .23K: 8/11/73 **Administrative History:** Regulation .25B amended effective 6/15/79 (6:12 Md. R. 1047) **Administrative History:** Regulation .25D: 1/1/73; amended 8/11/73 **Administrative History:** Regulation .26A amended effective 3/30/77 (4:7 Md. R. 579); March 6, 1989 (16:4 Md. R. 496); October 16, 1989 (16:20 Md. R. 2180) **Administrative History:** Regulation .26B amended 7/21/76 (3:15 Md. R. 790) **Administrative History:** Regulation .26C: 8/14/71 **Administrative History:** Regulation .28A amended effective 6/15/79 (6:12 Md. R. 1047) **Administrative History:** Regulation .28D—E: 8/11/73 **Administrative History:** Regulation .28F—H: 7/1/76 **Administrative History:** Regulation .28F amended effective October 25, 1982 (9:21 Md. R. 2105); October 1, 1987 (14:19 Md. R. 2060) **Administrative History:** Regulation .28G repealed effective October 25, 1982 (9:21 Md. R. 2105) **Administrative History:** Regulation .29O—P amended effective July 20, 1981 (8:14 Md. R. 1227) **Administrative History:** Regulation .30 repealed effective October 25, 1982 (9:21 Md. R. 2105) **Administrative History:** Regulation .30 adopted effective October 16, 1989 (16:20 Md. R. 2180) **Administrative History:** Regulation .36B repealed effective 3/30/77 (4:7 Md. R. 579) **Administrative History:** Regulation .38 amended effective July 10, 1989 (16:13 Md. R. 1420) **Administrative History:** Regulation .42B amended effective May 19, 1986 (13:10 Md. R. 1155) **Administrative History:** Regulation .42D repealed effective May 19, 1986 (13:10 Md. R. 1155) **Administrative History:** Regulation .44 amended effective February 22, 1988 (15:4 Md. R. 471) **Administrative History:** Regulation .45T-1 adopted effective May 19, 1986 (13:10 Md. R. 1155) **Administrative History:** Regulation .45V: 7/22/70; amended effective 6/15/79 (6:12 Md. R. 1048); June 12, 1981 (8:12 Md. R. 1061); August 1, 1983 (10:15 Md. R. 1349) **Administrative History:** Regulation .45AA amended 7/21/76 (3:15 Md. R. 790) **Administrative History:** Regulation .45KK adopted effective 3/30/77 (4:7 Md. R. 579) (adopted as COMAR 09.10.44.13-1) **Administrative History:** Regulation .46: 2/1/74 **Administrative History:** Regulation .47K: 1/22/70; amended 9/9/74 (1:1 Md. R. 17) **Administrative History:** Regulation .49A amended effective April 22, 1985 (12:8 Md. R. 802); May 16, 1988 (15:10 Md. R. 1201) **Administrative History:** Regulation .49C amended effective May 16, 1988 (15:10 Md. R. 1201) **Administrative History:** Regulation .49E amended as an emergency provision effective July 1, 1979 (6:13 Md. R. 1121); adopted permanently effective October 19, 1979 (6:21 Md. R. 1707) **Administrative History:** Regulation .49E amended effective March 29, 1982 (9:6 Md. R. 614); September 26, 1983 (10:19 Md. R. 1690); February 11, 1985 (12:3 Md. R. 244); September 21, 1986 (13:19 Md. R. 2120); May 16, 1988 (15:10 Md. R. 1201); December 11, 1989 (16:24 Md. R. 2619) **Administrative History:** Regulation .49F amended as an emergency provision effective August 8, 1979 (6:17 Md. R. 1389); adopted permanently effective November 30, 1979 (6:24 Md. R. 1919) **Administrative History:** Regulation .49F amended effective May 24, 1982 (9:10 Md. R. 1019); January 17, 1983 (10:1 Md. R. 28); September 26, 1983 (10:19 Md. R. 1690); September 21, 1986 (13:19 Md. R. 2120); May 16, 1988 (15:10 Md. R. 1201); December 11, 1989 (16:24 Md. R. 2619) **Administrative History:** Regulation .49G amended as an emergency provision effective July1, 1979 (6:13 Md. R. 1121); adopted permanently effective October 19, 1979 (6:21 Md. R. 1707) **Administrative History:** Regulation .49G amended effective September 21, 1986 (13:19 Md. R. 2120); May 16, 1988 (15:10 Md. R. 1201) **Administrative History:** Regulation .49H adopted effective October 20, 1986 (13:21 Md. R. 2320) **Administrative History:** Regulation .52 amended effective June 15, 1979 (6:12 Md. R. 1048); November 18, 1985 (12:23 Md. R. 2215) **Administrative History:** Regulation .53B adopted effective January 1, 1978 (4:26 Md. R. 2023); amended effective May 16, 1988 (15:10 Md. R. 1201) **Administrative History:** Regulation .54C amended effective October 16, 1989 (16:20 Md. R. 2180) **Administrative History:** Regulation .56 repealed effective July 10, 1989 (16:13 Md. R. 1420) **Administrative History:** Regulation .57A amended effective July 21, 1976 (3:15 Md. R. 790); February 23, 1987 (14:4 Md. R. 416) **Administrative History:** Regulation .57H amended effective July 13, 1986 (13:14 Md. R. 1632) **Administrative History:** Regulation .57P amended effective July 13, 1986 (13:14 Md. R. 1632) **Administrative History:** Regulation .57W adopted effective June 16, 1978 (5:12 Md. R. 966) **Administrative History:** Regulation .57X adopted effective April 9, 1984 (11:7 Md. R. 623) **Administrative History:** Regulation .57Y adopted effective April 9, 1984 (11:7 Md. R. 623) **Administrative History:** Regulation .57Z adopted effective April 22, 1985 (12:8 Md. R. 802) **Administrative History:** Regulation .59: 7/21/76 (3:15 Md. R. 790) **Administrative History:** Regulation .61 amended effective April 9, 1984 (11:7 Md. R. 623) **Administrative History:** Regulation .64 amended effective December 15, 1986 (13:25 Md. R. 2657) **Administrative History:** Regulation .65 adopted effective October 29, 1975 (2:24 Md. R. 1481); amended effective July 21, 1976 (3:15 Md. R. 790); April 22, 1985 (12:8 Md. R. 802) **Administrative History:** Regulation .66F amended effective December 30, 1985 (12:26 Md. R. 2543) **Administrative History:** Regulation .66N repealed effective June 18, 1984 (11:12 Md. R. 1062) **Administrative History:** Regulation .66P, Q amended effective June 18, 1984 (11:12 Md. R. 1062) **Administrative History:** Regulation .66JJ amended effective 3/30/77 (4:7 Md. R. 579) **Administrative History:** Regulation .67C amended effective May 4, 1987 (14:9 Md. R. 1079) **Administrative History:** Regulation .71 amended effective 9/23/74 (1:1 Md. R. 16) **Administrative History:** Regulation .71C amended as an emergency provision effective March 9, 1978 (5:6 Md. R. 463); adopted permanently effective July 14, 1978 (5:14 Md. R. 1136) **Administrative History:** Regulation .71I amended effective April 9, 1984 (11:7 Md. R. 623) **Administrative History:** Regulation .71K adopted effective April 22, 1985 (12:8 Md. R. 802) **Administrative History:** Regulation .73 adopted effective November 14, 1980 (7:23 Md. R. 2165) **Administrative History:** Regulation .73 amended as an emergency provision effective June 11, 1984 (11:13 Md. R. 1168); emergency status extended to November 5, 1984 (11:19 Md. R. 1665); adopted permanently effective October 22, 1984 (11:21 Md. R. 1811) **Administrative History:** Regulation .74 adopted as an emergency provision effective October 1, 1985 (12:22 Md. R. 2100); emergency status expired January 31, 1986; adopted permanently effective July 13, 1986 (13:14 Md. R. 1632) **Administrative History:** Regulation .75 adopted as an emergency provision effective October 1, 1986 (13:22 Md. R. 2392); emergency status expired December 31, 1986; adopted permanently effective July 27, 1987 (14:15 Md. R. 1659) **Administrative History:** Regulation .76 adopted effective July 27, 1987 (14:15 Md. R. 1659) **Administrative History:** Regulation .76F amended effective May 29, 1989 (16:10 Md. R. 1105) **Administrative History:** Regulation .76G amended effective May 29, 1989 (16:10 Md. R. 1105) **Administrative History:** Regulation .77 adopted as an emergency provision effective February 20, 1987 (14:6 Md. R. 710); emergency status expired August 21, 1987; adopted permanently effective January 14, 1988 (15:1 Md. R. 18) **Administrative History:** Regulation .78 adopted as an emergency provision effective March 4, 1988 (15:7 Md. R. 848); emergency status expired September 1, 1988 (Emergency provisions are temporary and are not printed in COMAR) **Administrative History:** Regulation .78 adopted effective September 19, 1988 (15:19 Md. R. 2246) **Administrative History:** Chapter revised effective August 6, 1990 (17:15 Md. R. 1857) **Administrative History:** Regulation .01 amended and recodified to Regulations .01—.03 effective January 14, 1999 (26:1 Md. R. 23) **Administrative History:** Regulations .02—.06 repealed effective April 10, 1995 (22:7 Md. R. 535) **Administrative History:** Regulation .03R, AA amended effective October 1, 1992 (19:18 Md. R. 1655) **Administrative History:** Regulation .04 adopted effective October 25, 2004 (31:21 Md. R. 1544) **Administrative History:** Regulation .04 repealed effective April 24, 2017 (44:8 Md. R. 401) **Administrative History:** Regulation .07 amended effective April 11, 1994 (21:7 Md. R. 520); April 21, 2008 (35:8 Md. R. 804) **Administrative History:** Regulation .07 amended as an emergency provision effective May 17, 2007 (34:12 Md. R. 1066); emergency status expired November 13, 2007; amended permanently effective January 14, 2008 (35:1 Md. R. 17) **Administrative History:** Regulation .07 amended as an emergency provision effective April 4, 2013 (40:9 Md. R. 788); amended permanently effective July 22, 2013 (40:14 Md. R. 1173) **Administrative History:** Regulation .07A-1 amended effective April 24, 2017 (44:8 Md. R. 401); August 9, 2021 (48:16 Md. R. 631) **Administrative History:** Regulation .07B amended effective January 6, 1992 (18:26 Md. R. 2829); May 17, 1999 (26:10 Md. R. 797); April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .07D amended effective November 20, 1994 (21:23 Md. R. 1932); April 24, 2017 (44:8 Md. R. 401); January 1, 2024 (50:24 Md. R. 1041) **Administrative History:** Regulation .07H amended as an emergency provision effective December 1, 2013 (40:26 Md. R. 2161); amended permanently effective March 17, 2014 (41:5 Md. R. 342) **Administrative History:** Regulation .07H amended as an emergency provision effective September 2, 2014 (41:18 Md. R. 1007); amended permanently effective November 24, 2014 (41:23 Md. R. 1371) **Administrative History:** Regulation .07H-1 adopted as an emergency provision effective December 1, 2013 (40:26 Md. R. 2161); adopted permanently effective March 17, 2014 (41:5 Md. R. 342) **Administrative History:** Regulation .07H-2 adopted as an emergency provision effective September 2, 2014 (41:18 Md. R. 1007); adopted permanently effective November 24, 2014 (41:23 Md. R. 1371) **Administrative History:** Regulation .07H-2 amended as an emergency provision effective February 1, 2021 (48:4 Md. R. 175); amended permanently effective April 19, 2021 (48:8 Md. R. 308) **Administrative History:** Regulation .07M amended effective October 9, 1995 (22:20 Md. R. 1542) **Administrative History:** Regulation .07M amended as an emergency provision effective September 2, 1997 (24:19 Md. R. 1335); emergency status expired December 1, 1997; amended permanently effective January 12, 1998 (25:1 Md. R. 15) **Administrative History:** Regulation .07N amended as an emergency provision effective July 23, 1992 (19:16 Md. R. 1466); emergency status extended at 20:2 Md. R. 108; adopted permanently effective March 15, 1993 (20:5 Md. R. 513) **Administrative History:** Regulation .08 repealed effective April 10, 1995 (22:7 Md. R. 535) **Administrative History:** Regulation .10 repealed effective April 10, 1995 (22:7 Md. R. 535) **Administrative History:** Regulation .10G adopted effective January 7, 1991 (17:26 Md. R. 2974) **Administrative History:** Regulation .10G amended effective October 1, 1992 (19:18 Md. R. 1655) **Administrative History:** Regulation .10H adopted effective March 16, 1992 (19:5 Md. R. 575) **Administrative History:** Regulation .11A amended effective July 6, 1992 (19:13 Md. R. 1202) **Administrative History:** Regulation .11B amended as an emergency provision effective September 23, 1991 (18:21 Md. R. 2300) (Emergency provisions are temporary and not printed in COMAR) **Administrative History:** Regulation .11B amended effective October 14, 1991 (18:20 Md. R. 2198) **Administrative History:** Regulation .11D amended effective April 12, 1993 (20:7 Md. R. 641) **Administrative History:** Regulation .11F amended as an emergency provision effective February 15, 1991 (18:5 Md. R. 590); amended permanently effective July 8, 1991 (18:13 Md. R. 1481) **Administrative History:** Regulation .11B(12) amended and recodified to Regulation .11G effective March 16, 1992 (19:5 Md. R. 575) **Administrative History:** Regulation .11 repealed effective January 2, 1994 (20:26 Md. R. 2025) **Administrative History:** Regulation .12 amended effective April 24, 2017 (44:8 Md. R. 401) **Administrative History:** Regulation .13 repealed effective April 10, 1995 (22:7 Md. R. 535) **Administrative History:** Regulation .14 adopted effective February 18, 1991 (18:3 Md. R. 303) **Administrative History:** Regulation .15 repealed effective April 10, 1995 (22:7 Md. R. 535) **Administrative History:** Regulation .15-1 adopted effective January 2, 1994 (20:26 Md. R. 2026) **Administrative History:** Regulation .16 amended effective October 30, 2000 (27:21 Md. R. 1974) **Administrative History:** Regulation .17 amended effective August 6, 1990 (17:15 Md. R. 1858); April 24, 2017 (44:8 Md. R. 401) **Administrative History:** Regulation .17 amended as an emergency provision effective February 1, 2020 (47:4 Md. R. 260); amended permanently effective May 18, 2020 (47:10 Md. R. 515) **Administrative History:** Regulation .17H repealed effective April 10, 1995 (22:7 Md. R. 535) **Administrative History:** Regulation .17H adopted effective February 23, 2009 (36:4 Md. R. 353) **Administrative History:** Regulation .17H amended as an emergency provision effective September 9, 2009 (36:21 Md. R. 1587); amended permanently effective January 25, 2010 (37:2 Md. R. 67) **Administrative History:** Regulation .17H-1 adopted effective February 1, 2016 (43:2 Md. R. 127) **Administrative History:** Regulation .17H-1 repealed effective November 19, 2018 (45:23 Md. R. 1070) **Administrative History:** Regulation .17H-1 adopted as an emergency provision effective June 1, 2021 (48:13 Md. R. 507); adopted permanently effective September 20, 2021 (49:18 Md. R. 802) **Administrative History:** Regulation .17V amended effective October 12, 1992 (19:20 Md. R. 1813) **Administrative History:** Regulation .17Z amended effective November 19, 2018 (45:23 Md. R. 1070) **Administrative History:** Regulation .17AA amended as an emergency provision effective June 1, 2000 (27:13 Md. R. 1209); amended permanently effective November 27, 2000 (27:23 Md. R. 2146) **Administrative History:** Regulation .17XX amended effective January 1, 2024 (50:24 Md. R. 1041) **Administrative History:** Regulation .17YY amended effective January 28, 2008 (35:2 Md. R. 127) **Administrative History:** Regulation .18A amended effective August 23, 2010 (37:17 Md. R. 1185) **Administrative History:** Regulation .19 amended effective April 10, 1995 (22:7 Md. R. 535) **Administrative History:** Regulation .20B amended effective April 1, 2020 (47:6 Md. R. 341) **Administrative History:** Regulation .20-1 adopted effective July 6, 1992 (19:13 Md. R. 1202) **Administrative History:** Regulation .20-1 amended effective December 21, 1992 (19:25 Md. R. 2204); April 28, 2003 (30:8 Md. R. 539) **Administrative History:** Regulation .20-1H adopted effective October 24, 1994 (21:21 Md. R. 1813) **Administrative History:** Regulation .21 amended effective March 15, 1993 (20:5 Md. R. 513); June 16, 1997 (24:12 Md. R. 864) **Administrative History:** Regulation .21K amended effective July 29, 1996 (23:15 Md. R. 1087) **Administrative History:** Regulation .21O amended effective January 2, 1994 (20:26 Md. R. 2026) **Administrative History:** Regulation .21R adopted effective February 23, 1998 (25:4 Md. R. 242) **Administrative History:** Regulation .21-1 adopted effective January 2, 1994 (20:26 Md. R. 2026) **Administrative History:** Regulation .22 amended effective April 24, 2017 (44:8 Md. R. 401) **Administrative History:** Regulation .22B, K amended effective November 27, 2000 (27:23 Md. R. 2146) **Administrative History:** Regulation .23 amended as an emergency provision effective March 12, 1992 (19:7 Md. R. 741); emergency status expired August 28, 1992 (Emergency provisions are temporary and not published in COMAR) **Administrative History:** Regulation .23 amended effective March 15, 1993 (20:5 Md. R. 513); April 24, 2017 (44:8 Md. R. 401) **Administrative History:** Regulation .23A amended effective September 14, 1992 (19:18 Md. R. 1655); July 29, 2019 (46:15 Md. R. 654) **Administrative History:** Regulation .23A-1 amended effective September 14, 1992 (19:18 Md. R. 1655); December 16, 1996 (23:25 Md. R. 1784) **Administrative History:** Regulation .25 amended effective April 10, 1995 (22:7 Md. R. 535); October 20, 1997 (24:21 Md. R. 1448); January 1, 2017 (43:21 Md. R. 1165) **Administrative History:** Regulation .25A amended effective January 1, 1992 (18:25 Md. R. 2749); July 6, 1992 (19:13 Md. R. 1202); January 1, 1996 (22:10 Md. R. 705) **Administrative History:** Regulation .25A-1 amended effective January 1, 1992 (18:25 Md. R. 2749) **Administrative History:** Regulation .26 amended as an emergency provision effective August 25, 1990 (17:19 Md. R. 2318); emergency status expired September 3, 1990; adopted permanently effective October 29, 1990 (17:21 Md. R. 2527) **Administrative History:** Regulation .26 repealed effective April 10, 1995 (22:7 Md. R. 535) **Administrative History:** Regulation .28 amended effective November 12, 1990 (17:22 Md. R. 2654); March 22, 1999 (26:6 Md. R. 484); April 1, 2020 (47:6 Md. R. 341) **Administrative History:** Regulation .28F amended as an emergency provision effective July 29, 2002 (29:17 Md. R. 1375); amended permanently effective September 30, 2002 (29:19 Md. R. 1523) **Administrative History:** Regulation .28F amended as an emergency provision effective March 23, 2012 (39:8 Md. R. 532); amended permanently effective May 14, 2012 (39:9 Md. R. 611) **Administrative History:** Regulation .28F amended effective November 19, 2018 (45:23 Md. R. 1070) **Administrative History:** Regulation .29O amended effective April 24, 2017 (44:8 Md. R. 401) **Administrative History:** Regulation .30A amended effective October 1, 1992 (19:18 Md. R. 1655) **Administrative History:** Regulation .31 amended effective April 28, 2003 (30:8 Md. R. 539): July 21, 2014 (41:14 Md. R. 798) **Administrative History:** Regulation .33 repealed effective April 10, 1995 (22:7 Md. R. 535) **Administrative History:** Regulation .35 amended effective August 6, 1990 (17:15 Md. R. 1858); April 10, 1995 (22:7 Md. R. 535) **Administrative History:** Regulation .35L amended effective July 8, 1991 (18:13 Md. R. 1481) **Administrative History:** Regulation .36 amended effective March 22, 1999 (26:6 Md. R. 484); April 24, 2017 (44:8 Md. R. 401) **Administrative History:** Regulation .36A amended effective August 11, 2008 (35:16 Md. R. 1390) **Administrative History:** Regulation .37 amended effective March 22, 1999 (26:6 Md. R. 484) **Administrative History:** Regulation .37 repealed effective April 24, 2017 (44:8 Md. R. 401) **Administrative History:** Regulation .41 amended effective August 11, 2008 (35:16 Md. R. 1390) **Administrative History:** Regulation .42 repealed and new Regulation .42 adopted effective March 22, 1999 (26:6 Md. R. 484) **Administrative History:** Regulation .44 amended effective August 15, 1994 (21:16 Md. R. 1382) **Administrative History:** Regulation .45V amended effective February 4, 1991 (18:2 Md. R. 148); March 16, 1992 (19:5 Md. R. 575); April 10, 1995 (22:7 Md. R. 535) **Administrative History:** Regulation .45Y amended effective August 16, 1993 (20:16 Md. R. 1277) **Administrative History:** Regulation .45AA amended effective November 23, 1992 (19:23 Md. R. 2039); August 14, 1995 (22:16 Md. R. 1220) **Administrative History:** Regulation .46 repealed effective March 22, 1999 (26:6 Md. R. 484) **Administrative History:** Regulation .48 repealed effective April 10, 1995 (22:7 Md. R. 535) **Administrative History:** Regulation .49E amended effective September 17, 1990 (17:18 Md. R. 2200); October 15, 1990 (17:20 Md. R. 2424); April 13, 1992 (19:7 Md. R. 745) **Administrative History:** Regulation .49F amended effective October 15, 1990 (17:20 Md. R. 2424); April 13, 1992 (19:7 Md. R. 745) **Administrative History:** Regulation .49H amended effective December 23, 1991 (18:25 Md. R. 2750) **Administrative History:** Regulation .49 repealed and new Regulation .49 adopted effective February 13, 1995 (22:13 Md. R. 152) **Administrative History:** Regulation .49 amended effective July 29, 1996 (23:15 Md. R. 1087); August 15, 2005 (32:16 Md. R. 1392); January 10, 2012 (38:23 Md. R. 1420) **Administrative History:** Regulation .49A amended effective December 9, 2004 (31:24 Md. R. 1725) **Administrative History:** Regulation .49E amended effective March 25, 1996 (23:6 Md. R. 474) **Administrative History:** Regulation .49F amended effective January 1, 2015 (41:23 Md. R. 1371) **Administrative History:** Regulation .49G, I amended as an emergency provision effective April 17, 2009 (36:14 Md. R. 983); amended permanently effective September 21, 2009 (36:19 Md. R. 1436) **Administrative History:** Regulation .49G, H, I amended as an emergency provision effective September 19, 2013 (40:20 Md. R. 1649); emergency status expired **Administrative History:** Regulation .49G amended as an emergency provision effective January 1, 2014 (40:26 Md. R. 2161); amended permanently effective April 14, 2014 (41:7 Md. R. 421) **Administrative History:** Regulation .49G amended effective January 1, 2015 (41:23 Md. R. 1371) **Administrative History:** Regulation .49H, I, K amended as an emergency provision effective April 29, 2014 (41:11 Md. R. 604); amended permanently effective June 23, 2014 (41:12 Md. R. 667) **Administrative History:** Regulation .49P adopted effective May 5, 1997 (24:9 Md. R. 656) **Administrative History:** Regulation .50 amended effective November 12, 1990 (17:22 Md. R. 2655); October 21, 1996 (23:21 Md. R. 1466) **Administrative History:** Regulation .51 amended effective January 16, 1995 (22:1 Md. R. 19); June 19, 1995 (22:12 Md. R. 900) **Administrative History:** Regulation .52 repealed effective June 1, 1998 (25:11 Md. R. 820) **Administrative History:** Regulation .52C amended effective October 1, 1992 (19:18 Md. R. 1655) **Administrative History:** Regulation .53 amended effective December 8, 2005 (32:24 Md. R. 1904) **Administrative History:** Regulation .54 repealed effective April 24, 2017 (44:8 Md. R. 401) **Administrative History:** Regulation .57 amended effective November 12, 1990 (17:22 Md. R. 2655); July 21, 1995 (22:15 Md. R. 1119) **Administrative History:** Regulation .57A amended effective December 9, 2004 (31:24 Md. R. 1725) **Administrative History:** Regulation .57A-2 adopted effective July 6, 1992 (19:13 Md. R. 1202) **Administrative History:** Regulation .57B-1 adopted effective December 28, 2020 (47:26 Md. R. 1107) **Administrative History:** Regulation .58 amended effective January 2, 1994 (20:26 Md. R. 2026) **Administrative History:** Regulation .58A amended effective April 24, 2017 (44:8 Md. R. 401) **Administrative History:** Regulation .59 amended effective January 2, 1994 (20:26 Md. R. 2026) **Administrative History:** Regulation .59D amended effective January 14, 2010 (37:1 Md. R. 14) **Administrative History:** Regulations .61—.63 repealed effective April 10, 1995 (22:7 Md. R. 535) **Administrative History:** Regulation .64 amended as an emergency provision effective January 1, 2013 (40:1 Md. R. 16); emergency status extended to June 30, 2013 (40:4 Md. R. 343); amended permanently effective April 15, 2013 (40:7 Md. R. 610) **Administrative History:** Regulation .64 repealed and new Regulation .64 adopted effective April 22, 2019 (46:8 Md. R. 401) **Administrative History:** Regulation .65 repealed effective April 10, 1995 (22:7 Md. R. 535) **Administrative History:** Regulation .66F amended as an emergency provision effective July 17, 2006 (33:16 Md. R. 1361); amended permanently effective July 31, 2006 (33:15 Md. R. 1279) **Administrative History:** Regulation .66M—O amended effective February 15, 1993 (20:3 Md. R. 258) **Administrative History:** Regulation .66Q amended effective March 16, 1992 (19:5 Md. R. 575) **Administrative History:** Regulation .66DD adopted effective May 22, 1995 (22:10 Md. R. 706) **Administrative History:** Regulation .66DD amended effective January 1, 1996 (22:26 Md. R. 2029) **Administrative History:** Regulation .67A amended effective August 6, 1990 (17:15 Md. R. 1858) **Administrative History:** Regulation .67B and C amended effective February 17, 1992 (19:3 Md. R. 303) **Administrative History:** Regulation .71H amended and H-1 adopted as an emergency provision effective May 1, 1992 (19:8 Md. R. 799); adopted permanently effective September 14, 1992 (19:18 Md. R. 1656) **Administrative History:** Regulation .71K repealed effective February 13, 1995 (22:3 Md. R. 152) **Administrative History:** Regulation .72 repealed effective March 22, 1999 (26:6 Md. R. 484) **Administrative History:** Regulation .73 amended as an emergency provision effective July 17, 2006 (33:16 Md. R. 1361); amended permanently effective July 31, 2006 (33:15 Md. R. 1279) **Administrative History:** Regulation .73N adopted as an emergency provision effective September 12, 1992 (19:19 Md. R. 1701); emergency status expired October 4, 1992 (Emergency provisions are temporary and not printed in COMAR) **Administrative History:** Regulation .74B amended effective October 9, 2006 (33:20 Md. R. 1615) **Administrative History:** Regulation .74E and P amended effective March 16, 1992 (19:5 Md. R. 575) **Administrative History:** Regulation .74K amended as an emergency provision effective September 17, 1992 (19:20 Md. R. 1811); amended permanently effective January 18, 1993 (20:1 Md. R. 26) **Administrative History:** Regulation .74Q amended and Q-1 adopted as an emergency provision effective May 1, 1992 (19:8 Md. R. 799); adopted permanently effective September 14, 1992 (19:18 Md. R. 1656) **Administrative History:** Regulation .75C repealed effective October 9, 2006 (33:20 Md. R. 1615) **Administrative History:** Regulation .76 amended as an emergency provision effective May 15, 2003 (30:12 Md. R. 785); emergency status expired November 15, 2003; amended permanently effective December 22, 2003 (30:25 Md. R. 1845) **Administrative History:** Regulation .76 amended as an emergency provision effective July 17, 2006 (33:16 Md. R. 1361); amended permanently effective July 31, 2006 (33:15 Md. R. 1279) **Administrative History:** Regulation .76H amended effective May 22, 1995 (22:10 Md. R. 706) **Administrative History:** Regulation .76I amended effective October 24, 1994 (21:21 Md. R. 1813) **Administrative History:** Regulation .77B amended effective October 1, 1992 (19:18 Md. R. 1655) **Administrative History:** Regulation .78 adopted as an emergency provision effective May 27, 1991 (18:12 Md. R. 1312); adopted permanently effective September 16, 1991 (18:18 Md. R. 2003) (Adopted as Regulation .79; recodified to Regulation .78) **Administrative History:** Regulation .78 amended effective March 20, 2000 (27:5 Md. R. 583) **Administrative History:** Regulation .78C repealed effective October 9, 2006 (33:20 Md. R. 1615) **Administrative History:** Regulation .78K amended as an emergency provision effective October 23, 1991 (18:19 Md. R. 2094) (Amended as Regulation .79K; recodified to Regulation .78K); emergency status expired October 31, 1991; amended permanently effective March 16, 1992 (19:5 Md. R. 575) **Administrative History:** Regulation .78K amended effective November 20, 1995 (22:23 Md. R. 1801) **Administrative History:** Regulation .79 adopted as an emergency provision effective September 29, 1990 (17:17 Md. R. 2076); emergency status expired September 30, 1990 **Administrative History:** Regulation .79 adopted as an emergency provision effective October 30, 1991 (18:21 Md. R. 2300) (Adopted as Regulation .80; recodified to Regulation .79); adopted permanently effective March 16, 1992 (19:5 Md. R. 576) **Administrative History:** Regulation .80 adopted as an emergency provision effective February 15, 1992 (19:4 Md. R. 466) (Adopted as Regulation .80-1; recodified as Regulation .80); adopted permanently effective July 20, 1992 (19:14 Md. R. 1283) **Administrative History:** Regulation .80I repealed effective October 9, 2006 (33:20 Md. R. 1615) **Administrative History:** Regulation .81 adopted as an emergency provision effective October 30, 1991 (18:21 Md. R. 2300); adopted permanently effective March 16, 1992 (19:5 Md. R. 576) **Administrative History:** Regulation .81 amended as an emergency provision effective April 15, 1993 (20:9 Md. R. 777); amended permanently effective August 16, 1993 (20:16 Md. R. 1277) **Administrative History:** Regulation .82 adopted effective February 23, 1998 (25:4 Md. R. 242) **Administrative History:** Regulation .82C repealed effective October 9, 2006 (33:20 Md. R. 1615) **Administrative History:** Regulation .83 adopted as an emergency provision effective April 15, 2003 (30:8 Md. R. 538); emergency status expired October 15, 2003; amended permanently effective December 22, 2003 (30:25 Md. R. 1845) **Administrative History:** Regulation .83G repealed effective October 9, 2006 (33:20 Md. R. 1615) **Administrative History:** Regulation .84 adopted as an emergency provision effective January 1, 2004 (30:23 Md. R. 1650); adopted permanently effective March 29, 2004 (31:6 Md. R. 508) **Administrative History:** Regulation 84 amended as an emergency provision effective July 17, 2006 (33:16 Md. R. 1362); amended permanently effective July 31, 2006 (33:15 Md. R. 1279) **Administrative History:** Regulation .84J amended effective September 19, 2022 (49:19 Md. R. 867) **Administrative History:** Regulation .85 adopted effective May 8, 2006 (33:9 Md. R. 796) **Administrative History:** Regulation .86 adopted as an emergency provision effective April 18, 2009 (36:10 Md. R. 713); adopted permanently effective September 21, 2009 (36:19 Md. R. 1436) **Administrative History:** Regulation .86F amended effective May 2, 2022 (49:9 Md. R. 530) **Administrative History:** Regulation .87 adopted effective May 3, 2010 (37:9 Md. R. 673) **Administrative History:** Regulation .88 adopted as an emergency provision effective April 6, 2012 (39:9 Md. R. 610); adopted permanently effective August 20, 2012 (39:16 Md. R. 1080) **Administrative History:** Regulation .88F, H amended effective November 19, 2018 (45:23 Md. R. 1070) **Administrative History:** Regulation .88J amended effective September 19, 2022 (49:19 Md. R. 867) **Administrative History:** Regulation .89 adopted as an emergency provision effective May 1, 2019 (46:9 Md. R. 444); adopted permanently effective July 29, 2019 (46:15 Md. R. 654) **Administrative History:** Regulation .90 adopted effective October 21, 2019 (46:21 Md. R. 894) **Administrative History:** Regulation .91 adopted effective April 19, 2021 (48:8 Md. R. 308) **Administrative History:** Regulation .91H amended effective May 2, 2022 (49:9 Md. R. 530) **Administrative History:** Annotation: COMAR 09.10.01.03O is cited in Attorney General Opinion No. 81-018 (July 16, 1981) which found that the Thoroughbred Racing Board of the Maryland Racing Commission has the authority to require that all purses won by horsemen be maintained by a racing association in a special interest-bearing account until paid to the horsemen and that the Board may provide for the use and disposition of the interest earned on these accounts, to some extent. **Administrative History:** Annotation: COMAR 09.10.01.78 cited in Attorney General Opinion No. 87-033 (August 4, 1987) #### Regulation .01 Scope. *COMAR 09.10.01.01* A. This chapter applies to: (1) An entity licensed by the Maryland Racing Commission to hold or conduct a race meeting at which thoroughbred horse racing is permitted for any stake, purse, or reward; (2) All owners, trainers, jockeys, jockey's agents, grooms, or other persons licensed by the Maryland Racing Commission to participate in racing at any of these meetings; and (3) All thoroughbred and nonthoroughbred horse races except as provided by §B of this regulation. B. If a regulation, or a section of a regulation, is germane to a specific breed of horse, it applies only to that breed. #### Regulation .02 Definitions. *COMAR 09.10.01.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Added money” means the amount contributed to a purse in a race, other than the fees paid by those who nominated, entered, or started in the race. (1-1) “Age” of a horse is calculated from the first of January in the year in which it is foaled. (2) “Arrears” includes money due for entrance forfeits, fees (including jockey's fees), fines, subscriptions stake, purchase money in claiming or selling races, and any default in money incident to these rules. (3) “Association” means a person or persons, partnership, corporate body, or any other entity licensed by the Commission to conduct a meeting where horse racing is permitted for any stake, purse, or reward. (4) “Authorized agent” means an individual appointed by a person licensed as an owner to act as the owner's representative. (5) A horse is “bred” at the place of his birth. (6) The “breeder” of a horse is the owner of the horse's dam at the time of foaling. (7) A “claiming race” is one in which, according to the conditions, any of the horses engaged may be claimed. (8) “Commission” means the Maryland Racing Commission. (9) A “free handicap” is one in which no liability is incurred for entrance money, stake, or forfeit, until acceptance of the weight, either directly or through omission to declare out. (10) A “handicap” is a race in which the weights to be carried by the horses are adjusted by the handicapper for the purpose of equalizing their chances of winning. (11) A “highweight handicap” is one in which the top weight may not be less than 140 pounds. (12) “Horse” includes mare, gelding, colt, and filly. For racing purposes and programming, horses shall be designated as follows: (a) Male—horse, colt, or gelding; (b) Female—filly or mare. (13) “Maiden” means a horse that has never won a race on the flat in a state or country where racing is supervised by a legalized racing commission or board, or where the races are covered by The Daily Racing Form or other similar authorized publications. (14) A “match” is a race between two horses which are the property of two different owners, on terms agreed upon by them, and to which no money is added; the agreement shall be void if either owner dies. (15) “Recognized meeting” means a meeting held with the sanction of the Commission upon a race course in the State operated by a duly licensed association at the place where the meeting is licensed to be held. (16) The “nominator” is the person in whose name a horse is originally nominated for a race. (17) An “optional claiming race” is one in which only those horses may be claimed which are entered for a claiming price. (18) “Overnight race” means a race, for the purpose of applying the provisions of Business Regulation Article, §11-518(d), Annotated Code of Maryland, which is not a stakes race or a sweepstakes. (19) “Owner” includes sole owner, part owner, and lessee of a horse. (20) “Post time” means the time set for the arrival of the horses in a race at the starting point. The post time shall be shown a reasonable time before the race on a clock device provided for that purpose and shall be prominently displayed and clearly readable from the grandstand. (21) A “private sweepstakes” is one to which no money or other prize is added and which, prior to closing, has not been advertised, either by publication, by circular, by entry blank, or in any other way. (22) A “produce race” is one to be run for by the produce of horses named or described at the time of entry. (23) A “purse race” is a race for money or other prize to which the owners of the horses engaged do not contribute. (24) A “race” includes a stake, a purse, a sweepstakes, a private sweepstakes, a match, or an overnight event, but does not include a steeplechase or hurdle race. (25) “Stakes race” means: (a) For the purpose of applying the provisions of Business Regulation Article, §11-518(d), Annotated Code of Maryland, a race in which the purse consists of not less than $50,000 of added money; and (b) For all other purposes, a race for which: (i) Nominations close not later than 72 hours in advance of its running and for which a fee is assessed on the ownership of a horse that is either nominated to, or entered or started in, the race, or (ii) Horses are invited by an association to run for a guaranteed purse of $50,000 or more without the payment of fees. (26) A horse is a “starter” when the stall doors of the starting gate open in front of the horse at the time the starter dispatches the field. (27) “Sweepstakes” means a race: (a) For which fees or other contributions by three or more separate ownerships are distributed according to the conditions of the race; and (b) To which money or other prize may be added. (28) A “walkover” is a race in which only one horse starts, or in which all the starters are owned by the same interest. (29) “Weight for age” means standard weight according to the scale of weights contained in these rules. A weight for age race is one in which all horses carry weight according to the scale, without penalties or allowances. #### Regulation .03 Commission Sovereignty. *COMAR 09.10.01.03* A. A decision or ruling required by these regulations to be made by an entity that is not subject to the authority of the State is subject to review by the Commission. B. If the Commission does not concur with a decision of an entity under §A of this regulation, the decision of the Commission controls. #### Regulation .04 Reserved. *COMAR 09.10.01.04* #### Regulation .05 Repealed. *COMAR 09.10.01.05* #### Regulation .06 Repealed. *COMAR 09.10.01.06* #### Regulation .07 Claiming. *COMAR 09.10.01.07* A. Except as provided in §A-1 of this regulation, in claiming races a horse is subject to claim for its entered price by: (1) A licensed owner; (2) An individual authorized to claim in behalf of a registered stable or other multiple ownership entity; or (3) A registered authorized agent in behalf of a person listed in §A(1) or (2) of this regulation. A-1. In claiming races a horse is not subject to claim if: (1) The horse has not started for a minimum of 120 days; (2) The last start of the horse was a claiming race; (3) The horse is entered for a claiming price not less than the claiming price of its last start; (4) For the first race following the period specified in §A-1(1) of this regulation, the horse is declared ineligible to be claimed at the time of entry; and (5) The program clearly designates that the horse is ineligible to be claimed. B. Eligibility to Claim. (1) Except as provided in §B(2) and (3) of this regulation, to be eligible to claim, a licensed owner, registered stable, or other multiple ownership entity shall designate, as the person who will assume control and responsibility of a claimed horse, a licensed trainer who has been assigned stabling on grounds under the jurisdiction of the Commission. (2) A licensed owner, registered stable, or other multiple ownership entity that does not have a licensed trainer with assigned stabling on grounds under the jurisdiction of the Commission is eligible to claim only to replace a horse lost to a claim at a track under the jurisdiction of the Commission. (3) A trainer who is also licensed as an owner, and whose trainer's license is suspended, is not eligible to claim a horse as an owner during the term of the suspension. C. A person shall not be eligible to claim more than one horse in a race, either directly or through another. D. A valid claim shall: (1) Be in writing on a form provided by the association; (2) Be in the name of a person qualified to claim a horse; (3) Be signed by the person, or the agent of the person, in whose name the claim is made; (4) Contain the name of the horse to be claimed in a manner sufficient to avoid confusion with the name of another horse in the race; (5) Name the trainer who will assume control and responsibility of the horse to be claimed; (6) Be for the amount printed in the program as the claiming price of the horse; (7) Be enclosed in a sealed envelope, provided by the association, which shall contain no identifying marks on its outside other than the number of the race in which the claimed horse is to participate; (8) Be deposited in a lock box of the claims clerk at least 10 minutes before the post time for the race in which the claimed horse is to participate; and (9) Be supported by funds on deposit at the association in the name of the claimant in an amount sufficient to cover the cost of the claim, any taxes to which the claim may be subject, and 1.5 percent of the claiming price, which shall be paid to the horse retirement program approved by the organization representing the majority of horsemen. E. After the deadline for entering a claim has passed, the stewards or their designee shall: (1) Open the claim envelopes for the race; (2) If the same trainer is named on more than one claim form, conduct a drawing of those forms, which results in the trainer being named on only one claim form; (3) After ascertaining compliance with §§D and E of this regulation, if there is more than one valid claim for a horse, conduct a drawing to determine the successful claimant; and (4) Notify the Racing Secretary of the identity of the successful claimant and the horse claimed. F. The stewards may require a person who submits a claim for a horse in a claiming race to make an affidavit declaring that the person is claiming the horse for the person's own account or for the account of another as the registered authorized agent for that person. G. If the stewards determine that a horse was improperly entered in a claiming race, they may: (1) Void a claim of the horse; (2) Order the claiming monies, including all taxes, refunded to the claimant through the Clerk of the Course, the horsemen's bookkeeper, or otherwise; and (3) Order the return of the horse to the original owner. H. Except as provided in §H-1 or H-2 of this regulation, unless there is a violation of this regulation by the claimant, or the stewards determine that a horse was improperly entered: (1) The claim is irrevocable and the claimed horse becomes the property of the successful claimant from the time the horse is a starter; and (2) A purse earned in the race from which a horse is claimed is the property of the owner from whom the horse is claimed. H-1. A claim shall be voided if a horse is a starter and the horse: (1) Dies on the racetrack; or (2) Suffers an injury which requires the euthanasia of the horse, as determined by a State veterinarian, while the horse is on the racetrack. H-2. A claim is voidable at the sole discretion of the new owner, for a period of 1 hour after the race is made official, for any horse that: (1) Is vanned off the track after the race at the discretion of the State Veterinarian; or (2) Is sent to the detention barn and observed to be lame by the State Veterinarian. I. After the race has been run, the successful claimant shall present verification of the claim by the Racing Secretary to the person accompanying the claimed horse. J. A properly claimed horse shall be delivered to the successful claimant in the: (1) Paddock, immediately after the running of the race, if the horse is not subject to post-race testing; or (2) Detention area, after the horse has undergone post-race testing, if the horse is subject to that testing. K. If a trainer refuses to deliver a horse that has been claimed to the successful claimant when verification of the claim is presented in accordance with §I of this regulation, the: (1) Trainer is subject to sanctions; and (2) Claimed horse shall be disqualified from participating in further racing until delivery is made. L. In claiming races, the following acts, or an attempt to commit the following acts, are prohibited: (1) An agreement to claim, or not to claim, a horse belonging to another owner; (2) Preventing an owner from: (a) Claiming a horse, or (b) Legitimately running a horse in a race; (3) The claiming of a horse by: (a) The owner of the horse, (b) Another person for the account of the owner of the horse, or (c) One owner from another if the trainer of the horse to be claimed trains a horse owned by the entity making the claim; and (4) The entry of a horse if there is: (a) A lien or other encumbrance affecting the transfer of title to the horse unless there is written permission from the holder of the lien or other encumbrance, attached to the horse's foal certificate, allowing the horse to be entered in a claiming race, (b) An ownership dispute, or (c) One owner from another if the trainer of the horse to be claimed trains a horse owned by the entity making the claim; and M. If a horse is claimed: (1) The horse shall not be eligible to start in a claiming race for less than 25 percent more than the claiming price for a period of 20 days from the date of the claim; (a) For the period of the 21st through the 30th day after the horse is claimed, the horse may only start in a claiming race at a price equal to or greater than the amount for which it was claimed; and (b) For the period after the 30th day after the horse is claimed, the horse may start in a claiming race at any claiming price. (2) The horse may not be sold or transferred to anyone, wholly or in part, for a period of 30 days from the day of the claim, except: (a) In a claiming race, or (b) When the horse is entered and starts for a claiming price which would cause the horse to become ineligible to be entered at Laurel or Pimlico; (3) Unless reclaimed, the horse may not remain in the same stable or under the control or management of its former owner or trainer for a period of 30 days from the day of the claim; (4) It may not race outside of Maryland for a period of 60 days from the day of the claim except: (a) To participate in a stakes race; (b) To participate in a claiming race for a price which would cause the horse to become ineligible to be entered at Laurel or Pimlico; or (c) During the scheduled absence of a live thoroughbred race meet in Maryland for at least 15 days. N. For the purposes of §M of this regulation, the day of the claim does not count in computing the time restrictions. O. The stewards shall report action taken by them, in reference to a violation of this regulation, to the Commission which may, in its discretion, take any further action it considers appropriate. P. A horse which was claimed in another state and entered to race in this State remains subject to the conditions of the claiming regulation in the state where the claim was made until those conditions expire. Q. Notwithstanding information printed in the program or other racing publications, the claimant is solely responsible for determining the horse's: (1) Age; (2) Breeding; (3) Physical condition; (4) Racing record; and (5) Sex. R. National Steeplechase and Hunt Association. (1) At race meetings conducted by the Cecil County Breeders' Fair, Inc., claiming races shall be run under the conditions of the Rules of the National Steeplechase and Hunt Association, Part XXIII, Rule 203, N.B., as amended 1972. (2) For the purpose of defining a “meeting” as it applies to the eligibility of an owner to make a claim, all meetings sanctioned by the Hunts Committee of the N. S. & H. A. conducted between January 1st and June 30th of any one calendar year shall be deemed to be “one meeting”, and all meetings conducted between July 1st and December 31st of any one calendar year shall be deemed to be “one meeting”. (3) Each person desiring to make a claim, unless he has the amount to his credit with the National Steeplechase and Hunt Association, shall first deposit at the office of the National Steeplechase and Hunt Association the whole amount of the claim in cash, for which a receipt will be given; but any owner who is eligible to make a claim may do so without having the necessary funds on deposit as outlined above, provided that he delivers to an authorized representative of the National Steeplechase and Hunt Association at the race course not later than 30 minutes before post time of the 1st race of the meeting at which the claim is to be made, funds which are sufficient to cover the whole amount of the claim. These funds shall be in the form of a cashier's, treasurer's, or certified check only. (4) A horse which has been claimed may not race, other than at race meetings sanctioned by the Hunts Committee of the National Steeplechase and Hunt Association, until after the close of the meeting at which it was claimed, or for a period of 30 days, whichever comes first. #### Regulation .08 Repealed. *COMAR 09.10.01.08* #### Regulation .09 Colors — Registration. *COMAR 09.10.01.09* A. All racing colors carried in races shall be registered annually with the Commission on the application for owner's license. It shall be the sole responsibility of the trainer to see that his or her owner's colors are in the jockey's quarters to be used for his or her respective entries. For failure to do so, the trainer will be subject to fine. B. Any temporary change from the recorded colors of the owner shall be approved by the stewards and noted on the scale sheet. #### Regulation .10 Repealed. *COMAR 09.10.01.10* #### Regulation .11 Repealed. *COMAR 09.10.01.11* #### Regulation .12 Dead Heats. *COMAR 09.10.01.12* A. When two horses run a dead heat for first place, all prizes to which first and second horses would have been entitled shall be divided equally between them; this applies in dividing prizes, whatever the number of horses running a dead heat and whatever places for which the dead heat is run. Each horse shall be deemed a winner and liable to penalty for the amount he shall receive. B. When a dead heat is run for second place, and an objection is made to the winner of the race, and sustained, the horses which ran the dead heat shall be deemed to have run a dead heat for first place. C. If the dividing owners cannot agree as to which of them is to have a cup or other prize which cannot be divided, the question shall be determined by lot by the stewards. D. On a dead heat for a match, the match is off. #### Regulation .13 Repealed. *COMAR 09.10.01.13* #### Regulation .14 Purse Money. *COMAR 09.10.01.14* A. Purse money may not be distributed or used for claiming purposes within 72 hours of the running of the event in which it was earned. B. Any purse money in dispute as the result of an appeal shall be held by the association in an interest-bearing escrow account until a final determination has been made as to the proper distribution of the purse money. #### Regulation .15 Repealed. *COMAR 09.10.01.15* #### Regulation .15-1 Eligibility of a Horse. *COMAR 09.10.01.15-1* A horse which is eligible for a race at the time of its entry may not have its eligibility affected by a ruling on itself or another horse regarding a disqualification in a prior race that is issued on or after the day of the race for which the horse is entered. #### Regulation .16 Engagements and Transfers. *COMAR 09.10.01.16* A. Transfer of Engagements. (1) If a horse is sold by private treaty, at public auction, or claimed out of a claiming race (unless the conditions of the claiming race stated otherwise), the horse is considered to be transferred with its engagements. (2) The written acknowledgment of both the buyer and seller is required to negate the provisions of §A(1) of this regulation. B. Registrations and Transfers of Horses. (1) After a horse has been registered with the Racing Secretary, listing its owner, unless claimed at the meeting, the entry of the horse on behalf of a person other than the registered owner is not permitted until the stewards receive proof of a change in ownership. (2) As proof of a change in ownership, the stewards shall require: (a) A notarized bill of sale from the registered owner; or (b) Other evidence that is satisfactory to the stewards that the registered owner has transferred ownership. (3) The change of a trainer of a horse may not be approved by the stewards until a written or verbal authorization is received from the owner of the horse. #### Regulation .17 Entries, Declarations and Scratches. *COMAR 09.10.01.17* A. Except as provided in Regulations .28 and .57 of this chapter, a horse is not qualified to start in any race unless its owner, trainer, and jockey have been duly licensed by the Commission. B. For all races, the racing secretary is to receive entries and declarations. C. Entries and declarations shall be made in a manner designated by the racing secretary and signed by the owner of the horse, by the owner's authorized agent, or by some person deputized by the owner. D. Entries and scratches may be made by any manner designated by the racing secretary. E. Joint subscriptions and entries may be made by any one or more of the owners. However, each partner shall be jointly and severally liable for all fees and forfeits. F. Registry of a Horse. (1) A thoroughbred horse may not be allowed to start in any flat race unless duly registered and named at the Registry Office of The Jockey Club (New York). (2) A nonthoroughbred horse shall be registered and named in the files of the national office of the breed concerned. G. Name of Horse. (1) Name Changes. (a) If a horse's name is changed, its new name shall be registered with the national office of the breed concerned, and its old, as well as its new name, shall be given in every entry list until it has run three races, and both names shall be printed on the official program for these races. (b) For the purpose of these rules, the national office of the: (i) Thoroughbred breed of horse shall be The Jockey Club (New York). (ii) Arabian breed of horse shall be the Arabian Horse Registry of America. The identification certificate of the horse, as issued by the Arabian Jockey Club, shall be on file with the Racing Secretary before the horse is allowed to start. (2) A horse may not be allowed to enter or start if the highest official regulatory racing body having jurisdiction of the offense previously has determined that the horse was knowingly entered or raced under a name other than its own by a person having lawful custody or control of the animal at the time it was so entered or raced. (3) A horse may not be allowed to enter or start if it has been previously determined by the highest official regulatory racing body having jurisdiction of the offense that a person having lawful custody or control of the animal participated in or assisted in the entry of racing of some other horse under the name of the horse in question. (4) For the purposes of §H(2) and (3) of this regulation, the “name” of a horse means the name reflected in the registration certificate or racing permit issued with respect to the horse in question by the national office of the breed concerned. H. A horse may not be permitted to start if it has shoes on the front hooves that: (1) Have toe grabs that are greater than 4 millimeters in height; or (2) Contain bends, jar calks, or any other traction device. H-1. A horse participating in a turf race at Laurel Park or Pimlico Race Course may only use the following types of shoes: (1) Flat; (2) Queen's Plate; (3) Queen's Plate XT; (4) Silver Queen; or (5) Factory Wedge. I. A horse may not be permitted to enter or to start unless it is in the care of, and is saddled by, a licensed trainer or a licensed assistant trainer. J. A horse that has not been fully identified may not be permitted to start. K. A horse may not be permitted to start unless its name and true ownership are registered with the racing secretary. L. All interests in a horse, except a trainer's percentage of his winnings, shall be filed with the racing secretary before the horse shall start. Every change in interest thereafter during the meeting also shall be filed with the racing secretary. M. In all races, except handicaps and races where the conditions expressly state to the contrary, the scale of weights is less by the following: for fillies two years old, 3 pounds; for mares three years old and upwards, 5 pounds before September 1 and 3 pounds thereafter when running against colts, geldings or horses. N. To compete in a race, a horse shall be eligible at the time of starting for that race. O. A horse involved in a partnership may not be permitted to start until the rules for the registration of partnerships have been complied with. P. An entry may not be admitted after the racing secretary has declared them closed, except that, in case of an emergency, the racing secretary, with the consent of a steward, may re-open the entries. Q. The list of entries for all other races shall be closed at the advertised time. An entry may not be admitted after that time, unless the nominator can prove to the stewards that the entry was mailed before the advertised time of closing. Starters shall be named through the entry box by the usual time of closing. R. Except in a match race, an entry, subscription or right of entry under it, does not become void on the death of the nominator or subscriber. These rights shall follow the horse. S. In the absence of notice to the contrary, entrance and declarations for sweepstakes, which close during or on the eve of a race meeting, close at the office of the racing secretary, who shall make provision therefor. Closing at all other times for sweepstakes shall be at the office of the association. T. Except in overnight races, if the hour for closing of entries or for declarations is not stated, it is understood to be midnight at the close of the day specified. U. Nominations for stake races shall be valid if: (1) Received before midnight of the day of closing; or (2) Postmarked before midnight of the day of closing and received not later than: (a) If a handicap, 24 hours before the publication of weights, or (b) If a type of stakes race other than a handicap, 24 hours before the closing of overnight entries scheduled for the day of the stakes race. V. If a miscarriage of any nomination or declaration in a stake race is claimed, satisfactory proof that it was mailed or telegraphed shall be presented within a reasonable time to the stewards or the evidence will not be considered. W. Entries which have closed shall be complied without delay by the racing secretary and posted in a conspicuous place. X. An alteration may not be made in any entry after the closing of entries, but a bona fide error may be corrected. Y. In the case of an imported horse, the official racing record of the horse shall be filed with the racing secretary before the time entry is made in order to qualify for eligibility. Z. Declaration in Purse Races and Overnight Handicaps. (1) The stewards may, for cause, allow a horse to be declared out of a race. (2) If a horse is declared out of a race under the provisions of §Z(1) of this regulation, the stewards shall prohibit the horse from running out-of-State for a period up to 10 days starting with the day of the race from which the horse was declared out. (3) If there is a request to declare a horse out and this request is not allowed by the stewards, the Association shall make this information known to the public by posting it on the information boards of the Association which are normally used to disseminate other race-related information to the public. AA. Each horse is entitled to 5 feet of the width of the track. BB. A horse may not be qualified to be entered, or to start in any race, if owned in whole or in part, or is under the management, directly or indirectly, of a disqualified person. CC. If an entry from a disqualified person, or of a disqualified horse is received, that entry shall be void and any money paid for the entry shall be returned if the disqualification is disclosed 45 minutes before post time for the race. Otherwise, any money shall be paid to the winner. DD. An entry may not be accepted from husband or wife while either is disqualified. EE. A horse on any barred list may not be qualified to be entered, or to start, without permission of the stewards. FF. If a horse is sold to a disqualified person, the horse's racing engagements shall be void as of the date of sale. GG. A horse may not enter or start in any race if the owner of that horse is in arrears, except with the approval of the racing secretary. HH. A horse that has been administered any intra-articular injections may not start for 14 days. In counting the number of days, the day the horse is injected shall be the first day. II. In divided races, the starters in the separate divisions shall be determined by lot. JJ. If a race is declared off because of insufficient entries, the association may: (1) Split any overnight race which may have closed, and cause a new drawing for post positions; or (2) Substitute a new race. KK. An entry in a sweepstakes is a subscription and cannot be withdrawn. LL. A person, who subscribes to a sweepstakes before the time fixed for naming, can transfer the right of entry under one or more of the person's subscriptions to any other person or persons in good standing. MM. The nominator is liable for the entrance money or stake, and the death of an entered horse, or a mistake in his entry (if eligible) does not release the nominator or transferee from this liability. The entrance money or stake of an eligible horse to any race which is run off may not be returnable for the entry's failure to start for any cause. NN. A horse may not be entered on a single day for two races, except that a horse may be entered for two or more Stakes races on the same day if the horse is declared by the normal scratch time for the day on which the horse is entered for two or more Stakes races. OO. A horse may not be entered at more than one track, other than in a sweepstakes, on any one racing day. PP. If entered for the first time at a meeting, a horse shall be identified by stating the horse's name, color, sex, age, and the name of the horse's sire and dam, as registered. This description shall be repeated at each entry until the horse's name and description have been published in the official program or the list of entries of an association. In every entry after that, the name, age, and sex of a horse shall be sufficient. QQ. Any alteration in the sex of a horse shall be reported and noted by the trainer to the office of the racing secretary or the Horse Identification Office immediately, and that office shall note the same on the foal certificate. RR. The racing secretary may call upon an owner or trainer for proof of the eligibility of any entered horse or of any horse offered for entry. In default of this proof, the racing secretary may decline to accept the entry. SS. Correction of Entry. (1) Provided the identity of the horse is satisfactorily established, an incorrect or imperfect description in the entry of a horse, or failure to register a partnership, may be corrected at any time: (a) Before the horse is announced as a starter and the horse's number exhibited for the race in which it is entered; or (b) In a handicap, before the weighs are announced. (2) This rule may not be construed to allow any horse to start in any race for which it is not otherwise completely qualified under the rules of racing. TT. A horse may not be considered scratched or declared out of an engagement until the owner or the owner's authorized agent or some person deputized by the owner has given due notice to the stewards, and the stewards permit the scratch. UU. For stake races, if a horse is not named through the entry box the day before the race at the usual time of closing, the horse is automatically out. VV. The declaration or scratch of a horse out of an engagement is irrevocable. WW. Horses may be declared from stake races up to 45 minutes before post time for that race. XX. The following rules apply to purse races and overnight events, but do not apply to stake races or sweepstakes: (1) A trainer may enter up to three horses in an overnight race if that race has a least six entries with separate owners and or trainers. In no case may more than two horses start in the same ownership and/or trainer to the exclusion of a single entry. (2) If the race is to be divided into two or more races, an entry under the same or separate ownership shall be separated and one horse of the entry shall receive a draw in each division of the original race. (3) If possible, the name of the jockey engaged to ride each horse shall be furnished at the time of entry. However, if the jockey has not been named by the normal scratch time for that day's races, the stewards shall select, in their judgment, the best jockey available to ride any horse on which a jockey has not been named. YY. Published Workouts. (1) A horse which has never raced or has not started for a period of 60 days or more may not be permitted to start unless it has a published workout at a distance acceptable to the stewards within 45 days of starting. If a horse worked, but through no fault of the trainer the workout does not appear in the past performances, the horse shall be permitted to race and the correct workout and date announced on the public address system. (2) When a horse is stabled at an approved stable area or training center and the trainer works the horse, the trainer shall make a notarized statement to the stewards as to when, where, and the time for the distance the horse worked, and the work shall be announced on the public address system. If it is not the practice of the trainer to work a particular horse he shall make a notarized statement to the stewards as to how the horse is brought up to a race, and this information will be made public by notation on the official program of the racing association or by public address announcement if this information is received after the program is printed. #### Regulation .18 Equipment Changes. *COMAR 09.10.01.18* A. Permission to add or discontinue the use of blinkers or any other device that would restrict the vision of a horse from behind shall be approved by the starter before being granted by the stewards. B. Permission for a rider to discontinue carrying a whip on his mount shall be obtained from the stewards, and permission shall be obtained from the stewards before adding the whip back as part of the rider's equipment. #### Regulation .19 Fines and Suspensions. *COMAR 09.10.01.19* A. No racing official other than the stewards has the right to impose a fine or suspension after a hearing before the stewards. B. A racing official imposing a fine or suspension shall report it promptly to the racing secretary in writing. C. An unpaid fine may not be rescinded except with the approval of the Commission. #### Regulation .20 Identification of Horses. *COMAR 09.10.01.20* A. All horses shall be identified to the satisfaction of the stewards except: (1) Under the provisions of §A(2) of this regulation, the original certificate, or a duplicate, issued by the Jockey Club (New York) for thoroughbreds, or issued by the national office, or other office as specified, for the breeds concerned for nonthoroughbreds, shall show original markings and shall be filed with the racing secretary before an entry will be allowed to start; (2) When a horse has previously started and there is sufficient documentation to properly identify the horse, the stewards may allow the horse to start, however, the trainer is subject to a fine for failure to comply with the provisions of §A(1) of this regulation. B. A horse may not be allowed to race unless it has been lip tattooed or digitally tattooed by the Thoroughbred Racing Protective Bureau (TRPB). For good cause, the stewards may waive this requirement if the horse is otherwise properly identified. However, the horse shall be tattooed thereafter within a time set by the stewards. #### Regulation .20-1 Exercise Rider. *COMAR 09.10.01.20-1* A. Exercise Rider License. (1) An exercise rider shall: (a) Be licensed by the Commission; and (b) Except as provided in §A(2) of this regulation, be 16 years old or older. (2) An individual who is 15 years old may apply for an exercise rider license, if the parent or legal guardian of the applicant files with the Commission an affidavit which states that: (a) The applicant shall only exercise horses trained by the parent or legal guardian; (b) The parent or legal guardian shall directly supervise the applicant when the applicant is performing the duties associated with the exercising of a horse; and (c) The applicant shall otherwise comply with the requirements of this regulation. B. An applicant for an original exercise rider's license shall: (1) Be sponsored by a trainer licensed by the Commission; and (2) Demonstrate to the satisfaction of the stewards that the applicant has sufficient riding experience to justify the issuance of a temporary license. C. Upon satisfying the requirements of §B of this regulation, the Commission shall issue to the applicant a 10-day temporary exercise rider's license. D. During the period of temporary licensure, the applicant shall be observed as to the applicant's ability to exercise horses by: (1) A licensed trainer other than the trainer who sponsored the applicant; (2) An outrider employed by a racing association licensed under Business Regulation Article, §11-508, Annotated Code of Maryland; and (3) A licensed jockey selected by the stewards. E. Upon the completion of the temporary licensure period, the applicant shall submit to the stewards the evaluations of the individuals designated under §D of this regulation regarding the ability of the applicant to exercise horses. F. After reviewing the evaluations in §E of this regulation, the stewards shall take the following action: (1) Remove the temporary status from the applicant's license, making it permanent for the remainder of the calendar year; or (2) Disapprove the issuance of the permanent exercise rider's license. G. If the applicant is disapproved by the stewards, the applicant may appeal this decision to the Commission in accordance with Regulation .45V(3) of this chapter. H. While performing the duties of an exercise rider, an individual shall wear the following equipment which is designed to reduce the risk of injury on the racetrack: (1) A safety helmet; (2) A safety vest which is equal to or exceeds the requirements set forth in Regulation .21-1 of this chapter; and (3) Other equipment that the stewards consider appropriate. #### Regulation .21 Jockeys. *COMAR 09.10.01.21* A. In order to be eligible to participate in a race, a jockey shall be licensed by the Commission. A-1. Except as provided in §A-2 of this regulation, to qualify for a jockey license, an individual shall continue to meet the physical requirements set forth under Regulation .23A of this chapter and shall: (1) Have successfully completed an apprenticeship program as sanctioned by a jurisdiction which regulates racing; or (2) Display, to the satisfaction of the stewards, that the individual meets all of the other requirements under Regulation .23A of this chapter, except §A(1)(b) of that regulation. A-2. Restricted Jockey License. Based on the degree of competency demonstrated, an individual who does not wish to be licensed as a jockey under the provisions of §A-1 of this regulation may be granted a jockey license by the Commission, and this license shall restrict the individual to riding in: (1) Races for amateur jockeys; (2) Steeplechase races; or (3) Other races designated by the Commission. B. An individual younger than 16 years old may not be licensed as a jockey. C. A jockey shall ride under the jockey's legal name. D. The stewards may permit a jockey to ride pending action on the jockey's application for a license. E. A jockey under suspension in any state or foreign country may not ride during the period of the jockey's suspension except as provided under Regulation .45AA of this chapter. F. A jockey may not smoke in public while wearing racing colors. G. While riding in a race, a jockey shall wear a number on the jockey's right arm which shall correspond to the: (1) Saddle cloth number of the horse the jockey is riding in the race; and (2) Number of the horse the jockey is riding in the race as printed in the official program. H. Weight. (1) A jockey who is engaged to ride in a race shall: (a) Report to the scale room on the day of the race not later than the time specified by the clerk of the scales; (b) Report the jockey's engagements and over weights, if any, not later than the time specified by the clerk of the scales; (c) Remain in the jockey room, except to view the races from a point approved by the stewards, or to ride in a race, until all of the jockey's engagements for the day have been fulfilled; and (d) Weigh out at the appointed time unless excused by the stewards. (2) A jockey who has an engagement to ride in a stake race shall report to the clerk of the scales not later than 1 hour before the post time of that race. I. A fine shall be paid by the jockey upon whom the fine was levied, and any other person paying this fine shall be subject to appropriate action by the Commission. J. A jockey may not have more than one agent. J-1. All engagements to ride, other than those for the contract employer of the jockey, shall be made by the: (1) Jockey; (2) Jockey's agent; (3) Jockey's employer; or (4) Clerk of the scales. K. On a day that a jockey is scheduled to ride, the jockey may not bet on any race except: (1) To win on a horse which the jockey is scheduled to ride; and (2) Through the owner or trainer of that horse. L. A jockey may not receive a gift from a person other than the owner or trainer of the horse for whom the jockey is riding. M. A person may not: (1) Knowingly act in the capacity of part owner, or trainer, of any horse in which a jockey possesses an interest; (2) Make any bet with, or in behalf of, any jockey, except as provided in §K of this rule; or (3) Aid or abet in any breach of these rules. N. Ownership of Horses. (1) Unless a jockey is licensed under the provisions of §A-2 of this regulation, the jockey may not be the owner of a thoroughbred race horse. (2) If a jockey licensed under the provisions of §A-2 of this regulation owns a horse and that horse is in a race in which the jockey is riding, the jockey shall ride that horse. O. Equipment. In addition to the equipment a jockey is otherwise required to use to ride a horse in a race, a jockey shall wear the following equipment which is designed to reduce the risk of injury on the racetrack: (1) A safety helmet; and (2) A safety vest: (a) Weighing not more than 2 pounds, and (b) Equaling or exceeding the requirements under Regulation .21-1 of this chapter. P. A jockey who makes a frivolous complaint may be fined or suspended by the stewards or the Commission. Q. The stewards shall penalize a jockey according to the gravity of the offense, if, without adequate cause, the jockey does not: (1) Put forth every reasonable effort and exercise the greatest diligence in riding a race; or (2) Ride out a horse in a race. R. Use of the Whip. (1) Except to control a horse, a jockey or any other individual may not strike a horse with a whip: (a) On or about the horse's head; or (b) Under the horse's flank. (2) During the running of a race, a jockey: (a) Shall use the whip in a manner that is consistent with the jockey's best effort to obtain the maximum placing of the horse in the race; and (b) May not use the whip in a brutal manner when it is apparent that the horse the jockey is riding has obtained its maximum placing in the race. (3) If a trainer does not want the jockey who is riding the trainer's horse in a race to carry a whip, the trainer shall: (a) Obtain permission from the stewards; and (b) Notify the jockey who is riding the horse. #### Regulation .21-1 Jockey Safety Vest. *COMAR 09.10.01.21-1* A jockey safety vest shall: A. Cover the torso, front and back, from the collar bone to the hip bone; B. Be of uniform material and thickness over the whole of the vest, except for localized: (1) Variation due to pattern, for example, quilting, (2) Thinner areas to aid fit, for example, under the arms, at fastenings and at edges, and (3) Thicker areas in regard to particularly sensitive areas of the body, for example, the spine; and C. Equal or exceed a minimum shock absorbence rating of 5 according to the specifications established by the British Equestrian Trade Association (BETA) which are as follows: (1) Use a critical height apparatus to measure the maximum deceleration on impact of a striker consisting of a spherical indenter weighing 5.9 (+/- 0.05) kilograms with a diameter of 215 (+/- 2) millimeters, (2) Condition the vest and the striker for a minimum of 3 hours at 23° (+/- 2°) Centigrade, (3) With the vest lying on a smooth, flat, massive concrete base with the inside of the vest facing the striker and positioned so that the striker will impact on an area of typical thickness, not reinforced by additional material, raise and release the striker starting at a height of 0.2 meter and increasing the height by increments of 0.2 meter to a height which will result in a deceleration of over 300 gravity units (1G=9.81 ms-1) as measured by recording the signal from an accelerometer throughout the impact from the time before the striker impacts the vest until the accelerometer returns to the same level as before the impact, (4) Record the gravity units measured at each height increment on a line graph which has the gravity units in ascending order as the vertical axis and the release height in meters in ascending increments as the horizontal axis, (5) Plot the height in meters at which the deceleration reached 300 gravity units, and (6) Multiply the height obtained in §C(5) of this regulation by 10 to calculate the shock absorbence rating. #### Regulation .22 Jockey Agents. *COMAR 09.10.01.22* A. Each jockey agent shall obtain a license from the Commission. Before issuance of a license, a jockey agent may be required to satisfy the Commission of the jockey agent's financial responsibility which the jockey agent shall maintain so long as the jockey agent is licensed by the Commission. B. Number of Jockeys an Agent May Be Permitted to Represent. (1) A jockey agent may represent up to: (a) Two journeymen jockeys; and (b) One apprentice jockey. (2) If a stable employs more than two contract jockeys, a jockey agent may represent all the jockeys under contract to that stable. C. A jockey agent may not make or assist in the making of any engagement for any rider other than those the jockey agent is licensed to represent. D. Conflicting claims for the services of a jockey shall be decided by the stewards and first call shall have priority. E. No person other than an owner, trainer, jockey agent, or authorized agent of an owner in good standing shall make engagements for an apprentice jockey or jockey. However, a jockey not represented by an agent may make the jockey's own engagements. F. Jockey agents shall explain rival claims for any mount or for any rider. Inability to satisfy the stewards that the rival claims arose through bona fide error shall create a presumption of fraud, and constitute cause for an agent's license to be revoked. G. Examination for Jockey Agent's License. An applicant for an original jockey agent's license shall be given a written or oral examination by the stewards. An unsuccessful applicant shall be permitted by the stewards to reapply after a waiting period of not more than 2 months. H. Naming of Jockeys. (1) Jockey agents shall declare to the clerk of scales of the Association their first and second calls on a race not later than the scratch time for the race. (2) A jockey may not accept more than two calls in any one race. (3) An entry may be considered one call for the purpose of this section. (4) An owner/trainer or authorized agent, or both, may not name a rider on a horse unless that person has a first or second call on that rider. #### Regulation .23 Apprentice Jockey. *COMAR 09.10.01.23* A. Licensure. (1) An individual may be granted an original apprentice jockey license and an apprentice certificate by the stewards if the individual: (a) Is 16 years old or older; (b) Has never been licensed and has never ridden in a race as a thoroughbred jockey, except under the conditions as provided in §A(2) of this regulation; (c) When under age, has written parental consent; (d) Has the certification of two or more licensed trainers that the individual has at least 1 year's experience as an exercise rider; (e) Passed, within the previous 12 months, a physical examination given by a licensed physician affirming fitness to participate as a jockey, including a baseline concussion test using the most current Sport Concussion Assessment Tool (SCAT) testing protocol; (f) Demonstrates, to the satisfaction of the starter and an accompanying journeyman jockey, the ability to start from the gate and maintain a consistent path around the racetrack; and (g) After having received an orientation from the stewards, satisfies the stewards that the individual has a sufficient knowledge of: (i) The rules of racing; (ii) The procedures in the jockeys' room, paddock, and post parade; and (iii) The physical problems that may befall a horse during the running of a race. (2) The results of the physical examination and the baseline test shall be provided by the jockey to the stewards or their designee. (3) The stewards or their designee may require that any jockey be reexamined. (4) The stewards may refuse to allow a jockey to ride pending completion of such examination. (5) After the individual rides in a reasonable number of races as an apprentice jockey, upon proper notice and hearing, the stewards may withdraw a license issued under this regulation based upon the performance of the individual in these races. A-1. Weight Allowances. (1) An apprentice jockey, created by contract or certificate, may claim the following weight allowances in all overnight races except handicaps: (a) 10 pounds beginning with the first mount and continuing until the apprentice has ridden five winners; (b) 7 pounds after the 5th winner until the 40th winner; and (c) 5 pounds after the 40th winner until 1 year from the date of the 5th winning mount. (2) If, after 1 year from the date of the 5th winning mount, the apprentice jockey has not ridden 40 winners, the applicable weight allowance shall continue for 1 more year or until the 40th winner, whichever comes first, but, in no event may the applicable weight allowances be claimed for more than 2 years from the date of the 5th winning mount unless an extension is granted under §A-1(4) of this regulation. (3) After the completion of conditions under §A-1(1) and (2) of this regulation, for 1 additional year, an apprentice who is under contract to an owner or trainer may claim a 3-pound weight allowance when riding horses owned or trained by the individual who held the contract at the time the apprentice rode the first winner if the contract has not been transferred or sold since the apprentice rode the first winner. (4) Extension of Apprentice Weight Allowances. (a) The Commission may extend the weight allowances of an apprentice jockey when, in the discretion of the Commission, this action would be justified because of time lost due to: (i) A physical disablement; (ii) Military service; (iii) Attendance at an institution of secondary or higher learning as a full-time student; or (iv) Restrictions on horse racing. (b) In order to qualify for an extension of the apprentice weight allowances, an apprentice jockey shall have been rendered unable to ride for a period of not less than 7 days during the period in which the apprentice was entitled to an apprentice weight allowance. (c) An apprentice may petition one of the jurisdictions in which the apprentice is licensed and riding for an extension of the time for claiming apprentice weight allowances, and the apprentice shall be bound by the decision of the jurisdiction petitioned. (5) When an individual is no longer eligible for the weight allowances of an apprentice jockey, the individual ceases to be an apprentice jockey and is considered a journeyman jockey. B. Fees. An apprentice jockey shall be entitled to the regular jockey fees, except when riding a horse owned in part or solely by the contract holder. C. Applicability of Jockey Regulations. An apprentice jockey is subject to all applicable provisions of this chapter regarding jockeys. #### Regulation .24 Jockey Room Custodian. *COMAR 09.10.01.24* A. It is the duty of the jockey room custodian to see to it that order, decorum, and cleanliness are maintained in the jockey and scale rooms. B. The custodian shall assist the clerk of the scales as he may require. C. The custodian shall see to it that no persons, other than members of the Commission and its authorized representatives, racing officials, and the necessary jockey room attendants are admitted to the jockey room after 10 a.m. on a day of racing without consent of the stewards. D. The custodian shall oversee the care and storage of all racing colors, giving written receipts for them when deposited. E. The custodian shall oversee the jockey attendants and arrange their rotation among jockeys in the matter of weighing out. F. The custodian shall report to the stewards any irregularities that occur in his province. G. The custodian shall see to it that jockeys are neat in appearance and attired in keeping with these rules when they leave the room to ride in a race. #### Regulation .25 Licenses and Registrations. *COMAR 09.10.01.25* A. The following persons are required to take out a license from, or register with, the Commission: (1) Licenses: (a) Owner; (b) Trainer; (c) Assistant trainer; (d) Jockey; (e) Apprentice jockey; (f) Jockey agent; (g) Pari-mutuel employee; (h) Stable employee; (i) Track employee; (j) Vendor; (k) Veterinarian; (l) Farrier; (m) Exercise rider. (2) Registrations: (a) Authorized agent; (b) Stable name. B. License and Registration Expiration. (1) A license or registration issued under §A(1)(a)—(f) or §A(2) of this regulation shall expire on December 31 of the year for which it was issued. (2) A license issued under §A(1)(g)—(m) of this regulation shall expire on June 30 of each year. #### Regulation .26 Repealed. *COMAR 09.10.01.26* #### Regulation .27 Outriders. *COMAR 09.10.01.27* There shall be three outriders on duty at all tracks while racing is being conducted. At least one outrider shall be on duty during training hours at all tracks under the jurisdiction of the Commission. However, at any track of less than 1 mile in circumference, there may be two outriders on duty while racing is being conducted. #### Regulation .28 Owners. *COMAR 09.10.01.28* A. Except as provided by this section, an owner may not be allowed to start a horse under the jurisdiction of the Commission until the owner has obtained from the Commission a current owner's license. The license may be revoked, for cause, by the Commission or, in the discretion of the Commission, may be suspended, for cause, for any period of time. Before issuance of a license, an owner may be required to satisfy the Commission of his financial responsibility. An owner shall maintain his financial responsibility so long as he is licensed by the Commission. The stewards, in their discretion, may allow an owner to race a horse one time while awaiting action on the owner's application for licensure. An owner who so races but does not complete his application for a license and pay the appropriate fee within a reasonable period of time, shall be precluded from racing until his application is filed, and license fee paid. B. Disqualification of a husband or wife from having a license may apply equally to both. C. The application for a license shall be made upon a form of application prepared by the Commission. D. A licensed owner shall order the production and transfer of all health and medical records, as defined under COMAR 09.10.03, held by the individual or veterinarian providing services to the horse owned by them within 7 days if: (1) The horse is sold to, claimed by, or transferred to a new owner; or (2) The Racing Commission Equine Medical Director makes a request for such records. E. Multiple Ownership. (1) Forms of multiple ownership shall be duly licensed by the Commission before being allowed to start a horse. (2) The license application of the multiple ownership entity (“entity”) shall be accompanied by the relevant documents governing the formation of the entity which shall contain, among other things, the following: (a) The name, address, social security number, and date of birth of each person having an interest in the entity; (b) The relative proportions of the interests in §F(2)(a); (c) To whom the winnings are payable; (d) In whose name the horse or horses owned by the entity shall run; (e) The name of the person designated to act as agent for the entity in all racing matters; (f) The names of the horse or horses owned by the entity; (g) The terms of any contingency, lease, or other arrangement. A copy of the documents shall be attached to the registration certificate of any horses owned by the entity. (3) A person holding an interest of 5 percent or more in an entity shall be deemed to hold a beneficial interest and shall obtain an owner's license. Beneficial interest includes all direct and indirect forms of ownership or control, or both, voting power, or investment power, held through any contract, lien, lease, partnership, stockholding, syndication, joint venture, understanding, relationship (including family relationship), present or reversionary right, title or interest, or otherwise. (4) A person holding a beneficial interest in an entity shall disclose any beneficial interests which that person holds in any horses to the Commission, at the time of licensing and at the track not later than the time of entry. (5) Officers, directors, general partners, managers, and authorized agents of an entity shall obtain an owner's license. (6) Each entity shall designate in writing the person authorized to act as agent for the entity in all racing matters. This person shall obtain an owner's license and represent more than 50 percent of the financial interests in the entity, and shall be subject to the rules governing the authorized agent. The Commission shall be notified in writing by the entity of any change in the person designated as its agent. An agent for an entity may not assume the responsibilities of the trainer unless that person is the trainer. (7) The Commission may deny, suspend, or revoke the license of an entity in which a beneficial interest is held by a person who is or would be ineligible to be licensed as an owner in any respect. (8) Changes either in the structure of the entity or in the persons holding any interest in the entity shall be immediately disclosed to the Commission in writing. (9) Horses owned by the entity shall race in the name of the entity, the stable name of the entity, or the name of the agent designated to act for the entity with the designation “et al” following the agent's name. (10) The Commission, through the racing secretary's office, shall review the ownership of each horse entered to race and ensure that each registration or eligibility certificate is properly endorsed by the transfer or to the entity. The Commission may determine, for racing purposes, the validity of all liens, transfers, and agreements pertaining to ownership of a horse and may call for adequate evidence of ownership at any time. The Commission may declare ineligible to race any horse whose ownership is in question. (11) Coupled Horses. (a) In §F(11) of this regulation, “commonality of ownership” means that the same person, persons, entity, or entities own at least 25 percent of a horse entered in a race and also own at least 25 percent of another horse entered in the same race. (b) Except as provided in this subsection, horses may be uncoupled at the time of entry for betting purposes if the horses have commonality of ownership. (c) If horses have commonality of ownership in a stakes race, the horses shall be uncoupled for betting purposes. (d) If a race is split into two or more divisions, horses subject to the provisions of §F(11)(b) of this regulation shall be seeded in separate divisions, if possible, but the divisions in which they compete and the post positions shall be determined by lot. (12) A person involved in a multiple ownership entity may lease, subject to the provisions of COMAR 09.10.04.22, the person's interest in the entity to another person in the multiple ownership entity. F. If an owner engages two or more jockeys for the same race, he shall pay the losing fee for each engaged jockey not riding in the race, as well as the proper fee to the jockey who does ride. G. An owner who makes a frivolous complaint or frivolously places a hold upon the results of a race being made official may be fined or suspended by the stewards. #### Regulation .29 Paddock to Post. *COMAR 09.10.01.29* A. Permission shall be obtained from a steward to exercise a horse between races unless the horse is being warmed up on the way to and just before entering the paddock for the next race to be run. B. When a horse is being so warmed up before entering the paddock, its official program number shall be displayed by the rider. C. In a race, each horse shall carry a conspicuous saddlecloth number corresponding to his number on the official program. In the case of an entry, each horse making up the entry shall carry the same number (saddlecloth) with a distinguishing letter. For example, 1, 1a, 1X. In the case of a field, the horses comprising the field shall carry an individual number, i.e., 12, 13, 14, 15, and so on. D. Every horse shall be saddled in the paddock unless given permission otherwise by the stewards. E. All horses shall parade such a distance as is reasonable and proper in the opinion of the stewards, unless excused by the paddock judge. If a horse is so excused from parading and is led to the post, he shall pass over the same route as that followed by the parade. F. All horses shall carry their respective weights from paddock to post. G. Parading horses shall pass the stewards' stand in the numerical order of their exhibited number. Only a horse being led by the parade leader, or excused from parading, may parade out of numerical order. H. In the discretion of the stewards, parading horses may be allowed to break out of numerical order after passing in front of the stands. I. After the horses enter the track, a jockey may not dismount and a horse is not entitled to the care of an attendant without consent of the stewards or the starter. J. In case of accident to a jockey, or to his mount or equipment, the stewards or the starter may permit the jockey to dismount and the horse to be cared for during the delay, and may permit all jockeys to dismount and all horses to be attended during the delay. K. If a jockey is thrown on the way from the paddock to the post, the horse shall be remounted, return to the point where the jockey was thrown, and then proceed over the route of the parade to the post. L. If the jockey is so injured on the way to the post as to require replacement by another jockey, the horse shall be taken to the paddock, another jockey obtained, and then ridden over any uncompleted portion of the exact route of the parade to the starting point. M. If a horse leaves the course while moving from paddock to post, he shall return to the course at the nearest practical point to that at which he left the course, and shall complete his parade to the post from the point at which he left the course. N. A person may not willfully delay the arrival of a horse at the post. O. A bugle may be sounded to indicate the time to go to the post. #### Regulation .30 Purses. *COMAR 09.10.01.30* A. Purse money earned on thoroughbred races under the provisions of Business Regulation Article, Title 11, Annotated Code of Maryland, shall be credited to the thoroughbred purse account. B. Purse money earned on nonthoroughbred races under the provisions of Business Regulation Article, Title 11, shall be credited to each nonthoroughbred breed purse account. C. If the total amount paid for purses to nonthoroughbred horses in any race meeting does not equal the amount earned as described in §B of this regulation, any over or underpayment for each nonthoroughbred breed shall be carried forward to the next race meeting of the same association, unless the association agrees to allow the over or underpayment to be transferred to the next association to race and the next association to race agrees to accept the transfer. D. If there is no racing for a nonthoroughbred breed that raced at the previous meeting of the association, at the next race meeting of the same association the association shall resolve the disposition of any over or underpayment with the representative of the nonthoroughbred breed as recognized by the association. The thoroughbred purse account may not be charged with any overpayment to nonthoroughbreds, and if there is no distribution of any underpayment to nonthoroughbreds, the underpayment shall revert to the thoroughbred purse account. #### Regulation .31 Penalties and Allowances. *COMAR 09.10.01.31* A. Weight penalties are obligatory. B. Weight allowance is obligatory except by permission of a steward. This permission shall be obtained at the time of entry. C. Weight allowance shall be claimed at the time of overnight entry and shall be the responsibility of the trainer. D. An apprentice allowance may be claimed at scratch time if the named rider is unable to fulfill their engagement. E. An apprentice allowance may not be claimed at scratch time if no rider was named at the time of overnight entry. F. Weight allowance may not be abandoned after the posting of entries except by consent of the stewards. G. Penalties and allowance of weight are not cumulative, unless so declared by the conditions of a race. H. A horse shall start with only the allowance of weight to which he is entitled at the time of starting. I. Horses incurring weight penalties for a race are not entitled to any of the weight allowances for that race. J. Horses not entitled to the first weight allowance in a race are not entitled to the second, and so on. K. Omitting to claim a weight allowance is not cause for disqualification. L. A horse may not incur a weight penalty or be barred from any race for having been placed second or lower in any race. M. A horse may not be given a weight allowance for failure to finish second or in any lower place in any race. N. Penalties incurred in steeplechase or hurdle races do not apply to races on the flat or vice versa. O. Allowance due in steeplechase or hurdle races do not apply to races on the flat or vice versa. P. Penalties may not be invoked, or allowances made, in arriving at the weight to be carried in matches, or in private sweepstakes. Q. A horse may not receive allowance of weight, or be relieved of extra weight, for having been beaten in one or more races. However, this rule does not prohibit maiden allowance or allowances to horses which have not won within a specified period, or which have not won a race of specified value. R. A horse may not incur a weight penalty for a placement from which he is disqualified, but a horse placed through the disqualification of another horse shall incur the weight penalties of that placement. S. A horse involved in a dead heat for first place shall be liable to weight penalty for the amount received. T. In reckoning weight penalties or allowances, any race whose conditions preclude the claim of any of the starters may not be considered a claiming race, even if won by a horse liable to claim under those conditions. #### Regulation .32 Post Position. *COMAR 09.10.01.32* A. Post positions shall be determined publicly by lot in the presence of the racing secretary or his deputy, or one or more stewards. B. Beginning from the inside rail, the horses shall take their positions at the post in keeping with the numerical order resulting from the public drawing. #### Regulation .33 Repealed. *COMAR 09.10.01.33* #### Regulation .34 Produce Races. *COMAR 09.10.01.34* A. In making an entry for a produce race, the produce is entered by specifying the dam and the sire or sires. B. The entry of the mare is void if: (1) The produce of a mare is dropped before the 1st of January; (2) There is no produce; (3) The produce is dead when dropped; or (4) Twins are dropped. C. In produce races, allowances for the produce of untried horses shall be claimed before the time of closing, and are not lost by subsequent winnings. #### Regulation .35 Objections, When and Where Made, and Appeals. *COMAR 09.10.01.35* A. All objections shall be made to the stewards by the objector. Objections that are not claims of interference shall be in writing and signed by the objector. B. Permission of the stewards is necessary before an objection can be withdrawn. C. The person or persons lodging the objection shall pay all the costs and expenses incurred in resolving the objection in such proportions as the stewards shall decide, unless relieved from this expense by the Commission. These costs and expenses shall be paid within 7 days of the notice of them as posted by the stewards. D. Objections to a horse engaged in a race may be made to one of the stewards by: (1) The owner, trainer, or jockey of some other horse engaged in the same race; or (2) The officials of the race meeting. E. Objections to any decisions of the clerk of the scales shall be made not later than 15 minutes before the start of the race. F. Objections based on an occurrence in a race shall be made before the numbers of the horses placed in the race have been officially confirmed. G. If, by reason of an objection, a race or place is awarded to another horse, the money for that race shall be distributed in accordance with the final placing, and the owner of a horse to which the race or place is finally awarded can recover the money from those who wrongfully received it. H. Pending a decision based on an objection, any prize won by the horse against which the objection is lodged or any money held by the clerk of the course as the price of a horse claimed in a race (if involved in the determination of the case), shall be held in an interest-bearing escrow account until the objection is determined. I. Grounds for Objections. (1) Objections shall be received by the stewards within 48 hours, exclusive of Sundays, after the close of a race meeting, based on these grounds: (a) Misstatement, omission, or error in the entry under which a horse has run; (b) That the horse which ran was not the horse he was represented to be at the time of entry, or that his age was erroneously given; (c) That he was not qualified under the conditions of the race; (d) That he was run without regard to the rules of partnership or registration. (2) In all other cases, objections shall be received by the stewards within 48 hours, exclusive of scheduled dark days, of the incident in question. J. Every objection shall be decided by the stewards, but their decision is subject to appeal in writing to the Commission. K. In all cases of fraud or willful deception, the time limitations do not apply, provided the stewards are satisfied that the allegations are bona fide and are susceptible of verification. #### Regulation .36 Racing Officials. *COMAR 09.10.01.36* A. For each day of live racing during a race meeting, the racing officials on duty shall include: (1) Three stewards; (2) Three placing judges; (3) A clerk of the scales; (4) One or more patrol judges; (5) A horse identifier; (6) A starter; (7) A paddock judge; (8) A racing secretary, who may also be the handicapper; (9) A timer; and (10) One or more Commission veterinarians. B. Except for the stewards and Commission veterinarians, the officials specified in §A of this regulation shall be appointed by the association holding the race meeting. C. The Commission may require, for cause, the removal of an official appointed by an association. D. A racing official may not officiate in a race if the official, or the spouse of the official, has an interest in a horse which is running in the race. E. An official at a race meeting shall: (1) Act with integrity and without bias; and (2) Receive no remuneration for the proper performance of the official's duties, other than compensation from the official's employer. #### Regulation .37 Reserved. *COMAR 09.10.01.37* #### Regulation .38 Clerk of the Scales. *COMAR 09.10.01.38* The clerk of the scales shall: A. Exhibit the number of each horse for which a jockey has been weighed out and forthwith furnish the starter with a list of these numbers; B. Weigh all jockeys out and in; C. Accurately record and publish on the notice board any overweight or any change of jockey, weight, or racing colors, as compared with those stated on the official program and shall promptly supply all proper racing officials with all pertinent changes; D. Report to the racing secretary after each race the weights carried by each horse in each race, together with the name of each horse's jockey and the overweight carried by any jockey, as well as the post time and running time in each race and other data which may, from time to time, be required; E. Make riding engagements for jockeys and apprentice jockeys who may desire him to do so; F. Have in his possession the apprentice jockey copy of the apprentice certificate or contract before he allows the apprentice jockey to ride; G. If the apprentice jockey wins a race and the apprentice jockey previously had not ridden more than 35 winners, post the date and the race won by the apprentice jockey to the apprentice certificate or contract immediately after the race is made official. #### Regulation .39 Handicapper. *COMAR 09.10.01.39* A. The handicapper, who may be the racing secretary, shall assign the weights to be carried by each horse in a handicap. B. The handicapper shall append to the weights for every handicap the day and hour from which winners will be liable to weight penalty. C. If there are no penalties, that fact shall be appended to the weights. An alteration of weights may not be made after publication. D. In case of omission, through error, of the name or weight of a horse duly entered, the omission shall be rectified by the handicapper. #### Regulation .40 Paddock Judge. *COMAR 09.10.01.40* A. The paddock judge shall keep a record of all equipment carried by all horses in all races under his jurisdiction, permitting no change in equipment not authorized by the stewards. B. The paddock judge, in each race, shall require the farrier in attendance in the paddock to see to it that all horses are properly shod. The paddock judge shall report immediately to the stewards the findings of the farrier. C. The paddock judge shall report any irregularities to the stewards. D. The paddock judge may permit a horse to be excused from parading and be led to the post. #### Regulation .41 Patrol Judges. *COMAR 09.10.01.41* A patrol judge, for each race, shall: A. Take a station at a place designated by the stewards; B. Be subject to the orders of the stewards; C. Report to the stewards all pertinent observations; and D. File a written report regarding a pertinent observation if requested by the stewards. #### Regulation .42 Placing Judges. *COMAR 09.10.01.42* A. At the finish of each race, the placing judges shall be in the stand provided by the association for the observation of the finish of the race. B. The nose of a horse at the finish line is the determining factor as to the placing of the horse in relation to the other horses in the race. C. The placing judges may examine a photograph, or other electronic recording, of the finish of the race before making a determination as to the official order of finish. D. By majority rule, the placing judges shall: (1) Place not less than five horses, if five or more horses compete; (2) Place all the horses, if five or fewer horses compete; and (3) File the official order of finish of each race with the clerk of the course. E. The official order of finish as determined by the placing judges may be changed by the: (1) Stewards in the event of the disqualification of one or more horses in the race; and (2) Placing judges: (a) If a majority of the placing judges determine that a mistake was made in the original official order of finish; (b) If the determination is made within 48 hours of the finish of the race exclusive of scheduled dark days; and (c) If the stewards concur. #### Regulation .43 Racing Secretary. *COMAR 09.10.01.43* A. The racing secretary shall discharge all duties of his office, expressed or implied, as required by these rules. B. The racing secretary shall compile an official program for each racing day, which shall state the time fixed for the first race and give the names of the horses which are to run in each of the races of the day. C. Program. (1) The program shall indicate: (a) The order in which each race is to be run; (b) The purse, conditions, and distance of each race; (c) The owner, trainer, and jockey of each horse; (d) Each owner's racing colors; (e) The weight assigned to each horse; (f) His number, post position, color, sex, age, and breeding. (2) The program may show other pertinent data. D. The racing secretary shall keep a complete record of all races. E. The racing secretary may receive all entries and declarations. #### Regulation .44 Starter. *COMAR 09.10.01.44* A. The field of horses in a race shall be in the hands of the starter from the time the field begins to line up for the start until the field is released by the starter. A-1. When the field is in the hands of the starter, the horses are entitled to no further care from their attendants, except, if circumstances so indicate, the starter may permit the jockeys to dismount and the horses to be cared for until corrective measures have been taken. B. All orders necessary to secure a fair start shall be given by the starter, including an order to place a vicious or unruly horse in an outside post position, unless the stewards determine that those orders do not permit a fair start. C. The starter shall report a cause of delay to the stewards. D. If a starting gate is used, the starter shall load the: (1) Horses beginning with the horse which has the post position nearest to the inside rail; and (2) Remaining horses in their assigned post positions in a manner which would result in a fair start. E. If the number of horses starting in a race does not exceed the capacity of the track, but does exceed the number of stalls in the gate, and an auxiliary gate is not used, the surplus may be started from outside the gate. F. Except in cases of emergency (recognized as such by the stewards), a starting device, other than the usual stall gate, may not be used in starting a race on the flat. Any substitute shall have the approval of the Commission. G. Schooling of Horses to the Starting Gate. In order to race, a horse shall: (1) Be schooled to the starting gate by the starter; (2) Have the written approval of the starter; and (3) Be on the starter's list of horses eligible to start. H. The stewards may fine a jockey for disobedience of orders at the starting post, foul or abusive language to the starter or any assistant, or for attempting any unfair advantage. I. If an owner or a trainer does not want a horse under the trainer's care to be “tailed” or “tonged” at the starting gate, the owner or trainer shall deliver a written request to that effect to the starter, who shall comply with the request. J. An individual in the employ of a racing association and assigned to a position involving the starting of horses in a race may not: (1) Accept money, anything of value, or other compensation from anyone for the services rendered in connection with the individual's assigned duties, except the salary paid by the association; (2) Bet, either directly or indirectly, on any race; or (3) Have an interest in any racehorse. #### Regulation .45 Stewards. *COMAR 09.10.01.45* A. When a vacancy occurs among the racing officials before post time of the first race of the day, or when a vacancy occurs after the racing of the day has started, the stewards immediately shall fill the vacancy. The appointment shall be effective only for the day, unless the association fails to fill the vacancy on the following day and notifies the stewards of its action not less than 1 hour before the post time of the first race of the day. B. These appointments shall be reported immediately to the Racing Commission. C. The stewards shall take notice of any questionable conduct with or without complaint thereof. D. It is the duty of the stewards to see to it that horses arrive at the starting post as near to the advertised post time as practical. E. In case of accident or casualty to a horse before off-time, the stewards may excuse that horse. F. The stewards shall investigate promptly, and render a decision in every protest and in every complaint properly made to them. G. The stewards shall report all protests and complaints to the Commission as soon as received by them, and shall make prompt report to the Commission of their decision. H. The stewards have the power to interpret these rules and to decide all questions not specifically covered by them. I. In matters pertaining to racing, the orders of the stewards supersede the orders of the officers and directors of the association. J. The stewards have the power and the duty to regulate and govern the conduct of all racing officials and of all owners, trainers, jockeys, grooms, and other persons attendant on horses during, before, and after races. K. In the performance of duty, the stewards have control over, and unrestricted access to, all stands, weighing rooms, and jockey rooms, enclosures and other places in use for the meeting. L. All entries and declarations are under the supervision of the stewards. M. The stewards have the power to determine all questions arising with reference to entries and racing. N. All questions within the stewards' authority shall be determined by a majority vote of the stewards. O. The stewards have the power to punish for violation of these rules any person subject to their control and, in their discretion, to impose fines or suspensions, or both, for infractions. P. The stewards may demand proof that a horse is neither disqualified in any way nor trained, entered, or owned, in whole or in part, by a disqualified person. In default of proof satisfactory to them, the stewards may declare the horse disqualified. Q. The stewards have the power to examine, or cause to be examined, at any time any horse stabled on the association grounds or in stabling approved by the Commission. R. A steward may appoint his own deputy at any time. S. Appointment of any deputy or deputies for a steward or stewards shall be reported immediately to the Commission and its approval obtained. T. There shall be three stewards in the stand when a race is being run. T-1. The stewards shall lock all pari-mutuel betting machines not later than the moment the starting gate is opened for the beginning of a race. U. Complaints against an official or officials shall be made to the stewards in writing, signed by the complainants. All complaints shall be reported to the Commission, together with the action, if any, taken on them by the stewards. V. Violations. (1) If the stewards find that an individual licensed by the Commission has violated a regulation of the Commission or has been involved in any improper turf practice, they may: (a) Exclude the individual from the grounds, or any portion of the grounds, of the association conducting the meeting; (b) Exclude the individual from the grounds of any association under the jurisdiction of the Commission; (c) Suspend the license of the individual to act or ride for a period not exceeding 90 days; (d) Fine the individual not more than $2,500; or (e) Impose any combination of the sanctions set forth in §V(1)(a)—(d) of this regulation. (2) If the stewards consider that the violation merits sanctions beyond those permitted under §V(1) of this regulation, they shall promptly refer the matter to the Maryland Racing Commission, which shall institute proceedings against the individual as set forth under COMAR 09.10.04.05. (3) The stewards shall have the power to suspend the license of the individual pending action by the Commission. (4) In determining the penalty to be imposed, the stewards shall consider the: (a) Seriousness of the violation; (b) Harm caused by the violation; (c) Good faith or lack of good faith of the licensee; and (d) Licensing history of the licensee. (5) A person licensed by the Commission who is fined, excluded from the grounds, or disciplined by the stewards may appeal to the Maryland Racing Commission from the stewards' ruling. W. If any case occurs which is not, or which is alleged not to be, provided for by these rules, it shall be determined by the stewards in such manner as they think just and conformable to the usages of the turf. X. Penalties. (1) The stewards may impose such punishment and take such other action in the matter as they deem to be within the intent of these rules, including reference to the Commission. (2) The punitive powers of the stewards provided for in any of these rules are limited to the powers provided for in §V of this regulation. Y. Exclusions. (1) The stewards may exclude from all places under their control an individual: (a) Whose license has been suspended, revoked, or denied; or (b) Found guilty of any corrupt or fraudulent turf practices. (2) The stewards shall promptly report to the Commission the name of an individual they exclude from places under their control. Z. All questions pertaining directly to racing, arising during the period of the meeting, shall be determined by the stewards. If they are unable to reach a majority decision in 3 days, the case shall be reported to the Commission for such action as it deems proper to take. AA. In the suspension of a jockey for an offense other than one involving fraud, the stewards shall: (1) Make the effective date of the suspension not earlier than the second racing day after the offense, unless requested to do so by the jockey, and not later than 1 day after the latest racing day's entries have been drawn; and (2) Permit a jockey serving a suspension of 10 days or less to ride in a designated race during the period of the suspension if the: (a) Race has been specified as a designated race by the racing secretary of the association before the inception of the race meeting at the association, (b) Race has been approved as a designated race by the stewards officiating at the meeting, (c) Jockey or the jockey's agent, before the beginning of the suspension, satisfactorily demonstrates to the stewards that the jockey has given a call on a horse that may participate in the designated race, and (d) Jockey agrees to serve an additional racing day of suspension in place of the day on which the jockey rides in the designated race. BB. When the ownership of any horse entered in a race is in dispute, the stewards may not permit the horse to run in the race unless, and until, its ownership is definitely established to their satisfaction. CC. Persons entering horses to run on licensed Maryland tracks agree in so doing to accept the decision of the stewards on any question relating to a race or to racing, subject to review by the Commission. DD. If the stewards at any time are satisfied that the riding of any race was intentionally foul, or that any jockey was instructed or induced so to ride, all persons whom the stewards deem guilty of complicity shall be suspended, and the case shall be reported to the Commission for such additional action as it may deem necessary. EE. A horse that has been the subject of fraudulent practice shall be disqualified by the stewards , but for no longer than the duration of the meeting, and reported to the Commission for such action as it may deem proper. FF. During each racing day, at least one of the stewards of the meeting shall be in the stewards' office on the grounds of the association where the race meeting is being held not later than the specified scratch time. GG. A full board of stewards shall be in the stewards' office on the grounds of the association 2-1/2 hours before post time to exercise the authority and perform the duties imposed on them by these rules. HH. The stewards shall make reports in writing to the Racing Commission of all infractions of these rules and of all rulings of the stewards upon matters coming before them during each day. Copies of these reports and ruling shall be mailed to each member of the Commission. II. Stewards are empowered to grant temporary licenses to owners and trainers, subject to the licensing requirements under the regulations of this chapter dealing with owners and trainers. All licenses so granted are to be certified to the Commission for final action. JJ. Recordings taken of any race from start to finish may be used to aid the stewards in determining any question within their jurisdiction. KK. Every horse whose starting is obligatory is expected to run the course, except that the stewards may order the withdrawal of a horse at any time up to the actual start of a race to protect the public interest. #### Regulation .46 Repealed. *COMAR 09.10.01.46* #### Regulation .47 Veterinarians. *COMAR 09.10.01.47* A. A board of veterinarians, consisting of a chief veterinarian, and such other veterinarians as the Commission may deem necessary shall be designated for duty at each Maryland track. B. A Commission veterinarian shall examine every horse appearing in the day's entries in the stable area before the race in which it is to run and make a report on its racing condition to the stewards. C. In general, he shall familiarize himself with the racing condition of all entrants and if, in his opinion, any entrant is not in condition to race, he shall notify the stewards. D. One veterinarian shall be present in the paddock before each race, and he shall inspect each entrant. If, in his opinion, any entrant is not in condition to compete in that race, he shall immediately notify the stewards, who shall order the horse scratched out of the race. The horse automatically goes on the veterinarian's list, and thereafter may not be permitted to enter until the veterinarian notifies the stewards that the horse is again fit to compete. E. All veterinarians shall be at the disposal of the stewards at scratch time each morning, and shall examine the horses they request, and make reports to them as promptly as possible. F. One veterinarian shall obtain blood from the horses designated by the stewards or the Racing Commission, and make those examinations and tests that, from time to time, may be required by the stewards. G. If an owner or trainer objects to a horse in his care undergoing an examination by the Commission veterinarian, that fact shall be reported to the stewards, and that horse shall be eliminated from the race. H. A veterinarian may not be allowed to practice at the race track of any racing association under the jurisdiction of the Commission until the veterinarian has obtained a license from the Commission. This license shall be applied for and issued annually. The license may be revoked or suspended, for cause, by the Commission. I. The veterinarians employed by the Commission as the State veterinarians may not be permitted during the term of the veterinarians' employment to treat or prescribe, for any horse on the grounds or registered to race at any race track, for compensation or otherwise except in case of emergency in which case a full and complete report shall be made to the stewards. An owner or trainer may not employ or pay compensation to any veterinarian either directly or indirectly during the period for which he is employed by the Commission. For violation of this rule, the veterinarian, owner, and trainer may be fined, suspended, or have their license revoked after a hearing before the Commission. J. A veterinarian practicing veterinary medicine on a race track where a race meeting is in progress or scheduled, or at a stabling area under the jurisdiction of the Commission, shall use one-time disposable type needles and shall keep them in his possession until disposed of by him off the track. A person, other than a licensed veterinarian, may not have a needle or syringe of any kind, type, or description or any injectable which might be administered by a needle or syringe on his person or in his custody, control, or possession, or in the custody, control, or possession of any of his employees. K. Any veterinarian practicing at any Maryland Race Track shall file a report with the stewards as to any medication prescribed or administered or professional service performed. This report shall be filed in person or postmarked within a period of 48 hours from the time of treatment. These daily reports shall remain confidential except that the Commission veterinarian may compile general data from them to assist the Commission in formulating policies or rules, and the stewards may review them in investigating a possible violation of these rules. #### Regulation .48 Repealed. *COMAR 09.10.01.48* #### Regulation .49 Rewards to Breeders — Maryland-Bred Rules. *COMAR 09.10.01.49* A. For the purposes of this regulation: (1) A horse is considered to be bred where it is foaled; (2) The breeder of a horse is the owner of the dam at the time the horse was foaled; (3) A Maryland stallion is a stallion that is: (a) In Maryland for at least one full breeding season, which begins on February 15 and ends after July 15 of each year; or (b) Brought into Maryland subsequent to the start of the breeding season and approved as a Maryland stallion by the Registration Committee of the Maryland Horse Breeders Association; (4) The owner of Maryland stallion qualifies for a stallion owner award if: (a) The person was the owner at the time that a registered Maryland-bred sired by the stallion was conceived and the conception occurred during the Maryland breeding season as described in §A(3)(a) of this regulation; and (b) The stallion is registered annually with the Maryland Horse Breeders Association; and (5) Unless otherwise limited, the purse amount upon which an award may be calculated is the base amount of the advertised purse without an enhancement predicated on the number of participants in the race. B. If the Maryland Horse Breeders Association refuses to register a horse under Business Regulation Article, §11-538, Annotated Code of Maryland, making the horse ineligible to participate in the Maryland-Bred Fund Race program, the owner or breeder of the horse may appeal the refusal to the Commission. C. From the money allocated to this Fund under Business Regulation Article, §11-515, Annotated Code of Maryland, $15,000 shall be deducted at each of the first two meetings of the year at each of the two mile tracks in Maryland before any other calculations are made, and these amounts shall be forwarded to the Maryland Horse Breeders Association to be distributed as follows in accordance with a formula devised annually by the Maryland-Bred Race Fund Advisory Committee and approved by the Racing Commission by March 31 of each calendar year: (1) To the exhibitors of yearlings at the Maryland Horse Breeders Association's Maryland-Bred Yearling Show based on the performance of those yearlings during each of their respective 2-year-old and 3-year-old campaigns; (2) To the exhibitor of a yearling that placed either first, second, third, fourth, or fifth in its class at the Maryland Horse Breeders Association's Maryland-Bred Yearling Show; (3) To the exhibitor of a yearling that was selected as the Grand or Reserve Champion at the Maryland Horse Breeders Association's Maryland-Bred Yearling Show; and (4) The balance, if any, shall be used to proportionately decrease the deductions for this purpose the following year. D. Subject to the approval of the Commission, up to 10 percent of all monies allocated to the Maryland-Bred Race Fund under Business Regulation Article, §§11-515 and 11-525(d), Annotated Code of Maryland, and all earnings on these monies, after the deduction of the amounts under §C of this regulation, shall be paid to the Maryland Horse Breeders Association as compensation for the administration of the Maryland-Bred Race Fund. E. The Maryland Horse Breeders Association shall render an accounting in a manner satisfactory to the Commission regarding the monies paid to it under §D of this regulation. F. The Commission may allocate a portion of the monies allocated to the Maryland-Bred Race Fund, calculated on the balance remaining after the deductions required under §§C and D of this regulation, to races which are restricted to horses conceived, but not necessarily foaled, in Maryland. G. With the exception of the monies allocated to this Fund which were generated by the handle on Maryland Million Day, subject to the approval of the Commission, a portion of all the remaining money allocated to this Fund, and all earnings on these monies, shall be distributed in the form of purse money and owner awards as follows: (1) A percentage to purses for horses which have been registered with the Maryland Horse Breeders Association as being Maryland-bred horses; and (2) A percentage to owner’s awards, to be paid to the owner of a horse which won a race or finished second or third in any race except a stakes race, and which has been registered with the Maryland Horse Breeders Association as being a Maryland-bred horse. H. After the application of §G of this regulation, the remaining portion of the monies allocated to this Fund, and all earnings on these monies, shall be distributed in the form of breeder and stallion owner awards as follows: (1) To a breeder of a registered Maryland-bred horse which won a race, or finished second or third; and (2) To the owner of a stallion, as defined by §A(4) of this regulation, if a registered Maryland-bred sired by the stallion won a race, or finished second or third. I. On a semiannual basis, the Commission, with the advice of the Maryland-Bred Race Fund Advisory Committee, shall determine the amount to be distributed in the form of purses and owner, breeder, and stallion owner awards using the following formulas: (1) Under §H(1) and (2) of this regulation, the award percentage shall be based on a relationship between the total amount of the purses on which these awards are to be paid, limited to the first $100,000 of the gross purse for a stakes race, and the total amount of money available for distribution regarding breeder and stallion owner awards; (2) The breeder and stallion owner award percentages established under §I(1) of this regulation shall apply to all Maryland-Bred Fund races except the races conducted on Maryland Million Day; and (3) The breeder and stallion owner award percentages for races conducted on Maryland Million Day shall be determined annually by the Commission with the advice of the Maryland-Bred Race Fund Advisory Committee. J. The owner, breeder, and stallion owner awards shall be paid as soon as practical. K. On Maryland Million Day, all monies allocated this day to the Maryland-Bred Race Fund under Business Regulation Article, §11-515, Annotated Code of Maryland, shall be distributed as breeder and stallion owner awards for the horses racing on Maryland Million Day in the manner specified by §I(3) of this regulation. L. The awards under §§G, H, and K of this regulation shall be calculated on the order of finish as determined by the stewards notwithstanding any dispute as to the proper order of finish, and: (1) If there is a dispute, the award in dispute shall be held in escrow until a final determination is made by the Maryland Racing Commission; (2) If the award is not allowed, that calculated award shall be carried over to the next semiannual time period described under §I of this regulation; and (3) If an additional award becomes payable after the completion of the computation of awards, that award shall be paid from the next semiannual period described under §I of this regulation. M. If, after making the distributions required under this regulation, monies allocated to the Maryland-Bred Race Fund: (1) Are undistributed, these monies shall be placed in an interest-bearing escrow account and distributed, with interest, under the provisions of §I of this regulation; or (2) Are not fully funded from the monies generated by the deficit shall be funded from monies available from the next semiannual time period described under §I of this regulation. N. Amounts received by the Fund as its share of the fee from out-of-State bets on Maryland races, in conformance with Business Regulation Article, §11-804.1, Annotated Code of Maryland, shall be expended for the purposes of fostering and promoting the well-being of the thoroughbred breeding industry: (1) On the advice of the Maryland-Bred Race Fund Advisory Committee; and (2) Subject to the approval of the Commission. #### Regulation .50 Rules of the Race. *COMAR 09.10.01.50* A. During the running of a race: (1) Unless caused wholly or partly by some other horse, a horse may not: (a) Carry another horse in or out; (b) Cross or weave in front of another horse without sufficient clearance; (c) Jostle another horse; (d) Intimidate another horse; or (e) Impede another horse; and (2) A jockey may not: (a) Strike another horse or jockey; (b) Ride in a careless manner; or (c) Unnecessarily cause the horse the jockey is riding to shorten its stride with a view toward claiming foul against another horse or jockey in the race. A-1. A horse may be disqualified if it, or the jockey riding it, is involved in a violation of §A of this regulation. B. When a horse is disqualified under this regulation, every horse in the race belonging wholly or partly to the owner of the disqualified horse may also be disqualified. C. In addition to being sanctioned for violating other provisions of this regulation, a jockey may be sanctioned if deemed to be responsible for a violation of §A of this regulation. D. The jockey of a horse participating in a race may delay the results of the race being declared official by notifying an outrider, immediately following the running of the race, of the possibility of a claim of foul. E. A claim of foul under this regulation may only be made: (1) By the jockey, the trainer, or the owner of a horse participating in that particular race; and (2) With the clerk of scales or the stewards before the results of the race being made official. F. A notification of the possibility of a claim of foul under §D of this regulation or a claim of foul itself may not be frivolous. G. A jockey against whom a foul is claimed shall be given the opportunity to communicate with the stewards before any decision is made by them. H. If the stewards perceive that there has been a violation of §A of this regulation, they may take action on their own initiative in the absence of a claim of foul. I. If the stewards at any time are satisfied that the riding of any race was intentionally foul or that any jockey was instructed or induced so to ride, all persons guilty of complicity shall be suspended and the case shall be reported to the Commission for such additional action as it may consider necessary. J. If a horse leaves the course, in order to continue to participate in the race, it shall return to the point at which it left and run the course from that point. K. When one horse pays forfeit for a match, the other need not walk over, but for a sweepstakes, even if all the horses but one have declared forfeit, that horse shall walk over, except by the written consent of all the persons who pay forfeit; in the case of a purse, the consent of the stewards is necessary to dispense with a walkover. L. When a horse is disqualified, and there is evidence of fraud or attempted fraud, any other horse in the race owned or controlled by the same interest, or trained by the same trainer, also shall be disqualified. M. If a provision of this regulation is violated, and an offending horse finishes the race in a position entitling it to any part of the purse, the stewards are charged with determining its proper place in the race, or they may disqualify the horse if, in their judgment, the circumstances justify this action. #### Regulation .51 Safety Equipment. *COMAR 09.10.01.51* An individual astride a horse or pony on the grounds of a facility under the jurisdiction of the Maryland Racing Commission shall wear a: A. Safety helmet which is designed to adequately protect the head from injury; and B. Safety vest which is equal to or exceeds the requirements set forth in Regulation .21-1 of this chapter. #### Regulation .52 Repealed. *COMAR 09.10.01.52* #### Regulation .53 Farrier. *COMAR 09.10.01.53* A. A farrier may not shoe horses at a race track under the jurisdiction of the Commission until the farrier has obtained a license from the Commission. B. An applicant shall satisfy all of the following requirements before obtaining a farrier's license: (1) The applicant shall be endorsed by three trainers licensed in Maryland and shall have had a minimum of 2 years experience. (2) An examination shall be conducted to demonstrate an applicant's ability to plate a race horse or pony. The examination shall be observed by a representative of the organization which represents the majority of the horsemen, a farrier licensed in Maryland, and a Maryland Racing Commission veterinarian. (3) The examiners shall report to the stewards on the applicant's ability to shoe a horse. #### Regulation .54 Reserved. *COMAR 09.10.01.54* #### Regulation .55 Steeplechase Races. *COMAR 09.10.01.55* Steeplechase racing shall be held in accordance with the Rules and Regulations of the National Steeplechase and Hunt Association, unless in direct conflict with the spirit of the rules herein established, in which event the latter governs. #### Regulation .56 Repealed. *COMAR 09.10.01.56* #### Regulation .57 Trainers. *COMAR 09.10.01.57* A. Eligibility. A person may not be granted a trainer's license unless the person has: (1) Been previously issued a trainer's license; (2) Been issued a trainer's license in another jurisdiction and started a horse in that jurisdiction; or (3) Satisfied all of the following requirements: (a) Served a minimum of 1 year as an apprentice with a licensed trainer; (b) Submitted notarized statements from three licensed trainers containing their opinions as to the applicant's: (i) Reputation, (ii) Financial responsibility, (iii) Qualifications to train; (c) Passed a standard examination administered by the stewards; (d) Passed a standard barn test administered by horsemen's representatives under the supervision of the stewards. A-1. To be considered a passing grade, the combined score for the tests under §A(2)(c) and (d) shall be 80 percent or more. The stewards may impose a waiting period before allowing the individual to retake the examination. However, the waiting period may not exceed 6 months. A-2. Restrictions on Steeplechase Trainers. (1) A steeplechase trainer's license only authorizes a person to enter, start, and race horses in: (a) Steeplechase races; and (b) Horse races conducted in conjunction with steeplechase racing at Fair Hill. (2) A person may be granted a steeplechase trainer's license without satisfying the eligibility requirements of §A of this regulation, but shall demonstrate, to the satisfaction of the stewards, an ability to train steeplechase horses. (3) A person otherwise licensed as a trainer is not required to be licensed as a steeplechase trainer. (4) Except as provided in this section, a steeplechase trainer is subject to all regulations applicable to trainers. B. A person under 18 years old may not be granted a trainer's license. B-1. Continuing Education. (1) Effective January 1, 2022, and each year thereafter, a trainer or an assistant trainer may not be eligible to renew their license unless they have completed 4 hours of continuing education during the previous calendar year. (2) The stewards may waive this requirement for good cause or provide the applicant 30 days to complete the continuing education requirement. (3) At least 2 hours of continuing education shall include curriculum of equine health, safety, and welfare. (4) Continuing education requirements may be earned online or by attending live courses that are approved by the Commission. (5) Continuing education credits earned in other jurisdictions may be used to satisfy this regulation. (6) Trainers and assistant trainers shall retain their continuing education documentation for 4 years. (7) The Commission or its designee may request documentation from a licensee at any time to ensure compliance with this regulation. (8) Trainers and assistant trainers shall certify on their license applications that they have satisfied the requirements of this regulation. (9) Failure to comply with this regulation may result in disciplinary action. C. Each trainer shall obtain a license from the Commission. Before issuance of a license, a trainer may be required to satisfy the Commission of his financial responsibility and shall maintain his financial responsibility so long as he is licensed by the Commission. The proper fee shall accompany each application. If a renewal is not made after a period of 5 years, the applicant shall again apply and pay the fee for an original license. The Commission, after a period of 5 years, shall remove from its records the license card of the individual. D. A trainer may not practice his profession except under his own name. E. The stewards may permit a trainer to act one time for an owner while awaiting action on the trainer's application for licensure. A trainer who so acts but does not complete his application for a license and pay the appropriate fee within a reasonable period of time shall be precluded from racing until the application is filed and license fee paid. F. A licensed trainer may represent the owner in the matter of entries, declarations, and the employment of jockeys. G. A trainer shall have his horse in the paddock at the time appointed. H. A trainer shall attend his horse in the paddock, and shall be present to supervise his saddling, unless he has obtained the permission of a steward to send his licensed assistant trainer or another licensed trainer as a substitute. I. If a trainer engages two or more jockeys for the same race, he shall pay the losing fee for each engaged jockey not riding in the race, as well as the proper fee to the jockey who does ride. J. A jockey's fee shall be considered earned when the jockey is weighed out by the clerk of the scales. The fee may not be considered earned if the jockey, of his own free will, takes himself off of his mount, when injury to the horse or rider is not involved. Any conditions or considerations not covered by the above ruling shall be at the discretion of the stewards. K. A trainer shall be responsible for the condition of a horse trained by him. L. Each trainer shall register with the racing secretary all the horses in his charge, giving the name, age, sex, color, and ownership of each, and shall immediately notify the racing secretary of any transfers to or from his badge list, and the disposition of the horses so transferred. M. A trainer may not have in his charge or under his supervision any horse owned, in whole or in part, by a disqualified person. N. A trainer may not accept, directly or indirectly, any bribe, gift, or gratuity in any form which might influence the result of any race or which would tend to do so. O. A trainer may not employ a jockey for the purpose of preventing him from riding in any race. P. Substitute and Assistant Trainers. (1) If a trainer is to be absent from the track where his horses are participating in races, he shall obtain a licensed trainer to substitute for him during his absence. The substitute trainer shall be approved by the stewards upon forms approved by the Racing Commission. The original trainer is the absolute insurer of the horse he has entered. The substitute trainer will then become the absolute insurer of any additional horses he may enter. (2) A trainer who has in his care a substantial number of horses, or who is actively participating in more than one race meeting at one time, may employ an assistant trainer with the approval of the stewards. Before the issuance of an assistant trainer's license, the applicant shall be required to comply with all the requirements prescribed for a person applying for a trainer's license. The assistant trainer shall be the absolute insurer of all horses that he may enter and is subject to all regulations prescribed by the Maryland Racing Commission. The name of the assistant trainer shall be shown on the official program along with that of the employing trainer. Q. Trainers having charge, custody, or care of horses are obligated to protect properly the horses and guard against any violation of the Corrupt Practices Rules. R. A trainer who makes a frivolous complaint or frivolously places a hold upon the results of a race being made official may be fined or suspended by the stewards. S. A trainer or owner who harbors anyone not provided with a license issued by the Commission shall be immediately reported to the stewards, so they may make investigation and take appropriate action as they deem necessary, if any, as provided under Regulation .45V of this chapter. T. Trainers shall instruct jockeys that all horses shall be ridden out in every race. If two or more horses run in one interest in any race, each jockey shall give his best effort. U. A trainer is solely responsible for the weight to be carried by any horse he enters. V. Trainers may not occupy stalls at a track without written permission of the track management. Stall assignments shall be made for a fixed period of time, and shall be vacated at the end of that period. W. Stalls are to be assigned by the Racing Association to trainers for horses of racing age (no yearlings) which comply with the Racing Association's published eligibility rule, except that the Racing Association may assign specific stalls for horses to be used as ponies. Stalls are to be for the sole use of the trainer to whom they are assigned. Falsification of stall applications and transfer or use of these stalls by any other person constitutes a violation of this rule and will be subject to fine or suspension. X. When a groom or other employee of a trainer, working at one of the tracks, leaves the trainer's employ, the trainer shall promptly notify the security office of that track, in writing, of the employee's departure. Y. A licensed trainer may not: (1) Take or keep in his charge a horse owned wholly or in part, or controlled by, a person unlicensed as an owner; (2) Assume responsibility for a horse not under his active care and supervision, except as provided by §§H and P of this regulation. Z. Each trainer shall register with the stewards all the horses in the trainer's charge that have a mortgage or lien of any kind against them, giving the name, age, sex, color, and ownership of each horse. #### Regulation .58 Weighing In. *COMAR 09.10.01.58* A. After a race has been run, the jockey shall ride promptly to the area designated by the association to dismount and report to the clerk of the scales to be weighed in. B. If a jockey is prevented from riding a mount to the area designated by the association to dismount because of an accident or illness, either to the jockey or the horse, the jockey may walk or be carried to the scales, or the jockey may be excused by the stewards from weighing in. C. Except by permission of the stewards, a jockey, upon returning to the area designated by the association to dismount, shall unsaddle the horse the jockey has ridden, and no other individual may touch the horse, except by its bridle, until the jockey has removed all the equipment which was included in the weight the horse was assigned to carry. D. Absent the permission of the stewards, an individual may not assist a jockey in removing the jockey's equipment from a horse. E. An individual may not throw a covering over a horse at the place of dismounting until the jockey has removed the equipment that was included in the weight the horse was assigned to carry. F. A jockey may not, before weighing in, willfully touch an individual or thing, other than equipment that was included in the weight the horse was assigned to carry. G. A jockey shall, in weighing in, carry over the scales all pieces of equipment with which the jockey weighed out. H. A jockey shall weigh in with the same weight as that with which the jockey weighed out, and, if short by more than 1 pound, the jockey's horse shall be disqualified. I. If a horse carries more than 2 pounds over its proper or declared weight, its jockey shall be punished unless the stewards are satisfied that this excess of weight is inadvertently caused by precipitation or mud. #### Regulation .59 Weighing Out. *COMAR 09.10.01.59* A. Jockeys shall be weighed out for their respective mounts in each race by the clerk of the scales not less than 20 minutes before the time fixed for the race. In case of the substitution of a jockey after the original jockey has been weighed out, the substitute jockey shall be weighed as promptly as possible and the name of the substitute jockey and the jockey's weight shall be publicly announced and posted. B. A saddle and the following equipment, if used, shall be included in the weight a horse is assigned to carry: (1) Breastplate; (2) Horse clothing; (3) Martingale; and (4) Muzzle. C. The following items may not be included in the weight a horse is assigned to carry: (1) Bit; (2) Blinkers; (3) Bridle; (4) Number cloth; (5) Reins; (6) Safety helmet; (7) Safety vest; and (8) Whip or substitute for a whip. D. Bridle and Whip. (1) A bridle weighing more than 2 pounds may not be used in a race. (2) A whip to be used in a race: (a) Shall be padded; (b) Shall be approved by the stewards; (c) May not weigh more than 8 ounces; and (d) May not exceed 30 inches in length. E. Five pounds is the limit of the overweight any horse is allowed to carry. F. A jockey, except when riding for the jockey's contract employer, may not be weighed out for any race unless there has been deposited with, or guaranteed by, the racing association the fee for a losing mount in the race. G. Owners having unpaid jockey or other fees at the close of the race meeting shall be billed by the racing association within 20 days of the close of their race meet, with a duplicate copy of bill to the trainer. Accounts shall be paid within 30 days from the billing date. At the expiration of the 30 day period, it shall be the duty of the association to notify the Racing Commission or the stewards, in writing, of all delinquent accounts, at which time all owners with outstanding accounts will be suspended until the fees are paid. H. The association shall provide the only attendants who will be permitted to assist jockeys in weighing out. I. The equipment carried or worn by a jockey or a horse in a race is subject to the approval of the stewards. #### Regulation .60 Estimating Winnings. *COMAR 09.10.01.60* A. The winnings of a horse in a stakes race shall be computed on the value of the gross purse. B. In estimating foreign winnings, the current rate of exchange at the time of those winnings shall be adopted. C. The value of prizes not in money will not be estimated in the value of the race to the winner. D. In estimating the value of a series of races in which an extra sum of money or prize is won by winning two or more races, the extra sum or prize shall be estimated in the last race by which it was finally won. E. In all races, if there is any surplus from entries, or subscriptions over the advertised value, it shall be paid the winner, unless stated by the conditions to go to other horses in the race. F. Winnings during the year shall include all prizes from the 1st of January preceding to the time appointed for the start, and shall apply to all races in any country. Winnings shall include dividing or walking over. G. Winning of a fixed sum is understood to be winning it in one race, unless specified to the contrary. H. In case of a walkover, one-half of the money offered to the winner is given unless otherwise advertised. I. When a walkover is the result of arrangement by owners of horses engaged, no portion of the added money nor any other prize need be given. J. Prize Distribution. (1) Any money or prize which, by the conditions of the race, is to go to the horse placed second, or in any lower place in the race, shall, if the winner has walked over, or no horse has been so placed, be dealt with as follows: (a) If part of the stake, it shall go to the winner; (b) If a separate donation from the association or any other source, it may not be given at all; or (c) If entrance money for the race, it shall go to the association. (2) If a race is not run or is void, all monies paid by an owner in respect to that race shall be returned. K. A race may be declared void if no qualified horse covers the course according to rule. #### Regulation .61 Repealed. *COMAR 09.10.01.61* #### Regulation .62 Repealed. *COMAR 09.10.01.62* #### Regulation .63 Repealed. *COMAR 09.10.01.63* #### Regulation .64 Jockey Fees. *COMAR 09.10.01.64* Subject to the approval of the Commission, the amount earned by a jockey for finishing first, second, third, or unplaced shall be determined by a written agreement between the organizations that represent the majority of owners and trainers and a majority of jockeys riding in Maryland. #### Regulation .65 Repealed. *COMAR 09.10.01.65* #### Regulation .66 Pari-Mutuels. *COMAR 09.10.01.66* A. The Maryland Racing Commission, acting under authority of the law creating it, has established the pari-mutuel as the only legal system of wagering on horse racing on all tracks in Maryland over which it has jurisdiction. B. The “take” shall be in accordance with the law existing at the time of the race meeting. C. The least number of horses in separate interests that can take part in a race in which payment out of the several pools may be made are: (1) Five for straight, place and show; (2) Four for straight and place; (3) Three for straight; (4) In exceptional instances, the Maryland Racing Commission consenting, straight pools may be sold with only two horses engaged. D. The consent of the Maryland Racing Commission shall be obtained to call off betting in the various pools as follows: (1) Show, if five or more separate interests are engaged in a race; (2) Place, if four or more separate interests are engaged in a race. E. In establishing the payoff in each pool in every race the calculations shall be made on the dollar. Any balance that may result in the division on which the result is determined need not be paid in pennies, but in every instance the breakage allowance shall be less than 10 cents, the dollar being the unit. The “breakage” shall be in accordance with the law existing at the time of the race meeting. F. A pari-mutuel ticket shall be sold in denominations approved by the Commission. G. Notwithstanding any other provision of the pari-mutuel rules for wagering, each association shall, in all cases of a pari-mutuel pool, distribute not less than $2.10 on each winning $2 wager. H. Minus pools shall be charged against breakage in the same proportion as the breakage is allocated. I. The result of every race is determined, insofar as the mutuel pay-off is affected, when it is posted as “official”. Since immediate distribution of the respective pools is required, a subsequent change in the order of finish and no run-off in a dead heat may not involve the mutuel department. J. Errors. (1) If an error is made in posting the pay-off figures on the public board, it shall be corrected promptly and only the correct amounts shall be used in the pay-off, irrespective of the error on the public board, but a change may not be made in the pay-off after the cashing of winning tickets has commenced. (2) If an error is discovered before the pay-off is started, the correct pay-off shall be posted and a statement shall be made over the public address system stating the facts and the corrections. (3) If, under the conditions set forth above it is too late to correct the error, then the following rules shall apply: (a) If the error results in an over-payment to the public, subsequent correction may not be made; (b) If the error results in an under-payment, the amount of under-payment, after it has been determined, is added to the same pool which next occurs; (c) However, if an under-payment occurs and the same pool does not reoccur at the scheduled race meeting, the amount of the under-payment shall be paid over to the Commission for the account of the Maryland Horsemen's Assistance Fund. K. In order to determine “at what time” the cashing of winning tickets has commenced, the following rules govern: (1) At racing associations where a mechanical device is employed to inform the cashiers the amount of pay-off, when the key or other device is set to indicate race and prices are official and it is proper to pay off; (2) At racing associations where messengers are employed and/or telephone messages to deliver official pay-offs to cashiers, 60 seconds after the pay-offs have been posted on the public board. L. All horses in the name of the same owner under the care of the same trainer, when entered to race, shall be coupled as an entry, a wager on any one of them being a wager on all—the “entry” running as one horse. M. Except as provided in §N of this regulation, where the capacity for betting units on the tote board at a track is less than the number of betting interests competing in the race, all betting interests in excess of the maximum number of betting units, less one, shall be grouped together to constitute the “field”, a bet on the “field” being a bet on all horses so grouped. N. If a race emanates from a track whose tote board provides for a number of betting units different than the tote board at a track receiving the race, and the receiving track elects to use the same number of betting units as the sending track, the receiving track shall: (1) Advertise that the wagering units at the receiving track site shall be the same as at the sending track; and (2) Display the odds only on the monitors throughout the facility if the receiving track's tote board is not capable of displaying at least the same number of betting units as displayed on the tote board of the sending track. O. When safety regulations and the width of the track (county fairs) require that the number of horses permitted to compete shall be limited to 10 or less, there may not be a “field”, except as provided in §N of this regulation. P. Provisions for horse betting units shall be made to meet the requirements of each race, as indicated by the printed program. Should any horse be “scratched”, the totalisator betting mechanism provided for that horse shall be locked immediately. Q. Excused or Scratched Horse. (1) The stewards may excuse a horse and order it scratched from a race at any time before the horses are dispatched from the starting gate. Tickets purchased on scratched horses shall be redeemed at their face value, unless the excused or scratched horse is part of an “entry” or “field”. (2) When a horse that is part of an entry or the field is scratched after betting on the race has begun, all wagers on the entry or field remain in effect as long as a horse from the entry or field remains in the race. If the entire entry or field is scratched, the tickets purchased on the entry or field shall be redeemed at their face value. (3) At a track equipped with a totalisator system with the capability to cancel and refund tickets before the running of a race, the time that betting has begun on a horse in an entry or the field is considered the time that win odds are first displayed on the track's infield tote board on the race in which the horse is to compete, or when the probable payoff prices are posted on the first race of a multiple race pool of which the horse's race forms a part. If a horse is scratched before betting has begun, and if tickets have been sold upon an affected entry or field before the time when betting has begun, the tickets may not be refunded unless the holders of the tickets present them for cancellation before betting on the race has begun, or the first race of a multiple pool. Tickets not presented for cancellation by this time are considered as wagers upon the remaining horses in the entry or field. R. If a door of the starting gate fails to open as the starter dispatches the field (because of faulty action or other cause), it shall be reported immediately to the stewards by the starter. The stewards shall post the inquiry sign and have the announcer alert the public to hold all tickets. The stewards shall then view the films to determine if the gate failed to open when the starter dispatched the field and rule accordingly. S. The starter shall make the decision on what horse or horses are prevented from racing through failure of the gates to open. T. If the failure of a stall gate to open reduces the number of horses in separate interests actually engaged in the race below the number required for show or place betting, refunds of the place or show polls may not be made; complete and full refunds shall be made on the horses prevented from starting. U. If the stewards or the veterinarian excuse a horse and order the horse scratched before it is in the hands of the starter, and this action reduces the number of horses in separate interests actually engaged in the race below the number required for place or show wagering, refunds shall be made of the place or show tickets on the horse. V. If a horse is prevented from running due to a failure of the starting gate, a refund of all tickets shall be made. W. Except when dead heats occur, or when “field” horses or “entries” are involved in the result of a race, or when no ticket has been sold on a horse finishing first, second, or third, the distribution of pools shall be as follows: (1) The distributable portion of the “straight” pool shall be paid to holders of tickets on the horse that finishes first; (2) Distributable “place” money shall be divided in equal parts, 1/2 of which shall be allotted to the winning horse and 1/2 to the horse finishing second, payments being made to holders of “place” tickets; (3) “Show” money for distribution among holders of show tickets shall be divided into three equal portions, one portion for the horse finishing first, one portion for the horse finishing second, and one portion for the horse finishing third; (4) All payments to holders of tickets entitled to share in the distribution of the respective pools shall be in proportion to their investment in the horse or horses sharing in the distribution from these pools, reference to payments out of pools meaning the distributable portion thereof but refunds, when made, include all the money in the pool or pools to which they apply. X. Dead Heats. (1) If two horses run a dead heat for first place, the money in the “straight” mutuel pool shall be divided the same as in a “place” pool calculation. (2) If two horses run a dead heat for second place, the division shall be made as follows: The winner of the race shall receive his full share of 1/2 of the “place” money, and the two dead-heaters shall receive 1/2 each of the balance, or 1/4 each of the whole. (3) If two horses run a dead heat for third place, the division is made as follows: (a) The winner and the second place horse receive their full share, namely 1/3 each of the distributable money in the show pool; and (b) The two horses in the dead heat divide the remaining third between them, namely 1/6 of the distributable money. Y. Field Horses. (1) In the event that two of the “field” horses finish first and second, or first and third, or second and third, the “show” money shall be divided into three parts, 2/3 going to the “field” horse. (2) If three “field” horses finish first, second, and third, all the “place” money and all the “show” money, as well as the “straight” money, shall go to the “field” tickets participating. Z. Apportionment of Pools When No Tickets Are Sold. (1) If a race is won by a horse on which no “straight” tickets have been sold, all the “straight” money shall be apportioned to the holders of “place” tickets on the winning horse, the “straight” money supplementing the winner's share of the “place” pool. (2) If a horse upon which no “place” ticket has been sold runs second, all of the “place” pool shall be apportioned to the “place” tickets sold on the horse that finished first, there being only one participating ticket and not two, as usual, the calculation being the same as in the “straight” pool. (3) If a horse upon which no “show” ticket has been sold finishes third, all of the “show” pool shall be divided between the “show” tickets sold on the horses that finished first and second, there being but two participating tickets, and not three, as usual, the calculation being the same as in a “place” pool. AA. If only one horse finishes in a race, all money in the place and show pools goes to the holders of place and show tickets on this one horse, the money being distributed as in a straight pool. If only two horses finish in a race, all money in the show pool goes to the holders of show tickets on these two horses, the money being distributed as in a place pool. BB. If no horse finishes, all money shall be refunded. CC. Each association shall maintain suitable electric apparatus for locking the totalisator selling windows. It shall be operated from the stewards' stand by one of the stewards designated for this duty. DD. Pari-Mutuel Ticket Sales. (1) A pari-mutuel ticket may not be sold on an event for which the totalisator has been closed for betting on the event. (2) An association is not responsible for a ticket sale on an event unless evidenced by a ticket that was issued and produced before the totalisator was closed for betting on the first race of the event on which a bet was placed. (3) Claims pertaining to a mistake on an issued or unissued ticket shall be made by the bettor before leaving the teller's window. (4) An association has no obligation to enter a bet into a betting pool if unable to do so as a result of equipment failure. EE. While the betting is in progress, there shall be frequent postings of the approximate odds on the horses taking part in the race, “entries” being listed on the odds board as one horse and likewise the “field”, when either or both are a part of the race. FF. Suitable apparatus shall be provided whereby notice is given to the mutuel department that the: (1) Horses that are to run are on the track after leaving the paddock; (2) Horses are parading; (3) Lead pony has just reached the starting gate; and (4) Horses are off. GG. Totalisator adjustments will be summarized at the close of each meeting and if the result is a credit to the company operating the totalisator, then the auditor representing the Maryland Racing Commission will obtain a check from the company, for the amount of the net credit, made payable to “Maryland Horsemen's Assistance Fund”. HH. If any emergency develops requiring an immediate solution in connection with the operation of the mutuel department, the authority to act is hereby conferred on the mutuel manager, who shall promptly report the emergency to the Commission and the means employed by him in meeting it. II. The cycle of frequency of change on the totalisator board may not be more than 60 seconds. JJ. A person younger than 18 years old may not purchase or cash pari-mutuel tickets. #### Regulation .67 Daily Doubles. *COMAR 09.10.01.67* A. Daily doubles may be limited to one for each racing program. B. Coupled entries are permitted. C. Fields are prohibited in either half of the daily double. This section does not apply to races conducted by the Cecil County Breeders' Fair, Inc. (Fair Hill). D. The pay-off shall be posted after the pool closes, and before the race completing the double has been run, except in the event of a dead heat in the first half of the daily double, when the posting of the pay-off may be deferred until the race completing the daily double has been run. E. If no ticket is sold combining the two winners, the pool shall then be apportioned equally between those having tickets including the winner of the first race and those having tickets including the winner in the last race in the same manner in which a “place” pool is calculated and distributed. F. If no ticket is sold including the winner of the first race, the entire pool will be paid to the holders of tickets which include the winner of the last race of the daily double. G. Likewise if no ticket is sold including the winner of the last race, then the entire pool will be paid to the holders of tickets which include the winner of the first race of the daily double. H. If no ticket is sold including the winner of either race, then the pool shall be paid to the holders of tickets which include the horses finishing second in the two races of the daily double. If no ticket is sold which would require distribution of the daily double pool, the association shall make a complete and full refund of the pool. I. If for any reason the first race of a daily double is cancelled and declared “no race”, full and complete refund will be made of the daily double pool. If for any reason the second race of a daily double is cancelled and declared “no race”, the daily double pool shall be distributed to the holders of the daily double tickets on the winner of the first race in the same manner as the straight pool of the first race is distributed, except as to the amount of distribution, which shall be controlled by the amount bet in the daily double pool. J. If, after the first half of the daily double has been run and declared official, a horse is excused or scratched in the second half of the daily double, then a consolation pay-off shall be made to holders of the daily double tickets which combine the winner of the first half of the daily double to the excused or scratched horse of the second half of the daily double computed in the following manner: (1) If, after the first half of the daily double has been run and declared official, a horse is scratched or excused from the second half of the daily double, then a consolation pay-off shall be made to holders of tickets which combine the winner of the first half and the scratched or excused horse. (2) The consolation pay-off shall be calculated as follows: (a) The net daily double pool (gross pool less commission) shall be divided by the total number of tickets sold combining the winner of the first half; the quotient thus obtained shall constitute the consolation pay-off, to be paid to holders of each ticket combining the winner of the first half and the scratched or excused horse in the second half. (b) The entire consolation pool (number of eligible tickets times the consolation price), plus the breakage, shall then be deducted from the net daily double pool. The remaining pool is the new net pool for the daily double. K. If the holder of a ticket loses the first race, and his horse is scratched in the second, no money shall be refunded. #### Regulation .68 Twin Doubles. *COMAR 09.10.01.68* A. The twin double is a part of the pari-mutuel system of wagering. It is a contract by each participant to pick (select) the winner of each of four races as may be designated by a licensee, with the approval of the Commission. For the purpose of this rule, these four races will be referred to as the twin double races. The first two races shall be referred to as the first half of the twin double. The third and fourth races shall be referred to as the second half of the twin double. All sums deposited in the twin double shall be held in a single pool entirely separate from all other pools, and the award or dividend to each winning participant shall be calculated, subject to the provisions of this rule, as in a straight pool. B. All twin double tickets shall be sold at twin double windows and shall be clearly and immediately distinguishable from the daily double and other tickets sold. C. Repealed. D. The sale of twin double tickets may not commence until after the completion of the second race of the day, unless special permission is obtained from a representative of the Commission. The twin double windows shall close and the machines shall be locked 5 minutes before the official post time. E. Each participant in the twin double shall designate his selections for the winners of the first half of the twin double races at the time he purchases his twin double ticket and each twin double ticket shall show the selection made. F. After the completion of the first half of the twin double races, each participant holding a ticket combining the winners of these two races shall, during the period while the twin double windows are open for this purpose, exchange the ticket for a twin double exchange ticket showing his selections for the winners of the second half of the twin double. G. A twin double exchange ticket may not be issued except upon surrender of a twin double ticket showing the winners of the first half of the twin double. H. Twin double windows shall be open for the issue only of twin double exchange tickets after the races comprising the first half have been completed and declared official. The windows shall close at official post time of the start of the second half of the races comprising the twin double. I. After the running of the 3rd race of the twin double, the twin double possible payoffs will be posted. J. There is no payoff for picking the first two winners of the twin double. K. Inasmuch as the purpose of the twin double is to select the winner of the first half and second half of the twin double races, a participant who selects a starter which runs in but does not win a race is no longer eligible, unless no other participant has selected the winner of that race. L. If a horse is scratched in the first race of the first half of the twin double, all tickets on the scratched horse will be refunded and the money refunded will be deducted from the gross pool. M. If a horse is scratched in the second race of the first half of the twin double, after the running of the first race of the first half, all twin double tickets combining the scratched horse with the actual winner of the first race of the first half of the twin double shall be paid a price equivalent to that fraction of the net pool derived by dividing the net pool by the total purchase price of all tickets combining the winner of the first race of the first half of the twin double with all horses in the second race of the first half of the twin double. The total pay-off of all tickets combining the winner of the first race of the first half of the twin double with the scratched horse in the second race of the first half of the twin double as determined by the method set forth in this rule shall be deducted from the net twin double pool. N. If a horse is scratched in the first race of the second half of the twin double during or after the exchange of tickets by holders of the first two winners, each ticket including the scratched horse in the first race of the second half of the twin double shall be paid a price equivalent to that fraction of the net pool derived by dividing the net pool by the total number of tickets exchanged. The total pay-off of all tickets combining the winners of the first half of the twin double with the scratched horse in the first race of the second half of the twin double as determined by the method set forth in this rule shall be deducted from the net twin double pool. O. If a horse is scratched from the second race of the second half of the twin double during or after the exchange of tickets by holders of the first two winners, each ticket including the scratched horse in the second race of the second half of the twin double combined with the winner of the first race of the second half of the twin double shall be paid a price equivalent to that fraction of the net pool derived by dividing the net pool by the number of exchanged tickets including the winner of the first race, second half of the twin double. The total pay-off of all tickets combining the winners of the first half of the twin double and the winner of the first race in the second half of the twin double with the scratched horse in the second race of the second half of the twin double as determined by the method set forth in this rule, shall be deducted from the net twin double pool. P. If no exchange ticket includes the winner of the first race of the second half of the twin double the entire pool shall be distributed as a straight pool to all holders of exchanged tickets and winning combinations of the first half that had not been exchanged. If no exchange ticket combines the winners of the first and second races of the second half of the twin double then the entire pool shall be distributed as a straight pool to all holders of tickets including the first race of the second half winner. Q. In the event of a dead heat in the first race of the first half of the twin double, all tickets combining both winners of the first race of the first half with the winner of the second race of the first half of the twin double shall be eligible for exchange this also applies in the event of a dead heat in the second race of the first half of the twin double. R. If there is a dead heat in the first race of the second half of the twin double and if there is no ticket combining either winner with the winner of the second race of the second half of the twin double, then the pay-off shall be distributed to holders of tickets on the first race of the second half winners in the same manner in which a place pool is calculated; this also applies in the event of a dead heat in the second race of the second half of the twin double. S. If the first race of the first half of the twin double is cancelled or declared “no race,” full and complete refund shall be made of the twin double pool. T. If the second race of the first half of the twin double is cancelled the net pool shall be calculated as a straight pool and shall be distributed to the holders of tickets combining the winner of the first race of the first half of the twin double with every horse in the second race of the first half of the twin double. U. If the first race of the second half of the twin double is cancelled the net twin double pool shall be distributed as a straight pool to holders of twin double exchange tickets and holders of winning twin double tickets not surrendered for twin double exchange tickets. V. If the second race of the second half of the twin double is cancelled the net twin double pool shall be distributed as a straight pool to holders of twin double exchange tickets designating the winner of the first race of the second half of the twin double. W. In the event of a dead heat between a covered and an uncovered horse in the second race of the second half of the twin double, no consolation payoff shall be made. Holders of tickets on the covered horse, representing the only winners of four consecutive races, shall share in the distribution of the twin double pool. #### Regulation .69 Quinellas. *COMAR 09.10.01.69* A. Each association shall either print in the daily program or prominently post at all areas where quinella wagering is conducted the following quinella conditions: (1) An exchange of tickets, after purchaser has left the sales window, may not be made. (2) The quinella is not a parlay and has no connection with or relation to the tote betting. All tickets on the quinella will be calculated in an entirely separate pool. (3) Selections are to be made by program number and not by handicap rating number. Large numbers appearing on the quinella tickets are the program numbers of the horse. (4) All tickets should be retained until the result of the quinella has been posted. B. All quinella tickets shall be for the win and place combination only. C. Quinella wagering is not permissible on races containing either a coupled entry or field horses. D. If a horse entered in a quinella race is scratched or excused by the stewards after wagering has commenced, or if a horse is prevented from racing because of the failure of the stall doors of the starting gate to open, all tickets including this horse shall be deducted from the quinella pool and money refunded to the purchasers of tickets on the horse which is excused or prevented from racing. E. If there are no tickets sold on the winning combination in a quinella race, all quinella tickets bearing the number of the individual win horse and all quinella tickets bearing the number of the individual place horse shall be deemed winning tickets, and the payoff shall be calculated as a place pool. F. If there are no tickets sold on the winning combination in a quinella race, and if there are no quinella tickets sold bearing the number of the individual win horse, all quinella tickets bearing the number of the individual place horse shall be deemed winning tickets, and the payoff shall be calculated as a win pool. G. If there are no tickets sold on the winning combination in a quinella race, and if there are no quinella tickets sold bearing the number of the individual place horse, all quinella tickets bearing the number of the individual win horse shall be deemed winning tickets, and the payoff shall be calculated as a win pool. H. If there are no tickets sold on the winning combination in a quinella race, and if there are no quinella tickets sold bearing the number of the individual win horse, and if there are no quinella tickets sold bearing the number of the individual place horse, the quinella shall be deemed “no race,” and all moneys in the quinella shall be promptly refunded. I. If, after an official start is effected, only one horse finishes the quinella race, the total money shall be figured as a win pool, with those who have picked that one horse in the race participating in the pool. J. If a quinella race results in a two horse dead heat for win, the two horses involved in the dead heat shall be the winners of the quinella race. K. If a quinella race results in a multiple dead heat for win, all horses involved in the dead heat shall be winners of the quinella race and payoffs figured accordingly. For example, if numbers 1, 3, 5 and 7 dead heat for win, the winning quinella combinations would be 1-3, 1-5, 1-7, 3-5, 3-7, and 5-7. The net pool, after deducting the amounts wagered on the winning combinations, shall be equally distributed in payoff calculations on the winning combinations. L. If a quinella race results in a two horse dead heat for place, the total pool shall be calculated as a place pool. M. If a quinella race results in a multiple dead heat for place, all combinations coupling the winning horse with the individual place horses shall be winners of the quinella race and payoffs calculated accordingly. #### Regulation .70 Exactas. *COMAR 09.10.01.70* A. The exacta is a contract by the purchaser of a ticket combining two horses in a single race, selecting the two horses that will subsequently finish first and second in that race. Payment of the ticket shall be made only to the purchaser who has selected the same order of finish as officially posted. B. The exacta is not a parlay and has no connection with or relation to the win, place and show betting and shall be calculated as an entirely separate pool. C. In the event of an entry finishing first and second, the net exacta pool shall be distributed to holders of tickets combining the entry with the horse finishing third. D. If a horse is scratched out of an exacta race, all exacta tickets combining the scratched horse with any other horse in that race will be refunded and the money so refunded will be deducted from the gross pool. E. If no ticket is sold selecting the winner and the second horse to finish one-two, in that order, the net pool will be distributed as a place pool to the holders of tickets selecting the winner to finish first and the holders of tickets selecting the second horse to finish second. F. If no ticket is sold that would require distribution of an exacta pool to a winner as above defined, the association shall make a complete and full refund of the exacta pool. G. If two horses finish in a dead heat to win, the net pool shall be distributed as a place pool to the holders of tickets on the two winning combinations. For example if 4 and 6 finish in a dead heat to win, holders of tickets on 6 and 4 as well as holders of tickets on 4 and 6 will share in the net pool. H. If two horses finish in a dead heat to place, the net pool shall be distributed as a place pool to the holders of tickets on the two winning combinations. For example, if 3 is the winner and 5 and 7 finish in a dead heat to place, holders of tickets combining 3 and 5, in that exact order, and holders of tickets combining 3 and 7, in that exact order, will share in the pool. I. If there is a dead heat to win or a dead heat to place and no ticket has been sold on one of the winning combinations, the net pool shall be distributed to the holders of tickets on the other combination. J. If there is a dead heat to place and no ticket has been sold combining the winner with either one of the two horses finishing in the dead heat, the holders of tickets selecting the winner to finish first and the holders of tickets selecting either one of the dead heat horses to finish second will share in the net pool. The net pool shall be distributed as a place pool the winner will receive one-half and the horses in the dead heat divide the remaining half proportionately between them. #### Regulation .71 Triples (Trifectas). *COMAR 09.10.01.71* A. The triple is a contract by the purchaser of a ticket combining three horses that will subsequently finish first, second, and third in that race. Payment of the ticket shall be made only to the purchaser who has selected the same order of finish as officially posted. B. The triple is not a parlay and has no connection with or relation to the win, place and show betting and will be calculated as an entirely separate pool. C. Triple tickets shall be sold in not less than $1 denominations. D. If no ticket is sold on the winning combination of a triple pool, the net pool shall be distributed to the holders of tickets selecting the win and place finishers in that order. If no ticket is sold combining the win and place finish, the net pool will be distributed to the holders of tickets selecting the winner and show horses. If no ticket is sold combining the win, place or show finishers, the net pool will be distributed to the holders of tickets selecting the winner. If less than three horses finish, the payoff will be made to holders of tickets selecting the finishing horses in order, ignoring the balance of the selection. E. If no ticket is sold that would require distribution of the net triple pool to a winner as above defined, the association shall make a full refund of the triple pool. F. In the event of a dead heat or dead heats, all triple tickets selecting the correct order of finish, counting a horse in a dead heat as finishing in either position dead heated, shall be winning tickets. The payoff will be calculated as a place pool by dividing the net triple pool by the total purchase price of winning tickets. G. In the event of a scratch in the triple, no exchanges will be made. All tickets which include the scratched horse are eliminated from further participation in the triple pool and shall be refunded. Refunds on key horse wheel tickets may be made after the triple race is official. Key horse wheel tickets shall be sold during the entire triple wagering period at the posted price used when triple wagering opens. H. Coupled entries are permitted but fields are prohibited in triple races. H-1. If the horses in a coupled entry finish in more than one of the first three positions, one or more of the horses, as necessary, finishing directly after the first three horses shall be used to complete a winning selection consisting of three different numbers. I. Triple tickets shall be sold only by the licensee through pari-mutuel machines programmed to print all selections on one ticket. Resale of such tickets from one individual to another is prohibited and shall be grounds for ejection. J. Each association shall print in heavy type in a conspicuous place in its printed program all the provisions of this section. #### Regulation .72 Repealed. *COMAR 09.10.01.72* #### Regulation .73 Pick Six. *COMAR 09.10.01.73* A. The Pick Six is a form of pari-mutuel wagering. Each bettor selects the first horse in each of six consecutive races designated as the Pick Six races by the Association. The principle of a Pick Six is, in effect, a contract by the purchaser of a Pick Six ticket to select the winners of each of the six races designated as the Pick Six. B. The Pick Six pool shall be held entirely separate from all other pools and is not part of a daily double, exacta, trifecta, or other wagering pool. The Pick Six pool is a pool in which the bettor is required to select six consecutive winning horses and is not a parlay. C. Races in which Pick Six shall be conducted shall be approved by the Maryland Racing Commission and clearly designated in the program. D. The design of Pick Six tickets shall be clearly and immediately distinguished from other pari-mutuel tickets with the identification “Pick 6” printed on the ticket. E. The Pick Six pari-mutuel pool shall be calculated as follows: (1) Seventy-five percent of the net amount in the pari-mutuel pool subject to distribution among winning ticket holders shall be distributed among the holders of pari-mutuel tickets which correctly designate the official winner in each of the six races comprising the Pick Six. The remaining undistributed 25 percent of the net pool shall be distributed among the holders of pari-mutuel tickets which correctly designate the most winning selections less than the six winning selections described above. (2) If there is no pari-mutuel ticket held which correctly designates the winner of all races comprising the Pick Six, 75 percent of that racing date's net amount available for distribution shall be carried over and included in the Pick Six pool requiring six winning selections, at the next performance. (3) If a Pick Six ticket designates as a selection to win in any one or more of the contests comprising the Pick Six, a single wagering interest which is scratched, excused or determined by the stewards to be a non-starter in the race, the actual favorite, as evidenced by the amounts wagered in the win pool at the time of the start, will be substituted for the non-starting selection for all purposes including pool calculations and payoffs, provided further that if the win pool for two or more favorites is identical, the selection shall be the lowest program number substituted for the non-starting selection. (4) The cancellation of one or more contests comprising the Pick Six in any performance shall result in that day's net pool being fully distributed to the individuals holding the most winners on that day's performance. If three or more of the six contests comprising the Pick Six are officially cancelled or declared as no contest, all pari-mutuel tickets on the Pick Six for that performance shall be refunded, and the Pick Six shall be cancelled for that performance. Any contributions to the Pick Six pool from prior performances will remain in the Pick Six pool to be carried over and included in the Pick Six pool for the next performance as prescribed in §E(2), of this regulation. (5) If the accumulated Pick Six pool has not been distributed prior to the closing day of the meeting in which the Pick Six pool was generated, the accumulated Pick Six pool and the net amount in the Best of Six pool, subject to distribution among winning ticket holders, shall be distributed among closing day holders of Pick Six tickets which correctly designate the most official winners of the six contests comprising the closing day Pick Six. Should there be a cancellation of the final day's card, or if the final day of Pick Six pool is cancelled, the contributions shall be transferred to the next thoroughbred track to operate. (6) If one or more of the races comprising the Pick Six is a turf race and the race is switched from the turf to the main track after the close of wagering for the Pick Six, each selection in that race on a Pick Six pari-mutuel ticket shall be considered a winning selection. F. Those horses constituting an entry or a field as defined within the regulations of the Maryland Racing Commission shall race in any Pick Six race as a single wagering interest for the purpose of the Pick Six pari-mutuel pool calculations and payouts to the public. A scratch, after wagering has begun, of any part of an entry or field selection in such a race shall be of no effect with respect to the status of this entry or field, or both, as a viable wagering interest. G. If, for any reason, any race or races of a Pick Six program is cancelled and declared “No Race”, the Pick Six pool shall be distributed to the holders of the most winning selections of the remaining races pursuant to §E of this regulation. If the stewards cancel or declare “No Race” in three or more of the Pick Six races for any given date, all pari-mutuel tickets for that Pick Six pool shall be refunded and the Pick Six cancelled for that day. H. If there is a dead heat for win between two or more horses in any Pick Six race, all these horses in the dead heat for win shall be considered as the winning horse in the race for the purpose of distributing the Pick Six pari-mutuel pools. I. A person may not disclose the number of tickets sold in the Pick Six pool or the number or amount of tickets selecting winners of Pick Six races before the time the stewards have declared the last Pick Six race on any given date “official”. J. A pari-mutuel ticket for the Pick Six pool may not be sold, exchanged, or cancelled after the time of the closing or wagering in the first of the six races comprising the Pick Six. K. A validly issued Pick Six ticket timely surrendered to the association by the legal holder of it shall be the only evidence of a person's participation in the Pick Six pari-mutuel pool. The acceptance of a Pick Six ticket by taking an issued ticket away from the window or terminal from which it is purchased shall constitute an acknowledgement by the purchaser of the correctness of the ticket, and each purchaser of a Pick Six ticket agrees to be bound by the terms and provisions of this and all other applicable commission rules and regulations and by the laws of the State pertaining to pari-mutuel wagering. The association, totalisator company, and the State may not be liable to a person for a ticket which is not a winning ticket in accordance with the provisions of this rule. The association, totalisator company, and the State may not be liable to a person for a Pick Six ticket not delivered for any reason, including but not limited to, mechanical malfunction, electrical failure, machine locking, or other cause. L. This rule shall be prominently displayed throughout the betting area of each association conducting a Pick Six program. #### Regulation .74 Double Triple (Twin Trifecta). *COMAR 09.10.01.74* A. The Double Triple is a form of pari-mutuel wagering in which the bettor selects the three horses that will finish first, second, and third in each of the two designated races of the Double Triple, in the exact order of finish as officially posted. B. The two races which comprise the Double Triple shall be approved by the Commission and clearly designated in the program. C. Each bettor purchasing a Double Triple ticket shall designate his three selections as the first three horses to finish in that order in the first race of the designated two races of the Double Triple. D. After wagering closes for the first race of the designated two races of the Double Triple, all applicable commissions and taxes shall be deducted from the pool in accordance with the laws of the State. The remaining net pool shall then be divided into two separate pools of equal amounts. The following apply: (1) The first part of the divided pool shall be distributed among the holders of Double Triple tickets selecting the first three horses, in exact order of finish, on the designated first race of the Double Triple, in accordance with established pari-mutuel practice. The first part of the divided pool shall consist of 1/2 of the net distributable pool of the total monies wagered on the first race of the Double Triple on the current day's program only. Specifically excluded from this shall be any carry-over of any Double Triple pool from any previous day's program. (2) The second part of the divided pool shall be placed in a separate pool to be distributed among holders of Second Half Double Triple tickets selecting the first three horses, in exact order, on the designated second race of the Double Triple, in accordance with the established pari-mutuel practice. E. In the first race of the Double Triple only, if there is a failure to select the first three horses, in exact order of finish, payoffs shall be made on Double Triple tickets selecting, in the following order of priority, which are the first two horses in exact order, but if there is no ticket outstanding, then the first horse. Failure of any ticket to select the first horse to win, regardless of the selection of the exact order of the second or third horse, or both, shall cause a refund of all Double Triple tickets issued on that race. If there is no winning ticket selecting the first three horses in exact order of finish, then any ticket within the applicable order of priority as previously stated is considered a winning ticket for distribution of the first race pool only, but does not entitle the holder of it to an exchange ticket. F. After the official declaration of the first three horses to finish in the first race of the Double Triple, each bettor holding a winning ticket shall, before the running of the second designated race of the Double Triple, exchange at the designated Double Triple windows the winning ticket for both the monetary value from the first part of divided pool, as established by the mutuels department of the Association, and a Double Triple exchange ticket which designates the bettor's selection of the three horses for finish in that order in the second designated race of the Double Triple. Further money may not be required of the holder of the winning ticket in order to make the exchange. Until the second race of the Double Triple has been declared official, a person may not disclose the number of winning Double Triple tickets eligible for exchange in the second Double Triple race, nor shall any person disclose any information regarding those tickets during the exchange process. G. A Double Triple exchange ticket for the second race of the Double Triple may not be issued except upon surrender of the Double Triple ticket from the first race as described in these rules. Windows, for the purpose of cashing and exchanging of winning Double Triple tickets, shall be open for the purpose of making exchange as described above only after the first race of the Double Triple has been declared official. The windows shall close when wagering closes for the second race of the Double Triple. H. If a winning Double Triple ticket from the first race is not presented for cashing and exchange within the time provided above, the bettor may still collect the monetary value attached to the ticket but shall forfeit all rights to any distribution resulting from the second race of the Double Triple. I. If a dead heat or heats occur in either the first race or second race of the Double Triple, all Double Triple tickets selecting the correct order of finish counting a horse in a dead heat as finishing in any position dead heated shall be winning tickets, and, contrary to the usual practice, the aggregate winning tickets shall be divided into the net pool and be paid the same pay-off price. J. If there is no Double Triple ticket issued accurately selecting the officially declared first three finishers of the second race of the Double Triple, in the exact order, the second race pool, determined as provided in this rule, shall be held for the next consecutive racing day and combined with the pool of that program's second race of the Double Triple. Distribution of this special cumulative pool of the second race of the Double Triple shall be made only upon the accurate selection, in the exact order, of the first three officially declared finishers of the second race of the Double Triple. K. Scratches. (1) If a horse is scratched in the first race of the Double Triple, all Double Triple tickets issued which include the scratched horse shall be refunded. (2) If a horse is scratched in the second race of the Double Triple, the stewards shall act as follows: (a) If there are more than 5 minutes to post remaining, as displayed on the infield tote board, the stewards shall declare, by means of a public address announcement, that tickets which include the scratched horse shall be exchanged before the running of the race; or (b) If there are 5 minutes or less to post remaining, as displayed on the infield tote board, the stewards shall determine if there are tickets issued which contain the scratched horse and act as follows: (i) If there are no tickets, the Second Half Double Triple betting is not affected; or (ii) If there are tickets, the stewards shall declare, by means of a public address announcement, that the Second Half Double Triple wager for that day is cancelled, that the entire second part of the divided pool resulting from that current day's program only shall be distributed among all holders of Second Half Double Triple tickets, in accordance with established pari-mutuel practice, and that any carry-over of any Double Triple pool from any previous day's program may not be distributed on that racing day and shall be carried over to the next consecutive racing day. L. If for any reason the field for either the first race or the second race of the Double Triple is reduced to less than seven interests before wagering is opened for the first race of the Double Triple, then Double Triple wagering may not be conducted on that day. If wagering has opened for the Double Triple and the field for either the first race or the second race of the Double Triple is reduced to less than seven interests before the first race of the Double Triple has been run, the stewards shall determine, in their sole and final discretion, whether Double Triple wagering will be refunded and not conducted on that day. If after the first race of the Double Triple has been run the field in the second race of the Double Triple is reduced to less than seven interests, the stewards shall determine, in their sole and final discretion, whether the race will be run as the second race of the Double Triple or, alternatively, whether Double Triple wagering will be cancelled, in which event the entire second part of the divided pool resulting from that current day's program only shall be distributed among all holders of Second Half Double Triple tickets, in accordance with established pari-mutuel practice, and any carry-over of any Double Triple pool from any previous day's program may not be distributed on that racing day and shall be carried over to the next consecutive racing day. M. If for any reason the second race of the Double Triple is not declared official, the winning ticket holders who have cashed their ticket of the first race of the Double Triple and have received an exchange ticket, shall be entitled to be paid the remaining amount of the current program's divided pool. N. Sales of Double Triple tickets other than from pari-mutuel machines shall be deemed illegal and prohibited. O. The Double Triple pool shall be held entirely separate from all other pools, and may not be part of a daily double, exacta, triple, pick six, or other wagering pool. P. If the accumulated carry-over pool of the Double Triple has not been distributed before the closing day of the meeting in which the pool was generated, the accumulated pool shall be carried over to the thoroughbred association next to operate that accepts Double Triple wagering. If the association next to operate does not accept Double Triple wagering, the accumulated pool shall be deposited in a Maryland bank in interest-bearing form and the accumulated pool together with all interest earned on it shall be carried over to the first day of the next racing meet of the thoroughbred association accepting Double Triple wagering. Q. Coupled entries are permitted but fields are prohibited in Double Triple races. Q-1. If the horses in a coupled entry finish in more than one of the first three positions, one or more of the horses, as necessary, finishing directly after the first three horses shall be used to complete a winning selection consisting of three different numbers. R. The acceptance of a Double Triple ticket by taking an issued ticket away from the window of the terminal from which it was issued shall constitute an acknowledgment by the bettor of the correctness of the ticket. Each purchaser of a Double Triple ticket shall agree to be bound by the terms and provisions of this and all other applicable Commission rules and regulations and by the laws of the State pertaining to pari-mutuel wagering. The Association, totalisator company, and the State may not be liable to any person for a Double Triple ticket which is not: (1) A winning ticket in accordance with the provisions of this rule; or (2) Delivered for any reason, including but not limited to mechanical malfunction, electrical failure, machine locking, or other cause. S. This rule shall be prominently displayed in the betting area of each Association conducting a Double Triple Program. #### Regulation .75 Super Bet. *COMAR 09.10.01.75* A. The Super Bet is a form of pari-mutuel wagering on three designated races. The bettor selects the two horses that will finish first and second in each of the first two designated races of the Super Bet, and the three horses that will finish first, second, and third in the third designated race of the Super Bet, in each case in the exact order of finish as officially posted. B. The Super Bet pool shall be held entirely separate from all other pools, and may not be part of any exacta, triple, daily double, or other wagering pool. The Super Bet is not a parlay. C. Repealed. D. The three races which comprise the Super Bet shall be approved by the Commission and clearly designated in the program. E. Super Bet tickets shall be clearly identified as such, so as to distinguish them from tickets on other wagering pools. F. Coupled entries and fields are prohibited in the three designated Super Bet races. G. If a dead heat or dead heats occur in any of the races of the Super Bet, all Super Bet tickets selecting the correct order of finish counting a horse in a dead heat as finishing in any position dead heated shall be winning tickets, and contrary to the usual practice, the aggregate winning tickets shall be divided into the net pool and be paid the same pay-off price. H. Wagering for the Super Bet shall close at the same time that wagering is closed on the first designated race of the Super Bet. If a horse is scratched in a designated race of the Super Bet while wagering on the Super Bet is still open, wagers containing the scratched horse will be deducted from the Super Bet pool and will be refunded just as in other types of wagers. After the close of wagering on the Super Bet, if a horse has been scratched, a consolation pool, or pools, will be established in accordance with §P of this regulation. I. If for any reason, including but not limited to, weather conditions, less than all of the designated races of the Super Bet are cancelled or are not declared “official,” then all horses in the cancelled race or races that were selected on Super Bet tickets shall be considered winners for purposes of the Super Bet. If for any reason all of the designated races of the Super Bet are cancelled, then all pari-mutuel tickets that were issued for that performance shall be refunded and the Super Bet shall be cancelled for that performance. In all the above instances, any contributions to the Super Bet pool from prior performances will be carried over and included in the Super Bet pool for the next performance as prescribed in §J, below. J. If there is no Super Bet ticket issued accurately selecting the officially declared winning combination in the exact order of finish in each of the three designated races of the Super Bet, then the net pool (the amount wagered less all applicable commissions and taxes under the laws of this State) shall be carried over and included with the net Super Bet pool at the next performance. K. If the accumulated carry-over pool of the Super Bet has not been distributed before the closing day of the meeting in which the pool was generated, or if the Association invokes the provisions of §L, the net amount of the carry-over pool so remaining shall be distributed even if a Super Bet ticket is not a winning ticket under §A. In this event, the winning tickets shall be those combining on that performance the most consecutive finishers in the winning combination, starting with the winner of the first designated race of the Super Bet (for example, if the exact winning combination is 1-2, 1-2, 1-2-3, and the best ticket sold is 1-2, 1-2, 1-2-ALL). If there is a cancellation of the closing day's performance, the accumulated carry-over pool shall be carried over to the Thoroughbred Association next to operate that accepts Super Bet wagering. If the Thoroughbred Association next to operate does not accept Super Bet wagering, the accumulated carry-over pool shall be deposited in a Maryland bank, in interest bearing form, and the accumulated pool together with all interest earned on it shall be carried over to the first day of the next racing meeting of the Thoroughbred Association accepting Super Bet wagering. L. The Association accepting Super Bet wagering may elect, if there is an undistributed accumulated carry-over pool of the Super Bet, to declare a mandatory Super Bet distribution, provided it makes an announcement of its intention to do so at least 24 hours before the opening of Super Bet wagering for that performance. In this event, all of the Super Bet carry-over pool shall be distributed on this performance, even if a Super Bet ticket is not a winning ticket under §A, in accordance with the provisions for determining a winning ticket under §K. M. The Association may elect to guarantee a gross Super Bet (the accumulated carry-over pool plus gross Super Bet wagering on the current performance) by adding any shortfall from this guarantee to the accumulated carry-over pool, provided it makes announcement of its intention to do so before the opening of Super Bet wagering for that performance. Commissions or taxes may not be deducted from the added amount. N. Sales of Super Bet tickets other than from pari-mutuel machines shall be deemed illegal and prohibited. Resale of Super Bet tickets from one individual to another is prohibited and shall be grounds for ejection. O. The acceptance of the Super Bet ticket by an individual taking an issued ticket away from the windows of the terminal from which it was issued shall constitute an acknowledgement by the bettor of the correctness of the ticket. Each purchaser of a Super Bet ticket agrees to be bound by the terms and provisions of this and all other applicable Commission regulations and by the laws of the State pertaining to pari-mutuel wagering. The Association, totalisator, and the State may not be liable to any person for a Super Bet ticket which is not: (1) A winning ticket in accordance with the provisions of this regulation; or (2) Delivered for any reason, including but not limited to: (a) Mechanical malfunction, (b) Electrical failure, (c) Machine locking, or (d) Other cause. P. Consolation Pools. (1) If one or more horses are scratched (scratches) after the close of wagering on the designated races of the Super Bet, consolation pools shall be established. (2) Consolation pools shall consist of the amount wagered on all combinations that contain the “scratches” after the deduction of all applicable commissions and taxes under the laws of this State from these wagers. (3) Wagers. The relationship that the above amount bears to todays net pool, before the deduction of the above amount from todays net pool, will be the relationship that it will bear to the pool carried forward to this performance (carry-over pool) for the purposes of distributing that portion of the “carry-over pool” to the holder of a winning wager as determined in §P(4), below. (4) A Super Bet wager which contains “scratches” shall participate in the consolation pool if the wager contains all other horses in the correct order of finish except the “scratches,” or, if the “scratches” are in a superior position to the other horses selected, the other horses finish in the next most superior position vacated by the “scratches” or the next most superior position of any horse so advanced. For example, if the exact winning combination is 1-2, 1-2, 1-2-3, and the 4 horse was scratched in the third race of the Super Bet a wager of 1-2, 1-2, 1-2-4 would qualify as a winning consolation wager as well as a wager of 1-2, 1-2, 4-1-2 or 1-2, 1-4-2. No other combination would be a winning wager in this example. If there is no winning wager of the consolation pool, the amounts in the consolation pool shall be returned to the pools from which they were deducted before distribution from these pools. If §K or L of this regulation are invoked, the consolation provision of this section shall apply to §§K and L as well. Q. This regulation shall be prominently displayed in the betting area of each Association conducting a Super Bet program. #### Regulation .76 Pick Three. *COMAR 09.10.01.76* A. Except as provided in §B of this regulation, the Pick Three is a form of pari-mutuel wagering in which each bettor selects the winning horse in each of three consecutive races designated by the Association. B. With the approval of the Commission, an Association may offer Pick Three wagering on three stake races scheduled to be contested over not more than 2 consecutive days. C. The Association may designate a wager described in §A or B of this regulation with the name “Pick Three” or another name, subject to the approval of the Commission. D. The Pick Three pool: (1) Shall be held entirely separate from all other pools; (2) May not be part of a daily double, exacta, trifecta, or other wagering pool; and (3) May not be a parlay. E. The three races which constitute the Pick Three shall be clearly designated in the program or programs. F. The Pick Three ticket shall be clearly distinguished from other pari-mutuel tickets with appropriate identification of the wager as a Pick Three wager printed on the ticket. G. The Pick Three pari-mutuel pool shall be calculated as follows: (1) The entire net amount in the Pick Three pari-mutuel pool shall be distributed, in the usual manner, among those holders of tickets who correctly picked on the same ticket the winner of each of the three races comprising the Pick Three; (2) If no ticket is sold which: (a) Correctly contains the winner of each of the three races comprising the Pick Three, the entire net amount in the Pick Three pari-mutuel pool shall be distributed, in the usual manner, among those holders of tickets who correctly picked on the same ticket the winner of any two of the three races comprising the Pick Three; (b) Correctly contains at least the winner of two of the three races comprising the Pick Three, the entire net amount in the Pick Three pari-mutuel pool shall be distributed, in the usual manner, among those holders of tickets who correctly picked the winner of any one of the three races comprising the Pick Three; and (c) Would require the distribution of the Pick Three pool under this regulation, the Association shall make a full and complete refund of the Pick Three pool. H. Entries and Scratches. (1) Those horses constituting an entry or a field, as defined within the regulations of the Commission, shall race in the races comprising the Pick Three as a single wagering interest for the purpose of the Pick Three pari-mutuel pool calculations and payouts to the public. A scratch, after wagering has begun, of any part of any entry or field selection in a race shall be of no effect with respect to the status of the entry or field, or both, as a viable wagering interest. (2) If a Pick Three ticket designates as a selection to win in any one or more of the contests comprising the Pick Three, a single wagering interest which is scratched, excused, or determined by the stewards to be a nonstarter in the race, the actual favorite, as evidenced by the amounts wagered in the win pool at the time of the start, will be substituted for the nonstarting selection for all purposes including pool calculations and payoffs, provided further that if the win pool for two or more favorites is identical, the selection shall be the lowest program number substituted for the nonstarting selection. I. If, for any reason: (1) A race of a Pick Three program is cancelled or declared “No Race”, the Pick Three pool shall be distributed among the holders of tickets containing the most winning selections in the remaining races in accordance with §H of this regulation; (2) Two or more races of the Pick Three are canceled or declared “No Race”, all pari-mutuel tickets for that Pick Three pool shall be refunded; (3) A race of the Pick Three is cancelled or declared “No Race” and there is a dead heat for win in one of the remaining races, notwithstanding the provisions of §J of this regulation, all the horses in the dead heat for win shall be considered as the winning horse in that race for the purpose of distributing the Pick Three pari-mutuel pool; or (4) If one or more of the races comprising the Pick Three is a turf race and the race is switched from the turf to the main track after the close of wagering for the Pick Three, all selections in that race on a Pick Three pari-mutuel ticket shall be considered a winning selection. J. If there is a dead-heat for win between two or more horses in any Pick Three race, the calculation for the purpose of distributing the net Pick Three pool is as follows: (1) The net Pick Three pool, less the amount bet on the winning combinations, shall be divided by the number of winning combinations; (2) Divide the quotient of §J(1) of this regulation by the amount bet on each winning combination; (3) The $1 payoff price for a winning combination is $1 added to the quotient from §J(2) of this regulation for that winning combination, rounded to the next lowest integer in conformance with the breakage provision currently in effect. K. A person may not disclose the number of tickets sold in the Pick Three pool or the amount of tickets selecting winners of Pick Three races before the time the stewards have declared the last Pick Three race on any given date “official”. L. A pari-mutuel ticket for the Pick Three pool may not be sold, exchanged, or cancelled after the close of wagering in the first of the three races comprising the Pick Three. M. Pick Three Tickets. (1) A validly issued Pick Three ticket timely surrendered to the Association by the legal holder of it shall be the only evidence of a person's participation in the Pick Three pari-mutuel pool. (2) The acceptance of a Pick Three ticket by taking an issued ticket away from the window or terminal at which it is purchased shall constitute an acknowledgment by the purchaser of the correctness of the ticket. (3) Each purchaser of a Pick Three ticket agrees to be bound by the terms and provisions of this and all other applicable Commission rules and regulations and by the laws of the State pertaining to pari-mutuel wagering. (4) The Association, totalisator company, and the State may not be liable to a person for a: (a) Ticket which is not a winning ticket in accordance with the provisions of this regulation; or (b) Pick Three ticket not delivered for any reason, including but not limited to mechanical malfunction, electrical failure, machine locking, or other cause. N. This regulation shall be prominently displayed through the betting area of each Association conducting a Pick Three wager. #### Regulation .77 Intertrack Wagering. *COMAR 09.10.01.77* A. The Commission shall establish a system of intertrack wagering. This system is limited to betting at the racetrack of an association which is not itself conducting the race on which betting is being taken (the “receiving track”) on a race which is being conducted live or by simulcast on a licensed racing day at the racetrack of another association (the “sending track”). All betting under this regulation shall take place within the confines of the racetrack of the receiving track. B. The Commission may permit: (1) An association desiring to conduct intertrack wagering under this regulation to do so provided that the request is approved by each: (a) Sending track; (b) Receiving track; (c) Group representing a majority of the horsemen: (i) Then racing at the sending track, (ii) Who raced at the receiving track at its last meeting; (2) Wagering under this regulation only between associations licensed under Business Regulation Article, Title 11, Subtitle 5, Part II, Annotated Code of Maryland. C. Money wagered at the receiving track on races on which intertrack wagering is permitted shall be included in the applicable mutuel pools at the sending track, and shall for all purposes be considered as if wagered at the sending track. Without limiting the generality of the above, computation of the takeout, breakage, and State tax on all wagering at the receiving track shall be the same as that normally applicable to racing conducted at the sending track. All pari-mutuel information regarding the money wagered at the receiving track shall be transmitted by telephone wire directly to the sending track and incorporated with the information on wagering at the sending track. D. Each race on which intertrack wagering is permitted shall be simulcast live from the sending track to the receiving track via telephone wire, television signal, satellite signal, or other means approved by the Commission. E. The Commission shall have jurisdiction over all wagering and other activities at the receiving track to the same extent as it has when live racing is being conducted at that facility. F. Nothing contained in this regulation shall constitute the employees of the receiving track as employees of the sending track. #### Regulation .78 Quad Wagering. *COMAR 09.10.01.78* A. The quad is a contract by the purchaser of a ticket combining four horses to finish first, second, third, and fourth in that specific order in a race on which quad wagering is offered. Payment of the ticket shall be made only to the purchaser who has selected the same order of finish as officially posted. B. The quad is not a parlay and has no connection with, or relation to, any other wagering pool and shall be calculated as an entirely separate pool. C. Repealed. D. If a ticket was not sold on the winning combination of a quad pool, the net pool shall be distributed to the holders of tickets selecting the first, second, and third finishers in that specific order. However, if a ticket was not sold combining the first, second, and third finishers in that specific order, the net pool shall be distributed to the holders of tickets selecting the first and second finishers in that specific order. However, if a ticket was not sold containing any of the above combinations, the net pool shall be distributed to the holders of tickets selecting the correct first place finisher. If less than four horses finish, the payoff shall be made to holders of tickets selecting the finishing horses in order, ignoring the balance of the selection. E. If a ticket was not sold that would require distribution of the net quad pool to a winner as defined in §D of this regulation, the association shall make a full refund of the quad pool. F. In the event of a dead heat or dead heats, all quad tickets selecting the correct order of finish, counting a horse in a dead heat as finishing in all of the positions encompassed by the dead heat, shall be winning tickets. When a dead heat occurs, the payoff shall be calculated using the same logic used for calculating the place and show pools. G. In the event of a scratch in the quad, exchanges are not made. All tickets which include the scratched horse are eliminated from further participation in the quad pool and shall be refunded. Refunds on key horse wheel tickets may be made after the quad race is official. Key horse wheel tickets shall be sold during the entire quad wagering period at the posted price used when quad wagering opens. H. Coupled entries are permitted but fields are prohibited in quad races. I. If the horses in a coupled entry finish in more than one of the first four positions, one or more of the horses, as necessary, finishing directly after the first four horses shall be: (1) Used to complete a winning selection consisting of four different numbers; and (2) Assigned the positions behind those horses which have been advanced due to the coupled entry finishing in more than one of the first four positions. J. Quad tickets shall be sold only by the licensee through pari-mutuel machines programmed to print all selections on one ticket. Resale of the tickets from one individual to another is prohibited and shall be grounds for ejection. K. This regulation shall be printed in heavy type in a conspicuous place in the program, or prominently posted near the betting windows of any association permitted to conduct this type of wager. #### Regulation .79 Pick-7. *COMAR 09.10.01.79* A. The Pick-7 pari-mutuel pool is not a parlay and has no connection with or relation to any other pari-mutuel pool. B. The Pick-7 pari-mutuel pool consists of amounts wagered by individuals on the individuals' selections to finish first in each of the 7 races designated by an Association, with the approval of the Commission, to be part of the Pick-7 wager. C. Horses constituting an entry of coupled horses or horses coupled to constitute the mutuel field in a race comprising the Pick-7 shall race as a single wagering interest for the purpose of the Pick-7 pari-mutuel pool calculations and payout to the public. However, if part of an entry or field is scratched and any part of either an entry or field racing as a single wagering interest is a starter in a race, the entry or field, if selected, shall remain as the designated selection to win in that race for the Pick-7 wager and the selection may not be deemed a scratch. D. If a Pick-7 pari-mutuel ticket contains a single wagering interest or an entire “entry of coupled horses” or “mutuel field” which is scratched, excused, or determined by the host track stewards to be a nonstarter in the race, after wagering on the Pick-7 has commenced, the actual favorite, as evidenced by the amounts wagered in the host track win pool at the time of the start of the race, will be substituted for the nonstarting selection for all purposes, including pool calculations and payoffs. In the unlikely event that the win pool for two or more favorites is identical, the selection shall be the lowest program number of the cofavorites substituted for the nonstarting selection. E. Pick-7 Pari-Mutuel Pool. (1) The Pick-7 pari-mutuel pool shall be calculated as follows: (a) The net pool, that is, the total amount wagered less the applicable takeout, shall be allocated 75 percent to a major share and 25 percent to a minor share; (b) The major share shall be distributed among holders of Pick-7 tickets which contain the correct selections of the winner of each of the 7 races comprising the Pick-7; (c) The minor share shall be distributed among holders of Pick-7 tickets which contain the most correct selections of the winner of each of the 7 races comprising the Pick-7 but fewer than 7. (2) If there is no pari-mutuel ticket issued which correctly selects the winners of each of the 7 races comprising the Pick-7, then the entire net pool shall be distributed among holders of Pick-7 tickets which contain the most correct selections of the winner of each of the 7 races comprising the Pick-7. F. If there is a dead heat for win between two or more horses in any Pick-7 race, all the horses in the dead heat for win shall be considered as the winning horse in the race for the purpose of calculating the Pick-7 pari-mutuel pool. G. If, for any reason, any race or races of a Pick-7 is cancelled and declared “no race”, the Pick-7 pool shall be distributed to the holders of the most winning selections of the remaining races pursuant to §E, except that if, for any reason, three or more races of a Pick-7 are cancelled and declared “no race”, all pari-mutuel tickets for that Pick-7 pool shall be refunded and the Pick-7 cancelled for that day. H. A pari-mutuel ticket for the Pick-7 pool may not be sold, exchanged, or cancelled after the time of the closing of wagering on the first of the seven races comprising the Pick-7 except for refunds on Pick-7 tickets that are required by this regulation. #### Regulation .80 Pick-7 with Carry-Over. *COMAR 09.10.01.80* A. The Pick-7 with Carry-Over pari-mutuel pool is not a parlay and has no connection with or relation to any other pari-mutuel pool. B. The Pick-7 with Carry-Over pari-mutuel pool consists of amounts wagered by individuals on the individuals' selections to finish first in each of the seven races designated by an Association, with the approval of the Commission, to be part of the Pick-7 with Carry-Over wager. C. Those horses constituting an entry of coupled horses or those horses coupled to constitute the mutuel field in a race comprising the Pick-7 with Carry-Over shall race as a single wagering interest for the purpose of the Pick-7 with Carry-Over pari-mutuel pool calculations and payout to the public. However, if part of an entry or field is scratched and any part of either an entry or field racing as a single wagering interest is a starter in a race, the entry or field, if selected, shall remain as the designated selection to win in that race for the Pick-7 with Carry-Over wager and the selection is not considered a scratch. D. If a Pick-7 with Carry-Over pari-mutuel ticket contains a single wagering interest or an entire “entry of coupled horses” or “mutuel field” which is scratched, excused, or determined by the stewards to be a nonstarter in the race, after wagering on the Pick-7 with Carry-Over has begun, the actual favorite, as evidenced by the amounts wagered in the win pool at the time of the start of the race, will be substituted for the nonstarting selection for all purposes, including pool calculations and payoffs. In the unlikely event that the win pool for two or more favorites is identical, the selection is the lowest program number of the cofavorites substituted for the nonstarting selection. E. The Pick-7 with Carry-Over pari-mutuel pool shall be calculated as follows: (1) The net pool, which consists of the total amount wagered less the applicable takeout, shall be allocated: (a) 75 percent to the carry-over share, and (b) 25 percent to a best-of-seven share; (2) The carry-over share shall be distributed among holders of Pick-7 with Carry-Over tickets which contain the correct selections of the winner of each of the seven races comprising the Pick-7 with Carry-Over; (3) The best-of-seven share shall be distributed among holders of Pick-7 with Carry-Over tickets which contain the most correct selections of the winner of each of the seven races comprising the Pick-7 with Carry-Over but fewer than seven; (4) If there is no pari-mutuel ticket issued which correctly selects the winners of each of the seven races comprising the Pick-7 with Carry-Over, then the carry-over share from this day shall be added to the carry-over share of the next program to offer this type of wager at a track licensed under Business Regulation Article, §11-302, Annotated Code of Maryland; (5) If a succeeding track does not offer this type of wager or if a track wishes to discontinue this type of wager or create a mandatory distribution of the carry-over share, upon the approval of the Commission, the carry-over share on the program so designated shall be distributed among holders of Pick-7 with Carry-Over tickets which contain the most correct selections of the winner of each of the seven races comprising the Pick-7 with Carry-Over on that program. F. If there is a dead heat for win between two or more horses in any Pick-7 with Carry-Over race, all the horses in the dead heat for win are considered as the winning horse in the race for the purpose of calculating the Pick-7 with Carry-Over pari-mutuel pool. G. If, for any reason, any race or races of a Pick-7 with Carry-Over is cancelled and declared “No Race”, the entire Pick-7 with Carry-Over net pool, exclusive of amounts added from prior programs, shall be distributed to the holders of the most winning selections of the remaining races pursuant to §E(3) of this regulation. If, for any reason, three or more races of a Pick-7 with Carry-Over are cancelled and declared “No Race”, all pari-mutuel tickets for that Pick-7 with Carry-Over pool shall be refunded and the Pick-7 with Carry-Over cancelled for that day. H. A pari-mutuel ticket for the Pick-7 with Carry-Over pool may not be sold, exchanged, or cancelled after the time of the closing of wagering on the first of the seven races comprising the Pick-7 with Carry-Over, except for those refunds on Pick-7 with Carry-Over tickets required by this regulation. I. Repealed. J. Races upon which the Pick-7 with Carry-Over are conducted shall be approved by the Maryland Racing Commission and clearly designated in the program. K. This rule shall be prominently displayed throughout the betting area of the association conducting this type of wager. #### Regulation .81 Commingled Pari-Mutuel Pools. *COMAR 09.10.01.81* A. Commingling of pari-mutuel pools occurs when all wagers which are made, both within and outside of Maryland on a specific pari-mutuel pool, are combined for the purpose of determining a payout. B. For the purpose of this regulation: (1) “Gross pool” means the total monies accumulated in a specific wagering pool before the deduction of the applicable takeout as prescribed by the law in the jurisdiction in which the wagers take place. (2) “Net pool” means the total monies accumulated in a specific wagering pool after the deduction of the applicable takeout as prescribed by the law in the jurisdiction in which the wagers take place. C. When an association in Maryland is permitted to commingle the wagers made in Maryland on a race in another jurisdiction with the wagers made at the association in the other jurisdiction, and the public is notified that commingling is taking place, the winning wagers shall be paid at the price determined by the odds posted at the association where the live race took place except, once wagering has begun and circumstances prevent the commingling from being accomplished, there shall be a refund of all these wagers made at the Maryland association, if: (1) A public announcement is made by the Maryland association not less than 2 minutes before the post time of the race that commingling cannot be accomplished, when the wager involves only one race; or (2) The wager involves more than one race, and a public announcement is made by the Maryland association that commingling cannot be accomplished: (a) By the off time of the first race of the wager, or (b) Not more than 10 minutes after the finish of the first race of the wager, unless there is a payoff due on a wager as a result of the first race. D. If a payoff is due under the exception to §C(2)(b) of this regulation, there is no refund and the payoff shall be multiplied by a number which would make the sum of the payoff of all winning wagers on the first race of the pool equal to the net pool on that wager, exclusive of any carryover. E. An association in Maryland shall request and receive permission from the Commission before entering into a commingling agreement with an entity, or entities, in other jurisdictions. The request shall include the method of commingling to be used, that is, the net pool method or the gross pool method. F. If the net pool method is employed, the Maryland association shall apply the base payout price to the winning wagers in the Maryland association's pool to determine the payout on these wagers. G. If the gross pool method of commingling is used, the takeout on wagers placed in Maryland is the same as the takeout used at the association at which the live race takes place. H. Underpayment or Overpayment. (1) When a payoff is required under §C or D of this regulation, a resulting underpayment or overpayment of the distributable pools shall be accumulated to determine a net overpayment or underpayment. (2) Within 10 days after the end of the calendar year, the association shall report a net underpayment for the year to the Commission, and the association shall add the net underpayment to future distributable pools as directed by the Commission. (3) If there is a net overpayment at the end of the calendar year, it may be carried forward to the succeeding calendar year and shall become a part of the accumulation for that calendar year. I. When wagers on a race or races are commingled, the regulations in the jurisdiction where the race or races take place shall be used in administering the wager. #### Regulation .82 Bingo Bet. *COMAR 09.10.01.82* A. The Bingo Bet is a type of bet in which betting interests are selected and placed in a total of nine blocks, arranged in three columns with three blocks in each column thereby forming a square. B. For the columns described under §A of this regulation, the totalisator company shall assign to each block in column: (1) One, the number of a betting interest selected to finish first; (2) Two, the number of a betting interest selected to finish first or second, except that the center block of this column shall be assigned the number of the betting interest that actually finishes first in the race; and (3) Three, the number of a betting interest selected to finish first, second, or third. C. Repealed. D. A bettor wishing to participate in this type of bet may: (1) Select a single betting interest to be placed randomly by the totalisator computer in any one block in the bet, except the center block in column two, and allow the totalisator computer to randomly assign the numbers of the betting interests to the other seven blocks in the bet; or (2) Allow the totalisator computer to randomly assign the numbers of the betting interests to all of the blocks, except the center block in column two. E. A winning combination consists of three contiguous blocks forming a straight line, either diagonally, vertically, or horizontally, containing the betting interests which finished in the position selected, or higher, in accordance with the official order of finish. F. A single bet may contain as many as eight winning combinations. G. The totalisator company shall divide the net pool on this type of bet by the total number of winning combinations with the resulting quotient, rounded down to the nearest whole multiple of 10 cents, being the payoff on each winning combination. H. The payoff on a winning combination, as calculated under §G of this regulation, may not be less than 10 cents. I. If there is a dead heat for first, second, or third place in a race on which a Bingo Bet is offered, the totalisator company shall consider the numbers assigned to the betting interests involved in the dead heat as finishing in the position for which there was a dead heat. J. If more than one horse in an entry or field finishes in one or more of the first three positions in the race, the totalisator company shall use one or more of the horses, as necessary, finishing directly after the first three horses until there are three different betting interests to represent the first three positions at the finish of the race for the purposes of this bet. K. If a betting interest is scratched, excused, or determined by the stewards to be nonstarter, the totalisator company shall substitute the: (1) Actual favorite, as evidenced by the amounts bet in the win pool when betting on the race is closed, for that betting interest; or (2) Favorite with the lowest program number for that betting interest if the amount bet in the win pool is identical on two or more favorites when betting on the race is closed. L. If fewer than three betting interests in a race offering the Bingo Bet finish the race, the stewards shall order a refund of the entire pool for that bet in that race. M. If, after considering the other provisions of this regulation, there is no winning selection on the Bingo Bet, the racing association shall carry forward the entire net pool from the Bingo Bet and add it to the net pool of the Bingo Bet on the next race for which it is offered. #### Regulation .83 Head-to-Head Wager. *COMAR 09.10.01.83* A. Definition. (1) In this regulation, the following term has the meaning indicated. (2) Term Defined. Head-to-head wager means a bet in which an individual selects one of two designated horses in a particular race to reach the finish line before the other, regardless of the position in which the other horses finish the race. B. The association shall designate: (1) Which races a head-to-head wager will be offered; and (2) Which horses in each race are the selections for the head-to-head wager. C. Races in which a head-to-head wager is offered shall be: (1) Approved by the Commission; and (2) Clearly designated in the program. D. Horses coupled as a betting entry or horses coupled to constitute a mutual field may not constitute one of the selections in a head-to-head wager. E. A head-to-head wager is not a parlay and has no connection with, or relation to, any other pari-mutuel pool. F. A head-to-head wagering pari-mutuel pool shall be considered a regular pari-mutuel pool for the purposes of takeout and the allocation of takeout. G. Repealed. H. The entire head-to-head wagering pool shall be refunded if: (1) One of the designated horses is scratched or declared a nonstarter by the stewards; (2) A dead heat occurs between the two horses designated for the head-to-head wager; or (3) Both designated horses fail to finish the race. I. The rules pertaining to a head-to-head wager shall be: (1) Prominently displayed in the wagering area; and (2) Made available to anyone requesting a copy. #### Regulation .84 Pick (n). *COMAR 09.10.01.84* A. The Pick (n) is a type of bet encompassing four or more races, the exact number of races being determined by the number substituted for (n). In Pick (n), a bettor selects a betting interest to finish not lower than the position specified for this bet by the racing association for each of the races comprising the bet. B. A Pick (n) bet shall be refunded if: (1) For any reason, 50 percent or more of the races scheduled as a part of this bet are cancelled or declared a “no contest”; or (2) No bet qualifies for a payoff under the provisions of §D, E, or F(1) of this regulation, and the provisions of §H of this regulation have not been invoked. C. If one or more of the races scheduled as part of the Pick (n) bet, but fewer than the number specified under §B(1) of this regulation, are cancelled or declared a “no contest”, the net pool on the Pick (n) bet from that day only shall be distributed, on a pari-mutuel basis, among the bets which contain the most correct selections for the races which were run. D. Except as provided in §C or D of this regulation, the net pool created under a Pick (n) bet, along with any carryover from previous pools of the same type of bet, shall be distributed on a pari-mutuel basis among bets which contain: (1) All the correct selections; or (2) The most correct selections, if: (a) No bet contains all the correct selections; and (b) The racing association has given prior notice that there will be a mandatory distribution of the carryover. E. If no bet contains all the correct selections in accordance with §D(1) of this regulation, and §D(2) of this regulation has not been invoked, the net pool created under a Pick (n) bet shall be divided into two pools, where: (1) One pool shall be distributed among those bets which contain the most correct selections; and (2) The other pool shall be carried over to the next program to offer this type of bet. F. The formula for allocating the net pool among the two pools created under §E of this regulation shall be: (1) Established by the racing association; and (2) Maintained as established, until: (a) A bet contains all the correct selections; or (b) The carryover pool is distributed in accordance with the provisions of §D(2) of this regulation. G. Assignment of Entire Net Pool. (1) Upon giving prior notice, a racing association may conduct a Pick (n) for which the entire net pool created by this bet may only be distributed to bets which contain all the correct selections. (2) If the racing association elects to employ the provisions of §G(1) of this regulation, the association shall continue to employ these provisions until the pool created by employing these provisions, including the carryover pool, if any, has been distributed. H. If a dead heat or heats occur involving horses finishing in, or higher than, any of the places for which this bet is offered, a horse in a dead heat shall be considered as finishing in the position for which it dead heated. I. If there is more than one combination of winning bets, the aggregate dollars bet on the winning combinations shall be used to calculate the will pay without regard to the amount bet on one winning combination in relation to the amount bet on another winning combination. J. If a betting interest is scratched, excused, or determined by the judges to be a nonstarter: (1) The actual favorite, as evidenced by the amounts bet in the win pool when betting on the race in which the scratched betting interest was to participate is closed, shall be substituted for that betting interest; (2) If the amount bet in the win pool is identical on two or more favorites when betting on the race is closed, the favorite with the lowest program number shall be substituted for the scratched betting interest; or (3) Alternatively, the association may allow patrons the option of selecting an alternate wagering interest to be substituted for the scratched, excused or nonstarter wagering interest instead of the actual favorite as defined above, however, should that alternate selection also be scratched, the patron would then receive the actual favorite as defined above. K. If one or more of the races comprising the Pick (n) is a turf race and the race is switched from the turf to the main track after the close of wagering for the Pick (n), each selection in that race on a Pick (n) pari-mutuel ticket shall be considered a winning selection. #### Regulation .85 Quad Trifecta. *COMAR 09.10.01.85* A. In this regulation, the following terms have the meanings indicated: (1) “Racing association” means the racing association in the State conducting Quad Trifecta wagering. (2) “Net Quad Trifecta pool” means the total amount wagered in the Quad Trifecta pool, except for any carryover generated from previous Quad Trifecta wagering, less the appropriate take-out. (3) “Single price pool” means the method of determining a pay-off price where the aggregate winning tickets are divided into all, or a designated percentage, of the Net Quad Trifecta pool with each winning ticket having the same pay-off price per unit wager. B. The Quad Trifecta is a type of bet in which a bettor selects three different betting interests to finish first, second, and third, in exact order, in each of four designated races. C. The four races which comprise the Quad Trifecta: (1) Shall be designated by the racing association; (2) Shall be clearly designated in the program; and (3) May originate from one or more race tracks. D. The Quad Trifecta pool shall be held entirely separate from all other pools. E. Subject to Commission approval, the racing association shall establish the minimum amount for a bet on the Quad Trifecta. F. Quad Trifecta tickets shall be clearly identified to distinguish them from tickets for other types of wagers. G. Designation and Distribution of Shares—General. (1) Subject to Commission approval, the racing association shall designate a major share of the net Quad Trifecta pool, as described in §H of this regulation, and, in addition, may designate one or more of the following: (a) A principal minor share of the net Quad Trifecta pool, as described in §I of this regulation; and (b) One or more additional minor shares of the net Quad Trifecta pool as described in §J of this regulation. (2) Subject to Commission approval, the racing association shall determine the distribution of the net Quad Trifecta pool by designating: (a) The minimum number of correct selections, or range of selections, of the first three finishers, in exact position, in the Quad Trifecta races which results in a winning bet; and (b) The percentage of the net Quad Trifecta pool for distribution of each of the shares designated by the racing association under §G(1) of this regulation. (3) The racing association shall publish in the program for live racing on which Quad Trifecta wagering is conducted: (a) Each designation made by a racing association under §G(1) of this regulation; and (b) Each determination made by the racing association under §G(2) of this regulation. (4) The racing association may change one or more of its designations or determinations made under either §G(1) or (2) of this regulation. (5) A change under §G(4) of this regulation is not effective until: (a) There has been a mandatory distribution made under §S of this regulation; and (b) There is a publication of the change in the next program for live racing on which Quad Trifecta wagering is conducted. H. Major Share Distributions. The major share of the net Quad Trifecta pool, plus any Quad Trifecta pool carryover, shall be distributed, as a single price pool, to those bettors who correctly select: (1) The first three finishers, in exact position, in each of the Quad Trifecta races; or (2) A lesser specified number of finishers, in exact position, in each of the Quad Trifecta races. I. Principal Minor Share Distributions. (1) A principal minor share of the net Quad Trifecta pool, if designated, shall be distributed, as a single price pool, to those bettors who correctly select the greatest number of the first three finishers, in exact position, in each of the Quad Trifecta races, which is less than the number of correct selections qualifying for the major share of the net Quad Trifecta pool. (2) In designating the principal minor share, the racing association may declare a minimum number of correct selections that must be made in order for bettors to be eligible to receive the principal minor share. J. Additional Minor Share Distributions. One or more additional minor shares of the net Quad Trifecta pool, if designated, shall be distributed, as a single price pool or pools, to those bettors who correctly select the designated number, or range, of the first three finishers, in exact position, in each of the Quad Trifecta races, which is less than the number of correct selections qualifying for the major share of the net Quad Trifecta pool. K. Qualification for Additional Distributions. (1) Those bettors qualifying for a major share of the net Quad Trifecta pool also qualify for the principal minor share of the net Quad Trifecta pool and the additional minor shares of the net Quad Trifecta pool. (2) Those bettors qualifying for the principal minor share of the net Quad Trifecta pool also qualify for any additional minor shares of the net Quad Trifecta pool that require an equal or fewer number of winning selections as those selected by bettors qualifying for the principal minor share. (3) Those bettors qualifying for one or more minor shares of the net Quad Trifecta pool also qualify for any additional minor shares of the net Quad Trifecta pool that require fewer winning selections. (4) If any of the circumstances described in §K(1), (2), or (3) of this regulation occurs, the unbroken prices for each share shall be summed before rounding the prices for breakage. (5) Example. (a) To win the major share of the net Quad Trifecta pool, the bettor must correctly select the first three finishers, in exact position, in each of the Quad Trifecta races. To win the principal minor share, the bettor must correctly select the greatest number of the first three finishers, in exact position, in each of the Quad Trifecta races that is less than all 12. To win the one additional minor share, the bettor must correctly select at least nine or more of the first three finishers, in exact position, in each of the Quad Trifecta races. (b) $2 of wagers correctly selected all 12 positions. $2 of wagers correctly selected 11 positions. $3 of wagers correctly selected ten positions. $5 of wagers correctly selected nine positions. (c) Using a net Quad Trifecta pool of $132,001, and based on the racing association's designations under §G of this regulation, the major share of the net Quad Trifecta pool is $100,000, designated for correctly selecting all 12 of the first three finishers, in exact order, in each of the Quad Trifecta races. The principal minor share of the net Quad Trifecta pool, designated for correctly selecting the next greatest number of the first three finishers, in exact order, in each of the Quad Trifecta races, is $20,000.40. The one additional minor share of the net Quad Trifecta pool, designated for correctly selecting a range of nine or more of the first three finishers, in exact order, in each of the Quad Trifecta races, is $12,000.60. (d) The major share would be divided among those correctly selecting all 12 of the first three finishers, in exact order, in each of the Quad Trifecta races. The principal minor share would be divided among those correctly selecting 11 and 12 of the first three finishers, in exact order, in each of the Quad Trifecta races. The one additional minor share would be divided among all the wagers correctly selecting nine, ten, 11, and 12 of the first three finishers, in exact order, in each of the Quad Trifecta races. (e) The major share of $100,000 would be divided among the $2 of wagers correctly selecting all 12 of the first three finishers, in exact order, in each of the Quad Trifecta races, yielding an unbroken price of $50,000 per dollar wagered. The principal minor share of $20,000.40 would be divided among the $4 of wagers correctly selecting 11 or more of the first three finishers, in exact order, in each of the Quad Trifecta races, yielding an unbroken price of $5,000.10 per dollar wagered. The one additional minor share of $12,000.60 would be divided among the $12 of wagers correctly selecting nine or more of the first three finishers, in exact order, in each of the Quad Trifecta races, yielding an unbroken price of $1,000.05 per dollar wagered. (f) The sum of $50,000 + $5,000.10 + $1,000.05 = $56,000.15 is the combined unbroken price for correctly choosing all 12 of the first three finishers, in exact order, in each of the Quad Trifecta races. The sum of $5,000.10 + $1,000.05 = $6,000.15 is the combined unbroken price for correctly choosing 11 of the first three finishers, in exact order, in each of the Quad Trifecta races. $1,000.05 is the unbroken price for correctly selecting nine or ten of the first three finishers, in exact order, in each of the Quad Trifecta races. (g) If the rounding for breakage is to the next lower 10 cents, the final broken prices are $56,000.10 for the winners of the major share, $6,000.10 for the winners of the principal minor share, and $1,000 for the winners of the one additional minor share. L. Except as provided in §§R and S of this regulation: (1) If there are no wagers qualifying for the major share, the major share of the net Quad Trifecta pool shall be carried over and added to the major share of the net Quad Trifecta pool on the next live racing program of the race meeting on which Quad Trifecta wagering is conducted; and (2) If there are no wagers qualifying for a designated minor share, including a designated principal minor share: (a) The minor share of the net Quad Trifecta pool shall be combined with the major share of the net Quad Trifecta pool for distribution as a single price pool to those who qualified for the major share; or (b) If no bettor qualifies for the major share of the net Quad Trifecta pool, the minor share of the net Quad Trifecta pool shall be carried over and added to the major share of the net Quad Trifecta pool on the next live racing program of the race meeting on which Quad Trifecta wagering is conducted. M. Fields are prohibited in any of the four designated Quad Trifecta races. N. Coupled Entries. (1) Coupled entries may be permitted in any of the four designated Quad Trifecta races. (2) Horses comprising a coupled entry shall be considered part of a single betting interest for the purposes of price calculations and distribution of the net Quad Trifecta pool. (3) If a horse in a coupled entry is officially withdrawn or scratched, the remaining horse, or horses, in the coupled entry shall remain as a valid betting interest. (4) If all horses in a coupled entry are scratched, the provisions of §Q of this regulation shall apply. (5) Coupled Entries Price Calculations. (a) For the purposes of price calculations only, coupled entries shall be calculated as a single finishing horse, using the finishing position of the leading horse in the coupled entry to determine the order of placing. (b) Example. If the actual order of finish in a race is 1 / 2 / 1A / 3 / 4, then the finishers used for that race in the Quad Trifecta would be 1 / 2 / 3 / 4. O. Dead Heats. If a dead heat, or heats, occur in any of the races designated as the Quad Trifecta: (1) A horse in a dead heat shall be considered as finishing in the position for which it dead heated; (2) Any selection in a Quad Trifecta wager that correctly selects a horse in a dead heat as finishing in the position for which the horse dead heated shall be treated as a correct selection; and (3) Each designated share of the net Quad Trifecta pool that is distributed shall be distributed as a single price pool. P. Wagering for the Quad Trifecta shall close at the same time that wagering is closed on the first designated race of the Quad Trifecta. Q. Scratches. (1) If an entire betting interest is scratched in a designated race of the Quad Trifecta while wagering on the Quad Trifecta is still open: (a) No more wagers selecting that betting interest may be accepted; and (b) Any bettor who previously placed a Quad Trifecta wager that includes one or more scratched betting interests may cancel their wager and receive a refund until Quad Trifecta betting is closed. (2) After Quad Trifecta wagering is closed: (a) Any betting interest that is scratched in its entirety shall be treated as an incorrect selection; and (b) Other correctly selected finishers in a Quad Trifecta wager shall continue to count toward a bettor's eligibility to win. (3) If, due to a late scratch, the number of betting interests in a race comprising the Quad Trifecta is reduced to fewer than three, the race shall be declared a “no contest”, and the Quad Trifecta pool shall be subject to §R of this regulation. R. Cancellations. (1) If any of the Quad Trifecta races are cancelled or declared “no contest” at any time before Quad Trifecta wagering is closed, all Quad Trifecta wagers made in connection with the given live racing program on which Quad Trifecta wagering was conducted shall be refunded. (2) If any of the Quad Trifecta races are cancelled or declared “no contest” after Quad Trifecta wagering is closed: (a) For purposes of determining the number of correct selections, each selection made in a Quad Trifecta race that is cancelled or declared “no contest” is deemed an incorrect selection; (b) If, after applying §R(2)(a) of this regulation, it remains possible for a bettor to correctly select the number of the first three finishers, in exact order, to qualify for the major share of the net Quad Trifecta pool as designated by the racing association under §H of this regulation, the Net Quad Trifecta pool, plus the Quad Trifecta pool carryover, shall be distributed according to §§H, I, and J of this regulation; and (c) If, after applying §R(2)(a) of this regulation, it becomes impossible for a bettor to correctly select the number of the first three finishers, in exact order, to qualify for the major share of the net Quad Trifecta pool as designated by the racing association under §H of this regulation: (i) The major share plus the principal minor share of the net Quad Trifecta pool, but not the Quad Trifecta pool carryover, shall be distributed to those who correctly select the greatest number of the first three finishers in their exact positions in each of the remaining Quad Trifecta races; and (ii) Winners of a designated additional minor share shall receive the percentage of the net Quad Trifecta pool that is designated for that minor share according to §G of this regulation. (3) If the net Quad Trifecta pool has been designated for distribution in accordance with §S of this regulation, the provisions of §S of this regulation shall apply. S. Mandatory Distribution. (1) The Quad Trifecta pool carryover may be designated for distribution on a specified date: (a) If it is the closing day of the race meet; (b) If the association declares its intention to do so at least 24 hours before the opening of Quad Trifecta wagering for which there is to be a mandatory distribution; or (c) Upon such other condition the Commission may approve. (2) If the Quad Trifecta pool carryover is designated for a mandatory distribution on a specified date and, on that date, there are no wagers qualifying for the major share, then the following precedence shall be followed in determining winning wagers for the net Quad Trifecta pool and the Quad Trifecta pool carryover: (a) The major share of the net Quad Trifecta pool, the principal minor share of the net Quad Trifecta pool, and the Quad Trifecta pool carryover shall be distributed to those who correctly selected the most finishers, in their exact positions, in the Quad Trifecta races with designated additional minor pools also being awarded; and (b) If there are no wagers which select even one finisher, in its exact position, in the Quad Trifecta races, then all Quad Trifecta wagers shall become winners and share 100 percent of that day's net Quad Trifecta pool and the Quad Trifecta pool carryover. (3) If, for any reason, there is not a mandatory distribution as provided in this section, the Quad Trifecta pool carryover shall be: (a) Deposited in an interest bearing account at a bank located in the State which is approved by the Commission; and (b) With accrued interest, added to the net Quad Trifecta pool of the next race meet held by the racing association. T. Upon Commission approval, a racing association may offer a guaranteed pay-out on Quad Trifecta wagering by: (1) Announcing the amount of the guaranteed pay-out at least 24 hours before the opening of Quad Trifecta wagering for which there is to be a guaranteed pay-out; and (2) Adding monies to the current Quad Trifecta pool carryover in an amount sufficient to satisfy the guaranteed pay-out. U. The added monies under §T(2) of this regulation are not subject to take-out. V. The purchase and acceptance of a Quad Trifecta wager by a bettor shall constitute: (1) An acknowledgment of the correctness of the ticket; and (2) An agreement to be bound by the terms and provisions of this regulation. W. The sale of a Quad Trifecta wager other than from a pari-mutuel wagering machine, and the resale of a Quad Trifecta ticket from one person to another, is prohibited. X. Neither a racing association, nor a totalisator company, nor the Commission, nor the State shall be liable to any person for a Quad Trifecta ticket which is not: (1) A winning wager in accordance with the provisions of this regulation; or (2) Delivered, for any reason, including: (a) A mechanical malfunction; (b) An electrical failure; or (c) A machine locking. Y. This regulation shall be displayed prominently in the betting area of the racing association conducting Quad Trifecta wagering. #### Regulation .86 Super High Five. *COMAR 09.10.01.86* A. The Super High Five is a contract by the purchaser of a ticket combining five horses to finish first, second, third, fourth, and fifth, in that specific order, in a race on which Super High Five wagering is offered. Payment of the ticket shall be made only to the purchaser who has selected the same order of finish as officially posted. B. The Super High Five is not a parlay and has no connection with, or relation to, any other wagering pool. The Super High Five shall be calculated as an entirely separate pool. C. Super High Five tickets shall be sold in $1 denominations or greater. D. Super High Five wagering may be conducted on a race that has at least seven separate wagering interests. E. If there is no pari-mutuel ticket issued that selects the first five finishers in exact order, then the entire net pool shall be: (1) Carried over to the next qualifying race offering Super High Five wagering; and (2) Combined with the Super High Five net pool for that race to determine the applicable payout. F. Distribution. (1) The entire Super High Five net pool plus any carryover shall be distributed on the last day of the race meet by the racing association, which shall hold Super High Five wagering on one race that day. (2) If a ticket is not sold that correctly selects five horses to finish first, second, third, fourth, and fifth, in that specific order, the entire net pool plus any carryover shall be distributed to the holders of tickets that correctly select four horses to finish first, second, third, and fourth, in that specific order. (3) If such a ticket is not sold, the entire net pool plus any carryover shall be distributed to the holders of tickets that correctly select three horses to finish first, second, and third, in that specific order. (4) If such a ticket is not sold, the entire net pool plus any carryover shall be distributed to the holders of tickets that correctly select two horses to finish first and second, in that specific order. (5) If no such ticket is sold, the entire net pool plus any carryover shall be distributed to the holders of tickets that correctly select the winner of the race. (6) If no such ticket is sold, the entire net pool plus any carryover shall be evenly distributed to the holders of all tickets. G. If, for any reason, there is not a mandatory distribution of the Super High Five carryover as provided in §F of this regulation, the Super High Five carryover shall be: (1) Placed into an interest bearing account as approved by the Commission; and (2) With accrued interest, added to the Super High Five pool of the next race meet held by a racing association where Super High Five wagering is conducted, unless otherwise agreed by that racing association and the racing association where the Super High Five pool carryover was generated. H. If a dead heat, or heats, occur in a race on which there is Super High Five wagering: (1) A horse in a dead heat shall be considered as finishing in the position for which it dead heated; and (2) Any selection in a Super High Five wager that correctly selects a horse in a dead heat as finishing in the position for which the horse dead heated shall be treated as a correct selection. I. In the event of a scratch in a Super High Five race: (1) Exchanges may not be made; and (2) All tickets that include the scratched horse shall be refunded. J. Coupled entries are permitted, but fields are prohibited in Super High Five races. K. For price calculations only, coupled entries shall be calculated as a single finishing horse, using the finishing position of the leading horse in the coupled entry to determine the order of placing. Example: If the actual order of finish in a race is 1 / 2 / 1A / 3 / 4, 5, then the finishers used for that race in the Super High Five would be 1 / 2 / 3 / 4 / 5. L. Sale. (1) Super High Five tickets shall be sold only by the licensee through pari-mutuel machines programmed to print all selections on one ticket. (2) Resale of tickets from one individual to another is prohibited and is grounds for ejection. M. This regulation shall be printed in heavy type in a conspicuous place in the program or prominently posted near the betting windows of any association conducting this type of wager. #### Regulation .87 Jockey Challenge. *COMAR 09.10.01.87* A. A jockey challenge event is one in which the Racing Association: (1) Designates the specific races on a racing program that will comprise the event; (2) Designates those jockeys who are scheduled to ride in each of the races comprising the event; and (3) Assigns a number to each of the jockeys participating in these races. B. The number of horses scheduled to participate in each race comprising the event shall be the same or greater than the number of jockeys selected by the Association to participate in the event. C. A racing association conducting a jockey challenge event may offer win and exacta wagering on the event. D. Points. (1) Points shall be awarded to each betting interest according to the finish of the horses in each race comprising the jockey challenge event as follows: (a) 12 points for a first place finisher; (b) 6 points for a second place finisher; (c) 4 points for a third place finisher; and (d) 3 points for a fourth place finisher. (2) If there is a dead heat for any position in one or more of the races comprising this event, the points for the position dead-heated and subsequent position or positions, as appropriate, shall be aggregated and then allocated proportionately for the horses involved in the dead heat. (3) If a horse is scratched or declared a nonstarter in the race and the selected jockey is not reassigned amount, the actual favorite, as evidenced by the amounts wagered in the win pool at the time of the start of that race will be substituted for the non-starting selection. (4) If the rider is reassigned a mount due to a scratch, any points earned in accordance with the scale described in §D(1) of this Regulation by the re-assigned mount shall be credited to the jockey's point score. (5) If a jockey fails to a ride a horse to which the jockey has been assigned for any reason other than a scratch or that horse being declared a “non-starter,” and the jockey is not reassigned to another mount in that same race, points shall be awarded based upon the finish of the horse to which the jockey originally was assigned. E. Cancellation of Races—“No Race”. (1) If a race in the jockey challenge event is cancelled or declared “No Race”, the winners shall be determined by the points awarded in the remaining races comprising the jockey challenge event. (2) If two or more of the races comprising the jockey challenge event are cancelled or declared “No Race”, the entire jockey challenge event pool shall be refunded. F. After the last race of the jockey challenge event, the points earned by each of the participating jockeys shall be totaled and the betting interest with the: (1) Highest number of points shall be considered to have finished first; and (2) Second highest number of points shall be considered to have finished second. G. Ties. (1) Any ties for the places determined under §F of this regulation shall be considered dead heats. (2) Payout prices for ties determined under §F of this regulation shall be calculated as prescribed in Regulation .70G of this chapter. #### Regulation .88 Pick (n) Jackpot. *COMAR 09.10.01.88* A. The Pick (n) Jackpot is a type of bet encompassing five or more races, the exact number of races being determined by the number substituted for (n), where, unless otherwise provided, only one, unique ticket holder designates the official winners in each of the Pick (n) Jackpot races. B. Except as provided in §G of this regulation, the net pari-mutuel pool for the Pick (n) Jackpot bet that day, together with any carryover from previous pools of the same type of bet, shall be distributed to the holder of the one, unique pari-mutuel ticket which correctly designates the official winners in each of the Pick (n) Jackpot races for that day. C. In the event there is more than one pari-mutuel ticket which correctly designates the official winners in each of the Pick (n) Jackpot races for that day, the net pari-mutuel pool for the Pick (n) Jackpot bets that day shall be distributed: (1) 60 percent, equally, to the holders of pari-mutuel tickets which correctly designate the official winners in each of the Pick (n) Jackpot races for that day; and (2) 40 percent to the Pick (n) Jackpot carryover pool. D. In the event there is no pari-mutuel ticket which correctly designates the official winners in each of the Pick (n) Jackpot races for that day, the net pari-mutuel pool for the Pick (n) Jackpot bets that day shall be distributed: (1) 60 percent, equally, to the holders of pari-mutuel tickets which correctly designate the most official winners in each of the Pick (n) Jackpot races for that day; and (2) 40 percent to the Pick (n) Jackpot carryover pool. E. If one or more of the races scheduled as part of the Pick (n) Jackpot bet, but less than 50 percent of the races scheduled as part of this bet, are cancelled or declared a “no contest”: (1) The net pari-mutuel pool for the Pick (n) Jackpot bets that day shall be distributed, equally, to the holders of pari-mutuel tickets which correctly designate the most official winners in the races that were run; and (2) There shall be no carryover from that net pool. F. A Pick (n) Jackpot bet shall be refunded if: (1) For any reason, 50 percent or more of the races scheduled as a part of this bet are cancelled or declared a “no contest”; or (2) No bet selects any winner in the Pick (n) Jackpot races. G. Mandatory Distribution. (1) The Pick (n) Jackpot carryover pool may be designated for mandatory distribution on a specified date: (a) If it is the closing day of the race meet; (b) If the association declares its intention to do so at least 72 hours before the opening of Pick (n) Jackpot wagering for which there is to be a mandatory distribution; or (c) Upon such other condition the Commission may approve. (2) If the Pick (n) Jackpot carryover pool is designated for a mandatory distribution on a specified date and, on that date, there is no unique winning ticket holder under §B of this regulation, then the following precedence shall be followed in determining winning wagers for the mandatory distribution of both the net Pick (n) Jackpot pool for that day and the Pick (n) Jackpot carryover pool: (a) Equally to holders of pari-mutuel tickets which correctly designate all of the official winners in each of the Pick (n) Jackpot races; (b) If there are no pari-mutuel tickets which correctly select all of the official winners in each of the Pick (n) Jackpot races, equally to the holders of pari-mutuel tickets which correctly designate the most official winners in each of the Pick (n) Jackpot races for that day; and (c) If there are no pari-mutuel tickets which correctly select even one winner in the Pick (n) Jackpot races for that day, then all Pick (n) Jackpot wagers shall become winners and share 100 percent of that day’s net Pick (n) Jackpot pool, together with the Pick (n) Jackpot carryover pool. (3) If, for any reason, there is not a mandatory distribution as provided in this section, the Pick (n) Jackpot carryover pool shall be: (a) Deposited in an interest bearing account at a bank located in the State this is approved by the Commission; (b) With accrued interest, added to the net Pick (n) Jackpot pool of the next race meet held by the racing association or an affiliated racing association; and (c) Distributed as a mandatory distribution on the next occasion Pick (n) Jackpot wagering is offered by the racing association or an affiliated racing association. H. Races Moved from Turf to Main Track. If one or more of the races comprising the Pick (n) Jackpot is moved from the turf to the main track after the close of wagering for the Pick (n) Jackpot, each selection on a Pick (n) Jackpot ticket for that race shall be considered a winning selection. I. If there is a dead heat for win in any of the Pick (n) Jackpot races, each horse in the dead heat shall be deemed to have won the race. J. If a betting interest is scratched, excused, or determined by the judges to be a nonstarter: (1) The actual favorite, as evidenced by the amounts bet in the win pool when betting on the race in which the scratched betting interest was to participate is closed, shall be substituted for that betting interest; (2) If the amount bet in the win pool is identical on two or more favorites when betting on the race is closed, the favorite with the lowest program number shall be substituted for the scratched betting interest; or (3) Alternatively, the association may allow patrons the option of selecting an alternate wagering interest to be substituted for the scratched, excused or nonstarter wagering interest instead of the actual favorite as defined above, however, should that alternate selection also be scratched, the patron would then receive the actual favorite as defined above. K. Coupled entries shall be permitted in races designated for Pick (n) Jackpot wagering. L. The purchase and acceptance of a Pick (n) Jackpot wager by a bettor shall constitute: (1) An acknowledgment of the correctness of the ticket; and (2) An agreement to be bound by the terms and provisions of this regulation. M. The sale of a Pick (n) Jackpot wager other than from a pari-mutuel wagering machine, and the re-sale of a Pick (n) Jackpot ticket from one person to another, is prohibited. N. Neither a racing association, nor a totalizator company, nor the Commission, nor the State shall be liable to any person for a Pick (n) Jackpot ticket which is not: (1) A winning wager in accordance with the provisions of this regulation; or (2) Delivered, for any reason, including: (a) A mechanical malfunction; (b) An electrical failure; or (c) A machine locking. O. This regulation shall be displayed prominently in the betting area of the racing association conducting Pick (n) Jackpot wagering. #### Regulation .89 Roulette Wager. *COMAR 09.10.01.89* A. The Roulette Wager shall be held as a separate pool in every race in which it is offered. It is a single-price pool that requires the selection of the designated group that includes the betting interest member that is the first-place finisher for a single contest. B. For each race in which this wager is offered: (1) The association shall designate each betting interest as a member of one of three clearly named groups: Red. Black, or Green; (2) The pool shall be distributed as a single-price pool to those correctly selecting the group that includes the betting interest member that finished in first place in that contest; and (3) The association shall, before betting is open, provide to the public, in an easily accessible manner, the identity of the members of Groups Red, Black, and Green. The information will be available in the program and on graphics displays. C. The payout for a winning Roulette Wager shall be the same regardless of which betting interest member of the group is the firstplace finisher. The probable and actual payoff for a winning bet on Groups Red, Black, and Green shall be displayed in a similar manner as the probable and actual payout for a standard win pool bet. D. In the event that all of the betting interest members of any group are scratched or declared nonstarters, betting on the Group shall immediately stop and all Roulette Wagers made on the race shall be refunded. E. In the event of a dead heat for first in a race which includes two or more betting interest members: (1) Of the same group, the pool shall be distributed in the same manner as if a no dead heat occurred; (2) Of two different groups, the pool shall be distributed as a place pool; or (3) If there is a triple dead heat with three different groups, the pool shall be distributed as a show pool. F. If the calculation or distribution of the pool cannot be determined, the entire pool shall be refunded. G. The wager will only take place on a race with a minimum sixhorse field. H. The wager shall be a $2 minimum bet. I. The takeout may not exceed the amount permitted under Business Regulation Article, §11-514, Annotated Code of Maryland. #### Regulation .90 Future Wager. *COMAR 09.10.01.90* A. The Future Wager requires selection of the first-place finisher in a specified contest. B. The association shall apply in writing to the Commission for approval to offer the Future Wager on the specified contest and may not offer the wager until Commission approval has been granted. The written application shall include the date and time for the pool to be opened and closed, a description of the system for compiling the pool and calculating odds and payout prices, and the time interval for displaying the odds. C. The association or, in the case of interjurisdictional common pool wagering, the Host track shall name the contestants included in each betting interest on which future wagers may be made and shall assign a program number to each betting interest. For purposes of clarity, the foregoing permits the association to offer the type of wager described in this section on a race which is conducted at a racetrack in a different jurisdiction than the association with such jurisdictional racetrack’s permission. D. The amount wagered on the betting interest which finishes first in the specified race is deducted from the net pool, the balance remaining being the profit; the profit is divided by the amount wagered on the betting interest finishing first, such quotient being the profit per dollar wagered in the Future Pool on that betting interest. E. The net Future Pool shall be distributed as a single price pool to winning wagers in the following precedence, based upon the official order of finish: (1) To those whose selection finished first; but if there are no such wagers, then (2) To those whose selection finished second; but if there are no such wagers, then (3) To those whose selection finished third; but if there are no such wagers, then (4) The entire pool shall be refunded on Future Pool wagers for that contest. F. If there is a dead heat for first involving: (1) Contestants representing the same betting interest, the Future Pool shall be distributed as if no dead heat occurred; or (2) Contestants representing two or more betting interests, the Future Pool shall be distributed as a profit split. G. No refund shall be issued for Future Wager pool wagers on betting interests that do not start or finish the race. If the association becomes aware or is notified that a betting interest is ineligible or unable to start the race and the pool is still open, the association shall immediately close betting on that betting interest. H. The entire Future Wager pool shall be refunded if: (1) The situation described at §E(4) of this regulation occurs; (2) The specified race is declared no contest by the/stewards having jurisdiction over the specified race; (3) The specified race does not occur; or (4) For whatever reason, the Future Wager pool cannot be determined and the payout price cannot be calculated. #### Regulation .91 Jackpot Super High Five. *COMAR 09.10.01.91* A. The Jackpot Super High Five is a contract by the purchaser of a ticket combining five horses to finish first, second, third, fourth, and fifth, in that specific order, in a race on which Jackpot Super High Five wagering is offered, where, unless otherwise provided, only one, unique pari-mutuel ticket holder designates the official order of finish for the first five horses. Payment of the ticket shall be made only to the purchaser of the single, unique pari-mutuel ticket who has selected the same order of finish as officially posted. B. The Jackpot Super High Five is not a parlay and has no connection with, or relation to, any other wagering pool. The Jackpot Super High Five shall be calculated as an entirely separate pool. C. Subject to Commission approval, the racing association shall establish the minimum amount for a bet on the Jackpot Super High Five tickets. D. Jackpot Super High Five wagering may be conducted on a race that has at least seven separate wagering interest. E. Except as provided in §H of this regulation, the net pari-mutuel pool for the Jackpot Super High Five bet on a qualifying race that day, together with any carryover from previous pools of the same type of bet, shall be distributed to the holder of the single, unique pari­mutuel ticket which correctly designates the official order of finish for the first five horses in the Jackpot Super High Five wager for that race on that day. F. In the event there is more than one pari-mutuel ticket which correctly designates the official order of finish for the first five horses in the Jackpot Super High Five bet for that race on that day, the net pari-mutuel pool for the Jackpot Super High Five bets that day shall be distributed: (1) 50 percent, equally, to the holders of pari-mutuel tickets which correctly designate the official order of finish for the first five horses in the Jackpot Super High Five bet for that race on that day; and (2) 50 percent to the Jackpot Super High Five carryover pool. G. If there is no pari-mutuel ticket issued that selects the first five finishers in exact order, then the entire net pool shall be: (1) Carried over to the next qualifying race offering Jackpot Super High Five wagering; and (2) Combined with the Jackpot Super High Five net pool for that race to determine the applicable payout. H. Mandatory Distribution. (1) The entire Jackpot Super High Five net pool plus any carryover shall be distributed on the last day of the race meet by the racing association, which shall hold Jackpot Super High Five wagering on a qualifying race that day. (2) If a ticket is not sold that correctly selects five horses to finish first, second, third, fourth, and fifth, in that specific order, the entire net pool plus any carryover shall be distributed to the holders of tickets that correctly select four horses to finish first, second, third, and fourth, in that specific order. (3) If such a ticket is not sold, the entire net pool plus any carryover shall be distributed to the holders of tickets that correctly select three horses to finish first, second, and third, in that specific order. (4) If such a ticket is not sold, the entire net pool plus any carryover shall be distributed to the holders of tickets that correctly select two horses to finish first and second, in that specific order. (5) If no such ticket is sold, the entire net pool plus any carryover shall be distributed to the holders of tickets that correctly select the winner of the race. (6) If no such ticket is sold, the entire net pool plus any carryover shall be evenly distributed to the holders of all tickets. I. If, for any reason, there is not a mandatory distribution of the Jackpot Super High Five carryover as provided in §H of this regulation, the Jackpot Super High Five carryover shall be: (1) Placed into an interest bearing account as approved by the Commission; and (2) With accrued interest, added to the Jackpot Super High Five pool of the next race meet held by a racing association where Jackpot Super High Five wagering is conducted, unless otherwise agreed by that racing association and the racing association where the Jackpot Super High Five pool carryover was generated. J. If fewer than five betting interests finish and the contest is declared official, payoffs will be made based on the order of finish of those betting interests completing the contest. The balance of any selection on any ticket beyond the number of betting interests completing the contest shall be ignored. Any previous Jackpot Super High Five contest’s carryover will not be included in the payoff and will be retained for the next contest’s carryover. K. If a dead heat, or heats, occur in a race on which there is Jackpot Super High Five wagering: (1) A horse in a dead heat shall be considered as finishing in the position for which it dead heated; and (2) Any selection in a Jackpot Super High Five wager that correctly selects a horse in a dead heat as finishing in the position for which the horse dead heated shall be treated as a correct selection. L. In the event of a scratch in a Jackpot Super High Five race: (1) Exchanges may not be made; and (2) All tickets that include the scratched horse shall be refunded. M. Coupled entries are permitted, but fields are prohibited in Jackpot Super High Five races. N. For price calculations only, coupled entries shall be calculated as a single finishing horse, using the finishing position of the leading horse in the coupled entry to determine the order of placing. Example: If the actual order of finish in a race is 1 / 2 / 1A / 3 / 4, 5, then the finishers used for that race in the Super High Five would be 1 / 2 / 3 / 4 / 5. O. Sale. (1) Jackpot Super High Five tickets shall be sold only by the licensee through pari-mutuel machines programmed to print all selections on one ticket. (2) Resale of tickets from one individual to another is prohibited and is grounds for ejection. P. This regulation shall be printed in heavy type in a conspicuous place in the program or prominently posted near the betting windows of any association conducting this type of wager. ### Chapter 02 — Harness Racing **Authority:** Business Regulation Article, §§11-210 and 11-634, Annotated Code of Maryland **Administrative History:** Effective date: All rules were in effect on 7/1/70, unless otherwise noted below: **Administrative History:** Regulation .01 amended as an emergency provision effective October 16, 1984 (11:22 Md. R. 1895); emergency status expired April 16, 1985; adopted permanently effective May 20, 1985 (12:10 Md. R. 960) **Administrative History:** Regulation .02 amended effective March 30, 1977 (4:7 Md. R. 579) **Administrative History:** Regulation .02C amended effective 6/15/79 (6:12 Md. R. 1048); repealed effective June 7, 1982 (9:11 Md. R. 1127) **Administrative History:** Regulation .03E: 8/3/72 **Administrative History:** Regulation .03P amended effective July 27, 1987 (14:15 Md. R. 1659) **Administrative History:** Regulation .03U amended effective January 2, 1984 (10:26 Md. R. 2340) **Administrative History:** Regulation .03W: 7/8/71 **Administrative History:** Regulation .03X adopted effective 6/15/79 (6:12 Md. R. 1048) **Administrative History:** Regulation .03Y adopted as an emergency provision effective January 23, 1990 (17:3 Md. R. 294); emergency status expired March 31, 1990; adopted permanently effective June 11, 1990 (17:11 Md. R. 1342) **Administrative History:** Regulation .04 repealed effective 1/1/78 (4:7 Md. R. 579) **Administrative History:** Regulation .07 amended effective 6/15/79 (6:12 Md. R. 1049) **Administrative History:** Regulation .08-1 adopted effective May 19, 1978 (5:10 Md. R. 781) **Administrative History:** Regulation .09K adopted effective March 30, 1977 (4:7 Md. R. 579) (adopted as COMAR 09.10.209.02) **Administrative History:** Regulation .10G adopted effective January 7, 1991 (17:26 Md. R. 2975) **Administrative History:** Regulation .11A amended effective March 30, 1977 (4:7 Md. R. 579) **Administrative History:** Regulation .11D amended 4/6/74; amended 4/16/75 (2:8 Md. R. 564); amended effective 9/23/77 (4:19 Md. R. 1467); 6/15/79 (6:12 Md. R. 1049); October 17, 1980 (7:21 Md. R. 1994); October 17, 1980 (7:21 Md. R. 1994); August 26, 1985 (12:17 Md. R. 1705) **Administrative History:** Regulation .11G amended as an emergency provision effective June 9, 1987 (14:14 Md. R. 1564) (Emergency provisions are temporary and not printed in COMAR) **Administrative History:** Regulation .11G amended effective 6/15/79 (6:12 Md. R. 1049); October 17, 1980 (7:21 Md. R. 1994); October 19, 1987 (14:21 Md. R. 2223); June 11, 1990 (17:11 Md. R. 1342) **Administrative History:** Regulation .11K adopted effective August 26, 1985 (12:17 Md. R. 1704); amended effective March 24, 1986 (13:6 Md. R. 681); March 6, 1989 (16:4 Md. R. 496) **Administrative History:** Regulation .11L adopted effective June 11, 1990 (17:11 Md. R. 1342) **Administrative History:** Regulation .12 amended effective October 6, 1978 (5:20 Md. R. 1499) **Administrative History:** Regulation .14C adopted effective March 30, 1977 (4:7 Md. R. 579) (adopted as COMAR 09.10.213.03) **Administrative History:** Regulation .15I adopted effective November 16, 1987 (14:23 Md. R. 2413) **Administrative History:** Regulation .17B amended effective May 19, 1978 (5:10 Md. R. 781) **Administrative History:** Regulation .19A amended effective January 1, 1978 (4:7 Md. R. 579) **Administrative History:** Regulation .21 amended as an emergency provision effective March 16, 1976 (3:8 Md. R. 424) **Administrative History:** Regulation .21 amended effective March 30, 1977 (4:7 Md. R. 579); January 7, 1982 (8:26 Md. R. 2105) **Administrative History:** Regulation .22 amended as an emergency provision effective May 24, 1989 (16:10 Md. R. 1101); emergency status extended at 16:23 Md. R. 2503 **Administrative History:** Regulation .22A amended effective October 15, 1990 (17:20 Md. R. 2425) **Administrative History:** Regulation .24A amended effective March 24, 1986 (13:6 Md. R. 681) **Administrative History:** Regulation .24B repealed effective March 30, 1977 (4:7 Md. R. 579) **Administrative History:** Regulation .24B adopted effective May 19, 1986 (13:10 Md. R. 1155) **Administrative History:** Regulation .24I amended effective February 28, 1983 (10:4 Md. R. 315) **Administrative History:** Regulation .25A amended effective 6/15/79 (6:12 Md. R. 1049) **Administrative History:** Regulation .31B: 8/14/71 **Administrative History:** Regulation .34 amended effective June 15, 1979 (6:12 Md. R. 1049); December 30, 1985 (12:26 Md. R. 2544) **Administrative History:** Regulation .35 repealed effective July 10, 1989 (16:13 Md. R. 1420) **Administrative History:** Regulation .36 repealed effective December 30, 1985 (12:26 Md. R. 2544) **Administrative History:** Regulation .37B amended effective 3/30/77 (4:7 Md. R. 579) **Administrative History:** Regulation .37F adopted effective December 30, 1985 (12:26 Md. R. 2544) **Administrative History:** Regulation .39I amended 9/9/74 (1:1 Md. R. 16) **Administrative History:** Regulation .41C repealed effective March 30, 1977 (4:7 Md. R. 579) **Administrative History:** Regulation .41G: 7/21/76 (3:15 Md. R. 790) **Administrative History:** Regulation .41J adopted as an emergency provision effective April 12, 1985 (12:9 Md. R. 806); emergency status expired September 1, 1985 **Administrative History:** Regulation .41J, K adopted effective October 7, 1985 (12:20 Md. R. 1924) **Administrative History:** Regulation .42: 10/29/75 (2:24 Md. R. 1481) **Administrative History:** Regulation .42: 7/21/76 (3:15 Md. R. 790) **Administrative History:** Regulation .43A—K: 7/22/72 **Administrative History:** Regulation .43C, F, L amended effective May 19, 1978 (5:10 Md. R. 781) **Administrative History:** Regulation .43L: 7/22/72; amended 5/1/74 **Administrative History:** Regulation .43M: 7/22/72 **Administrative History:** Regulation .43 amended effective January 28, 1985 (12:2 Md. R. 137); June 30, 1986 (13:13 Md. R. 1491); January 1, 1988 (14:26 Md. R. 2744); March 18, 1991 (18:5 Md. R. 594) **Administrative History:** Regulation .45C amended effective March 30, 1977 (4:7 Md. R. 579) **Administrative History:** Regulation .45F amended effective December 30, 1985 (12:26 Md. R. 2544) **Administrative History:** Regulation .49: 9/9/71 **Administrative History:** Regulation .50: 9/23/74 (1:1 Md. R. 16) **Administrative History:** Regulation .50C amended as an emergency provision effective March 9, 1978 (5:6 Md. R. 463); adopted permanently effective July 19, 1978 (5:14 Md. R. 1137) **Administrative History:** Regulation .52 adopted effective November 2, 1979 (6:22 Md. R. 1778); repealed effective December 20, 1982 (9:25 Md. R. 2479) **Administrative History:** Regulation .52 adopted as an emergency provision effective May 19, 1986 (13:12 Md. R. 1370); adopted permanently effective October 20, 1986 (13:21 Md. R. 2320) **Administrative History:** Regulation .53 adopted effective January 7, 1982 (8:26 Md. R. 2106); amended effective January 28, 1985 (12:2 Md. R. 137); June 30, 1986 (13:13 Md. R. 1491); January 1, 1988 (14:26 Md. R. 2744); May 15, 1989 (16:9 Md. R. 994); September 4, 1989 (16:17 Md. R. 1884); February 4, 1991 (18:2 Md. R. 149); March 18, 1991 (18:5 Md. R. 594) **Administrative History:** Regulation .54 adopted effective July 30, 1984 (11:15 Md. R. 1329); amended effective May 19, 1986 (13:10 Md. R. 1155) **Administrative History:** Regulation .55 adopted effective March 25, 1985 (12:6 Md. R. 595) **Administrative History:** Regulation .56 adopted as an emergency provision effective January 14, 1987 (14:2 Md. R. 124); emergency status expired May 15, 1987; adopted permanently effective July 27, 1987 (14:15 Md. R. 1660) **Administrative History:** Regulation .57 adopted as an emergency provision effective March 31, 1989 (16:8 Md. R. 904); emergency status expired October 31, 1989 **Administrative History:** Regulation .57 adopted as an emergency provision effective May 25, 1990 (17:14 Md. R. 1754); emergency status expired November 25, 1990 (Emergency provisions are temporary and not printed in COMAR) **Administrative History:** Chapter revised effective May 27, 1991 (18:10 Md. R. 1116) **Administrative History:** Regulation .01 amended effective January 16, 2006 (33:1 Md. R. 36) **Administrative History:** Regulation .02A, C, E amended effective May 27, 1991 (18:10 Md. R. 1116) **Administrative History:** Regulations .02—.06 repealed effective April 10, 1995 (22:7 Md. R. 595) **Administrative History:** Regulation .02 adopted effective November 18, 1996 (23:23 Md. R. 1556) **Administrative History:** Regulation .03P amended effective October 1, 1992 (19:17 Md. R. 1656) **Administrative History:** Regulation .07 amended effective August 26, 1996 (23:17 Md. R. 1247) **Administrative History:** Regulation .08B amended effective October 14, 1991 (18:20 Md. R. 2198) **Administrative History:** Regulation .08C-1 adopted effective July 4, 1994 (21:13 Md. R. 1155) **Administrative History:** Regulation .08D amended as an emergency provision effective April 15, 1999 (26:10 Md. R. 793); amended permanently effective August 23, 1999 (26:17 Md. R. 1321) **Administrative History:** Regulation .08D—F amended effective October 12, 1992 (19:20 Md. R. 1814) **Administrative History:** Regulation .08F adopted effective October 7, 1996 (23:20 Md. R. 1421) **Administrative History:** Regulation .08G adopted as an emergency provision effective December 1, 2013 (40:26 Md. R. 2161); adopted permanently effective March 17, 2014 (41:5 Md. R. 342) **Administrative History:** Regulation .08H adopted as an emergency provision effective May 25, 2022 (49:13 Md. R. 686); adopted permanently effective September 19, 2022 (49:19 Md. R. 867) **Administrative History:** Regulations .09 and .10 repealed effective April 10, 1995 (22:7 Md. R. 595) **Administrative History:** Regulation .10G amended effective October 1, 1992 (19:18 Md. R. 1656) **Administrative History:** Regulation .10H adopted effective March 16, 1992 (19:5 Md. R. 576) **Administrative History:** Regulation .11H amended effective October 14, 1991 (18:20 Md. R. 2198) **Administrative History:** Regulation .11K amended as an emergency provision effective September 23, 1991 (18:21 Md. R. 2301); amended permanently effective March 16, 1992 (19:5 Md. R. 576) **Administrative History:** Regulation .11L amended as an emergency provision effective February 15, 1991 (18:5 Md. R. 591); amended permanently effective July 8, 1991 (18:13 Md. R. 1481) **Administrative History:** Regulation .11 repealed effective January 2, 1994 (20:26 Md. R. 2026) **Administrative History:** Regulations .12 and .13 repealed effective April 10, 1995 (22:7 Md. R. 595) **Administrative History:** Regulation .15 amended effective May 10, 1993 (20:9 Md. R. 778); February 13, 1995 (22:3 Md. R. 152); August 26, 1996 (23:17 Md. R. 1247) **Administrative History:** Regulation .16-1 adopted effective January 2, 1994 (20:26 Md. R. 2026) **Administrative History:** Regulation .18 repealed effective April 10, 1995 (22:7 Md. R. 595) **Administrative History:** Regulation .18 adopted effective October 9, 1995 (22:20 Md. R. 1542) **Administrative History:** Regulation .19 amended effective April 10, 1995 (22:7 Md. R. 535); October 20, 1997 (24:21 Md. R. 1448); January 1, 2017 (43:21 Md. R. 1165) **Administrative History:** Regulation .19A amended effective January 1, 1992 (18:25 Md. R. 2750); January 1, 1996 (22:10 Md. R. 706) **Administrative History:** Regulation .19A amended as an emergency provision effective September 14, 1995 (22:20 Md. R. 1539); emergency status expired December 31, 1995; adopted permanently effective January 29, 1996 (23:2 Md. R. 94) **Administrative History:** Regulation .19A, C amended effective October 13, 2014 (41:20 Md. R. 1112) **Administrative History:** Regulations .20 and .21 repealed effective April 10, 1995 (22:7 Md. R. 595) **Administrative History:** Regulation .24 amended effective March 22, 1999 (26:6 Md. R. 484) **Administrative History:** Regulation .24B amended effective October 9, 1995 (22:20 Md. R. 1542) **Administrative History:** Regulation .24I amended effective March 16, 1992 (19:5 Md. R. 576) **Administrative History:** Regulation .25B amended effective March 22, 1999 (26:6 Md. R. 484); March 23, 2020 (47:6 Md. R. 341) **Administrative History:** Regulation .25B amended as an emergency provision effective May 25, 2022 (49:13 Md. R. 686); amended permanently effective September 19, 2022 (49:19 Md. R. 867) **Administrative History:** Regulation .26 amended effective May 10, 1993 (20:9 Md. R. 778) **Administrative History:** Regulation .28 repealed effective February 24, 1997 (24:4 Md. R. 291) **Administrative History:** Regulation .29 repealed effective April 10, 1995 (22:7 Md. R. 595) **Administrative History:** Regulation .31 repealed effective April 10, 1995 (22:7 Md. R. 595) **Administrative History:** Regulation .33B amended effective December 18, 1995 (22:25 Md. R. 1961) **Administrative History:** Regulation .33H amended effective May 22, 1995 (22:10 Md. R. 706); November 27, 2000 (27:23 Md. R. 2147); March 4, 2002 (29:4 Md. R. 416); September 19, 2022 (49:19 Md. R. 867) **Administrative History:** Regulation .33I amended effective May 22, 1995 (22:10 Md. R. 706) **Administrative History:** Regulation .33J adopted as an emergency provision effective April 24, 1992 (19:8 Md. R. 800); adopted permanently effective September 14, 1992 (19:18 Md. R. 1656) **Administrative History:** Regulation .36 adopted effective March 1, 1995 (21:26 Md. R. 2185) **Administrative History:** Regulation .36D amended effective January 16, 2006 (33:1 Md. R. 36) **Administrative History:** Regulation .37A—F amended and I, J adopted effective October 24, 1994 (21:21 Md. R. 1813) **Administrative History:** Regulation .37D repealed effective August 26, 1996 (23:17 Md. R. 1247) **Administrative History:** Regulation .37H amended effective September 27, 1993 (20:19 Md. R. 1471) **Administrative History:** Regulation .39 repealed and new Regulation .39 adopted effective January 29, 1996 (23:2 Md. R. 94) **Administrative History:** Regulation .39B amended effective July 29, 1996 (23:15 Md. R. 1087) **Administrative History:** Regulation .40 amended effective February 17, 1992 (19:3 Md. R. 303) **Administrative History:** Regulation .40 repealed effective April 10, 1995 (22:7 Md. R. 595) **Administrative History:** Regulation .41D, E repealed effective April 10, 1995 (22:7 Md. R. 595) **Administrative History:** Regulation .42 repealed effective April 10, 1995 (22:7 Md. R. 595) **Administrative History:** Regulation .43 amended as an emergency provision effective July 1, 1991 (18:14 Md. R. 1604); amended permanently effective September 16, 1991 (18:18 Md. R. 2004) **Administrative History:** Regulation .43A amended effective October 1, 1992 (19:18 Md. R. 1656) **Administrative History:** Regulation .43F-2 and K amended effective October 12, 1992 (19:20 Md. R. 1814) **Administrative History:** Regulation .43L amended effective January 18, 1993 (20:1 Md. R. 26) **Administrative History:** Regulation .43 repealed and new Regulation .43 adopted effective October 6, 1997 (24:20 Md. R. 1403) **Administrative History:** Regulation .43 amended as an emergency provision effective January 1, 2005 (32:1 Md. R. 24); amended permanently effective March 28, 2005 (32:6 Md. R. 635) **Administrative History:** Regulation .43 amended as an emergency provision effective July 20, 2009 (36:17 Md. R. 1309); amended permanently effective November 16, 2009 (36:23 Md. R. 1816) **Administrative History:** Regulation .43 amended effective July 30, 2018 (45:15 Md. R. 724); November 1, 2024 (51:19 Md. R. 854) **Administrative History:** Regulation .43C amended effective December 24, 2012 (39:25 Md. R. 1611) **Administrative History:** Regulation .43E amended effective October 24, 2005 (32:21 Md. R. 1707) **Administrative History:** Regulation .43F amended effective April 16, 2001 (28:7 Md. R. 689); October 24, 2005 (32:21 Md. R. 1707) **Administrative History:** Regulation .43K amended effective September 21, 2009 (36:19 Md. R. 1436); June 8, 2015 (42:11 Md. R. 723); November 19, 2018 (45:23 Md. R. 1070) **Administrative History:** Regulation .43Q amended as an emergency provision effective February 1, 2002 (29:3 Md. R. 213); amended permanently effective May 27, 2002 (29:10 Md. R. 826) **Administrative History:** Regulation .43Q, U amended as an emergency provision effective July 1, 2013 (40:15 Md. R. 1226); amended permanently effective October 14, 2013 (40:20 Md. R. 1651) **Administrative History:** Regulation .43U amended effective May 8, 2006 (33:9 Md. R. 796); June 8, 2015 (42:11 Md. R. 723) **Administrative History:** Regulation .45A amended effective May 22, 1995 (22:10 Md. R. 706) **Administrative History:** Regulation .45F amended as an emergency provision effective July 17, 2006 (33:16 Md. R. 1362); amended permanently effective July 31, 2006 (33:15 Md. R. 1279) **Administrative History:** Regulation .45U amended effective March 16, 1992 (19:5 Md. R. 576) **Administrative History:** Regulation .46B amended effective March 16, 1992 (19:5 Md. R. 576) **Administrative History:** Regulation .50C repealed effective October 9, 2006 (33:20 Md. R. 1615) **Administrative History:** Regulation .50H amended and H-1 adopted as an emergency provision effective May 1, 1992 (19:8 Md. R. 799); amended permanently effective September 14, 1992 (19:18 Md. R. 1656) **Administrative History:** Regulation .50K repealed effective March 13, 1995 (22:5 Md. R. 366) **Administrative History:** Regulation .51 repealed effective March 2, 1999 (26:6 Md. R. 484) **Administrative History:** Regulation .52C repealed effective October 9, 2006 (33:20 Md. R. 1615) **Administrative History:** Regulation .53D amended effective October 12, 1992 (19:20 Md. R. 1814); January 18, 1993 (20:1 Md. R. 26); August 14, 1995 (22:16 Md. R. 1220) **Administrative History:** Regulation .53D and E amended as an emergency provision effective February 7, 1992 (19:4 Md. R. 467); amended permanently effective March 16, 1992 (19:5 Md. R. 576) **Administrative History:** Regulation .53D, G amended as an emergency provision effective July 1, 1991 (18:14 Md. R. 1604); amended permanently effective October 14, 1991 (18:20 Md. R. 2198) **Administrative History:** Regulation .53F amended effective January 18, 1993 (20:1 Md. R. 26) **Administrative History:** Regulation .53G, H amended effective August 17, 1992 (19:16 Md. R. 1473) **Administrative History:** Regulation .53J amended effective October 12, 1992 (19:20 Md. R. 1814) **Administrative History:** Regulation .53J amended as an emergency provision effective May 25, 1995 (22:12 Md. R. 896); emergency status expired September 25, 1995 **Administrative History:** Regulation .53 repealed and new Regulation .53 adopted effective October 6, 1997 (24:20 Md. R. 1403) **Administrative History:** Regulation .53 amended as an emergency provision effective January 1, 2005 (32:1 Md. R. 24); amended permanently effective March 28, 2005 (32:6 Md. R. 636) **Administrative History:** Regulation .53 amended as an emergency provision effective January 1, 2005 (32:1 Md. R. 24) **Administrative History:** Regulation .53 amended as an emergency provision effective July 20, 2009 (36:17 Md. R. 1309); amended permanently effective November 16, 2009 (36:23 Md. R. 1816) **Administrative History:** Regulation .53 amended effective July 30, 2018 (45:15 Md. R. 724); November 1, 2024 (51:19 Md. R. 854) **Administrative History:** Regulation .53C amended as an emergency provision effective February 12, 1998 (25:5 Md. R. 366); amended permanently effective May 4, 1998 (25:9 Md. R. 678) **Administrative History:** Regulation .53D amended effective April 16, 2001 (28:7 Md. R. 689) **Administrative History:** Regulation .53E amended effective March 23, 2020 (47:6 Md. R. 341) **Administrative History:** Regulation .53I amended effective October 24, 2005 (32:21 Md. R. 1707) **Administrative History:** Regulation .53J amended effective April 16, 2001 (28:7 Md. R. 689); October 24, 2005 (32:21 Md. R. 1707) **Administrative History:** Regulation .53O amended effective September 21, 2009 (36:19 Md. R. 1436); June 8, 2015 (42:11 Md. R. 723); November 19, 2018 (45:23 Md. R. 1070) **Administrative History:** Regulation .53T—V amended as an emergency provision effective February 1, 2002 (29:3 Md. R. 213); amended permanently effective May 27, 2002 (29:10 Md. R. 826) **Administrative History:** Regulation .53U amended effective May 8, 2006 (33:9 Md. R. 796) **Administrative History:** Regulation .53U, AA amended as an emergency provision effective July 1, 2013 (40:15 Md. R. 1226); amended permanently effective October 14, 2013 (40:20 Md. R. 1651) **Administrative History:** Regulation .53AA amended effective May 8, 2006 (33:9 Md. R. 796); June 8, 2015 (42:11 Md. R. 723) **Administrative History:** Regulation .53-1 adopted effective October 14, 2013 (40:20 Md. R. 1651) **Administrative History:** Regulation .53-1G amended effective July 30, 2018 (45:15 Md. R. 724); November 19, 2018 (45:23 Md. R. 1070) **Administrative History:** Regulation .54-1 adopted effective October 6, 1997 (24:20 Md. R. 1403) **Administrative History:** Regulation .55C repealed effective October 9, 2006 (33:20 Md. R. 1615) **Administrative History:** Regulation .56C repealed effective October 9, 2006 (33:20 Md. R. 1615) **Administrative History:** Regulation .56Q amended and Q-1 adopted as an emergency provision effective May 1, 1992 (19:8 Md. R. 800); adopted permanently effective September 14, 1992 (19:18 Md. R. 1656) **Administrative History:** Regulation .56T adopted as an emergency provision effective November 6, 1992 (19:24 Md. R. 2124); emergency status expired November 7, 1992 **Administrative History:** Regulation .56 repealed and new Regulation .56 adopted effective November 18, 1996 (23:23 Md. R. 1556) **Administrative History:** Regulation .57 adopted as an emergency provision effective November 15, 1993 (20:25 Md. R. 1936); emergency status expired May 1, 1994 **Administrative History:** Regulation .57 adopted effective February 23, 1998 (25:4 Md. R. 243) **Administrative History:** Regulation .57 amended effective March 20, 2000 (27:5 Md. R. 583); July 9, 2001 (28:13 Md. R. 1215) **Administrative History:** Regulation .57 amended as an emergency provision effective July 17, 2006 (33:16 Md. R. 1362); amended permanently effective July 31, 2006 (33:15 Md. R. 1280) **Administrative History:** Regulation .58 adopted effective February 23, 1998 (25:4 Md. R. 243) **Administrative History:** Regulation .58B repealed effective October 9, 2006 (33:20 Md. R. 1615) **Administrative History:** Regulation .59 adopted effective October 1, 2001 (28:19 Md. R. 1684) **Administrative History:** Regulation .60 adopted effective July 30, 2018 (45:15 Md. R. 724) **Administrative History:** Regulation .60F amended effective May 2, 2022 (49:9 Md. R. 531) **Administrative History:** Regulation .61 adopted effective July 30, 2018 (45:15 Md. R. 724) **Administrative History:** Regulation .62 adopted effective April 19, 2021 (48:8 Md. R. 308) **Administrative History:** Regulation .62H amended effective May 2, 2022 (49:9 Md. R. 531) #### Regulation .01 Rules. *COMAR 09.10.02.01* The Rules and Regulations portion of the “Charter, By-Laws Rules and Regulations of the United States Trotting Association 2005” is incorporated by reference into these rules, but where there is conflict or inconsistency with the numbered Maryland Harness Racing Rules which follow in this chapter, the provisions of the numbered Maryland Harness Racing Rules shall prevail. The rules shall govern harness racing and those licensed for harness racing at all meetings in the State which are licensed by the Commission. #### Regulation .02 Definitions for Pari-Mutuel Betting. *COMAR 09.10.02.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Betting pool” means the accumulated total of all bets of the same type on the same race, or, if the type of bet encompasses more than one race, on the same races. (2) “Breakage” means the remainder of the distributable pool after the will pay is calculated to the lowest multiple of 10 cents. (3) “Carry over” means a net pool, or any portion of it, which is purposefully not distributed and which is to be added to the net pool on the same type of bet whenever that bet next occurs. (4) “Common pool” means the merging of a betting pool at the live site with the same betting pool at locations other than the live site. (5) “Dead heat” means that the noses of two or more horses reached the finish line at the end of a race at the same time. (6) “Distributable pool” means the net pool minus the dollar total of the successful bets. (7) “Entry” means two or more horses grouped as a single betting interest because of the commonality of ownership or the commonality of a trainer. (8) “Established minimum bet” means the smallest dollar amount required to place a particular type of bet which is established by a racing association or regulation. (9) “Exacta” (“Perfecta”) means a type of bet in which the bettor selects two different betting interests to finish first and second in that exact order. (10) “Field” means two or more horses grouped as a single betting interest because the number of separate betting interests in a race exceeds the maximum number of separate betting interests capable of being displayed on the totalisator board. (11) “Live ticket” means a validly issued pari-mutuel ticket on an event which: (a) Has not been run; or (b) As a result of the event having been run, has had a value ascribed to the ticket, and the time period for the ticket's redemption has not expired. (12) “Minimum pay” means a will pay in the amount of $1.05 per $1 bet. (13) “Minus pool” means the amount by which the total minimum pay for all successful bets exceeds the distributable pool. (14) “Net common pool” means the merging of a net pool at the live site with the same net pool at locations other than the live site. (15) “Net pool” means the betting pool minus the takeout. (16) “Official” means the purposeful posting of the final order of finish in a race by the judges or stewards. (17) “Pari-mutuel betting” means the system of betting in which those who successfully bet on horses that finish in specified positions in an event proportionately share the net pool in which they participated. (18) “Place” means a type of bet in which the bettor selects a betting interest to finish second or better. (19) “Quad” means a type of bet in which the bettor selects four different betting interests to finish first, second, third, and fourth in that exact order. (20) “Quinella” means a type of bet in which the bettor selects two different betting interests to finish first and second in either order. (21) “Refund” means the amount bet that is deducted from the betting pool and returned to the bettor for cause. (22) “Show” means a type of bet in which the bettor selects a betting interest to finish third or better. (23) “Takeout” means the amount authorized by law to be deducted from a betting pool before its distribution to the winning bettors. (24) “Triple” (“Trifecta”) means a type of bet in which the bettor selects three different betting interests to finish first, second, and third in that exact order. (25) “Will pay” means the calculated value of a successful bet at the established minimum. (26) “Win” means a type of bet in which the bettor selects a betting interest to finish first. #### Regulation .03—.06 Repealed. *COMAR 09.10.02.03—.06* #### Regulation .07 Betting. *COMAR 09.10.02.07* Except as provided in Regulation .15F of this chapter, an individual associated with a horse in a race may bet on any horse in the race. #### Regulation .08 Claiming. *COMAR 09.10.02.08* A. The following persons may claim: (1) An individual that the Commission licenses as an owner; (2) An entity that has established its qualifications to claim by filing an application for licensure as an owner and has been approved by the judges to claim; and (3) An authorized agent of a qualified owner. B. A person seeking to effect a false claim by inducing another to claim a horse for him is subject to the penalties provided by §E of this regulation. C. In claiming races, any horse is subject to being claimed for its entered price, except by the owner of the horse, and owners having the same trainer are not allowed to claim any horse in that trainer's custody. C-1. A valid claim shall be: (1) In writing; (2) Enclosed in a sealed envelope; and (3) Deposited in a locked box provided for this purpose by the clerk of the course at least 10 minutes before the post time for the race in which a horse to be claimed is to participate. D. If a horse is claimed: (1) It may be entered in a race at a claiming price determined by its new owner; (2) A right, title, or interest in it may not be sold or transferred except in a claiming race for a period of 30 days following the date of the claim; and (3) It may not be raced outside of the State until one of the following occurs: (a) If the horse was claimed from a race that took place at: (i) Rosecroft, 60 days expire from the date of the claim, (ii) Ocean Downs, 30 days expire from the date of the claim; or (b) The meet at which the horse was claimed ends. E. The judges may void a claim and impose any other penalty authorized by these regulations for a violation of the claiming rules. F. Claiming Conditions. (1) Conditions and allowances in claiming races may be based on any criteria established by the racing secretary. (2) Maiden claiming races shall be restricted to horses that are younger than 6 years old. (3) Optional claiming races may be carded for horses of any age. G. A claim shall be voided if a horse is a starter and the horse: (1) Dies on the racetrack; or (2) Suffers an injury which requires the euthanasia of the horse, as determined by a State veterinarian, while the horse is on the racetrack. H. A claim is voidable at the sole discretion of the new owner, for a period of up to 1 hour after the race is made official, for any horse that: (1) Is vanned off the track after the race at the discretion of the State Veterinarian; or (2) Is sent to the detention barn and observed to be lame by the State Veterinarian. #### Regulation .09—.13 Repealed. *COMAR 09.10.02.09—.13* #### Regulation .14 Drawing or Scratching Horses. *COMAR 09.10.02.14* A. A horse may not be withdrawn from a race after having been declared in, except by permission from the presiding judge representing the Maryland Racing Commission. Before allowing the withdrawal of any horse or horses, the presiding judge shall cause him to be examined by the veterinarian of the Commission, who shall report to the presiding judge. If a horse fails to start without having received permission to withdraw, the horse may be suspended together with the owner and trainer and the case may be referred to the Racing Commission for disposition. The Commission may expel, suspend, and fine, in an amount not exceeding $500, the owner and trainer of the horse, and may continue the suspension of the horse. B. Every horse whose starting is obligatory is expected to run the course, except that the judges may order the withdrawal of a horse at any time up to the actual start of a race to protect the public interest. #### Regulation .15 Drivers. *COMAR 09.10.02.15* A. An individual may not drive in a race unless licensed to do so by the Commission. B. An individual may not be granted a license to drive under any name other than the individual's legal name. C. A horse may not appear upon the track within 1 hour preceding post time of the first event of the day unless the driver of the horse is dressed in colors. D. A driver wearing colors may not: (1) Leave the paddock, except to drive, until all of the driver's engagements are fulfilled and the colors removed; (2) Enter the public areas of the racetrack without the permission of the judges; and (3) Partake of intoxicating beverages or controlled dangerous substances. E. A driver wearing colors but not competing in a particular race may view the race from the stand as provided under Regulation .16 of this chapter. F. The driver of a horse in a race: (1) Shall endeavor to win; (2) Shall drive the horse in a manner to achieve the best possible position at the end of the race; (3) Shall set or maintain a pace comparable to the class in which the driver is racing and violates this provision by: (a) Going an excessively slow quarter, or any other distance, that changes the normal pattern, overall timing, or general outcome of the race, or (b) Failing to react to the pace; (4) May not drive the horse in a careless or indifferent manner; (5) May not drive the horse in an inconsistent manner compared to an established pattern of prior performances; (6) May not drive a horse so as to perpetuate or aid in a fraud; and (7) May not bet on the race, except: (a) To win on the horse the driver is scheduled to drive, and (b) Through the owner or trainer of that horse. G. A driver under a contract of employment may not drive for a person other than the driver's employer in a race where a horse is entered which is: (1) Owned or trained by the driver's employer; (2) In the same stable as that of the driver's employer; or (3) Under the same management as that of the driver's employer. H. A driver shall wear an approved helmet with the chin strap fastened while driving in a race. I. An approved helmet under §H of this regulation is one that is manufactured in accordance with the: (1) 1984 Standard for Protective Headgear (Snell Memorial Foundation); (2) Laboratory Procedure for Motorcycle Helmet Testing (Federal Motor Vehicle Safety Standard No. 218, U.S. Department of Transportation); or (3) Specification for Headgear Used in Horse Sports and Horseback Riding (ASTM Standard F085.53, Draft #4, 1986). #### Regulation .16 Driver's Stand. *COMAR 09.10.02.16* Each association licensed to conduct pari-mutuel betting shall provide a stand, located convenient to the gate through which horses enter the track at the beginning of a heat or race, for drivers who are not competing in a particular heat or race and who are wearing colors, to view the races. #### Regulation .16-1 Eligibility of a Horse. *COMAR 09.10.02.16-1* A horse which is eligible for a race at the time of its entry may not have its eligibility affected by a ruling on itself or another horse regarding a disqualification in a prior race that is issued on or after the day of the race for which the horse is entered. #### Regulation .17 Entries. *COMAR 09.10.02.17* A. The closing of entries is determined by the racing secretary. The racing secretary shall check the eligibility of all horses drawn in to race and verify the horses' eligibility with the presiding judge. Additions to the entries may not be made after entries are closed. All entries or declarations shall be made by the owner or trainer or the registered agent of the owner. All information called for by the declaration or entry application or blank shall be supplied. The racing secretary shall refuse all applications, declarations, or entries which are not fully completed, and promptly notify the owner or trainer or agent of the reasons for the refusal. The racing secretary shall verify the accuracy of the name of the owner, the trainer, and the driver as set forth in the declaration or entry. B. Preference. (1) Preference shall be given in all overnight events according to a horse's last previous purse race during the current year. Horses of equal preference should be chosen for the race by draw. The preference date on a horse that has drawn to race and been scratched is the date of the race from which the horse was scratched. (2) When a horse is racing for the first time in the current year, the date of the first declaration shall be considered its last race date, and preference applied accordingly, provided, however, that when an overnight race has been reopened because it did not fill, all eligible horses declared in to the race before the reopening shall receive preference over horses subsequently declared, irrespective of the actual preference dates. (3) This rule relating to preference is not applicable to any meeting at which an agricultural fair is in progress. All horses granted stalls and eligible shall be given an opportunity to compete at these meetings. C. When the starters in a race include two or more horses owned or trained by the same person, or trained in the same stable or by the same management, they shall be coupled as an “entry” where pari-mutuel wagering is conducted and a wager on one horse in the “entry” shall be a wager on all horses in the “entry.” However, when a trainer enters two or more horses in a stake, early closing, futurity, free-for-all, or other special event under bona fide separate ownerships, the horses may, at the request of the association and with the approval of the Commission, be permitted to race as separate betting entries. If the race is split in two or more divisions, horses in an “entry” shall be seeded in separate divisions insofar as possible, but the divisions in which they compete and their post positions shall be drawn by lot. The above provisions shall also apply to elimination heats. When a nominator starts two or more horses, the judges shall approve or disapprove the second and third drivers. D. If any violation is committed by a person driving a horse coupled as an entry in the betting, the judges may set both horses back, if, in their opinion, the violation may have affected the finish of the race. Otherwise, penalties may be applied individually to the drivers of an entry. E. In an early closing event, if less horses are declared in than are required to start, the horse or horses properly declared in and on the grounds ready to race shall equally share all of the entrance money and forfeits from each horse named. F. A horse may not be qualified to start in any race unless its owner, trainer-driver, driver, colors, etc., have been duly licensed by the Commission. #### Regulation .18 Horse Identification. *COMAR 09.10.02.18* A. Except as otherwise permitted in §B of this regulation, a horse may not be permitted to race unless fully identified by its: (1) Color; (2) Markings; (3) Unusual conformation, if any; and (4) Registration number issued by a governing body of the breed as indicated by a: (a) Freeze brand on the horse's neck, or (b) Lip tattoo. B. The judges may allow a horse to start one time if a horse has not been freeze branded or lip tattooed provided that arrangements are made, before the race in which the horse is permitted to start, to have the horse freeze branded or lip tattooed. #### Regulation .19 Licenses and Registrations. *COMAR 09.10.02.19* A. The following persons are required to take out a license from, or register with, the Commission: (1) Licenses: (a) Trainer; (b) Owner; (c) Driver; (d) Farrier; (e) Pari-mutuel employee; (f) Stable employee; (g) Track employee; (h) Veterinarian; (i) Vendor; (j) Track manager. (2) Registrations: (a) Authorized agent; (b) Corporate or stable name. B. License and Registration Expiration. (1) A license or registration issued under §A(1)(a)—(c) or §A(2) of this regulation shall expire on December 31 of the final year for which it was issued. (2) A license issued under §A(1)(d)—(j) of this regulation shall expire on June 30 of each year. #### Regulation .20 and .21 Repealed. *COMAR 09.10.02.20* #### Regulation .22 Number of Starters. *COMAR 09.10.02.22* A. In all overnight events, the number of starters in any race shall be limited to the number agreed upon by the Association and the horsemen's organization, and approved by the Commission. If more than the agreed upon and approved number of horses are declared in to start under the conditions, all of the entry blanks shall be placed in a box and the presiding judge, or an associate judge designated by him, shall draw out the number of entry blanks and the number so drawn shall constitute the field eligible to start. In addition to the number so drawn, the presiding judge, or an associate judge designated by him, shall draw out of the box two additional entries or declarations, and the two so drawn shall be also eligible in the event of a scratch or withdrawal of one or two of the eight drawn originally to start. If only one eligible is needed to fill, the judges shall then determine, by drawing, the one eligible to start. An also eligible permitted to start shall be assigned an outside post position. When more horses are declared in a race than are allowed to start, those horses failing to be allowed to start shall be given preferential rights to start on a succeeding day in the next race scheduled for the same class of horses, as provided in Regulation .17B of this chapter. A horse may not be added to a race as an also eligible unless the horse was drawn as such at the time the declaration closed. B. In stakes events, the number of starters shall be limited to 13. If there are more than 13 entries, then the race shall be divided. Tier starting in entries of more than eight shall be permitted with eight horses in the first tier, and the remainder in the second. The tier positions shall be determined by the post positions as drawn by the judges. C. Position of horses at the post shall be determined in public by lot under the direction of and in a manner prescribed by the judges, at the close of the entries. D. Horses shall take their positions at the post in the order in which their names have been drawn by lot; but vicious and unruly horses may be placed on the outside by the starter if, by so doing, a better start may be obtained. E. A horse may not be excused from the parade or introduction, and each horse shall parade in the order of his post position unless excused by the judges. #### Regulation .23 Numbering of Horses. *COMAR 09.10.02.23* Each competing horse shall be equipped with numbers of style, type, and design approved by the Commission or its representatives. Numbers shall be so arranged that coupled entries may be distinguished as such and also horses coupled in the field as such. #### Regulation .24 Officials. *COMAR 09.10.02.24* A. For each day of live racing during a race meeting, the officials on duty shall be: (1) One presiding judge and two associate judges; (2) Commission veterinarians; (3) Two patrol judges; (4) One program director; (5) One clerk of the course; (6) One starter; (7) An official timer; (8) A paddock judge; (9) A racing secretary and handicapper; (10) A licensed charter; and (11) An identifier. B. Subject to the approval of the presiding judge, an individual may perform more than one of the functions listed under §A(3)—(11) of this regulation. C. Identifier. It shall be the duty of the identifier to check the identification of all horses coming into the paddock in accordance with Regulation .18 of this chapter and to report any discrepancy immediately to the paddock judge, who shall report the matter immediately to the presiding judge. D. The presiding judge shall be the senior official at all race meetings and shall supervise the conduct of the racing and shall at all times have access to all parts of the course, plant, and grounds. E. The judges under §A(1) of this regulation may not. F. It shall be the duty of all the judges to enforce the rules and regulations of the Commission and the rules and regulations of the United States Trotting Association, and they shall have the power of expulsion, suspension, or fine as provided in the rules and regulations. G. Any official designated by the Commission or by an association may be removed by the Commission in its discretion. H. In any emergency due to the incapacity or absence of any judge, the other judges at the meeting may appoint a substitute judge to serve in his place, pending a new designation by the Commission. I. Duties. (1) The judges shall have general supervision over racing and over owners, trainers, drivers, grooms, and other persons licensed by the Commission and also over all other officials of the meeting. (2) The judges shall have the power to punish, for a violation of these regulations, a person subject to their control either by: (a) Suspension of the privilege of attending the races during the meeting; (b) Suspension from acting or driving for a period not exceeding 90 days; (c) Fine not exceeding $2,500; or (d) Fine and suspension. (3) If they consider necessary any further punishment or additional fine, they shall so report to the Maryland Racing Commission. (4) In determining the penalty to be imposed, the judges shall consider the: (a) Seriousness of the violation; (b) Harm caused by the violation; (c) Good faith or lack of good faith of the licensee; and (d) Licensing history of the licensee. (5) When there are occurrences in violation of the rules of racing at a meeting that has terminated that do not come to the attention of the judges until the meeting has closed, it shall be their duty to investigate and report their findings to the Commission. J. The decision of a majority of the judges on any question shall prevail. K. The associate judges, if and when directed by the presiding judge, shall be at the office building on the grounds of the association where the race meeting is being held not later than the specified scratch time, or at such other times as he may direct, to conduct hearings and to perform any other duties that may be imposed upon them by the Rules of Racing. L. The clerk of the course shall be in the judges' stand at least 15 minutes before post time of the first race and shall remain until after the last race, unless excused by the presiding judge. M. Announcers shall be in the announcer's stand not later than 15 minutes before the first live race of the day in order to announce any changes to the printed information on the program as these changes are received and to make other announcements as directed by the presiding judge. #### Regulation .25 Owners. *COMAR 09.10.02.25* A. Owner's License. (1) Except as provided by §A(2), of this regulation, an owner may not be allowed to start any horse under the jurisdiction of the Commission, until the owner has obtained from the Commission an owner's license. This license shall be applied for annually and will be issued for 1 year in the full name of the owner. The license may be revoked, for cause, by the Commission, or in the discretion of the Commission, may be suspended for cause for any period of time. Before issuance of a license, an owner may be required to satisfy the Commission of his financial responsibility. An owner shall maintain his financial responsibility so long as he is licensed by the Commission. (2) The judges, in their discretion, may allow an owner to race a horse one time while awaiting the receipt of his owner's license. An owner who so races but does not complete his application for a license and pay the appropriate fee within 30 days shall be precluded from further racing in this State until his application is filed, and license fee paid. (3) Purse money or prizes may not be distributed to an owner until he has received an owner's license from the Commission. B. Multiple Ownership. (1) Forms of multiple ownership shall be duly licensed by the Commission before being allowed to start a horse. (2) For the purposes of this section, “entity” means a form of multiple ownership. (3) The license application of the entity shall be accompanied by the relevant documents governing the formation of the entity which shall contain, among other things, the following: (a) The name, address, social security number, and date of birth of each person having an interest in the entity; (b) The relative proportions of those interests in §B(2)(a), of this regulation; (c) To whom the winnings are payable; (d) In whose name the horse or horses owned by the entity shall run; (e) The name of the person designated to act as agent for the entity in all racing matters; (f) The names of the horse or horses owned by the entity; (g) The terms of any contingency, lease, or other arrangement. A copy of the documents shall be attached to the registration certificate of any horses owned by the entity. (4) A person holding an interest of 5 percent or more in an entity is considered to hold a beneficial interest and shall obtain an owner's license. “Beneficial interest” includes all direct and indirect forms of ownership or control, or both, voting power, or investment power, held through any contract, lien, lease, partnership, stockholding, syndication, joint venture, understanding, relationship (including family relationship), present or reversionary right, title, or interest, or otherwise. (5) A person holding a beneficial interest in an entity shall disclose to the Commission, at the time of licensing and at the track not later than the time of entry, any beneficial interests which that person holds in any horses. (6) Officers, directors, general partners, managers, and authorized agents of an entity shall obtain an owner's license. (7) Each entity shall designate in writing the person authorized to act as agent for the entity in all racing matters. This person shall obtain an owner's license and represent more than 50 percent of the financial interests in the entity, and shall be subject to the rules governing an authorized agent. The Commission shall be notified in writing by the entity of any change in the person designated as its agent. An agent for an entity may not assume the responsibilities of the trainer unless that person is the trainer. (8) The Commission may deny, suspend, or revoke the license of an entity in which a beneficial interest is held by a person who is or would be ineligible to be licensed as an owner in any respect. (9) Changes either in the structure of the entity or in the individuals holding any interest in the entity shall be immediately disclosed to the Commission in writing. (10) Horses owned by the entity shall race in the name of the entity, the stable name of the entity, or the name of the agent designated to act for the entity with the designation “et al” following the agent's name. (11) The Commission shall review the ownership of each horse entered to race and ensure that each registration or eligibility certificate is properly endorsed by the transferor to the entity. The Commission may determine, for racing purposes, the validity of all liens, transfers, and agreements pertaining to ownership of a horse and may call for adequate evidence of ownership at any time. The Commission may declare ineligible to race any horse whose ownership is in question. (12) Coupled Horses. (a) Horses trained by the same trainer may be uncoupled, at the request of the racing association, and with the approval of the Commission, be permitted to race as separate wagering interests. (b) If a race is split into two or more divisions, horses trained by the same trainer shall be seeded in separate divisions if possible, but the divisions in which they compete and the post position shall be determined by lot. (c) If more than one horse entered in a race has “Commonality of Ownership”, meaning that at least 25 percent of each horse is owned by the same person, entity or entities, the race secretary shall designate which horse has preference to draw into the race without excluding a single entry. (d) A trainer may not enter two horses to the exclusion of a single entry. (13) A person involved in a multiple ownership entity may lease, subject to the provisions of COMAR 09.10.04.22, the person's interest in the entity to another person in the multiple ownership entity. C. Disqualification of a husband or wife from having a license applies equally to both. #### Regulation .26 Paddock Access and Restrictions. *COMAR 09.10.02.26* A. Individuals, other than officials and Commission employees whose duties require their presence in the paddock, shall be denied access to the paddock except for: (1) Individuals authorized by the judges to enter the paddock; and (2) Licensed individuals associated with a horse required to be in the paddock, such as a: (a) Driver, (b) Groom, (c) Owner, (d) Trainer, and (e) Veterinarian. B. Horses. (1) A horse scheduled to race shall be in the paddock the earlier of the following: (a) The time required by the presiding judge; or (b) 1 hour before the post time of the race in which the horse is to compete. (2) A horse that is in the paddock according to §B(1) of this regulation may not leave except to: (a) Exercise on the racetrack on which the race is to be contested; or (b) Participate in the race for which the horse was entered. C. A horse shall be accompanied by the horse's trainer or another licensed trainer designated by the horse's trainer at all times during the horse's stay in the paddock. #### Regulation .27 Partnerships. *COMAR 09.10.02.27* A. All partnerships shall be registered so as to set forth the name and address of every person having any interest in a horse, the relative proportions of these interests, and the terms of any sales with contingencies, lease, or arrangement. The registration shall be signed by all the parties or by their authorized agents. Each partner shall be jointly or severally liable for all arrears. B. All statements of partnerships, of sales with contingencies or arrangements, shall declare to whom winnings are payable, in whose name the horse shall run and with whom rests the power of entry or of declaration. In cases of emergency, authority to sign declarations of partnership may be given by a telegram promptly confirmed in writing. C. The part owner of any horse cannot assign his share or any part of it without the written consent of the other partners. #### Regulation .28 Repealed. *COMAR 09.10.02.28* #### Regulation .29 Repealed. *COMAR 09.10.02.29* #### Regulation .30 Purses. *COMAR 09.10.02.30* A. Purses for all races run on State tracks shall be for an amount approved by the Maryland Racing Commission. B. Any purse or reward affected by an appeal and withheld by order of the judges pending disposition of the appeal shall be retained by the racing association holding the meeting, and placed in an interest-bearing escrow account which shall be distributed, together with interest earned on the escrow account, upon final disposition of the appeal. C. Purse money may not be distributed or used for claiming purposes sooner than 72 hours from the racing of the event in which the purse was earned, and it may not be withheld without cause for more than an additional 48 hours after that. #### Regulation .31 Repealed. *COMAR 09.10.02.31* #### Regulation .32 Records. *COMAR 09.10.02.32* A copy of all information recorded in the judge's book and furnished to the United States Trotting Association shall be forwarded to the office of the Commission, signed by the officials of the meeting, immediately upon the conclusion of each day's racing. The judges shall make reports in writing to the Racing Commission of all infractions of the rules and of all rulings of the judges upon matters coming before them during each day. Copies thereof shall be mailed to each member of the Commission. #### Regulation .33 Rules of the Race. *COMAR 09.10.02.33* A. Before the first heat or race at any meeting is contested, the officials and drivers shall meet at a time and place designated by the presiding judge, at which time the rules and regulations shall be discussed and all drivers' licenses shall be examined by the starter. Every driver shall be notified of the time and place of the meeting. A driver who shall, after notice, fail to attend the meeting may not be permitted to drive until he shall have met with the officials of the meeting by appointment thereafter at their convenience, and may be fined in a sum not to exceed $100. B. All horses shall race from the paddock and shall be in the paddock 60 minutes before off-time of the first heat or race in which they are scheduled to start, and, if racing more than one heat or race, shall return to the paddock after each heat or race until the final heat or race in which the horses are scheduled to start has been completed. C. The judges shall ring a bell or otherwise notify the paddock 15 minutes before the off-time announced for the heat or race, which shall be notice to all parties to prepare for the heat or race. All horses shall parade from the paddock upon the track and before the grandstand not later than 8 minutes before off-time. A horse or driver not on the track 8 minutes before off-time ready to parade shall be fined not exceeding $100 and his horse may be ruled out by the judges and considered withdrawn at their discretion. In all stakes and matches, failure to appear constitutes a forfeit. D. At the conclusion of each heat or race, every driver shall return in the sulky to be dismissed by the patrol judge stationed at the wire. A driver may not dismount or leave the track until permission to do so has been granted by the patrol judge. A driver desiring to enter a claim of foul or other complaint of violation of the rules shall, before dismounting, indicate to the patrol judge his desire to enter the claim or complaint and forthwith shall proceed to the paddock and telephone the judges' stand, where and when the claim of foul or other complaint of violation of the rules shall be immediately entered. A complaint may not be considered unless made to the judges in the manner provided in these regulations. The judges may not cause the official sign to be displayed until the claim of foul or other complaint of violation of the rules has been entered and considered. E. In the event of an accident occurring in the course of a heat or race, the cause shall be investigated by the judges immediately at the conclusion of the heat or race. A driver or drivers may be called to the telephone for the purpose of the investigation. The judges may not cause the official sign to be displayed until an investigation is made. F. All heats or races shall be started from a starting gate or starting device or a design approved by the Commission. G. If racing pursuant to license is conducted at night, the post time for the first race shall be set by the association conducting the meeting, the time to be approved by the Commission. If, due to inclement weather, track conditions, power failure, or any other cause, the post time of the first race must be delayed, the post time of the first race may not be later than 8:45 p.m. The post time of the last heat or race may not be later than 11:59 p.m., unless permission is granted by the Maryland Racing Commission. H. Driving Rules. (1) Although a leading horse is entitled to any part of the track, except after selecting a position in the home stretch, the driver of the first horse or any other driver in the race may not do any of the following things, which are considered violations of driving rules: (a) Change either to the right or left during any part of the race when another horse is so near the driver that in altering his position the driver compels the horse behind the driver to shorten his stride, or causes the driver of the other horse to pull him out of his stride; (b) Jostle, strike, hook wheels, or interfere with another horse or driver; (c) Cross sharply in front of a horse or cross over in front of a field of horses in a reckless manner, endangering other drivers; (d) Swerve in and out or pull up quickly; (e) Crowd a horse or driver by “putting a wheel under him”; (f) Carry a horse out; (g) Sit down in front of a horse or take up abruptly in front of other horses so as to cause confusion or interference among trailing horses; (h) Let a horse pass inside needlessly, or otherwise help another horse improve his position in the race; (i) Commit any act which impedes the progress of another horse or causes him to break; (j) Change course after selecting a position in the home stretch or swerve in and out, or bear in and out, in such a manner as to interfere with another horse or cause him to change course or take back; (k) Drive in a careless or reckless manner; (l) Whip under the arch of the sulky, the penalty for which is not less than 10 days suspension; (m) Lay off the normal pace, thereby leaving a hole when it is well within the horse's capability to keep the hole closed; or (n) Drive a horse in a manner which would put the horse half-in or half-out of any racing lane on the racetrack. (2) In case of interference, collision, or violation of any of the above restrictions, the offending horse may be placed back one or more positions in that heat or dash, and if a collision or interference prevents any horse from finishing the heat or dash, the offending horse may be disqualified from receiving any winnings, and the driver may be fined not to exceed the amount of the purse or stake contended for, or may be suspended or expelled. If a horse is set back, under the provisions of this section, he shall be placed behind the horse with whom he interfered. (3) If, in the opinion of the judges, a driver is for any reason unfit or incompetent to drive, refuses to comply with the directions of the judges, or displays reckless conduct and endangers the safety of horses or other drivers in the race, the driver may be removed and another driver substituted at any time after the positions have been assigned in a race, and the offending driver shall be fined, suspended, or expelled. The substitute driver shall be properly compensated. (4) If, for any cause other than being interfered with or broken equipment, a horse fails to finish after starting in a heat, that horse shall be ruled out. (5) Loud shouting or other improper conduct is forbidden in a race. (6) A driver shall: (a) Keep both feet in the stirrups and a line in each hand from the start of the race until after the finish of the race; (b) Have control of their horse at all times; and (c) Adjust handholds so as to be taut with elbows in front of the chest. (7) A driver may: (a) Carry a whip not to exceed 4 feet plus a snapper not longer than 6 inches; and (b) Use the whip to hit the wheel disc or shaft if it does not interfere with another horse or driver. (8) The use of any goading device, chain, or mechanical devices or appliances, other than the ordinary whip or crop, upon any horse in any race, constitutes a violation of this rule. (9) A driver may not: (a) Use the whip or crop in a brutal, excessive or indiscriminate manner; (b) Cause visible injury to a horse; (c) Whip a horse after a race; or (d) Whip below the shaft. (10) Breaking. (a) When a horse breaks from its gait in trotting or pacing, its driver shall at once: (i) Except as provided in §H(10)(b) of this regulation, take the horse to the outside or to the inside; (ii) Pull the horse to its gait; and (iii) Lose ground on the field. (b) If the pulling of a horse on a break to its gait and losing ground does not interfere with a trailing horse, the driver of the horse is not required to take the horse to the outside or the inside. (c) If there has been no failure on the part of the driver to comply with the provisions of §H(10)(a) of this regulation, the horse may not be set back unless a contending horse on its gait is lapped on the hind quarter of the breaking horse at the finish. (d) The judges may set any horse back one or more places if, in their judgment, any of the above violations have been committed. (e) It is not a violation of §I of this regulation if: (i) A breaking horse is taken inside the hub rail or euro rail in a straightaway when complying with §H(10)(a)(i) of this regulation; and (ii) The horse, when clear, comes back onto the track before entering a turn. (11) If, in the opinion of the judges, a driver allows his horse to break for the purpose of fraudulently losing a heat, the driver is liable to the penalties elsewhere provided for fraud and fouls. (12) To assist in determining the matters contained in §H(9) and (10) of this regulation, it is the duty of one of the judges to call out each break made, and the clerk at once shall note the break and character of it in writing. (13) The time between separate heats of a single race is not less than 40 minutes. A heat may not be called after sunset when the track is not lighted for night racing. (14) Horses called for a race have the exclusive right of the course, and all other horses shall vacate the track at once, unless permitted to remain by the judges. (15) In the case of accidents, only so much time is allowed as the judges may deem necessary and proper. (16) A driver shall be mounted in his sulky at the finish of the race, or the horse shall be placed as not finishing. (17) Whipping action shall be limited to wrist action only with minimal elbow movement. (18) A driver violating any of the whipping rules shall be subject to disciplinary action and or disqualification. I. Hub Rail or Euro Rail. (1) When a euro rail is used, the pylons may not be farther than 25 feet apart from the half-mile pole to the head of the stretch. (2) If a horse or part of a horse's sulky leaves the course by going inside the hub rail or euro rail and, in the opinion of the judges, the action gave the horse an unfair advantage over other horses in the race or the action helped the horse improve its position in the race, the horse may be disqualified from receiving any winnings. (3) In the case of an act of interference or a violation of §H(1) of this regulation, which causes a horse or part of a horse's sulky to leave the course by going inside the hub rail or euro rail, and the horse is placed by the judges, the offending horse shall be placed behind the horse with which the offending horse interfered. J. Open Stretch Racing. (1) With the approval of the Commission, a racing association may widen the homestretch of its race course up to 10 feet inward to create a passing lane for the purpose of allowing a horse to improve its position during the stretch run. (2) When a passing lane exists: (a) A horse may not enter the passing lane except: (i) When entering the final homestretch run, and (ii) For the purpose of attempting to improve the horse's position; (b) The lead horse in the homestretch may not enter or encroach upon the passing lane. (3) The purpose and intent of open stretch racing shall take precedence over other sections of this regulation which may conflict with it. #### Regulation .34 and .35 Repealed. *COMAR 09.10.02.34* #### Regulation .36 Sulky Specifications. *COMAR 09.10.02.36* A. A sulky shall consist of the following parts which are attached to one another in such a way that they remain together during normal use and testing: (1) Arch; (2) Two forks; (3) Seat and seat plate; (4) Two shafts; (5) Two stirrups; and (6) Two wheels with tires and wheel covers. B. The arch under §A(1) of this regulation shall be: (1) Parallel to the ground; (2) Not less than 28 inches or more than 35 inches from the ground when measured with the wheels and tires attached; (3) Not less than 1 inch higher than the top of the wheel and tire; (4) Not less than 47 inches or more than 56 inches wide when measured from the inside at the point of the axle nuts; and (5) Not more than 76 inches from the point the shaft is attached to the arch to the center line of the harness where the horse is hitched, as measured along the shaft when the sulky is attached to the horse. C. A fork under §A(2) of this regulation shall be: (1) Attached to a side of the arch and to the shaft on that side of the arch; and (2) Separated from the other fork by a distance, when measured at the axle nuts, which is 6 inches wider than the inside measurement between the shafts when the separation between the shafts is measured at the front of the arch. D. The seat plate under §A(3) of this regulation shall: (1) Be mounted on the arch; (2) Have not more than a 6-inch difference in the measurement of the distance from the ground to the plate than the distance from the ground to the heel of the stirrup when the sulky is hitched at 54 inches; and (3) Have a padded seat securely attached in a fixed position, the back of which may not be: (a) Higher than 4 inches; or (b) More than 19 inches from the front of the arch. E. The shafts under §A(4) of this regulation: (1) Shall be independent of one another; (2) Shall be attachable to the horse either with: (a) Quick-hitch fixtures accompanied by safety straps, or (b) Conventional tie-downs; (3) Shall be separated from each other by not less than 42 inches or more than 50 inches when measured at the front of the arch; and (4) May not, when attached to the horse: (a) Project beyond the shoulder of the horse, and (b) Be higher than the withers of the horse. F. The stirrups under §A(5) of this regulation shall be: (1) Not more than 8 inches wide; and (2) Attached, one to the inside of each shaft, at a point where the stirrups are separated from each other by not less than 30 inches. G. The wheels under §A(6) of this regulation each shall be: (1) Between 26 inches and 28 inches in diameter when measured from the outside edges of the tire; (2) Covered with light and durable unicolor or colorless wheel disc covers; and (3) When necessary, inhibited from discharging residue from the tire by the use of a mud fender securely attached to the sulky. H. When enforcing the specifications under this regulation, the judges, in determining the safety, fitness, and reliability of a sulky, may rely on: (1) Manufacturers' certifications; and (2) Current inspection stickers affixed by manufacturers' representatives. #### Regulation .37 Trainers. *COMAR 09.10.02.37* A. Licensing. (1) An individual wishing to apply for a license as a trainer shall make application under the individual's legal name. (2) Requirements for Licensing. To be licensed as a trainer, an individual shall: (a) Be 18 years old or older; (b) Be financially responsible; and (c) Provide proof of ability to act as a trainer. B. A licensed trainer shall maintain financial responsibility while licensed. C. A trainer shall be responsible at all times for the condition of a horse under the trainer's care. D. Repealed. E. A trainer may not harbor or employ an individual on the grounds of a racing association that is under the jurisdiction of the Commission if the individual is not licensed by the Commission. F. A trainer shall: (1) Attend a horse under the trainer's care when the horse is in the paddock; (2) Be present to supervise the horse's harnessing, unless the trainer has obtained the permission of a judge to assign the responsibility for harnessing the horse to another licensed trainer; and (3) Remain the absolute insurer of a horse the trainer has entered. G. The presiding judge may permit a trainer to act, after an application has been filed, pending action on the trainer's application. H. A horse under the care of a trainer whose license is suspended or revoked is ineligible to participate in a race, unless permission has been given by the authority which issued the suspension or revocation to transfer the horse to the care of a trainer in good standing. I. A licensed trainer may not: (1) Take or keep in the trainer's charge a horse owned, wholly or in part, or controlled by a person unlicensed as an owner; or (2) Serve as the trainer of record for a horse not under the trainer's active care and supervision. J. An individual who is responsible for the training of a horse but who is not licensed as a trainer or, if so licensed, is not listed as the trainer of the horse on the entry form may be sanctioned by the Commission. #### Regulation .38 Trainer-Driver. *COMAR 09.10.02.38* A. Each trainer-driver shall obtain a license from the Commission. Before issuance of a license, a trainer-driver may be required to satisfy the Commission of his financial responsibility. A trainer-driver shall maintain his financial responsibility so long as he is licensed by the Commission. B. A trainer-driver may not practice his profession except under his own name. C. The presiding judge may permit a trainer-driver to act, after an application has been filed, pending action on his application. D. A licensed trainer-driver and driver may represent the owner in the matter of entries, declarations, and the employment of drivers. E. A trainer-driver shall have his horse in the paddock at the time appointed. F. A trainer-driver may not have in charge or under his supervision any horse owned, in whole or in part, by a disqualified person. G. A trainer-driver may not accept, directly or indirectly, any bribe, gift, or gratuity in any form which might influence the result of any race or which would tend to do so. H. A trainer-driver may not employ a driver for the purpose of preventing him from driving in any race. I. Trainer-drivers having charge, custody, or care of a horse or horses are obligated to properly protect the horses and guard against any violation of the Corrupt Practices Rules. The trainer-driver is responsible at all times for the condition of all horses trained by him. J. Trainer-drivers who make frivolous complaints may be fined or suspended by the presiding judge. K. When any person subject to the jurisdiction of the Commission is formally charged with violation of the racing rules or any criminal statute of this or any other state, the Commission may suspend him until the charge has been tried, dismissed, or otherwise disposed of. When a person subject to the jurisdiction of the Commission is convicted of a criminal offense, in this or any other state, or the United States, the Commission may suspend or revoke the person's license. #### Regulation .39 Veterinarians. *COMAR 09.10.02.39* A. The Commission shall designate and employ a Chief Veterinarian and other veterinarians it considers necessary, and assign the veterinarians to serve at a Maryland track when live racing is conducted at the track. B. A veterinarian employed by the Commission shall: (1) Visually examine a horse appearing in the day's entries while the horse is warming up on the track before the race in which it is to run; (2) Be in the paddock before a race and visually inspect the horses in the race; (3) Report a horse's racing condition to the presiding judge, if, in the opinion of the veterinarian: (a) The horse is not in condition to race; or (b) By racing, the horse may cause injury to: (i) Itself, (ii) Its driver, or (iii) Other participants in the race; (4) Ensure that blood is drawn for testing purposes from the horses designated by the presiding judge or the Commission; and (5) Perform examinations and tests that, from time to time, may be required by the presiding judge. C. A horse reported to the presiding judge in accordance with §B(3) of this regulation shall be: (1) Scratched out of the race by the presiding judge; (2) Automatically placed on the veterinarian's list; and (3) Prohibited from entering until the veterinarian notifies the presiding judge that the horse is again fit to compete. D. If an individual connected to a horse entered in a race prevents the horse from being examined, the presiding judge shall: (1) Be notified; and (2) Order the horse scratched from the race. E. Restrictions on Veterinarians Employed by the Commission. (1) A veterinarian in the employ of the Commission is not permitted to treat or prescribe for a horse on the grounds of, or registered to race at, a track under the jurisdiction of the Commission, except in the case of an emergency. (2) When a veterinarian in the employ of the Commission treats a horse under the exception to §E(1) of this regulation, a full and complete report shall be made to the presiding judge. (3) A person licensed by the Commission may not employ or pay compensation to a veterinarian in the employ of the Commission, either directly or indirectly, during the period for which the veterinarian is so employed. F. Practicing Veterinarians. (1) An individual is not allowed to practice as a veterinarian on the grounds of a racing association that is under the jurisdiction of the Commission until the individual has obtained a license from the Commission to practice. (2) An individual licensed by the Commission to practice veterinary medicine at a track under its jurisdiction is subject to the: (a) Standards of conduct and ethics prescribed by the State Board of Veterinary Medical Examiners and those standards prescribed in Agriculture Article, §2-310, Annotated Code of Maryland; and (b) Provisions of COMAR 09.10.04.03D and Regulation .19 of this chapter. (3) A veterinarian practicing at a track under the jurisdiction of the Commission shall file a report with the judges as to any medication prescribed or administered, or professional service performed. (4) A report filed in accordance with §F(3) of this regulation shall: (a) Be delivered in person or postmarked within 48 hours after the time of treatment; and (b) Remain confidential, except that: (i) A Commission veterinarian may compile general data from the report to assist the Commission in formulating policies or rules, and (ii) The judges may review the report in investigating a possible violation of the regulations. #### Regulation .41 Miscellaneous. *COMAR 09.10.02.41* A. A farrier may not be allowed to shoe horses at the race track of any racing association under the jurisdiction of the Commission until the farrier has obtained a license from the Commission. The license shall be applied for and issued annually. The license may be revoked or suspended, for cause, by the Commission. Before issuance of a license, a farrier may be required to satisfy the Commission of his financial responsibility. The farrier shall maintain his financial responsibility so long as he is licensed by the Commission. B. The cycle of frequency of the totalisator board may not be more than 60 seconds. C. If any case occurs which is not, or which is alleged not to be, provided for by these rules, it shall be determined by the judges in such manner as they think just and conformable to the usages of the turf, and the judges may impose such punishment and take such other action in the matter as they deem to be within the intent of these rules, including reference to the Commission. D.—E. Repealed F. If at any time there is a conflict between the rules of the Maryland Racing Commission and the rules of the United States Trotting Association, the rules of the Commission shall govern. G. Any situation not covered by the rules of the Commission or the rules of the United States Trotting Association shall be referred to the Commission for disposition. H. Urine Test. (1) The use or possession on the grounds of a harness racing association by persons licensed under this chapter of any controlled dangerous substance or prescription drug, as defined in Criminal Law Article, §5-101(f), Annotated Code of Maryland, is prohibited unless the substance was obtained directly or pursuant to a valid prescription or order from a licensed physician while acting in the course of his professional practice. It shall be the responsibility of the licensee to provide proof to the presiding judge that the licensee is using a controlled dangerous substance or prescription drug pursuant to a valid prescription or order from a licensed practitioner. (2) On any day when harness racing is being conducted on the grounds of a licensed association, a driver scheduled to drive on that day, and any licensed Commission or association employees and other licensees having official duties relating to any of those races, upon a determination by the judges that there exists a reasonable suspicion to believe that the individual has in his system a drug as defined in §H(1) of this regulation, shall be deemed to have consented to a urine or any other non-invasive drug detection test which shall be conducted in a manner prescribed by the Commission. A person whose sample is positive may be subject to disciplinary action, may not be permitted to participate in any racing program until a negative test is shown, and the Commission may require the licensee to undergo a supervisory drug treatment program approved by it. (3) Any of the licensee group specified in §H(2) of this regulation who, without good cause, refuse to take the drug detection test, may not be permitted to continue their duties on that racing day and shall be subject to disciplinary proceedings as provided in this chapter as if a positive specimen had been rendered. I. Breathalyzer or Other Test for Alcohol. (1) On a day when harness racing is being conducted on the grounds of a licensed association, a driver scheduled to drive on that day and any licensed Commission or association employees having official duties relating to any of those races, shall be deemed to have consented to a breathalyzer or any other non-invasive test for alcohol which shall be conducted in a manner prescribed by the Commission. A person whose test shows a reading of more than 0.05 percent alcohol in the blood may be subject to disciplinary action and may not be permitted to continue his duties on that racing day. (2) Any of the licensee groups in §I(1) of this regulation who refuse to take the alcohol detection test, may not be permitted to continue their duties on that racing day and shall be subject to disciplinary proceedings as provided in this chapter. #### Regulation .42 Repealed. *COMAR 09.10.02.42* #### Regulation .43 Foaled Stakes Program. *COMAR 09.10.02.43* A. Definitions. In this regulation, the following terms have the meanings indicated: (1) “Advisory Committee” means the Maryland Standardbred Race Fund Advisory Committee. (2) “Breeder” means the owner or, if leased, the lessee of the dam at the time of breeding. (3) “Conceived” means the impregnation of a dam, by means of natural or artificial insemination, by a Maryland stallion whose offspring meet the eligibility requirements for the Sire Stakes Program in Regulation .53 of this chapter. (4) “Covered by a Maryland stallion” means to be bred to a Maryland stallion whose offspring meet the eligibility requirements for the Sire Stakes Program in Regulation .53 of this chapter. (5) “USTA” means the United States Trotting Association. B. Eligibility for Participation. For a horse to be eligible to participate in a race that is a part of the Foaled Stakes Program, the horse shall: (1) Be registered with the Advisory Committee; and (2) Have had paid in the horse's behalf all of the applicable registration, sustaining, and declaration fees required under this regulation. C. Eligibility for Registration. (1) A horse may be registered with the Advisory Committee if: (a) The horse was foaled in Maryland, as shown by a registration certificate from the USTA; and (b) At least one of the following conditions is met: (i) The breeder of the horse has maintained a place of abode in Maryland for more than 9 months immediately before registration; (ii) The breeder of the horse keeps breeding stock continually in Maryland; (iii) The horse was conceived during the previous season by the horse’s dam being covered by a Maryland stallion registered with the Advisory Committee; or (iv) The horse's dam was sent to Maryland to foal and, after foaling, was covered by a Maryland stallion during the season of the horse's birth. (2) If, at the time of breeding, the dam is under lease, a lease agreement shall be on file in the office of the USTA. (3) The eligibility requirements in this section are not applicable in regard to registration for the Sire Stakes Program in Regulation .53 of this chapter. (4) If a foal is the product of an embryo/ovum transfer, only a donor mare's first born foal each year, resulting from such a transfer, is eligible for registration under this section. D. Appeal of Refusal to Register a Horse. (1) An owner or breeder may appeal to the Commission from a refusal of the Advisory Committee to register a horse under this regulation. (2) The owner or breeder who makes the appeal has the burden of proving the eligibility of the horse. (3) The decision of the Commission is final. E. Registration. Except as provided in §F of this regulation, to register a yearling the Advisory Committee shall be provided on or before May 15 with a: (1) Completed form for the registration of the yearling; (2) $40 registration fee. F. Late or Incomplete Registration. (1) A completed registration form; and (2) Either: (a) A $500 late fee by December 31; or (b) A $1,000 late fee by March 15. G. Sustaining Fees. (1) Except as provided in §G(2) of this regulation, the following sustaining fees are required by the following dates for the maintenance of a horse's eligibility: (a) First sustaining fee as a 2-year-old, $150 by March 15; (b) Second sustaining fee as a 2-year-old, $200 by May 15; and (c) Sustaining fee as a 3-year-old, $300 by February 15. (2) The second sustaining fee as a 2-year-old, due May 15, is optional and is required only to make the horse eligible to participate in the races provided by the Foaled Stakes Program for 2-year-olds. (3) Except as provided in this regulation, a horse shall be disqualified from participation in any future races sponsored by this Program if there is a failure to make a timely payment of a fee under this section. H. Time and Method of Payment. (1) To be timely, the appropriate fee shall be: (a) Delivered to the Advisory Committee Administrator by the designated due date; or (b) Mailed bearing a postmark which is on or before the due date. (2) If the due date for a payment falls on a weekend or a holiday observed in this State, the payment shall be timely if: (a) Delivered to the Advisory Committee Administrator by the next business day; or (b) Mailed and bearing a postmark which is not later than the next business day. (3) Exceptions may not be made to the requirements of this section. I. Declaration Fee. A declaration fee of $250 is required to be made by the post time for the race into which the horse is declared. J. The owner of the horse is responsible for the declaration fee, and, if the owner of the horse is not the declarer of the horse, the person making the declaration is also responsible for the declaration fee. K. Eligibility to Start. (1) A horse, otherwise eligible to participate in this program, may not be declared into a race unless the horse has at least one satisfactory charted performance line at the time set for declaring in. (2) A satisfactory charted performance line is a performance line: (a) Credited to a horse after the horse starts from behind a starting gate in a qualifying or purse race within 45 days of the Foaled Stakes Program race in which the horse is to participate; and (b) Which shows that the horse has completed the race without a break, other than a break caused by interference or broken equipment, at, or within, the following times according to the horse's age and gait: (3) A 2-second allowance to the minimum performance time shall be granted on any trotting event held before May 1. L. Use of Fees. (1) All registration fees, sustaining fees, and penalties, less administrative costs, shall be added to the purse monies. (2) All declaration fees shall be added to the purse for the event for which the fees were paid. M. Provision may be made for the running of the following races at a distance of 1 mile, to be known as the Foaled Stakes Program races, which shall be open only to those horses eligible to participate in the Foaled Stakes Program: (1) 2-year-old filly pace; (2) 2-year-old colt pace; (3) 2-year-old filly trot; (4) 2-year-old colt trot; (5) 3-year-old filly pace; (6) 3-year-old colt pace; (7) 3-year-old filly trot; and (8) 3-year-old colt trot. N. The various age, sex, and gait divisions established under §M of this regulation may, from time to time, be eliminated by the Commission upon the recommendation of the Advisory Committee. O. Each age, sex, and gait division, depending upon the availability of funds, may not be raced more than three times per year. P. The purse amounts for the races authorized under §M of this regulation shall be determined by the Advisory Committee and approved by the Commission. Q. Breeder Awards. (1) An 8 percent Breeder Award, based upon the amount of the purse distributed, shall be awarded to the dam of a horse, if the horse: (a) Receives purse monies from a race provided for under §M of this regulation; and (b) Meets the eligibility requirements set forth for registration in the Sire Stakes Program under Regulation .53 of this chapter. (2) A 4 percent stallion award based upon the amount of the purse distributed in a “final”, shall be awarded to the sire of the horse provided the stallion was a registered Maryland stallion at the time of conception. (3) The awards, as apportioned under §Q(2) of this regulation, shall be paid to the: (a) Individual or entity who was the owner of record with the USTA of the dam and sire at the time the horse was bred; or (b) Lessee of the horse, rather than the owner, if the: (i) Dam or the sire, respectively, was leased at the time the breeding took place; and (ii) Lease was on record with the USTA at that time. R. If more horses are declared to start in an event than can fit on the starting gate, the licensee holding the event shall split the event and divide the purse equally, except the declaration fees shall be allocated based on the number of horses in each division. S. Gait. (1) A horse's gait shall be specified and accompany each sustaining fee. (2) A change of the horse's specified gait may be made at the time the horse is declared into a race. (3) Any payments made before a change in the specified gait of a horse shall be credited to the races for the gait originally specified. T. Time. (1) The time for starters to declare into a Foaled Stakes Program race shall be the same as the time established by the race track for declaring into an overnight race. (2) If the race track schedules the time for drawing into an overnight race more than 5 days before the running of the races, a Foaled Stakes Program race may not be drawn with these races, but shall be drawn at a time that is not more than 5 days before the scheduled running of the race. U. Purse Distribution. (1) Purses for all races shall be divided: (a) 50 percent to the winner; (b) 25 percent to second; (c) 12 percent to third; (d) 8 percent to fourth; and (e) 5 percent to fifth. (2) In the event fewer than five horses start, undistributed purse money shall be retained by the Race Fund. (3) Walkovers will be paid 50 percent of the advertised purse. (4) Unless the Commission eliminates the races for one of the age groups in accordance with §R of this regulation, the purse monies to be distributed each year on behalf of the Sire Stakes Program shall be divided equally between races for 2-year-olds and races for 3-year-olds. (5) Unless the Commission eliminates the races for one of the gaits in accordance with §R of this regulation, the purse monies in each age category shall be divided equally between races for trotters and races for pacers. V. With the advice of the Advisory Committee the Commission may allow all Foaled Stakes Program races to be held at any race track in Maryland. #### Regulation .44 Pari-Mutuels. *COMAR 09.10.02.44* A. The Maryland Racing Commission, acting under authority of the law creating it, hereby establishes the pari-mutuel system as the only legal system of wagering on harness races on all harness racing tracks in the State over which it has jurisdiction. B. Associations shall use vending machines for the sale of pari-mutuel tickets unless otherwise authorized by the Commission. All associations shall use a totalisator approved by the Commission. A totalisator may not be deemed one of approved design unless it is capable of: (1) Registering by automatic electric or mechanical means on central aggregators all wagers made on each horse, each entry, or the field, in each of the straight, place, or show pools; and (2) Displaying the registered totals so as to permit ready tabulation by the Commission's representative. C. The controls necessary to operate the infield board, and other similar boards, relative to the way the horses finish (if the finish is being contested, if there is a photo, dead heat and time of race) are to be located in the judge's stand and controlled by the presiding judge or an associate judge designated to do so. D. Definitions. For the purpose of pari-mutuel wagering, every heat shall be a separate and distinct race. Where the term “race” is used in these rules, it shall be considered to apply as if the term “heat” or “dash” had been used. E. The race becomes “official” when the “official” sign is purposely displayed by the judges. #### Regulation .45 Sale of Pari-Mutuel Tickets. *COMAR 09.10.02.45* A. Sale of Tickets. (1) Only one method of selling pari-mutuel tickets shall be used for the sale of tickets on individual races during any racing day. (2) A pari-mutuel ticket may not be sold except through regular ticket windows properly designated by signs showing the type of tickets sold at that particular window. (3) A pari-mutuel ticket may not be sold on any race unless the race is on that day's card of the association, except with the approval of the Commission or the Commission's representative. (4) A pari-mutuel ticket may not be sold on an event for which the totalisator has been closed for betting on the event. (5) An association is not responsible for a ticket sale started, but not completed, before the totalisator has been closed for betting on the event. (6) Claims pertaining to a mistake on an issued or unissued ticket shall be made by the bettor before leaving the teller's window. (7) An association has no obligation to enter a bet into a betting pool if unable to do so as a result of equipment failure. B. Bookmaking or wagering other than pari-mutuel wagering is prohibited. C. A person younger than 18 years old may not purchase or cash pari-mutuel tickets. D. All wagering shall stop as soon as the word “go” is given either by record or by the voice of the starter. Vending machines shall be electrically locked by the presiding judge or an associate judge from the judge's stand. E. When the vending machines have been closed they shall remain closed until the race is declared “official”, unless otherwise opened on approval of the Commission's representative. F. Pari-mutuel tickets shall be sold in denominations approved by the Commission. G. The method of selling pari-mutuel tickets shall be approved by the Commission's representative. H. The manager of the pari-mutuel department shall be properly and timely advised by the presiding judge, before the beginning of wagering on each race, of the number of horses that will compete in the race and any driver changes from those listed in the official program. I. The least number of horses in separate interests that can take part in a race in which payment out of the several pools may be made is: (1) Five for win, place, and show; (2) Four for win and place; (3) Three for win; and (4) In exceptional instances, with the consent of the Maryland Racing Commission, win pools which may be sold with only two horses engaged. J. The consent of the Maryland Racing Commission shall be obtained to call off betting in the various pools as follows: (1) Show, if five or more separate interests are engaged in a race; (2) Place, if four or more separate interests are engaged in a race; and (3) Win, if three or more separate interests are engaged in a race. K. On all tracks when the horse units provided for wagering on the totalisator board are less than the horses competing in the race, all horses in excess of the maximum number of units provided for wagering, less one, shall be grouped together in the betting to constitute the “field”, a wager on any one of the “field” being a wager on all horses so grouped. L. The association, with the consent of the Commission's representative, may prohibit wagering on any particular horse or entry in any race. Consent shall be sought by the association from the representative of the Maryland Racing Commission after the entries are closed on the day previous to that during which the race or races in which exclusions are desired. The exclusions shall be clearly indicated on the program, and any excluded horse or horses may not be numbered so as to imply that they are coupled in the “field.” Horses once excluded from the wagering shall remain excluded from the wagering in any race during the day on which they are scheduled to start. M. When two or more horses that are owned in whole, or in part, or are trained by the same trainer, or trained in the same stable, or by the same management, start in a race, they shall be coupled as an “entry,” and a wager on one shall be a wager on all of them. However, when a trainer enters two or more horses in a stake race, early closing, futurity, free-for-all, elimination, or other special event, under bona fide separate ownerships, the horses may, at the request of the association and with the approval of the Commission's representative, be permitted to race as separate betting entries. If a race is split into two or more divisions, horses in an “entry” shall be seeded in separate divisions insofar as possible, but the division in which they compete and their post positions shall be drawn by lot. N. A refund of the cost value shall be made on tickets bearing the number of a horse scratched or withdrawn before the horse becomes a starter in a race. O. If the judges or the veterinarian excuse a horse and order it scratched before it is in the hands of the starter, and this action reduces the number of horses in separate interests actually engaged in the race below the number required for win, place, or show wagering, refunds shall be made of the win, place, or show tickets on the horses. P. If a horse is prevented from running due to a failure of the starting gate, a refund of all tickets shall be made. Q. The “take” (commission) and the “breakage” shall be in accordance with the law existing at the time of the race meeting. R. In establishing the pay-off in each pool for every race, the calculations shall be made on the dollar, and any balance that may result in the division on which the result is determined need not be paid in pennies, but in every instance the breakage allowance shall be less than 10 cents, the dollar being the unit. S. “Minus pools” shall be charged against the breakage, in accordance with the law existing at the time of the race meeting. T. Payments due on all wagers shall be made in conformity with well established practices of the pari-mutuel system. The practice is to work in dollars and not in the number of tickets. Money wagered on winning tickets is returned in full plus the profits. Notwithstanding any other rule of the pari-mutuel rules for wagering, in all cases, each association shall distribute not less than $2.10 on each $2 wager, or in accordance with the law existing at the time of the race meeting. U. Excused or Scratched Horse. (1) The judges may excuse a horse and order it scratched from a race at any time before the horses are dispatched by the starter. Tickets purchased on scratched horses shall be redeemed at their face value unless the excused or scratched horse is part of an “entry” or “field”. (2) When a horse that is part of an entry or field is scratched after betting on the race has begun, all wagers on the entry or field remain in effect as long as a horse from the entry or field remains in the race. If the entire entry or field is scratched, the tickets purchased on the entry or field shall be redeemed at their face value. (3) At a track equipped with a totalisator system with the capability to cancel and refund tickets before the running of a race, the time that betting has begun on a horse in an entry or the field is considered to be the time that win odds are first displayed on the track's infield tote board on the race in which the horse is to compete, or when the probable payoff prices are posted on the first race of a multiple race pool of which the horse's race forms a part. If a horse is scratched before betting has begun, and if tickets have been sold upon an affected entry or field before the time when betting has begun, the tickets may not be refunded unless the holders of the tickets present them for cancellation before betting on the race has begun, or the first race of a multiple pool. Tickets not presented for cancellation by this time are considered as wagers upon the remaining horses in the entry or field. V. The result of every race is determined, insofar as the Mutuel Department pay-off is affected, when it is posted as “Official”, and an immediate distribution of the respective pools is required. A subsequent change in the order of finish, and a run-off of a dead heat may not involve the Mutuel Department. W. Except when a dead heat occurs, or when a field horse or horses or entries are involved in the result of a race, or when no ticket has been sold on a horse finishing first, second, or third, the distribution of pools shall be as follows: (1) The distributable portion (gross pool less allowable commission) of the straight pool shall be paid to holders of tickets on the horse that finishes first. (2) The distributable portion of the place pool (gross pool less allowable commission and money wagered on first and second horses) shall be divided equally between the winning horse and the horse finishing second, payments being made to holders of place tickets on the horses. (3) The distributable portion of the show pool (gross pool less allowable commission and money wagered on first, second, and third horses) shall be divided into three equal parts and shall be apportioned one part to the winner, one part to the second horse, and one part to the third horse. (4) All payments to holders of tickets entitled to share in the distribution of the respective pools shall be in the proportion of their investment on the horse or horses sharing in the distribution from these pools, reference to payments out of these pools meaning the distributable portion thereof, but refunds, when made, include all the money in the pool or pools to which they apply. X. Exceptions in Pool Distribution. (1) If two horses run a dead heat for first place, the money in the straight pool is divided the same as in a place pool calculation. (2) If two horses run a dead heat for second place, the division is made as follows: The winner of the race receives his full share, namely one-half of the distributable money, and the two horses in the dead heat divide the remaining half between them, namely one-fourth of the distributable money. (3) If two horses run a dead heat for third place, the division is made as follows: (a) The winner and the second place horse receive a full share, namely 1/3 of the distributable money in the show pool to the wagers on each of these positions; and (b) The two horses in the dead heat divide the remaining third between them, namely 1/6 of the distributable money is apportioned to the wagers on each of them. (4) If two of the horses coupled in the “field” or an “entry” finish first and second, first and third, or second and third, the distributable money in the show pool is divided into three parts, two parts going to the “field” or “entry” horses and the other part going to the other horse. (5) If three “field” or “entry” horses finish first, second, and third, all pools shall be calculated as straight pools. Y. Apportionment of Pool. (1) If a horse wins a race and there are no straight tickets sold on him, the straight pool shall be apportioned to holders of straight tickets on the horse placed second. (2) If a horse runs second and there are no place tickets sold on him, the place pool shall be distributed the same as a straight pool to holders of place tickets on the winner. (3) If a horse runs third and there are no show tickets sold on him, the show pool shall be calculated as a place pool and distributed to holders of show tickets on the first and second horses. (4) If only one horse finishes in a race, all money wagered place and show shall be distributed in the same manner as a straight pool. (5) If no horse finishes, all money shall be refunded. Z. Miscellaneous. (1) Selling windows may not close until the horses are “off” for the race. (2) While betting is in progress, there shall be frequent postings of the approximate odds on the horses taking part in the race, entries and field horses being listed on the odds board as one horse each, when either or both are running in the race. (3) Suitable apparatus shall be provided whereby notice is given to the mutuel department: (a) First, that the horses for the race are parading; (b) Second, that the horses are in the hands of the starter; and (c) Third, that the horses are “off”. (4) Totalisator adjustments shall be summarized at the close of each meeting and if the net result is a credit to the company operating the totalisator, then the Commission auditor shall be given a check from the company for the amount of the net credit, made payable to the Maryland Horsemen's Assistance Fund, Inc. (5) If any emergency develops requiring an immediate solution in connection with the operation of the mutuel department, the authority to act is hereby conferred on the mutuel manager, who shall promptly report the emergency to the Commission's representative and the means employed by him in meeting it. (6) If an error is made in posting the pay-off prices on the public board, it shall be corrected promptly and only the correct amount shall be used for the pay-off, irrespective of the error on the public board, but no change shall be made in the pay-off after the cashing of tickets has commenced. If an error is discovered before the pay-off has started, the correct pay-off shall be posted and a statement shall be made over the public address system stating the facts and the corrections. In order to determine “at what time” the cashing of tickets has commenced, the following rules govern: (a) At racing associations where a mechanized device is employed to inform the cashiers the amount of pay-off “when the key or other device is set to indicate race and prices are official and it is proper to pay off”. (b) At racing associations where messengers are employed or telephone messages are used to deliver official pay-offs to the cashiers, "60 seconds after the pay-offs have been posted on the Public Board". (c) If, under the conditions set forth above, it is too late to correct the error, then the following rules shall apply: If the error results in an overpayment to the public, no subsequent correction is made. If the error results in an underpayment, the amount of the underpayment, after it has been determined, is added to the same pool of the next succeeding race. However, should an underpayment occur in the last race of any scheduled race meeting, the amount of the underpayment shall be paid over to the Commission for the account of the Maryland Horsemen's Assistance Fund, Inc. #### Regulation .46 Daily Doubles. *COMAR 09.10.02.46* A. The pay-off may be posted after the pool closes and before the race completing the double has been run. In the event of a dead heat in the first race of the daily double, posting of the pay-off prices may be deferred until the race completing the daily double has been run. B. The daily double is not a parlay and has no connection with or relation to the mutuel betting. All prices on the daily double will be calculated in a separate pool. All tickets will be to win only (straight), except as otherwise provided in this regulation. A “field” may not be permitted in any race involved in the daily double. C. If no ticket is sold combining the two winners, the daily double pool then shall be apportioned equally between those having tickets including the winner of the first half and those having tickets including the winner of the second half in the same manner in which a “place” pool is calculated. D. If no ticket is sold including the winner of the first half, the entire pool shall be distributed to holders of tickets which include the winner of the second half. E. If no ticket is sold including the winner of the second half, then the entire pool shall be distributed to holders of tickets which include the winner of the first half of the daily double. F. If no ticket is sold including the winner of either half, then the pool shall be distributed to holders of tickets finishing second in the two races of the daily double. G. If, for any reason, the first half of the daily double is cancelled and declared “no race”, a full and complete refund shall be made of the daily double pool. If, for any reason, the second half of the daily double is declared “no race”, the daily double pool shall be distributed to the holders of the tickets on the winner of the first half in the same manner as a straight pool. H. If, after the first half of the daily double has been run and declared “official”, a horse is scratched or excused from the second half of the daily double, then a consolation pay-off shall be made to holders of tickets which combine the winner of the first half and the scratched or excused horse. The consolation pay-off shall be calculated as follows: (1) The net daily double pool (gross pool less commission) shall be divided by the total number of tickets sold combining the winner of the first half; (2) The quotient thus obtained shall constitute the consolation pay-off to be paid to holders of each ticket combining the winner of the first half and the scratched or excused horse in the second half; (3) The entire consolation pool (number of eligible tickets times the consolation price), plus the breakage, shall then be deducted from the net daily double pool; (4) The remaining pool is the new net pool for the daily double. I. If holders of tickets lose the first half of the daily double and the horse in the second half is scratched or excused, there will be no refund. J. If no ticket is sold which would require distribution of the daily double pool, the association shall make a complete and full refund of the pool. #### Regulation .47 Twin Doubles. *COMAR 09.10.02.47* Associations licensed by the Commission to conduct harness racing meetings may, with the approval of the Commission, conduct a so-called twin double, subject to the following rules: A. The twin double is a part of the pari-mutuel system of wagering. It is a contract by each participant to pick (select) the winner of each of four races as may be designated by a licensee, with the approval of the Commission. For the purpose of this rule, the four races will be referred to as the “twin double races.” The first two races so designated shall be referred to as the first half of the twin double. The third and fourth races so designated shall hereafter be referred to as the second half of the twin double. All sums deposited in the twin double shall be held in a single pool entirely separate from all other pools, and the award or dividend to each winning participant shall be calculated subject to the provisions of this rule, as in a straight pool. B. All twin double tickets shall be sold at properly designated windows and shall be clearly and immediately distinguishable from the daily double and other tickets sold. C. All twin double tickets shall be sold only from automatic vending machines. D. The sale of twin double tickets may not commence until after the completion of the second race of the day, unless special permission is obtained from a representative of the Commission. The twin double windows shall close and the machines shall be locked 5 minutes before the official post time of the first race of the first half of the twin double. E. Each participant in the twin double shall designate his selections as the winners of the first half of the twin double races at the time he purchases his twin double ticket, and each twin double ticket shall show the selections made. F. After the completion of the first half of the twin double races, each participant holding a ticket or tickets combining the winners of this half of the twin double shall, during the period while the twin double windows are open for this purpose, exchange his ticket or tickets for a ticket or tickets showing his selections as the winners of the second half of the twin double. G. A twin double exchange ticket may not be issued except upon the surrender of a twin double ticket showing the winners of the first half of the twin double. H. Twin double windows shall be opened for the issue only of twin double exchange tickets after the races comprising the first half have been completed and declared official and shall close at the official post time of the start of the second half of the races comprising the twin double. I. Before post time of the second race of the second half of the twin double races, there shall be posted or announced over the loud speaker system the pay-off of each combination coupled with the winner of the first race of the second half of the twin double races. All such information shall be posted. J. A winning twin double ticket not presented for exchange for a twin double exchange ticket within the period described in §H, above, may be presented for a refund of the purchase price (or award in the event that no participant selects the winner of the first race of the second half of the twin double races), after completion of the first race of the second half of the twin double. The aggregate purchase price of all twin double tickets so entitled to a refund shall be deducted from the gross twin double pool. K. Inasmuch as the purpose of the twin double is to select winners of the first half and the second half of the twin double races, a participant who selects a horse which runs in but does not win a race is no longer eligible, unless no other participant has selected a winner of that race. L. If a horse is scratched in the first race of the first half of the twin double, all tickets on the scratched horse shall be refunded, and the money refunded will be deducted from the gross pool. M. If a horse is scratched in the second race of the first half of the twin double, after the running of the first race of the first half, all twin double tickets combining the scratched horse with the actual winner of the first race of the first half of the twin double shall be paid a price equivalent to that fraction of the net pool derived by dividing the net twin double pool (gross pool less commission) by the total number of tickets sold combining the winner of the first race of the first half of the twin double with all horses in the second race of the first half of the twin double. The quotient thus obtained shall constitute the consolation pay-off to be paid to holders of each ticket combining the winner of the first race of the first half with the scratched horse in the second race of the first half. The entire consolation pool (number of eligible tickets times the consolation price), plus the breakage, shall then be deducted from the net twin double pool. The remaining pool is the new net pool for the twin double. N. If a horse is scratched in the first race of the second half of the twin double, during or after the exchange of tickets by holders of the first two winners, each ticket including the scratched horse in the first race of the second half shall be paid a price equivalent to that fraction of the net pool derived by dividing the net pool by the total number of exchanged tickets. The quotient thus obtained shall constitute the consolation pay-off to be paid to holders of tickets on the scratched horse. The entire consolation pool (number of eligible tickets times the consolation price), plus the breakage, shall be deducted from the net twin double pool to establish a new net pool. O. If a horse is scratched from the second race of the second half of the twin double after the first race of the second half has been run, each ticket including the scratched horse and the winner of the first race of the second half shall be paid a price equivalent to that fraction of the net pool derived by dividing the net pool by the total number of tickets combining the winner of the first race of the second half. The quotient thus obtained shall constitute a consolation pay-off. The entire consolation pool (number of eligible tickets times the consolation price), plus breakage, shall then be deducted from the net pool. The remaining pool shall be the new net pool for the final pay-off for the twin double. P. If no ticket is sold combining the winner of the first race and the winner of the second race of the first half of the twin double, the net pool shall then be apportioned between those having tickets, including the winner of the first race of the first half of the twin double and those having tickets including the winner of the second race of the first half of the twin double, and shall be calculated as a place pool. If this should happen, the twin double will terminate for that day. Q. If no ticket is sold including the winner of the first race of the first half of the twin double, then the entire net pool shall be paid to holders of tickets which include the winner of the second race of the first half of the twin double. If this should happen, the twin double will terminate for that day. R. If no ticket is sold including the winner of the second race of the first half of the twin double, then the entire net pool shall be paid to holders of tickets which include the winner of the first race of the first half of the twin double. If this should happen, the twin double will terminate for that day. S. If no exchange ticket includes the winner of the first race of the second half of the twin double, the entire net pool shall be distributed as a straight pool to all holders of exchanged tickets and winning combinations of the first half that had not been exchanged. T. If no exchange ticket combines the winners of the first and second races of the second half of the twin double, then the entire net pool shall be distributed as a straight pool to holders of tickets including the winner of the first race of the second half of the twin double. U. In the event of a dead heat in the first race of the first half of the twin double, all tickets combining both winners of the first race of the first half with the winner of the second race of the first half of the twin double shall be eligible for exchange. V. In the event of a dead heat in the second race of the first half of the twin double, all tickets combining the winning or winners of the first race of the first half with the winners of the second race of the first half of the twin double shall be eligible for exchange. W. In the event of a dead heat in the first race of the second half of the twin double, if there is no ticket combining either winner with the winner of the second race of the second half of the twin double, then the pay-off shall be distributed to holders of tickets on the winners of the first race of the second half of the twin double in the same manner as a place pool is calculated. X. In the event of a dead heat in the second race of the second half of the twin double, the pay-off shall be distributed as a place pool to holders of tickets combining the winner of the first race of the second half with the winners of the second race of the second half of the twin double. Y. If, for any reason, the first race of the first half of the twin double is cancelled or declared “no race,” full and complete refund shall be made of the twin double pool. Z. If, for any reason, the second race of the first half of the twin double is cancelled or declared “no race,” the net pool shall be calculated as a straight pool and shall be distributed to holders of tickets combining the winner of the first race of the first half of the twin double with every horse in the second race of the first half of the twin double. AA. If, for any reason, the first race of the second half of the twin double is cancelled or declared “no race,” the net pool shall be distributed as a straight pool to the holders of twin double exchange tickets and holders of winning twin double tickets not surrendered for exchange. BB. If, for any reason, the second race of the second half of the twin double is cancelled or declared “no race,” the net pool shall be distributed as a straight pool among holders of exchange tickets designating the winner of the first race of the second half of the twin double. CC. Entries or field horses may not be allowed in any race included in the twin double, except by permission from a representative of the Commission. DD. In the event of a dead heat between a covered and an uncovered horse in the second race of the second half of the twin double, a consolation pay-off may not be made. Holders of tickets on the covered horse, representing the only winners of four consecutive races, shall share in the distribution of the twin double pool. #### Regulation .48 Quinellas. *COMAR 09.10.02.48* A. Each association shall either print in the daily program or prominently post at all areas where quinella wagering is conducted, the following conditions: (1) An exchange of tickets, after the purchaser has left the sales window, may not be made. (2) The quinella is not a parlay and has no connection with or relation to the “tote” betting. All tickets on the quinella will be calculated in an entirely separate pool. (3) Selections are to be made by program number and not by handicap rating number. Large numbers appearing on the quinella ticket are the program numbers of the horse. (4) All tickets should be retained until the result of the quinella has been posted. B. All quinella tickets will be for the win and place combination only. C. Quinella wagering is not permissible on races containing either a coupled entry or “field horses.” D. If any horse entered in a quinella race is scratched or excused by the judges after wagering has commenced or should any horse be prevented from racing because of failure of the arm of the starting gate to open, all tickets including the horse shall be deducted from the quinella pool and money refunded to the purchasers of tickets on the horse that is excused or prevented from racing. E. If there are no tickets sold on the winning combination in a quinella race, all quinella tickets bearing the number of the individual win horse and all quinella tickets bearing the number of the individual place horse shall be deemed winning tickets and the payoff shall be calculated as a place pool. F. If there are no tickets sold on the winning combination in a quinella race and should there be no quinella tickets sold bearing the number of the individual win horse, all quinella tickets bearing the number of the individual place horse shall be deemed winning tickets and the payoff shall be calculated as a win pool. G. If there are no tickets sold on the winning combination in a quinella race, and should there be no quinella tickets sold bearing the number of the individual place horse, all quinella tickets bearing the number of the individual win horse shall be deemed winning tickets and the payoff shall be calculated as a win pool. H. If there are no tickets sold on the winning combination in a quinella race, and should there be no quinella tickets sold bearing the number of the individual win horse, and should there be no quinella tickets sold bearing the number of the individual place horse, the quinella shall be deemed “no race,” and all moneys in the quinella shall be promptly refunded. I. If, after an official start is effected, only one horse finishes the quinella race, the total money is figured as a win pool, with those who have picked that one horse in the race participating in the pool. J. If a two horse dead heat for win results in a quinella race, the two horses involved in the dead heat shall be the winners of the quinella race. K. If a multiple dead heat for win results in a quinella race, all horses involved in the dead heat shall be winners of the quinella race and payoffs figured accordingly. For example, should numbers 1, 3, 5 and 7 dead heat for win, the winning quinella combinations would be 1-3, 1-5, 1-7, 3-5, 3-7, and 5-7. The net pool, after deducting the amounts wagered on the winning combinations, will be equally distributed in payoff calculations on the winning combinations. L. If a two horse dead heat for place results in a quinella race, the total pool is calculated as a place pool. M. If a multiple dead heat for place results in a quinella race, all combinations coupling the winning horse with the individual place horse shall be winners of the quinella race and payoffs calculated accordingly. #### Regulation .49 Exactas. *COMAR 09.10.02.49* A. The exacta is a contract by the purchaser of a ticket combining two horses in a single race, selecting the two horses that will subsequently finish first and second in that race. Payment of the ticket shall be made only to the purchaser who has selected the same order of finish as officially posted. B. The exacta is not a “parlay” and has no connection with or relation to the win, place and show betting and shall be calculated as an entirely separate pool. C. In the event of an entry finishing first and second, the net exacta pool shall be distributed to holders of tickets combining the entry with the horse finishing third. D. If a horse is scratched out of an exacta race, all exacta tickets combining the scratched horse with any other horse in that race shall be refunded and the money refunded shall be deducted from the gross pool. E. If no ticket is sold selecting the winner and the second horse to finish one-two, in that order, the net pool shall be distributed as a place pool to the holders of tickets selecting the winner to finish first and the holders of tickets selecting the second horse to finish second. F. If no ticket is sold that would require distribution of an exacta pool to a winner as above defined, the association shall make a complete and full refund of the exacta pool. G. If two horses finish in a dead heat to win, the net pool shall be distributed as a place pool to the holders of tickets on the two winning combinations. For example: If 4 and 6 finish in a dead heat to win, holders of tickets on 6 and 4 as well as holders of tickets 4 and 6 will share in the net pool. H. If two horses finish in a dead heat to place, the net pool shall be distributed as a place pool to the holders of tickets on the two winning combinations. For example: If 3 is the winner and 5 and 7 finish in a dead heat to place, holders of tickets combining 3 and 5, in that exact order, and holders of tickets combining 3 and 7, in that exact order, will share in the pool. I. If there is a dead heat to win or a dead heat to place and no ticket has been sold on one of the winning combinations, the net pool shall be distributed to the holders of tickets on the other combination. J. If there is a dead heat to place and no ticket has been sold combining the winner with either one of the two horses finishing in the dead heat, the holders of tickets selecting the winner to finish first and the holders of tickets selecting either one of the dead heat horses to finish second shall share in the net pool. The net pool shall be distributed as a place pool the winner shall receive one-half and the horses in the dead heat shall divide the remaining half proportionately between them. #### Regulation .50 Triples (Trifectas) *COMAR 09.10.02.50* A. The triple is a contract by the purchaser of a ticket combining three horses that will subsequently finish first, second and third in that race. Payment of the ticket shall be made only to the purchaser who has selected the same order of finish as officially posted. B. The triple is not a parlay and has no connection with or relation to the win, place and show betting and shall be calculated as an entirely separate pool. C. Repealed. D. If no ticket is sold on the winning combination of a triple pool, the net pool shall be distributed to the holders of tickets selecting the win and place finishers in that order. If no ticket is sold combining the win and place finish, the net pool shall be distributed to the holders of tickets selecting the win and show horses. If no ticket is sold combining the win, place and show finishers, the net pool shall be distributed to the holders of tickets selecting the winner. If less than three horses finish, the payoff shall be made to holders of tickets selecting the finishing horses in order, ignoring the balance of the selection. E. If no ticket is sold that would require distribution of the net triple pool to a winner as above defined, the association shall make a full refund of the triple pool. F. In the event of a dead heat, all triple tickets selecting the correct order of finish, counting a horse in a dead heat as finishing in either position dead heated, shall be winning tickets. The payoff shall be calculated as a place pool by dividing the net triple pool by the total purchase price of winning tickets. G. In the event of a scratch in the triple exchanges may not be made. All tickets which include the scratched horse are eliminated from further participation in the triple pool and shall be refunded. Refunds on key horse wheel tickets may be made after the triple race is official. Key horse wheel tickets shall be sold during the entire triple wagering period at the posted price used when triple wagering opens. H. Coupled entries are permitted but fields are prohibited in triple races. H-1. If the horses in a coupled entry finish in more than one of the first three positions, one or more of the horses, as necessary, finishing directly after the first three horses shall be used to complete a winning selection consisting of three different numbers. I. Triple tickets shall be sold only by the licensee through pari-mutuel machines programmed to print all selections on one ticket. The design of triple tickets shall be clearly and immediately distinguishable from other pari-mutuel tickets. Resale of the tickets from one individual to another is prohibited and shall be grounds for ejection. J. Each association shall print in heavy type in a conspicuous place in its printed program all the provisions of this regulation. #### Regulation .51 Repealed. *COMAR 09.10.02.51* #### Regulation .52 Super Bet. *COMAR 09.10.02.52* A. The Super Bet is a form of pari-mutuel wagering on three designated races. The bettor selects the two horses that will finish first and second in each of the first two designated races of the Super Bet, and the three horses that will finish first, second, and third in the third designated race of the Super Bet, in each case in the exact order of finish as officially posted. B. The Super Bet pool shall be held entirely separate from all other pools, and may not be part of any exacta, triple, daily double, or other wagering pool. The Super Bet is not a parlay. C. Repealed. D. The three races which comprise the Super Bet shall be approved by the Commission and clearly designated in the program. E. Super Bet tickets shall be clearly identified as such, so as to distinguish them from tickets on other wagering pools. F. Coupled entries and fields are prohibited in the three designated Super Bet races. G. If a dead heat or dead heats occur in any of the races of the Super Bet, all Super Bet tickets selecting the correct order of finish counting a horse in a dead heat as finishing in any position dead heated shall be winning tickets, and contrary to the usual practice, the aggregate winning tickets shall be divided into the net pool and be paid the same pay-off price. H. Wagering for the Super Bet shall close at the same time that wagering is closed on the first designated race of the Super Bet. If a horse is scratched in a designated race of the Super Bet while wagering on the Super Bet is still open, wagers containing the scratched horse shall be deducted from the Super Bet pool and shall be refunded just as in other types of wagers. After the close of wagering on the Super Bet, refunds of wagers due to scratches may not be made until after prices have been declared official for the entire Super Bet. In the latter event, except as otherwise provided in §I, K, or L, refunds shall be made only for wagers selecting in each designated race of the Super Bet scratched horses and winning horses in the proper order but not any losing horses. For example, if the exact winning combination is 1-2, 1-2, 1-2-3, and the 4 horse in the designated second race was scratched, a wager of 1-2, 4-2, 1-2-3 would be eligible for a refund, but a wager of 1-2, 2-4, 1-2-3 would not be eligible for a refund. I. If for any reason, including but not limited to weather conditions, less than all of the designated races of the Super Bet are cancelled or are not declared official, then all horses in the cancelled race or races that were selected on Super Bet tickets shall be considered winners for purposes of the Super Bet. If for any reason all of the designated races of the Super Bet are cancelled, then all pari-mutuel tickets that were issued for that performance shall be refunded and the Super Bet shall be cancelled for that performance. In all these instances, any contributions to the Super Bet pool from prior performances shall be carried over and included in the Super Bet pool for the next performance as prescribed in §J, below. J. If there is no Super Bet ticket issued accurately selecting the officially declared winning combination in the exact order of finish in each of the three designated races of the Super Bet, then the net pool, after deduction of all applicable commissions and taxes under the laws of this State, shall be carried over and included with the net Super Bet pool at the next performance. K. If the accumulated carry-over pool of the Super Bet has not been distributed before the closing day of the meeting in which the pool was generated, or if the Association invokes the provisions of §L, the net amount of the carry-over pool so remaining shall be distributed even if no Super Bet ticket is a winning ticket under A. In this event, the winning tickets shall be those combining on that performance the most consecutive finishers in the winning combination, starting with the winner of the first designated race of the Super Bet (for example, if the exact winning combination is 1-2, 1-2, 1-2-3, and the best ticket sold is 1-2, 1-2, 1-2-ALL). If there is a cancellation of the closing day's performance, the accumulated carry-over pool shall be carried over to the Harness Association next to operate that accepts Super Bet wagering. If the Harness Association next to operate does not accept Super Bet wagering, the accumulated carry-over pool shall be deposited in a Maryland bank in interest bearing form, and the accumulated pool together with all interest earned on it shall be carried over to the first day of the next racing meeting of the Harness Association accepting Super Bet wagering. L. The Association accepting Super Bet wagering may elect, if there is an undistributed accumulated carry-over pool of the Super Bet, to declare a mandatory Super Bet distribution, provided it makes an announcement of its intention to do so at least 24 hours before the opening of Super Bet wagering for that performance. In this event, all of the Super Bet carry-over pool shall be distributed on this performance, even if no Super Bet ticket is a winning ticket under §A, in accordance with the provisions for determining a winning ticket under §K. M. The Association may elect to guarantee a gross Super Bet pool (the accumulated carry-over pool plus gross Super Bet wagering on the current performance) by adding any shortfall from this guarantee to the accumulated carry-over pool, provided it makes announcement of its intention to do so before the opening of Super Bet wagering for that performance. Commissions or taxes may not be deducted from the added amount. N. Sales of Super Bet tickets other than from pari-mutuel machines shall be deemed illegal and prohibited. Resale of Super Bet tickets from one individual to another is prohibited and shall be grounds for ejection. O. The acceptance of the Super Bet ticket by an individual taking an issued ticket away from the window of the terminal from which it was issued shall constitute an acknowledgement by the bettor of the correctness of the ticket. Each purchaser of a Super Bet ticket agrees to be bound by the terms and provisions of this and all other applicable Commission regulations and by the laws of the State pertaining to pari-mutuel wagering. The Association, totalisator, and the State may not be liable to any person for a Super Bet ticket which is not: (1) A winning ticket in accordance with the provisions of this regulation; or (2) Delivered for any reason, including but not limited to: (a) Mechanical malfunction, (b) Electrical failure, (c) Machine locking, or (d) Other cause. P. This regulation shall be prominently displayed in the betting area of each Association conducting a Super Bet program. #### Regulation .53 Sires Stakes Program. *COMAR 09.10.02.53* A. Definitions. In this regulation, the following terms have the meanings indicated: (1) “Advisory Committee” means the Maryland Standardbred Race Fund Advisory Committee. (2) “Breeder” means the owner or, if leased, the lessee of the dam at the time of breeding. (3) “Conceived” means the impregnation of a dam, by means of natural or artificial insemination, by a Maryland stallion whose offspring meet the eligibility requirements for the Sires Stakes Program as provided under this regulation. (4) “Covered by a Maryland stallion” means to be bred to a Maryland stallion whose offspring meet the eligibility requirements for the Sire Stakes Program as provided under this regulation. (5) “Owner” means an individual or entity that owns or leases a horse or stallion eligible to participate in the Sires Stakes Program. (6) “USTA” means the United States Trotting Association. B. Eligibility for Participation. For a horse to be eligible to participate in a race that is a part of the Sires Stakes Program, the horse shall: (1) Be registered with the Advisory Committee; and (2) Have had paid in the horse's behalf all of the applicable registration, sustaining, and declaration fees required under this regulation. C. Eligibility for Registration. (1) A horse may be registered with the Advisory Committee if: (a) The horse was conceived from the fresh or frozen semen of a Maryland stallion; and (b) The Maryland stallion: (i) Is registered with the USTA; (ii) Is registered with the Advisory Committee as a Maryland stallion; (iii) Was at stud in Maryland for a full breeding season; and (iv) Impregnated the dam during the breeding season the stallion was at stud in Maryland. (2) If a horse is the product of an embryo/ovum transfer, only a donor mare's first born foal each year, resulting from such a transfer, is eligible under this section. D. Registration as a Maryland Stallion. (1) December 1 of the year preceding the one for which the stallion is registered together with a $500 fee; (2) January 1 of the year for which the stallion is registered together with a $750 fee, if the stallion is not registered by the previous December 1; or (3) February 1 of the year for which the stallion is registered together with a $1,500 fee, if the stallion is not registered by the previous December 1. E. Loss of Maryland Stallion Registration Status. (1) A stallion shall lose its status as a registered Maryland stallion if: (a) The stallion stands during the year anywhere other than in Maryland or in the southern hemisphere; or (b) The stallion leaves the breeding location in Maryland during the Maryland breeding season of February 15 through July 1 except as provided under §E(2) or (3) of this regulation. (2) A registered Maryland stallion may participate in racing during the breeding season provided the stallion is returned within 24 hours if the Administrator is notified and proper reports are filed. (3) When a Stallion May Be Moved. (a) A stallion may be moved to another location within the State from its registered breeding location during the breeding season for breeding purposes, provided the stallion is returned within 24 hours and the Standardbbred Race Fund Administrator is provided a detailed monthly report on the stallion’s movements, including the following: (i) The date on which the stallion was moved; and (ii) The location to which the stallion was taken. (b) A stallion moved for emergency veterinarian care shall be returned when medically released and a detailed report is provided to the Administrator. (4) The offspring of a stallion which has lost its registration status shall remain eligible for this Program if the offspring was: (a) Out of a mare which was not owned or leased by the stallion owner; and (b) Otherwise eligible. (5) The owner of a stallion which has lost its status as a registered Maryland stallion is subject to the following penalty for each of its offspring that remain eligible for this program under §E(4) of this regulation: (a) $500 for a stallion with a registered stud fee of less than $500; (b) An amount equal to the stud fee of the stallion if the registered stud fee of the stallion is more than $500; or (c) $1,500 for a stallion with a private or undesignated stud fee. F. Requirements of the Owner of a Registered Stallion. (1) The owner of a registered stallion shall submit a copy of the USTA Mares Bred report to the Advisory Committee Administrator not later than September 1 of the year for which the stallion is registered. (2) The Mares Bred report shall indicate: (a) Which broodmares were inseminated with transported semen, if any; and (b) The destination to which the semen had been transported for this purpose. (3) Failure to comply with the provisions of §F(1) and (2) of this regulation shall subject the owner of the stallion, for each month the owner is delinquent, to a penalty of: (a) $500 for a stallion with a registered stud fee of less than $500; or (b) $1,500 for a stallion with a private or undesignated stud fee. (4) Failure to comply with the provisions of §F(1) and (2) of this regulation by February 15 of the year following the year to be covered by the Mares Bred report shall: (a) Render any resultant foal out of a mare owned wholly or in part by the owner of the stallion ineligible to participate in the Sire Stakes Program for the year covered by the report; and (b) Subject the stallion owner, for each foal that remains eligible for the Sires Stakes Program, to a penalty of: (i) $500 for a stallion with a registered stud fee of less than $500; or (ii) $1,500 for a stallion with a private, undesignated or stud fee over $500. G. Payment of Penalties. (1) Penalties assessed against a stallion owner under this regulation shall be paid to the Advisory Committee Administrator. (2) The Advisory Committee shall consider the penalties paid by a stallion owner under this regulation as stallion registration fees to be used for the purpose of future Sires Stakes Program purses. (3) A stallion owner may not be allowed to participate in the Sires Stakes Program if the owner has not paid a penalty assessed under this regulation. H. Appeal of Refusal to Register a Horse or Stallion. (1) An owner or breeder may appeal to the Commission from a refusal of the Advisory Committee to register a horse or stallion under this regulation. (2) The owner or breeder who takes the appeal has the burden of proving the eligibility of the horse or stallion. (3) The decision of the Commission is final. I. Registration. Except as provided in §J of this regulation, in order to register a yearling, the Advisory Committee Administrator shall be provided on or before May 15 with a: (1) Completed form for the registration of the yearling; and (2) $40 registration fee. J. Late or Incomplete Registration. (1) A completed registration form; (2) A $500 late fee by December 31; or (3) A $1,000 late fee by March 15. K. Sustaining Fees. (1) Except as provided in §K(2) of this regulation, the following sustaining fees are required by the following dates for the maintenance of a horse's eligibility: (a) First sustaining fee as a 2-year-old, $150 by March 15; (b) Second sustaining fee as a 2-year-old, $200 by May 15; and (c) Sustaining fee as a 3-year-old, $300 by February 15. (2) The second sustaining fee as a 2-year-old, due May 15, is optional and is required only to make the horse eligible to participate in the races provided by the Sires Stakes Program for 2-year-olds. (3) Except as provided under §K(2) of this regulation, a horse shall be disqualified from participation in any future races sponsored by this Program if there is a failure to make a timely payment of a fee under this section. L. Time and Method of Payment. (1) To be timely, the appropriate fee shall be: (a) Delivered to the Advisory Committee Administrator by the designated due date; or (b) Mailed bearing a postmark which is on or before the due date. (2) If the due date for a payment falls on a weekend or a holiday observed in this State, the payment shall be timely if: (a) Delivered to the Advisory Committee Administrator by the next business day; or (b) Mailed bearing a postmark which is not later than the next business day. (3) Exceptions may not be made to the requirements of this section. M. Declaration Fee. (1) A declaration fee, as prescribed in this regulation, is required to be made by the post time for the race into which the horse is declared. (2) Additional declaration fees are not required from a horse which participates in more than one preliminary race. (3) The declaration fee is $400. N. The owner of the horse is responsible for the declaration fee, and, if the owner of the horse is not the declarer of the horse, the person making the declaration is also responsible for the declaration fee. O. Eligibility to Start. (1) A horse, otherwise eligible to participate in this program, may not be declared in to start unless the horse has at least one satisfactory charted performance line at the time set for declaring in. (2) A satisfactory charted performance line is a performance line: (a) Credited to a horse after the horse starts from behind a starting gate in a qualifying or purse race within 45 days of the Sires Stakes Program race in which the horse is to participate; and (b) Which shows that the horse has completed the race without a break, other than a break caused by interference or broken equipment, at, or within, the following times according to the horse's age and gait: (3) A 2-second allowance to the minimum performance time shall be granted on any trotting event held before May 1. P. Use of Fees. (1) All registration fees, sustaining fees, and penalties, less administrative costs, shall be added to the purse monies for this program. (2) All declaration fees shall be added to the purse of the final event for which the fees were paid. Q. Provisions may be made for the running of the following races at a distance of 1 mile, to be known as the Sires Stakes Program races, which shall be open only to those horses eligible to participate in the Sires Stakes Program: (1) 2-year-old filly pace; (2) 2-year-old colt pace; (3) 2-year-old filly trot; (4) 2-year-old colt trot; (5) 3-year-old filly pace; (6) 3-year-old colt pace; (7) 3-year-old filly trot; and (8) 3-year-old colt trot. R. The various age, sex, and gait divisions established under §Q of this regulation may, from time to time, be eliminated by the Commission upon the recommendation of the Advisory Committee. S. Each age, sex, and gait division, depending upon the availability of funds, may not be raced more than three times per year. T. The purse amounts and the number of times per year each race is offered, including the number of preliminary races, for the races authorized under §Q of this regulation shall be determined by the Advisory Committee and approved by the Commission. U. Breeder Awards. (1) An 8 percent Breeder Award, based upon the amount of the purse distributed in a “final”, shall be awarded to the dam of a horse, if the horse: (a) Receives purse monies from a “final” race provided for under §Q of this regulation; and (b) Meets the eligibility requirements set forth for registration in the Foaled Stakes Program under Regulation .43 of this chapter. (2) A 4 percent stallion award based upon the amount of the purse distributed in a “final”, shall be awarded to the sire of the horse provided the sire was a registered Maryland stallion at the time of conception. (3) The awards, as apportioned under §U(2) of this regulation, shall be paid to the: (a) Individual or entity who was the owner of record with the USTA of the dam and sire at the time the horse was bred; or (b) Lessee of the horse, rather than the owner, if the: (i) Dam or the sire, respectively, was leased at the time the breeding took place; and (ii) Lease was on record with the USTA at that time. V. Preliminary Events. (1) The number of preliminary events shall be as provided under §T of this regulation. (2) If more horses are declared to start in a preliminary event than can fit on the starting gate, the licensee holding the event shall schedule sufficient races and divide the horses by lot as equally as possible among the races scheduled. (3) Points shall be awarded to each horse finishing in a preliminary race in accordance with the following schedule: (4) In the event of a dead heat for any position, the horses involved in the dead heat for that position shall each be credited with the full number of points assigned to that position. W. Final Events. (1) There shall be one final event for each category of race scheduled. (2) The number of horses allowed in a final event shall be limited to the horses which fit on the starting gate without a trailer. (3) Preference for participation in the final event shall be given to the horses with the most points earned in the preliminary events of the same category. (4) Not more than two horses with the next highest number of points from those drawn into the race may be listed as also eligibles. (5) Ties for participation under §W(3) and (4) of this regulation shall be determined by lot. (6) A horse may not participate in the final event if it did not earn a point in a preliminary event of the same category. X. Post Positions. Post positions for all races shall be determined by lot. Y. Gait. (1) A horse's gait shall be specified and accompany each sustaining fee. (2) A change of a horse's specified gait may be made at the time the horse is declared into a race. (3) Any payments made before a change in the specified gait of a horse shall be credited to the races for the gait originally specified. Z. Time. (1) The time for starters to declare into a Sires Stakes Program race shall be the same as the time established by the race track for declaring into an overnight race. (2) If the race track schedules the time for drawing into an overnight race more than 5 days before the running of the races, a Sires Stakes Program race may not be drawn with these races, but shall be drawn at a time that is not more than 5 days before the scheduled running of the race. AA. Purse Distribution. (1) Purses for all races shall be divided: (a) 50 percent to the winner; (b) 25 percent to second; (c) 12 percent to third; (d) 8 percent to fourth; and (e) 5 percent to fifth. (2) In the event fewer than five horses start, undistributed purse money shall be retained by the Race Fund. (3) Walkovers will be paid 50 percent of the advertised purse. (4) Unless the Commission eliminates the races for one of the age groups in accordance with §R of this regulation, the purse monies to be distributed each year on behalf of the Sire Stakes Program shall be divided equally between races for 2-year-olds and races for 3-year-olds. (5) Unless the Commission eliminates the races for one of the gaits in accordance with §R of this regulation, the purse monies in each age category shall be divided equally between races for trotters and races for pacers. BB. With the advice of the Advisory Committee the Commission may allow all the Sires Stakes Program races to be held at any race track in Maryland. #### Regulation .53-1 Sire Stakes Program for 4 and 5 Year Olds. *COMAR 09.10.02.53-1* A. Definitions. (1) In this regulation, the following terms have the same meanings as provided in Regulation .53 of this chapter. (2) Terms Defined. (a) “Advisory Committee”; (b) “Breeder”; (c) “Owner”; and (d) “USTA”. B. Eligibility for Participation. For a horse to be eligible to participate in a race that is a part of the Sires Stakes Program for 4 and 5-Year-Olds, the horse shall: (1) Have been nominated as a yearling to the Sire Stakes Program; and (2) Be registered with the Advisory Committee Administrator by February 15 as a 4-year-old or a 5- year- old to race that year. C. Sustaining Fees. (1) Except as provided in §C(2) of this regulation, the following sustaining fees are required by the following dates for the maintenance of a horse's eligibility: (a) A sustaining fee as a 4-year-old, $120 and a completed sustaining form by February 15 of that year; or (b) A sustaining fee as a 5-year-old, $120 and a completed sustaining form by February 15 of that year. (2) If the March 15 2-year-old payment and the February 15 3-year-old payment were made, no sustaining fee is due. (3) Except as provided under §C(2) of this regulation, a horse shall be disqualified from participation in any races during the current year sponsored by this Program if there is a failure to make a timely payment of a fee under this section. D. Time and Method of Payment. (1) To be timely, the appropriate fee shall be: (a) Delivered to the Advisory Committee Administrator by the designated due date; or (b) Mailed bearing a postmark which is on or before the due date. (2) If the due date for a payment falls on a weekend or a holiday observed in this State, the payment shall be timely if: (a) Delivered to the Advisory Committee Administrator by the next business day; or (b) Mailed bearing a postmark which is not later than the next business day. (3) Exceptions may not be made to the requirements of this section. E. Declaration Fee. (1) A declaration fee, as prescribed in this regulation, is required to be made by the post time for the race into which the horse is declared. (2) The declaration fee is $100. F. The owner of the horse is responsible for the declaration fee, and, if the owner of the horse is not the declarer of the horse, the person making the declaration is also responsible for the declaration fee. G. Eligibility to Start. (1) A horse, otherwise eligible to participate in this program, may not be declared in to start unless the horse has at least one satisfactory charted performance line at the time set for declaring in. (2) A satisfactory charted performance line is a performance line: (a) Credited to a horse after the horse starts from behind a starting gate in a qualifying or purse race within 45 days of the Sires Stakes Program for 4 and 5 Year-Olds race in which the horse is to participate; and (b) Which shows that the horse has completed the race without a break, other than a break caused by interference or broken equipment, at, or within, the following times according to the horse's age and gait: (i) For events conducted on a 5/8 mile track: (ii) For events conducted on a 1/2 mile track: H. Use of Fees. (1) All sustaining fees, less administrative costs, shall be added to the purse monies for this program. (2) All declaration fees shall be added to the purse of the event for which the fees were paid. I. Types of Races. (1) Provisions may be made for the running of the following races at a distance of 1 mile, to be known as the Sires Stakes Program for 4 and 5-Year-Olds, which shall be open only to those horses eligible to participate in the Sires Stakes Program for 4 and 5-Year-Olds: (a) 4- and 5-year-old pace for colts and fillies; and (b) 4- and 5-year-old trot for colts and fillies. (2) Upon the recommendation of the Advisory Committee, the races provided for in §I(1)(a) and (b) of this regulation may be separated into races for colts only and fillies only. J. If more horses are declared to start in an event than can fit on the starting gate, the licensee holding the event shall split the event and divide the purse equally, except the declaration fees shall be allocated based on the number of horses in each division. K. The various age, sex, and gait divisions established under §I of this regulation may, from time to time, be eliminated by the Commission upon the recommendation of the Advisory Committee. L. Each age, sex, and gait division, depending upon the availability of funds, may not be raced more than three times per year. M. The purse amounts and the number of times per year each race is offered for the races authorized under §I of this regulation shall be determined by the Advisory Committee and approved by the Commission. N. Breeder Awards. (1) 10 percent Breeder Award, based upon the amount of the purse distributed, shall be divided between the dam and sire of a horse, if the horse: (a) Receives purse monies from a race provided for under §I of this regulation; and (b) Meets the applicable eligibility requirements set forth for registration in the Foaled Stakes Program under Regulation .43 of this chapter, or in the Sire Stakes Program under Regulation .53 of this chapter. (2) Of the 10 percent awarded under §N(1) of this regulation: (a) 8 percent shall be awarded to the dam of the horse; and (b) 2 percent shall be awarded to the sire of the horse. (3) The awards, as apportioned under §N(2) of this regulation, shall be paid to the: (a) Individual or entity who was the owner of record with the USTA of the dam and sire at the time the horse was bred; or (b) Lessee of the horse, rather than the owner, if the: (i) Dam or the sire, respectively, was leased at the time the breeding took place; and (ii) Lease was on record with the USTA at that time. O. Post positions for all races shall be determined by lot. P. Gait. (1) A horse's gait shall be specified and accompany each sustaining fee. (2) A change of a horse's specified gait may be made at the time the horse is declared into a race. (3) Any payments made before a change in the specified gait of a horse shall be credited to the races for the gait originally specified. Q. Time. (1) The time for starters to declare into a Sires Stakes Program for 4 and 5-Year-Olds race shall be the same as the time established by the race track for declaring into an overnight race. (2) If the race track schedules the time for drawing into an overnight race more than 5 days before the running of the races, a Sires Stakes Program for 4 and 5-Year-Olds race may not be drawn with these races, but shall be drawn at a time that is not more than 5 days before the scheduled running of the race. R. Purse Distribution. (1) The purse in each race shall be divided in the following manner: (a) 50 percent, 25 percent, 12 percent, 8 percent, and 5 percent to the first five finishers, respectively, if five or more horses finish; (b) 50 percent, 25 percent, 15 percent, and 10 percent to the first four finishers, respectively, if only four horses finish; (c) 55 percent, 30 percent, and 15 percent to the first three finishers, respectively, if only three horses finish; (d) 65 percent and 35 percent to the first two finishers, respectively, if only two horses finish; or (e) 65 percent to the finisher and 35 percent remains with the gait, if only one horse finishes. (2) Unless the Commission eliminates the races for one of the gaits in accordance with §K of this regulation, the purse monies shall be divided equally between races for trotters and races for pacers. S. With the advice of the Advisory Committee, the Commission may allow the entire Sires Stakes Program for 4 and 5-Year-Olds races to be held at any race track in Maryland. #### Regulation .54 Payments to Maryland Standardbred Race Fund. *COMAR 09.10.02.54* A. For each harness track meet, any moneys allocated to the Maryland Standardbred Race Fund and required to be paid to the Maryland Racing Commission by the licensee, will be paid to the Commission within 5 days after the close of the meet, or the outstanding balance will after that bear interest at the prime rate, as presently published in the Wall Street Journal under Money Rates for the publication date of the 5th day, or the immediately preceding publication date if the 5th day is not a publication date, on a per diem basis until available funds are paid the Commission for the outstanding amount due, including interest. B. In this chapter, “meet” means a specified period of consecutive days when an association is licensed by the Commission to conduct racing. #### Regulation .54-1 Standardbred Race Fund Administrator. *COMAR 09.10.02.54-1* A. The Standardbred Race Fund Advisory Committee shall select an administrator to supervise the daily operation of the Standardbred Race Fund. B. The Administrator selected by the Standardbred Fund Advisory Committee shall be appointed by, and serve at the pleasure of, the Commission. C. The salary and benefits of the Administrator shall be established by the Commission and, together with the other reasonable expenses incurred in the administration of the Standardbred Race Fund, shall be paid from the monies that inure to the Standardbred Race Fund. #### Regulation .55 Pick Six. *COMAR 09.10.02.55* A. The Pick Six is a form of pari-mutuel wagering. Each bettor selects the first horse in each of six consecutive races designated as the Pick Six races by the Association. The principle of a Pick Six is, in effect, a contract by the purchaser of a Pick Six ticket to select the winners of each of the six races designated as the Pick Six. B. The Pick Six pool shall be held entirely separate from all other pools and is not part of a daily double, exacta, trifecta, or other wagering pool. The Pick Six pool is a pool in which the bettor is required to select six consecutive winning horses and is not a parlay. C. Repealed. D. Races in which Pick Six pools shall be conducted shall be approved by the Maryland Racing Commission and clearly designated in the program. E. The design of Pick Six tickets shall be clearly and immediately distinguished from other pari-mutuel tickets with the identification “Pick 6” printed on the ticket. F. The Pick Six pari-mutuel pool shall be calculated as follows: (1) Seventy-five percent of the net amount in the pari-mutuel pool subject to distribution among winning ticket holders shall be distributed among the holders of pari-mutuel tickets which correctly designate the official winner in each of the six races comprising the Pick Six. The remaining undistributed 25 percent of the net pool shall be distributed among the holders of pari-mutuel tickets which correctly designate the most winning selections less than the six winning selections described above. (2) If there is no pari-mutuel ticket held which correctly designates the winner of all races comprising the Pick Six, 75 percent of that racing date's net amount available for distribution shall be carried over and included in the Pick Six pool requiring six winning selections, at the next performance. (3) If a Pick Six ticket designates as a selection to win in any one or more of the contests comprising the Pick Six, a single wagering interest which is scratched, excused or determined by the stewards to be a non-starter in the race, the actual favorite, as evidenced by the amounts wagered in the win pool at the time of the start, will be substituted for the non-starting selection for all purposes including pool calculations and payoffs, provided further that if the win pool for two or more favorites is identical, the selection shall be the lowest program number substituted for the non-starting selection. (4) The cancellation of one or more contests comprising the Pick Six in any performance shall result in that day's net pool being fully distributed to the individuals holding the most winners on that day's performance. If three or more of the six contests comprising the Pick Six are officially cancelled or declared as no contest, all pari- mutuel tickets on the Pick Six for that performance shall be refunded, and the Pick Six shall be cancelled for that performance. Any contributions to the Pick Six pool from prior performances will remain in the Pick Six pool to be carried over and included in the Pick Six pool for the next performance as prescribed in §F(2), above. (5) If the accumulated Pick Six has not been distributed prior to the closing day of the meeting in which the Pick Six pool was generated, the accumulated Pick Six pool and the net amount in the Best of Six pool, subject to distribution among winning ticket holders, shall be distributed among closing day holders of Pick Six tickets which correctly designate the most official winners of the six contests comprising the closing day Pick Six. Should there be a cancellation of the final day's card, or if the final day of Pick Six pool is cancelled, the contributions shall be transferred to the next harness track to operate. G. Those horses constituting an entry or a field as defined within the regulations of the Maryland Racing Commission shall race in any Pick Six race as a single wagering interest for the purpose of the Pick Six race pari-mutuel pool calculations and payouts to the public. A scratch, after wagering has begun, of any part of any entry or field selection in such a race shall be of no effect with respect to the status of this entry or field, or both, as a viable wagering interest. H. If, for any reason, any race or races of a Pick Six program is cancelled and declared “No Race”, the Pick Six pool shall be distributed to the holders of the most winning selections of the remaining races pursuant to §F. If the judges cancel or declare “No Race” in three or more of the Pick Six races for any given date, all pari-mutuel tickets for that Pick Six pool shall be refunded and the Pick Six cancelled for that day. I. If there is a dead-heat for win between two or more horses in any Pick Six race, all these horses in the dead-heat for win shall be considered as the winning horse in the race for the purpose of distributing the Pick Six pari-mutuel pool. J. A person may not disclose the number of tickets sold in the Pick Six pool or the number or amount of tickets selecting winners of Pick Six races before the time the judges have declared the last Pick Six race on any given date “official”. K. A pari-mutuel ticket for the Pick Six pool may not be sold, exchanged, or cancelled after the time of the closing of wagering in the first of the six races comprising the Pick Six. L. A validly issued Pick Six ticket timely surrendered to the association by the legal holder of it shall be the only evidence of a person's participation in the Pick Six pari-mutuel pool. The acceptance of a Pick Six ticket by taking an issued ticket away from the window or terminal from which it is purchased shall constitute an acknowledgement by the purchaser of the correctness of the ticket, and each purchaser of a Pick Six ticket agrees to be bound by the terms and provisions of this and all other applicable Commission rules and regulations and by the laws of the State pertaining to pari-mutuel wagering. The association, totalisator company, and the State may not be liable to a person for a ticket which is not a winning ticket in accordance with the provisions of this rule. The association, totalisator company, and the State may not be liable to a person for a Pick Six ticket not delivered for any reason, including but not limited to mechanical malfunction, electrical failure, machine locking, or other cause. M. This rule shall be prominently displayed throughout the betting area of each association conducting a Pick Six program. #### Regulation .56 Twin Trifecta (Double Triple). *COMAR 09.10.02.56* A. The Twin Trifecta is a type of bet in which: (1) A bettor initially selects three different betting interests to finish first, second, and third in that exact order in the first race of two designated races; and (2) For each successful minimum bet on the first of the two designated races of the Twin Trifecta, a bettor is entitled to one opportunity to select three different betting interests to finish first, second, and third in that exact order in the second race. B. A successful minimum bet on the first race of the Twin Trifecta is the only means by which a bettor may participate under §A(2) of this regulation. C. Repealed. D. The betting pool created under §A of this regulation shall be refunded if: (1) For any reason, the number of betting interests for either the first race or the second race of the Twin Trifecta is reduced to less than seven before betting is opened for the first race of this bet; (2) The first race of the two designated races is cancelled or declared no race; or (3) No bet on the first race of the two designated races contains a successful selection as set forth in §§E(1)(a) or J of this regulation. E. Unless there is a refund of the betting pool as set forth in §D of this regulation, or a racing association elects to employ the option specified under §G of this regulation, the net pool created by the Twin Trifecta bets shall be divided into two pools, where: (1) One pool shall be assigned to the first race and shall be distributed among those bets which contain the: (a) Betting interests finishing first, second, and third in that exact order in the first race of the two designated races; or (b) Most correct betting interests as set forth in §J of this regulation if no bet satisfies §E(1)(a) of this regulation; and (2) The other pool shall be assigned to the second race of the two designated races and shall be: (a) Distributed, along with any carry over, among those bets which contain the betting interests finishing first, second, and third in that exact order in the second race of the two designated races; (b) Distributed among those bets which contain the betting interests which finished first, second, and third in that exact order in the first race of the two designated races if the second race of the two designated races is cancelled or declared no race; (c) Carried over and added to the same type of pool on the next program of the race meeting if no bet on the day's program contains the betting interests finishing first, second, and third in that exact order in the second race of the two designated races; or (d) Distributed, along with any carry over, among those bets which contain the most correct betting interests, as set forth in §J of this regulation, in the second race of the two designated races, if: (i) No bet contains all the correct selections, and (ii) The racing association has given prior notice that there will be a mandatory distribution of the carry over. F. The formula for allocating the net pool among the two pools created under §E of this regulation shall be: (1) Established by the racing association; and (2) Maintained, as established, until the pool assigned to the second race of the two designated races, including the carry over pool, if any, has been distributed. G. Entire Net Pool Assigned to Second Race of Twin Trifecta. (1) Upon giving prior notice, a racing association may conduct a Twin Trifecta by which the entire net pool created by the Twin Trifecta bets is: (a) Assigned to the second race of the Twin Trifecta; and (b) Distributed in accordance with the provisions of §E(2) of this regulation. (2) If the association elects to employ the provisions of §G(1) of this regulation, the association shall continue to employ these provisions until the pool created by employing these provisions, including the carry over pool, if any, has been distributed. H. The will pay on the pools created in §E of this regulation and the pool created in §G of this regulation shall be calculated in the following manner: (1) Multiply the total number of successful bets at the minimum bet level in the pool by the minimum bet established under §C of this regulation; (2) Divide the total amount in the pool by the answer to §H(1) of this regulation; (3) Reduce the answer to §H(2) of this regulation to the next lowest multiple of 10 cents; (4) Multiply the answer to §H(3) of this regulation by the established minimum bet; (5) The answer to §H(4) of this regulation becomes the will pay for a minimum bet. I. If the answer to §H(2) of this regulation is less than $1.10, §H(2) of this regulation shall be disregarded, and $1.05 shall be substituted for the answer obtained from the calculation in §H(3) of this regulation. J. If no bet contains the betting interests finishing first, second, and third in that exact order in the first race of the two designated races, or a distribution of the pool assigned to the second race of the two designated races is required by the provisions of §E(2)(d) of this regulation, the distribution of a pool assigned to these races shall be based: (1) On bets which contain the betting interests finishing first and second in that exact order; and (2) If there is no bet that is in accordance with §J(1) of this regulation, on bets which contain the betting interest finishing first, selected in that position. K. Dead Heat. (1) If a dead heat or heats occur for any of the first three positions in either of the two designated races, a horse in a dead heat shall be considered as finishing in any position for which it dead heated. (2) In the event of a dead heat as described in §K(1) of this regulation, contrary to the usual practice, the aggregate number of winning tickets shall be used to calculate the will pay without regard to the number of selections containing a betting interest in one position or the other. L. Scratches. (1) If a betting interest in the first race of a Twin Trifecta is scratched, all issued tickets which include the scratched betting interest shall be refunded. (2) If a betting interest in the second race of a Twin Trifecta is scratched, the judges shall act as follows: (a) If there are more than 5 minutes to post remaining, as displayed on the infield tote board, the judges shall declare, by means of a public address announcement, that tickets which include the scratched betting interest may be exchanged before the running of the race; or (b) If there are 5 minutes or less to post remaining, as displayed on the infield tote board, the judges shall determine if there are tickets issued which contain the scratched betting interest and act as follows: (i) If there are no tickets, the judges shall take no further action, or (ii) If there are tickets, the judges shall declare, by means of a public address announcement, that the bets on the second of the two designated races are cancelled, and the pool allocated to the second race of the Twin Trifecta from that day only, not including any carry over, shall be distributed among those bets which contain the betting interests finishing first, second, and third in that exact order in the first race of the two designated races. M. If betting on the first race of the two designated races of a Twin Trifecta has started, and the number of betting interests for either the first or second race of the two designated races is reduced to less than seven, the racing association shall elect, in its sole and final discretion, to: (1) Refund the bets; or (2) Continue to offer this type of bet. N. If, after the first race of the two designated races has been run, and the second race of the two designated races has less than seven betting interests, the racing association shall elect, in its sole and final discretion, to: (1) Continue to offer this type of bet; or (2) Cancel this type of bet for the day and distribute the pool from this day only, not including any carry over, among those bets which contain the betting interests finishing first, second, and third in that exact order in the first race of the two designated races. O. Prohibitions. The following acts are prohibited: (1) Sales of tickets on this bet by any means other than through pari-mutuel machines; and (2) Disclosure of the number of tickets eligible for exchange on the second of the two designated races. P. If, at the end of the race meeting, the carry over pool has not been distributed in accordance with §E(2)(a) or (d) of this regulation, this pool shall be: (1) Placed in an interest-bearing escrow account, with the information on this account being furnished to the Commission; and (2) Carried over, with the accumulated interest, to a similar pool and offered for distribution on the first day of the next race meeting of the racing association at which the pool was generated. Q. Coupled entries and fields are permitted in the races on which this bet is offered. R. If the horses in a coupled entry or the horses in a field finish in more than one of the first three positions, one or more of the horses, as necessary, finishing directly after the first three horses shall be used to complete a winning bet consisting of three different betting interests. S. This regulation shall be prominently displayed in the betting area of a racing association offering this type of bet. #### Regulation .57 Superfecta. *COMAR 09.10.02.57* A. The Superfecta is a type of bet in which a bettor must select four different betting interests to finish first, second, third, and fourth in that exact order. B. If there was no bet issued which selected the first four betting interests in the exact order and the association has not provided for a carryover under §I of this regulation or provided for the distribution of a carryover under §J of this regulation, the net pool from this bet shall be distributed, in the following order of precedence, among those bets which selected the betting interests which finished: (1) First, second, and third in that exact order; (2) First and second in that exact order, if there is no bet that complies with §C(1) of this regulation; or (3) First, if there is no bet that complies with §B(1) or (2) of this regulation. C. If fewer than four betting interests finish the race, the net pool, not including any carryover, shall be distributed among the bets which selected the betting interests finishing the race in the exact order of the finish. D. Pay Off. (1) The pay off on winning bets shall be calculated as established for a win bet in accordance with Regulation .45W(1) of this chapter unless there is a dead heat for one or more of the first four positions. (2) If there is a dead heat for one or more of the first four positions: (a) The betting interests dead heated shall be counted as finishing in all of the places encompassed by the dead heat; and (b) The pay off shall be calculated as established for a place or show pool in accordance with Regulation .45W(2) or (3) of this chapter, whichever is applicable. E. The betting pool created under §A of this regulation, not including any carryover, shall be refunded if, for any reason: (1) No bet made qualifies for a payoff under §B or C of this regulation; or (2) The judges declare the race a “no contest”. F. The Superfecta may not be offered on a race which contains a field. G. If the horses in a coupled entry finish in more than one of the first four positions, one or more of the horses, as necessary, finishing directly after the first four horses shall be: (1) Used to complete a winning selection consisting of four different numbers; and (2) Assigned the positions behind those horses which have been advanced due to the coupled entry finishing in more than one of the first four positions. H. If a Superfecta bet contains a betting interest which is scratched, the bet shall be refunded. I. If, before accepting bets on a race for which Superfecta betting is offered, the association announces that a certain percentage of the Superfecta net pool will be carried over if no bet selects the first four finishers in exact order: (1) The percentage carried over shall be distributed proportionately among those bets which select the first four finishers in exact order the next time the bet is offered; and (2) The remainder of the pool shall be distributed in accordance with §C of this regulation. J. If the association has announced before accepting bets on the race that it will distribute the amount carried over from prior races, and no bet selects the first four finishers in exact order, the association shall distribute the carryover using the distribution provisions under §B of this regulation, unless the provisions of §E of this regulation apply. #### Regulation .58 Pick (n). *COMAR 09.10.02.58* A. The Pick (n) is a type of bet encompassing four or more races, the exact number of races being determined by the number substituted for (n), in which a bettor selects a betting interest to finish not lower than the position specified for this bet by the racing association for each of the races comprising the bet. B. Repealed. C. A Pick (n) bet shall be refunded if: (1) For any reason, 50 percent or more of the races scheduled as a part of this bet are cancelled or declared a “no contest”; or (2) No bet qualifies for a pay off under the provisions of §D, E, or F(1) of this regulation, and the provisions of §H of this regulation have not been invoked. D. If one or more of the races scheduled as part of the Pick (n) bet, but fewer than the number specified under §C(1) of this regulation, are cancelled or declared a “no contest”, the net pool on the bet from that day only shall be distributed, on a pari-mutuel basis, among the bets which contain the most correct selections for the races which were run. E. Except as provided in §C or D of this regulation, the net pool created under a Pick (n) bet, along with any carryover from previous pools of the same type of bet, shall be distributed on a pari-mutuel basis among those bets which contain: (1) All the correct selections; or (2) The most correct selections if: (a) No bet contains all the correct selections, and (b) The racing association has given prior notice that there will be a mandatory distribution of the carryover. F. If no bet contains all the correct selections in accordance with §E(1) of this regulation, and §E(2) of this regulation has not been invoked, the net pool created under a Pick (n) bet shall be divided into two pools, where: (1) One pool shall be distributed among those bets which contain the most correct selections; and (2) The other pool shall be carried over to the next program to offer this type of bet. G. The formula for allocating the net pool among the two pools created under §F of this regulation shall be: (1) Established by the racing association; and (2) Maintained as established, until: (a) A bet contains all the correct selections, or (b) The carryover pool is distributed in accordance with the provisions of §E(2) of this regulation. H. Entire Net Pool Assigned to Bets Containing All the Correct Selections. (1) Upon giving prior notice, a racing association may conduct a Pick (n) for which the entire net pool created by this bet may only be distributed to bets which contain all the correct selections. (2) If the racing association elects to employ the provisions of §H(1) of this regulation, the association shall continue to employ these provisions until the pool created by employing these provisions, including the carryover pool, if any, has been distributed. I. Dead Heat. If a dead heat or heats occur involving horses finishing in, or higher than, any of the places for which this bet is offered, a horse in a dead heat shall be considered as finishing in the position for which it dead heated. J. If there is more than one combination of winning bets, the aggregate dollars bet on the winning combinations shall be used to calculate the will pay without regard to the amount bet on one winning combination in relation to the amount bet on another winning combination. K. Scratches. If a betting interest is scratched, excused, or determined by the judges to be a nonstarter: (1) The actual favorite, as evidenced by the amounts bet in the win pool when betting on the race in which the scratched betting interest was to participate is closed, shall be substituted for that betting interest; or (2) The favorite with the lowest program number shall be substituted for the scratched betting interest if the amount bet in the win pool is identical on two or more favorites when betting on the race is closed. #### Regulation .59 Driver Challenge Event. *COMAR 09.10.02.59* A. A driver challenge event is one in which the: (1) Racing association: (a) Designates the specific races on a racing program that will comprise the event; and (b) Assigns a number to each of the drivers participating in these races; (2) Number of runners scheduled to participate in each race comprising the event is: (a) The same; and (b) No more than nine; (3) Same drivers are scheduled to drive in each race comprising the event; and (4) Selection of the number assigned to a driver automatically selects the horses scheduled to be driven by that driver in each race comprising the driver challenge event. B. A racing association conducting a driver challenge event may offer any type of bet on this series of races that is authorized by this chapter for a single race. C. Points. (1) Points shall be awarded to each betting interest according to the finish of the horses in each race comprising the driver challenge event, as follows: (a) 14 points for a first place finisher; (b) 9 points for a second place finisher; (c) 7 points for a third place finisher; and (d) The points awarded for each subsequent finisher after the finisher under §C(1)(c) of this regulation shall decrease by one point from the points awarded to the preceding finisher, ending at one point for the ninth place finisher. (2) If there is a dead heat for any position in one or more of the races comprising this event, the points for the position dead-heated and the subsequent position or positions, as appropriate, shall be aggregated and then allocated proportionately for the horses involved in the dead heat. (3) If a horse is scratched, declared a nonstarter in a race, or the race is called “No Contest”, the betting interests involved shall be awarded one point for that race. (4) After the last race of the driver challenge event, the points earned by each betting interest shall be totaled and the betting interest with the: (a) Highest number of points shall be considered to have finished first; (b) Second highest number of points shall be considered to have finished second; (c) Third highest number of points shall be considered to have finished third; and (d) All subsequent places shall be awarded accordingly. (5) Any ties for the places determined under §C(4) of this regulation shall be broken by awarding the place for which the betting interests tied to the betting interest with the greatest number of: (a) First place finishes; (b) Second place finishes, if a tie still exists after applying the provisions of §C(5)(a) of this regulation; and (c) Finishers at the next lower finishing position, down to nine, if a tie still exists after applying the provisions of §C(5)(a) and (b) of this regulation. (6) If, at the end of the process described under §C(5) of this regulation, the tie is not broken, the betting interests tied shall be considered to have finished in a dead heat. #### Regulation .60 Ocean High Five. *COMAR 09.10.02.60* A. The Ocean High Five is a contract by the purchaser of a ticket combining five horses to finish first, second, third, fourth, and fifth, in that specific order, in a race on which Ocean High Five wagering is offered. Payment of the ticket shall be made only to the purchaser who has selected the same order of finish as officially posted. B. The Ocean High Five is not a parlay and has no connection with, or relation to, any other wagering pool. The Ocean High Five shall be calculated as an entirely separate pool. C. Subject to Commission approval, the racing association shall establish the minimum amount for a bet on Ocean High Five tickets. D. Ocean High Five wagering may be conducted on a race that has at least seven separate wagering interests. E. If there is no pari-mutuel ticket issued that selects the first five finishers in exact order, then the entire net pool shall be: (1) Carried over to the next qualifying race offering Ocean High Five wagering; and (2) Combined with the Ocean High Five net pool for that race to determine the applicable payout. F. Distribution. (1) The entire Ocean High Five net pool plus any carryover shall be distributed on the last day of the race meet by the racing association, which shall hold Ocean High Five wagering on one race that day. (2) If a ticket is not sold that correctly selects five horses to finish first, second, third, fourth, and fifth, in that specific order, the entire net pool plus any carryover shall be distributed to the holders of tickets that correctly select four horses to finish first, second, third, and fourth, in that specific order. (3) If such a ticket is not sold, the entire net pool plus any carryover shall be distributed to the holders of tickets that correctly select three horses to finish first, second, and third, in that specific order. (4) If such a ticket is not sold, the entire net pool plus any carryover shall be distributed to the holders of tickets that correctly select two horses to finish first and second, in that specific order. (5) If no such ticket is sold, the entire net pool plus any carryover shall be distributed to the holders of tickets that correctly select the winner of the race. (6) If no such ticket is sold, the entire net pool plus any carryover shall be evenly distributed to the holders of all tickets. G. If, for any reason, there is not a mandatory distribution of the Ocean High Five carryover as provided in §F of this regulation, the Ocean High Five carryover shall be: (1) Placed into an interest bearing account as approved by the Commission; and (2) With accrued interest, added to the Ocean High Five pool of the next race meet held by a racing association where Ocean High Five wagering is conducted, unless otherwise agreed by that racing association and the racing association where the Ocean High Five pool carryover was generated. H. If a dead heat, or heats, occur in a race on which there is Ocean High Five wagering: (1) A horse in a dead heat shall be considered as finishing in the position for which it dead heated; and (2) Any selection in an Ocean High Five wager that correctly selects a horse in a dead heat as finishing in the position for which the horse dead heated shall be treated as a correct selection. I. In the event of a scratch in an Ocean High Five race: (1) Exchanges may not be made; and (2) All tickets that include the scratched horse shall be refunded. J. Coupled entries are permitted, but fields are prohibited in Ocean High Five races. K. For price calculations only, coupled entries shall be calculated as a single finishing horse, using the finishing position of the leading horse in the coupled entry to determine the order of placing. Example: If the actual order of finish in a race is 1 / 2 / 1A / 3 / 4 / 5, then the finishers used for that race in the Ocean High Five would be 1 / 2 / 3 / 4 / 5. L. Sale. (1) Ocean High Five tickets shall be sold only by the licensee through pari-mutuel machines programmed to print all selections on one ticket. (2) Resale of tickets from one individual to another is prohibited and is grounds for ejection. M. This regulation shall be printed in heavy type in a conspicuous place in the program or prominently posted near the betting windows of any association conducting this type of wager. #### Regulation .61 The Survivor Bet. *COMAR 09.10.02.61* A. The Survivor Bet is a contract by the purchaser of a ticket selecting the first place finisher in each of ten contests. B. Subject to Commission approval, the racing association shall establish the takeout and minimum amount for a bet on The Survivor Bet. C. The Survivor Bet wagering pool shall be distributed using the following method: (1) The Survivor Bet wager requires the ticket holder to correctly select the winner of each sequential leg in order to remain alive in the pool. (2) If at any time there is only one ticket remaining which has correctly selected the winner in each leg contested to that point, then the pool is at an end and that ticket is the winner regardless of whether the remaining legs result in winning selections. (3) If at any time there are multiple tickets remaining which correctly selected the winner in each leg contested to that point but none of those correctly select the winner of the subsequent leg, then the pool is at an end and those tickets are the winners regardless of whether the remaining legs result in winning selections. Each of these tickets shall be apportioned a payout. (4) If all ten contests are completed and there are multiple tickets which correctly selected the winner in each leg, then those tickets are the winners. Each of these tickets shall be apportioned a payout. (5) The net Survivor pool shall be distributed as a single price pool to those who sequentially selected the first place finishers in the greatest number of Survivor contests, based on the official order of finish. (6) All winning payouts shall be made after the conclusion of the tenth contest. (7) If there are no winning wagers, the entire pool shall be refunded. D. If there is a dead heat for first in any of the Survivor contests involving: (1) Contestants representing the same betting interests, the Survivor pool shall be distributed as if no dead heat occurred. (2) Contestants representing two or more betting interests, the Survivor pool shall be distributed as a single price pool with each winning wager receiving an equal share of the profit. E. Should a betting interest in any of the Survivor pools be scratched, the actual favorite, as evidenced by total amounts wagered in the Win pool at the host association for the contest at the close of wagering on that contest, shall be substituted for the scratched betting interest, for all purposes, including pool calculations. In the event that the Win pool total for two or more favorites is identical, the substitute selection shall be the betting interest with the lowest program number; F. The tote company shall produce reports showing each of the wagering combinations with substituted betting interests which became winners as a result of the substitution, in addition to the normal winning combination. G. The Survivor Bet shall be canceled and all Survivor Bet wagers for the individual performance shall be refunded if all races included in the Survivor Bet pool are canceled or declared “no contest”. H. If at least one contest included as part of the Survivor Bet is canceled or declared a “no contest”, the net pool shall be distributed as a single price pool to those whose selection finished first in the greatest number of Survivor contests for that performance. I. A “no contest” race is not to be considered as a contested race. The Survivor Bet will advance all tickets that remained alive in the previous leg of the pool. J. Subject to Commission approval, an association may contribute a sum of money up to the amount approved by the commission to the Survivor pool. #### Regulation .62 Jackpot Super High Five. *COMAR 09.10.02.62* A. The Jackpot Super High Five is a contract by the purchaser of a ticket combining five horses to finish first, second, third, fourth, and fifth, in that specific order, in a race on which Jackpot Super High Five wagering is offered, where, unless otherwise provided, only one, unique pari-mutuel ticket holder designates the official order of finish for the first five horses. Payment of the ticket shall be made only to the purchaser of the single, unique pari-mutuel ticket who has selected the same order of finish as officially posted. B. The Jackpot Super High Five is not a parlay and has no connection with, or relation to, any other wagering pool. The Jackpot Super High Five shall be calculated as an entirely separate pool. C. Subject to Commission approval, the racing association shall establish the minimum amount for a bet on the Jackpot Super High Five tickets. D. Jackpot Super High Five wagering may be conducted on a race that has at least seven separate wagering interests. E. Except as provided in §H of this regulation, the net pari-mutuel pool for the Jackpot Super High Five bet on a qualifying race that day, together with any carryover from previous pools of the same type of bet, shall be distributed to the holder of the single, unique pari­mutuel ticket which correctly designates the official order of finish for the first five horses in the Jackpot Super High Five wager for that race on that day. F. In the event there is more than one pari-mutuel ticket which correctly designates the official order of finish for the first five horses in the Jackpot Super High Five bet for that race on that day, the net pari-mutuel pool for the Jackpot Super High Five bets that day shall be distributed: (1) 50 percent, equally, to the holders of pari-mutuel tickets which correctly designate the official order of finish for the first five horses in the Jackpot Super High Five bet for that race on that day; and (2) 50 percent to the Jackpot Super High Five carryover pool. G. If there is no pari-mutuel ticket issued that selects the first five finishers in exact order, then the entire net pool shall be: (1) Carried over to the next qualifying race offering Jackpot Super High Five wagering; and (2) Combined with the Jackpot Super High Five net pool for that race to determine the applicable payout. H. Mandatory Distribution. (1) The entire Jackpot Super High Five net pool plus any carryover shall be distributed on the last day of the race meet by the racing association, which shall hold Jackpot Super High Five wagering on a qualifying race that day. (2) If a ticket is not sold that correctly selects five horses to finish first, second, third, fourth, and fifth, in that specific order, the entire net pool plus any carryover shall be distributed to the holders of tickets that correctly select four horses to finish first, second, third, and fourth, in that specific order. (3) If such a ticket is not sold, the entire net pool plus any carryover shall be distributed to the holders of tickets that correctly select three horses to finish first, second, and third, in that specific order. (4) If such a ticket is not sold, the entire net pool plus any carryover shall be distributed to the holders of tickets that correctly select two horses to finish first and second, in that specific order. (5) If no such ticket is sold, the entire net pool plus any carryover shall be distributed to the holders of tickets that correctly select the winner of the race. (6) If no such ticket is sold, the entire net pool plus any carryover shall be evenly distributed to the holders of all tickets. I. If, for any reason, there is not a mandatory distribution of the Jackpot Super High Five carryover as provided in §H of this regulation, the Jackpot Super High Five carryover shall be: (1) Placed into an interest bearing account as approved by the Commission; and (2) With accrued interest, added to the Jackpot Super High Five pool of the next race meet held by a racing association where Jackpot Super High Five wagering is conducted, unless otherwise agreed by that racing association and the racing association where the Jackpot Super High Five pool carryover was generated. J. If fewer than five betting interests finish and the contest is declared official, payoffs will be made based on the order of finish of those betting interests completing the contest. The balance of any selection on any ticket beyond the number of betting interests completing the contest shall be ignored. Any previous Jackpot Super High Five contest’s carryover will not be included in the payoff and will be retained for the next contest’s carryover. K. If a dead heat, or heats, occur in a race on which there is Jackpot Super High Five wagering: (1) A horse in a dead heat shall be considered as finishing in the position for which it dead heated; and (2) Any selection in a Jackpot Super High Five wager that correctly selects a horse in a dead heat as finishing in the position for which the horse dead heated shall be treated as a correct selection. L. In the event of a scratch in a Jackpot Super High Five race: (1) Exchanges may not be made; and (2) All tickets that include the scratched horse shall be refunded. M. Coupled entries are permitted, but fields are prohibited in Jackpot Super High Five races. N. For price calculations only, coupled entries shall be calculated as a single finishing horse, using the finishing position of the leading horse in the coupled entry to determine the order of placing. Example: If the actual order of finish in a race is 1 / 2 / 1A / 3 / 4, 5, then the finishers used for that race in the Super High Five would be 1 / 2 / 3 / 4 / 5. O. Sale. (1) Jackpot Super High Five tickets shall be sold only by the licensee through pari-mutuel machines programmed to print all selections on one ticket. (2) Resale of tickets from one individual to another is prohibited and is grounds for ejection. P. This regulation shall be printed in heavy type in a conspicuous place in the program or prominently posted near the betting windows of any association conducting this type of wager. ### Chapter 03 — Prohibited Acts **Authority:** Business Regulation Article, §11-210, Annotated Code of Maryland **Administrative History:** Effective date: January 2, 1994 (20:26 Md. R. 2027) **Administrative History:** Regulation .01 amended as an emergency provision effective May 18, 2017 (44:12 Md. R. 585); emergency status expired September 1, 2017 **Administrative History:** Regulation .01 amended effective September 25, 2017 (44:19 Md. R. 896) **Administrative History:** Regulation .01B amended as an emergency provision effective October 27, 1995 (22:23 Md. R. 1794); emergency status expired April 1, 1996 **Administrative History:** Regulation .01B amended effective October 29, 2001 (28:21 Md. R. 1855); October 24, 2005 (32:21 Md. R. 1707) **Administrative History:** Regulation .01B amended as an emergency provision effective January 1, 2009 (35:24 Md. R. 2068); amended permanently effective February 23, 2009 (36:4 Md. R. 353) **Administrative History:** Regulation .01B amended effective October 15, 2012 (39:20 Md. R. 1306); January 1, 2014 (40:20 Md. R. 1651); December 19, 2016 (43:25 Md. R. 1384) **Administrative History:** Regulation .01B amended as an emergency provision effective February 1, 2020 (47:4 Md. R. 260); amended permanently effective May 18, 2020 (47:10 Md. R. 515) **Administrative History:** Regulation .01-1 adopted effective January 1, 2014 (40:20 Md. R. 1651) **Administrative History:** Regulation .01-1 amended effective October 13, 2014 (41:20 Md. R. 1112) **Administrative History:** Regulation .01-1 amended as an emergency provision effective May 24, 2016 (43:13 Md. R. 711); amended permanently effective October 24, 2016 (43:21 Md. R 1165) **Administrative History:** Regulation .01-1 amended as an emergency provision effective February 1, 2020 (47:4 Md. R. 260); amended permanently effective May 18, 2020 (47:10 Md. R. 515) **Administrative History:** Regulation .01-1 amended as an emergency provision effective November 1, 2021 (48:24 Md. R. 1024); adopted permanently effective February 7, 2022 (49:3 Md. R. 138) **Administrative History:** Regulation .01-1E-1 adopted as an emergency provision effective August 1, 2015 (42:16 Md. R. 1052); adopted permanently effective October 26, 2015 (42:21 Md. R. 1300) **Administrative History:** Regulation .01-1E repealed and Regulation 01-1E-1 renumbered to be new Regulation .01-1E effective March 1, 2021 (48:4 Md. R. 176) **Administrative History:** Regulation .01-1G amended effective March 26, 2018 (45:6 Md. R. 318) **Administrative History:** Regulation .01-1M-1 adopted effective February 29, 2016 (43:4 Md. R. 331) **Administrative History:** Regulation .01-2 adopted effective April 1, 2020 (47:6 Md. R. 341) **Administrative History:** Regulation .02 amended as an emergency provision effective January 1, 2015 (42:1 Md. R. 12); amended permanently effective February 16, 2015 (42:3 Md. R. 315) **Administrative History:** Regulation .02C amended effective April 24, 2017 (44:8 Md. R. 401) **Administrative History:** Regulation .03A amended effective April 28, 2003 (30:8 Md. R. 539) **Administrative History:** Regulation .03C adopted as an emergency provision effective October 28, 2002 (29:23 Md. R. 1807); adopted permanently effective April 28, 2003 (30:8 Md. R. 539) **Administrative History:** Regulation .03C amended effective August 15, 2005 (32:16 Md. R. 1392); December 28, 2020 (47:26 Md. R. 1107) **Administrative History:** Regulation .04 amended effective October 29, 2001 (28:21 Md. R. 1855); January 1, 2014 (40:20 Md. R. 1651) **Administrative History:** Regulation .04A amended effective July 4, 1994 (21:13 Md. R. 1155); April 22, 2019 (46:8 Md. R. 401) **Administrative History:** Regulation .04C amended effective October 6, 1997 (24:20 Md. R. 1403) **Administrative History:** Regulation .04D-1 adopted effective March 27, 2006 (33:6 Md. R. 578) **Administrative History:** Regulation .04G amended effective March 27, 2006 (33:6 Md. R. 578) **Administrative History:** Regulation .05A amended effective March 13, 1995 (22:5 Md. R. 366); October 30, 2000 (27:21 Md. R. 1974) **Administrative History:** Regulation .05D amended effective January 16, 1995 (22:1 Md. R. 19) **Administrative History:** Regulation .08 amended effective May 4, 1998 (25:9 Md. R. 678); November 30, 1998 (25:24 Md. R. 1772); October 29, 2001 (28:21 Md. R. 1855); September 30, 2002 (29:19 Md. R. 1523); October 24, 2005 (32:21 Md. R. 1707); January 1, 2014 (40:20 Md. R. 1651) **Administrative History:** Regulation .08A amended as an emergency provision effective July 31, 2020 (47:18 Md. R. 823); emergency status expired December 28, 2020 **Administrative History:** Regulation .08A amended effective December 28, 2020 (47:26 Md. R. 1107) **Administrative History:** Regulation .08A-1 adopted as an emergency provision effective July 31, 2020 (47:18 Md. R. 823); emergency status expired December 28, 2020 **Administrative History:** Regulation .08A-1 adopted effective December 28, 2020 (47:26 Md. R. 1107) **Administrative History:** Regulation .08G amended as an emergency provision effective March 15, 2021 (48:7 Md. R. 258); amended permanently effective June 28, 2021 (48:13 Md. R. 508) **Administrative History:** Regulation .08H amended effective January 16, 1995 (22:1 Md. R. 19) **Administrative History:** Regulation .08I amended effective October 9, 1995 (22:20 Md. R. 1542) **Administrative History:** Regulation .08I amended as an emergency provision effective October 27, 1995 (22:23 Md. R. 1794); emergency status expired April 1, 1996 **Administrative History:** Regulation .08I amended as an emergency provision effective April 2, 1996 (23:7 Md. R. 548); amended permanently effective August 26, 1996 (23:17 Md. R. 1247) **Administrative History:** Regulation .08J amended effective May 5, 1997 (24:9 Md. R. 656) **Administrative History:** Regulation .09D, G amended effective May 25, 2026 (53:10 Md. R. 454) **Administrative History:** Regulation .09H amended effective August 14, 1995 (22:16 Md. R. 1220) **Administrative History:** Regulation .10 adopted as an emergency provision effective May 18, 2017 (44:12 Md. R. 585); emergency status expired September 1, 2017 **Administrative History:** Regulation .10 adopted effective September 25, 2017 (44:19 Md. R. 896) #### Regulation .01 Definitions. *COMAR 09.10.03.01* A. The definitions set forth in Business Regulation Article, §11-210, Annotated Code of Maryland, apply in this chapter, unless otherwise noted. B. In addition, the following terms have the meanings indicated. (1) “ARCI” means the Association of Racing Commissioners International, Inc., a trade organization of the official governing rule making bodies for horse racing in North America with pari-mutuel betting. (2) “Drug” means a substance which may have a pharmacological effect on a horse, and: (a) Which does not exist naturally in the untreated horse at a normal physiological concentration; (b) Is defined as a controlled dangerous substance under Criminal Law Article, §5-101, Annotated Code of Maryland; (c) Is intended to be used for the diagnosis, cure, mitigation, treatment, or prevention of diseases affecting a human or other animal; (d) Other than food, is intended to affect the structure or a function of the body of a human or other animal; (e) Is intended for use as a component of an item specified in §B(2)(a)—(d) of this regulation; or (f) Includes the detection of two or more non-steroidal anti-inflammatory drugs in blood plasma or urine or both. (3) “Judges” means those individuals appointed by the Commission to enforce the regulations of the Commission at a harness race track. (4) “State” means the State of Maryland. (5) “Stewards” means those individuals appointed by the Commission to enforce the regulations of the Commission at a thoroughbred race track. #### Regulation .01-1 Restricted Use of Medications and Other Substances. *COMAR 09.10.03.01-1* The use of the following medications and other substances is permitted if quantitated at not more than the specified thresholds: A. Acepromazine quantitated at not more than 10 nanograms per milliliter of HEPS in urine; B. Albuterol quantitated at not more than 1 nanogram per milliliter of urine; C. Butorphanol quantitated at not more than 300 nanograms per milliliter of total butorphanol in urine, or 2 nanograms per milliliter of free butorphanol in blood plasma or serum; D. Caffeine quantitated at not more than 100 nanograms per milliliter of blood plasma or serum; E. Cetirizine quantitated at not more than 6 nanograms per milliliter of blood plasma or serum; F. Cimetidine quantitated at not more than 400 nanograms per milliliter of blood plasma or serum; G. Cobalt quantitated at not more than 25 nanograms per milliliter of blood plasma or serum; H. Dantrolene qunatitated at not more than 100 picrograms per milliliter of 5-hydroxydantrolene in blood plasma or serum; I. Detomidine quantitated at not more than 2 nanograms per milliliter of carboxydetomidine in urine, or 1 nanogram of detomidine per milliliter of blood plasma or serum; J. Dimethlysulfoxide (DMSO) quantitated at not more than 10 micrograms per milliliter of blood plasma or serum; K. Flunixin quantitated at not more than 5 nanograms per milliliter of blood plasma or serum; L. Furosemide (Lasix), as provided in Regulation .08 of this chapter; M. Gamma aminobutyric acid quantitated at not more than 110 nanograms per milliliter of blood plasma or serum; N. Glycopyrrolate quantitated at not more than 3 picograms per milliliter of blood plasma or serum; O. Guaifenesin quantitated at not more than 12 nanograms per milliliter of blood plasma or serum; P. Ketoprofen quantitated at not more than 2 nanograms per milliliter of blood plasma or serum; Q. Lidocaine quantitated at not more than 20 picograms per milliliter of total 3-hydroxylidocaine in blood plasma or serum; R. Mepivacaine quantitated at not more than 10 nanograms per milliliter of total hydroxymepivacaine in urine, or the limit of detection of mepivacaine in blood plasma or serum; S. Methocarbamol quantitated at not more than 1 nanogram per milliliter of blood plasma or serum; T. Methylprednisolone quantitated at not more than 100 picograms per milliliter of blood plasma or serum; U. Omeprazole quantitated at not more than 10 nanograms per milliliter of blood plasma or serum; V. Phenylbutazone quantitated at not more than 0.3 micrograms per milliliter of the blood plasma or serum; W. Procaine Penicillin quantitated at not more than 25 nanograms per milliliter of blood plasma or serum; X. Ranitidine quantitated at not more than 40 nanograms per milliliter of blood plasma or serum; Y. Xylazine quantitated at not more than 200 picigrams per milliliter of blood plasma or serum; Z. Nandrolone quantitated at not more than 1 nanogram per milliliter of urine taken from a gelding, filly, or mare; AA. Boldenone quantitated at not more than 15 nanograms per milliliter of urine taken from a colt or horse; BB. Testosterone quantitated at not more than 20 nanograms per milliliter of urine taken from a gelding; and CC. Testosterone quantitated at not more than 55 nanograms per milliliter of urine taken from a filly or mare. #### Regulation .01-2 Medical Records. *COMAR 09.10.03.01-2* The health and medical record of a horse shall include the name of the horse and all medications, drugs, substances, or procedures administered by an individual or prescribed or administered by a veterinarian for up to the previous 3 years. #### Regulation .02 Sanctions. *COMAR 09.10.03.02* In addition to a specific sanction applicable to a particular violation, an individual found by the: A. Stewards or judges to have violated a provision of this chapter may be subject to: (1) A fine of up to $2,500; (2) The suspension of any license issued by the Commission for a period of up to 360 days; and (3) Referral to the Commission for additional sanctions if the stewards or judges determine that a greater sanction is warranted than they are empowered to impose; and B. Commission to have violated a provision of this chapter may be subject to: (1) A fine of up to $5,000; (2) The suspension or revocation of any license issued by the Commission; and (3) Certain conditions of licensure as imposed by the Commission. C. Multiple Medication Violations. (1) A trainer who receives a penalty for a medication violation based upon a horse testing positive for a Class 1—5 medication with Penalty Class A—C, as provided in the most recent version of the Association of Racing Commissioners International Uniform Classification Guidelines for Foreign Substances, shall be assigned points as follows: (2) The points assigned to a medication violation by the stewards or judges shall not be applied until a final adjudication of the enforcement of any such violation. (3) A trainer’s cumulative points for violations in all racing jurisdictions shall be maintained by the Association of Racing Commissioners International. Once all appeals are waived or exhausted, the points shall immediately become part of the trainer’s official record and shall be considered by the Commission in its determination to subject the trainer to the mandatory enhanced penalties by the stewards or judges as provided in this regulation. (4) If the Stewards, Judges, or Commission determine that the violation is due to environmental contamination, they may assign fewer or no points against the trainer based upon the specific facts of the case. (5) Multiple positive tests for the same medication incurred by a trainer prior to delivery of the official notice by the laboratory may be treated as a single violation. In the case of a positive test indicating multiple substances found in a single post-race sample, the stewards or judges may treat each substance found as an individual violation for which points will be assigned. (6) The stewards or judges shall consider all points for violations in all racing jurisdictions as contained in the trainer’s official record when determining whether the mandatory enhancements provided in this regulation shall be imposed. (7) In addition to the penalty for the underlying offense, the following penalty shall be imposed upon a licensed trainer based upon the cumulative points contained in their official record: (8) Multiple medication points are not a substitute for the current penalty system and are intended to be an additional uniform penalty when the licensee: (a) Has more than one violation for the relevant time period; and (b) Exceeds the permissible number of points. (9) The suspension periods, as provided in §C(6) of this regulation, shall run consecutive to any suspension imposed for the underlying offense. (10) The stewards’ or judges’ ruling shall distinguish between the penalty for the underlying offense and any penalty based upon a steward’s or judge’s review of a the trainer’s cumulative points and regulatory record, which may be considered an aggravating factor in a case. (11) Points assigned to a trainer for a medication violation shall expire on the anniversary date of the date the suspension is completed as follows: #### Regulation .03 General. *COMAR 09.10.03.03* A. Except as provided in §A(14) of this regulation, the following acts are prohibited if committed on the grounds of a facility under the jurisdiction of the Commission, if they affect a race conducted live in this State, or if they affect the betting on a race in this State: (1) Offering, promising, giving, accepting, or soliciting a bribe in any form, directly or indirectly, to or by a person having any connection with the outcome of a race; (2) Entering, or knowingly aiding and abetting in the entering of, a horse ineligible or unqualified to race; (3) Participating in any improper, corrupt, or fraudulent act or practice in relation to racing; (4) Causing, attempting to cause, or any participation in an attempt to cause the pre-arrangement of a race result; (5) Soliciting bets on a horse from the public by a licensee either by correspondence or other methods; (6) Using or possessing a battery, buzzer, electrical device, or other appliance, other than an ordinary whip, which could be used to alter the speed or racing condition of a horse in a race or workout; (7) Using profane, abusive, or insulting language to employees of the Commission, employees of a facility under the jurisdiction of the Racing Commission, or the public; (8) Being in an intoxicated state; (9) Fighting or other conduct of a disorderly nature; (10) Using or possessing a deadly weapon; (11) Committing or participating in the commission of a criminal act; (12) Violating a regulation or condition of the Commission or aiding or abetting a person in the violation of a regulation or condition of the Commission; (13) Failing to comply with an order or ruling of a steward, judge, or other racing official pertaining to a racing matter; (14) Cruelty to a horse wherever committed; (15) Tampering, or attempting to tamper, with a horse for any purpose; (16) Transferring, or attempting to transfer, the ownership of a horse for a purpose other than its legitimate sale or lease; (17) Registering a horse under the name of a person other than the legitimate owner or lessee of the horse; (18) Making false or misleading statements to a racing official or submitting false or misleading statements on a license application; (19) Except as otherwise provided in this regulation, using or possessing, actually or constructively, any of the following items: (a) A drug, or (b) A hypodermic needle, hypodermic syringe, or other device which could be used for injection; (20) Using or possessing the ingredients or the paraphernalia associated with the forced feeding to a horse of a combination of baking soda and sugar, or a form of sugar, or administrating a substance by tubing within 24 hours of a racing program in which a horse is scheduled to race; (21) The possession or administration of Erythropoietin or any analogous substance that increases the oxygen-carrying capacity of the blood; and (22) Failing to report the knowledge of a violation of this regulation to the stewards, judges, or the Commission. B. The use or possession of the items listed in §A(19)(a) and (b) of this regulation is permissible if the: (1) Item is possessed or used for a legitimate purpose by a licensed veterinarian; (2) Item is possessed or used pursuant to a valid prescription or order from a medical practitioner while acting in the course of the practitioner's professional practice; or (3) Stewards or judges, in their discretion, grant permission authorizing the possession or use of the item. C. The use of a shockwave therapy device is prohibited unless: (1) The device is registered with the Commission Veterinarian; (2) The device is used by a licensed veterinarian; (3) The device is used on a horse at least 10 days before the horse participates in a race or workout; and (4) Each use of the device is reported to the stewards on a daily medication report as provided in COMAR 09.10.01.47K and COMAR 09.10.02.39F(3) and (4). #### Regulation .04 Drug Prohibition — Horses. *COMAR 09.10.03.04* A. Other than Lasix administered in accordance with the regulations in this chapter, an individual may not administer, cause to be administered, participate, or attempt to participate in any way in the administration of any drug or medication to a horse: (1) During the 24-hour period before the scheduled post time for the race in which the horse is to participate; and (2) Until after the race in which the horse is programmed to participate is run. B. A horse participating in a race may not carry in its body: (1) A drug; or (2) A medication or other substance quantitated at more than the thresholds prescribed in Regulation .01-1 of this chapter. C. The presence of a drug or a medication or other substance quantitated at more than the thresholds prescribed in Regulation .01-1 of this chapter in the post-race urine, blood, or other sample taken from a horse is prima facie evidence that the: (1) Horse was administered a drug and carried the drug in its body during the race; and (2) Drug was administered by the person or persons having control, care, or custody of the horse. D. The presence of a drug, as defined in Regulation .01B(1)(a)(i) of this chapter, in a prerace blood sample taken from a horse that participated in a race, is prima facie evidence that the: (1) Horse was administered a drug and carried the drug in its body during the running of the race; and (2) Drug was administered by the person or persons having control, care, or custody of the horse. E. Trainer Responsibility. A trainer is the absolute insurer of, and responsible for, the condition of each horse the trainer enters in a race, regardless of the acts of third parties. F. Enforcement. (1) The stewards or judges may order the: (a) Post-race taking of urine, blood, or other samples for testing purposes from any horse which participated in a race; (b) Prerace taking of blood samples for testing purposes from any horse entered in a race to determine the presence of a drug, as defined in Regulation .01B(1)(a)(i) of this chapter; (c) Denial, forfeiture, and prompt return of a purse, sweepstakes, trophy, or any other reward received by the owner of a horse found to have carried a drug or a medication or other substance quantitated at more than the thresholds prescribed in Regulation .01-1 of this chapter in its body during a race; (d) Redistribution of the items denied, forfeited, and returned, resulting from the disqualification of a horse found to have carried a drug or a medication or other substance quantitated at more than the thresholds prescribed in Regulation .01-1 of this chapter in its body during a race, to those owners whose horses were advanced by the disqualification. (2) If the stewards or judges order a disqualification due to a horse having carried a drug or a medication or other substance quantitated at more than the thresholds prescribed in Regulation .01-1 of this chapter in its body during a race, they shall issue a ruling announcing the disqualification. G. Repeat Violations. An individual guilty of violating this regulation, or a comparable regulation of another racing jurisdiction, for the second time is considered a repeat offender, and the stewards, judges, or the Commission shall weigh this factor in determining a sanction. #### Regulation .05 Drug Prohibition — Humans. *COMAR 09.10.03.05* A. Drug Testing. (1) The stewards or judges may direct a licensee to deliver a specimen of urine, or submit to another noninvasive test, in the presence of the track physician or other representative appointed by the Commission, for the detection of an impermissible drug, using as a basis for this directive: (a) Reasonable cause for any licensee; or (b) Random selection for a licensee who: (i) As part of the licensee's duties and responsibilities, comes into contact with a horse; or (ii) Is employed by the association as a part of the security force in the backstretch area of the racetrack. (2) Random drug testing, as provided by §A(1)(b) of this regulation, may be accomplished by the: (a) Testing of all licensees in a category of licensure; (b) Selection by lottery of licensees within a category of licensure; or (c) Selection of licensees who have a documented, or otherwise verified, history of prior drug use within the previous 5 years. (3) For the purposes of §A(2)(c) of this regulation, the stewards or judges may not direct a licensee to submit to a drug test more than once in a calendar week. B. A sufficient quantity of the specimen shall be collected to provide for a split sample when possible. C. Refusal to submit a specimen as directed by the stewards, judges, or designated Commission representative without good cause shall subject an individual to disciplinary action as provided in this chapter, and the individual may not be permitted to continue to function in the individual's licensed capacity pending a hearing on the matter. D. The presence of a drug or the metabolite of a drug in a specimen is considered a positive specimen, unless it is determined by the stewards, judges, or the Commission that the presence of a drug or the metabolite of a drug in a specimen was not due to purposeful use by the licensee. E. An individual whose specimen is positive is subject to an evaluation and disciplinary action as provided in this regulation. F. Disciplinary Action and Evaluation. (1) For an individual's initial violation under this regulation, the individual shall be suspended until such time as the individual has been professionally evaluated. (2) If the professional evaluation indicates that the individual's condition is nonaddictive and not detrimental to the best interests of racing, the suspension shall be lifted after the individual: (a) Provides the results of a drug test which indicates that the individual presently is drug free; and (b) Agrees to submit to drug testing at the direction of the stewards, judges, or designated Commission representative to ensure a continuing drug-free condition. (3) If the professional evaluation indicates that the individual's condition is addictive or detrimental to the best interests of racing, the suspension remains in effect until such time as the individual: (a) Provides documented proof of successfully completing a certified drug rehabilitation program approved by the Commission; (b) Provides the results of a drug test which indicates that the individual presently is drug free; and (c) Agrees to submit to drug testing at the direction of the stewards, judges, or designated Commission representative to ensure a continuing drug-free condition. G. For an individual's second violation under this regulation, the individual shall be suspended for an indefinite period and may apply for reinstatement only in the discretion of the Commission following completion of a certified drug rehabilitation program approved by the Commission. #### Regulation .06 Alcohol Detection Test. *COMAR 09.10.03.06* A. The stewards, judges, or a designated Commission representative may direct a licensee to submit to a noninvasive alcohol detection test for the detection of an impermissible level of alcohol, using as a basis for this order: (1) Reasonable cause for any licensee; or (2) Random selection for a licensee who, as part of the licensee's duties and responsibilities, comes into contact with a horse. B. A test which shows a reading of more than 0.05 percent alcohol in the blood subjects the licensee to disciplinary action, and the licensee is not permitted to continue to perform in a licensed capacity on that racing day. C. A licensee who refuses to take an alcohol detection test as directed by the stewards, judges, or designated Commission representative is subject to disciplinary action, and the licensee is not permitted to continue to perform in a licensed capacity on that racing day. #### Regulation .07 Search and Seizure. *COMAR 09.10.03.07* A. The stewards, judges, or designated Commission representatives have the right to enter into or upon the buildings, stables, rooms, automobiles, or any other place within the grounds of a facility under the jurisdiction of the Commission for the purpose of examining them, as well as the personal property and effects of a licensee contained there for the purpose of searching for, and the seizure of, items that constitute evidence of a violation of this chapter. B. An individual who has been granted a license by the Commission, by accepting the license, consents to a search and seizure as provided in §A of this regulation. C. A licensee who refuses to permit a search may be disciplined. #### Regulation .08 Bleeders. *COMAR 09.10.03.08* A. The administration of Lasix to a horse is permissible, except as set forth in §A-1 of this regulation, if: (1) The administration of Lasix is recommended by a practicing veterinarian; (2) The recommendation is submitted to the State Veterinarian in writing; and (3) The trainer declares the use of Lasix at the time of entry. A-1. No 2-year-old thoroughbred horse or any thoroughbred horse scheduled to compete in a graded stakes race may be administered Lasix (furosemide) within 48 hours of the post time at which it is scheduled to run. B. A Commission veterinarian is responsible for maintaining up-to-date records of horses which are permitted to use Lasix, and these records shall be available for inspection during the hours of operation of a race track. C. If a horse has been observed by a Commission veterinarian to have bled from at least one nostril during the running of a race or workout, either on the racing strip or in the barn area, that horse may not be permitted to race for a period of 14 days. D. If a horse has been observed to have bled as described under §C of this regulation within 365 days of the first occurrence, that horse: (1) May not race for 30 days after the first reoccurrence; (2) May not race for 180 days after the second reoccurrence; and (3) Is banned from racing forever after the third reoccurrence. E. For the purpose of counting the number of days a horse is not permitted to race in this State under this section, the day the horse bled is the first day, and the horse shall be permitted to race in this State when the last day has expired. F. Race Day Administration of Lasix. (1) Unless a horse has been declared off of Lasix pursuant to §G of this regulation, a horse that is permitted to use Lasix shall be administered Lasix on the day of the race only by a veterinarian designated by the Commission to perform such a function. (2) As indicated by post-race quantitation, a horse may not carry in its body at the time of the running of a race not more than 100 nanograms of Lasix per milliliter of plasma or serum. (3) Reports. (a) The veterinarian who administers Lasix to a horse scheduled to race shall prepare a written certification indicating that Lasix was administered. (b) The written certification shall be in the possession of a designated Commission representative at least 1 hour before the horse is scheduled to race. (c) The stewards or judges shall order a horse scratched if the written certification is not received in a timely manner. G. Racing Off of Lasix. (1) Except for a horse that races in any jurisdiction where the rules of the regulatory authority or the conditions of the race established by the racing association do not permit the use of Lasix, a horse on the Lasix Program that races without Lasix in any jurisdiction which permits the use of Lasix may not be eligible for its use for a period of 60 days. (2) To become eligible after 60 days, the horse shall have been observed to have bled by a Commission veterinarian either: (a) Externally; or (b) By endoscopic examination. H. Program Notice. (1) Of the horses scheduled to race, the official program shall denote the horses which have been administered: (a) Lasix; and (b) Lasix for the first time. (2) If the official program contains past performance lines, each past performance line shall indicate if the horse was administered. #### Regulation .09 Equine Specimen Testing. *COMAR 09.10.03.09* A. The stewards or judges may designate a horse entered in a race to give a blood or urine sample, or both, before or following the race. B. At the conclusion of each race, urine and blood samples shall be collected from the winner of the race and any other horses that the Commission or stewards or judges may direct. C. The collection of the urine sample shall be performed by a Commission representative in the presence of the owner, trainer, or designated representative of the horse being tested. D. An authorized official designated by the Commission, in the presence of the owner, trainer, or designated representative and the Commission representative, shall verify the horse's identifying tattoo or microchip number before taking a blood sample from the horse. E. Failure to allow or cooperate in the taking of a sample, or any act or threat to impede, prevent, or otherwise interfere with the taking of a sample, constitutes a violation and subjects the licensee to sanctions as provided in this chapter. F. Urine. (1) Except as provided in §F(2) of this regulation, after the Commission representative obtains the urine specimen from the horse, the Commission representative or the detention barn foreman shall split the specimen into two parts in the presence of the owner, trainer, or designated representative. One portion shall be delivered to the Commission laboratory for testing. The remaining portion shall be maintained in the detention barn until the stewards or judges direct its disposal. (2) If the quantity of the urine specimen collected is insufficient to allow for proper testing, the specimen may not be split. G. Blood. (1) After the horse has been washed down, an authorized official designated by the Commission shall extract two tubes of blood from the horse. (2) Of the two tubes of blood drawn under §G(1) of this regulation, one shall be forwarded to the Commission laboratory for testing. The remaining tube of blood shall be maintained at the detention barn until the stewards or judges direct its disposal. (3) If necessitated by an insufficient quantity of urine having been obtained, another tube of blood shall be drawn and forwarded to the laboratory. H. Split Samples. (1) The Commission, together with the applicable association representing a majority of the owners and trainers racing in Maryland, shall designate laboratories to which split samples of urine and blood may be sent for confirmatory testing. (2) Within 72 hours of being notified of a determination by the Commission laboratory that the testing of the blood or urine sample evidences the presence of a drug, the owner or trainer of the horse in question may request that the split sample of urine or blood, or both, be forwarded to one of the designated laboratories for confirmatory testing. (3) Upon a request for confirmatory testing, before the split sample is forwarded to the designated laboratory, the owner or trainer and a representative of the Commission shall execute an agreement that binds the owner or trainer and the Commission to the designated laboratory's findings. If the owner or trainer declines to execute the agreement, the split sample may not be forwarded to the designated laboratory for confirmatory testing. (4) After testing the split sample, if the designated laboratory: (a) Does not confirm substantially the Commission laboratory's findings, then any allegations that the drug in question was in the horse's system at the time of the race shall be dismissed; or (b) Confirms substantially the Commission laboratory's findings, then the finding shall be considered conclusive. (5) If, for whatever reason, confirmatory testing is not possible, §H(1)—(4) of this regulation is of no effect. I. The owner or trainer requesting the confirmatory testing shall bear the costs of the confirmatory testing. #### Regulation .10 Out-of-Competition Testing. *COMAR 09.10.03.10* A. The Commission may, at a reasonable time on any date, take blood, urine, or other biologic samples from a horse to ensure compliance with applicable medication and anti-doping standards set forth by the Association of Racing Commissioners International, Inc., as such standards may be amended and updated from time to time. The Commission shall own such samples. This regulation authorizes only the collection and testing of samples and does not independently make impermissible the administration to or presence in any horse of any drug or other substance. A race day prohibition or restriction of a substance by the Commission’s regulations is not applicable to an out-of-competition test, unless there is an attempt to race the horse in a manner that violates such regulations. B. Horses Eligible for Testing. (1) Any horse that has been engaging in activities related to competing in horse racing in the State may be tested. This includes, without limitation, any horses that are training outside the State to participate in racing in the State, and all horses that are training in the State, but excludes weanlings, yearlings, and horses no longer engaged in horse racing (e.g., retired broodmares). (2) A horse is presumed eligible for out-of-competition testing if: (a) It is on the grounds at a racetrack or training center under the jurisdiction of the Commission; (b) It is under the care or control of a trainer licensed by the Commission; (c) It is owned by an owner licensed by the Commission; (d) It is entered or nominated to race at a premises licensed by the Commission; (e) It has raced within the previous 12 months at a premises licensed by the Commission; (f) It is nominated to a program based on racing in the State. (3) The presumptions set forth in this regulation are conclusive in the absence of evidence that a horse is not engaged in activities related to competing in horse racing in the State. C. Selection of Horses to Be Tested. (1) Horses shall be selected for sampling by a Commission veterinarian, the Executive Director, an equine medical director, a steward, a presiding judge, or a designee of any of the foregoing. (2) Horses may be selected to be tested at random, for cause, or as otherwise determined in the discretion of the Commission. (3) Licensees of the Commission shall cooperate and comply fully with the provisions of this regulation. (4) Individuals who apply for and are granted a trainer or owner license shall be deemed to have given their consent for access at such premises as their horse may be found for the purpose of Commission representatives collecting out-of-competition samples. Licensees shall take any steps necessary to authorize access by Commission representatives at such premises. D. Collection of Samples. (1) Samples shall be taken under the supervision and direction of a person who is employed or designated by the Commission. All blood samples shall be collected by a veterinarian licensed in the State, or by a veterinary technician who is acting under appropriate supervision of the State-licensed veterinarian. (2) Upon request of a representative of the Commission, the trainer, owner, or their specified designee shall provide the location of their horses eligible for out-of-competition testing. (3) The Commission or its designees are not required to provide advance notice before arriving at any location, whether or not licensed by the Commission, to collect samples. (4) The trainer, owner, or their specified designee shall fully cooperate with the person who takes samples for the Commission, including, but not limited to: (a) Assisting in the immediate location and identification of the horse; (b) Making the horse available as soon as practical upon arrival of the person who is responsible for collecting the samples; (c) Providing a stall or other safe location to collect the samples; (d) Assisting the person who is collecting samples in properly procuring the samples; and (e) Witnessing the taking of samples including sealing of sample collection containers. (5) The management and employees of a licensed racetrack or training facility at which a horse may be located shall cooperate fully with a person who is authorized to take samples. The person who collects samples for the Commission may require that the collection be done at a specified location on such premises. (6) The Commission, if requested and in its sole discretion, may permit the trainer, owner, or their specified designee to present a horse that is located in the jurisdiction, but not at a racetrack or training center licensed by the Commission, to be sampled at a time and location designated by the Commission. E. The Commission may arrange for the sampling of an out-of-State horse by the Commission or the Commission’s designee if the horse is located in the State. The Commission or its designee shall follow the relevant provisions of this regulation. F. The test results shall be made available to the Commission, subject to any restrictions on public disclosure of test results that may apply to the Commission. G. The Commission, if requested and in its sole discretion, may permit the trainer or owner instead to transport the horse into the State for sampling at a time and place designated by the Commission. H. The individual who takes samples for the Commission shall provide identification and disclose the purpose of the sampling to the trainer or designated attendant of the horse. I. An owner or trainer does not consent to a search of the premises by making a horse that is not located at a racetrack or training center available for sampling. J. If the trainer or other custodian of a selected horse refuses or declines to make the horse available for sampling and the managing owner has previously provided the Commission with a means for the Commission to give immediate notification to the managing owner in such situation, then the Commission shall attempt to notify the managing owner and the eligibility of the horse shall be preserved if the managing owner is able to make the horse available for immediate sampling. The Commission is not required to make repeated attempts to notify the managing owner. K. The chain of custody record for the sample (including a split sample where appropriate) shall be maintained and made available to the trainer, owner, or their designee when a complaint results from an out-of-competition test. L. The Commission may have out-of-competition samples tested to produce information that may enhance the ability of the Commission to enforce its medication and anti-doping rules. M. An out-of-competition sample that is found to contain a prohibited substance may be adjudicated in the same manner as a post-race sample that is found to contain a prohibited substance. N. Split sample rules and procedures for post-race testing shall apply to out-of competition testing. O. The Commission may use any remaining sample for research and investigation. P. Willful failure to make a horse available for sampling or other willfully deceptive acts or interference in the sampling process shall constitute a violation of the Commission’s laws and regulations and may be subject to penalties available under the applicable laws and regulations. Q. A selected horse that is presumed eligible for out-of-competition testing shall be placed on the Steward’s list and will be ineligible to race in the jurisdiction for 180 days if the horse is not sampled due to the trainer’s, owner’s or their designee’s assertion that the horse is not engaged in activities related to competing in horse racing in the State. This restriction does not apply if the trainer, owner, or their designee voluntarily allows an immediate collection of the samples from the horse. ### Chapter 04 — General **Authority:** Business Regulation Article, §§11-207, 11-210, 11-303, 11-305, 11-308, 11-310, 11-316—11-319, 11-508, 11-518, 11-519, 11-608, 11-626, 11-804,11-804.1, 11-811, 11-825, and 11-827; State Government Article, §9-1A-29; Annotated Code of Maryland **Administrative History:** Effective date: April 10, 1995 (22:7 Md. R. 535) **Administrative History:** Regulation .03 amended effective March 22, 1999 (26:6 Md. R. 484) **Administrative History:** Regulation .08 amended effective March 22, 1999 (26:6 Md. R. 484); May 29, 2000 (27:10 Md. R. 965); September 30, 2002 (29:19 Md. R. 1523) **Administrative History:** Regulation .08A amended effective July 29, 2019 (46:15 Md. R. 654) **Administrative History:** Regulation .08E amended effective April 24, 2017 (44:8 Md. R. 401) **Administrative History:** Regulation .15A amended effective April 28, 2003 (30:8 Md. R. 539) **Administrative History:** Regulation .15A amended effective August 15, 2005 (32:16 Md. R. 1392) **Administrative History:** Regulation .17E adopted effective October 30, 2000 (27:21 Md. R. 1975) **Administrative History:** Regulation .17 E amended effective September 30, 2002 (29:19 Md. R. 1523) **Administrative History:** Regulation .21 adopted effective July 1, 1998 (25:11 Md. R. 820) **Administrative History:** Regulation .22 adopted effective March 22, 1999 (26:6 Md. R. 484) **Administrative History:** Regulation .22B amended effective October 30, 2000 (27:21 Md. R. 1975) **Administrative History:** Regulation .23 adopted effective March 22, 1999 (26:6 Md. R. 484) **Administrative History:** Regulation .24 adopted as an emergency provision effective September 1, 2000 (27:19 Md. R. 1720); adopted permanently effective January 8, 2001 (27:26 Md. R. 2357) **Administrative History:** Regulation .24 amended effective December 9, 2004 (31:24 Md. R. 1726) **Administrative History:** Regulation .25 adopted as an emergency provision effective December 2, 2011 (38:27 Md. R. 1762); adopted permanently effective February 20, 2012 (39:3 Md. R. 258) #### Regulation .01 Definitions. *COMAR 09.10.04.01* A. In this subtitle, the following terms have the meanings indicated. B. Terms Defined. (1) “A day” means the 24-hour period starting at 12 midnight. (2) “A year” means a calendar year. #### Regulation .02 Order of Precedence. *COMAR 09.10.04.02* A. The laws of this State and the regulations of the Commission supersede the conditions of a race and the rules of the association. B. The orders of the Commission, as well as the orders and rulings of the judges and stewards in matters pertaining to racing, supersede the orders of the officials of the association. #### Regulation .03 Commission. *COMAR 09.10.04.03* A. Granting a License to Hold a Race Meeting. (1) An association may file a brief with the Commission, setting forth reasons for desiring the dates contained in the association's application. (2) The allotment of racing dates by the Commission pursuant to an application by an association for racing dates does not commit the Commission to the granting of a license to conduct a race meeting upon the dates so allotted. (3) The Commission may grant a license to hold a race meeting to an association in accordance with the provisions of Business Regulation Article, Title 11, Annotated Code of Maryland, subject to an application for racing dates having been filed with the Executive Director of the Commission, over the signature of an executive officer of the association desiring to hold racing. (4) The application to hold a race meeting shall include the: (a) Days on which live racing is to be held; (b) Days on which simulcasting is to be held; (c) Location at which racing is to take place; and (d) Breed of horse to be raced. B. The Commission may suspend or revoke the license of an association if it disapproves of a change in the ownership of the association. C. Personal and Financial Background Investigation. (1) The Commission shall conduct a personal and financial background investigation of any interested party negotiating for the purchase of: (a) An entity which conducts racing in Maryland under the jurisdiction of the Maryland Racing Commission or operates a thoroughbred training facility under Business Regulation Article, §11-519, Annotated Code of Maryland; (b) A majority controlling interest in the entity described under §C(1)(a) of this regulation; or (c) Those assets without which the entity described under §C(1)(a) of this regulation would not be able to continue racing or stabling. (2) If the interested party is an entity other than a real person, the personal and financial background investigation shall be conducted as to the negotiating entity and each real person with a controlling interest in the entity. (3) An entity or real person who is the subject of the personal and financial background investigation shall fully cooperate with the Commission and provide any information requested by the Commission to conduct its investigation. (4) The personal and financial background investigation shall include, but is not limited to, all of the following: (a) A review by a certified public accountant of the certified financial statements of the negotiating party, including a review of any contingent liabilities and pledged assets, which review shall be sufficient to determine the financial ability of the negotiating party to purchase and maintain the racetrack being negotiated; (b) Income statements, for at least a 2-year period preceding the proposed purchase, of the interested party negotiating for the purchase; (c) A statement of financial condition and the related records of any corporation, association, partnership, proprietorship, or limited partnership in which the interested party negotiating for the purchase has at least a majority interest; (d) The disclosure of all financial interests in horse racing; (e) The disclosure of all persons, including corporations, trusts, estates, and partnerships, who are to be the new beneficial owners of the entity; (f) A criminal background review; and (g) A character review. (5) The personal and financial background investigation required under §C(4) of this regulation shall be completed at least 30 days before the settlement date for the purchase and at least 30 days before any transfer of racing dates that may result directly from the purchase. (6) Upon the completion of the personal and financial background investigation under §C(4) of this regulation, the Commission shall notify the Legislative Policy Committee of the proposed purchase, and, if applicable, the proposed transfer of racing dates, at least 15 days before the consideration of final approval by the Commission of the purchase or transfer. (7) The cost of the personal and financial background investigation shall be borne by the owners of the entity to be sold. D. Denials of Licenses and Sanctions. (1) The Commission may refuse to issue or renew a license, or may suspend or revoke a license issued by it, if it finds that the applicant or licensee: (a) Has engaged in unethical or criminal conduct; (b) Is associating or consorting with an individual who has been convicted of a crime in any jurisdiction; (c) Is consorting or associating with, or has consorted with, a bookmaker, tout, or individual of similar pursuits; (d) Is, or has been, operating as a bookmaker, tout, or a similar pursuit; (e) Is not financially responsible; (f) Has been engaged in, or attempted to engage in, any fraud or misrepresentation in connection with the racing or breeding of a horse; (g) Assaults, or threatens to do bodily injury to, a member of the Commission or any of its employees or representatives or a member or employee of an association; (h) Has engaged in conduct detrimental to racing; or (i) Has violated, or attempted to violate: (i) A law or regulation in any jurisdiction, including this State, or (ii) A condition imposed by the Commission. (2) Instead of, or in addition to, suspending a license, the Commission may impose a fine not exceeding $5,000. (3) In determining the penalty to be imposed, the Commission shall consider the: (a) Seriousness of the violation; (b) Harm caused by the violation; (c) Good faith or lack of good faith of the licensee; and (d) Licensing history of the licensee. E. The Commission may require an association to submit periodic reports, reviewed by a certified public accountant, as to the: (1) Amount bet at each location in Maryland; (2) Takeout calculation, and the allocation of the takeout, on the amount bet under §E(1) of this regulation; (3) Amount bet on Maryland races in other jurisdictions; and (4) Amount, and the allocation of the amount, received from the bets on Maryland races in other jurisdictions. #### Regulation .04 Appeals of Stewards' or Judges' Decisions. *COMAR 09.10.04.04* A. An appeal from a decision of the stewards or judges may be made to the Commission by submitting a written statement setting forth the relevant facts of the appeal to an authorized representative of the Commission or to one of the Commission offices. B. An appeal may be made by: (1) An owner, trainer, driver, or jockey participating in a race from a decision of the stewards or judges involving an incident in that race not later than 48 hours after the decision has been rendered; (2) A licensee affected by a decision of the stewards or judges involving the claim of a horse not later than 48 hours after the decision has been rendered; and (3) A licensee affected by a decision of the stewards or judges in regard to a matter not covered by §B(1) or (2) of this regulation not later than 7 days after the decision has been rendered. C. The Commission, in its discretion, may: (1) Modify any sanction appealed; (2) Assess all costs of the appeal to the appellant; and (3) Impose additional sanctions in regard to an appellant who fails to: (a) Pursue an appeal, or (b) Appear at the hearing on the appeal after proper notice and without good cause. D. An appellant who appeals to the Commission from a decision of the stewards or judges for the sole purpose of obtaining a stay of the penalty imposed, or for any other reason that is considered to be frivolous, may be: (1) Fined and suspended; and (2) Assessed the costs of the appeal. #### Regulation .05 Fines and Suspensions. *COMAR 09.10.04.05* A. All fines shall be paid to the Commission within 48 hours after imposition unless: (1) An appeal to the Commission has been noted; and (2) The Commission has granted a stay. B. If a licensee fails to pay the fine in a timely manner in violation of §A of this regulation, upon proper notification, the licensee shall be immediately suspended, and the suspension shall remain in effect until the fine is paid in full. #### Regulation .06 Adjudicatory Hearings. *COMAR 09.10.04.06* A. Not less than 7 days before conducting an adjudicatory hearing, the Commission, through its Executive Director, shall send a written notice to the individual who is the subject of the hearing which shall contain: (1) The date, time, place, and nature of the hearing; (2) The authority of the Commission to hold the hearing; (3) The pertinent hearing and regulatory sections under which the Commission is taking its action; (4) A concise and simple statement of the facts that are asserted; (5) The potential penalty; (6) An advisement regarding the individual's right to: (a) Be represented by an attorney who is admitted, or specially admitted, to practice law in this State, (b) Call witnesses and submit evidence, (c) Request subpoenas for witnesses and documents, and (d) Request a copy of the hearing procedures; and (7) A statement that the failure to appear for a scheduled hearing may result in an adverse action against the individual. B. The Commission may, in its discretion: (1) Grant a stay of an order of the stewards or judges pending a hearing before the Commission; or (2) Suspend the license of an individual who is charged pending a hearing on the charges. C. A hearing on the charges shall be held as promptly as possible, with due regard to the rights of the licensee charged, if the Commission: (1) Declines to grant a stay of the suspension, as provided in §B(1) of this regulation; or (2) Suspends the license of an individual charged pending a hearing on the charges, as provided in §B(2) of this regulation. D. The Commission shall provide for the making of an official record of the hearing, which shall include testimony and exhibits, but, unless required for purposes of rehearing or court review, a transcription of the testimony may not be required. E. At the hearing, an applicant or a licensee who may be affected by a decision of the Commission shall be given the opportunity to: (1) Be represented by counsel; (2) Be confronted with the evidence on which a charge is based; (3) Cross-examine witnesses; (4) Testify; and (5) Produce testimony and evidence relevant to the issues involved. F. A licensee may be subject to the suspension or revocation of a license held if: (1) While under oath in a hearing, the licensee gives false or misleading statements of a relevant nature; or (2) Except in the proper exercise of a legal privilege, the licensee fails to testify after proper notice. G. When an adjudicatory hearing is conducted by a hearing committee under Business Regulation Article, §11-310, Annotated Code of Maryland, and the decision of the hearing committee is: (1) Unanimous, the decision of the hearing committee is final and shall bind the entire Commission; (2) Not unanimous, a de novo hearing on the matter shall be conducted by a quorum of the Commission. #### Regulation .07 Reciprocity. *COMAR 09.10.04.07* A. An individual whose license is suspended or revoked in another state or country is suspended or revoked in this State. B. Denial of a license by the racing commission of another state may be considered as grounds for the denial of a license by the Commission. #### Regulation .08 Associations. *COMAR 09.10.04.08* A. An association holding racing or operating a training center under the jurisdiction of the Commission shall: (1) Provide within its grounds adequate office space and equipment for the use of, and at the disposal of, the Commission and the Commission's representatives; (2) Ensure free access of the grounds to the Commission and the Commission's representatives while they are engaged in their assigned tasks; (3) Provide and maintain at least one human ambulance and one horse ambulance on a day that the racing strip is open for racing or exercising horses; (4) Staff the ambulances required under §A(3) of this regulation with competent, trained personnel, have them ready for service, and placed where they may enter the racing strip with as little time lost as possible in responding to emergencies; (5) Adopt, have posted, and implement a protocol for education, evaluation, diagnosis, and management of concussion of jockeys which shall be approved by the regulatory authority; (6) Have available a medical professional trained in evaluating and administering the most current Sport Concussion Assessment Tool (SCAT); (7) Establish a return-to-ride guideline in order to clear a jockey who has been concussed, or is believed to have been concussed, once the jockey is declared fit-to-ride by a medical professional authorized to do so; (8) Require each jockey to acknowledge in writing that they have been made aware of the concussion protocols in place for the facility at which they are riding; (9) Police the nonpublic area of its grounds so as to preclude the admission of an individual to this area who is not: (a) Licensed by the Commission; or (b) Authorized and properly supervised by the association; (10) Provide proper receptacles for disposal of manure and other debris which shall be serviced on a daily basis excluding Sunday; (11) Make adequate provision for fire prevention, protection against fire, and fire suppression within the confines of the facility; (12) At a thoroughbred race track and training center, provide the following distance poles and color designations: (a) 1/4 poles — red and white; (b) 1/8 poles — green and white (c) 1/16 poles — black and white; and (13) Inform the Commission immediately of any change in the beneficial ownership of the association, including any change in the makeup of the stockholders of the association or in the holdings of a stockholder, if the change involves an entity that had or, as a result of the change has, a 2 percent or more beneficial ownership. B. An association licensed by the Commission to hold racing shall submit to the Commission: (1) Not later than the Commission meeting preceding the association's first race meeting of the year: (a) A list of the administrative personnel of the association, and (b) A report on the steps taken by the association to comply with the recommendations, if any, of the State Fire Marshal; (2) Not later than the Commission meeting preceding each race meeting of the association, a list of the officials and others to be employed, in so far as the list can be prepared, containing the: (a) Name and address of each employee; and (b) Position to be filled or the duties to be performed by each employee; and (3) Promptly, all additions to, or changes in, the association list of employees. C. Subject to Commission approval, an association licensed by the Commission shall furnish and maintain at the facility where racing is being held, and at such other facilities under the control of the association as the Commission may direct: (1) A first-aid area: (a) Equipped with adequate beds and supplies; and (b) Staffed by a licensed medical doctor during racing hours; (2) Two photo finish cameras positioned at the finish line, one of which shall be held in reserve, to photograph the finish of the races; (3) A communication system between the judges or stewards stand, the pari-mutuel office, and the starter; (4) A system, activated by the judges or stewards at the start of a race, which sounds a bell and simultaneously closes the betting pools on the race; (5) Cameras and other equipment necessary to properly record the running of the races from the start through the finish with the recordings resulting from the use of this equipment not being disposed of without the permission of the judges or stewards; (6) Sanitary restroom facilities and drinking water; (7) Two starting gates, both in good working order, one of which shall be kept in reserve; and (8) Stands for judges, timers, and stewards in positions commanding an uninterrupted view of the entire racing strip. D. An association licensed by the Commission to conduct racing shall: (1) Exclude from the paddock, in the interest of public safety, all persons who have no immediate business with the horses entered, except the members of the Commission, the Commission's staff and special representatives, and those having special permission from the association, judges, or stewards; (2) Request and obtain the approval of the Commission before televising, simulcasting, or broadcasting any race, or before permitting any other person, association, or corporation to do so; (3) If a licensee bets with or through a handbook: (a) Eject the licensee from its grounds; (b) Refuse the licensee admission to its grounds; (c) Refuse the entry of the licensee's horse; and (d) Immediately notify the Commission; (4) Observe and enforce the laws, regulations, and conditions of the Commission; (5) Employ a sufficient number of security persons to maintain order on its grounds; and (6) List the following on its daily racing program: (a) The name of the Governor; (b) The name of the Maryland Secretary of Labor; (c) The names of the Commissioners and the Commission's specified employees, with their titles, if any; and (d) The address of the Commission's office. E. An association licensed by the Commission to conduct racing may not: (1) Permit bets to be made on the grounds of the association, or other grounds on which it controls a pari-mutuel operation, except as permitted under the provisions of Business Regulation Article, Title 11, Annotated Code of Maryland; (2) Permit illegal or gambling of any kind on the grounds of the association or other grounds on which the association controls a pari-mutuel operation; (3) Provide, or permit to be provided, any aid, conveniences, or facilities to bookmakers, betting commissioners, their agents, or their employees; (4) Advance credit for betting purposes; or (5) Permit an individual younger than 16 years old to be employed on the grounds of the association unless the individual is 14 years old or older and works for the: (a) Individual's parent or legal guardian in the stable area; or (b) Association in a nonsecured area of the racetrack and has a valid work permit. F. Allocation of Takeout. (1) Except as provided in §F(3) of this regulation, if the Commission awards racing dates to an association to conduct both live harness racing and live thoroughbred racing at a facility, the association shall allocate the takeout from all bets on races, both live and simulcast made under the authority of the license issued to that association, in accordance with the provisions of Business Regulation Article, Title 11, Annotated Code of Maryland, that are applicable to the breed of horse upon which the bets were made. (2) It is the intent of this regulation that the amounts allocated to purses and bred funds from bets made on races for a certain breed of horse be allocated to the purses and bred funds, respectively, that are for the same breed of horse as the races upon which the bets were made. (3) If the bets were made on a type of racing for which the provisions of Business Regulation Article, Title 11, Annotated Code of Maryland, do not specify an allocation of the takeout, the allocation of the takeout shall be: (a) In accordance with the provisions of Business Regulation Article, Title 11, Subtitle 5, Part II, Annotated Code of Maryland, if the services of a jockey were used in the running of the race upon which the bets were made; and (b) In accordance with the provisions of Business Regulation Article, Title 11, Subtitle 6, Annotated Code of Maryland, if the services of a driver were used in the running of the race upon which the bets were made. #### Regulation .09 Number of Races. *COMAR 09.10.04.09* On a day on which an association is licensed to conduct racing, the following are subject to Commission approval: A. The number of live races conducted; and B. The conduct of pari-mutuel betting on races simulcast from other tracks. #### Regulation .10 Postponement and Cancellation of Races. *COMAR 09.10.04.10* A. If a racing program, or a portion of a racing program, is abandoned, any purse race involved shall be canceled. B. If a racing program, or a portion of a racing program, is abandoned, any stake race involved may be postponed or canceled. C. Public notice shall be given at the earliest practicable time if a published race is canceled. D. A race which closed with sufficient entries may not be canceled except by the stewards or presiding judge. #### Regulation .11 License Badges. *COMAR 09.10.04.11* A. A licensed individual who enters a stable area which is under the jurisdiction of the Maryland Racing Commission shall wear upon the individual's outside apparel, in a prominent position, the license badge issued to the individual by the Commission, which contains the individual's picture identification. B. The license badge is supplied by the Commission for purposes of identification only, and an association may refuse to accept it as a pass for admission to the grandstand and clubhouse enclosures. C. Failure to comply with this regulation shall subject the licensee to: (1) A $5 fine for the first offense; (2) A $10 fine for a second offense within 1 year's time of the first offense; (3) A $25 fine for a third offense within 1 year's time of the first offense; and (4) Suspension and referral to the Commission at the discretion of the stewards or judges for the fourth offense within 1 year's time of the first offense. #### Regulation .12 Barred Horses. *COMAR 09.10.04.12* A. If a trainer has in the trainer's charge a horse whose name appears on a veterinarian's, starter's, stewards', or judges' list or any other list of horses ineligible to start, commonly known as a “Barred List”, at a race track outside this State, the trainer shall report the name of the horse and the fact that the horse has been barred to the Racing Secretary, as well as to the stewards or judges, at the meeting within this State at which the trainer proposes to enter the horse to race. B. A horse shall be barred from racing at a track under the jurisdiction of the Commission if the horse is: (1) Afflicted by the disease known as periodic ophthalmia, moon blindness, or a similar disease affecting the vision of the horse; (2) High nerved, that is, the horse has been denerved at the ankle or the horse has been subjected to a cryosurgical procedure at the ankle or above; or (3) Tubed. #### Regulation .13 Denerved Horses or Horses Subjected to a Cryosurgical Procedure. *COMAR 09.10.04.13* A. A denerved horse or a horse subjected to a cryosurgical procedure shall be registered with the chief veterinarian on a form provided by the Commission for that purpose. B. A horse, denerved or subjected to a cryosurgical procedure below the ankle, may be entered and shall be permitted to race if: (1) The horse is registered as such with the chief veterinarian not later than 2 hours before post time of the race for which it is entered; (2) The fact that a horse has been denerved or subjected to a cryosurgical procedure is so stated on the foal certificate of the horse and certified by the practicing veterinarian who performed the procedure; and (3) The horse is placed on a list of horses denerved or subjected to a cryosurgical procedure which is posted on the bulletin board in the Racing Secretary's office. C. A horse may not be registered as denerved or subjected to a cryosurgical procedure if, in fact, the horse has not been denerved or subjected to cryosurgical procedure. #### Regulation .14 Equine Infectious Anemia. *COMAR 09.10.04.14* A. Coggin's Test. (1) Except as provided in this regulation, a certificate of a negative Coggin's test or other proof of a negative Coggin's test on a horse shall be presented to an association before the horse is stabled on the grounds of the association and before the horse is eligible to start in a race. (2) The certificate shall: (a) Identify the horse by tattoo number; (b) Indicate that the horse was tested within 1 year before the date that the certificate is presented to the association; and (c) Indicate that the test was conducted by a laboratory approved by the United States Department of Agriculture. (3) The receipt and transfer of a certificate of a negative Coggin's test when a horse is claimed, sold, or transferred is the responsibility of the trainer of the horse. (4) Proof of a negative Coggin's test shall be on a sticker attached to the foal certificate showing the following: (a) Horse's name; (b) Date of the test; (c) Laboratory name and test number; and (d) Name of the veterinarian who took the blood sample. B. A Coggin's certificate indicating a horse is negative for equine infectious anemia is valid for 1 year from the date of the certificate's issuance. C. Absent a valid Coggin's certificate, the stewards or judges may allow a horse to race if they have received a signed statement from an approved veterinarian licensed by the Commission indicating: (1) When and where blood was taken from the horse; and (2) To what laboratory the blood was sent. D. The stewards or judges may contact the laboratory specified under §C(2) of this regulation to obtain verbal confirmation that the blood was negative for equine infectious anemia. E. Veterinarians. (1) Veterinarians shall file individual remittance certificates with individual blood samples for each horse when testing for equine infectious anemia. (2) Upon receipt of the certificate from a laboratory approved for conducting the test for equine infectious anemia, the veterinarian shall deliver the certificate to the trainer of the horse. (3) Veterinarians shall notify the State veterinarian immediately upon receipt of a positive report. #### Regulation .15 Disputes, Protests. *COMAR 09.10.04.15* A. Penalties. (1) Except as provided in §A(2) of this regulation, if a race is in dispute, both the horse or horses affected by the dispute, and the horse or horses against which the dispute is lodged, are subject to all penalties attaching to the highest position to which they may be entitled until the dispute is settled by the Commission. (2) A horse against which a dispute is lodged is not subject to the penalties attaching to the highest position to which the horse may be entitled if: (a) The horse is a registered thoroughbred; (b) The dispute is the direct result of a positive finding of a prohibited drug in the urine or blood specimen of a horse, and: (i) The positive finding is not challenged; or (ii) A confirmatory test of the blood or urine specimen substantially confirms the positive finding; and (c) The race is not a stake race. B. Proof of the qualifications of a horse against which a protest has been lodged may be demanded by the stewards or judges. C. If the owner or trainer of a horse against which a protest has been lodged fails to provide proof of those qualifications as demanded by the stewards or judges, the horse may be disqualified. #### Regulation .16 Corporate or Stable Names. *COMAR 09.10.04.16* A. Registration of Corporate or Stable Names. (1) A licensed owner or owners wishing to race under a corporate or stable name may do so by furnishing the federal ID number of the corporate or stable name and registering the name with the Commission annually. (2) The registration of a corporate or stable name is effective only for the calendar year for which the registration is made. (3) A corporate or stable name is subject to the approval of the Commission. (4) A corporate or stable name may be abandoned at any time upon written notice to the Commission and publication of the abandonment. B. A licensed owner may not register more than one corporate or stable name, or race under the owner's real name, so long as the owner is racing under a registered corporate or stable name. C. A licensed owner, together with different owners in each instance, may be involved in other corporate or stable names. D. A corporate or stable name may be changed at any time by registering a new corporate or stable name and by paying the fee. E. A person may not register a corporate or stable name which has already been registered by any other person, or one which is the real name of an owner of race horses. F. The Commission may demand the abandonment of a corporate or stable name at any time. G. A trainer of race horses may not function as a trainer under a corporate or stable name. #### Regulation .17 Authorized Agent. *COMAR 09.10.04.17* A. In order to act as an authorized agent for an owner, an individual shall register with the Commission. B. A separate application for registration shall be filed for each owner represented by an individual. C. In order to be registered as an authorized agent, an individual shall first be licensed by the Commission in some other capacity. D. An authorized agent may appoint a subagent only when authorized to do so, and, to be effective, notice of the appointment shall be given in writing to the Commission. E. The registration required under §A of this regulation shall: (1) Specify the functions which the authorized agent may perform on behalf of the owner; and (2) If the authorized agent is allowed to act for the owner in matters involving the receipt or withdrawal of funds, be accompanied by a notarized document to that effect signed by the owner to be represented by the authorized agent. #### Regulation .18 Smoking. *COMAR 09.10.04.18* An individual may not smoke, or carry an instrument or object which may be likely to cause a fire, in a stall or feed room, under a shed row, or in any other place in which smoking is prohibited by the Commission or the association. #### Regulation .19 Workers' Compensation. *COMAR 09.10.04.19* A. A person applying for a license who employs one or more individuals in a racing-related activity shall have Workers' Compensation insurance as required by Maryland law unless the applicant's sole employee is a spouse. B. An applicant for a license under §A of this regulation shall list the following on the license application: (1) Name of the insurance company; (2) Name of the agent; (3) Policy number; and (4) Policy expiration date. C. A licensee shall notify the Commission in writing, not less than 5 days before the effective date, of: (1) A change to the information furnished under §B of this regulation; (2) The cancellation of the policy; or (3) The nonrenewal of the policy. D. A licensee, not employing one or more individuals in a racing-related activity when the licensee applied for a license, but who subsequently becomes the employer of one or more of these individuals, shall immediately: (1) Obtain the required insurance coverage; and (2) Furnish the Commission licensing office with the information required under §B of this regulation. #### Regulation .20 Calculation of Time. *COMAR 09.10.04.20* A. Except as provided in §B of this regulation, when the last day for performing an act falls on a scheduled dark day, the act may be done on the following scheduled racing day. B. When the last day for performing an act relating to a particular race falls on a scheduled dark day, and the next scheduled racing day is the day of the race, the act shall be done on or before the previous scheduled racing day. #### Regulation .21 Procedures for Challenging the Commission's Recognition of Certain Organizations. *COMAR 09.10.04.21* A. Purpose. The purpose of this regulation is to set forth the procedures for resolving a challenge to the recognition of an organization by the Commission as the representative of a certain segment of the racing industry in the State, considering that certain sections of Business Regulation Article, Title 11, Annotated Code of Maryland, require the: (1) Consent of certain organizations; and (2) Distribution of funds to a certain organization. B. Petition. (1) An organization may petition the Commission for recognition as the organization representing a majority of the: (a) Harness owners and trainers licensed in the State; (b) Thoroughbred owners and trainers licensed in the State; (c) Harness breeders in the State; or (d) Thoroughbred breeders in the State. (2) In order for the Commission to act on any petition submitted under §B(1) of this regulation, an organization shall submit evidence demonstrating that at least 15 percent of the individuals in the applicable segment of the racing industry support the petition. (3) The evidence submitted under §B(2) of this regulation, for each individual supporting the petition, shall consist of the individual's: (a) Printed name; (b) Signature; and (c) License number issued by the Commission for the current year, if applicable. C. Action by the Commission. (1) Upon receipt of the petition, the Commission shall: (a) Provide notice that a petition has been received by the Commission to: (i) The petitioner, (ii) The organization currently recognized as representing a majority of that segment of the racing industry, and (iii) Other interested parties, if any; and (b) Verify the status of the individuals who have signed in support of the petition. (2) If the Commission determines that the petition contains the required number of valid signatures, it shall announce at a public meeting: (a) That the Commission will conduct an election to determine which organization is to be recognized by the Commission as representing a majority of that segment of the racing industry; and (b) The dates that the Commission sets regarding the mailing, return, and counting of the ballots. (3) The dates set by the Commission under §C(2)(b) of this regulation may be changed by the Commission, and the organizations involved shall be promptly informed of the new dates and the reasons for the change. D. If an election is announced, funds accruing to the organization currently recognized as representing that segment of the racing industry, either by law or by contract, may be held in escrow from the date the election is announced until the date the result of the election is determined. E. Ballots. (1) Ballots shall be printed and mailed by the Commission. (2) The ballots shall: (a) Be sequentially numbered; (b) Contain: (i) The name of the individual eligible to vote, (ii) The names of the competing organizations in alphabetical order and a selection block next to the name of each organization, and (iii) A signature line; (c) Set forth the date by which the ballot must be returned; (d) Inform the individual eligible to vote that a ballot is not counted if the: (i) Individual is not currently licensed, (ii) Individual's application for renewal, accompanied by the appropriate fees, is received by the Commission after the deadline set by the Commission for the return of a ballot, (iii) Ballot is not signed by the individual, or (iv) Indication of the selected organization is not clear; and (e) Request any other information the Commission may consider appropriate. (3) If the election is in regard to an owners' and trainers' organization for a certain breed of horse, a ballot shall be sent to the following for the breed of horse involved: (a) Each owner and trainer licensed in the State during the current year, up to and including the day the election is announced; and (b) If the election is announced before June 30th of the current year, each owner and trainer licensed in the State on December 31st of the previous year who is not yet licensed for the current year. (4) If the election is in regard to a breeders' organization, §E(2)(d)(i) and (ii) of this regulation does not apply, and: (a) If the election is for a standardbred breeders' organization, a ballot shall be sent to each individual recognized by the administrator of the breeding program as the owner or lessee of a: (i) Dam at the time of breeding that had any of its produce registered with that program in the last 2 calendar years, (ii) Stallion that has been registered with the Advisory Committee as a Maryland stallion and stood in Maryland during the latest breeding season, or (iii) Dam that was bred in Maryland within the last 2 calendar years to a stallion registered with the Advisory Committee as a Maryland stallion; or (b) If the election is for a thoroughbred breeders' organization, a ballot shall be sent to each individual who registered a horse in the Maryland Bred Registry at least once in the last 3 calendar years. (5) The mailing date of the ballots may not be later than 30 days after the public meeting of the Commission at which an election is announced. (6) The deadline for the return of the ballots may not be less than 15 days after the mailing date. (7) When a ballot is returned to the Commission, it shall be verified against the mailing list of eligible voters and the corresponding ballot number. F. A ballot sent to an individual qualified to receive a ballot under the provisions of §E(3)(b) of this regulation may not be counted unless the individual becomes licensed before the date the ballots are to be returned as set by the Commission under §C(2)(b) of this regulation. G. Ballot Count. (1) Following the close of business on the date set by the Commission for the return of the ballots, the staff of the Commission shall promptly count the ballots. (2) The Commission shall provide adequate notice to each competing organization of: (a) The date, time, and place the ballots will be counted; and (b) The ability of a representative from each of the competing organizations to be present for the counting of the ballots. (3) The organization receiving a majority of the votes properly cast shall be designated as the organization representing a majority of that segment of the racing industry. H. Confidentiality. (1) Except as provided in this regulation, the vote of an individual shall be kept confidential. (2) The Commission shall make available for inspection a: (a) List of those individuals to whom the ballots were mailed; and (b) Current list of those individuals who voted. I. Challenges. (1) An individual wishing to challenge any aspect of the election procedure shall file a written statement to that effect with the Commission within 5 business days of the occurrence about which the individual objects. (2) A statement filed in accordance with §I(1) of this regulation shall: (a) Contain the specifics of the challenge; and (b) Establish, in the discretion of the Commission, a prima facie showing that this regulation has been violated. (3) If the Commission determines that: (a) There is a prima facie showing that this regulation has been violated, the Commission shall schedule a hearing and give notice to all interested parties; or (b) There is not a prima facie showing that this regulation has been violated, the Commission shall deny the challenge. (4) At a hearing convened under §I(3)(a) of this regulation, the validity of the challenge shall be determined by the Commission. (5) The Commission may, in its discretion, stay the operation of the election until the challenge is finally decided. J. Funds. (1) If a timely challenge has been received, the Commission may order that the escrow of funds, as provided under §D of this regulation, continue, pending a final decision on the challenge. (2) Any funds held in escrow shall be released to the winning organization after the counting of the ballots if: (a) A timely challenge has not been received by the Commission; or (b) The Commission has denied all challenges. K. The Commission's recognition of an organization as representing a majority of a certain segment of the racing industry may not be challenged within 365 days of the time recognition becomes final. #### Regulation .22 Leases of Horses. *COMAR 09.10.04.22* A. A leased horse may not participate in racing unless the lease agreement is: (1) Attached to the horse's registration papers; (2) Submitted to the horsemen's bookkeeper; and (3) Approved by the stewards or judges. B. A lease agreement for a horse may not be approved by the stewards or judges unless the: (1) Lessee is licensed as an owner; (2) Signatures of the lessor and lessee are verified by the stewards or judges; (3) Term of the lease, which may contain provisions for earlier termination due to the claim or retirement of the horse, is not less than 365 days; and (4) Agreement completely divests the lessor of further control or direction of the horse during the term of the lease. C. A leased horse may not be entered into a claiming race unless the terms of the lease indicate: (1) The minimum claiming price for which the horse may be entered; and (2) Who shall receive the claiming monies if the horse is successfully claimed. #### Regulation .23 Timing of Races. *COMAR 09.10.04.23* A. A racing association shall have, and maintain, an electronic timing device for the purpose of accurately recording the fractional times of all races. B. The time recorded by the electronic timing device is the official time of the race unless there is a power failure, mechanical malfunction, or other extenuating circumstance. C. If the stewards or judges determine that one of the exceptions under §B of this regulation occurred, the official time of the race is the time: (1) Recorded by the official timer as provided under: (a) COMAR 09.10.01.36 for a thoroughbred race, or (b) COMAR 09.10.02.24 for a standardbred race; or (2) Provided by a method considered reliable and accurate by the Commission. D. The time of each race shall be announced and displayed. #### Regulation .24 Telephone Account Betting. *COMAR 09.10.04.24* A. Definitions. In this regulation, the following terms have the meanings indicated: (1) “Net betting revenue” means the gross amount of all bets placed through a TABS less: (a) Return to bettors; (b) State tax and all other amounts required by law to be paid to anyone other than a track licensee, horsemen, and breeders; (c) Fees paid to the racetracks that hosted the live races in this State and out-of-State; (d) Fees paid to a third-party operator of the TABS; and (e) Costs of the racing association as agreed to between the: (i) Racing association, (ii) Organization representing a majority of the horsemen racing at the track where the TABS is operated, and (iii) Organization representing a majority of the breeders of the breed of horses racing at the track where the TABS is operated. (2) “Source market area” means the prescribed radius surrounding a racetrack within which the postal ZIP code for the principal residence of a telephone betting account holder is located. (3) “Telephone account betting system (TABS)” means a system, established by a licensed racing association and approved by the Commission, by which an individual may open an account in order to bet on horse races by telephonic, electronic, or other means of communication. B. General. (1) Subject to the receipt of an application by a licensed racing association, the Commission may permit the racing association to establish and operate a TABS on days when the racing association is authorized to conduct racing. (2) All bets placed through a TABS are: (a) Considered to have been made in this State; and (b) Subject to the laws of this State and the regulations of the Commission. (3) A racing association operating a TABS may conduct betting on races through the TABS only on those races which the racing association is authorized to conduct. C. Establishing and Maintaining Accounts. (1) A telephone betting account may be established and maintained for an individual by a racing association authorized by the Commission to operate a TABS. (2) A telephone betting account may be established for an individual whose principal residence is outside this State if the racing association complies with all applicable provisions of federal and state law. (3) For the purposes of determining if a bet was made from within a source market area as provided under §Q of this regulation, the principal residential address of the individual account holder, as maintained by the TABS, is considered the location from which that bet originated. D. A racing association shall obtain from each individual who applies for a telephone betting account the individual's: (1) Name; (2) Principal residential address including postal ZIP code; (3) Social Security number; (4) Proof of age and identity; and (5) An initial deposit which is not: (a) Less than the minimum amount established by the association, and (b) More than $500, if the deposit is made by the use of a credit or debit card. E. A racing association shall maintain the following information regarding each individual for whom it maintains a telephone betting account: (1) Name; (2) Principal residential address including postal ZIP code; (3) Telephone number; (4) Social Security number; (5) Amount bet; (6) Tracks on whose races bets were placed; and (7) Such other information as the Commission may reasonably request. F. A racing association shall furnish to each individual for whom it establishes an account: (1) A personal identification number of not less than four alphanumeric characters; (2) The identifying number assigned to the individual's account by the racing association; (3) Instructions on how to operate the telephone betting account; (4) Regulations of the Commission in regard to this type of betting; and (5) Conditions imposed by the racing association on this type of betting. G. A racing association may not establish an account for an individual who is younger than 18 years old. H. Based on its business judgment, a racing association may: (1) Refuse to establish an account for an individual; or (2) Close the account of an individual. I. A racing association may not accept a bet through a TABS if: (1) The account holder does not submit the correct personal identification number; or (2) The amount of the bet is greater than the available balance in the account. J. Other than for bets and deposits, the only charges and credits that may be made to an account are the: (1) Proceeds from a successful bet; (2) Refunds; (3) Withdrawals ordered by the account holder; (4) Payments to an account holder upon the closing of the account; (5) Fees, as established by a racing association and agreed upon by an account holder, for the maintenance of an account and related services; and (6) Promotional considerations provided by the racing association. K. Time. (1) A racing association may delay the use of a deposit to an account, made with an instrument other than cash, until the time allowed by the banking industry for the dishonor of that instrument has passed. (2) The proceeds from a successful bet, or the amount due from a refund, shall be credited to an individual's account as soon as reasonably practicable after the race or races upon which the bet was placed becomes official. (3) A valid withdrawal order by the holder of an account shall be honored within 5 business days of its receipt. (4) A racing association shall pay the account holder the balance in the account within 5 business days after the account is closed. L. A racing association operating a TABS shall: (1) Make an account activity report available to an account holder quarterly; (2) Close an account which has not had any betting activity for a 12-month period; and (3) Notify a Commission representative within 24 hours of the event, if for any reason a bet placed by an account holder in accordance with the established telephone account betting procedures is not accepted. M. Exception to an Account Activity Report. (1) If an account holder takes exception to an account activity report issued by a racing association as required by §L(1) of this regulation, the account holder shall submit the exception in writing to the racing association within 30 days of the issuance of the account activity report. (2) If the exception is not resolved by the racing association within 15 days of its receipt, the racing association shall promptly notify, in writing, the: (a) Commission of the exception; and (b) Account holder of the right to request a hearing before the Commission to resolve the exception. (3) Upon receipt of a request from an account holder to conduct a hearing to resolve the exception, the Commission shall schedule and conduct a hearing. N. Accounts. (1) Before being granted the right to operate a TABS, and every 6 months thereafter, a racing association shall furnish the Commission with proof that the account holders will be guaranteed the full value of their accounts regardless of the acts of the association or any other entity. (2) If the proof offered under §N(1) of this regulation is not acceptable to the Commission, the Commission may require the racing association to purchase a bond or other form of insurance guaranteeing that the account holders receive the full value of their accounts. O. An account holder shall notify the racing association maintaining that individual's account, in writing, of any change of the account holder's principal residential address. P. Confidentiality. (1) Except as otherwise provided, all information regarding an account shall be maintained in confidence by a racing association including: (a) The account number; (b) The personal identification number; (c) Personal information regarding the account holder; and (d) Transactions. (2) Information regarding an account may be disclosed; (a) To the account holder, (b) To the Commission; and (c) As otherwise required by State law, federal law, or the regulations of the Commission. Q. Source Market Areas. (1) There shall be a source market area for each racing association that is authorized to operate a TABS. (2) The source market area of a racing association consists of all postal addresses located within a 35-mile radius of the racing association, subject to the following: (a) Address locations shall be determined by postal ZIP codes; (b) If a portion of a postal ZIP code is within a source market area established by this subsection, the entire postal ZIP code shall be included within that source market area; and (c) The source market area for a racing association that is not a mile thoroughbred track licensee or a harness track licensee is applicable only during the period of time it holds live racing. (3) Unless otherwise agreed between the applicable racing associations, an individual residing within a source market area may only establish a telephone betting account with a racing association in whose source market area the customer resides. (4) An individual residing outside of any source market area may establish a telephone betting account with any racing association in the State that is authorized to operate a TABS. R. Net Betting Revenue. (1) The net betting revenue derived from bets originating from the source market area of a racing association shall be retained by the racing association. (2) The net betting revenue derived from bets originating from the source market area of one racing association, which overlaps the source market area of another racing association, shall be divided among the racing associations: (a) As set forth in a written agreement; or (b) As provided in §V of this regulation if a written agreement is not then in effect. (3) During the period live racing is conducted at the Timonium racetrack: (a) The net betting revenue from the source market areas of Laurel Park, Pimlico Race Course, and Timonium shall be divided among the racing associations operating these racetracks in accordance with a written agreement; or (b) Absent an agreement, the net betting revenue from the source market areas of Laurel Park, Pimlico Race Course, and Timonium shall be retained by the racing association licensed to operate Timonium. (4) A racing association operating a TABS shall retain the net betting revenue derived from a bet made through its TABS by an individual residing outside the source market areas established under this regulation. S. Allocation of Net Betting Revenue. All net betting revenue retained or received by a racing association shall be allocated: (1) In accordance with an agreement between the racing association, the organization representing a majority of the horsemen racing at the track operated by the racing association, and the organization representing a majority of the breeders of the breed of horses racing at the track operated by the racing association; or (2) Absent an agreement as referenced under §S(1) of this regulation, in accordance with the relevant provisions of Business Regulation Article, Title 11, Annotated Code of Maryland. T. Reports to the Commission. Not later than 75 days after the end of the calendar year, a racing association shall file with the Commission a report, certified by an independent certified public accountant, of all of the costs and expenses deducted in any calendar year by the racing association in calculating net betting revenue. U. Contracting for Use of TABS. (1) A racing association may contract with one or more entities to conduct betting through the TABS established by the racing association. (2) The racing association contracting with an entity to conduct betting through the TABS established by the racing association shall: (a) Prohibit that entity from accepting bets from residents within the source market area of another racing association unless that racing association agrees; (b) If racing association referenced in §U(2)(a) of this regulation agrees, collect and remit to that racing association the net betting revenue from bets made within the source market area of that racing association; and (c) Collect and keep the net betting revenue for bets made within the State but outside of the source market area of any racing association. (3) Revenues and expenses of the contracted entity referenced in §U(1) of this regulation derived from betting conducted through the TABS established by a racing association, other than as provided in §U(2) of this regulation, may not be included in net betting revenue. (4) After payment to the contracted entity referenced in §U(1) of this regulation for services performed, the revenue retained by the racing association from bets facilitated by that entity, other than the amounts referenced in §U(2) of this regulation, shall be allocated: (a) In accordance with an agreement between: (i) The racing association, (ii) The organization representing a majority of the horsemen racing at the track operated by the racing association, and (iii) The organization representing a majority of the breeders of the breed of horses racing at the track operated by the racing association; or (b) Absent an agreement as referenced under §U(4)(a) of this regulation, in accordance with the relevant provisions of Business Regulation Article, Title 11, Annotated Code of Maryland. V. Allocation of Net Betting Revenue from Overlapping Source Market Areas. If there is no written agreement in effect among the racing associations licensed to operate Laurel Park, Pimlico Race Course, and Rosecroft Raceway as to the allocation among them of net betting revenue from the source market areas of Laurel Park or Pimlico Race Course that overlap with the source market area of Rosecroft Raceway, then the allocation shall be determined by a formula that gives equal weight to each of the following three factors, each factor to be calculated as the arithmetical mean average of the factor during 1999 and the last calendar year immediately preceding the period for which the calculation is to be made. (1) Factor 1: Handle bet in Maryland, other than through a TABS, by breed, with the racing associations licensed to operate Laurel Park and Pimlico Race Course credited with all thoroughbred handle, and the racing association licensed to operate Rosecroft Raceway credited with all standardbred handle; (2) Factor 2: Handle bet in Maryland, other than through a TABS, by the time of day, with the racing associations licensed to operate Laurel Park and Pimlico Race Course credited with all handle on racing programs that begin at 6 p.m. Eastern Time or earlier on any day, and the racing association licensed to operate Rosecroft Raceway credited with all handle on racing programs that begin after 6 p.m. Eastern Time on any day; and (3) Factor 3: Handle bet in Maryland, other than through a TABS, by location, with the: (a) Racing associations licensed to operate Laurel Park and Pimlico Race Course credited with all handle bet at Laurel Park, Pimlico Race Course, and any satellite simulcast betting facility established after January 1, 2000, located exclusively within their respective source market areas and not overlapping with the source market area of the racing association licensed to operate Rosecroft Raceway, (b) Racing association licensed to operate Rosecroft Raceway credited with all handle bet at Rosecroft Raceway and any satellite simulcast betting facility established after January 1, 2000, located exclusively within its source market area and not overlapping with the source market area of the racing associations licensed to operate Laurel Park or Pimlico Race Course, and (c) Racing associations licensed to operate Laurel Park and Pimlico Race Course and the racing association licensed to operate Rosecroft Raceway credited with 80 percent and 20 percent respectively, of the handle bet at all other satellite simulcast betting facilities. #### Regulation .25 Racetrack Facility Renewal Account. *COMAR 09.10.04.25* A. Eligibility. A racetrack licensee may receive a grant from the Racetrack Facility Renewal Account, established under State Government Article, §9-1A-29, Annotated Code of Maryland, for racetrack facility capital construction and racetrack facility improvements if the racetrack licensee is in compliance with the applicable eligibility requirements of State Government Article, §9-1A-09, Annotated Code of Maryland, including: (1) The development and submittal to the Commission of a multiyear plan to improve the quality and marketing of horse racing at racetrack locations owned or operated by the racetrack licensee; and (2) The development with other industry representatives in both the thoroughbred and harness racing industries of a multiyear plan to improve the quality and marketing of the horse racing industry in Maryland. B. Qualifications. To qualify for a grant from the Racing Facility Renewal Account, a racetrack licensee shall: (1) Submit to the Commission for approval a capital construction plan and a plan for improvements at the racetrack facility for capital construction and improvements at the racetrack facility that were commenced after October 1, 2010, including specific time frames for implementation; and (2) Except for the owners of the racecourse at Timonium, provide and expend a matching fund equal to the amount of the grant. C. Content. A capital construction plan and a plan for improvements at a racetrack facility for each project shall include: (1) A general description of the capital construction and racetrack facility improvements; (2) The estimated time frame for completion of each project; (3) A complete set of applicable capital construction plans; and (4) A listing of all costs associated with each project including materials and labor. D. Monitoring. If a grant is provided to a racetrack licensee for capital construction, the Commission shall: (1) In consultation with the Department of General Services, monitor the implementation of the approved plans for capital construction; and (2) Unless the Commission grants an extension upon a written request of a racetrack licensee, direct the racetrack licensee to refund the applicable grant monies if the capital construction is not completed within the time frame approved by the Commission. E. Types. At a minimum, the types of capital construction and improvements at a racetrack facility shall include: (1) Projects that cause the racetrack facility to be in compliance with all laws, regulations, and ordinances regarding safety, environmental, and public health concerns; (2) Projects that ensure that the condition of a part of the racetrack where individuals reside, commonly known as the “backstretch”, is satisfactory for human habitation and meets minimum housing and sanitation standards for the jurisdiction in which the racetrack facility is located; and (3) Projects that affect: (a) Racetrack surfaces; (b) Stabling facilities; (c) Pari-mutuel operations or equipment; (d) Food and beverage amenities or equipment; (e) Spectator seating and other patron-oriented improvements; (f) Security systems; and (g) Racing-related equipment. F. Allocation of Funds. (1) Except as provided in §F(2) of this regulation, if two or more racetrack licensees that conduct live racing of the same breed submit plans for capital construction and improvements at a racetrack facility that are approved by the Commission, the funds shall be distributed to the competing racetrack licensees based upon the number of live racing days at each racetrack facility. (2) For calendar year 2011, the monies accrued in the Racetrack Facility Renewal Account for Rosecroft Raceway and Ocean Downs, from the inception of the Racetrack Facility Renewal Account to the date a racetrack license is issued for the operation of Rosecroft Raceway, shall be available only to the racetrack licensee at Ocean Downs, provided the racetrack license at Ocean Downs is otherwise eligible for these funds. (3) Upon the approval by the Commission of a plan for capital construction and improvements at a racetrack facility, a racetrack licensee may expend its matching funds prior to the receipt of grant monies from the Racetrack Facility Renewal Account. (4) Each competing racetrack licensee shall agree in writing to return any funds allocated to the racetrack licensee in a particular calendar year to the Racetrack Facility Renewal Account in the event the racetrack licensee does not run the scheduled number of live racing days for any reason other than weather, acts of God, or other circumstances beyond the control of the racetrack licensee. ### Chapter 05 — Satellite Simulcast Betting **Authority:** Business Regulation Article, §11-210, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.12 adopted as an emergency provision effective August 5, 1992 (19:17 Md. R. 1602) **Administrative History:** Regulations .01—.13 adopted effective January 18, 1993 (20:1 Md. R. 26) **Administrative History:** Regulation .05 amended effective December 19, 2016 (43:25 Md. R. 1384) **Administrative History:** Regulation .06A amended effective October 11, 1993 (20:20 Md. R. 1569) #### Regulation .01 Purpose and Intent Concerning Minority Participation. *COMAR 09.10.05.01* A. Purpose. The purpose of these regulations is to implement the provisions of Business Regulation Article, §§11-815—11-832, Annotated Code of Maryland (Satellite Simulcast Betting), in a nondiscriminatory manner, by specifying the procedures to be used in the application for, and the granting and renewal of, a satellite simulcast betting permit, as well as the terms and conditions of a satellite simulcast betting permit. B. Intent Concerning Minority Participation. The Commission shall carry out the provisions of this chapter in a manner that complies with the intent of the General Assembly in enacting the Maryland Horse Racing Act of 1992 (Chapter 473, Acts of 1992), including the intent regarding minority participation, specifically to: (1) Provide equal opportunity for the inclusion of minority applicants; (2) Be nondiscriminatory in the selection of permit holders to operate satellite simulcast betting; and (3) Ensure that all satellite simulcast betting facility permit holders not discriminate in the employment of services for the development, construction, operation, and maintenance of these facilities. #### Regulation .02 Requirements for Permit Application. *COMAR 09.10.05.02* A. An application for a satellite simulcast betting permit shall be submitted on a form provided by the Commission. B. With the application, the applicant shall submit: (1) A nonrefundable application fee in the amount of $500 by means of a certified or cashier's check; (2) An affidavit to the effect that the applicant will pay, in advance, directly to the provider, any costs incurred for those professional services used by the Commission in the processing of the application; (3) A contract with the applicable track licensee assuring the applicant the: (a) Right to the simulcast signal if the permit is granted, and (b) Operation of the pari-mutuel function at the applicant's facility by the track licensee if the permit is granted; (4) Contracts, if any, with the persons denoted by Business Regulation Article, §11-827, Annotated Code of Maryland, which contain the duration and amount of the takeout to be allocated to the permittee for the costs of operating the satellite simulcast betting facility for which the permittee may be reimbursed, such as: (a) Salaries; (b) Utilities; (c) Repairs and maintenance; and (d) Other expenses agreed upon between the permittee and a person denoted by Business Regulation Article, §11-827, Annotated Code of Maryland; (5) The location, capacity, and availability of parking for the facility to be used for satellite simulcast betting; (6) The address and proof of ownership of the premises where satellite simulcast betting is to be conducted, or a lease agreement for the use of the premises as a satellite simulcast betting facility; (7) Proof that the use of the facility for satellite simulcast betting complies with: (a) Local zoning laws or ordinances; and (b) Ordinances including, but not limited to, those dealing with health and the sale of alcoholic beverages; (8) Financial feasibility studies for the operation of satellite simulcast betting at the location designated; (9) Architectural and interior design plans of the facility for which satellite simulcast betting is being requested; (10) Details relating to food and beverage service at the proposed facility, including: (a) Approximate number of personnel, by category, to be employed in this service; (b) Concept of food service; (c) Type of menu items to be offered; (d) Seating plan; and (e) Other information the applicant considers appropriate; (11) If the proposed facility is within a 35-mile radius of a mile thoroughbred or harness track in Maryland, the written consent of: (a) Each mile thoroughbred and harness track in Maryland within whose 35-mile radius the facility will be located; (b) The groups that represent a majority of the applicable: (i) Owners and trainers licensed in the State, and (ii) Breeders in the State; and (12) Other information requested by the Commission. #### Regulation .03 Personal and Financial Background Investigation. *COMAR 09.10.05.03* A. For the purpose of this regulation, “financial interest” means 5 percent or more of an ownership or profit interest in an applicant for a satellite simulcast betting permit. B. The Commission shall: (1) Conduct a personal and financial background investigation on the officers of the applicant, if any, and each person with a financial interest in the applicant; (2) Obtain from the applicant not less than three personal references regarding each person specified by §B(1) of this regulation; (3) Solicit responses from references furnished by the applicant and evaluate them; (4) Request federal, State, and local law enforcement authorities, with the cooperation of the persons specified in §B(1) of this regulation and at the expense of the applicant, to conduct a criminal background review of persons specified by §B(1) of this regulation; (5) Direct the applicant to pay financial advisors engaged by the Commission to review and advise the Commission on all pertinent financial matters for the applicant and for persons having a financial interest in the applicant in order to determine the applicant's financial ability to purchase or lease, develop, and maintain the satellite simulcast betting facility including: (a) Certified financial statements, (b) Income statements for the most recent year preceding the submission of the application, and (c) Financial statements and related records of any corporation, association, partnership, proprietorship, limited partnership, or any other business entity in which a person with a financial interest in the applicant has at least a majority interest; (6) Obtain from the applicant the: (a) Disclosure of all financial interests in horse racing and other legalized betting activities by those persons specified in §B(1) of this regulation, and (b) Identity and the percentage of interest of all persons with less than a 5 percent financial or beneficial interest in the applicant, as well as the permission of these persons to have an investigation conducted on their background by the Commission. C. If the applicant is a track licensee, the Commission may waive those portions of the personal and financial background check that it considers appropriate. #### Regulation .04 Requirements for a Satellite Simulcast Betting Facility. *COMAR 09.10.05.04* A satellite simulcast betting facility shall have amenities similar to a sports palace facility, including: A. Comfortable seating; B. High quality dining; C. Large screen video display of the racing action; D. Betting stations within easy access; E. Visual and computer-assisted handicapping aids; F. Adequate security; and G. A design which is commensurate to the setting in which it is located. #### Regulation .05 Procedures for Considering an Application. *COMAR 09.10.05.05* Before considering the issuance of a permit, the Commission shall: A. Advertise the date, time, and location of a public hearing on the application in a local publication at least 30 days before the hearing being conducted; B. Provide written notice to the executive and legislative branches of the county and local governments for the jurisdiction within which the proposed satellite simulcast betting facility is to be located of the date, time, and location of the public meeting; C. Post the notice of the public hearing on the Commission website at least 30 days before the public hearing; D. Require the applicant, at least 30 days before the public hearing, to post a sign in a conspicuous location at the facility for which the application for the permit was submitted stating that an application is pending for use of the facility for satellite simulcast betting and specifying the date, time, and location of the public hearing; E. Request from the applicant a list of community associations that were notified of the public hearing; F. Conduct the public hearing within 10 miles of the requested satellite simulcast betting facility and, at this hearing, the Commission shall consider comments, if any, from: (1) The public; (2) The officials from the jurisdiction where the satellite simulcast betting facility is to be located; (3) The applicable track licensee; (4) The applicable group that represents a majority of the owners and trainers licensed in the State; (5) The applicable group that represents a majority of the breeders in the State; and (6) Other interested parties in the racing industry; and G. Among other things, consider the extent to which the satellite simulcast betting facility may interfere with attendance at the mile thoroughbred and harness tracks in Maryland. #### Regulation .06 Grounds for Denial and Sanctions. *COMAR 09.10.05.06* A. The Commission may deny a permit to an applicant for a satellite simulcast betting permit, or may suspend or revoke a satellite simulcast betting permit, if: (1) An applicant or permit holder: (a) Has violated an applicable provision of law, (b) Has violated a regulation of the Commission, or (c) Has not complied with a condition imposed by the Commission; (2) The Commission determines that the: (a) Information it obtains pursuant to Regulations .02—.05 of this chapter does not justify the granting or renewal of a permit, or (b) Permit holder has not maintained the satellite simulcast betting facility or its operation in a manner consistent with the information the Commission relied upon in granting the permit. B. Instead of, or in addition to, suspending a permit, the Commission may impose a fine not exceeding $5,000 for each day a violation occurs. C. In determining the penalty to be imposed, the Commission shall consider the: (1) Seriousness of the violation; (2) Harm caused by the violation; (3) Good faith or lack of good faith of the permittee; and (4) Operational history of the permittee. #### Regulation .07 Term of a Satellite Simulcast Betting Permit. *COMAR 09.10.05.07* A. Unless suspended or revoked, the term of a satellite simulcast betting permit is for the remainder of the: (1) Calendar year if the starting date on the permit is before July 1 of the calendar year; or (2) Calendar year and the next calendar year if the starting date on the permit is after July 1 of the calendar year. B. A satellite simulcast betting permit may not be issued for a period which extends beyond the expiration date of a contract required by Regulation .02 of this chapter. #### Regulation .08 Content of a Satellite Simulcast Betting Permit. *COMAR 09.10.05.08* A satellite simulcast betting permit shall contain the: A. Name of the permittee; B. Location for which the permit is issued; and C. Term of the permit. #### Regulation .09 Renewal of a Satellite Simulcast Betting Permit. *COMAR 09.10.05.09* An application for the renewal of a satellite simulcast betting permit shall be: A. Delivered to the Commission offices not less than 60 days before the end of the term of the permit; B. Accompanied by an affidavit from the permittee stating that the facility in which satellite simulcast betting takes place continues to meet the requirements of the law, regulations, and conditions, if any, of the Commission; and C. Granted, unless the Commission determines that the permit holder: (1) Should be denied under the provisions of Regulation .06 of this chapter; or (2) No longer has viable contracts, leases, and agreements required under Regulation .02 of this chapter. #### Regulation .10 Satellite Simulcast Betting Permit Fee and Renewal Fee. *COMAR 09.10.05.10* A. The permit fee is $500. B. The renewal fee is $500. C. Fees shall be paid before the issuance of a satellite simulcast betting permit or the renewal of the permit. #### Regulation .11 Discretion of Judges and Stewards. *COMAR 09.10.05.11* A. If there is a problem in the transmission of data or the signal between the host track and the satellite simulcast betting facility, it is within the discretion of the stewards/judges to: (1) Order the race to be run on schedule; (2) Delay the race until the matter is resolved, if this is possible; or (3) After having delayed the race, if the problem is not resolved and a further delay is not possible, order the race to be run. B. If a race is run before the resolution of a problem in the transmission of data or signal between the host track and the satellite simulcast betting facility, the stewards/judges shall cause an announcement to be made that any pari-mutuel ticket issued before the running of the race is a valid ticket irrespective of the nontransmission of data or the signal. #### Regulation .12 Requirements of Permittee. *COMAR 09.10.05.12* A permittee shall: A. Comply with the law, the regulations of the Racing Commission, and the conditions, if any, of the Racing Commission; B. Report, in conjunction with the applicable groups representing a majority of the horsemen and breeders in the State, to the Commission not later than December 31 of each year for the period through December 15 of that year, on the: (1) Effectiveness of satellite simulcast betting, and (2) Effect of satellite simulcast betting on the racing industry in the State; C. Reimburse the Commission for the cost of personnel employed by the Commission to inspect, investigate, or perform a licensing function at the satellite simulcast betting facility; and D. Periodically, at the discretion of the Commission but not later than the date set for renewal of a permit, assure the Commission that the facilities continue to meet the requirements of the laws, regulations of the Racing Commission, and the conditions, if any, of the Racing Commission. #### Regulation .13 Changes in Ownership in Permittee. *COMAR 09.10.05.13* A. A permittee or a purchaser of an interest in the permittee shall notify the Commission of a change in the ownership, or a change in the composition of the ownership, of the permittee within 24 hours of the change. B. After reviewing the change, the Commission shall make a determination to continue or revoke the permit based on the criteria used in issuing a permit. ### Chapter 06 — New Racetrack License **Authority:** Business Regulation Article, §11-210, Annotated Code of Maryland **Administrative History:** Effective date: December 13, 1999 (26:25 Md. R. 1897) #### Regulation .01 Purpose. *COMAR 09.10.06.01* The purpose of this chapter is to set forth the procedures to be followed in the application for, and the issuance of, a new racetrack license. #### Regulation .02 Application Fee. *COMAR 09.10.06.02* A. An applicant for a new racetrack license shall pay an application fee of $30,000 upon the filing of the application. B. Except as provided in Regulation .05F(2) of this chapter, the application fee is nonrefundable. #### Regulation .03 Application Period. *COMAR 09.10.06.03* A. When the Commission intends to consider the issuance of a license for a new racetrack, the Commission shall advertise in the Maryland Register an application period, not to exceed 60 days, during which the Commission shall accept application documents. B. The Commission shall specify the type, and general geographic area, of the racetrack for which it will consider applications. C. The advertisement shall be published at least 30 days before the first day of the application period. D. To be timely, the application documents shall be delivered to the Commission not later than 5 p.m. on the last day of the application period. E. An application delivered after the deadline may not be accepted and may not be considered by the Commission. #### Regulation .04 Document Submission. *COMAR 09.10.06.04* Documents required to be submitted to the Commission under this chapter shall consist of an original and ten copies. #### Regulation .05 Application Procedure. *COMAR 09.10.06.05* A. The application procedure consists of the following two phases: (1) Phase I, which requires the submittal of the items specified in Regulation .06 of this chapter; and (2) Phase II, which requires the submittal of all of the other information required by this chapter. B. Upon the certification of one or more applications as required under Regulation .08 of this chapter, the Commission shall conduct a hearing in accordance with State Government Article, Title 10, Annotated Code of Maryland, to determine which, if any, applicant should be approved to proceed to Phase II. C. Opportunity for Local Comment. Before approving an applicant to proceed to Phase II, the Commission shall: (1) Conduct a hearing in the county seat of the county in which the proposed racetrack is to be located to receive and consider comments from local government officials, residents, and businesses; and (2) At least 15 days before the hearing: (a) Advertise the date, time, and location of the hearing in a publication serving the area in which the proposed racetrack facility is to be located, and (b) Notify the executive and legislative branches of the county and local governments for the jurisdiction within which the proposed racetrack facility is to be located of the date, time, and location of the hearing. D. Prepared Testimony. (1) An applicant who wishes to present written testimony at a hearing on the application shall file with the Commission an original and nine copies of the written testimony and all attachments not later than 21 days before the date set for the hearing or on a date ordered by the Commission. (2) The applicant's written testimony is required to be submitted in printed or typewritten form on 8 1/2 by 11 inch paper. (3) If an expert witness is to appear and testify on behalf of the applicant, the applicant shall, not later than 21 days before the date set for the hearing or on a date ordered by the Commission: (a) Supply the written testimony of the witness; and (b) Attach to the written testimony of the expert witness: (i) A brief description of the witness, and (ii) The portions of the application that the witness is identifying or sponsoring. E. Commission. In determining whether to grant or deny approval to proceed to Phase II, the Commission shall consider the following factors: (1) The applicant's financial stability; (2) The financial viability of the proposed racetrack; (3) The location of the proposed racetrack; (4) Facilities for patrons and individual licensees; (5) Facilities for horses; (6) The potentials for conflict with other licensed race meetings; (7) The anticipated effect of the race meeting on the breeding industry in the State; (8) The anticipated effect of the race meeting on the State and local economy from tourism, increased employment, and other sources; and (9) If the granting of a license is in the best interests of racing in the State. F. If the Commission: (1) Approves an applicant to proceed to Phase II, the approved applicant shall submit the remaining information required by this chapter within 6 months of the approval; or (2) Does not approve an applicant to proceed to Phase II, the Commission may refund that portion of the application fee it determines was not expended on administrative, investigative, and hearing costs. G. Upon the submittal of all the information required in Phase II, the Commission shall: (1) Review the materials submitted; and (2) Conduct a hearing to determine if a new racetrack license should be granted to the applicant. #### Regulation .06 Phase I Documents and Information. *COMAR 09.10.06.06* The following documents and information, sworn before a notary public as to the truth and validity by the applicant or, if the applicant is not an individual, by the chief executive officer of the applicant, shall be submitted to the Commission in Phase I: A. A completed application form obtained from the Commission which shall provide for: (1) The name of the applicant; (2) The address of the principal office of the applicant in Maryland; (3) The exact location of the proposed racetrack; (4) A detailed description of the proposed racetrack and racetrack facilities; (5) Operational plans, including the: (a) Type of racing, (b) Number of days of live racing, (c) Number of races per day, and (d) Number of days of simulcast racing; and (6) A projected satellite simulcast betting network; B. The information required under: (1) Regulations .10—.12 of this chapter regarding personal and financial background; (2) Regulations .13—.18 0f this chapter regarding ownership; and (3) Regulations .29—.34 of this chapter regarding financial matters, including audited financial statements; C. A time schedule estimating when each of the following tasks will begin and end following an approval by the Commission to proceed to Phase II: (1) Acquiring land; (2) Soliciting bids; (3) Awarding construction contracts; (4) Construction; (5) Hiring management personnel; (6) Staffing and implementing a marketing plan; (7) Training staff; and (8) Obtaining all necessary local use permits from governmental authorities including zoning and liquor sales; D. The applicant's business structure, including an organizational chart; E. A statement that the applicant accepts the risk of adverse publicity, embarrassment, criticism, or other circumstance, including financial loss, that may result from action by the Commission regarding the application; F. An express and irrevocable waiver of claims against the Commission, its members and employees, and the State of Maryland from each individual who provides information under Regulation .10 of this chapter for any damages that may result from actions, errors, or omissions by the Commission regarding the application; G. A list containing the name, type of service rendered or expected to be rendered, and costs incurred to date and any additional projected costs of all paid consultants, including, but not limited to, veterinary, racetrack design or maintenance, management, marketing, legal, or legislative services: (1) Used by the applicant during the 3-year period preceding the date the application was filed; and (2) Expected to be used by the applicant to prepare for a hearing on the application and to prepare the racetrack for racing; and H. The name, address, and telephone number of the individual designated by the applicant as the primary contact person for the Commission during the application process. #### Regulation .07 Format. *COMAR 09.10.06.07* A. The application documents shall be in printed or typewritten form on 81/2 by 11 inch paper. B. Architectural drawings shall be submitted on 11 by 17 inch paper, folded to 81/2 by 11 inches. C. The regulation and section of the regulation that requires the submission of a document shall be noted at the top of each page of the document. D. Photographs shall be supplied of any three-dimensional exhibits. E. The documents shall be submitted in three-ring binders, consisting of: (1) Three volumes for Phase I as follows: (a) Volume 1: Personal and Background Information, (b) Volume 2: Ownership, and (c) Volume 3: Financial Matters; and (2) Four volumes for Phase II as follows: (a) Volume 4: Executive Summary, (b) Volume 5: Site and Facilities, (c) Volume 6: Operations, (d) Volume 7: Safety and Security. F. Each volume listed under §E of this regulation shall be titled and contain a table of contents and dividers to clearly designate the various regulations covered in the volume. G. The documents within each volume shall be consecutively paginated. H. The Executive Summary shall reference the information submitted in Phases I and II, and shall contain: (1) An index of the entire application; (2) A table submitted on a form supplied by the Commission which contains information regarding the ownership and contributions of each officer, director, partner, or owner with an interest of 2 percent or more in the applicant; and (3) A table submitted on a form supplied by the Commission containing an attendance and wagering summary of information broken down by breed of racing and coordinated with the information submitted in the financial forecasts as required under Regulation .34 of this chapter. #### Regulation .08 Review of Application for Completeness. *COMAR 09.10.06.08* A. Not later than the 30th day after the last day of an application period, the Executive Director of the Commission shall review each application submitted to determine whether the application contains all the information required under Regulation .06 of this chapter. B. If the Executive Director determines that the required information has not been submitted, the Executive Director shall notify the applicant in writing and state the nature of the deficiency. C. An applicant notified in accordance with §B of this regulation may submit the documents necessary to complete the application not later than 15 days after notification. D. An applicant who is notified in accordance with §B of this regulation and who fails to submit the requested documents in a timely manner may not be certified by the Executive Director, and the Commission may not consider the application. E. When the Executive Director determines that an application contains all of the required information, the Executive Director shall: (1) Certify in writing that the application is received by the Commission; and (2) Deliver a copy of the certification to the applicant. #### Regulation .09 Changes in Application. *COMAR 09.10.06.09* A. If information submitted by an applicant as part of a racetrack application changes or becomes inaccurate before the Commission acts on the application, the applicant shall immediately notify the Executive Director in writing of the change or inaccuracy. B. After a racetrack application has been filed by an applicant, the applicant may not amend the application except: (1) To address a deficiency in accordance with a notice sent under Regulation .08 of this chapter; (2) As required by the Commission or the Commission staff for clarification of information contained in the application; or (3) To address a change in the circumstances surrounding the application that was outside the control of the applicant and that affects the ability of the applicant to comply with the law or the regulations of the Commission. C. To amend an application under §B(3) of this regulation, an applicant shall file with the Executive Director a written request to amend the application, stating: (1) The change in the circumstances surrounding the application that necessitates the amendment; (2) The nature of the amendment; and (3) The reason why the amendment is necessary to bring the application into compliance with the law or the regulations of the Commission. D. An applicant filing a request under §C of this regulation shall serve a copy of the request on any other applicant. E. The Commission shall grant or deny each request filed under §C of this regulation. F. A request shall be granted if the applicant demonstrates that: (1) The circumstances requiring the amendment were outside the control of the applicant; (2) Before the change in the circumstances surrounding the application, the application complied with the pertinent provisions of the law or the regulations of the Commission; (3) The amendment is necessary to bring the application into compliance with the pertinent provisions of the law or the regulations of the Commission; and (4) The amendment does not unfairly surprise another applicant. #### Regulation .10 Personal and Background Information. *COMAR 09.10.06.10* A. Except as otherwise provided by this regulation, the application documents shall include the information under §B of this regulation, for an individual who is: (1) The applicant; (2) A director, officer, or key management individual with the applicant; (3) A partner of the applicant; or (4) An owner of an interest in the applicant of 2 percent or more. B. An individual listed under §A of this regulation shall furnish the following: (1) Full name and any previous names or aliases; (2) Date of birth; (3) Physical description; (4) Home and business addresses and telephone numbers; (5) Driver's license number and state of issuance; (6) Social Security number; and (7) Passport or I.D. photo. C. If the applicant is a corporation, the application documents shall state the: (1) State in which the applicant is incorporated; and (2) Name and address of the applicant's agent for service of process in Maryland. D. If an applicant is a nonprofit corporation, only an individual who is a director or officer of the applicant shall provide the information required under §B of this regulation. E. Inadvertent, nonsubstantive errors that might be made in furnishing the information required by this regulation may not be used as a reason by the Commission for disqualifying the applicant. #### Regulation .11 Information for Background Investigation. *COMAR 09.10.06.11* A. An individual required to provide information under Regulation .10 of this chapter shall also submit a set of the individual's fingerprints and complete a background form supplied by the Commission which includes a statement disclosing whether the individual has ever been: (1) Arrested; (2) Convicted of, pled nolo contendere to, or received probation before judgement for, a felony or misdemeanor, other than a misdemeanor traffic offense; (3) Sanctioned by a government agency related to horse racing; (4) Found liable in connection with a civil action related to horse racing; (5) A debtor in a bankruptcy proceeding; or (6) Denied a bond. B. The forms submitted in compliance with this regulation shall be submitted under separate cover labeled “Background Investigation Forms—Confidential” and include the fingerprint cards required by this regulation. #### Regulation .12 Consent for Investigation. *COMAR 09.10.06.12* An individual required to provide personal and background information under Regulation .10 of this chapter shall provide a statement that irrevocably gives consent to the Commission and persons authorized by the Commission to: A. Verify all information provided in the application documents; and B. Conduct a background investigation of the individual. #### Regulation .13 Organizational Documents. *COMAR 09.10.06.13* A. If the applicant is a corporation, the application documents shall include a: (1) Statement of when the corporation was organized; (2) Copy of the articles of incorporation and bylaws of the corporation; (3) Statement and documentation of whether the corporation has been reorganized or reincorporated during the 5-year period preceding the date on which the application documents are submitted to the Commission; and (4) Statement and documentation of whether the corporation has filed restated articles of incorporation. B. If the applicant is an unincorporated business association, the application documents shall include a: (1) Copy of each organizational document of the applicant, including any partnership agreement; and (2) Description of any oral agreements involving the organization of the applicant. #### Regulation .14 Owners. *COMAR 09.10.06.14* A. If the applicant is an unincorporated business association, the application documents shall identify: (1) Each person who exercises voting rights in the applicant; and (2) Each person who directly or indirectly owns 2 percent or more of the business association. B. If the applicant is authorized to issue capital stock, the applicant shall state, for each class of stock authorized, the: (1) Total number of shares; (2) Par value, if any; (3) Voting rights; (4) Current rate of dividend; and (5) Number of shares outstanding and the market value of each share. C. If the applicant is a corporation, the application documents shall identify each person who: (1) Exercises voting rights in the corporation; and (2) Directly or indirectly owns 2 percent or more of the corporation. D. The application documents shall include a certified copy of each voting trust or voting agreement in which capital stock of the applicant is held and shall state the: (1) Name and address of each stockholder participating in the trust or agreement; (2) Class of stock involved; and (3) Total number of shares held by the trust or agreement. E. The application documents shall describe the terms of any proxy by which any capital stock may be voted and shall state the: (1) Name and address of the person holding the proxy; (2) Name and address of the stockholder who granted the proxy; (3) Class of stock for which the proxy may vote; and (4) Total number of shares voted by the proxy. F. The application documents shall state any provisions, and the procedures by which these provisions may be modified, for the redemption, repurchase, retirement, conversion, or exchange of an ownership interest. G. The application documents shall state whether the applicant's stock may be traded through options and whether the corporation or a stockholder has executed an agreement or contract to convey any of the corporation's or the stockholder's stock at a future date. H. The application documents shall include a copy or a description of each agreement or contract disclosed under §G of this regulation. I. The application documents shall include a copy of each prospectus, pro forma, or other promotional material given to potential investors about the proposed racetrack. J. The application documents shall provide full disclosure for any stock options that may exist or have been granted. #### Regulation .15 Directors, Officers, and Partners. *COMAR 09.10.06.15* A. If the applicant is not an individual, the application documents shall include a list of the individuals who are serving, or who are designated to serve, during the first year after the date the application documents are submitted to the Commission, either as a director, officer, partner, or an individual having key management responsibility. B. For each individual listed under §A of this regulation, the applicant shall provide: (1) The individual's name and address; (2) Each position or office of the applicant held by the individual; (3) The individual's principal occupation during the 5-year period preceding the date on which the application documents are submitted to the Commission; and (4) The nature and extent of any ownership interest that the individual has in the applicant. #### Regulation .16 Controlling Entity. *COMAR 09.10.06.16* The application documents shall: A. State whether another entity has a beneficial ownership in the applicant, as defined in Business Regulation Article, §11-301, Annotated Code of Maryland; B. Describe the: (1) Nature of the beneficial ownership, and (2) Extent of control exercised by the beneficial owner; and C. Include information and documents required under Regulations .10 —.15 of this chapter as to each beneficial owner. #### Regulation .17 Lease of Racetrack by Applicant. *COMAR 09.10.06.17* A. If an applicant for a license to operate a new racetrack intends to lease the racetrack facility from another person, the application documents shall include the information required by Regulation .10 of this chapter as it pertains to the lessor. B. The application documents shall include a copy of the lease agreement and every other agreement or contract between the lessor and lessee. C. The Commission may not grant a license to a person applying under this chapter if the Commission determines that the: (1) Lessor would not be qualified to be issued a license; or (2) Lease is a subterfuge to avoid compliance with one or more provisions of this chapter. #### Regulation .18 Outside Interests. *COMAR 09.10.06.18* A. The application documents shall state whether the applicant, a director, officer, or partner of the applicant, or an owner of an interest in the applicant of 2 percent or more: (1) Has ever held an ownership interest in a licensee of the Commission; or (2) Is currently engaged in the business of racing in another state and the nature and extent of that involvement. B. The applicant shall describe the nature of participation stated under §A of this regulation. #### Regulation .19 Location of Racetrack. *COMAR 09.10.06.19* The application documents shall include: A. The name of the county and, if applicable, the municipality in which the racetrack is to be located; B. The legal description of the racetrack site; C. The name and address of each person who has held title to the real property during the 5-year period preceding the date on which the application documents are filed; D. The name and address of each person who holds a mortgage or other security interest in the real property; E. An unconditional commitment by the owner of the real property for a title insurance policy; F. An aerial photograph of the racetrack site; G. A photograph of the site from each roadway adjacent to the site; and H. A description of the current commercial and industrial uses for all property within a 1-mile area around the racetrack site. #### Regulation .20 Zoning and Government Improvements. *COMAR 09.10.06.20* A. The application documents shall: (1) Describe the applicable zoning designation for the racetrack site; (2) List any local zoning or special use permits, including liquor sales permits, that the applicant must obtain for the racetrack site; (3) Describe, for the permits listed under §A(2) of this regulation: (a) The procedure by which the applicant shall obtain the permits, (b) Conditions, if any, likely to be placed on the permits, and (c) The estimated dates on which the applicant will obtain the permits; and (4) State whether a variance is required for the height of the facilities. B. The application documents shall describe the sewer, water, and other utility improvements needed to adequately serve the racetrack site, and shall include: (1) The estimated cost of the improvements; (2) The estimated date of completion; (3) The names of the parties, whether public or private, initiating the improvements; (4) The names of the parties responsible for the costs of the improvements; and (5) If more than one party is responsible for the costs, the proportionate distribution of the costs among the parties. C. The application documents shall state the status of roadway improvements needed to ensure adequate access to the racetrack site and shall include: (1) The estimated cost of the improvements; (2) The estimated date of completion; (3) The names of the parties, whether public or private, initiating the improvements; (4) The names of the parties responsible for the costs of the improvements; and (5) If more than one party is responsible for the costs, the proportionate distribution of the costs among the parties. D. For the improvements described under §B or C of this regulation, the application documents shall: (1) State whether local government approval is necessary for making the improvements; (2) Include a description of the procedure by which the local government approval is obtained; (3) Indicate all conditions likely to be placed on the local government approval; and (4) Indicate the estimated date on which local government approval will be granted. #### Regulation .21 Defects. *COMAR 09.10.06.21* The application documents shall state whether the racetrack site: A. Has any geological or structural defects and include a description of the engineering, design, and construction plans to remedy the defect; and B. Is located in a floodplain and include a description of the flood history of the site. #### Regulation .22 Access and Transportation. *COMAR 09.10.06.22* A. The application documents shall include a traffic flow study prepared by a traffic engineer containing a: (1) Statement, in miles, of the distance of the racetrack site from the center of the nearest population center; (2) Description and map of the roadway access to the racetrack site; (3) Photograph of each roadway that will be used to access the site; (4) Description of the transportation facilities that serve the population center; and (5) Description of the transportation facilities that will serve the racetrack site. B. The application documents shall state the experience and qualifications of the engineer who prepared the study submitted under this regulation. #### Regulation .23 Architect's Plan. *COMAR 09.10.06.23* A. The application documents shall include: (1) Layout drawings of the proposed: (a) Racing strip, (b) Facilities and equipment, (c) Facilities for horses and personnel, and (d) Customer facilities; and (2) A description of the experience of the architect who designed the proposed facility including a statement of the number of racetracks the architect has visited and designed. B. The drawings required under §A(1) of this regulation shall be: (1) To scale; and (2) In sufficient detail to: (a) Illustrate the facilities and equipment specified, and (b) Show the measurements of all areas including the barns and stalls. #### Regulation .24 Racetrack Dimensions. *COMAR 09.10.06.24* A. The application documents shall state the dimensions and specifications of each racetrack to be provided on association grounds, including the: (1) Total length; (2) Width; (3) Banking, with a description of the method of transition into and out of turns; (4) Radius of each turn and the length of each stretch and chute; (5) Type of inside and outside rail; (6) Composition and depth of the base, subsurface, and cushion of the racetrack with a schematic drawing of the racing surface; (7) Drainage system for the racing surface; (8) Location and design of the video towers; (9) Location and method of closing gaps in the rail; (10) Location of lighting for the racetrack; (11) Type of turf for a turf racetrack; and (12) Method by which the track will be winterized. B. The application documents shall describe the racing surface maintenance plan and the maintenance equipment, including equipment to water the racetrack. #### Regulation .25 Public Areas. *COMAR 09.10.06.25* A. The application documents shall state the specifications for areas of the racetrack facility to which the public will have access and include a description of the configuration and location of the: (1) Grandstand; (2) Total number of seats, designating the indoor and outdoor seats and the reserved and nonreserved seats; (3) Television monitors available for viewing by patrons; (4) Pari-mutuel facility; (5) Concession areas; (6) Restrooms; (7) Drinking fountains; (8) Special clubs or other facilities for certain patrons; (9) Turnstiles or the method for counting patrons; and (10) Fencing around the grandstand. B. The application documents shall describe the applicant's plans for maintaining and cleaning the public areas of the racetrack facility. C. The application documents shall describe the patterns for pedestrian traffic in and around the racetrack facility and the provisions for disabled patrons. D. The application documents shall state the maximum capacity of the facilities, and include the area in square feet of the grandstand. #### Regulation .26 Parking Facilities. *COMAR 09.10.06.26* The application documents shall state the specifications for parking facilities for the racetrack, including a description of the: A. Access to the parking facilities from each roadway adjacent to the racetrack site; B. Location and number of spaces for each type of parking available, including public, Commission employee, individual licensee, and handicapped parking; C. Road surface to be used in the parking facilities; and D. Distance between the parking facilities and the grandstand. #### Regulation .27 Facilities for Horses and Personnel. *COMAR 09.10.06.27* A. The application documents shall describe the: (1) Facilities for stabling horses; (2) Facilities for obtaining specimens for testing horses and humans for drugs; (3) Prerace holding area and paddock; (4) Facilities for owners, trainers, and other racetrack personnel; (5) Facilities for a racetrack chaplain; (6) Lounge area, educational facilities, and other recreational facilities for racetrack personnel; (7) Facilities for jockeys and drivers; (8) Stand for the racing judges or stewards and the work areas for representatives of the Commission; (9) Size and composition of the planned path for horses from the stable area to the prerace holding area, paddock, racetrack, and test barn; (10) Areas and equipment in and around the stable area where horses may be cooled out or leisurely exercised, such as gallops, grass paddocks, pastures, wood chip trails, or electric walkers; (11) Equine and human ambulances and the location of a covered area for the equine and human ambulances; and (12) Child care facilities for the patrons or the licensees, if provided. B. The application documents shall describe the applicant's plans for maintaining and cleaning the facilities for horses and employees. #### Regulation .28 Utilities and Easements. *COMAR 09.10.06.28* A. The application documents shall describe the location of utilities throughout the racetrack site, including: (1) Whether electrical service is overhead or underground; (2) The location, depth, and size of water and sewer lines; and (3) Availability of a backup generator or other source of energy. B. The application documents shall state the name of each owner of an easement across the racetrack site and describe the nature of the easement. #### Regulation .29 Fiscal Information. *COMAR 09.10.06.29* A. The application documents shall include audited financial statements of the applicant for each of the 3 fiscal years preceding the date the application documents are submitted, including a: (1) Balance sheet; and (2) Profit and loss statement. B. If the applicant has been organized for less than 3 years, the application documents shall include audited financial statements for each fiscal year that the applicant has been organized. C. Information submitted under this regulation shall be prepared by an independent certified public accountant in accordance with generally accepted accounting principles. #### Regulation .30 Loans. *COMAR 09.10.06.30* A. The application documents shall state each loan made by the applicant in an amount that exceeds 1 percent of the applicant's net income for the year in which the loan was made. B. The disclosure for each loan listed under §A of this regulation shall include: (1) The name and address of the borrower; (2) The amount of the loan; (3) The terms of the loan; and (4) A copy of each document executed with respect to the loan. #### Regulation .31 Debt. *COMAR 09.10.06.31* A. The application documents shall describe any lien that encumbers 1 percent or more of the applicant's assets or 1 percent or more of the assets of a person with an ownership interest in the applicant of 25 percent or more. B. The disclosure for each lien listed under §A of this document shall include: (1) The name and address of the lender or secured party; (2) The amount of the indebtedness; (3) The terms of the lien; and (4) A copy of each document executed with respect to the lien. #### Regulation .32 Budgets. *COMAR 09.10.06.32* A. The application documents shall describe the costs of construction or improvement of the racetrack facilities. B. The disclosure required under §A of this regulation shall state whether each item is a fixed cost or a projection, and shall include the costs of: (1) Architectural and engineering services; (2) Land acquisition; (3) Site development; (4) Facility construction; (5) Equipment acquisition; (6) Capitalized interest; (7) Loan placement fees and other guarantee fees; (8) Any other financing costs relating to construction; (9) Administrative services relating to construction; (10) Legal services relating to construction; and (11) Other areas relating to construction, providing details of any costs exceeding 5 percent of the total cost of construction. C. The application documents shall describe the costs of operating the facility and the association before the first day of racing, including the costs of: (1) Promotion and advertising; (2) Application development; (3) Application fees; (4) Licensing fees; (5) Management, administrative, and other salaries; (6) Interest and other financing costs not related to construction; and (7) Other areas relating to operations, providing details of any costs exceeding 5 percent of the total costs. #### Regulation .33 Funding. *COMAR 09.10.06.33* A. The application documents shall state the source of funds for the construction or operation of the racetrack. B. If a source of funds listed under §A of this regulation is an equity contribution, the applicant shall disclose the: (1) Amount of contribution; (2) Terms of any commitment from that source; and (3) If the contribution is other than cash or cash equivalent, the basis for valuing the noncash contribution. C. If a source of funds listed under §A of this regulation is a debt contribution, the applicant shall disclose the: (1) Amount of contribution; (2) Terms of any commitment from that source; and (3) If the contribution is other than cash or cash equivalent, the basis for valuing the noncash contribution. D. The application documents shall include documents from which the Commission can conclude that financing for the racetrack is reasonably assured, such as a letter of commitment, and that the financing is conditioned only on conditions normal and customary to a sophisticated financing, such as acquisition of zoning variances, building permits, and other government approval. E. The application documents shall describe alternate sources of funds for unexpected occurrences, such as cost overruns, nonreceipt of equity or debt funds, or overestimated revenues. F. The application documents shall state the amount of working capital the applicant intends to have available for the first 6 weeks of racetrack operations, including funds for the payment of expenses for officials, drug testing, and purses. G. Together with the funding disclosures under this regulation, the application documents shall show proof of the financial ability of the applicant to complete the project. #### Regulation .34 Financial Forecasts. *COMAR 09.10.06.34* A. Based upon the experiences of one or more operating racetracks, the application documents shall include a financial forecast regarding the operation of the proposed racetrack and pari-mutuel wagering for each of the first 5 years after a license is granted and operations are started. B. The financial forecasts required under §A of this regulation shall include: (1) Forecasts of revenues, expenses, changes in capital accounts, and cash flows; (2) A projected balance sheet incorporating the financial forecast for each year for which a financial forecast is made stating the assets, liabilities, and amount of capital of the applicant, based on certain variables including: (a) Average daily attendance, (b) Average daily handle, (c) Average per capita wager, (d) Average number of admissions, including ticket price and free admission, (e) The shares for the State and the association from the pari-mutuel handle, (f) Minimum purse schedule, (g) Payroll, (h) Taxes, (i) Cost of interest, (j) Cost of insurance, legal, and accounting services, (k) Cost of operating supplies and services, (l) Cost of maintenance and repairs, (m) Cost of totalisator services and pari-mutuel operations, (n) Advertising and promotion expenses, (o) Travel expenses, and (p) Equipment depreciation. C. The financial forecasts required under this regulation shall be prepared by a certified public accountant and follow a format supplied by the Commission. D. The financial forecasts shall include a report on the forecasts prepared by an independent certified public accountant and both shall be in accordance with the Guide for Prospective Financial Statements, published by the Financial Forecasts and Projections Task Force of the American Institute of Certified Public Accountants. E. The application documents shall state the qualifications and background of the accountant who prepared the report submitted under this regulation. F. The application documents shall describe the criteria that were used to select the comparable racetracks for purposes of determining the information supplied under §B(2) of this regulation. G. The application documents shall include a projection of break-even operations prepared on the basis of cash flow from operations after debt service. H. The projections required under §G of this regulation shall be prepared using the same number of race days, simulcast only days, per capita handle, and other assumptions used in the financial forecasts and shall express the break-even point in terms of attendance per race day and simulcast only day. #### Regulation .35 Race Meetings. *COMAR 09.10.06.35* A. The application documents shall describe the type of race meetings the applicant plans to conduct each year, including the number of: (1) Live race meetings and the number of live race days per week; and (2) Simulcast race meetings and the number of simulcast race days per week. B. For each race meeting described under §A of this regulation, the documents shall indicate the time of day the races will be conducted, and the approximate number of races per breed to be offered. #### Regulation .36 Management. *COMAR 09.10.06.36* A. The application documents shall include a list of the individuals who will be responsible for the operation of the racetrack. B. For each individual listed under §A of this regulation, the documents shall: (1) Include a set of the individual's fingerprints; (2) Include the information required of an individual under Regulations .10—.12 of this chapter; and (3) State the individual's experience and qualifications in: (a) The racing industry, including pari-mutuel operations, (b) General business, (c) Finance and accounting, and (d) Security. C. The application documents shall include a copy of any written employment contract or state the terms of any oral employment agreement regarding employees of the racetrack. D. The documents required under §C of this regulation shall fully describe all benefit packages and incentives paid to an employee of the racetrack. E. The application documents shall include an organizational chart of the management personnel and the job description, compensation, proposed percentage ownership, and qualifications for each position. F. For each individual who has been hired to fill a key management position, the documents shall include a resume and state the total number of years experience the individual has in: (1) Pari-mutuel racing; (2) Non-pari-mutuel racing; and (3) Other businesses relevant to the management position. G. The application documents shall describe any training program for management personnel required or provided by the applicant. H. If the applicant intends to contract with a person or management company to manage the racetrack, the application documents shall include: (1) A copy of the written contract; (2) A description of the person or company's previous experience operating a pari-mutuel racetrack; and (3) All the information required by this regulation as it pertains to the person or company and its employees. I. The application documents shall describe the applicant's plans to include small businesses and minority-owned businesses in its construction and operations. J. The documents shall include a statement of the applicant's affirmative action plan. #### Regulation .37 Concessions. *COMAR 09.10.06.37* A. The application documents shall describe the applicant's plan for concessions, including food, beverages, and promotional products. B. If the applicant intends to contract with a person or a concessions company to provide the concessions, the application documents shall include: (1) A copy of the written contract; and (2) All the information required by Regulation .36 of this chapter as it pertains to the concessions company and its management personnel. #### Regulation .38 Pari-Mutuel Operations. *COMAR 09.10.06.38* The application documents shall describe the applicant's pari-mutuel facilities and operations, including a description of the totalisator equipment proposed to be used. #### Regulation .39 Operations Contracts. *COMAR 09.10.06.39* A. If an association submits a written contract under Regulation .36, .37 or .38 of this chapter, the application documents shall include, for each party to the contract: (1) Audited financial statements and an auditor's report; or (2) Unaudited financial statements and a report by an independent certified public accountant. B. The application documents shall include a financial statement required by this regulation for each of the 3 years preceding the date the application documents are submitted. C. The application documents shall state the qualifications and background of the auditor or accountant who prepared the report submitted under this regulation. D. The Commission shall review each contract submitted under this regulation in executive session, with these documents deemed to be “Confidential Financial Information”. #### Regulation .40 Out-of-State Distributions. *COMAR 09.10.06.40* The application documents shall state the amount of money that will be paid by the association, during each of the first 5 years of operation, to entities located outside Maryland as: A. Payments of profit or other distributions to investors residing outside Maryland; B. Interest on debt with lenders located outside Maryland; C. Payment for supplies purchased from, or services rendered by, entities based outside Maryland other than the management company; D. Payments to the management company as reimbursement for expenses or as payment for services; E. Rent for facilities or equipment owned by entities based outside Maryland; and F. Any other payments to out-of-State entities. #### Regulation .41 Racing Equipment. *COMAR 09.10.06.41* The application documents shall describe the equipment to be used in conducting races, including the starting gate, the timing of the races, photo finish, and videotape equipment. #### Regulation .42 Purse Structure. *COMAR 09.10.06.42* The application documents shall state the percentage of the takeout from the handle that will be allocated to purses. #### Regulation .43 First Aid and Safety Monitoring. *COMAR 09.10.06.43* The application documents shall: A. Describe the first-aid facilities and personnel to be available at the racetrack, including the level of training of the personnel; B. State the travel time to the hospital nearest the racetrack and the average response time at that hospital; and C. Describe in detail the applicant's plans for monitoring the safety of the racing animals, patrons, and racetrack personnel. #### Regulation .44 Security Documents. *COMAR 09.10.06.44* The application documents shall include plans that provide for the safety and security of the patrons, the racing animals, and the racetrack personnel. #### Regulation .45 Local Emergency Services. *COMAR 09.10.06.45* The safety and security plans under Regulation .44 of this chapter shall describe the: A. Local emergency services available to the racetrack, including fire fighting, law enforcement, and medical emergency services; B. Security equipment for the racetrack facilities, such as fences, locks, alarms, and monitoring equipment, including the: (1) Perimeter, (2) Stables, (3) Paddock, (4) Cash room and the vault, (5) Mutuel ticket windows, (6) Tote room, (7) Prerace holding area and test barn, and (8) Parking lot; and C. Security procedures to be used to: (1) Admit individuals to restricted areas of the racetrack, (2) Transfer money and mutuel tickets in each phase of pari-mutuel operations, and (3) Expel and exclude an individual from the racetrack. #### Regulation .46 Security Personnel. *COMAR 09.10.06.46* The safety and security plans under Regulation .44 of this chapter shall: A. Describe the security personnel at the racetrack; B. State whether the personnel will be employed by the association or by an independent contractor; C. Describe the organization and qualifications of the contractor, if the personnel are employed by an independent contractor; D. State the number of individuals to be employed and the area of the racetrack at which each will serve; E. State how many of the security personnel are law enforcement officers; F. Provide an organizational chart of the security force with a job description of each level; G. State the training requirements for the personnel and describe any training program provided by the association; and H. State whether or not the security personnel are bonded and, if so, state the amount and conditions of the bond and the name and address of the surety company that issued the bond. #### Regulation .47 Fire Safety and Emergency Procedures. *COMAR 09.10.06.47* The safety and security plans shall describe: A. The fire safety and emergency procedures for the racetrack, including procedures for: (1) Protecting or evacuating the patrons and controlling traffic in an emergency, such as a natural disaster, (2) Inspecting the facilities for fire hazards, (3) Restricting smoking in areas where smoking would create a fire hazard, and (4) Coordinating the efforts of the security personnel and the local emergency services; B. How the proposed racetrack is in compliance with National Fire Protection Association standards; C. The alternate source of power in the event of a power failure and the length of time the alternate source is capable of providing power; D. The facilities for storing fuel for the alternate source of power; and E. The locations of fire hydrants on the racetrack site. #### Regulation .48 Minority Participation. *COMAR 09.10.06.48* Any contract between the applicant and another party shall contain a provision for minority participation. #### Regulation .49 Reasonable Diligence Required. *COMAR 09.10.06.49* A. If the Commission determines that an association is failing to exercise reasonable diligence in preparing a new racetrack to begin racing on the date approved by the Commission, the Commission may revoke its approval of the applicant and reopen the application process. B. If the Commission takes action against an association under §A of this regulation, that association may not participate in the application process that is reopened. #### Regulation .50 Hearing. *COMAR 09.10.06.50* A. Before approving or denying a license, the Commission shall conduct a hearing on the application in accordance with State Government Article, Title 10, Annotated Code of Maryland. B. The burden of proof shall be on the applicant to show that the applicant complies with the regulations of the Commission regarding eligibility and qualifications for a license to operate a racetrack. #### Regulation .51 Denial of License. *COMAR 09.10.06.51* A. The Commission may deny a license if the Commission: (1) Does not approve of the information submitted in Phase I or II of the application procedure; (2) Determines that: (a) There has not been compliance with the time schedule submitted by the applicant under Regulation .06 of this chapter; (b) Construction was not completed in accordance with the plans approved by the Commission; (c) The operational plans of the applicant were not ready to be implemented; (d) The facility is not capable of conducting live racing; or (e) The applicant will not conduct live racing on the dates requested from the Commission; or (3) Determines that the applicant: (a) Has not complied with all applicable laws, regulations, and ordinances, including those provisions regarding: (i) Zoning, (ii) Health, and (iii) Alcoholic beverages; (b) Has violated a law or regulation related to horse racing; (c) Has been convicted of a crime related to illegal gambling; (d) Has been convicted of a felony or a crime of moral turpitude that is reasonably related to the applicant's fitness to hold a racetrack license; (e) Is not of good moral character; (f) Has engaged in any act that is detrimental to the best interest of racing; (g) Has failed to implement plans presented to the Commission; (h) Has failed to comply with promises made, to the Commission; or (i) Has failed to comply with any provision of this chapter. B. In addition to other reasons, the Commission may suspend or revoke its approval of an applicant if the Commission determines that the applicant: (1) Provided false information in the license application; or (2) Failed to fully disclose the true owners of all interests, beneficial or otherwise, in a proposed racetrack facility. ## Subtitle 11 — Real Estate Commission ### Chapter 01 — General Regulations **Authority:** Business Occupations and Professions Article, §§17-208, 17-303, 17-306, 17-315, and 17-528, Annotated Code of Maryland **Administrative History:** Effective dates: **Administrative History:** Regulations .01—.03 effective March 16, 1967 **Administrative History:** Regulation .04 amended effective May 12, 1976 (3:10 Md. R. 529) **Administrative History:** Regulations .05—.07 effective March 16, 1967 **Administrative History:** Regulation .06 amended effective February 19, 1975 (2:4 Md. R. 227); repealed effective October 26, 1981 (8:21 Md. R. 1706) **Administrative History:** Regulation .06 adopted effective October 7, 1985 (12:20 Md. R. 1925) **Administrative History:** Regulation .07 amended effective June 15, 1987 (14:12 Md. R. 1349) **Administrative History:** Regulation .08 amended effective August 20, 1968 **Administrative History:** Regulation .09 effective March 16, 1967; amended effective October 26, 1981 (8:21 Md. R. 1706) **Administrative History:** Regulation .10 effective July 13, 1967 **Administrative History:** Regulation .11 effective December 31, 1967 **Administrative History:** Regulation .11 amended effective February 19, 1975 (2:4 Md. R. 227) **Administrative History:** Regulation .12 effective January 31, 1968 **Administrative History:** Regulation .13 amended effective February 19, 1975 (2:4 Md. R. 227); May 11, 1977 (4:10 Md. R. 766); October 26, 1981 (8:21 Md. R. 1706); June 17, 1985 (12:12 Md. R. 1162) **Administrative History:** Regulation .13A amended effective August 18, 1976 (3:17 Md. R. 915) **Administrative History:** Regulation .14 effective April 19, 1970 **Administrative History:** Regulation .15 effective June 29, 1970 **Administrative History:** Regulation .16 amended effective July 31, 1972; December 16, 1977 (4:26 Md. R. 2023); October 26, 1981 (8:21 Md. R. 1706); June 17, 1985 (12:12 Md. R. 1162) **Administrative History:** Regulation .16B amended effective February 19, 1975 (2:4 Md. R. 227) **Administrative History:** Regulation .16C amended effective August 18, 1976 (3:17 Md. R. 915) **Administrative History:** Regulation .17 effective June 29, 1970 **Administrative History:** Regulation .18 effective October 1, 1970 **Administrative History:** Regulation .19 effective February 1, 1971 **Administrative History:** Regulation .19 repealed effective October 26, 1981 (8:21 Md. R. 1706) **Administrative History:** Regulations .20—.21 effective April 25, 1972 **Administrative History:** Regulations .20—.21 repealed effective October 26, 1981 (8:21 Md. R. 1706) **Administrative History:** Regulation .22 effective July 31, 1972 **Administrative History:** Regulation .23 effective January 15, 1975 (2:3 Md. R. 152) **Administrative History:** Regulation .23 amended as an emergency provision effective February 22, 1977 (4:6 Md. R. 504) **Administrative History:** Regulation .23 amended effective June 25, 1977 (4:13 Md. R. 1030) **Administrative History:** Regulation .23 amended effective September 22, 1978 (5:19 Md. R. 1445) **Administrative History:** Regulation .23 amended as an emergency provision effective September 24, 1980 (7:21 Md. R. 1987); adopted permanently effective February 6, 1981 (8:3 Md. R. 226) **Administrative History:** Regulation .23 amended effective September 28, 1981 (8:19 Md. R. 1565) **Administrative History:** Regulation .23 amended as an emergency provision effective February 7, 1983 (10:6 Md. R. 535); emergency status extended at 10:8 Md. R. 720 and 10:14 Md. R. 1257; emergency status expired October 1, 1983 (Emergency regulations are temporary and not printed in COMAR) **Administrative History:** Regulation .23 amended as an emergency provision effective August 11, 1983 (10:18 Md. R. 1605); adopted permanently effective November 7, 1983 (10:22 Md. R. 1965) **Administrative History:** Regulation .23 repealed pursuant to State Government Article, §7-209(l), Annotated Code of Maryland, having been found unconstitutional by the United States District Court for the District of Maryland **Administrative History:** Regulation .24 amended effective January 5, 1977 (4:1 Md. R. 18) (adopted as Regulation .31); May 24, 1982 (9:10 Md. R. 1020) **Administrative History:** Regulation .25 adopted effective August 31, 1977 (4:18 Md. R. 1397) **Administrative History:** Regulation .26 adopted effective September 22, 1978 (5:19 Md. R. 1445) **Administrative History:** Regulation .27 adopted effective February 8, 1980 (7:3 Md. R. 263) **Administrative History:** Regulation .28 adopted effective September 5, 1980 (7:18 Md. R. 1739) **Administrative History:** Regulation .28 repealed and new .28 adopted effective November 18, 1985 (12:23 Md. R. 2215) **Administrative History:** Regulation .29 adopted effective September 5, 1980 (7:18 Md. R. 1739) **Administrative History:** Regulation .29 repealed effective May 24, 1982 (9:10 Md. R. 1020) **Administrative History:** Regulation .29 adopted effective November 18, 1985 (12:23 Md. R. 2215) **Administrative History:** Chapter revised effective June 11, 1990 (17:11 Md. R. 1342) **Administrative History:** Regulation .04 amended as an emergency provision effective February 27, 1992 (19:6 Md. R. 669); emergency status extended at 19:16 Md. R. 1466 (August 7, 1992); emergency status expired February 3, 1993 **Administrative History:** Regulation .05 repealed effective August 19, 2013 (40:16 Md. R. 1342) **Administrative History:** Regulation .11 amended effective January 1, 1996 (22:10 Md. R. 706); February 22, 1999 (26:4 Md. R. 273) **Administrative History:** Regulation .11B, G amended effective February 18, 2013 (40:3 Md. R. 217) **Administrative History:** Regulation .14 amended effective August 19, 2013 (40:16 Md. R. 1342) **Administrative History:** Regulation .14G adopted effective November 17, 1997 (24:23 Md. R. 1609) **Administrative History:** Regulation .23 amended effective April 13, 1992 (19:7 Md. R. 745) **Administrative History:** Regulation .24 repealed as an emergency provision effective January 1, 1999 (26:1 Md. R. 17); repealed permanently effective May 3, 1999 (26:9 Md. R. 730) **Administrative History:** Regulation .25 adopted effective October 7, 1996 (23:20 Md. R. 1421) **Administrative History:** Regulation .26 adopted as an emergency provision effective May 3, 1996 (23:11 Md. R. 807); adopted permanently effective November 4, 1996 (23:22 Md. R. 1495) **Administrative History:** Regulation .26B amended effective February 22, 1999 (26:4 Md. R. 273) **Administrative History:** Regulation .27 adopted effective October 29. 2012 (39:21 Md. R. 1378) **Administrative History:** Chapter revised effective June 1, 2017 (44:8 Md. R. 401) **Administrative History:** Chapter Regulations renumbered to correct prior Final Action effective June 1, 2017 (44:8 Md. R. 401) **Administrative History:** Regulation .13 repealed and new Regulation .13 adopted effective January 14, 2019 (46:1 Md. R. 11) **Administrative History:** Regulation .23 amended effective April 27, 2026 (53:8 Md. R. 355) #### Regulation .01 Amount of Brokerage Agreed Upon. *COMAR 09.11.01.01* A. Each listing contract or sales contract shall state the amount of brokerage agreed upon, in either a specific amount or a specific percentage. B. The licensee may not accept a listing contract to sell real property that provides for a net return to the seller, leaving the licensee free to sell the real property at a price higher than the net price. #### Regulation .02 Broker as Principal and Agent. *COMAR 09.11.01.02* A broker may not act as principal and agent in the same transaction without consent of all parties concerned. #### Regulation .03 Prior Acts or Conduct. *COMAR 09.11.01.03* For administrative efficiency, renewal applications which are filed properly shall be processed automatically. Renewal of a license therefore may not affect the power of the Commission to bring charges for prior acts or conduct. #### Regulation .04 Failure to Renew License — Repealed. *COMAR 09.11.01.04* #### Regulation .05 Submission of Credit Report. *COMAR 09.11.01.05* An applicant for an original real estate broker's license shall submit a credit report from an approved credit reporting agency. The credit report shall include any judgments and local, state or federal tax liens of the applicant. #### Regulation .06 Records of Transactions. *COMAR 09.11.01.06* If a licensee has custody or possession of money belonging to others, in the absence of proper written instructions from the parties involved in the transaction to the contrary, they shall be deposited and retained in a non-interest-bearing escrow account clearly designated as containing funds held for others. #### Regulation .07 Establishing an Escrow or Special Account. *COMAR 09.11.01.07* A. A real estate broker shall maintain a non-interest-bearing escrow or special account and report the bank's name and account number to the Commission as soon as trust monies are received. If a licensee establishes another non-interest-bearing or special escrow account, changes the escrow account number, or transfers the account to another bank, the licensee shall notify the Commission in writing within 10 days after the action. B. The establishment of individual interest-bearing accounts, as provided under Business Occupations and Professions Article, §17-505, Annotated Code of Maryland, need not be reported to the Commission as long as records are maintained for each account and available for inspection by Commission personnel during regular business hours. #### Regulation .08 Change of Business Location. *COMAR 09.11.01.08* When a licensed broker changes business location, the licensed broker shall notify the Commission in writing within 10 days. #### Regulation .09 Instruction in Real Estate Principles and Practices for Salespersons. *COMAR 09.11.01.09* A. Course of Instruction. (1) Every applicant for licensure as a real estate salesperson shall furnish, at the time of filing an application for licensure, evidence of having satisfactorily completed a course of instruction in Real Estate Principles and Practices for Salespersons. (2) This course of instruction shall be one of the following: (a) The Realtors Institute of Maryland (G. R. I.) Course “I” consisting of a minimum of 60 clock-hours of instruction as described under §B of this regulation, sponsored by the Maryland Association of Realtors; (b) A course approved by the Maryland Real Estate Commission, consisting of a minimum of 60 clock-hours of instruction. B. The minimum 60 clock-hour educational requirement for a salesperson shall embrace the following areas of study: (1) Principles of Real Property; (2) Landlord-Tenant Relationship; (3) Real Estate Contracts; (4) Rules of Agency and Listings; (5) Transfer of Title to Real Property; (6) Title Insurance and Settlements; (7) Fundamentals of Appraising; (8) Real Estate Finance; (9) Maryland Real Estate License Law; (10) Regulations of the Real Estate Commission; (11) Details of the Code of Ethics; (12) Laws and Practices Covering Human Rights and Community Relations; (13) Basic Mathematics Pertaining to the Real Estate Industry; (14) Property Condition Disclosure and Latent Defects; (15) Laws and Regulations Covering Hazardous Substances. C. Any subjects other than those set out in §B of this regulation shall be in addition to, and not be taught as a part of, the minimum 60 clock-hour course requirements. D. Courses required by this regulation are not interchangeable with the requirements for brokers spelled out in Regulation .14 of this chapter. Likewise, the separate course for brokers required by Regulation .14 will not be accepted as satisfactory completion of the education requirements for salespersons, as set forth in this regulation. E. An individual who demonstrates by evidence satisfactory to the Commission active and regular engagement in real estate practice as a licensed real estate salesperson in a jurisdiction other than Maryland may be considered to have satisfied the educational requirement for a salesperson set forth in this regulation if the prelicensing education requirements of that jurisdiction are equivalent to or greater than those of Maryland. F. Effective July 1, 1995, applicants who have passed both parts of the licensing exam shall apply for licensure within 1 year of successfully completing the exam in order for the applicants' test results to remain valid. G. Completion of Examination. An applicant for a salesperson’s license shall have 1 year from completion of a prelicensing education course to pass both portions of the salesperson licensing examination. An applicant who does not pass both portions of the licensing examination within 1 year of the course completion date must complete a new prelicensing course in order to be eligible to take or retake the examination. #### Regulation .10 Residential Listing Contracts to be in Writing and Signed. *COMAR 09.11.01.10* All residential listing contracts, listing real property for sale, rental, lease, or exchange, either exclusive or open, shall be in writing and signed, and a copy of the contract shall be given to the seller or owner before the licensee advertises, shows, or offers the property. #### Regulation .11 Place of Business for Real Estate Broker. *COMAR 09.11.01.11* The definite place of business required by Business Occupations and Professions Article, §17-507, Annotated Code of Maryland, shall be an office or headquarters where the real estate broker and the real estate broker’s employees regularly transact the business of a real estate broker. The records of the brokerage business, including the records of the escrow account, shall be kept in this office or headquarters. The Real Estate Commission may not consider an answering service, a mechanical message recording device or a mail drop, singly or in combination, to satisfy the requirements of an office under Business Occupations and Professions Article, §§17-517, 17-518, and 17-520, Annotated Code of Maryland. #### Regulation .12 Instruction in Real Estate Principles and Practice for Brokers. *COMAR 09.11.01.12* A. Course of Instruction. (1) Every applicant for licensure as a real estate broker shall furnish, at the time of filing an application for licensure, evidence of having satisfactorily completed a course of instruction in Real Estate Principles and Practices for Brokers. (2) This course of instruction shall be one of the following: (a) The Realtors Institute of Maryland (G. R. I.) Courses “I”, “II”, “III”, and “IV”, consisting of a minimum of 135 clock-hours or 9 semester credit hours of instruction as described under §D, of this regulation, sponsored by the Maryland Association of Realtors; or (b) A course approved by the Maryland Real Estate Commission consisting of 135 clock-hours or 9 semester credit hours of instruction. B. A semester credit hour is defined as not less than 15 standard 50-minute classroom hours of instruction. C. The current 135 clock-hour or 9 semester credit hour minimum educational requirement effective January 1, 1979, for broker, shall substantially embrace the following areas of study: (1) The concept of private property in relation to the constitutional powers of the federal and State governments, such as their powers of eminent domain, taxation, police powers, and escheat; (2) Types of Property; (3) Types of Property Interests and Restrictions; (4) Methods of Transferring Real Property Interests; (5) Transfer Instruments, such as Deeds, Leases, Contracts of Sale, Assignments; (6) Financing of Real Estate Transactions; (7) The Mortgaging Process; (8) Settlements, including the Mathematics of Real Estate Transactions; (9) The Role of the Real Estate Agent, including Principles of Agency, Licensing Laws, and Ethics; (10) Real Estate Development, including Governmental Assistance Programs, Zoning, and other Governmental Restrictions on Land Development; (11) Real Estate Appraisal; (12) Real Estate Management; (13) Human Relations Aspects, including study of Fair Housing Laws and effect of undesirable practices such as Exploitation, Steering, Blockbusting, Prejudicial Solicitation and related activities; (14) Basic mathematics pertaining to the real estate industry; (15) Real Estate Securities and Syndication; (16) Advanced Commercial Property; (17) Legal and License Law Update; (18) Advanced Commercial Real Estate Financing; (19) Creative Real Estate Financing; (20) Advanced Sales and Leasing of Industrial Property; (21) Relations to the Public and Proper and Ethical Advertising; (22) Advanced Real Estate Office Management and Administration; (23) Real Estate Exchanging; (24) State and Federal Tax Laws; (25) Condominium Sales, Resales and Time-Sharing Programs; (26) Advanced Real Property Management; (27) New Home Subdivision Marketing. D. Any subjects other than those set out in §C of this regulation shall be in addition to, not substituted for, the minimum 135 clock-hour requirement. E. Courses required by this regulation are not interchangeable with the requirements for salesman established in Regulation .11 of this chapter. Also, the separate course for salesman required by Regulation .11 will not be accepted as satisfactory completion of the education requirements for broker as set forth in this regulation. F. Experience Requirement for Broker. An individual who demonstrates by evidence satisfactory to the Commission active, regular, and lawful engagement in real estate practice as a licensed salesperson or broker in good standing for at least the 3 years immediately preceding submission of the application in Maryland or any other jurisdiction of the United States, District of Columbia, or United States territories may be deemed to have satisfied the 3 years experience as a salesperson required for licensure as a broker. G. Waiver of Educational Requirement for Broker. An individual who demonstrates by evidence satisfactory to the Commission active, regular, and lawful engagement in real estate practice as a licensed real estate broker in good standing in a jurisdiction other than Maryland for at least 3 years immediately preceding submission of the application may be deemed to have satisfied the educational requirement for broker. H. Licensing Examination. An applicant for a broker’s license shall have 1 year from full completion of prelicensing education requirements to pass both portions of the broker licensing examination. An applicant who does not pass both portions of the licensing examination within 1 year of completion of the requirements shall complete a new set of prelicensing education requirements in order to be eligible to take or retake the examination. I. Application for Licensure. An applicant who has successfully completed both portions of the licensing exam shall apply for licensure within 1 year of successfully completing the exam in order for the applicant's test results to remain valid. #### Regulation .13 Failure to Respond. *COMAR 09.11.01.13* A. If an applicant or licensee receives from the Commission a written communication requesting a response, the applicant or licensee shall respond in writing within 30 days of the date of the mailing. B. The Commission shall send a written communication by first-class mail to the last known address furnished to the Commission by the applicant or licensee. C. It is a responsibility of an applicant or licensee to notify the Commission in writing if there has been a change in applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Commission to be a violation of Business Occupations and Professions Article, §17-322(b), Annotated Code of Maryland. #### Regulation .14 Instruction in Human Relations Aspect of Real Estate. *COMAR 09.11.01.14* The basic course of instruction required of salesmen by Business Occupations and Professions Article, §17-303(d), Annotated Code of Maryland, shall include instruction in the human relations aspect of the practice of real estate, including study of fair housing laws and effect of undesirable practices, such as exploitation, steering, blockbusting, prejudicial solicitation, discriminatory practices, misleading advertising, and related activities. #### Regulation .15 Amount of Compensation Recoverable from Real Estate Guaranty Fund. *COMAR 09.11.01.15* The amount of compensation recoverable by a claimant from the Real Estate Guaranty Fund, pursuant to Business Occupations and Professions Article, Title 17, Subtitle 4, Real Estate Guaranty Fund, Annotated Code of Maryland, shall be restricted to the actual monetary loss incurred by the claimant, but may not include monetary losses other than the monetary loss from the originating transaction. Actual monetary losses may not include commissions owed to a licensee of this Commission acting in the licensee’s capacity as either a principal or agent in a real estate transaction, or any attorney's fees the claimant may incur in pursuing or perfecting the claim against the guaranty fund. #### Regulation .16 Use of Trade Names. *COMAR 09.11.01.16* A. For the purpose of this regulation, the following terms have the meanings indicated. B. Definitions. (1) “Advertising” means all oral, written , and visual advertising done by the licensee or by others on behalf of the licensee including telephone solicitation by individuals or by machine. (2) “Licensee” means a real estate broker, associate broker, or salesperson licensed by the Real Estate Commission. (3) “Trade name” means trademark or service mark, company name or business name, irrespective of whether the licensee needs to obtain permission from another person or entity who has an existing or continuing right in that trademark or service mark by virtue of any State or federal law. C. Licensee Using Trade Name. (1) In the advertising of or contracting for any real estate brokerage services defined under Business Occupations and Professions Article, §17-101, Annotated Code of Maryland, a licensee using a trade name shall clearly and unmistakably include in the advertisement or contract the licensee’s name or trade name, as registered with the Commission, to insure that the licensee’s identity is meaningfully and conspicuously displayed to members of the general public. (2) A licensee using a trade name on a for-sale sign, business card, office sign, sales contract, listing contract, or other document relating to real estate activities as defined under Business Occupations and Professions Article, §17-101, Annotated Code of Maryland, shall clearly and unmistakably include on any of these documents the licensee’s name, or trade name, as registered with the Commission. D. Any licensee who is in the course of oral communication with another person (whether in person or by telephone), shall clearly and unmistakably include in the communication the licensee’s name, or trade name, as registered with the Commission, to insure that the licensee’s identity is meaningfully and conspicuously made known to that person. #### Regulation .17 Escrow Account Signators. *COMAR 09.11.01.17* A real estate broker shall be a signator or at least one of the signators on checks which may be drawn on escrow accounts which, under Business Occupations and Professions Article, Title 17, Subtitle 5, Part I, Annotated Code of Maryland, this real estate broker is required to maintain at all times. This real estate broker may designate an alternate signator to sign checks, and this designated alternate signator shall be a licensee. A nonlicensed person may be a cosignator on the broker's escrow account, provided all checks are also cosigned by a designated licensee. #### Regulation .18 Disposition of Deposit Monies Held by Licensees. *COMAR 09.11.01.18* In any transaction in which a licensee has custody or possession of funds which belong to others, in the absence of a provision to the contrary, in the contract of sale, rental lease, option agreement, or other similar type of document, and a dispute arises as to the disposition of these funds by and between the parties to the transaction, the licensee shall: A. Hold these funds until he or she has releases signed by all parties to the transaction authorizing disposition of the funds; B. File a bill of interpleader in the proper court in the county or Baltimore City, as the case may be, thereby causing these funds to be deposited in the registry of this court; C. Hold these funds until such time as one of the parties to the transaction files suit and the court in which this suit is filed orders the disbursement of these funds, whichever event under the purview of §§B and C of this regulation shall first occur; or D. Distribute the funds in accordance with the procedure set forth in Business Occupations and Professions Article, §17-505, Annotated Code of Maryland. #### Regulation .19 Time Limitation for Filing Complaints. *COMAR 09.11.01.19* The Commission may summarily dismiss any complaint brought against a licensee after 3 years from the date of the written listing contract, contract of sale, lease agreement, option, or actions upon which the complaint is based, unless the Commission finds that the complainant's delay in bringing the complaint was justified and that the delay does not result in an undue burden for the licensee. #### Regulation .20 Interest on Guaranty Fund Reimbursements. *COMAR 09.11.01.20* A. Unless revoked by a final order of the Commission, a licensee is suspended by operation of law under Business Occupations and Professions Article, §17-412, Annotated Code of Maryland, upon payment from the Guaranty Fund due to the conduct of a licensee. The Commission may not consider any application for reinstatement until the amount paid from the Fund because of that conduct is repaid in full, plus 12 percent interest from the time payment is made, under Business and Professions Article, §17-411(a), Annotated Code of Maryland. B. For purposes of this regulation only, the term “application for reinstatement” may include a written request for reissuance of a license at the discretion of the Commission. #### Regulation .21 Repealed. *COMAR 09.11.01.21* #### Regulation .22 Ownership Disclosure. *COMAR 09.11.01.22* A. A licensee shall furnish to the Commission full information regarding an ownership interest held by the licensee in entities providing real estate brokerage services, together with the licensee's renewal application. B. A licensee acquiring or disposing of ownership interest in an entity providing real estate brokerage services during the licensing period shall furnish to the Commission full information regarding the resulting ownership interest within 30 days of the change in ownership. C. A new licensee shall furnish to the Commission full information regarding an ownership interest held by the new licensee in entities providing real estate brokerage services, at the time of application for the license. #### Regulation .23 Broker Supervision Course. *COMAR 09.11.01.23* A licensee who is designated as a broker, branch office manager, or team leader shall complete a 1.5 clock-hour course that includes the requirements of broker supervision under COMAR 09.11.06.01B(8)(i) within 90 days of the effective date of the designation if the licensee has not completed that course during the previous four years. ### Chapter 02 — Code of Ethics **Authority:** Business Occupations and Professions Article, §§17-207, 17-208, and 17-547, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulation .01A—D amended effective March 17, 1976 (3:6 Md. R. 358); May 1, 2000 (27:8 Md. R. 798) **Administrative History:** Regulation .01C repealed May 12, 1976 (3:10 Md. R. 529) **Administrative History:** Regulation .01C adopted effective June 9, 1976 (3:12 Md. R. 643) **Administrative History:** Regulation .01E amended effective October 23, 1968 **Administrative History:** Regulation .01E amended effective March 17, 1976 (3:6 Md. R. 358); May 1, 2000 (27:8 Md. R. 798) **Administrative History:** Regulation .01F—H amended effective March 17, 1976 (3:6 Md. R. 358) **Administrative History:** Regulation .02A—C amended effective March 17, 1976 (3:6 Md. R. 358) **Administrative History:** Regulation .02D amended effective June 23, 1972 **Administrative History:** Regulation .02D amended effective March 17, 1976 (3:6 Md. R. 358); May 1, 2000 (27:8 Md. R. 798) **Administrative History:** Regulation .02E—I amended effective March 17, 1976 (3:6 Md. R. 358) **Administrative History:** Regulation .02F, G amended effective January 8, 2001 (27:26 Md. R. 2357) **Administrative History:** Regulation .02J adopted as an emergency provision effective January 6, 1994 (21:2 Md. R. 94); emergency status expired July 1, 1994; adopted permanently effective July 18, 1994 (21:14 Md. R. 1228) **Administrative History:** Regulation .03 amended effective March 17, 1976 (3:6 Md. R. 358) **Administrative History:** Regulation .03A amended effective October 12, 1981 (8:20 Md. R. 1634) **Administrative History:** Regulation .03C repealed effective October 12, 1981 (8:20 Md. R. 1634) **Administrative History:** Chapter revised effective May 1, 2000 (27:8 Md. R. 798) **Administrative History:** Regulation .01E amended effective March 19, 2012 (39:5 Md. R. 381) **Administrative History:** Regulation .01G amended effective April 26, 2004 (31:8 Md. R. 645); March 7, 2022 (49:5 Md. R. 365) **Administrative History:** Regulation .01I adopted effective April 11, 2005 (32:7 Md. R. 678) **Administrative History:** Regulation .01J adopted effective August 18, 2014 (41:16 Md. R. 945) **Administrative History:** Regulation .01J repealed effective June 1, 2017 (44:8 Md. R. 402) **Administrative History:** Regulation .02 amended effective July 19, 2004 (31:14 Md. R. 1078) **Administrative History:** Regulation .02D amended effective April 11, 2005 (32:7 Md. R. 678); March 19, 2012 (39:5 Md. R. 381); April 15, 2013 (40:7 Md. R. 610) **Administrative History:** Regulation .02H amended effective June 1, 2015 (42:9 Md. R. 646) #### Regulation .01 Relations to the Public. *COMAR 09.11.02.01* A. The licensee shall remain informed of matters affecting real estate in the community, the State, and the nation. B. The licensee shall be informed on current market conditions in order to be in a position to advise clients as to the fair market price. C. The licensee shall protect the public against fraud, misrepresentation, or unethical practices in the real estate field. The licensee shall endeavor to eliminate in the community any practices which could be damaging to the public or to the dignity and integrity of the real estate profession. The licensee shall assist the commission charged with regulating the practices of brokers, associate brokers, and salespersons in this State. D. The licensee shall make a reasonable effort to ascertain all material facts concerning every property for which the licensee accepts the agency, in order to fulfill the obligation to avoid error, exaggeration, misrepresentation, or concealment of material facts. E. The licensee, acting as agent, may not discriminate in the sale, rental, leasing, trading, or transferring of property to any person or group of persons in violation of State Government Article, §20-402, Annotated Code of Maryland. F. The licensee may not be a party to the naming of a false consideration in any document. G. Advertisement. (1) For the purposes of this regulation, “advertisement” means any representation, promotion, or solicitation directed to consumers, by any means of communication, for any purpose concerning the provision of real estate brokerage services. (2) The licensee in advertising shall be especially careful to present a true picture. A broker may not advertise without disclosing the broker's name or the company name as it appears on the license. A broker may not permit associate brokers or salespersons to use individual names unless the connection with the broker is obvious in the advertisement. (3) Effective October 1, 2004, an associate broker or salesperson may not use an individual telephone number or email address in an advertisement unless the identified telephone number of the broker or branch office manager also appears in the advertisement. (4) Any electronic media advertisement shall contain the applicable disclosures set forth in §G(2) and (3) of this regulation either: (a) On the first 25 percent of the main page of the electronic media advertisement; or (b) If the electronic media under §G(4)(a) of this regulation has a limitation of 280 characters or fewer, on the first 25 percent of a page that is accessible after a single click on a hyperlink on the main page of the electronic media advertisement. (5) Interpretation of “Directly Connected” Under Business Occupations and Professions Article, §17-547(c), Annotated Code of Maryland. The Commission considers a team name to be “directly connected” to a brokerage name under Business Occupations and Professions Article, §17-547(c), Annotated Code of Maryland, if: (a) The word “of”, “from”, “with”, or “at” is the only word between the team name and the brokerage name; and (b) No other word, symbol, or image is between the team name and the brokerage name. H. For the protection of all parties with whom the licensee deals, the licensee shall see to it that financial obligations and commitments regarding real estate transactions are in writing, expressing the exact agreement of the parties, and that copies of these agreements are placed in the hands of all parties involved within a reasonable time after the agreements are executed. I. All real estate documents shall be signed by a licensee in the licensee's own name, and may not be signed in the name of a group or team. #### Regulation .02 Relations to the Client. *COMAR 09.11.02.02* A. In accepting employment as an agent, the licensee shall protect and promote the interests of the client. This obligation of absolute fidelity to the client's interest is primary, but it does not relieve the licensee from the statutory obligations towards the other parties to the transaction. B. In justice to those who place their interests in the licensee's care, the licensee shall endeavor always to be informed regarding laws, proposed legislation, governmental orders, and other essential information and public policies which affect those interests. C. A licensee may not accept compensation from more than one party to a transaction without the full knowledge of all the parties. D. Disclosure Requirement for Licensees and Employees Buying, Selling, Leasing, and Renting Property. (1) A licensee seeking to acquire an interest in real property must disclose the licensee’s licensing status in writing to the seller or lessor of the property no later than the time that an offer is submitted. (2) The disclosure requirement of §D(1) of this regulation also applies when the licensee is acting on behalf of or representing: (a) A member of the licensee’s immediate family; (b) An entity in which the licensee has an ownership interest; (c) An employee of the real estate brokerage with which the licensee is affiliated; or (d) An employee of a team or group of which the licensee is a member. (3) A licensee seeking to sell or lease real property owned by the licensee must disclose that ownership interest in writing at the time that the property is offered for sale or lease. (4) The disclosure requirement of §D(3) of this regulation also applies when the licensee is acting on behalf of or representing: (a) A member of the licensee’s immediate family; (b) An entity in which the licensee has an ownership interest; (c) An employee of the real estate brokerage with which the licensee is affiliated; or (d) An employee of a team or group of which the licensee is a member. (5) Written notice required by §D(3) and (4) of this regulation may be given through the multiple list service and through any other written means effective in bringing the information to the attention of prospective buyers or lessees. (6) The licensee’s immediate family shall include the licensee’s spouse or domestic partner, child, stepchild, child’s spouse, stepchild’s spouse, parent, sibling, grandparent, or grandchild. E. When acting as agent in the management of property, the licensee may not accept any commission, rebate, or profit on expenditures made for an owner without the owner's knowledge and consent. F. Competitive Market Analysis. (1) A licensee may prepare a competitive market analysis of a specific property for a client, prospective client, or customer. The analysis shall include the following statement printed conspicuously and without change on the first page: (2) If a licensee includes a property in which the licensee has an interest as one of the comparables, that fact shall be disclosed to the client, prospective client, or customer. G. The licensee may not submit or advertise property without authority. In any offering, the price quoted may not be other than that agreed upon with the owners as the offering price. H. Presentation of Offers. (1) A licensee shall present all written offers or counteroffers received by the licensee to the client, as required by Business Occupations and Professions Article, §17-532(c)(ii)(3), Annotated Code of Maryland, in accordance with §H(2) of this regulation. (2) Unless otherwise specified in the brokerage agreement, all written offers or counteroffers shall be presented to the client: (a) In full; and (b) In hard copy or electronic format. I. Unexcused failure to ensure that a prospective purchaser has the real property disclosure statement or disclaimer statement in hand before the submission of an offer to purchase may be considered a violation of the licensee's obligation to protect and promote the interests of the licensee's client when this failure could result in a contract becoming void or voidable. #### Regulation .03 Relations to Fellow Licensees. *COMAR 09.11.02.03* A. The agency of a licensee who holds an exclusive listing, shall be respected. B. The licensee shall cooperate with other brokers on property listed by the licensee exclusively whenever it is in the interest of the client, and share commissions on a previously agreed basis. Negotiations concerning property listed exclusively with one broker shall be carried on solely with the listing broker. C. Signs giving notice of property for sale, rent, lease, or exchange may not be placed on any property without the owner's prior consent. ### Chapter 03 — Hearing Regulations **Authority:** Business Occupations and Professions Article, §17-208, Annotated Code of Maryland **Administrative History:** Effective date: July 12, 1973 **Administrative History:** Regulation .01B amended effective May 24, 1982 (9:10 Md. R. 1020) **Administrative History:** Regulation .01E amended effective November 23, 1981 (8:23 Md. R. 1855) **Administrative History:** Regulation .01 amended effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .02E, F, and I amended effective June 20, 1983 (10:12 Md. R. 1072) **Administrative History:** Regulation .03 amended effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .03D and E amended effective April 13, 1992 (19:7 Md. R. 745) **Administrative History:** Regulation .04 amended effective September 14, 1981 (8:18 Md. R. 1479); June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulations .01—.04 repealed and new Regulations .01—.04 adopted effective March 1, 2004 (31:4 Md. R. 314) **Administrative History:** Regulation .04 repealed effective June 1, 2017 (44:8 Md. R. 402) #### Regulation .01 Hearings Before the Commission. *COMAR 09.11.03.01* A. Except as otherwise provided in §§B, C, D, and E of this regulation, all contested case hearings before the Commission are governed by COMAR 09.01.02. B. A hearing shall be conducted before a designated hearing panel of three members of the Commission convened pursuant to Business Occupations and Professions Article, §17-325, Annotated Code of Maryland. C. The panel shall have a chairman who shall conduct the hearing and, in consultation with counsel, make all rulings on procedure and evidence. D. The chairman of a panel in an exceptions hearing may impose reasonable time limitations for the arguments presented by the parties. E. The panel may dismiss an application case without holding a hearing if the applicant fails to appear at the scheduled time after receiving proper notice. F. The panel may dismiss an appeal without holding a hearing if the person who filed exceptions to the proposed order fails to appear at the scheduled time after receiving proper notice. #### Regulation .02 Hearings Delegated to the Office of Administrative Hearings. *COMAR 09.11.03.02* Except as otherwise provided in Regulation .03 of this chapter, all contested case hearings delegated to the Office of Administrative Hearings are governed by COMAR 09.01.03. #### Regulation .03 Discovery. *COMAR 09.11.03.03* A. A party in a contested case hearing may receive discovery of facts from the Commission if the party makes a request to that effect at least 15 days before the hearing date. B. If a timely request is not made, any objection based on surprise or insufficiency of the notice shall be deemed waived. ### Chapter 04 — Time Share Regulations **Authority:** Business Occupations and Professions Article, §17-208, Annotated Code of Maryland **Administrative History:** Effective date: November 7, 1983 (10:22 Md. R. 1965) **Administrative History:** Regulation .01 amended effective June 1, 2017 (44:8 Md. R. 402) **Administrative History:** Regulation .02 amended effective June 1, 2017 (44:8 Md. R. 402) **Administrative History:** Regulation .03B amended effective June 1, 2017 (44:8 Md. R. 402) #### Regulation .01 Application for Registration. *COMAR 09.11.04.01* A. Application for registration as a time share developer shall be made on forms provided by the Commission at the offices of the Commission. The application shall contain all of the documents and information required. B. A surety bond submitted with the application for registration shall be written on a form furnished by the Commission displaying the name of the principal on the bond as it appears on the application of the developer. C. The statutory fee shall accompany the application as well as any other items deemed relevant by the Commission to determine that the statutory or regulatory standards or prerequisites have been met. These items may include credit reports, personal references, abstracts of title, and the like. D. If, within 30 days after receiving an application, the Commission determines that any prerequisite for registration has not been met, the Commission shall return the application to the applicant with a statement specifying the deficiencies in the application, provided, that if the commission has reason to believe that the application may readily be put into proper form, it may retain the application and notify the applicant of the steps which shall be taken to correct the deficiencies. E. Denial of an application on other than technical grounds will be communicated to the applicant by at least first class mail at the address stated on the application. The denial notice will inform the applicant that the applicant may file a written request for a hearing on the denial before a Hearing Panel of the Commission. #### Regulation .02 Rules of Procedure for Revocation or Suspension of Registration. *COMAR 09.11.04.02* All hearings regarding denials of applications or revocations or suspensions of registration of time share developers are governed by COMAR 09.01.02. #### Regulation .03 Records of Transactions. *COMAR 09.11.04.03* A. The developer shall maintain records of the names and addresses of licensed real estate brokers, employees, or independent contractors employed by it for the purpose of sales of time share estates in Maryland, and make those records available to the Commission upon request. B. Purchase Money. (1) The developer shall maintain a surety bond in accordance with the schedule set forth in Real Property Article, §11A-116, Annotated Code of Maryland. (2) The penalty of bond shall reflect the amount of purchase money held by the developer, the developer’s agents, employees, licensed real estate brokers or independent contractors engaged by the developer resulting from the sale of time share estates in Maryland. (3) The developer shall make available to the Commission, upon its request, all records concerning the amount of purchase money held by the developer, the developer’s agents, employees, or independent contractors. (4) The Commission may request a developer to submit a certified statement from a certified public accountant with respect to purchase money obtained by or on behalf of the developer. C. The developer shall maintain records of all transactions regarding the sale of time share estates sold in Maryland. The records shall include copies of the contract of sale, mortgage deed of trust, and documentation reflecting the disposition of purchase money obtained directly from the purchaser, or from the developers' agents, employees, licensed real estate brokers or independent contractors engaged by the developer. D. A time share estate may not be offered for sale until the developer has forwarded to the Commission a list of all the estates, including the address, type of estate, and the nature of any encumbrance existing on the property. #### Regulation .04 General Regulations. *COMAR 09.11.04.04* A. A promise, assertion, representation, or statement of fact or opinion in connection with a time share marketing activity may not be made which is false, inaccurate, or misleading by reason of inclusion of an untrue statement of a material fact or omission of a statement of a material fact relative to the actual or intended characteristics, circumstances, or features of the time share project or time share estate. B. There may not be indication or assertion by a developer that an improvement will be built or placed in a time share project and be made available for use by purchasers of a time share estate unless the developer has sufficient financial assets and bona fide intention to complete the improvement represented. C. A promise, assertion, representation, or statement of fact or opinion made in connection with a time share marketing activity relating to the sale of time share estates in a project located in this State, may not, by its terms, induce, solicit, or encourage a prospective purchaser to leave Maryland for the purpose of executing a contract for sale or performing some other act which would create a legal or equitable interest in a time share estate, when to do so would circumvent the provisions of Maryland law. D. A time share developer, real estate broker, salesman, or any other person may not advertise or represent that the Real Estate Commission has approved or recommended any time share project or estate offered for sale. ### Chapter 05 — Supervision **Authority:** Business Occupations and Professions Article, §§17-208 and 17-320, Annotated Code of Maryland **Administrative History:** Effective date: March 21, 1988 (15:6 Md. R. 739) **Administrative History:** Chapter revised effective September 17, 2001 (28:18 Md. R. 1620) #### Regulation .01 Definitions. *COMAR 09.11.05.01* Supervision means direction and review by the: A. Broker of professional real estate activities by associate brokers, designated sales managers and salespersons associated with that brokerage, regardless of the type of work relationship existing between them; B. Broker of the supervisory activities of each branch office manager; and C. Branch office manager of professional real estate activities by the associate brokers and salespersons registered with that office. #### Regulation .02 Requirement of Supervision. *COMAR 09.11.05.02* A. A broker shall exercise reasonable and adequate supervision over the activities of the broker's associate brokers and salespersons. B. A branch office manager shall exercise reasonable and adequate supervision over the activities of the associate brokers and salespersons registered with that office. C. The exercise of reasonable and adequate supervision as defined in this chapter may not be construed or deemed to create an employer/employee relationship between the broker and licensed associated brokers and licensed salespersons under the broker's supervision, or to alter the status of an individual as an independent contractor. #### Regulation .03 Reasonable and Adequate Supervision. *COMAR 09.11.05.03* A. Initially, the operations characteristics of the brokerage firm shall be considered by determining the: (1) Number of licensed salespersons and associate brokers affiliated with the broker; (2) Number of branch offices and salespersons assigned to each office; (3) Number of management personnel in each office; (4) Normal and routine working days and hours of the broker and management personnel; (5) Type of real estate activities of firm. B. Factors to be considered in determining whether supervision is reasonable and adequate include, but are not limited to, the following: (1) Availability of: (a) Training or education sessions held regularly at least once every 2 months; (b) Experienced supervisory personnel to review and discuss: (i) Contract provisions; (ii) Brokerage agreement provisions; and (iii) Advertising; (c) Written procedures and policies which provide clear guidance in the following areas: (i) Proper handling of deposit monies and other funds in accordance with Business Occupations and Professions Article, §§17-501—17-508, Annotated Code of Maryland; (ii) Compliance with federal, State, and local fair housing laws and regulations; (iii) Advertisement requirements applicable to real estate transactions; (iv) Review of contracts, leases, and brokerage agreements upon execution by all parties to the contract, lease, or brokerage agreement; (v) Use and limitations of unlicensed personal assistants; (vi) Disclosure of agency relationships by licensees in residential real estate transactions; (vii) Distribution and dissemination of information on new or changed requirements in real estate laws and regulations enacted by local, State, and federal governments and regulatory agencies; (viii) The obligation of all licensees to comply with all applicable provisions of Business Occupations and Professions Article, Title 17, Annotated Code of Maryland (the Maryland Real Estate Brokers Act), the Code of Ethics as adopted and as amended from time to time by the Commission, and all applicable local, State, and federal laws and regulations; (ix) Requirements, restrictions, and limitations applicable to the sale or lease of real property personally owned by a licensee and the purchase or lease of real property by a licensee for the licensee's personal use; and (x) The unauthorized practice of law by a licensee; and (2) Evidence of: (a) Records of attendance at sales meetings; (b) Review by the broker, branch office manager, or designee of the broker or branch office manager of contracts of sale, leases, and brokerage agreements executed by all parties to the contract, lease, or brokerage agreement; (c) Review by the broker, branch office manager, or designee of the broker or branch office manager of advertisements to be placed by licensees affiliated with the broker; (d) Compliance with the written policies and procedures as specified in §B(1)(c) of this regulation; and (e) Dissemination of the written policies and procedures as specified in §B(1)(c) of this regulation to licensees affiliated with the broker. C. On a showing that the broker has not provided reasonable and adequate supervision in the areas under §B of this regulation, the burden of proof shall be on the broker to show that the supervision which the broker did provide was reasonable and adequate. ### Chapter 06 — Continuing Education **Authority:** Business Occupations and Professions Article, §§17-208 and 17-315, Annotated Code of Maryland **Administrative History:** Effective date: July 5, 1993 (20:13 Md. R. 1046) **Administrative History:** Regulation .01B amended effective June 30, 1997 (24:13 Md. R. 930) **Administrative History:** Regulation .04 adopted effective June 30, 1997 (24:13 Md. R. 930) **Administrative History:** Chapter revised effective April 26, 2004 (31:8 Md. R. 646) **Administrative History:** Chapter revised effective April 18, 2011 (38:8 Md. R. 505) **Administrative History:** Regulation .01B amended effective June 1, 2017 (44:8 Md. R. 402) **Administrative History:** Regulation .03 amended effective June 1, 2017 (44:8 Md. R. 402) **Administrative History:** Regulation .05A amended effective June 1, 2017 (44:8 Md. R. 402) **Administrative History:** Regulation .08G amended effective June 1, 2017 (44:8 Md. R. 402) **Administrative History:** Regulation .09 amended effective June 1, 2017 (44:8 Md. R. 402) **Administrative History:** Regulation .10E amended effective June 1, 2017 (44:8 Md. R. 402) **Administrative History:** Regulation .10F repealed effective June 1, 2017 (44:8 Md. R. 402) #### Regulation .01 Definitions. *COMAR 09.11.06.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Approved continuing education course” means a continuing education course approved by the Commission. (2) “Classroom instruction” means the art or science of teaching in a space: (a) Exclusively used for instructing during periods of instruction; (b) Which is conducive to learning; and (c) Where an assigned instructor is present. (3) “Clock hour” means a minimum of 50 minutes of instruction per 60-minute hour. (4) “Commission” means the State Real Estate Commission. (5) “Continuing education course” means a course related to real estate taught by a qualified instructor who is experienced in the real estate industry through: (a) Classroom instruction; or (b) A design and delivery system for distance learning instruction. (6) “Course” means classroom or distance learning instruction of 1.5 clock hours, but not more than 6 clock hours. (7) “Course provider” means an entity that is qualified to conduct continuing education courses in accordance with Business Occupations and Professions Article, §17-315(c), Annotated Code of Maryland. (8) “Course related to real estate” means a course which covers one or more of the following topics: (a) Federal, State, or local legislative issues; (b) Antitrust law; (c) Fair housing law; (d) Real estate ethics or professional standards; (e) Disclosure; (f) Professional enhancement for practicing licensees; (g) Technology relating to real estate brokerage services; (h) The principles of agency and agency disclosure; and (i) The requirements of supervision by brokers, branch office managers, and team leaders. (9) Distance Learning Instruction. (a) “Distance learning instruction” means the art or science of teaching where: (i) The instructor and student may be separated by distance and time; (ii) Equipment may be needed to communicate the content; and (iii) The content is specifically developed for this form of instruction. (b) Distance learning methods include: (i) The specific delivery systems listed in Business Occupations and Professions Article, §17-315, Annotated Code of Maryland; and (ii) Any other delivery system approved by the Commission. (10) “Instructor” means an individual engaged by a course provider to teach a continuing education course. #### Regulation .02 Education Committee. *COMAR 09.11.06.02* A. There is an Education Committee consisting of Commission members appointed by the Chairman. The Committee shall include at least two licensee members and one consumer member. B. A course provider who has been denied approval of a course by Commission staff may request the Committee to review that decision. The request for review shall be filed within 10 business days of receipt of the denial notice. C. The Committee shall review the request and issue a decision within 20 days. D. An applicant for approval as a course provider whose application has been turned down or a course provider whose approval to offer courses has been suspended or withdrawn by Commission staff may request an informal conference with the Committee to review that decision. The request for the conference shall be filed within 10 business days of receipt of the denial, suspension, or withdrawal notice. After the conference, the Committee shall either approve the course provider or refer the matter to a hearing panel of the Commission for a hearing in accordance with Business Occupations and Professions Article, §17-326, Annotated Code of Maryland. E. The hearing panel shall hold a hearing within 60 days of the referral from the Committee, and issue a decision within 30 days after the hearing. F. An applicant or course provider may waive the right to a hearing and request the hearing panel to review the decision to deny, suspend, or withdraw approval based on documentary evidence. G. The decision of the hearing panel as to suspension or withdrawal of course provider approval shall be based on the seriousness of the offense charged, the good faith of the provider, and any prior history of violations by the provider. H. The decisions of the Committee as to course approval and the hearing panel as to approval of a course provider are the final decisions of the Commission. I. If a course provider makes a timely request for review of a decision to suspend or withdraw its approval to offer courses, that action shall be stayed until the final decision of the Commission. #### Regulation .03 Course Providers. *COMAR 09.11.06.03* A. In order to qualify as an educational institution under Business Occupations and Professions Article, §17-315(c)(1), Annotated Code of Maryland, the institution shall provide the Commission with evidence of its approval by the Maryland Higher Education Commission as a career school eligible to provide the Real Estate Principles and Practices course at the currently mandated hours for prelicensing education. B. A completed application for approval as a course provider shall be submitted to the Commission at least 30 days prior to the first course offering date. C. Course providers shall have the following responsibilities: (1) To provide instructors qualified to teach the subjects offered; (2) To train all instructors and course monitors in course protocol, including classroom conduct and record keeping; (3) To oversee all aspects of course provision and the format and content of all advertising of course offerings; (4) To maintain all required records; and (5) To respond to all inquiries from the Commission within 10 days. D. A course provider who has not offered at least one Commission-approved course in a 12-month period shall requalify as a course provider. E. All payments for courses shall be made directly to the approved course provider or to the course provider’s third party payment processor. F. The course provider shall set and administer course cancellation and fee refund policies in a nondiscriminatory manner. G. The course provider shall maintain records of course attendees including sign-in sheets, detailed course outlines, instructor information including resumes and other background information, and, if required, final grades for at least 5 years after the expiration date of each course offering. H. The course provider shall give Commission representatives access to course records on request. I. The following situations could form the basis on which course provider approval is denied, suspended, or withdrawn: (1) Submission of false information in an application for provider or course approval; (2) Failure of the course provider to maintain its status as a professional association or educational institution under the laws of Maryland; (3) Discipline by the Commission of a course provider who holds a real estate license in a matter relating to the licensee’s provision of real estate brokerage services; (4) Repeated cancellation of scheduled courses by the course provider; (5) Failure of the course provider to reimburse prepaid fees to licensees after scheduled courses have been cancelled; (6) Issuance of blank certificates of course completion; (7) Repeated issuance of inaccurate certificates of course completion with regard to topic, course number, and course title; (8) Submission of inaccurate course completion information to the Commission; (9) Repeated issuance of certificates of course completion to licensees who were not entitled to them; (10) Submission of course completion information to the Commission for licensees who were not entitled to obtain credits; (11) Failure to maintain the records required by the Commission, including rosters of attendees and sign-in sheets; (12) Failure to timely respond to inquiries and requests for records from the Commission; and (13) Failure of the course provider or any representative of the course provider, including instructors and monitors, to comply with regulations governing continuing education. #### Regulation .04 Course Approval. *COMAR 09.11.06.04* A. The course provider shall submit an application for a class in a particular subject matter at least 30 days prior to the date of the first offering of the course. B. The Commission may request an outline of the course content as part of the approval process. C. The Commission shall approve or deny the application within 20 days of the submission of the completed application. D. The Commission may approve a course for up to 2 years from the approval date. #### Regulation .05 Course Content. *COMAR 09.11.06.05* A. The Commission may approve a continuing education course that meets all of the following five criteria: (1) The course is a mandated or elective course designed for: (a) Protecting the general public in their real estate transactions; (b) Enabling the licensee to serve the objectives of the consumer in a real estate transaction; or (c) Enabling the licensee to develop competency and professionalism in a changing marketplace; (2) The course covers the topic area cited in the application; (3) The course is developed for a knowledge and ability level beyond the professional entry level; (4) The course has an outline detailing the sequence of topics and the amount of time allotted to each topic; and (5) The course consists of at least 1.5 clock hours. B. A course provider may not materially change the content of an approved course without the prior written approval of the Commission. #### Regulation .06 Advertising. *COMAR 09.11.06.06* A. Advertising related only to a specific course shall be in the name of the approved course provider. The name of a course sponsor may appear in the advertising, but may not be in a font size or format that exceeds that of the approved course provider. The role of the sponsor as to the course shall be included in the advertising. B. The course provider’s name as reflected in the application form, its telephone and electronic contact information, and its office address shall appear in all course advertising. C. Contact information for individuals or entities other than the approved course provider may not appear in the advertising material for a specific course. D. A course offered as part of an event such as a conference, convention, trade show, or education day may be advertised in the publication for that event. That publication may contain other information or advertising, including reference to event sponsors. E. The advertising material for a specific course shall include the title, topic, name of approved course provider, Commission approval number, number of approved hours, and cost of the course. F. For programs where the continuing education credits are less than the classroom hours, the course provider shall inform students in advance that the full program must be completed in order to receive the continuing education credits. G. A course pending approval by the Commission shall be advertised as “subject to Commission approval”. H. Course provider policies on refunds and cancellations shall be available to licensees prior to payment of the course fee. I. Advertising for all approved classroom courses offered by a course provider shall state that the course is open to all licensees based on availability. J. Prior to enrollment, the provider of distance learning courses shall: (1) Provide to licensees information on course requirements, including minimum system needs for interactive programs, and availability of technical and instructor assistance; and (2) Notify licensees that the time for completion of a distance learning course could exceed the credit hours received for the course. #### Regulation .07 Facilities. *COMAR 09.11.06.07* Each classroom in which courses are given shall: A. Meet all fire, safety, zoning, and Americans with Disabilities Act (ADA) requirements; B. Be of sufficient size to comfortably accommodate all enrolled students; C. Provide an appropriate learning environment; and D. Be free of distractions that would disrupt class sessions. #### Regulation .08 Conduct of Courses. *COMAR 09.11.06.08* A. Scheduling. (1) The maximum permissible class session without a break is 90 minutes. (2) A course scheduled for more than 4 hours in one day shall include a meal break of at least 30 minutes, but not more than 90 minutes. (3) A course shall begin promptly at the scheduled time. B. Records. (1) The course provider shall require each licensee to show a picture ID in order to be admitted to a class for which the licensee has enrolled. (2) The course provider shall maintain a sign-in sheet containing: (a) The printed names and the signatures of all enrolled licensees on their arrival; and (b) Notation by the instructor or monitor of the beginning and end times of any absences of the licensee from the class during the instructional period. (3) The course provider shall give each student at check-in a copy of the continuing education student information sheet furnished to the provider by the Commission unless the sheet has previously been made available to students electronically. (4) The course provider shall require at the conclusion of the course that all enrolled licensees: (a) Sign the sign-in sheet; or (b) Verify their complete attendance through a system that includes some form of personal identification. C. Classroom Conduct. (1) Students may not take reading material unrelated to the course into the classroom. (2) Instructors, monitors, and students may not consult any personal electronic communication devices (Blackberries or iPhones, for example) during a class session. (3) Class time may not be used to promote or sell any materials or services or to solicit affiliation or membership in any business or organization. D. Monitors. (1) A monitor is not required if the class consists of 25 or fewer pre-registered students. (2) Monitors in addition to the instructor are required under the following conditions: (a) 26 to 50 preregistered students — 1 monitor; (b) 51 to 100 preregistered students — 2 monitors; (c) More than 100 preregistered students — 1 additional monitor for each additional 100 students. E. Instructors. The instructor shall teach the course in substantially the same manner as that set forth in the outline submitted to the Commission. F. Course Credit. (1) A student may not receive credit hours for a course if: (a) The student arrives after the classroom instruction begins or departs prior to the class being dismissed; or (b) The student is out of the classroom during the instruction period for more than 5 minutes during a 60-minute period. (2) A course provider, instructor, or monitor may not make an exception to the attendance requirements under any circumstances. (3) A student may not receive partial credit for a course. G. Certificate of Completion. (1) A certificate of completion shall be distributed by the instructor at the end of the class, or mailed or electronically transmitted to the student at a later date. (2) A course provider or instructor may not: (a) Issue a certificate of completion to a student who has not complied with all regulations governing the conduct of the course, including the timeliness and attendance requirements; or (b) Submit course completion information to the Commission for a student who has not complied with all regulations governing the conduct of the course, including the timeliness and attendance requirements. H. Cancellation of Course. In the event of a course cancellation, the course provider shall: (1) Make reasonable efforts to notify preregistered students of the cancellation; and (2) Refund all prepaid fees within 30 days of the date of cancellation or, with the permission of the student, apply the fees to another course. #### Regulation .09 Licensee Credit Hours. *COMAR 09.11.06.09* A. Pre-approval. A course will qualify for continuing education credit only if the Commission has approved the form, substance, and subject matter of the course before the course is given. B. Prelicensing Courses. An instruction program for prelicensing examination preparation does not constitute qualifying credit hours for the continuing education requirement. C. Licenses Originating in Other Jurisdictions. (1) Subject to §D(2) of this regulation, unless a licensee originally licensed in another jurisdiction has received the Maryland license pursuant to a written reciprocity agreement, the licensee shall meet all Maryland continuing education requirements. (2) A licensee may receive credit for an elective course taken in a jurisdiction where the licensee holds a license if that course was approved for continuing education credit by the real estate licensing authority in that jurisdiction. (3) All courses in subject areas mandated by Maryland law shall be taken from a course provider approved by the Commission. (4) A licensee holding a reciprocal category license based on a reciprocity agreement with another jurisdiction is required to complete only the continuing education requirements set forth in the agreement. D. Legislators. A member of the General Assembly who holds a current real estate license may receive credit for the 3-hour continuing education requirement for legislative update based on service in the General Assembly during that 2-year licensing period. E. Disciplinary Action. A licensee may not use continuing education course hour credit for course hours completed as part of the resolution of a Commission disciplinary action as credit hours toward renewal of license requirement. F. Instructors and Monitors. A course instructor and a monitor may receive continuing education credit for the first time an approved course is taught or monitored during each licensing cycle. G. Mandated Agency and Supervision Courses. Agency and supervision courses mandated by Business Occupations and Professions Article, §17-315(b)(2)(v) and (vi), Annotated Code of Maryland, must include the curriculum approved by the Commission and must be taught by course instructors who have completed the related training course provided by the Commission. #### Regulation .10 Distance Learning. *COMAR 09.11.06.10* A. The provider of a distance learning course shall obtain approval of the technical aspects of a course from an entity recognized by the Commission in the field of technical expertise before submitting the course to the Commission for review of its substance and subject matter. B. In a distance learning course, if the course provider and the student are separated by space and time: (1) The provider’s technical staff: (a) May answer student questions about technical support and delivery method; but (b) May not answer questions about content; and (2) The assigned instructor shall respond to questions from students about course content within 2 business days. C. The course provider shall be responsible for establishing guidelines for the completion of a distance learning course and any specific components of the course. D. A distance learning instruction course shall include the following requirements: (1) The student shall complete the instructional module or modules and receive a passing grade on a final examination administered and graded by the approved provider; (2) The passing grade shall be 70 percent or higher; and (3) If a student fails initially to achieve a passing score on a final examination, the student shall successfully pass the examination within a time frame set by the course provider in order to use the course for credit toward the continuing education requirement. E. Student Affirmation. (1) The course provider shall be responsible for obtaining from students who have completed a distance learning course the following affirmation: "I (name of student) affirm that I have personally completed every requirement of the course and that I have not provided any aspect of the course to others.” (2) The course provider may obtain the affirmation described in §E(1) of this regulation by electronic means. ### Chapter 07 — Residential Property Disclosure/Disclaimer Statement **Authority:** Business Occupations and Professions Article, §17-208; Real Property Article, §10-702; Annotated Code of Maryland **Administrative History:** Effective date: January 17, 1994 (21:1 Md. R. 29) **Administrative History:** Regulation .01 repealed and new Regulation .01 adopted as an emergency provision effective October 16, 1995 (22:23 Md. R. 1795); adopted permanently effective April 8, 1996 (23:7 Md. R. 551) **Administrative History:** Regulation .01 amended effective December 28, 2020 (47:26 Md. R. 1107) **Administrative History:** Regulation .02 adopted as an emergency provision effective January 6, 1994 (21:2 Md. R. 95); emergency status expired July 1, 1994; adopted permanently effective July 18, 1994 (21:14 Md. R. 1228) **Administrative History:** Regulation .02 amended effective June 1, 2017 (44:8 Md. R. 402) #### Regulation .01 Residential Real Property Disclosure/Disclaimer Statement. *COMAR 09.11.07.01* In accordance with the provisions of the Real Property Article, §10-702, Annotated Code of Maryland the disclosure/disclaimer statement form provided by the Maryland Real Estate Commission shall be used in all applicable real property transactions. FORMS AT END OF CHAPTER. #### Regulation .02 Guidelines. *COMAR 09.11.07.02* A. A licensed broker, associate broker, or salesperson acting as a seller’s agent should obtain a written residential property condition disclosure statement or a written residential property disclaimer statement at the time the licensed broker, associate broker, or salesperson obtains the listing on the property. B. The seller’s agent should provide the disclosure statement or disclaimer statement to the prospective purchaser or to the buyer’s agent assisting the purchaser promptly upon notification that an offer is going to be made. If the seller’s agent does not know in advance that an offer is to be made, the seller’s agent should provide the disclosure statement or disclaimer statement at the time the seller’s agent receives the written offer. C. The buyer’s agent should make every effort to ensure that the prospective purchaser has the disclosure statement or the disclaimer statement in hand before submission of the offer to purchase the property. ### Chapter 08 — Agency Relationship Disclosure/Dual Agency Consent **Authority:** Business Occupations and Professions Article, §17-530, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulation .01 adopted as an emergency provision effective January 1, 1995 (21:25 Md. R. 2092); emergency status extended at 22:12 Md. R. 897 **Administrative History:** Regulation .01 adopted as an emergency provision effective December 23, 1995 (23:2 Md. R. 92); emergency status expired April 23, 1996; adopted permanently effective May 20, 1996 (23:10 Md. R. 731) **Administrative History:** Regulation .01 amended effective June 1, 2017 (44:8 Md. R. 402) #### Regulation .01 Agency Relationship Disclosure Form/Dual Agency Consent Form. *COMAR 09.11.08.01* In accordance with the provisions of Business Occupations and Professions Article, §17-530, Annotated Code of Maryland, model Agency Disclosure and Dual Agency Consent forms provided by the Maryland Real Estate Commission shall be used in all applicable real estate property transactions. ### Chapter 09 — Fees **Authority:** Business Occupations and Professions Article, §§17-213, 17-314, 17-315, and 17-403; Business Regulation Article, §§2-106.3 and 2-106.4; Annotated Code of Maryland **Administrative History:** Effective date: March 1, 2009 (36:4 Md. R. 353) **Administrative History:** Regulation .02 amended effective January 2, 2017 (43:26 Md. R. 1443); April 29, 2024 (51:8 Md. R. 366); April 28, 2025 (52:8 Md. R. 357) **Administrative History:** Regulation .02A, B amended effective January 11, 2016 (42:26 Md. R. 1594) **Administrative History:** Regulation .02D amended effective April 27, 2026 (53:8 Md. R. 355) **Administrative History:** Regulation .02I adopted effective April 27, 2026 (53:8 Md. R. 355) #### Regulation .01 Purpose. *COMAR 09.11.09.01* This chapter is intended to carry out the provisions of Business Regulation Article, §§2-106.3 and 2-106.4, Annotated Code of Maryland, and Business Occupations and Professions Article, Title 17, Annotated Code of Maryland. In particular, it is intended to set various fees in order to cover the actual documented direct and indirect costs of fulfilling the statutory and regulatory duties of the Real Estate Commission. #### Regulation .02 Schedule of Fees. *COMAR 09.11.09.02* Fees charged by the Commission are as follows: A. Original license fees: (1) Broker — $211; (2) Associate broker —$143; (3) Salesperson — $98; B. License renewal fees: (1) Broker —$191; (2) Associate broker — $123; (3) Salesperson — $78; C. Reactivation of inactive license — $28; D. Reinstatement fees: (1) Reinstatement of license—$168; (2) CE Late fee—$75; E. Broker business name change, for broker and each license under broker — $28; F. Personal name change — $28; G. Transfer to another broker — $28; H. Certificate of license history: (1) For 5-year history — $28; (2) For full history — $84. I. CE Course Approval—$25. ## Subtitle 12 — Division of Labor and Industry ### Chapter 01 — Board of Boiler Rules **Authority:** Public Safety Article, Title 12, Annotated Code of MarylandCh. 351, Acts of 2004 **Administrative History:** Effective date: October 15, 1975 (2:23 Md. R. 1414) **Administrative History:** Regulation .02CC amended and .02DD repealed effective June 1, 1982 (9:8 Md. R. 821) **Administrative History:** Regulation .02PP amended effective November 4, 1985 (12:22 Md. R. 2103) **Administrative History:** Regulations .07—.08 adopted effective November 4, 1985 (12:22 Md. R. 2103) **Administrative History:** Regulations .01—.08 repealed and new Regulations .01—.32 adopted effective June 1, 1989 (16:10 Md. R. 1106) **Administrative History:** Regulation .01B amended effective September 1, 1989 (16:16 Md. R. 1749); April 16, 1990 (17:7 Md. R. 848); October 7, 1996 (23:20 Md. R. 1422); June 30, 1997 (24:13 Md. R. 930) **Administrative History:** Regulation .01B amended as an emergency provision effective July 14, 1999 (26:16 Md. R. 1237); amended permanently effective October 4, 1999 (26:20 Md. R. 1545) **Administrative History:** Regulation .01B amended effective July 10, 2000 (27:13 Md. R. 1211) **Administrative History:** Regulation .01-1 amended effective January 31, 1994 (21:2 Md. R. 98); July 18, 1994 (12:14 Md. R. 1228); November 20, 1994 (21:25 Md. R. 1933); July 3, 1995 (22:13 Md. R. 966); January 15, 1996 (23:1 Md. R. 23); April 22, 1996 (23:8 Md. R. 604); August 12, 1996 (23:16 Md. R. 1175); June 30, 1997 (24:13 Md. R. 930); November 3, 1997 (24:22 Md. R. 1551); July 10, 2000 (27:13 Md. R. 1211); February 19, 2001 (28:3 Md. R. 205) **Administrative History:** Regulation .01-1A(1) amended as an emergency provision effective July 14, 1999 (26:16 Md. R. 1236); amended permanently effective October 4, 1999 (26:20 Md. R. 1545) **Administrative History:** Regulation .01-2 adopted effective October 11, 1993 (20:20 Md. R. 1569) **Administrative History:** Regulation .01-2 amended effective June 30, 1997 (24:13 Md. R. 930) **Administrative History:** Regulation .02A amended effective October 7, 1996 (23:20 Md. R. 1422); July 10, 2000 (27:13 Md. R. 1211); February 19, 2001 (28:3 Md. R. 205) **Administrative History:** Regulation .03B amended effective July 3, 1995 (22:13 Md. R. 966) **Administrative History:** Regulation .09 amended effective March 5, 1990 (17:4 Md. R. 496) **Administrative History:** Regulation .14G adopted effective October 11, 1993 (20:20 Md. R. 1569) **Administrative History:** Regulation .15 amended effective September 3, 1990 (17:17 Md. R. 2078) **Administrative History:** Regulation .17A amended effective October 11, 1993 (20:20 Md. R. 1569) **Administrative History:** Regulation .17A amended as an emergency provision effective July 14. 1999 (26:16 Md. R. 1237); amended permanently effective October 4, 1999 (26:20 Md. R. 1545) **Administrative History:** Regulation .17E amended effective September 1, 1989 (16:16 Md. R. 1749) **Administrative History:** Regulation .22B amended effective July 3, 1995 (22:13 Md. R. 966) **Administrative History:** Regulation .25B amended as an emergency provision effective July 14, 1999 (26:16 Md. R. 1237); amended permanently effective October 4, 1999 (26:20 Md. R. 1545) **Administrative History:** Regulation .26B amended effective July 3, 1995 (22:13 Md. R. 966) **Administrative History:** Regulation .27 amended as an emergency provision effective July 14, 1999 (26:16 Md. R. 1237); amended permanently effective October 4, 1999 (26:20 Md. R. 1545) **Administrative History:** Regulation .27B amended effective August 5, 1991 (18:15 Md. R. 1725); November 20, 1994 (21:23 Md. R. 1933) **Administrative History:** Regulation .27C adopted effective August 5, 1991 (18:15 Md. R. 1725) **Administrative History:** Regulation .27C amended effective October 11, 1993 (20:20 Md. R. 1569) **Administrative History:** Regulation .28A amended effective June 30, 1997 (24:13 Md. R. 930) **Administrative History:** Regulation .31D amended effective November 20, 1994 (21:23 Md. R. 1933) **Administrative History:** Regulation .32 amended and recodified to Regulation .01-1 effective October 11, 1993 (20:20 Md. R. 1569) **Administrative History:** Regulation .32A amended effective April 16, 1990 (17:7 Md. R. 848) **Administrative History:** Regulation .33 adopted effective September 1, 1989 (16:16 Md. R. 1749) **Administrative History:** Regulation .33A amended, B repealed effective June 30, 1997 (24:13 Md. R. 930) **Administrative History:** Regulation .34 adopted effective June 30, 1997 (24:13 Md. R. 930) **Administrative History:** Chapter revised as an emergency provision effective August 10, 2001 (28:17 Md. R. 1551); revised permanently effective November 12, 2001 (28:22 Md. R. 1936) **Administrative History:** Regulation .01B amended effective December 12, 2002 (29:24 Md. R. 1919); April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .01-1 amended effective April 19, 2021 (48:8 Md. R. 308) **Administrative History:** Regulation .01-1A amended effective September 29, 2003 (30:19 Md. R. 1331); March 17, 2014 (41:5 Md. R. 342) **Administrative History:** Regulation .01-1A, B amended effective September 2, 2002 (29:17 Md. R. 1380) **Administrative History:** Regulation .01-1A, C amended effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .01-1B, C amended effective December 12, 2002 (29:24 Md. R. 1919) **Administrative History:** Regulation .01-2 amended effective December 12, 2002 (29:24 Md. R. 1919); April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .03B, C amended and D adopted effective September 30, 2002 (29:19 Md. R. 1523) **Administrative History:** Regulation .08 amended effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .09 amended effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .14 recodified to Regulation .14-1 and new Regulation .14 adopted as an emergency provision effective July 9, 2004 (31:18 Md. R. 1348); adopted permanently effective September 27, 2004 (31:19 Md. R. 1431) **Administrative History:** Regulation .14C amended effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .14D adopted effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .14-1G amended effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .15B amended effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .16 amended as an emergency provision effective December 22, 2008 (36:2 Md. R. 96); emergency status extended at 36:17 Md. R. 1310; emergency status expired November 19, 2009 **Administrative History:** Regulation .16 amended effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .16-1 adopted as an emergency provision effective December 22, 2008 (36:2 Md. R. 96); emergency status extended at 36:17 Md. R. 1310; emergency status expired November 19, 2009 **Administrative History:** Regulation .16-1 adopted effective December 26, 2011 (38:26 Md. R. 1696) **Administrative History:** Regulation .16-1 amended effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .17 amended effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .17C amended effective December 12, 2002 (29:24 Md. R. 1919) **Administrative History:** Regulation .19 repealed and new Regulation .19 adopted effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .27A amended effective September 29, 2003 (30:19 Md. R. 1331); April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .27C adopted effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .28 amended effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .28G amended effective July 16, 2020 (47:14 Md. R. 675) **Administrative History:** Regulation .28-1 amended effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .28-2B, F amended effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .28-3 amended effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .29 amended effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .34 amended effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .35 amended effective April 23, 2018 (45:8 Md. R. 419) **Administrative History:** Regulation .37 adopted effective December 12, 2002 (29:24 Md. R. 1919) **Administrative History:** Regulation .38 adopted effective December 12, 2002 (29:24 Md. R. 1919) #### Regulation .01 Definitions. *COMAR 09.12.01.01* A. In these regulations, the following terms have the meanings indicated. B. Terms Defined. (1) “ASME Code” means the “ASME Boiler and Pressure Vessel Code” of the American Society of Mechanical Engineers with revisions, amendments, and interpretations adopted by the Board of Boiler Rules. (2) “Antique boiler” means a boiler that is: (a) Fabricated and stamped: (i) In accordance with the ASME Code or another nationally recognized boiler construction standard; and (ii) More than 30 years before the date of the inspection; (b) Operated primarily for demonstration, exhibition, or instructional purposes and not for profit; or (c) Constructed, inspected, and stamped in accordance with the ASME Code and registered with the National Board of Boiler and Pressure Vessels Inspectors to replace a historical boiler. (3) “Approved” means approved by the Board of Boiler Rules. (4) “Authorized Inspection Agency” means an entity that: (a) Is accredited in accordance with the National Board of Boiler and Pressure Vessel Inspectors NB-369, Qualifications and Duties for Authorized Inspection Agencies Performing Inservice Inspection Activities and Qualifications for Inspectors of Boilers and Pressure Vessels; (b) Is accredited in accordance with the National Board of Boiler and Pressure Vessel Inspectors NB-371, Accreditation of Owner-User Inspection Organizations (OUIO); or (c) Meets the qualifications and definition of the National Board of Boiler and Pressure Vessel Inspectors NB-360, Criteria for Acceptance of Authorized Inspection Agencies for New Construction. (5) “Authorized Insurer” means an authorized inspection agency licensed to insure boilers and pressure vessels in Maryland. (6) “Board” means the Board of Boiler Rules. (7) “Boiler external piping” means piping which: (a) Begins where the boiler proper terminates at the: (i) First circumferential joint for welded end connections; (ii) Face of the first flange in bolted flanged connections; or (iii) First threaded joint in threaded connections; and (b) Extends up to and including the valve or valves required by Section I or Section IV of the ASME Code. (8) “Certificate of Competency” means a certificate issued by the Chief Boiler Inspector indicating the suitability and fitness of an individual to inspect boilers and pressure vessels in Maryland. (9) “Certificate inspection” means an inspection the report of which is used by the Chief Boiler Inspector to determine whether to issue a certificate. (10) “Certificate of inspection for repair or alteration” means the certificate inspection performed after a repair or alteration to determine suitability of the object for return to service. (11) “Commissioner” means the Commissioner of Labor and Industry. (12) “Condemned boiler or pressure vessel” means a boiler or pressure vessel that has been inspected and declared unsafe or declared disqualified under legal requirements by an inspector who is authorized to take such action and who has applied a stamp or mark designating condemnation. (13) “Electric boiler” means a boiler in which the source of heat is electricity. (14) “Existing boiler or pressure vessel installation” means: (a) A boiler constructed, installed, placed in operation, or contracted for before July 1, 1969, excluding antique boilers, historical boilers or model steam boilers; or (b) A pressure vessel constructed, installed, placed in operation, or contracted for before January 1, 1974, excluding antique boilers, historical boilers or model steam boilers. (15) “External inspection” means an inspection made when a boiler or pressure vessel is in operation. (16) “Follow up inspection” means an inspection performed after a boiler or pressure vessel has been determined to be nonconforming with applicable laws and regulations. (17) Heating Boiler. (a) “Heating boiler” means: (i) A steam boiler that operates at pressures not exceeding 15 PSIG; or (ii) A hot water boiler operated at pressures not exceeding 160PSIG or temperatures not exceeding 250°F at or near the boiler outlet. (b) “Heating boiler” includes a vessel used in connection with it as an expansion tank. (18) “High-pressure, high-temperature water boiler” means a water boiler that operates at pressures exceeding 160 PSIG or temperatures exceeding 250°F at or near the boiler outlet. (19) “Historical boiler” means a boiler that is: (a) Riveted and/or welded construction; (b) Not under the jurisdiction of the Federal Railroad Administration; (c) Not used for profit; and (d) An antique boiler, steam tractor, traction engine, hobby steam boiler, or portable steam boiler that is preserved, restored, and maintained for demonstration, viewing, or educational purposes. (20) “Hobby steam boiler” means a model steam boiler. (21) “Hot water heating boiler” means a heating boiler furnishing hot water circulated to return to itself. (22) “Hot water supply boiler” means a heating boiler furnishing hot water for use external to itself. (23) “Individually fabricated” means constructed, inspected, and stamped in accordance with the ASME Code, or other standard accepted by the Chief Boiler Inspector. (24) “Inspector” means the chief boiler inspector, a deputy boiler inspector, or a special inspector. (25) "Installer” means an individual, firm, association, corporation, or other entity that installs or constructs boilers or pressure vessels. (26) “Internal inspection” means an examination as complete as possible of the internal and external surfaces of a boiler or pressure vessel conducted while it is not in operation, and with all manhole plates, hand hole plates, and other coverings of inspection openings removed. (27) “Kitchen” means an area used for the preparation or processing of food for human consumption. (28) “Kitchen equipment boiler” means a boiler located in a kitchen, and used for cooking or related purposes. (29) “Lap-seam crack” means a crack in a lap-seam of a boiler or pressure vessel parallel to a longitudinal joint, either between or adjacent to rivet holes. (30) “Maryland inspection report form” means the form submitted by an inspector and available on the Department’s website. (31) “Miniature boiler” means a boiler when none of the following limitations are exceeded: (a) 16 inches inside diameter of shell; (b) 20 square feet heating surface, except for an electric boiler; (c) 5 cubic feet gross volume, exclusive of casing and insulation; and (d) 100 psig maximum allowable working pressure. (32) “Model steam boiler” means a boiler that is individually fabricated for non-commercial use and that is used primarily for demonstration, exhibition, or educational purposes, and not used for profit. (33) “Maximum allowable operating pressure” means the maximum pressure at which a boiler or pressure vessel is permitted to operate as determined by an inspector after an inspection and which is equal to or less than the maximum allowable working pressure. (34) “Maximum allowable working pressure” means the maximum pressure at which a boiler or pressure vessel is designed to operate as determined by the manufacturer in accordance with the construction code. (35) “Modular boiler system” means a series of boiler units specifically designed to be used singularly or together in sequential operation. (36) “National Board” means the National Board of Boiler and Pressure Vessel Inspectors. (37) “NBIC” means the National Board Inspection Code. (38) “New boiler or pressure vessel installation” means: (a) A boiler constructed, installed, placed in operation, or contracted for after July 1, 1969; or (b) A pressure vessel constructed, installed, placed in operation, or contracted for after January 1, 1974. (39) “Nonstandard boiler or pressure vessel” means a boiler or pressure vessel that does not bear the stamp of: (a) Maryland; (b) Another jurisdiction which has adopted a standard of construction equivalent to that required by the Board of Boiler Rules; (c) The ASME; or (d) The National Board. (40) “Owner” means a person, firm, or corporation owning or operating a boiler or pressure vessel within Maryland. (41) “Owner-user inspection service” means an owner of a boiler or pressure vessel in Maryland, who maintains a regularly established inspection department whose inspection procedures meet the applicable requirements of the National Board of Boiler and Pressure Vessel Inspectors and are acceptable to the Board. (42) “Person” means an installer, owner, or operator of a boiler or pressure vessel, a repair organization, or a company licensed to insure or inspect boilers and pressure vessels in the State. (43) “Portable boiler or pressure vessel” means a boiler or pressure vessel that is not historical but meets the following requirements: (a) Is set on a frame, platform or trailer; and (b) Is designed to be moved to different locations for use. (44) “Portable steam boiler” means a historical boiler that is: (a) Not self-propelled; (b) Set on a frame, platform, or trailer; and (c) Designed to be moved to different locations for use. (45) “Power boiler” means a boiler in which steam or other vapor is generated at a pressure of more than 15 PSIG, and includes a high-pressure, high-temperature water boiler. (46) “PSIG” means pounds per square inch gauge. (47) “Standard boiler or pressure vessel” means a boiler or pressure vessel that: (a) Bears the stamp of Maryland; (b) Bears the stamp of another jurisdiction which has adopted a standard of construction equivalent to that required by the Board of Boiler Rules; (c) Bears the stamps of both ASME and the National Board; or (d) Is of equivalent safe construction acceptable to the Board. (48) “Used boiler or pressure vessel” means a boiler or pressure vessel which has been removed from its original setting and reinstalled at the same or different location. (49) “Water heater” means a closed vessel with openings through which water may flow and includes: (a) An apparatus by which heat is generated; (b) Controls necessary to prevent pressures greater than 160 psig and water temperatures greater than 210 degrees F; and (c) Potable water that is withdrawn for external use. (50) “Workday” means a day that is not a Saturday, a Sunday, or a State holiday. #### Regulation .01-1 Incorporation by Reference. *COMAR 09.12.01.01-1* A. The following documents are incorporated by reference to the extent that they are referenced in this chapter: (1) ASME 2019 Boiler and Pressure Vessel Code, an International Code; and (2) National Board Inspection Code — NBIC, 2019 Edition. B. The following documents are incorporated by reference in their entirety: (1) ASME B31.1 — 2018 Edition, Power Piping (American Society of Mechanical Engineers); (2) ASME B31.3 — 2018 Edition, Process Piping (American Society of Mechanical Engineers); (3) ASME CSD-1 — 2018 Edition, Controls and Safety Devices for Automatically Fired Boilers (American Society of Mechanical Engineers) as amended in §C of this regulation; and (4) NFPA 85, Boiler and Combustion Systems Hazards Code — 2019 Edition (National Fire Protection Association). C. Controls and Safety Devices for Automatically Fired Boilers (CSD-1) (American Society of Mechanical Engineers). (1) The requirements of ASME CSD-1 in effect at the time a boiler is installed apply to: (a) Power boilers regardless of fuel input; (b) Other boilers with a fuel input of greater than 2,500,000 Btu per hour and less than 12,500,000 Btu per hour; and (c) Other boilers with a fuel input of 2,500,000 Btu per hour or less, except that Section CF of CSD-1 does not apply to these boilers. (2) The following are exempt from the requirements of ASME CSD-1: (a) Water heaters stamped either “H” or “HLW” and used as potable water heaters, if the water temperature is less than 210°F and the water pressure is less than 160 PSIG; (b) Miniature boilers, except as required in Regulation .37 of this chapter; (c) Kitchen equipment boilers, except as required in Regulation .38 of this chapter; and (d) Historical boilers. #### Regulation .01-2 Compliance. *COMAR 09.12.01.01-2* In the event of a conflict between a regulation in this chapter and a code section incorporated by reference, the provisions of this chapter control. #### Regulation .02 Access and Egress. *COMAR 09.12.01.02* A. Clearance. (1) Except for a water heater or a modular boiler system, a new or replacement boiler installed in a new or existing building shall be installed consistent with: (a) Or exceeding, the manufacturer's recommendations for clearance; and (b) The space requirements of §A(6) of this regulation. (2) In the event manufacturer recommendations for clearance are not provided, a new or replacement boiler installed in a new or existing building, shall: (a) Have at least 3 feet between: (i) The top of the boiler and the ceiling, and (ii) Each side of the boiler and the adjacent wall or other structure; and (b) Comply with the conditions of §A(6) of this regulation. (3) The distance between or around a new or replacement boiler in a modular boiler system installed in a new or existing building shall be in accordance with the manufacturer's recommendations while ensuring: (a) There are 3 feet between each side of the perimeter of the boiler system and the adjacent wall or structure; and (b) The conditions in §A(6) of this regulation are met. (4) The distance between or around a water heater installed in a new or existing building shall be in accordance with the manufacturer's recommendations while ensuring the conditions of §A(6) of this regulation are met. (5) A boiler or pressure vessel having a manhole shall have 5 feet clearance from the manhole opening to any wall, ceiling, or piping that prevents entrance through the manhole. (6) A boiler or pressure vessel shall be located to provide adequate space for: (a) Proper operation of the boiler or pressure vessel and its appurtenances; (b) Inspection of all surfaces, tubes, water-walls, economizers, piping, valves, and other equipment; and (c) Required maintenance and the repair and replacement of tubes. B. Ladders and Runways. (1) When necessary to afford safe access, a steel runway or platform of standard construction shall be installed across the tops of adjacent boilers or pressure vessels, or at another convenient level. (2) When a valve or appurtenance requiring frequent manipulation cannot be reached or operated from the floor, a platform or other safe means of operation shall be provided. (3) A platform or runway shall: (a) Be at least 24 inches wide; (b) Have standard handrails and toe boards; and (c) Provide at least 7 feet, 6 inches overhead clearance. (4) A runway shall: (a) Have at least two means of exit, located remotely from each other; and (b) Be connected to floor level by: (i) A permanent stairway, or (ii) An inclined ladder. C. Each elevation in a boiler room shall have at least two exits, located remotely from each other, if the room: (1) Exceeds 500 square feet floor area; and (2) Contains one or more boilers having a fuel-burning capacity of 1,000,000 Btu per hour, or equivalent electrical heat input. #### Regulation .03 Air and Ventilation. *COMAR 09.12.01.03* A. A boiler room shall have a permanent source of outside air to: (1) Permit satisfactory combustion of fuel; and (2) Provide proper ventilation of the boiler under normal operating conditions. B. Louvered area. (1) The total requirements of all burners for all fired pressure vessels in a boiler room shall be used to determine the louver sizes, whether the pressure vessels are fired by coal, oil, or gas. (2) The minimum net free louvered area shall be at least 1 square foot. (3) The minimum dimension of air openings may not be less than 3 inches. (4) Ducts, when used, shall be of the same cross-sectional area as the free area of the openings to which they connect. (5) The following configurations shall be used: (a) Two permanent openings: (i) One opening shall start within 12 inches of the ceiling, and one opening shall start within 12 inches of the floor; (ii) The openings shall connect directly, or by ducts, with the outdoors or with crawl or attic spaces that freely connect with the outdoors; (iii) Where directly connecting with the outdoors or where connecting to the outdoors through vertical ducts, each opening shall have a minimum free area of 1 square inch per 4,000 Btu per hour of total input rating, or total relieving capacity, of all fired pressure vessels, whichever is greater; and (iv) Where connecting to the outdoors through horizontal ducts, each opening shall have a minimum free area of 1 square inch per 2,000 Btu per hour of total input rating, or total relieving capacity, of all fired pressure vessels, whichever is greater; or (b) One permanent opening: (i) The opening shall start within 12 inches of the ceiling; (ii) The opening shall directly connect with the outdoors, or shall connect through a vertical or horizontal duct to the outdoors or with crawl or attic spaces that freely connect to the outdoors; and (iii) The opening shall have a free open area of 1 square inch per 3,000 Btu per hour of total input rating, or total relieving capacity, of all fired pressure vessels, whichever is greater. (6) The following table shall be used to determine the net louvered area in square feet: C. Mechanical Combustion and Ventilation. (1) Mechanical ventilation may be used to supply combustion air or ventilation air, or both, to a boiler room. (2) When mechanical ventilation is used: (a) The firing device shall be interlocked with the fan so that the firing device cannot operate without proven airflow; (b) The velocity of the air passing through the louvers cannot exceed 500 feet per minute; and (c) The total air delivered shall be equal to or exceed 0.5 CFM per 1,000 Btu per hour of total input rating or total required relieving capacity, whichever is greater. D. Water Heater Combustion Air Ventilation Requirements. (1) Hot water heaters in excess of 200,000 Btu per hour up to but not including 1,000,000 Btu per hour, that are located in their own equipment room, shall have at least: (a) 1 permanent source of outside air; and (b) 1 square foot of total net free louvered air space. (2) Hot water heaters of 1,000,000 Btu per hour or greater shall follow manufacturer's requirements. (3) Hot water heaters with inputs and required relieving capacities less than 200,000 Btu per hour are not covered by this regulation. #### Regulation .04 Equipment. *COMAR 09.12.01.04* A. Automatic Low Water Fuel Cutoff or Water Feeding Device. (1) An automatically fired steam or vapor system boiler shall have a low water fuel cutoff that automatically cuts off the fuel supply when the water surface falls to the lowest safe level. The following apply: (a) A water feeding device shall be: (i) Constructed so that the water inlet valve cannot feed water into the boiler through the float chamber, and (ii) Located to supply the necessary feedwater; (b) The lowest safe water line shall be not lower than the lowest visible part of the water glass. (2) A fuel or feedwater control device may be attached: (a) Directly to a boiler; or (b) To the tapped openings provided to attach a water glass directly to a boiler, provided that for low-pressure boilers: (i) Connections from the boiler are made with nonferrous tees or Y's at least 1/2 inch pipe size between the boiler and the water glass, so that the water glass is attached directly and as close as possible to the boiler, (ii) Straightaway tapping of the Y or tee takes the water glass fittings, and (iii) The side outlet of the Y or tee takes the fuel cutoff or water feeding device. (3) The ends of all nipples shall be reamed to full-size diameter. (4) A design using a float and float bowl shall have a vertical straightway valve drain pipe located at the lowest point in the water-equalizing pipe connections by which the bowl and equalizing pipe can be flushed and the device tested. B. Blowoff Equipment. (1) Blowdown from a boiler that enters a sanitary sewer system, or blowdown that is a hazard to life or property, shall pass through blowoff equipment to ensure that the maximum: (a) Temperature of water leaving the equipment is 150°F; and (b) Pressure of blowdown leaving the equipment is 5 PSIG. (2) Blowoff equipment shall: (a) Use piping and fittings between the boiler and the blowoff tank that comply with the ASME Code, Section I, paragraph PG-59; (b) Be fabricated of material that complies with the ASME Code, Section II; (c) Be fitted with openings that facilitate cleaning and inspection; and (d) Conform to the rules for boiler blowoff equipment established by the National Board. C. Discharge of safety valves, blowoff pipes, and other outlets shall be located to prevent injury to personnel. D. Boiler-Door Latches. (1) Firing Doors. (a) The firing doors on a watertube boiler shall: (i) Open inward; (ii) Be equipped with effective fastening devices; or (iii) Be constructed to prevent the doors from being blown open by pressure on the furnace side. (b) Except for coal openings on a downdraft or similar furnace: (i) Door fastenings shall be positive self-locking; and (ii) Friction contacts, latches, or bolts actuated by springs may not be used. (2) An explosion door, if used and located in a setting wall within 7 feet of a firing floor or operating platform, shall have substantial deflectors to divert a blast. (3) Except for an explosion door, a door not used during boiler firing may be equipped with bolts or fastenings. E. Pressure-Reducing Valve. (1) When a pressure-reducing valve is used: (a) If the piping or equipment on the low-pressure side of the reducing valve does not meet the requirements for full initial pressure, at least one relief or safety valve shall be installed on the low-pressure side of the reducing valve; (b) The relief or safety valves shall adjoin or be as close as possible to the reducing valve; (c) When a relief or safety valve is vented to the atmosphere, proper protection shall be provided to prevent escaping fluid from causing injury or damage; (d) The combined discharge capacity of relief or safety valves shall be such that the pressure rating of the lowest pressure piping or equipment cannot be exceeded if the reducing valve sticks open. (2) Bypass Around Reducing Valves. (a) A hand-controlled bypass around a reducing valve may be used. (b) If a bypass is used around a reducing valve, the safety valve on the low-pressure side shall have sufficient relief capacity to prevent overpressuring the low-pressure side. (3 ) A pressure gage shall be installed on the low-pressure side of a reducing valve. F. A boiler or pressure vessel shall have masonry or structural supports of sufficient strength and rigidity to: (1) Safely support the boiler or pressure vessel and its contents; and (2) Prevent excessive vibration of the boiler, pressure vessel, or connecting piping. #### Regulation .05 Factor of Safety--Increase for Existing Installation. *COMAR 09.12.01.05* A. An inspector may increase the factor of safety of an existing installation if the condition of the boiler or pressure vessel warrants the increase. B. Appeal Procedure. (1) An owner may appeal an increase in a factor of safety to the Board. (2) Upon appeal, the Board may request that the chief boiler inspector and a deputy boiler inspector or special inspector conduct a joint inspection. (3) Each inspector shall submit a report to the Board. (4) Based on the reports submitted, the Board shall make a final determination of the appropriate factor of safety. #### Regulation .06 Fired Jacketed Steam Kettle. *COMAR 09.12.01.06* A. A fired jacketed steam kettle may be installed if it is: (1) Constructed and stamped in accordance with the ASME Code, Section I, IV, or VIII, Division 1; and (2) Registered with the National Board. B. A gas-fired jacketed steam kettle may be constructed in accordance with the ASME Code, Section VIII, Division 1, provided that: (1) Welded joints having contact with products of combustion are Type No. 1 of Table UW-12; (2) The minimum thickness of a part subject to pressure is, for: (a) Carbon steel, 1/4 inch, or (b) Stainless steel or nonferrous pressure parts, as specified in the ASME Code, Section VIII, Division 1, Subsection C; (3) A part having contact with products of combustion is, for: (a) Carbon steel, pressure vessel quality, and (b) Austenitic stainless steel, either extra-low carbon or stabilized grade; (4) Structural grade carbon steel is not used for any pressure part; (5) The operating pressure of the jacket does not exceed 50 PSI; (6) A vessel constructed in accordance with this regulation: (a) Is inspected by an authorized inspector, and (b) Is not marked with the UM symbol; (7) Steam or water is not withdrawn from the jacket for use external to the vessel; (8) The capacity of the safety valve in pounds of steam per hour is at least equal to the BTU rating of the burner divided by 1,000; and (9) The jacket has: (a) A pressure gage, (b) A water gage glass, (c) A separate connection, fitted with a check valve and stop valve, for adding water to the jacket while the vessel is not under pressure, (d) An automatic gas valve controlled by pressure or temperature to maintain the steam pressure in the jacket below the safety valve setting, (e) A low water cutoff to stop the flow of fuel to the burner if the water in the jacket drops below the lowest permissible water level as established by the manufacturer, and (f) A safety pilot control to stop the flow of fuel to both the main burner and the pilot burner in case of pilot flame failure. #### Regulation .07 Gas-Fired Installations. *COMAR 09.12.01.07* A. A burner in a gas-fired installation shall be tested and certified by the American Gas Association. B. A gas-fired boiler shall have a vent or flue that terminates at an acceptable location outside the building. C. The size of the vent or flue shall be: (1) That recommended by the boiler manufacturer; (2) At least 4 inches in diameter or equivalent area; and (3) If the horizontal run exceeds 10 feet, at least 6 inches in diameter or equivalent area. #### Regulation .08 Hazardous Condition. *COMAR 09.12.01.08* A. A special inspector who finds a hazardous condition affecting the safety of a boiler or pressure vessel shall notify the chief boiler inspector in accordance with Regulation .28 of this chapter. B. If a special inspector determines that a boiler or pressure vessel is unsafe for operation: (1) The inspector shall: (a) Notify the owner promptly; (b) Specify the repair or corrective measure required to achieve compliance with regulations; and (c) If the owner does not agree to take the required action promptly, notify the chief boiler inspector immediately; (2) Until the required repair or corrective measure is completed: (a) Use of the boiler or pressure vessel is prohibited; and (b) The chief boiler inspector shall suspend the inspection certificate, if any. C. If, upon inspection, the chief boiler inspector or a deputy boiler inspector declares a boiler or pressure vessel unsafe: (1) The boiler or pressure vessel shall be condemned and stamped in accordance with Regulation .30 of this chapter; and (2) Use or operation of the condemned boiler or pressure vessel shall subject the owner to the penalties provided by Public Safety Article, §12-915, Annotated Code of Maryland. #### Regulation .09 Hearings. *COMAR 09.12.01.09* A. A hearing shall be held in accordance with the requirements of the Administrative Procedure Act, Title 10, Subtitle 2, State Government Article, Annotated Code of Maryland. B. The Commissioner delegates the authority to issue a proposed decision on a citation or penalty to the Office of Administrative Hearings. C. A proposed decision of the Office of Administrative Hearings becomes a final order of the Commissioner 20 days after the date it is issued, unless: (1) The person found to have violated Public Safety Article, Title 12, Subtitle 9, Annotated Code of Maryland, or a regulation or order issued to carry out this law, requests a review; or (2) The Commissioner orders review. D. Review of Proceedings Before the Commissioner. (1) A request for review by a person found to have violated Public Safety Article, Title 12, Subtitle 9, Annotated Code of Maryland, or a regulation or order issued to carry out this law, shall: (a) Be in writing; (b) Contain a concise statement identifying each portion of the determination for which a review is requested; (c) Be filed with the Commissioner within 20 days after the date the determination is issued; and (d) Be mailed by the requesting party to all other parties to the proceeding. (2) Affected parties have the opportunity to present argument to the Commissioner based on the record before the Office of Administrative Hearings. (3) Order of the Commissioner. (a) After review of the proceedings, with or without a hearing, the Commissioner shall: (i) Issue an order based on findings of fact; and (ii) Mail copies of the order to all affected parties. (b) The Commissioner’s order shall affirm, modify, or vacate the citation or proposed penalty, or direct other appropriate relief. E. Hearings Before the Board of Boiler Rules. (1) A hearing before the Board of Boiler Rules shall be held before at least four members of the Board. (2) A request for postponement of a hearing may not be considered unless the presiding officer receives a request: (a) In writing; (b) At least 5 days before the scheduled hearing date; and (c) Setting forth the reasons for the request. (3) Presiding Officer. (a) At a hearing before the Board, the chairman of the Board or, in the chairman’s absence, the chairman’s designee, shall be the presiding officer. (b) A presiding officer may: (i) Administer oaths and affirmations; (ii) Rule on offers of proof and procedural matters; (iii) Regulate the course of the hearing, including the conduct of parties and counsel; (iv) Receive relevant evidence; (v) Examine a witness; and (vi) Take other action authorized by statute or regulation. (4) A hearing shall be recorded verbatim. (5) Hearing Procedure. (a) The presiding officer shall: (i) Call the title of the case; (ii) Briefly explain the purpose and nature of the hearing; (iii) Recite any charges, complaints, or other matters involved; (iv) Administer the oath to all persons who are to testify; and (v) Receive any stipulation entered into by the parties. (b) Counsel or a party may address any preliminary matter, exception, or motion. (c) The following exhibits shall be introduced: (i) A copy of the petition, complaint, or other matter involved in the hearing; and (ii) A copy of the notice of hearing. (d) In a hearing on an application for variance, the applicant shall proceed first and present evidence to demonstrate either that the subject regulation is unreasonable or that it imposes an undue burden on the applicant, and that equivalent safety can be maintained. The presenter of evidence shall then present information obtained as a result of the agency’s investigation of the application. (e) Subject to statutes and rules governing the practice of law, a party or counsel representing a party may: (i) Call witnesses; (ii) Offer evidence, including rebuttal evidence; (iii) Cross-examine a witness called by another party or the agency; and (iv) Present argument and summation. (f) Any member of the Board may examine a witness. (g) The Board may permit or require a party to file a written memorandum, which may include proposed findings of fact and conclusions of law. F. The Board shall: (1) Issue a written determination which includes findings of fact and conclusions of law, and an order disposing of the proceedings; and (2) Promptly serve a copy of the determination on each party or the party's counsel of record. G. A party aggrieved by a final order issued pursuant to this regulation may obtain judicial review by filing a written petition with the appropriate circuit court within 30 days of issuance of the final order. #### Regulation .10 Heating Boiler — Existing Installation: Maximum Allowable Working Pressure *COMAR 09.12.01.10* A. The maximum allowable working pressure on a standard boiler may not exceed the pressure stamped or cast by the manufacturer on: (1) The boiler; or (2) A plate secured to the boiler. B. The maximum allowable working pressure on: (1) The shell of a nonstandard riveted heating boiler shall be determined in accordance with Regulation .22 of this chapter, except that the maximum allowable working pressure on a: (a) Steam heating boiler may not exceed 15 PSIG; and (b) Hot water boiler may not exceed: (i) 160 PSIG, or (ii) 250°F. (2) A nonstandard steel or wrought iron heating boiler of welded construction: (a) May not exceed 15 PSIG for steam; and (b) For service other than steam, shall be calculated in accordance with the ASME Code, Section IV. (3) A nonstandard boiler composed principally of cast iron, or having a cast iron shell or heads and steel or wrought iron tubes, may not exceed: (a) 15 PSIG for steam service; and (b) 30 PSIG for hot water service. #### Regulation .11 Heating Boiler — Existing Installation: Safety Valve. *COMAR 09.12.01.11* A. A steam boiler shall have at least one safety valve which is: (1) Officially rated; (2) Of the spring pop type; and (3) Adjusted and sealed to discharge at a pressure not greater than 15 PSI. B. A seal shall be attached in a manner to prevent the valve from being disassembled without breaking the seal. C. A safety valve shall be arranged so that it cannot be reset to relieve at a pressure higher than the maximum allowable working pressure of the boiler. D. Body Drain. (1) The manufacturer shall provide a body drain connection below seat level. (2) A body drain may not be plugged during or after field installation. (3) If a valve exceeds 2 inch pipe size, the drain hole shall be tapped at least 3/8 inch pipe size. (4) A valve less than 2 inches pipe size shall have a drain hole at least 1/4 inch in diameter. E. Valve Size. (1) A safety valve for a steam boiler shall be: (a) At least 3/4 inches, unless the boiler and radiating surfaces are a self-contained unit; and (b) Not larger than 4 1/2 inches. (2) An inlet opening shall have an inside diameter at least equal to the seat diameter. F. The minimum relief capacity of a valve or valves is governed by the capacity marking on the boiler. G. Valve Capacity. (1) Subject to the requirements of §H, below, the minimum valve capacity in pounds per hour is the greater of the capacity determined: (a) By dividing the maximum BTU output at the boiler nozzle, obtained by firing any fuel for which the unit is installed, by 1,000; or (b) In accordance with the following table: (2) The minimum safety valve or safety relief valve relief capacity for an electric boiler shall be 3-1/2 pounds per hour per kilowatt input. H. The safety valve capacity for a steam boiler shall be sufficient to ensure that when fuel burning equipment is operated at maximum capacity, the pressure cannot exceed the maximum allowable working pressure by more than 5 PSI. I. When operating conditions change, or additional boiler heating surface is installed: (1) Valve capacity shall be increased, if necessary, to: (a) Meet the new conditions, and (b) Comply with the requirements of this regulation; (2) Provided there is no intervening valve, any additional valves required because of changed conditions may be installed on the outlet piping. J. If there is any doubt as to the capacity of a safety valve, an accumulation test shall be conducted in accordance with the ASME Code, Section VI, Recommended Rules for the Care and Operation of Heating Boilers. K. A valve of any type may not be placed: (1) Between a safety valve and a boiler; or (2) On a discharge pipe between a safety valve and the atmosphere. L. Discharge Pipe. (1) A discharge pipe shall be: (a) At least full-size; and (b) Fitted with an open drain to prevent water from lodging in the upper part of a safety valve or in the discharge pipe. (2) If a safety valve discharge pipe has an elbow, the: (a) Elbow shall be located near the safety valve outlet; or (b) Discharge pipe shall be securely anchored and supported. M. Safety valve discharges shall be located or piped so as not to endanger workers. #### Regulation .12 Heating Boiler — Existing Installation: Miscellaneous. *COMAR 09.12.01.12* A. Feedwater Connection. (1) Feedwater, make-up water, or water treatment: (a) Shall be introduced into a boiler through: (i) The return piping system, or (ii) An independent feedwater connection that does not discharge against a part of the boiler exposed to direct radiant heat from the fire; (b) May not be introduced through an opening or connection provided for: (i) Inspection or cleaning, (ii) Safety valve, (iii) Safety relief valve, (iv) Surface blowoff, (v) Water column, (vi) Water gage glass, (vii) Pressure gage, or (viii) Temperature gage. (2) Feedwater pipe shall have a: (a) Check valve near the boiler; and (b) Stop valve or cock between the check valve and the boiler or return pipe system. B. Pressure or Altitude Gage. (1) A hot water boiler shall have a pressure or altitude gage connected to the boiler or its flow connection so that it cannot be shut off from the boiler except by a cock with a tee or lever handle: (a) Placed on the pipe near the gage; and (b) With the handle parallel to the pipe in which it is located, when the cock is open. (2) The scale on the dial of a pressure or altitude gage shall be graduated to indicate pressures from 1-1/2 to 3 times the maximum allowable working pressure. (3) Piping or tubing for a pressure or altitude gage connection smaller than 1 inch pipe size shall be of nonferrous metal. C. Steam Gage. (1) A steam boiler shall have a steam gage connected to its steam space, water column, or steam connection by a siphon or equivalent device on the exterior of the boiler. (2) A siphon shall be: (a) Of sufficient capacity to keep the gage tube filled with water; and (b) Arranged so that the gage can be shut off from the boiler only by a cock with a tee or lever handle: (i) Placed in the pipe near the gage, and (ii) With the handle parallel to the pipe in which it is located, when the cock is open. (3) Scale. (a) The scale on the dial of a steam gage shall be graduated to at least 30 PSIG. (b) The gage shall have effective stops for the indicating pointer at the: (i) Zero point; and (ii) Maximum pressure point. (c) The travel of the pointer from zero to 30 PSIG shall be at least 3 inches. D. Stop Valve and Check Valve. (1) A boiler which can be closed off from the heating system by closing a steam stop valve shall have a check valve in the condensate return line between the boiler and the system. (2) Any part of a heating system that can be closed off from the remainder of the system by closing a steam stop valve shall have a check valve in the condensate return pipe from that part of the system. E. A hot water boiler shall have a thermometer located and connected so that: (1) A person observing the water pressure or altitude gage can read the thermometer easily; and (2) The thermometer at all times indicates the temperature, in degrees Fahrenheit, of the water in the boiler at or near the outlet. F. Water Gage Glass. (1) A steam boiler shall have at least one water gage glass attached to the water column or boiler by valved fittings. (2) The lower fitting shall have a straightway drain valve with an opening at least 1/4 inch diameter to facilitate cleaning. (3) Gage glass replacement shall be possible while the boiler is under pressure. (4) Transparent material other than glass may be used for a water gage if the material is suitable for the pressure, temperature, and corrosive conditions encountered in service. G. When practicable, a boiler equipped with a condensate return pump shall have a water level control that automatically maintains the water level in the boiler within the range of the gage glass. H. Repairs and replacements of fittings or appliances shall comply with the ASME Code for new construction, Section IV. I. The ASME Code, Section VI, Recommended Rules for the Care and Operation of Heating Boilers is recommended as a guide for proper and safe operating practices. J. It is recommended that a return water connection to a low-pressure steam heating boiler supplying a gravity return heating system be arranged to form a return pipe loop connection, so that water cannot be forced out of the boiler below the safe water level, as shown in Section IV, Figure HG-703.1 of the ASME Heating Boiler Code. #### Regulation .13 Hot Water Boiler—Existing Installation: Safety Relief Valve. *COMAR 09.12.01.13* A. Number of Valves. (1) A hot water heating boiler shall have at least one safety relief valve which is: (a) Officially rated; and (b) Set to relieve at or below the maximum allowable working pressure of the boiler. (2) A hot water supply boiler shall have at least one safety relief valve which is: (a) Officially rated; (b) Automatically reseating; and (c) Set to relieve at or below the maximum allowable working pressure of the boiler. B. A safety relief valve with an officially rated capacity shall have pop action when tested by steam. C. When more than one safety relief valve is used on a hot water heating or hot water supply boiler, each additional valve shall be: (1) Officially rated; and (2) Set at a maximum of: (a) 6 PSI above the maximum allowable working pressure of the boiler, for a boiler having a maximum allowable working pressure of 60 PSI or less, or (b) 10 percent above the maximum allowable working pressure, for a boiler having a maximum allowable working pressure exceeding 60 PSI. D. A safety relief valve shall be: (1) Spring loaded; and (2) Arranged so that it cannot be reset at a pressure higher than the maximum permitted by this regulation. E. A material that can fail because of deterioration or vulcanization when subject to saturated steam temperature corresponding to capacity test pressure may not be used for any part. F. Size. (1) Except as otherwise provided by this regulation, the standard pipe size of a safety relief valve may not be: (a) Smaller than 3/4 inch; and (b) Larger than 4-1/2 inches. (2) A boiler having a heat input of 15,000 BTU per hour or less may have a rated safety relief valve of 1/2 inch standard pipe size. (3) An inlet opening shall have an inside diameter approximately equal to, or greater than, the seat diameter. (4) The minimum opening through any part of a valve shall be at least 1/2 inch in diameter or the equivalent area. G. Subject to the requirements of §I of this regulation, the minimum steam relief capacity of a pressure relief device on a boiler, in pounds per hour, shall be the greater of the capacity determined: (1) By dividing by 1,000 the maximum BTU output at the boiler nozzle, obtained by firing any fuel for which the unit is installed; or (2) In accordance with Table 09.12.01.11G. H. When operating conditions change or additional boiler heating surface is installed: (1) Valve capacity shall be increased, if necessary, to: (a) Meet the new conditions, and (b) Comply with this regulation; and (2) If there is no intervening valve, any additional valves required because of changed conditions may be installed on the outlet piping. I. The safety relief valve capacity for a boiler shall be sufficient to ensure that, with fuel burning equipment operated at maximum capacity, pressure cannot exceed: (1) 6 PSI above the maximum allowable working pressure of the boiler, for a boiler having a maximum allowable working pressure of 60 PSI or less; and (2) 10 percent above the maximum allowable working pressure, for a boiler having a maximum allowable working pressure greater than 60 PSI. J. If there is any doubt as to the capacity of a safety relief valve, an accumulation test shall be conducted in accordance with the ASME Code, Section VI, Recommended Rules for the Care and Operation of Heating Boilers. K. A valve of any type may not be placed: (1) Between a safety relief valve and a boiler; or (2) On a discharge pipe between a safety relief valve and the atmosphere. L. Discharge Pipe. (1) A discharge pipe shall be: (a) At least full-size; and (b) Fitted with an open drain to prevent water from lodging in the upper part of a safety relief valve or in the discharge pipe. (2) If a safety relief valve discharge pipe has an elbow, the: (a) Elbow shall be located near the safety relief valve outlet; or (b) Discharge pipe shall be securely anchored and supported. M. Safety relief valve discharges shall be located or piped so as not to endanger workers. #### Regulation .14 Inspection Intervals. *COMAR 09.12.01.14* A. Boilers and pressure vessels subject to this regulation do not include power boilers, or high pressure or high temperature water boilers. B. Except as provided in §C of this regulation, boilers and pressure vessels shall receive a certificate inspection biennially. C. A boiler or pressure vessel that is part of an amusement attraction, as defined by Business Regulation Article, §3-101(b), Annotated Code of Maryland, shall receive a certificate inspection annually. D. A historical boiler shall be inspected at intervals specified in Regulation .34 of this chapter. #### Regulation .14-1 Inspection. *COMAR 09.12.01.14-1* A. Internal Inspection. (1) Unless an internal inspection is required by law or by an inspector at the inspector's discretion, a: (a) Hot water boiler requires only an external inspection for certificate purposes; and (b) Pressure vessel requires only an external inspection for certificate purposes. (2) At least 7 days before an internal inspection, the inspector shall notify the owner of the inspection date. B. The owner of a boiler shall prepare the boiler for internal inspection and hydrostatic test, if necessary, by: (1) Drawing off water and washing the boiler thoroughly; (2) Removing manhole and handhole plates, washout plugs, and inspection plugs in water column connections; (3) Cooling and thoroughly cleaning furnace and combustion chambers; (4) Removing all grates of internally fired boilers; (5) Removing the pressure gage for testing; (6) Disconnecting the pipe or valve at the most convenient point to prevent leakage of steam or hot water into the boiler; (7) Performing the following procedures before opening a manhole or handhole cover and entering any part of a steam-generating unit connected to a common header with other boilers: (a) Close, tag, and preferably padlock: (i) Non return and steam stop valves; and (ii) Feed and check valves; (b) Open drain valves or cocks between: (i) Non return and steam stop valves; and (ii) Feed and check valves; and (c) After draining the boiler: (i) Close and padlock the blowoff valves; (ii) Where practicable, disconnect blowoff lines at a point between pressure parts and valves; and (iii) Open all drains and vent lines. C. The owner of a pressure vessel shall prepare the pressure vessel for inspection to the extent required by the inspector, using the applicable procedures set out in §B of this regulation. D. Removal of Covering During Inspection. (1) At each annual inspection, brickwork shall be removed, as required by the inspector, to determine the condition of the boiler, headers, furnace, supports, or other parts. (2) Unless the information can be obtained by other means, if boiler or pressure vessel jacketing conceals the longitudinal seams of a shell, drum, or dome, sufficient jacketing, setting wall, or other casing or housing shall be removed to permit: (a) Reasonable inspection of the seams; and (b) Determination of: (i) The size and pitch of the rivets; and (ii) Other data necessary to ascertain the safety of the boiler or pressure vessel. (3) When an external inspection discloses evidence of a leak or crack: (a) Sufficient covering shall be removed from the boiler or pressure vessel to permit the inspector to make a safety determination; and (b) If the covering cannot be removed during the inspection, the inspector may order use of the boiler or pressure vessel discontinued until: (i) The covering can be removed; and (ii) Proper inspection can be made. E. Hydrostatic Pressure Test. (1) A hydrostatic pressure test of a boiler or pressure vessel may not exceed: (a) 1-1/2 times the maximum allowable working pressure; or (b) The required test pressure by more than 2 percent. (2) During a hydrostatic test: (a) Each safety valve shall be removed; or (b) Each valve disk shall be held to its seat by a testing clamp, and not by tightening the compression screw on the spring. (3) Water used to apply a hydrostatic test shall have a: (a) Recommended minimum temperature of 70°F; and (b) Maximum temperature of 140°F. (4) When a hydrostatic test is applied to an existing installation to determine: (a) Tightness, test pressure shall equal the release pressure of the safety valve having the lowest release setting; and (b) Safety, test pressure shall equal 1-1/2 times the maximum allowable working pressure. F. If a boiler or pressure vessel is not properly prepared for internal inspection, or if the owner fails to comply with the requirements for a hydrostatic test as set out in this regulation: (1) The inspector may refuse to conduct the inspection or test; and (2) If the inspector refuses, the chief boiler inspector shall withhold the inspection certificate until the owner complies with the requirements. G. An inspector is authorized to: (1) Conduct inspections in accordance with Public Safety Article, §12-909, Annotated Code of Maryland; and (2) Review and verify records required by Public Safety Article, Title 12, Subtitle 9, Annotated Code of Maryland, and by Codes referenced in Regulation .01-1 of this chapter. #### Regulation .15 Inspection Certificate. *COMAR 09.12.01.15* A. Revocation or Suspension. (1) Emergency Action. (a) The chief boiler inspector or an authorized representative may order an inspection certificate suspended summarily if, in his opinion, public safety imperatively requires emergency action. (b) If an inspection certificate is summarily suspended, the chief boiler inspector shall promptly give the owner of the boiler or pressure vessel for which the inspection certificate was issued: (i) Written notice of the suspension, including the reason and facts that warrant the suspension; and (ii) An opportunity to be heard. (2) General. (a) The chief boiler inspector shall suspend an inspection certificate if: (i) An inspector determines that the condition of the boiler or pressure vessel makes continued operation unsafe; (ii) A special inspector notifies the chief boiler inspector that an owner refuses to make promptly the repairs necessary to bring an unsafe boiler or pressure vessel into compliance with these regulations; (iii) The owner refuses to permit inspection of a boiler or pressure vessel; or (iv) The owner refuses to pay a fee required by the Boiler and Pressure Vessel Safety Act. (b) The chief boiler inspector or an authorized representative may suspend or revoke an inspection certificate if the boiler or pressure vessel for which it was issued: (i) Cannot be operated consistent with public safety; or (ii) Does not comply with applicable law or regulations. (c) Except as otherwise provided by this regulation, before suspending or revoking an inspection certificate, the chief boiler inspector shall give the owner of the boiler or pressure vessel: (i) Written notice of the suspension or revocation which states the reasons and facts warranting the suspension or revocation; and (ii) An opportunity to be heard. B. An inspection certificate becomes invalid: (1) On its expiration date; or (2) When the boiler or pressure vessel for which it was issued ceases to be: (a) Insured by an authorized insurer; or (b) Owned by an owner-user inspection service. #### Regulation .16 Inspector. *COMAR 09.12.01.16* A. An inspector: (1) May not engage in the sale of boilers, pressure vessels, or any related item; and (2) Shall be employed regularly in inspection work. B. To be eligible to take the examination for a Certificate of Competency as an inspector, an applicant shall have: (1) A degree in mechanical engineering plus 1 year of experience in the design, construction, operation, or inspection of high pressure vessels; (2) A degree in another branch of engineering, plus 2 years of experience in the design, construction, operation, or inspection of high pressure boilers and pressure vessels; or (3) The equivalent of a high school education plus 3 years of experience: (a) In high pressure boiler and pressure vessel construction or repair; (b) As an operating engineer in charge of a high pressure boiler operation; or (c) As an inspector of high pressure boilers and pressure vessels. C. Application Procedure for Certificate of Competency. (1) An applicant shall apply to take an examination: (a) On the form furnished by the Chief Boiler Inspector; and (b) At least 30 days before the examination date. (2) The applicant shall provide: (a) A description of the applicant's education; (b) A list of the applicant's past and present employers; (c) The dates of the applicant's employment with each employer; (d) The position the applicant held with each employer; and (e) Upon approval of the application by the Chief Boiler Inspector, a $50 examination fee, payable to the Division of Labor and Industry. (3) An individual applying for a Certificate of Competency as a special inspector on the basis of a commission issued by the National Board of Boiler and Pressure Vessel Inspectors shall submit an application: (a) On the form furnished by the Chief Boiler Inspector; and (b) Accompanied by a copy of the commission and valid identification card issued by the National Board. (4) An application containing false information shall be rejected. D. The examination for Certificate of Competency shall: (1) Be written; (2) Cover the construction, installation, operation, maintenance, and repair of boilers and pressure vessels and their appurtenances; (3) Be offered: (a) At the office of the Board of Boiler Rules, or any other location that the Board selects; and (b) On the first Wednesday of March, June, September, and December. E. The chief boiler inspector shall issue a Certificate of Competency to an applicant who: (1) Passes the examination or a subsequent re-examination; and (2) Is a full-time employee of an authorized inspection agency. F. Special Inspector Commission Application Procedure. (1) An authorized inspection agency or an owner-user inspection service employing an individual applying for a special inspector commission shall: (a) Submit a completed application form to the chief boiler inspector, setting forth the following: (i) The applicant's name; (ii) A description of the applicant's education; (iii) A list of the applicant's past and present employers; (iv) The dates of the applicant’s employment with each employer; and (v) The position the applicant held with each employer. (b) Submit with the application for an individual who holds a commission or certificate of competency from a state with an equivalent examination or a commission issued by the National Board, a copy of: (i) The commission or certificate; and (ii) Any valid identification card issued by a state or the National Board. (2) An application containing false information shall be rejected. (3) Upon approval of the special inspector commission by the chief boiler inspector, the authorized inspection agency or owner-user inspection service shall pay a $50 special inspector commission fee, payable to the Division of Labor and Industry. G. Unless the authorized inspection agency or owner-user inspection service complies with the renewal provisions of §H of this regulation, a special inspector commission expires: (1) On the second March 1 after June 1, 2001, for special inspector commissions that were issued before June 1, 2001; (2) On March 1 of the next odd number year after the initial issuance of the special inspector commission; or (3) On March 1 of the next odd number year after renewal of the special inspector commission. H. To renew a special inspector commission, the authorized inspection agency or the owner-user inspection service employing the special inspector shall, at least 30 days before the special inspector commission is scheduled to expire, provide documentation that: (1) The special inspector continues to be certified as a special inspector by the National Board; (2) The special inspector has maintained sufficient proficiency during the past year by experience and training to qualify for renewal of the commission; and (3) The special inspector remains in the employ of the authorized inspection agency or the owner-user inspection service. I. Suspension of Special Inspector Commission. (1) After due investigation and recommendation by the Board of Boiler Rules, the Commissioner may suspend a special inspector commission for: (a) Incompetence; (b) Untrustworthiness; or (c) Willful falsification of information provided: (i) On the application; or (ii) In an inspection report. (2) The Commissioner shall give the inspector and the inspector's employer written notice within 10 days of the suspension. (3) An inspector whose special inspector commission is suspended may: (a) Appeal the suspension to the Board of Boiler Rules; and (b) Be present or be represented by counsel at any hearing of the appeal. J. An applicant who fails an examination may take another examination: (1) After 90 days; and (2) At the next regularly scheduled examination date. #### Regulation .16-1 Authorized Inspection Agency Insurance Requirements. *COMAR 09.12.01.16-1* A. An authorized inspection agency shall have general liability insurance and professional liability insurance to cover its inspection activities. B. An insurance policy required by this section shall be issued by an insurance company authorized to do business in Maryland. C. The insurance policy shall be in the amount of at least $500,000 for injury or death for any number of individuals in any single occurrence, and $100,000 for property damage in any single occurrence. D. The authorized inspection agency shall notify the Commissioner of any alterations or cancellations within 5 business days. #### Regulation .17 Installation. *COMAR 09.12.01.17* A. A new or used boiler, pressure vessel, or piping installation or reinstallation shall be installed in accordance with this chapter. B. Notice of Installation. (1) At least 30 days before installing or reinstalling a boiler or pressure vessel, the installer shall file with the chief boiler inspector written notice of the installation. (2) The notice of installation shall contain the following information for each boiler or pressure vessel to be installed: (a) Installer’s name, company name, contact person, address, telephone number, fax number, and email address; (b) Owner’s name, company name, contact person, street address, telephone numbers, fax number, and email address; (c) User’s name, company name, contact person, street address, telephone numbers, fax number, and email address; (d) Name of the location where the boiler or pressure vessel is installed, company name, contact person, street address, telephone numbers, fax number, and email address; (e) Type and use of boiler or pressure vessel; (f) If a boiler, the type of fuel; (g) If a pressure vessel, the pressurized fluid; (h) The minimum required safety valve capacity; (i) If the boiler or pressure vessel is greater than 30 boiler horsepower input or 1,000,000 Btu/hr minimum required safety valve capacity, and operates at greater than 15 psig, the name and Maryland license number of the stationary engineer responsible for the boiler or pressure vessel; (j) Manufacturer, date of manufacture, National Board number, and manufacturer’s serial number; (k) Construction code and section and stamp; (l) Name and contact information of the authorized inspection agency for the installation; (m) Planned date of installation, and planned date of startup; and (n) Whether a waiver of the 30 day notice requirement under §C of this regulation is requested, with a detailed explanation. C. Waiver of 30-day Notice Requirement. (1) If emergency or unusual circumstances are established by the installer, the chief boiler inspector shall waive the 30-day notice requirement. (2) To obtain a waiver, the installer shall file a written waiver request with the Chief Boiler Inspector as soon as the emergency or unusual circumstances arise; and give a detailed explanation of the emergency or unusual circumstances. (3) If the Chief Boiler Inspector grants a waiver under this section, the Chief Boiler Inspector shall also advise the installer of when the notice is due. D. Except for an existing boiler or pressure vessel being reinstalled, or as otherwise provided by this regulation, a boiler or pressure vessel may not be installed unless: (1) The boiler or pressure vessel has been constructed, inspected and stamped in accordance with the ASME Code and registered with the National Board; (2) The boiler or pressure vessel has been: (a) Constructed, inspected and stamped in accordance with the ASME Code; (b) Inspected and the inspector recommends acceptance; and (c) The Chief Boiler Inspector accepts the inspector’s recommendation; or (3) The boiler or pressure vessel has been constructed equal to or greater than Maryland standards and: (a) The person intending to construct or install the boiler or pressure vessel: (i) Applies to the Chief Boiler Inspector for approval prior to installation; and (ii) Together with the application files the manufacturer’s data report covering construction of the boiler or pressure vessel; (b) An inspector inspects the boiler or pressure vessel during construction and approves the design, materials, fabrication, welding, welding specification, welder’s qualifications, processes and workmanship; and (c) The Chief Boiler Inspector approves the boiler or pressure vessel and its installation. E. Reinstallation. (1) A used boiler or pressure vessel not moved to another state for use, or repair, or alteration may be reinstalled if the: (a) Owner applies to the Chief Boiler Inspector for permission; (b) Owner submits documents required by the Chief Boiler Inspector; and (c) Chief Boiler Inspector approves the reinstallation. (2) A used standard boiler or pressure vessel, if moved outside the state for use, repair, or alteration, may be reinstalled if the: (a) Owner applies to the Chief Boiler Inspector for permission; (b) Owner submits documents required by the Chief Boiler Inspector; and (c) Chief Boiler Inspector approves the reinstallation. (3) A used nonstandard boiler or pressure vessel, if moved outside the State for use, repair or alteration, may be reinstalled in Maryland if the: (a) Owner applies to the Chief Boiler Inspector and the Board for permission; (b) Owner submits documents required by the Chief Boiler Inspector and the Board; and (c) The Board of Boiler Rules approves the reinstallation. (4) Fittings and appliances of a stationary boiler or pressure vessel which is moved and reinstalled shall comply with the requirements for new installations. #### Regulation .18 Lap-Seam Crack. *COMAR 09.12.01.18* A. If a boiler or pressure vessel has a lap-seam crack along a longitudinal riveted joint, use of the shell or drum shall be discontinued immediately. B. If the boiler is not more than 15 years old, a complete new course of the original thickness may be installed upon: (1) Recommendation by the inspector; and (2) Approval of the chief boiler inspector. C. Patching a lap seam crack is prohibited. #### Regulation .19 Portable Boilers and Pressure Vessels. *COMAR 09.12.01.19* A. The installer and owner of a portable boiler or pressure vessel shall comply with all requirements of this chapter. B. While a portable boiler or pressure vessel is being moved, it shall not be operated. C. A portable boiler or pressure vessel shall receive an internal and external certificate inspection: (1) Annually; and (2) After it has been moved to a different location and installed before use. #### Regulation .20 Power Boiler — Existing Installation: Age Limit. *COMAR 09.12.01.20* A. Nonstandard Construction. (1) Except as otherwise provided in this regulation, the age limit of a boiler of nonstandard construction installed before the Act became effective shall be 30 years. (2) A boiler of nonstandard construction installed before the Act became effective, not having a lap-riveted longitudinal joint, may continue to operate for more than 30 years without reduction in working pressure after a: (a) Thorough internal and external inspection; and (b) Hydrostatic pressure test at 1-1/2 times the allowable working pressure, held for a period of at least 30 minutes, during which no distress or leakage develops. (3) A boiler having a lap-riveted longitudinal joint, which operates at a pressure greater than 50 PSI, has an age limit of 20 years. (4) The chief boiler inspector may authorize a reasonable time for replacement, not to exceed 1 year. B. Standard Construction. (1) The age limit of a boiler of standard construction installed before July 1, 1969 shall be determined by a: (a) Thorough internal and external inspection; and (b) Hydrostatic pressure test conducted at 1-1/2 times the maximum allowable working pressure, with water temperature between 70°F and 140°F and not less than the nil ductility temperature of the material. (2) A boiler that exhibits no distress or leakage under test conditions may continue in operation at the same working pressure. C. The shell or drum of a boiler having a lap-seam crack along a longitudinal riveted joint in either a butt seam or a lap joint may not be used under steam pressure. #### Regulation .21 Power Boiler — Existing Installation: Boiler Feed System. *COMAR 09.12.01.21* A. A boiler shall have a feed supply which permits it to be fed at any time while under pressure. B. A boiler having more than 500 square feet of water-heating surface shall have at least two means of feeding, as follows: (1) One means shall be an approved feed pump, injector, or inspirator; (2) The other source may be directly from a water main, at a pressure 6 percent greater than the set pressure of the safety valve having the highest setting. C. A boiler conforming to the ASME Code, PG-61.1, and fired by gaseous, liquid, or solid fuel in suspension may have a single feed supply provided that means are furnished for the immediate shutoff of heat input if the water feed is interrupted. D. Feedwater shall be fed into a boiler so that it will not be introduced: (1) Near a riveted joint of a shell or furnace sheet; or (2) Directly against a surface exposed to: (a) A product of combustion, or (b) Direct radiation from the fire. E. Feed Pipe. (1) Feed pipe shall have a: (a) Check valve near the boiler; and (b) Valve or cock between the check valve and the boiler. (2) When two or more boilers are fed from a common source, the branch to each boiler shall have a valve between the check valve and source of supply. (3) The inlet of a globe valve on a feed pipe shall be under the disc of the valve. F. Returns. (1) When a return is fed back to a boiler by gravity, each return line shall have, as close as practicable to the boiler, a: (a) Check valve; and (b) Stop valve placed between the boiler and the check valve. (2) It is recommended that no stop valve be placed in the supply and return pipe connection of a single boiler installation. G. Deaerating Heater. When a deaerating heater is: (1) Not used, the recommended minimum temperature for feedwater is 120°F to avoid creating localized stress. (2) Used, the recommended minimum feedwater temperature is 215°F, so that dissolved gases can be released completely. #### Regulation .22 Power Boiler — Existing Installation: Maximum Allowable Working Pressure. *COMAR 09.12.01.22* A. The maximum allowable working pressure on a standard boiler shall be determined in accordance with the ASME Code under which it was constructed and stamped. B. The maximum allowable working pressure on the shell of a nonstandard boiler shall be determined by the strength of the weakest section of the structure computed by multiplying TS by t and E and dividing the product by R multiplied by FS: (1) TS = ultimate tensile strength of the shell plate, PSI, which, if unknown, shall be: (a) 55,000 PSI for steel; and (b) 45,000 PSI for wrought iron; (2) t = minimum thickness of the shell plate of the weakest course, in inches; (3) E = efficiency of the longitudinal joint, which is, for: (a) Tube ligaments and riveted construction, established by Section I of the ASME Code for power boilers; and (b) Seamless construction, 100 percent; (4) R = inside radius of the weakest course of the shell, in inches; (5) FS = factor of safety required by this regulation; (6) The resistance to crushing of mild steel is assumed to be 95,000 PSI of cross-sectional area; (7) When computing the ultimate strength of rivets in shear, the following values, in pounds per square inch, of the cross-sectional area of the rivet shank shall be used: (a) Iron rivets in single shear 38,000 PSI; (b) Iron rivets in double shear 76,000 PSI; (c) Steel rivets in single shear 44,000 PSI; and (d) Steel rivets in double shear 88,000 PSI; (8) When the diameter of a rivet hole in a longitudinal joint of a boiler is not known, the diameter and cross-sectional area of the rivet, after driving, shall be: (a) Ascertained by cutting out one rivet in the body of the joint; or (b) As indicated in the following table: C. The maximum allowable working pressure on a: (1) Water-tube boiler having tubes secured to cast iron or malleable-iron headers, or having cast-iron mud drums, shall be 160 PSIG; (2) Cast-iron boiler, except a hot-water boiler, shall be 15 PSIG; (3) Boiler having lap-riveted longitudinal joints, operated at a pressure greater than 50 PSI, when removed from an existing setting and reinstalled, shall be 15 PSIG; and (4) Reinstalled horizontal-return tubular boiler having a continuous longitudinal lap seam more than 12 feet long, shall be 15 PSIG. D. Except as otherwise provided by this regulation, the lowest factor of safety shall be, for: (1) An existing installation: 4.5; (2) A horizontal-return tubular boiler having continuous longitudinal lap seams more than 12 feet long: 8; (3) A reinstalled or secondhand boiler having longitudinal seams of lap-riveted construction: 6; and (4) A reinstalled or secondhand boiler with longitudinal seams of butt and double-strap construction: 5. #### Regulation .23 Power Boiler — Existing Installation: Other Equipment. *COMAR 09.12.01.23* A. Blowoff Connection. (1) A boiler shall have a blowoff pipe, fitted with a valve or cock, connected directly to the lowest water space. The following apply: (a) A cock shall be of the gland or guard type, suitable for the pressure allowed; (b) A globe valve may not be used. (2) Settings. (a) The setting around a blowoff pipe shall permit free expansion and contraction. (b) To the maximum extent practicable, setting openings shall be sealed without restricting the movement of the blowoff piping. (3) Blowoff piping exposed to furnace heat shall be: (a) Protected by firebrick or other heat-resisting material; and (b) Constructed so that the piping can be inspected readily. (4) When the maximum allowable working pressure exceeds 100 PSIG: (a) A blowoff pipe shall have two valves or a valve and cock of at least extra-heavy type; (b) Blowoff piping shall: (i) Be at least extra-heavy non-galvanized steel, and (ii) Run full size without reducers or bushings. (5) A fitting between the boiler and a blowoff valve shall be steel. (6) A replacement blowoff pipe or fitting shall be installed in accordance with the ASME Code requirements for new installations. B. Steam Gage. (1) A steam boiler shall have a steam gage which: (a) Has a dial range of at least 1-1/2 times the maximum allowable working pressure; (b) Is connected to: (i) The steam space or steam connection to the water column, and (ii) A siphon or equivalent device of sufficient capacity to keep the gage tube filled with water; (c) Is arranged so that the gage can be shut off from the boiler only by a cock with a tee or lever handle: (i) Placed near the gage, and (ii) With the handle parallel to the pipe in which it is located, when the cock is open. (2) When a steam gage connection longer than 8 feet is necessary, a shutoff valve near the boiler may be used if the: (a) Valve is: (i) The outside-screw-and-yolk type, and (ii) Locked open; and (b) Line is: (i) Of ample size, and (ii) Permits free blowing. (3) A boiler shall have a 1/4 inch nipple and globe valve: (a) Connected to the steam space; and (b) Used only to attach a test gage while the boiler is in operation, to measure the accuracy of the boiler steam gage. C. Stop Valves. (1) Except for safety valve and water column connections, each steam outlet from a boiler shall have a stop valve as near as practicable to the boiler. (2) Drainage. (a) When a stop valve is located so water can accumulate, ample drains shall be provided. (b) Drainage shall be piped to a safe location and may not be discharged on the top of the boiler or its setting. (3) Common Steam Mains. (a) When boilers having manholes are connected to a common steam main, the steam connection from each boiler shall be fitted with two stop valves having an ample free blow drain between them. (b) The discharge of the drain shall be: (i) Visible to the operator while manipulating the valves; and (ii) Piped clear of the boiler setting. (c) A stop valve arrangement having one automatic non-return valve beside the boiler, and a second valve of the outside-screw-and-yoke-type, is recommended. D. Water Level Indicator. (1) Except for a damper regulator, feedwater regulator, low-water fuel cutout, drain, steam gage, or other apparatus that does not permit the escape of an appreciable amount of steam or water, no outlet connection shall be placed on piping that connects a water column to a boiler. (2) A water column shall have a valved drain of at least 3/4 inch pipe size. (3) The drain shall be piped to a safe location. (4) Gage Cocks. (a) Except as otherwise provided by this regulation, a boiler shall have at least three gage cocks within the visible length of the water glass. (b) A boiler shall have at least two gage cocks if the boiler: (i) Has two water glasses on the same horizontal line; or (ii) Is 36 inches or less in diameter, and has a heating surface of 100 square feet or less. (5) When a water gage glass is more than 30 feet above the boiler operating floor, remote water-level indicating or recording gages installed above the operating floor at eye level are recommended. #### Regulation .24 Power Boiler — Existing Installation: Safety Valve. *COMAR 09.12.01.24* A. A weighted-lever safety valve or a safety valve having a cast iron seat or disc: (1) May not be used after October 15, 1975; and (2) Shall be replaced by a direct, spring-loaded, pop-type valve that complies with the requirements of the ASME Code, Section I. B. A boiler shall have at least one safety valve. C. A boiler shall have at least two safety valves if the boiler has: (1) More than 500 square feet of water-heating surface; or (2) An electric power input of more than 500 kw. D. A safety valve shall be: (1) Connected to the boiler, independent of any other steam connection; (2) Attached: (a) As close as possible to the boiler, without unnecessary intervening pipe or fittings; and (b) With no valve of any type between the safety valve and the boiler; and (3) Installed in a manner that protects walkways and platforms from discharges. E. If an escape pipe is used: (1) There may not be a valve of any type between a safety valve and the atmosphere; (2) It shall be: (a) At least the full size of the safety valve discharge; and (b) Fitted with an open drain to prevent water from lodging in the upper part of a safety valve or escape pipe; (3) If a safety valve escape pipe has an elbow, the: (a) Elbow shall be located near the safety valve outlet; or (b) Escape pipe shall be anchored and supported securely. F. A boiler shall have sufficient safety valve capacity to discharge all steam the boiler can generate without allowing pressure to rise more than: (1) 6 percent above the highest pressure to which any valve is set; and (2) 6 percent above the maximum allowable working pressure. G. Settings. (1) At least one safety valve on a boiler shall be set at or below the maximum allowable working pressure. (2) Additional valves shall be set not more than 3 percent above the maximum allowable working pressure. (3) The range of settings of all safety valves on a boiler may not exceed 10 percent of the highest pressure to which any valve is set. H. When two or more boilers, operating at different pressures and safety valve settings, are interconnected, the lower pressure boilers or interconnected piping shall have safety valves of sufficient capacity to prevent over-pressure, considering the maximum generating capacity of all boilers. I. A boiler supplied with feedwater directly from a water main without the use of feeding apparatus other than a return trap, may not have a safety valve set at a pressure greater than 94 percent of the lowest pressure obtained in the supply main feeding the boiler. J. Relief Capacity. (1) The relief capacity of a safety valve shall be tested by one of the following: (a) An accumulation test (unless the valve is located on a boiler having a superheater or reheater), performed by shutting off all other steam-discharge outlets from the boiler and forcing fires to the maximum. The safety valve relief capacity shall be sufficient to prevent increased pressure in excess of 6 percent of the maximum allowable working pressure. (b) Measuring the maximum amount of fuel that can be burned, and computing the corresponding evaporative capacity on the basis of the heating value of the fuel, as outlined in the appendix of the ASME Code, Section I. (c) Measuring the maximum amount of feedwater that can be evaporated. (2) When either method in §J(1)(b) or (c) is used, the sum of the safety valve capacities shall equal or exceed the maximum evaporative capacity of the boiler. (3) If relief capacity is insufficient, additional valves shall be provided. #### Regulation .25 Power Boiler — Existing Installation: Miscellaneous. *COMAR 09.12.01.25* A. Repair or replacement of a fitting or appliance shall comply with the ASME Code. B. The ASME Code, Section VII, Recommended Guidelines for the Care of Power Boilers, is recommended as a guide for safe operating practices. C. A condition not specifically covered by this regulation: (1) Shall be treated as a new installation; or (2) May be referred to the chief boiler inspector for information about the requirements. #### Regulation .26 Pressure Vessel — Existing Installation. *COMAR 09.12.01.26* A. The maximum allowable working pressure for a standard pressure vessel: (1) Shall be determined in accordance with the ASME Code under which it was constructed and stamped; and (2) May not exceed the pressure shown on the manufacturer's name plate stamp and data report. B. Nonstandard Pressure Vessel—Maximum Allowable Working Pressure. (1) The maximum allowable working pressure on the shell of a nonstandard pressure vessel shall be determined by the strength of the weakest course computed by multiplying TS by t and E and dividing the product by R multiplied by FS: (a) TS = ultimate tensile strength of the shell plate, PSI, which, if unknown, shall be 55,000 PSI for steel, for temperatures not exceeding 700°F; (b) t = minimum thickness of the shell plate of the weakest course, in inches; (c) E = efficiency of the longitudinal joint, which is, for: (i) Riveted joints, the calculated riveted efficiency, and (ii) Fusion-welded and brazed joints: (d) R = radius of the weakest course of the shell, in inches, using the: (i) Inside radius, if the thickness is 10 percent or less of the radius, and (ii) Outside radius, if the thickness is greater than 10 percent of the radius; (e) FS = factor of safety required by this regulation. (2) The maximum allowable working pressure for a cylindrical nonstandard pressure vessel subjected to external or collapsing pressure shall be determined by the ASME Code, Section VIII, paragraphs UG-28 and UG-29. (3) Factor of Safety. (a) For an existing installation, the minimum factor of safety shall be at least four. (b) When necessary to ensure safe operation, the inspector may increase the factor of safety based on the: (i) Condition of the vessel; and (ii) Specific service to which it is subject. (4) The maximum allowable working pressure for formed heads under pressure shall be determined by the: (a) Appropriate formulas from the ASME Code, Section VIII, Division 1, Paragraphs UG-32, UG-33, and UG-35; and (b) Tensile strength and factors of safety set out in this regulation. C. If the inspector determines, because of conditions disclosed during an inspection, that the interior or exterior lining, covering, or brickwork should be removed to expose parts of the vessel not normally visible, the owner shall remove the material to permit: (1) Proper inspection; and (2) Drilling any part of the vessel where necessary to ascertain thickness. D. Safety Appliances. (1) To ensure safe operation, a pressure vessel shall have: (a) Safety and relief valves; and (b) Indicating and controlling devices. (2) Safety appliances shall be constructed, located, and installed so that they cannot readily be rendered inoperative. (3) The relief capacity of a safety valve shall be sufficient to prevent pressure in the vessel from rising more than 10 percent above the maximum allowable working pressure, with static head pressure factored into the calculation. (4) Safety valve discharge shall be carried to a safe place. E. Repairs and replacements of fittings and appliances shall comply with the requirements for new installations. #### Regulation .27 Repair. *COMAR 09.12.01.27* A. All repairs and alterations of boilers and pressure vessels shall conform to the requirements of the NBIC. B. The person performing repairs and alterations on a boiler or pressure vessel shall provide the chief boiler inspector with reports related to the repair as required by Regulation .28 of this chapter. C. The person certifying that the repair or alteration is complete and in accordance with the NBIC shall be a special inspector, deputy boiler, or Chief Boiler Inspector. #### Regulation .28 Reporting Requirements. *COMAR 09.12.01.28* A. Accident or Explosion Report. (1) After an accident or explosion the owner or operator shall notify the chief boiler inspector within 24 hours by email and by telephone. (2) Notification under §A(1) of this regulation shall contain the following information regarding the accident or explosion: (a) Name, address, telephone number, and other contact information of the individual reporting the incident; (b) Location and address of the incident; (c) Date and time of the incident; (d) Description of the incident; (e) Maryland registration number and National Board registration number; (f) Manufacturer, year of manufacture, and serial number; (g) Type of boiler or pressure vessel and maximum allowable working pressure; (h) Injuries including fatalities; and (i) Property damage. (3) A special inspector, immediately upon receiving a report of an accident or explosion, shall notify the chief boiler inspector. (4) Unless necessary to save human life, the owner or operator, or both, shall ensure that the boiler, pressure vessel, or any part of the boiler or pressure vessel is not removed or disturbed before the inspector conducts an inspection. B. An inspector shall file a report of a hazardous condition that affects the safe operation of a boiler or pressure vessel with the Chief Boiler Inspector within 24 hours by email. C. An authorized insurer shall file a report with the Chief Boiler Inspector by email within 24 hours if the insurance policy is cancelled, not renewed, or suspended due to an unsafe condition. D. An authorized insurer shall file a report with the Chief Boiler Inspector by email within 24 hours where the insurance coverage is denied as a result of an inspector’s first inspection. E. Inspection Report. (1) Within 30 days of the inspection date, an authorized inspection agency shall submit to the Chief Boiler Inspector: (a) A report of each certificate inspection; and (b) A report of each inspection of a boiler or pressure vessel that did not have a valid certificate at the time of the inspection. (2) The inspection report shall include at least the following information: (a) Date of the inspection; (b) Maryland registration number; (c) Owner’s identification number; (d) Manufacturer, year of manufacture, National Board registration number, manufacturer’s serial number; (e) Year of installation; (f) Location and address of the boiler or pressure vessel; (g) Name and address of the owner of the boiler or pressure vessel; (h) Name and address of the primary contact of the boiler or pressure vessel; (i) Name and address of the person to whom a certificate should be sent; (j) Name and address of the person to whom an invoice should be sent; (k) Specific location in the plant; (l) Type and use of the boiler or pressure vessel; (m) Whether a variance has been granted and if so, the terms of the variance; (n) ASME symbol stamped on the boiler or pressure vessel; (o) If a boiler, the fuel, the fuel train code, and the firing method; (p) If a pressure vessel, the pressurized fluid; (q) The stamped maximum allowable working pressure and the maximum allowable operating pressure and the set pressure of the pressure relief device; (r) The minimum required capacity of the pressure relief device, and the total installed pressure relief capacity; (s) The status of the boiler or pressure vessel; (t) The inspection type; (u) Whether a certificate is posted; (v) Whether the pressure gage was tested; (w) Whether the inspector recommends that a certificate be issued; (x) Whether a hydrostatic pressure test was performed, and if so, at what pressure; (y) Complete nameplate information or a photograph or rubbing of the nameplate; (z) A statement of the condition of the boiler or pressure vessel, in general and specifically as needed, including violations; (aa) If violations were noted, the recommended corrective action to take; (bb) The name of the owner or owner’s representative to whom the report was explained, with contact information; (cc) The name of the authorized inspection agency; and (dd) The name of the inspector, the inspector’s National Board commission number, and the inspector’s Maryland commission number. (3) An inspection of a historical boiler shall be reported on: (a) National Board Form C-1; and (b) A Maryland inspection report form. (4) Method of Filing an Inspection Report. (a) A report shall be submitted electronically in the format required by the Chief Boiler Inspector, unless to do so would create an undue burden. (b) If a report is not submitted electronically in the format required by the Chief Boiler Inspector it shall be: (i) Submitted on the Maryland inspection report form; and (ii) Subject to a filing fee, payable by the authorized inspection agency. F. An authorized insurer shall file a report of insurance change with the Chief Boiler Inspector within 30 days after an insurance policy is issued, cancelled, not renewed, or suspended for any reason. G. A manufacturer shall file a manufacturer’s data report with the Chief Boiler Inspector through the National Board for each of its boilers and pressure vessels to be operated in Maryland. H. Repair and Alteration Reports. (1) A person performing repairs or alterations on a boiler or pressure vessel shall provide the Chief Boiler Inspector and the owner with a written report of each repair or alteration within 30 days of the completion of the repair or alteration. (2) The repair or alteration report shall include at least the following: (a) Name and address of the company performing the repair or alteration; (b) Owner and location, including the address of the boiler or pressure vessel; (c) Maryland registration number and National Board registration number; (d) Manufacturer and serial number; (e) Description of the repair or alteration; and (f) Completion of certificate of compliance and certificate inspection. I. Inventory Report. (1) Within 3 days of the first day of each month, each authorized insurer shall submit to the Chief Boiler Inspector an inventory report of each boiler and pressure vessel that it insures. (2) Within 3 days of the first day of each month, each owner-user inspection service shall submit to the Chief Boiler Inspector an inventory report of each boiler and pressure vessel it owns. (3) The inventory report shall contain at least the following information about each boiler and pressure vessel: (a) Maryland registration number; (b) Name of the manufacturer, year of manufacture, and National Board number; (c) Manufacturer’s serial number; (d) Owner’s identifying number; (e) Type of boiler or pressure vessel; (f) Location and address of the boiler or pressure vessel; and (g) Name and address of the owner of the boiler or pressure vessel. (4) Method of Filing an Inventory Report. (a) An inventory report shall be submitted electronically in the format required by the Chief Boiler Inspector, unless to do so would create an undue burden. (b) If an inventory report is not submitted electronically in the format required by the Chief Boiler Inspector it shall be subject to a filing fee, payable by the authorized inspection agency. #### Regulation .28-1 Record Keeping. *COMAR 09.12.01.28-1* An owner or user of a boiler or pressure vessel shall maintain a legible copy of inspection, maintenance, repair, and alteration records. A. At a readily accessible central location in the building where the boiler or pressure vessel is located; and B. For the life of the boiler or pressure vessel. #### Regulation .28-2 Database Report of Boilers and Pressure Vessels. *COMAR 09.12.01.28-2* A. An authorized insurer shall develop a database report of boilers and pressure vessels that it insures. B. An owner-user inspection service shall develop a database report of the boilers and pressure vessels it owns. C. The database report required by §§A and B of this regulation shall contain the following information about each boiler and pressure vessel: (1) Maryland registration number and National Board registration number; (2) Name and address of the owner of the boiler or pressure vessel; (3) Location and address of the boiler or pressure vessel; (4) Type of boiler or pressure vessel; (5) Name of the manufacturer and serial number; (6) Date or dates the certificate inspection was completed; (7) Name of the special inspector conducting the inspection; and (8) Last inspection date. D. Submission of Database Report. (1) A copy of the database report required by §§A and B of this regulation shall be submitted to the chief boiler inspector by September 1, 2001. (2) After September 1, 2001, the database report and annual updates to the database report shall be submitted to the chief boiler inspector by January 15 of each year. E. Database reports submitted by an authorized insurer pursuant to §D of this regulation shall reflect all boilers and pressure vessels that the company insures including: (1) Each certificate inspection; and (2) Each time that the authorized insurer adds or drops a boiler or pressure vessel from coverage. F. Filing Reports. (1) Database reports shall be filed by an authorized insurer or owner-user inspection service in an electronic format that is acceptable to the chief boiler inspector. (2) The chief boiler inspector shall notify authorized insurers and owner-user inspection services of the acceptable electronic formats. (3) Database reports not submitted electronically by an authorized insurer or owner-user inspection service shall be submitted on the form provided by the chief boiler inspector. (4) Database reports not submitted electronically by an authorized insurer are subject to the filing fee provisions of Public Safety Article, §12-910(a)(3), Annotated Code of Maryland. #### Regulation .28-3 Quality Assurance Program. *COMAR 09.12.01.28-3* Each authorized inspection agency shall make available for review by the Chief Boiler Inspector, the quality assurance program documents that were submitted to the National Board for accreditation as an authorized inspection agency. #### Regulation .29 Safety Appliance Removal. *COMAR 09.12.01.29* A. When a boiler or pressure vessel is operating, a person may not remove, modify, alter, or repair a safety appliance required by these regulations. B. When a boiler or pressure vessel is not operating and a safety appliance is removed for modification, alteration, or repair the appliance shall be reinstalled in proper working order before the boiler or pressure vessel resumes operation. C. A safety valve may not be loaded to maintain a working pressure greater than the maximum allowable operating pressure. #### Regulation .30 Stamping. *COMAR 09.12.01.30* A. At the first post-installation internal or certificate inspection, the inspector shall assign to a boiler or pressure vessel a Maryland serial number that is: (1) At least 5/16 of an inch in height; (2) Configured as follows: (a) For power boilers MD 0000; (b) For heating boilers MD 0000H; (c) For pressure vessels MD 0000V; (d) For nuclear vessels MD 0000N; and (3) Stamped on: (a) The boiler or pressure vessel, or (b) A metal tag at least 1 inch in height, securely attached to the front of: (i) A low pressure heating boiler constructed of cast iron, or (ii) A pressure vessel constructed of cast iron or other material of a thickness that should not be stamped. B. Unless a record is kept showing the location of stamping so that the stamping can be uncovered readily, stamping: (1) May not be concealed by lagging or paint; and (2) Shall be exposed at all times. C. When a boiler or pressure vessel stamp is indistinct: (1) An inspector shall direct the owner to have the boiler or pressure vessel restamped; (2) The owner shall: (a) Request from the chief boiler inspector permission to restamp, and (b) Submit with the request, proof of the original stamp; and (3) If the chief boiler inspector authorizes restamping, an inspector shall: (a) Observe the restamping, and (b) File with the chief boiler inspector notice of the restamping, and a facsimile of the stamp applied. D. A condemned boiler or pressure vessel shall be stamped with: (1) Letters 5/16 of an inch in height; and (2) The configuration XXX MD XXX. #### Regulation .31 Variance from Regulation. *COMAR 09.12.01.31* A. A person who believes that a regulation is unreasonable or imposes an undue burden on an owner may request the Board of Boiler Rules to grant a variance from that regulation. B. An application for variance shall: (1) Be in writing; (2) Specify the: (a) Name and address of the applicant, (b) Regulation from which the applicant seeks a variance, (c) Location, equipment, and practices involved; (3) State: (a) In detail, the reasons why the applicant requests the variance, and (b) The steps the applicant has taken and will take, with specific dates when appropriate, to protect employees and the public against the hazard covered by the regulation; (4) Certify that the applicant has given appropriate notice of the application to: (a) The applicant's employees affected by the variance, (b) All authorized representatives of the affected employees, and (c) Other persons affected by the condition for which a variance is sought; (5) Include a: (a) Copy or description of the required notice, and (b) List of the names and addresses of persons entitled to notice. C. Order of Variance. (1) After an investigation and such hearing as it may direct, the Board of Boiler Rules may grant a variance from a regulation. (2) An order of variance may impose special conditions necessary to ensure equivalent safety. D. When there is reason to believe, or when a complaint is received, that a variance does not provide safety equivalent to the regulation, the Board of Boiler Rules may continue, suspend, revoke, or modify the conditions specified in a variance order after: (1) Notice to the owner and to the complainant, if any; and (2) Such investigation and hearing as the Board of Boiler Rules may direct. E. A declaration, act, or omission of the Board of Boiler Rules, the chief boiler inspector, a deputy boiler inspector, or a special inspector, other than a written order authorizing a variance in accordance with this regulation, may not exempt an owner from full compliance with this chapter. #### Regulation .32 Vacant *COMAR 09.12.01.32* #### Regulation .33 Model Steam Boilers. *COMAR 09.12.01.33* A. Model steam boilers are subject to the requirements of Regulations .01, .01-1, .05, .08, .09, .14—.16, .19, and .27—.31 of this chapter. B. Repealed. C. A model steam boiler may not be operated in Maryland unless it has a valid: (1) Maryland inspection certificate; or (2) Inspection or operating certificate issued by another state having standards equivalent to the requirements of this regulation. D. Inspection Certificate. (1) Unless sooner suspended or revoked, an inspection certificate expires 1 year from date of issuance. (2) An inspection certificate shall specify the maximum operating pressure of the model steam boiler, determined in accordance with this regulation. E. Initial Test. (1) Before an initial test of a model steam boiler: (a) An owner shall provide the inspector with: (i) Construction drawings, (ii) Material specifications, (iii) Welding and brazing information, (iv) Stress calculations, in accordance with §H of this regulation, (v) The calculated factor of safety, (vi) Requested maximum operating pressure, (vii) The name and qualifications of the manufacturer and assembler, and (viii) The name and qualifications of the designer, if available; and (b) An inspector shall verify that the design of the model steam boiler is in accordance with the documents provided. (2) Before being put into operation, a new model steam boiler shall be tested hydrostatically to a pressure of at least two times the maximum operating pressure. F. Inspection. (1) A model steam boiler shall be tested: (a) Annually; and (b) After repair or modification. (2) An owner requesting an inspection of a model steam boiler shall supply test equipment, including: (a) Water source, pump, pressure lines, and master test gage; and (b) Plugs, gags, or caps to replace safety valves or other appurtenances, if needed to prevent damage by the required test pressure. (3) An inspector: (a) Shall conduct an external inspection and, to the extent possible, an internal inspection, to ascertain the physical condition of the model steam boiler before the hydrostatic test is conducted; (b) Shall witness the hydrostatic test; (c) May require that: (i) A model steam boiler be placed in operation so the inspector can make further observations and check safety valve operation, and (ii) An accumulation test be conducted in accordance with Regulation .24J(1)(a) of this chapter; and (d) If the test is completed successfully, shall sign the test report and file it with the chief boiler inspector. (4) A hydrostatic test: (a) Except as otherwise provided by this regulation, shall be applied at 1-1/2 times the maximum operating pressure; (b) May be conducted using a model steam boiler's feed pump and pressure gage, if the: (i) Range of the gage is sufficient, and (ii) Gage has been calibrated in accordance with this regulation; and (c) May not be approved if the model steam boiler: (i) Shows leakage, bulging or displacement of a sheet, firebox, barrel, or other surface exposed to pressure, or (ii) While pressure is being increased or is at the maximum level, experiences a serious leak, unusual sound, or sudden drop in pressure. G. Equipment. (1) Safety Valve. (a) A model steam boiler shall have two or more safety valves. (b) Each safety valve shall be set at or below the maximum operating pressure. (c) A model steam boiler shall: (i) Have sufficient safety valve capacity to discharge all steam the model steam boiler can generate, without allowing pressure to rise more than 6 percent above the maximum operating pressure; and (ii) Comply with the requirements of the ASME Code, Section I, Paragraph PG-70. (2) Steam Gage. If a steam gage: (a) Has sufficient range: (i) It may be left in place during a test, (ii) A record shall be made of its readings and compared with the master test gage, and (iii) If test readings conflict, the steam gage shall be recalibrated or replaced; (b) Does not have sufficient range for test pressure: (i) The steam gage shall be removed and calibrated with the test gage or with a dead weight tester, and (ii) A test gage shall be used to conduct the test. H. Maximum operating pressure, as designated on the inspection certificate: (1) For a model steam boiler on a locomotive, shall be that necessary to move the locomotive, considering cylinder dimension and weight on driving wheels; (2) For other model steam boilers, shall be that necessary for optimum operation of the engine; and (3) May not exceed the maximum allowable working pressure. I. Maximum Allowable Working Pressure. (1) Maximum allowable working pressure on: (a) The shell of a model steam boiler shall be computed by the formula: (s X t X c)/r = maximum allowable working pressure, PSIG, where: (i) s = maximum allowable material stress, PSI, (ii) t = minimum thickness of the shell wall, in inches, (iii) c = constant, which for a seamless shell shall be 1.0, and for a welded shell shall be 0.8, and (iv) r = outside radius of the shell, in inches; (b) A stayed surface shall be computed by the formula: (t squared X s X c)/p squared = Maximum allowable working pressure, PSIG, where: (i) c = constant, which for welded or silver soldered stay bolts without heads shall be 2.1, and for welded or silver soldered stay bolts with heads shall be 2.8, (ii) p = stay bolt pitch, in inches, using the largest dimension if the spacing is not square, (iii) s = maximum allowable material stress, PSI, and (iv) t = minimum thickness of the wall, in inches; (c) A stay bolt shall be computed by the formula: (a X s)/(h X v) = maximum allowable working pressure, PSIG, where: (i) a = cross sectional area of stay bolt, root of thread, if threaded, in square inches, (ii) h = stay bolt horizontal spacing, in inches, (iii) s = maximum allowable material stress, PSI, and (iv) v = stay bolt vertical spacing, in inches. (2) The calculated factor of safety shall be computed by the formula: ((maximum allowable ASME Code calculated working pressure, PSIG)/(maximum operation pressure, PSIG)) X (ASME Code factor of safety) = calculated factor of safety (3) The maximum allowable material stress shall be, for: (a) Carbon steel: (i) Ultimate tensile strength: 50,000 PSI; (ii) ASME Code factor of safety: 4; (iii) Allowable working stress: 12,500 PSI; and (iv) A temperature allowance is not required for pressures up to 250 PSI. Allowable stress values for pressures above 250 PSI shall comply with the requirements of the ASME Code, Section I, Part PG-23. (b) Copper: (i) Ultimate tensile strength: 30,000 PSI; (ii) ASME Code factor of safety: 5; and (iii) Allowable working stress, with temperature allowance: #### Regulation .34 Historic Boilers. *COMAR 09.12.01.34* A. Except as provided for in this regulation, a historical boiler shall be installed, inspected, operated, repaired, or altered in accordance with the NBIC. B. Inspection. (1) An initial inspection shall be conducted: (a) To determine baseline criteria needed for the operating life of the boiler; (b) In accordance with the requirements outlined in the NBIC; (c) On any boiler not previously inspected in Maryland; and (d) On any boiler which has not received a certificate inspection in Maryland in the previous 2 years. (2) Except as provided in this subsection, a historical boiler shall be inspected at the inspection intervals of the NBIC: (a) An internal inspection shall be conducted annually; (b) An external inspection shall be conducted annually; (c) After a repair or alteration, a historical boiler shall be inspected before operation; and (d) If an inspection detects a condition warranting further investigation, an inspector may require further investigation. (3) Before an inspection, an owner shall, upon request, provide the inspector with: (a) Stress calculations in accordance with this regulation; (b) The calculated factor of safety; (c) Requested maximum allowable operating pressure; (d) The two most recent ultrasonic thickness examination maps; and (e) Any other documentation required by the NBIC. (4) During an inspection, an inspector may: (a) Examine all documents pertaining to the qualifications of the operator; and (b) Assess an operator’s demonstrated understanding of the operational requirements of the historical boiler. C. Hydrostatic Pressure Test. (1) A historical boiler shall be hydrostatically tested to a pressure of not less than the maximum allowable operating pressure but no more than 1-1/4 times the maximum allowable operating pressure. (2) After a repair or alteration, a historical boiler shall be tested hydrostatically to a pressure of not less than 1¼ times the maximum allowable operating pressure but no more than 1½ times the maximum allowable operating pressure. (3) An owner shall supply the necessary test equipment required by the inspector for the hydrostatic test including: (a) Water source, pump, pressure lines, and calibrated test gauge; and (b) Plugs, gags, or caps to replace safety valves or other appurtenances if needed to prevent damage from the required test pressure. D. Maximum Allowable Operating Pressure. (1) The maximum allowable operating pressure shall be determined by the inspector in accordance with the NBIC and ASME Code. (2) The maximum allowable operating pressure for objects containing wrought iron will be determined by considering the following: (a) For pressures up to 250 psi a temperature allowance is not required; and (b) For pressures above 250 psi the allowable stress values shall comply with the requirements of the ASME Code, Section I, Part PG-23. (3) The maximum allowable operating pressure for objects containing materials other than carbon steel or wrought iron shall be determined in accordance with the ASME Code. E. Training. (1) A person who operates a historical boiler shall retain a written record of their training. (2) Upon request, a person who operates a historical boiler shall provide the Chief Boiler Inspector with a copy of their training record. F. Historical boilers with a certificate of inspection issued by another jurisdiction may operate in Maryland under the following circumstances: (1) An owner of a historical boiler may request that the Chief Boiler Inspector recognize a certificate of inspection issued by another jurisdiction; (2) In evaluating a request for recognition of a certification of inspection by the other jurisdiction, the Chief Boiler Inspector may conduct an inspection of a historical boiler to verify: (a) Compliance with the NBIC; and (b) Satisfaction of safety requirements that are equal to or greater than Maryland’s requirements; (3) If the Chief Boiler Inspector conducts an inspection to evaluate a historical boiler with a certificate of inspection from the other jurisdiction, the Chief Boiler Inspector shall examine the following: (a) Verification and validation of the certificate of inspection from the other jurisdiction; (b) Examination of all documents required by this regulation and by the NBIC; (c) Examination of all documents pertaining to the qualifications of the operator; (d) Demonstrated understanding of the operational requirements by the operator of the historical boiler; and (e) Other tests at the discretion of the inspector including but not limited to: (i) An external inspection; (ii) A determination of the maximum allowable operating pressure in Maryland; and (iii) Operation at the maximum allowable operating pressure in Maryland; and (4) If the Chief Boiler Inspector determines that a historical boiler with a certificate of inspection issued by another jurisdiction is in compliance with safety requirements that are equal to or greater than Maryland, the Chief Boiler Inspector shall issue a certificate of inspection. G. A historical portable steam boiler shall not be operated at a pressure greater than: (1) 15 psig when being moved at a speed of 5 miles per hour or less; and (2) Zero psig when being moved at a speed greater than 5 miles per hour. #### Regulation .35 Citations. *COMAR 09.12.01.35* A. If, after an inspection or investigation, the Commissioner finds that, within the immediately preceding 6 months, a person has violated Public Safety Article, Title 12, Subtitle 9, Annotated Code of Maryland, or a regulation or order issued to carry out this law, the Commissioner shall issue a citation to the person. B. Each citation shall: (1) Be in writing; (2) Describe, in detail, the nature of the alleged violation; (3) Cite the provision or provisions of Public Safety Article, Title 12, Subtitle 9, Annotated Code of Maryland, regulation, or order that the person is alleged to have violated; (4) Set a reasonable time for correction of the alleged violation; (5) State the proposed civil penalty, if any, that the Commissioner intends to impose; and (6) Inform the person of the right to a hearing under §E of this regulation. C. The Commissioner shall serve the citation on each named person by: (1) Certified mail, return receipt requested; or (2) Personal delivery, if the person serving the document certifies to the manner and date of service. D. A person who receives a citation shall: (1) Upon receipt of the citation, post the citation, or an unedited copy, conspicuously at or near each place where the citation alleges that a violation occurred; (2) Post the citation, or an unedited copy, conspicuously at its place of business where: (a) Notices to employees are usually posted; and (b) Notices to the public are usually posted; (3) Ensure that the posted citation is not: (a) Removed; (b) Altered; (c) Defaced; or (d) Covered; and (4) Ensure that the citation remains posted for the later of: (a) The time the violation described in the citation is corrected; or (b) 3 workdays. E. Within 15 workdays after a person receives notice of a citation under §C of this regulation, the person may submit to the Commissioner a written request for a hearing on the citation or proposed civil penalty. F. Unless a person requests a hearing as provided in §E of this regulation, a citation, including a notice of a proposed civil penalty, is considered a final order. G. The Commissioner, or the Commissioner’s designee, shall give notice of a hearing and hold the hearing under §E of this regulation in accordance with State Government Article, Title 10, Subtitle 2, Annotated Code of Maryland, as supplemented by Regulation .09 of this chapter. H. A person shall correct each violation for which the Commissioner issues a citation within the time set for correction in the citation or a final order under this chapter. #### Regulation .36 Penalties. *COMAR 09.12.01.36* A. The Commissioner may impose a civil penalty, not exceeding $1,000 for each violation, against a person who violates Public Safety Article, Title 12, Subtitle 9, Annotated Code of Maryland, or a regulation or order issued to carry out this law, if: (1) The violation involves recordkeeping, notice, filing, access, or posting requirements; (2) An inspection is not conducted on time; or (3) The Commissioner finds that the violation is less than serious. B. The Commissioner may impose a civil penalty, not exceeding $2,500 for each violation, against a person who violates Public Safety Article, Title 12, Subtitle 9, Annotated Code of Maryland, or a regulation or order issued to carry out this law, if a substantial probability of death, serious physical injury, or serious damage to property exists because of the violation, unless the person did not know and with reasonable diligence could not have known of the violation. C. The Commissioner may impose a civil penalty, not exceeding $5,000 for each violation, against a person who: (1) Operates a boiler or pressure vessel without a certificate of inspection from the Commissioner; (2) Operates a boiler or pressure vessel that has been prohibited from use; or (3) Willfully or repeatedly violates Public Safety Article, Title 12, Subtitle 9, Annotated Code of Maryland, or a regulation or order issued to carry out this law. D. Before the Commissioner imposes a civil penalty, the Commissioner shall consider the appropriateness of the penalty in relation to: (1) The size of the business of the person against whom the penalty is to be imposed; (2) The nature or gravity of the violation for which the penalty is to be imposed; (3) The good faith of the person; and (4) Any previous violations by the person. E. The Commissioner may impose a civil penalty, not exceeding $1,000 for each day a violation continues, against a person who fails to correct the violation in the time set for its correction. F. Each civil penalty shall be paid into the General Fund of the State. #### Regulation .37 Miniature Boilers. *COMAR 09.12.01.37* A. Miniature boilers are exempt from the requirements of CSD-1, except that they shall have: (1) An emergency shut-off switch located outside of the main point of access and egress to the boiler room, unless the installer can establish that this location would allow access by the general public that could be detrimental to the operation of the boiler; and (2) A lockable service disconnect. B. Control and safety devices for miniature boilers shall comply with: (1) The code under which they were constructed and stamped; and (2) The recommendations and requirements in the manufacturer's installation manual. C. If a conflict between §B(1) and (2) of this regulation occurs, the code under which they were constructed and stamped shall be followed. #### Regulation .38 Kitchen Equipment Boilers. *COMAR 09.12.01.38* A. Kitchen equipment boilers are exempt from the requirements of CSD-1, except that they shall have: (1) An emergency shut-off switch located outside of the main point of access and egress to the kitchen, unless the installer can establish that this location would allow access by the general public that could be detrimental to the operation of the boiler; and (2) A lockable service disconnect. B. Control and safety devices for kitchen equipment boilers shall comply with: (1) The code under which they were constructed and stamped; and (2) The recommendations and requirements in the manufacturer's installation manual. C. If a conflict between §B(1) and (2) of this regulation occurs, the code under which they were constructed and stamped shall be followed. ### Chapter 02 — Equal Pay for Equal Work **Administrative History:** Effective date: **Administrative History:** Regulations .01—.02 adopted as an emergency provision effective November 4, 2008 (35:24 Md. R. 2068); emergency status extended at 36:13 Md. R. 897; emergency status expired October 20, 2009 ### Chapter 03—10 — *VACANT* ### Chapter 11 — Fee Charging Employment Agencies **Authority:** Business Regulation Article, §9-204, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—16 effective April 4, 1973 **Administrative History:** Regulations .02 and .05 repealed, and .04, .09, .16—.18, and .22 amended effective February 13, 1984 (11:3 Md. R. 199) **Administrative History:** Regulations .17—.22 effective April 16, 1975 (2:8 Md. R. 564) **Administrative History:** Regulation .22 amended effective September 14, 1977 (4:19 Md. R. 1467) **Administrative History:** Regulation .23 adopted effective September 14, 1977 (4:19 Md. R. 1467) **Administrative History:** Chapter revised effective August 8, 1988 (15:16 Md. R. 1913) #### Regulation .01 Definitions. *COMAR 09.12.11.01* A. The following terms have the meanings indicated. B. Terms Defined. (1) “Applicant” means a person, employed or unemployed, who either seeks employment or enters into an arrangement concerning employment through an employment agency. “Applicant” does not include either a person applying for an employment agency license or a prospective employee for an employment agency. (2) “Commissioner” means the Commissioner of Labor and Industry, or a duly designated representative. (3) “Employer” means any person, firm, corporation, partnership, or association that employs or seeks to enter into an arrangement to employ any person through an employment agency. (4) “Method of payment” means the specific procedure for paying the employment agency's placement fee after placement is made. (5) “Permanent placement fee” means the net fee charged by an employment agency for any placement after discounts or other fee reductions allowed by the agency. #### Regulation .02 Out-of-State Agency. *COMAR 09.12.11.02* A. Any out-of-State employment agency shall obtain an employment agency license and bond if the agents, managers, or counselors act as an employment agency in this State. B. This regulation applies to an out-of-State employment agency operating from either a permanent or a temporary place of business within the State. #### Regulation .03 Providing Copies of the Law. *COMAR 09.12.11.03* An employment agency shall provide each general manager and counselor with a current copy of the employment agency law and regulations. #### Regulation .04 Contracts. *COMAR 09.12.11.04* Each contract that an employment agency submits to an applicant shall: A. Be printed in 6-point type size or larger; and B. State: (1) "Employment shall be considered to be temporary when within 90 days after employment commences the employment is terminated through 'no fault' of the applicant, or the employment is voluntarily terminated by the applicant with 'just cause.' A temporary placement fee may be charged to any such applicant for such temporary employment, such fee not to exceed twenty (20) percent of the total compensation received or seventy-five (75) percent of the permanent placement fee for the same position, whichever is the lesser. (2) In bold face capital letters above signature line: “I HAVE READ AND UNDERSTAND THE ABOVE CONTRACT AND HAVE RECEIVED A DUPLICATE OF THE CONTRACT.” (3) In a prominent place on the first page, “Licensed and regulated by the Commissioner of Labor and Industry, State of Maryland, telephone number, area code (301) 333-4211”. (4) The method of payment. In the event the employee is discharged 'for cause' or voluntarily leaves employment without 'just cause' within 90 days after employment commences, a fee not to exceed 75% of the permanent placement fee may be charged to any such applicant. " #### Regulation .05 Fee Statement. *COMAR 09.12.11.05* An employment agency shall provide to each applicant a separate document clearly stating the: A. Fee amount; B. Annual interest percentage rate; and C. Amount of any service charge or interest. #### Regulation .06 Records. *COMAR 09.12.11.06* A. Each employment agency shall maintain a record of services provided to each employer and applicant. B. Each record shall: (1) Be maintained for a period of 2 years; (2) Contain the following: (a) The name and address of the employer and the applicant; (b) A description of the positions: (i) Offered by the employer, and (ii) Accepted by the applicant; (c) The wage or salary of the position accepted by the applicant; (d) The permanent or temporary placement fee; (e) The amount and date of any fee payment; (f) The amount and date of any fee refund and the reason for it; and (g) If the position accepted is not permanent, its expected duration. #### Regulation .07 Third Party Representative. *COMAR 09.12.11.07* A. When an employer requests a third party representative to recommend an individual for employment in the same, similar, or other affiliated place of employment, and the representative requests an employment agency to refer applicants to be interviewed, the representative shall be considered the agent of the employer. B. The request to the employment agency is considered to be a bona fide job order from the employer. #### Regulation .08 Refunds. *COMAR 09.12.11.08* A. An employment agency shall comply with the provisions concerning placement fee refunds set forth in Business Regulation Article, §9-318, Annotated Code of Maryland. B. When the Commissioner of Labor and Industry orders a refund to be made by an employment agency to an applicant, the refund shall be made within 14 calendar days from the date of the order. #### Regulation .09 Fee Payment. *COMAR 09.12.11.09* A. When an applicant is referred to the same position or employer by two employment agencies, the fee shall be paid to the employment agency which was instrumental in securing the position. B. An applicant who accepts an employer fee-paid position may be held liable for the fee only: (1) Upon employer non-payment; and (2) If the employment agency notified the applicant of the potential liability either in the contract or in a separate memorandum presented before the applicant accepted the position. #### Regulation .10 Prohibited Solicitations and Inducements. *COMAR 09.12.11.10* An employment agency may not solicit, persuade, or induce: A. After receiving a fee, any applicant to leave any employment in which the employment agency has placed the applicant; or B. An employer to discharge an employee placed by the employment agency. #### Regulation .11 Special Services Agreement. *COMAR 09.12.11.11* A. An employment agency may negotiate a separate agreement with an employer for special services regarding: (1) Recruitment; (2) Search; (3) Screening; (4) Referrals; and (5) Placement. B. Any separate agreement may not violate the law or these regulations. #### Regulation .12 Job Order Number. *COMAR 09.12.11.12* An employment agency shall: A. Assign each employee fee-paid or employer fee-paid position a job order number; B. Include the job order number assigned to the position in: (1) Any advertisement, and (2) The file of the order; and C. Maintain job orders in numerical sequence by job order number. #### Regulation .13 Employment Counselor's License. *COMAR 09.12.11.13* A person licensed as an employment counselor by the Commissioner shall: A. Display the license in a prominent place at the employment agency where the counselor is employed; and B. When acting in the capacity of an employment counselor, use only the name in which the license is issued. #### Regulation .14 Rules of Procedure for Hearings. *COMAR 09.12.11.14* A. This regulation supplements the requirements of State Government Article, §10-208, Annotated Code of Maryland. B. Hearing Procedure. (1) During a hearing, a party in interest may make any relevant statement or argument either directly or through counsel. (2) Presiding Officer. (a) “Presiding officer” means the Commissioner or an individual authorized to conduct a hearing. (b) The presiding officer shall: (i) Call the title of the case; (ii) Briefly explain the purpose and nature of the hearing; (iii) Recite any charge, complaint, or other matter involved; (iv) Receive stipulations entered into by the parties; and (v) Administer the oath to all persons who are summoned or intend to testify. (c) The presiding officer may examine any witness. (3) Counsel for any interested party or a party may raise and address any preliminary objection, exception, or motion. (4) The following exhibits shall be introduced: (a) If the presiding officer is a designee, a copy of the letter designating the individual to preside at the hearing; (b) A copy of the petition, complaint, or other matter involved in the hearing; and (c) A copy of the notice of hearing. (5) Presentation of Evidence. (a) “Presentor” means the assistant attorney general assigned to present evidence. (b) The presentor shall introduce information obtained as a result of any investigation caused to be made by the Commissioner of Labor and Industry. (c) Subject to applicable statutes and rules governing the practice of law, each party or counsel representing a party or presentor may: (i) Present, examine, and cross-examine witnesses; and (ii) Offer nontestimonial evidence. C. Decision and Order. (1) If the presiding officer at the hearing is a designee, the presiding officer shall make findings of fact and file them with the Commissioner. (2) The Commissioner shall issue a decision and order containing: (a) Findings of fact based on evidence presented at the hearing; (b) Conclusions of law applying law to factual findings; and (c) An order disposing of the case. (3) A copy of the decision and order shall be served on each party or the party's counsel of record. ### Chapter 12—19 — *VACANT* ### Chapter 20 — Occupational Safety and Health **Authority:** Labor and Employment Article, §§2-106(b)(4), 5-212, 5-213, 5-312, and 5-702, Annotated Code of Maryland **Administrative History:** Effective date: July 5, 1993 (20:13 Md. R. 1047) **Administrative History:** Regulation .03H adopted effective October 23, 2006 (33:21 Md. R. 1675) **Administrative History:** Regulation .05D adopted effective July 17, 2006 (33:14 Md. R. 1163) **Administrative History:** Regulation .07 amended effective February 25, 2008 (35:4 Md. R. 513) **Administrative History:** Regulation .08 amended effective October 23, 1995 (22:21 Md. R. 1615) **Administrative History:** Regulation .15A, E amended effective April 16, 2012 (39:7 Md. R. 490) **Administrative History:** Regulation .19 amended effective October 23, 1995 (22:21 Md. R. 1615) **Administrative History:** Regulation .19 repealed as an emergency provision effective February 12, 2002 (29:5 Md. R. 499); repealed permanently effective May 13, 2002 (29:9 Md. R. 744) **Administrative History:** Regulation .21 adopted effective October 20, 1997 (24:21 Md. R. 1448) #### Regulation .01 Definitions. *COMAR 09.12.20.01* A. In this chapter and COMAR 09.12.21 and 09.12.22, the following terms have the meanings indicated. B. Terms Defined. (1) “Act” means the Maryland Occupational Safety and Health Act, Labor and Employment Article, Title 5, Annotated Code of Maryland. (2) “Establishment” means: (a) A single physical location where business is conducted or where services or industrial operations are performed; and (b) Each distinct activity, where distinctly separate activities are performed at a single physical location. (3) Inspection. (a) “Inspection” means an inspection of an employer's factory, plant, establishment, construction site, other area, workplace, or environment where work is performed by an employee of an employer. (b) “Inspection” includes: (i) Complaint inspection; (ii) Reinspection; (iii) Followup inspection; (iv) Accident investigation; or (v) Other inspection conducted under the Act. (4) “Inspector” means an individual authorized by the Commissioner to conduct an occupational safety and health inspection under Labor and Employment Article, §5-208, Annotated Code of Maryland. (5) Work Days. (a) “Work days” means Mondays through Fridays, excluding State holidays. (b) “Work days” does not include the day a notice is received. #### Regulation .02 Posting Notice and Copies of the Act. *COMAR 09.12.20.02* A. An employer shall post a notice, available from the Commissioner, which informs employees: (1) Of the protections and obligations provided for by the Act; and (2) That for assistance and information, including copies of the Act and of specific occupational safety and health standards, to contact the employer or the Commissioner. B. Location. (1) An employer shall post the notice in: (a) Each establishment; and (b) A conspicuous place where employee notices are customarily posted. (2) An employer shall ensure that when: (a) Distinctly separate activities are performed at a single physical location, each activity is treated as a separate physical establishment and a separate notice is posted in each establishment; (b) Employers are engaged in activities which are physically dispersed, the notice is posted at the location to which employees report each day; and (c) Employees do not usually work at, or report to, a single establishment, the notice is posted at the location from which the employees operate to carry out their activities. C. An employer shall ensure that the notice is kept posted and not altered, defaced, or covered by other material. D. If an employer has obtained a copy of the Act and of the regulations and applicable occupational safety and health standards, the employer shall, upon request, make them available to any employee or authorized employee representative for review in the establishment where the employee is employed: (1) On the same day the request is made; or (2) At the earliest mutually convenient time to the employee or authorized employee representative and the employer. #### Regulation .03 Inspection Procedures. *COMAR 09.12.20.03* A. Authority For Inspection. An inspector is authorized to: (1) Conduct inspections in accordance with §5-208 of the Act; and (2) Review: (a) Records required by the Act, and by regulations and occupational safety and health standards adopted under the Act; and (b) Other records which are directly related to the purpose of the inspection. B. Objection to Inspection. (1) If an employer refuses to permit an inspector to conduct an inspection in accordance with the Act and applicable regulations and standards, the inspector shall: (a) Terminate the inspection, or confine the inspection to the area, machine, apparatus, condition, device, equipment, material, structure, record, or interview concerning which no objection is raised; (b) Attempt to ascertain the reason for the refusal; and (c) Immediately report the refusal and the reason for the refusal to the supervisor. (2) The supervisor shall immediately consult with the Commissioner or the Commissioner's authorized representative. (3) The Commissioner or the Commissioner's authorized representative shall promptly take appropriate action, including compulsory process, if necessary. C. Waiver. (1) An employer may not condition the conduct of an inspection upon a waiver of a cause of action, citation, or penalty under the Act. (2) An inspector may not grant a waiver. D. Conduct of Inspections. (1) Subject to the provisions of this regulation, an inspector shall conduct an inspection at the time and place directed by the Commissioner or the Commissioner's authorized representative. (2) Opening Conference. At the beginning of an inspection, an inspector shall: (a) Present the inspector's credentials to the owner, operator, or agent in charge of the establishment; (b) Explain the nature and purpose of the inspection; and (c) Indicate generally: (i) The scope of the inspection, (ii) The records which the inspector wants to review, and (iii) That the designation of specific records does not preclude access to additional records. (3) An inspector may: (a) Take environmental samples; (b) Take or obtain photographs relating to the purpose of the inspection; (c) Question privately an employer, owner, operator, agent, or employee at an establishment; and (d) Employ other reasonable investigative techniques, including but not limited to: (i) Using devices to measure employee exposures, and (ii) Attaching personal sampling equipment, such as a dosimeter, pump, badge, or other similar device, to an employee in order to monitor exposures. (4) An inspector shall: (a) Comply with all safety and health rules and practices at the establishment being inspected; (b) Wear appropriate protective clothing and use appropriate protective equipment; and (c) Take reasonable precaution to ensure that: (i) When taking pictures and using sampling equipment, the equipment used does not pose a hazard, and (ii) The operation of the employer's establishment is not unreasonably disrupted. (5) Closing Conference. At the conclusion of an inspection, the inspector shall: (a) Confer with the employer or the employer's representative, and informally advise the employer of any apparent safety or health violation disclosed by the inspection; and (b) Provide the employer the opportunity to bring to the attention of the inspector pertinent information regarding conditions in the workplace. E. Representatives of Employers and Employees. (1) An inspector shall: (a) Be in charge of inspections and of questioning persons; and (b) Provide an opportunity for a representative of the employer and a representative chosen by employees to accompany the inspector during the physical inspection of a workplace for the purpose of aiding the inspection. (2) An inspector may permit: (a) Additional employer or employee representatives to accompany the inspector, if the inspector determines that the additional representatives will further aid the inspection; (b) A different employer and employee representative to accompany the inspector during each phase of an inspection if this does not interfere with the conduct of the inspection. (3) If there is no representative chosen by employees, or if the inspector is unable to determine with reasonable certainty who is the representative, the inspector shall consult with a reasonable number of employees concerning matters of safety and health in the workplace. (4) Except as noted in §E(5) of this regulation, the representative chosen by employees shall be an employee of the employer. (5) If the inspector determines that the inclusion of a third party, such as an industrial hygienist or a safety engineer, who is not an employee of the employer is reasonably necessary to conduct an effective and thorough physical inspection of the workplace, the inspector may permit that individual to participate in the inspection. (6) An inspector may deny the right of accompaniment to an individual whose conduct interferes with a fair and orderly inspection. (7) The right of accompaniment in areas containing trade secrets is subject to the provisions of §F of this regulation. (8) With regard to information classified by an agency of the United States Government in the interest of national security, only an individual authorized to have access to the information may accompany the inspector. F. Trade Secrets. (1) At the beginning of an inspection, the employer may identify an area in the establishment which contains or which might reveal a trade secret. (2) If the inspector has no clear reason to question the identification of the area as involving a trade secret, the inspector shall ensure that all information obtained in the identified area, including negatives and prints of photographs and environmental samples, is: (a) Labeled “confidential—trade secret”; and (b) Not disclosed, except in accordance with the provisions of §5-217 of the Act. (3) Employee Representative. (a) Upon the request of an employer, the employee, or a representative chosen by employees to accompany the inspector in an area containing trade secrets, shall be an employee in that area or an employee authorized by the employer to enter the area; (b) If there is no representative or employee, the inspector shall consult with a reasonable number of employees who work in the area concerning matters of safety and health. G. Consultation With Employees. (1) An inspector may consult with employees concerning matters of occupational safety and health to the extent the inspector considers necessary for the conduct of an effective and thorough inspection. (2) During the course of the inspection, employees shall be afforded the opportunity to bring to the attention of the inspector any violation of the Act which the employees have reason to believe exists in the workplace. H. An employer shall provide the inspector with correct and truthful information including, but not limited to, company name, mailing address, federal employer identification number or other assigned identification number, and company ownership information, such as corporation, partnership, or sole owner. #### Regulation .04 Complaints by Employees. *COMAR 09.12.20.04* A. Complaint Inspection. (1) If upon receipt of a complaint, the Commissioner or the Commissioner's authorized representative determines that the complaint meets the requirements in §5-209(a) of the Act and that there are reasonable grounds to believe that a threat or danger exists, the Commissioner or the Commissioner's authorized representative shall cause an inspection to be made as soon as practicable, to determine if the threat or danger exists. (2) Inspections under this section are not limited to matters referred to in the complaint. B. Before or during an inspection of a workplace, an employee or representative chosen by employees employed in the workplace may notify in writing the Commissioner or the Commissioner's authorized representative, in accordance with §5-209(b) of the Act, of any violation of the Act which the employee or representative of employees has reason to believe exists in the workplace. C. Inspection Not Warranted. (1) If the Commissioner or the Commissioner's authorized representative determines that an inspection is not warranted because there are no reasonable grounds to believe that a violation, threat, or danger exists with respect to a complaint under §5-209 of the Act, the Commissioner or the Commissioner's authorized representative shall notify the complaining party in writing of the determination. (2) The complaining party may obtain review of a determination by submitting a written statement of position to the Commissioner or the Commissioner's authorized representative, and, at the same time, providing the employer with a copy of the statement by certified mail. (3) The employer may submit an opposing written statement of position to the Commissioner or the Commissioner's authorized representative, and, at the same time, shall provide the complaining party with a copy of the statement by certified mail. (4) Upon request of the complaining party or the employer, the Commissioner, at the Commissioner's discretion, may convene an informal conference and permit the complaining party and the employer to present their positions orally. (5) After considering all the positions, both written and oral, the Commissioner shall: (a) Affirm, modify, or reverse the determination; and (b) Furnish the complaining party and the employer with written notification of the decision and the reason for the decision. D. Failure to Meet Requirements of the Act. (1) If the Commissioner or the Commissioner's authorized representative determines that an inspection is not warranted because a complaint does not meet the requirements of §5-209(b) of the Act, the Commissioner or the Commissioner's authorized representative shall notify the complaining party in writing of this determination. (2) The determination shall be without prejudice to the filing of a new complaint meeting the requirements of the Act. #### Regulation .05 Protection of Employees Under §5-604 of the Act. *COMAR 09.12.20.05* A. Employee Rights. With regard to §5-604 of the Act, the exercise of “a right under this title” includes a right: (1) Explicitly provided in the Act, such as the right to participate as a party in an enforcement proceeding; (2) Which exists by necessary implication, including the right of an employee to: (a) Request information from the Commissioner, or (b) Be interviewed by an inspector in the course of an inspection or investigation. B. Refusal to Perform a Job. Although the Act affords an employee no general right to refuse to perform a job because of potential unsafe conditions at the workplace, the protections of §5-604 of the Act apply when: (1) An employee: (a) Is confronted with a choice between not performing an assigned task or being subjected to serious injury or death arising from a hazardous condition at the workplace, (b) Has no reasonable alternative, and (c) Refuses in good faith to expose himself or herself to the dangerous condition; and (2) The condition causing the employee's apprehension of death or injury is of such a nature that a reasonable individual, under the circumstances then confronting the employee, would conclude that: (a) There is a real danger of death or serious injury, (b) There is insufficient time, due to the urgency of the situation, to eliminate the danger through resort to regular MOSH statutory enforcement channels or to seek the assistance of another public agency which has responsibility in the field of safety and health, and (c) The employee, if possible, has sought correction of the dangerous conditions from the employer, and has been unable to obtain a correction. C. Other Refusals. Except in the circumstances detailed in §B(1) and (2) of this regulation, the protections of §5-604 of the Act generally do not apply when an employer disciplines an employee for refusing to perform normal job activities because of alleged safety or health hazards. D. Complaints. With regard to §5-604(b) of the Act, a “complaint under or related to this title” includes but is not limited to: (1) A request for inspection under §5-209; (2) Complaints regarding conditions at the workplace registered with the Commissioner, with a federal, State, or local agency with authority regarding occupational safety and health conditions, or with such an agency that the employee, in good faith, believes has authority regarding occupational safety and health conditions; and (3) Complaints regarding conditions at the workplace made in good faith to an employer, management supervisor, or other employee serving in a supervisory capacity. #### Regulation .06 Imminent Danger. *COMAR 09.12.20.06* A. In this regulation, “imminent danger” means a condition or practice which exists in a place of employment that reasonably could be expected to cause death or serious physical harm: (1) Immediately; or (2) Before the imminence of the danger can be eliminated through the enforcement procedures otherwise provided by the Act. B. When an inspector concludes on the basis of an inspection that an imminent danger exists, the inspector shall inform the affected employees and employer: (1) Of the danger; and (2) That the inspector may recommend to the Commissioner that relief be sought in accordance with the provisions of §5-216 of the Act. C. Appropriate citations and notices of proposed penalties may be issued with respect to an imminent danger even if, after notification from the inspector, the employer immediately eliminates the imminence of the danger and initiates steps to abate the danger. #### Regulation .07 Issuance of a Citation and Notice of De Minimis Violations. *COMAR 09.12.20.07* A. In this regulation, the following terms have the meanings indicated. B. Terms Defined. (1) “Controlling employer” means the employer who is responsible, by contract or through actual practice, for safety and health conditions on the worksite, whether or not its own employees are exposed, such as an employer who has the authority for ensuring that hazardous conditions are corrected. (2) “Correcting employer” means the employer who has the responsibility for actually correcting the hazard, whether or not its own employees are exposed. (3) “Creating employer” means the employer who actually created the hazard through its action or inaction, whether or not its own employees are exposed. (4) “Exposing employer” means the employer whose employees are exposed to the hazard or have access to the hazard. C. After an inspection, the Commissioner or the Commissioner's authorized representative shall review the inspector's inspection report. D. If, on the basis of the report, the Commissioner or the Commissioner's authorized representative is of the opinion that the employer has violated a provision of the Act, or of a standard, regulation, or an order promulgated under the Act, the Commissioner or the Commissioner's authorized representative shall issue to the employer either: (1) A citation; or (2) For a violation which has no direct or immediate relationship to safety or health, a notice of de minimis violations. E. Issuance of Citations. (1) On multiemployer worksites, more than one employer may be cited for a hazardous condition that violates a provision of the Act or of a standard, regulation, or order promulgated under the Act. (2) The following employers may be cited: (a) The exposing employer; (b) The creating employer; (c) The controlling employer; and (d) The correcting employer. F. An appropriate citation or notice of de minimis violations may be issued even if, after being informed of an alleged violation by the inspector, the employer immediately abates, or initiates steps to abate, the alleged violation. G. The citation shall note that the issuance of a citation is not a finding that a violation of the Act has occurred unless: (1) There is a failure to contest as provided for in the Act; or (2) If contested, the citation is affirmed by the Commissioner. H. Complaint Inspections. (1) After an inspection conducted in response to a request for inspection under Regulation .04A(1) of this chapter or a notification of violation under Regulation .04B of this chapter: (a) If a citation is issued, a copy of the citation or notice of de minimis violations shall be sent to the employee or employee representative who made the request; and (b) If a determination is made that a citation is not warranted with respect to a danger or violation alleged to exist, the Commissioner or the Commissioner's authorized representative shall notify the complaining party and the employer in writing of the determination. (2) When a determination is made that a citation is not warranted under §H(1)(b) of this regulation: (a) The informal review procedures in Regulation .04C(2)—(4) of this chapter are applicable; (b) After considering all views presented in an informal review under Regulation .04C of this chapter, the Commissioner or the Commissioner's authorized representative may: (i) Affirm the determination; (ii) Order a reinspection; or (iii) Issue a citation if the Commissioner believes that the inspection disclosed a violation. (3) The Commissioner or the Commissioner's authorized representative shall furnish the complaining party and the employer with written notification of the Commissioner's determination and the reason for it. I. The citation shall include any notice of proposed penalty. #### Regulation .08 Posting of Notices and Citations. *COMAR 09.12.20.08* A. Posting of Citations. (1) Upon receipt of a citation issued under the Act, an employer shall immediately post the citation, or an unedited copy, at or near the place the alleged violation referred to in the citation occurred, or if, because of the nature of the employer's operations, this is not practicable, in a prominent place readily observable to affected employees. (2) When employers are engaged in activities which are physically dispersed, the citation may be posted at the location where the employees operate to carry out their activities. (3) An employer shall take steps to ensure that a citation is not: (a) Altered; (b) Defaced; or (c) Covered by other material. (4) An employer is not required to post a notice of de minimis violations. (5) A citation, or a copy of it, shall remain posted for the later of: (a) The time the violation was abated; or (b) 3 work days. (6) The filing by an employer of a notice of intent to contest under Regulation .09 of this chapter does not affect the employer's posting responsibility. B. Posting Notice of Contest. (1) In the same location where a citation is posted, an employer may post a notice indicating that the citation is being contested before the Commissioner. (2) The notice may state the: (a) Reasons for contest; and (b) Steps that have been taken to abate the violation. C. Posting of Notices. (1) Upon receipt of a notice concerning a pending case, including a notice of hearing, an employer shall immediately post, where citations are required to be posted, a: (a) Copy of the notice; and (b) Notice informing affected employees of their right to participate in any proceeding in the notice. (2) A notice shall remain posted until: (a) The proceeding stated in the notice begins; or (b) Earlier disposition. D. Posting of a Memorandum of Settlement. A memorandum of settlement shall be posted in the same manner as required by this regulation for the posting of citations and notices. #### Regulation .09 Employer and Employee Contests. *COMAR 09.12.20.09* A. “Notice of contest” includes a notice of intent to contest. B. Notification. (1) An employer to whom a citation has been issued may, in accordance with §5-213 of the Act, notify the Commissioner in writing that the employer contests the citation or proposed penalty. (2) The notice of contest shall be postmarked within 15 work days of the receipt by the employer of the citation. (3) A notice of contest shall specify if it is directed to the citation, to the proposed penalty, or to both. C. Notice from Employee. (1) An employee or representative of employees may, in accordance with §5-213(b) of the Act, file with the Commissioner or the Commissioner's authorized representative a written notice alleging that the period of time provided for in the citation for the abatement of the violation is unreasonable. (2) The notice shall be postmarked within 15 work days of the issuance of the citation. #### Regulation .10 Failure to Correct a Cited Violation. *COMAR 09.12.20.10* A. If an inspection discloses that an employer has failed to correct a cited violation within the period permitted for its correction, the Commissioner or the Commissioner's authorized representative shall notify the employer by certified mail, or by personal service by an inspector, of this failure and the additional penalty proposed under §§5-213(d) and 5-809(d) of the Act for the failure. B. An employer receiving a notification of failure to correct a violation and proposed additional penalty may notify in writing, in accordance with §5-213(d) of the Act, the Commissioner or the Commissioner's authorized representative that the employer intends to contest the alleged failure to correct the violation, and proposed additional penalty, or both. C. The notice of contest shall be postmarked within 15 work days of the receipt by the employer of the notification of failure to correct a violation and proposed additional penalty. D. A notification of failure to correct a violation and proposed additional penalty shall state that it is a final order, unless a notice of contest in accordance with this regulation is filed. #### Regulation .11 Informal Conferences. *COMAR 09.12.20.11* A. At the request of an affected employer, employee, or representative of employees, the Commissioner or the Commissioner's authorized representative may hold an informal conference to discuss issues raised by the inspection, citation, proposed penalty, or notice of contest. B. If the employer requests a conference, the Commissioner or the Commissioner's authorized representative may, at the discretion of the Commissioner, afford affected employees or a representative of employees an opportunity to participate. C. If an employee or representative of employees requests a conference, the Commissioner or the Commissioner's authorized representative may, at the discretion of the Commissioner, afford the employer an opportunity to participate. D. A party may be represented by counsel at a conference. E. Neither the request for a conference nor the conference shall operate as a stay of the 15-work-day period for filing a notice of contest under Regulation .09 of this chapter. #### Regulation .12 Penalties. *COMAR 09.12.20.12* A. Scope. This regulation applies to the assessment of civil penalties by the Commissioner under Labor and Employment Article, §§5-809 and 5-810, Annotated Code of Maryland, in all cases arising from inspections conducted on and after the effective date of this regulation. B. Definition. In this regulation, “Commissioner” means: (1) The Commissioner of Labor and Industry; (2) The Commissioner's authorized representative; or (3) A person acting pursuant to a delegation of authority from the Commissioner of Labor and Industry. C. In assessing a penalty for a violation of the law, a regulation, or an order, the Commissioner shall consider the following factors in accordance with this regulation: (1) Gravity of the violation for which the penalty is to be assessed; (2) Good faith of the employer; (3) Existence and quality of a safety and training program; (4) Injury and illness experience of the employer; (5) The extent to which the existence of the violation was known to the employer, but remained not corrected; (6) History of violations by the employer; (7) Extent to which the current violation is part of a recurrent pattern of the same or similar type of violation; (8) Size of the business of the employer against whom the penalty is to be assessed; and (9) Actual harm to human health, including injury or illness. D. Gravity-Based Penalty. (1) Gravity. (a) Based on the gravity of a violation, the Commissioner shall assess up to $5,000. (b) The Commissioner shall determine the amount to assess for the gravity of the violation by considering the: (i) Severity of the most serious injury or illness that is reasonably predictable from the hazard; and (ii) Probability that an injury or illness will arise from a hazard. (c) The Commissioner shall assign each hazard a severity assessment and a probability assessment in accordance with this regulation. (2) Severity Assessment. The Commissioner shall assign the most serious injury or illness which is reasonably predictable from the safety or health hazard cited, a severity assessment of 1 to 10 as follows: (a) Death, injuries, or illness involving permanent disability or a chronic, irreversible condition—severity factor of 8 to 10; (b) Injuries or temporary, reversible illnesses resulting in hospitalization, or a variable but limited period of disability—severity factor of 5 to 7; (c) Injuries or temporary, reversible illnesses not resulting in hospitalization and requiring only minor supportive treatment—severity factor of 2 to 4; and (d) Hazard violation characterized as other-than-serious—severity factor of 1. (3) Probability Assessment. (a) Probability for Safety or Health Hazards When Samples are not Taken. For a safety or health hazard when samples are not taken, the Commissioner shall determine the probability that an injury or illness will arise from the apparent violation by assigning a value of 1 to 10 to each of the following factors: (i) The number of employees exposed, with a value of 1 being the lowest number of employees exposed; (ii) The frequency of exposure, with a value of 1 being the lowest frequency; (iii) The proximity of the employee to the zone of danger, with a value of 1 being the lowest proximity; and (iv) Working conditions, with a value of 1 being conditions least likely to contribute to injury or illness. (b) Probability for Safety and Health Hazards When Sampling is Conducted. For a safety or health hazard when sampling is conducted, the Commissioner shall determine the probability that an injury or illness will arise from the hazard by considering: (i) The number of employees exposed with a value of 1 being the lowest number of employees exposed; (ii) The duration of exposure with a value of 1 being the lowest duration of exposure; (iii) The use of appropriate personal protective equipment with a value of 1 being the lowest; and (iv) If applicable, an evaluation of the medical surveillance program. (c) Probability Assessment. The Commissioner shall total factors assigned pursuant to §D(3)(a) or (b) of this regulation and divide by the number of factors considered to determine the probability assessment. (4) Gravity Assessment. The Commissioner shall determine the gravity-based penalty for each violation by adding the severity assessment and the probability assessment, dividing by 2, and multiplying the quotient by $500. E. Penalty Adjustment Factors. (1) The Commissioner may reduce the gravity-based penalty on the basis of an employer's good faith, size of business, and history in accordance with §§F—H of this regulation. (2) The Commissioner shall calculate the penalty adjustment factor only once for each employer, after the gravity-based penalty has been determined for each violation and the general character of the employer's performance is apparent. F. Good Faith. (1) Based on the degree of employer good faith, the Commissioner may reduce the gravity-based penalty by a maximum of 25 percent. (2) The Commissioner shall consider the following in determining whether to reduce the gravity-based penalty based on an employer's good faith factor: (a) The existence and quality of a safety and health program and a training program, that: (i) Provides for appropriate management commitment and employee involvement, (ii) Provides for worksite analysis for the purpose of hazard identification, (iii) Provides for hazard prevention and control measures, (iv) Provides for employee training and instruction relative to the hazards of the work being performed, including hazard communication, lockout-tagout, hazardous materials and emergency responses, safety and health programs for construction, and trenching and excavation, and (v) Has deficiencies that are only incidental; (b) The injury and illness experience of the employer; (c) The level of supervision and of employer concern and knowledge about safety and health requirements; (d) The extent to which the employer knew of the violation and failed to take action to correct it; and (e) Employer action to abate an apparent violation or mitigate exposure during the inspection. G. History. (1) Based on an employer's history of violations, the Commissioner may reduce the gravity-based penalty by a maximum of 10 percent. (2) The Commissioner shall consider the following in determining whether to reduce the gravity-based penalty based on an employer's history: (a) Nature and extent of the employer's history of prior MOSH violations; and (b) Extent to which the violation at issue is part of a recurrent pattern of the same or similar type of violation. H. Size. (1) “Size” means peak employment at all of an employer's establishments and work locations during the 12-month period preceding a violation. (2) Based on the size of an employer, the Commissioner may reduce a gravity-based penalty by a maximum of 60 percent in accordance with the following schedule: (a) 1 to 25 employees, maximum 60 percent reduction; (b) 26 to 100 employees, maximum 40 percent reduction; (c) 101—250 employees, maximum 20 percent reduction; and (d) 251 or more employees, no reduction. I. Actual Harm to Human Health, Including Injury or Illness. (1) Based on the actual harm to human health or well-being, arising from a hazard, the Commissioner shall assess up to $2,000. (2) The Commissioner shall determine the amount to assess for the actual harm factor by considering the degree and nature of actual harm to an employee. (3) The Commissioner may not apply an adjustment factor to a penalty assessed for actual harm. J. Penalty Assessment. (1) In determining the total penalty to assess for a violation, the Commissioner shall comply with this section. (2) For a serious violation, the Commissioner shall: (a) Determine the gravity-based penalty; (b) Reduce the gravity-based penalty by the penalty adjustment factor; and (c) Add to the adjusted gravity-based penalty any assessment for actual harm. (3) For an other-than-serious violation, when the Commissioner determines to issue a penalty, the Commissioner shall assess the penalty by first determining the gravity-based penalty and adjusting it by the appropriate penalty adjustment factor, and then adding any assessment for actual harm. (4) Willful Violation. (a) When an employer willfully violates the law, a regulation, or an order, the Commissioner shall: (i) Determine the gravity-based penalty; (ii) Reduce the gravity-based penalty by the penalty adjustment factor determined for the employer; (iii) Add any assessment for actual harm; and (iv) Multiply the sum by 10. (b) If the penalty determined under §J(4)(a) of this regulation is less than $5,000, the Commissioner shall propose a penalty of $5,000. (5) When an employer repeatedly violates the law, a regulation, or an order, the Commissioner shall: (a) Determine the gravity-based penalty; (b) Reduce the gravity-based penalty by the penalty adjustment factor established for the employer; (c) Add any actual harm assessment; and (d) Multiply the total by: (i) 2, for the first repeat; (ii) 4, for the second repeat; (iii) 6, for the third repeat; and (iv) 10, for the fourth repeat. (6) In negotiating a bona fide settlement of a citation, the Commissioner may adjust a penalty assessed in accordance with this regulation in a manner appropriate under the relevant statutory factors and the facts and circumstances of the case. #### Regulation .13 Hearings — General. *COMAR 09.12.20.13* A. Application. (1) This regulation supplements the notice and hearing requirements of the Administrative Procedure Act—Contested Cases, State Government Article, Title 10, Subtitle 2, Annotated Code of Maryland. (2) In the event of a conflict with COMAR 28.02.01, the provisions set forth in this chapter control the conduct of a hearing conducted under the Act. B. Discovery. Except as required by State Government Article, Title 10, Subtitle 2, Annotated Code of Maryland, discovery, including a request for production of documents, interrogatories, and depositions, is not allowed. C. Service. (1) A party may be served with a document by: (a) Personal delivery; or (b) Mail sent to the last known address of the party. (2) A person serving a document shall certify to the manner and date of service. D. Notice of Hearing. (1) The Commissioner shall serve notice of a hearing on all parties at least 10 days before the hearing, and ensure that the notice conforms to State Government Article, Title 10, Subtitle 2, Annotated Code of Maryland. (2) When the Commissioner appoints a hearing examiner to hold a hearing under this chapter, the Commissioner or the Commissioner's authorized representative shall provide to the hearing examiner a copy of the notice of hearing, together with the citation and notice of contest or any written request for hearing. E. Subpoena. (1) On application of a party, the hearing examiner assigned the case shall immediately issue a subpoena requiring the: (a) Attendance and testimony of a witness; and (b) Production of evidence, including relevant books, records, correspondence, or documents in the possession or under control of the person subpoenaed. (2) An application for subpoena may be made ex parte. (3) A subpoena shall show on its face the name and address of the party requesting the subpoena. (4) A hearing examiner shall recommend to the Commissioner that proceedings be initiated to enforce the subpoena, if: (a) A person fails to comply with a subpoena; and (b) In the hearing examiner's opinion, the testimony of the witness is material to the proceedings. F. Parties. (1) Employee. (a) An affected employee may elect to participate as a party by filing a written request for party status with the hearing examiner. (b) A request for party status shall be filed: (i) Before the hearing begins; or (ii) For good cause shown, at a later date. (c) If a hearing examiner denies a request for party status: (i) An employee may file with the Commissioner a written request for review of the denial; and (ii) The Commissioner immediately shall review the request. (2) Employer. If an employee files a notice of contest challenging the reasonableness of the period for abatement of a violation, the employer responsible for abating the violation may elect party status at any time before the hearing begins. (3) Representatives of Parties. (a) A party may appear in person or through a representative. (b) An affected employee represented by an authorized representative may appear only through the representative. (c) A party may withdraw the appearance of its representative by: (i) Filing a written notice of withdrawal; and (ii) Serving a copy of the notice on each party. (d) A representative of a party shall control all matters affecting the party's interest in the proceeding. G. Postponement. (1) Postponement of a hearing generally is not allowed. (2) Except in the case of an emergency or in unusual circumstances, a request for postponement may not be considered unless it is received in writing by the Commissioner or the hearing examiner at least 3 work days before the date set for the hearing. (3) A postponement of more than 30 days is not allowed without the approval of the Commissioner. H. Failure to Appear. (1) Except as otherwise provided by this section, if a party filing a notice of contest fails to appear at a hearing of which that party has notice, the failure is considered: (a) A waiver of the hearing; and (b) Except for a hearing on a motion or other procedural matter, a withdrawal of the notice of contest. (2) When a failure to appear at a hearing is considered a withdrawal of the notice of contest, the: (a) Hearing examiner shall promptly serve on all parties notification that the notice of contest is considered to have been withdrawn; and (b) Party filing the notice of contest has 15 work days from receipt of the notice of withdrawal to request the notice of contest be reinstated. (3) A request for reinstatement: (a) Shall be filed in writing with the Commissioner; and (b) May be granted by the Commissioner only upon a showing of good cause for the failure to appear for hearing. I. Record of Hearing. A hearing, including a hearing on a motion, shall be recorded word for word. #### Regulation .14 Hearings — Prehearing Conference. *COMAR 09.12.20.14* A. A party may request a prehearing conference with the assistant attorney general assigned to the case to: (1) Exchange information; (2) Attempt to resolve or narrow the issues; or (3) Discuss settlement of a case. B. Request for Prehearing Conference. (1) A party who seeks a prehearing conference shall: (a) Request a prehearing conference well in advance of the scheduled hearing; and (b) Direct the request to the assistant attorney general assigned to the case. (2) Unless all parties agree, a prehearing conference may not be held less than 10 days after the parties receive the notice of the conference. (3) A scheduled hearing generally may not be postponed to allow the parties to have a prehearing conference. C. Upon receipt of a request for a prehearing conference, the assistant attorney general assigned to the case shall: (1) Schedule a conference for the earliest practicable time that is at least 10 days after the parties receive notice of the conference; and (2) Serve on all parties a notice of the conference. D. Notice of Prehearing Conference. (1) A notice of prehearing conference shall: (a) State the date, time, and place of the conference; and (b) Inform affected employees of their right to participate in the conference. (2) Upon receipt of a notice of prehearing conference, an employer shall: (a) Post the notice conspicuously at or near each place where a citation shall be posted; and (b) Keep the notice posted until the conference begins. (3) At a prehearing conference, the assistant attorney general shall verify that: (a) All parties were notified of the conference; and (b) The notice was posted as required by this chapter. E. If the prehearing conference results in an agreement between the parties that resolves or simplifies an issue or otherwise affects the conduct of the formal hearing, the agreement shall be stated on the record at the beginning of the hearing. #### Regulation .15 Hearings — Conduct of Hearing. *COMAR 09.12.20.15* A. Powers and Duties of Hearing Examiner. (1) A hearing examiner shall: (a) Conduct a fair and impartial hearing to: (i) Fully elicit all the facts, (ii) Adjudicate all issues, and (iii) Avoid delay; and (b) Exclude evidence which is irrelevant, immaterial, or unduly repetitious. (2) Subject to applicable laws and regulations, a hearing examiner may: (a) Administer oaths and affirmations; (b) Rule on offers of proof and procedural matters; (c) Postpone, continue, or reschedule a hearing; (d) Regulate the course of a hearing, including the conduct of parties, their representatives, and witnesses; (e) Receive relevant evidence; (f) Accept a stipulation or agreed statement of facts if all parties agree to its admission; (g) Admit an affidavit as evidence in place of testimony, if the matters in the affidavit are otherwise admissible and if all parties agree to its admission; and (h) Take other action authorized by the Act, regulations adopted under the Act, or the Administrative Procedure Act, State Government Article, Title 10, Subtitle 2, Annotated Code of Maryland. (3) A hearing examiner may not grant a motion to dismiss, a motion for judgment, or any other dispositive motion without the concurrence of all parties. B. A hearing examiner shall: (1) Call the title of the case; (2) Briefly explain the purpose and nature of the hearing; and (3) Administer the oath to all who will testify. C. Preliminary Matters. Counsel or a party may address a preliminary matter, exception, or motion. D. Order of Testimony. (1) In a citation case, the presenter of evidence shall proceed first and shall present all evidence. (2) In an abatement case, the employer or the employer's representative shall proceed first. E. Oral Argument and Briefs. (1) On request of a party before the close of a hearing, the hearing examiner shall allow each party a reasonable time at the close of the hearing, for oral argument. (2) 2Post hearing briefs are permitted if the hearing examiner determines that there is a need for guidance on an unresolved question of law. #### Regulation .16 Hearings — Determination and Review. *COMAR 09.12.20.16* A. Within a reasonable time after the hearing examiner has heard and considered all evidence, written briefs, and memoranda, the hearing examiner shall: (1) Issue a written determination which: (a) Is dated, (b) Summarizes testimony and exhibits, (c) Is the hearing examiner's final disposition of the proceedings, and (d) Comports with the Act, regulations adopted under the Act, and State Government Article, §10-214, Annotated Code of Maryland; and (2) Serve a copy of the determination on each party; and (3) Return all documents and exhibits to the Commissioner. B. The determination of the hearing examiner shall become the final order of the Commissioner unless, in accordance with the Act: (1) The employer, or an employee or representative of an employee, requests a review; or (2) The Commissioner orders a review. C. Review of Proceedings Before the Commissioner. (1) A request for review filed by an affected employer, or an employee or representative of an employee, shall: (a) Be in writing; (b) Contain a concise statement identifying each portion of the hearing examiner's determination for which a review is requested; (c) Be filed with the Commissioner within 15 work days after the date of the hearing examiner's determination; and (d) Be mailed by the requesting party to all other parties to the proceeding. (2) Affected parties have the opportunity to present argument to the Commissioner. (3) Order of the Commissioner. (a) After review of the proceedings with or without a hearing, the Commissioner shall: (i) Issue an order based on findings of fact; (ii) Mail copies of the order to all affected parties. (b) The Commissioner's order shall: (i) Affirm, modify, or vacate the citation or proposed penalty, or direct other appropriate relief; and (ii) Become final 15 days after it is issued. #### Regulation .17 Variances. *COMAR 09.12.20.17* A. Effect of Variance. A variance granted under the Act and regulations adopted under the Act has only future effect. B. Temporary Variance. (1) Application. (a) An affected employer seeking a temporary variance shall file with the Commissioner, or the Commissioner's authorized representative, an application for variance before the effective date of the regulation or part of a regulation for which the temporary variance is sought. (b) In addition to the requirements of §5-320 of the Act, an application for temporary variance shall be in writing and shall specify: (i) The name and address of the applicant; (ii) The address of each place of employment for which a variance is sought; (iii) If the applicant seeks a hearing on the application, a request for hearing; (iv) A statement of the facts the applicant would show to establish that the applicant is unable to comply with a regulation by its effective date because necessary professional or technical personnel or material and equipment are unavailable, or necessary construction or alteration of facilities cannot be completed by the effective date; and (v) A description of how the employer provided the notice required by §5-321(a) of the Act. (2) Interim Order. (a) An applicant for an order for temporary variance may also request an interim order of variance. (b) A request for interim order may include a statement of facts and arguments as to why an interim order should be granted. (c) The Commissioner may rule ex parte on an application for interim order. (d) If the Commissioner grants an interim order, the Commissioner shall: (i) Serve the order on the applicant and each other party; and (ii) Require as a condition of the order that the applicant give notice of the interim order to affected employees by the same means used to inform employees of the application for variance. (e) If the Commissioner denies the interim order, the Commissioner shall: (i) Give prompt notice of the denial; and (ii) Provide a brief statement of the grounds for the denial. C. Permanent Variance. An application for permanent variance shall be in writing and shall specify: (1) The name and address of the applicant; (2) The address of each place of employment for which a variance is sought; (3) If the applicant seeks a hearing on the application, a request for hearing; (4) A description of the conditions, means, methods, practices, processes, or operations used or proposed to be used by the applicant; (5) A statement showing how the conditions, means, methods, practices, processes, or operations used or proposed to be used would make employment and places of employment at least as safe and healthful for employees as they would be if the applicant complied with the regulation or standard from which the permanent variance is sought; (6) A description of how the employer provided the notice required by §5-321(b) of the Act; and (7) A certification that the employer has informed its employees of the application by: (a) Giving a copy of the application for permanent variance to its employees or their authorized representative, (b) Posting the application, or a statement summarizing the application and specifying where a copy may be examined, at each place where notices to employees normally are posted, and (c) Other appropriate means. D. Notice of Application for Variance. (1) Upon receipt of a proper application for variance, the Commissioner shall publish in the Maryland Register a notice of the filing of the application. (2) The notice shall: (a) Accurately summarize the application; (b) Specify the regulation or part of a regulation for which a variance is requested; (c) Invite interested persons to submit, within a specified period of time, written data or recommendations regarding the application; and (d) Inform affected employers, employees, and interested persons affected by the application of the right to request a hearing on the application. E. Modification and Revocation. (1) Application. An application filed by an affected employer or employee for modification or revocation of a permanent variance shall be in writing and shall specify: (a) The name and address of the applicant; (b) A description of the relief sought; (c) A statement setting forth with particularity the grounds for the relief; (d) If the applicant seeks a hearing on the application, a request for hearing; (e) If the applicant is an employer, a certification that the employer has informed its affected employees of the application as required by this regulation; and (f) If the applicant is an affected employee, a certification that the employee has furnished a copy of the application to the employer. (2) The Commissioner may modify or revoke a permanent variance at any time, on the Commissioner's own initiative and after a hearing, after: (a) Informing the affected employer and employees of the Commissioner's intention and of their right to request a hearing; and (b) Affording affected employers and employees an opportunity to submit written data or arguments regarding the proposal. #### Regulation .18 Adoption, Amendment, or Repeal of a Regulation. *COMAR 09.12.20.18* A. An interested person may file with the Commissioner a petition for the adoption, amendment, or repeal of a regulation or standard. B. A petition shall be in writing and shall: (1) Identify the regulation proposed for adoption, amendment, or repeal; (2) State the reasons for the proposal; and (3) State the intended effect of the proposal. #### Regulation .19 Repealed. *COMAR 09.12.20.19* #### Regulation .20 Petition for Modification of Abatement Date. *COMAR 09.12.20.20* A. An employer may file a petition for modification of abatement date (PMA) when the employer has: (1) Made a good faith effort to comply with the abatement requirements of a citation; and (2) Not completed abatement because of factors beyond the employer's reasonable control. B. Content. A PMA shall be in writing and shall state: (1) The actions the employer has taken in an effort to achieve compliance during the prescribed abatement period and the date of each action; (2) The specific additional abatement time necessary in order to achieve compliance; (3) The reason the additional time is necessary, including the: (a) Unavailability of: (i) Professional or technical personnel, or (ii) Materials and equipment; or (b) Inability to complete, by the original abatement date, necessary construction or alteration of facilities; (4) The available interim steps being taken to safeguard the employees against the cited hazard during the abatement period; (5) A certification that a copy of the PMA has been: (a) Posted; and (b) If appropriate, served on the authorized representative of affected employees; and (6) A certification of the date upon which the petition was posted and service was made. C. Filing. (1) A PMA shall be filed with the Assistant Commissioner not later than the close of the next work day following the date on which abatement was originally required. (2) An employer filing a PMA after the date set forth in §C(1) of this regulation shall include with it a statement setting forth the circumstances for the delay. (3) The Assistant Commissioner may accept a late-filed PMA only if exceptional circumstances lead to the delay. D. Posting and Service. (1) The employer shall post a copy of the PMA in a conspicuous place: (a) Where affected employees will have notice; or (b) Near the location where the violation occurred. (2) The PMA shall remain posted for at least 10 work days. (3) When affected employees have an authorized representative, the employer shall serve the representative with a copy of the petition. E. Filing of Objections. (1) Affected employees or their representatives may file an objection to the PMA in writing with the Assistant Commissioner. (2) The objection shall be filed within 10 work days of the date that the PMA was: (a) Posted; or (b) Served upon an authorized representative. (3) Failure to file a timely objection constitutes a waiver of any further right to object to the petition. F. Assistant Commissioner. (1) The Assistant Commissioner has the authority to approve any PMA filed under this regulation. (2) The Assistant Commissioner may not grant a PMA until the expiration of 15 work days from the date the employer complies with §D of this regulation. G. Objections and Denials. (1) When either an affected employee objects to, or the Assistant Commissioner denies approval of, a PMA, the PMA, citation, and any objection shall be forwarded to the Commissioner within 3 work days after the expiration of the 15-day period set forth in §F(2) of this regulation. (2) The Commissioner shall treat a PMA so forwarded in the same manner as a contested case involving a citation. H. Burden of Proof. To obtain modification of an abatement period, the employer filing a PMA has the burden of proving that it: (1) Made a good faith effort to comply with the abatement requirements of the citation; and (2) Has not completed abatement because of factors beyond its control. #### Regulation .21 Abatement Verification. *COMAR 09.12.20.21* A. In this regulation, the following terms have the meanings indicated: (1) “Abatement” means action by an employer to: (a) Comply with a cited standard or regulation; or (b) Eliminate a recognized hazard identified by MOSH during an inspection. (2) “Abatement date” means: (a) For an uncontested citation item, the later of the date: (i) In the citation for abatement of the violation, (ii) Approved by MOSH or established in litigation as a result of a petition for modification of the abatement date (PMA), or (iii) Established in a citation by an informal settlement agreement; and (b) For a contested citation item for which the Commissioner has issued a final order affirming the violation, the later of the date: (i) Identified in the final order for abatement, (ii) Computed by adding the period allowed in the citation for abatement to the final order date, or (iii) Established by a formal settlement agreement. (3) “Affected employees” means those employees who are exposed to a hazard identified as a violation in a citation. (4) “Final order date” means: (a) For an uncontested citation item, the 15th working day after the employer's receipt of the citation; and (b) For a contested citation item: (i) The 15th day after the date on which a proposed order of a hearing examiner has been docketed with the Commissioner, unless the Commissioner has directed review or an employee, or representative of an employee or employer whom the proposed order affects has requested review, (ii) When review has been directed or requested, the 15th day after the date on which the Commissioner issues the final order disposing of all or a pertinent part of a case, or (iii) The date on which a circuit court issues a decision affirming the violation in a case in which a final order of the Commissioner has been stayed. (5) “Moveable equipment” means a hand-held or non-hand-held machine or device, powered or unpowered, that is used to do work and is moved within or between worksites. B. Abatement Certification. (1) Except as provided in §B(2) of this regulation, within 10 calendar days after the abatement date, the employer shall certify to the Commissioner or the Commissioner's authorized representative that each cited violation has been abated. (2) The employer is not required to certify abatement if, during the on-site portion of the inspection, the Commissioner or the Commissioner's authorized representative: (a) Observes, within 24 hours after a violation is identified, that abatement has occurred; and (b) Notes in the citation that abatement has occurred. (3) In addition to the information required by §G of this regulation, the employer's certification that abatement is complete for each cited violation shall include: (a) The date and method of abatement; and (b) A statement that affected employees and their representatives have been informed of the abatement. C. Abatement Documentation. (1) The employer shall submit to the Commissioner or the Commissioner's authorized representative the following: (a) The information on abatement certification required by §B(3) of this regulation; and (b) The requisite documentation: (i) Demonstrating that abatement is complete for each willful or repeat violation, and (ii) For a serious violation for which the Commissioner or the Commissioner's authorized representative indicates in the citation that this abatement documentation is required. (2) Documents demonstrating that abatement is complete may include, but are not limited to: (a) Evidence of the purchase or repair of equipment; (b) Photographic or video evidence of abatement; or (c) Other written records. D. Abatement Plans. (1) Except for an other-than serious violation, the Commissioner or the Commissioner's authorized representative may require an employer to submit an abatement plan for the cited violation when the time permitted for abatement is more than 90 calendar days. (2) When an abatement plan is required: (a) It shall be indicated on the citation; (b) The employer shall submit an abatement plan for the cited violation within 25 calendar days from the final order date; and (c) The abatement plan shall identify the violation and the steps to be taken to achieve abatement, including: (i) A schedule for completing abatement, and (ii) When necessary, how employees will be protected from exposure to the violative condition in the interim until abatement is complete. E. Progress Reports. (1) An employer who is required to submit an abatement plan may also be required to submit periodic progress reports for the cited violation. (2) The citation shall indicate: (a) If a periodic progress report is required and the citation item for which it is required; (b) The date on which an initial progress report shall be submitted, which shall be at least 30 calendar days after submission of an abatement plan; (c) Whether additional periodic progress reports are required; and (d) The dates on which additional progress reports shall be submitted. (3) For a violation, the periodic progress report shall identify, in a single sentence if possible, the: (a) Action taken to achieve abatement; and (b) Date action was taken. F. Employee Notification. (1) The employer shall inform affected employees and their representatives about abatement activities covered by this regulation by posting, near the place where the violation occurred, a copy or summary of the document submitted to the Commissioner or the Commissioner's authorized representative. (2) If this posting does not effectively inform employees and their representatives about abatement activities, the employer shall: (a) Post the document or a summary of the document in a location where it will be readily observable by affected employees and their representatives; or (b) Take other steps to communicate fully to affected employees and their representatives about abatement activities. (3) The employer shall inform employees and their representatives of their right to examine and copy all abatement documents submitted to the Commissioner or the Commissioner's authorized representative. (4) An employee or an employee representative shall submit a request to examine and copy abatement documents within 3 working days of receiving notice that the documents have been submitted. (5) The employer shall comply with an employee's or employee representative's request to examine and copy abatement documents within 5 working days of receiving the request. (6) The employer shall ensure that notice to employees and employee representatives is provided at the same time or before the information is provided to the Commissioner or the Commissioner's authorized representative and that abatement documents are: (a) Not altered, defaced, or covered by other material; and (b) Remain posted for 3 working days after submission to the Commissioner or the Commissioner's authorized representative. G. Transmitting Abatement Documents. (1) The employer shall include, in the submission of required abatement documents, the following: (a) The employer's name and address; (b) The inspection number to which the submission relates; (c) The citation and item numbers to which the submission relates; (d) A statement that the information submitted is accurate; and (e) The signature of the employer or the employer's authorized representative. (2) Date of Submission. The date of submission for: (a) Mailed documents is the date of postmark; and (b) Documents transmitted by means other than by mail is the date the Commissioner receives the document. H. Moveable Equipment. (1) For serious, repeat, and willful violations involving movable equipment, the employer shall attach a warning tag or a copy of the citation to the operating controls or to the cited component of equipment that is moved within the worksite or between worksites. (2) The employer shall use a warning tag that properly warns employees about the nature of the violation involving the equipment and identifies the location of the citation issued. (3) If the violation has not already been abated, the warning tag or copy of the citation shall be attached to the equipment: (a) For hand-held equipment, immediately after the employer receives the citation; or (b) For non-hand-held equipment, before moving the equipment within or between worksites. (4) For the construction industry, a tag that is designed and used in accordance with 29 CFR §§1926.20(b)(3) and 1926.200(h), is deemed to meet the requirements of this section when the information required by §H(2) of this regulation is included on the tag. (5) The employer shall ensure that the tag or copy of the citation attached to movable equipment: (a) Is not altered, defaced, rendered illegible, or covered by other opaque material; (b) Is made of materials which will withstand the environmental conditions encountered in the workplace; and (c) Remains attached until the: (i) Violation has been abated and all abatement certification documents required by this regulation have been submitted to the Commissioner or the Commissioner's authorized representative, (ii) Cited equipment has been permanently removed from service or is no longer within the employer's control, or (iii) Commissioner issues a final order vacating the citation. ### Chapter 21 — Employee Injury and Illness Records and Reports **Authority:** Labor and Employment Article, §§2-106(b)(5), 5-312, and 5-702—5-704, Annotated Code of Maryland **Administrative History:** Effective date: July 5, 1993 (20:13 Md. R. 1047) **Administrative History:** Regulation .09A amended effective January 15, 1996 (23:1 Md. R. 23) **Administrative History:** Regulation .09B amended effective August 29, 1994 (21:17 Md. R. 1439) **Administrative History:** Regulation .10 adopted effective June 30, 1997 (24:13 Md. R. 930) **Administrative History:** Regulations .01—.10 repealed and new Regulations .01—.04 adopted as an emergency provision effective February 12, 2002 (29:5 Md. R. 499); adopted permanently effective May 13, 2002 (29:9 Md. R. 744) **Administrative History:** Regulation .01 amended effective June 8, 2026 (53:11 Md. R. 484) **Administrative History:** Regulation .02B, C amended effective February 17, 2003 (30:3 Md. R. 179); January 5, 2004 (30:26 Md. R. 1913); January 2, 2017 (43:26 Md. R. 1444) **Administrative History:** Regulation .02 repealed and new Regulation .02 adopted effective September 7, 2020 (47:18 Md. R. 824) **Administrative History:** Regulation .02C adopted effective June 8, 2026 (53:11 Md. R. 484) **Administrative History:** Regulation .04 amended effective June 8, 2026 (53:11 Md. R. 484) #### Regulation .01 Purpose. *COMAR 09.12.21.01* This chapter establishes the requirements for employers in Maryland to record and report work-related fatalities, injuries, and illnesses in accordance with federal and State law, regulations, and procedures. #### Regulation .02 Incorporation by Reference. *COMAR 09.12.21.02* In this chapter, Recording and Reporting Occupational Injuries and Illnesses, 29 CFR Part 1904 (2019), is incorporated by reference as amended with the following changes. A. Wherever the words: (1) “OSH Act” appear, substitute “Maryland Occupational Safety and Health Act”; (2) “Occupational Safety and Health Administration (OSHA), U.S. Department of Labor” appear, substitute “MOSH”; (3) “OSHA” appear, substitute “MOSH” for “OSHA” except for references to “OSHA injury and illness records”; (4) “Section 11(c) of the Act” appear, substitute “§5-604 of the Maryland Occupational Safety and Health Act”; (5) “OSHA Area Office” appear, substitute “MOSH Central Office”; (6) “your local OSHA Area Office director” appear, substitute “the MOSH Assistant Commissioner”; (7) “OSHA toll-free central telephone number, 1-800-321-OSHA (1-800-321- 6742)” appear, substitute “MOSH Central Office toll-free telephone number, 1-800-759-6297”; and (8) “www.osha.gov” appear, substitute “www.labor.maryland.gov/labor/mosh/”. B. In 29 CFR §1904.39(a)(2), where the words “an employee’s amputation” appear substitute “an employee’s amputation involving bone or cartilage loss”. C. In 29 CFR §1904 Subpart B – Scope, add “Note to Subpart B for Public Bodies: all exclusion or exemptions from the scope of 29 CFR §1904.1—.3, including Appendix A to Subpart B, only apply to private sector establishments; all public bodies, regardless of size or industry, shall comply with the recording and reporting requirements in 1904.” #### Regulation .03 Survey. *COMAR 09.12.21.03* Upon receipt of an Occupational Injuries and Illnesses Survey form, an employer shall promptly complete and return the form in accordance with the instructions. #### Regulation .04 Variance Procedure for Record Keeping. *COMAR 09.12.21.04* Private Sector Employers. MOSH may not issue a variance to a private sector employer and shall recognize all variances issued by the federal Occupational Safety and Health Administration. ### Chapter 22 — Personally Identifiable Employee Medical Information **Authority:** Labor and Employment Article, §§2-106(b)(4) and 5-312, Annotated Code of Maryland; 29 CFR §1913.10(d) and 29 U.S.C. §668 **Administrative History:** Effective date: July 5, 1993 (20:13 Md. R. 1047) #### Regulation .01 Purpose. *COMAR 09.12.22.01* The purpose of this chapter is to protect the substantial privacy interests involved in employee medical records by ensuring that: A. The Commissioner or the Commissioner's authorized representative will exercise authority to gain access to personally identifiable employee medical information only: (1) After a careful determination of the need for this information, and (2) With appropriate safeguards to protect individual privacy; B. Once the medical information is obtained, the examination and use of personally identifiable employee medical information obtained under this chapter is limited to only that information needed to accomplish the purpose for access; C. Personally identifiable employee medical information is: (1) Retained only for the time needed to accomplish the purpose for access, (2) Kept secure while being used, and (3) Not disclosed to other agencies or members of the public, except in narrowly defined circumstances and as permitted or required by law; and D. Medically related information reported in a personally identifiable form, even if not specifically covered by the terms of this chapter, is handled with appropriate discretion and care befitting information concerning specific employees. #### Regulation .02 Scope and Application. *COMAR 09.12.22.02* A. Except as provided in §B of this regulation, this chapter applies to a request by MOSH inspection personnel to access records for the purpose of examining or copying personally identifiable employee medical information, whether or not the request is made under the access provisions of 29 CFR §1910.1020(e)(3). B. This regulation does not apply when: (1) MOSH inspection personnel: (a) Conduct an examination of employee medical records solely to verify employer compliance with the medical surveillance record-keeping requirements of an occupational safety and health standard or with 29 CFR §1910.1020; (b) Conduct the examination: (i) On-site, and (ii) If requested, under the observation of the record holder; and (c) Do not record and take offsite any information from medical records other than documentation of the fact of compliance or noncompliance; or (2) A written directive by the Commissioner authorizes appropriately qualified personnel to conduct limited reviews of: (a) Specific medical information mandated by an occupational safety and health standard; or (b) Specific biological monitoring test results. #### Regulation .03 Definition. *COMAR 09.12.22.03* A. The definitions set forth in COMAR 09.12.20 apply to this chapter. B. For the purpose of this chapter, “personally identifiable employee medical information”: (1) Means employee medical information accompanied by either: (a) Direct identifiers, including: (i) Name, (ii) Address, (iii) Social Security number, (iv) Payroll number; or (b) Information which could reasonably be used indirectly to identify specific employees, including: (i) Exact age, (ii) Height, (iii) Weight, (iv) Race, (v) Sex, (vi) Date of initial employment, or (vii) Job title; (2) Does not include: (a) Aggregate employee medical information or medical records on individual employees not in a personally identifiable form; (b) Personally identifiable employee medical information obtained in the course of litigation; (c) Records required by COMAR 09.12.21; (d) Death certificates; or (e) Employee exposure records, including biological monitoring records which constitute exposure records under either 29 CFR §1910.1020(c)(5) or specific occupational safety and health standards. #### Regulation .04 Responsible Individuals. *COMAR 09.12.22.04* A. The Commissioner or the Commissioner's authorized representative is responsible for the overall administration and implementation of the procedures contained in this chapter, including making a final determination concerning: (1) Access to personally identifiable employee medical information; and (2) Interagency transfer or public disclosure of personally identifiable employee medical information. B. Medical Records Officer. (1) The Commissioner or the Commissioner's authorized representative shall designate a medical records officer with experience or training in the evaluation, use, and privacy protection of medical records. (2) The medical records officer shall: (a) Report directly to the Commissioner or the Commissioner's authorized representative on matters concerning this chapter; and (b) Be responsible for: (i) Making a recommendation to the Commissioner or the Commissioner's authorized representative regarding the approval or denial of a written access order, (ii) Assuring that a written access order meets the requirements of Regulation .05B and C of this chapter, (iii) Responding to an objection from an employee, collective bargaining agent, or employer concerning a written access order, (iv) Regulating the use of direct personal identifiers, (v) Regulating internal agency use and security of personally identifiable employee medical information, (vi) Assuring that the results of an analysis of personally identifiable medical information are, when appropriate, communicated to employees, (vii) Preparing an annual report of experience under Regulation .10 of this chapter, and (viii) Assuring that advance notice is given of intended interagency transfer or public disclosure of personally identifiable employee medical information. C. Principal Investigator. (1) The principal investigator is the MOSH representative who, in each instance of access to personally identifiable employee medical information, is made primarily responsible for assuring that the examination and use of the information is performed in the manner prescribed by: (a) A written access order; and (b) The requirements of this chapter. (2) When access is under a written access order, the principal investigator shall be professionally trained in medicine, public health, or allied fields such as epidemiology, toxicology, industrial hygiene, biostatistics, or environmental health. #### Regulation .05 Written Access Orders. *COMAR 09.12.22.05* A. Requirements. (1) Except as provided in §D of this regulation, a request by a MOSH representative to examine or copy personally identifiable employee medical information contained in a record held by an employer or other record holder shall be made in accordance with a written access order approved by the Commissioner or the Commissioner's authorized representative upon the recommendation of the medical records officer. (2) At the Commissioner's discretion, a written access order may constitute, or be accompanied by, an administrative subpoena. B. Approval Criteria. Before issuing a written access order, the Commissioner or the Commissioner's authorized representative and the medical records officer shall determine that: (1) The medical information to be examined or copied is relevant to a statutory purpose; (2) There is a need to gain access to the personally identifiable information; (3) The personally identifiable medical information to be examined or copied is limited to only the information needed to accomplish the purpose for access; and (4) The personnel authorized to review and analyze the personally identifiable medical information are limited to those who have need for access and who have appropriate professional qualifications. C. Content. A written access order shall state with reasonable particularity: (1) The statutory purposes for which access is sought; (2) A general description of the kind of employee medical information that will be examined; (3) An explanation of the need to examine personally identifiable employee medical information; (4) Whether medical information will be examined onsite; (5) What type of information will be copied and removed offsite; (6) The name, address, and telephone number of the principal investigator and medical records officer; (7) The name of any other authorized individual who is expected to review and analyze the medical information; and (8) The anticipated period of time during which the employee medical information in a personally identifiable form is expected to be retained. D. Special Situations Not Requiring a Written Access Order. (1) MOSH personnel are permitted to examine or copy personally identifiable employee medical information without a written access order if: (a) The specific written consent of an employee is obtained under 29 CFR §1910.1020(e)(2)(ii), and MOSH or a MOSH employee is listed on the authorization as the designated representative to receive the medical information; (b) When the information is taken offsite, the Commissioner or the Commissioner's authorized representative promptly: (i) Names a principal investigator to ensure protection of the information, and (ii) Notifies the medical records officer of the principal investigator's identity; and (c) MOSH handles the personally identifiable medical information in accordance with the use and security requirements of Regulations .06 and .07 of this chapter. (2) MOSH Physician. (a) A MOSH staff or contract physician shall be accorded access to personally identifiable employee medical information without a written access order, if the MOSH staff or contract physician: (i) Is consulting with an employer's physician concerning an occupational safety or health issue; (ii) Conducts an on-site evaluation of employee medical records in consultation with the employer's physician; and (iii) Makes only necessary personal notes of the MOSH staff or contract physician's findings. (b) Employee medical records may not be taken offsite in the absence of a written access order or the specific written consent of an employee. (c) Notes of personally identifiable employee medical information made by the MOSH physician may not leave the physician's control without the permission of the medical records officer. E. Procedure for Presentation of Written Access Order. (1) Presentation to Employer. (a) Before examining or obtaining medical information subject to a written access order, the principal investigator, or a MOSH employee under the investigator's supervision, shall present to the employer: (i) At least two copies of the written access order; and (ii) An accompanying cover letter to the employer. (b) At least one copy of the written access order may not identify specific employees by direct personal identifier. (c) The accompanying cover letter shall: (i) Summarize the requirements of this section; and (ii) Indicate that questions or objections concerning the written access order may be directed to the principal investigator or to the medical records officer. (d) The employer shall post promptly: (i) A copy of the written access order which does not identify specific employees by direct personal identifier; and (ii) The accompanying cover letter. (2) Presentation to Collective Bargaining Agent. The principal investigator shall present promptly to each collective bargaining agent representing employees whose medical records are subject to the written access order: (a) A copy of the written access order which does not identify specific employees by direct personal identifier; and (b) The accompanying cover letter. (3) Notice to Employees. (a) After presentation of a written access order to an employer and a collective bargaining agent, if any, the principal investigator shall: (i) Discuss with the collective bargaining agent, if any, and the employer whether to provide individual notice to employees affected by the written access order; and (ii) If it is agreed that individual notice is appropriate, provide the employer an adequate number of copies of the written access order which does not identify specific employees by direct personal identifier, and the accompanying cover letter. (b) An employer shall notify each affected employee by delivering the written access order or by placing a copy in each employee's medical file. F. Objections Concerning a Written Access Order. (1) An employee, collective bargaining agent, and employer may file a written objection to access to records under a written access order. (2) A written objection shall be transmitted to the medical records officer. (3) Unless the Commissioner or the Commissioner's authorized representative decides otherwise, access to the records shall proceed without delay, notwithstanding the filing of an objection. (4) The medical records officer shall respond in writing to a written objection to access by MOSH. (5) If appropriate, the medical records officer may: (a) Revoke a written access order; and (b) Direct that the medical information obtained under the revoked written access order be returned to the original record holder, or destroyed. (6) The principal investigator shall ensure that the instructions by the medical records officer are promptly implemented. G. Removal of Direct Personal Identifiers. (1) If employee medical information obtained under a written access order is taken offsite with direct personal identifiers included, and the investigator is not otherwise authorized by the medical records officer, the principal investigator shall: (a) Separate promptly all direct personal identifiers from the medical information; and (b) Code the medical information and the list of direct identifiers with a unique identifier for each employee. (2) The medical information with the code shall be used and kept secured as though still in a directly identifiable form. (3) The principal investigator shall hand deliver or mail the list of direct personal identifiers with corresponding codes to the medical records officer. (4) The medical records officer shall limit the use and distribution of the list of coded identifiers to individuals with a need to know its contents. #### Regulation .06 MOSH Use of Personally Identifiable Employee Medical Information. *COMAR 09.12.22.06* A. Whenever practicable, the examination of personally identifiable employee medical information shall be performed onsite with a minimum of medical information taken offsite in a personally identifiable form. B. The principal investigator, in each instance of access, is primarily responsible for ensuring that personally identifiable employee medical information is used and kept secured in accordance with this chapter. C. The principal investigator, the medical records officer, the Commissioner or the Commissioner's authorized representative, and any other authorized individual listed on a written access order may permit the examination or use of personally identifiable employee medical information by MOSH personnel and contractors who have: (1) A need for access; and (2) Appropriate qualifications for the purpose for which they are using the information. D. MOSH personnel or contractors are not authorized to examine or otherwise use personally identifiable employee medical information unless so permitted. E. If a need exists, access to personally identifiable employee medical information may be provided to: (1) An assistant attorney general assigned to MOSH; and (2) A MOSH contractor who: (a) Is a physician, or (b) Has contractually agreed to abide by the requirements of this chapter and to implement directives and instructions regarding them. F. MOSH personnel and contractors are authorized to use personally identifiable employee medical information only for the purposes for which it was obtained unless the: (1) Specific written consent of the affected employee is obtained to permit information to be used for another purpose; or (2) Procedures in Regulation .05 of this chapter are repeated with respect to using the information for another purpose. #### Regulation .07 Security Procedures. *COMAR 09.12.22.07* A. MOSH Files. (1) MOSH files containing personally identifiable employee medical information shall be segregated from other MOSH files. (2) When not in active use, files containing personally identifiable employee medical information shall be kept secured in a locked cabinet or vault. B. Except for necessary use by staff under their direct personal supervision, both the medical records officer and the principal investigator shall maintain a log of: (1) Uses and transfers of personally identifiable employee medical information; and (2) Lists of coded direct personal identifiers. C. Photocopying or other duplication of personally identifiable employee medical information shall be kept to the minimum necessary to accomplish the purposes for which the information was obtained. D. The protective measures established by this regulation apply to all: (1) Worksheets; (2) Duplicate copies; or (3) Other documents containing personally identifiable employee medical information. E. Intra-Agency Transfers. (1) Intra-agency transfers of personally identifiable employee medical information shall be by: (a) Hand delivery; (b) United States mail; or (c) An equally protective means. (2) Inter-office mailing channels may not be used. #### Regulation .08 Retention and Destruction of Records. *COMAR 09.12.22.08* A. Consistent with Maryland records retention programs, personally identifiable employee medical information and lists of coded direct personal identifiers shall be destroyed or returned to the original record holder when they are no longer needed for the purposes for which they were obtained. B. The medical records officer shall: (1) Maintain custody of personally identifiable employee medical information which is currently not being used actively but may be needed for future use; and (2) Conduct an annual review of all centrally held information to determine which information is no longer needed for the purposes for which it was obtained. #### Regulation .09 Results of Analysis Using Personally Identifiable Employee Medical Information. *COMAR 09.12.22.09* If appropriate, the medical records officer shall communicate the results of a MOSH analysis using personally identifiable employee medical information to employees whose personal medical information was used as part of the analysis. #### Regulation .10 Annual Report. *COMAR 09.12.22.10* A. On an annual basis, the medical records officer shall review MOSH experience under this chapter during the previous year, and prepare a report to the Commissioner, which shall be made available to the public. B. The report shall discuss: (1) The number of written access orders approved and a summary of the purposes for access; (2) The nature and disposition of employee, collective bargaining agent, and employer written objections concerning access to personally identifiable employee medical information; and (3) The nature and disposition of requests for inter-agency transfer or public disclosure of personally identifiable employee medical information. #### Regulation .11 Inter-Agency Transfer and Public Disclosure. *COMAR 09.12.22.11* A. Except when required by law or when approved by the Commissioner, personally identifiable employee medical information may not be: (1) Transferred to an agency or office other than MOSH, except to an assistant attorney general assigned to MOSH; or (2) Disclosed to the public, other than to the affected employee or the original record holder. B. Except as provided in §C of this regulation, without the consent of the affected employee, the Commissioner or the Commissioner's authorized representative may not approve a request for an inter-agency transfer of personally identifiable employee medical information, unless the request is from a public health agency which: (1) Needs the requested information in a personally identifiable form for a substantial public health purpose; (2) Will not use the requested information to make individual determinations concerning an affected employee which could be to the employee's detriment; (3) Has regulations or established written procedures providing protection for personally identifiable medical information substantially equivalent to that of this chapter; and (4) Satisfies an exemption to the Maryland Public Information Act, State Government Article, Title 10, Subtitle 6, Annotated Code of Maryland, to the extent that the Maryland Public Information Act applies to the requested information. C. To the extent permitted by State Government Article, Title 10, Subtitle 6, Annotated Code of Maryland, and upon the approval of the Commissioner or the Commissioner's authorized representative, personally identifiable employee medical information may be transferred to the: (1) National Institute for Occupational Safety and Health (NIOSH); and (2) When necessary with respect to a specific action under the Act, Office of the Maryland Attorney General, or the State's Attorney for Baltimore City or a Maryland county. D. The Commissioner may not approve a request for public disclosure of employee medical information containing: (1) Direct personal identifiers unless there are compelling circumstances affecting the health or safety of an individual; or (2) Information which could reasonably be used indirectly to identify a specific employee when the disclosure would constitute a clearly unwarranted invasion of personal privacy. E. Advance Notice. (1) Except for an interagency transfer under §C of this regulation, when MOSH intends to release personally identifiable employee medical information to another agency or a member of the public other than an affected employee, the medical records officer shall ensure advance notice is provided to: (a) A collective bargaining agent representing affected employees; and (b) The employer. (2) When the employee medical information to be transferred or disclosed contains direct personal identifiers, the medical records officer shall take reasonable steps to ensure that advance notice is provided to affected employees, when feasible. (3) A release made under this section shall comply with State Government Article, Title 10, Subtitle 6, Annotated Code of Maryland. ### Chapter 23 — Prohibition on Smoking in an Indoor Place of Employment **Authority:** Labor and Employment Article, §§2-106(b)(4), 5-312, and 5-608(b), Annotated Code of Maryland **Administrative History:** Effective date: August 1, 1994 (21:15 Md. R. 1304) **Administrative History:** Chapter revised as an emergency provision effective September 17, 2007 (34:21 Md. R. 1910); revised permanently effective February 25, 2008 (35:4 Md. R. 513) **Administrative History:** Regulation .01B amended effective February 9, 2009 (36:3 Md. R. 208) **Administrative History:** Annotation: On July 22, 1994, judicial action stayed the enforcement of COMAR 09.12.23. H & G Restaurant, Inc., et al. v. William A. Fogle, et al., Case No. CG 2460, Circuit Court for Talbot County. On February 24, 1995, the Court of Appeals vacated the stay. William A. Fogle, et al. v. H & G Restaurant, Inc., et al., Case No. 69, September Term. At the time this supplement went to press, subject to additional legislative or judicial action, these regulations are scheduled to take effect on March 28, 1995. #### Regulation .01 Definitions. *COMAR 09.12.23.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Indoor place of employment” includes, but is not limited to: (a) An indoor work area; (b) A vehicle other than a private vehicle as used in Health-General Article, §24-505(1), Annotated Code of Maryland, when an employee uses it in the course of employment; (c) An employee lounge or restroom; (d) A conference and meeting room; (e) A classroom; (f) A cafeteria operated by an employer for use by its employees; (g) A hallway; (h) A restaurant; (i) A bar or tavern; (j) A sleeping room in a hotel or motel; and (k) An assembly, conference, convention, or meeting establishment or enclosed portion of the establishment. (2) “Private vehicle”, as used in Health-General Article, §24-505(1), Annotated Code of Maryland, means: (a) An individual's own vehicle being used for nonemployment purposes; or (b) An individual's own vehicle, when used in the course of employment and occupied by only one individual. (3) “Smoking” means the burning of a lighted cigarette, cigar, pipe, or any other matter or substance that contains tobacco. #### Regulation .02 Exclusions. *COMAR 09.12.23.02* This chapter does not apply to: A. Private homes; B. Residences, including residences used as a business or place of employment, unless being used by a person who is licensed or registered under Family Law Article, Title 5, Subtitle 5, Annotated Code of Maryland, to provide day care or child care; C. Private vehicles, unless being used for the public transportation of children, or as part of health care or day care transportation; D. A hotel or motel room rented to one or more guests as long as the total percent of hotel or motel rooms being so used does not exceed 25 percent; E. A retail tobacco business that is a sole proprietorship, limited liability company, corporation, partnership, or other enterprise, in which: (1) The primary activity is the retail sale of tobacco products and accessories; and (2) The sale of other products is incidental; F. Any facility of a manufacturer, importer, wholesaler, or distributor of tobacco products or of any tobacco leaf dealer or processor in which employees of the manufacturer, importer, wholesaler, distributor, or processor work or congregate; or G. A research or educational laboratory for the purpose of conducting scientific research into the health effects of tobacco smoke. #### Regulation .03 Employer Requirements. *COMAR 09.12.23.03* An employer shall: A. Ensure that in an indoor place of employment there is no smoking; and B. Post at each entrance to an indoor place of employment a sign stating that smoking is not permitted. #### Regulation .04 Interpretation. *COMAR 09.12.23.04* This chapter may not be construed to prevent an employer from prohibiting smoking in areas not covered by Labor and Employment Article §5-608(a), Annotated Code of Maryland. ### Chapter 24 — MOSH Consultation Education and Training Program **Authority:** Labor and Employment Article, §§2-106(b)(4), 5-312, and 5-328, Annotated Code of Maryland **Administrative History:** Effective date: February 13, 1995 (22:3 Md. R. 153) **Administrative History:** Regulations .03—.06 repealed and new Regulations .03—.08 adopted as an emergency provision effective March 29, 2002 (29:8 Md. R. 695); adopted permanently effective June 24, 2002 (29:12 Md. R. 926) **Administrative History:** Regulation .03 amended effective August 11, 2008 (35:16 Md. R. 1391) **Administrative History:** Regulation .05 amended effective August 11, 2008 (35:16 Md. R. 1391) **Administrative History:** Regulation .06 amended effective August 11, 2008 (35:16 Md. R. 1391) **Administrative History:** Regulation .07 repealed and new Regulation .07 adopted effective August 11, 2008 (35:16 Md. R. 1391) **Administrative History:** Regulation .08 repealed and new Regulation .08 adopted effective August 11, 2008 (35:16 Md. R. 1391) **Administrative History:** Regulation .09 adopted effective August 11, 2008 (35:16 Md. R. 1391) #### Regulation .01 Purpose. *COMAR 09.12.24.01* A. This chapter provides for the conduct of Maryland's Occupational Safety and Health (MOSH) Consultation Program in accordance with federal law, regulations, and procedures. B. This chapter establishes the conditions under which an employer may be granted an exemption from certain MOSH inspections. #### Regulation .02 Establishment. *COMAR 09.12.24.02* A. There is in the Occupational Safety and Health unit of the Division of Labor and Industry a MOSH Consultation Program. B. Service of the Program is available only upon request by the employer. #### Regulation .03 Scope of Request. *COMAR 09.12.24.03* A. Availability of Services. (1) The MOSH Consultation Program shall provide on-site and off-site consultation services in accordance with this chapter. (2) Consultation services are available from the Division of Labor and Industry only through the MOSH Consultation Program. B. Prioritization. In allocating resources, the Division shall assign priority as follows: (1) To businesses with fewer than 250 employees on site and fewer than 500 corporate-wide; and (2) In accordance with 29 CFR §1908.5(c). #### Regulation .04 Incorporation by Reference. *COMAR 09.12.24.04* A. In this chapter, the following documents are incorporated by reference. B. Documents Incorporated. (1) The following sections of Consultation Agreements, 29 CFR 1908 (October 26, 2000): (a) 29 CFR §1908.2; (b) 29 CFR §1908.4; (c) 29 CFR §1908.5, except in (b)(2), the last sentence, change the word “insight” to “initial”; (d) 29 CFR §1908.6; and (e) 29 CFR §1908.7, except: (i) In paragraph(a)(1), substitute the following for the existing text, “Consultative activity shall be conducted independently of any MOSH enforcement activity”; (ii) In paragraph (b)(2), after (iv), insert: “Accident investigations”; and “(v)”. (iii) In paragraph (b)(4), after the word “employers” insert “at fixed worksites”; (iv) In paragraph (b)(4)(i)(B), substitute the words “Commissioner of Labor and Industry” for “Regional Office”; and (v) In paragraph (b)(4)(ii), add the following criteria: (2) The following amendments apply to the documents incorporated by reference in §B(1) of this regulation, except 29 CFR §1908.2: (a) Wherever the words “Assistant Secretary” appear, substitute “Commissioner of Labor and Industry”, except in 29 CFR §1908.6(g)(1); (b) Wherever the words “RA” or “Area Director” appear, substitute “Assistant Commissioner”; (c) Wherever the words “compliance officer” or “OSHA compliance officer” appear, substitute “MOSH compliance officer”; (d) Wherever the word “employee” appears, it means an employee as defined in §5-101(c) of the MOSH Act; (e) Wherever the word “employer” appears, it means employer as defined in §5-101(d) of the MOSH Act; (f) Wherever the words “Section 5(a)(1) of the OSHA Act” appear, it means §5-104 of the MOSH Act; and (g) Substitute “Assistant Commissioner” for: (i) “appropriate OSHA enforcement authority” in 29 CFR §1908.6(f)(1); and (ii) “OSHA enforcement authority” in 29 CFR §1908.6(f)(4). (3) Safety and Health Program Management Guidelines, 54 FR 3904—3916 (1989); and (4) Safety and Health Program Assessment Worksheet (OSHA Form 33) (Revised October 2000). #### Regulation .05 Recognition and Exemption. *COMAR 09.12.24.05* A. The recognition and exemption program shall be known as the Safety and Health Achievement Recognition Program (SHARP). B. The authority to approve an employer for SHARP rests with the Commissioner of Labor and Industry. C. To be eligible for consideration for participation in SHARP, an employer shall: (1) Be a single, fixed worksite; (2) Have at least 1 year of operating history, in order to have established a days away from work, days of restricted work activity, or job transfer (DART) Rate and a Total Recordable Case (TRC) Rate using the calculation formulas in Regulations .08 and .09 of this chapter; (3) Have reduced the DART Rate and TRC Rate at the worksite to below the industry average using the method permitted in §D of this regulation and the calculation formulas in Regulations .08 and .09 of this chapter; (4) Request, in writing, a complete safety and health hazard assessment of all working conditions, equipment, and processes at the worksite and correct all hazards, including serious and other-than-serious hazards, identified by the MOSH consultant; (5) Have implemented and maintained a safety and health management system, preferably in writing, that addresses, at a minimum, the major elements of the 1989 Safety and Health Program Management Guidelines; (6) Score at least two on all 50 basic attributes of the Safety and Health Program Assessment Worksheet; (7) Agree to notify the consultation project manager and request a subsequent on-site consultation visit when making any changes in working conditions or work processes that might introduce new hazards into the workplace; (8) At the time the employer requests the complete safety and health hazard assessment, post a notice that it intends to participate in SHARP; (9) Keep the notice required under §C(8) of this regulation posted until all hazards have been corrected; and (10) Mutually agree with the consultation project manager on an achievement plan, which provides an outline for the continuous improvement of the employer's safety and health management system. D. Injury and Illness Rates. (1) Annual Rate Formula. (a) The DART and TRC Rate calculations shall be based on the Occupational Safety and Health Act (OSHA) Form 300 information for the last full calendar year preceding the on-site evaluation using the annual rate formula in Regulations .08 and .09 of this chapter. (b) The calculated DART and TRC Rates shall be compared against the most recently published Bureau of Labor Statistics (BLS) average rates for the industry. (c) To qualify for SHARP, the employer's DART and TRC Rates shall be below the published BLS industry average rates. (2) Three-Year Rate Formula. (a) Employers not qualifying using the annual rate formula may qualify if: (i) The employer has at least 3 years of operating history; and (ii) The calculated average DART Rate, based on the OSHA Form 300 information for the most recent 3 full calendar years preceding the on-site evaluation, and the calculated average TRC Rate based on the OSHA Form 300 information for the most recent 3 full calendar years preceding the on-site evaluation are below the most recently published BLS national average rates for that industry. (b) The calculations shall be made in accordance with the 3-year rate formula in Regulations .08 and .09 of this chapter. (3) Best 3 Out of 4 Years Rate Calculation. (a) Employers not qualifying with rates calculated in accordance with the annual rate formula or the 3-year rate formula are eligible to use the best 3 out of 4 years calculation method if: (i) A hypothetical TRC Rate is calculated assuming two recordable injuries and using the hours worked at the site in the most recent calendar year; and (ii) The hypothetical TRC Rate is equal to or higher than the BLS average rate for any of the 3 most recently published years for the employer's industry. (b) Employers meeting the criteria under §D(3)(a)(i) and (ii) of this regulation may use the 3-year rate formula and the best DART and TRC Rates from 3 of the 4 years preceding the on-site evaluation. (c) The calculation shall be made in accordance with the best 3 out of 4 years rate calculation method in Regulations .08 and .09 of this chapter. (4) The Commissioner of Labor and Industry may approve SHARP status if an employer has rates equal to or slightly greater than the industry average after using the calculation methods set forth in §D(1), (2), and (3) of this regulation if: (a) The employer is currently a SHARP participant; (b) The employer has a score of at least two on all 50 basic attributes of the Form 33; and (c) The employer qualifies for the rate calculation under §D(3)(a)(ii) of this regulation, but fails to meet either the DART or TRC Rate requirements. E. To maintain participation in SHARP, an employer shall continue to meet the requirements described in §C of this regulation. F. Employer sites meeting all of the SHARP criteria described in §C of this regulation may be approved for SHARP by the Commissioner of Labor and Industry. G. Duration of SHARP Status and Exemption Period. (1) The initial approval period and all renewals of SHARP status shall be for a period of up to 2 years, beginning from the date of approval by the Commissioner of Labor and Industry. (2) SHARP employers are exempt from MOSH programmed inspections. The exemption period shall begin on the date that the Commissioner of Labor and Industry approves the employer's participation in SHARP. (3) If the initial or renewal period is for 2 years, participating employers shall submit the following to the consultation project manager during the interim year: (a) A copy of requested worksite OSHA 300 Logs; (b) A copy of the worksite's injury and illness incident reports; and (c) Information regarding the completion of items set forth in the achievement plan described in §C(10) of this regulation. #### Regulation .06 Pre-SHARP Status. *COMAR 09.12.24.06* A. Employers that do not meet the SHARP requirements, but that exhibit a reasonable promise of achieving agreed upon milestones and time frames for SHARP participation, may be granted pre-SHARP status by the Commissioner of Labor and Industry. B. Pre-SHARP status may be granted to an employer that: (1) Meets the eligibility requirements of Regulation .05C(1) and (2) of this chapter; (2) Requests, in writing, a safety and health management system assessment, and a complete safety and health hazard assessment of all working conditions, equipment, and processes at the worksite; (3) Shows reasonable promise of achieving milestones and time frames agreed upon with the consultation project manager; (4) Posts the list of hazards identified by the consultant; (5) Provides information on all serious hazards identified by the consultant to employees; (6) Corrects all serious and other-than-serious hazards identified by the consultant; (7) Informs employees when hazards are corrected; (8) Shows evidence of having the foundation of a safety and health management system; (9) Implements the action plan developed by the consultant outlining the necessary achievement and time frames required for the employer to achieve SHARP status; (10) Provides progress reports on implementation of the action plan referred to in §B(9) of this regulation to the consultation project manager; (11) Posts a letter from the Commissioner of Labor and Industry approving pre-SHARP status; (12) Involves employees in the safety and health management system, including implementation of the action plan referred to in §B(9) of this regulation; (13) At sites having a recognized employee representative: (a) Notifies the recognized employee representative of the employer's intention to participate in SHARP and pre-SHARP; and (b) Involves the recognized employee representative in the process; (14) Agrees to a complete safety and health hazard assessment of all working conditions, equipment, and processes at the worksite at the end of the pre-SHARP period; (15) Notifies the Commissioner of Labor and Industry before making any changes in working conditions or work processes that might introduce new hazards into the workplace; and (16) Demonstrates the capability of reducing the site's DART Rate and TRC Rate to below the industry national average within the pre-SHARP period using the calculation formulas in Regulations .08 and .09 of this chapter. C. An employer meeting the requirements of §B(1)—(16) of this regulation may be granted a deferral from MOSH programmed inspections by the Commissioner of Labor and Industry while working to achieve SHARP status. The period of deferral, including extensions, may not exceed a total of 18 months from the expiration of the correction due date or due dates, including extensions. #### Regulation .07 Participation in SHARP and Pre-SHARP. *COMAR 09.12.24.07* A. Relocation and Change in Ownership. (1) Eligibility for participation in SHARP and pre-SHARP may be affected by relocation and change in ownership. (2) Employers planning to relocate their facilities within the State shall notify the consultation project manager in writing 60 days before the move and permit a MOSH consultation visit within 30 days after the move. (3) If the requirements of §A(2) of this regulation are not met, the consultation project manager shall ask the employer to withdraw from SHARP or pre-SHARP. (4) Employers undergoing ownership or other major organizational changes that may impact the safety and health management system shall discuss these changes with the consultation project manager who may schedule an on-site visit. B. Inspection of SHARP or Pre-SHARP sites by MOSH may be triggered by: (1) Imminent danger; (2) Fatality or catastrophe; (3) Formal complaints; (4) Follow-up on a previously cited violation; (5) Accident; or (6) Referral from a MOSH safety compliance officer to a MOSH health compliance officer, or from a MOSH health compliance officer to a MOSH safety compliance officer. C. SHARP Renewal. To renew for SHARP, an employer shall: (1) Apply to the consultation project manager for SHARP renewal, in writing, within 180 days of expiration of the exemption status; (2) Post a copy of the renewal request required in §C(1) of this regulation, and keep the notice posted until all hazards identified during the full service safety and health hazard assessment have been corrected; (3) Establish that the employer has: (a) Maintained or improved its safety and health management system through a safety and health management system assessment; and (b) Completed a safety and health hazard assessment of all working conditions, equipment, and processes at the worksite conducted by the consultation project manager, or the consultation project manager's designee; and (4) Continue to meet all the eligibility and qualifying criteria described in §C of this regulation, including calculating the site's injury and illness data using the appropriate method described in Regulations .05D, .08, and .09 of this chapter. D. Voluntary Withdrawal from SHARP or Pre-SHARP. (1) The consultation project manager shall give an employer that fails to maintain the eligibility criteria in Regulation .05C of this chapter the opportunity to voluntarily withdraw from SHARP. The consultation project manager shall give an employer that fails to maintain the eligibility criteria in Regulation .06 of this chapter the opportunity to voluntarily withdraw from pre-SHARP. (2) An employer may withdraw from SHARP or pre-SHARP at any time. (3) To withdraw from SHARP or pre-SHARP, the employer shall provide the consultation project manager with: (a) A written notice of withdrawal; and (b) The SHARP certificate, if the employer had been granted SHARP status. (4) Withdrawal from SHARP or pre-SHARP is effective immediately upon the employer's compliance with §D(3) of this regulation. (5) The consultation project manager shall notify the Commissioner of Labor and Industry of a SHARP or pre-SHARP withdrawal. E. Termination from SHARP or Pre-SHARP. (1) The Commissioner of Labor and Industry may terminate from SHARP an employer that fails to maintain the eligibility criteria in Regulation .05C of this chapter and fails to voluntarily withdraw from SHARP. (2) The Commissioner of Labor and Industry may terminate from pre-SHARP an employer that fails to maintain the eligibility criteria in Regulation .06 of this chapter, and fails to voluntarily withdraw from pre-SHARP. (3) Notice of termination shall: (a) Be in writing; (b) Contain the reasons for termination; (c) Outline the requirements for reentry into the program; and (d) Be sent to the employer. #### Regulation .08 Rate Calculations. *COMAR 09.12.24.08* A. Annual Rate Formula. (1) Annual rates are calculated by the formula (N/EH) × 200,000 where: (a) N = Sum of the number of recordable injuries and illnesses in the year; (b) EH = Total number of hours worked by all employees in the year; and (c) 200,000 = Equivalent of 100 full time employees working 40 hours per week, 50 weeks per year. (2) For the TRC Rate, in the formula N = H + I + J, use the total number of cases listed on the OSHA 300 Log in columns: (a) Column H (Days away from work); (b) Column I (Job transfer or restriction); and (c) Column J (Other recordable cases). (3) For the DART Rate, in the formula N = H + I, use the total number of cases resulting in days away from work, restricted work activity, or job transfer, or all of these, listed on the OSHA 300 Log in columns: (a) Column H (Days away from work); and (b) Column I (Job transfer or restriction). B. Alternate Calculation Methods. (1) Three-Year Rate Formulas. (a) Three-Year TRC Rate Formula. (Year 1 OSHA 300 Log columns H + I + J) + (Year 2 OSHA 300 Log columns H + I + J) + (Year 3 OSHA 300 Log columns H + I + J) / (Year 1 hours + Year 2 hours + Year 3 hours) × 200,000. (b) Three-Year DART Rate Formula. (Year 1 OSHA 300 Log columns H + I) + (Year 2 OSHA 300 Log columns H + I) + (Year 3 OSHA 300 Log columns H + I) / (Year 1 hours + Year 2 hours + Year 3 hours) × 200,000. (2) Best 3 Out of 4 Years Rate Calculation Method. To determine whether an employer qualifies for the best 3 out of 4 years calculation method, do the following: (a) Using the hours worked at the site in the most recent calendar year, including overtime hours, calculate a hypothetical TRC Rate for the employer assuming that the employer had two cases during the year; (b) Compare that hypothetical rate to the 3 most recently published years of BLS combined injury/illness rates for the industry; and (c) If the hypothetical rate, based on two cases, is equal to or higher than the national average for the employer's industry for any of the most current BLS published rates, the employer qualifies for the best 3 out of 4 years calculation method. The DART and TRC Rates may be calculated using the best 3 out of the most current 4 full calendar years of OSHA Form 300 data. C. Rounding Instructions. You must round the rates to the nearest tenth following traditional mathematical rounding rules such as round 5.88 up to 5.9, round 5.82 down to 5.8, and round 5.85 up to 5.9. D. Comparison to National Averages. (1) Compare the 3-year TRC and DART Rate to the most recently published BLS national average for the NAICS Code for the industry in which the applicant is classified; (2) In the multi-year calculations, both the DART and TRC Rates have to be below the BLS rates for the same year; (3) If BLS rates are not available for both the DART and TRC Rates, use the next smallest NAICS Code such as a six-digit NAICS to a five-digit NAICS; and (4) If BLS rates are available for either the DART or TRC Rate, use the BLS rate that is available. #### Regulation .09 Sample Calculations. *COMAR 09.12.24.09* A. Scenario. (1) A safety and health consultant visited a machine shop, NAICS 33271 and SICS 3599, and recorded the following OSHA 300 Log information: (2) This data is used throughout the examples that follow. B. Calculations. (1) Annual Rate Formula Calculations (Year 2005). (a) DART. (i) DART = [[(COLUMN H) 2005 + (COLUMN I) 2005] X [200,000 HOURS]] / [HOURS WORKED2005] (ii) DART = [[(0) +(1)] X [200,000 HOURS]] / [10,000 HOURS] (iii) DART = [[(1)] X [200,000 HOURS]] / [10,000 HOURS] (iv) DART = 20.00 = 20.0 (b) TRC. (i) TRC = [[(COLUMN H) 2005 + (COLUMN I) 2005 + (COLUMN J) 2005] X [200,000 HOURS]] / [HOURS WORKED2005] (ii) TRC = [[(0) +(1) + (0)] X [200,000 HOURS]] / [10,000 HOURS] (iii) TRC = [[(1)] X [200,000 HOURS]] / [10,000 HOURS] (iv) TRC = 20.00 = 20.0 (c) Conclusion. The employer's 2005 DART and TRC Rates of 20.0 are above the 2004 BLS DART and TRC data shown as follows:. (2) Three-Year Rate Formula Calculations (Years 2005, 2004, and 2003). (a) DART. (i) DART = [[(COLUMNS H + I) 2005 + (COLUMNS H + I) 2004 + (COLUMNS H + I) 2003] X [200,000 HOURS]] / [(HOURS WORKED) 2005 + (HOURS WORKED) 2004 + (HOURS WORKED) 2003] (ii) DART = [[(0 + 1) + (0 + 0) + (0 + 0)] X [200,000 HOURS]] / [[(10,000) + (14,000) + (12,000)] HOURS] (iii) DART = [[(1)] X [200,000 HOURS]] / [36,000 HOURS] (iv) DART = 5.56 = 5.6 (b) TRC. (i) TRC = [[(COLUMNS H + I + J) 2005 + (COLUMNS H + I + J) 2004 + (COLUMNS H + I + J) 2003] X [200,000 HOURS]] / [(HOURS WORKED) 2005 + (HOURS WORKED) 2004 + (HOURS WORKED) 2003] (ii) TRC = [[(0 + 1 + 0) + (0 + 0 + 0) + (0 + 0 + 1)] X [200,000 HOURS]] / [[(10,000) + (14,000) + (12,000)] HOURS] (iii) TRC = [[(2)] X [200,000 HOURS]] / [36,000 HOURS] (iv) TRC = 11.11 = 11.1 (c) Conclusion. Using the 3-year calculation, the employer's DART and TRC Rates of 5.6 and 11.1, respectively, are above the most recently available BLS data shown as follows: (3) Determining eligibility to use the best 3 out of 4 years rate calculations. (a) Calculate hypothetical TRC: (i) TRC Hypothetical = [[(SUM OF (2) FOR COLUMNS H + I + J FOR 2005)] X [200,000 HOURS]] / [HOURS WORKED2005] (ii) TRC Hypothetical = [[(2)] X [200,000 HOURS]] / [10,000 HOURS] (iii) TRC Hypothetical = 40.00 = 40.0 (b) Employer's hypothetical TRC Rate of 40.0 is equal to or higher than the BLS industry average for at least 1 of the past 3 years published; therefore, the employer would be eligible for the best 3 out of 4 years rate calculations. (4) Best 3 Out of 4 Years Rate Calculations (Years 2005, 2004, and 2002). (a) DART. (i) DART = [[(COLUMNS H + I) 2005 + (COLUMNS H + I) 2004 + (COLUMNS H + I) 2002] X [200,000 HOURS]] / [(HOURS WORKED) 2005 + (HOURS WORKED) 2004 + (HOURS WORKED) 2002] (ii) DART = [[(0 + 1) + (0 + 0) + (0 + 0)] X [200,000 HOURS]] / [[(10,000) + (14,000) + (16,000)] HOURS] (iii) DART = [[(1)] X [200,000 HOURS]] / [40,000 HOURS] (iv) DART = 5.00 = 5.0 (b) TRC. (i) TRC = [[(COLUMNS H + I + J) 2005 + (COLUMNS H + I + J) 2004 + (COLUMNS H + I + J) 2002] X [200,000 HOURS]] / [(HOURS WORKED) 2005 + (HOURS WORKED) 2004 + (HOURS WORKED) 2002] (ii) TRC = [[(0 + 1 + 0) + (0 + 0 + 0) + (0 + 0 + 0)] X [200,000 HOURS]] / [[(10,000) + (14,000) + (16,000)] HOURS] (iii) TRC = [[(1)] X [200,000 HOURS]] / [40,000 HOURS] (iv) TRC = 5.00 = 5.0 (c) Conclusion. The employer's DART Rate of 5.0 is above the 2004 BLS DART Rate of 2.9. The employer's TRC Rate of 5.0 is below the 2004 BLS TRC Rate of 6.9. Because at least one of the employer's injury and illness rates is above the BLS data, this combination of years would not make the employer eligible for SHARP, as shown as follows: (5) Best 3 out of 4 years Rate Calculations (Years 2005, 2003, and 2002). (a) DART. (i) DART = [[(COLUMNS H + I) 2005 + (COLUMNS H + I) 2003 + (COLUMNS H + I) 2002] X [200,000 HOURS]] / [(HOURS WORKED) 2005 + (HOURS WORKED) 2003 + (HOURS WORKED) 2002] (ii) DART = [[(0 + 1) + (0 + 0) + (0 + 0)] X [200,000 HOURS]] / [[(10,000) + (12,000) + (16,000)] HOURS] (iii) DART = [[(1)] X [200,000 HOURS]] / [38,000 HOURS] (iv) DART = 5.26 = 5.3 (b) TRC. (i) TRC = [[(COLUMNS H + I + J) 2005 + (COLUMNS H + I + J) 2003 + (COLUMNS H + I + J) 2002] X [200,000 HOURS]] / [(HOURS WORKED) 2005 + (HOURS WORKED) 2003 + (HOURS WORKED) 2002] (ii) TRC = [[(0 + 1 + 0) + (0 + 0 + 1) + (0 + 0 + 0)] X [200,000 HOURS]] / [[(10,000) + (12,000) + (16,000)] HOURS] (iii) TRC = [[(2)] X [200,000 HOURS]] / [38,000 HOURS] (iv) TRC = 10.53 = 10.5 (c) Conclusion. The employer's DART and TRC Rates of 5.3 and 10.5, respectively, are both above the most recently available BLS data. Therefore, this combination of years would not make the employer eligible for SHARP, as shown as follows: (6) Best 3 out of 4 Years Rate Calculations (Years 2004, 2003, and 2002). (a) DART. (i) DART = [[(COLUMNS H + I) 2004 + (COLUMNS H + I) 2003 + (COLUMNS H + I) 2002] X [200,000 HOURS]] / [(HOURS WORKED) 2004 + (HOURS WORKED) 2003 + (HOURS WORKED) 2002] (ii) DART = [[(0 + 0) + (0 + 0) + (0 + 0)] X [200,000 HOURS]] / [[(14,000) + (12,000) + (16,000)] HOURS] (iii) DART = [[(0)] X [200,000 HOURS]] / [42,000 HOURS] (iv) DART = 0.00 = 0.0 (b) TRC. (i) TRC = [[(COLUMNS H + I + J) 2004 + (COLUMNS H + I + J) 2003 + (COLUMNS H + I + J) 2002] X [200,000 HOURS]] / [(HOURS WORKED) 2004 + (HOURS WORKED) 2003 + (HOURS WORKED) 2002] (ii) TRC = [[(0 + 0 + 0) + (0 + 0 + 1) + (0 + 0 + 0)] X [200,000 HOURS]] / [[(14,000) + (12,000) + (16,000)] HOURS] (iii) TRC = [[(1)] X [200,000 HOURS]] / [42,000 HOURS] (iv) TRC = 4.76 = 4.8 (c) Conclusion. The employer's DART and TRC Rates are both below the most recently published BLS data. This combination of years would make the employer eligible for SHARP, as follows: (7) For purposes of this section, 200,000 Hours = Base for 100 equivalent full-time employees (working 40 hours per week, 50 weeks per year). ### Chapter 25 — Maryland Occupational Safety and Health—Fall Protection in Steel Erection **Authority:** Labor and Employment Article, §§2-106(b)(4) and 5-312, Annotated Code of Maryland **Administrative History:** Effective date: June 25, 2001 (28:12 Md. R. 1105) **Administrative History:** Regulations .01—.03 repealed and new Regulations .01, .02 adopted effective September 30, 2002 (29:19 Md. R. 1524) #### Regulation .01 Scope. *COMAR 09.12.25.01* This chapter applies to the steel erection activities set forth in 29 CFR §1926.750. #### Regulation .02 Requirements. *COMAR 09.12.25.02* Except for connectors and employees performing leading edge work in a controlled decking zone, fall protection requirements for employees performing steel erection activities, from a location between 10 feet up to and including 15 feet in height are provided for in 29 CFR §1926.28(a). Fall protection requirements for employees performing steel erection activities above 15 feet are provided for in Subpart R, 29 CFR §§1926.760 and 1926.761. Fall protection requirements for connectors and employees performing leading edge work in a controlled decking zone are provided for in Subpart R, 29 CFR §§1926.760 and 1926.761. ### Chapter 26 — Crane Safety **Authority:** Labor and Employment Article, §§2-106(b)(4), 5-104, and 5-312, Annotated Code of Maryland **Administrative History:** Effective date: April 6, 2009 (36:7 Md. R. 522) **Administrative History:** Regulation .03B amended effective December 28, 2009 (36:26 Md. R. 1994) **Administrative History:** Regulation .04B amended effective December 28, 2009 (36:26 Md. R. 1994) **Administrative History:** Regulation .06B amended effective December 28, 2009 (36:26 Md. R. 1994) **Administrative History:** Regulation .08 amended effective December 28, 2009 (36:26 Md. R. 1994) **Administrative History:** Regulation .09 amended effective December 28, 2009 (36:26 Md. R. 1994) **Administrative History:** Regulation .12B amended effective December 28, 2009 (36:26 Md. R. 1994) **Administrative History:** Chapter revised effective June 27, 2011 (38:13 Md. R. 754) **Administrative History:** Regulation .04B amended effective November 24, 2016 (43:23 Md. R. 1279) **Administrative History:** Regulation .10A amended effective November 24, 2016 (43:23 Md. R. 1279) **Administrative History:** Regulation .11D amended effective November 24, 2016 (43:23 Md. R. 1279) #### Regulation .01 Purpose. *COMAR 09.12.26.01* The purpose of this chapter is to prevent incidents that result in property damage, injury, and death, related to the operation of cranes when used in construction and demolition. #### Regulation .02 Scope. *COMAR 09.12.26.02* A. Except as provided in §C of this regulation, this chapter applies to power operated equipment, when used in construction and demolition, that can hoist, lower, and horizontally move a suspended load. B. This chapter applies to all crane operators, signal persons, riggers, and crane operator trainees, and to the erection, operation, and dismantling of cranes used in construction and demolition. C. This chapter does not apply to the following equipment: (1) Machinery included in §A of this regulation while it has been converted or adapted for a non-hoisting/lifting use, and when used with chains, slings, or other rigging to lift suspended loads. Such conversions/adaptations include, but are not limited to, power shovels, excavators, and concrete pumps; (2) Automotive wreckers and tow trucks when used to clear wrecks and haul vehicles; (3) Digger derricks: (a) Used for auguring holes for poles carrying electric and telecommunication lines, placing and removing the poles, and for handling associated materials to be installed on or removed from the poles; (b) Used in electric power generation, transmission, and distribution work subject to 29 CFR Part 1926, Subpart V, which shall comply with 29 CFR §1926.950; and (c) Used in construction work for telecommunication service, as defined at 29 CFR §1910.268(s)(40), which shall comply with 29 CFR §1910.268; (4) Machinery originally designed as vehicle-mounted aerial devices such as the type used for lifting personnel and self-propelled elevating work platforms; (5) Powered industrial trucks, such as forklifts, except when configured to hoist and lower by means of a winch or hook and horizontally move a suspended load; (6) Mechanic's truck with a hoisting device when used in activities related to equipment maintenance and repair; (7) Machinery that hoists by using a come-along or chainfall; (8) Telescopic/hydraulic gantry systems; (9) Stacker cranes; (10) Dedicated drilling rigs; (11) Gin poles when used for the erection of communication towers; (12) Tree trimming and tree removal work; and (13) Except as provided in §D of this regulation, articulating/knuckle-boom truck cranes when: (a) Delivering material to a construction site when used to transfer materials from the truck crane to the ground, without arranging the materials in a particular sequence for hoisting; and (b) Delivering material to a construction site when the crane is used to transfer building supply sheet goods, including sheets of sheetrock, plywood, and roofing shingles, or building supply packaged materials, including bags of cement, packages of roofing shingles, and rolls of roofing felt, from the truck crane onto a structure using a fork/cradle at the end of the boom, but only when the truck crane is equipped with a properly functioning automatic overload prevention device. D. This chapter applies to articulating/knuckle-boom truck cranes when: (1) The articulating/knuckle-boom crane is used to hold, support, or stabilize the material to facilitate a construction activity, such as holding material in place while it is attached to the structure; (2) The material being handled by the articulating/knuckle-boom crane is a prefabricated component including, but not limited to, precast concrete members or panels, roof trusses such as wooden, cold-formed metal, steel, or other material, prefabricated building sections such as, but not limited to, floor panels, wall panels, roof panels, roof structures, or similar items; (3) The material being handled by the articulating/knuckle-boom crane is a structural steel member such as steel joists, beams, columns, steel decking, bundled or unbundled, or a component of a systems-engineered metal building as defined in 29 CFR Part 1926, Subpart R; or (4) The activity is not specifically excluded under COMAR 09.12.26.02C(13)(a)(b). E. This chapter applies to the equipment covered by this standard unless specified otherwise. F. The duties of controlling entities under this chapter include, but are not limited to, the duties specified in 29 CFR §1926.1402(c) and (e) and 29 CFR §1926.1424(b). G. Where provisions of this chapter direct an operator, crewmember, or other employee to take certain actions, the employer shall establish, effectively communicate to the relevant persons, and enforce work rules to ensure compliance with such provisions. H. For work covered by 29 CFR §1926.950, compliance with 29 CFR §1910.269(p) is deemed compliance with 29 CFR §§1926.1407—1926.1411. #### Regulation .03 Definitions. *COMAR 09.12.26.03* A. The definitions set forth in 29 CFR §1926.1401 apply to this chapter. B. For the purpose of this chapter, the following terms have the meanings indicated. (1) “ANSI” means the American National Standards Institute. (2) “ASME” means the American Society of Mechanical Engineers. (3) “ASSE” means the American Society of Safety Engineers. (4) “Commissioner” means the Commissioner of Labor and Industry. (5) “Crane” includes all equipment covered by this regulation. (6) “Crane operator” means a person who operates powered equipment covered by this regulation. (7) “Crane operator trainee” means a person who is engaged in a structured training program under the direct supervision of a crane operator who meets the requirements of this chapter. (8) “Crew member” means one or more employees of an employer who performs work in a given operation. (9) “Direct supervision” means that the supervisor: (a) Is in the immediate area of the operation; (b) Is within visual sighting distance of the operation; (c) Is able to effectively communicate with the persons engaged in the operation; and (d) Has no duties other than to observe and supervise the operation. (10) “Level I rigger” means an individual who works under the supervision of a competent person and on a routine basis performs rigging work engaged in lifting loads, other than rigging for special lifts, and the erection, dismantling, jumping, or reconfiguring of cranes. (11) “Level II rigger” means an individual who has accumulated 2 or more years of experience working as a level I rigger and performs rigging work engaged in lifting loads for special lifts, or the erection, dismantling, jumping, or reconfiguring of cranes, or all of these. (12) “Master/lead rigger” means an individual who has accumulated 5 or more years of experience rigging loads and is authorized by the employer to take prompt corrective action to eliminate hazards. (13) “NCCA” means the National Commission for Certifying Agencies. (14) “Qualified person” means a person who, by possession of a recognized degree in an applicable field or certificate of professional standing, or who, by extensive knowledge, training, and experience, has successfully demonstrated the ability to solve problems relating to the subject crane operations. (15) “Qualified rigging evaluator” means a person employed by the rigger’s employer who has demonstrated that he or she is competent in accurately assessing whether individuals meet the qualification requirements of this chapter for riggers. (16) “Rigger” means an individual who is engaged in the process of lifting, moving, and rigging loads with hardware and equipment used to attach a load to a crane. (17) “Rigging” means the hardware, equipment, and means used to safely attach a load to a crane by means of adequately rated and properly applied slings or other devices. (18) “Safety sensitive position” means a position subject to drug and alcohol testing because the nature of the employee's duties and responsibilities indicate a potential that impaired performance due to drugs or alcohol, or both, could result in injury or death to the employee or others. (19) “Signal person” means an individual who communicates guidance and direction to a crane operator in lifting, hoisting, moving, or releasing a load. (20) “Special lift” means a lift using multiple cranes or the erection, dismantling, or jumping of a tower crane. (21) “Third party qualified rigging evaluator” means an entity that, due to its independence and expertise, has demonstrated that it is competent in accurately assessing whether individuals meet the qualification requirements of this chapter for riggers. (22) “Tower crane” means a type of lifting structure which utilizes a vertical mast or tower to support a working boom (jib) in an elevated position. Loads are suspended from the working boom. While the working boom may be of a fixed type, horizontal or angled, or have luffing capability, it can always rotate to swing loads, either by rotating on the top of the tower such as top slewing or by the rotation of the tower such as bottom slewing. The tower base may be fixed in one location or ballasted and moveable between locations. Mobile cranes that are configured with luffing jib or tower attachments, or both, are not considered tower cranes under this section. #### Regulation .04 Incorporation by Reference. *COMAR 09.12.26.04* A. In this chapter, the following documents are incorporated by reference. B. Documents Incorporated. (1) 29 CFR §1926.1402, except (f); (2) 29 CFR §1926.1403; (3) 29 CFR §1926.1404; (4) 29 CFR §§1926.1405 and 1926.1406; (5) 29 CFR §1926.1407; (6) 29 CFR §§1926.1408—1926.1411; (7) 29 CFR §1926.1412, except delete second sentence of (d)(1)(x) that provides, “This paragraph does not apply to the inspection of ground conditions for railroad tracks and their underlying support when the railroad tracks are part of the general railroad system of transportation that is regulated pursuant to the Federal Railroad Administration under 49 CFR Part 213”; (8) 29 CFR §1926.1412(e)(3)(ii), except delete “3 months” and substitute “1 year”; (9) 29 CFR §1926.1412, except in (f)(7) delete “12 months” and substitute “3 years”; (10) 29 CFR §§1926.1413—1926.1426; (11) 29 CFR §1926.1427(f)(1), (f)(2), and (f)(3)(i), (iii), and (iv), and (j)(1) and (2); (12) 29 CFR §§1926.1428—1926.1430, except (c)(2); (13) 29 CFR §1926.1431; (14) 29 CFR §1926.1432; (15) 29 CFR §§1926.1433 and 1926.1434; (16) 29 CFR §1926.1435; (17) 29 CFR §1926.1436; (18) 29 CFR §1926.1437, except in(a) delete “unless specified otherwise” and insert “on non-navigable waters, lakes and streams”; (19) 29 CFR §§1926.1438—1926.1441; (20) Appendix A to Subpart CC of Part 1926—Standard Hand Signals; (21) Appendix B to Subpart CC of Part 1926—Assembly/Disassembly—Sample Procedures for Minimizing the Risk of Unintended Dangerous Boom Movement; and (22) Appendix C to Subpart CC of Part 1926—Operator Certification—Written Examination—Technical Knowledge Criteria; (23) ASME B30.3-2004 Safety Standard for Cableways, Cranes, Derricks, Hoists, Hooks, Jacks, and Slings—Construction Tower Cranes; (24) ASME B30.5-2007 Safety Standard for Cableways, Cranes, Derricks, Hoists, Hooks, Jacks, and Slings—Mobile and Locomotive Cranes; (25) ASME B30.6-2003 Safety Standard for Cableways, Cranes, Derricks, Hoists, Hooks, Jacks, and Slings—Derricks; (26) ANSI/ASSE A10.42-2000 Safety Requirements for Rigging Qualifications and Responsibilities—American National Standard for Construction and Demolition Operations; and (27) Standards for Educational and Psychological Testing (American Educational Research Association, American Psychological Association, National Council on Measurement in Education, 1999). #### Regulation .05 Drug and Alcohol Free Workplace and Substance Abuse Policy. *COMAR 09.12.26.05* A. An employer who employs individuals within a safety sensitive position shall have a drug and alcohol free workplace and substance abuse policy as required by this regulation. B. The Commissioner designates crane operators, signal persons, riggers, and crane operator trainees as safety sensitive positions. C. In addition to the positions designated by the Commissioner, an employer may designate other employees who work with or around cranes as being safety sensitive positions. D. An employer's drug and alcohol free workplace and substance abuse policy shall, at a minimum, require: (1) Mandatory drug or controlled substance and alcohol testing for all safety sensitive positions under the following circumstances: (a) At the commencement of employment in a safety sensitive position; (b) Under reasonable suspicion by the employer; (c) Randomly; and (d) Unless the medical condition of the employee does not permit it, immediately or not later than 24 hours following any incident for which crane operations were a direct or indirect cause and which involve: (i) Property damage greater than $5,000; (ii) Bodily injury; or (iii) A fatality; (2) Testing requirements that are consistent with 49 CFR Part 40, U.S. Department of Transportation, and Health-General Article, §17-214, Annotated Code of Maryland; (3) A prohibition on employees working in a safety sensitive position while under the influence of alcohol, drugs, or a controlled substance, unless: (a) An employee is using a controlled substance under the direction of a licensed physician who has advised the employee that the substance will not adversely affect the employee's ability to safely perform the duties assigned; (b) The employee notifies their supervisor and provides written medical documentation from their physician; and (c) The employer consents; and (4) A prohibition on the use, possession, or manufacture of any unlawful drug or use of alcohol while at work. #### Regulation .06 Crane Operator Requirements. *COMAR 09.12.26.06* A. Except as provided in §B of this regulation, an employer shall ensure that prior to operating equipment under this chapter, a person is qualified or certified in accordance with this regulation. B. The crane operator qualification or certification requirements do not apply to operators of equipment with a maximum manufacturer-rated hoisting/lifting capacity of 2,000 pounds or less. C. An employer is required to provide the training and qualification or certification at no cost to the employee consistent with §D or E of this regulation. D. Requirements for Certification Through an Accredited Crane Operator Testing Organization. (1) An employer can provide certification through an accredited crane operator testing organization. (2) For a testing organization to be considered accredited to certify crane operators under this regulation, it shall: (a) Be accredited by a nationally recognized accrediting agency based on that agency’s determination that industry recognized criteria for written testing materials, physical examinations, test administration, grading, facilities/equipment, and personnel have been met; (b) Administer written and practical tests that: (i) Assess the crane operator applicant regarding, at a minimum, the knowledge and skills listed in 29 CFR §1926.1427(j)(1) and (2); (ii) Provide different levels of certification based on equipment capacity and type; (iii) Have procedures for crane operators to reapply and be retested in the event a crane operator applicant fails a test or is decertified; and (iv) Have testing procedures for recertification designed to ensure that the crane operator continues to meet the technical knowledge and skill requirements in 29 CFR §1926.1427(j)(1) and (2); and (c) Have its accreditation reviewed by the nationally recognized accrediting agency at least every 3 years. (3) A crane operator shall be deemed qualified to operate a particular piece of equipment if: (a) The crane operator is certified under this section for that type and capacity of equipment or for higher-capacity equipment of that type; or (b) When no accredited testing agency offers certification examinations for a particular type or capacity of equipment, or both: (i) The operator has been certified for equipment that is most similar; (ii) A certification examination is available for the most similar equipment; and (iii) Where applicable, the operator’s certificate states the type or capacity of equipment, or both, for which the operator is certified. (4) A certification issued under this section: (a) Is portable; (b) Meets the requirements of §A of this regulation; and (c) Is valid for 5 years. E. Audited Employer Program. (1) An employer can provide qualification through an audited employer program. (2) Requirements for Qualification. (a) The written and practical tests shall be either: (i) Developed by an accredited crane operator testing organization which is accredited by a nationally recognized accrediting agency based on that agency’s determination that industry recognized criteria for written testing materials, practical examinations, test administration, grading, facilities/equipment, and personnel have been met; or (ii) Approved by an auditor who is certified to evaluate such tests by an accredited crane operator testing organization consistent with this regulation. (b) If approved by an auditor as provided in §E(2)(a)(ii) of this regulation, the auditor’s approval process shall be based on the following: (i) The auditor shall determine whether the written and practical tests meet nationally recognized test development criteria that are valid and reliable in assessing the crane operator applicants regarding, at a minimum, the knowledge and skills listed in 29 CFR §1926.1427(j)(1) and (2) of this regulation; and (ii) The audit shall be conducted in accordance with nationally recognized auditing standards. (c) Administration of Tests. (i) The written and practical tests shall be administered under circumstances approved by the auditor as meeting nationally recognized test administration standards. (ii) The auditor shall be certified to evaluate the administration of the written and practical tests by an accredited crane operator testing organization consistent with this regulation. (iii) The auditor may not be an employee of the employer. (iv) The audit shall be conducted in accordance with nationally recognized auditing standards. (3) The employer program must be audited within 3 months of the beginning of the program and at least every 3 years thereafter. (4) Requalification Testing Procedures. (a) The employer program shall have testing procedures for requalification designed to ensure that the crane operator continues to meet the technical knowledge and skills requirements in 29 CFR §1926.1427(j)(1) and (2) and this section. (b) The requalification procedures shall be audited in accordance with nationally recognized auditing standards and this section. (c) Within 3 months of the beginning of the employer program, the requalification procedures shall be audited. (d) The audit process shall be conducted at least every 3 years thereafter. (5) If the auditor determines that there is a significant deficiency in the program, the employer shall ensure that: (a) No crane operator is qualified until the auditor confirms that the significant deficiency has been corrected; (b) The program is audited again within 180 days of the confirmation that the significant deficiency was corrected; (c) The auditor files a documented report of the significant deficiency with the Maryland Occupational Safety and Health program of the Division of Labor and Industry within 15 days of the auditor’s determination that there is a deficiency; and (d) Records of the audits of the employer’s program are maintained by the auditor for 3 years and are made available by the auditor to the Commissioner or the Commissioner’s designated representative upon request. (6) A qualification under this paragraph: (a) Is not portable; (b) Is valid for the crane operator while the operator is employed by the employer that issued the qualification; (c) Is valid for 5 years; and (d) Meets the requirements of §A of this regulation. F. A testing entity is permitted to provide training as well as testing services if the criteria of an accrediting crane operator testing organization set forth in §D(2) of this regulation are met. G. Language and Literacy Requirements. (1) Tests under this section may be administered verbally, with answers given verbally, if the crane operator candidate: (a) Passes a written demonstration of literacy relevant to the work; and (b) Demonstrates the ability to use the type of written manufacturer procedures applicable to the class/type of equipment for which the crane operator is seeking certification. (2) Tests under this section may be administered in any language the crane operator candidate understands, and the crane operator’s certificate shall note the language in which the test was given. (3) The crane operator is qualified under §A of this regulation to operate equipment that is furnished with materials required by this chapter and 29 CFR §1926.1407 et seq. that are written in the language of the certification. The crane operator may only operate equipment furnished with such materials. H. Certification Criteria. Qualifications and certifications shall be based, at a minimum, on the following: (1) A determination through a written test that the person has the knowledge necessary for safe operation of the specific type of equipment the individual will operate, including all of the following: (a) Operational characteristics and controls, limitations and use, rated load capacities, and special hazards, including characteristic and performance questions appropriate to the crane type for which qualification is sought; (b) Emergency control skills, such as a response to fire, power line contact, loss of stability, or control malfunction; (c) Demonstrated ability to use arithmetic and load capacity charts to calculate load capacity information on a variety of configurations necessary for safe crane operation; (d) The ability to read and comprehend the crane manufacturer’s operation and maintenance instruction materials, including load capacity charts, for the crane for which qualification or certification is sought; (e) Depending upon the type of crane the operator intends to operate: (i) Knowledge of Chapter 3-3 of the ASME B30.3-2004 Safety Standard for Cableways, Cranes, Derricks, Hoists, Hooks, Jacks, and Slings—Construction Tower Cranes; (ii) Knowledge of Chapters 5-0—5-3 of the ASME B30.5-2007 Safety Standard for Cableways, Cranes, Derricks, Hoists, Hooks, Jacks, and Slings—Mobile and Locomotive Cranes; or (iii) Knowledge of Chapters 6-0—6-3 of the ASME B30.6-2003 Safety Standard for Cableways, Cranes, Derricks, Hoists, Hooks, Jacks, and Slings—Derricks; (f) Technical knowledge applicable to: (i) Operating the specific type of crane; (ii) Pre-start and post-start inspection, maneuvering skills, shutdowns, and securing procedures; (iii) Voice and radio communication methods; (iv) Site hazards and personal fall protection methods; (v) The suitability of the supporting ground, surface, or structure to handle expected load; (vi) The hazards and restrictions associated with working adjacent to overhead electric lines and equipment; (vii) The procedures for preventing and responding to fire, power line contact, loss of stability, or control malfunction; and (viii) This regulation, including technical knowledge criteria contained in Appendix C to Subpart CC of Part 1926—Operator Certification—Written Examination—Technical Knowledge Criteria; and (g) The ability to read and locate relevant information in the equipment manual and other materials containing information relative to safe operation; and (2) A determination through a practical test that the individual has the skills necessary for safe operation of the equipment, including the following: (a) Ability to recognize, from visual and auditory observation, the items listed in 29 CFR §1926.1412(d); (b) Operational and maneuvering skills; (c) Application of load chart information; and (d) Application of safe shut-down and securing procedures. I. Every 2 years, an employer shall ensure that a crane operator provides the employer with the following current medical documentation: (1) Proof of successful completion of a physical examination conducted by a licensed physician that includes, at a minimum, the examination criteria specified in Paragraph 3.1.2 of the ASME B30.5-2007 Safety Standard for Cableways, Cranes, Derricks, Hoists, Hooks, Jacks, and Slings—Mobile and Locomotive Cranes; or (2) A certificate of medical examination as required for a commercial driver's license that would be acceptable to the U.S. Department of Transportation, unless the employee provides documentation from a licensed physician that the failure to meet these qualifications will not affect the individual's operation of a crane. #### Regulation .07 Crane Operator Trainee Requirements. *COMAR 09.12.26.07* A. An employee who is not qualified or certified under Regulation .06 of this chapter is permitted to operate a crane as a crane operator trainee only where the requirements of this section are met. B. An employer shall ensure compliance with the following: (1) The crane operator trainee is familiar with and understands 29 CFR §1926.1427(f)(1), (f)(2), and (f)(3)(i), (iii), and (iv); (2) The crane operator trainer is qualified or certified under Regulation .06 of this chapter and is familiar with the proper use of the equipment’s controls; and (3) The crane operator trainee is directly supervised by the crane operator trainer at all times. C. The employer shall provide each crane operator trainee with sufficient training prior to operating the equipment to enable the crane operator trainee to operate the equipment safely under limitations established by this section, including direct supervision, and ensure that the crane operator trainee has a basic understanding of: (1) Crane limitations; (2) Standard hand signals as defined in ASME B30.5-2007 Safety Standard for Cableways, Cranes, Derricks, Hoists, Hooks, Jacks, and Slings—Mobile and Locomotive Cranes; (3) Voice and radio communications; (4) Crane dynamics involved in swinging, controlling, and stopping loads; (5) Boom deflection from hoisting loads; (6) Personal fall protection methods; and (7) Hazards and restrictions associated with working adjacent to overhead electric lines and equipment. D. In lieu of compliance with §C of this regulation, an employer may accept proof of completion of training through an operating engineer apprenticeship program that has been approved by the Maryland Apprenticeship and Training Council. E. The crane operator trainee shall not operate the equipment under any of the following circumstances: (1) If any part of the equipment, load line or load, including rigging and lifting accessories, is operated up to the equipment’s maximum working radius in the work zone so that the load line or load could get within 20 feet of a power line that is up to 350 kV, or within 50 feet of a power line that is over 350 kV; (2) If the equipment is used to hoist personnel; (3) In lifts where 75 percent of the crane’s capacity may be exceeded; (4) If the equipment is used over a shaft or cofferdam or in a tank farm; and (5) Special-lift rigging operations, except where the crane operator trainer determines that the crane operator trainee skills are sufficient for this high-skill work. F. Every 2 years, an employer shall ensure that a crane operator trainee provides the employer with the following current medical documentation: (1) Proof of successful completion of a physical examination conducted by a licensed physician that includes, at a minimum, the examination criteria specified in Paragraph 3.1.2 of the ASME B30.5-2007 Safety Standard for Cableways, Cranes, Derricks, Hoists, Hooks, Jacks, and Slings—Mobile and Locomotive Cranes; or (2) A certificate of medical examination as required for a commercial driver's license that would be acceptable to the U.S. Department of Transportation, unless the employee provides documentation from a licensed physician that the failure to meet these qualifications will not affect the individual's operation of a crane. G. The employer shall require that each crane operator trainee has successfully passed a substance abuse test pursuant to the employer’s drug and alcohol free workplace and substance abuse policy. #### Regulation .08 Rigger and Rigging Requirements. *COMAR 09.12.26.08* A. An employer shall ensure that all rigging has been inspected and is used in accordance with the rigging manufacturer’s limitations and requirements. B. An employer shall ensure the following: (1) That each rigger is trained and meets the qualification requirements of §G, H, or I of this regulation depending upon the work to be performed; and (2) That the rigger is trained to satisfy the qualification requirements of this section at no cost to the employee. C. Ensuring Compliance. (1) Except as provided in §C(2) of this regulation, an employer shall ensure compliance with the qualification requirements of this section by using either a third-party qualified rigging evaluator or a qualified rigging evaluator. (2) An employer may ensure compliance with the qualification requirements for §D of this regulation with written proof of an employee’s successful completion of training through an apprenticeship program for riggers that has been approved by the Maryland Apprenticeship and Training Council. D. A third-party qualified rigging evaluator or a qualified rigging evaluator shall: (1) Provide written documentation of his or her determination that the individual has been trained and meets the qualification requirements for the work to be performed; and (2) Provide in the written documentation the level of qualification of the employee. E. A determination by a qualified rigging evaluator is not portable. F. A determination by a third-party qualified rigging evaluator is portable. G. The qualification requirements for a level I rigger are: (1) Basic understanding of the equipment operation and limitations, including the dynamics related to equipment movement when swinging and stopping loads and crane boom deflection when hoisting loads; (2) Basic understanding related to the use and inspection of rigging hardware and equipment applicable to work that is performed, including common load configurations and positioning, and the use of taglines to control loads; (3) Knowledge and understanding of and competence in the application of the Standard Method for Hand Signals as outlined in ANSI/ASSE A10.42-2000 Safety Requirements for Rigging Qualifications and Responsibilities—American National Standard for Construction and Demolition Operations; (4) Knowledge and understanding of the emergency procedures to address fire, power line contact, loss of stability, or control malfunction; (5) Knowledge and understanding of the relevant requirements of 29 CFR §§1926.1419—1926.1422; (6) Knowledge and understanding of the personal fall protection requirements contained in 29 CFR §1926.1423; (7) Knowledge and understanding of the hazards and restrictions associated with working adjacent to overhead electric lines, including 29 CFR §§1926.1407—1926.1411, and the Maryland High Voltage Line Act; (8) Demonstration of the requirements of this subsection through an oral or written test and through a practical test. H. In addition to the qualification requirements of §G of this regulation, a level II rigger shall: (1) Have working knowledge of the equipment operation and limitations, including the dynamics related to equipment movement when swinging and stopping loads and crane boom deflection when hoisting loads; (2) Have working knowledge related to the use and inspection of rigging hardware and equipment applicable to work that is performed, including common load configurations and positioning, and the use of taglines to control loads; and (3) Have completed training in the safe application, use, and limitations of rigging equipment, as applicable to the work performed, including: (a) Knowledge and understanding of the implementation methods for blind hoists and lifts; (b) Knowledge and understanding of a wide range of rigging hitches and knots; (c) Knowledge and understanding of the effective and safe use of anchor points; (d) Knowledge and understanding of the effective and safe use of synthetic ropes in rigging applications; (e) Knowledge and understanding of and the ability to apply the requirements of 29 CFR §§1926.1402—1926.1406 as they relate to ground conditions and crane and equipment assembly and disassembly; (f) Knowledge and understanding of and the ability to apply the requirements of 29 CFR §§1926.1424—1926.1426 as they relate to hazards that may be created by crane and equipment operations; and (g) Knowledge and understanding of and the ability to apply and provide direction in the use and limitation of rigging equipment outlined in ANSI/ASSE A10.42-2000 Safety Requirements for Rigging Qualifications and Responsibilities—American National Standard for Construction and Demolition Operations that may be applicable to the work performed. I. In addition to the qualification requirements of §§G and H of this regulation, a master/lead rigger shall have completed training in safe application, use, and limitations of rigging as applicable to the work performed, including: (1) The hazards associated with cranes and equipment traveling with a suspended load; (2) The requirements of 29 CFR §1926.1431 as they relate to hazards that may be created by hoisting and lifting of personnel; (3) Specific criteria from the manufacturer or equipment representative in the safe and appropriate methods of erection, dismantling, jumping, and reconfiguring of cranes and the relevant requirements of 29 CFR §1926.1435; (4) Specific criteria for lifting a single load with multiple cranes and the relevant requirements of 29 CFR §1926.1432; (5) The use and limitations of load indicating devices and the relevant requirements of 29 CFR §1926.1415; (6) The hazards that may be created by effects of angles or indirect pulling of loads; (7) The drum/diameter (D/d) ratios; and (8) Vectors and angles. J. If the work performance of a level I, level 2, or master/lead rigger indicates that the employee does not meet the qualification requirements of this section, the employer may not allow the employee to continue to work as a rigger until retraining is provided and there is a reassessment that confirms the employee’s qualifications. K. All riggers shall successfully pass a substance abuse test pursuant to the employer’s drug and alcohol free workplace and substance abuse policy. #### Regulation .09 Record Keeping. *COMAR 09.12.26.09* A. An employer shall maintain a written record of the training for each crane operator, signal person, rigger, and crane operator trainee. B. Training Records. (1) All training records shall be maintained for 3 years after the end of the individual’s employment in the employer’s principal office of the business in Maryland. (2) An employer shall make the training records available to the Commissioner of Labor and Industry or the Commissioner’s representative for examination and copying upon request. #### Regulation .10 Special Lifts. *COMAR 09.12.26.10* A. An employer shall ensure that each time a special lift occurs all rigging operations are under the direct supervision of a master/lead rigger. B. An employer shall ensure that, prior to the commencement of work, all rigging used in special lifts is inspected for compliance with all requirements by the master/lead rigger. C. Forty-eight hours prior to the commencement of any special lift, an employer shall notify the Commissioner of Labor and Industry by e-mail to the address located on the Department’s website for special lifts, or fax to 410-767-2986, with the following information: (1) Name of employer; (2) General or managing contractor; (3) Type of special lift; (4) Site location; (5) Specific site of special lift within the location; (6) Site contact person and phone number; (7) Equipment involved; and (8) Scheduled time of special lift. D. If an employer is unable to provide 48 hours notice to the Commissioner of Labor and Industry prior to the commencement of any special lift, the employer shall provide the Commissioner with notice as soon as practical and a written explanation why 48 hours notice was not provided along with the required information in §C(1)—(8) of this regulation, not later than 24 hours after the special lift. #### Regulation .11 Tower Cranes. *COMAR 09.12.26.11* A. An employer shall ensure that prior to the erection or modification of any tower crane or supporting structure, a qualified person shall determine the appropriate and safe method to integrate, assemble, and erect the tower crane for that site. B. The employer shall ensure that when a tower crane is erected, dismantled, jumped, or reconfigured the following are maintained at the site where the work is performed: (1) Written instructions by the manufacturer or a qualified person; and (2) A list of the weights of each subassembly to be erected, dismantled, jumped, or reconfigured. C. Except when approved and documented by a qualified person, prior to the commencement of work on the tower crane, the employer shall establish procedures for the particular site for the erection, dismantling, jumping, or reconfiguration work. D. An employer shall ensure that rigging operations during the erection, dismantling, jumping, or reconfiguring of a tower crane is performed under the direct supervision of a master/lead rigger. E. An employer shall ensure that a daily job safety briefing is conducted before the commencement of work with all persons working on or around the crane in the following circumstances: (1) Prior to each jumping operation; (2) Prior to when the boom, jib, or counter-jib is to be reconfigured; or (3) Prior to when a tower crane is to be dismantled. F. An employer shall ensure that the master/lead rigger discuss the following at the daily job safety briefing: (1) The site-specific procedures; (2) The manufacturer's recommendations and precautions; (3) Any concerns related to the process that is to be undertaken; (4) The communication methods and procedures to be used; and (5) The process workload for the work shift, including the individual tasks to be performed by each person. G. An employer shall ensure that erection, dismantling, and inspections shall be conducted in accordance with Chapters 3-1 and 3-2 of the ASME B30.3-2004 Safety Standard for Cableways, Cranes, Derricks, Hoists, Hooks, Jacks, and Slings — Construction Tower Cranes. ### Chapter 27 — Tower Crane Operator Certification **Authority:** Business Occupations and Professions Article, Title 9.5; Labor and Employment Article, §§2-106(b)(4) and 5-312; Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.04 adopted as an emergency provision effective November 16, 2009 (36:26 Md. R. 1993); adopted permanently effective February 8, 2010 (37:3 Md. R. 175) #### Regulation .01 Scope. *COMAR 09.12.27.01* This chapter applies to tower crane operators. #### Regulation .02 Definitions. *COMAR 09.12.27.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Certificate of competence” means certification that is obtained by a person through any organization accredited by the American National Standards Institute or the National Commission for Certifying Agencies and that states the holder of the certificate demonstrates knowledge of and training in safe crane operating procedures. (2) “Commissioner” means the Commissioner of Labor and Industry. (3) “Crane operator” means an individual who operates a crane. (4) “Digger derrick truck” means a mobile derrick truck with a mast or equivalent member for drilling. (5) “Hydraulic crane” means a crane that has a revolving superstructure, boom, and hoisting machine that is operated, extended, retracted, rotated, raised, and lowered hydraulically. (6) “Inspection of a crane” means a thorough examination of the operation of mechanisms to determine functionality and control of hoisting systems, power transmission equipment, braking, superstructure movement, boom operation, and travel. (7) “Knuckle boom crane” means a hydraulically powered articulating arm fitted to a truck or trailer that is used for loading and unloading the vehicle. It is also known as a loader crane. (8) “Power-operated derrick” means an apparatus consisting of a mast or equivalent member held at the end by guys or braces, with or without a boom, including conventional lattice boom cranes. (9) “Tower crane” means a power-operated hoisting machine in which a boom or structural member is mounted upon a vertical mast or tower structure with the function of hoisting, lowering, and swinging loads at various radii, but does not include a conventional boom, including mobile and track. (10) “Trolley boom” means a crane having a hoist/trolley assembly that runs horizontally along rails. #### Regulation .03 Tower Crane Operations. *COMAR 09.12.27.03* To operate a tower crane, a crane operator is required to have a certificate of competence. #### Regulation .04 Written Notice of Violation. *COMAR 09.12.27.04* A. The Commissioner or the agent of the Commissioner shall issue a written notice to any person who operates a tower crane without a certificate of competence. B. The notice shall: (1) Be in writing; (2) Describe with particularity the nature of the alleged violation; and (3) Include a statement signed by the employer that the employer will not allow the particular crane to operate unless there is an operator with a certificate of competence. C. The Commissioner's written notice or a copy of the written notice shall be posted conspicuously at or near the crane where the alleged violation occurred. ### Chapter 28 — Tree Care and Removal **Authority:** Labor and Employment Article, §§2-106(b)(4), 5-104, and 5-312; Annotated Code of Maryland **Administrative History:** Effective date: September 3, 2012 (39:17 Md. R. 1147) #### Regulation .01 Purpose. *COMAR 09.12.28.01* The purpose of this chapter is to provide a safe work environment for employees engaged in tree care including, but not limited to, cutting, pruning, or other work on a standing tree as well as tree removal. #### Regulation .02 Scope. *COMAR 09.12.28.02* A. This chapter covers safety requirements for tools and equipment and the safe work practices used in tree care and the removal of trees, including any portion thereof. B. This chapter applies to construction, demolition, and general industry. C. Where provisions of this chapter direct an employee to take certain actions, an employer shall establish, effectively communicate to the relevant persons, and enforce work rules to ensure compliance with such provisions. D. This chapter does not apply to: (1) Work covered by 29 CFR §§1910.268 and 1910.269; (2) Logging operations; or (3) Land clearing operations for construction when heavy equipment is used to remove the trees and no trees are manually felled. #### Regulation .03 Definitions. *COMAR 09.12.28.03* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Anti-two block device” means a device attached to a crane which prevents the lower load block or hook assembly from contacting the upper load block or boom point sheave assembly. (2) “Apex” means the point at which two saw cuts meet to form a notch. (3) “Approved” means is certified, labeled, or listed by a nationally recognized testing laboratory. (4) “Arborist climbing line” means a line designated to support the employee while aloft in a tree or attached to a crane. (5) “Arborist saddle” means an arrangement of straps, fittings, and buckles or other elements that form a waist belt with a low attachment element or elements and connecting support by encircling the legs suitably arranged to support the body in a sitting position. (6) “Back cut” means the cut made in a tree limb or trunk on the side opposite of the intended direction of fall. (7) “Carabiner” means a connector generally composed of a trapezoidal or oval-shaped body with a closed gate or similar arrangement that may be opened to receive an object and, when released, automatically closes to retain the object. (8) “Chopping tool” means a wooden-, fiberglass-, or steel-handled tool with a sharp, single- or double-edged steel head or blade mounted to it that is used to cut or split wood such as an ax or machete. (9) “Competent person” means an employee who is capable of identifying existing and predictable hazards and who has authorization to take prompt corrective measures. (10) “Conventional notch” means a directional felling cut into the side of a tree, facing the intended direction of fall and consisting of a horizontal face cut and an angled cut above it, creating a notch of approximately 45 degrees. (11) “Crotch” means a branch union where an angle is formed by two branches in the tree. (12) “Drop zone” means the area beneath an employee working aloft where there is the potential hazard of a falling object on another employee. (13) “Electrical conductor” means any overhead or underground electrical component capable of carrying an electric current, including communications wires and cables, power lines, and other such fixtures or apparatus. (14) “Ferrule” means a metal ring placed around the handle to prevent splitting. (15) “Licensed tree expert” means a person who has received from the Maryland Department of Natural Resources a license to allow their entity to perform tree care and tree removal. (16) “Person being lifted” means an employee who has been trained in fall prevention methods and the requirements of this regulation, and is capable of identifying existing and predictable hazards related to the tree care operations. (17) “Prusik loop” means an endless loop of rope used to fashion a Prusik knot. (18) “Qualified line-clearance tree trimmer” means an employee who, through related training and on-the-job experience, is familiar with the equipment and hazards in line clearance and has demonstrated the ability to perform the special techniques involved. (19) “Qualified person” means one who, by possession of a recognized degree, certificate, or professional standing, or who by extensive knowledge, training, and experience, has successfully demonstrated the person’s ability to solve or resolve problems relating to recognized and predictable hazards within the tree care industry. (20) “Secured” means made firm, tight, or fastened or when an employee is safeguarded from unintended movement by utilizing a climbing system that is attached to the employee and connected to a tree or other stable support, or both. Examples include, but are not limited to, being tied in, using a work-positioning lanyard, being on belay, and ascending the arborist climbing line using the foot lock technique while utilizing a Prusik loop or ascenders. (21) “Snap hook” means a connector composed of a hook-shaped member with a normally closed keeper, or similar arrangement, which may be opened to permit the hook to receive an object and, when released, automatically closes to retain the object. (22) “Tool lanyard” means a short line or strap used to secure a tool while working aloft. (23) “Tree care” means cutting, pruning, or other work on a standing tree. (24) “Tree removal” means the act of tree elimination whether cut down by sectioning or felling. (25) “Vehicle” means a car, bus, or truck that is owned, leased, or rented by the employer and is used for transportation of employees. (26) “Wedge” means a piece of material with two sides meeting at an angle that is used to raise or split objects by applying a driving force. (27) “Workline” means a rope used for lifting, lowering, or guiding limbs or equipment, or both, into or out of the tree. #### Regulation .04 Incorporation by Reference. *COMAR 09.12.28.04* A. In this chapter, the following documents are incorporated by reference. B. Documents Incorporated. (1) ANSI Z133.1-2006 American National Standard for Arboricultural Operations—Safety Requirements, as amended. (2) ANSI/ASSE Z359.0-2007 Definitions and Nomenclature Used for Fall Protection and Fall Arrest, Part of the Fall Protection Code, as amended. (3) ANSI/ASSE Z359.1-2007 Safety Requirements for Personal Fall Arrest Systems, Subsystems and Components, Part of the Fall Protection Code, as amended. (4) ANSI/ASSE Z359.2-2007 Minimum Requirements for a Comprehensive Managed Fall Protection Program, Part of the Fall Protection Code, as amended. (5) ANSI/ASSE Z359.3-2007 Safety Requirements for Positioning and Travel Restraint Systems, Part of the Fall Protection Code, as amended. (6) ANSI/ASSE Z359.4-2007 Safety Requirements for Assisted-Rescue and Self-Rescue Systems, Subsystems and Components, Part of the Fall Protection Code, as amended. (7) ANSI/ASSE Z359.6-2009 Specifications and Design Requirements for Active Fall Protection Systems, Part of the Fall Protection Code, Version 2, as amended. (8) ANSI/ASSE Z359.12-2009 Connecting Components for Personal Fall Arrest Systems, Part of the Fall Protection Code, Version 2, as amended. (9) ANSI/ASSE Z359.13-2009 Personal Energy Absorbers and Energy Absorbing Lanyards, Part of the Fall Protection Code, Version 2, as amended. #### Regulation .05 General Requirements. *COMAR 09.12.28.05* A. All work to be performed shall be consistent with the Maryland Department of Natural Resources licensing requirements for a licensed tree expert. B. All equipment used in tree care and tree removal shall be used consistent with the manufacturer’s specifications and limitations. C. An employer shall have a workplace hazard assessment conducted for all work activities to be performed in compliance with 29 CFR §1910.132(d)(2) that includes the following: (1) A written certification that identifies the workplace evaluated; (2) The name of the person certifying that the evaluation has been performed; (3) The date or dates of the hazard assessment; and (4) A document that is identified as a certification of hazard assessment. D. Appropriate personal protective equipment shall be provided, used, and maintained at no cost to the employee, including: (1) Leg protection constructed with cut-resistant material, such as ballistic nylon that covers the full length of the thigh to the top of the boot on each leg, except when: (a) The employer can demonstrate that a greater hazard is posed by wearing leg protection; (b) The work is being performed from a vehicular-mounted elevating and rotating work platform; or (c) An employee is aloft in the tree; (2) Head protection that meets the requirements of 29 CFR §1910.135; and (3) Eye protection that meets the requirements of 29 CFR §1910.133 for each affected employee. E. The employer shall ensure that each affected employee wears foot protection that complies with 29 CFR §1910.136. F. An employer shall maintain the necessary first-aid supplies at each work site to address the potential hazards from the work to be performed. G. Fire Prevention. (1) An employer shall assure that the following fire prevention measures are followed: (a) Provide and maintain portable fire extinguishers on each vehicle in accordance with 29 CFR §1910.157; (b) Store, handle, and dispense flammable liquids from approved containers; (c) Prohibit smoking when handling or working in close proximity to flammable liquids; (d) Change clothing contaminated by flammable liquids as soon as possible; and (e) Avoid open flame and other sources of ignition. (2) An employer shall have the following procedures in place during fueling operations: (a) Equipment may not be operated within 10 feet of fueling operations or areas where refueling has recently taken place; (b) Equipment shall be refueled only after the engine has stopped; and (c) Spilled fuel shall be removed from equipment before restarting an engine. H. An employer shall have a qualified person conduct a visual assessment of the work area prior to the start of any activity which shall include determining potential hazards, including the location of overhead wires, loose limbs, and debris. I. Job Briefing. (1) An employer shall have a job briefing at the start of each work shift with all employees involved in the operation in attendance. (2) The job briefing shall communicate the following: (a) The hazards associated with the job, the work procedures involved, special precautions, job assignments, and the proper use of personal protective equipment; (b) The work plans for tree care and tree removal operations before commencing work; (c) Any electrical hazards, including electrical conductors or communication lines, shall be considered energized; and (d) The location of underground utilities if subsurface work is involved. (3) An employer shall assure that at the job briefing the method of verbal and visual communication is established in compliance with §K of this regulation and is fully explained to all employees. J. Traffic Control Requirements. (1) When exposed to vehicular traffic on a public road, an effective means for controlling hazards created by vehicular traffic shall be instituted on every job site where necessary, in accordance with the U.S. Department of Transportation Manual on Uniform Traffic Control Devices. (2) When exposed to vehicular traffic on a public road, each employee shall wear as a minimum a Class II reflective garment when the employee will be exposed to vehicular traffic. K. Communication and Signaling. (1) At each work site, every effort shall be made to assure that there is communication with outside emergency facilities at all times such as, but not limited to, 911 call centers. (2) Hand signals or audible contact such as, but not limited to, whistles, horns, or radios shall be used whenever noise, distance, restricted visibility, or other factors prevent clear understanding of normal voice communication between employees. (3) Except in an emergency, one person shall be designated to give hand signals during crane operations. (4) Engine noise, such as from a chain saw, may not be used as a means of signaling. L. Electrical. (1) Except where tree care is performed adjacent to electrical power generation, transmission, and distribution lines and equipment pursuant to 29 CFR §§1910.268 and 1910.269, a distance of 10 feet shall be maintained between an employee’s body and tools and an energized conductor. (2) If it is determined that the 10-foot distance cannot be maintained prior to commencing work, the employer: (a) Shall contact the system operator or owner, or both, of the energized conductor to de-energize the conductor; and (b) May not perform the work if the system operator or owner of the energized conductor, or both, are unavailable. M. All operations at the work site shall cease if weather conditions indicate or the weather forecast calls for imminent hazardous weather such as, but not limited to, electrical storms and strong winds. N. Fall Protection. (1) General Requirements. (a) Prior to each use, a competent person shall inspect the climbing lines, worklines, lanyards, and other climbing equipment for damage, cuts, abrasion, or deterioration. (b) Equipment shall be removed from service if there are signs of excessive wear or damage as provided for in the manufacturer’s specifications. (c) Except as provided in §N(1)(d) of this regulation, all equipment used to secure an employee in a tree or from an aerial lift shall be used for its intended purpose only. (d) An arborist climbing line may be used to raise and lower tools. (e) Rope and climbing equipment shall be stored and transported in such a manner to prevent damage through contact with sharp tools, cutting edges, gas, oil, or other environmental factors. (f) An employee shall be secured for the duration of the work until the employee returns to the ground. (g) While ascending the ladder to gain access to a tree, no work shall be performed until the ladder is secured. (h) Employees shall be instructed to the extent possible that their tie-in position should be positioned to prevent the employee from being subject to a pendulum swing in the event of a slip. (2) Arborist Saddles. (a) Arborist saddles used for work positioning shall be identified by the manufacturer as suitable for tree climbing. (b) An arborist saddle shall meet the hardware material, strength, and testing requirements outlined in ANSI/ASSE Z359 Fall Protection Code. (3) Climbing Lines. (a) Climbing lines shall meet the following requirements: (i) Constructed from a synthetic fiber, with a minimum breaking strength of 5,400 pounds (24.02 kilonewton); and (ii) Identified by the manufacturer as suitable for tree climbing. (b) Climbing lines shall never be left in trees unattended. (c) A climbing line and at least one other means of being secured while working aloft shall be made available. (4) Climbing Equipment. (a) Prusik loops, split-tails, and work-positioning lanyards used in a climbing system shall meet the minimum strength of 5,000 pounds (22.24 kilonewton). (b) A snap hook used in climbing shall be self-closing and self-locking, and comply with ANSI/ASSE Z359 Fall Protection Code. (c) Carabiners used in climbing shall be self-closing and self-locking, and comply with ANSI/ASSE Z359 Fall Protection Code. (d) Carabiners shall be designed to release the load by requiring at least two consecutive, deliberate actions to prepare the gate for opening. (e) The following shall be assured: (i) An employee shall be secured while ascending a tree; (ii) An employee shall be tied in once the work begins and shall be tied in until the work is completed and the employee is returned to the ground; (iii) An employee shall be secured when repositioning the climbing line; (iv) While ascending a ladder to gain access to a tree, an employee may not work from or leave the ladder until the employee is tied in or otherwise secured; (v) To the extent possible, an employee’s tie-in position shall be located in such a manner so that the employee will not be subjected to a pendulum swing in the event of a slip; and (vi) When an employee is working at heights greater than 1/2 the length of the employee’s climbing line, a figure-eight knot shall be tied in the end of the climbing line to prevent pulling the rope through the climbing hitch. O. Vehicles, Tools, and Mobile Equipment. (1) General Requirements. (a) Prior to daily use of any vehicles and mobile equipment, a visual walk-around inspection and operational check shall be conducted in accordance with the manufacturer’s and owner’s instructions. (b) Prior to operating a vehicle, an employer shall assure that an employee operating a vehicle meets the following requirements: (i) Training and experience to perform the assigned duties; and (ii) Licensed in accordance with federal, State, and local requirements. (c) Step surfaces and platforms on mobile equipment shall be skid-resistant. (d) Safety chains shall be crossed under the tongue of the mobile equipment being towed and connected to the towing vehicle. (e) All vehicles and mobile equipment shall be chocked when unattended. (f) When a manufacturer provides a seat belt, the seat belt shall be used. (g) Material and equipment carried on vehicles or mobile equipment shall be properly secured to prevent movement. (h) Vehicles with obscured rear vision shall be backed up only when necessary and when there is: (i) A reverse signal alarm; or (ii) Another employee who is in constant eyesight of the driver providing direction. (i) One-person crews are exempt from §O(1)(h)(ii) of this regulation. (2) Brush Chippers. (a) Rotary drum or disc brush chippers not equipped with a mechanical infeed system shall be equipped with an infeed hopper not less than 85 inches (2.15 meters) measured from the blades or knives to ground level over the center line of the hopper. (b) The side members of the infeed hopper shall have sufficient height so as to prevent employee contact with the blades or knives during operations. (c) The rotary drum or disc brush chippers not equipped with a mechanical infeed system shall have a flexible anti-kickback device installed in the infeed hopper to reduce the risk of injury from flying chips and debris. (d) Chippers equipped with a mechanical infeed system shall have a quick-stop and reversing device on the infeed system. (e) The activating mechanism for the quick-stop and reversing device shall be located across the top, along each side, and close to the feed end of the infeed hopper, within easy reach. (3) Cranes and Related Hoisting Equipment. (a) The use of a crane to lift an employee is prohibited except as provided in this subsection. (b) An employer shall have a qualified person assess whether there are possible alternative methods of lifting an employee other than using a crane to determine the least hazardous means of lifting. (c) An employer shall document the alternative methods considered by the qualified person in writing and with an explanation why lifting with a crane is the least hazardous method of lifting for each project. (d) If an employer after consultation with the qualified person determines that lifting with a crane is the least hazardous means of lifting, the following shall be complied with: (i) Only employees trained in this regulation shall be lifted by a crane; (ii) The crane operator performing the tree care work shall be familiar with potential hazards; (iii) The crane operator, qualified person, person being lifted, and other employees involved in performing the work shall meet prior to commencing work to review the procedures to be followed; (iv) Cranes with telescoping booms shall be equipped with an anti-two block device; (v) Tree sections shall be rigged to minimize load shifting, control load lowering, and prevent shock-loading; (vi) A green log weight chart, such as Annex E of ANSI Z133.1-2006 American National Standard for Arboricultural Operations—Safety Requirements, shall be used to estimate the load being handled; and (vii) Side loading of the crane and free fall of the load is prohibited. (e) The following procedures shall be followed by a person being lifted in a crane: (i) The person being lifted shall use a second point of attachment to the crane hoist line or lifting line; (ii) The person being lifted shall secure the climbing line to the tree and disconnect from the crane as soon as possible; (iii) The arborist climbing line shall be secured to the crane in such a way that it does not interfere with the function of any damage prevention or warning device on the crane; (iv) No part of the crane shall compromise the climbing line or any component of the climbing system; (v) Lifting or lowering speed may not exceed 100 feet per minute. (vi) The load-line hoist drum shall have a system or other device on the power train, other than the load hoist brake, that regulates the speed of the hoist mechanism up and down; and (vii) Except as provided in §O(3)(f) of this regulation, the person being lifted shall be detached from the crane any time it comes under load tension. (f) When the qualified person determines that reasonably possible alternate methods are inaccessible and attachment to the subject tree would create a greater safety risk due to its hazardous condition, the employer shall allow the person being lifted to remain attached to the crane while under load. (g) In assessing alternative methods, the following shall be considered: (i) Securing the person being lifted to the tree and detaching from the crane before it comes under load; (ii) Using a second crane; (iii) Using an aerial lift device; and (iv) Using an adjacent tree. (h) When the person being lifted is attached to the crane while it is under load, the total weight may not exceed 50 percent of the load capacity for the radius and configuration of the crane. (4) Equipment-Mounted Winches. (a) Winches, hoisting, or lifting equipment on vehicles shall be used within rated capacities as stated by the manufacturer’s specifications. (b) The winch cable shall be inspected prior to each use for broken or worn strands, bird caging, major kinks, and damaged cables and shall be taken out of service. (c) Cable hooks and attachment points shall be inspected for damage, and damaged hooks or attachment assemblies shall be taken out of service. (d) All loads shall be pulled in such a manner as to avoid angles that may result in tipping, causing a vehicle to become unstable, or unintended movement of the vehicle. (5) Chain Saws. (a) Chain saw safety devices may not be removed or modified and shall be operational. (b) When an employee starts a chain saw, the chain saw shall be held firmly in place on the ground or otherwise supported to minimize the movement of the chain saw when the starter handle is pulled. (c) If the chain saw has a chain brake, the chain brake shall be engaged when the chain saw is started. (d) The chain saw shall be started and operated only when other employees are clear of the chain saw. (e) When the chain saw is operating, it shall be held firmly with both hands with the thumb and fingers wrapped around the handle. (f) Chain saw mufflers and, if provided, spark arresters shall be maintained in good condition. (g) When an employee is working in a tree other than from an aerial device, chain saws weighing more than 15 pounds (6.8 kilograms) shall be secured from falling, for example, supported by a separate line or tool lanyard. (h) A second point of attachment shall be used when operating a chain saw in a tree, unless the employer demonstrates that a greater hazard is posed by using a second point of attachment. (i) The chain brake shall be engaged, or the engine shut off, before setting a chain saw down. (j) If a chain saw is being carried more than two steps, the chain brake shall be engaged or the engine shut off. (k) Secure footing shall be maintained while starting and operating a chain saw. (l) A chain saw may not be used in a position or at a distance that could cause an employee to become off balance, have insecure footing, or relinquish a firm grip on the saw. (6) Wedges, Chisels, and Gouges. (a) Only wood, plastic, or soft-metal wedges shall be used while operating chain saws. (b) Wood-handled chisels shall be protected with a ferrule on the striking end. (c) Wood, rubber, or high-impact plastic mauls, sledges, or hammers shall be used when striking wood-handled chisels or gouges. (7) Chopping Tools. (a) An employer shall ensure that chopping tools are not used while working aloft. (b) Chopping tools may not be used as wedges or used to drive metal wedges. #### Regulation .06 Work Practices. *COMAR 09.12.28.06* A. The following work practices shall be implemented: (1) Communication between employees aloft and on the ground shall be established before cutting and dropping limbs; (2) Scabbards or sheaths shall be used to carry handsaws when not in use; (3) Folding saws, when not in use, shall be closed and hooked to the arborist saddle; (4) A separate workline shall be attached to limbs that cannot be dropped safely or controlled by hand; (5) Arborist climbing lines and worklines may not be secured to the same crotch; and (6) Cut branches shall be removed from the canopy of the tree upon completion of work. B. Cabling. (1) Employees on the ground may not enter under the drop zone of a tree when a cabling system is being installed, unless the employee aloft has established it is safe to do so. (2) Tools used for cabling, bark tracing, and cavity work shall be carried in a bag, on a belt designed to hold such tools, or attached to a tool lanyard. (3) Employees installing cabling systems in trees shall be positioned off to one side in order to avoid injury in case of cable system failure that could occur when a block and tackle or a hand winch is released. C. Tree Removal. (1) Before beginning any tree removal operation, the employer shall carefully consider all relevant factors pertaining to the tree and site and shall take appropriate actions to assure a safe removal operation, including the following factors: (a) The area surrounding the tree to be removed, including nearby trees; (b) Species and shape of the tree; (c) Lean of the tree; (d) Loose limbs, chunks, or other overhead material; (e) Wind force and direction; (f) Decayed or weak spots throughout the tree, including awareness of additional hazards if these conditions exist in the hinge area; (g) Location and means to protect other persons, property, and electrical conductors; (h) Size and terrain characteristics or limitations of the work area; and (i) Evidence of bees or wildlife habitation in the tree. (2) Employees not directly involved in the removal operation shall be beyond the area where the tree could fall and at a minimum distance of twice the tree’s height as practicable. (3) An escape route free from debris and other obstructions for employees shall be established before cutting any standing tree or trunk. (4) The following shall be implemented: (a) Notches shall be used on all trees and trunks greater than 5 inches (12.7 centimeters) in diameter; (b) Notches and back cuts shall be made at a height that enables the chain saw operator to safely begin the cut, control the tree or trunk, and allows for escape; (c) Notches shall be 45 degrees or greater and large enough to guide the fall of the tree or trunk to prevent splitting; (d) Notch depth may not exceed 1/3 the diameter of the tree; (e) The back cut may not penetrate into the predetermined hinge area; (f) Any back cut shall be 1 to 2 inches (2.5 to 5 centimeters) above the apex of the notch to provide an adequate platform to prevent kickback of the tree or trunk; (g) An open-face notch greater than 70 degrees shall have a back cut at the same level as the apex of the notch; (h) The two cuts that form the notch may not cross at the point where they meet; (i) In accordance with the job briefing requirements of Regulation .05I of this chapter, the designated employee shall give a command such as “stand clear” before the back cut is made; and (j) When the back cut has been completed, the employee operating the chain saw shall immediately move a safe distance away from the tree or trunk using the planned escape route. D. Brush Removal and Chipping. (1) Loose clothing, climbing equipment, body belts, harnesses, lanyards, or gauntlet-type gloves may not be worn while operating chippers. (2) Brush and logs shall be fed into chippers, butt or cut end first, from the side of the feed table center line, and the employee shall immediately turn away from the feed table when brush is taken into the rotor or feed rollers. (3) Chippers shall be fed from the curbside whenever practical. (4) Foreign material, such as stones, nails, sweepings, and rakings, may not be fed into chippers. (5) Small branches shall be fed into chippers with longer branches or by being pushed with a long stick. (6) Hands or other parts of the body may not be placed into the infeed hopper. (7) Leaning into or pushing material into the infeed hopper with feet is prohibited; (8) The winch cable used in chipper operations shall be properly stored before initiating chipper operations. E. The following pesticide measures shall be followed during the pesticide application: (1) Pesticides shall be used and applied in strict accordance with the Pesticide Applicator’s Law, Agriculture Article, §§5-201—5-211, Annotated Code of Maryland, and COMAR 15.05.01.01—15.05.01.20; (2) An adequate potable water source shall be provided at the work site for emergency personal decontamination; and (3) Water for decontamination and drinking shall be kept in separate containers. #### Regulation .07 Training. *COMAR 09.12.28.07* A. Training shall be provided for each employee at no cost. B. The training shall be provided: (1) As soon as possible, but not later than 6 months from the effective date of this chapter, for initial training for each current and new employee; (2) Prior to initial assignment for each new employee; (3) Whenever an employee is assigned new work tasks, tools, equipment, machines, or vehicles; and (4) Whenever an employee demonstrates unsafe job performance. C. At a minimum, training shall consist of the following elements: (1) Safe performance of assigned work tasks; (2) Safe use, operation, and maintenance of tools, machines, and vehicles that an employee will be using or operating, including emphasis on understanding and following the manufacturer’s operating and maintenance instructions, warnings, and precautions; (3) Recognition of safety and health hazards associated with the employee’s specific work tasks, including the use of measures and work practices to prevent or control those hazards; (4) Recognition, prevention, and control of other safety and health hazards in tree care and tree removal; (5) Procedures, practices, and requirements of the employer’s work site; and (6) The requirements of this chapter. D. Each new employee and each employee who is required to be trained as specified in §B of this regulation shall work under the close supervision of a designated employee until the employee demonstrates to the employer the ability to safely perform new duties independently. E. Portability of Training. (1) Each current employee who has received training in the particular elements specified in §C of this regulation may not be required to be retrained in those elements. (2) Prior to initial assignment, an employer shall conduct an assessment of the elements in §C of this regulation for each new employee who has previously received training to determine if the employee is competent to safely perform the work tasks. (3) If an employer determines that an employee is not competent in certain elements of §C of this regulation, the employer shall retrain in those elements. F. First Aid and Rescue Training. (1) All employees shall be trained in basic first aid, including controlled bleeding and immobilization. (2) Each employee’s first-aid training shall remain current. G. All training shall be conducted by a qualified person. H. The employer shall ensure that all training materials used are appropriate in content and language of the employee and where the competent person observes behavior not consistent with the training, retraining shall be provided. I. Certification of Training. (1) The employer shall verify that each employee has received and understands the required training through a written certification that contains the name of each employee trained and the date or dates of training and that identifies the subject of the certification. (2) The most recent training certification shall be maintained for as long as the employee is in the employment of the employer. ### Chapter 29 — Emergency Temporary Standards **Authority:** Labor and Employment Article, §§2-106(b)(5), 5-309(a)(1), 5-312, and 5-314, Annotated Code of Maryland;Ch.736, §2, Acts of 2021 **Administrative History:** Effective date: **Administrative History:** Regulations .01—.02 adopted as an emergency provision effective August 16, 2021 (48:18 Md. R. 690); emergency status expired January 30.2022 ### Chapter 30 — *VACANT* ### Chapter 31 — Maryland Occupational Safety and Health Regulations .01—.09 *Repealed — See COMAR 09.12.20* **Authority:** Labor and Employment Article, §§2-106(b)(5), 5-309(a)(1), and 5-312(b), Annotated Code of Maryland **Administrative History:** Effective date: June 1, 1974 **Administrative History:** Regulations .01—.07 amended effective January 13, 1978 (5:1 Md. R. 18) **Administrative History:** Regulation .03B amended effective August 6, 1975 (2:17 Md. R. 1188) **Administrative History:** Regulation .03D amended effective August 1, 1983 (10:15 Md. R. 1349) **Administrative History:** Regulation .03H amended effective August 22, 1980 (7:17 Md. R. 1672) **Administrative History:** Regulations .03I, .04G, .07A, C, D, E, J, L amended effective August 25, 1978 (5:17 Md. R. 1328) **Administrative History:** Regulation .04B amended effective December 23, 1991 (18:25 Md. R. 2750) **Administrative History:** Regulation .04G adopted effective August 6, 1975 (2:17 Md. R. 1188) **Administrative History:** Regulation .04-1 adopted effective December 23, 1991 (18:25 Md. R. 2750) **Administrative History:** Regulation .04-1 amended as an emergency provision effective November 25, 1992 (19:25 Md. R. 2196) **Administrative History:** Regulation .04-1 amended effective April 26, 1993 (20:8 Md. R. 722) **Administrative History:** Regulation .05C, D, E, G amended effective May 29, 1981 (8:11 Md. R. 973) **Administrative History:** Regulation .05D amended effective November 9, 1981 (8:22 Md. R. 1784) **Administrative History:** Regulation .05H—J adopted effective May 29, 1981 (8:11 Md. R. 973) **Administrative History:** Regulation .06E and F adopted effective August 6, 1975 (2:17 Md. R. 1188) **Administrative History:** Regulation .07F amended effective May 2, 1980 (7:9 Md. R. 847) **Administrative History:** Regulation .07K adopted effective August 6, 1975 (2:17 Md. R. 1188) **Administrative History:** Regulation .07M adopted effective May 29, 1981 (8:11 Md. R. 973) **Administrative History:** Regulation .07N, O adopted effective August 1, 1983 (10:15 Md. R. 1350) **Administrative History:** Regulation .08 adopted effective August 25, 1978 (5:17 Md. R. 1328) **Administrative History:** Regulation .09 adopted effective May 29, 1981 (8:11 Md. R. 974) **Administrative History:** Regulations .01—.09 repealed effective July 5, 1993 (20:13 Md. R. 1048) **Administrative History:** Chapter 31 Maryland Occupational Safety and Health Act — Incorporation by Reference of Federal Standards. #### Regulation .01 Documents Incorporated by Reference. *COMAR 09.12.31.01* A. In General. (1) All provisions of 29 CFR §§1910 and 1926 that appear in the Federal Register through February 2, 1973 are adopted by reference. Effective date: March 7, 1973 (2) All amendments and revisions to 29 CFR §§1910 and 29 CFR 1926 that appear in the Federal Register from February 8, 1973 through December 4, 1973 are adopted by reference. Effective date: May 23, 1974 (3) All amendments and revisions to 29 CFR §1910 and 29 CFR §1926 that appear in the Federal Register on the following dates: January 9, 1974 (39 FR 1437); January 29, 1974 (39 FR 3755); February 19, 1974 (39 FR 6109); March 15, 1974 (39 FR 9957, 9959); June 3, 1974 (39 FR 19468, 19470); July 2, 1974 (39 FR 24360); and October 4, 1974 (39 FR 35890) are adopted by reference. Effective date: March 5, 1975 (2:5 Md. R. 313) (4) All amendments and revisions to 29 CFR §§1910 and 29 CFR §§1928, Agricultural Tractors, National Fire Protection Association, Lavatories for Industrial Employment, Telecommunications, and Vinyl Chloride, that appear in the Federal Register on the following dates: March 25, 1975 (40 FR 13211); March 26, 1975 (40 FR 13435); April 25, 1975 (40 FR 18254); and April 28, 1975 (40 FR 18426, 18445) are adopted by reference. Effective date: August 6, 1975 (2:17 Md. R. 1188) (5) All amendments and revisions to 29 CFR §§1910 and 29 CFR §§1926 that appear in the Federal Register on the following dates: May 28, 1975 (40 FR 23073); June 9, 1975 (40 FR 28792); June 27, 1975 (40 FR 27367); and July 28, 1975 (40 FR 31598) are adopted by reference. Effective date: October 15, 1975 (2:23 Md. R. 1414) (6) All amendments and revisions to 29 CFR §§1910 and 29 CFR §§1928 that appear in the Federal Register on the following dates: March 9, 1976 (41 FR 10189); March 16, 1976 (41 FR 11022); March 19, 1976 (41 FR 11504); March 30, 1976 (41 FR 13352); and June 2, 1976 (41 FR 22267) are adopted by reference. Effective date: July 21, 1976 (3:15 Md. R. 790) (7) All amendments and revisions to 29 CFR §§1910, specifically §§1910.35(i) and (j); §§1910.37(n); §§1910.38; §§1910.107(f)(1); §§1910.108(g)(1)—(g)(5); §§1910.109(i)(7)(i) and(i)(7)(ii)(a); §§1910.155—1910.165; §1910.165a; §1910.165b; Appendix to Subpart E; Appendix A to Subpart L; Appendix B to Subpart L; Appendix C to Subpart L; Appendix D to Subpart L; Appendix E to Subpart L; that appear in the Federal Register on September 12, 1980 (45 FR 60703—60727) are adopted by reference with the change indicated at 8:7 Md. R. 658. Effective date: May 29, 1981 (8:11 Md. R. 973) (8) All amendments and revisions to 29 CFR 1910 and 29 CFR 1926 that appear in the Federal Register on June 30, 1993 (58 FR 35308—35311), except for the amendment to 29 CFR §1910.15, are adopted by reference. Effective date: December 20, 1993 (20:25 Md. R. 1945) (9) All amendments and revisions to 29 CFR 1910, 29 CFR 1926, and 29 CFR 1928 that appear in the Federal Register on March 7, 1996 (61 FR 9230—9245 and 9248—9255) are adopted by reference. Effective date: July 29, 1996 (23:15 Md. R. 1087) (10) All amendments and revisions to 29 CFR 1910 and 29 CFR 1926 that appear in the Federal Register on June 20, 1996 (61 FR 31249—31434) are adopted by reference. Effective date: October 21, 1996 (23:21 Md. R. 1466) (11) Mechanical Power—Transmission Apparatus; Mechanical Power Presses; Telecommunications; and Hydrogen. All amendments and revisions to 29 CFR §1910.103, 29 CFR §1910.217, 29 CFR §1910.219, 29 CFR §1910.268, and 29 CFR §1926.307 that appear in the Federal Register on June 8, 2004 (69 FR 31880—31882) are adopted by reference. Effective date: February 14, 2005 (32:3 Md. R. 290) (12) Standards Improvement Project—Phase II. All amendments and revisions to 29 CFR Parts 1910 and 1926 (excluding Part 1915) that appear in the Federal Register on January 5, 2005 (70 FR 1112—1144) are adopted by reference. Effective date: September 12, 2005 (32:18 Md. R. 1518) (13) All amendments and revisions to 29 CFR 1910, specifically §1910.6; §1910.106; §1910.142; §1910.243; §1910.254; and §1910.265; that appear in the Federal Register on September 13, 2005 (70 FR 53925—53929) are adopted by reference. Effective date: July 17, 2006 (33:14 Md. R. 1163) (14) All amendments and revisions to 29 CFR 1910 and 1926, excluding Parts 1913 and 1915, that appear in the Federal Register on April 3, 2006 (71 FR 16669—16675) are adopted by reference. Effective date: November 23, 2006 (33:23 Md. R. 1794) (15) All amendments and revisions to 29 CFR 1910, that appear in the Federal Register on August 11, 2009 (74 FR 40441—40447) are adopted by reference, as amended. Effective date: November 29, 2010 (37:24 Md. R. 1658) (16) All amendments and revisions to 29 CFR Parts 1910, 1926, and 1928 (excluding Parts 1915, 1917, 1918, and 1919) that appear in the Federal Register on June 8, 2011 (76 FR 33590—33612) are adopted by reference. Effective date: February 20, 2012 (39:3 Md. R. 259) (17) All amendments and revisions to 29 CFR Parts 1910 and 1926 that appear in the Federal Register on August 7, 2012 (77 FR 46948—46950) are adopted by reference, as amended. Effective date: May 27, 2013 (40:10 Md. R. 916) (18) All amendments and revisions to 29 CFR Part 1910 that appear in the Federal Register on November 18, 2016 (81 FR 82981—83006) are incorporated by reference, as amended. Effective date: April 23, 2018 (45:8 Md. R. 419) (19) All amendments and revisions to 29 CFR Parts 1910, 1915, and 1926 that appear in the Federal Register on March 25, 2016 (81 FR 16286—16890) are incorporated by reference, as amended. (20) Standards Improvement Project—Phase IV. All amendments and revisions to 29 CFR Parts 1904, 1910, 1915, and 1926 that appear in the Federal Register on May 14, 2019 (84 FR 21416—21598) are adopted by reference. B. Accident Prevention Tags. All amendments and revisions that appear in the Federal Register on September 19, 1986 (51 FR 33260—33261) are adopted by reference. Effective date: February 23, 1987 (14:4 Md. R. 416) C. Acrylonitrile (Vinyl Cyanide). All amendments and revisions to 29 CFR §1910.19(c), 29 CFR §1910.1000, and 29 CFR §1910.1045 that appear in the Federal Register on October 3, 1978 (43 FR 45809) are adopted by reference with the changes indicated at 5:24 Md. R. 1802. Effective date: April 20, 1979 (6:8 Md. R. 655); amended effective August 22, 1980 (7:17 Md. R. 1671) D. Advisory and Repetitive Standards. All amendments and revisions to 29 CFR 1910 that appear in the Federal Register on February 10, 1984 (49 FR 5321—5324) are adopted by reference. Effective date: November 5, 1984 (11:22 Md. R. 1897) E. Agriculture. All amendments and revisions to 29 CFR §1928.21(b), Applicability of General Industry Standards for Agriculture (Correction), that appear in the Federal Register on July 29, 1977 (42 FR 38569) are adopted by reference. Effective date: March 10, 1978 (5:5 Md. R. 324) F. Air Contaminants. (1) All amendments and revisions to 29 CFR §1910.1000 and 29 CFR §1910.1500, Occupational Exposure to Air Contaminants, that appear in the Federal Register on December 8, 1979 (43 FR 57602) are adopted by reference. Effective date: May 2, 1980 (7:9 Md. R. 847) (2) All amendments and revisions to 29 CFR §1910.1000, Subpart Z, including Tables Z-1, Z-1-A, Z-2, and Z-3, and the Appendix that appear in the Federal Register on January 19, 1989 (54 FR 2920—2960) are adopted by reference. Effective date: July 10, 1989 (16:13 Md. R. 1420) (3) All amendments and revisions to 29 CFR §1910.1000, changes numbered 139—217, that appear in the Federal Register on July 5, 1989 (54 FR 28059—28061) are adopted by reference. Effective date: November 27, 1989 (16:23 Md. R. 2505) (4) All amendments and revisions to 29 CFR §1910.1000, Subpart Z, including Table Z-1-A that appear in the Federal Register on November 15, 1989 (54 FR 47513) are adopted by reference. Effective date: April 16, 1990 (17:7 Md. R. 849) (5) All amendments and revisions to 29 CFR §1910.1000(a)(3) and Tables Z-1-A and Z-3 that appear in the Federal Register on July 1, 1992 (57 FR 29205—29206) are adopted by reference. Effective date: November 23, 1992 (19:23 Md. R. 2040) (6) All amendments and revisions to 29 CFR 1910.1000 that appear in the Federal Register on June 30, 1993 (58 FR 35340—35341) and a correction that appears in the Federal Register on July 27, 1993 (58 FR 40191) are adopted by reference. Effective date: December 20, 1993 (20:25 Md. R. 1944) (7) All amendments and revisions to 29 CFR §1910.1000, Tables Z-1 and Z-3, that appear in the Federal Register on August 4, 1997 (62 FR 42018) are adopted by reference. Effective date: January 26, 1998 (25:2 Md. R. 76) G. Air Contaminants (Asbestos). All amendments and revisions to 29 CFR §1910.1001 that appear in the Federal Register on November 4, 1983 (48 FR 51139—51140) are adopted by reference. Effective date: December 1, 1983 (10:26 Md. R. 2336) as an emergency provision; emergency status extended at 11:7 Md. R. 621; emergency status expired May 3, 1984 H. Asbestos, Tremolite, Anthophyllite, and Actinolite. (1) All amendments and revisions that appear in the Federal Register on June 20, 1986 (51 FR 22756—22790) are adopted by reference. Effective date: September 7, 1987 (14:18 Md. R. 1965) (2) All amendments and revisions that appear in the Federal Register on June 20, 1986 (51 FR 22732—22756) are adopted by reference. Effective date: September 7, 1987 (14:18 Md. R. 1965) (3) All amendments and revisions that appear in the Federal Register on October 17, 1986 (51 FR 37004—37007) are adopted by reference. Effective date: September 7, 1987 (14:18 Md. R. 1965) (4) All amendments and revisions that appear in the Federal Register on April 30, 1987 (52 FR 15722—15723) and May 12, 1987 (52 FR 17752—17756) are adopted by reference. Effective date: January 14, 1988 (15:1 Md. R. 19) (5) All amendments and revisions to 29 CFR §1926.58 that appear in the Federal Register on September 14, 1988 (53 FR 35627—35629) are adopted by reference. Effective date: March 20, 1989 (16:5 Md. R. 628) (6) All amendments and revisions to 29 CFR §1910.1001 that appear in the Federal Register on September 14, 1988 (53 FR 35625—35627) are adopted by reference. Effective date: March 20, 1989 (16:5 Md. R. 628) (7) All amendments and revisions to 29 CFR §1926.58, Subpart D, that appear in the Federal Register on December 20, 1989 (54 FR 52027—52028) are adopted by reference. Effective date: May 14, 1990 (17:9 Md. R. 1089) (8) All amendments and revisions to 29 CFR §1910.1001, Subpart Z, that appear in the Federal Register on December 20, 1989 (54 FR 52027) are adopted by reference. Effective date: May 14, 1990 (17:9 Md. R. 1089) (9) All amendments and revisions to 29 CFR §1926.58, Subpart D, and Appendix J, that appear in the Federal Register on February 5, 1990 (55 FR 3732) are adopted by reference. Effective date: May 28, 1990 (17:10 Md. R. 1218) (10) All amendments and revisions to 29 CFR §1910.1001, Subpart Z, and Appendix I, that appear in the Federal Register on February 5, 1990 (55 FR 3731—3732) are adopted by reference. Effective date: May 28, 1990 (17:10 Md. R. 1218) (11) All amendments and revisions to 29 CFR §1926.58 that appear in the Federal Register on June 8, 1992 (57 FR 24330—24331) are adopted by reference. Effective date: October 12, 1992 (19:20 Md. R. 1814) (12) All amendments and revisions to CFR §1910.1001 and the removal of 29 CFR §1910.1101 that appear in the Federal Register on June 8, 1992 (57 FR 24330—24331) are adopted by reference. Effective date: October 12, 1992 (19:20 Md. R. 1814) (13) All the amendments and revisions to 29 CFR §1926.1101, including Appendices A, B, D, F, H, I, and K, that appear in the Federal Register on August 10, 1994 (59 FR 41131—41162) are adopted by reference with the changes indicated at 21:24 Md. R. 1999—2000. Effective date: January 30, 1995 (22:2 Md. R. 76) (14) All amendments and revisions to 29 CFR §1910.1001, including mandatory Appendices A, C, D, and E and nonmandatory Appendices B, F, H, I, J, and K, together with related amendments and revisions to 29 CFR §1910.19 that appear in the Federal Register on August 10, 1994 (59 FR 41057—41080) are adopted by reference with the changes indicated at 21:24 Md. R. 2000—2002. Effective date: January 30, 1995 (22:2 Md. R. 76) (15) All amendments and revisions to 29 CFR §§1910.0110 and 1926.1101 that appear in the Federal Register on February 21, 1995 (60 FR 9624—9626), together with a correction that appears in the Federal Register on March 1, 1995 (60 FR 11194), are adopted by reference. Effective date: August 14, 1995 (22:16 Md. R. 1220) (16) All amendments and revisions to 29 CFR §§1910.1001 and 1926.1101 that appear in the Federal Register on June 28, 1995 (60 FR 33344—33345); changes 39—130 and 324—478 that appear in the Federal Register on June 29, 1995 (60 FR 33984—33987 and 33995—34002); and the changes that appear in the Federal Register on July 13, 1995 (60 FR 36043—36044) are adopted by reference. Effective date: January 15, 1996 (23:1 Md. R. 24) (17) All amendments and revisions to 29 CFR §1926.1101(g)(7)(iii), (g)(8)(iv)(B), (g)(8)(iv)(C), (g)(11), (g)(11)(iv), (h)(2)(v), and (o)(4) that appear in the Federal Register on September 29, 1995 (60 FR 50411—50413) are adopted by reference. Effective date: January 29, 1996 (23:2 Md. R. 95) (18) All amendments and revisions to 29 CFR §§1910.1001(j)(3)(v) and 1926.1101(h)(2)(iii), (k)(6), (k)(8)(vii), (k)(9)(iii)—(v), and (m)(1)(i)(A), that appear in the Federal Register on August 23, 1996 (61 FR 43456—43459) are adopted by reference. Effective date: January 27, 1997 (24:2 Md. R. 115) (19) All amendments and revisions to 29 CFR §1926.1101 that appear in the Federal Register on June 29, 1998 (63 FR 35137—35138) are incorporated by reference. Effective date: November 30, 1998 (25:24 Md. R. 1773) I. Bakery Equipment. (1) All amendments and revisions to 29 CFR §1910.214, Cooperage and Machinery, 29 CFR §1910.263, Bakery Equipment, and 29 CFR §1910.264, Laundry Machinery and Operations, that appear in the Federal Register on October 24, 1978 (43 FR 49764) with corrections proposed in 43 FR 51760 (November 7, 1978) are adopted by reference. Effective date: May 4, 1979 (6:9 Md. R. 727) (2) All amendments and revisions to 29 CFR 1910 that appear in the Federal Register on October 24, 1978 (43 FR 49744) with corrections proposed in 43 FR 51759 (November 7, 1978) are adopted by reference. Effective date: May 4, 1979 (6:9 Md. R. 727) J. Benzene. All amendments and revisions to 29 CFR §1910.1028, including Appendices A—E, that appear in the Federal Register on September 11, 1987 (52 FR 34562—34578) are adopted by reference with the changes indicated at 14:26 Md. R. 2753. Effective date: March 21, 1988 (15:6 Md. R. 740) J-1. Beryllium. (1) All amendments and revisions to 29 CFR Parts 1910, 1915, and 1926 that appear in the Federal Register on January 9, 2017 (82 FR 2470—2757) “Occupational Exposure to Beryllium” are adopted by reference, as amended. (2) All amendments and revisions to 29 CFR Part 1910 that appear in the Federal Register on July 14, 2020 (85 FR 42582— 42628) “Revising the Beryllium Standard for General Industry” are adopted by reference, as amended. (3) All amendments and revisions to 29 CFR Parts 1915 and 1926 that appear in the Federal Register on August 31, 2020 (85 FR 53910—53999) “Occupational Exposure to Beryllium and Beryllium Compounds in Construction and Shipyard Sectors” are adopted by reference, as amended. J-2. Bloodborne Pathogens. (1) All amendments and revisions to 29 CFR §1910.1030, including Appendix A, that appear in the Federal Register on December 6, 1991 (56 FR 64174—64182) are adopted by reference with the changes indicated at 19:6 Md. R. 684. Effective date: May 31, 1992 (19:10 Md. R. 930) (2) All amendments and revisions to 29 CFR §1910.1030 that appear in the Federal Register on July 1, 1992 (57 FR 29206) are adopted by reference with the changes indicated at 19:19 Md. R. 1721. Effective date: November 23, 1992 (19:23 Md. R. 2040) (3) All amendments and revisions to 29 CFR §1910.1030 that appear in the Federal Register on January 18, 2001 (66 FR 5318—5325) are adopted by reference. Effective date: November 12, 2001 (28:22 Md. R. 1936) (4) All amendments and revisions to 29 CFR §1910.1030 that appear in the Federal Register on April 3, 2012 (77 FR 19933—19934) are adopted by reference, as amended. Effective date: May 27, 2013 (40:10 Md. R. 916) J-3. Butadiene. All amendments and revisions to 29CFR §§1910.19(1), 1910.1000, and 1910.1051, including Appendices A—F; and 29 CFR 1926, Subpart Z and Appendix A, that appear in the Federal Register on November 4, 1996 (61 FR 56831—56856) are adopted by reference with the changes indicated at 24:4 Md. R. 298. Effective date: April 21, 1997 (24:8 Md. R. 616) J-4. Cadmium. (1) All amendments and revisions to 29 CFR §1910.1027, including Appendices A—F, and related amendments to 29 CFR §§1910.19 and 1910.1000, that appear in the Federal Register on September 14, 1992 (57 FR 42389—42452) are adopted by reference with the changes indicated at 19:26 Md. R. 2337—2338. Effective date: March 1, 1993 (20:4 Md. R. 370) (2) All amendments and revisions to 29 CFR §1926.63, including Appendices A—F, that appear in the Federal Register on September 14, 1993 (58 FR 42399—42463) are adopted by reference with the changes indicated at 19:26 Md. R. 2339—2340. Effective date: March 1, 1993 (20:4 Md. R. 370) (3) All amendments and revisions to 29 CFR §1928.1027, including Appendices A—F, that appear in the Federal Register on April 23, 1993 (58 FR 21787—21850) are adopted by reference with the changes indicated at 20:13 Md. R. 1065. Effective date: September 13, 1993 (20:18 Md. R. 1428) (4) All amendments and revisions to 29 CFR §1926.63 that appear in the Federal Register on April 23, 1993 (58 FR 21787), changes 152—168, are adopted by reference. Effective date: September 13, 1993 (20:18 Md. R. 1428) (5) All amendments and revisions to 29 CFR §1910.1027, and Appendices A—F, that appear in the Federal Register on April 23, 1993 (58 FR 21780—21787, changes 61—151, are adopted by reference. Effective date: September 13, 1993 (20:18 Md. R. 1429) (6) All amendments and revisions to 29 CFR §1926.63 that appear in the Federal Register on January 3, 1994 (59 FR 215) are adopted by reference. Effective date: May 9, 1994 (21:9 Md. R. 750) K. Chlordecone (Kepone). All amendments and revisions to 29 CFR 1910 that appear in the Federal Register on August 20, 1976 (41 FR 35184) are adopted by reference. Effective date: January 19, 1977 (4:2 Md. R. 87) L. Coal Tar Pitch Volatiles. All amendments and revisions to 29 CFR §1910.1002 that appear in the Federal Register on January 21, 1983 (48 FR 2768) are adopted by reference. Effective date: August 1, 1983 (10:15 Md. R. 1349) M. Coke Oven Emissions. (1) All amendments and revisions to 29 CFR §1910.1029 and 29 CFR §1928.57 that appear in the Federal Register on the following dates: October 22, 1976 (41:206 FR) and January 18, 1977 (42:12 FR) are adopted by reference. Effective date: April 27, 1977 (4:9 Md. R. 713) (2) All amendments and revisions that appear in the Federal Register on September 13, 1985 (50 FR 37353—37354) are adopted by reference. Effective date: March 24, 1986 (13:6 Md. R. 682) N. Commercial Diving Operations. (1) All amendments and revisions to 29 CFR §1910, Subpart T, that appear in the Federal Register on July 22, 1977 (42 FR 37668) are adopted by reference. Effective date: March 10, 1978 (5:5 Md. R. 324) (2) All amendments and revisions to 29 CFR §1926.605(e), Commercial Diving Operations (Construction), that appear in the Federal Register on July 22, 1977 (42 FR 37674) are adopted by reference. Effective date: March 10, 1978 (5:5 Md. R. 324) (3) All amendments and revisions to 29 CFR §1928.21(b), Commercial Diving Operations (Agriculture), that appear in the Federal Register on July 22, 1977 (42 FR 37674) are adopted by reference. Effective date: March 10, 1978 (5:5 Md. R. 324) (4) All amendments and revisions to 29 CFR §1910.423 that appear in the Federal Register on June 20, 1980 (45 FR 41634) are adopted by reference. Effective date: February 20, 1981 (8:4 Md. R. 340) (5) All amendments and revisions to 29 CFR §§1910.402 and 1910.401(a)(2)(iv), Subpart T, that appear in the Federal Register on November 26, 1982 (47 FR 53365) are adopted by reference. Effective date: May 9, 1983 (10:9 Md. R. 789) (6) All amendments and revisions to 29 CFR §1910.411, Subpart T, that appear in the Federal Register on January 6, 1984 (49 FR 881) are adopted by reference. Effective date: June 18, 1984 (11:12 Md. R. 1063) (7) All amendments and revisions to 29 CFR 1910, Subpart T, Commercial Diving Operations (Educational/Scientific Diving), that appear in the Federal Register on January 9, 1985 (50 FR 1050) are adopted by reference. Effective date: July 29, 1985 (12:15 Md. R. 1515) (8) All amendments and revisions to 29 CFR §1910.430 that appear in the Federal Register on September 18, 1986 (51 FR 33033—33034) are adopted by reference. Effective date: February 23, 1987 (14:4 Md. R. 416) O. Concrete and Masonry Construction. (1) All amendments and revisions to 29 CFR §§1926.700—1926.706 and Appendix to 29 CFR §1926.705, Subpart Q, that appear in the Federal Register on June 16, 1988 (53 FR 22643—22646) are adopted by reference. Effective date: November 28, 1988 (15:24 Md. R. 2768) (2) All amendments and revisions to 29 CFR §§1926.700—1926.706, Subpart Q, that appear in the Federal Register on October 5, 1989 (54 FR 41088) are adopted by reference. Effective date: March 19, 1990 (17:5 Md. R. 637) (3) All amendments and revisions to 29 CFR §§1926.305, 1926.700, 1926.705, and the Appendix to 29 CFR §1926.705 that appear in the Federal Register on October 19, 1990 (55 FR 42327—42330) are adopted by reference. Effective date: February 18, 1991 (18:3 Md. R. 304) O-1. Confined Spaces for General Industry, Permit-Required. (1) All amendments and revisions to 29 CFR §1910.146 that appear in the Federal Register on January 14, 1993 (58 FR 4549—4563) are adopted by reference with the changes indicated at 20:9 Md. R. 799—801. Effective date: July 5, 1993 (20:13 Md. R. 1048) (2) All amendments and revisions to 29 CFR §1910.146, including Appendices A—E, that appear in the Federal Register on June 29, 1993 (58 FR 34845—34851) are adopted by reference. Effective date: December 20, 1993 (20:25 Md. R. 1945) (3) All amendments and revision to 29 CFR §1910.146 that appear in the Federal Register on May 19, 1994 (59 FR 26115—26116) are adopted by reference. Effective date: September 26, 1994 (21:19 Md. R. 1634) O-2. Confined Spaces in Construction. All amendments and revisions to 29 CFR §1926 that appear in the Federal Register on May 4, 2015 (80 FR 25366—25526) are adopted by reference. Effective date: January 2, 2017 (43:26 Md. R. 1444) P. Construction Industry Test and Inspection Records. All amendments and revisions to 29 CFR 1926.550, 1926.552, and 1926.903 that appear in the Federal Register on September 28, 1987 (52 FR 36381—36382) are adopted by reference. Effective date: February 22, 1988 (15:4 Md. R. 471) P-1. Construction Work. (1) A compilation that sets forth the text of all standards applicable to construction work, that appears in the Federal Register on June 30, 1993 (58 FR 35077—35306), together with amendments and a correction that appear in the Federal Register on July 28, 1993 (58 FR 40468), are adopted by reference with the changes indicated at 20:21 Md. R. 1667—1668. Effective date: December 20, 1993 (20:25 Md. R. 1945) (2) All amendments and revisions to 29 CFR§§1926.416 and 1926.417 that appear in the Federal Register on August 12, 1996 (61 FR 41738—41739) are adopted by reference. Effective date: January 27, 1997 (24:2 Md. R. 115) (3) All amendments and revisions to 29 CFR §1926.251 that appear in the Federal Register on April 18, 2012 (77 FR 23117—23118) are adopted by reference, as amended. Effective date: May 27, 2013 (40:10 Md. R. 917) P-2. Controlled Negative Pressure REDON Fit Testing Protocol. All amendments and revisions to 29 CFR §1910.134 that appear in the Federal Register on August 4, 2004 (69 FR 46986—46994) are adopted by reference. Effective date: February 14, 2005 (32:3 Md. R. 289) Q. Cooperage and Machinery (see I, Bakery Equipment). R. Cotton Dust. (1) All amendments and revisions to 29 CFR §1910.19(f), 29 CFR §1910.1000, and 29 CFR §1910.1043 that appear in the Federal Register on June 23, 1978 (43 FR 27394—27463) and February 26, 1980 (45 FR 12417) are adopted by reference with the changes indicated at 7:9 Md. R. 877—878. Effective date: August 22, 1980 (7:17 Md. R. 1671) (2) All amendments and revisions to 29 CFR §1910.1043, Appendix A, that appear in the Federal Register on October 10, 1980 (45 FR 67339—67340) are adopted by reference. Effective date: February 25, 1985 (12:4 Md. R. 360) (3) All amendments and revisions that appear in the Federal Register on December 13, 1985 (50 FR 51173—51179) are adopted by reference. Effective date: June 16, 1986 (13:12 Md. R. 1373) (4) All amendments and revisions that appear in the Federal Register on July 3, 1986 (51 FR 24325), changes numbered 17—27, are adopted by reference. Effective date: December 1, 1986 (13:24 Md. R. 2558) (5) All amendments and revisions to 29 CFR §1910.1043 that appear in the Federal Register on December 7, 2000 (65 FR 76563—76567) are adopted by reference. Effective date: December 24, 2001 (28:25 Md. R. 2189) S. Crane or Derrick Suspended Personnel Platforms in Construction. (1) All amendments and revisions to 29 CFR §1926.550(g), Subpart N, that appear in the Federal Register on August 2, 1988 (53 FR 29139—29141) and April 18, 1989 (54 FR 15405—15406) are adopted by reference with the changes indicated at 16:22 Md. R. 2364. Effective date: November 13, 1989 (16:22 Md. R. 2364) (2) All amendments and revisions to 29 CFR §1926.550(g) that appear in 20:14 Md. R. 1172—1173 and 21:4 Md. R. 274—275 are adopted effective February 28, 1994 (21:4 Md. R. 274) (3) All amendments and revisions to 29 CFR §1926.550(g) that appear in 21:7 Md. R. 540—541 are adopted effective June 6, 1994 (21:11 Md. R. 950) T. 1,2-Dibromo-3-chloropropane (DBCP). All amendments and revisions to 29 CFR §1910.1044 that appear in the Federal Register on March 17, 1978 (43 FR 11527) are adopted by reference with the changes indicated at 5:9 Md. R. 707. Effective date: August 25, 1978 (5:17 Md. R. 1328) T-1. Dipping and Coating Operations. All amendments and revisions related to Dipping and Coating Operations previously codified under 29 CFR §§1910.108 and 1910.94(d) and revised to 29 CFR §§1910.6 and 1910.122—1910.126 that appear in the Federal Register on March 23, 1999 (64 FR 13908—13912) are adopted by reference. Effective date: July 26, 1999 (26:15 Md. R. 1148) T-2. DOT Markings, Placards, and Labels. All amendments and revisions to 29 CFR §§1910.1201, 1926.61, and 1928.21 that appear in the Federal Register on July 19, 1994 (59 FR 36700) are adopted by reference. Effective date: January 2, 1995 (21:26 Md. R. 2186) U. Electrical Safety — Related Work Practices. (1) All amendments and revisions to 29 CFR §§1910.331—1910.335, 29 CFR §§1910.26, 1910.67, 1910.68, 1910.94, 1910.103, 1910.106, 1910.110, 1910.178—1910.181, 1910.252, 1910.261, 1910.265, 1910.266, 1910.304, and 1910.399 that appear in the Federal Register on August 6, 1990 (55 FR 32014—32020) are adopted by reference with the changes indicated at 17:25 Md. R. 2919. Effective date: February 18, 1991 (18:3 Md. R. 303) (2) Corrections 2—8 and portions of Correction 1, other than the preamble, relating to Electrical Safety—Related Work Practices, to 29 CFR §§1910.252, 1910.331, 1910.333 including Table 5, 1910.334, and 1910.399, that appear in the Federal Register on November 1, 1990 (55 FR 46052—46054) are adopted by reference. Effective date: June 24, 1991 (18:12 Md. R. 1337) U-1. Electrical Standards. (1) All amendments and revisions to 29 CFR 1910, Subpart S, that appear in the Federal Register on January 16, 1981 (46 FR 4055—4076) are adopted by reference. Effective date: November 9, 1981 (8:22 Md. R. 1783) (2) All amendments and revisions to 29 CFR 1910, Subpart S, that appear in the Federal Register on August 7, 1981 (46 FR 40184—40185) are adopted by reference. Effective date: August 16, 1982 (9:16 Md. R. 1604) (3) All amendments and revisions to 29 CFR Part 1910, Subpart S, that appear in the Federal Register on February 14, 2007 (72 FR 7135—7221) are adopted by reference, as amended. Effective date: September 24, 2007 (34:19 Md. R. 1649) V. Electrical Standards for Construction. All amendments and revisions that appear in the Federal Register on July 11, 1986 (51 FR 25318—25335) are adopted by reference. Effective date: January 26, 1987 (14:2 Md. R. 127) V-1. Electric Power Generation, Transmission, and Distribution; Electrical Protective Equipment. (1) All amendments and revisions to 29 CFR §1910.269, including Appendices A—E, and related amendments to 29 CFR §1910.137, 29 CFR §1910.331, and 29 CFR §1910.333, that appear in the Federal Register on January 31, 1994 (59 FR 4435—4476) are adopted by reference with the changes indicated at 21:9 Md. R. 759—760. Effective date: July 4, 1994 (21:13 Md. R. 1156) (2) All amendments and revisions to 29 CFR §§1910.137 and 1910.269 that appear in the Federal Register on June 30, 1994 (59 FR 33660—33663) are adopted by reference as an emergency provision effective November 18, 1994 (21:25 Md. R. 2093); adopted permanently with the changes indicated at 21:22 Md. R. 1885—1886 effective January 2, 1995 (21:26 Md. R. 2185) (3) All amendments and revisions to 29 CFR Parts 1910 and 1926 that appear in the Federal Register on April 11, 2014 (79 FR 20629—20743) are incorporated by reference, as amended. Effective date: April 23, 2018 (45:8 Md. R. 419) W. Employee Exposure and Medical Records. (1) All amendments and revisions to 29 CFR §§1910.20, 1910.440(b)(2) and (b)(4), 1910.1001(i)(2) and (j)(6)(ii), 1910.1003(g)(2)(ii), 1910.1004(g)(2)(ii), 1910.1006(g)(2)(ii), 1910.1007(g)(2)(ii), 1910.1008(g)(2)(ii), 1910.1009(g)(2)(ii), 1910.1010(g)(2)(ii), 1910.1011(g)(2)(ii), 1910.1012(g)(2)(ii), 1910.1013(g)(2)(ii), 1910.1014(g)(2)(ii), 1910.1015(g)(2)(ii), 1910.1016(g)(2)(ii), 1910.1017(m)(2)—(m)(6), 1910.1018(q)(3)(ii), (q)(3)(iii), (q)(4)(iv), and Appendix A Section VIII, 1910.1025(n)(4)(ii), (n)(4)(iii), and (n)(5)(iv), 1910.1028(l)(3)(ii)—(l)(3)(iv), and (l)(4)(iv), and Appendix A Section VII, 1910.1029(m)(3)(ii)—(m)(3)(iv), and (m)(4)(iv), 1910.1043(k)(3)(ii)—(k)(3)(iv), and (k)(4)(iv), 1910.1044(p)(3)(ii)—(p)(3)(iv), and (p)(4)(iv), 1910.1045(q)(4)(ii), (q)(4)(iii), (q)(5)(iv), and Appendix A Section VI, D, 1910.1046(h)(2)(ii) and (h)(3)(iv), that appear in the Federal Register on May 23, 1980 (45 FR 35277—35284) and August 15, 1980 (45 FR 54333—54334) are adopted by reference. Effective date: February 20, 1981 (8:4 Md. R. 340) (2) All amendments and revisions to 29 CFR §1910.20 and Appendices A and B that appear in the Federal Register on September 29, 1988 (53 FR 38162—38168) are adopted by reference. Effective date: April 17, 1989 (16:7 Md. R. 811) X. Employer Certifications of Equipment Maintenance, Inspections, and Checks. All amendments and revisions that appear in the Federal Register on September 29, 1986 (51 FR 34560—34562) are adopted by reference. Effective date: February 23, 1987 (14:4 Md. R. 416) Y. Ethylene Oxide. (1) All amendments and revisions to 29 CFR §1910.19, 29 CFR §1910.1000, 29 CFR §1910.1047, and Appendices A, B, C, and D, that appear in the Federal Register on June 22, 1984 (49 FR 25795—25809) are adopted by reference. Effective date: February 25, 1985 (12:4 Md. R. 359) (2) All amendments and revisions that appear in the Federal Register on October 11, 1985 (50 FR 41494) pertaining to Labeling Requirements, are adopted by reference. Effective date: March 24, 1986 (13:6 Md. R. 682) (3) All amendments and revisions that appear in the Federal Register on July 10, 1986 (51 FR 25053) are adopted by reference. Effective date: December 1, 1986 (13:24 Md. R. 2557) (4) All amendments and revisions to 29 CFR §1910.1047, Subpart Z, that appear in the Federal Register on April 6, 1988 (53 FR 11436—11438) are adopted by reference with the changes indicated at 15:14 Md. R. 1708—1709. Effective date: September 5, 1988 (15:18 Md. R. 2146) Z. Excavations. All amendments and revisions to 29 CFR §§1926.650—1926.652, Subpart P, and Appendices A—F, that appear in the Federal Register on October 31, 1989 (54 FR 45958—45991) are adopted by reference with the changes indicated at 17:6 Md. R. 746. Effective date: May 28, 1990 (17:10 Md. R. 1218) Z-2. Fall Protection in the Construction Industry (For fall protection in steel erection, see COMAR 09.12.25). AA. Fire Protection. All amendments and revisions to 29 CFR 1910, Fire Protection, Means of Egress, Hazardous Materials, that appear in the Federal Register on May 1, 1981 (46 FR 24556—24558) are adopted by reference. Effective date: November 9, 1981 (8:22 Md. R. 1783) BB. Formaldehyde. (1) All amendments and revisions to 29 CFR §§1910.19, 1910.1000, 1910.1048, including Appendices A—E, and 29 CFR §1926.55, that appear in the Federal Register on December 4, 1987 (52 FR 46291—46312) are adopted by reference with the changes indicated at 15:8 Md. R. 1016. Effective date: June 13, 1988 (15:12 Md. R. 1445) (2) All amendments and revisions to 29 CFR §1910.1048, Subpart Z, that appear in the Federal Register on July 13, 1989 (54 FR 29545—29546) and August 1, 1989 (54 FR 31765) are adopted by reference. Effective date: January 22, 1990 (17:1 Md. R. 68) (3) All amendments and revisions to 29 CFR §1910.1048 that appear in the Federal Register on May 27, 1992 (57 FR 22307—22328) and June 10, 1992 (57 FR 24701); and correction number four on June 18, 1992 (57 FR 27161) are adopted by reference with the changes indicated at 19:16 Md. R. 1487. Effective date: October 12, 1992 (19:20 Md. R. 1814) BB-1. General Industry. Standards Improvement (Miscellaneous Charges) for General Industry and Construction Standards; Paperwork Collection for Coke Oven Emissions and Inorganic Arsenic. All amendments and revisions to 29 CFR §§1910.109, 1910.110, 1910.111, 1910.141, 1910.142, 1910.151, 1910.156, 1910.183, 1910.261, 1910.262, 1910.265, 1910.267, 1910.268, 1910.1017, 1910.1018, and 1910.1029, and 29 CFR §§1926.31, 1926.50, 1926.152, and 1926.906 that appear in the Federal Register on June 18, 1998 (63 FR 33466—33469) are adopted by reference. Effective date: December 28, 1998 (25:26 Md. R. 1920) CC. Grain Handling Facilities. (1) All amendments and revisions to 29 CFR §1910.272, including Appendices A, B, and C, that appear in the Federal Register on December 31, 1987 (52 FR 49624—49631) are adopted by reference. Effective date: June 13, 1988 (15:12 Md. R. 1445) (2) All amendments and revisions to 29 CFR §1910.272, including Appendices A and C, that appear in the Federal Register on May 18, 1988 (53 FR 17695—17696) are adopted by reference. Effective date: September 5, 1988 (15:18 Md. R. 2146) (3) All amendments and revisions to 29 CFR §1910.272 that appear in the Federal Register on March 8, 1996 (61 FR 9583—9584) are adopted by reference. Effective date: July 29, 1996 (23:15 Md. R. 1087) DD. Ground Fault Protection. All amendments and revisions to 29 CFR §1910.309(c) and 29 CFR §1926.400(h) that appear in the Federal Register on December 21, 1976 (41 FR 55702—55704) are adopted by reference. Effective date July 6, 1977 (4:14 Md. R. 1082). EE. Guarding of Low-Pitched Roof Perimeters During the Performance of Built-Up Roofing Work. All amendments and revisions to 29 CFR §1926.500(g), 29 CFR §1926.502(p), and Appendix A to Subpart M, that appear in the Federal Register on November 14, 1980 (45 FR 75624—75631) are adopted by reference. Effective date: May 29, 1981 (8:11 Md. R. 973) FF. Guarding of Portable Powered Tools. All amendments and revisions to 29 CFR §1910.243 that appear in the Federal Register on February 1, 1985 (50 FR 4649) are adopted by reference. Effective date: July 29, 1985 (12:15 Md. R. 1515) GG. Hazard Communication and Safety Data Sheets. (1) All amendments and revisions to 29 CFR §1910.1200(g)(1)—(g)(5) that appear in the Federal Register on November 25, 1983 (48 FR 53343—53344) are adopted by reference with the changes indicated at 11:20 Md. R. 1748—1749. Effective date: December 17, 1984 (11:25 Md. R. 2132) (2) All amendments and revisions to 29 CFR §1910.1200, including Appendices A—D and new Appendix E, that appear in the Federal Register on February 9, 1994 (59 FR 6169—6184) are adopted by reference with the changes indicated at 21:9 Md. R. 760—761. Effective date: July 4, 1994 (21:13 Md. R. 1156) (3) All amendments and revisions to 29 CFR §§1910.1200 and 1926.59 that appear in the Federal Register on December 22, 1994 (59 CFR 65947—65948) are adopted by reference. Effective date: July 3, 1995 (22:13 Md. R. 966) (4) All amendments and revisions to 29 CFR §§1910 and 1926, including Appendices A—F, and excluding Part 1915 and 29 CFR §1910.1200(b)(6)(iv) that appear in the Federal Register on March 26, 2012 (77 FR 17574—17896) are adopted by reference, as amended. Effective date: September 2, 2013 (40:17 Md. R. 1420) GG-1. Hazardous Chemicals, Explosives and Blasting Agents Standard, Process Safety Management of Highly. All amendments and revisions to 29 CFR §1910.119 and Appendices A—D and related amendments to 29 CFR §1910.109 that appear in the Federal Register on February 24, 1992 (57 FR 6403—6417) and corrections to 29 CFR §1910.119 that appear in the Federal Register on March 4, 1992 (57 FR 7847) are adopted by reference. Effective date: July 20, 1992, except for paragraphs f, h, j, and l under §1910.119 effective August 26, 1992 (19:14 Md. R. 1283) HH. Hazardous Chemicals in Laboratories. (1) All amendments and revisions to 29 CFR §1910.1450, Subpart Z and Appendices A and B, that appear in the Federal Register on January 31, 1990 (55 FR 3327—3335), March 6, 1990 (55 FR 7967), and March 30, 1990 (55 FR 12110—12111) are adopted by reference. Effective date: September 3, 1990 (17:17 Md. R. 2079) (2) All amendments and revisions to 29 CFR §1910.1450 and 29 CFR §1910.1500, that appear in the Federal Register on July 1, 1992 (57 FR 29204) are adopted by reference. Effective date: November 23, 1992 (19:23 Md. R. 2040) II. Hazardous Energy Source (Lockout/Tagout). (1) All amendments and revisions to 29 CFR §1910.147 that appear in the Federal Register on September 1, 1989 (54 FR 36687—36696) are adopted by reference. Effective date: April 16, 1990 (17:7 Md. R. 849) (2) All amendments and revisions to 29 CFR §1910.147 that appear in the Federal Register on September 20, 1990 (55 FR 38685—38687) are adopted by reference. Effective date: February 18, 1991 (18:3 Md. R. 303) JJ. Hazardous Materials (see also AA, Fire Protection). All amendments and revisions to 29 CFR §1910.106(g)(2) and (g)(3)(vi), Subpart H, Hazardous Materials; Attendant Exemption and Latch-Open Devices, that appear in the Federal Register on September 7, 1982 (47 FR 39164) are adopted by reference. Effective date: May 9, 1983 (10:9 Md. R. 789) KK. Hazardous Waste Operations and Emergency Response. (1) All amendments and revisions to 29 CFR §1910.120, Subpart H and Appendices A—D, that appear in the Federal Register on March 6, 1989 (54 FR 9317—9336) are adopted by reference. Effective date: November 27, 1989 (16:23 Md. R. 2505) (2) All amendments and revisions to 29 CFR §1910.120 and Appendices A—D that appear in the Federal Register on April 13, 1990 (55 FR 14037—14075), changes numbered 13—37, are adopted by reference. Effective date: August 20, 1990 (17:16 Md. R. 1991) (3) All amendments and revisions to 29 CFR §1910.120(a)(3) and (e)(9) that appear in the Federal Register on April 18, 1991 (56 FR 15832—15833) are adopted by reference. Effective date: September 30, 1991 (18:19 Md. R. 2099) (4) All amendments and revisions to 29 CFR §1910.120 that appear in the Federal Register on August 22, 1994 (59 FR 43270—43275) are adopted by reference. Effective date: January 2, 1995 (21:26 Md. R. 2185) (5) All amendments and revisions to 29 CFR §1926.65 that appear in the Federal Register on August 22, 1994 (59 FR 43275—43280) are adopted by reference. Effective date: January 2, 1995 (21:26 Md. R. 2186) KK-1. Hexavalent Chromium, Occupational Exposure to. All amendments and revisions to 29 CFR Parts 1910 and 1926, excluding Parts 1915, 1917, and 1918, that appear in the Federal Register on February 28, 2006 (71 FR 10100—10385) are adopted by reference, as amended. Effective date: April 23, 2007 (34:8 Md. R. 767). The requirements proposed in 71 FR 38085—38087 have been specifically excluded from incorporation by reference. Effective date: September 24, 2007 (34:19 Md. R. 1650) LL. Inorganic Arsenic. All amendments and revisions to 29 CFR §1910.19(e), 29 CFR §1910.1000, and 29 CFR §1910.1918 that appear in the Federal Register on May 5, 1978 (43 FR 19624) are adopted by reference with the changes indicated at 5:13 Md. R. 1069. Effective date: April 20, 1979 (6:8 Md. R. 655); amended effective August 22, 1980 (7:17 Md. R. 1671) MM. Laundry Machinery and Operations (see I, Bakery Equipment). NN. Lavatories for Industrial Employment (see A, In General). OO. Lead. (1) All amendments and revisions to 29 CFR §1910.19(g), 29 CFR §1910.1000, and 29 CFR §1910.1025 that appear in the Federal Register on November 14, 1978 (43 FR 53007—53014) and January 26, 1979 (44 FR 5447—5448) are adopted by reference with the changes indicated at 7:13 Md. R. 1294. Effective date: December 12, 1980 (7:25 Md. R. 2336) (2) All amendments and revisions to 29 CFR §1910.1025(e)(1) and Table 1 that appear in the Federal Register on December 1, 1981 (46 FR 60775—60776) are adopted by reference. Effective date: August 16, 1982 (9:16 Md. R. 1604) (3) All amendments and revisions to 29 CFR §1910.1025(f)(3)(ii), Appendix B, Sections IV and XV, and Appendix D (Respirator Fit Testing), that appear in the Federal Register on November 12, 1982 (47 FR 51117—51119) are adopted by reference. Effective date: May 9, 1983 (10:9 Md. R. 790) (4) All amendments and revisions to 29 CFR §1910.1025, Appendix D (Respirator Fit Testing), that appear in the Federal Register on March 8, 1983 (48 FR 9641—9642) are adopted by reference. Effective date: September 26, 1983 (10:19 Md. R. 1690) (5) All amendments and revisions to 29 CFR §1910.1025, Subpart Z, that appear in the Federal Register on July 11, 1989 (54 FR 29274—29275) are adopted by reference. Effective date: May 14, 1990 (17:9 Md. R. 1089) (6) All amendments and revisions to 29 CFR §1910.1025, Appendices A, B, and C, that appear in the Federal Register on October 23, 1979 (44 FR 60981—60995) and November 12, 1982 (47 FR 51117), corrections 1—25 published on November 30, 1979 (44 FR 68827—68828), amendments 1 and 2 published on February 13, 1990 (55 FR 4998—4999) and May 31, 1991 (56 FR 24686) are adopted by reference with the changes indicated at 18:20 Md. R. 2207. Effective date: December 9, 1991 (18:24 Md. R. 2643) (7) All amendments and revisions to 29 CFR §1910.1025 that appear in the Federal Register on January 30, 1990 (55 FR 3166—3167) are adopted by reference. Effective date: June 8, 1992 (19:11 Md. R. 1015) (8) All amendments and revisions to 29 CFR §1926.62, including Appendices A—D, that appear in the Federal Register on May 4, 1993 (58 FR 26627—26649) are adopted by reference with the changes indicated at 21:2 Md. R. 109—112. Effective date: March 28, 1994 (21:6 Md. R. 466) (9) All amendments and revisions to 29 CFR 1926.62(1) that appear in the Federal Register on May 4, 1993 (58 FR 26627—26649) are adopted by reference with the changes indicated at 21:15 Md. R. 1313—1314. Effective date: September 26, 1994 (21:19 Md. R. 1634) (10) All amendments and revisions to 29 CFR §1910.1025(e)(1)(ii), (f)(1)(i), (j)(2)(ii), (k)(1)(i), (e)(4), (k)(1)(i)(A) and (B), (k)(1)(iii)(A)(1) and (2), and Appendices B and C, that appear in the Federal Register on October 11, 1995 (60 FR 52858—52859 are adopted by reference. Effective date: February 26, 1996 (23:4 Md. R. 272) PP. Lift Slab Construction Operations (see O(3), Concrete and Masonry Construction). PP-1. Liquified Petroleum Bases, Storage and Handling of. All amendments and revisions to 29 CFR §1910.110(d)(11) that appear in the Federal Register on March 19, 1993 (58 FR 15089) are adopted by reference. Effective date: July 5, 1993 (20:13 Md. R. 1048) PP-2. Longshoring and Marine Terminals. All amendments and revisions to 29 CFR §1910.16 that appear in the Federal Register on July 25, 1997 (62 FR 40195) are adopted by reference. Effective date: January 26, 1998 (25:2 Md.R . 75) PP-3. Logging Operations. (1) All amendments and revisions to 29 CFR §1910.266, Appendices A, B, and C, and related amendments to 29 CFR §1926.269(r) and 29 CFR §1928.21(a)(3) that appear in the Federal Register on October 12, 1994 (59 FR 51741—51748) are adopted by reference. Efffective date: April 24, 1995 (22:8 Md. R. 595) (2) All amendments and revisions to 29 CFR §1910.266 that appear in the Federal Register on February 8, 1995 (60 FR 7447—7449) are adopted by reference. Effective date: April 27, 1995 (22:10 Md. R. 704) as an emergency provision. Emergency status expired August 9, 1995. (3) All amendments and revisions to 29 CFR §1910.266(c), (d)(1)(iii), (d)(1)(iv), (d)(1)(vii), (d)(2)(i), (d)(2)(iii), (d)(5), (d)(6)(iii), (d)(9)(iii), (d)(9)(iv), (e)(2)(iv), (e)(2)(vi), (e)(2)(xiii), (f)(2)(iv), (f)(2)(x), (f)(2)(xi), (f)(3)(i), (f)(3)(ii), (f)(3)(vii), (f)(3)(viii), (f)(7)(i), (f)(7)(ii), (g)(1), (g)(2), (h)(1)(iii), (h)(1)(ix), (h)(2)(i), (h)(2)(vi), (h)(2)(vii), (h)(3), (h)(3)(i), (h)(5)(v), (h)(5)(viii), (h)(6)(ii),(i)(7)(ii),(i)(7)(iii), and Appendix A that appear in the Federal Register on September 8, 1995 (60 FR 47035—47037) are adopted by reference. Effective date: February 12, 1996 (23:3 Md. R. 166) QQ. Mechanical Power Presses. (1) All amendments and revisions to 29 CFR 1910 that appear in the Federal Register on December 3, 1974 (39 FR 41841) and January 27, 1975 (40 FR 3982) are adopted by reference. Effective date: June 11, 1975 (2:13 Md. R. 929) (2) All amendments and revisions to 29 CFR §1910.217 that appear in the Federal Register on February 8, 1980 (45 FR 8593—8594) are adopted by reference. Effective date: November 9, 1981 (8:22 Md. R. 1783) QQ-1. Methylene Chloride. (1) All amendments and revisions to 29 CFR §§1910.19, 1910.1000, 1910.1052, and 1926.1152 that appear in the Federal Register on January 10, 1997 (62 FR 1600—1619) are adopted by reference with the changes indicated at 24:9 Md. R. 667. Effective date: June 30, 1997 (24:13 Md. R. 931) (2) All amendments and revisions to 29 CFR §1910.1052 that appear in the Federal Register on December 18, 1997 (62 FR 66276—66277) are incorporated by reference. Effective date: June 29, 1998 (25:13 Md. R. 993) QQ-2. 4,4'-Methylenedianiline (MDA). (1) All amendments and revisions to 29 CFR §1926.60 and Appendices A—E that appear in the Federal Register on August 10, 1992 (57 FR 35681—35696) are adopted by reference with the changes indicated at 19:22 Md. R. 1994. Effective date: January 2, 1993 (19:26 Md. R. 2286) (2) All amendments and revisions to 29 CFR §1910.1050 and Appendices A—E and related additions and revisions to 29 CFR §1910.19(i) that appear in the Federal Register on August 10, 1992 (57 FR 35666—35681) are adopted by reference with the changes indicated at 19:22 Md. R. 1996. Effective date: January 2, 1993 (19:26 Md. R. 2287) (3) Methylenedianiline (MDA) Standard for Construction. All amendments and revisions to 29 CFR §1926.60 that appear in the Federal Register on December 6, 2004 (69 FR 70373) are adopted by reference. Effective date: August 1, 2005 (32:15 Md. R. 1319) QQ-3. National Consensus Standards. All amendments and revisions to 29 CFR Parts 1910 that appear in the Federal Register on December 14, 2007 (72 FR 71061—71070) are adopted by reference. Effective date: July 17, 2008 (35:14 Md. R. 1246). RR. Noise; Hearing Conservation. (1) All amendments and revisions to 29 CFR §§1910.95(b)(3), 1910.95(c)—(p), and Appendices A—I, that appear in the Federal Register on January 16, 1981 (46 FR 4161) and March 8, 1983 (48 FR 9776—9785) are adopted by reference. Effective date: September 26, 1981 (10:19 Md. R. 1690) (2) All amendments and revisions to 29 CFR §1910.95(c)—(p) and Appendices A—I, that appear in the Federal Register on June 28, 1983 (48 FR 29687) are adopted by reference. Effective date: June 18, 1984 (11:12 Md. R. 1062) SS. Occupational Health and Environmental Matters. All amendments and revisions to 29 CFR §1910.99, Subpart G, that appear in the Federal Register on June 11, 1982 (47 FR 25323) are adopted by reference. Effective date: August 1, 1983 (10:15 Md. R. 1349) SS-1. Personal Protective Equipment for General Industry and Construction. (1) All amendments and revisions to 29 CFR §§1910.132, 1910.133, 1910.136, and 1910.138, including nonmandatory Appendices A and B to Subpart I, that appear in the Federal Register on April 6, 1994 (59 FR 16360—16364) are adopted by reference with the changes indicated at 21:13 Md. R. 1167—1168. Effective date: August 29, 1994 (21:17 Md. R. 1439) (2) All amendments and revisions to 29 CFR §§1910.132, 1910.133, 1910.136, and 1910.138 that appear in the Federal Register on July 1, 1994 (59 FR 33910—33911) are adopted by reference. Effective date: January 2, 1995 (21:26 Md. R. 2186) (3) All amendments and revisions to 29 CFR §§1910.133, 1910.135, and 1910.136 that appear in the Federal Register on May 2, 1996 (61 FR 19548) and May 9, 1996 (61 FR 21228) are adopted by reference. Effective date: October 21, 1996 (23:21 Md. R. 1466) (4) All amendments and revisions to 29 CFR Parts 1910 and 1926, excluding Parts 1915, 1917, and 1918, that appear in the Federal Register on November 15, 2007 (72 FR 64342—64430) are adopted by reference, as amended. Effective date: July 17, 2008 (35:14 Md. R. 1246) (5) All amendments and revisions to 29 CFR Parts 1910 and 1926, excluding Parts 1915, 1917, and 1918, that appear in the Federal Register on December 12, 2008 (73 FR 75568—75589) are adopted by reference, as amended. Effective date: March 7, 2011 (38:5 Md. R. 317) (6) All amendments and revisions to 29 CFR Part 1910, excluding Parts 1915, 1917, and 1918, that appear in the Federal Register on September 9, 2009 (74 FR 46350—46361) are adopted by reference. Effective date: May 2, 2011 (38:9 Md. R. 552) (7) All amendments and revisions to 29 CFR Parts 1910 and 1926, excluding Parts 1915, 1917, and 1918, that appear in the Federal Register on June 22, 2012 (77 FR 37587—37600) are adopted by reference, as amended. Effective date: August 5, 2013 (40:15 Md. R. 1229) SS-2. Powered Industrial Trucks. All amendments and revisions to 29 CFR §1910.178 that appear in the Federal Register on June 2, 2003 (68 FR 32637—32638) are adopted by reference. Effective date: January 5, 2004 (30:26 Md. R. 1913) TT. Powered Industrial Truck Operator Training. All amendments and revisions to 29 CFR §§1910.16; 1910.178, including Appendix A; and 1926.602 that appear in the Federal Register on December 1, 1998 (63 FR 66270—66274) are adopted by reference. Effective date: May 31, 1999 (26:11 Md. R. 854) TT-1. Powered Platforms for Building Maintenance. All amendments and revisions to 29 CFR §1910.66, Subpart F, that appear in the Federal Register on July 28, 1989 (54 FR 31456—31477) are adopted by reference with the changes indicated at 16:23 Md. R. 2507. Effective date: January 22, 1990 (17:1 Md. R. 68) UU. Presence Sensing Device Initiation (PSDI) of Mechanical Power Presses. (1) All amendments and revisions to 29 CFR §1910.211, 29 CFR §1910.217(c)(3)(iii)(b), new paragraph (h), and new Appendices A, B, C, and D, that appear in the Federal Register on March 14, 1988 (53 FR 8352—8365) are adopted by reference with the changes indicated at 15:13 Md. R. 1562. Effective date: August 22, 1988 (15:17 Md. R. 2048) (2) All amendments and revisions to 29 CFR §1910.211 and 29 CFR §1910.217 and Appendices A—D, that appear in the Federal Register on March 14, 1988 (53 FR 8352—8365) are adopted by reference with the changes indicated at 16:23 Md. R. 2509. Effective date: January 22, 1990 (17:1 Md. R. 69) UU-1. Respiratory Protection. (1) All amendments and revisions to 29 CFR §1910.134, together with Appendices A—D; amendments and revisions to 29 CFR §§1910.94, 1910.111, 1910.156, 1910.252, 1910.261, 1910.1001, 1910.1003, 1910.1017, 1910.1018, 1910.1025, 1910.1027, 1910.1028, 1910.1029, 1910.1043, 1910.1044, 1910.1045, 1910.1047, 1910.1048, 1910.1050, 1910.1051, and 1910.1052; 29 CFR 1926.57, 1926.60, 1926.62, 1926.103, 1926.800, 1926.1101, and 1926.1127; and the redesignation of 29 CFR §1910.134 to 29 CFR §1910.139 that appear in the Federal Register on January 8, 1998 (63 FR 1260—1299) are adopted by reference with the change indicated at 25:11 Md. R. 830—833. Effective date: July 27, 1998 (25:15 Md. R. 1190) (2) All amendments and revisions to 29 CFR §§1910.134, 1910.1003, 1910.1025, 1910.1028, 1910.1045, 1910.1048, and 1910.1050, and 29 CFR §1926.1101 that appear in the Federal Register on April 23, 1998 (63 FR 20098—20099) are adopted by reference. Effective date: October 5, 1998 (25:20 Md. R. 1528) (3) The revocation of “Respiratory Protection for M. Tuberculosis”, 29 CFR §1910.139, thereby applying the more protective General Industry Standard in 29 CFR §1910.134, that appears in the Federal Register on December 31, 2003 (68 FR 75776—75780) is adopted by reference. Effective date: July 19, 2004 (31:14 Md. R. 1078) (4) Assigned Protection Factors. All amendments and revisions to 29 CFR Parts 1910 and 1926, excluding Part 1915, that appear in the Federal Register on August 24, 2006 (71 FR 50122—50192) are adopted by reference, as amended. Effective date: April 9, 2007 (34:7 Md. R. 697) UU-2. Roll-Over Protective Structures. All amendments and revisions to 29 CFR 1926 and 1928, specifically §1926.1002; §1926.1003; Appendix A to Subpart W, §1928.51; §1928.52; §1928.53; and Appendix B to Subpart C that appear in the Federal Register on December 29, 2005 (70 FR 76979—77025) are adopted by reference, as amended. Effective date: September 25, 2006 (33:19 Md. R. 1559) UU-3. Signs, Signals, and Barricades. All amendments and revisions to 29 CFR §§1926.200—1926-203 that appear in the Federal Register on September 12, 2002 (67 FR 57722—57736) are adopted by reference. Effective date: January 10, 2003 (30:5 Md. R. 363; 30:7 Md. R. 486) VV. Single-Piece and Multi-Piece Rim Wheels. (1) All amendments and revisions to 29 CFR §1910.177 that appear in the Federal Register on January 29, 1980 (45 FR 6713—6716) are adopted by reference. Effective date: August 22, 1980 (7:17 Md. R. 1671) (2) All amendments and revisions to 29 CFR §1910.177 that appear in the Federal Register on February 3, 1984 (49 FR 4349—4352) are adopted by reference. Effective date: November 5, 1984 (11:22 Md. R. 1898) (3) All amendments and revisions to 29 CFR §1910.177 and Appendix B, that appear in the Federal Register on September 8, 1988 (53 FR 34737) are adopted by reference. Effective date: February 20, 1989 (16:3 Md. R. 342) WW. Stairways and Ladders Used in the Construction Industry. (1) All amendments and revisions to 29 CFR §1926.450 and 1926.452 of Subpart L, §1926.500 and 1926.501 pf Subpart M, and Subpart X, §1926.1050—1926.1060, and Appendix A to Subpart X, that appear in the Federal Register on November 14, 1990 (55 FR 47687—47691); corrections to 29 CFR §§1926.1050, 1926.1051, and 1926.1053 that appear in the Federal Register on January 23, 1991 (56 FR 2585), and 29 CFR §1926.1052 on February 7, 1991 (56 FR 5061) are adopted by reference. Effective date: June 24, 1991 (18:12 Md. R. 1338) (2) All amendments and revisions to 29 CFR §1926.1052(c)(1) and 1926.1053(a)(3) that appear in the Federal Register on August 23, 1991 (56 FR 41793—41794) are adopted by reference. Effective date: December 23, 1991 (18:25 Md. R. 2750) WW-1. Steel Erection; Slip Resistance of Skeletal Structural Steel. All amendments and revisions of 29 CFR 1926, specifically §1926.754 and Appendix B, that appear in the Federal Register on January 18, 2006 (71 FR 2879—2885) are adopted by reference, as amended. Effective date: January 1, 2007 (33:26 Md. R. 1996) XX. Telecommunications (see also A, In General); Telecommunications Training Records. All amendments and revisions to 29 CFR §1910.268(c), that appear in the Federal Register on September 28, 1987 (52 FR 36387) are adopted by reference with the changes indicated at 14:25 Md. R. 2671. Effective date: February 22, 1988 (15:4 Md. R. 471) YY. Underground Construction, Caisson, Cofferdams, and Compressed Air. All amendments and revisions to 29 CFR §1926.800, Subpart S, that appear in the Federal Register on June 2, 1989 (54 FR 23850—23857) are adopted by reference with the changes indicated at 16:23 Md. R. 2508. Effective date: January 22, 1990 (17:1 Md. R. 69) ZZ. Vinyl Chloride (see A, In General, and QQ, Mechanical Power Presses). ZZ-1. Welding, Cutting, and Brazing. (1) All amendments and revisions to 29 CFR §§1910.251—1910.257 that appear in the Federal Register on April 11, 1990 (55 FR 13696—13711) are adopted by reference. Effective date: August 20, 1990 (17:16 Md. R. 1991) (2) All amendments and revisions to 29 CFR §§1910.110, 1910.272, and Appendix A of 1910.272, that appear in the Federal Register on June 20, 1990 (55 FR 25094) are adopted by reference. Effective date: November 12, 1990 (17:22 Md. R. 2655) ZZ-2. Workplace Equipment and Materials — +Safety Testing or Certification. All amendments and revisions to 29 CFR §1910; 29 CFR §1910.7 and Appendix A, Subpart A; 29 CFR §1910.28, Subpart D; 29 CFR §1910.35, Subpart E; 29 CFR §§1910.103, 1910.106—.111, Subpart H; 29 CFR §1910.155, Subpart L; 29 CFR §1910.178, .180, and .181, Subpart N; 29 CFR §1910.251, Subpart Q; 29 CFR §1910.265 and .266, Subpart R; and 29 CFR §1910.399, Subpart S, that appear in the Federal Register on April 12, 1988 (53 FR 12120—12125), together with the technical correction to 29 CFR §1910.7(b)(2)(i) that appears in the Federal Register on May 11, 1988 (53 FR 16838), are adopted by reference. Effective date: September 5, 1988 (15:18 Md. R. 2146) ### Chapter 32 — Heat Stress Standards **Authority:** Labor and Employment Article, §§2-106(b)(5) and 5-1201(b), Annotated Code of Maryland **Administrative History:** Effective date: January 16, 1984 (11:1 Md. R. 43) **Administrative History:** Chapter recodified from COMAR 09.12.32C to 09.12.32 (13:11 Md. R. 1272) **Administrative History:** Chapter revised effective November 28, 1988 (15:24 Md. R. 2768) **Administrative History:** Regulations 01-.16 under 09.12.32 Maryland Occupational Safety and Health Standard for Occupational Exposure to Lead in Construction Work, repealed effective March 28, 1994 (21:6 Md. R. 466) **Administrative History:** New Regulations .01—.10 under Heat Stress Standards adopted effective September 30, 2024 (51:19 Md. R. 854) #### Regulation .01 Purpose. *COMAR 09.12.32.01* The purpose of this chapter is to establish minimum requirements for employers to protect employees from heat-related illness caused by heat stress in the workplace. #### Regulation .02 Scope. *COMAR 09.12.32.02* A. This chapter applies to an employer with employees whose employment activities, indoor or outdoor, expose employees to a heat index in the area where the employee is working that equals or exceeds 80 degrees Fahrenheit. B. This chapter does not apply to: (1) Emergency operations and essential services as defined in Regulation .03B(4) of this chapter that involve protecting life or property; (2) Incidental exposures when an employee is not required to perform work activities for more than 15 consecutive minutes per hour; or (3) Buildings, structures, and vehicles that have a mechanical ventilation system or fan that maintains the heat index below 80 degrees. #### Regulation .03 Definitions. *COMAR 09.12.32.03* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Acclimatization” means the body's temporary adaptation to work in heat that occurs as a person is exposed over time. (2) “Alternative cooling and control measures” means engineering, work-practice, administrative, or other controls to manage heat, including job rotation, mechanical ventilation systems, misting equipment, cooling vests, air-cooled or water-cooled garments, and access to recreational water. (3) “Drinking water” means potable water that is safe to drink and cool in temperature. (4) “Emergency operations and essential service” means work in connection with an emergency that requires the involvement of law enforcement, emergency medical services, firefighting, rescue and evacuation operations, or emergency restoration of essential utilities or telecommunications. (5) “Heat index” means a measure of how hot it feels when relative humidity is taken into account along with the actual air temperature, which can be extrapolated from temperature and relative humidity using the National Weather Service Heat Index Calculator. (6) “High-heat conditions” means working conditions where the heat index of the work area equals or exceeds 90 degrees Fahrenheit. (7) “Shade or shaded areas” means blockage of direct sunlight. #### Regulation .04 Heat-Related Illness Prevention and Management Plan. *COMAR 09.12.32.04* A. An employer shall monitor the heat index throughout the work shift in areas where employees perform work using one of the following methods: (1) Direct measurement of the temperature and humidity at the same time and location in the areas where employees perform work; (2) Use of local weather data reported by the National Weather Service or other recognized source to determine the heat index; or (3) Use of the National Institute for Occupational Safety and Health’s Heat Safety Tool application to determine the heat index. B. An employer whose employees work in buildings and structures that do not have a mechanical ventilation system shall directly measure the temperature and humidity at the same time and location in areas where employees perform work. C. An employer shall develop, implement, and maintain an effective heat-related illness prevention and management plan in writing. D. The heat-related illness prevention and management plan shall contain the following elements: (1) How sufficient amounts of drinking water will be provided; (2) How employees will be provided sufficient opportunities and encouragement to stay hydrated by drinking water; (3) How to recognize the symptoms of heat-related illness, including heat exhaustion and heat stroke; (4) How to respond to suspected heat-related illness, including heat exhaustion and heat stroke; (5) How employees will be provided with sufficient time and space to rest in shaded or cool, climate-controlled areas to cool off; (6) How the employer will implement rest break schedules as necessary; (7) How the employer will consider environmental conditions, workload, required clothing, personal protective equipment, and alternative cooling and control measures when determining rest break schedules; (8) How employees will be encouraged to take rest breaks as needed to prevent heat-related illness; (9) How employees will be trained on the hazards of heat exposure and the necessary steps to prevent heat-related illness; (10) The use and maintenance of alternative cooling and control measures used to manage heat; (11) Procedures for heat acclimatization in accordance with Regulation .05 of this chapter; (12) Procedures for high-heat conditions in accordance with Regulation .08 of this chapter; and (13) The emergency response plan in accordance with Regulation .09 of this chapter. E. The written plan shall be made available and accessible to: (1) Employees; and (2) MOSH upon request. #### Regulation .05 Acclimatization. *COMAR 09.12.32.05* A. An employer shall provide for acclimatization of exposed employees for a period of up to 14 days: (1) When an employee is newly exposed to heat in the workplace; and (2) When an employee returns to work after 7 or more consecutive days of absence from the workplace. B. An employer shall monitor employees during the acclimatization period for signs of heat-related illness through regular communication via: (1) Phone or radio; (2) A buddy system; or (3) Other effective means of observation. C. An employer shall develop and implement an acclimatization schedule which complies with one of the following: (1) A schedule which gradually increases exposure time over a 5—14 day period, with a maximum 20 percent increase each day; (2) A schedule which uses the current National Institute for Occupational Safety and Health’s recommendations for acclimatization; or (3) A schedule which uses a combination of gradual introduction and alternative cooling and control measures that acclimate an employee to the heat. D. The acclimatization schedule shall be in writing and consider the following elements: (1) Acclimated and unacclimated employees; (2) The environmental conditions and anticipated workload; (3) The impact of required clothing and personal protective equipment to the heat burden on employees; (4) The personal risk factors that put an employee at a higher risk of heat-related illness; (5) Re-acclimatizing employees as necessary, in accordance with §A of this regulation; and (6) The use of alternative cooling and control measures. #### Regulation .06 Shade Access. *COMAR 09.12.32.06* A. Except as provided in §§C and D of this regulation, an employer shall provide shaded areas to exposed employees as close to the work area as practicable. B. Shaded areas shall: (1) Be outside, open, and exposed to air on at least three sides; (2) Prevent contributing heat sources from reducing effectiveness; (3) Be sufficiently sized for the number of employees utilizing the shaded area; (4) Be arranged in a configuration that allows employees to sit in normal posture; and (5) Accommodate the removal and storage of personal protective equipment during periods of use. C. If creating outdoor shade is demonstrably infeasible or unsafe in the work area, the employer shall implement alternative cooling and control measures that provide equivalent protection to shade. D. An employer may provide cooling with an indoor mechanical ventilation system as an alternative to outdoor shade provided that the indoor space satisfies the requirements of §B(2)—(5) of this regulation. #### Regulation .07 Drinking Water. *COMAR 09.12.32.07* A. An employer shall: (1) Provide drinking water at no cost to exposed employees as close to the work area as practicable; and (2) Make available at least 32 ounces of drinking water per hour to each exposed employee per work day. B. An employer is not required to provide the entire drinking water supply at the beginning of an employee’s shift but shall make drinking water available at all times while work is being performed. #### Regulation .08 High-Heat Procedures. *COMAR 09.12.32.08* A. An employer shall implement high-heat procedures when the heat index reaches or exceeds 90 degrees Fahrenheit in the area where the work is being performed. B. The high-heat procedures shall include a work and rest schedule to protect employees from heat-related illness that is adjusted for environmental conditions, workload, and impact of required clothing or personal protective equipment. C. Except as provided in §D of this regulation, the high-heat procedures shall include: (1) Both: (a) A minimum rest period of 10 minutes for every 2 hours worked where employees are exposed to a heat index above 90 and below 100 degrees Fahrenheit; and (b) A minimum rest period of 15 minutes for every hour worked where employees are exposed to a heat index above 100 degrees Fahrenheit; or (2) A rest period as provided for in the current National Institute for Occupational Safety and Health recommendations for work and rest schedules to manage heat exposures. D. If an employer can demonstrate effective heat management and protection from heat-related illness through alternative cooling and control measures, the work and rest schedules set forth in §C of this regulation may not be required. E. If an employer utilizes alternative cooling and control measures under §D of this regulation, the measures: (1) Shall be readily available and accessible to employees at all times work is being performed; (2) Shall be documented in writing; and (3) May not supersede any other requirements of this chapter. F. An employer may coincide rest periods with a scheduled rest or meal period. G. Rest periods shall be taken in the shade in accordance with Regulation .06 of this chapter. H. An employer may not discourage employees from taking rest breaks as needed to prevent heat-related illness. I. When high-heat procedures are in effect, an employer shall monitor exposed employees for signs of heat-related illness with regular communication via: (1) Phone or radio; (2) A buddy system; or (3) Other effective means of observation. J. An employer shall make high-heat procedures available in writing in a language and manner that all employees can understand. #### Regulation .09 Emergency Response. *COMAR 09.12.32.09* An employer shall implement an emergency response plan that includes procedures for:\ A. Ensuring effective and accessible means of communication at all times at the worksite to enable an employee to contact a supervisor or emergency medical services; B. Responding to signs and symptoms of possible heat-related illness in employees; C. Monitoring and providing care to employees who are exhibiting symptoms of heat-related illness; and D. Contacting emergency medical services and, if necessary, transporting employees to a location accessible to emergency medical services. #### Regulation .10 Training. *COMAR 09.12.32.10* A. An employer shall: (1) Provide initial heat stress training to employees and supervisors covered by this chapter prior to an employee’s first exposure to heat; (2) Re-train employees and supervisors at least: (a) Annually prior to exposure; and (b) Immediately following any incident at the worksite involving a suspected or confirmed heat-related illness; (3) Present training in a language and manner that all employees and supervisors can understand; (4) Ensure that training includes at least: (a) The work and environmental conditions that affect heat-related illness; (b) The personal risk factors that affect heat-related illness; (c) The concept, importance, and methods of acclimatization; (d) The importance of frequent consumption of water and rest breaks in preventing heat-related illness; (e) The types of heat-related illness, signs and symptoms of heat-related illness, and the appropriate first aid and emergency response measures; (f) The importance of and procedures for employees immediately reporting to the employer signs and symptoms of heat-related illness; and (g) The employer’s procedures and the requirements for complying with this chapter; and (5) maintain training records for one year from the date on which the training occurred. B. The training records required by this regulation shall include: (1) The names of the persons trained; (2) The dates of the training sessions; and (3) A summary or outline of the content of the training sessions. C. The training records shall be made available to MOSH upon request. ### Chapter 33 — Maryland Occupational Safety and Health Regulations for Access to Information about Hazardous and Toxic Substances **Authority:** Labor and Employment Article, §§2-106(b)(4) and 5-312, Annotated Code of Maryland **Administrative History:** Effective date: November 25, 1985 (12:17 Md. R. 1705) **Administrative History:** Regulation .01 amended effective November 27, 1989 (16:23 Md. R. 2505) **Administrative History:** Regulation .02A amended effective November 27, 1989 (16:23 Md. R. 2505) **Administrative History:** Regulation .03C, D amended effective November 27, 1989 (16:23 Md. R. 2505) **Administrative History:** Regulation .04 amended effective November 27, 1989 (16:23 Md. R. 2505) **Administrative History:** Regulations .01—.05 repealed, new Regulation .01 adopted, and Regulation .06 recodified to be Regulation .02 effective December 24, 1990 (17:25 Md. R. 2907) #### Regulation .01 Purpose. *COMAR 09.12.33.01* The requirements in this chapter supplement the provisions of Labor and Employment Article, § 5-401--5-410, Annotated Code of Maryland. #### Regulation .02 Chemical Information List. *COMAR 09.12.33.02* A. The employer compiling a chemical information list shall ensure that: (1) The complete name and business address of the employer submitting the list, the name and telephone number of a contact person, and the date of preparation or revision is noted on the first page of the list; (2) Either the chemical or common name on the list is the identity shown on the MSDS and label; (3) When a chemical is added to the list, the date of addition appears next to the addition. B. If symbols, letters, or numbers are used to identify work areas, the employer shall also provide a key, map, or other descriptive identification. C. The employer shall, upon request, assure the immediate access of the Commissioner of Labor and Industry to the chemical information list. ### Chapter 34 — *Repealed* **Administrative History:** Effective date: January 19, 1977 (4:2 Md. R. 87) **Administrative History:** Chapter recodified from COMAR 09.12.32A to 09.12.34 (13:11 Md. R. 1272) **Administrative History:** Chapter revised effective October 17, 1988 (15:21 Md. R. 2468) **Administrative History:** Chapter repealed effective July 5, 1993 (20:13 Md. R. 1048) ### Chapter 35 — Maryland Occupational Safety and Health Standard for Confined Spaces *Repealed* **Administrative History:** Effective date: June 2, 1978 (5:11 Md. R. 883) **Administrative History:** Chapter recodified from COMAR 09.12.32B to 09.12.35 (13:11 Md. R. 1272) **Administrative History:** Chapter revised effective November 28, 1988 (15:24 Md. R. 2769) **Administrative History:** Regulation .01A amended effective July 5, 1993 (20:13 Md. R. 1048) **Administrative History:** Regulations .01—.05 repealed effective January 2, 2017 (43:26 Md. R. 1444) ### Chapter 36 — Maryland Occupational Safety and Health Standard for Field Sanitation **Authority:** Labor and Employment Article, §§2-106(b)(4) and 5-312, Annotated Code of Maryland **Administrative History:** Effective date: December 1, 1986 (13:24 Md. R. 2558) **Administrative History:** Regulation .02B amended effective October 15, 1988 (15:17 Md. R. 2048) **Administrative History:** Regulation .03C amended effective October 15, 1988 (15:17 Md. R. 2048) **Administrative History:** Regulation .03D amended effective October 15, 1988 (15:17 Md. R. 2048) **Administrative History:** Regulation .03F adopted effective October 15, 1988 (15:17 Md. R. 2048) #### Regulation .01 Scope. *COMAR 09.12.36.01* This chapter applies to any agricultural establishment where employees perform hand-labor operations in the field. #### Regulation .02 Definitions. *COMAR 09.12.36.02* A. The following terms have the meanings indicated. B. Terms Defined. (1) “Agricultural employer” means any person, corporation, association, or other legal entity that: (a) Owns or operates an agricultural establishment; (b) Contracts with the owner or operator of an agricultural establishment in advance of production for the purchase of a crop and exercises substantial control over production; or (c) Recruits and supervises employees or is responsible for the management and condition of an agricultural establishment. (2) “Agricultural establishment” means any business operation which uses paid employees in the production of food, fiber, materials such as seed, seedlings, and plants, or other agricultural or horticultural commodities. (3) “Employee” means an employee as defined in Labor and Employment Article, §5-101(c), Annotated Code of Maryland, and includes any person engaged in hand-labor operations in the field. (4) Hand-Labor Operations. “Hand-labor operations”: (a) Means agricultural activities or operations performed by hand or with hand tools, including the: (i) Harvest of vegetables, nuts, and fruit, (ii) Weeding of crops, (iii) Planting of seedlings, and (iv) Except for the purposes of Regulation .03C(5)(a), other activities or operations performed in conjunction with hand-labor in the field; (b) Does not include: (i) Activities such as logging operations and the care or feeding of livestock, or (ii) Hand-labor operations in permanent structures including poultry operations, canning facilities, or packing houses. (5) “Handwashing facility” means a facility consisting of a basin, container, or outlet, and an adequate supply of potable water, soap, and single-use towels. (6) “Potable water” means water that meets the quality standards for drinking purposes prescribed by the State or local authority having jurisdiction, or the U.S. Environmental Protection Agency's National Interim Primary Drinking Water Regulations, 40 CFR Part 141, here incorporated by reference. (7) Toilet Facility. “Toilet facility”: (a) Means either a fixed, portable, or transportable facility designed for the purpose of defecation and urination; and (b) May include biological or chemical toilets, combustion toilets, or sanitary privies, when allowed by the Maryland Department of Health. #### Regulation .03 Requirements. *COMAR 09.12.36.03* A. Agricultural employers shall provide potable drinking water and toilet and handwashing facilities in accordance with this standard for employees engaged in hand-labor operations in the field, without cost to the employee. B. Potable Drinking Water. (1) The agricultural employer shall provide potable drinking water in locations readily accessible to all employees. (2) The agricultural employer, taking into account the air temperature, humidity, and the nature of the work performed, shall ensure that the water is suitably cool and in sufficient amounts to meet the needs of employees. (3) Dispensing. (a) Common drinking cups or dippers may not be used. (b) The water shall be dispensed in single use drinking cups or by fountains. C. Toilet and Handwashing Facilities. (1) The requirements in this section apply to agricultural establishments where 11 or more employees perform hand-labor operations in the field on any given day. (2) Toilet and handwashing facilities are not required for employees who perform field work for a period of 3 hours or less during the day, including transportation time to and from the field. (3) Ratio. (a) One toilet facility and one handwashing facility shall be provided for each 20 employees or fraction of that amount. (b) The ratio of toilet facilities to employees may be increased to one facility for every 30 employees when the frequency of servicing is increased to ensure that the facility is maintained in a clean and sanitary condition. (4) Toilet facilities shall: (a) Be constructed to ensure privacy; (b) Have self-closing doors which can be closed and latched from the inside; (c) Be supplied with toilet paper adequate to meet employee needs; (d) Be adequately ventilated; and (e) Appropriately screened. (5) Location. (a) Toilet and handwashing facilities shall be: (i) Accessibly located; and (ii) Within 1/4 mile of each employee's place of work in the field. (b) When it is not feasible to locate facilities accessibly and within the required distance due to the terrain, the facilities shall be located at the point of closest vehicular access. D. Maintenance. Potable drinking water and toilet and handwashing facilities shall be maintained in accordance with appropriate public health sanitation practices, including the following: (1) Drinking water containers shall be: (a) Constructed of materials that maintain water quality, (b) Kept covered, and (c) Refilled daily or more often as necessary; (2) Toilet facilities shall be operational and maintained in a clean and sanitary condition; (3) Handwashing facilities shall be maintained in a clean and sanitary condition; and (4) Disposal of wastes from facilities may not cause unsanitary conditions. E. Reasonable Use. Employees shall be allowed reasonable opportunities during the workday to use the facilities. F. Informational Program. To minimize exposure to hazards of heat, communicable diseases, retention of urine, and agrichemical residues, the employer shall inform each employee of the importance of each of the following good hygiene practices: (1) Use the water provided for drinking and handwashing; (2) Use the toilet for elimination; (3) Drink water frequently and especially on hot days; (4) Urinate as frequently as necessary; and (5) Wash hands: (a) Both before and after using the toilet, (b) Before eating and smoking. ### Chapter 37 — *VACANT* ### Chapter 38 — General Industry Standard for Personnel Platforms Suspended from Cranes, Derricks, and Hoists **Authority:** Labor and Employment Article, §§2-106(b)(4) and 5-312, Annotated Code of Maryland **Administrative History:** Effective date: May 14, 1990 (17:9 Md. R. 1089) #### Regulation .01 Scope. *COMAR 09.12.38.01* This chapter applies to the design, construction, testing, use, and maintenance of personnel platforms, and the hoisting of personnel platforms on the load lines of cranes, derricks, and hoists. #### Regulation .02 Definitions. *COMAR 09.12.38.02* A. In these regulations, the following terms have the meanings indicated. B. Terms Defined. (1) “Competent designated person” means a knowledgeable person approved or assigned by the employer who has the authority to take prompt corrective measures to eliminate identified existing or predictable hazards in the surroundings, working conditions, or equipment which may be dangerous to employees. (2) Crane. (a) “Crane” means a machine driven manually or by power for lifting and lowering a load and moving it horizontally, with the hoisting mechanism an integral part of the machine. (b) “Crane” also includes derricks. (3) “Failure” means load refusal, breakage, or separation of components. (4) “Hoist” means a device used to lift or lower a load. (5) “Hoisting” or “to hoist” means all crane or derrick functions, such as lowering, lifting, swinging, booming in and out or up and down, or suspending a personnel platform. (6) “Jib” means a structural extension added to the boom tip for the purpose of handling loads at higher elevations than they would otherwise be handled by the main boom. (7) “Live boom” means a boom in which lowering is controlled by a brake without aid from other devices which slow the lowering speeds. (8) “Load refusal” means the point where the ultimate strength is exceeded. (9) “Main boom” means the structural component as designed by the manufacturer which enables cranes or derricks to handle loads at various radii. (10) “Maximum intended load” means the total load of all employees, tools, and materials reasonably anticipated to be applied to a personnel platform or personnel platform component at any one time. (11) “Qualified” means one who, by possession of a recognized degree, certificate, or professional standing, has successfully demonstrated their ability to design mechanical or structural objects. #### Regulation .03 Restricted Use. *COMAR 09.12.38.03* A. Except when the erection, use, and dismantling of conventional means of reaching the worksite, such as a personnel hoist, ladder, stairway, aerial lift, elevating work platform, or scaffold either would be more hazardous, or is not possible because of structural design or worksite conditions, the use of a crane, derrick, or hoist to hoist employees on a personnel platform is prohibited. B. When used, a personnel platform shall meet the applicable requirements of this chapter. #### Regulation .04 Operational Criteria. *COMAR 09.12.38.04* A. Free fall is prohibited. B. The use of machines having live booms is prohibited. C. A jib, boom extension, or similar attachment may not be used to hoist a personnel platform. D. Except where the electrical distribution, transmission, and service lines have been deenergized and visibly grounded at the point of work or where insulating barriers not a part of or an attachment to the cranes and hoists have been erected to prevent physical contact with the lines, cranes and hoists shall be operated proximate to, under, over, by, or near powerlines only in accordance with the following: (1) For a line rated 50 kilovolts or below, the minimum clearance between the line and any part of the crane, hoist, or load shall be 10 feet; (2) For a line rated over 50 kilovolts, the minimum clearance between the line and any part of the crane, hoist, or load shall be either 10 feet plus 0.4 inch for each 1.0 kilovolt over 50 kilovolts or twice the length of the line insulator, but never less than 10 feet. E. Hoisting of the personnel platform shall be performed in a slow, controlled, cautious manner with no sudden movements of the crane, hoist, or the platform. F. Load lines shall be capable of supporting, without failure, at least double the current safety factor for the specific type of crane being used by applying the 50 percent derating of the crane and hoist capacity. G. Load and boom hoist drum brakes, swing brakes, and locking devices, such as pawls or dogs, shall be engaged when the occupied personnel platform is in a stationary working position. H. Mobile cranes shall comply with the following: (1) Only the main boom shall be used to hoist a personnel platform; (2) The crane shall be uniformly level within 1 percent of level grade and located on firm footing; (3) All pneumatic tired cranes used to lift or lower personnel platforms shall be equipped with outriggers or stabilizers; (4) All outriggers or stabilizers, or both, shall be fully extended and set; (5) Carrier wheels within the boundary of the outriggers shall be relieved of their weight; (6) On a crawler crane, the track shall be fully extended. I. The total weight of the loaded personnel platform and related rigging may not exceed 50 percent of the rated capacity for the radius and configuration of the crane. #### Regulation .05 Instruments and Components. *COMAR 09.12.38.05* A. A crane with variable angle booms shall be equipped with a boom angle indicator, readily visible to the operator. B. A crane with telescoping booms shall be marked or equipped with a device to indicate clearly to the operator at all times the boom's extended length. C. Except for an electric crane, the load line hoist drum shall have a system or device on the power train, other than the load hoist brake, that: (1) Regulates the lowering rate of speed of the hoist mechanism; and (2) Prevents free fall. D. An electrical crane shall meet the requirements of 29 CFR §1910.179(f)(1), (2), and (3)(ii). E. Damage Prevention Device. A crane and hoist shall be equipped with a: (1) Positive acting device, such as anti-two block, which prevents contact between the load block or overhaul ball and the boom tip; or (2) System, such as a two block damage prevention feature, which deactivates the hoisting action before damage may occur to the load block, overhaul ball, or boom tip. #### Regulation .06 Personnel Platforms. *COMAR 09.12.38.06* A. Design Criteria. (1) A personnel platform and suspension system shall be designed by a qualified engineer or a qualified person competent in structural design. (2) Before a rigid suspension system is used with a personnel platform, the suspension system shall be approved by a qualified engineer. (3) The suspension system shall be designed to minimize tipping of the platform due to movement of employees occupying the platform. (4) The personnel platform shall be capable of supporting, without failure, its own weight and at least five times the maximum intended load. B. Platform Specifications. (1) Each personnel platform shall be equipped with a fall protection guardrail system which meets the requirements of 29 CFR §1910.23(e), and shall be enclosed at least from the toeboard to midrail with either solid construction or expanded metal, having openings no greater than 1/2 inch (1.27 centimeters). (2) A grab rail shall be installed inside the entire perimeter of the personnel platform. (3) A point of attachment for a lanyard shall be: (a) Provided for each employee occupying the platform; and (b) Appropriate for the hardware of the particular lanyard being used. (4) Access gates, if installed, may not swing outward. (5) Access gates, including sliding or folding gates, shall be equipped with a restraining device to prevent accidental opening. (6) Headroom shall be provided which allows employees to stand upright in the platform. (7) Except over water, when employees are exposed to falling objects, in addition to the use of head protection, employees shall be protected by an overhead structure on the personnel platform. (8) All rough edges exposed to contact by employees shall be surfaced or smoothed in order to prevent injury to employees from punctures or lacerations. (9) All welding of the personnel platform and its components shall be performed by a qualified welder familiar with the weld grades, types, and material specified in the platform design. (10) Identification Plate. (a) The personnel platform shall be conspicuously posted with a plate or other permanent marking which indicates the following: (i) Occupancy is limited to four persons; (ii) Weight of the platform; (iii) Rated load capacity or maximum intended load; and (iv) Platform identifying number. (b) The identification plate or marking shall remain legible. C. Safety Belts, Lifelines, and Lanyards. (1) A lifeline, safety belt, and lanyard shall be used only for employee safeguarding. (2) A lifeline, safety belt, or lanyard subjected to impact as a result of a full restraint of an employee's weight during a fall: (a) Shall be immediately removed from service; and (b) May not be used again for employee safeguarding. (3) A lifeline or lanyard attached to a safety belt shall be secured to a structural member capable of supplying a sufficient safety factor of 5,400 pounds per person secured to that structural member. (4) Safety Belt Lanyard. (a) A safety belt lanyard shall be a minimum of 1/2 inch diameter nylon, or equivalent, with a maximum length to provide for a fall of no greater than 6 feet. (b) The lanyard shall have a nominal breaking strength of 5,400 pounds. (5) Safety Belt and Lanyard Hardware. (a) All safety belt and lanyard hardware shall be drop-forged or pressed steel, and cadmium plated in a commercially accepted manner. (b) Surfaces shall be smooth and free of sharp edges. (c) All safety belt and lanyard hardware, except rivets, shall be capable of withstanding a tensile loading of 4,000 pounds without cracking, breaking, or becoming permanently deformed. (d) A lanyard hook shall be: (i) Of a self-closing design; and (ii) Used only in accordance with manufacturer specifications. D. Personnel Platform Loading. (1) The personnel platform may not be loaded in excess of its rated load capacity. (2) When a personnel platform does not have a rated load capacity, then the personnel platform may not be loaded in excess of its maximum intended load. (3) The number of persons occupying the personnel platform shall be limited to: (a) The number of employees required for the work being performed; and (b) A maximum of four persons. (4) A personnel platform: (a) Shall be used only to move or transport the employees, tools, and materials necessary to perform the work; and (b) When not hoisting employees, may not be used to hoist materials or tools. (5) Personnel Lift. (a) Before a personnel lift, materials and tools shall be: (i) Evenly distributed within the confines of the platform to ensure the platform remains level while suspended; and (ii) Secured to prevent displacement. (b) During a personnel lift, materials and tools shall remain secured. #### Regulation .07 Rigging. *COMAR 09.12.38.07* A. When a wire rope bridle is used to connect the personnel platform to the load line, each bridle leg shall be connected to a master link or shackle in such a manner to ensure that the load is evenly divided among the bridle legs. B. A hook on an overhaul ball assembly, a lower load block, or other attachment assembly shall be: (1) Of a type that can be closed and locked, eliminating the hook throat opening; or (2) A forged steel anchor type shackle with either a forged alloy steel bolt with nut and retaining clip, or a forged alloy steel pin with retaining clip. C. Wire rope, shackles, rings, master links, and other rigging hardware shall be capable of supporting, without failure, at least five times the maximum intended load applied or transmitted to that component. D. When rotation resistant rope is used, the slings shall be capable of supporting, without failure, at least ten times the maximum intended load. E. An eye in a wire rope sling shall be fabricated with thimbles. F. A bridle and associated rigging for attaching the personnel platform to the hoist line: (1) Shall be used only for the platform and the necessary employees, their tools, and the materials necessary for them to perform their work; and (2) When not hoisting personnel, may not be used for any other purpose. #### Regulation .08 Trial Lift. *COMAR 09.12.38.08* A. Mobile Cranes. (1) A trial lift with the unoccupied personnel platform loaded at least to the weight of the maximum intended load shall be: (a) Made from ground level, or any other location where employees will enter the platform, to each location to which the personnel platform will be hoisted and positioned; and (b) Performed immediately before placing employees on the platform. (2) A trial lift may be performed at one time for all locations that are to be reached from a single set up position. (3) When the crane or derrick is moved and set up in a new location or returned to a previously used location, a trial lift shall be repeated before hoisting employees. B. Fixed-Track Mounted Cranes. (1) A trial lift with the unoccupied personnel platform loaded at least to the weight of the maximum intended load shall be: (a) Made from ground level or any other location where employees will enter the platform, to the location at which the personnel platform will be hoisted and positioned once along the route of the track; and (b) Performed during each shift when employees will be lifted, immediately before the first lift. (2) A trial lift may be performed at one time for all locations that are to be reached from a single set up position. C. Fixed Cranes and Hoists. A trial lift with the unoccupied personnel platform loaded at least to the weight of the maximum intended load shall be: (1) Made from ground level at each location at which the personnel platform is to be hoisted and positioned; and (2) Performed during each shift, immediately before the first lift. D. Operator Requirements. For each trial lift performed under §§A, B, and C of this regulation, the employer shall ensure that the operator determines that: (1) All systems, controls, and safety devices are activated and functioning properly; (2) No interferences exist; and (3) All configurations necessary to reach each work location will allow the operator to remain under the 50 percent limit of the rated capacity of the crane or hoist, as provided in Regulation .04F of this chapter. E. Materials and tools to be used during the actual lift may be loaded in the platform as provided, in Regulation .06D(5) of this chapter, for the trial lift. F. Inspections. (1) Before each personnel lift, the platform, with maximum intended load, shall be hoisted a few inches and inspected to ensure that it is secure and properly balanced. (2) Before an employee is hoisted, the employer shall ensure that: (a) Hoist ropes shall be free of kinks; (b) Multiple part lines may not be twisted around each other; (c) The primary attachment shall be centered over the platform; and (d) If the load rope is slack, the hoisting system is inspected to ensure all ropes are properly seated on drums and in sheaves. (3) Visual Inspection. (a) Immediately after the trial lift, a visual inspection of the crane, hoist, rigging, personnel platform, and the base support or ground shall be conducted by a competent designated person to determine whether the testing has exposed any defect or produced any adverse effect upon any component or structure. (b) The inspection shall include, but not be limited to, all wire rope, hooks, brakes, the boom, safety devices, and other mechanical, structural, and rigging equipment. (4) Any defect found during the trial lift or inspection which creates a safety hazard shall be corrected before hoisting personnel. #### Regulation .09 Prooftesting of Platform and Rigging. *COMAR 09.12.38.09* A. An employer may not hoist employees on a personnel platform until the following prooftesting requirements are satisfied. B. The platform and rigging shall be prooftested to 125 percent of the platform's rated capacity. C. Prooftesting shall be performed by holding the platform in a suspended position for 5 minutes with the test load evenly distributed on the platform. D. After prooftesting: (1) A competent designated person shall inspect the platform and rigging; and (2) If any deficiency is found, then before employees are hoisted: (a) It shall be corrected, and (b) Another prooftest shall be conducted. E. The platform and rigging shall be prooftested: (1) Before the first use to lift personnel; (2) Annually after that; and (3) After any repair or modification. F. The prooftesting may be performed concurrently with any trial lift conducted at a time set forth in Regulation .08A, B, or C of this chapter. #### Regulation .10 Certification Record. *COMAR 09.12.38.10* A. The employer shall prepare a certification record which includes: (1) The date the personnel platform items were inspected; (2) The signature of the person who inspected the personnel platform items; (3) A serial number, or other identifier, for the personnel platform inspected; and (4) The date of the prooftest. B. The most recent certification record shall be maintained on file until a new one is prepared. #### Regulation .11 Work Practices. *COMAR 09.12.38.11* A. Except for an occupant of the platform performing the duties of a signal person, employees shall keep all parts of the body inside the platform during raising, lowering, and positioning. B. When employees are to exit or enter a hoisted personnel platform that is not landed, the platform shall first be secured to the structure where access or egress is to take place, unless securing to the structure creates an unsafe situation. C. When employees work from the platform, the platform may not be secured to any structure other than the crane, derrick, or hoist. D. Tag lines shall be used unless their use creates an unsafe condition. E. The crane operator shall remain at the controls at all times when the platform is occupied. F. The hoisting of employees shall be promptly discontinued upon indication of any weather condition or other impending condition which could adversely affect the safe hoisting of personnel on a platform. G. Except as noted in §H, of this regulation, employees being hoisted shall remain in continuous sight of, and in direct communication with, the operator or signal person. H. When direct visual contact with the operator is not possible and the use of a signal person would create a greater hazard for that person, direct communication alone, such as a two-way radio system, may be used. I. Except over water, employees occupying the personnel platform shall use a body belt/harness system with lanyard appropriately attached to the lower load block or overhaul ball, or to a structural member within the personnel platform capable of sustaining a fall impact. J. While personnel are suspended on a platform, a lift may not be made on any other loadline of the crane or hoist. K. An employee shall be permitted to stand on or to work from only the floor of the platform. L. Head protection shall be worn by all employees while using personnel platforms. M. When employees are working over or adjacent to water, an employer shall comply with the following requirements: (1) Totally enclosed personnel platforms or platforms with overhead structures are prohibited; (2) Personal flotation devices: (a) Coast Guard approved personal flotation devices shall be: (i) Provided by the employer, and (ii) Worn by all employees while using the personnel platform; (b) Before and after each use, personal flotation devices shall be inspected for defects which would alter their strength or buoyancy; (c) A defective personal flotation device may not be used; (3) Ring buoys: (a) Ring buoys with at least 90 feet of line shall be provided and readily available for emergency rescue operations; (b) The distance between ring buoys and the work being performed may not exceed 200 feet; (4) At least one lifesaving skiff shall be immediately available. #### Regulation .12 Traveling. *COMAR 09.12.38.12* A. Except for a crane which travels on a fixed track, while a crane is traveling it may not be used to hoist an employee. B. When using a crane that travels on a fixed track, an employer may hoist employees on a personnel platform while the crane is traveling, upon implementing the following procedures to safeguard employees: (1) The boom shall be parallel to the direction of travel; (2) A complete trial run to test the route of travel: (a) Shall be performed before employees are allowed to occupy the platform, and (b) May be performed at the time of the trial lift required by Regulation .08 of this chapter. #### Regulation .13 Prelift Meeting. *COMAR 09.12.38.13* A prelift meeting shall be: A. Held to review the appropriate requirements of this chapter and the procedures to be followed; B. Held before each trial lift; C. Repeated for any employee newly assigned to the operation; and D. Attended by the crane or hoist operator, signal person, employee or employees to be lifted, and the person responsible for the task to be performed. ### Chapter 39 — Lien for Unpaid Wages **Authority:** Labor and Employment Article, §3-1110, Annotated Code of Maryland **Administrative History:** Effective date: July 7, 2014 (41:13 Md. R. 751) #### Regulation .01 Definitions. *COMAR 09.12.39.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Employer Complaint to Dispute Lien for Unpaid Wages” means the complaint filed by an employer in circuit court to dispute a Notice to Employer of Intent to Claim Lien for Unpaid Wages. (2) “Notice to Employer of Intent to Claim Lien for Unpaid Wages” means the written form or comparable notice that an employee serves on an employer stating the employee’s intent to claim a lien for unpaid wages. (3) “Wage Lien Statement” means the form that may be recorded by an employee after a lien for unpaid wages has been established pursuant to Labor and Employment Article, §3-1104, Annotated Code of Maryland. #### Regulation .02 Notice of Claim for Unpaid Wages. *COMAR 09.12.39.02* A. An employee shall serve his or her employer with a Notice to Employer of Intent to Claim Lien for Unpaid Wages on a form that contains the information specified in §B of this regulation, a sample of which may be found on the Department’s website. B. The form shall include the following: (1) The name and address of the individual seeking a lien; (2) The name of the business or individual for whom the employee performed work; (3) The dates of employment; (4) The dates for which wages are due but were not paid; (5) The basis for the claim that wages were due but were not paid; (6) The monetary amount of the lien sought; (7) The real or personal property, or both, against which the lien is sought along with a description adequate to identify the property, name of owner, and location; and (8) Notice to the employer of their right to dispute the lien by filing a complaint within 30 days of receipt of the notice. C. An employee shall serve the employer by: (1) Delivering personally a copy of the Notice to Employer of Intent to Claim Lien for Unpaid Wages to the employer; (2) Leaving a copy of the Notice to Employer of Intent to Claim Lien for Unpaid Wages at the employer’s home or place of dwelling with a resident of suitable age and discretion; or (3) Mailing a copy of the Notice to Employer of Intent to Claim Lien for Unpaid Wages to the employer by certified mail requesting, “Restricted Delivery—Show to whom, date, and address of delivery”. #### Regulation .03 Employer Complaint to Dispute Notice to Employer of Intent to Claim Lien for Unpaid Wages. *COMAR 09.12.39.03* A. An employer may dispute a lien for unpaid wages by filing a complaint in the circuit court for the county where the property of the employer is located. B. The complaint disputing a lien for unpaid wages shall include the following: (1) The date that the employee served the Notice to Employer of Intent to Claim Lien for Unpaid Wages on the employer; (2) An explanation of why the wages claimed by the employee are not due and owing by the employer; (3) A description of supporting documents with the supporting documents attached; and (4) A certificate of service reflecting service upon the employee. #### Regulation .04 Wage Lien Statement. *COMAR 09.12.39.04* A Wage Lien Statement shall include the following: A. A description of the property; B. The name of the property owner; C. The monetary amount of the lien; D. A copy of the Notice to Employer of Intent to Claim Lien for Unpaid Wages and proof of service of the notice; and E. A copy of a court order establishing the lien for unpaid wages if the lien for unpaid wages is established in a court. #### Regulation .05 Recording Lien. *COMAR 09.12.39.05* If an employer does not dispute a Notice to Employer of Intent to Claim Lien for Unpaid Wages or if a court orders the establishment of a lien, an employee may record the Wage Lien Statement together with proof of service. ### Chapter 40 — Workplace Fraud **Authority:** Labor and Employment Article, §§3-903(d), 3-904, 3-914, and 3-917, Annotated Code of Maryland **Administrative History:** Effective date: November 2, 2009 (36:22 Md. R. 1723) **Administrative History:** Regulation .05 adopted effective February 22, 2010 (37:4 Md. R. 340) **Administrative History:** Regulation .06 adopted effective February 22, 2010 (37:4 Md. R. 340) #### Regulation .01 Scope. *COMAR 09.12.40.01* This chapter applies to construction services and landscaping services. #### Regulation .02 Notice. *COMAR 09.12.40.02* A. If an employer contracts with an individual and classifies that individual as an independent contractor or an exempt person, the employer shall complete the information required by §A(9) of this regulation and provide the individual with a “Notice to Independent Contractors and Exempt Persons” that contains the following information: (1) Notification to the individual that they have been hired as an independent contractor or exempt person; (2) A statement by the employer that the independent contractor will perform the work according to their own means and methods, free from control of the employer in all details connected with the performance of the work, except as to its product and result; (3) Notification that the individual's classification as an independent contractor or exempt person means the individual will be responsible for all tax obligations, including, but not limited to, the filing of business or self-employment income tax returns with the U.S. Internal Revenue Service; (4) Notification that the individual's classification as an independent contractor or exempt person means that they are not eligible for protection under protective laws, including, but not limited to, employment discrimination and anti-retaliation laws, occupational safety and health laws, living wage and prevailing wage laws, and wage and hour laws; (5) Notification that, if the independent contractor or exempt person hires employees to perform work, the independent contractor or exempt person is responsible as an employer for all tax, unemployment insurance, workers' compensation insurance, and labor and employment law obligations on behalf of those employees; (6) Notification that the independent contractor or exempt person is obligated to provide a “Notice to Independent Contractors and Exempt Persons” for independent contractors or exempt person with whom they contract; (7) Notification that the individual is required to provide copies of any licenses or registrations issued to the individual related to the work to be performed to the employer; (8) The name, address, telephone number and email address of the Commissioner of Labor and Industry if the individual has any questions; and (9) A detailed statement of the work to be performed by the independent contractor or exempt person or the appropriate provisions of the contract between the parties, which shall be attached to the notice. B. An employer shall use the Commissioner's “Notice to Independent Contractors and Exempt Persons”, which is available for download on the Maryland Department of Labor's website. C. An employer shall post the Commissioner's “Notice to Independent Contractors and Exempt Persons” in English and Spanish in a conspicuous location at places where notices to employees are normally posted at each job site and at the office of the employer. D. An employer shall retain proof that the independent contractor or exempt person was provided a copy of the “Notice to Independent Contractors and Exempt Persons” with an acknowledgement signed by the individual. #### Regulation .03 Record Keeping. *COMAR 09.12.40.03* A. For each independent contractor and exempt person hired, an employer shall retain the following records at the work site or at its place of business: (1) A statement with a description of the employer's usual course of business or a fully executed copy of the contract between the employer and the independent contractor or exempt person; (2) Acknowledgement forms signed by the independent contractor and exempt person; and (3) Licenses or registrations provided by an individual classified as an independent contractor or exempt person. B. An employer shall retain each record for 3 years. #### Regulation .04 Evidence of a Knowing Violation. *COMAR 09.12.40.04* A. The Commissioner may consider evidence, as provided in §B of this regulation, that an employer knowingly failed to properly classify an employee. B. The evidence shall include the following: (1) Any previous violation of the Workplace Fraud Act or a violation of any other state or federal law that involves similar issues related to the classification of employees; (2) Refusal or failure of the employer to produce records requested pursuant to Labor and Employment Article, §3-905(d)(1), Annotated Code of Maryland; (3) Refusal or failure of the employer to cooperate with an investigation authorized under Labor and Employment Article, §3-905, Annotated Code of Maryland; (4) Evidence that the employer classifies differently individuals who perform substantially the same tasks, allowing for the business model described in Labor and Employment Article, §3-903(c)(3), Annotated Code of Maryland; and (5) Any other credible evidence of the employer's actual knowledge of, deliberate ignorance of, or reckless disregard for whether or not the worker is misclassified. #### Regulation .05 Landscaping Illustrations. *COMAR 09.12.40.05* A. The illustrations in this regulation provide guidance under the Workplace Fraud Act only and do not apply to any other State or federal law. B. The illustrations in §§C—E of this regulation, provide guidance for the landscaping services industry in the application of Labor and Employment Article, §3-903(c), Annotated Code of Maryland. C. The JB Landscaping Company (JB) is hired to install the landscaping for a new large housing development. After JB commences work, it determines that it does not have enough employees to complete the job. JB subcontracts some of its work to the Red Company (Red), a smaller landscape company. JB sets the work hours for all workers on the job. Red provides the plants and other necessary tools and equipment for the job. Red maintains its own place of business but does not perform service for more than one person or company at a time. Either JB or Red can end the services at any time. Red pays federal employee taxes. Red is an independent contractor. D. While working on a large landscaping job with a Friday deadline, the Tree Company (Tree) determines that it needs additional workers to meet that deadline. On Wednesday afternoon, Tree contacts Keith Brown to see if he knows at least five workers who can report to the landscaping job in the morning. Keith Brown engages five other workers to assist with the Tree job. Tree sets the hours, provides the tools and equipment, and frequently inspects the work during the day. Keith Brown does landscaping work but does not have his own business. Tree pays Keith Brown a lump sum, which he distributes to the other workers. Keith Brown and the five other workers are employees of Tree. E. The Green Company (Green), a landscaping company, is hired to landscape a building complex. Once the work is underway, the owner of the building complex decides to install a pond with a waterfall. Green does not build ponds and waterfalls so it subcontracts that work to the Water Company (Water). Water is licensed to build ponds with waterfalls, and it carries workers' compensation and liability insurance under the company name. Water performs services for more than one person at a time. All equipment and tools necessary for the pond installation are owned by Green. Because of Water's experience in the area, there is no oversight of the daily work by Green. Water is paid by Green at the completion of the job. However, Green is ultimately responsible for the final product if there are any faults or defects in the construction. Water is an independent contractor. #### Regulation .06 Construction Illustrations. *COMAR 09.12.40.06* A. The illustrations in this regulation provide guidance under the Workplace Fraud Act only and do not apply to any other State or federal law. B. The illustrations in §§C—J of this regulation provide guidance for the construction services industry in the application of Labor and Employment Article, §3-903(c), Annotated Code of Maryland. C. John Brown has an oral agreement with ACE Building Company (ACE) to do carpentry work on houses in a development designated by ACE. John Brown supplies his own hand tools. ACE supplies the material for each job. He has to do the work himself and he works on a full time basis for the company. For some work he is paid on a piecework basis and for some work he is paid on an hourly basis. He does not have assistants, does not have an office, and does not advertise in newspapers or otherwise hold himself out to the public as being in the carpentry business. ACE can fire him any time before he finishes a job without contractual liability. John Brown is an employee of ACE. D. HVAC, Inc. (HVAC) is the mechanical subcontractor on a large hospital construction contract. There is so much work to perform that HVAC contracts with two other companies, Air Supply, Inc. (Air Supply) and Kool and the Gang, Inc. (Kool), to assist with the work. Air Supply and Kool each have their own employees. HVAC retains some supervisory control over the employees of the other companies to make sure that the job is being done to the specifications of the overall mechanical contract. Air Supply and Kool exercise supervision over the installation methods of their respective workforces. Even though the two subcontractors are in the same business as HVAC and they perform the same type of work at the same location as HVAC, there is no employer-employee relationship between the contracting companies, and there is no employee-employer relationship between the subcontractors' employees and HVAC. E. Sarah Green is a painting subcontractor who has contracted with XYZ General Contracting, Inc. (XYZ) to paint 264 houses. She hired 40 painters to do the work for her, although only about 15 are on the job at any one time. She supplies all the paint, brushes, and ladders. She designates the house to be painted and either pays the painters per house or by the hour. Detailed instructions about the work are not necessary because of the painters' skill in their trade. Sarah Green inspects the work and requires them to repaint any unsatisfactory work. The painters cannot engage helpers without her consent. She can discharge them for any reason, and they are free to resign at any time. The painters assume no business risks and have no capital investment. None of them has an established business. The painters are employees of Sarah Green, not XYZ, and Sarah Green is an independent contractor, not an employee of XYZ. F. Milton Manning, an experienced tile and terrazzo journeyman, orally agreed with MEGA, Inc. (MEGA) to perform full-time services at construction sites. He uses his own tools and performs services in the order designated by MEGA and according to its specifications. MEGA supplies all materials, makes frequent inspections of his work, pays him on a piecework basis, and carries workers' compensation insurance on him. He does not have a place of business or hold himself out to perform similar services for others. Either party can end the services at any time. Milton Manning is an employee of MEGA. G. Wallace Black agreed with the Sawdust Company (Sawdust) to supply the construction labor for a group of houses. The company agreed to pay all construction costs. However, Wallace Black supplies all the tools and the equipment. He performs personal services as a carpenter and mechanic for an hourly wage. He also acts as superintendent and foreman, and engages other individuals to assist him. Sawdust has the right to select, approve, or discharge any helper. A company representative makes frequent inspections of the construction site. When a house is finished, Wallace Black is paid a certain percentage of its costs. He is not responsible for faults, defects of construction, or wasteful operation. At the end of each week, he presents the company with a statement of the amount he has spent, including the payroll. Sawdust gives him a check for that amount from which he pays the assistants, two of whom are day laborers although he is not personally liable for their wages. Wallace Black and all of his assistants are employees of Sawdust. H. Trisha Gold; Pristine; Painters. (1) Trisha Gold is a painting contractor who has been subcontracted by Pristine Construction, Inc. (Pristine), the general contractor responsible for painting 20 individual cottages. Prior to entering the contract, Pristine seeks and obtains proof from Trisha Gold of payroll withholdings, payment of unemployment insurance and workers' compensation with respect to Trisha Gold's employees. Pristine also provides Trisha Gold with a written notice of her status as an independent contractor and the rights and obligations pursuant to that status. Per the terms of their written contract, Trisha Gold is to complete ten cottages. (2) Trisha Gold hires Painters, LLC (Painters) to assist in the completion of this contract. Painters is responsible for delivery of five completed cottages. In order to ensure that the cottages are completed with matching colors, Pristine provides all of the paint. However, Trisha Gold and Painters each provide their own ladders and brushes. Painters work under Trisha Gold's direction and control and she sets the work hours for the job. Trisha Gold inspects Painters' work to ensure satisfactory performance and she is responsible for paying for any repairs for inadequate work. Trisha Gold is an independent contractor of Pristine. Painters' workers are employees of Trisha Gold. Painters and their workers are not employees of Pristine. I. ABC Company (ABC) hires three crews of workers to do the siding on new houses in a residential development. ABC pays each of the crews per square foot of siding installed. ABC tells each crew leader that they are independent contractors responsible for their own workers' compensation premiums and any taxes. None of the crew leaders appears to have their own business, and they fail to get any workers' compensation coverage. One of the crew leaders is designated as general foreman and has been given total responsibility for running the job, but ABC has a superintendent who periodically walks the site to make sure the work is done properly. ABC also provides safety equipment for each worker. At the end of each week, ABC pays the crew leaders a lump sum based on the square footage of siding installed. The crew leader then pays each worker based on how much siding they installed. The workers doing the siding are employees of ABC. J. POP; DIG. POP General Contracting (POP) leases two employees and a backhoe from DIG Excavators, Inc. (DIG). The DIG workers are engaged to open a trench, lay some pipe, and backfill the trench. Both POP and DIG contend that neither of them is the employer of the workers, that for purposes of these lend/lease type jobs, they are independent contractors for POP. None of the workers has his own business or pays his own workers' compensation. The workers always consider DIG to be their employer and if they have questions about how to do the job, they ask their boss at DIG. The workers are employees of DIG, even while they are leased-loaned to POP. ### Chapter 41 — Wage and Hour Law **Authority:** Labor and Employment Article, §§2-106(c), 3-410, and 3-419, Annotated Code of Maryland **Administrative History:** Effective date: August 14, 1974 (1:1 Md. R. 70) **Administrative History:** Regulations .01—.16 repealed and new regulations .01—.22 adopted effective December 17, 1984 (11:25 Md. R. 2132) **Administrative History:** Regulation .01 repealed and new Regulation .01 adopted effective February 13, 2006 (33:3 Md. R. 240) **Administrative History:** Regulation .04 repealed and new Regulation .04 adopted effective February 13, 2006 (33:3 Md. R. 240) **Administrative History:** Regulation .05 repealed and new Regulation .05 adopted effective February 13, 2006 (33:3 Md. R. 240) **Administrative History:** Regulation .13 repealed and new Regulation .13 adopted effective February 13, 2006 (33:3 Md. R. 240) **Administrative History:** Regulation .17 repealed and new Regulation .17 adopted effective February 13, 2006 (33:3 Md. R. 240) **Administrative History:** Regulation .19D amended effective January 20, 2014 (41:1 Md. R. 12) **Administrative History:** Regulation .23 adopted effective June 8, 1992 (19:11 Md. R. 1015) **Administrative History:** Regulation .23 repealed and new Regulation .23 adopted effective February 13, 2006 (33:3 Md. R. 240) **Administrative History:** Chapter revised effective October 1, 2020 (47:8 Md. R. 435) #### Regulation .01 Administrative Capacity. *COMAR 09.12.41.01* “Administrative capacity” has the meaning stated in 29 CFR §541.200 et seq. #### Regulation .02 Agriculture. *COMAR 09.12.41.02* “Agriculture” means work performed by a farmer or on a farm as an incident to or in conjunction with farming operations, such as: A. The cultivation and tillage of soil, including grading, rock removal, building terraces, irrigation, and fertilization; B. The production, growing, cultivation, or harvesting of agricultural or horticultural products or commodities; C. Breeding, fattening, feeding, or the general care of livestock, bees, fur-bearing animals whose fur has marketable value, or poultry, including poultry hatchery operations; D. Dairying, including: (1) Caring for and milking of milk-giving animals, (2) Containing, cooling, and storage of milk when done on the farm, and (3) Farm-based manufacturing operations directly and closely related to dairying, such as separating cream or making butter; E. Farming activities on experimental farms or nurseries, or in greenhouses or mushroom cellars; or F. Duties directly and closely related to farming operations, including the: (1) Preparation of products or commodities for market, or (2) Delivery of products or commodities to storage, market, or carriers for transportation to market. #### Regulation .03 Complaints. *COMAR 09.12.41.03* Before the Commissioner of Labor and Industry initiates an investigation, the Commissioner may require the employee to submit a written complaint. #### Regulation .04 Directly and Closely Related. *COMAR 09.12.41.04* “Directly and closely related” has the meaning stated in 29 CFR §541.703 et seq. #### Regulation .05 Executive Capacity. *COMAR 09.12.41.05* “Executive capacity” has the meaning stated in 29 CFR §541.100 et seq. #### Regulation .06 First Processing. *COMAR 09.12.41.06* A. “First processing” means the procedure by which the form of a product or commodity is changed from its original state. B. “First processing” does not refer to an employer who acts as a wholesaler, broker, factor, or other middleman in the chain from producer to consumer. #### Regulation .07 Food and Drink Establishment. *COMAR 09.12.41.07* A. “Annual gross income”: (1) Means the total of all receipts from all sales made during the preceding four calendar quarters; and (2) Is the sole basis for determining the annual gross income for all subsequent quarters. B. “Cafe” means a combination of a restaurant and a tavern. C. “Drive-in” means an establishment: (1) Which sells prepared food items for consumption on the premises or in the purchaser's car; (2) Which is characterized by a parking lot adjacent to the establishment; and (3) To which purchasers generally drive to consummate a purchase. D. “Restaurant” means an establishment which: (1) Is primarily engaged in selling and serving prepared food and beverages for consumption on the premises; (2) Provides characteristic employee services and dining facilities; and (3) Contains physical and functional equipment and facilities required for the consumption of a meal. E. “Similar establishment” means an establishment which has the characteristics of a restaurant, drive-in, tavern, or cafe. F. “Tavern” means an establishment whose primary sales consist of alcoholic beverages for consumption on the premises on a drink-by-drink basis. #### Regulation .08 Gasoline Service Station. *COMAR 09.12.41.08* A. “Gasoline service station” means an establishment primarily engaged in selling gasoline and lubricating oils to the general public. B. A gasoline service station may be part of a larger enterprise which also repairs automobiles. C. An establishment which derives the greater part of its net income from the sale of goods other than gasoline, lubricating oils, and related services is not a gasoline service station. #### Regulation .09 Hotel or Motel. *COMAR 09.12.41.09* A. “Hotel” or “motel” for purposes of Labor and Employment Article, §3-415, Annotated Code of Maryland, means an establishment engaged primarily in providing lodging or lodging and meals to the general public. B. “Hotel” or “motel” includes an apartment or residential establishment that derives more than half of its annual gross income from providing transient guests with lodging or lodging and meals. C. “Hotel” or “motel” does not mean an establishment whose income is derived primarily from providing bedroom and kitchen facilities for leased periods of longer than 3 months. #### Regulation .10 Hours of Work. *COMAR 09.12.41.10* A. “Hours of work” means the time during a workweek that an individual employed by an employer is required by the employer to be on the employer's premises, on duty, or at a prescribed workplace. B. Meal periods are included in computing hours of work if the individual is required to perform any duties during the meal period. C. Travel time is included in computing hours of work if the individual: (1) Travels during regular work hours; (2) Travels from one worksite to another; or (3) Is called out after work hours in emergency situations. #### Regulation .11 Immediate Family. *COMAR 09.12.41.11* A. “Immediate family” means an employer's parent, spouse, child, brother, sister, grandchild, or grandparent who: (1) Resides with the employer; and (2) Enjoys the same privileges as other members of the family. B. “Immediate family” does not include anyone living outside the employer's household, except the employer's parent, spouse, or child. C. “Child” means a natural child, adopted child, or stepchild but does not mean the spouse of that child. #### Regulation .12 Mechanic. *COMAR 09.12.41.12* A. “Mechanic” means an employee whose primary function is to put automobiles, trailers, trucks, or farm machinery in working order by making necessary repairs or adjustments. B. The following employees are not mechanics: (1) An employee whose primary duty is to wash, clean, polish, lubricate packing wheel bearings, change oil or oil filters, change tires, paint, perform carpentry, dispatch, or install or repair seat covers; (2) An employee whose primary duty is to record a vehicle's condition or to write a report detailing necessary parts and mechanical work. #### Regulation .13 Outside Salesman. *COMAR 09.12.41.13* “Outside salesman” has the meaning stated in 29 CFR §541.500 et seq. #### Regulation .14 Overtime Compensation. *COMAR 09.12.41.14* A. An employee subject to the Minimum Wage Act of Maryland shall be paid overtime compensation for each hour worked in excess of 40 hours per workweek. This includes the following: (1) All hours worked by an employee for an employer are included, even though the employee may perform work in two or more unrelated jobs; (2) If the total workweek hours do not exceed 40, an employee is not entitled to overtime compensation for hours worked in excess of 8 on any day, including Saturday, Sunday, and holidays. B. Compensation for hours worked in excess of 40 hours per workweek is computed at 1-1/2 times the regular hourly rate at which the employee is employed. This includes the following: (1) The regular hourly rate may not be less than the statutory minimum; (2) If the employee's regular hourly rate is higher than the statutory minimum, overtime compensation is computed at 1-1/2 times the higher rate. #### Regulation .15 Packing. *COMAR 09.12.41.15* “Packing” means the physical operation by which a product or commodity is placed in a container which is then closed and sealed. #### Regulation .16 Partsman. *COMAR 09.12.41.16* A. “Partsman” means an employee whose primary function is to: (1) Sell or dispense parts for automobiles, trailers, trucks, or farm machinery; or (2) Requisition, stock, or dispense those parts for an establishment's mechanical service department. B. A partsman's duties may include incidental clerical or cleaning work necessary to keep stockrooms, bins, and shelves in order. #### Regulation .17 Professional Capacity. *COMAR 09.12.41.17* “Professional capacity” has the meaning stated in 29 CFR §541.300 et seq. #### Regulation .18 Reasonable Cost. *COMAR 09.12.41.18* A. The reasonable cost of board, lodging, or other facilities may be included as part of an employee's wage if the: (1) Facilities are customarily and regularly available to all similarly situated employees; (2) Employee's acceptance of the facility is voluntary and uncoerced; and (3) Employee receives the benefits of the facility for which he or she is charged. B. The reasonable cost of board, lodging, or other facilities included as part of the wage paid to an employee may not: (1) Exceed the actual cost to the employer; and (2) Include profit to the employer or to any person or establishment affiliated with the employer. C. The reasonable cost of furnishing board, lodging, or other facilities may include the cost of operation and maintenance. D. The employer shall demonstrate the actual cost of the board, lodging, or facilities furnished. E. In a food and drink establishment, if the actual cost of food consumed by an employee cannot be determined, the reasonable cost is half the price customarily and regularly charged a member of the general public. F. The cost of furnishing board, lodging, or other facilities primarily for the benefit or convenience of the employer may not be included as part of an employee's wage. #### Regulation .19 Regular Hourly Rate. *COMAR 09.12.41.19* A. “Regular hourly rate” means the usual hourly rate. B. The regular hourly rate is determined by dividing the total compensation for employment in any workweek by the total number of hours worked in that workweek. C. Any commission or bonus, if: (1) Paid weekly, is added to the employee's total compensation in order to determine the regular hourly rate; (2) Paid other than weekly, is allocated to the particular workweek in which it was earned; or (3) Allocation is not practical, may be apportioned in equal amounts to each workweek during the period in which it was earned. D. Gratuities and Tips. (1) Compensation derived from tips in accordance with Labor and Employment Article, §3-419, Annotated Code of Maryland, is allocated to the particular workweek in which the employee is a tipped employee. (2) A compulsory monetary charge for service, even if retained by the employee, is not a tip. (3) A tipped employee’s wages must equal at least the minimum wage when direct wages and tips are combined. (4) A tipped employee who spends more than 20 percent of the employee’s work time performing non-tip producing duties directly related to their tipped occupation shall be paid by the employer at least the minimum wage for that time. E. The following amounts are not included in determining the regular hourly rate: (1) Sums paid as a gift or reward for service, the amounts of which are not measured by or dependent on hours worked, production, or efficiency; (2) Payments for occasional periods when no work is performed, such as vacation, sick leave, holidays, or jury duty; (3) Payments for reimbursement purposes, such as travel, equipment, or meal expenses; (4) Payments made in recognition of services if the payment is: (a) Within the sole discretion of the employer and not pursuant to any agreement, or (b) Made pursuant to a bona fide profit-sharing trust, savings, or thrift plan; (5) Contributions irrevocably made by an employer to a trustee or third person under a bona fide retirement, insurance, or similar employee benefit plan; (6) Extra compensation paid at a premium rate pursuant to a statutorily valid employer-employee agreement; and (7) Tips received by the employee in excess of the tip credit. #### Regulation .20 Restaurant Tip Credit Wage Statement. *COMAR 09.12.41.20* A. Definitions. (1) In this regulation, the following terms have the meanings indicated. (2) Terms Defined. (a) “Reported tips” means tips retained by the employee and disclosed to the employer, tips distributed to the employee by the employer, or tips obtained through a valid tip pooling arrangement or tip sharing arrangement. (b) “Restaurant” has the meaning stated in Regulation .07D of this chapter. (c) “Tip credit wage statement” means a written or electronic statement that shows the employee’s effective hourly rate of pay, including employer paid cash wages plus all reported tips, for all tip credit hours worked for each workweek in the pay period. B. No later than 2 weeks following the end of the pay period, a restaurant employer shall provide each employee for whom the employer utilizes a tip credit with a tip credit wage statement for each pay period that reflects all reported tips for tip credit hours for each workweek of the pay period. C. A restaurant employer may satisfy the requirement in §B of this regulation by providing an online system through which an employee may obtain the employee’s tip credit wage statement. #### Regulation .21 Salesman. *COMAR 09.12.41.21* A. “Salesman” for purposes of Labor and Employment Article, §3-415, Annotated Code of Maryland, means an employee whose primary duty is to sell or obtain orders or contracts for the sale of automobiles, trailers, trucks, or farm machinery. B. The sales work may be performed in the establishment or elsewhere. C. A salesman may perform work incidental to and in conjunction with the employee's regular sales or solicitations, including incidental deliveries and collections. #### Regulation .22 Work-Study Programs. *COMAR 09.12.41.22* A. Definitions. (1) A “work-study program” is a program in which the period of normal public or private school attendance is divided between school attendance and employment in industry or business. (2) A “work-study coordinator” is the individual assigned to supervise or administer a work-study program. B. Application. (1) Upon application by a work-study coordinator, the Commissioner may authorize payment to a student of an hourly rate less than the statutory minimum. (2) The application shall state the: (a) Title of the work-study coordinator; (b) Name and address of the school attended by the student; (c) Name and address of the student; (d) Name and address of the employer; (e) Type of work to be performed by the student; (f) Hourly rate to be paid; and (g) Duration of time that the student will be paid less than the statutory minimum. (3) The employer and the work-study coordinator shall sign the application. C. The work-study coordinator shall: (1) Obtain, through his or her efforts, all work-study program employment opportunities; (2) Supervise, on a continuing basis, the progress of each student in a work-study program; and (3) Notify the Commissioner upon termination of a student's employment in the job designated on the application. #### Regulation .23 Workweek. *COMAR 09.12.41.23* “Workweek” means a fixed and regularly recurring period of 168 consecutive hours beginning on any hour of the day. #### Regulation .24 Computer-Related Occupations: Exemptions from Minimum Wage and Overtime Compensation. *COMAR 09.12.41.24* A computer systems analyst, computer programmer, software engineer, or other similarly skilled professional employee in the computer field is eligible for classification as an employee in a professional capacity if the employee meets the standard set forth in 29 CFR §541.400 et seq. ### Chapter 42 — Equal Employment Opportunity **Authority:** Labor and Employment Article, §11-405, Annotated Code of Maryland **Administrative History:** Effective date: September 1, 1971 **Administrative History:** Chapter revised effective September 8, 1978 (5:18 Md. R. 1387) **Administrative History:** (Transferred from Department of Licensing and Regulation to Department of Employment and Training, effective October 1, 1983; recodified from COMAR 09.12.21 to 24.04.01) **Administrative History:** Chapter revised effective December 21, 1992 (19:25 Md. R. 2208) **Administrative History:** Chapter recodified from COMAR 24.04.01 to COMAR 09.12.42, May 1996 **Administrative History:** Regulation .01 amended effective April 11, 2016 (43:7 Md. R. 448) #### Regulation .01 Scope and Purpose. *COMAR 09.12.42.01* A. Scope. (1) Except as provided in COMAR 09.01.12.01C, these regulations do not apply to youth apprenticeship under Apprenticeship Maryland. (2) These regulations set forth policies and procedures to promote equality of opportunity in apprenticeship programs registered with the Maryland Apprenticeship and Training Council. (3) These policies and procedures apply to the recruitment and selection of apprentices, and to all conditions of employment and training during apprenticeship. (4) The procedures established provide for review of apprenticeship programs, for registering apprenticeship programs, for processing complaints, and for deregistering noncomplying apprenticeship programs. B. Purpose. The purpose of these regulations is to promote equality of opportunity in apprenticeship and encourage the fullest development of the interests and aptitudes of apprentices by prohibiting discrimination based on political or religious opinion or affiliation, marital status, race, color, creed, national origin, sex, or age, unless sex or age constitutes a bona fide occupational qualification, or the physical or mental disability of a qualified individual with a disability in apprenticeship programs, by requiring affirmative action to provide equal opportunity in apprenticeship programs, and by coordinating these regulations with other equal opportunity programs. #### Regulation .02 Definitions. *COMAR 09.12.42.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Apprenticeship program” means a program registered with the Maryland Apprenticeship and Training Council and evidenced by a certificate of registration or other appropriate document as meeting the apprenticeship standards of the Council. (2) “Council” means the Maryland Apprenticeship and Training Council. (3) “Employer” means any person or organization employing an apprentice whether the apprentice is enrolled with this person or organization or with some other person or organization. (4) “Minority” means an individual male or female member of a group that has historically been under-utilized in apprenticeship programs due to discrimination based on race, color, or national origin. (5) “Sponsor” means any person or organization operating an apprenticeship program, irrespective of whether this person or organization is an employer. #### Regulation .03 Equal Opportunity Standards. *COMAR 09.12.42.03* A. Obligation of Sponsors. Each sponsor of an apprenticeship program shall: (1) Recruit, select, employ, and train apprentices during their apprenticeship without discrimination based on political or religious opinion or affiliation, marital status, race, color, creed, national origin, sex, or age, unless sex or age constitutes a bona fide occupational qualification, or the physical or mental disability of a qualified individual with a disability; (2) Uniformly apply regulations concerning apprentices, including but not limited to equality of wages, periodic advancement, promotion, assignment of work, job performance, rotation among all work processes of the trade, imposition of penalties or other disciplinary action, and all other aspects of the apprenticeship program administered by the program sponsor; and (3) Take affirmative action to provide equal opportunity in apprenticeship, including adoption of an affirmative action plan as required by these regulations. B. Equal Opportunity Pledge. Each sponsor of an apprenticeship program shall include in its standards the following equal opportunity pledge: The recruitment, selection, employment, and training of apprentices during their apprenticeship, shall be without discrimination based on political or religious opinion or affiliation, marital status, race, color, creed, national origin, sex, or age, unless sex or age constitutes a bona fide occupational qualification, or the physical or mental disability of a qualified individual with a disability. The sponsor will take affirmative action to provide equal opportunity in apprenticeship and will operate the apprenticeship program as required by these regulations and 29 CFR 30. C. Programs Presently Registered. Each sponsor of a program registered with the Council as of the effective date of these regulations shall within 90 days of that date take the following action: (1) Include in the standards of its apprenticeship program the equal opportunity pledge prescribed by §B of this regulation; (2) Adopt an affirmative action plan required by Regulation .04 of this chapter; and (3) Adopt a selection procedure required by Regulation .05 of this chapter. A sponsor adopting a selection method under Regulation .05B(1), (2), or (3) shall prepare, and have available for submission upon request, copies of its amended standards, affirmative action plans, and selection procedure. A sponsor adopting a selection method under Regulation .05B(4) shall submit to the Council copies of its standards, affirmative action plan, and selection procedure in accordance with the requirements of Regulation .05B(4)(a)(i). D. Sponsors Seeking New Registration. A sponsor of a program seeking new registration with the Council shall submit copies of its proposed standards, affirmative action plans, selection procedures, and other information that may be required. The program shall be registered if the standards, affirmative action plan, and selection procedure meet the requirements of these regulations. E. Programs Subject to Approved Equal Employment Opportunity Programs. A sponsor may not be required to adopt an affirmative action plan under Regulation .04 of this chapter or a selection procedure under Regulation .05 of this chapter if it submits to the Council satisfactory evidence that it is in compliance with an equal employment opportunity program providing for the selection of apprentices and for affirmative action in apprenticeship including goals and timetables for women and minorities which has been approved as meeting the requirements of Title VII of the Civil Rights Act of 1964, as amended (42 U.S.C. §2000e et seq.) and its implementing regulations published in Title 29 of the Code of Federal Regulations, Chapter XIV or Executive Order 11246, as amended, and its implementing regulations at Title 41 of the Code of Federal Regulations, Chapter 60; provided that programs approved, modified, or renewed after the effective date of these regulations will qualify for this exemption only if the goals and timetables for minorities and women for the selection of apprentices provided for in these programs are equal to or greater than the goals required under these regulations. F. Programs with Fewer than Five Apprentices. A sponsor of a program in which fewer than five apprentices are indentured may not be required to adopt an affirmative action plan under Regulation .04 of this chapter or a selection procedure under Regulation .05 of this chapter, provided that the program was not adopted to circumvent the requirements of these regulations. #### Regulation .04 Affirmative Action Plans. *COMAR 09.12.42.04* A. Adoption of Affirmative Action Plans. A sponsor's commitment to equal opportunity in recruitment, selection, employment, and training of apprentices shall include the adoption of a written affirmative action plan. B. Definition of Affirmative Action. Affirmative action is not mere passive nondiscrimination. It includes procedures, methods, and programs for the identification, positive recruitment, training, and motivation of present and potential minority and female (minority and nonminority) apprentices including the establishment of goals and timetables. It is action which will equalize opportunity in apprenticeships so as to allow full use of the work potential of minorities and women. The overall result to be sought is equal opportunity in apprenticeships for all individuals participating in or seeking entrance to the State labor force. C. Outreach and Positive Recruitment. (1) An acceptable affirmative action plan shall also include adequate provision for outreach and positive recruitment that would reasonably be expected to increase minority and female participation in apprenticeship by expanding the opportunity for minorities and women to become eligible for apprenticeship selection. To achieve these objectives, sponsors shall undertake activities such as those listed below. It is not contemplated that each sponsor necessarily will include all of the listed activities in its affirmative action program. The scope of the affirmative action program will depend on all the circumstances including the size and type of the program and its resources. However, the sponsor will be required to undertake a significant number of appropriate activities in order to enable it to meet its obligations under these regulations. The affirmative action plan shall set forth the specific steps the sponsor intends to take in the areas listed below. Whenever special circumstances warrant, the Council may provide the assistance it deems necessary to implement the requirements of this section. (2) Activities for Acceptable Affirmative Action Plan. (a) Dissemination of information concerning the nature of the apprenticeship, requirements for admission to apprenticeship, availability of apprenticeship opportunities, sources of apprenticeship applications, and the equal opportunity policy of the sponsor. For programs accepting applications only at specified intervals, the information shall be disseminated at least 30 days in advance of the earliest date for application at each interval. For programs customarily receiving applications throughout the year, the information shall be regularly disseminated but not less than semiannually. The information shall be given to the Council, local schools, employment service offices, women's centers, outreach programs and community organizations which can effectively reach minorities and women, and shall be published in newspapers which are circulated in the minority community and among women, as well as in the general areas in which the program sponsor operates. (b) Participation in annual workshops conducted by employment service agencies for the purpose of familiarizing school, employment service, and other appropriate personnel with the apprenticeship system and current opportunities therein. (c) Cooperation with local school boards and vocational education systems to develop programs for preparing students to meet the standards and criteria required to qualify for entry into apprenticeship programs. (d) Internal communication of the sponsor's equal opportunity policy in such a manner as to foster understanding, acceptance, and support among the sponsor's various officers, supervisors, employees, and members, and to encourage these persons to take the necessary action to aid the sponsor in meeting its obligations under these regulations. (e) Engaging in programs such as outreach for the positive recruitment and preparation of potential applicants for apprenticeships. When appropriate and feasible, these programs shall provide for pretesting experience and training. If no such programs are in existence the sponsor shall seek to initiate these programs, or, when available, to obtain financial assistance from the U.S. Department of Labor. In initiating and conducting these programs the sponsor may be required to work with other sponsors and appropriate community organizations. The sponsor shall also initiate programs to prepare women and encourage women to enter traditionally male programs. (f) To encourage the establishment and utilization of programs of preapprenticeship, preparatory trade training, or others designed to afford related work experience or to prepare candidates for apprenticeship, a sponsor shall make appropriate provision in its affirmative action plan to assure that those who complete these programs are afforded full and equal opportunity for admission into the apprenticeship program. (g) Utilization of journeypersons to assist in the implementation of the sponsor's affirmative action program. (h) Granting advanced standing or credit on the basis of previously acquired experience, training, skills, or aptitude for all applicants equally. (i) Other appropriate action to ensure that the recruitment, selection, employment, and training of apprentices during apprenticeship shall be without discrimination based on political or religious opinion or affiliation, marital status, race, color, creed, national origin, sex, or age, unless sex or age constitutes a bona fide occupational qualification, or the physical or mental disability of a qualified individual with a disability (for example, general publication of apprenticeship opportunities and advantages in advertisements, industry reports, articles; use of present minority and female apprentices and journeypersons as recruiters; career counseling; periodic auditing of affirmative action programs and activities; and development of reasonable procedures between the sponsor and employers of apprentices to ensure that equal opportunity is being granted, including reporting systems, on-site reviews, briefing sessions). The affirmative action program shall set forth specific steps the sponsor intends to take, in the above areas under this section. Whenever special circumstances warrant, the Council may provide the assistance it deems necessary to implement the above requirements. D. Goals and Timetables. (1) A sponsor adopting a selection method under Regulation .05B(1) or (2) of this chapter, which determines on the basis of the analysis described in §E of this regulation that it has deficiencies in terms of under-utilization of minorities or women (minority and nonminority) in the craft or crafts represented by the program, shall include in its affirmative action plan percentage goals and timetables for the admission of minority or female (minority and nonminority) applicants, as applicable, into the eligibility pool. (2) A sponsor adopting a selection method under Regulation .05B(3) or (4) of this chapter, which determines on the basis of the analysis described in §E of this regulation that it has deficiencies in terms of the under-utilization of minorities or women in the craft or crafts represented by the program, shall include in its affirmative action plan percentage goals and timetables for the selection of minority or female (minority and nonminority) applicants, as applicable, for the apprenticeship program. (3) “Under-utilization” as used in this section refers to the situation where there are fewer minorities or women (minority and nonminority) in the particular craft or crafts represented by the program than would reasonably be expected in view of an analysis of the specific factors in §E(1)—(5) of this regulation. When, on the basis of the analysis, the sponsor determines that it has no deficiencies, no goals or timetables need be established. However, if no goals and timetables are established, the affirmative action plan shall include a detailed explanation of why no goals and timetables have been established. (4) If the sponsor fails to submit goals and timetables as part of its affirmative action plan or submits goals and timetables which are unacceptable, and the Council determines that the sponsor has deficiencies in terms of under-utilization of minorities or women (minority and nonminority) within the meaning of this section, the Council shall establish goals and timetables applicable to the sponsor for the admission of minority and female (minority and nonminority) applicants into the eligibility pool or selection of apprentices, as appropriate. The sponsor shall make good-faith efforts to attain these goals and timetables in accordance with the requirements of this section. E. Analysis to Determine Whether Deficiencies Exist. The sponsor's determination as to whether goals and timetables shall be established shall be based on an analysis of at least the following factors, which analysis shall be set forth in writing as part of the affirmative action plan: (1) The size of the working age minority and female (minority and nonminority) population in the program sponsor's labor market area; (2) The size of the minority and female (minority and nonminority) labor force in the program sponsor's labor market area; (3) The percentage of minority and female (minority and nonminority) participation as apprentices in the particular craft as compared with the percentage of minorities and women (minority and nonminority) in the labor force in the program sponsor's labor market area; (4) The percentage of minority and female (minority and nonminority) participation as journeypersons employed by the employer or employers participating in the program as compared with the percentage of minorities and women (minority and nonminority) in the sponsor's labor market area and the extent to which the sponsor should be expected to correct any deficiencies through the achievement of goals and timetables for the selection of apprentices; and (5) The general availability of minorities and women (minority and nonminority) with present or potential capacity for apprenticeships in the program sponsor's labor market area. F. Establishment and Attainment of Goals and Timetables. (1) The goals and timetables shall be established on the basis of the sponsor's analysis of its under-utilization of minorities and women and its entire affirmative action program. A single goal for minorities and a separate single goal for women is acceptable unless a particular group is employed in a substantially disparate manner in which case separate goals shall be established for the group. Separate goals would be required, for example, if a specific minority group of women were under-utilized even though the sponsor had achieved its standards for women generally. (2) In establishing the goals, the sponsor should consider the results which could be reasonably expected from its good faith efforts to make its overall affirmative action program work. Compliance with these requirements shall be determined by whether the sponsor has met its goals within its timetable, or failing that, whether it has made good-faith efforts to meet its goals and timetables. Its good-faith efforts shall be judged by whether it is following its affirmative action program and attempting to make it work, including evaluation and changes in its program when necessary to obtain the maximum effectiveness toward the attainment of its goals. (3) However, in order to deal fairly with program sponsors, and with women who are entitled to protection under the goals and timetables requirements, during the first 12 months after the effective date of these regulations, the program sponsor would generally be expected to set a goal for women for the entering year class at a rate which is not less than 50 percent of the proportion women are of the workforce in the program sponsor's labor market area and set a percentage goal for women in each class beyond the entering class which is not less than the participation rate of women currently in the preceding class. At the end of the first 12 months after the effective date of these regulations, sponsors are expected to make appropriate adjustment in goal levels. (See Regulation .07B of this chapter). G. Data and Information. 29 CFR §30.4(g) provides that the Secretary of Labor, U.S. Department of Labor, or a person designated by the Secretary of Labor, shall make available to program sponsors data and information on minority and female (minority and nonminority) population and labor force characteristics for each Standard Metropolitan Statistical Area (SMSA), and for other special areas as appropriate. #### Regulation .05 Selection of Apprentices. *COMAR 09.12.42.05* A. Obligation of Sponsors. In addition to the development of a written affirmative action plan to ensure that minorities and women have an equal opportunity for selection as apprentices and otherwise ensure the prompt achievement of full and equal opportunity in apprenticeship, each sponsor shall further provide in its affirmative action program that the selection of apprentices shall be made under one of the methods specified in §B(1)—(4) of this regulation. B. Selection Methods. The sponsor shall adopt one of the following methods for selecting apprentices: (1) Selection on the Basis of Rank from a Pool of Eligible Applicants. (a) Selection. A sponsor may select apprentices from a pool of eligible applicants created in accordance with the requirements of §B(1)(c) of this regulation on the basis of the rank order of scores of applicants on one or more qualification standards when there is a significant statistical relationship between rank order of scores and performance in the apprenticeship program. In demonstrating the relationship the sponsor shall follow the procedures set forth in “Guidelines on Employee Selection Procedures”, published at 41 CFR 60-3. (b) Requirements. The sponsor adopting this method of selecting apprentices shall meet the requirements of §B(1)(c)—(g) of this regulation. (c) Creation of Pool of Eligibles. A pool of eligibles shall be created from applicants who meet the qualifications of minimum legal working age, or from applicants who meet qualification standards in addition to minimum legal working age, provided that any additional qualification standards conform with the following requirements: (i) Qualification Standards. The qualification standards and the procedures for determining the qualification standards shall be stated in detail and shall provide criteria for the specific factors and attributes to be considered in evaluating applicants for admission to the pool. The score required under each qualification standard for admission to the pool shall also be specified. All qualification standards and the score required on any standard for admission to the pool shall be directly related to job performance, as shown by a significant statistical relationship between the score required for admission to the pool and performance in the apprenticeship program. In demonstrating these relationships, the sponsor shall follow the procedures set forth in 41 CFR 60-3. Qualifications shall be considered as separately required so that the failure of an applicant to attain the specified score under a single qualification standard shall disqualify the applicant from admission to the pool. (ii) Aptitude Tests. Any qualification standard for admission to the pool consisting of aptitude test scores shall be directly related to job performance, as shown by significant statistical relationships between the score on the aptitude tests required for admission to the pool, and performance in the apprenticeship program. In determining the relationship, the sponsor shall follow the procedures set forth in 41 CFR 60-3. The requirements of this subparagraph shall also be applicable to aptitude tests used by a program sponsor which are administered by a State employment service agency, or any other person, agency, or organization engaged in the selection or evaluation of personnel. A national test developed and administered by a national joint apprenticeship committee will not be approved by the Council unless the test meets the requirements of this subunit. (iii) Educational Attainments. All educational attainments or achievements as qualifications for admission to the pool shall be directly related to job performance as shown by a significant statistical relationship between the score required for admission to the pool and performance in the apprenticeship program. In demonstrating the relationship, the sponsor shall meet the requirements of 41 CFR 60-3. School records or a passing grade on the general education development tests recognized by the State or local public instruction authority shall be evidence of educational achievement. Education requirements shall be applied uniformly to all applicants. (d) Oral Interviews. Oral interviews may not be used as a qualification standard for admission into an eligibility pool. However, once an applicant is placed in the eligibility pool, and before selection for apprenticeship from the pool, he or she may be required to submit to an oral interview. Oral interviews shall be limited only to objective questions that may be required to determine the fitness of applicants to enter the apprenticeship program, but may not include questions relating to qualifications previously determined in gaining entrance to the eligibility pool. When an oral interview is used, each interviewer shall record the questions and the general nature of the applicant's answers, and shall prepare a summary of any conclusions. Each applicant rejected from the pool of eligibles on the basis of an oral interview shall be given a written statement of the rejection, the reasons for it, and the appeal rights available to the applicant. (e) Notification of Applicants. All applicants who meet the requirements for admission shall be notified and placed in the eligibility pool. The program sponsor shall give each rejected applicant who is not selected for the pool or the program notice of his or her rejection, including the reasons for the rejection, the requirements for admission to the pool of eligibles, and the appeal rights available to the applicant. (f) Goals and Timetables. The sponsor shall establish, when required by Regulation .04D of this chapter, percentage goals and timetables for the admission of minorities and women (minority and nonminority) into the pool of eligibles in accordance with the provisions of Regulation .04D, E, and F of this chapter. (g) Compliance. A sponsor shall be considered to be in compliance with its commitments under §B(1)(f) of this regulation if it meets its goals or timetables or if it makes a good-faith effort to meet these goals and timetables. If the sponsor fails to meet its goals and timetables, it shall be given an opportunity to demonstrate that it has made every good-faith effort to meet its commitments (see Regulation .04F of this chapter). All the actions of the sponsor shall be reviewed and evaluated in determining whether good-faith efforts have been made. (2) Random Selection from a Pool of Eligible Applicants. (a) Selection. A sponsor may select apprentices from a pool of eligible applicants on a random basis. The method of random selection is subject to approval by the Council. Supervision of the random selection process shall be by an impartial person or persons selected by the sponsor, but not associated with the administration of the apprenticeship program. The time and place of the selection, and the number of apprentices to be selected, shall be announced. The place of the selection shall be open to all applicants and the public. The names of apprentices drawn by this method shall be posted immediately following the selection at the program sponsor's place of business. (b) Requirements. The sponsor adopting this method of selecting apprentices shall meet the requirements of §B(1)(c)—(e) of this regulation relating to the creation of a pool of eligibles, oral interviews, and notification of applicants. (c) Goals and Timetables. The sponsor shall establish, when required by Regulation .04D of this chapter, percentage goals and timetables for the admission of minorities and women (minority and nonminority) into the pool of eligibles in accordance with the provisions of Regulation .04D, E, and F of this chapter. (d) Compliance. Determinations as to the sponsor's compliance with its obligations under these regulations shall be in accordance with the provisions of §B(1)(g) of this regulation. (3) Selection from a Pool of Current Employees. (a) Selection. A sponsor may select apprentices from an eligibility pool of the workers already employed by the program sponsor in a manner prescribed by a collective bargaining agreement when it exists, or by the sponsor's established promotion policy. The sponsor adopting this method of selecting apprentices shall establish goals and timetables for the selection of minority and female apprentices, unless the sponsor concludes, in accordance with the provisions of Regulation .04D, E, and F of this chapter, that it does not have deficiencies in terms of under-utilization of minorities or women (minority or nonminority) in the apprenticeship of journeyperson crafts represented by the program. (b) Compliance. Determinations as to the sponsor's compliance with obligations under these regulations shall be in accordance with the provisions of §B(1)(g) of this regulation. (4) Alternative Selection Methods. (a) Selection. A sponsor may select apprentices by means of any other method, including its present selection method, provided that the sponsor meets the following requirements: (i) Selection Method and Goals and Timetables. Within 90 days of the effective date of these regulations, the sponsor shall complete development of the revised selection method it proposes to use along with the rest of its written affirmative action program including, when required by Regulation .04D of this chapter, its percentage goals and timetables for the selection of minority and female (minority and nonminority) applicants for apprenticeship and its written analysis, upon which these goals and timetables, or lack of them, are based. The establishment of goals and timetables shall be in accordance with the provisions of Regulation .04D, E, and F of this chapter. The sponsor may not implement any selection method until the Council has approved the selection method as meeting the requirements of §B(4)(a)(ii) of this regulation and has approved the remainder of its affirmative action program including its goals and timetables. If the Council fails to act upon the selection method and the affirmative action program within 90 days of its submission, the sponsor may implement the selection method. (ii) Qualification standards. Apprentices shall be selected on the basis of objective and specific qualification standards. Examples of these standards are fair aptitude tests, school diplomas or equivalent, occupationally essential health requirements, fair interviews, school grades, and previous work experience. When interviews are used, adequate records shall be kept including a brief summary of each interview and the conclusions on each of the specific factors, for example, motivation, ambition, and willingness to accept direction, which are part of the total judgment. In applying these standards, the sponsor shall meet the requirements of 41 CFR 60-3. (b) Compliance. Determinations as to the sponsor's compliance with its obligations under these regulations shall be in accordance with the provisions of §B(1)(g) of this regulation. When a sponsor, despite its good-faith efforts, fails to meet its goals and timetables within a reasonable period of time, the sponsor may be required to make appropriate changes in its affirmative action program to the extent necessary to obtain maximum effectiveness toward the attainment of its goals. The sponsor may also be required to develop and adopt an alternative selection method, including a method prescribed by the Council, when it is determined that the failure of the sponsor to meet its goals is attributable in substantial part to the selection method. When the sponsor's failure to meet its goals is attributable in substantial part to its use of a qualification standard which has adversely affected the opportunities of minorities and women (minority and nonminority) for apprenticeship, the sponsor may be required to demonstrate that this qualification standard is directly related to job performance in accordance with the provisions of §B(1)(c)(i) of this regulation. #### Regulation .06 Existing List of Eligibles and Public Notice. *COMAR 09.12.42.06* A. A sponsor adopting a selection method under Regulation .05B(1) or (2) of this chapter, and a sponsor adopting a selection method under Regulation .05B(4) who determines that there are fewer minorities and women (minority and nonminority) on its existing lists of eligibles than would reasonably be expected in view of the analysis described in Regulation .04E of this chapter shall discard all existing eligibility lists upon adoption of the selection methods required by these regulations. B. New eligibility pools shall be established and lists of eligibility pools shall be posted at the sponsor's place of business. Sponsors shall establish a reasonable period of not less than 2 weeks for accepting applications for admission to an apprenticeship program. There will be at least 30 days of public notice in advance of the earliest date for application for admission to the apprenticeship program (see Regulation .04C of this chapter on affirmative action with respect to dissemination of information). Applicants who have been placed in a pool of eligibles shall be retained on lists of eligibles subject to selection for a period of 2 years. Applicants may be removed from the list at an earlier date by their request or following their failure to respond to an apprentice job opportunity given by certified mail, return receipt requested. C. Applicants who have been accepted in the program shall be afforded a reasonable period of time in light of the customs and practices of the industry for reporting for work. All applicants shall be treated equally in determining this period of time. It shall be the responsibility of the applicant to keep the sponsor informed of his or her current mailing address. Upon request, a sponsor may restore to the list of eligibles applicants who have been removed from the list or who have failed to respond to an apprenticeship job opportunity. #### Regulation .07 Records. *COMAR 09.12.42.07* A. Obligations of Sponsors. Each sponsor shall keep adequate records including a summary of the qualifications of each applicant; the basis for evaluation and for selection or rejection of each applicant; the records pertaining to interviews of applicants; the original application for each applicant; information relative to the operation of the apprenticeship program, including but not limited to job assignment, promotion, demotion, layoff, or termination, rates of pay, or other forms of compensation or conditions of work, hours including hours of work and separately, hours of training provided; and any other records pertinent to a determination of compliance with these regulations, as may be required by the Council. The records pertaining to individual applicants, selected or rejected, shall be maintained in such manner as to permit identification of minority and female (minority and nonminority) participants. B. Affirmative Action Plans. Each sponsor shall retain a statement of its affirmative action plan required by Regulation .04 of this chapter for the prompt achievement of full and equal opportunity in apprenticeship, including all data and analyses made pursuant to the requirements of Regulation .04. Sponsors shall review their affirmative action plans annually and update them when necessary, including the goals and timetables. C. Qualification Standards. Each sponsor shall maintain evidence that its qualification standards have been validated in accordance with the requirements set forth in Regulation .05B of this chapter. D. Records of the Council. The Council shall keep adequate records, including registration requirements, individual program standards and registration records, program compliance reviews and investigations, and any other records pertinent to a determination of compliance with these regulations as may be required by the U.S. Department of Labor and shall report to the Department as may be required by it. E. Maintenance of Records. The records required by these regulations and any other information relevant to compliance with these regulations shall be maintained for 5 years and made available upon request to the Council or its authorized representative. #### Regulation .08 Compliance Reviews. *COMAR 09.12.42.08* A. Conduct of Compliance Reviews. The Council will regularly conduct systematic reviews of apprenticeship programs in order to determine the extent to which sponsors are complying with these regulations and will also conduct compliance reviews when circumstances, including receipt of complaints not referred to a private review body pursuant to Regulation .10B(1) of this chapter, so warrant, and take appropriate action regarding programs which are not in compliance with the requirements of these regulations. Compliance reviews will consist of comprehensive analyses and evaluations of each aspect of the apprenticeship program, including on-site investigations and audits. B. Reregistration. Sponsors seeking reregistration shall be subject to a compliance review as described in §A of this regulation by the Council as part of the reregistration process. C. New Registrations. Sponsors seeking new registrations shall be subject to a compliance review as described in §A of this regulation by the Council as part of the registration process. D. Voluntary Compliance. When the compliance review indicates that the sponsor is not operating in accordance with these regulations, the Council shall notify the sponsor in writing of the results of the review and make a reasonable effort to secure voluntary compliance on the part of the program sponsor within a reasonable time before undertaking sanctions under Regulation .12 of this chapter. In the case of sponsors seeking new registration, the Council will provide appropriate recommendations to the sponsor to enable it to achieve compliance for registration purposes. #### Regulation .09 Noncompliance with Federal and State Equal Opportunity Requirements. *COMAR 09.12.42.09* A pattern or practice of noncompliance by a sponsor (or when the sponsor is a joint apprenticeship committee, by one of the parties represented on this committee) with federal and State laws or regulations requiring equal opportunity may be grounds for the imposition of sanctions in accordance with Regulation .12 of this chapter if this noncompliance is related to the equal employment opportunity of apprentices and graduates of an apprenticeship program under these regulations. The sponsor shall take affirmative steps to assist and cooperate with employers and unions in fulfilling their equal employment opportunity obligations. #### Regulation .10 Complaint Procedure. *COMAR 09.12.42.10* A. Filing. (1) Any apprentice or applicant for apprenticeship who believes that he or she has been discriminated against on the basis of political or religious opinion or affiliation, marital status, race, color, creed, national origin, sex, or age, unless sex or age constitutes a bona fide occupational qualification, or the physical or mental disability of a qualified individual with a disability with regard to apprenticeship or that the equal opportunity standards with respect to his or her selection have not been followed in the operation of an apprenticeship program may, personally or through an authorized representative, file a complaint with the Council, or, at the apprentice's or applicant's election, with a private review body established pursuant to §A(3) of this regulation. The complaint shall be in writing and shall be signed by the complainant. It shall include the name, address, and telephone number of the person allegedly discriminated against, the program sponsor involved, and a brief description of the circumstances of the failure to apply the equal opportunity standards provided for in this chapter. (2) The complaint shall be filed not later than 180 days from the date of the alleged discrimination or specified failure to follow the equal opportunity standards; and, in the case of complaints filed directly with review bodies designated by program sponsors to review these complaints, any referral of this complaint by the complainant to the Council shall occur within the time limitation stated above or 30 days from the final decision of the review body, whichever is later. The time may be extended by the Council for good cause shown. (3) Sponsors are encouraged to establish fair, speedy, and effective procedures for a review body to consider complaints of failure to follow the equal opportunity standards. A private review body established by the program sponsor for this purpose should number three or more responsible persons from the community serving in this capacity without compensation. Members of the review body should not be directly associated with the administration of an apprenticeship program. Sponsors may join together in establishing a review body to serve the needs of programs within the community. B. Processing of Complaints. (1) When the sponsor has designated a review body for reviewing complaints, the Council, unless the complainant has indicated otherwise or unless the Council has determined that the review body will not effectively enforce the equal opportunity standards, shall upon receiving a complaint refer it to the review body. The Council shall, within 30 days following the referral of a complaint to the review body, obtain reports from the complainant and the review body as to the disposition of the complaint. If the complaint has been satisfactorily adjusted, and there is no other indication of failure to apply equal opportunity standards, the case shall be closed and the parties appropriately informed. When a complaint has not been resolved by the review body within 90 days or when, despite satisfactory resolution of the particular complaint by the review body, there is evidence that the equal opportunity practices of the apprenticeship program are not in accordance with this chapter, the Council may conduct such compliance review as found necessary and will take all necessary steps to resolve the complaint. (2) If no review body exists, the Council may conduct a compliance review as found necessary in order to determine the facts of the complaint, and obtain such other information relating to compliance with these regulations as the circumstances warrant. (3) Sponsors shall provide written notice of the above complaint procedure to all applicants for apprenticeship and all apprentices. #### Regulation .11 Adjustments in Schedule for Compliance Review or Complaint Processing. *COMAR 09.12.42.11* If, in the judgment of the Council, a particular situation warrants and requires special processing and either expedited or extended determination, it shall take the steps necessary to permit this determination if it finds that no person or party affected by the determination will be prejudiced by the special processing. #### Regulation .12 Sanctions. *COMAR 09.12.42.12* A. When the Council, as a result of a compliance review or other reason, determines that there is reasonable cause to believe that an apprenticeship program is not operating in accordance with this chapter and voluntary corrective action has not been taken by the program sponsor, the Council shall institute proceedings to deregister the program or it shall refer the matter to the Attorney General for the institution of a court action as authorized by law. B. The Council delegates to the Office of Administrative Hearings the authority to conduct deregistration hearings and submit in writing to the Council proposed findings of fact and recommended decisions. C. Deregistration proceedings shall be conducted in accordance with the following procedures: (1) The Council shall notify the sponsor, in writing, that a determination of reasonable cause has been made under §A of this regulation and that the apprenticeship program may be deregistered unless, within 15 days of the receipt of the notice, the sponsor requests a hearing. The notification shall specify the facts on which the determination is based. (2) If, within 15 days of the receipt of the notice provided for in §C(1) of this regulation, the sponsor mails a request for a hearing, the Council shall request that the Office of Administrative Hearings convene a hearing in accordance with Regulation .14 of this chapter. (3) The Council shall make a final decision on the basis of the record, which shall consist of the compliance review file and other evidence presented and, if a hearing was conducted pursuant to Regulation .14 of this chapter, the proposed findings and recommended decision of the administrative law judge. The Council may allow the sponsor a reasonable time to achieve voluntary corrective action. If, after any time allowed by the Council in its discretion for voluntary corrective action, the Council's decision is that the apprenticeship program is not operating in accordance with these regulations, the apprenticeship program shall be deregistered. In each case in which deregistration is ordered, the Council shall make public notice of the order and shall notify the sponsor and the complainant, if any, and the U.S. Department of Labor. #### Regulation .13 Reinstatement of Program Registration. *COMAR 09.12.42.13* Any apprenticeship program deregistered pursuant to this chapter may be reinstated upon presentation of adequate evidence to the Council that the apprenticeship program is operating in accordance with this chapter. #### Regulation .14 Hearings. *COMAR 09.12.42.14* A. Procedure for Hearings. (1) Within 10 days after receiving a request for a hearing, the Council shall request that the Office of Administrative Hearings designate an administrative law judge. (2) The administrative law judge shall give reasonable notice of the hearing by certified mail, return receipt requested, to the sponsor. (3) The notice shall include a: (a) Reasonable time and place of hearing; (b) Statement of the provisions of this chapter pursuant to which the hearing is to be held; and (c) Concise statement of the matters pursuant to which the action forming the basis of the hearing is proposed to be taken. B. The administrative law judge shall regulate the course of the hearing. Hearings shall be informally conducted. Every party shall have the right to counsel, and a fair opportunity to present his or her case including such cross-examination as may be appropriate in the circumstances. The administrative law judge shall make proposed findings and recommended decisions to the Council upon the basis of the record. #### Regulation .15 Intimidatory or Retaliatory Acts. *COMAR 09.12.42.15* Any intimidation, threat, coercion, or retaliation by or with the approval of any sponsor against any person for the purpose of interfering with any right or privilege secured by Title VII of the Civil Rights Act of 1964, as amended, Executive Order 11246, as amended, or because he or she has made a complaint, testified, assisted, or participated in any manner in an investigation, proceeding, or hearing under this chapter shall be considered noncompliance with the equal opportunity standards of this chapter. The identity of complainants shall be kept confidential except to the extent necessary to carry out the purpose of this chapter including the conduct of any investigation, hearing, or judicial proceeding arising therefrom. #### Regulation .16 Nondiscrimination. *COMAR 09.12.42.16* The commitments contained in the sponsor's affirmative action program are not intended and may not be used to discriminate against any qualified applicant or apprentice on the basis of political or religious opinion or affiliation, marital status, race, color, creed, national origin, sex, or age, unless sex or age constitutes a bona fide occupational qualification, or the physical or mental disability of a qualified individual with a disability. #### Regulation .17 Exemptions. *COMAR 09.12.42.17* Requests for exemption from this chapter, or any part of it, shall be made in writing to the Council and shall contain a statement or reasons supporting the request. Exemptions may be granted by the Council or the Secretary of Labor for good cause. The Council shall notify the U.S. Department of Labor of any exemptions granted affecting a substantial number of employees and the reasons for them. ### Chapter 43 — Maryland Apprenticeship and Training **Authority:** Labor and Employment Article, §11-405, Annotated Code of Maryland **Administrative History:** Effective date: April 16, 1975 (2:8 Md. R. 565) **Administrative History:** Transferred from Department of Licensing and Regulation to Department of Employment and Training, effective October 1, 1983; recodified from COMAR 09.12.22 to COMAR 24.04.02 **Administrative History:** Chapter revised effective December 21, 1992 (19:25 Md. R. 2208) **Administrative History:** Chapter recodified from COMAR 24.04.02 to COMAR 09.12.43, May 1996 **Administrative History:** Regulation .07 amended effective August 24, 1998 (25:17 Md. R. 1359) **Administrative History:** Regulations .01—.19 repealed and new Regulations .01—.22 adopted effective March 22, 1999 (26:6 Md. R. 484) **Administrative History:** Regulation .01 amended effective April 11, 2016 (43:7 Md. R. 448) **Administrative History:** Regulation .02B amended effective April 24, 2017 (44:8 Md. R. 402) **Administrative History:** Regulation .05D amended effective April 24, 2017 (44:8 Md. R. 402) **Administrative History:** Regulation .05H amended effective April 10, 2006 (33:7 Md. R. 668) **Administrative History:** Regulation .05L amended effective December 11, 2000 (27:24 Md. R. 2199) #### Regulation .01 Scope and Purpose. *COMAR 09.12.43.01* A. Except as provided in COMAR 09.01.12.01C, these regulations do not apply to youth apprenticeship under Apprenticeship Maryland. B. The purpose of this chapter is to: (1) Establish guidelines and standards necessary for the development of skilled apprenticeship programs; (2) Establish guidelines to protect workers who participate in apprenticeship programs; (3) Establish labor standards to safeguard the welfare of apprentices; and (4) Prescribe policies and procedures concerning the registration for State and federal purposes of acceptable apprenticeship and training programs with the Council which is recognized as a registration agency for federal purposes by the Bureau of Apprenticeship and Training, Employment and Training Administration, U.S. Department of Labor. #### Regulation .02 Definitions. *COMAR 09.12.43.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Apprentice” means a worker 16 years old or older, who has entered into a voluntary written agreement with a sponsor who has agreed to teach the worker a skilled trade under terms defined in Regulations .04 and .05 of this chapter. (2) “Apprenticeship agreement” means a written agreement between an apprentice and the sponsor that defines the relationship and is registered by the Maryland Apprenticeship and Training Council. (3) “Apprenticeship program” means a written plan containing, at a minimum, the standards set forth in Regulation .05 of this chapter. (4) “Cancellation” means: (a) The deregistration by the Council of an apprenticeship program at the request of the program sponsor; (b) The termination of an apprenticeship agreement at the request of the apprentice or sponsor; or (c) Formal deregistration proceedings when the action is involuntary. (5) “Competency” means the attainment of manual, mechanical, or technical skills and knowledge as specified by an occupational standard and demonstrated by an appropriate written and hands-on proficiency measurement. (6) Competency-Based Approach. (a) “Competency-based approach” means a method to measure skill acquisition through the individual apprentice’s successful demonstration of acquired skills and knowledge, as verified by the program sponsor. (b) “Competency-based approach” includes requiring an apprentice to complete an on-the-job learning component of registered apprenticeship with the program standards addressing: (i) How on-the-job learning will be integrated into the program; (ii) Describing competencies; and (iii) Identifying an appropriate means of testing and evaluation for such competencies. (7) “Council” means the Maryland Apprenticeship and Training Council. (8) “Director” means the Director of the Maryland Apprenticeship and Training Program. (9) “Employer” means an individual or organization located or operating in Maryland that employs an apprentice on a work site whether or not that individual or organization is a party to an apprenticeship agreement. (10) “Hybrid approach” means a method to measure an individual apprentice’s skill acquisition through a combination of a specified minimum number of hours of on-the-job learning and the successful demonstration of competency as described in a work process schedule. (11) “Joint apprenticeship committee” means a committee, composed of an equal number of representatives of employers and employees, that has been jointly established by an employer or group of employers and a bona fide collective bargaining agent or agents to: (a) Conduct, operate, or administer an apprenticeship program; and (b) Enter into apprenticeship agreements with apprentices selected for employment under the particular program. (12) “Journeyperson” means an individual who has completed: (a) A registered apprenticeship in a craft; or (b) The equivalent of an apprenticeship in length and content of work experience and all requirements in the apprenticeship standards for a craft. (13) Nonjoint Apprenticeship Sponsor. (a) “Nonjoint apprenticeship sponsor” means an apprenticeship program sponsor in which a bona fide collective bargaining agent does not participate. (b) “Nonjoint apprenticeship sponsor” includes: (i) An individual nonjoint sponsor which is an apprenticeship program sponsored by one employer without participation of a union; and (ii) A group nonjoint sponsor which is an apprenticeship program sponsored by two or more employers without the participation of a union. (14) “On-the-job training” means that segment of apprenticeship which can be obtained only on the job site. (15) “Probationary period” means the period of time in an apprenticeship contract in which a party to the apprenticeship agreement may cancel the contract without cause. (16) “Registration of an apprenticeship program” means the acceptance and recording of the program and issuance of a certificate of registration by the Maryland Apprenticeship and Training Council as meeting the basic standards and requirements of the Council. (17) “Related instruction” means an organized and systematic form of instruction designed to provide knowledge of the theoretical and technical subjects related to the trade. (18) “Secretary” means the Secretary of Labor or a person specifically designated by the Secretary. (19) “Sponsor” means an individual, association, committee, organization, or employer in whose name or title the program is or is to be registered. (20) “State purposes” means: (a) A State contract, grant, agreement, or arrangement dealing with apprenticeship; and (b) State financial or other assistance, benefit, privilege, contribution, allowance, exemption, preference, or right pertaining to apprenticeship. (21) “Time-based approach” means a method that measures skill acquisition through the individual apprentice’s completion of at least 2,000 hours of on-the-job learning as described in a work process schedule. #### Regulation .03 Eligibility and Procedure for Registration. *COMAR 09.12.43.03* A. Registration of Apprenticeship Program. (1) An apprenticeship program is eligible for registration by the Council if the: (a) Apprenticeship program conforms with apprenticeship program standards published by the Council; (b) Apprenticeship program provides for training in an apprenticeable occupation meeting the requirements of Regulations .04 and .05 of this chapter; (c) Apprenticeship program conforms with the requirements of the Maryland State Plan for Equal Employment Opportunity in Apprenticeship and Training; and (d) Request for registration is: (i) In writing, (ii) Made by the applicant sponsor, (iii) Addressed to the Director, and (iv) Submitted with all required documents and data, as required by the Council. (2) An approved apprenticeship program shall be registered and issued a certificate of registration. (3) An apprenticeship program is considered registered upon approval of the Council. (4) If the employees to be trained have no collective bargaining agent, an apprenticeship program may be proposed for registration by a nonjoint apprenticeship sponsor. B. Registration of Apprentices. (1) An apprentice shall be individually registered under a registered apprenticeship program. (2) To register an apprentice, a sponsor shall file copies of an apprenticeship agreement for approval by the Council. C. Sponsor Responsibilities. (1) A sponsor may not register more apprentices than permitted in the sponsor's approved and registered standards of apprenticeship. (2) Apprentices working on the sponsor's premises, and at each individual job site away from the sponsor's premises, shall work in accordance with the sponsor's approved ratio of apprentices to journeypersons except that the first apprentice may be worked at a job site immediately after the first journeyperson at a job site. (3) A sponsor that is participating in a group nonjoint apprenticeship program registered with the Council may not register an individual program in the same Metropolitan Statistical Area unless the sponsor: (a) Shows just cause that an individual program is needed; and (b) Is starting an apprenticeship program in an occupation not covered by the group nonjoint apprenticeship program, or terminating the sponsor's participation in the group nonjoint apprenticeship program. (4) A sponsor shall agree that, in order to determine compliance, any Council member, the Director, or any designee of the Director, with proper notice, may visit a job site or other location where apprentices work or are trained. (5) All individual participating employers in a group nonjoint apprenticeship program shall agree in writing to all registered provisions of the apprenticeship program standards. D. Change to Registered Program. (1) A sponsor shall promptly submit any change to a registered apprenticeship program in writing to the Council for approval. (2) An approved change shall be recorded as an amendment to the apprenticeship program. E. Collective Bargaining Agreements. For an apprenticeship program proposed for registration by a joint apprenticeship committee where the standard, collective bargaining agreements, or other instruments, provide for participation by a union in the operation of the substantive matters of the apprenticeship program, the following apply: (1) Where the participation is exercised, written acknowledgment of union agreement or “no objection” to the registration is required; and (2) Where no participation is evidenced and practiced: (a) The employer or employers' association shall furnish to a union local, which is the collective bargaining agent of the employees to be trained, a copy of its application for registration and of the apprenticeship program, (b) The Council, upon receipt of the application and apprenticeship program, shall send, by certified mail to the union local, a copy of the application and the apprenticeship program, (c) An opportunity is provided for the union local to review, comment, approve, or reject the content of the apprenticeship program within 30 days, and (d) Notice is given that union comments of the union local are accepted for 30 days after the date of the Council transmittal. F. Temporary Staffing Agencies. A temporary staffing agency that offers temporary staffing services and does not have day-to-day control of work assignments and supervision of employees is not eligible for registration as a sponsor. #### Regulation .04 Criteria for an Apprenticeable Occupation. *COMAR 09.12.43.04* An apprenticeable occupation is a skilled trade that: A. Is customarily learned in a practical way through on-the-job training; B. Can be clearly identified and commonly recognized throughout an industry; C. Is not a part of an occupation previously recognized by the Council as apprenticeable unless that part is practiced industrywide as an identifiable and distinct trade; D. Involves manual, mechanical, or technical skills and knowledge, which require a minimum of 2,000 hours of work and on-the-job training, not including the hours spent on related instruction; E. Requires related instruction supplemental to the on-the-job training which may be given: (1) In a classroom, (2) Through correspondence courses, (3) By self-study, or (4) By other means of instruction approved by the Council; and F. Involves the development of a skill which is not restricted in application to the products of any one company, but which is broad enough to be applied in similar occupations throughout an industry. #### Regulation .05 Standards of an Apprenticeship Program. *COMAR 09.12.43.05* A. The apprenticeship program shall be an organized, written plan which includes the terms and conditions of employment, training, and supervision of one or more apprentices in an apprenticeable occupation. B. A sponsor of an apprenticeship program shall operate in accordance with or abide by the standards of the apprenticeship program. C. Apprenticeship program standards shall include the following: (1) The equal opportunity pledge prescribed in the Maryland State Plan for Equal Employment Opportunity in accordance with COMAR 09.12.42.04A; (2) If applicable, an affirmative action plan in accordance with COMAR 09.12.42.04A; (3) A selection method authorized in COMAR 09.12.42.06; and (4) The requirements of an apprenticeship program in accordance with §D of this regulation. D. An apprenticeship program shall include the following provisions: (1) The employment and training of the apprentice in a skilled occupation; (2) A term of apprenticeship, which for an individual apprentice: (a) May be measured through either a time-based approach, a competency-based approach, or a hybrid approach; and (b) Is determined by the program sponsor, subject to approval by the Division, with the advice of the Council, depending on which approach is appropriate for the apprenticeable occupation for which the program standards are registered; (3) A work processes outline which: (a) Includes the allocation of the approximate time to be spent in each major work process, and (b) Is an organized syllabus of operations and manual manipulative practices which shall be arranged in a logical manner and assigned sufficient time frames for these practices to equip an apprentice with a comprehensive basic skill development background to qualify for journeyperson or another stated training objective; (4) Related instruction requirements as described in §E of this regulation; (5) Apprentice wage rates as described in §F of this regulation; (6) Progress records as described in §G of this regulation; (7) Ratio of journeypersons to apprentices as described in §H of this regulation; (8) Probationary period requirements as described in §I of this regulation; (9) Safety equipment practices as described in §J of this regulation; (10) Minimum age requirements as described in §K of this regulation; (11) Placement of an apprentice under an apprenticeship agreement as required by law, with the apprenticeship agreement incorporating the registered standards; (12) Credit for experience requirements as described in §L of this regulation; (13) Transfer of employer's training obligation to another employer, when warranted, with full credit to apprentice for satisfactory time and training earned; (14) Assurance of qualified training personnel; (15) Recognition for successful completion of apprenticeship evidenced by a certificate of completion issued by the Council; (16) Identification of the Council; (17) The registration and cancellation of the apprenticeship program and the prompt submission of any modification or amendment to the apprenticeship program; (18) Registration of an apprenticeship agreement, modification, and amendment; (19) Notice to the Council of persons who have successfully completed apprenticeship programs and notice and cause of cancellations, suspensions, and termination of apprenticeship agreements; (20) A statement that the program will be conducted, operated, and administered in conformity with the Maryland State Plan for Equal Employment Opportunity; (21) Name and address of the appropriate authority under the program to receive, process, and make disposition of complaints; and (22) Recording and maintenance of all records concerning apprenticeship required by the Council and other applicable law. E. Related Instruction. (1) A minimum of 144 hours of instruction for each year of apprenticeship or the numbers of hours necessary to cover related courses required by the program sponsor is required. (2) Instruction may be provided: (a) In a classroom; (b) Through trade, industrial, or correspondence courses of equivalent value; or (c) Through other forms of approved self-study. F. Apprentice Wage Rates. (1) A progressively increasing schedule of wages shall be paid to the apprentice. (2) Apprentice wage rates established by a collective bargaining agreement shall be accepted by the Council for apprentices covered by the agreement. (3) For a program where wage rates are not established by collective bargaining agreements: (a) The progressively increasing schedule of apprentice wage rates shall be expressed in percentages of the journeyperson hourly rate; (b) Rates shall represent the minimum for each incremental period of apprenticeship; (c) The journeyperson hourly rate for each trade included in a registered program shall be the average journeyperson hourly rate applicable to the participant employer and shall be stated in dollars and cents; (d) The entry wage may not be less than the State minimum wage, if applicable, unless a higher wage is required by other applicable federal law, State law, or respective regulations; and (e) Any modification of wage progression or journeyperson wage shall be promptly reported to the Council. G. Progress Records. (1) Periodic review and evaluation of an apprentice's progress in job performance and related instruction shall be conducted. (2) Appropriate progress records shall be maintained. (3) Upon request, progress records shall be submitted to the Council for review. H. Ratio of Journeypersons to Apprentices. (1) Each program shall have a minimum ratio of one journeyperson regularly employed for one apprentice consistent with proper supervision, training, and continuity of employment and applicable provisions in collective bargaining agreements. (2) Deviation from the minimum ratio, including the bargaining agreements, is not permitted unless first submitted to the Council in writing for its approval. I. Probationary Period. (1) A probationary period covering employment and instruction shall be reasonable in relation to the full apprenticeship term with full credit for the period toward completion of the apprenticeship agreement. (2) The probationary period may not exceed 1/4 of the full term of the apprenticeship agreement. (3) During the probationary period, upon written notice to the Council, the apprenticeship agreement may be terminated without cause by either party to the agreement. (4) After the probationary period, the apprenticeship agreement may be suspended, canceled, or terminated for good cause provided: (a) Due notice is given to the apprentice; (b) A reasonable opportunity for corrective action is provided; and (c) Written notice of the final action is given to the apprentice and the Council. J. Safety Equipment Practices. (1) The program sponsor shall provide: (a) Adequate and safe equipment and facilities for training and supervision; and (b) Safety training for apprentices on the job and in related instruction. (2) The standards of the apprenticeship program shall include a statement that the instructor, supervisor, journeyperson, or master who is supervising the work of the apprentice is responsible for giving instruction in safe working methods and techniques in each operation as it is encountered in accordance with the Maryland Occupational Safety and Health Law and operating codes for the trade. K. Minimum Age. (1) An individual entering an apprenticeship agreement shall be 16 years old or older. (2) An apprentice younger than 18 years old shall have a work permit. L. Advanced Standing or Credit for Previously Acquired Experience, Training, Skills, or Aptitude. (1) Upon a showing of satisfactory evidence, advanced standing or credit up to 50 percent of on-the-job training or related instruction, or both, may be granted to an apprentice for previously acquired experience, training, skills, or aptitude, provided that wages shall be commensurate for any progression step of advanced standing or credit awarded. (2) In order for a specific apprentice to obtain credit for more than 50 percent of these requirements, the sponsor shall: (a) Send a written request to the Council detailing why the credit should be granted; and (b) Obtain the explicit written approval of the Council to grant the credit to the apprentice. (3) If the request is based on the apprentice's previous experience, training, skills, or aptitude, the request shall detail: (a) The number of years of experience, training, skills, or aptitude in the trade; and (b) The sponsor's judgment regarding the quality of the apprentice's experience, training, skills, or aptitude in relation to the sponsor's requirements. (4) If the request is based on the fact that the apprentice has already completed more than 50 percent of the program but has not been registered, the sponsor shall make an adequate showing of good cause as to why the apprentice was not registered in a timely fashion. #### Regulation .06 Certificate of Completion of Apprenticeship. *COMAR 09.12.43.06* To receive a certificate of completion of apprenticeship, an apprentice shall successfully complete both the required related instruction and the on-the-job training while in the employ of and under the supervision of a registered apprenticeship program sponsor. #### Regulation .07 Apprenticeship Agreement. *COMAR 09.12.43.07* A. The apprenticeship agreement shall be on a form approved by the Council and shall contain: (1) The name and signature of the: (a) Apprentice; (b) Program sponsor; and (c) Parent or guardian, if the apprentice is a minor; (2) The date of birth of the apprentice; (3) The name and address of the program sponsor and registration agency; (4) A statement of the trade or craft which the apprentice is to be taught; (5) The beginning date and term of apprenticeship; (6) A statement showing the number of hours to be spent by the apprentice in: (a) Work on the job; and (b) Related and supplemental instruction; (7) A statement setting forth: (a) A schedule of work processes in the trade or industry divisions which the apprentice is to be taught; and (b) The approximate time to be spent at each process; (8) When the program sponsor has granted credit toward work experience, the credit in relation to the respective work processes; (9) The progressive scale of wages to be paid the apprentice and a statement as to whether or not the required time spent at related instruction is compensated; (10) Statements providing for a reasonable period of probation in relation to the apprenticeship term; (11) A reference incorporating, as part of the agreement, the standards of the apprenticeship program as it exists on the date of the agreement and as it may be amended during the period of the agreement; (12) A statement that the apprentice shall be given equal opportunity in all phases of apprenticeship employment and training without discrimination because of political or religious opinion or affiliation, marital status, race, color, creed, national origin, sex or age, unless sex or age constitutes a bona fide occupational qualification, or the physical or mental disability of a qualified individual with a disability; (13) A statement that the Council is the appropriate authority designated under the program to receive, process, and make disposition of controversies or differences arising out of the apprenticeship agreement when the controversies or differences cannot be adjusted locally or resolved in accordance with the established trade procedure or applicable collective bargaining provisions; and (14) A statement that, if the registration of the program has been canceled or revoked, the apprentice shall be notified by the sponsor within 15 days of the cancellation or revocation. B. The apprentice shall be given an opportunity to read the sponsor's approved standards before signing the apprenticeship agreement. #### Regulation .08 Standards for Hours of Work, Working Conditions, and Related Instruction Facilities. *COMAR 09.12.43.08* A. Hours of Work. (1) The regular work day and work week for apprentices shall conform to all applicable laws and regulations. (2) Overtime may not: (a) Interfere with or impair training; or (b) Be detrimental to the health and safety of an apprentice. B. Working Conditions. (1) Working and all other conditions of employment for an apprentice shall conform with all laws and regulations affecting the health, welfare, and safety of the apprentice. (2) An apprentice shall: (a) Work under and with competent journeypersons or instructors; and (b) Be assigned to work and learn tasks so that the apprentice obtains the diversified training on the job provided for in the apprenticeship standards. C. Related Instruction Facilities. (1) Program sponsors are encouraged to use existing local public vocational school facilities in formulating and establishing courses of related instruction. (2) Alternative facilities are acceptable as meeting the related instruction requirement if: (a) Public vocational school facilities are not available or not suitable; or (b) The sponsors prefer to use: (i) Private educational facilities existing within a trade or an industry, (ii) Supervised self-study courses, or (iii) The facilities of a private or public institution of higher learning. #### Regulation .09 Responsibilities of the Sponsor. *COMAR 09.12.43.09* The sponsor shall: A. Recruit and interview applicants, schedule testing, instruct applicants on completing applications, and brief applicants for interviews; B. Keep application records up to date; C. Indoctrinate new apprentices, assign apprentices for training, and recommend remedial work, if needed; D. Arrange for related instruction; E. Assist in the selection of and supervise classroom instructors, supervise the in-class instruction, and conduct workshops for instructors, if applicable; F. Prepare and disburse course materials, and revise or update course materials for apprentices, journeypersons, and instructors, if applicable; G. Develop, purchase, assemble, and keep in repair all training aids and instructional materials for the classroom, if applicable; H. Maintain accurate records on apprentice grades, progress, attendance, and work experience; I. Evaluate journeyperson's and employer's reports on apprentices for the full duration of the apprenticeship; and J. Evaluate the progress of apprentice work experience and verify and certify work hours, progress, and payroll for those apprentices who are entitled to benefits under the G.I. Bill and other local, State, and federal employment and training programs. #### Regulation .10 Apprenticeship Training. *COMAR 09.12.43.10* A. Apprentice training shall be provided by a qualified individual who is in a position to relate directly to the apprentice's work. B. The arrangement shall be made known to both the apprentice and the individual to whom supervisory responsibility is delegated. C. Qualifications of an Instructor. (1) An instructor shall be a capable, practical individual, who is selected or approved by the sponsor or one who is designated with this authority by the apprenticeship committee for the trade. (2) The individual conducting the training may be a supervisor, a journeyperson, or the owner. #### Regulation .11 Records and Reports. *COMAR 09.12.43.11* A. A program sponsor shall keep, in a manner and form as required by the Council, adequate records of all phases of the operation of the apprenticeship program, including, but not limited to: (1) Job assignments; (2) Promotion; (3) Demotion; (4) Layoff or termination; (5) Rates of pay or other forms of compensation or conditions of work; and (6) Any other records pertinent to a determination of compliance with Labor and Employment Article, Title 11, Subtitle 4, Annotated Code of Maryland. B. In addition to information provided during regular field inspections, each program sponsor and each apprentice shall promptly submit reports to the Director as the Council in its discretion may require. C. Reports shall be made on forms prescribed by the Council. #### Regulation .12 Financial Aspects of the Program Sponsor. *COMAR 09.12.43.12* The Council shall have reasonable proof and assurance that the program sponsor has adequate financial means to ensure the successful completion of the apprenticeship. #### Regulation .13 Inactive Program Status. *COMAR 09.12.43.13* A. If a registered program sponsor does not have a registered apprentice involved in an on-the-job training or related instruction activity for a 1-year period, the Council shall: (1) Place the program in inactive status; and (2) Notify the sponsor of the inactive status. B. An inactive program may be reactivated: (1) Within a 1-year period after placement in inactive status, by the sponsor registering a new apprentice; or (2) After a 1-year period, by the Council, after a review to ensure that the following are current with industry practice: (a) Standards, (b) Work processes, and (c) Related instruction. #### Regulation .14 Deregistration of a Registered Program. *COMAR 09.12.43.14* Deregistration of a program may be carried out on: A. The voluntary action of the sponsor by a request for cancellation of the registration; or B. Reasonable cause by the Council instituting formal deregistration proceedings in accordance with this regulation. #### Regulation .15 Request for Cancellation of Registration. *COMAR 09.12.43.15* Upon written request for cancellation by the sponsor, the Council may cancel, in writing, the registration of an apprenticeship program subject to, but not limited to, the following: A. The registration is canceled at the sponsor's request with the effective date of the cancellation determined by the Council; B. Within 15 days of the date of receipt of cancellation from the Council, the sponsor shall: (1) Notify all apprentices: (a) Of the cancellation and its effective date, (b) That the cancellation automatically deprives the apprentice of individual registration, and (c) That the deregistration of the program removes the apprentice from coverage for State and federal purposes; and (2) Submit the names and addresses of the apprentices affected in writing to the Council. #### Regulation .16 Formal Deregistration. *COMAR 09.12.43.16* A. Reasonable Cause. Deregistration proceedings may be undertaken when the apprenticeship program is not conducted, operated, and administered in accordance with the registered provisions or the requirements of this chapter. Deregistration proceedings for violation of equal opportunity requirements are processed in accordance with the provisions of COMAR 09.12.42. B. Voluntary Correction. (1) In its discretion, the Council may allow the sponsor a reasonable time to achieve voluntary corrective action. (2) If, after the time allowed by the Council, the apprenticeship program is not operating in accordance with the registered provisions or requirements, the apprenticeship program shall be deregistered. C. Notice of Violations. (1) When there is evidence a program is not being operated in accordance with the registered standards, the Council shall notify the program sponsor in writing. (2) The notice shall be sent by certified mail with return receipt requested and shall state: (a) The violations; (b) The remedy required; and (c) That a determination of reasonable cause for deregistration will be made unless corrective action is taken within 30 days. D. Extension. (1) Upon request by the sponsor for cause, the 30-day term may be extended for another 30 to 60 days, as the Council considers reasonable. (2) During the period for correction, the sponsor shall be assisted in every reasonable way to achieve conformity. E. Failure to Correct. If the required correction is not carried out within the allotted time, the Council shall issue a notice to the sponsor by certified mail, return receipt requested, which specifies: (1) That notice is being sent under this subsection; (2) That the sponsor has failed or refused to correct certain deficiencies and requested remedial measures; (3) The date of the occasions and letters; and (4) That based on the stated deficiencies and failure of remedy, a determination of reasonable cause has been made and the program may be deregistered, unless, within 15 days of the receipt of the notice, the sponsor requests a hearing. F. If a sponsor does not request a hearing under §E(4) of this regulation, the: (1) Director shall transmit to the Council a report containing: (a) Pertinent facts and circumstances concerning the nonconformity, including findings and recommendation for deregistration, (b) A copy of relevant documents and records, and (c) A statement concerning any interview, meeting, or conference, including the time, date, place, and persons present; and (2) Council shall make a final order on the basis of the record before them. G. Request for Hearing. (1) If the sponsor requests a hearing within the time period in §E(4) of this regulation: (a) The Director shall submit a report containing the data listed in §F(1) of this regulation to the Office of Administrative Hearings; (b) The Council shall request that the Office of Administrative Hearings convene a hearing in accordance with Regulation .19 of this chapter; and (c) An administrative law judge shall conduct the deregistration hearing and submit proposed findings of fact and recommended decisions in writing to the Council. (2) The Council shall make a final decision on the basis of the record before it. H. Notice of Deregistration. In each case in which deregistration is ordered, the Council shall: (1) Give public notice of the order; and (2) Notify: (a) The sponsor, (b) All registered apprentices participating in the program, and (c) All federal, State, and local agencies involved. I. The order of deregistration shall contain a provision that the sponsor, within 15 days of the effective date of the order, shall notify all registered apprentices: (1) Of the deregistration of the program; (2) Of the effective date; (3) That the cancellation automatically deprives the apprentice of individual registration; and (4) That the deregistration removes the apprentice from coverage for State and federal purposes. #### Regulation .17 Deregistration of Defunct Programs. *COMAR 09.12.43.17* A. A sponsor that has ceased operation of an apprenticeship program without having notified the Council and requested voluntary deregistration in accordance with Regulation .15 of this chapter may be deregistered in accordance with this section. B. Verification of Operation. (1) If it appears that a program sponsor has ceased operations, gone out of business, or moved out of the State, the Director shall make reasonable efforts to ascertain whether the program sponsor is operating an apprenticeship program. (2) The Director shall submit to the Council: (a) A report containing all pertinent facts and circumstances concerning the Director's efforts to ascertain whether the program sponsor has ceased operating an apprenticeship program; and (b) Copies of all relevant documents and records substantiating the Director's efforts. C. Notice to Program Sponsor. (1) If, based upon the Director's report, the Council determines that the program sponsor has ceased operation, the Council shall notify the program sponsor in writing of the Council's: (a) Determination of reasonable cause; and (b) Intent to deregister the apprenticeship program. (2) Notice of deregistration from the Council shall: (a) Be sent by certified mail with return receipt requested to the sponsor's last known address; and (b) State that the: (i) Program sponsor appears to have ceased operation, (ii) Council has made a determination of reasonable cause to deregister the program, and (iii) Apprenticeship program is automatically deregistered within 30 days of the date of the notice unless the sponsor, within 15 days of receipt of the notice, requests a hearing under §E of this regulation or provides the Council with evidence of continued business operation in the State, including, but not limited to, a current business address and telephone number as to where the apprenticeship program is being conducted. D. Automatic Deregistration. (1) If a request for a hearing is not made and evidence of continued business operation in the State is not provided, the apprenticeship program shall be automatically deregistered 30 days from the date of the notice. (2) The Council shall: (a) Give public notice of the deregistration; and (b) Notify all federal, State, and local agencies involved together with any registered apprentices remaining in the apprenticeship program. E. Request for Hearing. If the sponsor requests a hearing: (1) The Director shall transmit to the Office of Administrative Hearings a report containing all the information listed in §B(2) of this regulation; (2) The Council shall request that the Office of Administrative Hearings convene a hearing in accordance with Regulation .19 of this chapter; (3) An administrative law judge shall: (a) Conduct a deregistration hearing, and (b) Submit, in writing to the Council, proposed findings of fact and a recommended decision; and (4) The Council shall make a final decision on the basis of the record before it. F. Evidence of Continued Operation. (1) Instead of requesting a hearing, the sponsor may, within 15 days of receipt of the notice, provide the Council with evidence of continued operation in the State. (2) The timely submission of evidence of continued operation in the State is considered a request for a hearing. (3) If, after reviewing the evidence presented, the Council determines that the evidence of continued operation is insufficient, the Council shall refer the matter to the Office of Administrative Hearings for a deregistration hearing in accordance with this regulation. G. Notice of Deregistration. If, after a hearing, deregistration is ordered, the Council shall: (1) Give public notice of the order; and (2) Notify: (a) The sponsor, and (b) All federal, State, and local agencies involved together with any registered apprentices remaining in the apprenticeship program. H. Applicable Deregistration Proceedings. (1) The deregistration proceedings of this section apply when the Council has reasonable cause to believe the program sponsor is no longer operating. (2) If the Council's determination of reasonable cause is made based upon other grounds, deregistration proceedings shall follow the procedures of Regulation .15 of this chapter. #### Regulation .18 Reinstatement of Program Registration. *COMAR 09.12.43.18* An apprenticeship program deregistered under Regulations .14—.17 of this chapter may be reinstated upon presentation of adequate evidence that the apprenticeship program is operating in accordance with this chapter. #### Regulation .19 Hearings. *COMAR 09.12.43.19* A. Notice of Hearing. (1) Within 10 days of receipt of a request for hearing, the Council shall request that the Office of Administrative Hearings designate an administrative law judge. (2) The administrative law judge shall give reasonable notice of the hearing by certified mail, return receipt requested, to the appropriate sponsor. (3) The notice shall include: (a) A reasonable date, time, and place of the hearing; (b) Reference to the provisions of this subtitle under which the hearing is being held; and (c) A concise statement of the matters under which the action forming the basis of the hearing is proposed to be taken. B. Conduct of Hearings. (1) The administrative law judge shall: (a) Regulate the course of the hearing; and (b) On the basis of the record: (i) Make proposed findings, and (ii) Recommend decisions. (2) Hearings shall be informally conducted. (3) All parties have the right to counsel and a fair opportunity to present the case, including cross-examination as may be appropriate in the circumstances. C. Rules of Procedure. (1) All hearings shall be public. (2) The administrative law judge shall explain the purpose and nature of the hearing. (3) The following exhibits shall be introduced: (a) The written complaint; (b) Acknowledgment of complaint; (c) Preliminary investigation; and (d) Written request for hearing. (4) Rules of evidence in all hearings shall be as set forth in State Government Article, §§10-213 and 10-214, Annotated Code of Maryland. (5) A party involved in the complaint may appear at the hearing in person or by counsel. (6) All decisions of the Council shall be in writing and given to each party involved. #### Regulation .20 Limitation. *COMAR 09.12.43.20* Nothing in this chapter or in an apprenticeship agreement shall operate to invalidate: A. An apprenticeship provision in any collective bargaining agreement between employers and employees setting up higher apprenticeship standards; or B. Special provisions for veterans, minority persons, or females in the standards, apprentice qualifications, or operation of the program or in the apprenticeship agreement, which is not otherwise prohibited by law. #### Regulation .21 Complaints. *COMAR 09.12.43.21* A. A complaint concerning discrimination or other equal opportunity matter shall be submitted, processed, and resolved in accordance with the applicable provisions of COMAR 09.12.42. B. Except for matters covered under this regulation, any controversy or difference arising under an apprenticeship agreement which cannot be adjusted locally, or which is not covered by a collective bargaining agreement, may be submitted by an apprentice or an authorized representative to the Council for review. C. Matters covered by a collective bargaining agreement shall be submitted and processed in accordance with the procedures provided in the agreement. D. The complaint shall: (1) Be in writing; (2) Be signed by the complainant or an authorized representative; (3) State specific matters complained of, together with all relevant facts and circumstances; (4) Include copies of all pertinent documents and correspondence; and (5) Be submitted within 60 days of the final local decision. E. Opinion of the Council. (1) Based upon investigation of the matters submitted as may be found necessary and the record before it, the Council shall issue an opinion within 90 days after receipt of the complaint. (2) During the 90-day period, the Director shall make a reasonable effort to obtain a satisfactory resolution between the parties involved. (3) If the complaint is resolved by the Director during the 90-day period, the parties shall be notified that the case is closed. (4) If an opinion is issued, copies shall be sent to all interested parties. F. This regulation does not prohibit the apprentice from electing to resort to any forum or procedure, other than that of the registration agency, that may be available for the disposition of the complaint, or to institute appropriate court proceedings. #### Regulation .22 Waiver. *COMAR 09.12.43.22* The Council or the Secretary may waive or vary particular provisions of this chapter to the extent that the waiver is not inconsistent with applicable law. ### Chapter 44 — *VACANT* ### Chapter 45 — Farm Labor Contractor Registration **Authority:** Labor and Employment Article, §§2-106(b)(6) and 7-403; State Government Article, §10-206; Annotated Code of Maryland **Administrative History:** Effective date: May 20, 1985 (12:10 Md. R. 960) **Administrative History:** Regulation .02 amended effective March 2, 1992 (19:4 Md. R. 472) **Administrative History:** Regulation .03 amended effective March 2, 1992 (19:4 Md. R. 472) **Administrative History:** Regulation .05A, B, and D amended effective March 2, 1992 (19:4 Md. R. 472) **Administrative History:** Regulation .06C amended effective March 2, 1992 (19:4 Md. R. 472) **Administrative History:** Regulation .07 adopted effective March 2, 1992 (19:4 Md. R. 472) **Administrative History:** Chapter revised effective September 3, 2012 (39:17 Md. R. 1148) #### Regulation .01 Resident Agent. *COMAR 09.12.45.01* A resident agent shall be an adult or other person as required by Labor and Employment Article, §7-302(b)(9), Annotated Code of Maryland, who: A. Is a domiciliary of Maryland; and B. Has agreed to serve as resident agent for the farm labor contractor. #### Regulation .02 Security to Assure Compliance. *COMAR 09.12.45.02* A. After receipt of a certified record of violation pursuant to Labor and Employment Article, §7-312, Annotated Code of Maryland, the Commissioner may require a farm labor contractor to post a surety bond or other security: (1) Maintained in the sum of $10,000 for each farm labor contractor required to post security; (2) Signed by the farm labor contractor as principal; (3) Signed by a surety company authorized to do business in this State as surety; (4) Payable to the State of Maryland as obligee; and (5) Conditioned on the compliance of the farm labor contractor with the provisions of the laws and regulations of this State. B. The bond shall provide the required coverage for the full period during which the farm labor contractor's license is valid. C. The surety company which has issued the bond shall notify the Commissioner of the cancellation of the bond at least 30 days before the cancellation. D. The Commissioner may certify the record of a proceeding in which a farm labor contractor has been found to have violated the provisions of the Farm Labor Contractor Act, Labor and Employment Article, Title 7, Annotated Code of Maryland, or of any rule, regulation, or order of the Commissioner. #### Regulation .03 Vehicle Liability Insurance. *COMAR 09.12.45.03* A. A farm labor contractor may not use, or cause to be used, a vehicle to transport migrant agricultural workers in this State unless the farm labor contractor has purchased an insurance policy in amounts not less than the following: B. The insurance policy shall be obtained from a company authorized to do business as an insurance company in this State. C. A certificate of insurance in the required amounts shall be filed with the Commissioner before the issuance of a license. D. The insurance company which has issued the insurance policy shall notify the Commissioner of the cancellation of the policy at least 30 days before the cancellation. #### Regulation .04 Citations. *COMAR 09.12.45.04* A. Issuance. (1) If, after investigation, the Commissioner believes a farm labor contractor or agricultural operation has violated a provision of either the Farm Labor Contractor Act, Labor and Employment Article, Title 7, Annotated Code of Maryland, or a regulation adopted to carry out this Act, the Commissioner shall, with reasonable promptness, issue a citation to the farm labor contractor or agricultural operation. (2) A citation shall: (a) Be in writing; (b) Describe with particularity the nature of the alleged violation; (c) Reference the provision of law or regulation allegedly violated; and (d) State the penalty, if any, that the Commissioner proposes to assess under the Farm Labor Contractor Act, Labor and Employment Article, Title 7, Annotated Code of Maryland. (3) A citation shall be accompanied by a notice that informs a party cited that, within 15 working days after receipt of the citation, the party may submit to the Commissioner a written notice of contest to the citation or penalty. (4) A citation may not be issued after the expiration of 6 months following the occurrence of an alleged violation. B. Enforcement. (1) A party to whom a citation is issued may file with the Commissioner a written notice of contest to the citation or proposed penalty. The notice shall be: (a) In writing; and (b) Postmarked within 15 working days of the date on which the party received the citation. (2) If a party does not file proper notice of contest, the citation and any penalty proposed in it become final upon the expiration of 15 working days following the party's receipt of the citation. (3) If a party files a notice of contest in accordance with this regulation, the Commissioner shall set and conduct a hearing and issue a written determination in accordance with the requirements of the Administrative Procedure Act, State Government Article, Title 10, Subtitle 2, Annotated Code of Maryland. ### Chapter 46—49 — *VACANT* ### Chapter 50 — Model Performance Code **Authority:** Public Safety Article, §12-201(f), Annotated Code of Maryland **Administrative History:** Effective date: April, 1973 **Administrative History:** Regulation .01 amended effective December 30, 1985 (12:26 Md. R. 2542) **Administrative History:** Regulation .02C adopted effective December 30, 1985 (12:26 Md. R. 2542) **Administrative History:** Regulation .03 amended effective August 6, 1975 (2:17 Md. R. 1188); March 3, 1976 (3:5 Md. R. 295); June 29, 1979 (6:13 Md. R. 1124); March 1, 1983 (10:3 Md. R. 208); December 30, 1985 (12:26 Md. R. 2542) **Administrative History:** Regulations .04 and .05 amended effective November 3, 1978 (5:22 Md. R. 1671) **Administrative History:** Regulations .04E and .05C amended effective December 30, 1985 (12:26 Md. R. 2542) **Administrative History:** Regulation .07A amended effective December 30, 1985 (12:26 Md. R. 2542) **Administrative History:** Regulation .07B amended effective August 6, 1975 (2:17 Md. R. 1188) and November 3, 1978 (5:22 Md. R. 1671); repealed effective December 30, 1985 (12:26 Md. R. 2542) **Administrative History:** Chapter recodified from COMAR 05.01.03 to COMAR 05.02.01 **Administrative History:** Regulation .01B amended effective June 1, 1988 (15:11 Md. R. 1329); July 28, 1997 (24:15 Md. R. 1061); October 15, 2001 (28:1 Md. R. 25); September 20, 2004 (31:6 Md. R. 507); January 1, 2012 (38:24 Md. R. 1499); January 7, 2013 (39:26 Md. R. 1663) **Administrative History:** Regulation .02B amended effective January 1, 2012 (38:24 Md. R. 1499); January 1, 2015 (41:25 Md. R. 1476) **Administrative History:** Regulation .02D adopted effective January 1, 2012 (38:24 Md. R. 1499) **Administrative History:** Regulation .02-1 adopted effective July 28, 1997 (24:15 Md. R. 1061) **Administrative History:** Regulation .02-1B amended effective October 15, 2001 (28:1 Md. R. 25); September 20, 2004 (31:6 Md. R. 507); July 1, 2007 (34:7 Md. R. 696); January 1, 2010 (36:22 Md. R. 1722); January 1, 2012 (38:24 Md. R. 1499); January 7, 2013 (39:26 Md. R. 1663); January 1, 2015 (41:25 Md. R. 1476) **Administrative History:** Regulation .03 amended effective June 1, 1988 (15:11 Md. R. 1329); July 22, 1991 (18:14 Md. R. 1609); July 28, 1997 (24:15 Md. R. 1061); October 15, 2001 (28:1 Md. R. 25) **Administrative History:** Regulation .03A amended effective January 1, 2010 (36:22 Md. R. 1722); January 1, 2012 (38:24 Md. R. 1499); January 7, 2013 (39:26 Md. R. 1663); January 1, 2015 (41:25 Md. R. 1476) **Administrative History:** Regulation .04D amended effective July 1, 2007 (34:7 Md. R. 696) **Administrative History:** Regulation .04E amended effective June 1, 1988 (15:11 Md. R. 1329); October 15, 2001 (28:1 Md. R. 25); September 20, 2004 (31:6 Md. R. 507); July 1, 2007 (34:7 Md. R. 696); January 1, 2012 (38:24 Md. R. 1499); January 1, 2015 (41:25 Md. R. 1476) **Administrative History:** Regulation .05D, E amended effective October 15, 2001 (28:1 Md. R. 25) **Administrative History:** Chapter recodified from COMAR 05.02.01 to COMAR 09.12.50 effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .01B amended effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .02A, B amended effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .02B amended effective May 29, 2023 (50:10 Md. R. 407) **Administrative History:** Regulation .02-1 amended effective May 29, 2023 (50:10 Md. R. 407) **Administrative History:** Regulation .02-1B amended effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .03 amended effective March 25, 2019 (46:6 Md. R. 345); May 29, 2023 (50:10 Md. R. 407) **Administrative History:** Regulation .04A, E amended effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .05 amended effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .07 amended effective March 25, 2019 (46:6 Md. R. 345) #### Regulation .01 Definitions. *COMAR 09.12.50.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Department” means the Maryland Department of Labor. (2) “ICC” means the organization known as the International Code Council. (3) “High performance home” has the meaning stated in Public Safety Article, §12-509(a), Annotated Code of Maryland. (4) Hotel. (a) “Hotel” means an establishment that offers sleeping accommodations for compensation. (b) “Hotel” does not include a bed and breakfast establishment. (5) “Industrialized building” has the meaning stated in Public Safety Article, §12-301(d), Annotated Code of Maryland. (6) “Master control device” means: (a) A control that is activated when a person enters the room through the primary room-access method; or (b) An occupancy sensor control that is activated by a person’s presence in the room. (7) “Model Performance Code” or “Model Code” means the Model Performance Code for building construction as detailed in Regulation .03 of this chapter. (8) “NFPA” means National Fire Protection Association, Inc. (9) “Person” means any private individual, firm, or corporation and any public officer or agency. (10) “Regulations” means the regulations as defined in Regulation .02 of this chapter. (11) “Secretary” means the Secretary of Labor or a designated representative. (12) “State certified inspector” means an individual qualified by reason of experience, training, and/or examination, to inspect buildings for compliance with the State Model Performance Code, and certified pursuant to Regulation .07 of this chapter. #### Regulation .02 General. *COMAR 09.12.50.02* A. Title. These regulations shall be known and may be cited as the Model Performance Code. Except as otherwise indicated, “regulations” as used in this chapter shall mean the Model Performance Code. B. Application. (1) These regulations may not be binding upon any subdivision of the State unless the subdivision adopts the Model Performance Code, by law, ordinance, or resolution of its governing body referring to the Model Performance Code. (2) For industrialized buildings approved by an approved testing facility under COMAR 09.12.52 after the effective date of these regulations: (a) This chapter and the codes incorporated by reference apply to any approved building provided that construction begins within 6 months after the Department’s adoption of the 2024 edition of the International Building Code; and (b) The approved testing facility shall state in its approval letter to the Department and the manufacturer of the building: (i) (text unchanged) (ii) That approval will expire for a building unless construction begins within 6 months after Department’s adoption of the 2024 edition of the International Building Code. (3) For industrialized buildings approved by an approved testing facility under COMAR 09.12.52 prior to the effective date of these regulations, the previous version of this chapter and the 2018 International Building Code shall apply provided that construction begins prior to 6 months after the effective date of these regulations C. Equivalency. Nothing in the Model Performance Code is intended to prevent the use of systems, methods, or devices of equivalent or superior quality, strength, fire resistance, effectiveness, durability, and safety to those prescribed by the Model Code, providing technical documentation is submitted to the authority having jurisdiction to demonstrate equivalency, and the system, method, or device is approved for the intended purpose. D. The Department encourages home builders to construct new high performance homes. #### Regulation .02-1 Incorporation by Reference. *COMAR 09.12.50.02-1* A. In this chapter, the following documents are incorporated by reference. B. Documents Incorporated. (1) 2021 International Building Code (International Code Council), which is incorporated by reference in COMAR 09.12.51.04A(1) and as modified in COMAR 09.12.51.04B. (2) 2021 International Plumbing Code (International Code Council) modified as follows: (a) For industrialized building construction delete §404 and replace with COMAR 09.12.53 Maryland Accessibility Code; and (b) For all other building construction, the plumbing code requirements and modifications adopted under Business Occupations and Professions Article, §§12-101—12-702, Annotated Code of Maryland, apply. (3) National Electric Code, 2020 Edition (NFPA 70), except in Article 210.8(F) Ground-Fault Circuit Interrupter Protection for Personnel, Outdoor Outlets Exception include “and heating, air-conditioning, and refrigeration equipment that serve the dwelling.” (4) 2021 International Residential Code for One- and Two-Family Dwellings (International Code Council), which is incorporated by reference in COMAR 09.12.51.04A(2) and as modified in COMAR 09.12.51.04C. (5) 2021 International Mechanical Code (International Code Council). (6) 2021 International Energy Conservation Code (International Code Council), which is incorporated by reference in COMAR 09.12.51.04A(3) and as modified in COMAR 09.12.51.04D. (7) 2012 International Green Construction Code (International Code Council, 500 New Jersey Avenue, N.W., 6th Floor, Washington DC 20001). #### Regulation .03 Model Performance Code. *COMAR 09.12.50.03* A. The standards incorporated by reference in Regulation .02-1 of this chapter constitute the Model Performance Code for building construction in the State. B. If a builder desires to or has been requested to construct a building to the International Green Construction Code (IGCC) standards they may use the IGCC in addition to the other codes in this regulation. C. The Department encourages home builders to construct new high-performance homes. D. Copies of these documents are filed in special public depositories located throughout the State. A list of these depositories is available online at dsd.maryland.gov. #### Regulation .04 Modifications to Model Performance Code. *COMAR 09.12.50.04* A. As stated in Regulation .02B of this chapter, the Model Performance Code is not binding on any subdivision of the State unless specifically adopted by it. A copy of the law, ordinance, or resolution adopting the Model Code shall be sent by the governing body of the adopting subdivision to the Secretary. Copies of all subsequent laws, ordinances, or resolutions pertaining to the Model Code shall similarly be sent by the governing body to the Secretary. B. After adoption by a subdivision, alteration or modification of the Model Code is prohibited without prior concurrence of the Secretary. C. The Department will regularly consult with local officials to review the application and effectiveness of the Model Code in each adopting subdivision. D. Requests for Changes. (1) Requests for changes, modifications, or exceptions to make the Model Code more effective and useful in any subdivision shall be submitted in writing by certified mail, return receipt requested, to the Secretary by the appropriate authority in the subdivision, together with the reasons for the request. (2) Upon receipt of a request, the Secretary may: (a) Concur with it; (b) Take no action for a period of 30 days after receipt of the request, which shall be deemed concurrence; or (c) Deny the request and notify the requesting subdivision in writing. The Secretary may utilize the 30-day period provided hereby for informal consultation with the requesting subdivision and with any other individuals or groups. (3) Concurrence with requests for special Model Code provisions to meet local conditions will not be unreasonably withheld. E. The administrative sections of Article 1 of the International Building Code are entirely administrative and may require alteration to adapt them to local use. Alterations to these sections of Article 1 are therefore excluded from the requirement of concurrence by the Secretary. However, any alterations shall be forwarded to the Secretary for the Department’s records. #### Regulation .05 Appeals of Code Interpretations or Applications. *COMAR 09.12.50.05* A. If a subdivision provides for a body and procedures to hear building appeals, any person aggrieved by any application or interpretation of the Model Code may obtain review under the procedures. B. Review by this Department shall be granted: (1) If requested by the appeals body referred to in §A. (2) If requested by the aggrieved party before commencement of appeal procedures provided by the subdivision. In that case, the Director of the Building Codes Administration may, in the Director’s discretion, decline to review the question of interpretation or application and remand the question to the subdivision, because the question is of insufficient importance or can be resolved more readily at a local level, or for other reasons. The action is not reviewable. (3) When a building appeals procedure is not provided by the subdivision. C. An aggrieved person requesting review by the Department of an application or interpretation of the Model Code shall do so in writing, addressed to the Director of the Building Codes Administration in the Department, together with a full statement of the circumstances and the reasons for challenge. D. The Director of the Building Codes Administration will normally refer the question of interpretation or application to ICC or NFPA, as the case may be, for answer by their respective interpretation services. The Director is not required to refer the question to ICC or NFPA. The Director shall notify the parties of the referral. E. Within 10 days from the receipt by the Director of the Building Codes Administration of the request for review, or within 10 days from receipt by the Director of an answer from ICC or NFPA when the question has been referred, the Director shall notify the parties of the Director’s decision, with a statement of the reasons for it, including a copy of any communication from ICC or NFPA. F. Review of an adverse decision of the Director of the Building Codes Administration shall be by appeal to the Secretary, filed within 30 days after issuance of the decision by the Director. #### Regulation .06 Code Improvements. *COMAR 09.12.50.06* Any recommendations for changes to improve these regulations should be submitted to the Secretary with an explanation of the modification desired. #### Regulation .07 Training and Certification of Building Inspectors. *COMAR 09.12.50.07* In order to assist local jurisdictions to effectively administer the Model Performance Code, the Department has the responsibility to train and certify building code enforcement officials in any jurisdiction where the Model Performance Code is in effect. ### Chapter 51 — Maryland Building Performance Standards **Authority:** Public Safety Article, §§12-503, 12-507(a)(2), 12-508(g), and 12-510(d), Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.09 adopted as an emergency provision effective January 13, 1995 (22:3 Md. R. 148); adopted permanently effective June 5, 1995 (22:11 Md. R. 818) **Administrative History:** Regulation .02 amended effective October 15, 2001 (28:5 Md. R. 548); September 20, 2004 (31:6 Md. R. 507); January 1, 2010 (36:22 Md. R. 1722) **Administrative History:** Regulation .03B amended effective April 7, 1997 (24:7 Md. R. 552); October 15, 2001 (28:5 Md. R. 548); September 20, 2004 (31:6 Md. R. 507); July 16, 2007 (34:14 Md. R. 1245); January 1, 2012 (38:24 Md. R. 1500) **Administrative History:** Regulation .04 amended effective October 15, 2001 (28:5 Md. R. 548); September 20, 2004 (31:6 Md. R. 507); July 1, 2007 (34:7 Md. R. 696); January 1, 2010 (36:22 Md. R. 1722); January 1, 2012 (38:24 Md. R. 1500); October 29, 2012 (39:21 Md. R. 1377); January 1, 2015 (41:25 Md. R. 1476) **Administrative History:** Regulation .04A, B amended and C adopted effective April 7, 1997 (24:7 Md. R. 552) **Administrative History:** Regulation .04A, D amended effective October 29, 2012 (39:21 Md. R. 1377) **Administrative History:** Regulation .05 amended effective March 15, 2001 (28:5 Md. R. 548); September 20, 2004 (31:6 Md. R. 507); January 1, 2010 (36:22 Md. R. 1722) **Administrative History:** Regulation .05B amended effective October 29, 2012 (39:21 Md. R. 1377); January 1, 2015 (41:25 Md. R. 1476) **Administrative History:** Regulation .05C adopted effective October 29, 2012 (39:21 Md. R. 1377) **Administrative History:** Regulation .05C repealed effective January 1, 2015 (41:25 Md. R. 1476) **Administrative History:** Regulation .06 amended effective April 7, 1997 (24:7 Md. R. 552); October 15, 2001 (28:5 Md. R. 548); September 20, 2004 (31:6 Md. R. 507); July 16, 2007 (34:14 Md. R. 1245) **Administrative History:** Regulation .06B amended effective January 1, 2010 (36:22 Md. R. 1722) **Administrative History:** Regulation .07 amended effective April 7, 1997 (24:7 Md. R. 552); October 15, 2001 (28:5 Md. R. 548); September 20, 2004 (31:6 Md. R. 507) **Administrative History:** Regulation .07A amended effective January 1, 2010 (36:22 Md. R. 1722) **Administrative History:** Regulation .09 amended effective April 7, 1997 (24:7 Md. R. 552) **Administrative History:** Chapter recodified from COMAR 05.02.07 to COMAR 09.12.51 effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .03B amended effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .04 amended effective March 25, 2019 (46:6 Md. R. 345); May 29, 2023 (50:10 Md. R. 407) **Administrative History:** Regulation .06B, C amended effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .07B amended effective March 25, 2019 (46:6 Md. R. 345) #### Regulation .01 Title. *COMAR 09.12.51.01* This chapter shall be known and may be cited as the Maryland Building Performance Standards Regulations. #### Regulation .02 Purpose and Scope. *COMAR 09.12.51.02* The purpose of this chapter is to adopt the International Building Code (IBC), the International Residential Code (IRC), and the International Energy Conservation Code (IECC), as may be modified by the Department, as the Maryland Building Performance Standards, which will provide reasonable protection to the public against hazards to life, health, and property, and to establish the policies and procedures associated with the operation of a data base that contains the Standards, the local amendments, and other related information. #### Regulation .03 Definitions. *COMAR 09.12.51.03* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) Agricultural Building. (a) “Agricultural building”, for purposes of Regulation .06B of this chapter only, means a structure designed and constructed to house farm implements, hay, grain, poultry, livestock, or other horticultural products. (b) “Agricultural building” does not include a place of human residence. (2) Agritourism. (a) “Agritourism” means tourism of agricultural farms and buildings by members of the general public for recreational, entertainment, or educational purposes for which tourists may or may not pay fees. (b) Agritourism includes the following activities, when performed by a tourist: (i) Viewing rural activities, farming, ranching, and wine making; (ii) Viewing natural, historical, and cultural resources; and (iii) Harvesting agricultural products. (3) “Building” has the meaning and interpretation set forth in the International Building Code. (4) “Codes Administration” means the Building Codes Administration, an administration within the Department. (5) “County” means any of the 23 counties of the State and the Mayor and City Council of Baltimore. (6) “Department” means the Maryland Department of Labor. (7) “High performance home” has the meaning stated in Public Safety Article, §12-509(a), Annotated Code of Maryland. (8) Hotel. (a) “Hotel” means an establishment that offers sleeping accommodations for compensation. (b) “Hotel” does not include a bed and breakfast establishment. (9) “IBC” means the International Building Code, as incorporated by reference in this chapter. (10) “ICC” means the organization known as the International Code Council. (11) “Local amendment” means: (a) An amendment to the Standards that has been adopted by a local jurisdiction in accordance with applicable local laws and regulations; and (b) A copy of the amendment has been provided to the Department for inclusion in the data base within the following time period: (i) At least 15 days before the effective date of the amendment, or (ii) In the case of an emergency adoption of an amendment, within 5 days of the emergency amendment's adoption. (12) “Local jurisdiction” means the county or municipality responsible for implementation and enforcement of the Maryland Building Performance Standards. (13) “Master control device” means: (a) A control that is activated when a person enters the room through the primary room–access method; or (b) An occupancy sensor control that is activated by a person’s presence in the room. (14) “MBPS” or “Standards” means the Maryland Building Performance Standards established by these regulations. (15) “Municipality” means a municipal corporation subject to the provisions of Article XI-E of the State Constitution. (16) “Person” means an individual, corporation, partnership, association, or any other legal entity authorized to do business in the State. (17) “Structure” has the meaning and interpretation set forth in the IBC. #### Regulation .04 Incorporation by Reference. *COMAR 09.12.51.04* A. In this chapter, the following documents are incorporated by reference: (1) 2021 International Building Code (International Code Council); (2) 2021 International Residential Code for One- and Two-Family Dwellings (International Code Council); and (3) 2021 International Energy Conservation Code (International Code Council). B. Modifications to the International Building Code. (1) Chapter 1. Add note to Chapter 1 of the IBC: Local jurisdictions are responsible for the implementation and enforcement of the Maryland Building Performance Standards. Refer to each local jurisdiction for local amendments to Chapter 1 of the IBC. Each local jurisdiction having authority shall establish, on or before the application date in Regulation .06 of this chapter, implementation and enforcement procedures that include: (a) Review and acceptance of appropriate plans; (b) Issuance of building permits; (c) Inspection of the work authorized by the building permits; and (d) Issuance of use and occupancy certificates. (2) Chapter 1. Add to Exception in Section 101.2 Scope the following: (a) Exception: 2. Existing buildings undergoing repair, alterations or additions, and change of occupancy shall comply with the Maryland Building Rehabilitation Code set forth in COMAR 09.12.58; and (b) Exception: 3. Maintenance of residential structures and premises shall comply with the Minimum Livability Code COMAR 09.12.54. (3) Chapter 1. Delete the Section 101.2.1 Appendices and replace with the following: (4) Chapter 9. Add note to Section 901.1 Scope Fire protection system requirements of Chapter 9 may be concurrently covered in the State Fire Prevention Code, Public Safety Article Title 6 and Title 9, Annotated Code of Maryland, and COMAR 29.06.01. The State Fire Prevention Code is enforced by the State Fire Marshal or authorized fire official. (5) Chapter 10. Add note to Section 1001.1 General: Means of egress requirements of Chapter 10 may be concurrently covered in the State Fire Prevention Code, Public Safety Article, Title 6, Annotated Code of Maryland, and COMAR 29.06.01. The State Fire Prevention Code is enforced by the State Fire Marshal or authorized fire official. (6) Chapter 11. Chapter 11 of the IBC related to accessibility requirements is hereby replaced with the Maryland Accessibility Code set forth in COMAR 09.12.53. A local jurisdiction may adopt and enforce the requirements of Chapter 11 of the IBC to the extent the requirements meet or exceed the requirements set forth in COMAR 09.12.53. (7) Chapter 24. The requirements for safety glazing set forth in Public Safety Article, Title 12, Subtitle 4, Annotated Code of Maryland, are in addition to Chapter 24, Section 2406 of the IBC related to safety glazing. In the event of a conflict between Chapter 24 of the IBC and the Annotated Code of Maryland, the requirements of the Annotated Code of Maryland prevail. (8) Chapter 27. ELECTRICAL. Add note to Section 2701.1 Scope: The subject matter of this chapter is not within the scope of the Maryland Building Performance Standards. For the applicable electrical requirements, refer to the local electrical code and the National Electrical Code as adopted and enforced by the State Fire Marshal, authorized fire officials, or building officials pursuant to the provisions of Public Safety Article, Title 12, Subtitle 6, Annotated Code of Maryland. (9) Chapter 28. MECHANICAL SYSTEMS. Add note to Section 2801.1 Scope: The subject matter of this chapter is not within the scope of the Maryland Building Performance Standards. For the applicable requirements concerning the mechanical systems, refer to the local mechanical code and the mechanical code adopted pursuant to the provision of Business Regulation Article, §9A-205, Annotated Code of Maryland. (10) Chapter 29. PLUMBING SYSTEMS. Add note to Section 2901.1 Scope: The subject matter of this chapter is not within the scope of the Maryland Building Performance Standards. For the applicable requirements concerning the plumbing systems, refer to the local plumbing code and the plumbing code adopted pursuant to the provisions of Business Occupations and Professions Article, Title 12, Annotated Code of Maryland. (11) Chapter 30. The provisions of Chapter 30 of the IBC relate to elevators and conveying systems and are in addition to and not instead of the requirements set forth in Public Safety Article, Title 12, Subtitle 8, Annotated Code of Maryland. In the event of a conflict between the IBC and the Annotated Code of Maryland, the provisions of the Annotated Code of Maryland prevail. (12) Any rehabilitation work undertaken in an existing building as defined in COMAR 9.12.58 shall comply with the requirements of Maryland Building Rehabilitation Code set forth in COMAR 09.12.58. (13) Modify Section 308.5.1 Classification as Group E. At the end of Section 308.5.1, add “Exception: A childcare facility may be classified as I-4 when the facility is classified as a day care occupancy under the State Fire Prevention Code.” (14) Modify Section 406.2.7 Electric vehicle charging stations and systems. Delete “Accessibility to electric vehicle charging stations shall be provided in accordance with Section 1107.” (15) Modify Section 411.5 Puzzle room exiting. Delete item 3 and replace with “3. All exits and exit access doors from each puzzle room shall be open and readily available upon activation by the automatic fire alarm system, automatic sprinkler system, a manual control at a constantly attended location and shall have a readily accessible control located inside each puzzle room.” (16) Modify Section 510.2 Horizontal building separation allowance with the following: (a) Delete condition 4; and (b) Condition 7. Replace “grade plane” with “lowest level of fire department vehicle access”. (17) Modify Section 907.2.1.1 System initiation in Group A occupancies with an occupant load of 1,000 or more with the following: (a) Replace section title with “System initiation in Group A occupancies with an occupant load of 300 or more; and (b) Replace “1,000” with “300”. (18) Modify Section 1004.8 Concentrated business use areas. Add “nail salons,” after “call centers,” and before “trading floors,”. C. Modifications to the International Residential Code for One- and Two-Family Dwellings: (1) Chapter 1. Scope and Administration: (a) Delete the Section 102.5 Appendices and replace with the following: (b) Add to Exception in Section 101.2 Scope the following: (i) Exception: 2. Existing buildings undergoing repair, alterations or additions, and change of occupancy that comply complies with the Maryland Building Rehabilitation Code set forth in COMAR 09.12.58; and (ii) Exception: 3. Maintenance of residential structures and premises shall comply with the Minimum Livability Code COMAR 09.12.54. (2) ENERGY. Chapter 11. ENERGY EFFICIENCY. (a) Modify Section N1101.13.15 Additional energy efficiency, add “4. For buildings complying with Section N1102.1.3.1, the structure shall also comply with the additional energy features in Section N1108.3.” (b) Modify Section N1102.1.1 Above code programs. Add to the end of Section N1102.1.1, “Compliance with the Silver Rating of the ICC/ASHRAE 700-2015 National Green Building Standard as codified in §12-509(a) of the Annotated Code of Maryland shall be considered to be in compliance with this code.” (c) Modify Section N1102.1.3: (i) Add new “N1101.1.3.1 Maryland Alternative R-value. Assemblies with R-value of insulation materials equal to or greater than that specified in Table N1102.1.3.1 shall be an alternative to the U-factor in Table N1102.1 when combined with Section N1108.3. The provisions of Section N1108.2.1 shall be applied to the base model house to establish the reference base design establishing energy efficiency.”; and (ii) Add the following table: (d) Modify Section N1102.2.1 Ceilings with attic spaces with the following: (i) Add “or Section N1102.1.3.1” after “N1102.1.3” and before “requires R-49 insulation”; and (ii) Add “or Section N1102.1.3.1” after “N1102.1.3” and before “requires R-60 insulation”. (e) Modify Section N1102.2.2 Ceilings without attics with the following: (i) Add “or Section N1102.1.3.1” after “N1102.1.3” and before “requires insulation R-values greater than R-30”; and (ii) Add “or N1102.1.3.1” after “N1102.1.3” and before “shall be limited to”. (f) Modify Section N1108 Additional Efficiency Package Options: (i) Add new Section “N1108.3 Maryland Alternative Additional Energy Efficiency Package Options. The provisions of this Section shall be applied as part of the prescriptive compliance path of Section N1102.1.3.1. Additional energy efficiencies from Table N1108.3 must be selected to meet or exceed a minimum percentage increase of 6% for climate Zone 4 and 6% for Climate Zone 5.”; and (ii) Add the following table: (3) MECHANICAL. Chapter 12. MECHANICAL ADMINISTRATION. Add note to Section M1201.1 Scope: The subject matter of chapters 12 through 24 is not within the scope of the Maryland Building Performance Standards. For the applicable requirements concerning the mechanical systems, refer to the local mechanical code and the mechanical code adopted pursuant to the provisions of Business Regulation Article, §9A-205, Annotated Code of Maryland. (4) PLUMBING. Chapter 25. PLUMBING ADMINISTRATION. Add note to Section P2501.1 Scope: The subject matter of chapters 25 through 33 is not within the scope of the Maryland Building Performance Standards. For the applicable requirements concerning the plumbing systems, refer to the local plumbing code and the plumbing code adopted pursuant to the provisions of Business Occupations and Professions Article, Title 12, Annotated Code of Maryland. (5) ELECTRICAL. Chapter 34. GENERAL REQUIREMENTS. Add note to Section E3401.1 Applicability: The subject matter of chapters 34 through 43 is not within the scope of the Maryland Building Performance Standards. For the applicable electrical requirements, refer to the local electrical code and the National Electrical Code as adopted and enforced by the State Fire Marshal, authorized fire officials, or building officials pursuant to the provisions of Public Safety Article, Title 12, Subtitle 6, Annotated Code of Maryland. (6) Modify Section P2904.1 by deleting “A backflow preventer shall not be required to separate a sprinkler system from the water distribution system, provided that the sprinkler system complies with all of the following: (a) The system complies with NFPA 13D or Section P2904; (b) The piping material complies with Section P2906; (c) The system does not contain antifreeze; and (d) The system does not have a fire department connection.” D. Modifications to the International Energy Conservation Code. (1) Add a note to Section C101, Scope and General Requirements: Additional requirements concerning energy conservation for buildings and structures may be required by the Energy Conservation Building Standards, Public Utilities Article, §§7-401—7-408, Annotated Code of Maryland, as amended. (2) Add a note to Section C405.2.5 Specific Application Controls: For the new construction of hotels: (a) Each hotel guest room shall be equipped with a master control device that automatically turns off the power to all of the lighting fixtures in the guest room no more than 30 minutes after the room has been vacated; and (b) A master control device may also control the heating, ventilation, or air conditioning default settings in hotel guest rooms 30 minutes after a room has been vacated by: (i) Increasing the set temperature by at least 3 degrees Fahrenheit when in the air conditioning mode; or (ii) Decreasing the set temperature by at least 3 degrees Fahrenheit when in the heating mode. (3) Modify Section R102.1.1 Above code programs. Add to the end of Section R102.1.1, “Compliance with the Silver Rating of the ICC/ASHRAE 700-2015 National Green Building Standard as codified in §12-509(a) of the Annotated Code of Maryland shall be considered to be in compliance with this code.” (4) Modify Section R401.2.5 Additional energy efficiency add “4. For buildings complying with Section R402.1.3.1, the structure shall also comply with the additional energy features in Section R408.3.” (5) Modify Section R402.1.3 R-Value Alternative with the following: (a) Add new “R402.1.3.1 Maryland Alternative R-value. Assemblies with R-value of insulation materials equal to or greater than that specified in Table R402.1.3.1 shall be an alternative to the U-factor in Table R402.1.2 when combined with Section R408.3. The provisions of Section R408.2.1 shall be applied to the base model house to establish the reference base design establishing energy efficiency.”; and (b) Add the following table: (6) Modify Section R402.2.1 Ceilings with attic spaces with the following: (a) Add “or Section R402.1.3.1” after “R402.1.3” and before “requires R-49 insulation”; and (b) Add “or Section R402.1.3.1” after “R402.1.3” and before “requires R-60 insulation”. (7) Modify Section R402.2.2 Ceilings without attics with the following: (a) Add “or Section R402.1.3.1” after “R402.1.3” and before “requires insulation R-values greater than R-30”; and (b) Add “or R402.1.3.1” after “R402.1.3” and before “shall be limited to”. (8) Modify Section R408 Additional Efficiency Package Options: (a) Add new Section “R408.3 Maryland Alternative Additional Energy Efficiency Package Options. The provisions of this Section shall be applied as part of the prescriptive compliance path of Section R402.1.3.1. Additional energy efficiencies from Table R408.3 must be selected to meet or exceed a minimum percentage increase of 6% for climate Zone 4 and 6% for Climate Zone 5.”; and (b) Add the following table: Table R408.3 Additional Energy Features1: E. The Department encourages: (1) Home builders to construct new high performance homes; and (2) Local jurisdictions to amend these standards to allow builders to construct high performance homes. #### Regulation .05 Maryland Building Performance Standards. *COMAR 09.12.51.05* A. The IBC, IRC, and IECC, as modified in Regulation .04 of this chapter, shall constitute the Maryland Building Performance Standards. B. Local Amendments. (1) Each local jurisdiction: (a) May by local amendment modify the provisions of the Standards to address conditions peculiar to the local jurisdiction's community; (b) May adopt and amend the IGCC to be part of the Standards applicable in the local jurisdiction. (c) May not adopt any amendments that weaken the requirements of the IECC or Chapter 13 of the IBC; (d) Except as set forth in Public Safety Article, §12-504(a)(1)(iii), Annotated Code of Maryland, may not adopt any amendments that weaken the automatic fire sprinkler systems provisions for townhouses and one- and two-family dwellings contained in the Standards; and (e) May not adopt amendments that weaken the wind design and wind–borne debris provisions contained in the Standards. (2) If a local jurisdiction adopts a local amendment, the Standards as amended by the local jurisdiction shall apply in that local jurisdiction. (3) If a local amendment conflicts with the provisions of the Standards, the provisions of the local amendment shall prevail in the local jurisdiction. (4) Local amendments shall be submitted to the Department: (a) At least 15 days before the effective date of the amendment; or (b) In the case of an emergency adoption of a local amendment, within 5 days after the local amendment's adoption. #### Regulation .06 Application of the Standards. *COMAR 09.12.51.06* A. Except as provided in §§B and C of this regulation, the Standards shall apply to all buildings and structures within the State for which a building permit application is received by a local jurisdiction. B. A local jurisdiction shall implement and enforce the Standards and any local amendments within 12 months of the effective date of any amendments by the Department to this chapter. C. The provisions of Public Safety Article, §12-508, Annotated Code of Maryland, modify and determine the applicability of the Standards to agritourism. #### Regulation .07 Utilization of Standards. *COMAR 09.12.51.07* A. Central Data Base. (1) The Department shall establish an automated central data base which shall contain or provide a link to access the following information: (a) The Standards; (b) Local amendments; (c) State Fire Prevention Code and amendments to the State Fire Prevention Code promulgated by the State Fire Prevention Commission, or the State Fire Prevention Commission's successor; (d) The fire codes adopted by the local jurisdictions and any amendments to them; (e) The electrical code required under Public Safety Article, §12-603, Annotated Code of Maryland; (f) Local amendments to the electrical code required under Public Safety Article, §12-603, Annotated Code of Maryland; (g) Local code provisions that are more restrictive than the IECC as modified in Regulation .04 of this chapter and the energy code defined under Public Utilities Article, §7-401, Annotated Code of Maryland; (h) The Maryland Building Rehabilitation Code; and (i) Local amendments to the Maryland Building Rehabilitation Code. (2) The Department may compile and include in the central data base: (a) Any information provided by the local jurisdiction on the implementation and interpretation of the Standards by the local jurisdiction; (b) Interim amendments to the IBC and IRC, including subsequent printing of the most recent edition; and (c) Any other information the Department determines is relevant to the construction or rehabilitation of buildings and structures in the State. (3) Software. (a) The Department shall be responsible for the development and distribution among the local jurisdictions of software related to the operation of the central data base. (b) Any software developed by or on behalf of the Department shall be owned by the Department, or the developer of the software. (c) Neither the local jurisdiction nor any other user acquires any proprietary right in any of the ICC copyrighted material or ICC trademark contained in the software. B. Voluntary Dispute Resolution. (1) Upon the written request of a local jurisdiction and any person aggrieved by the Standards or any local amendments to them, the Codes Administration shall conduct an informal mediation or conciliation with the local jurisdiction and any person aggrieved by the Standards or any local amendments to them. (2) The aggrieved person and the local jurisdiction shall each submit to the Codes Administration a written statement of the dispute and include any related material either party feels is appropriate. In addition to the written statement, either party may request a meeting with the other party and the Codes Administration to discuss the dispute. (3) Within the latter to occur of 30 days of receipt of both statements of the disputed and any related material, or 30 days after a meeting conducted in accordance with §B(2) of this regulation, the Director of the Codes Administration shall issue a decision on behalf of the Department regarding resolution of the dispute. (4) Within 15 days of the date of the decision of the Director of the Codes Administration, either party may appeal to the Secretary of the Department or the Secretary's designee, in writing. The Secretary of the Department or the Secretary's designee shall respond to the appeal within 15 days of receipt of the appeal. (5) Neither a decision by the Codes Administration nor the Department under §B(3) or (4) of this regulation shall constitute a contested case proceeding under the Maryland Administrative Procedure Act and is not subject to the provisions of COMAR 09.01.02. #### Regulation .08 Enforcement of the Standards. *COMAR 09.12.51.08* Enforcement of the Standards shall be the responsibility of the local jurisdiction in which the building or structure is located. #### Regulation .09 Enforcement of State Fire Code Requirements. *COMAR 09.12.51.09* There is a State Fire Code, Public Safety Article 38A, §§6-101—6-602, Annotated Code of Maryland, and COMAR 29.06.01, which requires enforcement of the Fire Code by the State Fire Marshal or authorized fire official. ### Chapter 52 — Industrialized Buildings and Manufactured Homes **Authority:** Public Safety Article, §12-305, Annotated Code of Maryland **Administrative History:** Effective date: July 1, 1972 **Administrative History:** Regulations .01—.10 amended effective July 23, 1975 (2:16 Md. R. 1137) **Administrative History:** Regulation .10 amended effective March 3, 1976 (3:5 Md. R. 295) **Administrative History:** Regulations .11 —.14 adopted effective July 23, 1975 (2:16 Md. R. 1137) **Administrative History:** Regulation .14 amended effective April 13, 1977 (4:8 Md. R. 632) **Administrative History:** Regulation .16 adopted effective July 23, 1975 (2:16 Md. R. 1137) **Administrative History:** Chapter revised effective August 11, 1978 (5:16 Md. R. 1254) **Administrative History:** Regulation .02B and C amended effective January 1, 1984 (10:20 Md. R. 1783) **Administrative History:** Regulation .07 amended effective June 29, 1979 (6:13 Md. R. 1124); March 1, 1983 (10:3 Md. R. 208); February 1, 1986 (13:1 Md. R. 14) **Administrative History:** Regulation .07A amended effective January 7, 1982 (8:26 Md. R. 2104) **Administrative History:** Regulation .08 amended effective February 1, 1986 (13:1 Md. R. 14) **Administrative History:** Regulation .08B amended effective March 1, 1983 (10:3 Md. R. 208) **Administrative History:** Regulation .12E amended effective March 6, 1981 (8:5 Md. R. 471) **Administrative History:** Regulation .12 amended effective July 9, 1990 (17:13 Md. R. 1610) **Administrative History:** Regulation .15B—H amended effective January 1, 1984 (10:20 Md. R. 1783) **Administrative History:** Regulation .18 adopted effective September 21, 1979 (6:19 Md. R. 1518) **Administrative History:** Chapter recodified from COMAR 05.01.01 to COMAR 05.02.04 **Administrative History:** Regulation .01 amended effective July 17, 2006 (33:14 Md. R. 1162) **Administrative History:** Regulation .02 amended effective July 17, 2006 (33:14 Md. R. 1162) **Administrative History:** Regulation .03B amended effective July 17, 2006 (33:14 Md. R. 1162) **Administrative History:** Regulation .10D amended effective July 1, 1993 (20:12 Md. R. 996) **Administrative History:** Regulation .12A amended effective July 17, 2006 (33:14 Md. R. 1162) **Administrative History:** Regulation .12C amended effective July 9, 1990 (20:12 Md. R. 996) **Administrative History:** Regulation .15 amended effective July 17, 2006 (33:14 Md. R. 1162) **Administrative History:** Regulation .16 repealed effective July 17, 2006 (33:14 Md. R. 1162) **Administrative History:** Regulation .17A amended effective July 17, 2006 (33:14 Md. R. 1162) **Administrative History:** Chapter recodified from COMAR 05.02.04 to COMAR 09.12.52 effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .02B amended effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .07 amended effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .08 amended effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .10C amended effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .17A amended effective March 25, 2019 (46:6 Md. R. 345) #### Regulation .01 Authority and Scope. *COMAR 09.12.52.01* A. This chapter is adopted pursuant to Public Safety Article, §12-305, Annotated Code of Maryland, in order to implement, interpret, make specific, and otherwise carry out the provisions of Public Safety Article, Title 12, Subtitle 3, Annotated Code of Maryland, known as the Industrialized Building and Manufactured Homes Act. B. Former regulations as originally adopted effective July 1, 1972, included industrialized buildings and manufactured homes. The HUD Manufactured Home Construction and Safety Standards superseded the State standards for manufactured homes on June 15, 1976. Approval of manufactured home inspection agencies and manufactured home plans is also now a responsibility of HUD or its agent, so these regulations pertain primarily to industrialized buildings. Regulation .15 does, however, cover the functions of the Department as a State Administrative Agency under HUD programs. Related manufactured home functions, such as handling of consumer complaints and monitoring of primary inspection agencies, are not covered by this chapter. #### Regulation .02 Definitions. *COMAR 09.12.52.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Act” means the Industrialized Buildings and Manufactured Homes Act, Public Safety Article, Title 12, Subtitle 3, Annotated Code of Maryland. (2) “Add-on” means any structure (except a structure designed or produced as an integral part of a manufactured home) that, when attached to the basic manufactured home unit, increases the area, either living or storage, of the manufactured home. (3) Alteration. (a) “Alteration” means the installation, replacement, addition, modification, or removal of any equipment after sale by a manufacturer to a dealer or distributor, but before sale by a dealer to a purchaser, that may affect the construction, fire safety, occupancy, plumbing, heat producing, or electrical system. (b) “Alteration” includes any modification made in the manufactured home that may affect the compliance of the home with the standards. (c) “Alteration” does not include the: (i) Repair or replacement of a component or appliance requiring plug-in to an electrical receptacle when the replaced item is of the same configuration and ratings as the one being replaced; or (ii) Addition of an appliance, not provided with the manufactured home by the manufacturer, requiring plug-in to an electrical receptacle, if the rating of the appliance does not exceed the rating of the receptacle to which it is connected. (4) “Federal Act” means the National Manufactured Housing Construction and Safety Standards Act of 1974, codified as 42 U.S.C. §5401 et seq., as amended. (5) “Federal Regulations” means the Manufactured Home Construction and Safety Standards, 24 CFR Part 3280, the Manufactured Home Procedural and Enforcement Regulations, 24 CFR Part 3282, and the Manufactured Home Consumer Manual Requirements, 24 CFR Part 3283. (6) “HUD label” means the approved form of certification by the manufacturer that, under the federal regulations, is permanently affixed to each transportable section of each manufactured home manufactured for sale to a purchaser in the United States. (7) Manufactured Home. (a) “Manufactured home” (formerly called a mobile home in the Act and in the Federal Act) means a structure, transportable in one or more sections, that is: (i) In the traveling mode, 8 body feet or more in width or 40 body feet or more in length; (ii) When erected on site, 320 or more square feet; (iii) Built on a permanent chassis; (iv) Designed to be used as a dwelling with or without a permanent foundation when connected to the required utilities; and (v) Includes the plumbing, heating, air-conditioning, and electrical systems contained in it. (b) “Manufactured home” includes any structure that meets all the requirements of §B(7)(a) of this regulation except the size requirements, with respect to which the manufacturer voluntarily: (i) Files a certification required by the Secretary of HUD; and (ii) Complies with the standards established under the Federal Act. (8) “Model” means a specific design, as designated by the producers of an industrialized building unit and submitted for approval to the Department. (9) “Open frame construction” means any building, building component, assembly, or system manufactured in such manner that all portions can be readily inspected at the building site without disassembly, damage, or destruction and to which no more than one fixed interior or exterior surface has been applied. (10) “Regulations” means the Industrialized Buildings and Manufactured Homes Regulations (COMAR 09.12.52.01—.18). (11) “Stabilizing devices” means all components of the anchoring and support systems, such as: (a) Piers; (b) Footing; (c) Ties; (d) Anchoring equipment; (e) Ground anchors; and (f) Any other equipment that supports the manufactured home and secures it to the ground. (12) The terms “approved testing facility”, “Department”, “first user”, “industrialized building”, “installed”, “local enforcement agency”, “manufactured home”, “Manufactured Home Construction and Safety Standards Act”, “Secretary”, and “site” have the meanings stated in Public Safety Article, §12-301, Annotated Code of Maryland. #### Regulation .03 Enforcement Generally. *COMAR 09.12.52.03* A. General. These regulations shall be enforced as prescribed by the Act. B. Inspection by Department. The Department may enter any industrialized building unit or manufactured home, at a reasonable time and manner, to inspect it for compliance with this chapter. If the inspection shows a violation, the Department may order the responsible person to bring the unit into compliance within a reasonable time fixed in the order. The order may be appealed to the Secretary who will investigate promptly and affirm, revoke, or modify the order. C. Failure to Comply with Department Order. If the Department has determined, under Regulation .03B, that a violation exists, and the responsible person fails to bring the unit into compliance, the Secretary may refer the violation to the appropriate state's attorney, or suspend or cancel the manufacturer's approval, or both, as necessary to ensure compliance. D. Limitation of Manufacturer's Liability. The manufacturer of the unit may not be required to remedy violations caused by on-site work by others not under his control or violations involving components and material furnished by others and not included with the unit. #### Regulation .04 Enforcement in Localities. *COMAR 09.12.52.04* A. Reports to the Secretary. Each governmental jurisdiction shall furnish monthly notice to the Department, on forms supplied by the Department, of each industrialized building being erected or installed in its jurisdiction, giving the State insignia number, type or model, manufacturer's name, and any other data needed to properly identify each unit. In lieu of these reports, the jurisdiction may complete and forward the location report form shipped with each unit. Manufacturers shall also furnish this same information to the Department on a monthly basis, indicating the destination of all units shipped for erection or installation in the State. These reports shall be submitted no later than the 10th day of the following month. B. Unlabelled Industrialized Building Units. Any industrialized building which does not carry the insignia of the Department, but which by reason of date of manufacture, may lawfully be sold or installed, is subject to the control of the local governing body within whose jurisdiction it is to be installed. When this building is offered for sale, the person to whom it is offered shall be specifically advised in writing by the seller or manufacturer that the building does not carry State certification and, therefore, is subject to local building code requirements. C. Local Enforcement Requirements. In addition to the matters reserved to city and county government by Public Safety Article, §12-303, Annotated Code of Maryland, the local enforcement agency shall verify that the unit bears the required insignia and inspect the unit for damage in transit. Local enforcement agencies shall be responsible for inspecting all the work to be done at site, including, but not limited to the installation, erection, foundation, site work, and utilities connections, for compliance with the terms of certification and applicable law. If local enforcement agencies find violations of the Department's requirements, either due to transit damage or improper construction in the factory, they shall forward notice of these violations to the Department. If violations or defects are created by the on-site builder, the local enforcement agency is responsible for insuring that the unit is brought back into compliance, or for bringing the violation to the attention of the Department. #### Regulation .05 Variance from Regulations. *COMAR 09.12.52.05* The Department shall have the power to authorize variances from the regulations to permit specified alternative methods of construction which will fulfill the objectives of the Act. Requests for variances shall be in writing and shall be accompanied by the plans, specifications, and other information necessary for adequate evaluation. Before any variance is authorized, the local building officer having jurisdiction may be afforded an opportunity to present his views and recommendations. #### Regulation .06 Requirements. *COMAR 09.12.52.06* Industrialized building units shall be reasonably safe for the users, shall be designed to conserve energy, and shall provide reasonable protection to the public against hazards to life, health, and property. Compliance with all applicable requirements of the standards and codes specified in Regulations .07 and .08 shall be acceptable evidence of compliance with this provision. When industrialized building units are combined with each other or with other components, compliance of the entire resulting building with all applicable requirements of the standards and codes specified in Regulations .07 and .08 shall be acceptable evidence of compliance with this provision. #### Regulation .07 Reference Standards. *COMAR 09.12.52.07* The standards identified in the Model Performance Code which are incorporated by reference in COMAR 09.12.50 shall constitute the reference standards for industrialized building construction in the State. #### Regulation .08 Energy Conservation Standards. *COMAR 09.12.52.08* All industrialized buildings shall be designed to meet all the applicable energy conservation standards as identified in the State Model Performance Code (COMAR 09.12.50). In using these standards, the design shall be based on a minimum of 5,200 degree days. #### Regulation .09 Application for Plan Approval by Manufacturers. *COMAR 09.12.52.09* A. General. A plan approval shall be obtained from the Department for each model of industrialized building which is subject to these regulations. Approved models shall be accepted by the local enforcement agency as approved for the purpose of granting an installation permit when the design loads are safe for the locality as determined by the local enforcement agency. Installation permits shall be issued subject to compliance with Public Safety Article, §12-305, Annotated Code of Maryland, and provisions of this regulation. B. Application. An application to the Department for plan approval shall include: (1) A completed application in duplicate on forms obtainable from the Department. (2) Two complete sets of plans and specifications for the prototype model. When additional models use the same systems as in the prototype, two sets of the floor plans only must be submitted for each of the additional models. Calculations and any required test results will be submitted through the approved test facility or may be prepared by the approved test facility and included in their submission. (3) Quality control procedures manual or manuals pursuant to §C of this regulation. (4) Plan filing fee pursuant to Regulation .12 of this chapter. (5) Certificate by Approved Test Facility. The manufacturer shall contract with an approved testing facility to review his plans for code compliance and to monitor his factory operations and quality assurance program. To save processing time, the application, plans, specifications, and quality control manual may be submitted directly to the Department. However, before approval can be given, the approved test facility, which has been selected by the manufacturer, shall submit a letter certifying that the manufacturer's designs, plans, factory operations, specifications, and quality control practices have been reviewed and are approved as complying with all the current code requirements of the Department. A design analysis of critical features will be included with the certification letter. In special situations such as a newly approved manufacturer on a temporary basis, or a limited production manufacturer, the Department may waive the requirement of the contract with an approved testing facility and provide plan review and monitoring for factory operations and the quality assurance program directly, charging the fees prescribed in Regulation .12 of this chapter. (6) New Models and Changes. When new models or alterations are desired to be manufactured after the initial application approval, a request for approval for the new model or modification in the prototype unit shall be submitted before any production of these models for shipment to this State. Two copies of the plans or changes shall be provided. A certification letter shall also be received from the approved testing facility showing its review and approval for code compliance of the new models or alterations. The fee prescribed in Regulation .12C of this chapter shall be paid. C. In-Plant Quality Assurance. (1) The quality control manual required by §B(3) of this regulation, will outline the manufacturer's program to insure compliance with his approved plans and specifications. It will list the various tests and checks that must be recorded for each unit being manufactured. The manufacturer and approved testing facility shall maintain records for not less than 2 years after shipment to verify that each unit has been inspected and complies with the plans as approved by the Department. (2) In order to assure an independent check on the units being produced for use in this State, the manufacturer's approved testing facility shall check the units being produced. For dwelling units, or larger structures, the approved testing facility inspector shall check some phase of each unit being fabricated for delivery in the State. He shall also observe the entire production line for compliance with approved plans, materials, and test requirements including required unit records. For subsystems or components, the approved testing facility may recommend a lesser frequency of inspection and submit its recommendation to the Department for approval. The State insignias will be issued and controlled by the approved testing facility. The approved testing facility inspector shall apply insignias to completed units, or, if the units are incomplete, he may leave the insignias with the plant quality control inspector for application upon completion of the units. D. Unannounced Inspections. In accordance with Public Safety Article, §12-311, Annotated Code of Maryland, the Department shall make periodic unannounced inspections, in addition to those of the approved testing facility, to verify that the units produced comply with the plans, inspection procedures and quality assurance program as approved by the Department. The cost of two of these inspections per year may be charged to the manufacturer in accordance with the fee schedule specified in Regulation .12 of this chapter. #### Regulation .10 Label. *COMAR 09.12.52.10* A. Approved Testing Facility Label. Every approved industrialized building unit shall be marked with a label identifying the approved testing facility which performed the inspection. Each label shall bear the following information directly or by reference: (1) Name of approved testing facility; (2) Type of industrialized building unit; (3) Serial number of the label; (4) “See Data Plate for Special Instructions”. B. Manufacturer's Data Plate and Other Markings. The information listed below shall be placed on one or more permanent manufacturer's data plates in the vicinity of the electrical distribution panel or in some other location that is readily accessible for inspection. The approved testing facility shall approve the form, completeness, and location of the data plate. (1) Manufacturer's name and address. (2) Manufacturer's serial number for the unit and model name. (3) Name of manufacturer and model designation of major factory installed appliances. (4) Wind, snow and floor loads, and any other special use limitations will be shown. Also, if any unit requires additional on-site work, the data plate will show the specific features which were inspected and those which shall be inspected locally. (5) Where applicable, identification of permissible type of gas or fuel for appliances, designation of electrical ratings, direction for water and drain connection and pressures. (6) List of codes and standards for which the unit has been evaluated, inspected and found in compliance by the approved testing facility. C. State Certification Insignia. In addition to the approved testing facility label and the manufacturer’s data plate, each unit shall be marked by a State certification insignia secured from the Maryland Department of Labor which shall identify the unit by State serial number. This serial number shall be the control number for location in the State. D. Mounting of Labels and State Certification Insignias. To the extent practicable, the labels and insignias shall be so installed that they cannot be removed without being destroyed. They shall be applied in the vicinity of the electrical distribution panel or other location that is readily accessible for inspection. They may not be placed on the panel cover or any other readily removable feature. When the unit comprises a system of sub-assemblies, the required label and insignia may be applied using one of each type and the data plate for the system, provided each sub-assembly is listed on or with the approved testing facility label and is marked by the approved testing facility in some clearly identifiable manner that relates it to the label. #### Regulation .11 State Certification Insignias. *COMAR 09.12.52.11* A. Effect of Affixing State Certification Insignias. The approved testing facility shall affix a State certification insignia to every industrialized building unit which has been found to be in full compliance with all applicable standards of the Department. The manner of affixing is prescribed in Regulation .10 of this chapter. The legal effect of affixing the State certification insignia is a certification by the approved testing facility, additional to the certification represented by the label of the approved testing facility, that the unit has been inspected and complies in all respects with the requirements of these regulations. B. Issue of Certification Insignias. Approved State certification insignias shall be purchased from the Department. The insignias will be issued to the approved testing facilities only upon written request, accompanied by advance payment. C. Control of Insignias. Each approved testing facility shall maintain close control of the State certification insignias to insure their proper use. The facility shall submit to the Department a monthly report itemizing the insignias issued to the manufacturers by serial numbers, and stating the number of State insignias on hand at the end of each month. D. Report of Shipments. The manufacturer shall send to the Department a monthly report of units shipped, showing the State certification insignia numbers, manufacturer's serial numbers, approved testing facilities' serial numbers, type or model, and destination in the State. The report shall be sent no later than the 10th day of the following month. #### Regulation .12 Fees. *COMAR 09.12.52.12* A. The annual application fee is $500. When a manufacturer has more than one plant producing approved models, an additional $500 application fee for each additional plant, with details on each plant as part of the quality control manuals, will be required. B. When a design is unusual, and involves special analysis, the Department will also charge a rate of $25 per man-hour to cover its added costs. When practical, the Department will estimate costs before submittal and provide a report on hourly activities. If the complexity or sophistication of the system requires, or if the applicant so chooses, the Department may submit the plan for the system to an approved independent testing agency or consulting engineer for evaluation. In this case, the applicant will be required to pay whatever costs the agency may charge. If the applicant chooses to obtain prior analysis by an approved testing agency before submission, the Secretary will consider this in determining the charges to be made by the Department. However, test reports from the approved agency shall be submitted with the original application. C. State Insignia Fees. (1) Insignia fees for the certification of industrialized building construction at the manufacturing facility are as follows: (a) Residential structures — $50 for each insignia; (b) Other structures — $90 for each insignia. (2) The number of “insignias of approval” required are as follows: (a) Modular construction — one insignia for each individual module which is transported in a separate frame to the site; (b) Panelized closed construction — one insignia for each increment (or part of it) of 1,000 square feet of building floor area. (3) For residential structures, instead of the $50 insignia fee described in §C(1)(a) and (2)(a) of this regulation, the manufacturer, at the time of filing of a new or annual application with the Department, may elect a $65 insignia fee for a floor area of 1,200 square feet or less, plus an additional $65 insignia fee for each increment of 500 square feet, or part of it, over 1,200 square feet. D. The Department reserves the right to establish separate fees where the product is produced in such a volume or has unique features that would, in the Department's opinion, warrant individual consideration. E. When the Department is directly providing services for plan review and monitoring for factory operations and quality assurance programs: (1) Plan review — $25 per hour ($100 minimum fee); (2) Inspection fees and field services as in §F of this regulation. F. Inspection fees and field services per man-hour: (1) $10 per half man-hour, including travel time. (2) Travel Expense. Where travel by auto is used to make inspections, cost will be charged at the current State allowance for mileage, meals and lodging, incidental expenses, and car rental where applicable. For air travel, the fee will be the total travel cost based on published air fare, or equivalent rate, between Baltimore, Maryland and the location of the factory, plus necessary supplemental surface transportation, and reimbursement for food and lodging consistent with State allowances. G. When the Department is directly providing services for monitoring of industrialized building installation at sites, the fee for these services will be $20 per hour, including travel time ($50 minimum fee). H. Unannounced Inspection Fees. The cost of unannounced inspections as provided by Regulation .09D of this chapter may be charged to the manufacturer. The fee for these inspections will be as prescribed in §F, of this regulation. The minimum fee will be $100. I. Application Fee for Approved Testing Facilities. (1) Each testing facility requesting approval by the Secretary shall submit a fee of $100 with its application. This fee will be non-returnable. (2) Each approved testing facility shall file an annual request for renewal of its approval, accompanied by a non-returnable fee of $100. This request shall include information concerning changes in personnel, operating procedures, and any other matters pertinent to its capability to continue performing as an approved testing facility. (3) Each application for approval or renewal shall be accompanied by a list of all current clients for whom they are performing services as a State approved testing facility, showing the location of and estimated production capacity of each plant of each client. A fee of $50 per client shall be submitted with the application for approval or renewal. The names of additional clients added during the period of approval shall be submitted at the time that a contract for services is signed, accompanied by a payment of $50 per client. No returns will be made for clients that sever their contractual relationship during the approval period. #### Regulation .13 Approval of Testing Facilities. *COMAR 09.12.52.13* A. Application and Criteria. A testing facility shall apply to the Department to be designated an approved testing facility. The application shall be verified and shall contain information enabling the Department to determine whether the applicant is specially qualified by reason of facilities, personnel, experience, and demonstrated reliability to investigate, test, and evaluate industrialized building units for compliance with these regulations, and to provide adequate follow-up and quality assurance services at the point of manufacture. This information shall include: (1) Names of officers and location of offices; (2) Specification and description of services proposed to be furnished under these regulations; (3) Description of qualifications of personnel and their responsibilities; (4) Summary of organization experience; (5) General description of procedures and facilities to be used in proposed services, including evaluation of the model unit, factory follow-up, quality assurance, labeling of production units, and specific information to be furnished on or with labels; (6) How defective units resulting from oversight are to be dealt with; (7) Acceptance of these services by independent accrediting organizations and by other jurisdictions; (8) Proof of independence and absence of conflict of interest; (9) Compliance with federal and State requirements concerning equal employment opportunities. B. Fees. Fees for approval and annual renewal are stated in Regulation .12 of this chapter. C. Independence and Absence of Conflicts. An approved testing facility may not be affiliated with or influenced or controlled by producers, suppliers, or vendors of products in any manner which might affect its capacity to render reports of findings objectively without bias. An approved testing facility is judged to be free of affiliation, influence and control if it complies with all of the following: (1) Has no managerial affiliation with producers, suppliers, or vendors and is not engaged in the sale or promotion of any product or material; (2) The results of its work accrue no financial benefit to the agency via stock ownership, and the like, of any producers, supplier, or vendors of the products involved; (3) Its directors and other management personnel, in those capacities, receive no stock option, or other financial benefits from any producer, supplier, or vendor of the product involved; (4) Has sufficient breadth of interest or activity that the loss or award of a specific contract to determine compliance of a producer's, supplier's, or vendor's product with these regulations would not be a determinative factor in its financial well-being; (5) The employment security status of its personnel is free of influence or control of producers, suppliers, or vendors. #### Regulation .14 Reciprocity with Other States. *COMAR 09.12.52.14* Upon the application of another state for reciprocity, or upon his own initiative, the Secretary shall investigate if the other state has adopted and promulgated a code and enforcement procedures which establish standards and safeguards at least equal to those contained in these regulations. He will hold a public hearing to state the findings of his investigation and give interested parties the opportunity to submit their comments both for and against the adoption of a reciprocity agreement with the other state. Following the hearing, the Secretary shall decide whether a reciprocity agreement will be granted. As part of the finding by the Secretary granting reciprocity to another state, the Department shall set out the specific terms and conditions of the reciprocity agreement as it applies to that state and manufacturers of industrialized buildings under that state's program. As part of the reciprocity agreement, each state will keep the other informed of any changes in its regulations and maintain a current list of manufacturers that have been approved under its program. Upon application by any person adversely affected by the reciprocity agreement, the Secretary may investigate the allegations, and if necessary, hold a public hearing. Based on the results of his investigation, the Secretary may rescind, modify, or continue in effect the reciprocity agreement. #### Regulation .15 Manufactured Home Procedures. *COMAR 09.12.52.15* A. General. The Federal Act gives the U.S. Department of Housing and Urban Development (HUD) complete jurisdiction over the design and construction of manufactured homes, effective June 15, 1976. The Federal Act supersedes all state laws on this subject. All manufactured home units manufactured after the effective date of the Federal Act shall bear the HUD label to be lawfully sold anywhere in the United States. B. Authority of the Department. The Department is a State Administrative Agency pursuant to the Federal Act, authorized to administer and enforce the federal program in the State. The powers and responsibilities of the Department are set forth in Public Safety Article, §12-312, Annotated Code of Maryland. C. Manufactured Homes Not Bearing HUD Label. A person may not sell or offer for sale to the first user in Maryland any manufactured home that is manufactured after January 1, 1973, unless it bears the insignia of the Department or is certified and labeled under the Federal Act. D. Repealed. E. Manufactured Home Installation. (1) Stabilizing devices for manufactured homes bearing HUD labels shall be installed in accordance with the manufacturer's installation instructions provided with the unit pursuant to §3280.306 of the federal regulations. (2) When the information for stabilizing device materials is not provided in the manufacturer's installation instructions, the materials shall be as approved by the local enforcement agency. (3) When a manufactured home is located in an area subjected to frost heave, the footings and load-carrying portion of the ground anchors shall extend below the frost line or as per the requirements established by the local enforcement agency. F. Enforcement Generally. Enforcement shall be in accordance with the Federal Regulations, codified at 24 CFR Part 3282, Subpart G. G. Enforcement in Localities. (1) Manufactured homes bearing the HUD label shall be acceptable in all localities as meeting the requirements of the Act, and shall be acceptable as meeting the requirements of safety to life, health, and property imposed by any local enforcement agency in this State without further investigation, testing, or inspection. (2) Notwithstanding §G(1) of this regulation, local enforcement agencies are responsible for the following functions with respect to manufactured homes bearing the HUD labels: (a) Verification that the unit has not been damaged in transit; (b) Verification that the unit bears the HUD label and all other pertinent documents, including consumer manuals, installation manuals, and record of purchase cards provided with the unit pursuant to the Federal Regulations; (c) Inspection and verification to assure that the unit is installed in accordance with these regulations; and (d) Inspection of manufactured home alteration and add-ons to ensure that they do not cause a failure of the manufactured home to conform with the Federal Regulations. (3) Local enforcement agencies may enforce local requirements for zoning, fire limits or fire districts, utility connections, site preparation and issuance of all required permits. (4) Action Upon Violation. (a) When the local enforcement agencies find violations of the Federal Regulations concerning construction of the manufactured homes, they shall forward notice of these violations to the Department. (b) When damage is discovered or suspected, local enforcement agencies may require tests on plumbing, fuel burning, and electrical systems to determine the extent of damage. (c) If it is determined that manufactured home installations, alterations, or add-ons are not in accordance with this chapter, local enforcement agencies are responsible for ensuring that the unit is brought into compliance. Local enforcement agencies may refer apparent violations of this chapter to the appropriate State's attorney for enforcement of the Act. H. Restrictions on Distributors and Dealers. (1) Alterations. A distributor or dealer may not perform or cause to be performed any alteration affecting any requirements of the Federal Regulations, without approval of the local enforcement agency. In handling and approving dealer requests for alterations, the local enforcement agency may be assisted by the Department. (2) Prohibited Sale. A distributor or dealer may not offer for sale any manufactured home containing any violation of the Federal Act or Federal Regulations. #### Regulation .16 Vacant. *COMAR 09.12.52.16* #### Regulation .17 Code Enforcement Certification Board. *COMAR 09.12.52.17* A. The Secretary shall appoint the members of the Code Enforcement Certification Board, to serve at the Secretary’s pleasure. There are nine members of the Board, including four certified code enforcement officials, and one from each of the following areas: licensed architect; registered engineer; representative of the Maryland Department of Labor; educator; building industry representative. Members of the Board shall be citizens and residents of the United States and the State. B. The responsibilities of the Board are: To recommend standards for certification of code enforcement; to examine and certify applicants as code enforcement officials; to review qualifications for certification; to revoke certification where warranted; to keep records of all its proceedings; to maintain a current list of certified code enforcement officials; to make an annual report to the Secretary. The Board shall meet at least once each year for the purpose of examining applicants. The members shall serve without compensation, but shall reimbursed for out-of-pocket expenses and travel in accordance with the Standard State Travel Regulations. C. An applicant for certification shall submit to the Board written evidence, in verified form, that he is of good moral character and has work experience, education or training meeting the requirements of the Department. An applicant shall take and pass a written examination on pertinent building codes. The Board shall recommend to the Secretary that certification be denied, revoked, or suspended when in the opinion of the Board the person is unfit by reason of incompetence or habitual neglect or has been guilty of fraud or deceit in procuring or attempting to procure certification. D. The Board shall cooperate with any educational or training institution desiring to conduct a code enforcement training program, so that the program will: (1) Meet standards recommended by the Board; (2) Upgrade the code enforcement program; or (3) Serve as an entrance training program for persons not presently involved in the building trades. #### Regulation .18 NCSBCS Reciprocity. *COMAR 09.12.52.18* A. General. The National Conference of States on Building Codes and Standards, Inc. (NCSBCS) has established a program for voluntary reciprocity between the states in the regulation of industrialized buildings for use as one- or two-family dwellings. States electing to participate in this program agree to accept any one- or two-family dwelling which bears the NCSBCS label and the label of the state where the dwelling is to be erected as complying with the state's design and construction standards for manufactured dwellings. Under the program, NCSBCS will accredit System Analysis Agencies and Compliance Assurance Agencies. System Analysis Agencies will evaluate manufacturer's Building System Certification Documents (BSCD's). Compliance Assurance Agencies will perform ongoing inspections to determine whether dwellings are built to BSCD requirements, including conformance to an approved Compliance Assurance Manual. B. Determination. The Secretary determines, after public hearings, that it would be in the State's best interest to participate in the NCSBCS program, and adopts the standards established by the program, as they pertain to the evaluation, testing, and quality control of one- or two-family dwellings built by manufacturers participating in the program. C. Reference Standards. The reference standards set forth in Regulation .07 of this chapter, are modified to the extent necessary to comport with the design and construction standards established by the program for one- and two-family dwellings built by manufacturers participating in the program. D. Approved Testing Facilities. NCSBCS and those agencies accredited by it for participation in the program are designated as approved testing facilities, authorized to act as the Department's agents for the purpose of determining whether or not a one- or two-family dwelling built by a manufacturer participating in the program meets the standards of the Department. E. Exemptions. (1) Manufacturers participating in the program will be exempted from the provisions of Regulations .09 and .12 of this chapter, provided they file an application with the Department, on forms obtainable from the Department, and pay an annual administration fee of $300. (2) Any one- or two-family dwelling built by a manufacturer participating in the program to be sold, offered for sale, or installed in Maryland shall be exempt from the provisions of Regulation .10 of this chapter, provided it contains a Maryland State Certification Insignia, available from the Department for a $25 fee, and a NCSBCS label, both of which shall be mounted in the manner specified by Regulation .10D of this chapter. (3) NCSBCS and any inspection agency approved by NCSBCS for participation in the program is exempted from the requirements of Regulations .12K and .13 of this chapter, for the purposes of §D of this regulation, but is subject to those requirements if it acts as an Approved Testing Facility for any other purpose. ### Chapter 53 — Maryland Accessibility Code **Authority:** Public Safety Article, §12-202(b), Annotated Code of Maryland **Administrative History:** Effective date: April 16, 1975 (2:8 Md. R. 563) **Administrative History:** Regulations .01—.11 amended effective March 3, 1976 (3:5 Md. R. 295) **Administrative History:** Chapter revised effective September 5, 1980 (7:18 Md. R. 1736) **Administrative History:** Chapter revised effective January 1, 1985 (11:26 Md. R. 2277) **Administrative History:** Chapter recodified from COMAR 05.01.07 to COMAR 05.02.02 **Administrative History:** Appendix A recodified as Regulation .07 **Administrative History:** Regulations .01—.07, Maryland Building Code for the Handicapped, repealed and new Regulations .01—.12, Maryland Accessibility Code, adopted effective February 1, 1995 (21:24 Md. R. 1986) **Administrative History:** Regulation .05B amended effective January 1, 2012 (38:24 Md. R. 1499) **Administrative History:** Regulation .07B amended effective June 19, 2006 (33:12 Md. R. 996) **Administrative History:** Regulation .07B, C amended effective January 1, 2012 (38:24 Md. R. 1499) **Administrative History:** Regulation .07C amended effective March 18, 2002 (29:5 Md. R. 500) **Administrative History:** Regulation .07D amended effective March 18, 2002 (29:5 Md. R. 500); June 19, 2006 (33:12 Md. R. 996) **Administrative History:** Regulation .08 amended effective January 1, 2012 (38:24 Md. R. 1499) **Administrative History:** Regulation .09B amended effective September 6, 1999 (26:18 Md. R. 1373) **Administrative History:** Regulation .12C adopted effective March 18, 2002 (29:5 Md. R. 500) **Administrative History:** Regulation .12.D, E adopted effective June 19, 2006 (33:12 Md. R. 996) **Administrative History:** Chapter recodified from COMAR 05.02.02 to COMAR 09.12.53 effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .05B amended effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .06B amended effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .08D amended effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .09B, C amended effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .11 amended effective March 25, 2019 (46:6 Md. R. 345) #### Regulation .01 Title. *COMAR 09.12.53.01* This chapter shall be known as the Maryland Accessibility Code, and is referred to in these regulations as “this Code”. #### Regulation .02 Purpose. *COMAR 09.12.53.02* A. The purpose of this Code is to carry out the mandate of Public Safety Article, §12-202, Annotated Code of Maryland, as amended (the “Act”), which requires the Department to establish minimum requirements that will provide for the accessibility and usability of buildings and facilities by individuals with disabilities. B. The standards promulgated under this chapter are designed to carry out the purposes as set forth in §A of this regulation establishing minimum requirements for the construction, alteration, and changes in use of the buildings and facilities covered by this Code. #### Regulation .03 Scope. *COMAR 09.12.53.03* A. The following buildings and facilities are not covered by this Code: (1) Residential buildings consisting of less than four dwelling units; (2) Structures, sites, and equipment directly associated with the actual processes of construction, such as scaffolding, bridging, materials hoists, or construction trailers; (3) Observation galleries less than 150 square feet and used primarily for security purposes; (4) Nonoccupiable spaces accessed only by ladders, catwalks, crawl spaces, very narrow passageways, or nonpassenger freight elevators and frequented only by service personnel for repair purposes including, but not limited to, elevator pits, elevator penthouses, and piping or equipment catwalks; (5) Transportation vehicles; (6) Existing buildings or facilities not undergoing any addition, alteration, or change in use as defined in Regulation .05 of this chapter; and (7) Existing buildings and facilities undergoing alteration for the sole purpose of complying with the Americans with Disabilities Act, which requires removal of architectural barriers in existing buildings and facilities where removal is readily achievable. B. This Code applies to all new construction, additions, alterations, and changes of use of certain buildings and facilities in Maryland, as follows: (1) Covered multifamily dwellings as defined in Regulation .05 of this chapter; (2) State and local government buildings and facilities, including transit facilities; (3) All other buildings and facilities, including buildings and facilities used or owned by private clubs and religious organizations, except those listed in §A of this regulation. #### Regulation .04 Relationship to Federal Law. *COMAR 09.12.53.04* A. There is also federal law governing many of the buildings and facilities covered by this Code, and to the extent federal law is more restrictive than this Code, federal law shall control. Federal law also governs some buildings and facilities which are not covered by this Code. For instance, the Americans with Disabilities Act requires owners of existing buildings to make changes that are “readily achievable to accommodate individuals with disabilities”. B. The Department has no authority to interpret federal law. When this Code is parallel with federal law, the Department may only interpret the Code as State law and its interpretations are not binding interpretations of the concurrent federal law. C. The Department has no authority to waive requirements imposed by federal law, and only where this Code is more restrictive than federal law can the Department exercise its waiver or exemption authority. #### Regulation .05 Definitions. *COMAR 09.12.53.05* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Accessible” means a site, building, facility, or portion of them that complies with these regulations and that can be approached, entered, and used by individuals with disabilities. (2) “ADA” means the Americans with Disabilities Act of 1990, Public Law 101-336, 42 U.S.C. §12101 et seq. (3) "2010 ADA Standards" means the Americans with Disabilities Act Accessibility Guidelines for Buildings and Facilities (ADAAG) developed by the United States Architectural and Transportation Barriers Compliance Board, and adopted by the United States Department of Justice in the 2010 Standards, including both the Title III regulations at 28 CFR Part 36, Subpart D, and the 2004 ADAAG at 36 CFR Part 1191, Appendices B and D. (4) “Addition” means an expansion, extension, or increase in the gross floor area of a building or facility. (5) Alteration. (a) “Alteration” means a change to a building or facility made by, on behalf of, or for the use of a building or facility, that affects or could affect the usability of the building or facility or part of it. (b) “Alteration” includes, but is not limited to, remodeling, renovation, rehabilitation, reconstruction, historic restoration, changes or rearrangement of the structural parts or elements, and changes in the plan configuration of walls and full-height partitions. (c) “Alteration” does not include normal maintenance, reroofing, painting or wallpapering, or changes to mechanical and electrical systems unless they affect the usability of the building or facility. (6) “ANSI A117.1-1986” means the 1986 Edition of American National Standard for Buildings and Facilities Providing Accessibility and Usability for Physically Handicapped People, which is incorporated by reference. (7) “Building” means any structure used and intended for supporting or sheltering any use or occupancy. (8) “Change of use” means an alteration in an existing building to a new use group which imposes special provisions of law governing building construction, equipment, or means of egress. (9) “Covered multifamily dwelling” means: (a) Buildings consisting of four or more dwelling units if the buildings have one or more elevators; and (b) Ground floor dwelling units in buildings consisting of four or more dwelling units if there are no elevators in the building, although dwelling units within a single structure separated by fire walls do not constitute separate buildings. (10) “Designated disability advisory group” means an individual, group of individuals, agency, or organization designated in writing by a local government or, in the absence of a written designation of a local government, by the Secretary, to advise the Department with respect to standards substantially equivalent to the 2010 ADA Standards under Regulation .08 of this chapter and waiver requests under Regulation .09 of this chapter. (11) Dwelling Unit. (a) “Dwelling unit” means a single unit of residence for a household of one or more individuals. (b) “Dwelling unit” includes: (i) Condominiums; (ii) An apartment unit within an apartment building; and (iii) Other types of units in which sleeping accommodations are provided but toilet or cooking facilities are shared by occupants of more than one room or portion of the dwelling unit, with examples of this including dormitory rooms and sleeping accommodations in shelters intended for occupancy as a residence for homeless individuals. (12) “Existing building” means a structure erected before the adoption of this Code, or one for which a legal building permit has been issued. (13) “Facilities” means all or any portion of buildings, structures, site improvements, roads, walks, passageways, parking lots, or other real property, located on a site. (14) “FHAA” means the Federal Fair Housing Amendments Act of 1988, 42 U.S.C. §3604 et seq. (15) “FHAG” means Fair Housing Accessibility Guidelines, adopted by the United States Department of Housing and Urban Development in 24 CFR Ch. 1, Part IV, to provide technical guidance on how to comply with the Federal Fair Housing Amendments Act (FHAA). (16) “Historic properties” means a qualified historic building or facility that is: (a) Listed or eligible for listing in the National Register of Historic Places; or (b) Designated as historic under State or local law. (17) “Mezzanine or mezzanine floor” means that portion of a story which is an intermediate floor level placed within the story and having occupiable space above and below its floor. For the purpose of these regulations, mezzanine or mezzanine floor is considered as a story. (18) “Secretary” means the Secretary of Labor. (19) “Site” means a parcel of land bounded by a property line or a designated portion of a public right-of-way. (20) “Story” means that portion of a building between the upper surface of a floor and the upper surface of the floor next above, or the roof above. (21) “Structure” means that which is built or constructed. (22) “UFAS” means Uniform Federal Accessibility Standards developed in accordance with the Architectural Barriers Act of 1968, as amended, Public Law No. 90-40, 42 U.S.C. §§4151—4157, and adopted by the Department of Housing and Urban Development in 24 CFR 40. (23) “Use group” means the classification of a building based on the purpose for which the building is used as listed in the building code of the jurisdiction. #### Regulation .06 Implementation. *COMAR 09.12.53.06* A. Application. (1) Except as set forth in §A(2) of this regulation, application and enforcement of this Code is the responsibility of the local subdivision or other governmental agency having primary jurisdiction over a building, structure, facility, or site. (2) The application and enforcement of this Code as it pertains to State and local government buildings and facilities including public transit facilities shall be delegated as the responsibility of the governmental agency having jurisdiction over the building or facility. B. Interpretation. The Maryland Department of Labor shall decide all questions relating to interpretation of this Code and shall determine whether any requests for waivers or exemptions from this Code may be approved. C. Actions to Enforce. (1) Except as provided in §C(3) of this regulation, the Secretary may institute in any court of competent jurisdiction an action for equitable relief, if the Secretary determines that a violation of this Code exists. (2) The Secretary may not institute an action under §C(1) of this regulation until 5 working days after the Secretary has sought to seek a resolution of the violation through informal mediation and conciliation. (3) Enforcement of this Code as it pertains to a covered multifamily dwelling as defined in Regulation .05B of this chapter is also under the jurisdiction of the Human Relations Commission under Article 49B, §22, Annotated Code of Maryland. The Department is required to cooperate with and provide technical assistance to the Human Relations Commission. #### Regulation .07 Applicable Standards. *COMAR 09.12.53.07* A. Dwelling Units. (1) This section is not applicable to the dwelling units used on a transient basis and covered under §§B and C of this regulation. (2) New Construction — Covered Multifamily Dwellings. The design and construction of a newly constructed covered multifamily dwelling shall be in accordance with FHAG and subsequent federal standards issued in reference to FHAA. (3) Additions, Alterations, or Change of Use of Existing Buildings of Four or More Dwelling Units. The alteration, change of use, or addition to an existing residential building of four or more units shall comply with this Code as follows: (a) Dwelling units shall comply with this Code by either: (i) Containing at least one dwelling unit for every 25 dwelling units, or fraction of dwelling units, in the structure that is accessible and usable according to the requirements pertaining to dwelling units in ANSI A117.1-1986, with the complying dwelling units proportionately distributed throughout all types of units, or (ii) Having dwelling units at the accessible level comply with the standards under §A(2) of this regulation; (b) If the addition or alteration involves common area facilities and parking, it shall be accessible in accordance with the standards under §A(2) of this regulation. B. New Construction, Alterations, Additions, and Changes of Use of State and Local Government Buildings and Facilities. (1) All State and local government-owned buildings and facilities, including public transit facilities, shall comply with the standards prescribed in Title II of ADA and 28 CFR 35.151, and the 2004 ADAAG at 36 CFR Part 1191, Appendices B and D. (2) The federal regulations require that all State and local government-owned buildings comply with either: (a) UFAS; or (b) The 2010 ADA Standards, except that the elevator exemption set forth at §206.2.3 of the 2010 ADA Standards does not apply. (3) Additional Maryland accessibility requirements for State and local government buildings are as follows: (a) One in every four accessible parking spaces, but not less than one, shall be: (i) Served by an access aisle at least 96 inches wide; and (ii) Designated “Van Accessible” as specified in §D(4) of this regulation; and (b) Accessibility for toilet stalls shall be assured as follows: (i) The size of a wheelchair-accessible toilet stall shall be a minimum of 60 inches wide and 56 inches deep for wallhung water closets, and 59 inches deep for floor-mounted water closets; (ii) In instances of alteration work when provision of this minimum stall size is structurally impracticable or when plumbing code requirements prevent combining existing stalls to provide space, the minimum dimensions of the wheelchair accessible stall are 48 inches wide and 66 inches deep for wall-hung water closets and 69 inches deep for floor-mounted water closets. C. New Construction, Alterations, Additions, and Changes of Use of All Other Buildings and Facilities. The new construction of, alteration of, addition to, or change of use of buildings and facilities, including buildings and facilities owned or used by private entities such as private clubs and religious organizations, shall comply with: (1) The 2010 ADA Standards and all federal accessibility regulations promulgated to carry out Title III of the ADA and set forth in 28 CFR Part 36, Subpart D, and the 2004 ADAAG at 36 CFR Part 1191, Appendices B and D; and (2) The following additional Maryland requirements: (a) For new construction, accessibility shall be assured for the second story of a two-story nonresidential building if the gross floor area of the second story exceeds 4,000 square feet; (b) For alterations to an existing nonresidential building with a second story that has a gross floor area between 4,000 square feet and 8,000 square feet, existing accessibility to the second story shall be maintained; (c) For alterations to an existing nonresidential building with a second story that has a gross floor area that exceeds 8,000 square feet, accessibility to the second story shall be assured; (d) One in every four accessible parking spaces, but not less than one, shall be served by an access isle 96 inches minimum width and the accessible parking space shall be designated “van accessible” as specified in §D(4) of this regulation; and (e) Accessibility for toilet stalls shall be assured as follows: (i) The size of a wheelchair-accessible toilet stall shall be a minimum of 60 inches wide and 56 inches deep for wall-hung water closets, and 59 inches deep for floor-mounted water closets, (ii) In instances of alteration work when provision of this minimum stall is structurally impracticable or when plumbing code requirements prevent combining existing stalls to provide space, the minimum dimensions of the wheelchair accessible stall shall be 48 inches wide and 66 inches deep for wall-hung water closets, and 69 inches deep for floor-mounted water closets. D. Parking Space Signs — Public and Private Facilities. (1) The parking areas of all buildings and facilities, including the buildings and facilities of State and local governments, shall identify each accessible parking space by a sign. (2) If the sign in §D(1) of this regulation is: (a) Not placed flush against a building, structure, or other location that does not obstruct vehicle or pedestrian traffic, it shall be at least 7 feet above the ground; (b) Placed flush against a building structure or other location that does not obstruct vehicle or pedestrian traffic, it shall be at least 6 feet, and not more than 10 feet, above the ground. (3) Signs shall bear the international symbol of access and the words “Reserved Parking”, and shall be in conformance with the requirements for uniform traffic control devices under Transportation Article, §25-104, Annotated Code of Maryland. (See Regulation .12 of this chapter for explanatory material.) (4) Each van-accessible parking space shall be identified with a supplemental “Van Accessible” sign in conformance with the requirements for uniform traffic control devices under Transportation Article, §25-104, Annotated Code of Maryland (See Regulation .12 of this chapter for explanatory material.) (5) Each van-accessible parking space aisle shall be identified with a supplemental “No Parking” sign in conformance with the requirements for uniform traffic control devices under Transportation Article, §25-104, Annotated Code of Maryland (See Regulation .12 of this chapter for explanatory material.) (6) A new sign posted after October 1, 2002, that designates a parking space or zone for the use of individuals with disabilities shall be identified with a supplemental “Maximum Fine” sign in conformance with the requirements for uniform traffic control devices under Transportation Article, §25-104, Annotated Code of Maryland. (See Regulation .12 of this chapter for explanatory material.) #### Regulation .08 Standards Substantially Equivalent to 2010 ADA Standards. *COMAR 09.12.53.08* A. Applicability. (1) Standards substantially equivalent to the 2010 ADA Standards may be used only when a building or facility elects to or is required by these regulations to comply with the 2010 ADA Standards. (2) This regulation does not apply to the additional Maryland requirements set forth in Regulation .07A(3), B(3), and C(2) of this chapter. A request for a waiver of the additional Maryland requirements shall be submitted in accordance with the provisions of Regulation .09 of this chapter. B. Substantially Equivalent Standards for State and Local Government Buildings and Facilities. A State-owned or government-owned building or facility which has elected to comply with the 2010 ADA Standards instead of the UFAS may depart from particular technical and scoping requirements of the 2010 ADA Standards by using alternative designs or technologies that are substantially equivalent to the 2010 ADA Standards, or that provide greater access to and usability of the building or facility. C. Substantially Equivalent Standards for Other Buildings and Facilities. Other buildings and facilities that are required to comply with the 2010 ADA Standards may depart from particular technical and scoping requirements of the 2010 ADA Standards by using alternative designs and technologies that are substantially equivalent to the 2010 ADA Standards, or that provide greater access to and usability of the building or facility. D. Determination of Substantial Equivalency. (1) Proposed alternative designs or technologies shall be submitted to the Department before beginning construction, alteration, addition, or change of use of the building or facility by the owner or other person identified as the responsible person in the submission to the Department. (2) The Department shall issue a written determination to the responsible party identified in the submission as to whether the Department considers that the alternative design or technology is substantially equivalent to the 2010 ADA Standards, or provides greater access to or usability of the building or facility than the applicable 2010 ADA Standards. (3) Construction, alteration, addition, or change of use of the building or facility may not begin until the responsible person has received a favorable determination from the Department. (4) A determination by the Department of substantially equivalent or greater access relates only to the requirements imposed under these regulations. The determination by the Department does not apply as to whether the building or facility complies with ADA. (5) The Department may consult with public building officials, the designated disability advisory group, or the State historic preservation officer or the designee of the State historic preservation officer, in a determination of substantial equivalency. (6) A request for a determination under this regulation does not constitute a contested case proceeding under the Maryland Administrative Procedure Act and is not subject to the provisions of COMAR 09.01.02. #### Regulation .09 Waiver Request. *COMAR 09.12.53.09* A. Standards Covered. (1) If strict compliance with the additional Maryland requirements set forth in Regulation .07A(3), B(3), and C(2) of this chapter will cause undue hardship because of the nature of use, occupancy, or other factors, a waiver from these requirements may be requested. (2) The Department has no authority to waive requirements imposed by federal law and shall only exercise its waiver authority when this Code is more restrictive than federal law in connection with the additional Maryland requirements set forth in Regulation .07A(3), B(3), and C(2) of this chapter. B. Procedures. (1) A written waiver request form and supporting documents shall be submitted in triplicate to the Director, Building Codes Administration, Maryland Department of Labor. (2) The Building Codes Administration shall review the documents submitted for completeness, and shall contact the applicant promptly for any additional information needed to process the request. (3) Upon receipt of all required documents, the Building Codes Administration shall send one copy of the waiver request documents to the local government officials and one copy to the designated disability advisory group. (4) The local government officials and the designated disability advisory group may provide their written comments jointly or separately to the Building Codes Administration within 21 days of dated transmittal from the Building Codes Administration. (5) The Building Codes Administration shall review the waiver documents and any comments received from the local building officials and the agency or organization advocating for individuals with disabilities. For historic properties, the Building Codes Administration shall make its decisions in consultation with the State historic preservation officer or the officer’s designee. (6) The investigation may include a site visit by a State official, local government official, designated disability advisory group, and, for historic properties, the State historic preservation officer or the officer's designee. (7) Upon completion of the investigation, the Director of the Building Codes Administration, or the Director’s designee, shall determine if a waiver should be granted or denied based upon factors such as, but not limited to: (a) Feasibility hardship due to unusual building or site conditions which prevent the construction of access facilities as described in supporting documentation, such as plans, sketches, and site drawings provided for clarification by the applicant; (b) Financial hardship when the cost of compliance is disproportionate to the cost of construction, if the applicant has provided financial statements; or (c) The information supplied by the designated disability advisory group, State and local government officials, and, for historic properties, the State historic preservation officer or the officer's designee. (8) Notice of the waiver determination shall be delivered to: (a) The local government official; (b) The designated disability advisory group; (c) The waiver applicant; and (d) For historic properties, the State historic preservation officer or the officer's designee. (9) The applicant may request reconsideration of the decision of the Building Codes Administration within 45 days by writing to the Commissioner of the Division of Labor and Industry for a final administrative decision. The reconsideration review may include additional site visits and meetings with the applicants, the designated disability advisory group, and local building officials. The decision by the Commissioner of the Division of Labor and Industry is final and binding upon the parties. C. A waiver request and decision on it under §B(7) or (9) of this regulation does not constitute a contested case proceeding under the Maryland Administrative Procedure Act and is not subject to the provisions of COMAR 09.01.02. #### Regulation .10 Private Action. *COMAR 09.12.53.10* This Code is not intended to grant or imply a private cause of action to an individual against the State, the Department, its employees, agents, or assignees for violations of this Code. #### Regulation .11 Copies of Standards and Code. *COMAR 09.12.53.11* Copies of these documents are filed in special public depositories located throughout the State. A list of these depositories is available online at www.dsd.state.md.us. #### Regulation .12 Explanatory Material. *COMAR 09.12.53.12* For purposes of Regulation .07D of this chapter, the following signs may be used: A. Parking Space Signs. B. Van Accessible Parking Space Sign. C. Access Aisle Sign. D. Reserved Parking Maximum Fine $XXX Sign. E. Maximum Fine $XXX Sign. ### Chapter 54 — Minimum Livability Code **Authority:** Public Safety Article, §12-203(c), Annotated Code of Maryland **Administrative History:** Effective date: April 6, 1987 (14:7 Md. R. 829) **Administrative History:** Chapter recodified from COMAR 05.01.31 to COMAR 05.02.03 **Administrative History:** Chapter revised effective January 14, 2010 (37:1 Md. R. 14) **Administrative History:** Regulations .01—.12 repealed and new Regulations .01—.07 adopted effective September 17, 2012 (39:18 Md. R. 1196) **Administrative History:** Chapter recodified from COMAR 05.02.03 to COMAR 09.12.54 effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .02B amended effective March 25, 2019 (46:6 Md. R. 345) #### Regulation .01 General. *COMAR 09.12.54.01* A. Title. This chapter shall be known as the Minimum Livability Code or “the Code”. B. Scope. The Code is created to protect the public health, safety, and welfare in residential structures and premises by: (1) Establishing minimum property maintenance standards for basic equipment and facilities used for light, ventilation, heating, and sanitation for residential structures and premises, and for safe and sanitary maintenance of residential structures and premises; (2) Establishing minimum requirements for residential structures and premises for means of egress, fire protection systems, and other equipment and devices necessary for safety from fire; (3) Fixing the responsibilities of property owners, operators, and tenants of residential structures and premises; and (4) Providing for administration, enforcement, and penalties. C. Intent. The Code shall be construed liberally and justly to protect public health, safety, and welfare insofar as they are affected by the continued use and maintenance of residential structures and premises. #### Regulation .02 Definitions. *COMAR 09.12.54.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Act” means Public Safety Article, §12-203, Annotated Code of Maryland. (2) “Code” means the Minimum Livability Code Regulations. (3) “Code official” means the official or any duly authorized agent or designee of the local political subdivision in which the housing is located who is authorized to enforce the Code. (4) “Department” means the Maryland Department of Labor. (5) “IPMC” means the most recent version of the International Property Maintenance Code adopted by the Department and incorporated by reference in Regulation .03 of this chapter. (6) “Person” includes an individual, partnership, limited partnership, trust, estate, association, or corporation or any other group acting as a unit. (7) “Property owner” means a person having a legal or equitable interest in the premises, including the guardian of the estate of the person, or the executor or administrator of the estate of the person if ordered to take possession of the premises by a court. (8) “Structure” means a residential structure used for human habitation. (9) “Tenant” means an occupant other than a property owner. (10) “Unit” means a single unit of a structure providing or intended to provide complete living and sleeping facilities for one or more persons. #### Regulation .03 Incorporation by Reference. *COMAR 09.12.54.03* A. The 2012 International Property Maintenance Code (International Code Council, 500 New Jersey Avenue, NW 6th Floor, Washington, DC 20001), as modified in this chapter, is incorporated by reference. B. Modifications to the IPMC. (1) Chapter 1. Add the note to Chapter 1: Each local political subdivision is responsible for the implementation and enforcement of the Minimum Livability Code. Refer to each local political subdivision for local amendments to Chapter 1 of the IPMC. (2) The following definitions in section 202 of the IPMC are deleted and replaced with the pertinent definitions in .02(B) of this chapter: (a) Code official; (b) Person; and (c) Tenant. (3) Appendix A of the IPMC is adopted as part of the Code. C. This chapter and the IPMC, as modified in §B of this regulation, shall constitute the Minimum Livability Code. #### Regulation .04 Application. *COMAR 09.12.54.04* A. The Minimum Livability Code shall apply to residential structures used for human habitation except: (1) Owner-occupied single family housing units; (2) Housing located in a political subdivision that has adopted a local housing code containing provisions that substantially conform to the provisions of the Code; or (3) Housing exempted by the Department. B. In addition to any fire safety requirements contained in the IPMC, the State fire safety laws, Public Safety Article, Title 9, Annotated Code of Maryland, and the State Fire Prevention Code, COMAR 29.06.01, contain additional fire safety requirements. The State Fire Prevention Code is enforced by the State Fire Marshal or authorized fire official. #### Regulation .05 Code Enforcement. *COMAR 09.12.54.05* A. Local Enforcement. It shall be the duty and responsibility of the local political subdivision in which the housing is located to enforce the provisions of the Code. B. Local Waiver. (1) A local political subdivision may waive applicability of the Code, in whole or part, to a unit of rental housing on application of the property owner if: (a) Adequate notice in a form and manner specified by the subdivision is afforded a tenant of the unit; (b) The tenant is afforded an opportunity to comment on the application either in writing or in person; and (c) The waiver would not threaten the health or safety of a tenant. (2) A local political subdivision may waive applicability of the Code if the waiver is granted on the basis of the religious practices of the occupant of the unit of rental housing. C. Departmental Authority. The Department shall decide questions of interpretation of the Code, including questions relating to uniform enforcement by political subdivisions, and may authorize any waiver or exemption requested by a local political subdivision. D. Departmental Waiver. Upon the written request of a local political subdivision, the Department may waive or vary particular provisions of the Code to the extent that the waiver is not inconsistent with the Act if: (1) Geographic differences or unique local conditions justify the waiver; (2) The waiver would not threaten the health or safety of any tenant; and (3) The application of the particular provision to the local political subdivision would be inequitable or contrary to the purposes of the Act. E. Displacement. A person may not be displaced by enforcement of the Minimum Livability Code unless alternate housing of comparable affordability is available within a reasonable distance of the vacated premises. F. Enforcement and waiver application are not intended to supersede any State laws pursuant to the Annotated Code of Maryland as follows: (1) State fire laws, Public Safety Article, Annotated Code of Maryland; (2) State elevator laws, Public Safety Article, Title 12, Subtitle 8, Annotated Code of Maryland; and (3) State boiler laws, Public Safety Article, Title 12, Subtitle 9, Annotated Code of Maryland. #### Regulation .06 Violations. *COMAR 09.12.54.06* A. Penalty. A property owner who willfully violates any provision of the Code is guilty of a misdemeanor and on conviction for each violation is subject to a fine not exceeding $500 for each day that the violation exists or imprisonment not exceeding 3 months, or both. B. Other Penalties. A penalty ordered under the Code is in addition to and is not a substitute for any other penalty authorized under a federal, State, or local law. #### Regulation .07 Right to Appeal. *COMAR 09.12.54.07* A person affected by a decision of the code official which has been made in connection with the enforcement of any provision of the Code, or of a regulation adopted pursuant to the Code, may request and may be granted a hearing in a manner prescribed by the local political subdivision. ### Chapter 55 — Safety Glazing **Authority:** Public Safety Article, §§12-403 and 12-404, Annotated Code of Maryland **Administrative History:** Effective date: October 1, 1974 (1:1 Md. R. 22) **Administrative History:** Regulations .02—.05 repealed and new Regulation .02 adopted effective September 1, 1986 (13:12 Md. R. 1373) **Administrative History:** Chapter recodified from COMAR 05.01.06 to COMAR 05.02.06 **Administrative History:** Chapter recodified from COMAR 05.02.06 to COMAR 09.12.55 effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .01A amended effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .02A amended effective March 25, 2019 (46:6 Md. R. 345) #### Regulation .01 Purpose and Authority. *COMAR 09.12.55.01* A. These regulations are adopted pursuant to Public Safety Article, Title 12, Subtitle 4, Annotated Code of Maryland. This law provides for determinations by the Secretary of Labor as to three subjects: Further requirements for standards of safety glazing material; additional glazed elements to be designated “hazardous locations”; and exceptions of certain panels from the definition of “hazardous locations”. B. These regulations are to be read in conjunction with the Safety Glazing Law, Public Safety Article, Title 12, Subtitle 4, Annotated Code of Maryland. #### Regulation .02 Reference Standards and Specific Hazardous Locations. *COMAR 09.12.55.02* A. The reference standards and specific hazardous locations applicable to safety glazing shall be those identified in COMAR 09.12.50 Maryland Model Performance Code. B. In addition to the specific hazardous locations indicated in the Maryland Model Performance Code, hazardous locations shall include the first fixed glazed panel on either or both sides of the door, or doors, which have a glazing less than 18 inches from the finished floor or whose least dimension is 18 inches or more, which may be mistaken as a means of egress or ingress. ### Chapter 56 — Maryland Swimming Pool and Spa Standards **Authority:** Public Safety Article, §§12-1203 and 12-1207(a)(2), Annotated Code of Maryland **Administrative History:** Effective date: January 22, 2024 (51:1 Md. R. 16) **Administrative History:** Regulation .03 amended effective March 30, 2026 (53:6 Md. R. 287) **Administrative History:** Regulation .05 amended effective March 30, 2026 (53:6 Md. R. 287) #### Regulation .01 Purpose. *COMAR 09.12.56.01* The purpose of this chapter is to adopt the International Swimming Pool and Spa Code (ISPSC). #### Regulation .02 Scope. *COMAR 09.12.56.02* A. Except as provided in §B of this regulation, the Standards shall apply to all swimming pools and spas for which an application for a building permit is received by a local jurisdiction on or after December 31, 2023. B. The Standards adopted under this chapter do not apply to a swimming pool or spa built and in operation before December 31, 2023, unless there is an alteration or repair that results in a substantial and material structural change to the swimming pool or spa that occurs on or after December 31, 2023. C. If there is an alteration or repair to a swimming pool or spa built and in operation before December 31, 2023, that results in a substantial or material structural change, the alteration or repair shall conform to the Standards. #### Regulation .03 Incorporation by Reference. *COMAR 09.12.56.03* The 2024 International Swimming Pool and Spa Code (ISPSC), International Code Council, is incorporated by reference. #### Regulation .04 Definitions. *COMAR 09.12.56.04* “Substantial and material structural change” means an alteration or repair that: A. Increases the volume of the swimming pool or spa by 15 percent or more; or B. Decreases the flow capacity of the swimming pool or spa by 15 percent or more. #### Regulation .05 Amendments. *COMAR 09.12.56.05* A. In Section 305.1, replace the word “not” with “also” to read “The provisions of this section shall apply to the design of barriers for restricting entry into areas having pools and spas. Where spas or hot tubs are equipped with a lockable safety cover complying with ASTM F1346 and swimming pools are equipped with a powered safety cover that complies with ASTM F1346, the areas where those spas, hot tubs or pools are located shall also be required to comply with Sections 305.2 through 305.7”. B. Rename Section 305.2 to “Swimming pools and spas” and replace the text with the following: (1) A public swimming pool or spa shall be surrounded by a barrier that complies with Sections 305.2.1 through 305.7, except that the top of the barrier where measured on the side of the barrier that faces away from the swimming pool or spa shall be not less than: (a) 72 inches (1828mm) above grade for a Class A, B, C that is considered an apartment complex, housing subdivision, or mobile home park with more than ten units, or D swimming pool or spa; (b) 60 inches (1524mm) above grade for a Class C that is considered a hotel, motel, or condominium or E swimming pool or spa; and (c) 36 inches (914.4mm) above grade for a wading pool. (2) Non-public swimming pools shall be surrounded by a barrier that complies with Sections 305.2.1 through 305.7. (3) Except as provided in §B(4) of this regulation, Sections 305.2.4 - 305.2.5.1 shall only apply to non-public pools. (4) Exception: For non-public spas or hot tubs equipped with a lockable safety cover complying with ASTM F1346, the areas where those spas or hot tubs are located shall not be required to comply with Sections 305.2.1 through 305.7. C. In Section 307.1.5, where “International Building Code” appears, substitute “COMAR 09.12.53 Maryland Accessibility Code” and, where “ICC A117.1” appears, substitute “COMAR 09.12.53 Maryland Accessibility Code”. D. Replace Section 314.7 with the following: (a) An emergency shutoff switch shall be provided to disconnect power to the recirculation systems. (b) An emergency shutoff switch shall be provided to disconnect power to feature pump systems, jet system pumps, and air blowers. These shutoff switches shall be: provided with access; located within sight of the pool or spa; and located not less than 5 feet (1524 mm) horizontally from the inside walls of the pool or spa. (c) Paragraphs (a) and (b) of this Section do not apply to onground storable pools, permanent inground residential swimming pools, residential spas and residential water features.” E. In Section 325.7.1, where “International Fire Code” appears, substitute “COMAR 29.06.01 Maryland State Fire Prevention Code.” F. Replace Section 410.1 “Toilet facilities” with the following: G. Add to Section 609.2.1 “Exception: This requirement shall not apply to Class C semipublic pools (if all units are within 500 feet).” ### Chapter 57 — International Green Construction Code **Authority:** Public Safety Article, §12-503(d), Annotated Code of Maryland **Administrative History:** Effective date: May 29, 2023 (50:10 Md. R. 407) **Administrative History:** Regulation .02 amended effective May 25, 2026 (53:10 Md. R. 454) #### Regulation .01 Purpose. *COMAR 09.12.57.01* The purpose of this chapter is to adopt the International Green Construction Code (IgCC). #### Regulation .02 Incorporation by Reference. *COMAR 09.12.57.02* The 2024 International Green Construction Code (IgCC), International Code Council, is incorporated by reference. ### Chapter 58 — Maryland Building Rehabilitation Code Regulations **Authority:** Public Safety Article, §§12-1004 and 12-1007(a), Annotated Code of Maryland **Administrative History:** Effective date: June 1, 2001 (28:10 Md. R. 946) **Administrative History:** Regulations .01—.09 repealed and new Regulations .01—.13 adopted effective July 16, 2007 (34:14 Md. R. 1245) **Administrative History:** Regulation .03 amended effective July 1, 2010 (37:13 Md. R. 851) **Administrative History:** Regulation .04B amended effective July 1, 2010 (37:13 Md. R. 851) **Administrative History:** Regulations .01—.13 repealed and new Regulations .01—.08 adopted effective April 1, 2013 (40:6 Md. R. 472) **Administrative History:** Regulation .03 amended effective April 11, 2016 (43:7 Md. R. 448) **Administrative History:** Regulation .04B amended effective April 11, 2016 (43:7 Md. R. 448) **Administrative History:** Chapter recodified from COMAR 05.16.01 to COMAR 09.12.58 effective March 25, 2019 (46:6 Md. R. 345) **Administrative History:** Regulation .03 amended effective June 29, 2020 (47:13 Md. R. 641); May 29, 2023 (50:10 Md. R.407) **Administrative History:** Regulation .04B amended effective March 25, 2019 (46:6 Md. R. 345); May 29, 2023 (50:10 Md. R.407) #### Regulation .01 Title. *COMAR 09.12.58.01* This chapter shall be known and cited as the Maryland Building Rehabilitation Code Regulations. #### Regulation .02 Purpose and Applicability. *COMAR 09.12.58.02* A. The purpose of this chapter is to adopt the International Existing Building Code (IEBC), as described in this chapter, to encourage the continued use or reuse of legally existing buildings and structures. B. This chapter applies to all rehabilitation projects for which a construction permit application is received after the effective date of this chapter by: (1) A local jurisdiction; (2) The Maryland-National Capital Park and Planning Commission; or (3) The Washington Suburban Sanitary Commission. #### Regulation .03 Incorporation by Reference. *COMAR 09.12.58.03* A. The 2021 International Existing Building Code (International Code Council), as described in this chapter, is incorporated by reference. B. The International Existing Building Code, as incorporated by reference under §A of this regulation and described in this chapter, shall constitute the Maryland Building Rehabilitation Code. C. Modifications to the International Existing Building Code. (1) Chapter 1. Add note to Chapter 1 of the IEBC: Local jurisdictions are responsible for the implementation and enforcement of the Maryland Building Rehabilitation Code. Refer to each local jurisdiction for local amendments to Chapter 1 of the IEBC. (2) Chapter 1. Delete Section 101.6 Appendices and replace with the following: 101.6 Appendices. The Appendices A and C and Resource A are adopted as part of this code. (3) Chapter 2. Delete the definition of Addition in Section 202 and replace with the following: Addition has the meaning stated in Public Safety Article, §12-1001(b), Annotated Code of Maryland. (4) Chapter 2. Delete the definition of Change of Occupancy in Section 202 and replace with the following: Change of Occupancy has the meaning stated in Public Safety Article, §12-1001(c), Annotated Code of Maryland. (5) Chapter 2. Delete the definition of Existing Building in Section 202 and replace with the following: Existing Building has the meaning stated in Public Safety Article, §12-1001(f), Annotated Code of Maryland. (6) Chapter 3. Delete Section 306 and replace with the following: COMAR 09.12.53 shall be referenced for minimum requirements in providing accessibility and usability of buildings and facilities by individuals with disabilities. #### Regulation .04 Definitions. *COMAR 09.12.58.04* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Advisory Council” means the Maryland Building Rehabilitation Code Advisory Council established by Public Safety Article, §12-1003, Annotated Code of Maryland. (2) “Complex rehabilitation project involving multiple codes” means a rehabilitation project or portion of a project that involves two or more construction codes listed in Regulation .06B of this chapter and is in: (a) One of the following categories of work: (i) Addition; (ii) Change of occupancy; or (iii) Reconstruction; or (b) Any category of work and involves the installation of sprinklers. (3) “Construction permit application” means an application made to a local jurisdiction for a permit or other governmental approval for a rehabilitation project. (4) “Department” means the Maryland Department of Labor. (5) “International Existing Building Code (IEBC)” means the International Existing Building Code, as incorporated by reference under Regulation .03 of this chapter. (6) “Local jurisdiction” means any of the 23 counties in Maryland, the City of Baltimore, and any municipal corporation in Maryland subject to the provisions of Article XI-E of the Maryland Constitution. (7) “Minimum Livability Code” means COMAR 09.12.54, exclusive of any local amendments or codes that may have been adopted. (8) “Secretary” means the Secretary of Labor. #### Regulation .05 Enforcement and Administration. *COMAR 09.12.58.05* A. The enforcement and administration of this chapter shall be the responsibility of local jurisdictions, using existing procedures. B. Refer to each local jurisdiction for the local administrative and enforcement procedures described in Chapters 1 and 15 of the IEBC. #### Regulation .06 Preliminary Meeting. *COMAR 09.12.58.06* A. If a building permit is required for a complex rehabilitation project involving multiple codes, at the request of the prospective permit applicant, after payment of a fee, if required, and before the submission of the construction permit application, the authority having jurisdiction, or the authority's designee, and individuals who are agency representatives in accordance with §B of this regulation, shall meet with the prospective applicant to discuss plans for any proposed work or change of occupancy under this chapter before the application for the permit is submitted. B. The preliminary meeting, to the extent possible, shall include the officials responsible for permit approval and enforcement in the following areas, as may be applicable to the rehabilitation project: (1) Building code; (2) Mechanical code; (3) Plumbing code; (4) Electrical code; (5) Fire code; (6) Boiler code; (7) Energy code; (8) Elevator code; and (9) Local historic preservation ordinances. C. When possible, a single meeting of all the parties shall be arranged. D. The purpose of the preliminary meeting is for the prospective applicant to present its intentions for the proposed work to the responsible code officials so that together they can determine which specific requirements of this chapter and the codes listed in §B of this regulation are to be applied to the proposed project. E. Decisions made at the preliminary meeting regarding the specific requirements of this chapter and the codes listed in §B of this regulation that are to be applied to the proposed project are binding on the prospective applicant and the code officials, their respective agencies, and local jurisdictions unless circumstances arise that were unknown or could not be ascertained by the prospective applicant at the time of the preliminary meeting. F. For a rehabilitation project or portion of a project that is in the repair, renovation, or modification category of work, a preliminary meeting may be granted at the discretion of the authority having jurisdiction when a request for a preliminary meeting is made by the prospective applicant before the submission of the construction permit application. #### Regulation .07 Maryland Building Rehabilitation Code Advisory Council. *COMAR 09.12.58.07* The responsibilities and duties of the Advisory Council are as follows: A. Advise the Department on development, adoption, and revisions to this chapter; B. Provide technical advice on the interpretation of this chapter to property owners, design professionals, contractors, local jurisdiction code officials, and local jurisdiction code appeal boards; C. To the extent possible, develop this chapter in a way that avoids increased costs to local jurisdictions arising from implementation of this chapter; and D. To the extent provided for in the State budget, provide training on this chapter to code officials and other public and private construction-related professionals. #### Regulation .08 Review Process for Proposed Amendments by Local Governments. *COMAR 09.12.58.08* A. A local government or an organization that represents a local government may propose an amendment to this chapter that will be applicable statewide. B. Proposed Amendment. A proposed amendment shall: (1) Be submitted in writing to the Director of the Advisory Council; (2) Identify the section or sections of this chapter involved; and (3) Include proposed deletions or additions to this chapter, the reasons for the request, and any supporting documentation. C. Within 10 business days of receipt, the Director shall forward a proposed amendment to the Advisory Council and provide a copy to the Secretary. D. The Advisory Council shall consider a proposed amendment not later than at its next regular meeting that is at least 30 days after the Director forwards a proposed amendment. E. The Advisory Council may request additional information from: (1) The local government or organization proposing an amendment; (2) Staff of the Department; (3) Other State agencies; or (4) Others with experience in the subject matter of a proposed amendment. F. Within 120 days of receipt by the Advisory Council of a proposed amendment or any requested additional information, whichever is later, the Advisory Council shall make a recommendation to the Secretary on whether to adopt, modify, or reject a proposed amendment. G. The Secretary shall decide whether to adopt, modify, or reject a proposed amendment and whether to adopt any change to this chapter necessary to implement that decision in accordance with the Administrative Procedure Act. H. Subject to Public Safety Article, §12-1007(d), Annotated Code of Maryland, a local jurisdiction may adopt amendments to the IEBC that apply only to the local jurisdiction without submitting the amendments to the Advisory Council for approval. I. A local jurisdiction that amends the IEBC shall provide a copy of the amendment to the Department: (1) At least 15 days before the effective date of the amendment; or (2) Within 5 days after the adoption of an emergency local amendment. ### Chapter 59 — *VACANT* ### Chapter 60 — Amusement Attractions — General Provisions **Authority:** Business Regulation Article, §§3-204(c), 3-302, 3-307—3-313, Annotated Code of Maryland **Administrative History:** Effective date: November 1, 2022 (4921 Md. R. 951) #### Regulation .01 Purpose. *COMAR 09.12.60.01* This chapter establishes safety standards for the installation, assembly, repair, maintenance, use, operation, disassembly, and inspection of amusement attractions permanently or temporarily erected at amusement parks, carnivals, or fairs operated in the State. #### Regulation .02 Definitions. *COMAR 09.12.60.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Accepted engineering practice” means engineering practice that conforms to accepted principles, tests, or standards of nationally recognized technical or scientific authorities including, but not limited to, ASTM. (2) “ASTM” means ASTM International, originally known as the American Society for Testing and Materials. (3) “Attendant” means an employee assigned to assist the operator in attending to the safety needs of riders. (4) “Containing device” means a strap, belt, bar, gate, or other safety device designed to prevent accidental or inadvertent dislodgement of a rider from an amusement attraction, that does not provide physical support. (5) “Fail-safe” means a characteristic of an amusement attraction or component of an amusement attraction that is designed so that the normal and expected failure mode results in a safe condition. (6) “Fire official” means: (a) Except in Baltimore City, the State Fire Marshal or the State Fire Marshal's designee; and (b) In Baltimore City, the Baltimore City Fire Prevention Bureau. (7) “Major breakdown” means a stoppage of operation from any cause that results in damage, failure, or breakage of a structural or stress-bearing part of an amusement attraction. (8) “Major modification” means any change in either the structural or operational characteristics of the amusement attraction that will alter its performance from that specified in the manufacturer's design criteria. (9) “Nondestructive testing (NDT)” is testing, such as radiographic, magnetic particle, ultrasonic, liquid penetrant, electromagnetic, neutron radiographic, visual, and leak testing, to detect and locate defects to assess an amusement attraction's components. (10) “Operator” means the person having direct control of the starting, stopping, or speed of an amusement attraction. (11) “Owner” has the meaning stated in Business Regulation Article, §3-101, Annotated Code of Maryland. (12) “Qualified person” means a person who: (a) By extensive knowledge, training, and experience has successfully demonstrated the ability to solve or resolve problems relating to the work; or (b) Possesses a recognized degree, certificate, or professional standing. (13) “Rated capacity” means a capacity: (a) Established by the manufacturer for the normal loading and operation of an amusement attraction; or (b) If the manufacturer has not established a capacity, as established by the Commissioner after inspection. (14) Rider. (a) “Rider” means any person who is: (i) Getting on an amusement attraction; (ii) Using an amusement attraction; or (iii) Getting off an amusement attraction. (b) “Rider” does not include employees of the amusement attraction owner while engaged in the duties of their employment. (15) “Special amusement structure” means a fun house, dark ride, glass house, walk through, haunted house, or any other similar amusement attraction. #### Regulation .03 Incorporation by Reference. *COMAR 09.12.60.03* In this chapter, the following documents are incorporated by reference to the extent that they are referenced in this chapter: A. The ASTM International Standards on Amusement Rides and Devices: 7th Edition, F2291—04 Standard Practice for Design of Amusement Rides and Devices (2004) (ASTM F 2291—04); and B. The National Electrical Code, ANSI/NFPA #70-2005, which is incorporated by reference in COMAR 20.50.02.02. #### Regulation .04 General Responsibility for Compliance. *COMAR 09.12.60.04* A. Each owner of an amusement attraction permanently or temporarily erected at a carnival, fair, or amusement park in the State shall: (1) Comply with the provisions of this chapter; and (2) Ensure that the manufacturer's specifications are followed in the erection, operation, maintenance, repair, and disassembly of the amusement attraction. B. In the event of a conflict between a regulation under this chapter and a manufacturer's specification, the owner shall comply with the provision that best ensures the safety of the public as determined by the Commissioner. #### Regulation .05 Inspection, Registration, and Certificate Inspection. *COMAR 09.12.60.05* A. An owner may not operate an amusement attraction unless the amusement attraction has been inspected and a certificate of inspection has been issued by the Commissioner. B. Annual Registration. (1) Annually, by April 1, each owner shall register with the Commissioner all of the existing amusement attractions that were previously issued a certificate of inspection by the Commissioner that the owner intends to operate in Maryland that year. (2) The owner of a new amusement attraction or an amusement attraction that was not previously registered or issued a certificate of inspection in Maryland shall register the amusement attraction with the Commissioner as soon as practical or at least 30 days before anticipated operation and shall include the documentation required in Regulation .10 of this chapter. C. Inspection Hours. (1) Amusement attraction inspections will normally be conducted during the business hours of 7 a.m. through 6 p.m., Monday through Friday, excluding holidays. (2) The Commissioner may schedule inspections at other times when the Commissioner determines that there are extenuating circumstances. D. Request for Inspection. (1) Each owner shall notify the Commissioner that the owner's amusement attraction is ready for inspection by submitting a completed inspection request form at least 30 days in advance of the anticipated operation date. (2) If there is a cancellation or change in the schedule of location or dates after initial notification, an owner shall: (a) Immediately notify the Commissioner by telephone; and (b) Promptly confirm the change in writing. (3) If an owner is unable to provide the Commissioner with the required 30-day advance notice, the owner shall submit to the Commissioner an inspection request form along with a detailed explanation of the reason for the lack of advance notice. The Commissioner may grant the inspection request contingent upon the availability of State resources. (4) The owner of a new amusement attraction, an amusement attraction that has undergone a major modification, or an amusement attraction that has never received a certificate of inspection allowing it to operate in Maryland shall: (a) Submit all required records in compliance with Regulation .10 of this chapter; and (b) After filing the required records, submit a request for inspection to the Commissioner at least 30 days in advance of the anticipated operation date. (5) The inspection request form shall be furnished by the Commissioner. (6) The owner shall include with the inspection request form a certificate of insurance indicating that the owner has obtained insurance in the amount required by Business Regulation Article, §3-403, Annotated Code of Maryland. E. Certificate of Inspection. A certificate of inspection shall be posted in public view on the amusement attraction for which the certificate is issued. F. Work Orders. (1) The Commissioner may issue a work order that details required corrective action for an amusement attraction and the time allowed for abatement of each action. (2) If the corrective action is not completed within the time allowed, the Commissioner may: (a) Grant an extension of the time allowed; or (b) Deny a certificate of inspection. G. Special Amusement Structures. (1) For a special amusement structure located in an amusement park, the owner shall make a request to the fire official for the jurisdiction where the amusement attraction is located for a fire safety inspection: (a) Annually, before the start of operation in the State; and (b) When there is a change in construction or decorative material. (2) For a special amusement structure located in a carnival or fair, the owner shall make a request to the fire official for the jurisdiction where the amusement attraction is located for a fire safety inspection: (a) Before operation at each location; and (b) When there is a change in construction or decorative material. (3) A certificate of inspection issued by the Commissioner is valid for the amusement attraction only and does not address fire safety issues that may be required by the local fire official. H. Exits. (1) At least two exits remote from each other shall be provided for each floor, tier, room, or balcony in a structure that contains an amusement attraction. (2) An exit may not be less than 22 inches wide. #### Regulation .06 Identification and State Registration Plates. *COMAR 09.12.60.06* A. Information Plate. (1) An information plate: (a) Is required for each amusement attraction; (b) Shall be printed in English; and (c) Shall be designed to remain legible for the expected life of the amusement attraction. (2) The information plate shall include the following, as applicable: (a) Serial number, which is a manufacturer-issued or owner-issued unique identifying number; (b) Name of the amusement attraction; (c) Manufacturer of the amusement attraction; (d) Date of manufacture, which is the month and year of manufacture, as determined by the manufacturer, if known; (e) Speed, maximum, minimum, or both, revolutions per minute, feet per second, or miles per hour, as applicable; (f) Direction of travel, if the direction of travel is essential to the safe operation of the amusement attraction; and (g) Rated capacity. B. State Registration Plate. (1) The Commissioner shall issue a State registration number and State registration plate to each registered amusement attraction. (2) If the registration number is no longer legible, the owner shall notify the Commissioner for issuance of a replacement State registration plate. C. Each amusement attraction shall have the information plate and State registration plate firmly attached in a readily visible location on the amusement attraction. D. Each individual sweep, carrier, car, tub, seat, train, kart, chair, element, or trampoline shall be individually identified by: (1) Numbers (e.g. sweep 1, carrier 2, seat 3); or (2) Letters or names (e.g. train B, car C, seat 1); or (3) Color if only be used once per attraction (e.g. blue tub, seat 3). #### Regulation .07 Operation. *COMAR 09.12.60.07* A. Each owner shall read and become familiar with the contents of the manufacturer's recommended operating instructions and specifications. B. Operation Manual. (1) The owner shall keep and maintain a manual documenting the operating requirements. (2) The operation manual shall address the following issues: (a) Ride cycle time; (b) Proper loading and unloading procedures and proper rider distribution; (c) Procedures for responding to emergencies and extreme environmental conditions; (d) Rider limitations, such as height, age, and rider placement; (e) Minimum electrical power required to safely operate the amusement attraction; (f) Minimum and maximum water flow rates, if applicable; (g) Specific amusement attraction operational procedures consistent with the manufacturer's instructions; (h) Specific duties and responsibilities of the operator and attendant; (i) Maintenance requirements and procedures; (j) Testing requirements and procedures; (k) General safety procedures; and (l) Preopening inspection list and preopening inspection procedures. (3) The manual shall be kept on location with the amusement attraction or otherwise readily available. (4) A copy of the manual, in English, shall be provided to the Commissioner on request. (5) The owner shall ensure that all operators adhere to the provisions of the applicable operator’s manual. C. Designated Operator. (1) The owner shall ensure each amusement attraction is under the direct control of an operator with training specific to that amusement attraction. (2) An operator shall operate only one amusement attraction at a time. (3) When the amusement attraction is not in operation, the owner shall prevent operation by any unauthorized person. (4) An operator: (a) May not operate any amusement attraction while under the influence of drugs or alcohol; (b) Shall know the use and function of all operating controls, signal systems, and safety devices applicable to the amusement attraction; (c) Shall know the proper rider loading sequence, capacity, and speed of the particular amusement attraction being operated; (d) Shall remain at the operating controls during operation; (e) Shall have control of the amusement attraction at all times; (f) Shall enforce applicable restrictions; and (g) Whenever possible, shall be positioned at a location with a clear view of the rider loading and unloading areas. D. If a clear view under §C(4)(g) of this regulation cannot be maintained, operators or attendants shall ensure that the area is safe before operation. E. Operator and Attendant Identification. (1) An owner shall issue to each operator and attendant identification, such as a uniform or badge that clearly identifies the person as an operator or attendant. (2) Before issuing any identification, the owner shall train the employee in accordance with §F of this regulation. (3) The identification shall clearly indicate the following: (a) The employee title, that is, operator or attendant; (b) Either the name of the employee or an employee identification number; and (c) The name of the amusement attraction company. (4) While operating an amusement attraction, the operator or attendant shall wear the operator or attendant identification in a readily visible location. F. Operator and Attendant Training. (1) The owner shall provide training for each operator and attendant of an amusement attraction. (2) Operator and attendant training shall include, but not be limited to, the items specified in §§C(4) and D of this regulation. (3) Operators and attendants shall be trained in the following: (a) Specific amusement attraction operational policies and procedures consistent with the manufacturer's instructions; (b) Specific duties and responsibilities of the operator and the attendant; (c) Emergency procedures in the event of an abnormal condition, interruption of power, or severe environmental conditions; (d) Instructions on general safety procedures; and (e) Additional instructions considered necessary by the owner. (4) As part of the training, the owner shall observe each operator's and attendant's ability to operate an amusement attraction safely, as demonstrated by the successful completion of the requirements of this section. (5) The owner shall document that each operator and attendant has been trained and evaluated as required by this regulation with the following: (a) Name of the operator or attendant; (b) Date of training, date of evaluation; and (c) The identity of the person or persons performing the training or evaluation. (6) The owner shall provide periodic refresher training, including an evaluation of the effectiveness of that training. (7) The owner shall document the refresher training for each operator and attendant with the information set forth in §F(5) of this regulation. G. Ride Safety Supervisor. An owner shall designate a ride safety supervisor to: (1) Monitor amusement attraction operations at all times when in operation; and (2) Ensure that the amusement attractions are operated safely and in accordance with this chapter. H. Daily Inspection Program. (1) The owner shall ensure that each amusement attraction is inspected and tested each day before operation, with a daily preopening inspection program under §H(2) of this regulation. (2) The daily preopening inspection program shall include, but not be limited to, the following: (a) Inspection and testing of all rider-carrying devices, including restraint, containing devices and latches; (b) Inspection and testing of all automatic and manual safety devices; (c) Inspection and testing of the brakes, including service brakes, emergency brakes, parking brakes, and antirollback devices; (d) Inspection and testing of control devices, speed-limiting devices, and other equipment provided for safety; (e) Visual inspection of all fencing, gates, and guardrails; (f) Visual inspection of the amusement attraction structure, blocking and supports, electrical components, and wiring; (g) Inspection of entrances, exits, stairways, and ramps; (h) Functional testing of all communication equipment necessary for the operation of the amusement attraction; and (i) Before carrying riders, operation of the amusement attraction for a minimum of one complete operating cycle. (3) A copy of the daily preopening inspection shall be provided to the Commissioner on request. (4) Worn and damaged components shall be repaired or replaced immediately and before operation. I. Voice Communication and Signal System. (1) Voice communication or a signal system, or both, shall be provided if the operator does not have a clear view of the area where riders are loaded or unloaded. (2) For amusement attractions that require a spoken message of instruction or warning prior to operation, the message shall be: (a) Given in a manner that is clearly audible to all riders before the start of each ride cycle; and (b) In writing in the operating manual. (3) Coded Signals. (a) When coded signals are necessary for operation of an amusement attraction, the code shall be printed and kept posted at both the operator and signal-person stations. (b) All persons using coded signals shall be instructed in their use and be trained to understand thoroughly their operation and meaning. (4) Signals for the movement or operation of an amusement attraction may not be given until all riders, operators, and other persons who may be endangered are in a position of safety. (5) Voice communication and signal systems shall be tested daily before operation as part of the daily inspection program. (6) An amusement attraction requiring voice communication or a signal system, or both, may be operated only if the system is functioning properly. #### Regulation .08 Injury Reporting and Recording. *COMAR 09.12.60.08* A. Injury Reporting. (1) Whenever a death, in-patient hospitalization, amputation, compound fracture, broken tooth, or loss of an eye occurs during the use of an amusement attraction: (a) The person who directly controls the operation of the amusement attraction shall immediately close the amusement attraction until it has been inspected by the Commissioner; and (b) The amusement owner shall report orally or in writing to the Commissioner within 24 hours: (i) Date and time of the incident; (ii) Name, address, and telephone number of the injured person and parent or guardian information if the injured person is a minor; (iii) Age of the injured person; (iv) Name and manufacturer of the amusement attraction; (v) Description of the injury; (vi) Description of events related to the incident; and (vii) Name, address, and phone number of the amusement attraction operator and attendants. (2) If an owner is unaware of the condition of a member of the public injured during the operation of an amusement attraction who was transported away from the premises by an emergency response vehicle, the owner shall report verbally to the Commissioner within 24 hours the information required in §A(1)(b) of this regulation. B. Injury Recording. (1) In addition to the reporting requirements of §A of this regulation, all owners shall maintain an injury log of all injuries to the public that occur during use of amusement attractions that require medical treatment by a physician other than one-time first aid and does not include: (a) An injury that does not ordinarily require medical treatment, such as a minor burn, splinter, contusion, scratch, or cut not requiring stitches; or (b) A diagnostic procedure, including examination and x-ray, even though provided by a physician or other licensed professional personnel. (2) The injury log shall contain the following information: (a) Company name; (b) Location; (c) Date; (d) Certificate number; (e) Type of amusement attraction; (f) Nature of incident; (g) Description of injury; (h) Age of injured person; (i) Last known condition of injured person, including date information obtained; and (j) Date added to log. (3) Each injury required under this section and §A of this regulation, shall be recorded on the injury log within 7 calendar days and updated as additional required information becomes available. (4) A copy of a sample injury log is available on the Department’s webpage. (5) An owner shall maintain injury logs on a calendar year basis beginning January 1, 2023. (6) Beginning January 1, 2024, an owner shall certify the completeness and accuracy of the information contained on the injury log by January 15 of the following calendar year. (7) Beginning January 1, 2023, an owner shall provide access to prior years’, and the portion completed for the current year, injury log to the Commissioner. (8) Each owner shall maintain, and make available for inspection by the Commissioner, an injury log for 5 years. #### Regulation .09 Amusement Attraction Operating Records and Reports. *COMAR 09.12.60.09* A. Daily Inspection Reports. (1) Daily inspection reports shall be: (a) Signed by the person performing the inspection immediately upon completion of the inspection; (b) Kept with the amusement attraction or at an on-site office; and (c) Maintained for at least 30 days. (2) Copies of daily inspection reports shall be made available to the Commissioner on request. B. Daily Electrical Inspection Report. (1) The owner shall ensure that a qualified person performs an inspection of the electrical system each day before operation. (2) A copy of the electrical inspection report shall be: (a) Signed by the person performing the inspection; (b) Kept with the amusement attraction or at an on-site office; (c) Maintained for at least 30 days; and (d) Provided to the Commissioner upon request. C. NDT Results. (1) The owner shall maintain a copy of the NDT results if required by COMAR 09.12.62.05K for a period of 1 year: (a) With the amusement attraction; (b) At an on-site office; or (c) Otherwise readily available. (2) A copy of the NDT results shall be provided to the Commissioner on request. D. An owner shall immediately notify the Commissioner of a major breakdown. E. Written Log. (1) An owner shall ensure that a written log is: (a) Maintained containing any reports from riders complaining of adverse physical effects or operating inconsistencies occurring during the operation of an amusement attraction; and (b) Submitted to the Commissioner when multiple reports of a particular nature that may indicate a pattern are shown on the log. (2) A copy of the log shall be made available to the Commissioner upon request. F. Identification Records. An owner shall maintain a record of operator and attendant identification that includes the following for each operator and attendant: (1) Name, address, and phone number; and (2) Identification number, if any. G. Record of Training. (1) Each owner shall: (a) Maintain a record of the training provided to each operator and attendant; and (b) Provide the Commissioner with a copy of the record of training on request. (2) The training record shall indicate the following for each operator or attendant: (a) The name or identification number; (b) A detailed description of the training provided; and (c) A list of all the amusement attractions for which the operator and attendant received training. #### Regulation .10 Design Criteria. *COMAR 09.12.60.10* A. Scope. This regulation does not apply to an amusement attraction that has operated in Maryland prior to January 2008 unless there is a major modification. B. Owners shall ensure that new amusement attractions and amusement attractions with major modifications that are operated in the State meet the criteria set forth in this regulation. C. Except as otherwise provided in this regulation, amusement attractions manufactured after January 2008 shall comply with ASTM F 2291—04 and conform to accepted engineering practices and standards. D. The owner of an amusement attraction subject to §C of this regulation shall provide the Commissioner with: (1) A copy of the operations and maintenance manuals, assembly instructions, and testing requirements; (2) Certification records from the manufacturer or a licensed professional engineer verifying that the amusement attraction is compliant with ASTM F 2291—04; and (3) If requested, general design criteria as outlined in ASTM F 2291—04, Section 5. E. Amusement attractions that are specifically excluded from ASTM F 2291—04 and manufactured after January 2008 shall conform to recognized engineering practices, procedures, standards, and specifications. F. The owner of an amusement attraction subject to §E of this regulation shall provide the Commissioner with: (1) Certification from a licensed professional engineer verifying that design data specific to the amusement attraction, including, but not limited to, stress analysis and safety factors along with the materials and components being used, are structurally sound and conform to recognized engineering practices, procedures, standards, and specifications; (2) A copy of the manufacturer's operating specifications, maintenance manuals, assembly instructions, and testing requirements; and (3) If requested, other pertinent data considered necessary by the Commissioner. G. Amusement attractions that were previously registered and allowed to operate in Maryland and that have undergone a major modification subsequent to January 2008 shall be certified by a professional engineer that the modifications are consistent with accepted engineering practices and standards and ASTM F 2291—04. H. The owner of an amusement attraction subject to §G of this regulation shall provide the Commissioner with: (1) Certification from a licensed professional engineer verifying that design data specific to the amusement attraction, including, but not limited to, stress analysis and safety factors along with the materials and components being used, are structurally sound and conform to recognized engineering practices, procedures, standards, and specifications; (2) A copy of the manufacturer's operating specifications, maintenance manuals, assembly instructions, and testing requirements; and (3) If requested, other pertinent data considered necessary by the Commissioner. I. The owner of an existing amusement attraction manufactured before January 2008 of a particular design that had not previously operated in Maryland shall provide the Commissioner with: (1) Certification records from a licensed professional engineer verifying that the amusement attraction and the materials and components being used are structurally sound and conform to recognized engineering practices, procedures, standards, and specifications; and (2) A copy of the manufacturer's operating specifications, maintenance manuals, assembly instructions, and testing requirements. J. If the manufacturer's specifications of an amusement attraction subject to §I of this regulation are unavailable for good reason, the owner shall: (1) Develop specifications that ensure safe assembly, operation, repair, maintenance, testing, and disassembly of the amusement attraction; (2) Employ a licensed professional engineer to certify that the specifications are consistent with accepted engineering practices and standards and ASTM F 2291—04; and (3) If requested, provide other pertinent data considered necessary by the Commissioner. K. Copies of all documents provided to the Commissioner shall be in English. #### Regulation .11 Signage. *COMAR 09.12.60.11* A. When a manufacturer or the Commissioner requires a restriction on the use of an amusement attraction, such as the age or weight of a rider, a legible sign indicating the restriction shall be posted in full view of individuals seeking admission to the amusement attraction: (1) At the location specified by the manufacturer; (2) At the entrance of the amusement attraction; or (3) Close to the amusement attraction. B. All amusement attractions shall have a sign posted indicating the height or age restriction, or both, for that amusement attraction. C. Entrances to machinery rooms or restricted areas shall have a sign posted warning unauthorized persons not to enter. #### Regulation .12 Fire Protection. *COMAR 09.12.60.12* A. Flammable and Combustible Liquids. (1) An owner shall store and handle liquid petroleum gases and flammable liquids as required under the: (a) Occupational Safety and Health Standards — 29 CFR §1910.106 (OSHA); and (b) National Fire Protection Association (NFPA) standards adopted by the State Fire Marshal or designee or the Baltimore City Fire Prevention Bureau. (2) Gasoline and other flammable liquids or gases shall be stored in listed and labeled containers in a location that is: (a) Reasonably cool and ventilated; (b) Not accessible to the public; and (c) At least 20 feet from an amusement attraction or other flammable material. (3) Flammable or combustible waste materials, such as oily rags, shall be stored in a covered metal container that is: (a) Properly identified; and (b) Kept at least 20 feet from an amusement attraction. B. Fire Extinguishers. (1) An owner shall provide at least one portable fire extinguisher having an ABC rating, as defined by the National Electrical Code, ANSI/NFPA #70, of not less than 10 pound capacity. (2) The fire extinguisher shall be located not less than 25 feet, or more than 75 feet, from any flammable or combustible: (a) Liquid storage; or (b) Liquid-powered amusement attraction or portable generator. #### Regulation .13 Electrical Requirements. *COMAR 09.12.60.13* A. Electrical systems, conductors, and equipment installed on or used in conjunction with amusement attractions shall comply with: (1) The National Electrical Code, National Fire Protection Association 70 in effect at the time of the manufacture of the amusement attraction; or (2) At a minimum, the National Fire Protection Association 70 (1987). B. Each owner shall ensure that electrical systems required to operate amusement attractions be installed and maintained by a qualified person. C. Electrical inspections shall be performed prior to public use by the qualified person responsible for the electrical installation. D. A copy of the electrical inspection report shall be: (1) Signed by the person performing the inspection; (2) Kept with the amusement attraction or at an on-site office; (3) Maintained for at least 30 days; and (4) Provided to the Commissioner on request. E. Equipment Grounding and Bonding. (1) Equipment grounding and bonding shall comply with the National Electrical Code. (2) The continuity of the grounding conductor system shall be verified as part of the daily preopening electrical inspection. (3) The neutral and equipment safety grounding conductors shall be continuous and separate throughout the entire system. (4) Separate steel tracks or steel framework, such as roller coaster tracks or large slides, shall have grounding in accordance with Article 250 of the National Electrical Code. F. Portable distribution or terminal boxes shall be: (1) Designed so that no live parts are exposed to accidental contact; (2) Of weatherproof construction and mounted so that the bottom of the box is not less than 6 inches above ground; and (3) Protected against access from the general public and other unauthorized personnel. G. Current Limiting Devices. (1) A conductor shall be fused or protected to its current carrying capacity. (2) A fuse or current limiting device may not be installed in neutral or grounding conductors. (3) Motors and lighting circuits shall be fused separately. (4) Each fuse or current limiting device shall be installed in accordance with the National Electrical Code. H. Wiring Methods. (1) Where flexible cords or cables are used, they shall be listed for extra hard usage. (2) Where flexible cords or cables are used and are not subject to physical damage, they shall be permitted to be listed for hard usage. (3) An elevated power line crossing a road within a carnival, fair, or amusement park shall be suspended to provide: (a) Minimum vertical clearance of 15 feet from the road surface; and (b) Minimum horizontal clearance of 3 feet on each side of normal vehicle passage space. (4) A flexible cord shall be connected to devices and fittings sufficient to ensure that tension of the cord is not transmitted to connectors or terminals. (5) Flexible cords or cables shall be continuous without splice or tap between boxes or fittings. (6) Cord connectors may not be laid on the ground unless listed for wet locations. I. Amusement attractions may not be located: (1) Less than 15 feet in any direction from overhead conductors operating at 600 volts or less, except for the conductors supplying the amusement attraction; or (2) Under or within 15 feet of horizontal conductors operating in excess of 600 volts. J. An electrical power source, that is, a portable electrical generator, shall be: (1) Positioned in a manner to permit proper maintenance; and (2) Protected by either fencing or a secure enclosure to prevent public access and exposure to hazard. K. Collector Rings. (1) Collector rings and brush assemblies shall be sized to accommodate the rated load. (2) A grounding collector ring or device capable of carrying the sum of the over-current devices feeding the slip ring set shall be provided. L. Lighting Systems. (1) Lighting systems shall be kept in good repair and protected against accidental contact and, if possible, breakage. (2) All fluorescent lighting systems that are connected to moving components of an amusement attraction or within 7 feet, 6 inches, of a rider or spectator shall be: (a) Properly secured and protected against accidental breakage; and (b) Capable of containing the pieces of a broken light. M. Power Line Clearances. (1) Power line clearances shall comply with the National Electrical Code, ANSI/NFPA #70, Article 525.5—2005. (2) Amusement attractions may not be erected within 15 feet in any direction of overhead conductors operating at 600 volts or less. (3) Amusement attractions may not be erected under or within 15 feet horizontally of conductors operating in excess of 600 volts. #### Regulation .14 Rules of Procedure for Hearings. *COMAR 09.12.60.14* All contested case hearings before the Commissioner shall be governed by COMAR 09.01.02. #### Regulation .15 Variances. *COMAR 09.12.60.15* A. Application for Variance. (1) An affected owner may apply to the Commissioner for a variance from any regulation adopted under Business Regulation Article, Title 3, Annotated Code of Maryland. (2) An application for variance shall be in writing and shall include: (a) The name and address of the applicant; (b) Identification of the regulation from which the applicant seeks a variance; (c) The location, equipment, and practices involved; (d) A detailed statement of the applicant's reasons for requesting a variance; (e) A statement of the steps the applicant has taken and will take, with specific dates when appropriate, to protect the public against the specific hazard covered by the regulation; and (f) Any request for a hearing. B. Posting of Notice. (1) Immediately on filing a request for a variance pursuant to Business Regulation Article, §3-314, Annotated Code of Maryland, an applicant shall post notice of the application at the place or places where a certificate of inspection is required to be posted. (2) The notice shall include: (a) The name and address of the applicant; (b) The date on which the application was filed; (c) Identification of the regulation from which the applicant seeks a variance; (d) The location, equipment, and practices involved; and (e) Notice to the public and affected employees of their right to participate in the proceeding. (3) The notice shall be maintained until the commencement of the proceedings. C. Order of Variance. (1) After investigation, on-site inspection, and such hearing as the Commissioner may direct, the Commissioner may grant a variance from a regulation under this chapter if: (a) It is evident that action is necessary to prevent undue hardship; or (b) Existing conditions prevent practical compliance and the reasonable safety of the public can, in the opinion of the Commissioner, be ensured. (2) An order of variance may require such special conditions as are reasonably necessary to ensure public safety. (3) A declaration, act, or omission of the Commissioner or the Commissioner's authorized representative, other than a written order authorizing a variance as permitted above, may not be construed to exempt, either wholly or in part, expressly or implicitly, any owner from full compliance with the terms of any regulation under this chapter. D. Modification, Revocation, and Renewal of Order of Variance. (1) The Commissioner may modify, revoke, or renew an order of variance in the same manner prescribed for the issuance of an order of variance. (2) An order of variance may not be modified or revoked unless affected parties are informed of the proposed action and afforded an opportunity to: (a) Submit written data, views, or arguments regarding the proposed action; and (b) Request a hearing on the proposal. #### Regulation .16 Additional Requirements — Attraction Specific Requirements. *COMAR 09.12.60.16* See COMAR 09.12.61 for additional requirements based on type of amusement attraction. ### Chapter 61 — Amusement Attractions — Attraction Specific Provisions **Authority:** Business Regulation Article, §§3-302, 3-307—3-313, Annotated Code of Maryland **Administrative History:** Effective date: November 1, 2022 (4921 Md. R. 951) **Administrative History:** Regulation .01 amended effective April 14, 2025 (52:7 Md. R. 321) **Administrative History:** Regulation .02 amended effective April 14, 2025 (52:7 Md. R. 321) **Administrative History:** Regulation .07 adopted effective April 14, 2025 (52:7 Md. R. 321) **Administrative History:** Regulation .07 recodified to Regulation .08 effective April 14, 2025 (52:7 Md. R. 321) **Administrative History:** Regulation 08 recodified to Regulation .09 effective April 14, 2025 (52:7 Md. R. 321) #### Regulation .01 Purpose. *COMAR 09.12.61.01* This chapter identifies specific provisions for ropeway-aerial lifts, towers and conveyors as well as challenge courses and canopy/zipline tours and trampolines, trampoline courts and trampoline parks in addition to providing cross references to specific provisions of other types of attractions. #### Regulation .02 Incorporation by Reference. *COMAR 09.12.61.02* In this chapter, the following documents are incorporated by reference to the extent that they are referenced in this chapter: A. The American National Standard for Passenger Ropeways — Aerial Tramways, Aerial Lifts, Surface Lifts, Tows and Conveyors — Safety Requirements, ANSI B77.1-1999, excluding Section 2.3.6.3; B. ANSI/ACCT 03-2016 Challenge Courses and Canopy/Zip Line Tours Standards; and C. American Society for Testing Materials, F2970-2022 Trampolines, Trampoline Courts/Trampoline Parks Standards, excluding the definition of “major modification” in Section 8. #### Regulation .03 Water Slides Erected Permanently or Temporarily in the State. *COMAR 09.12.61.03* In addition to the requirements in COMAR 09.12.60 and 09.12.62, water slides erected permanently or temporarily in the State shall comply with the requirements of COMAR 09.12.63. #### Regulation .04 Go-Kart Operations. *COMAR 09.12.61.04* In addition to the requirements in COMAR 09.12.60 and 09.12.62, go-kart operations shall comply with the requirements of COMAR 09.12.64. #### Regulation .05 Ropeways-Aerial Lifts, Surface Lifts, Towers, and Conveyors. *COMAR 09.12.61.05* In addition to the requirements in COMAR 09.12.60, passenger transportation systems that use cables, ropes, or other flexible elements for power transmission in the system shall conform to the American National Standard for Passenger Ropeways — Aerial Tramways, Aerial Lifts, Surface Lifts, Tows and Conveyors — Safety Requirements, which is incorporated by reference in COMAR 09.12.61.02. #### Regulation .06 Challenge Courses and Canopy/Zip Line Tours. *COMAR 09.12.61.06* In addition to the requirements in COMAR 09.12.60, Challenge Courses and Canopy/Zip Line Tours shall conform to the ANSI/ACCT 03-2016 Challenge Courses and Canopy/Zip Line Tours Standards, which is incorporated by reference in COMAR 09.12.61.02. #### Regulation .07 Inflatable Amusement Attractions. *COMAR 09.12.61.07* The requirements for inflatable amusement attractions are in COMAR 09.12.66 of this chapter. #### Regulation .08 All Other Amusement Attractions. *COMAR 09.12.61.08* In addition to the requirements in COMAR 09.12.60, all other amusement attractions covered under this subtitle not included in Regulations .05—.07 of this chapter shall comply with the requirements under COMAR 09.12.62. #### Regulation .09 All Other Amusement Attractions. *COMAR 09.12.61.09* In addition to the requirements in COMAR 09.12.60, all other amusement attractions covered under this subtitle not included in Regulations .05. — .08 of this chapter shall comply with the requirements under COMAR 09.12.62 Amusement Attractions Erected Permanently or Temporarily at Carnivals, Fairs, and Amusement Parks. ### Chapter 62 — Amusement Attractions Erected Permanently or Temporarily at Carnivals, Fairs, and Amusement Parks **Authority:** Business Regulation Article, §§3-302, 3-307—3-313, Annotated Code of Maryland **Administrative History:** Effective date: December 30, 1977 (4:27 Md. R. 2105) **Administrative History:** Regulations .02L, .04B, .11F, and .16E and F amended effective February 14, 1983 (10:3 Md. R. 209) **Administrative History:** Regulation .07A amended effective June 15, 1987 (14:12 Md. R. 1349) **Administrative History:** Regulation .07D adopted effective August 26, 1985 (12:17 Md. R. 1705) **Administrative History:** Regulation .07E adopted effective June 15, 1987 (14:12 Md. R. 1349) **Administrative History:** Regulation .10 repealed effective August 26, 1985 (12:17 Md. R. 1705) **Administrative History:** Regulation .11E amended effective June 15, 1987 (14:12 Md. R. 1349) **Administrative History:** Regulations .15B and .16C amended effective August 26, 1985 (12:17 Md. R. 1705) **Administrative History:** Regulation .16C amended effective June 15, 1987 (14:12 Md. R. 1349) **Administrative History:** Regulation .16G adopted effective June 15, 1987 (14:12 Md. R. 1349) **Administrative History:** Regulation .16H adopted effective June 15, 1987 (14:12 Md. R. 1349) **Administrative History:** Regulation .18 adopted effective June 15, 1987 (14:12 Md. R. 1349) **Administrative History:** Chapter revised effective January 23, 1989 (16:1 Md. R. 68) **Administrative History:** Chapter revised effective May 28, 1990 (17:10 Md. R. 1219) **Administrative History:** Regulation .04F adopted effective June 22, 1992 (19:12 Md. R. 1133) **Administrative History:** Regulation .07 amended effective April 26, 1993 (20:8 Md. R. 723) **Administrative History:** Regulation .08 amended effective April 26, 1993 (20:8 Md. R. 723); January 25, 1999 (26:2 Md. R. 106) **Administrative History:** Regulation .11E amended effective November 25, 1991 (18:23 Md. R. 2487) **Administrative History:** Regulations .01—.20, repealed and new Regulations .01—.20 adopted effective March 24, 2008 (35:6 Md. R. 697) **Administrative History:** Chapter revised effective November 1, 2022 (49:21 Md. R. 951) #### Regulation .01 Purpose. *COMAR 09.12.62.01* In addition to the general requirements contained in COMAR 09.12.60, this chapter establishes specific requirements for the installation, assembly, repair, maintenance, use, operation, disassembly, and inspection of amusement attractions permanently or temporarily erected at amusement parks, carnivals, or fairs operated in the State with the exception of challenge courses, and ropeways-aerial lifts which are provided for in COMAR 09.12.61 and inflatable amusement attractions which are provided for in COMAR 09.12.66. #### Regulation .02 Definitions. *COMAR 09.12.62.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Accepted engineering practice” means engineering practice that conforms to accepted principles, tests, or standards of nationally recognized technical or scientific authorities including, but not limited to, ASTM. (2) “ASTM” means ASTM International, originally known as the American Society for Testing and Materials. (3) “Containing device” means a strap, belt, bar, gate, or other safety device designed to prevent accidental or inadvertent dislodgement of a rider from an amusement attraction, that does not provide physical support. (4) “Design load” means the load established by the manufacturer for normal operation, with required factors of safety and design to withstand both static and dynamic loads, including dead, live, and wind loads and impact. (5) “Fail-safe” means a characteristic of an amusement attraction or component of an amusement attraction that is designed so that the normal and expected failure mode results in a safe condition. (6) “Fence” means a type of barrier: (a) Consisting of, but not limited to, posts, boards, wire, stakes, or rails; and (b) Used to inhibit an individual from coming into contact with the moving portion or restricted portion of an amusement attraction. (7) “Owner” has the meaning stated in Business Regulation Article, §3-101, Annotated Code of Maryland. (8) “Qualified person” means a person who: (a) By extensive knowledge, training, and experience has successfully demonstrated the ability to solve or resolve problems relating to the work; or (b) Possesses a recognized degree, certificate, or professional standing. (9) “Rated capacity” means a capacity: (a) Established by the manufacturer for the normal loading and operation of an amusement attraction; or (b) If the manufacturer has not established a capacity, as established by the Commissioner after inspection. (10) “Restraining device” means a safety belt, harness, chain, bar, or other device that affords physical support, retention, or restraint to a rider on an amusement attraction. (11) Rider. (a) “Rider” means any person who is: (i) Getting on an amusement attraction; (ii) Using an amusement attraction; or (iii) Getting off an amusement attraction. (b) “Rider” does not include employees of the amusement attraction owner while engaged in the duties of their employment. (12) “Safety retainer” means a secondary safety rope, bar, attachment, or other device designed to prevent parts of an amusement attraction from becoming disengaged from the mechanism or from tipping or tilting in a manner to cause hazard to a person near or riding on an amusement attraction. #### Regulation .03 Incorporation by Reference. *COMAR 09.12.62.03* The ASTM International Standards on Amusement Rides and Devices, is incorporated by reference in COMAR 09.12.60.03A to the extent referenced in this chapter. #### Regulation .04 Access, Egress, and Walking Surfaces. *COMAR 09.12.62.04* A. General Requirements. (1) All amusement attractions shall have a safe and adequate means of access and egress. (2) All walking surfaces, including, but not limited to, loading and unloading areas, platforms, landings, stairs, and ramps shall be stable, firm, and slip-resistant. (3) If there is the potential for exposure to a fall distance exceeding 30 inches, the owner shall take action to inhibit such falls. B. Stairways, Ramps, Landings, and Platforms. (1) Adequate stairways, ramps, landings, and platforms shall be provided at the entrance to and exit from an amusement attraction that is above or below grade or floor level. (2) Stairways, landings, and ramps shall be designed and constructed using a safety factor of 5 to safely sustain the load that may be imposed on it. (3) Stairways and ramps shall be at least 22 inches wide. (4) A stairway shall be provided at entrances and exits where there is a break in elevation of 19 inches or more, and no ramp, runway, or sloped embankment is provided. (5) Stair treads shall be at least 10-1/2 inches deep, exclusive of nosing, and comply with the following: (a) The height of rise may not exceed 9 inches; and (b) Between any two levels, stair treads shall be of uniform depth and the risers of uniform height. (6) The maximum slope of any ramp may not exceed 1:12. C. Passageways. (1) Passageways shall be: (a) At least 22 inches wide; and (b) Kept free of debris, obstructions, projections, and other hazards. (2) Surfaces shall be constructed and maintained to prevent slipping and tripping. (3) Floors shall be kept free of protruding nails, splinters, holes, or loose boards. (4) When mechanical equipment is used, appropriate guarding and sufficient safe clearances shall be maintained. D. Handrails and Guardrails. (1) Regardless of width, ramps and all stairs with more than one step riser shall have, on both sides, a handrail of sufficient strength and structure to provide safe support. (2) Handrails shall be continuous without interruption and shall be free of any sharp or abrasive elements. (3) Stairways and ramps 88 inches or greater in width shall have a handrail placed approximately in the center, located not more than 4 feet from any point on the stair or ramp. (4) Handrails may not encroach on the clearance envelope of the amusement attraction. (5) When guardrails are used, they shall be capable of withstanding a load of at least 200 pounds applied in any direction at any point on the rail. (6) Guardrails, except for barriers, guardrails, or similar means that were originally designed and manufactured as a component of the amusement attraction, shall be of a height at least 42 inches above the surface on which persons stand. E. Fences and Gates. (1) An owner shall ensure that each amusement attraction is protected in a manner sufficient to prevent the general public from coming in contact with an amusement attraction or gaining access to the path or course of the amusement attraction while the amusement attraction is in operation if such access or contact would present a hazard. (2) Fences and gates shall be constructed to meet the following minimum requirements: (a) Fences shall be designed and constructed of durable materials and erected to inhibit overturning by spectators or riders; and (b) Fences and gates shall be constructed as to inhibit: (i) Spectator contact with the amusement attraction; (ii) Rider contact with fences or gates; and (iii) Contact between a spectator and rider while the amusement attraction is in operation. (3) When fences and gates are provided, they shall be of a height at least 36 inches above the surface on which the spectators or riders stand. (4) Gates shall: (a) Be provided at each entrance and exit; and (b) Unless equipped with a positive latching or holding device, open away from the amusement attraction. (5) A gate shall be designed so that if opened during the operating cycle, the gate will not come in contact with the amusement attraction or cause a hazard to riders. (6) Replacement fences, gates, and guardrails shall comply with ASTM F 2291—04, Section 14. #### Regulation .05 General Environment. *COMAR 09.12.62.05* A. The following procedures shall be implemented during a lightning or high wind storm, tornado or severe storm warning, fire, or if violence, riot, or civil disturbance occurs or threatens to occur in an amusement park, carnival lot, or fair: (1) The manufacturer's wind-related and weather-related restrictions shall be followed during periods of high wind or storm; (2) Each rider shall be unloaded or evacuated safely from the amusement attraction immediately; and (3) The amusement attraction shall be closed and secured immediately. B. Illumination. (1) Each amusement attraction, including entrances and exits, shall be adequately illuminated to ensure rider safety. (2) For the assembly and disassembly of amusement attractions and temporary structures, all work areas shall be adequately illuminated to ensure public safety. #### Regulation .06 Equipment and Materials. *COMAR 09.12.62.06* A. If amusement attractions use mechanical, pneumatic, or hydraulic energy, these systems shall have a means of being locked out, when necessary, for performing maintenance or inspections. B. Pressure vessels and pressure vessel systems shall conform to the requirements of the Maryland Boiler and Pressure Vessel Safety Act, Public Safety Article, §§12-901—12-919, Annotated Code of Maryland, and COMAR 09.12.01, including the inspection requirements. C. Hydraulic Systems. (1) Hydraulic systems and other related equipment used in connection with an amusement attraction shall be: (a) Maintained to ensure safe operation at all times; (b) Equipped with a relief valve; (c) Equipped with a manual lowering valve, if applicable; and (d) Inspected for leaks, damaged pipes, and worn or deteriorated hoses before each operation. (2) A pressure gauge shall be required for all hydraulic systems and conspicuously marked with the maximum safe working pressure. (3) A flexible hose shall be: (a) Compliant with the manufacturer's specifications; (b) Compatible with the fluid used in it; and (c) Inspected to ensure proper installation. D. Welding. Welding, welding procedures, and welding procedure documentation shall comply with ASTM F 2291—04, Section 15. E. Fasteners. (1) All fasteners shall conform to the manufacturer's specifications or accepted engineering practices. (2) Owners shall comply with: (a) The manufacturer's torque specifications and replacement schedules; or (b) Accepted engineering practices. F. Machinery and Machine Guarding. (1) The owner shall install machine guards or apply other appropriate measures to protect persons from contact with belts, chains, pulleys, gears, and similar moving components. (2) Guards shall be: (a) Designed to perform a specific task; (b) Properly secured; and (c) Properly maintained in a condition consistent with the intent of the guards' design. (3) Before a guard is removed for maintenance purposes, the equipment shall be locked out or tagged out. The guard shall be replaced before normal operation is resumed. (4) Power transmission devices and any associated moving parts shall be shielded, enclosed, or barricaded to provide proper protection. (5) If it is reasonably foreseeable that parts can break free from a power transmission device, the owner shall make provisions to contain the components. (6) Temporary guards shall be secured to prevent movement or tip-over if a person falls or stumbles against the temporary guard. (7) A guard or barrier shall be designed so that it does not pose a hazard in itself. G. Hair Guards. If it is reasonably foreseeable that a mounting on an amusement attraction can catch or entangle long hair, the amusement attraction shall be equipped with a hair guard. H. Seating. (1) Tubs, cars, chairs, seats, gondolas, and other carriers used on an amusement attraction shall be designed, constructed, and maintained in accordance with this chapter and manufacturer's specifications. (2) Parts of an amusement attraction that riders may reasonably be expected to come in contact with shall be smooth and free from unprotected protruding studs, bolts, screws, sharp edges, and rough or splintered surfaces. (3) Parts on or against which a rider may be thrown by action of the amusement attraction shall be adequately padded to prevent or minimize the possibility of injury. (4) Upholstery and padding shall be kept in good repair and free of loose portions. I. Safety Retaining Devices. (1) Safety retainers shall be provided, where possible, on tubs, cars, chairs, seats, gondolas, or other carriers that depend on a single means of attachment or support. (2) Safety retainers shall be designed and installed to prevent a carrier from being catapulted if it becomes disengaged from its support or attachment. J. Restraining and Containing Devices. (1) A restraining or containing device, or a combination of the two, shall be provided on tubs, cars, chairs, seats, gondolas, or other carriers if: (a) Forces resulting from operation, mechanical malfunction, or both, may unseat or dislodge a rider; (b) Inadvertent movement of a rider may cause injury to the rider or another rider; or (c) The speed of the amusement attraction may present a hazard to a rider. (2) A restraining or containing device shall be designed, constructed, installed, and maintained to withstand the intended forces produced by the amusement attraction and the reasonably foreseeable actions of the rider. (3) Anchorage for a restraining or containing device shall have strength at least equal to the strength of the device. (4) A restraining or containing device: (a) Shall provide safe support for riders; (b) Shall be designed to prevent inadvertent release by a rider or by accidental means while the amusement attraction is in motion; and (c) May not pose a hazard in itself. K. Speeding and Overloading. (1) An owner may not permit an amusement attraction to be: (a) Loaded beyond its rated capacity; or (b) Operated at an unsafe speed or at any speed other than that prescribed by the manufacturer's specifications. (2) Speed-Limiting Device. If the amusement attraction is capable of exceeding the maximum speed, then a speed-limiting device shall be installed and functional to ensure that the amusement attraction does not exceed the maximum prescribed speed. L. Brake System. (1) The owner shall ensure that a braking system is utilized if coasting renders the operation dangerous: (a) During the period the amusement attraction is being loaded or unloaded; (b) In the case of power failure; or (c) In any other situation. (2) If the failure of the braking device results in an unsafe condition, the braking device shall be fail-safe. (3) If cars or other components of an amusement attraction may collide and cause personal injuries on failure of normal controls, an emergency system sufficient to prevent these collisions shall be provided. (4) An amusement attraction using inclined tracks, designed to operate in only one direction and having a lift hill with a vertical height exceeding 15 feet, shall have an automatic antirollback device sufficient to prevent rider-carrying units from moving backward if the propelling mechanism fails. M. Internal Combustion Power Sources. (1) Internal combustion power sources shall be: (a) Of adequate type, design, and capacity to accommodate the design load; (b) Located to permit proper maintenance; and (c) Protected by guards, fencing, or an enclosure to prevent exposure to hazards and to secure the equipment. (2) Engine exhaust shall be discharged away from the public, so as not to create a hazard. (3) Fire extinguishers shall be placed in locations that are readily accessible and compliant with COMAR 09.12.60.12B. (4) Fuel Tanks. (a) With the exception of go-kart operations as regulated under COMAR 09.12.64.10D, an amusement attraction shall be closed down and unloaded during refueling. (b) Refueling shall be in an area remote from the public. (c) Fuel supply may not be replenished while engines are operating. (5) Enclosed Areas. (a) An enclosed area in which an internal combustion engine is operated shall be adequately ventilated. (b) Engine exhaust fumes shall be discharged outside the enclosed area. #### Regulation .07 Location and Operation. *COMAR 09.12.62.07* A. Assembly and Disassembly. (1) The assembly and disassembly of an amusement attraction shall be performed: (a) In accordance with the manufacturer's procedures and specifications; (b) Using only manufacturer specified components, fasteners, and tools; (c) Under the immediate supervision of a person experienced and trained in the proper procedures; and (d) In a professional manner. (2) The public shall be prevented from entering areas in which amusement attractions are being assembled or disassembled. (3) Quality and Inspection of Parts. (a) During assembly, parts shall be closely inspected to discover wear or damage. (b) Excessively worn or damaged parts may not be used. (c) Replacement parts shall comply with Regulation .08F of this chapter. (d) Immediately after assembly, all fastening devices shall be inspected to ensure proper installation and compliance with the manufacturer's specifications. B. Location. (1) Layout of the amusement attraction shall be established to ensure: (a) Continuous traffic patterns; and (b) Accessibility of emergency personnel. (2) Unless unavoidable, rope, wire rope, or braces used to support an amusement attraction may not be located in pedestrian traffic patterns. If this is unavoidable, the support devices shall be clearly marked with streamers or other devices to attract attention. (3) The area surrounding the amusement attraction shall be clear of: (a) Trees and shrubs, if they pose a hazard; (b) Trash; and (c) Other tripping hazards. C. Foundation. (1) Temporary and Permanent Amusement Attractions. (a) A temporary or permanent amusement attraction shall be placed on a properly designed and constructed foundation or solid footing. (b) Except as provided in §C(1)(c) of this regulation, loose cement blocks, bricks, or similar type blocks may not be used as footings to support an amusement attraction. (c) Bricks or similar type blocks may be used on buildings for bumper cars and on platforms, cat walks, ramps, and stairs that do not bear the weight of the amusement attraction. (d) An amusement attraction shall be: (i) Set up in a manner to prevent shifting, tipping, or swaying; and (ii) If required by the manufacturer, secured to the foundation or footings. (e) Use of wood shim blocks shall be kept to a minimum, and, if used, the blocking shall be cribbed. (2) Temporary Amusement Attractions. (a) A daily inspection of an amusement attraction and its footings shall be performed while the amusement attraction is in motion as part of the daily inspection. (b) Depressions in the ground near an amusement attraction's footings shall be filled and tamped. (c) Adequate drainage shall be provided to prevent rain water from collecting and softening supporting areas. D. Leveling and Alignment. Amusement attractions that are designed to operate on a perpendicular or horizontal axis or have a combination of orbiting planes shall be: (1) Level, plumb, and secured to prevent the amusement attraction from shifting or tipping; and (2) Stable under all operating conditions. E. Operating Controls. (1) Each amusement attraction shall be provided with operating controls specifically designed to safely operate and control the amusement attraction. (2) Operating controls shall be located where the operator has an unobstructed view of the loading area. (3) Operating controls shall be provided with a stop switch that, when activated, stops the amusement attraction. (4) Resetting a stop switch may not automatically restart the amusement attraction. (5) An electrical safety stop circuit shall be a closed circuit so that, in case of power failure or malfunction of any element, the system will cause the amusement attraction to fail-safe. (6) After actuation of a stop, the cause shall be determined and any problem corrected before resuming operation of the amusement attraction. (7) Each amusement attraction shall have a means to prevent an automatic restart of the amusement attraction in the event of a power failure. (8) Safety stop circuits may not be bypassed during operation. (9) Programmable Logic Controller (PLC). (a) PLCs shall be designed, installed, and maintained by the amusement attraction manufacturer or a professional engineer. (b) Adjustments or alterations to a PLC shall be performed by the manufacturer or with the consent of the manufacturer by a professional engineer. (c) If the manufacturer of the PLC is no longer in business, adjustments or alterations may be performed by a professional engineer knowledgeable in PLC circuitry. #### Regulation .08 Maintenance. *COMAR 09.12.62.08* A. Each owner shall read and become familiar with the contents of the manufacturer's instructions and specifications for each amusement attraction owned and operated. B. The owner shall ensure that each amusement attraction is inspected each day before operation to ensure that: (1) No part is damaged, missing, or worn; and (2) The amusement attraction is compliant with the manufacturer's specifications. C. The owner shall keep and maintain a manual detailing the maintenance requirements as specified by the manufacturer or professional engineer for each amusement attraction owned. D. If for good cause an owner is unable to obtain a manufacturer's manual containing recommended maintenance procedures, the owner shall employ a licensed professional engineer to develop a maintenance manual that details the safe and appropriate maintenance of the amusement attraction. E. Lockout Device. (1) A means shall be provided to lock out or secure an amusement attraction or any associated equipment from all sources or potential sources of energy before performing maintenance, repair, or inspection. (2) Sources or potential sources of energy include, but are not limited to, electrical, mechanical, hydraulic, spring, gravity, and wind energy. (3) A lockout device shall be engaged before equipment is inspected or serviced. F. Replacement Parts. (1) Worn or damaged electrical components, mechanical parts and machinery shall be replaced in accordance with the manufacturer's specifications. (2) Replacement parts for amusement attractions shall be: (a) Procured from the manufacturer or an authorized parts supplier; (b) Produced using the original manufacturer's specifications; or (c) Produced using specifications derived from sufficient analysis to ensure that the parts are for equivalent functions and of equivalent quality to those provided by the original manufacturer. G. Wire Rope. (1) Wire rope shall be thoroughly examined as part of the daily inspection or at intervals specified by the manufacturer. (2) Damaged wire rope shall be replaced with new wire rope of the design and capacity specified by the manufacturer. (3) Wire rope shall be replaced as specified by the manufacturer or under the following conditions: (a) In running ropes, when there are six randomly distributed broken wires in one rope lay, or three broken wires in one strand in one rope lay; (b) In pendant rope or rope that bears the entire load and is subject to constant pressure and surge shocks, when there is more than one broken wire in one rope lay; (c) Severe corrosion; (d) Kinking, crushing, bird-caging, or other damage resulting in distortion of rope structure; (e) Heat damage; (f) For ropes with the following diameters, when there is the noted reduction in diameter as follows: (i) For normal diameter up to and including 3/4 inch, reduction of more than 3/64 inch; (ii) For normal diameter of 7/8 inch to 1-1/8 inches, reduction of 1/16 inch; and (iii) For normal diameter of 1-1/4 inches to 1-1/2 inches, reduction of 3/32 inch; and (g) Noticeable rusting or broken wire near an attachment. (4) Wire rope used to support, suspend, bear, or control forces and weights involved in the movement and use of tubs, cars, chairs, seats, gondolas, or other carriers, the sweeps, or other supporting members of an amusement attraction may not be lengthened or repaired by splicing. (5) Wire rope drums, sheaves, or any mechanical device that is in contact with wire rope shall be examined daily to ensure cleanliness, lubrication, and compliance with manufacturer's specifications. (6) Mechanical devices used in conjunction with wire rope shall be replaced immediately when worn or showing signs of undue roughness or uneven wear. H. Chains. (1) Chains used as a safety device or in a stress-bearing situation shall comply with the manufacturer's specifications or be approved for such use by a licensed professional engineer. (2) Noncertified chain, including, but not limited to, twisted wire or stamped tin, may not be used. I. Articulations and Bearings. Articulating pinions, frames, sweeps, eccentrics, bearing surfaces, ball joints, and other mechanical parts shall be: (1) Inspected for wear, out-of-round, cracks, and other signs of deterioration; (2) Kept well-lubricated; and (3) Maintained consistent with manufacturer's specifications. J. Wood Components. (1) Wood components shall be inspected daily to ensure continued safe operation of the amusement attraction. (2) Wood components, when found to be defective or deteriorated, shall be repaired or replaced before operating the amusement attraction. (3) Pilings. (a) To check deterioration of a piling, a minimum of 18 inches of soil, with respect to grade, shall be removed around a piling or wood member embedded in dirt for support. (b) After inspection, the dirt shall be replaced by tamping it into place and forming a mound to shed water away from the piling. (4) Ground level concrete piers shall be used when the wood piling requires replacement. (5) A defective wood member shall be replaced with material of equal or greater strength as specified by the manufacturer or a licensed professional engineer. (6) Repair and replacement of wood components as part of a fixed roller coaster shall be made in accordance with the manufacturer's specifications. K. Nondestructive Testing (NDT). (1) NDT shall be conducted as recommended by the manufacturer or as required by the Commissioner. (2) When a manufacturer's specifications make no provisions for NDT and if the Commissioner considers it appropriate, the Commissioner may require NDT of components by an approved testing facility. (3) NDT Results. (a) NDT results shall: (i) List the date of the test, the amusement attraction owner, and the serial or identification number of the device; (ii) Be kept with the amusement attraction to the extent feasible or at a central location at the site of operation; and (iii) Be maintained for 1 year. (b) A copy of the NDT results shall be provided to the Commissioner on request. (4) NDT shall be performed by a qualified NDT inspector in accordance with ASTM E 543-06. (5) Components found to have relevant indications that do not meet the acceptance criteria shall be replaced or reconditioned in accordance with manufacturer's specifications. #### Regulation .09 Amusement Attraction Operating Records and Reports. *COMAR 09.12.62.09* A. Daily Inspection Reports. (1) Daily inspection reports shall be: (a) Signed by the person performing the inspection immediately upon completion of the inspection; (b) Kept with the amusement attraction or at an on-site office; and (c) Maintained for at least 30 days. (2) Copies of daily inspection reports shall be made available to the Commissioner on request. B. Daily Electrical Inspection Report. (1) The owner shall ensure that a qualified person performs an inspection of the electrical system each day before operation. (2) A copy of the electrical inspection report shall be: (a) Signed by the person performing the inspection; (b) Kept with the amusement attraction or at an on-site office; (c) Maintained for at least 30 days; and (d) Provided to the Commissioner upon request. C. NDT Results. (1) The owner shall maintain a copy of the NDT results if required by Regulation .18K of this chapter for a period of 1 year: (a) With the amusement attraction; (b) At an on-site office; or (c) Otherwise readily available. (2) A copy of the NDT results shall be provided to the Commissioner on request. D. An owner shall immediately notify the Commissioner of a major breakdown. E. Written Log. (1) An owner shall ensure that a written log is: (a) Maintained containing any reports from riders complaining of adverse physical effects or operating inconsistencies occurring during the operation of an amusement attraction; and (b) Submitted to the Commissioner when multiple reports of a particular nature that may indicate a pattern are shown on the log. (2) A copy of the log shall be made available to the Commissioner upon request. F. Identification Records. An owner shall maintain a record of operator and attendant identification that includes the following for each operator and attendant: (1) Name, address, and phone number; and (2) Identification number, if any. G. Record of Training. (1) Each owner shall: (a) Maintain a record of the training provided to each operator and attendant; and (b) Provide the Commissioner with a copy of the record of training on request. (2) The training record shall indicate the following for each operator or attendant: (a) The name or identification number; (b) A detailed description of the training provided; and (c) A list of all the amusement attractions for which the operator and attendant received training. #### Regulation .10 Design Criteria. *COMAR 09.12.62.10* A. Scope. This regulation does not apply to an amusement attraction that has operated in Maryland prior to January 2008 unless there is a major modification. B. Owners shall ensure that new amusement attractions and amusement attractions with major modifications that are operated in the State meet the criteria set forth in this regulation. C. Except as otherwise provided in this regulation, amusement attractions manufactured after January 2008 shall comply with ASTM F 2291—04 and conform to accepted engineering practices and standards. D. The owner of an amusement attraction subject to §C of this regulation shall provide the Commissioner with: (1) A copy of the operations and maintenance manuals, assembly instructions, and testing requirements; (2) Certification records from the manufacturer or a licensed professional engineer verifying that the amusement attraction is compliant with ASTM F 2291—04; and (3) If requested, general design criteria as outlined in ASTM F 2291—04, Section 5. E. Amusement attractions that are specifically excluded from ASTM F 2291—04 and manufactured after January 2008 shall conform to recognized engineering practices, procedures, standards, and specifications. F. The owner of an amusement attraction subject to §E of this regulation shall provide the Commissioner with: (1) Certification from a licensed professional engineer verifying that design data specific to the amusement attraction, including, but not limited to, stress analysis and safety factors along with the materials and components being used, are structurally sound and conform to recognized engineering practices, procedures, standards, and specifications; (2) A copy of the manufacturer's operating specifications, maintenance manuals, assembly instructions, and testing requirements; and (3) If requested, other pertinent data considered necessary by the Commissioner. G. Amusement attractions that were previously registered and allowed to operate in Maryland and that have undergone a major modification subsequent to January 2008 shall be certified by a professional engineer that the modifications are consistent with accepted engineering practices and standards and ASTM F 2291—04. H. The owner of an amusement attraction subject to §G of this regulation shall provide the Commissioner with: (1) Certification from a licensed professional engineer verifying that design data specific to the amusement attraction, including, but not limited to, stress analysis and safety factors along with the materials and components being used, are structurally sound and conform to recognized engineering practices, procedures, standards, and specifications; (2) A copy of the manufacturer's operating specifications, maintenance manuals, assembly instructions, and testing requirements; and (3) If requested, other pertinent data considered necessary by the Commissioner. I. The owner of an existing amusement attraction manufactured before January 2008 of a particular design that had not previously operated in Maryland shall provide the Commissioner with: (1) Certification records from a licensed professional engineer verifying that the amusement attraction and the materials and components being used are structurally sound and conform to recognized engineering practices, procedures, standards, and specifications; and (2) A copy of the manufacturer's operating specifications, maintenance manuals, assembly instructions, and testing requirements. J. If the manufacturer's specifications of an amusement attraction subject to §I of this regulation are unavailable for good reason, the owner shall: (1) Develop specifications that ensure safe assembly, operation, repair, maintenance, testing, and disassembly of the amusement attraction; (2) Employ a licensed professional engineer to certify that the specifications are consistent with accepted engineering practices and standards and ASTM F 2291—04; and (3) If requested, provide other pertinent data considered necessary by the Commissioner. K. Copies of all documents provided to the Commissioner shall be in English. #### Regulation .11 Access, Egress, and Walking Surfaces. *COMAR 09.12.62.11* A. General Requirements. (1) All amusement attractions shall have a safe and adequate means of access and egress. (2) All walking surfaces, including, but not limited to, loading and unloading areas, platforms, landings, stairs, and ramps shall be stable, firm, and slip-resistant. (3) If there is the potential for exposure to a fall distance exceeding 30 inches, the owner shall take action to inhibit such falls. B. Stairways, Ramps, Landings, and Platforms. (1) Adequate stairways, ramps, landings, and platforms shall be provided at the entrance to and exit from an amusement attraction that is above or below grade or floor level. (2) Stairways, landings, and ramps shall be designed and constructed using a safety factor of 5 to safely sustain the load that may be imposed on it. (3) Stairways and ramps shall be at least 22 inches wide. (4) A stairway shall be provided at entrances and exits where there is a break in elevation of 19 inches or more, and no ramp, runway, or sloped embankment is provided. (5) Stair treads shall be at least 10-1/2 inches deep, exclusive of nosing, and comply with the following: (a) The height of rise may not exceed 9 inches; and (b) Between any two levels, stair treads shall be of uniform depth and the risers of uniform height. (6) The maximum slope of any ramp may not exceed 1:12. C. Passageways. (1) Passageways shall be: (a) At least 22 inches wide; and (b) Kept free of debris, obstructions, projections, and other hazards. (2) Surfaces shall be constructed and maintained to prevent slipping and tripping. (3) Floors shall be kept free of protruding nails, splinters, holes, or loose boards. (4) When mechanical equipment is used, appropriate guarding and sufficient safe clearances shall be maintained. D. Handrails and Guardrails. (1) Regardless of width, ramps and all stairs with more than one step riser shall have, on both sides, a handrail of sufficient strength and structure to provide safe support. (2) Handrails shall be continuous without interruption and shall be free of any sharp or abrasive elements. (3) Stairways and ramps 88 inches or greater in width shall have a handrail placed approximately in the center, located not more than 4 feet from any point on the stair or ramp. (4) Handrails may not encroach on the clearance envelope of the amusement attraction. (5) When guardrails are used, they shall be capable of withstanding a load of at least 200 pounds applied in any direction at any point on the rail. (6) Guardrails, except for barriers, guardrails, or similar means that were originally designed and manufactured as a component of the amusement attraction, shall be of a height at least 42 inches above the surface on which persons stand. E. Fences and Gates. (1) An owner shall ensure that each amusement attraction is protected in a manner sufficient to prevent the general public from coming in contact with an amusement attraction or gaining access to the path or course of the amusement attraction while the amusement attraction is in operation if such access or contact would present a hazard. (2) Fences and gates shall be constructed to meet the following minimum requirements: (a) Fences shall be designed and constructed of durable materials and erected to inhibit overturning by spectators or riders; and (b) Fences and gates shall be constructed as to inhibit: (i) Spectator contact with the amusement attraction; (ii) Rider contact with fences or gates; and (iii) Contact between a spectator and rider while the amusement attraction is in operation. (3) When fences and gates are provided, they shall be of a height at least 36 inches above the surface on which the spectators or riders stand. (4) Gates shall: (a) Be provided at each entrance and exit; and (b) Unless equipped with a positive latching or holding device, open away from the amusement attraction. (5) A gate shall be designed so that if opened during the operating cycle, the gate will not come in contact with the amusement attraction or cause a hazard to riders. (6) Replacement fences, gates, and guardrails shall comply with ASTM F 2291—04, Section 14. #### Regulation .12 Signage. *COMAR 09.12.62.12* A. When a manufacturer or the Commissioner requires a restriction on the use of an amusement attraction, such as the age or weight of a rider, a legible sign indicating the restriction shall be posted in full view of individuals seeking admission to the amusement attraction: (1) At the location specified by the manufacturer; (2) At the entrance of the amusement attraction; or (3) Close to the amusement attraction. B. All amusement attractions shall have a sign posted indicating the height or age restriction, or both, for that amusement attraction. C. Entrances to machinery rooms or restricted areas shall have a sign posted warning unauthorized persons not to enter. #### Regulation .13 General Environment. *COMAR 09.12.62.13* A. The following procedures shall be implemented during a lightning or high wind storm, tornado or severe storm warning, fire, or if violence, riot, or civil disturbance occurs or threatens to occur in an amusement park, carnival lot, or fair: (1) The manufacturer's wind-related and weather-related restrictions shall be followed during periods of high wind or storm; (2) Each rider shall be unloaded or evacuated safely from the amusement attraction immediately; and (3) The amusement attraction shall be closed and secured immediately. B. Illumination. (1) Each amusement attraction, including entrances and exits, shall be adequately illuminated to ensure rider safety. (2) For the assembly and disassembly of amusement attractions and temporary structures, all work areas shall be adequately illuminated to ensure public safety. #### Regulation .14 Fire Protection. *COMAR 09.12.62.14* A. Flammable and Combustible Liquids. (1) An owner shall store and handle liquid petroleum gases and flammable liquids as required under the: (a) Occupational Safety and Health Standards—29 CFR §1910.106 (OSHA); and (b) National Fire Protection Association (NFPA) standards adopted by the State Fire Marshal or designee or the Baltimore City Fire Prevention Bureau. (2) Gasoline and other flammable liquids or gases shall be stored in listed and labeled containers in a location that is: (a) Reasonably cool and ventilated; (b) Not accessible to the public; and (c) At least 20 feet from an amusement attraction or other flammable material. (3) Flammable or combustible waste materials, such as oily rags, shall be stored in a covered metal container that is: (a) Properly identified; and (b) Kept at least 20 feet from an amusement attraction. B. Fire Extinguishers. (1) An owner shall provide at least one portable fire extinguisher having an ABC rating, as defined by the National Electrical Code, ANSI/NFPA #70, of not less than 10 pound capacity. (2) The fire extinguisher shall be located not less than 25 feet, or more than 75 feet, from any flammable or combustible: (a) Liquid storage; or (b) Liquid-powered amusement attraction or portable generator. #### Regulation .15 Equipment and Materials. *COMAR 09.12.62.15* A. If amusement attractions use mechanical, pneumatic, or hydraulic energy, these systems shall have a means of being locked out, when necessary, for performing maintenance or inspections. B. Pressure vessels and pressure vessel systems shall conform to the requirements of the Maryland Boiler and Pressure Vessel Safety Act, Public Safety Article, §§12-901—12-919, Annotated Code of Maryland, and COMAR 09.12.01, including the inspection requirements. C. Hydraulic Systems. (1) Hydraulic systems and other related equipment used in connection with an amusement attraction shall be: (a) Maintained to ensure safe operation at all times; (b) Equipped with a relief valve; (c) Equipped with a manual lowering valve, if applicable; and (d) Inspected for leaks, damaged pipes, and worn or deteriorated hoses before each operation. (2) A pressure gauge shall be required for all hydraulic systems and conspicuously marked with the maximum safe working pressure. (3) A flexible hose shall be: (a) Compliant with the manufacturer's specifications; (b) Compatible with the fluid used in it; and (c) Inspected to ensure proper installation. D. Welding. Welding, welding procedures, and welding procedure documentation shall comply with ASTM F 2291—04, Section 15. E. Fasteners. (1) All fasteners shall conform to the manufacturer's specifications or accepted engineering practices. (2) Owners shall comply with: (a) The manufacturer's torque specifications and replacement schedules; or (b) Accepted engineering practices. F. Machinery and Machine Guarding. (1) The owner shall install machine guards or apply other appropriate measures to protect persons from contact with belts, chains, pulleys, gears, and similar moving components. (2) Guards shall be: (a) Designed to perform a specific task; (b) Properly secured; and (c) Properly maintained in a condition consistent with the intent of the guards' design. (3) Before a guard is removed for maintenance purposes, the equipment shall be locked out or tagged out. The guard shall be replaced before normal operation is resumed. (4) Power transmission devices and any associated moving parts shall be shielded, enclosed, or barricaded to provide proper protection. (5) If it is reasonably foreseeable that parts can break free from a power transmission device, the owner shall make provisions to contain the components. (6) Temporary guards shall be secured to prevent movement or tip-over if a person falls or stumbles against the temporary guard. (7) A guard or barrier shall be designed so that it does not pose a hazard in itself. G. Hair Guards. If it is reasonably foreseeable that a mounting on an amusement attraction can catch or entangle long hair, the amusement attraction shall be equipped with a hair guard. H. Seating. (1) Tubs, cars, chairs, seats, gondolas, and other carriers used on an amusement attraction shall be designed, constructed, and maintained in accordance with this chapter and manufacturer's specifications. (2) Parts of an amusement attraction that riders may reasonably be expected to come in contact with shall be smooth and free from unprotected protruding studs, bolts, screws, sharp edges, and rough or splintered surfaces. (3) Parts on or against which a rider may be thrown by action of the amusement attraction shall be adequately padded to prevent or minimize the possibility of injury. (4) Upholstery and padding shall be kept in good repair and free of loose portions. I. Safety Retaining Devices. (1) Safety retainers shall be provided, where possible, on tubs, cars, chairs, seats, gondolas, or other carriers that depend on a single means of attachment or support. (2) Safety retainers shall be designed and installed to prevent a carrier from being catapulted if it becomes disengaged from its support or attachment. J. Restraining and Containing Devices. (1) A restraining or containing device, or a combination of the two, shall be provided on tubs, cars, chairs, seats, gondolas, or other carriers if: (a) Forces resulting from operation, mechanical malfunction, or both, may unseat or dislodge a rider; (b) Inadvertent movement of a rider may cause injury to the rider or another rider; or (c) The speed of the amusement attraction may present a hazard to a rider. (2) A restraining or containing device shall be designed, constructed, installed, and maintained to withstand the intended forces produced by the amusement attraction and the reasonably foreseeable actions of the rider. (3) Anchorage for a restraining or containing device shall have strength at least equal to the strength of the device. (4) A restraining or containing device: (a) Shall provide safe support for riders; (b) Shall be designed to prevent inadvertent release by a rider or by accidental means while the amusement attraction is in motion; and (c) May not pose a hazard in itself. K. Speeding and Overloading. (1) An owner may not permit an amusement attraction to be: (a) Loaded beyond its rated capacity; or (b) Operated at an unsafe speed or at any speed other than that prescribed by the manufacturer's specifications. (2) Speed-Limiting Device. If the amusement attraction is capable of exceeding the maximum speed, then a speed-limiting device shall be installed and functional to ensure that the amusement attraction does not exceed the maximum prescribed speed. L. Brake System. (1) The owner shall ensure that a braking system is utilized if coasting renders the operation dangerous: (a) During the period the amusement attraction is being loaded or unloaded; (b) In the case of power failure; or (c) In any other situation. (2) If the failure of the braking device results in an unsafe condition, the braking device shall be fail-safe. (3) If cars or other components of an amusement attraction may collide and cause personal injuries on failure of normal controls, an emergency system sufficient to prevent these collisions shall be provided. (4) An amusement attraction using inclined tracks, designed to operate in only one direction and having a lift hill with a vertical height exceeding 15 feet, shall have an automatic antirollback device sufficient to prevent rider-carrying units from moving backward if the propelling mechanism fails. M. Internal Combustion Power Sources. (1) Internal combustion power sources shall be: (a) Of adequate type, design, and capacity to accommodate the design load; (b) Located to permit proper maintenance; and (c) Protected by guards, fencing, or an enclosure to prevent exposure to hazards and to secure the equipment. (2) Engine exhaust shall be discharged away from the public, so as not to create a hazard. (3) Fire extinguishers shall be placed in locations that are readily accessible and compliant with Regulation .14B of this chapter. (4) Fuel Tanks. (a) With the exception of go-kart operations as regulated under COMAR 09.12.64.10D, an amusement attraction shall be closed down and unloaded during refueling. (b) Refueling shall be in an area remote from the public. (c) Fuel supply may not be replenished while engines are operating. (5) Enclosed Areas. (a) An enclosed area in which an internal combustion engine is operated shall be adequately ventilated. (b) Engine exhaust fumes shall be discharged outside the enclosed area. ### Chapter 63 — Water Slides Erected Permanently or Temporarily in the State **Authority:** Business Regulation Article, §§3-307—3-313, Annotated Code of Maryland **Administrative History:** Effective date: October 15, 1986 (13:16 Md. R. 1826) **Administrative History:** Regulation .07A amended effective June 12, 1989 (16:11 Md. R. 1218) **Administrative History:** Regulation .08 amended effective June 12, 1989 (16:11 Md. R. 1218) #### Regulation .01 Purpose. *COMAR 09.12.63.01* A. This chapter establishes specific requirements for water slides in addition to the general requirements contained in COMAR 09.12.62, in order to ensure that water slides erected permanently or temporarily in the State are safely constructed, operated, and maintained. B. Design, construction, maintenance, and operation requirements for any public swimming pool associated with a water slide are under the jurisdiction of the Maryland Department of Health. #### Regulation .02 Definitions. *COMAR 09.12.63.02* A. The following terms have the meanings indicated. B. Terms Defined. (1) “Deck” means the area surrounding a pool or flume which is specifically constructed or installed for use by sliders. (2) “Dispatcher” means the attendant who directly controls the operation at the top of the water slide. (3) “Flume” means an inclined channel containing water which provides a transit path for conveying people. (4) “Grouping” means more than two persons. (5) “Runout” means the horizontal portion at the end of a flume which contains a flow of water and allows for safe deceleration and exit of sliders. (6) “Splash pool” means a pool at the base of the slide from which sliders exit to the deck. (7) “Splash pool supervisor” means the attendant who directly controls the activity in the splash pool and immediate vicinity. (8) “Upper pool” means a shallow trough or pool at the top of the slide where the slider begins the descent. (9) “Water slide” means a recreational device which: (a) Has a total vertical drop of 10 feet or more; (b) Uses flowing water to provide low friction in the slide bed or flume; (c) Is designed to provide a descending ride into a splash pool or runout at the base of the slide; and (d) May consist of one or more flumes, an upper pool, a splash pool, a pump reservoir, and water treatment and pumping facilities. #### Regulation .03 Manual. *COMAR 09.12.63.03* A. Each owner of a water slide shall develop or obtain a detailed written operational manual for all phases of operation and maintenance of each component of the water slide. B. Each owner shall ensure that the manual is legible, in English, and readily accessible. C. The manual shall include: (1) Water slide maintenance and cleanup procedures; (2) Repair procedures for water slides and decks; (3) Equipment operation instructions; (4) Inspection procedures; (5) Operator job descriptions; (6) First aid procedures; (7) A list of emergency medical telephone numbers; (8) Recordkeeping logs for: (a) Operational activities including daily inspections; and (b) Injuries; (9) A written emergency plan which, in addition to the requirements contained in COMAR 09.12.62.08, includes: (a) Procedures for cessation of slide operations when: (i) The water supply is cut off; or (ii) A power outage occurs during nighttime operations; (b) Methods of crowd control during general evacuation of the water slide; (c) Provisions for first aid; (d) Employee responsibilities; and (e) An effective signaling system such as warning bells or bull horns. #### Regulation .04 Posted Warning Signs. *COMAR 09.12.63.04* A. At the entrance of each water slide, the owner shall post a sign conveying the following directions: (1) Obey all instructions given by the dispatcher and splash pool supervisor who have the authority to prevent any condition which leads to unsafe operation of the water slide; (2) The following activities are strictly prohibited: (a) Use of this slide when under the influence of alcohol or drugs; (b) Diving, running, standing, kneeling, rotating, tumbling, or stopping in flumes or tunnels; (c) Traveling head first down slide; and (d) Grouping or forming chains; (3) Hands shall be kept inside the flume; (4) After exiting from slide, sliders shall leave the splash pool promptly; (5) Glass, bottles, or food are not allowed in water slide vicinity. B. The directions contained in §A(2)(a) and (5) of this regulation may be posted at the entrance of the park. C. The directions may be conveyed by means of words, in English and, if appropriate, in other languages, pictures, symbols, or any combination of them. D. The sign shall: (1) Be constructed of wood, metal, or other material which can endure for several years; (2) Be constructed and placed in such a manner that it poses no hazard; and (3) Contain lettering at least 1 inch high, on a contrasting background. #### Regulation .05 Daily Inspections. *COMAR 09.12.63.05* A. Inspections and Records. (1) In accordance with COMAR 09.12.62.09, the water slide owner shall ensure that the water slide is inspected on each day of use to determine that: (a) The water slide is in safe operating condition; and (b) Conforms to the requirements in this chapter and COMAR 09.12.62. (2) The owner shall ensure that the inspections are conducted in a manner which permits close scrutiny of the slide and all of its parts. (3) Appropriate records shall be kept. B. The flume shall be inspected before the water is circulated, and in accordance with the manufacturer's specifications. C. Before the water is circulated, the water slide shall be inspected for safety hazards, including, but not limited to: (1) Loose railings; (2) Leaking seals at the butt-joints which affect operational safety; (3) Rough patching of cracks or joints; (4) Loose or missing guards on the flume turns; (5) Sharp edges on the flume safety rails; (6) Projections into the flume troughs; (7) Unusual movement of the flume bed; (8) Evidence of deterioration of the wooden flume support structures; (9) An obstructed view of the splash pool at the exit of the flume. D. During slide operation the owner or the owner's designee shall periodically: (1) Observe the movement of the sliders, including: (a) The location of the sliders' bodies on side walls during turns; (b) Sliders' impacts with flume walls; and (c) Safety during sliders' exits into the splash pool; (2) Determine if any injuries have occurred which indicate a water slide hazard which may require additional inspection; (3) Ensure that there is a proper and steady flow of water throughout the flume. #### Regulation .06 Control of Operation. *COMAR 09.12.63.06* A. The owner of a water slide shall: (1) Provide a sufficient number of attendants, at least two, to ensure: (a) Positive control of the water slide and each flume when in operation; and (b) That sliders comply with posted signs; (2) When determining the requisite number of attendants, take into account the: (a) Design and type of slide; (b) Proximity of the flumes; and (c) Number of sliders. B. Each water slide attendant shall be trained in: (1) The use and function of water slide equipment which the attendant may operate; (2) Procedures for slide operations and slider control; (3) The directions to sliders which are posted; and (4) The water slide's general emergency plan. C. At least one attendant shall be a dispatcher who is: (1) Trained in accordance with §B of this regulation; (2) In the immediate vicinity of the top of the slide during operation of the water slide; and (3) Responsible for: (a) Controlling crowds and sliders starting from the top of the water slide; (b) Controlling the timing of each slider on the slide; and (c) Supervising all visible portions of the flume. D. At least one attendant shall be a splash pool supervisor who is: (1) Trained in accordance with §B of this regulation; (2) Qualified in life saving techniques through Red Cross training or its equivalent; (3) In the immediate vicinity of the splash pool during operation of the slide; and (4) In direct control of sliders in the splash pool by: (a) Keeping sliders moving into and out of the splash pool in a quick and orderly manner; and (b) Controlling any horseplay, running, or unsafe behavior in the lower flumes, the splash pool, and the pool deck. #### Regulation .07 Design Criteria. *COMAR 09.12.63.07* A. Scope. (1) The design criteria contained in COMAR 09.12.62.10 apply to all water slides. (2) The criteria contained in this regulation shall apply to any slide for which: (a) A construction permit is issued after the effective date of this chapter; or (b) Construction or renovation has begun after the effective date of this chapter. B. Overall Design. (1) The slide's structural design and materials shall: (a) Comply with generally accepted structural engineering practices; and (b) Provide a durable frame which shall safely sustain all weights and pressures for the projected operating life of the structure. (2) The materials for components and accessories to be used in and around slides shall be such that the operational strength of the entire assembly and its components is not adversely affected by exposure to rain, snow, ice, sunlight, local normal temperature extremes, local normal wind variations, local air pollution products, and the mechanical, electrical, and chemical environment in and around the slides. (3) Materials selected for components and accessories used in and around slides shall be such that all parts with external surfaces and edges that may come in contact with the slider are assembled, arranged, and finished so that they do not constitute a cutting, pinching, puncturing, or abrasion hazard in casual contact or intended use. (4) Surfaces shall be inert, nontoxic, smooth, and easy to clean. (5) The flumes shall be designed or ventilated, or both, to prevent concentrations of toxic disinfectant fumes. C. Water Slide Flume. (1) Curves, turns, and tunnels within the path of a slide flume shall be designed so that body impact with the walls of the flume or ceiling of a tunnel does not present a hazard. (2) The slide flume shall be banked to keep the slider's body safely inside the flume or curve under all foreseeable circumstances. (3) Slopes within the path of the slide flume shall be designed so that the slider's speed does not exceed the level when a safe equilibrium of dynamic forces can be maintained on any curve or turn. (4) The construction, dimensions, and attachment of slide flume bed components shall be such that the surface of the slide flume is continuous and smooth. (5) The walls of the flume shall be designed so that the continuous and combined action of hydrostatic, dynamic, and static loads, and normal environmental deterioration do not cause structural failures which could result in injury or require patching of the original structure. D. Flume Exit. (1) When the water slide ends in a splash pool, the following requirements apply: (a) The pool shall be of sufficient length and width so as to preclude a slider from contacting the walls, adjacent flume exits, and sliders exiting from multiple exit flumes; (b) Unless the manufacturer specifies otherwise, the flumes shall terminate: (i) At a depth of at least 6 inches below the splash pool's operating water surface level; or (ii) If the flume is level for a distance of at least 10 feet from its exit, at a height not more than 2 inches above the water's surface. (2) When the water slide ends in a runout, the owner shall ensure that the runout is of a sufficient length to allow for the safe deceleration of sliders. E. Splash Pool. (1) Unless the manufacturer specifies otherwise, a splash pool depth of at least 3 feet shall be provided at the end of each flume for a distance of at least 20 feet. (2) Inlets from the water circulation system shall be designed so as to prevent injury to the splash pool user. #### Regulation .08 Access, Egress, and Walking Surfaces. *COMAR 09.12.63.08* In addition to the access, egress, and walking surfaces requirements contained in COMAR 09.12.62.11, the owner shall ensure that the means of access and egress are slip-resistant and do not retain standing water. ### Chapter 64 — Amusement Ride Safety Standard for Go-Kart Operations **Authority:** Business Regulation Article, §§3-307—3-313, Annotated Code of Maryland **Administrative History:** Effective date: May 28, 1990 (17:10 Md. R. 1219) **Administrative History:** Regulation .06D amended effective April 13, 1992 (19:7 Md. R. 745) **Administrative History:** Regulation .07 amended effective April 13, 1992 (19:7 Md. R. 745) **Administrative History:** Regulation .08 amended effective April 13, 1992 (19:7 Md. R. 745) #### Regulation .01 Scope. *COMAR 09.12.64.01* A. This chapter applies to go-kart operations. B. This chapter does not preclude or preempt the applicability of COMAR 09.12.62 to go-kart operations. #### Regulation .02 Purpose. *COMAR 09.12.64.02* The purpose of this chapter is to ensure that go-karts in the State are safely designed, operated, and maintained. #### Regulation .03 Definitions. *COMAR 09.12.64.03* A. The following terms have the meanings indicated. B. Terms Defined. (1) “Go-kart operation” means a facility having at least one track on which at least one kart operates. (2) “Kart” means a self-propelled motorized vehicle that is designed to be driven on a go-kart track where the driver has full control over acceleration from a stopped position, deceleration, stopping, and steering of the vehicle. (3) “Operator” means a person who directly controls the loading and unloading of riders and activity on the go-kart track and immediate vicinity. (4) “Slick track” means a track designed to allow karts to slide. #### Regulation .04 Manual. *COMAR 09.12.64.04* A. Each owner of a go-kart operation shall develop a detailed written operational manual for the construction, operation, maintenance, and repair of the go-kart operation. B. Each owner shall ensure that the manual is legible, in English, and readily accessible to operators. C. The manual shall include: (1) Manufacturer specifications for kart maintenance, repair, operation, and inspection; (2) Track maintenance and repair procedures; (3) Equipment operation instructions; (4) Inspection procedures which include items specified in Regulation .06 of this chapter; (5) Operator job descriptions; (6) First aid procedures; (7) A list of emergency medical telephone numbers; (8) Recordkeeping logs for: (a) Operational activities, including daily inspections; and (b) Injuries; and (9) A written emergency plan which includes the requirements contained in COMAR 09.12.62.08. D. If manufacturer specifications for kart maintenance, repair, operation, and inspection are unavailable for good cause, the owner shall: (1) Develop specifications that shall ensure the safety of the riding public; and (2) Include the specifications in §D(1), of this regulation, in the manual. E. Each owner shall ensure compliance with the manual. F. The owner shall make the manual available to the Commissioner upon request. #### Regulation .05 Posted Warning Signs. *COMAR 09.12.64.05* A. At the entrance to the track, at the pit area, and at the ticket booth, the owner shall post a sign conveying the following instructions: (1) Obey all instructions given by the operator; (2) The following activities are strictly prohibited: (a) Use of a kart when under the influence of alcohol or drugs; (b) Bumping karts together; (c) Smoking in a kart or in any area posted with a no smoking sign; and (d) Weaving, cutting off, or horseplay on the track; (3) Loose clothing shall be secured; (4) Hair that is shoulder-length or longer shall be tied up; (5) Restraining devices, when provided, shall be worn; (6) Both hands shall be kept on the wheel when the kart is in operation; (7) Both feet shall be kept in the kart at all times; (8) Except for karts designed for two passengers, only one person may occupy each kart; (9) Remain inside the kart until directed by the operator to exit. B. Directional Signs. (1) At least one sign indicating the direction of travel shall be posted at the pit area. (2) Additional signs indicating the direction of travel shall be posted at regular intervals around the track perimeter. C. Signs shall be in English, or, if appropriate, in other languages, pictures, symbols, or any combination of these. D. A sign shall: (1) Be constructed of wood, metal, or other material which can endure for several years; (2) Be constructed, placed, and maintained in such a manner that it poses no hazard and is clearly visible; and (3) Contain lettering at least 1 inch high, on a contrasting background. #### Regulation .06 Daily Inspections. *COMAR 09.12.64.06* A. The owner shall ensure that a go-kart operation is inspected each day before the start of operation. B. The inspection and test shall be made: (1) By an owner or operator experienced and instructed in the proper assembly and operation of the amusement ride or attraction; and (2) In accordance with the specifications included in the manual. C. The owner shall inspect the go-kart operation to determine that the karts, tracks, and facility: (1) Are in safe operating condition; and (2) Conform to the requirements in this chapter and COMAR 09.12.62. D. The inspection of each kart shall: (1) Include the operation of: (a) Speed-limiting devices, (b) The brake system, and (c) Control devices; (2) Ensure that a part is not damaged, missing, or worn in a manner that is or may become unsafe. E. A record of each inspection shall be: (1) Made at once upon completion of the test; (2) Kept at a central location at the site of operation; (3) Maintained for 30 days; and (4) Made available to the Commissioner upon request. #### Regulation .07 Control of Operation. *COMAR 09.12.64.07* A. A kart shall be operated in accordance with the manual as required in Regulation .04 of this chapter. B. The owner shall authorize each operator to prevent unsafe conditions. C. The owner shall provide a sufficient number of operators to ensure that: (1) Karts are operated in a safe manner; and (2) Riders comply with the posted signs. D. When determining the number of operators to provide, the owner shall take into account the: (1) Design and size of the track; (2) Number of karts on the track; and (3) Capacity of the track. E. At least one operator shall be at each track during operation. F. Before assignment to a track, each operator shall be trained in: (1) The use and function of the kart; (2) Procedures for refueling; (3) Posted instructions for riders; (4) The go-kart operation's general emergency plan; and (5) Methods of controlling horseplay or unsafe behavior. G. Karts operating simultaneously on a track shall: (1) Operate at a rate of speed sufficiently similar to ensure that speed differentials pose no hazard; and (2) Be sufficiently similar in design to ensure that contact between karts does not result in: (a) The interlock of karts or kart parts; (b) A roll-over; or (c) Other similar hazards. H. Maximum Speed. (1) Each track shall have a maximum speed which ensures safe operation. (2) The maximum speed shall be one of the following: (a) The speed established by the Commissioner, after such investigation as the Commissioner deems appropriate; or (b) If the Commissioner does not establish a maximum speed, the speed established by the owner based on the following considerations: (i) Track design, including the grade; (ii) Track surface; (iii) Radius of the curves; and (iv) Age of the riders. (3) The owner shall ensure that a kart cannot be operated in excess of the maximum speed. I. Operating Speed. (1) Throughout each day's operation, the owner shall adjust the kart speed as necessary to ensure safe operation. (2) The operating speed may not exceed the maximum speed. (3) In determining the operating speed, the owner shall consider such factors as: (a) Age of riders; (b) Number of karts on the track; (c) Track conditions; and (d) Weather conditions. (4) An owner shall ensure that a kart cannot be operated in excess of the operating speed. #### Regulation .08 Design Criteria. *COMAR 09.12.64.08* A. Track. (1) The go-kart track shall be designed so that paths do not cross at any location. (2) Track Surface. The track surface shall: (a) Be hard and smooth; (b) Be kept free of ruts, holes, and bumps; and (c) Except for a slick track, provide road grip sufficient to enable a kart to be driven safely at the operating speed. (3) Loading and Unloading Area. (a) Each track shall have a designated area for loading and unloading passengers. (b) The owner or operator shall ensure that a passenger enters or leaves a kart only in the designated loading and unloading area. (c) The loading and unloading area of each track shall be designed and constructed to be: (i) Level; (ii) Graded; and (iii) Free from obstructions or obstacles. (d) Except for a track where all karts start and stop at the same time, the loading and unloading area shall be: (i) Designed and constructed to reduce the speed of an incoming kart; and (ii) Separated from the track by a barrier as described in §§A(4)(b)—(d) of this regulation. (e) The loading and unloading area for a track where all karts start and stop at the same time shall be: (i) Clearly marked as such; and (ii) Located so it will not inhibit the free flow of karts on the track. (4) Barriers. (a) A barrier shall be installed along the entire outer and inner edge of each track. (b) The barrier shall be designed to: (i) Prevent a kart from overturning or running over, under, or through the barrier; (ii) Minimize impact; (iii) Absorb shock; (iv) Keep a kart on the track area upon impact; and (v) Not be a hazard in itself. (c) The barrier shall be constructed: (i) To ensure the requirements listed in §A(4)(b) of this regulation are met; and (ii) Of material capable of withstanding impact, such as, but not limited to, wood, steel, or rubber tires. (d) When tires are used as a barrier, they shall be: (i) The same size; (ii) Stacked not more than two high; and (iii) Connected in such a manner to provide a continuous barrier. (5) Fencing. (a) Each go-kart operation shall be surrounded by a fence at least 42 inches high, with a gate and entrance and exit signs. (b) Pedestrian access to each track shall be fenced so that a pedestrian cannot enter the track area except through a track entrance gate. B. Karts. (1) A kart shall be designed in accordance with COMAR 09.12.62.10. (2) Exposed components on a kart, including but not limited to the steering wheel hub and headrest, which the rider may come into contact with in the case of impact or rollover, shall be padded and designed to minimize the risk of injury. (3) Engine parts that may become hot, mufflers, and all moving or rotating parts shall be shielded. (4) The brake and throttle pedal shall: (a) Be marked and identified; (b) Be foot-operated; and (c) Return to a nonoperational position when released. (5) The fuel system shall be: (a) Designed and mounted so that it may not be damaged from impact; (b) Located away from the exhaust. (6) The wheels of a kart shall be enclosed or guarded to avoid accidental contact with another kart wheel. (7) If kart speed and track design may contribute to a roll-over situation, a kart shall be equipped with roll-over protection, such as a roll bar or head pad. (8) Before January 1, 1991, if designed by the manufacturer, or if required by the Commissioner following such investigation as the Commissioner deems appropriate, a kart shall be equipped with an appropriate restraining device. (9) After December 31, 1990, each kart operated within the State shall have a lap and shoulder belt which is properly mounted, installed to ensure passenger safety, and effective to retain the passenger in the kart. #### Regulation .09 General Environment. *COMAR 09.12.64.09* A. If weather conditions make visibility by the operator or rider insufficient to ensure safe operation, the go-kart track shall be closed. B. During night-time operation, illumination adequate to ensure safe operation shall be provided. #### Regulation .10 Fire Protection. *COMAR 09.12.64.10* A. At each go-kart operation: (1) At least one fire extinguisher shall be located in the: (a) Pit area of each track; (b) Refueling area; and (c) Garage; (2) Fire extinguishers shall be located in the infield area as necessary to ensure safety and ready access. B. The fire extinguishers shall be: (1) Prominently marked; and (2) Easily accessible. C. No Smoking Sign. (1) A no smoking sign shall be posted in the pit area of each track, refueling area, garage, and in the infield area at locations to give adequate notice. (2) The no smoking signs shall be clearly visible. D. Karts shall be refueled: (1) At a designated location away from any area accessible to the public; (2) After the kart is: (a) Turned off; and (b) Evacuated. ### Chapter 65 — Passenger Ropeways *Repealed* **Administrative History:** Effective date: August 30, 2004 (31:17 Md. R. 1312) **Administrative History:** Regulation .01 repealed effective November 1, 2022 (49:21 Md. R. 951) **Administrative History:** Regulation .02 recodified to be COMAR 09.12.61.02 effective November 1, 2022 (49:21 Md. R. 951) ### Chapter 66 — Inflatable Amusement Attractions **Authority:** Business Regulation Article, §§3-204(c), 3-307—3-313 and 3-402, Annotated Code of Maryland **Administrative History:** Effective date: January 21, 2013 (40:1 Md. R. 20) **Administrative History:** Regulation .01B amended effective November 1, 2022 (49:21 Md. R. 951) **Administrative History:** Regulation .03B amended effective November 1, 2022 (49:21 Md. R. 951) **Administrative History:** Regulation .10 amended effective November 1, 2022 (49:21 Md. R. 951) **Administrative History:** Chapter revised as an emergency provision effective March 4, 2026 (53:6 Md. R. 285); emergency provision adopted effective May 11, 2026 (53:9 Md. R. 412) #### Regulation .01 Purpose. *COMAR 09.12.66.01* A. This chapter establishes safety standards for the installation, assembly, repair, maintenance, use, operation, disassembly, and inspection of inflatable amusement attractions operated in the State. B. COMAR 09.12.60 and 09.12.62 do not apply to inflatable amusement attractions. #### Regulation .02 Incorporation by Reference. *COMAR 09.12.66.02* In this chapter, the following documents are incorporated by reference to the extent that they are referenced in this chapter: A. The ASTM International Standards on Amusement Rides and Devices: F2374-22 Standard Practice for Design, Manufacture, Operation, and Maintenance of Inflatable Amusement Devices (2022) (ASTM F2374-22), excluding Sections 5.5.5.2(4), 5.12.7.2(2), 5.16.6, 7.5.4.1 reference to 7.9, 7.5.5.3(2), 7.7.4, 7.9, 7.10 & 7.11.1; and B. The National Electrical Code, ANSI/NFPA #70-2020, which is incorporated by reference in COMAR 20.50.02.02. #### Regulation .03 Definitions. *COMAR 09.12.66.03* A. In addition to terms defined in Business Regulation Article, §3-101, Annotated Code of Maryland, in this chapter the following terms have the meanings indicated. B. Terms Defined. (1) “ASTM” means ASTM International, originally known as the American Society for Testing and Materials. (2) “Attendant” means a person assigned to assist the operator in attending to the safety needs of users. (3) “Certificate of inspection of an inflatable amusement attraction” means a certificate issued by the Commissioner of Labor and Industry. (4) “Exit means a doorway or other opening affording safe and unobstructed egress. (5) “Fire official” means the authority having jurisdiction in the locality over matters relating to fire prevention and explosion. (6) “Inflatable amusement attraction” means an air-supported amusement attraction that: (a) Incorporates a structural and mechanical system; and (b) Uses a high strength fabric or film that achieves its strength, shape, and stability by tensioning from internal air pressure. (7) “Inflatable Amusement Attraction Daily Inspection and Daily Pre-Opening Checklist” means the Commissioner of Labor and Industry’s form to be completed by the owner prior to the operation of an inflatable amusement attraction. (8) “Operator” means a person who is trained and who is capable of identifying existing and predictable hazards involving the inflatable amusement attraction operation, and has the authority to control and eliminate any hazards. (9) “Owner” means a person, the State or a political subdivision of the State that owns an inflatable amusement attraction, or if the amusement attraction is leased, the lessee. (10) “Qualified person” means a person who has successfully demonstrated the ability to solve or resolve problems related to the subject matter or the work: (a) By possession of a recognized degree, certificate, or professional standing; or (b) By extensive knowledge, training, and experience. (11) “Permanently erected inflatable amusement attraction” means an inflatable amusement attraction erected in the same location for more than 30 consecutive days. (12) “Rated capacity” means a capacity: (a) Established by the manufacturer for the normal loading and operation of an inflatable amusement attraction by weight or number of users; or (b) If the manufacturer has not established a capacity, as established by the Commissioner after inspection. (13) “Safety work order” means a written demand issued by an authorized representative of the Commissioner to perform work that has potential safety impact if not corrected. (14) “Special inflated amusement structure” means a fun house, dark ride, walk through, haunted house, or any other similar inflated amusement attraction that uses air pressure to support the walls and roof of the structure. (15) “Sustained wind speed” means wind speed determined by averaging observed values over a two-minute period. (16) User. (a) “User” means any person who is a participant in the use of an inflatable amusement attraction as defined by the manufacturer’s specifications. (b) “User” does not include employees of the inflatable amusement attraction owner while engaged in the duties of their employment. (17) “Wind gust” means a rapid fluctuation of wind speed determined by averaging observed values over a two-minute period. #### Regulation .04 General Responsibility for Compliance. *COMAR 09.12.66.04* A. Each owner of an inflatable amusement attraction erected in the State shall: (1) Comply with the provisions of this chapter; and (2) Ensure that the manufacturer’s recommendations, specifications, and other requirements relating to safety in the erection, operation, maintenance, repair, and disassembly of the inflatable amusement attraction are followed. B. In the event of a conflict between a regulation under this chapter and a manufacturer’s specification, the owner shall comply with the provision that best ensures the safety of the public as determined by the Commissioner or his authorized representative. #### Regulation .05 Registration, Inspection, and Notice of Operation. *COMAR 09.12.66.05* A. Except as specified by law, an owner may not operate an inflatable amusement attraction unless the Commissioner has issued a certificate of inspection of an inflatable amusement attraction. B. Annually, each owner shall register with the Commissioner those inflatable amusement attractions that the owner intends to operate in Maryland that year and file a certificate of insurance indicating that the owner has obtained insurance in the amount of at least $200,000 against liability for injury to an individual that arises out of the use of the inflatable amusement attraction. C. Request for Certificate Inspection. (1) Each owner requiring a certificate inspection of an inflatable amusement attraction shall notify the Commissioner that the inflatable amusement attraction is ready for inspection by submitting a completed inspection request form at least 30 days in advance of the anticipated operation date. (2) If there is a cancellation or change in the schedule of location or dates after initial notification, an owner shall: (a) Immediately notify the Commissioner by telephone; and (b) Promptly confirm the change in writing. (3) If an owner is unable to provide the Commissioner with the required 30-day advance notice, the owner shall submit to the Commissioner an inspection request form along with a detailed explanation of the reason for the lack of advance notice. The Commissioner may grant the inspection request contingent upon the availability of State resources. (4) The inspection request form shall be furnished by the Commissioner. D. Notice of Operation. (1) At least 5 business days in advance of anticipated operation of an inflatable amusement attraction with a current certificate of inspection, an owner of an inflatable amusement attraction shall submit to the Commissioner an itinerary of scheduled locations and dates. (2) If there is a cancellation or change in the schedule of location or dates after submission of the itinerary, an owner shall: (a) Immediately notify the Commissioner by telephone, email, or fax; and (b) If by telephone, promptly confirm the change in writing. #### Regulation .06 Inspections. *COMAR 09.12.66.06* A. Inspection Hours. (1) Inflatable amusement attraction inspections will normally be conducted during the business hours of 8 a.m. through 5 p.m., Monday through Friday, excluding holidays. (2) The Commissioner may schedule inspections at other times when the Commissioner determines that there are extenuating circumstances. B. The Commissioner may review the following as part of the inspection: (1) The Daily Inspection Pre-Opening Checklist; (2) The owner’s manual; and (3) Other information as requested including, but not limited to, the manufacturer’s specifications. C. If after an inspection the Commissioner determines that corrective action is necessary, the Commissioner may issue a safety work order that details the required corrective action, including the time allowed for abatement of each action. D. In response to the issuance of a safety work order, the Commissioner may: (1) Grant an extension of the time allowed to abate the action; (2) Deny or revoke a certificate of inspection of an inflatable amusement attraction; or (3) Issue a citation with a penalty. E. If required, a certificate of inspection of an inflatable amusement attraction shall be posted in public view on or in front of the inflatable amusement attraction for which the certificate is issued. #### Regulation .07 Special Inflated Amusement Structures. *COMAR 09.12.66.07* A. For a special inflated amusement structure located in an amusement park, carnival, or fair, the owner shall make a request to the fire official for the jurisdiction where the amusement attraction is located for fire safety inspection: (1) Before operation at each location; and (2) When there is a change in construction, materials, or decorations. B. Exits. (1) At least two exits remote from each other shall be provided for each floor, tier, room, or balcony in a structure that contains a special inflatable amusement structure. (2) An exit may not be less than 22 inches wide. C. A certificate of inspection for an inflatable amusement attraction issued by the Commissioner is valid for the inflatable attraction only and does not address fire safety issues that may require review by the local fire official. #### Regulation .08 Information Panel and State Registration Sticker. *COMAR 09.12.66.08* A. Information Panel. (1) The information panel shall include the following, as applicable: (a) Serial number, which is a manufacturer-issued or owner-issued unique identifying number; (b) Name of the inflatable amusement attraction; (c) Manufacturer of the inflatable amusement attraction; (d) Date of manufacture, which is the month and year of manufacture, as determined by the manufacturer, if known; (e) Direction of travel, if the direction of travel is essential to the safe operation of the inflatable amusement attraction; and (f) Rated capacity in weight or number of users. (2) An information panel: (a) Is required for each inflatable amusement attraction; (b) Shall be printed in English; and (c) Shall be designed to remain legible for the expected life of the inflatable amusement attraction. B. State Registration Sticker. (1) The Commissioner shall issue a State registration number and State registration sticker to each registered inflatable amusement attraction. (2) If the registration number is no longer legible, the owner shall notify the Commissioner for issuance of a replacement State registration sticker. C. Each inflatable amusement attraction shall have the State registration sticker on site in a readily visible location on the inflatable amusement attraction. #### Regulation .09 Applicability of ASTM F2374-22. *COMAR 09.12.66.09* A. For an inflatable amusement attraction manufactured after January 1, 2026, in addition to the requirements of this chapter, the requirements of ASTM F2374-22 shall apply. B. For an inflatable amusement attraction manufactured before January 1, 2026, in addition to the requirements of this chapter, ASTM F2374-22 shall apply except Sections 5.5.5, 5.5.5.1, 5.13, and 6.1.3. #### Regulation .10 Operation. *COMAR 09.12.66.10* A. Each owner shall obtain the manufacturer’s operations manual and shall: (1) Read and become familiar with the contents of the manufacturer’s recommended operating instructions and specifications; (2) Keep the manufacturer’s operations manual on location with the inflatable amusement attraction; and (3) Provide a copy of the manufacturer’s operations manual, in English, to the Commissioner on request. B. The owner shall set up and operate an inflatable amusement attraction in accordance with the following: (1) Owner requirements for setting up inflatables amusement attractions. (a) An inflatable amusement attraction shall not be operated when the maximum sustained wind speed is 15 mph or greater; or (b) When there are wind gusts lasting 3 seconds or longer with wind speed of 25 mph or greater in the immediate area where the inflatable attraction is being operated. (2) Anchorage points installed near an entrance or exit of an inflatable amusement attraction shall be connected in such a manner as to minimize the potential for tripping, abrasions, or other injuries; (3) Blowers and inflation tubes shall be positioned to prevent kinks or bends in the inflation tube; and (4) Inflatable amusement attractions shall be anchored or secured in accordance with the manufacturer’s specifications or the following requirements: (a) The on-ground anchor weight used for inflatable amusement attractions shall be at least 75 pounds for bounce-type rides; (b) The on-ground anchor weight for slide-type rides over 15 feet tall shall be at least 500 pounds for each installed anchor position; (c) Anchors shall be used at all of the manufacturer’s required positions at all times for both indoor and outdoor use; (d) Each anchor must be: (i) At least 1 inch in diameter; and (ii) Solid in composition; (e) Anchors can be straight stakes, screw stakes, ground weights, or sandbag ground anchors, and must comply with the following: (i) If straight stakes are used, they must be at least 36 inches in length with at least 75 percent or more of the length in the ground; and (ii) The ends of the stakes should be covered to prevent a tripping hazard; (f) Tie-downs should be attached to a secure device or permanent structure and attached so that they cannot slip off the anchor during use; (g) Tie-downs should not be attached to motor vehicles; (h) Tie-downs should comply with manufacturer’s specifications or have a minimum tensile strength of 3,700 pounds or 370 pounds safe working load; and (5) Permanently erected inflatable amusement attractions shall comply with the following: (a) The manufacturer’s specifications; (b) The requirements of ASTM F2374-22.5.6.9.1; (c) The requirements in §B(1)—(4) of this regulation; and (d) If erected with stakes or bolts, the stakes or bolts shall be inspected prior to each operation to ensure: (i) Secure anchorage; (ii) No corrosion of anchorage; and (iii) No debris near anchorage. C. Weather conditions and forecast for the zip code area where the inflatable amusement attraction is operated shall be: (1) Set-up monitoring. (a) Monitored prior to set up of the inflatable amusement attraction; and (b) Recorded in a written log as provided for in Regulation .12(D)(1)(b) of this regulation; (2) Monitored periodically during operations using a National Oceanic and Atmospheric Administration weather radio application or source similar in reliability. D. Wind speeds shall be monitored prior to the set up of an inflatable amusement attraction and periodically during operation using an anemometer or other reliable method. E. Operator, Attendant, and User Operating Requirements. (1) For an inflatable amusement attraction less than 15 feet in height, the owner shall provide the appropriate number of operators and attendants as specified by the manufacturer. (2) For an inflatable amusement attraction over 15 feet in height, the owner shall follow the manufacturer’s specifications as to the appropriate number of operators and attendants, but a minimum of one operator and one attendant shall be provided. (3) For an inflatable amusement attraction over 15 feet in height, the owner shall follow the manufacturer’s specifications as to maximum number of users. (4) If the manufacturer’s specifications do not provide the number of users, there shall be no more than two users on the attraction and two users in a queue at any one time. F. General Owner Obligations. (1) An owner shall comply with ASTM F2374-22.7.4. (2) The owner shall ensure that the amusement attraction is positioned at a location so that the operator has a clear view of the user loading and unloading areas. (3) The owner shall ensure that a designated operator shall operate only one inflatable amusement attraction at a time. G. Operators. (1) The owner shall ensure each inflatable amusement attraction: (a) Is under the direct control of an operator who has been trained in the operation of the assigned inflatable amusement attraction; and (b) Has the appropriate number of operators in the appropriate locations as provided for by the manufacturer’s specifications. (2) The owner shall ensure that a designated operator: (a) Does not operate any inflatable amusement attraction while under the influence of drugs or alcohol; (b) Knows the use and function of all operating controls, signal systems, and safety devices applicable to the inflatable amusement attraction; (c) Knows the proper user loading sequence and capacity of the particular inflatable amusement attraction being operated; (d) Remains stationed at the inflatable amusement attraction during operation; (e) Has control of the inflatable amusement attraction at all times; (f) Enforces applicable restrictions; and (g) Has no other distractions from the operator’s responsibilities. H. Operator and Attendant Identification. (1) An owner shall issue to each operator and attendant identification that is highly visible. (2) The identification shall clearly indicate the following: (a) The title, that is, operator or attendant; (b) Either the name of the operator or attendant or an identification number; and (c) The name of the inflatable amusement attraction company. (3) Before issuing any identification, the owner shall train the operator and the attendant in accordance with §I of this regulation. I. Operator and Attendant Training. (1) An owner shall comply with the requirements of ASTM F2374-22.7.8 regarding operator and attendant training; (2) An operator or attendant shall be trained on how to monitor the local weather including assessing the wind speeds using an anemometer or other reliable method; and (3) The owner of an inflatable amusement attraction shall ensure that the Inflatable Amusement Attraction Daily Inspection and Daily Pre-Opening Checklist is properly filled out and signed at the completion of the daily pre-opening program. J. Daily Inspection Program. (1) An owner shall comply with the requirements of ASTM F2374-22.7.7, except §7.7.4. (2) Worn and damaged components shall be repaired or replaced immediately and before operation. (3) The owner of an inflatable amusement attraction shall ensure that the Inflatable Amusement Attraction Daily Inspection and Daily Pre-Opening Checklist is properly filled out and signed at the completion of the daily pre-opening program. (4) A copy of the Inflatable Amusement Attraction Daily Inspection and Daily Pre-Opening Checklist shall be provided to the Commissioner on request. #### Regulation .11 Injury Reporting and Recording. *COMAR 09.12.66.11* A. Injury Reporting. (1) Whenever a death, in-patient hospitalization, amputation, compound fracture, broken tooth, or loss of an eye occurs during the use of an inflatable amusement attraction: (a) The person who directly controls the operation of the inflatable amusement attraction shall immediately close the inflatable amusement attraction until it has been inspected by the Commissioner; and (b) The amusement owner shall report orally or in writing to the Commissioner within 24 hours: (i) Date and time of the incident; (ii) Name, address, and telephone number of the injured person and parent or guardian information if the injured person is a minor; (iii) Age of the injured person; (iv) Name and manufacturer of the inflatable amusement attraction; (v) Description of the injury; (vi) Description of events related to the incident; and (vii) Name, address, and phone number of the inflatable amusement attraction operator and attendants. (2) If an owner is unaware of the condition of a member of the public injured during the operation of an inflatable amusement attraction who was transported away from the premises by an emergency response vehicle, the owner shall report verbally to the Commissioner within 24 hours the information required in §A(1)(b) of this regulation. B. Injury Recording. (1) In addition to the reporting requirements of §A of this regulation, all owners shall maintain an injury log of all injuries to the public that occur during use of inflatable amusement attractions that require medical treatment by a physician other than one-time first aid and does not include: (a) An injury that does not ordinarily require medical treatment, such as a minor burn, splinter, contusion, scratch, or cut not requiring stitches; or (b) A diagnostic procedure, including examination and x-ray, even though provided by a physician or other licensed professional personnel. (2) The injury log shall contain the following information: (a) Company name; (b) Location; (c) Date; (d) Certificate number; (e) Type of inflatable amusement attraction; (f) Nature of incident; (g) Description of injury; (h) Age of injured person; (i) Last known condition of injured person, including date information obtained; and (j) Date added to log. (3) Each injury required under this section and §A of this regulation, shall be recorded on the injury log within 7 calendar days and updated as additional required information becomes available. (4) A copy of a sample injury log is available on the Department's webpage. (5) An owner shall maintain injury logs on a calendar year basis. (6) An owner shall certify the completeness and accuracy of the information contained on the injury log by January 15 of the following calendar year. (7) An owner shall provide access to prior years', and the portion completed for the current year, injury log to the Commissioner. (8) Each owner shall maintain, and make available for inspection by the Commissioner, an injury log for 5 years. #### Regulation .12 Records and Reports. *COMAR 09.12.66.12* A. The Inflatable Amusement Attraction Daily Inspection and Daily Pre-Opening Checklist shall be: (1) Signed by the person performing the inspection immediately upon completion of the inspection; (2) Kept with the inflatable amusement attraction or at an on-site office; and (3) Maintained for at least 30 days. B. Identification Records. An owner shall maintain a record of the name and identification number of each operator and attendant with the following information: (1) Inflatable amusement attraction that the operator and attendant operated; and (2) The date and location of operation. C. Record of Training. (1) Each owner shall: (a) Maintain a record of training provided to each operator and attendant; and (b) Provide the Commissioner with a copy of the record of training on request. (2) The training record shall indicate the following for each operator and attendant: (a) The name or identification number; (b) A detailed description of the training provided; and (c) A list of all the inflatable amusement attractions for which the operator and attendant received training. D. Written Logs. (1) An owner shall ensure that a written log is maintained and: (a) Written log requirements: (i) Contain any reports from riders complaining of adverse physical effects or operating inconsistencies occurring during the operation of an amusement attraction; and (ii) Are submitted to the Commissioner when multiple reports of a particular nature may indicate a pattern are shown in the log; and (b) Contains weather reports that reflect review of the weather forecast prior to each set up of the inflatable amusement attraction including the date, time, location of operation, and description of weather conditions. (2) A copy of the written logs required by this section shall be made available to the Commissioner upon request. #### Regulation .13 Design Criteria. *COMAR 09.12.66.13* A. An owner shall ensure that an inflatable amusement attraction is designed and manufactured in accordance with Regulation .09 of this chapter. B. Upon request, an owner shall provide the Commissioner with information to document compliance with §A of this regulation. C. Copies of all documents provided to the Commissioner shall be in English. #### Regulation .14 Access, Egress, and Walking Surfaces. *COMAR 09.12.66.14* A. Access to and egress from all inflatable amusement attractions shall be free from all recognized hazards. B. All walking surfaces including, but not limited to, loading and unloading areas, platforms, landings, stairs, and ramps shall be stable and slip-resistant. C. If there is the potential for exposure to a fall distance exceeding 30 inches, the owner shall take steps to prevent such falls. #### Regulation .15 Signage. *COMAR 09.12.66.15* An owner shall comply with the signage requirements of ASTM F2374-22.7.5.4 excluding “such as, but not limited to, those listed in 7.9” in Section 7.5.4.1. #### Regulation .16 General Environment. *COMAR 09.12.66.16* A. Weather-Related and Environmental Condition Restrictions. (1) Except as provided in §A(2) of this regulation, all manufacturer weather-related and environmental condition restrictions shall be complied with; and. (2) In the event of lightning, maximum sustained wind speed in excess of 15 mph, or wind gusts lasting 3 seconds or longer with wind speed of 25 mph or greater in the immediate area where the inflatable amusement attraction is operating, a tornado watch, a severe storm predicted within a 5 mile radius, fire, or other disturbance, an owner shall implement the following: (a) Users shall be unloaded or evacuated safely from the inflatable amusement attraction immediately; and (b) The inflatable amusement attraction shall be closed and secured immediately. B. Illumination. (1) Each inflatable amusement attraction, including entrances and exits, shall be illuminated to provide adequate visibility of the surfaces used. (2) For the assembly and disassembly of inflatable amusement attractions, all work areas shall be illuminated to provide adequate visibility. #### Regulation .17 Fire Protection. *COMAR 09.12.66.17* A. Flammable and Combustible Liquids. (1) An owner shall store and handle flammable and combustible liquids consistent with the applicable National Fire Protection Association (NFPA) standards. (2) An owner may not handle or fuel equipment with flammable liquids within 20 feet of an inflatable amusement attraction. (3) An owner shall store flammable and combustible liquids at least 75 feet from an inflatable amusement attraction or other spark-producing equipment. B. Fire Extinguishers. (1) An owner shall provide at least one portable fire extinguisher listed and labeled with a ABC rating, as defined by the National Electrical Code, ANSI/NFPA #70, of not less than 10 pound capacity rating. (2) The fire extinguisher shall be located not less than 25 feet, or more than 75 feet, from any: (a) Flammable or combustible liquid storage; or (b) Portable electric generator. #### Regulation .18 Equipment and Materials. *COMAR 09.12.66.18* A. Guarding. (1) The owner shall ensure that machinery is guarded to prevent contact with belts, fan blades, or similar moving components. (2) Guards shall be: (a) Designed to perform a specific task; (b) Properly secured; and (c) Properly maintained in a condition consistent with the intent of the guard’s design. (3) Before a guard is removed for maintenance purposes: (a) The equipment shall be locked out or tagged out; and (b) The guard shall be replaced before normal operation is resumed. (4) A guard shall be designed so that it does not pose a hazard itself. B. Portable Electric Generators. (1) A portable electric generator is not required to be grounded if the portable electric generator: (a) Supplies only equipment mounted on the generator; or (b) Supplies power to the equipment through receptacles mounted on the generator that are connected by plug and cord and single extensions. (2) If a portable electric generator does not comply with §B(1) of this regulation, the owner shall ensure that a grounding electrode, such as a ground rod, is used for any fault current. (3) A portable electric generator shall be listed and labeled by a Nationally Recognized Testing Laboratory. (4) A portable electric generator may not be located: (a) Near user or pedestrian traffic; or (b) In locations that may be hazardous. #### Regulation .19 Location and Operation. *COMAR 09.12.66.19* A. In addition to the requirements set forth in this section, an owner shall comply with the installation requirements set forth in ASTM F2374.22.7.5.6.2-7.5.6.10. B. Location. (1) Placement of the inflatable amusement attraction at the location where it is to be operated shall ensure that: (a) The inflatable amusement attraction is compliant with manufacturer specifications; (b) The inflatable amusement attraction is on a level and stable surface after consideration of slope, topography and surface type; (c) The inflatable amusement attraction is not placed in a public right of way and away from motor vehicle traffic; and (d) The inflatable amusement attraction is accessible by emergency personnel. (2) Tie-Downs. (a) Tie-downs and anchors used to support an inflatable amusement attraction may not create a tripping or impalement hazard. (b) The immediate area surrounding the inflatable amusement attraction shall be clear of: (i) Trees and shrubs, if they pose a hazard; (ii) Free from debris; and (iii) Other tripping hazards including, but not limited to, pot holes. C. Clearances. (1) Except for equipment required for operation of the inflatable amusement attraction, there shall be side and overhead clearances of at least 48 inches between an inflatable amusement attraction and any other object. (2) Except for conductors supplying power to the device, an inflatable amusement attraction may not operate under or within 15 feet of any power lines, utilities, roads, cliffs, or bodies of water. #### Regulation .20 Electrical Requirements. *COMAR 09.12.66.20* A. In addition to the requirements set forth in this section, an owner shall comply with the installation requirements set forth in ASTM F2374-22.5.16.4. B. Lighting systems. Lighting systems, including fluorescent lighting systems, shall be: (1) In good repair; (2) Protected against accidental contact and breakage; and (3) Capable of containing the pieces of a broken light should breakage occur. #### Regulation .21 Rules of Procedure for Hearings. *COMAR 09.12.66.21* All contested case hearings before the Commissioner shall be governed by COMAR 09.01.02. #### Regulation .22 Variances. *COMAR 09.12.66.22* A. Application for Variance. (1) An affected owner may apply to the Commissioner for a variance from any regulation adopted under Business Regulation Article, Title 3, Annotated Code of Maryland. (2) An application for variance shall be in writing and shall include: (a) The name and address of the applicant; (b) Identification of the regulation from which the applicant seeks a variance; (c) The location, equipment, and practices involved; (d) A detailed statement of the applicant’s reasons for requesting a variance; (e) A statement of the steps the applicant has taken and will take, with specific dates when appropriate, to protect the public against the specific hazard covered by the regulation; and (f) Any request for a hearing. B. Posting of Notice. (1) Immediately on filing a request for a variance pursuant to Business Regulation Article, §3-314, Annotated Code of Maryland, an applicant shall post notice of the application at the place or places where a certificate of inspection is required to be posted. (2) The notice shall include: (a) The name and address of the applicant; (b) The date on which the application was filed; (c) Identification of the regulation from which the applicant seeks a variance; (d) The location, equipment, and practices involved; and (e) Notice to the public and affected employees of their right to participate in the proceeding. (3) The notice shall be maintained until the commencement of the proceedings. C. Order of Variance. (1) After investigation, on-site inspection, and such hearing as the Commissioner may direct, the Commissioner may grant a variance from a regulation under this chapter if: (a) It is evident that action is necessary to prevent undue hardship; or (b) Existing conditions prevent practical compliance and the reasonable safety of the public can, in the opinion of the Commissioner, be ensured. (2) An order of variance may require such special conditions as are reasonably necessary to ensure public safety. (3) A declaration, act, or omission of the Commissioner or the Commissioner’s authorized representative, other than a written order authorizing a variance as permitted above, may not be construed to exempt, either wholly or in part, expressly or implicitly, any owner from full compliance with the terms of any regulation under this chapter. D. Modification, Revocation, and Renewal of Order of Variance. (1) The Commissioner may modify, revoke, or renew an order of variance in the same manner prescribed for the issuance of an order of variance. (2) An order of variance may not be modified or revoked unless affected parties are informed of the proposed action and afforded an opportunity to: (a) Submit written data, views, or arguments regarding the proposed action; and (b) Request a hearing on the proposal. ### Chapter 67—70 — *VACANT* ### Chapter 71 — Arbitration of Labor Disputes, Elections, and Other Related Matters **Authority:** State Government Article, §10-204; Labor and Employment Article, §2-106(a);Education Article, §16-510.1; Annotated Code of Maryland **Administrative History:** Effective date: April 20, 1979 (6:8 Md. R. 655) **Administrative History:** Regulation .01 repealed and new Regulation .01 adopted effective December 14, 1987 (14:25 Md. R. 2659) #### Regulation .01 Procedure for Public Hearings. *COMAR 09.12.71.01* A. The Commissioner of Labor and Industry, or the Commissioner's designee, shall be the hearing officer. B. The hearing officer shall: (1) Call the title of the case; (2) Briefly explain the purpose and nature of the hearing; (3) Administer the oath to all persons who are summoned or intend to testify; and (4) Receive any stipulations entered into by the parties. C. Counsel or any party may address any preliminary matter, exception, or motion. D. The following exhibits shall be introduced: (1) If the hearing officer is the Commissioner's designee, a copy of the letter designating the individual to preside at the hearing; (2) A copy of the petition, complaint, or other matter involved in the hearing; and (3) A copy of the notice of hearing sent to each party. E. Subject to applicable statutes and rules governing the practice of law, each party or counsel representing a party may: (1) Call witnesses; (2) Offer evidence, including rebuttal evidence; (3) Cross-examine witnesses; and (4) Present argument and summation. F. The hearing officer may question any witness. G. The rules of evidence of the Administrative Procedure Act—Contested Cases, State Government Article, §10-208, Annotated Code of Maryland, shall apply. H. The hearing officer's decision shall include: (1) Findings of fact based on the evidence presented; (2) Conclusions of law applying the law to the factual findings; and (3) An order disposing of the case. I. The hearing officer shall promptly deliver or mail a copy of the decision to each party or the party's attorney of record. ### Chapter 72—80 — *VACANT* ### Chapter 81 — Elevator, Escalator, and Chairlift Safety **Authority:** Public Safety Article, §§12-805, 12-806, and 12-809, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulation .01A adopted effective July 13, 1979 (6:14 Md. R. 1207) **Administrative History:** Regulation .01B adopted effective February 1, 1980 (7:2 Md. R. 114) **Administrative History:** Regulation .01C adopted effective August 16, 1982 (9:16 Md. R. 1605) **Administrative History:** Regulation .01D adopted effective September 1, 1982 (9:16 Md. R. 1605) **Administrative History:** Regulation .01E adopted effective November 1, 1983 (10:21 Md. R. 1900) **Administrative History:** Regulation .01F adopted effective December 17, 1984 (11:25 Md. R. 2133) **Administrative History:** Regulation .01F amended as an emergency provision effective September 26, 1986 (13:21 Md. R. 2311) (Emergency provisions are temporary and not printed in COMAR) **Administrative History:** Regulation .01G adopted effective January 28, 1985 (12:2 Md. R. 137) **Administrative History:** Regulation .01H amended as an emergency provision effective September 26, 1986 (13:21 Md. R. 2311) (Emergency provisions are temporary and not printed in COMAR) **Administrative History:** Chapter revised effective November 2, 1987 (14:22 Md. R. 2339) **Administrative History:** Regulation .01A amended effective April 28, 2003 (30:8 Md. R. 540); August 4, 2014 (41:15 Md. R. 890) **Administrative History:** Regulation .01E amended effective January 25, 1988 (15:2 Md. R. 120) **Administrative History:** Regulation .01F adopted effective December 26, 1988 (15:26 Md. R. 2981) **Administrative History:** Regulation .01F amended effective October 10, 1989 (16:19 Md. R. 2104); November 12, 1990 (17:22 Md. R. 2655) **Administrative History:** Regulation .01G adopted effective October 14, 1991 (18:20 Md. R. 2198) **Administrative History:** Regulation .01G amended effective March 2, 1992 (19:4 Md. R. 473); August 29, 1992 (19:16 Md. R. 1473); July 5, 1993 (20:13 Md. R. 1048); October 11, 1993 (20:20 Md. R. 1569) **Administrative History:** Regulation .01H adopted effective July 18, 1994 (21:14 Md. R. 1229) **Administrative History:** Regulation .01H amended effective August 28, 1995 (22:17 Md. R. 1317) **Administrative History:** Regulation .01H amended as an emergency provision effective April 25, 1996 (23:10 Md. R. 727); emergency status expired October 25, 1996 **Administrative History:** Regulation .01H amended effective November 18, 1996 (23:23 Md. R. 1556); March 24, 1997 (24:6 Md. R. 484) **Administrative History:** Regulation .01I adopted effective April 6, 1998 (25:7 Md. R. 526) **Administrative History:** Regulation .01J adopted effective December 28, 1998 (25:26 Md. R. 1921) **Administrative History:** Regulation .01K adopted effective October 4, 1999 (26:20 Md. R. 1545) **Administrative History:** Regulation .01L, M adopted effective April 1, 2002 (29:6 Md. R. 567) **Administrative History:** Regulation .01N adopted effective April 28, 2003 (30:8 Md. R. 540) **Administrative History:** Regulation .01O adopted effective September 29, 2003 (30:19 Md. R. 1331) **Administrative History:** Regulation .01P adopted effective March 14, 2005 (32:5 Md. R. 580) **Administrative History:** Regulation .01Q, R, S adopted effective April 7, 2008 (35:7 Md. R. 748) **Administrative History:** Regulation .01T, U adopted as an emergency provision effective August 21, 2009 (36:19 Md. R. 143); adopted permanently effective November 16, 2009 (36:23 Md. R. 1816) **Administrative History:** Regulation .01T amended effective July 25, 2011 (38:15 Md. R. 899) **Administrative History:** Regulation .01U—W amended effective December 26, 2011 (38:26 Md. R. 1696) **Administrative History:** Regulation .01W—Y amended effective July 8, 2013 (40:13 Md. R. 1073) **Administrative History:** Regulation .01W amended effective July 16, 2018 (45:14 Md. R. 695) **Administrative History:** Regulation .01X, Y repealed effective July 16, 2018 (45:14 Md. R. 695) **Administrative History:** Regulation .01Z, AA adopted effective July 16, 2018 (45:14 Md. R. 695) **Administrative History:** Regulation .01BB, CC adopted effective July 16, 2020 (47:14 Md. R. 675) **Administrative History:** Regulation .01DD adopted effective October 22, 2022 (49:9 Md. R. 531) **Administrative History:** Regulation .01EE, FF adopted effective June 17, 2026 (53:8 Md. R. 355) **Administrative History:** Regulation .01-1 adopted effective January 29, 2007 (34:2 Md. R. 137) **Administrative History:** Regulation .01-1B amended as an emergency provision effective October 15, 2007 (34:23 Md. R. 2019); amended permanently effective February 25, 2008 (35:4 Md. R. 514) **Administrative History:** Regulation .01-1B amended as an emergency provision effective August 21, 2009 (36:19 Md. R. 1433); amended permanently effective November 16, 2009 (36:23 Md. R. 1816) **Administrative History:** Regulation .02 amended effective August 28, 1995 (22:17 Md. R. 1317); April 6, 1998 (25:7 Md. R. 526); April 1, 2002 (29:6 Md. R. 567) **Administrative History:** Regulation .02A amended effective July 16, 2020 (47:14 Md. R. 675); July 24, 2023 (Md. R. 50:14 592); June 17, 2026 (53:8 Md. R. 355) **Administrative History:** Regulation .02A, B amended effective March 4, 2013 (40:4 Md. R. 345) **Administrative History:** Regulations .03—.06 adopted as an emergency provision effective July 5, 2001 (28:15 Md. R. 1394); adopted permanently effective October 1, 2001 (28:19 Md. R. 1684) **Administrative History:** Regulation .04A amended as an emergency provision effective October 15, 2007 (34:23 Md. R. 2019); amended permanently effective February 25, 2008 (35:4 Md. R. 514) **Administrative History:** Regulation .04-1 adopted as an emergency provision effective October 15, 2007 (34:23 Md. R. 2019); adopted permanently effective February 25, 2008 (35:4 Md. R. 514) **Administrative History:** Regulation .04-1A amended as an emergency provision effective August 21, 2009 (36:19 Md. R. 1433); amended permanently effective November 16, 2009 (36:23 Md. R. 1816) **Administrative History:** Regulation .04-1C amended as an emergency provision effective January 11, 2008 (35:3 Md. R. 285); emergency status expired June 9, 2008 **Administrative History:** Regulation .05 amended effective January 29, 2007 (34:2 Md. R. 137) **Administrative History:** Regulation .05 amended as an emergency provision effective October 15, 2007 (34:23 Md. R. 2019); amended permanently effective February 25, 2008 (35:4 Md. R. 514) **Administrative History:** Regulation .05 amended as an emergency provision effective August 21, 2009 (36:19 Md. R. 1433); amended permanently effective November 16, 2009 (36:23 Md. R. 1816) **Administrative History:** Regulation .06 amended effective January 29, 2007 (34:2 Md. R. 137) **Administrative History:** Regulation .06A amended effective June 17, 2026 (53:8 Md. R. 355) **Administrative History:** Regulation .06B, C amended as an emergency provision effective October 15, 2007 (34:23 Md. R. 2019); amended permanently effective February 25, 2008 (35:4 Md. R. 514) **Administrative History:** Regulation .07 adopted as an emergency provision effective August 21, 2009 (36:19 Md. R. 1433); adopted permanently effective November 16, 2009 (36:23 Md. R. 1816) **Administrative History:** Regulation .08 adopted as an emergency provision effective August 21, 2009 (36:19 Md. R. 1433); adopted permanently effective November 16, 2009 (36:23 Md. R. 1816) #### Regulation .01 Safety Code for Elevators and Escalators. *COMAR 09.12.81.01* A. Scope. (1) The following sections set out the dates on which ANSI/ASME codes and supplements as required by Public Safety Article, §12-805, Annotated Code of Maryland, became effective. (2) The applicable adopted safety code will be contingent upon the date the contract to install an elevator unit is signed. (3) Documentation verifying the contract date shall be provided as part of the registration process. (4) The elevator unit shall undergo a final acceptance inspection within 3 years of the contract date or the next subsequent adopted safety code shall be applied. (5) Requirements prescribed at the time of the initial elevator certification remain in effect. (6) Frequency of inspection requirements set forth in ANSI Code shall be performed annually, according to Public Safety Article, §12-812, Annotated Code of Maryland. B. The American Standard Safety Code for Elevators, Dumbwaiters, Escalators, and Moving Walks, ANSI A17.1—1971 and its supplements, are effective on the dates indicated: (1) ANSI A17.1—1971 is effective March 7, 1973; (2) ANSI A17.1a—1972 is effective May 23, 1974; (3) ANSI A17.1b—1973 is effective January 1, 1975; (4) ANSI A17.1c—1974 is effective January 1, 1975; (5) ANSI A17.1d—1975 is effective October 31, 1975; (6) ANSI A17.1e—1975 is effective October 31, 1975; (7) ANSI A17.1f—1975 is effective October 31, 1975; (8) ANSI A17.1g—1976 is effective November 30, 1976. C. The American Standard Safety Code for Elevators, Dumbwaiters, Escalators, and Moving Walks, ANSI A17.1—1978 and its supplements, are effective on the dates indicated: (1) ANSI A17.1—1978 is effective September 15, 1978; (2) ANSI A17.1a—1979 is effective June 30, 1979; (3) ANSI A17.1b—1980 is effective August 15, 1980. D. The ANSI/ASME A17.1 Safety Code for Elevators and Escalators, ANSI/ASME A17.1—1981 and its supplements, are effective on the dates indicated: (1) ANSI/ASME A17.1—1981 is effective April 22, 1982; (2) ANSI/ASME A17.1a—1982 is effective May 30, 1983; (3) ANSI/ASME A17.1b—1983 is effective June 23, 1984. E. The ANSI/ASME A17.1 Safety Code for Elevators and Escalators, ANSI/ASME A17.1—1984 and its supplements, are effective on the dates indicated: (1) ANSI/ASME A17.1—1984 is effective March 16, 1985; (2) ANSI/ASME A17.1a—1985 is effective October 15, 1985; (3) ANSI/ASME A17.1b—1985 is effective April 15, 1986; (4) ANSI/ASME A17.1c—1986 is effective October 31, 1986; (5) ANSI/ASME A17.1d—1986 is effective May 31, 1987; (6) ANSI/ASME A17.1e—1987 is effective October 30, 1987. F. The ASME/ANSI A17.1 Safety Code for Elevators and Escalators, ASME/ANSI A17.1—1987 and its supplements, are effective on the dates indicated: (1) ASME/ANSI A17.1—1987 is effective July 16, 1988; (2) ASME/ANSI A17.1a—1988 is effective May 16, 1989; (3) ASME/ANSI A17.1b—1989 is effective May 31, 1990. G. ASME A17.1-1990 Safety Code for Elevators and Escalators and Supplements. (1) The ASME A17.1-1990 Safety Code for Elevators and Escalators, excluding Parts V, XXI, and XXIII, is incorporated by reference and is effective October 14, 1991, with the following changes: (a) On page 87, delete the text under Rule 211.3b Smoke Detectors, and insert in its place the following: (b) On page 163, delete the text under Rule 1000.1 Persons Authorized to Make Inspections and Tests, and insert in its place the following: (c) On page 163, delete the text under Rule 1000.1b(1) and (2) Periodic Inspection and Tests, and insert in its place the following: (d) On page 164, delete the text under Rule 1001.1 Inspection and Test Periods, and insert in its place the following: (e) On page 169, delete the text under Rule 1004.1 Inspection and Test Periods, and insert in its place the following: (f) On page 171, delete the text under Rule 1007.1 Inspections and Test Periods, and insert in its place the following: (g) On page 264, delete the text under Rule 2000.10b(2) Attendant Operation, and insert in its place the following: (h) On page 264, delete the text under Rule 2001.1b Clearances, and insert in its place the following: (i) On pages 266 and 267, delete the text under Rule 2001.6c(1) Platform Guarding, and insert in its place the following: (j) On page 268, delete the text under Rule 2001.10b(2) Attendant Operation, and insert in its place the following: (k) On page 268, delete the text under Rule 2001.10b(4) Attendant Operation, and insert in its place the following: (l) On page 270, delete the text under Rule 2002.6d Footrest Clearance, and insert in its place the following: (m) On pages 289—293, delete the text under Part XXIII, Rooftop Elevators, and insert in its place the following: (2) ASME A17.1a—1991, the Addenda to ASME A17.1—1990 Safety Code for Elevators and Escalators, is incorporated by reference and is effective August 29, 1992. (3) ASME A17.1b—1992, the Addenda to ASME A17.1—1990 Safety Code for Elevators and Escalators. (a) ASME A17.1b—1992 is incorporated by reference and is effective July 5, 1993. (b) The Errata to ASME A17.1b—1992 is incorporated by reference and is effective October 11, 1993. H. ASME A17.1—1993—Safety Code for Elevators and Escalators and Supplements. (1) The ASME A17.1—1993 Safety Code for Elevators and Escalators, excluding Parts V, XXI, and XXIII, is incorporated by reference and is effective July 18, 1994, with the following changes: (a) On page 27, delete the text under Rule 106.1b(3) Design and Construction of Pits and insert in its place the following: (b) On page 87, delete the text under Rule 211.3b Smoke Detectors, and insert in its place the following: (b-1) On page 148, delete the text under Rule 802.3f Skirt Panels and insert in its place the following: (c) On page 165, delete the text under Rule 1000.1 Persons Authorized to Make Inspections and Tests, and insert in its place the following: (d) On page 165, delete the text under Rule 1000.1b(1) and (2) Periodic Inspection and Tests, and insert in its place the following: (e) On page 166, delete the text under Rule 1001.1 Inspection and Test Periods, and insert in its place the following: (f) On page 172, delete the text under Rule 1004.1 Inspection and Test Periods, and insert in its place the following: (g) On page 174, delete the text under Rule 1007.1 Inspections and Test Periods, and insert in its place the following: (h) On page 177, delete the text under Rule 1010.10 Wheelchair Lifts, and insert in its place the following: (i) On page 208, delete the text under §1217 Rooftop Elevators, and insert in its place the following: (j) On page 270, delete the text under Rule 2000.10b(2) Attendant Operation, and insert in its place the following: (k) On page 271, delete the text under Rule 2001.1b Clearances, and insert in its place the following: (l) On pages 272 and 273, delete the text under Rule 2001.6c(1) Platform Guarding, and insert in its place the following: (m) On page 274, delete the text under Rule 2001.10b(2) Attendant Operation, and insert in its place the following: (n) On page 274, delete the text under Rule 2001.10b(4) Attendant Operation, and insert in its place the following: (o) On page 276, delete the text under Rule 2002.6d Footrest Clearance, and insert in its place the following: (p) On pages 295—299, delete the text under Part XXIII, Rooftop Elevators, and insert in its place the following: (2) ASME A17.1a-1994 Addenda to ASME A17.1-1993 Safety Code for Elevators and Escalators, excluding Part V, is incorporated by reference and is effective August 24, 1995. (3) The ASME A17.1b-1995 Addenda to ASME A17.1-1993 Safety Code for Elevators and Escalators, excluding Parts V and XXI, is incorporated by reference and is effective March 24, 1997, with the following changes: (a) On page 87, insert the following under Rule 211.3b: (b) On page 166, delete the text under Rule 1001.1 Inspection and Test Periods, and insert in its place the following: (c) On page 174.1, delete the text under Rule 1007.1 Inspections and Test Periods, and insert in its place the following: (d) On page 324.5, delete the text under Rule 2501.12(a). I. ASME A17.1-1996—Safety Code for Elevators and Escalators and Supplements. The ASME A17.1-1996 Safety Code for Elevators and Escalators, excluding Parts V, XXI, and XXIII, is incorporated by reference and is effective April 6, 1998, with the following changes: (1) On page 31, delete the text under Rule 106.1b(3) Design and Construction of Pits, and insert in its place the following: (2) On page 90, under Rule 210.14 Inspection Operation With Hoistway-Door Electric Contact or Car-Door Electric Contact Open, before the NOTE, insert the following paragraph: (3) On page 92, insert the following under Rule 211.3b Smoke Detectors: (4) On page 158, delete the text under Rule 802.3f Skirt Panels, and insert in its place the following: (5) On page 177, delete the text under Rule 1000.1 Persons Authorized to Make Inspections and Tests, and insert in its place the following: (6) On page 177, delete the text under Rule 1000.1b(1) and (2) Periodic Inspection and Tests, and insert in its place the following: (7) On page 178, delete the text under Rule 1001.1 Inspection and Test Periods, and insert in its place the following: (8) On page 184, delete the text under Rule 1004.1 Inspection and Test Periods, and insert in its place the following: (9) On page 187, delete the text under Rule 1007.1 Inspections and Test Periods, and insert in its place the following: (10) On page 191, delete the text under Rule 1010.10 Wheelchair Lifts, and insert in its place the following: (11) On page 223, delete the text under §1217 Rooftop Elevators, and insert in its place the following: (12) On page 284, delete the text under Rule 2000.10b(2) Attendant Operation, and insert in its place the following: (13) On page 285, delete the text under Rule 2001.1b Clearances, and insert in its place the following: (14) On page 287, delete the text under Rule 2001.6c(1) Platform Guarding, and insert in its place the following: (15) On page 289, delete the text under Rule 2001.10b(2) Attendant Operation, and insert in its place the following: (16) On page 289, delete the text under Rule 2001.10b(4) Attendant Operation, and insert in its place the following: (17) On page 291, delete the text under Rule 2002.6d Footrest Clearance, and insert in its place the following: (18) On pages 309 through 313, delete the text under Part XXIII, Rooftop Elevators, and insert in its place the following: (19) On page 341, delete the text under Rule 2501.12(a). J. ASME A17.1a-1997 Addenda to ASME A17.1-1996 Safety Code for Elevators and Escalators, excluding Part V, is incorporated by reference and is effective December 28, 1998. K. ASME A17.1b-1998 Addenda to ASME A17.1-1996 Safety Code for Elevators and Escalators is incorporated by reference and is effective August 23, 1999. L. ASME A17.1c-1999 Addenda to ASME A17.1-1996 Safety Code for Elevators and Escalators is incorporated by reference and is effective April 1, 2002. M. ASME A17.1d-2000 Addenda to ASME A17.1-1996 Safety Code for Elevators and Escalators is incorporated by reference and is effective April 1, 2002. N. ASME A17.1-2000 Safety Code for Elevators and Escalators. The ASME A17.1-2000 Safety Code for Elevators and Escalators, excluding Sections 5.3, 5.4, 5.6, and 5.8, is incorporated by reference with the following change: On page 374, delete the text under Rule 8.11.1.3 Periodic Inspection and Test Frequency, and insert in its place the following: Periodic inspections and tests shall be made at intervals not longer than 1 year. O. ASME A17.1a-2002 Addenda to ASME A17.1-2000 Safety Code for Elevators and Escalators is incorporated by reference. P. ASME A17.1b-2003 Addenda to ASME A17.1-2000 Safety Code for Elevators and Escalators is incorporated by reference. Q. ASME A17.1-2004 Safety Code for Elevators and Escalators. The ASME A17.1-2004 Safety Code for Elevators and Escalators, excluding Sections 5.3, 5.4, 5.6, 5.8, and 5.9, is incorporated by reference. R. ASME A17.1a-2005 Addenda to ASME A17.1-2004 Safety Code for Elevators and Escalators, excluding Sections 5.3, 5.4, 5.6, 5.8, and 5.9, is incorporated by reference. S. ASME A17.1S-2005 Supplement to ASME A17.1-2004 Safety Code for Elevators and Escalators is incorporated by reference. T. The ASME A17.1-2007/CSA B44-07 Safety Code for Elevators and Escalators, excluding Sections 5.6, 5.8, and 5.9, is incorporated by reference. U. ASME A17.1a-2008/CSA B44a-08 Addenda to ASME A17.1-2007/CSA B44-07 Safety Code for Elevators and Escalators is incorporated by reference. V. ASME A17.1b-2009/CSA B44b-09 Addenda to ASME A17.1-2007/CSA B44-07 Safety Code for Elevators and Escalators is incorporated by reference. W. ASME A17.1-2010/CSA B44-10 (Revision of ASME A17.1-2007 and CSA B44-07) Safety Code for Elevators and Escalators, excluding Sections 5.6, 5.8, and 5.9, is incorporated by reference. X. Repealed. Y. Repealed. Z. ASME A17.1-2013/CSA B44-13 (Revision of ASME A17.1-2010/CSA B44-10) Safety Code for Elevators and Escalators is incorporated by reference. AA. ASME A17.1-2016/CSA B44-16 (Revision of ASME A17.1-2013 and CSA B44-13) Safety Code for Elevators and Escalators is incorporated by reference. BB. ASME A17.8-2016/CSA B44.8-16 Standard for wind turbine tower elevators is incorporated by reference. CC. Article 620 Elevators, Dumbwaiters, Escalators, Moving Walks, Platform Lifts, and Stairway Chairlifts of the National Electric Code (NFPA 70), which is incorporated by reference in COMAR 09.12.50.02-1B(3). DD. ASME A17.1-2019/CSA B44-19 (Revision of ASME A17.1-2016 and CSA B44-16) Safety Code for Elevators and Escalators is incorporated by reference. EE. ASME A17.1-2022/CSA B44:22 (Revision of ASME A17.1-2019/CSA B44:19) Safety Code for Elevators and Escalators is incorporated by reference with the following changes: (1) On page 23, after requirement number 2.2.4.2.2: (a) Insert an “(a)” at the beginning of the existing paragraph; and (b) Add new section “(b) For alterations where obstructions are encountered, the width shall be permitted to be decreased to less than 400 mm (16 in.). The reduced width shall be as wide as the available space permits, but not less than 304.8 mm (12 in.)”. (2) On page 24, add to the beginning of requirement 2.2.5.1, “Where access is necessary to service or access elevator equipment,”; (3) On page 232, delete Section 5.8, “Marine Elevators”; (4) On page 233, delete Section 5.9, “Mine Elevators”; (5) On page 241, under requirement 5.10.1.21.3, replace “Article 305 of NFPA 70” with “Article 590 of NFPA 70”; (6) On page 374, delete requirement 8.6.4.24; (7) On page 439, under requirement 8.11.1.4, add at the end of subsection (b)(1) “by bolting, welding, or dry walling to prevent access to the hoistway. The lowest landing may be sealed from outside the hoistway”; and (8) On page 439, under requirement 8.11.1.4, add at the end of section (b)(2) “by bolting, welding, or dry walling to prevent access to the hoistway. The lowest landing may be sealed from outside the hoistway”. FF. ASME A17.8-2021/CSA B44.8:21 Standard for Wind Turbine Tower Elevators is incorporated by reference. #### Regulation .01-1 Definitions. *COMAR 09.12.81.01-1* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “First aid” has the meaning stated in 29 CFR §1904.7(b)(5)(ii). (2) “Incident” means an event that results in significant property damage or a major operational malfunction that is not consistent with manufacturer specifications. (3) “Incident report” means a completed Division of Labor and Industry incident record form. (4) “Inclined platform lift” means a hoisting and lowering mechanism equipped with a platform and seat that: (a) Moves in guides in a diagonal plane from one level to another with limited travel, operating speed, and platform area; and (b) Is intended for transportation of mobility-impaired persons. (5) “Inspection report” means a completed Division of Labor and Industry inspection report form. (6) “Passenger elevator” means an elevator used primarily to carry persons other than the operator and persons necessary for loading and unloading. (7) “Qualified” means a person who, by possession of a recognized degree in an applicable field or certificate of professional standing, or who, by extensive knowledge, training, and experience, has successfully demonstrated the ability to solve problems relating to elevator safety. (8) “Safety Code” has the meaning stated in Public Safety Article, §12-801, Annotated Code of Maryland. (9) “Serious injury” means an injury that requires medical treatment by a physician other than one-time first aid, which other treatment does not include diagnostic procedures such as x-ray after the one time treatment, even if provided by a physician. (10) “Serious injury record” means a completed Division of Labor and Industry serious injury record form. (11) “Test report” means a completed Division of Labor and Industry test report form. (12) “Third-Party Qualified Elevator Inspector Report and Checklist” means a completed Division of Labor and Industry Third-Party Qualified Elevator Inspector Report and Checklist form. (13) “Vertical platform lift” means a hoisting and lowering mechanism equipped with a partially enclosed platform that: (a) Moves in guides in a substantially vertical direction with limited travel, operating speed, and platform area; and (b) Is intended for transportation of mobility-impaired persons. (14) “Witness”, as it appears in the Safety Code, means to observe or to verify that testing has been performed by a qualified individual in accordance with the Safety Code. #### Regulation .02 Safety Standard for Platform Lifts and Stairway Chairlifts. *COMAR 09.12.81.02* A. Scope. (1) The following sections set out the dates on which ANSI/ASME codes and supplements for platform lifts and stairway chairlifts, as required by Public Safety Article, §12-805, Annotated Code of Maryland, became effective. (2) Requirements prescribed at the time of the initial platform lift and stairway chairlift certification remain in effect. (3) ASME A18.1-1999 Safety Standard for Platform Lifts and Stairway Chairlifts is incorporated by reference and is effective April 1, 2002. (4) ASME A18.1a-2001 Addenda to ASME A18.1-1999 Safety Standard for Platform Lifts and Stairway Chairlifts is incorporated by reference, as amended, and is effective March 4, 2013. (5) ASME A18.1b-2001 Addenda to ASME A18.1-1999 Safety Standard for Platform Lifts and Stairway Chairlifts is incorporated by reference, as amended, and is effective March 4, 2013. (6) ASME A18.1-2003 (Revision of ASME A18.1-1999) Safety Standard for Platform Lifts and Stairway Chairlifts is incorporated by reference, as amended, and is effective March 4, 2013. (7) ASME A18.1-2005 (Revision of ASME A18.1-2003) Safety Standard for Platform Lifts and Stairway Chairlifts is incorporated by reference, as amended, and is effective March 4, 2013. (8) ASME A18.1-2008 (Revision of ASME A18.1-2005) Safety Standard for Platform Lifts and Stairway Chairlifts is incorporated by reference, as amended, and is effective March 4, 2013. (9) ASME A18.1-2011 (Revision of ASME A18.1-2008) Safety Standard for Platform Lifts and Stairway Chairlifts is incorporated by reference. (10) ASME A18.1-2014 (Revision of ASME A18.1-2011) Safety Standard for Platform Lifts and Stairway Chairlifts is incorporated by reference. (11) ASME A18.1-2017 (Revision of ASME A18.1-2014) Safety Standard for Platform Lifts and Stairway Chairlifts is incorporated by reference. (12) ASME A18.1-2020 (Revision of ASME A18.1-2017) Safety Standard for Platform Lifts and Stairway Chairlifts is incorporated by reference. (13) ASME A18.1-2023 (Revision of ASME A18.1-2020) Safety Standard for Platform Lifts and Stairway Chairlifts is incorporated by reference. B. In addition to the requirements of Part XX, Inclined Stairway Chairlifts and Inclined and Vertical Wheelchair Lifts, of the A17.1-Safety Code for Elevators, and the requirements of ASME A18.1-1999 Safety Standard for Platform Lifts and Stairway Chairlifts, and all subsequent amendments, §§CF of this regulation apply. C. General Requirements. (1) Vertical and inclined wheelchair lifts and inclined stairway chairlifts may be used only by physically handicapped individuals, and may not be modified from their intended use. (2) A sign, indicating that the lift is for use by the physically handicapped only, shall be posted at the top and bottom landings of the lift runway. (3) Disconnecting Device. (a) A main line disconnecting device lockable only in the “OFF” position shall be provided. (b) The disconnecting device shall be located within view of the lift motor. D. Vertical Wheelchair Lift. (1) Adequate car illumination shall be provided during lift operation. (2) An attendant-operated lift shall be operated by a key-activated continuous-pressure switch. E. Inclined Wheelchair Lift. (1) The edge of the lift's foot rest, facing the upper landing, may not extend more than 12 inches above a step or landing as measured vertically. (2) Self-Closing Door. (a) The platform shall be equipped with a self-closing door on the sides of access to the upper and lower landings. (b) The self-closing door shall be operable within 2 inches of the upper and lower landings. (3) A lift shall be provided with a permanently attached folding seat and seatbelt to accommodate a person not in a wheelchair. (4) Attendant Operation. (a) An attendant-operated lift shall be operated by a key-activated continuous-pressure switch. (b) When the equipment operates on a straight flight of stairs and the platform is within sight during its entire travel, the attendant shall operate the unit from the bottom of the stairs. F. Inclined Stairway Chairlift. The edge of the lift's foot rest, facing the upper landing, may not extend more than 12 inches above a step or landing as measured vertically. #### Regulation .03 Notice of Planned Completion. *COMAR 09.12.81.03* A. At least 60 days before the planned completion of an elevator, dumbwaiter, escalator, or moving walk, an owner or lessee shall provide the Commissioner with written notice of the planned completion, which shall contain the following information: (1) Contractor name, contact person, address, telephone number, and fax number; (2) Site name, address, and telephone number; (3) Type of elevator, dumbwaiter, escalator, or moving walk; (4) Date of planned completion; (5) Name of manufacturer; and (6) Tentative date of use. B. Waiver of 60-Day Notice Requirement. (1) If emergency or unusual circumstances are established by the owner or lessee, the Commissioner shall waive the 60-day notice requirement of §A of this regulation. (2) To obtain a waiver, the owner or lessee shall file a written waiver request with the Commissioner: (a) As soon as the emergency or unusual circumstances arise; and (b) Containing a detailed explanation of the emergency or unusual circumstances. (3) If the Commissioner grants a waiver under this section, the Commissioner shall also advise the owner or lessee of when the Notice is due. #### Regulation .04 Final Acceptance Inspection. *COMAR 09.12.81.04* A. A final acceptance inspection by the Commissioner is required before the Commissioner may issue a certificate of registration and inspection on all new or modified elevator units. B. A contractor shall request a final acceptance inspection at least 30 days before the date the contractor requests for the final acceptance inspection to be conducted. C. A contractor may cancel a scheduled inspection under this regulation by written notice to the Commissioner at least 24 hours before the scheduled inspection. #### Regulation .04-1 Third-Party Qualified Elevator Inspectors. *COMAR 09.12.81.04-1* A. Qualifications. (1) A third-party qualified elevator inspector shall have a valid qualified elevator inspector certification issued by an organization accredited by the American Society of Mechanical Engineers. (2) A third-party qualified elevator inspector shall be: (a) An independent elevator consultant; (b) Employed by an independent inspection agency; or (c) Employed by the insurer of the elevator unit. (3) A third-party qualified elevator inspector shall be registered with the Commissioner before performing inspections pursuant to Public Safety Article, §12-809(d), Annotated Code of Maryland. (4) A third-party qualified elevator inspector, who meets the qualifications set forth in §A(1) and (3) of this regulation, but does not meet the qualifications set forth in §A(2) of this regulation, is authorized to conduct only pre-final inspections under Public Safety Article, §12-810(c)(2), Annotated Code of Maryland. B. Insurance Requirements. (1) A third-party qualified elevator inspector authorized to conduct periodic no-load elevator inspections shall provide the Commissioner with a certified copy of an insurance policy covering liability related to the third-party qualified elevator inspector performing inspections on elevator units in Maryland. (2) The insurance policy shall be issued by an insurance company authorized to do business in Maryland. (3) The insurance policy shall be in the amount of at least $500,000 for injury or death for any number of individuals in any single occurrence, and $100,000 for property damage in any single occurrence. (4) The insurance policy shall identify the Commissioner as the certificate holder. (5) A third-party qualified elevator inspector shall notify the Commissioner of any material insurance policy alterations or cancellations within 5 business days of receiving notice of the alteration or cancellation. (6) A third-party qualified elevator inspector who conducts only inspections pursuant to Public Safety Article, §12-810(c), Annotated Code of Maryland, is not required to have insurance under this provision. C. Registration and Renewal. (1) To register initially, a third-party qualified elevator inspector shall submit to the Commissioner a registration fee of $250 and a completed registration form setting forth the following: (a) The applicant's name and address of record; (b) A description of the applicant's education; (c) A list of the applicant's past and present employers; (d) The dates of the applicant's employment with each employer; (e) The position the applicant held with each employer; (f) Proof of certification required by §A of this regulation; and (g) Proof of insurance required by §B of this regulation. (2) A third-party qualified elevator inspector shall renew the registration on an annual basis and submit to the Commissioner the following: (a) A copy of the current qualified elevator inspector certification; (b) A completed renewal application form; and (c) A renewal fee of $250. D. Suspension, Revocation, or Cancellation of Registration for Third-Party Qualified Elevator Inspectors. (1) Suspension of Registration. (a) After investigation, the Commissioner may suspend the registration of a third-party qualified elevator inspector for the following reasons: (i) Incompetence of the third-party qualified elevator inspector; (ii) Untrustworthiness of the third-party qualified elevator inspector; (iii) Willful falsification of any matter or statement contained in the registration or renewal form; or (iv) Willful falsification of any matter or statement contained in a report or checklist of an inspection made by the third-party qualified elevator inspector. (b) Within 10 days after suspending the registration of a third-party qualified elevator inspector, the Commissioner shall give written notice of the suspension to the third-party qualified elevator inspector. (c) An individual whose third-party qualified elevator inspector registration has been suspended may apply for reinstatement after 120 days following the date of the suspension. (2) Revocation of Registration. (a) Following a suspension of registration under this section, if the Commissioner has reason to believe that a third-party qualified elevator inspector is no longer qualified to hold a registration, the Commissioner may hold a hearing to consider revocation of the third-party qualified elevator inspector's registration. (b) The Commissioner shall give at least 10 days written notice of the hearing to the third-party qualified elevator inspector. (c) At the hearing, the third-party qualified elevator inspector shall be present and may be represented by counsel. (d) The Commissioner shall hold a hearing in accordance with State Government Article, Title 10, Subtitle 2, Annotated Code of Maryland. (e) If, after the hearing, the Commissioner determines that the third-party qualified elevator inspector is no longer qualified to hold a registration, the Commissioner shall immediately revoke the third-party qualified elevator inspector's registration. (3) Cancellation of Registration. A third-party qualified elevator inspector shall be automatically cancelled if the insurance or QEI certification lapses for any reason. #### Regulation .05 Inspections by State Inspector. *COMAR 09.12.81.05* An inspection by the Commissioner as provided for in Public Safety Article, §12-809(a), Annotated Code of Maryland is required before a certification of registration and inspection is issued. #### Regulation .06 Record Keeping and Filing. *COMAR 09.12.81.06* A. Record Keeping. At a readily accessible central location in the building where the elevator unit is located, a contractor, owner, or lessee shall maintain: (1) A legible hard copy of maintenance, repair, test, and inspection records; or (2) An electronic copy of maintenance, repair, test, and inspection records in an electronic format approved by the Commissioner for that location. B. The records required to be filed with the Commissioner shall be filed pursuant to the following time intervals: (1) Incident reports shall be filed within 5 business days of the contractor, owner, or lessee having knowledge of the incident; and (2) Serious injury records shall be filed within 24 hours of the contractor, owner, or lessee having knowledge of the occurrence. C. When the Commissioner requires records to be filed electronically, they shall be filed in comma delimited or tab delimited format, except when to do so would pose an undue burden. #### Regulation .07 Owner Inspection Responsibilities. *COMAR 09.12.81.07* A. An owner shall hire a third-party qualified elevator inspector who is registered and authorized to perform periodic annual inspections under Regulation .04-1 of this chapter to conduct inspections under Public Safety Article, §12-809(d), Annotated Code of Maryland. B. An inspection by a third-party qualified elevator inspector as provided for under Public Safety Article, §12-809(d), Annotated Code of Maryland, is required before a certification of registration and inspection is issued. C. The Commissioner may not issue a certificate of registration and inspection to an owner until the third-party qualified elevator inspector has filed an inspection report certifying compliance with the Safety Code and regulations adopted by the Commissioner. D. An owner shall ensure that an elevator unit suspended by wire ropes, belts, chains, or a similar suspension or an elevator with rack and pinion drive has a comprehensive 5-year inspection. E. Comprehensive 5-Year Inspection. (1) A comprehensive 5-year inspection under §D of this regulation is a periodic annual inspection and a full load test performed on an elevator unit as defined in the Safety Code as a Category 5 Periodic Test. (2) For a comprehensive 5-year inspection: (a) The Commissioner shall establish the 5-year inspection anniversary date for each unit; (b) An owner shall ensure that each unit is tested by persons qualified to perform such testing as provided in the Safety Code; (c) An owner shall coordinate with the Commissioner the date and time of the inspection by filing an inspection request with the Commissioner at least 60 days prior to the inspection; and (d) If an owner provides the Commissioner with less than 60 days notice of the inspection request, the Commissioner shall schedule the inspection at the convenience of the State, subject to the availability of State resources. F. This regulation does not preclude an owner from having an elevator unit inspected more frequently than required by this regulation. #### Regulation .08 Third-Party Qualified Elevator Inspections. *COMAR 09.12.81.08* A. A Level I inspector is a third-party qualified elevator inspector who may perform pre-final inspections and periodic annual inspections if the individual: (1) Possesses and maintains a valid third-party qualified elevator inspector certification; (2) Is employed as an independent consultant or by an independent inspection agency or is employed by the insurer of the elevator unit; and (3) Possesses and maintains insurance as required by Regulation .04-1 of this chapter. B. A Level II inspector is a third-party qualified elevator inspector who may perform only pre-final inspections if the individual possesses and maintains a valid qualified elevator inspector certification. C. A third-party qualified elevator inspector is authorized to perform only pre-final inspections on a personnel hoist under the ANSI A10.4 Code if approved by the Commissioner after submission of the following information: (1) Documentation detailing experience, manufacturer's training, and knowledge of personnel hoists, safety codes, maintenance, and testing; and (2) Any additional information requested by the Commissioner. D. A third-party qualified elevator inspector shall ensure that inspections and tests are performed consistent with the ASME A17.2 Guide for Inspection of Elevators, Escalators, and Moving Walks and the Safety Code. E. Within 30 days of the completion of the periodic annual inspection, the third-party qualified elevator inspector shall submit to the Commissioner the Third-Party Elevator Inspector Report and Checklist form detailing the inspection findings and certifying whether the elevator unit is in compliance with the Safety Code and regulations adopted by the Commissioner. F. If, during the course of a periodic annual inspection of an elevator unit, a third-party qualified elevator inspector finds a potential violation of the Safety Code or any regulation adopted by the Commissioner, the third-party qualified elevator inspector shall provide the owner with the opportunity to abate and correct the alleged violation. G. When an inspection by a third-party qualified elevator inspector discloses that an elevator unit is in an unsafe condition so that its continued operation is likely to expose a passenger on an elevator unit to the threat of serious injury, the third-party qualified elevator inspector shall: (1) Advise the owner to cease operation of the elevator unit; and (2) Notify the Commissioner immediately. ### Chapter 82 — Elevators and Rescue Litters **Authority:** Public Safety Article, §12-805, Annotated Code of Maryland **Administrative History:** Effective date: September 8, 1986 (13:18 Md. R. 2020) **Administrative History:** Regulation .01 amended effective December 23, 1991 (18:25 Md. R. 2750) **Administrative History:** Regulation .03 amended effective December 23, 1991 (18:25 Md. R. 2750) #### Regulation .01 Purpose. *COMAR 09.12.82.01* This chapter delineates and defines certain terms used in Public Safety Article, §12-816, Annotated Code of Maryland. #### Regulation .02 Definition. *COMAR 09.12.82.02* “Rescue litter” means a device for use in moving a sick or wounded person. The term may include, but is not limited to, an ambulance stretcher, cot, or litter. #### Regulation .03 Rescue Litter Size. *COMAR 09.12.82.03* For the purposes of Public Safety Article, §12-816, Annotated Code of Maryland, the owner or lessee shall ensure that a horizontally positioned 6 foot 8 inch rescue litter having a width of 24 inches can be accommodated in the passenger elevator. ### Chapter 83 — Safety Requirements for Personnel Hoists **Authority:** Public Safety Article, §12-805, Annotated Code of Maryland **Administrative History:** Effective date: April 18, 1988 (15:8 Md. R. 1009) **Administrative History:** Regulation .01 amended effective July 15, 1996 (23:14 Md. R. 1008); July 16, 2020 (47:14 Md. R. 675) **Administrative History:** Regulation .01C, D adopted effective July 16, 2018 (45:14 Md. R. 695) #### Regulation .01 Incorporation by Reference. *COMAR 09.12.83.01* A. Purpose. These regulations establish safety standards for the design, construction, installation, operation, inspection, and maintenance of personnel hoists. B. The American National Standard Safety Requirements for Personnel Hoists and Employee Elevators for Construction and Demolition Operations, ANSI A10.4—1990, is incorporated by reference, with the following changes: (1) On page 1, under Section 2.1, Related American National Standards, delete reference to ANSI/ASME A17.1—1987 and insert in its place the following: American National Standard Safety Code for Elevators, Dumbwaiters, Escalators, and Moving Walks, ASME A17.1, as adopted by the Commissioner of Labor and Industry. (2) On page 2, under Section 2.3, Referenced Standards, delete reference to ANSI/ASME A17.1—1988 and insert in its place the following: American National Standard Safety Code for Elevators, Dumbwaiters, Escalators, and Moving Walks, ASME A17.1, as adopted by the Commissioner of Labor and Industry. (3) On pages 8 and 9, delete the following definitions: (4) On page 11, delete the text under Section 4, Temporary Use of Permanent Elevators for Carrying Workers or Materials, and insert in its place the following: Section 4. Permanent passenger or freight elevators installed in buildings under construction, modification, or demolition may be used for carrying workers or materials, or both, provided the elevators are approved for such use and a temporary permit therefore is issued for the class of service for which approval is granted by the department having jurisdiction. Elevators for handling personnel during construction that operate in permanent hoistways on the permanent guide rails shall conform to the requirements of the current edition of the American National Standard Safety Code for Elevators, Dumbwaiters, Escalators, and Moving Walks, ASME A17.1, as adopted by the Commissioner of Labor and Industry, that apply to this type of operation. (5) On page 24, delete the text under Section 14.3.1 and insert the following: When oil buffers are used they shall comply with Part II, Section 201, Rule 201.4 of ASME A17.1, as adopted by the Commissioner of Labor and Industry. (6) On page 45, delete Section 24.1.2.1 Automatic Operating Devices. (7) On page 45, delete Section 24.1.2.2. (8) On page 46, delete the text under Section 24.1.3, Top-of-Car Operation During Inspection, and insert the following: (9) On page 46, delete Section 24.1.4. Wireless Control. (10) On page 46, delete Section 24.1.5 Design Principle for Wireless Control. (11) On page 56, delete the text under Section 26.3, Acceptance Tests of Buffers for Car and Counterweight, and insert the following: No acceptance test shall be required for spring-type buffers. Oil buffers shall be tested in the field in accordance with Part X, Section 1000, Rule 1000.3 of ASME A17.1, as adopted by the Commissioner of Labor and Industry. (12) On page 57, delete the text under Section 26.6 Operation and insert the following: Except for requirements relating to automatic operation and wireless control, hoists shall be operated in compliance with the manufacturing specifications, rules, and recommendations, and the same of the governing authority. This shall consist of items, functions and criteria pertaining to the hoist use and shall be a part of an operational maintenance and inspection log. (13) On page 57, delete Section 26.6.1. (14) On page 59, delete the text under Section 29 Posting of Operating Permits and insert the following: Permits shall be posted in accordance with Regulation .02 of this chapter. C. American National Standard ANSI/ASSE A10.4 — 2007 Personnel Hoists and Employee Elevators on Construction and Demolition Sites, is incorporated by reference. D. American National Standard ANSI/ASSE A10.4 — 2016 Safety Requirements for Personnel Hoists and Employee Elevators on Construction and Demolition Sites, is incorporated by reference. E. Article 620 Elevators, Dumbwaiters, Escalators, Moving Walks, Platform Lifts, and Stairway Chairlifts of the National Electric Code (NFPA 70), which is incorporated by reference in COMAR 09.12.50.02-1B(3). #### Regulation .02 Identification Plate and Certificate of Inspection. *COMAR 09.12.83.02* A. A person may not operate a personnel hoist unless the Commissioner has issued: (1) An identification plate; and (2) A certificate of inspection. B. State of Maryland Identification Plate. (1) The Commissioner shall issue a State identification plate which the owner shall affix in a conspicuous location on the driving unit. (2) If an identification plate is no longer legible, the owner shall notify the Commissioner, who shall issue a replacement. C. Certificate of Inspection. (1) A certificate of inspection may not be issued unless the hoist is in full compliance with Public Safety Article, Title 12, Subtitle 8, Annotated Code of Maryland, and all applicable regulations. (2) Application for a certificate of inspection shall be made on forms furnished by the Commissioner. (3) A certificate of inspection shall be posted on the personnel hoist for which it is issued. (4) A certificate of inspection is valid for not more than 90 days from the date of issuance. ### Chapter 84—90 — *VACANT* ### Chapter 91 — Railroad Safety and Health **Authority:** Labor and Employment Article, §§5.5-104 and 5.5-108, Annotated Code of Maryland **Administrative History:** Effective date: January 9, 1981 (8:1 Md. R. 20) **Administrative History:** Regulations .01—.03 adopted effective January 28, 1985 (12:2 Md. R. 137) **Administrative History:** Regulation .04 adopted effective February 24, 1986 (13:4 Md. R. 396) **Administrative History:** Regulation .05 adopted effective July 13, 1986 (13:14 Md. R. 1633) **Administrative History:** Regulation .06 adopted effective October 19, 1987 (14:21 Md. R. 2223) **Administrative History:** Regulation .07 adopted effective April 16, 1990 (17:7 Md. R. 849) #### Regulation .01 Definitions. *COMAR 09.12.91.01* A. In these regulations, the following terms have the meanings indicated. B. Terms Defined. (1) “Agency” means the Division of Labor and Industry. (2) “Commissioner” means the Commissioner of Labor and Industry or the Commissioner's authorized representative. (3) “Presenter of evidence” means the Assistant Attorney General assigned to present charges and evidence on behalf of the agency. (4) “Presiding officer” means the Commissioner or a hearing officer authorized to conduct a hearing. #### Regulation .02 Rules of Procedure for Hearing. *COMAR 09.12.91.02* A. The requirements of this regulation are in addition to the requirements of the Administrative Procedure Act, Contested Cases, §10-201 et seq. of the State Government Article, Annotated Code of Maryland. B. Notice of Hearing. (1) The presiding officer shall serve notice of the hearing on all parties at least 15 days before the hearing. (2) Notice served under §B(1) of this regulation shall: (a) State the time, place, and nature of the hearing; (b) State the authority of the agency to hold the hearing; (c) Cite the specific section of each statute and regulation, including a procedural regulation, that is pertinent; and (d) State concisely and simply: (i) The facts that are asserted, or (ii) If the facts cannot be stated in detail when the notice is given, the issues that are involved. C. Manner of Service. (1) The requirements of this section are in addition to the requirements of COMAR 09.01.02.04. (2) Notice of hearing required by §B of this regulation shall be sent to all parties other than the agency by: (a) Certified mail with a return receipt requested; or (b) Personal delivery, provided the person serving the document certifies to the manner and date of service. (3) Unless otherwise required by law or by applicable regulations, service of any document upon any party may be made by: (a) Personal delivery, provided the person serving the document certifies to the manner and date of service; or (b) Mailing a copy of the document to the last known address of the party. D. Hearing Officer. (1) The requirements of this section are in addition to the requirements of COMAR 09.01.03 Hearing Officer Regulations. (2) A hearing officer shall have all powers necessary to conduct a fair, full and impartial hearing, including but not limited to the power to: (a) Administer oaths and affirmations; (b) Rule upon offers of proof and receive relevant evidence; (c) Regulate the course of the hearing and the conduct of the parties and their counsel; (d) Rule upon procedural requests; (e) Examine any witness; (f) Issue subpoenas; and (g) Take any other appropriate action authorized by applicable statutes or regulations. E. Issuance of Subpoena or Summons. (1) The requirements of this section are in addition to the requirements of COMAR 09.01.02.03. (2) On application of any party, received by the agency not less than 7 business days before a scheduled hearing date, the presiding officer shall immediately issue a subpoena or summons requiring the attendance and testimony of a witness and the production of any evidence, including relevant books, records, correspondence, or documents in the possession or under the control of the person subpoenaed or summoned. (3) An application for a subpoena or summons may be made by one party only. (4) A subpoena or summons shall show on its face the name and address of the party requesting the subpoena or summons. (5) If a person fails to comply with a subpoena or summons, the Commissioner shall initiate proceedings to enforce the subpoena or summons in the appropriate court if, in the Commissioner's judgment, the: (a) Testimony of the witness failing to appear is material to the proceedings; or (b) Production of the evidence by the person failing to comply is material to the proceedings. F. Hearings. (1) Postponement. (a) The requirements of §F(1) of this regulation are in addition to the requirements of COMAR 09.01.02.02. (b) A postponement for more than 30 days may not be granted without the approval of the presiding officer. (2) Hearings shall be recorded verbatim. (3) Hearing Procedure. (a) The presiding officer shall: (i) Call the title of the case; (ii) Explain briefly the purpose and nature of the hearing; (iii) Recite any charges, complaints, or other matters involved; and (iv) Administer the oath to all persons who are summoned or intend to testify. (b) Counsel or any party may be heard on any preliminary objection, exception, or motion, and any stipulation entered into by the parties shall be received. (c) The following exhibits shall be introduced: (i) If the presiding officer is a hearing officer, a copy of the letter designating the hearing officer to preside at the hearing; (ii) A copy of the petition, complaint, or other matter involved in the hearing; and (iii) A copy of the notice of hearing sent to persons entitled to receive notice. (d) Order of Testimony. In all hearings on: (i) Citations, the presenter of evidence shall proceed first and shall present the evidence on which the citation was based. (ii) Employee complaints, the presenter of evidence shall proceed first and shall present evidence obtained as a result of the agency investigation of the complaint. (iii) Applications for variance, counsel for the railroad company requesting the variance shall proceed first and present evidence demonstrating either that the variance is necessary to prevent undue operational or economic hardship, or that existing conditions prevent practical compliance and the reasonable safety of the public and employees of the railroad company can be assured. The presenter of evidence shall then present information obtained as a result of the agency's investigation of the variance request. (e) Subject to applicable statutes and rules governing the practice of law, each party or counsel representing a party may: (i) Call witnesses; (ii) Offer evidence, including rebuttal evidence; (iii) Cross-examine any witness that another party or the agency calls; and (iv) Present summation and argument. (f) Written Memorandum. (i) Upon request of any party or counsel representing a party, before the close of the hearing, the presiding officer may permit a party or counsel to file a written memorandum, which may include proposed findings of fact and conclusions of law. (ii) The presiding officer may require a written memorandum. (iii) The presiding officer may fix a reasonable time for filing a memorandum. G. Determination of Hearing Officer. (1) Within a reasonable time after a hearing officer has heard all evidence and considered any written memorandum, the hearing officer shall issue a written determination which includes: (a) Proposed findings of fact based on the evidence in the record; (b) Proposed conclusions of law setting forth the application of the law to the factual findings; and (c) A proposed order making disposition of the case. (2) The hearing officer shall promptly serve a copy of the determination on each party. (3) Unless a review is requested under Labor and Employment Article, §5.5-118, Annotated Code of Maryland, within 15 working days from the date of the determination, the decision of the hearing officer becomes the final order of the Commissioner. #### Regulation .03 Variances. *COMAR 09.12.91.03* A. Application for Variance. (1) Any affected railroad company may apply to the Commissioner for a variance from a regulation or standard adopted under the Railroad Safety and Health Act, Labor and Employment Article, Title 5.5, Annotated Code of Maryland. (2) An application for variance shall be in writing and shall include: (a) The name and address of the applicant; (b) Identification of the regulation or standard from which the applicant seeks a variance; (c) The location, equipment, or practices involved; (d) A detailed statement of the reasons why the applicant is requesting a variance from the regulation or standard; (e) A statement of the steps the applicant has taken and will take, with specific dates where appropriate, to protect employees and the public against the hazard covered by the regulation or standard; (f) Certification that the applicant has given appropriate notice of the application for variance to: (i) The applicant's employees affected by the variance, (ii) All authorized representatives of the affected employees, and (iii) Other persons affected by the condition for which a variance is sought; (g) A copy or description of the notice required by §A(2)(f) of this regulation; and (h) A list of the names and addresses of persons to be notified pursuant to §A(2)(f) of this regulation. B. Hearing. (1) A hearing shall be held on every request for variance. (2) Notice of a hearing on a request for variance shall be given in accordance with Regulation .02 of this chapter and also shall be published in the Maryland Register. (3) A hearing on a request for variance shall be conducted in accordance with Regulation .02 of this chapter. #### Regulation .04 Clearance Requirements. *COMAR 09.12.91.04* A. Definitions. In this regulation, the following terms have the meanings indicated: (1) “Main track” means track extending through a yard or between stations, upon which trains are controlled by timetable, block signals, interlocking rules, interlocking signals, or special instructions. (2) “Overhead clearance” means the vertical distance from the top of the highest rail to a structure or obstruction above. (3) “Side clearance” means the shortest horizontal distance from the centerline of track to a structure or obstruction at the side of the track. B. Exemptions. Provided reasonable safety is maintained, this regulation may not be construed to prevent: (1) Movement or distribution over tracks of material necessary to construct or maintain the tracks; or (2) Movement of work equipment used to construct or maintain the railroad. C. Overhead Clearance. (1) Except as otherwise provided in this regulation, the minimum overhead clearance above tracks used to transport freight cars shall be 22 feet. (2) The clearance required by §C(1) of this regulation does not apply to: (a) Engine houses and locomotive service facilities; (b) Tipples; (c) Facilities used to load or unload bulk commodities; or (d) Electric wires and equipment necessary to operate trains by electric energy, if railroad employees are prohibited from being on the tops of moving closed cars where the required clearance is not provided. (3) Existing Structures. Structures constructed before July 28, 1953 may be maintained at existing clearances, except that, whenever the structure is relocated or reconstructed, the clearance required by §C(1) of this regulation shall be provided. (a) Existing tracks may be reconstructed under the existing structure at existing clearances. (b) Additional tracks may be constructed under the existing structure at the same clearances as existing tracks. (4) Overhead clearance at the entrance to and within a building may be less than 22 feet but not less than 18 feet if all cars, locomotives, and other equipment are required to stop before entering the building. D. Side Clearances. (1) Except as otherwise provided in this regulation, the minimum side clearance from the centerline of tangent railroad tracks used to transport freight cars, to structures and obstructions above the top of the rail, shall be 8 feet 6 inches. (2) The clearance required by §D(1) of this regulation does not apply to: (a) Engine houses and locomotive service facilities; (b) Tipples; (c) Facilities used to load or unload bulk commodities; or (d) Inter-track fences on the centerline between tracks. (3) Structures, including platforms and tracks, constructed before July 28, 1953, may be maintained and extended at existing clearances, except that, whenever the structure is relocated or reconstructed, the clearance required by §D(1) of this regulation shall be provided. (4) Structures adjacent to curved tracks shall have additional side clearance to compensate for the track curvature, super-elevation, and car design. (5) Platforms. (a) Platforms constructed before July 28, 1953 with side clearances less than that required by this regulation may be extended at the existing clearances, provided the extension is not in connection with the reconstruction of the platform. (b) Platforms, except platforms 4 feet or less above the top of the rail and adjacent to main or passing tracks, may have clearances less than 8 feet 6 inches from the centerline of track on one side of the tracks only, if: (i) A clearance of 8 feet 6 inches is maintained on the opposite side of the track; or (ii) The distance from track center to adjacent track is at least 13 feet 6 inches. (c) Passenger platforms more than 8 inches but not more than 4 feet above the top of the rail shall be at least 5 feet 7 inches from the centerline of track. (d) Passenger platforms 8 inches or less above the top of the rail shall be at least 5 feet 1 inch from the centerline of track. (6) At entrances to and inside of warehouses and industrial buildings, side clearances, other than for platforms, shall be at least 8 feet from the centerline of track. (7) Switchboxes, switch-operating mechanisms, and accessories necessary to control and operate signals and interlockers, which project 4 inches or less above the top of the rail, shall be at least 3 feet from the centerline of track. (8) When it is not practicable to provide clearances otherwise required by this regulation, the center spindle of signal and switch stands 3 feet or less above the top of the rail, located between tracks, shall be at least 6 feet from the center line of track. (9) Through bridges, tunnels, water columns, and oil columns shall be at least 8 feet from the centerline of track. (10) Clearances for through bridges, clearances for water barrel platforms and refuge platforms on bridges and trestles not provided with walkways, and clearances for handrails, water barrels, water columns, oil columns, block signals, and stock chutes, when all or portions of them are 4 feet or less above the top of the rail, may be decreased to the extent defined by a line extending diagonally upward from a point level with the top of the rail and 5 feet distant laterally from the centerline of track to a point 4 feet above the top of the rail and 8 feet distant laterally from the centerline of track. (11) The minimum clearance for handrails and water barrels on bridges with walkways shall be 7 feet 9 inches. (12) The lesser clearances for handrails and water barrels authorized in §D(10) of this regulation do not apply to through bridges if the work of trainmen or yardmen requires them to be on the deck of the bridge to couple and uncouple cars on a switching lead. E. Overhead and Side Clearance—Exceptions. (1) The overhead and side clearances required by this regulation may be decreased to the extent defined by a straight line extending diagonally downward from a point 4 feet from the centerline of track at 22 feet above the top of the rail, to a point 8 feet 6 inches from the centerline of track at 15 feet 3 inches above the top of the rail. (2) For tracks located at the entrance to and within a building, overhead and side clearances may be decreased to the extent defined by a straight line extending diagonally downward from a point 4 feet from the centerline of track at 18 feet above the top of the rail, to a point 8 feet from the centerline of track at 14 feet above the top of the rail. (3) Canopies at one side of the track at freight platforms may be constructed 4 feet or more from the centerline of track, if: (a) The height of the canopy is at least 17 feet 6 inches above the top of the rail; and (b) Either of the following apply: (i) Clearance of 8 feet 6 inches is maintained on the opposite side of the track from the canopy; or (ii) The distance from track center to adjacent track is not less than 13 feet 6 inches. F. Clearance Between Parallel Tracks. (1) Except as otherwise provided in this regulation, the minimum distance between the centerlines of parallel track shall be as follows: (a) Two parallel main tracks --- 4 feet; (b) Yard and side tracks --- 13 feet, 6 inches; (c) Track other than main or passing track, which is parallel to main or passing track --- 15 feet; (d) Where passing track is at least 15 feet from main track, other track adjacent to passing track --- 13 feet, 6 inches; (e) Two parallel ladder tracks --- 19 feet; (f) Ladder track parallel to other track --- 18 feet; (g) Team, house, and industry track --- 13 feet; (2) Tracks constructed before July 28, 1953 may be extended without increasing distances between tracks. G. Other Conditions and Obstructions Adjacent to Tracks. (1) Merchandise, material, or other articles may not be permitted to remain adjacent to any track at a distance less than 8 feet 6 inches from the centerline of track. (2) A line or other marker shall be maintained at a distance of 8 feet 6 inches from the centerline of track, on all platforms except passenger platforms, to indicate the space which shall be kept clear. (3) The space between tracks ordinarily used as a walkway by train and yardmen and other employees in the discharge of their duties, and the space beside those tracks within 8 feet 6 inches of the centerline of track, shall be kept in a reasonably suitable condition for that purpose. H. Compliance. Except as provided in this regulation, a railroad company may not operate or permit to be operated any car, train, locomotive, or other equipment over its own tracks, or industrial tracks directly or indirectly connected with its own tracks, if: (1) Overhead or side clearances or clearances between tracks are less than the minimum prescribed in this regulation; and (2) After July 28, 1953, tracks or structures adjacent to tracks are constructed or reconstructed by: (a) The railroad company; or (b) Others, if the railroad company has the right to control the construction or reconstruction. #### Regulation .05 Track Safety Standards. *COMAR 09.12.91.05* A. The standards relating to Railroad Safety and Health: Track Safety Standards, as published in 49 CFR Part 213, §§213.1—213.241 and Appendices A and B, are incorporated by reference. B. The amendments to the track safety standards as published in 47 FR 39401—39404 (September 7, 1982), 48 FR 35883 (August 8, 1983), and 49 FR 1988 (January 17, 1984) are incorporated by reference. C. In the federal standards incorporated by reference by this regulation, the designations “Federal Railroad Administrator” and “Federal Railroad Administration” are amended to mean “Commissioner of Labor and Industry”. #### Regulation .06 Report of Railroad Accident. *COMAR 09.12.91.06* A. “Promptly”, for accident reporting purposes, means within 3 hours. B. Every railroad company operating a railroad in this State shall report, in writing or orally, to the Commissioner, promptly after the occurrence of an accident resulting in a serious injury or fatality to any person, or damage to property exceeding the sum determined by federal regulation, incurred during the operation of the railroad in the State. C. The report shall include: (1) Caller's name and title; (2) Date and time of the report; (3) Railroad name and subdivision or route segment; (4) Date, time, and location of the accident; (5) Nature of accident, such as derailment, collision, public or private road crossing accident, or fire; (6) Severity of the accident, including: (a) Number of persons injured or killed; and (b) Number of cars or units derailed; (7) Whether hazardous material is involved; and (8) Telephone number where additional information may be obtained. #### Regulation .07 Posting of Citations. *COMAR 09.12.91.07* A. Place of Posting. (1) Except as otherwise provided by this regulation, upon receipt of a citation issued under the Railroad Safety and Health Act, Labor and Employment Article, Title 5.5, Annotated Code of Maryland, a railroad company shall immediately post the citation, or a copy of it, at or near each place a violation alleged in the citation occurred. (2) If a citation posted at or near a place of alleged violation would not be readily visible to affected employees, the railroad company shall post the citation in a place or places where it will be readily visible to affected employees. B. The railroad company shall: (1) Post the citation or copy unedited; and (2) Ensure that, while posted, the citation or copy is not altered, defaced, or covered by other material. C. Duration of Posting. (1) If the railroad company does not file a notice of intention to contest a citation, the citation shall remain posted for the longer of: (a) The period until the violation has been abated; or (b) Three working days. (2) If the railroad company files a notice of intention to contest a citation, the citation shall remain posted until the Commissioner of Labor and Industry issues a final order: (a) Vacating the citation; or (b) Affirming the citation, and the violation has been abated. D. Contested Citation. (1) A railroad company that has filed a notice of intention to contest a citation may post a copy of the notice at each location where the citation is posted. (2) The notice in §D(1) may: (a) Explain the reasons for the contest; and (b) Specify the steps that have been taken to abate the violation. ## Subtitle 13 — Board for Professional Land Surveyors ### Chapter 01 — Code of Ethics for the Practice of Professional Land Surveying and Property Line Surveying **Authority:** Business Occupations and Professions Article, §§15-205 and 15-208, Annotated Code of Maryland **Administrative History:** Effective date: December 30, 1977 (4:27 Md. R. 2106) **Administrative History:** Regulation .01B amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .02 amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .03 amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .04 amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .05 amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .06 amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .07 amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .08 adopted effective May 6, 1985 (12:9 Md. R. 810) **Administrative History:** Regulation .08 amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .09 adopted effective October 20, 2008 (35:21 Md. R. 1824) **Administrative History:** Regulation .09 amended effective December 17, 2018 (45:25 Md. R. 1205) #### Regulation .01 Definitions. *COMAR 09.13.01.01* A. In the Code of Ethics, the following words have the meaning indicated. B. Terms Defined. (1) “Board” means the Board for Professional Land Surveyors. (2) “Licensee” means any person holding a license issued by the Board as a professional land surveyor or a property line surveyor. #### Regulation .02 Responsibility to the Public. *COMAR 09.13.01.02* In the performance of a licensee’s professional duties, the licensee shall make every reasonable effort to protect the safety, health, property, and welfare of the public. If the licensee’s professional judgment is overruled under circumstances in which the safety, health, property, or welfare of the public is endangered, the licensee shall inform the licensee’s employer or client of the possible consequences. #### Regulation .03 Public Statements, Reports, and Testimony. *COMAR 09.13.01.03* A. A licensee may not make statements or reports, or give expert testimony, on land-surveying matters connected with public policy, if the licensee’s remarks are inspired by or paid for by an interested party, unless the licensee precedes the remarks by identifying himself or herself, by disclosing the identity of the party on whose behalf the licensee is speaking, and by revealing the existence of any pecuniary interest the licensee has in the matter. B. A licensee may express publicly a professional opinion on a land-surveying subject only when that opinion is founded upon adequate knowledge of the material facts and a background of technical competence in the subject matter. C. In a professional report, statement, or testimony, a licensee may not be untruthful or deceptive. #### Regulation .04 Competency for Assignments Undertaken or Approved. *COMAR 09.13.01.04* A. A licensee may undertake or perform land-surveying assignments only when qualified to do so by education or experience, or both, in the specific field of land surveying involved. B. A licensee may affix the licensee’s signature or seal to land surveying documents only if: (1) The licensee is competent in the subject matter of those documents by virtue of education or experience, or both; and (2) The documents were prepared under the licensee’s direction as principal by an employee or an associate competent in the subject matter of those documents by virtue of education or experience, or both. #### Regulation .05 Conflicts of Interest. *COMAR 09.13.01.05* A. A licensee shall avoid conflicts of interest with the licensee’s employer or client. Whenever conflicts of interest appear unavoidable, however, the licensee shall disclose promptly and fully all the circumstances to the employer or client. B. A licensee shall promptly inform the licensee’s employer or client of any business association, interests, or circumstances which may influence the licensee’s judgment or the quality of services to the licensee’s employer or client. C. A licensee may not accept compensation, financial or other, from more than one party for services on a project or for services pertaining to a project, unless the licensee makes full disclosure to all interested parties. D. A licensee may not solicit or accept financial or other valuable consideration from any material supplier or equipment supplier for specifying the supplier's products, except when the licensee is a previously announced employee or agent of the supplier. E. A licensee may not solicit or accept gratuities, directly or indirectly, from any contractor, architect, engineer, professional land surveyor or property line surveyor, or other party dealing with the licensee’s employer or client in connection with work for which the licensee is responsible. #### Regulation .06 Improper Solicitation of Professional Employment. *COMAR 09.13.01.06* A. Other than the usual commissions paid to licensed employment agencies, a licensee may not compensate, give anything of value, or offer to compensate or give anything of value, as follows: (1) To a person or organization to recommend or secure the licensee’s employment as a professional land surveyor or a property line surveyor; or (2) As a reward for having made a recommendation resulting in the licensee’s employment as a professional land surveyor or a property line surveyor. B. When competing for professional employment, a licensee may not falsify or permit misrepresentation of the licensee’s qualifications or those of the licensee' associates. C. An employed licensee may not solicit or accept other employment to the detriment of the licensee’s regular work or the interests of the licensee’s employer. #### Regulation .07 Knowledge of Improper Conduct by Others. *COMAR 09.13.01.07* Except to the extent the rules of privilege may apply, when questioned by any member or authorized representative of the Board concerning any alleged violation of another person or organization, a licensee may not conceal or refuse to divulge information that the licensee may have, or make false or misleading statements about the matter. #### Regulation .08 Licensees’ Designation. *COMAR 09.13.01.08* A licensee may not use any designation after the licensee’s name on any business communication which misleads the public as to whether the licensee is a professional land surveyor or a property line surveyor. #### Regulation .09 Failure to Respond. *COMAR 09.13.01.09* A. An applicant or licensee shall respond in writing to a written communication from the Board within 30 days of the date of mailing. B. The Board shall send a written communication by first-class mail to the last known address furnished to the Board by an applicant or licensee. C. It is a responsibility of an applicant or licensee to notify the Board in writing if there has been a change in applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Board to be a violation of Business Occupations and Professions Article, §15-317(a)(1)(v), Annotated Code of Maryland. ### Chapter 02 — Hearing Regulations **Authority:** Business Occupations and Professions Article, §§15-208(a) and 15-320, Annotated Code of Maryland **Administrative History:** Effective date: August 25, 1978 (5:17 Md. R. 1328) **Administrative History:** Regulations .01 and .02 General Hearing Regulations repealed and new Regulations .01—.03 Hearing Regulations adopted effective August 4, 2003 (30:15 Md. R. 991) #### Regulation .01 Hearings Before the Board. *COMAR 09.13.02.01* A. Except as otherwise provided in §§B and C of this regulation, all contested case hearings before the Board shall be governed by COMAR 09.01.02. B. The administrative unit shall send the hearing notice described in COMAR 09.01.02.07B: (1) At least 30 days before the hearing; or (2) If the parties have agreed to a date for which 30 days notice cannot be given, at the earliest time possible. C. During the hearing, the presiding officer may recognize members of the Board or counsel to the Board to ask questions of witnesses or of counsel. D. The Board may call witnesses of its own or recall witnesses to elicit facts or opinions. #### Regulation .02 Hearings Delegated to the Office of Administrative Hearings. *COMAR 09.13.02.02* All contested case hearings delegated to the Office of Administrative Hearings shall be governed by COMAR 09.01.03. #### Regulation .03 Complaint Committee. *COMAR 09.13.02.03* A. The presiding officer shall appoint one professional Board member and one consumer Board member to constitute the complaint committee. B. The complaint committee shall: (1) Review all complaints filed with the Board; and (2) Make a recommendation to the full Board on the disposition of each matter. C. Before making a recommendation on a complaint, the complaint committee may request that the Department perform an investigation to obtain additional information. After receipt of this information, the committee shall make a recommendation to the full Board. ### Chapter 03 — Survey Markers **Authority:** Business Occupations and Professions Article, § 15-208, Annotated Code of Maryland **Administrative History:** Effective date: January 1, 1984 (10:16 Md. R. 1453) **Administrative History:** Regulation .03 amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .03B amended effective January 1, 1984 (10:24 Md. R. 2188) #### Regulation .01 Purpose. *COMAR 09.13.03.01* The purpose of these regulations is to promulgate minimum standards for survey markers set by all licensees that will insure the permanency of the marker and allow for easy identification of the licensee responsible for setting the marker. #### Regulation .02 Marker Specifications. *COMAR 09.13.03.02* A. All licensees shall use a survey marker made of durable material that will activate a magnetic detector. B. The material for a survey marker may include any one of the following: (1) Iron pipe; (2) Iron rod; (3) Rebar; (4) Impregnated plastic stake; or (5) Concrete monument. #### Regulation .03 Marker Identification. *COMAR 09.13.03.03* A. The top of all survey markers, described in Regulation .02, of this chapter, set by a licensee or a permit holder shall have a legible inscription that identifies the licensee or a permit holder responsible for setting the survey marker. B. The top of all survey markers, described in Regulation .02, of this chapter, set by a licensee or a permit holder shall have a legible inscription stating the words “Property Marker” or the abbreviations “Prop. Mark.” or “Prop. Mkr.”. #### Regulation .04 Existing Natural Markers. *COMAR 09.13.03.04* A. All licensees shall put an identifying mark on all existing objects that serve as markers for property corners. B. The identifying mark may include any one of the following: (1) Drill hole; (2) Cross cut; (3) Square cut; (4) Spike; (5) P.K. nail; or (6) Lag bolt. C. All licensees shall describe the identifying mark in any legal description or plat prepared by the licensee. ### Chapter 04 — Disciplinary Actions **Authority:** Business Occupations and Professions Article, §15-208(a), Annotated Code of Maryland **Administrative History:** Effective date: March 18, 1991 (18:5 Md. R. 594) **Administrative History:** Regulation .01B amended effective January 24, 2000 (27:1 Md. R. 74) #### Regulation .01 Definitions. *COMAR 09.13.04.01* A. For purposes of Business Occupations and Professions Article, §15-318(5), Annotated Code of Maryland, the following terms have the meanings indicated. B. Terms Defined. (1) Gross Negligence. (a) “Gross negligence” means a wrongful act or omission, more culpable in nature than simple inadvertence or mistake, characterized by disregard of the property rights of others. It is conduct which constitutes substantial departure from the standard of care required of professional land surveyors or property line surveyors. (b) “Gross negligence” includes but is not limited to: (i) Knowingly or recklessly preparing a plat or other survey document which fails to protect the rights of interested parties where the surveyor knew those rights existed; (ii) Knowingly or recklessly failing to provide minimal supervision of employees engaged in surveying work; (iii) Knowingly or recklessly preparing a plat or other survey document which, if properly relied upon, could lead to serious injury to persons or property. (2) “Incompetence” means: (a) Physical or mental incapacity; or (b) Engaging in conduct which evidences a lack of proficiency, learning, ability, skill, or fitness necessary to perform regular duties, tasks, and functions of a professional land surveyor or property line surveyor in a reasonably effective, professional, and competent manner. (3) Misconduct. (a) “Misconduct” means conduct by a professional land surveyor or property line surveyor which violates the standards of integrity of the profession. (b) “Misconduct” includes but is not limited to: (i) Violating the Code of Ethics set out in COMAR 09.13.01; (ii) Expressing an opinion publicly on a land surveying subject without being informed as to the facts relating to it and being competent to form a sound opinion on it; (iii) Being untruthful, deceptive, or misleading in any professional report, statement, or testimony whether under oath, or omitting relevant and pertinent information from the report, statement, or testimony when the result of an omission would or reasonably could lead to a fallacious conclusion on the part of the client or the general public; (iv) Performing a land surveying assignment when not qualified by training or experience in the type of land surveying involved; (v) Affixing a signature and seal to any land surveying plan or document in a subject matter over which the licensed professional land surveyor or property line surveyor lacks competence by virtue of inadequate training or experience and familiarity; (vi) Offering directly or indirectly any bribe or commission to obtain selection or preferment for a land surveying employment with the exception of the payment of the usual commission for securing salaried positions through licensed employment agencies; (vii) Soliciting or accepting gratuities directly or indirectly from contractors, their agents, or other parties dealing with the registered land surveyor's client or employer in connection with work for which the licensed professional land surveyor or property line surveyor is responsible; (viii) Use by a licensed professional registered land surveyor or property line surveyor of the surveyor's land surveying expertise or professional land surveying status, or both, to commit a crime; (ix) Affixing a surveyor's seal or signature, or both, to drawings, plats, or other documents required to be sealed pursuant to Business Occupations and Professions Article, §15-502, Annotated Code of Maryland, when the document has not been personally prepared by the registered land surveyor or prepared under the surveyor's responsible supervision, direction, and control; (x) Knowingly associating with or permitting the use of the surveyor's name or firm name in a business venture with a person or firm which the surveyor knows or has reason to believe is engaging in business or professional practices of a fraudulent or dishonest nature; (xi) Failing to present immediately information to the Board if a licensed professional land surveyor or property line surveyor has knowledge of or reason to believe that a person or firm is guilty of violating any of the provisions of Business Occupations and Professions Article, Title 15, Annotated Code of Maryland, or any of these rules of professional conduct. ### Chapter 05 — Fees **Authority:** Business Occupations and Professions Article, §§15-101, 15-205, 15-207—15-209, 15-306, 15-307, 15-307.1, 15-311, 15-312, 15-314—15-316, 15-321, 15-403, 15-404, and 15-406; Business Regulation Article, §§2-106, 2-106.1, and 2-106.2; Annotated Code of Maryland **Administrative History:** Effective date: August 16, 1993 (20:16 Md. R. 1277) **Administrative History:** Regulation .01A amended effective December 18, 1995 (22:25 Md. R. 1961) **Administrative History:** Regulation .01 repealed and new Regulation .01 adopted as an emergency provision effective September 5, 1997 (24:20 Md. R. 1401); adopted permanently effective January 26, 1998 (25:2 Md. R. 76) **Administrative History:** Regulation .01 amended as an emergency provision effective December 18, 1998 (26:2 Md. R. 103); amended permanently effective May 3, 1999 (26:9 Md. R. 730) **Administrative History:** Regulation .01 amended as an emergency provision effective February 25, 2000 (27:7 Md. R. 703); emergency status expired August 22, 2000; amended permanently effective October 30, 2000 (27:21 Md. R. 1975) **Administrative History:** Regulation .01A, B amended as an emergency provision effective December 11, 2000 (27:26 Md. R. 2354); amended permanently effective April 30, 2001 (28:8 Md. R. 759) **Administrative History:** Regulation .01 repealed and new Regulations .01—.03 adopted as an emergency provision effective July 1, 2003 (30:14 Md. R. 932); adopted permanently effective November 10, 2003 (300:22 Md. R. 1578) **Administrative History:** Regulation .03 amended effective May 27, 2024 (51:10 Md. R. 524) **Administrative History:** Regulation .03A amended effective April 9, 2007 (34:7 Md. R. 697); November 1, 2010 (37:22 Md. R. 1553); January 6, 2014 (40:26 Md. R. 2162) **Administrative History:** Regulation .03B amended effective May 10, 2004 (31:9 Md. R. 712); July 31, 2006 (33:15 Md. R. 1280) **Administrative History:** Regulation .03B amended as an emergency provision effective April 13, 2008 (35:9 Md. R. 891); amended permanently effective July 17, 2008 (35:14 Md. R. 1246) **Administrative History:** Regulation .03B amended effective November 25, 2013 (40:23 Md. R. 1933) **Administrative History:** Regulation .03F amended effective July 31, 2006 (33:15 Md. R. 1280) **Administrative History:** Regulation .04 adopted as an emergency provision effective October 1, 2003 (30:23 Md. R. 1650); adopted permanently effective March 1, 2004 (31:4 Md. R. 314) #### Regulation .01 Purpose. *COMAR 09.13.05.01* This chapter is intended to carry out the provisions of Business Regulation Article, §§2-106.1 and 2-106.2, Annotated Code of Maryland, and Business Occupations and Professions Article, Title 15, Annotated Code of Maryland. In particular, it is intended to set various fees in order to cover the actual documented direct and indirect costs of fulfilling the statutory and regulatory duties of the State Board of Architects, the State Board of Certified Interior Designers, the State Board of Examiners of Landscape Architects, the State Board for Professional Engineers, and the State Board for Professional Land Surveyors. #### Regulation .02 Definitions. *COMAR 09.13.05.02* A. In this chapter, the following terms have the meaning indicated. B. Terms Defined. (1) “Board” means the State Board for Professional Land Surveyors. (2) “Design boards” means collectively the: (a) State Board of Architects; (b) State Board of Certified Interior Designers; (c) State Board of Examiners of Landscape Architects; (d) State Board for Professional Engineers; and (e) Board. (3) “License fee” means the fee paid by an applicant or licensee, as applicable, in connection with the issuance and renewal of a license and the issuance of a reciprocal license. (4) “Permit fee” means the fee paid in connection with the issuance and renewal of a permit. (5) “Secretary” means the Secretary of Labor. #### Regulation .03 Fees and Costs. *COMAR 09.13.05.03* A. The Secretary and the design boards have agreed to average their direct and indirect costs, based on the calculation of costs performed by the Secretary in consultation with the design boards. Based on these calculations, the Board sets the following fees: (1) License fee — $86; (2) Permit fee — $112; (3) Nonrefundable initial application fee payable in connection with: (a) An application for permit — $39; (b) An application for license — $56; (4) Reinstatement fee — $112; (5) Verification fee — $22; (6) Replacement license certificate fee — $39. B. An applicant for the appropriate licensing examination shall pay examination fees directly to the Board or its designee, as these fees are established by the National Council of Examiners of Engineers and Surveyors. C. An applicant shall pay $39 to the Board or its designee in connection with the Maryland Law and Ethics Issues portion of the examination. D. An applicant shall pay $39 to the Board or its designee in connection with the Maryland Storm Drain and Road Grade portion of the examination. E. An applicant approved by the Board to take the appropriate licensing examination, and for whom the Board ordered appropriate examination materials, is not entitled to a refund of applicable fees paid under §B, C, or D of this regulation. An applicant who notifies the Board of the applicant's election not to take the appropriate licensing examination before the Board orders appropriate examination materials is entitled to a refund of applicable fees under §B, C, or D of this regulation. F. An applicant for the appropriate licensing examination shall pay to the Board’s designee the testing service fee in connection with the testing services. #### Regulation .04 Retired Status License. *COMAR 09.13.05.04* The Board sets the following fees in connection with a retired status license: A. Retired status license fee — $25; B. Reactivation from retired status fee — $100 for each lapsed licensing period, but not to exceed $300. ### Chapter 06 — Minimum Standards of Practice **Authority:** Business Occupations and Professions Article, §15-208(b)(4), Annotated Code of Maryland **Administrative History:** Effective date: December 1, 1994 (21:22 Md. R. 1875) **Administrative History:** Annotation: Regulations .01—.10, which were adopted effective December 1, 1994, can be found at 21:21 Md. R. 1875 and 21:11 Md. R. 958. Judicial action stayed the effectiveness of these regulations. Maryland Society of Surveyors et al. v. William A. Fogle et al., Case No. 94314037/CE 188625, Circuit Court for Baltimore City. A consent order, dated January 27, 1995, required the repeal of these regulations without taking effect. The consent order included new regulations to be adopted. **Administrative History:** Regulations .01—.10 repealed and new Regulations .01—.14 adopted as an emergency provision effective March 1, 1995 (22:5 Md. R. 364); adopted permanently effective June 5, 1995 (22:11 Md. R. 820) **Administrative History:** Regulation .03A, F amended effective February 10, 1997 (24:3 Md. R. 186) **Administrative History:** Regulation .04 amended effective February 10, 1997 (24:3 Md. R. 186) **Administrative History:** Regulation .05D amended effective February 10, 1997 (24:3 Md. R. 186) **Administrative History:** Regulation .06A, D, E amended effective February 10, 1997 (24:3 Md. R. 186) **Administrative History:** Regulation .08 amended effective February 10, 1997 (24:3 Md. R. 186) **Administrative History:** Regulation .10C amended effective February 10, 1997 (24:3 Md. R. 186) **Administrative History:** Regulation .11 amended effective February 10, 1997 (24:3 Md. R. 186) **Administrative History:** Regulation .12A, D amended effective February 10, 1997 (24:3 Md. R. 186) **Administrative History:** Regulation .13 amended effective February 10, 1997 (24:3 Md. R. 186) **Administrative History:** Chapter revised effective August 1, 2005 (32:15 Md. R. 1320) **Administrative History:** Regulation .02B amended effective January 5, 2015 (41:26 Md. R. 1569); December 12, 2022 (49:25 Md. R. 1049) **Administrative History:** Regulation .03 amended effective January 5, 2015 (41:26 Md. R. 1569) **Administrative History:** Regulation .04 amended effective December 12, 2022 (49:25 Md. R. 1049) **Administrative History:** Regulation .04B, D amended effective January 5, 2015 (41:26 Md. R. 1569) **Administrative History:** Regulation .05 amended effective December 12, 2022 (49:25 Md. R. 1049) **Administrative History:** Regulation .05B, D amended effective January 5, 2015 (41:26 Md. R. 1569) **Administrative History:** Regulation .06 amended effective January 5, 2015 (41:26 Md. R. 1569) **Administrative History:** Regulation .07C repealed effective January 5, 2015 (41:26 Md. R. 1569) **Administrative History:** Regulation .07 amended effective August 4, 2025 (52:15 Md. R. 811) **Administrative History:** Regulation .08B amended effective January 5, 2015 (41:26 Md. R. 1569) **Administrative History:** Regulation .09B amended effective January 5, 2015 (41:26 Md. R. 1569) **Administrative History:** Regulation .09 amended effective August 4, 2025 (52:15 Md. R. 811) **Administrative History:** Regulation .10D repealed effective January 5, 2015 (41:26 Md. R. 1569) **Administrative History:** Regulation .12 amended effective January 5, 2015 (41:26 Md. R. 1569) **Administrative History:** Regulation .12H adopted effective June 13, 2011 (38:12 Md. R. 704) **Administrative History:** Regulation .12I amended effective August 4, 2025 (52:15 Md. R. 811) **Administrative History:** Regulation .12J amended effective August 27, 2018 (45:17 Md. R. 802) #### Regulation .01 Purpose. *COMAR 09.13.06.01* A. In the general interest of the public, these standards are promulgated to set forth the minimum acceptable level of performance to be exercised by all individuals practicing professional land surveying and property line surveying in Maryland. B. If anything contained in these regulations conflicts with other federal or State requirements, the more stringent requirements shall be followed. #### Regulation .02 Definitions. *COMAR 09.13.06.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Accurate and precise location” means a description of the position of a feature, object, or boundary that meets or exceeds the positional tolerance. (2) “As-constructed survey” has the meaning stated in Regulation .07 of this chapter. (3) “Authoritative” means the process of surveying which results in an accurately and precisely established location of a feature, object, or boundary. (4) “Bench mark” means an identifiable stable reference point established as a record for future use or reestablishment of the elevation datum of a survey requiring vertical data. (5) “Boundary survey” has the meaning stated in Regulation .03 of this chapter. (6) “Certification entity” means an entity acceptable to the Board, as stated in Business Occupations and Professions Article, §15-301(b)(4), Annotated Code of Maryland, including, but not limited to, the following entities: (a) American Society for Photogrammetry and Remote Sensing; (b) GIS Certification Institute; (c) United States Geospatial Intelligence Foundation; and (d) National Society of Professional Surveyors. (7) “Consumer” means a property owner or a prospective property owner, as the case may be, for whose benefit surveying services are performed. (8) “Date” means the date of the latest field work. (9) “Licensee” means: (a) A professional land surveyor as stated in Business Occupations and Professions Article, §15-101(l), Annotated Code of Maryland; or (b) A licensed property line surveyor as stated in Business Occupations and Professions Article, §15-101(g), Annotated Code of Maryland. (10) “Metes and bounds description” has the meaning stated in Regulation .08 of this chapter. (11) “Monument” means an identifiable object or marker which physically identifies the location of property division lines or other survey points on the ground. (12) “Planimetric survey” has the meaning stated in Regulation .05 of this chapter. (13) “Plat” means a drawing prepared at an appropriate scale to show the results of the findings and conclusions of a survey. (14) “Positional tolerance” means the maximum allowable relative positional precision of 0.07 feet (or 2 centimeters) plus 50 parts per million, based on the direct distance between the two survey markers or monuments, as applicable. (15) “Qualifying activity” means an activity which: (a) Is acceptable to the Board; (b) Is offered by a certification entity; and (c) Has content areas related to the utilization of measurement devices or systems for the purpose of determining topography or contours. (16) “Relative positional precision” means the length of the semi-major axis expressed in feet or meters, of the error ellipse representing the uncertainty due to random errors in measurements used to control surveys in the location of the property evidence, marking any corner of the surveyed property relative to the property evidence, and marking any other corner of the surveyed property at the 95 percent confidence level (two standard deviations). (17) “Right of way/easement survey” has the meaning stated in Regulation .09 of this chapter. (18) “Special purpose survey” has the meaning stated in Regulation .10 of this chapter. (19) “Survey” means the process of conducting research, performing field measurements and observations, and applying mathematical principles to determine or obtain the data necessary to record, display, or indicate, or all of these, land boundaries, land areas, and the position and characteristics of any natural or artificial, or both, features on or near the surface of the earth. (20) “Survey marker” means, within the meaning of COMAR 09.13.03, an identifiable point, object, or mark which physically identifies the location of any point utilized or established to fix the position of a survey control station. (21) “Surveyor” means: (a) A professional land surveyor as stated in Business Occupations and Professions Article, §15-101(l), Annotated Code of Maryland; (b) A licensed property line surveyor as stated in Business Occupations and Professions Article, §15-101(g), Annotated Code of Maryland; or (c) An individual otherwise authorized to practice professional land surveying or property line surveying under Business Occupations and Professions Article, §15-303, Annotated Code of Maryland. (22) “Topographic survey” has the meaning stated in Regulation .04 of this chapter. (23) “Witness monument” means an identifiable point, object, or marker offset from the position of a survey marker, boundary point, or line which is used for the purpose of identifying the position of the survey marker, boundary point, or point on line through the use of distance measurements or angular measurements, or both. #### Regulation .03 Boundary Surveys. *COMAR 09.13.06.03* A. Purpose. (1) The boundary survey is a means of marking boundaries for sufficient definition and identification to uniquely locate each lot, parcel, or tract. (2) The purpose of a boundary survey is to establish, reestablish, or describe, or all of these, the physical position and extent of the boundaries of real property. B. Result. Unless otherwise directed by the party requesting the survey, sufficient monuments or reference control points which were used to determine the property lines shall be: (1) Set or recovered on the ground, to the extent feasible; and (2) Shown on a plat upon completion of the boundary survey so that the property lines can be determined or readily reestablished. C. Research and Investigation. (1) The surveyor shall be provided by the party requesting the survey with copies of public records and private records, if any, in sufficient scope and depth that a surveyor of ordinary prudence and skill may consider in identifying with reasonable certainty the following: (a) The location of the property's record boundaries, so long as the information exists in the public records and is properly indexed; and (b) Conflicting record property boundary line locations which may differently locate the property's boundaries. (2) The surveyor shall make a reasonable effort to identify, locate, and review private survey records which are cited in the provided public records and which may: (a) Be material in locating the property's boundaries, (b) Have the potential for disclosing conflicting descriptions of the property's boundaries, or (c) Affect the location of the property's boundaries. D. Monumentation. In providing appropriate monumentation for boundary surveys, a surveyor shall comply with the minimum standards for survey markers set forth in COMAR 09.13.03. E. Field Procedures. (1) Field measurements shall be made by methods that will provide the precision required by this regulation. (2) Observable physical evidence, including boundary, possession, visible encroachments, and visible indications of rights, including evidence of recorded servitudes or those that may be acquired by prescription or adverse possession, shall be located. F. Plats. (1) An original plat of a boundary survey shall be a reproducible drawing at a suitable scale, clearly indicating the results of the field work, computations, research, and record information, as compiled, checked, and analyzed. (2) A plat shall be prepared in conformity with the following procedures: (a) A reasonably stable and durable drawing paper, linen, or film of reproducible quality, is considered suitable material for boundary survey plats; (b) Plats may not be smaller than 8-1/2 x 11 inches; (c) Dimensions, bearings, or angles, including sufficient data to define curves, shall be neatly and legibly shown with respect to each property boundary line; (d) Markers shall be labeled as “found” or “set”, with a brief description of the marker and relevant reference markers, if any, along with their spatial relationship to the subject corner; (e) Relevant natural or artificial visible features shall be labeled, dimensioned, and referenced to the nearest property boundary line or represented by a symbol on the plat in its proper location, and each symbol shall clearly indicate what is represented or shall be labeled for identification either individually or in a separate key to symbols; (f) Plats shall show a north arrow; (g) A statement indicating the origin and method of determination of the bearings or coordinate system shall be made on a plat, and shall include one of the following: (i) A reference to true north, as determined by astronomic observation; (ii) A reference to the Maryland Coordinate System with the controlling stations and a combination factor comprised of an elevation factor and a scale factor noted; (iii) A reference to a local coordinate system with the controlling stations listed; (iv) A reference to the record bearing of a well-established line found monumented on the ground, as called for in a relevant deed or plat; or (v) If the above alternatives in this paragraph are not practical, a dated magnetic bearing may be used; (h) If separate intricate details or inserts are required for clarity, they shall be properly referenced to the portion of the plat where they apply, particularly in areas where: (i) Lines of occupation do not conform to the deed lines; and (ii) A comparison of adjoining properties' deed descriptions indicates the existence of a gap or an overlap; (i) Cemeteries and burial grounds found by the surveyor within the premises being surveyed shall be noted on the plat; (j) All relevant evidence of monuments found beyond the subject tract, on which establishment of the corners of the subject tract are dependent, and their application related to the survey shall be indicated; (k) Different line weights or delineating letters or numbers shall be used to clearly show the limits of the survey; and (l) Evidence of any easements, servitudes, or uses burdening the surveyed property, whether or not disclosed in the record documents provided to the surveyor, observed in the process of conducting the survey. (3) In addition to the criteria set forth in §F(2) of this regulation, each plat shall show the following: (a) Caption or title and general location of the property or a vicinity map; (b) Scale; (c) Date; (d) Land area; (e) Name and address of the surveyor or firm; (f) A statement to the effect that a licensee either personally prepared a boundary survey or was in responsible charge over its preparation and the surveying work reflected in it, all in compliance with requirements set forth in Regulation .12 of this chapter; and (g) Seal and signature of the surveyor who personally prepared or was in responsible charge over the preparation of the boundary survey. G. Accuracy Standards. (1) The maximum allowable relative positional precision for boundary surveys shall be 0.07 feet (or 2 centimeters) plus 50 parts per million, based on the direct distance between the two corners being tested. (2) The surveyor shall ascertain that the positional uncertainties resulting from the survey measurements do not exceed the allowable relative positional precision. (3) If the size or configuration of the property to be surveyed or the relief, vegetation, or improvements on the property will result in survey measurements for which the relative positional precision will exceed the allowable amount, the surveyor shall add a note to a survey explaining the site conditions that necessitated the deviation from the relative positional precision. (4) The surveyor shall, to the extent necessary to achieve the standards set forth in §G of this regulation, compensate or correct for systematic errors, including those associated with instrument calibration. (5) The surveyor shall use appropriate error propagation and other measurement design theory to select the proper instruments, field procedures, geometric layouts, and computational procedures to control and adjust random errors to achieve the allowable relative positional precision tolerance. #### Regulation .04 Topographic Surveys. *COMAR 09.13.06.04* A. Purpose. The purpose of a topographic survey is to locate, describe, or map, or all of these, the elevations and positions of the physical features and characteristics of the surface of the earth including spot elevations, contours, and other features. B. Result. (1) The results of a topographic survey shall clearly show the results of the field and office work and shall be presented, depending on the type of professional services requested, in the form of: (a) A plat; (b) A worksheet; (c) Raw data; or (d) Adjusted data. (2) Plats are intended for a release as stand-alone products. Worksheets and raw data are intended as components to be included in other surveying or engineering documents and are not intended as stand-alone products. Worksheets and raw data are not required to comply with this regulation. C. Field Procedures. (1) Field work shall be performed in accordance with accepted surveying theory, practice, and procedures as specified in this section. (2) A surveyor in responsible charge shall adhere to the following procedures: (a) The vertical datum of a topographic survey shall run from a known bench mark, if possible, or as otherwise specified in the scope of survey services for the project; (b) A closed level loop, where practical, shall run through or include a second established bench mark to confirm the vertical datum; (c) A minimum of one bench mark shall be established on or near the surveyed site; (d) Topographic data may be obtained based on an assumed vertical datum, if the base elevation of the datum is obviously different than the existing datum, and if the final document clearly indicates that the data was obtained based on an assumed vertical datum; and (e) Field data satisfying the requirements of these regulations shall be gathered, and the surveyor shall make a reasonable effort to maintain the data. D. Plats. (1) An original plat of a topographic survey shall be a reproducible drawing at a suitable scale clearly indicating the results of the field work, computations, research, and record information as compiled, checked, and analyzed. (2) A plat shall be prepared in conformity with the following procedures: (a) A reasonably stable and durable drawing paper, linen, or film of reproducible quality is considered suitable material for topographic survey plats; (b) Plats may not be smaller than 8-1/2 X 11 inches; (c) The source of the vertical datum shall be noted on the plat; (d) Relevant natural or artificial visible features shall be labeled and represented by a symbol on the plat in its proper location, and each symbol shall clearly indicate what is being represented or shall be labeled for identification either individually or in a separate key to symbols; (e) Plats shall show a north arrow; (f) A statement indicating the source of the bearings shall be made on the plat; (g) The source of a coordinate system, if used on the plat, shall be identified; (h) A description and the elevation of a minimum of two bench marks established on or near the site for the survey shall be indicated on the plat; (i) Cemeteries and burial grounds found by the surveyor within the premises being surveyed shall be noted on the plat; (j) Different line weights or delineating letters or numbers shall be used to clearly show the limits of the survey; and (k) Spot elevations shall be shown in accordance with vertical accuracy standards as specified in §E(3) of this regulation. (3) In addition to the criteria set forth in §D(2) of this regulation, the plat shall show the following: (a) Caption or title and general location of the property or a vicinity map; (b) Scale; (c) Date; (d) Name and address of the firm or surveyor; (e) A statement to the effect that a licensee either personally prepared a topographic survey or was in responsible charge over its preparation and the surveying work reflected in it, all in compliance with requirements set forth in Regulation .12 of this chapter; and (f) Seal and signature of the surveyor who personally prepared or was in responsible charge over the preparation of the topographic survey. E. Tolerances. (1) Horizontal tolerances for topographic mapping shall meet the following accuracy standards of this subsection. On maps with publication scales larger than 1:20,000, not more than 10 percent of the points tested shall be in error by more than 1/30 inch, measured on the publication scale, and on maps with publication scales of 1:20,000 or smaller, 1/50 inch. These limits of accuracy shall apply in all cases to positions of well-defined points only. Well defined points are those that are easily visible or recoverable on the ground, such as monuments or markers, including: (a) Bench marks; (b) Property boundary monuments; (c) Intersections of roads; (d) Railroads; (e) Corners of large buildings; and (f) Other similar points. (2) In general, what is well defined may also be determined by what is plottable on the scale of the map within 1/100 inch. (3) Vertical tolerances for topographic mapping shall meet the accuracy standards of this subsection. Vertical accuracy, as applied to contour maps on all publication scales, shall be such that not more than 10 percent of the elevations tested shall be in error more than 1/2 the contour interval. In checking elevations taken from the map, the apparent vertical error may be decreased by assuming a horizontal displacement within the permissible horizontal error for a map of that scale. F. Exemptions. Individuals who successfully completed the qualifying activity, as defined in Regulation.02B(15) of this chapter, from the certification entity, as defined in Regulation .02B(6) of this chapter, are permitted to produce topographic surveys. #### Regulation .05 Planimetric Surveys. *COMAR 09.13.06.05* A. Purpose. The purpose of a planimetric survey is to locate, describe, or map, or all of these, the horizontal positions of the physical features and characteristics of the surface of the earth and other features. B. Result. (1) The results of a planimetric survey shall clearly show the results of the field and office work, and shall be presented, depending on the type of professional services requested, in the form of: (a) A plat; (b) A worksheet; (c) Raw data; or (d) Adjusted data. (2) Plats are intended for a release as stand-alone products. Worksheets and raw data are intended as components to be included in other surveying or engineering documents and are not intended as stand-alone products. Worksheets and raw data are not required to comply with this regulation. C. Field Procedures. (1) Field work shall be performed in accordance with accepted surveying theory, practice, and procedures specified in this section. (2) Field data satisfying the requirements of these regulations shall be gathered, and the surveyor shall make a reasonable effort to maintain the data. D. Plats. (1) An original plat of a planimetric survey shall be a reproducible drawing at a suitable scale clearly indicating the results of the field work, computations, research, and record information, as compiled, checked, and analyzed. (2) The plat shall be prepared in conformity with the following procedures: (a) A reasonably stable and durable drawing paper, linen, or film of reproducible quality is considered suitable material for planimetric survey drawings; (b) Plats may not be smaller than 8-1/2 X 11 inches; (c) Relevant natural or artificial visible features shall be labeled and represented by a symbol on the plat in its proper location, and each symbol shall clearly indicate what is being represented or shall be labeled for identification either individually or in a separate key to symbols; (d) The plat shall show a north arrow; (e) A statement indicating the source of the bearings shall be made on the plat; (f) The source of a coordinate system, if used on the plat, shall be identified; (g) Cemeteries and burial grounds found by the surveyor within the premises being surveyed shall be noted on the plat; and (h) Different line weights or delineating letters or numbers shall be used to clearly show the limited of the survey. (3) In addition to the criteria set forth in §D(2) of this regulation, the plat shall show the following: (a) Caption or title and general location of the property or a vicinity map; (b) Scale; (c) Date; (d) Name and address of the firm or surveyor; (e) A statement to the effect that a licensee either personally prepared a planimetric survey or was in responsible charge over its preparation and the surveying work reflected in it, all in compliance with requirements set forth in Regulation .12 of this chapter; and (f) Seal and signature of the surveyor who personally prepared or was in responsible charge over the preparation of the planimetric survey. E. Tolerances. (1) Horizontal tolerances for planimetric mapping shall meet the accuracy standards of this subsection. On maps with publication scales larger than 1:20,000, not more than 10 percent of the points tested shall be in error by more than 1/30 inch, measured on the publication scale, and on maps with publication scales of 1:20,000 or smaller, 1/50 inch. These limits of accuracy shall apply in all cases to positions of well-defined points only. Well-defined points are those that are easily visible or recoverable on the ground, such as the following monuments or markers, including: (a) Property boundary monuments; (b) Intersections of roads; (c) Railroads; (d) Corners of large buildings; and (e) Other similar points. (2) In general, what is well defined may also be determined by what is plottable on the scale of the map within 1/100 inch. #### Regulation .06 Location Drawings. *COMAR 09.13.06.06* A. Purpose. The purpose of a location drawing is to locate, describe, and represent the positions of buildings or other visible improvements affecting the subject property. B. Result. The location drawing shall delineate the subject property and the location of the buildings and other visible improvements on the property. Location drawings do not include foundation certifications or wall checks. C. Approval by the Consumer and Disclosures. (1) The surveyor may not accept compensation pursuant to this regulation until the surveyor receives a signed approval form as described in this section. (2) A surveyor is presumed to have received the approval form, if it is delivered to the surveyor by the following means: (a) Personal delivery; (b) Regular, registered, or certified mail, return receipt requested; or (c) Facsimile device or email transmission capable of producing a tangible record of delivery. (3) The approval form shall be sufficient if it is signed by the consumer, whether one or more, with respect to the property for which services pursuant to this regulation are sought. (4) The approval form shall contain at least the following statements: (5) Upon receipt of an approval form which complies with this section and upon complying with Regulation .12A of this chapter, the surveyor shall perform the services approved by the consumer. If the consumer requests a boundary survey which includes a location drawing, the survey shall be consistent with the provisions set forth in Regulation .03 of this chapter and the requirements set forth in §D(5) of this regulation. (6) If the consumer approves the preparation of a location drawing, the surveyor shall perform at least the following procedures: (a) Examine the current deed to and recorded plat, if any, of the subject parcel; and (b) Take sufficient on-site measurements to enable the surveyor to perform the tasks called for by this regulation with regard to the: (i) Approximate locations of buildings and those other improvements referenced in this regulation, (ii) Possible encroachments reasonably determined based on a visual inspection, and (iii) A flood hazard zone, if requested. (7) If, in connection with the preparation of a location drawing, a surveyor finds evidence to warrant, in the surveyor's professional opinion, the performance of a boundary survey, the surveyor shall so notify the consumer. (8) Disclosures. (a) If the consumer, pursuant to this regulation, has approved a location drawing, the plat prepared by the surveyor shall prominently display, at a minimum, advice to the effect that the plat: (i) Is of benefit to a consumer only insofar as it is required by a lender or a title insurance company or its agent in connection with contemplated transfer, financing, or refinancing; (ii) Is not to be relied upon for the establishment or location of fences, garages, buildings, or other existing or future improvements; and (iii) Does not provide for the accurate identification of property boundary lines, but this identification may not be required, for the transfer of title or securing financing or refinancing. (b) The statements under this regulation may be written on a separate page, if the: (i) Separate page is stapled or otherwise permanently affixed to the plat; and (ii) Page containing the plat bears a prominent statement to the effect that the advice is an integral part of the plat, and is to be found on the affixed page. (9) If the consumer, pursuant to this regulation, has approved a location drawing, the following shall be shown: (a) Significant buildings, structures, and other improvements, in their approximate relationship to the apparent property lines reflected in the deed, based on the field measurements taken by the surveyor, and any other evidence considered by the surveyor; (b) Statement with regard to the level of accuracy of distances to apparent property lines; and (c) Possible encroachments to the extent reasonably determined by a visual inspection of the property either way across property lines. Approval Form D. Plats. (1) The original plat of a location drawing shall be a reproducible drawing at a scale which clearly shows the results of the field work, computations, research, and record information, as compiled, checked, and analyzed. (2) The plat shall be prepared in accordance with the following procedures: (a) A reasonably stable and durable drawing paper, linen, or film is considered a suitable material; (b) Plats may not be smaller than 8-1/2 × 11 inches; (c) Plats shall show a north arrow; (d) A statement indicating the source of the bearings shall be made on the plat; and (e) The source of a coordinate system, if used on the plat, shall be identified. (3) In addition to the criteria set forth in §D(2) of this regulation, the plat shall show the following: (a) Caption or title and address of the property or a vicinity map; (b) Scale; (c) Date; (d) Name and address of the firm or surveyor; (e) A statement to the effect that a licensee either personally prepared a location drawing or was in responsible charge over its preparation and the surveying work reflected in it, all in compliance with requirements set forth in Regulation .12 of this chapter; and (f) Seal and signature of the surveyor who personally prepared or was in responsible charge over the preparation of the location drawing. #### Regulation .07 As-Constructed or Record Surveys. *COMAR 09.13.06.07* A. General. At the time the surveyor performs as-constructed, sometimes referred to as an as-built, or record surveys, the surveyor shall obtain field measurements of vertical or horizontal dimensions, or both, of constructed improvements. The constructed improvements located by the survey shall be shown by symbols, notations, or delineations and shall be so certified. All plats prepared shall meet these minimum technical standards as applicable. B. Accuracy. The horizontal or vertical accuracy, or both, shall permit the determination of whether the position of visible constructed improvements encroach upon adjoining properties or whether they are properly placed on the subject property, in rights-of-way, or in easements provided. The vertical accuracy or horizontal accuracy, or both, shall be such that it may be determined whether the position of visible improvements is in accordance with the plans or other documents as approved by appropriate jurisdictions. C. A statement to the effect that a licensee either personally prepared the as-constructed or record survey or was in responsible charge over its preparation and the surveying work reflected in it, all in compliance with requirements set forth in Regulation .12 of this chapter; and D. Seal and signature of the surveyor who personally prepared or was in responsible charge over the preparation of the as-constructed or record survey. #### Regulation .08 Metes and Bounds Descriptions. *COMAR 09.13.06.08* A. Purpose. The purpose of a metes and bounds description is to create a written legal description of the subject tract of land that provides information necessary to properly locate the property on the ground and distinctly set it apart from all other properties. B. Result. (1) A metes and bounds description shall indicate the general location of the property by: (a) Naming the particular lot or block, or other acceptable identification within which it is located, if the property is located in a subdivision; or (b) By reference to the deed for the parcel being described, and information with regard to tax or election district, county, and state. (2) The description shall also logically compile and incorporate calls for the following: (a) Courses and distances with a statement regarding the basis of bearing; (b) Adjoining record title lines, and rights-of-way as appropriate; and (c) Statement of the subject land area. (3) The point of beginning shall be carefully chosen and described in a manner which will distinguish it indisputably from any other point. (4) Curved boundaries shall include sufficient data to define the curve, including the direction of curve, radius, arc length, chord bearing, and chord length. The description shall also include the identification of nontangent curves. (5) If a metes and bounds description is based upon a boundary survey performed in accordance with Regulation .03 of this chapter, sufficient monuments or reference control points which were used to determine the property lines shall be called in the metes and bounds description. (6) The metes and bounds description shall contain a statement to the effect that a licensee either personally prepared a metes and bounds description or was in responsible charge over its preparation and the surveying work reflected in it, all in compliance with requirements set forth in Regulation .12 of this chapter. (7) The metes and bounds description shall be signed and sealed by a surveyor who personally prepared or was in responsible charge over the preparation of the metes and bounds description. #### Regulation .09 Right-of-Way/Easement Surveys. *COMAR 09.13.06.09* A. General. A right-of-way/easement survey is a means of obtaining, reporting, or displaying, or all of these, the necessary data to establish or reestablish the location of sufficient property lines of the affected tract of land to assure the accurate location of the strip or parcel of land being described for the use and benefit of others. B. Result. A right-of-way/easement survey shall result in the establishment of the location of lines, areas, if needed, and other relevant data. The surveyor is not required to set markers on a right-of-way/easement survey, unless required by a party requesting surveying services. C. Compliance. In performing the right-of-way/easement survey, the surveyor shall comply with all terms, conditions, standards, and procedures that are set forth in Regulation .03 of this chapter, except as may be otherwise modified by this regulation, or by the State, its instrumentalities, or any public or corporate body having the power of eminent domain. D. A statement to the effect that a licensee either personally prepared the right-of-way or easement survey or was in responsible charge over its preparation and the surveying work reflected in it, all in compliance with requirements set forth in Regulation .12 of this chapter. E. Seal and signature of the surveyor who personally prepared or was in responsible charge of the preparation of the right-of-way/easement survey. #### Regulation .10 Special Purpose Surveys. *COMAR 09.13.06.10* A. General. A survey not previously defined in these regulations is classified as a special purpose survey and is permitted. The purpose and conditions of this survey shall be clearly shown on the survey plats. A survey performed in accordance with this regulation may not be construed to constitute a variance from these standards. B. Special Conditions. If special conditions exist that effectively prevent the survey from meeting the minimum standards set forth in this chapter, the special conditions and any necessary deviation from the standards shall be noted on the plat. It is a violation of regulations in this chapter to use special conditions to circumvent the intent and purpose of the minimum standards set forth in this chapter. C. Information Purposes. Copies of a plat provided for informational purposes only may be issued without the signature or seal, or both, of the surveyor in responsible charge when it is clearly shown that the plat is invalid without the signature or seal. It is a violation of the regulations of this chapter to use this section to circumvent the intent and purpose of the minimum standards set forth in this chapter. #### Regulation .11 Compliance with Federal, State, and Local Requirements. *COMAR 09.13.06.11* The surveyor shall comply with all applicable federal, State, and local requirements related to the preparation of site plans, road and street plans, subdivision plans and plats, condominium plats, foundation certifications, wall checks, sediment and erosion control plans, storm drain plans, stormwater management design plans, and any other surveying work products. #### Regulation .12 Business Practices. *COMAR 09.13.06.12* A. Before undertaking the performance of professional services for which payment or other consideration is expected, a surveyor or a duly authorized agent of the surveyor shall discuss at least the following with the requesting party: (1) The type of survey required; (2) The limits to be surveyed; (3) The specific survey services to be provided; (4) An approximate completion time schedule; and (5) An agreement for payment. B. For mutual protection, it is encouraged that a written agreement be executed by both parties. The agreement may be in the form of a memorandum, services letter, confirmation of work ordered, or any other mutually acceptable form. The agreement may also establish the extent and limitations of the surveyor's responsibilities. C. If previously unknown factors are discovered during work that significantly affects either cost or completion schedule, the surveyor shall immediately notify the party responsible for the payment of the cost of the surveying services. D. The surveyor shall make a reasonable effort to maintain adequate records, including names or initials of all personnel, dates of service, references to field data, such as book number, loose-leaf pages, and other relevant data. E. A licensee may not sign or seal surveys, plats, drawings, certificates, or other professional documents unless the licensee personally prepared the documents or the documents were prepared under the licensee's responsible charge. F. Licensee In Responsible Charge. A licensee shall be considered to be in responsible charge within the meaning of Business Occupations and Professions Article, §15-101(n), Annotated Code of Maryland, if the licensee: (1) Has authority to make necessary revisions to surveying documents during their preparation by the licensee's employees or other subordinates; (2) Provides a detailed review and personal inspection of surveying documents; and (3) Has authority to direct the surveying tasks and provides actual direction of the specific surveying tasks performed. G. A licensee in responsible charge shall be readily available to the licensee's employees or other subordinates on a reasonable basis to provide personal direction and direct control, as necessary and appropriate. H. By signing and sealing surveying documents, a licensee assumes full responsibility for the preparation of the surveying documents described in this chapter and for the accuracy and adequacy of the surveying work reflected in the documents. I. When signing and sealing surveying documents, a licensee shall indicate the license expiration date on the documents before submitting them in accordance with requirements set forth in Business Occupations and Professions Article, §15-502(a), Annotated Code of Maryland, and shall contain the following statement: “Professional Certification. I hereby declare that these documents were prepared or approved by me or under my responsible charge, and that I am a duly licensed land surveyor under the laws of the State of Maryland, License No._____, and License Expiration Date: _______________.” J. Types of Signatures. (1) A surveyor may sign surveying documents by one of the following methods: (a) A handwritten signature in permanent ink containing the name of person who applied it; or (b) For electronic or digital documents, an electronic authentication process attached to or logically associated with the document. (2) A digital signature described in §J(1)(b) of this regulation shall satisfy the following criteria: (a) It must contain an identification unique to a licensee using it, such as the licensee’s name and license number; (b) It must be under the exclusive control of the licensee using it; (c) It must be verifiable; and (d) It must be linked to the document in such a manner that any subsequent modifications to the document after the digital signature is appended to it will result in the document no longer being prepared or approved by the licensee. (3) Nothing in this regulation is intended to modify any of the requirements set forth in §I of this regulation. #### Regulation .13 Violation of Minimum Standards. *COMAR 09.13.06.13* Violation of the minimum standards of practice by a professional land surveyor or a property line surveyor shall constitute grounds for disciplinary actions under Business Occupations and Professions Article, Title 15, Annotated Code of Maryland. #### Regulation .14 Review. *COMAR 09.13.06.14* The Board shall undertake a periodic review of the minimum standards of practice set forth in these regulations to assure their accuracy and completeness and shall make those changes, if any, it deems appropriate. ### Chapter 07 — Educational Equivalency Requirements **Authority:** Business Occupations and Professions Article, §§15-208 and 15-305, Annotated Code of Maryland **Administrative History:** Effective date: April 3, 2000 (27:6 Md. R. 641) **Administrative History:** Regulation .02B amended effective October 9, 2017 (44:20 Md. R. 945) **Administrative History:** Chapter revised effective April 6, 2020 (47:7 Md. R. 384) **Administrative History:** Regulation .02D, E adopted effective January 6, 2025 (51:26 Md. R. 1186) **Administrative History:** Regulation .04A amended effective January 6, 2025 (51:26 Md. R. 1186) #### Regulation .01 Purpose. *COMAR 09.13.07.01* A. This chapter applies to an applicant who seeks eligibility to sit for the applicable examination for licensure as a professional land surveyor, as described in Business Occupations and Professions Article, Title 15, Annotated Code of Maryland, and this chapter. B. Pursuant to Business Occupations and Professions Article, §15-305, Annotated Code of Maryland, an applicant for the appropriate licensing examination as a professional land surveyor shall meet certain experiential requirements. The experience that an applicant is to demonstrate pursuant to the above statutory authority must be acceptable to the Board for Professional Land Surveyors. C. In order to assure a minimum acceptable level of competence of an applicant immediately after the passage of the applicable examination, the Board considers that it is in the best interests of Maryland consumers that the applicant has a diversified prelicensing experience in different aspects of land surveying. D. To further the Board's goal in protecting the interests of Maryland consumers and also in order to guide an applicant in obtaining an appropriate type and amount of pre-licensing experience, the Board is promulgating these regulations to set forth the criteria for the type and amount of work experience that may be acceptable to the Board. #### Regulation .02 Guidelines for Acceptable Work Experience. *COMAR 09.13.07.02* A. Applicants claiming the respective number of years of land surveying experience required in Business Occupations and Professions Article, §15-305(b), (c), (d), (e), or (f), Annotated Code of Maryland, shall demonstrate that the experience was gained by performing tasks in a variety of diverse surveying categories, including, but not limited to, the following: (1) Control surveys; (2) Boundary surveys; (3) Topographic surveys; (4) Subdivision planning; (5) Road and street grade design, sediment and erosion control design, storm drainage systems design, and storm water management design, all as more particularly described in Business Occupations and Professions Article, §15-101(k)(1)(vi), Annotated Code of Maryland, and commonly known as “minor engineering experience”; (6) Construction surveys; and (7) Location drawings. B. The acceptable work experience described in §A(5) of this regulation may be acquired by a combination of education and experience approved by the Board, as more particularly described in Regulations .03—.05 of this chapter. C. The Board has the final authority with regard to both the quality and quantity of acceptable work experience. D. An applicant for the principles and practice examination under Business Occupation and Professions Article, §15-305, Annotated Code of Maryland shall have 18 months of work experience generally described in Business Occupations and Professions Article, §15-101(k)(2)(vi), Annotated Code of Maryland, and commonly known as “minor engineering experience”. E. An applicant may be able to meet an 18-month experiential requirement set forth in this regulation by the following methods: (1) Acceptable work experience; (2) Acceptable education; or (3) A combination of acceptable work experience and acceptable education. #### Regulation .03 Educational Equivalency. *COMAR 09.13.07.03* A. An applicant may claim 3 semester credit hours as an equivalent of 6 months of minor engineering experience after the completion, to the Board's satisfaction, of the courses described in this chapter. B. In order to be eligible for the Board's approval, the courses of instruction shall be in the following areas: (1) Hydraulics; (2) Surface water hydrology; (3) Route surveying or road design; (4) Storm drainage system design; (5) Storm water management design; (6) Sediment and erosion control design; or (7) Infiltration. C. The Board may choose to approve courses of instruction in areas other than those listed in §B of this regulation. D. The courses described in §§B and C of this regulation are collectively referred to as eligible courses. E. The Board may approve the eligible course if the following requirements are met: (1) The course is offered by a university, community college, professional surveying organization, or other qualified provider acceptable to the Board; or (2) The Board approves the individual course syllabus and description submitted by either an applicant or directly by the provider before the applicant takes the eligible course. F. The Board may, at its discretion, approve courses successfully completed by an applicant before the effective date of this chapter if the courses meet the criteria and standards set forth in this chapter. #### Regulation .04 Determination of Value. *COMAR 09.13.07.04* A. An applicant shall furnish, at the time of filing the appropriate examination application, evidence of having completed, to the Board's satisfaction, the eligible course or courses, as described in Regulation .03 of this chapter. B. A semester credit hour is defined as not less than 15 standard 50-minute classroom hours of instruction. #### Regulation .05 Board's Discretion. *COMAR 09.13.07.05* The Board has the final authority with regard to the approval of the type and value of courses and any other matters related to the educational equivalency requirements described in this chapter. ### Chapter 08 — Continuing Professional Competency Requirements **Authority:** Business Occupations and Professions Article, §§15-314(f), 15-315, and 15-316, Annotated Code of Maryland **Administrative History:** Effective date: January 7, 2002 (28:26 Md. R. 2272) **Administrative History:** Regulation .03B, C amended effective February 9, 2009 (36:3 Md. R. 208) **Administrative History:** Chapter revised effective April 2, 2012 (39:6 Md. R. 408) **Administrative History:** Regulation .02B amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .03 amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .04 amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .05 amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .06 amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .07 amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .08 amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .09 amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .10C adopted effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .12 amended effective August 4, 2014 (41:15 Md. R. 890) **Administrative History:** Regulation .12A amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .16 adopted effective March 4, 2013 (40:4 Md. R. 345) **Administrative History:** Regulation .16 amended effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .17 adopted effective March 4, 2013 (40:4 Md. R. 345) **Administrative History:** Regulation .17 amended effective May 8, 2017 (44:9 Md. R. 437) #### Regulation .01 Purpose. *COMAR 09.13.08.01* The public interest requires that professional land surveyors and property line surveyors provide competent services in all areas of practice. The State legislature has determined that it is in the best interest of the public to require professional land surveyors and property line surveyors to comply with the continuing professional competency requirements as a prerequisite to the renewal of an applicable license. #### Regulation .02 Definitions. *COMAR 09.13.08.02* A. In this chapter, the following terms have the meaning indicated. B. Terms Defined. (1) “Activity” means attending and completing qualifying courses, seminars, workshops, technical presentations, and other qualifying programs that meet the criteria and objectives of continuing professional competency. (2) “Authorized provider” means an organization or individual reviewed and approved by the CPC Standards Committee. (3) “Board” means the State Board for Professional Land Surveyors. (4) “College credit hour” means the credit for a course described in §B(6) of this regulation, offered by a university, college, or community college. (5) “Continuing professional competency (CPC) unit” means one contact hour of instruction, presentation, or other activity. (6) “Course” means a qualifying offering with a clear purpose and objective to maintain, improve, or expand the skills and knowledge of licensee's field of practice. (7) “CPC Standards Committee” means a committee as established in Regulation .09 of this chapter. (8) “Mentor” means a professional land surveyor or a property line surveyor who assists an individual in the process of qualifying for and obtaining licensure as a professional land surveyor. (9) “Qualifying activity” means an activity that meets the criteria set forth in Regulation .04 of this chapter. #### Regulation .03 Requirements. *COMAR 09.13.08.03* A. A licensee shall complete, as a condition of a license renewal in each individual 2-year renewal cycle, a minimum of 24 CPC units earned from the participation in and upon completion of qualifying activities described in Regulation .04. B. A minimum of 4 CPC units in every individual 2-year renewal cycle shall be earned from the participation in and upon completion of qualifying activities with content areas related to the following: (1) Minimum Standards of Practice; (2) Legal cases, commentaries, and other related materials as they apply to the law of land boundaries in Maryland; (3) The awareness of ethical concerns and conflicts; (4) An enhanced familiarity with the codes of conduct; (5) An understanding of standards of practice or care; or (6) Similar topics aimed at maintaining, improving, or expanding the skills set and knowledge necessary to practice land surveying services or property line surveying services in the most ethical and responsible manner. C. A licensee may carry over no more than 12 CPC units earned in excess of 24 CPC units, provided that the CPC units intended for the carryover have been earned on or before December 31, 2018. No carryover shall be permitted for any excess CPC units earned after January 1, 2019. #### Regulation .04 Qualifying Activities. *COMAR 09.13.08.04* In order for an activity to be considered a qualifying activity, the activity must meet the following criteria: A. Maintain and enhance professional competency of professional land surveyors or property line surveyors; and B. Foster improvement, advancement, and extension of professional skills and knowledge related to the practice of land surveying or property line surveying. #### Regulation .05 Determination of Qualifying Activities by the Board. *COMAR 09.13.08.05* The determination of whether the activity constitutes a qualifying activity is within the discretion of the Board. #### Regulation .06 Nonqualifying Activities. *COMAR 09.13.08.06* Activities that do not meet the criteria set forth in Regulation .04 of this chapter shall be considered to be non-qualifying activities, including, but not limited to, the following: A. Regular employment as professional land surveyor or property line surveyor, or expert witness; B. Repetitive attendance of the same programs without substantial modifications or updates; C. Time management techniques and strategies; D. Attending committee meetings or general business meetings of any organization; E. Other activities that, in the Board’s opinion, are not directly related to the practice of land surveying or property line surveying. #### Regulation .07 Sources of Credit and Determination of Units. *COMAR 09.13.08.07* A. A licensee may earn the CPC units by any of the following methods: (1) Attending and successfully completing qualifying activities in which the teaching methodology consists primarily of systematic presentation of subjects related to the practice of land or property line surveying, as such activities may from time to time be preapproved by the Board; (2) Subject to limitations set forth in this Regulation, teaching of, lecturing or instructing on the subjects related to professional land or property line surveying in the environment described in §A(1) of this regulation; (3) Serving as a mentor within the framework preapproved by the Board to an individual who is pursuing a path to licensure as a professional land surveyor; (4) Developing examination content questions accepted for use on both national and State specific examinations; or (5) Other appropriate methods that may from time to time be approved by the Board. B. A licensee may earn the applicable number of CPC units in accordance with the following conversion schedule: (1) 1 college credit hour — 5 CPC units; (2) 1 contact hour of professional development work, or professional or technical presentations made at meetings, conventions, or conferences — 1 CPC unit; (3) Board approved mentoring activities — 3 CPC units; (4) Developing of examination content questions — 4 CPC units; and (5) Subject to exclusions set forth in this Regulation, teaching of, lecturing or instructing on land surveying and related subjects, subject to the following limitations: (a) For the first time presentation, a presenter may claim credit for the activity that is equivalent to two times the number of CPC units awarded by the Board for the activity; and (b) Unless the presentation had been substantially modified and updated for the subsequent presentations or is being presented to a different group of recipients, a presenter may claim only the same number of CPC credits as awarded by the Board to the recipients of the qualifying activity. #### Regulation .08 Determination of Units’ Value by the Board. *COMAR 09.13.08.08* The final determination with regard to the value, sources, and number of credits is within the discretion of the Board. #### Regulation .09 Approval of Providers. *COMAR 09.13.08.09* A. Responsibility for Providers’ Approval. (1) The Board shall select and establish a committee to approve providers of the CPC units (the “CPC Standards Committee”). (2) The CPC Standards Committee shall consist of the following individuals: (a) A professional land or property line surveyor serving on the Board; and (b) A consumer member serving on the Board. (3) In addition to the individuals referred to in §A(2) of this regulation, the CPC Standards Committee may also include any or all of the following individuals: (a) A professional land surveyor; (b) A property line surveyor; or (c) An educator from a higher education institution or a community college familiar with the land surveying or property line surveying curriculum. (4) The Board shall assign the responsibility of reviewing and approving the providers to the CPC Standards Committee. To the extent feasible and necessary, the CPC Standards Committee shall establish guidelines and procedures for approval of providers in accordance with the objectives stated in this chapter. B. Providers' Eligibility. (1) The following are considered to be preapproved providers without any further action by the Committee: (a) National, regional, or State accredited academic institutions; (b) National, State, or regional land surveying organizations; and (c) Other entities that may from time to time become preapproved by the Board. (2) The individuals or entities, including, but not limited to, professional firms conducting in-house presentations, may be approved by the Board to become approved providers upon application and approval by the CPC Standards Committee. (3) During the application process, the Committee will determine the suitability of the provider to serve as an approved provider. (4) The provider shall submit general information that will enable the CPC Standards Committee to evaluate the provider’s qualifications. At a minimum, the CPC Standards Committee requires the following information to be submitted with each application for approval: (a) The sample course outline detailing the content of activity to be offered; (b) The number of CPC units to be awarded for each course; and (c) The identity and qualifications of the course instructors. (5) In order to be eligible to become the approved provider, the provider must offer the activity that meets the criteria for a qualifying activity set forth in Regulation .04. C. Review and Audit of Providers. The Board may require the approved provider to document the D. Suspension and Revocation. (1) The CPC Standards Committee, with the Board’s concurrence, may suspend or revoke approval of a provider if, in the judgment of the Board, the intent of Business Occupations and Professions Article, §15-314(f), Annotated Code of Maryland, is no longer served. (2) An individual or organization whose provider’s privilege has been suspended or revoked by the CPC Standards Committee may appeal the denial to the Board for a hearing within 30 days after the CPC Standards Committee notifies the individual or organization of the denial. E. Roster of approved providers. The Board shall maintain and make available to licensees, as often as it considers appropriate, a roster of approved providers. #### Regulation .10 Record Keeping. *COMAR 09.13.08.10* A. Responsibility to Maintain Records. (1) The responsibility of maintaining records to be used to support the continuing professional competency credit claim is the responsibility of each licensee. (2) A licensee shall maintain the records for a period of at least 4 years from the date of completion of the qualifying activity. B. Documentation referred to in §A(2) of this regulation, includes, but is not limited to, the following: (1) Certificates of participation; (2) Transcripts, if appropriate; (3) Reprints of publications; (4) Proof of presentations; (5) Title and description of the activity; (6) Dates attended; (7) Presenter's name; or (8) Any other appropriate information. C. Upon the Board’s request, approved providers shall electronically transmit to the Board records of attendance, completion of a qualifying activity, and any other pertinent information requested by the Board. #### Regulation .11 Reporting Requirements for License Renewal. *COMAR 09.13.08.11* A. A licensee shall attest to the satisfactory completion of the CPC requirements prior to the licensee's individual license renewal for the following 2-year cycle. The licensee shall provide the attestation in connection with the renewal application and shall pay appropriate renewal fees. B. The Board at its discretion may audit randomly selected licensees to ascertain compliance with CPC requirements. C. Licensees who are audited shall provide any additional documentation required by the Board to complete the audit. #### Regulation .12 Extenuating Circumstances/Exceptions. *COMAR 09.13.08.12* A. Exemptions. Notwithstanding other requirements set forth in this chapter, a licensee who is granted an initial license may renew a license for the next full term without complying with the CPC requirements if: (1) The licensee has been granted an initial license and is renewing a license for the next full term; and (2) The licensee qualifies under the criteria set forth in Business Regulation Article, Title 2.5, Annotated Code of Maryland. B. Compliance Exception Request. (1) If a licensee is unable to comply with all or part of CPC requirements due to physical disability, illness, or other extenuating circumstances, the licensee may request the Board grant a one-time exception from compliance (Compliance Exception Request), provided that the Compliance Exception Request is filed with the Board at least 60 days prior to the licensee’s license expiration date. (2) If a Compliance Exception Request is based on physical disability or illness, the licensee must provide the Board with written documentation acceptable to the Board supporting the basis for the request. (3) A Compliance Exception Request must be accompanied by a detailed proposal acceptable to the Board indicating the licensee’s intended plan of compliance with CPC requirements within no later than 6 months after the license expiration date. Failure to provide the acceptable plan of compliance within the time period specified in this regulation may result in the Board’s administrative dismissal of the Compliance Exception Request. #### Regulation .13 Failure to Meet the CPC Requirements. *COMAR 09.13.08.13* In the event a licensee fails to comply with the CPC requirements set forth in this chapter, the Board, subject to the hearing provisions of Business Occupations and Professions Article, §15-319, Annotated Code of Maryland, may take any and all available disciplinary actions under Business Occupations and Professions Article, §15–317, Annotated Code of Maryland. #### Regulation .14 Reinstatement of License. *COMAR 09.13.08.14* A licensee who wishes to reinstate a license shall fulfill past due CPC requirements for the previous CPC reporting periods up to 48 CPC units and pay all applicable fees. #### Regulation .15 Reactivation of Retired Status License. *COMAR 09.13.08.15* An individual who elects to receive a retired status license shall be exempt from the compliance with the CPC requirements. In the event such individual elects to have the license reactivated, the individual shall fulfill past due CPC requirements up to 48 CPC units and pay all applicable fees. #### Regulation .16 Dual Licensees. *COMAR 09.13.08.16* A licensee who maintains current licenses in the State of Maryland both as a professional land or property line surveyor and as a professional engineer shall comply with the CPC requirements set forth in COMAR 09.23.06 applicable to licensed professional engineers, except that a minimum of 1/3 of the units earned shall be gained from the qualifying programs on a land surveying subject as set forth in Regulations .03 and .04 of this chapter. #### Regulation .17 CPC Units Earned in Other States. *COMAR 09.13.08.17* The Board will accept CPC units earned for activities completed in other jurisdictions, provided that: A. The activities and programs are consistent and comply with the requisite criteria set forth in this chapter; B. Licensee provides evidence of attending and completing a qualifying activity in another state, together with applicable number of CPC units earned; and C. Licensee otherwise fulfills all other applicable license renewal requirements in the State of Maryland. ## Subtitle 14 — State Athletic Commission ### Chapter 01 — General Provisions **Authority:** Business Regulation Article, §§4-101, 4-205, and 4-303, Annotated Code of Maryland **Administrative History:** Effective date: October 1, 1965 **Administrative History:** Subtitle revised effective August 26, 1985 (12:17 Md. R. 1705) **Administrative History:** Chapter revised effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .01B amended effective June 10, 1991 (18:11 Md. R. 1186); July 19, 1993 (20:14 Md. R. 1168); February 28, 1994 (21:4 Md. R. 275); December 19, 2005 (32:25 Md. R. 1941); July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .02A amended effective May 22, 2017 (44:10 Md. R. 470) **Administrative History:** Regulation .05 adopted effective November 25, 2002 (29:23 Md. R. 1810) **Administrative History:** Regulation .05 amended effective January 6, 2005 (31:26 Md. R. 1861) #### Regulation .01 Definitions. *COMAR 09.14.01.01* A. In these regulations, the following terms have the meanings indicated. B. Terms Defined. (1) “Commission” means the State Athletic Commission of Maryland. (2) Contest. (a) “Contest” means any boxing, kickboxing, or wrestling: (i) Competition; (ii) Exhibition; (iii) Match; (iv) Performance; or (v) Show. (b) “Contest” includes a mixed martial arts: (i) Competition; (ii) Match; (iii) Performance; or (iv) Show. (c) “Contest” does not include a mixed martial arts exhibition. (3) “Contestant” means a boxer, kickboxer, or mixed martial arts contestant who participates against an opponent in a contest. (4) “Kickboxing” means a contest or exhibition in which blows are delivered with the hand or leg, including the foot. (5) Manager. (a) “Manager” means a person who, under contract, agreement, or other arrangement, undertakes to control or administer, directly or indirectly, a contest-related matter on behalf of a contestant. (b) “Manager” includes, but is not limited to: (i) A booking agent; and (ii) An advisor. (6) “Mixed martial arts” means a competition in which contestants use interdisciplinary forms of fighting, including various forms of martial arts, involving: (a) Striking with the hands, feet, knees, or elbows; and (b) Grappling by take-downs, throws, submissions, or choke holds. (7) “Mixed Martial Arts Exhibition” means a mixed martial arts event in which: (a) Contact to the body is permitted in only a restrained manner; (b) Contact to the head is not permitted; and (c) No contact is permitted that may result, or is intended to result, in physical harm to an opponent. (8) “Official record” means the cumulative results of those boxing, kickboxing, or mixed martial arts contests, sanctioned by a regulatory agency, in which a contestant has participated. (9) “Physician” means an individual currently licensed to practice medicine in this State or any state where the individual resides. (10) “Promoter” means any individual, partnership, corporation, club, association, or other organization that gives, holds, or otherwise conducts a contest within the State. (11) “Regulatory agency” means a commission, board, or other entity of a state, commonwealth, territory, or country, created by law or executive order, which regulates boxing, kickboxing, wrestling, or mixed martial arts. (12) “Second” means an individual who assists a boxer, kickboxer, mixed martial arts contestant, or wrestler during a contest. #### Regulation .02 Meetings. *COMAR 09.14.01.02* A. The Commission shall meet regularly on a date and time as published on the Commission’s website, pursuant to General Provisions Article, §3-302(c), Annotated Code of Maryland. B. In an emergency, the Commission may also meet specially at any time upon the request of the Chairman. #### Regulation .03 Affiliations. *COMAR 09.14.01.03* A. The Commission may affiliate with or obtain membership in national or international boxing or wrestling organizations. B. The Commission may adopt any of the regulations of the affiliate organizations. #### Regulation .04 Charitable Events. *COMAR 09.14.01.04* A. A promoter holding a contest to raise funds for a charitable purpose shall file, before the contest, the following information: (1) The name of the charity the contest benefits; (2) The amount or percentage of the gross receipts from the contest to be paid to the charity; and (3) A certificate of registration from the Secretary of State. B. The Commission shall advise the Secretary of State that a charity contest is scheduled and the names of the principal parties. #### Regulation .05 Chairman. *COMAR 09.14.01.05* A. At its last meeting preceding each fiscal year, the Commission shall elect a member to be chairman. B. The term of a chairman shall be 1 year. C. A member may serve as chairman for an unlimited number of consecutive terms. ### Chapter 02 — Applications and Licensing **Authority:** Business Regulation Article, §§4-205, 4-301, and 4-303, Annotated Code of Maryland **Administrative History:** Effective date: October 1, 1965 **Administrative History:** Subtitle revised effective August 26, 1985 (12:17 Md. R. 1705) **Administrative History:** Regulation .01 amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Chapter revised effective June 10, 1991 (18:11 Md. R. 1186) **Administrative History:** Regulation .01B amended effective March 29, 1993 (20:6 Md. R. 580); July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .01D adopted effective April 15, 2024 (51:7 Md. R. 332) **Administrative History:** Regulation .02 amended effective July 6, 2009 (36:13 Md. R. 898); April 15, 2024 (51:7 Md. R. 332) **Administrative History:** Regulation .02A amended effective March 29, 1993 (20:6 Md. R. 580) **Administrative History:** Regulation .03A, C amended effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .03-1 adopted effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .04B amended effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .05F adopted effective December 19, 2005 (32:25 Md. R. 1941) **Administrative History:** Regulation .06-1 adopted effective February 28, 1994 (21:4 Md. R. 275) **Administrative History:** Regulation .06-1 amended effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .06-1A amended effective April 15, 2024 (51:7 Md. R. 332) **Administrative History:** Regulation .06-2 adopted effective February 28, 1994 (21:4 Md. R. 275) **Administrative History:** Regulation .06-2 amended effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .06-2A amended effective April 15, 2024 (51:7 Md. R. 332) **Administrative History:** Regulation .07A amended effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .08 adopted effective April 22, 2019 (46:8 Md. R. 401) #### Regulation .01 License Required. *COMAR 09.14.02.01* A. A person or organization required to be licensed by the Commission under Business Regulation Article, Title 4, Subtitle 3, Annotated Code of Maryland, shall file an application on forms approved by the Commission. B. Persons requiring a license include: (1) Boxer; (2) Manager; (3) Matchmaker; (4) Promoter; (5) Second; (6) Wrestler; (7) Referee; (8) Kickboxer; (9) Judge; and (10) Mixed martial arts contestant. C. Requirements stated in this regulation are in addition to the requirements of Business Regulation Article, §§4-301—4-322, Annotated Code of Maryland. D. The licensing period for referees and judges is from July 1 to June 30 of each year. #### Regulation .02 Contestants. *COMAR 09.14.02.02* A. An applicant for a license as a contestant shall be: (1) At least 18 years old; (2) Not more than 36 years old unless special permission is granted by the Commission upon a review of the applicant's experience and physical fitness. B. An applicant shall submit medical reports required by COMAR 09.14.04. C. An applicant shall have a licensed manager, licensed second, or qualified licensee certify to the Commission that the applicant is physically competent as a contestant and possesses the skill of a trained contestant in the sport for which the applicant is seeking a license, including: (1) Competence in the elements of offense and defense; (2) Clean hitting; (3) Ring generalship; and (4) Physical stamina to participate in: (a) At least four 3-minute rounds of boxing or kickboxing, if the application is for a boxer or kickboxer license; or (b) At least three 5-minute rounds of mixed martial arts, if the application is for a mixed martial arts contestant license. D. Proof of amateur experience will be required for a contestant’s first professional bout verified through USA Boxing. E. An applicant shall submit two recent passport-size color photographs with an application. #### Regulation .03 Managers. *COMAR 09.14.02.03* A. An applicant shall provide the Commission with a complete list of all Maryland contestants under the applicant's control. B. A licensed manager may act as second without obtaining a second's license. C. A licensed manager is responsible for the conduct of the contestants under the manager's control. #### Regulation .03-1 Second. *COMAR 09.14.02.03-1* An individual younger than 18 years old may not be licensed as a second. #### Regulation .04 Matchmaker. *COMAR 09.14.02.04* A. An individual, partnership, corporation, or other organization arranging the match-up for a contest shall be licensed as a matchmaker. B. A licensed matchmaker may not: (1) Be a licensed manager; (2) Directly or indirectly manage a contestant; or (3) Have a financial interest in a contestant who is participating in a contest that is part of the boxing, kickboxing, or mixed martial arts show in which the matchmaker is acting. #### Regulation .05 Promoters. *COMAR 09.14.02.05* A. An applicant shall submit with an application a financial statement that has been notarized or certified by a certified public accountant and contains the following: (1) Assets separately itemized; (2) Liabilities separately itemized; and (3) Other financial information that may be requested by the Commission. B. In addition to the requirements of §A, of this regulation, a corporate applicant shall submit: (1) A list of its articles of incorporation; (2) A list of officers; and (3) The name of the chief executive official designated to be responsible for all matters pertaining to the corporation. C. Upon request of the Commission, an applicant shall provide additional evidence to demonstrate that the applicant has evidence concerning the financial ability to pay the taxes, purses, arena rental, personnel, advertising, and other expenses related to the contest. D. An applicant for an original license shall appear in person at the offices of the Commission. E. A licensed promoter may not delegate its duties and responsibilities to another party. F. A surety bond, as required by Business Regulation Article, §4-306, Annotated Code of Maryland, to be executed by a promoter, shall be issued by a company which is an authorized insurer in this State and which is recognized by a national rating agency as having a rating of B or higher. #### Regulation .06 Wrestlers. *COMAR 09.14.02.06* A. An individual under 18 years old may not be licensed. B. An applicant who does not have professional or amateur wrestling experience, upon request, shall demonstrate to the Commission or its authorized representative that the applicant is properly trained in the art of wrestling. #### Regulation .06-1 Referees. *COMAR 09.14.02.06-1* A. Except as otherwise provided in this regulation, an applicant for an original license to act as a referee in a contest shall: (1) Be at least 18 years old; (2) Complete a course of training, approved by the Commission, which encompasses the elements of officiating in the sport in which the applicant seeks to officiate; and (3) Receive certification by the Association of Boxing Commissions (ABC), the World Boxing Council (WBC),the World Boxing Association (WBA), the World Boxing Organization (WBO), or the International Boxing Federation (IBF). B. The Commission may require an applicant for license renewal to be recertified under the requirements of §A of this regulation. C. The Commission may waive the requirements of §A of this regulation for a nonresident applicant in a contest if the applicant submits a certification from another regulatory agency verifying that the applicant is qualified to act as a referee in the sport in which the applicant seeks to officiate. #### Regulation .06-2 Judges. *COMAR 09.14.02.06-2* A. Except as otherwise provided in this regulation, an applicant for an original license to act as a judge in a boxing, kickboxing, or mixed martial arts contest shall: (1) Be at least 18 years old; (2) Complete a course of training, approved by the Commission, which encompasses the elements of officiating in the sport in which the applicant seeks to officiate; and (3) Receive certification by the Association of Boxing Commissions (ABC), the World Boxing Council (WBC), the World Boxing Association (WBA), the World Boxing Organization (WBO), or the International Boxing Federation (IBF). B. The Commission may require an applicant for license renewal to be recertified under the requirements of §A of this regulation. C. The Commission may waive the requirements of §A of this regulation for a nonresident applicant in a boxing, kickboxing, or mixed martial arts contest if the applicant submits a certification from another regulatory agency verifying that the applicant is qualified to act as a judge in the sport in which the applicant seeks to officiate. #### Regulation .07 License Denial, Suspension, Fines, and Revocation. *COMAR 09.14.02.07* A. The Commission may deny a license to any applicant or revoke a license if the applicant or licensee: (1) Has been convicted of a felony or a crime involving moral turpitude; (2) Has violated a regulation or order of the Commission; (3) Has violated a directive of the Commission or its representatives; (4) Has failed to demonstrate to the satisfaction of the Commission the physical competence to participate as a contestant; (5) Has failed to comply with any safety and health standards in COMAR 09.14.04; (6) Fraudulently or deceptively obtains or attempts to obtain a license for the applicant or for another; (7) Fraudulently or deceptively uses a license; or (8) Has failed to properly supervise the activities of an official or employee of the licensee. B. In addition to or instead of a period of suspension, the Commission may impose a monetary fine not to exceed $2,000 per violation. C. If a license application is denied, an applicant may not reapply for a license for at least 1 year from the date of the denial. D. If a license is revoked, the Commission may provide for a minimum period of time before receiving a new application. #### Regulation .08 Failure to Respond. *COMAR 09.14.02.08* A. If an applicant or licensee receives from the Commission a written communication requesting a response, the applicant or licensee shall respond within 30 days of the date of the mailing. B. The Commission shall send a written communication by first-class mail to the last address furnished to the Commission by an applicant or licensee. C. It is a responsibility of an applicant or licensee to notify the Commission in writing if there has been a change in applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Commission to be a violation of Business Regulation Article, §4-310(a)(1)(iii) or (iv), Annotated Code of Maryland. ### Chapter 03 — Contracts and Sanctions **Authority:** Business Regulation Article, §4-205, Annotated Code of Maryland **Administrative History:** Effective date: October 1, 1965 **Administrative History:** Subtitle revised effective August 26, 1985 (12:17 Md. R. 1705) **Administrative History:** Regulation .01 amended effective June 24, 1991 (18:12 Md. R. 1338); July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .01C, F amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .02 amended effective December 28, 1987 (14:26 Md. R. 2744); June 24, 1991 (18:12 Md. R. 1338); July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .03 amended effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .03E amended effective September 3, 1990 (17:17 Md. R. 2079) #### Regulation .01 Contract Between Manager and Contestant. *COMAR 09.14.03.01* A. Except as otherwise indicated, a contract between a contestant and a manager shall be: (1) Notarized; and (2) Filed with the Commission 5 business days before the contestant first participates in a contest in this State. B. Provisions of Contract. (1) An executed original contract between a manager and a contestant shall be filed with the Commission. (2) A contract shall include the following provisions: (a) That there is no financial interest in the earnings of the contestant by any person other than the manager or managers of the contestant; (b) That a manager or managers will receive not more than 33-1/3 percent of the gross earnings of the contestant; (c) That the contract has a duration of not more than 5 years; (d) That the contract may not be extended beyond its initial term; and (e) That the contestant shall comply with all laws, regulations, and directives of the Commission. C. An assignment of interest in a contract filed with the Commission may not be valid unless it is approved by the Commission. D. A manager may not sign a promoter-contestant contract on behalf of a contestant which obligates the contestant to compete in an event scheduled to take place after the expiration of the contract between the manager and contestant. E. A contestant may not sign a contract with any other manager during the term of an existing contract the contestant may have with a manager. #### Regulation .02 Contract Between Promoter and Contestant. *COMAR 09.14.03.02* A. A contract between a promoter and a contestant shall include the following provisions: (1) The amount of guarantee or percentage promised by the promoter to the contestant; (2) The number and time limit of rounds; (3) The time and location that the contestants are scheduled to appear; (4) Weight specifications of the contestants; (5) A prohibition against the contestant engaging in a contest at least 14 days before the contest stated in the contract; (6) Legal rights and obligations of the contracting parties; (7) A provision stating that: (a) Drug testing is mandatory in boxing, kickboxing, and mixed martial arts contests sanctioned by the State Athletic Commission; (b) Signing the contract is consent to submit to drug testing supervised by the Commission; (c) Refusing to submit to the urine test subjects a contestant to disciplinary action by the Commission; and (d) Testing positive for prohibited drugs: (i) Is cause for a contestant to forfeit the purse set; and (ii) Subjects a contestant to disciplinary action by the Commission; and (8) The contestant agrees to comply with all laws, regulations, and directives of the Commission. B. Unless the Commission otherwise approves, contracts for main event contestants shall be filed with the Commission with the request for sanction. C. Unless the Commission otherwise approves, contracts for other contestants in a contest shall be submitted to the Commission not later than 5 business days before the date of the contest. D. A promoter may not pay a purse specified in the contract until the Commission gives written approval to the promoter. E. Unless the Commission otherwise approves, a contestant, or a manager on behalf of a contestant, may not obligate a contestant to participate in any boxing, kickboxing, or mixed martial arts contest within 14 days before or after a date on which the contestant participates or is contracted to participate in another contest. F. For the purposes of this regulation, the promoter-contestant contract received first in time by the Commission prevails over any other promoter-contestant contract. G. Failure to Appear. (1) Except as provided below, if a contestant absents himself from a contest for which the contestant is contractually obligated to participate, the contestant and the manager of the contestant are subject to disciplinary action. (2) If a contestant is unable to fulfill a contract due to a physical disability, the contestant shall be placed on medical suspension until the Commission receives documentation of the contestant's physical disability signed by a licensed physician. Upon the expiration of the suspension, the contestant shall fulfill the contract against the same opponent or similar opponent within a reasonable amount of time as set by the Commission, unless the contestant obtains a written release from the contract by the promoter. (3) If a contestant presents a valid written excuse for not fulfilling the contract, the contestant shall, when the reasons necessitating the excuse no longer apply, fulfill the contract against the same opponent or a similar opponent within a reasonable period of time. #### Regulation .03 Commission Sanction Required. *COMAR 09.14.03.03* A. A contest may not take place unless sanctioned by the Commission. B. Promoters shall file a written request for a sanction with the Commission at least 30 days before a boxing, kickboxing, or mixed martial arts contest containing the following information: (1) The names of the main event contestants; (2) The time, date, and location of the contest; (3) A plan for the employment of uniformed security at the contest; and (4) Other information as may be required by the Commission. C. Before a contest is sanctioned by the Commission, a promoter may not: (1) Advertise or give notice through any medium that the contest is to take place; or (2) Sell or distribute any tickets to the contest. D. Substitution of Contestants. (1) If either of the contestants in the main event contest is unable to appear on the night of the contest, a substitute contestant may not participate unless a new sanction is obtained from the Commission. (2) If a substitution occurs under §D(1), of this regulation, the price of admission printed on tickets shall be refunded upon request to each spectator at the box office in accordance with COMAR 09.14.09. E. Each contestant shall be insured through a group insurance policy provided by the Commission as follows: (1) Minimum medical expense coverage of $10,000; and (2) Minimum coverage of $10,000 for death, dismemberment, or loss of sight. F. The terms and conditions of the coverage in §E of this regulation shall be governed by the insurance policy between the Commission and its insurance carrier. G. Nothing in this regulation shall preclude a promoter from providing coverage in excess of the coverage stated in §E of this regulation. H. If the promoter provides insurance coverage, a copy of the policy shall be given to the Commission not later than the final physical and shall list the Commission as an additional insured. I. The Commission may cancel a sanction obtained through fraud or misrepresentation. J. A contest may be cancelled at the exclusive discretion of the Commission. ### Chapter 04 — Safety and Health Standards for Contestants **Authority:** Business Regulation Article, §§4-205, 4-304, 4-304-1, 4-310, 4-314, and 4-315, Annotated Code of Maryland **Administrative History:** Effective date: October 1, 1965 **Administrative History:** Subtitle revised effective August 26, 1985 (12:17 Md. R. 1705) **Administrative History:** Regulation .01 amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .02 amended effective September 3, 1990 (17:17 Md. R. 2079); March 29, 1993 (20:6 Md. R. 581) **Administrative History:** Regulation .03 repealed and new Regulation .03 adopted effective December 28, 1987 (14:26 Md. R. 2745) **Administrative History:** Regulation .03 amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .04I, J adopted effective December 28, 1987 (14:26 Md. R. 2744) **Administrative History:** Regulation .04 amended effective September 3, 1990 (17:17 Md. R. 2079); March 29, 1993 (20:6 Md. R. 581) **Administrative History:** Regulation .05 amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .06B amended effective July 13, 1986 (13:14 Md. R. 1633); September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .08 amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .09C amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .10 amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .10B amended effective March 9, 1998 (25:5 Md. R. 367) **Administrative History:** Regulation .10E adopted effective December 28, 1987 (14:26 Md. R. 2744) **Administrative History:** Regulation .11B amended effective March 29, 1993 (20:6 Md. R. 581) **Administrative History:** Regulation .12B amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .12B amended as an emergency provision effective May 14, 1999 (26:12 Md. R. 923); emergency status expired November 15, 1999; amended permanently effective January 24, 2000 (27:1 Md. R. 75) **Administrative History:** Regulation .12B amended as an emergency provision effective March 30, 2002 (29:7 Md. R. 616); emergency status expired August 28, 2002; amended permanently effective November 25, 2002 (29:23 Md. R. 1811) **Administrative History:** Regulation .13 adopted effective March 9, 1998 (25:5 Md. R. 367) **Administrative History:** Chapter revised effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .04B amended effective May 22, 2017 (44:10 Md. R. 471) **Administrative History:** Regulation .10C amended effective May 22, 2017 (44:10 Md. R. 471) **Administrative History:** Regulation .12 amended as an emergency provision effective January 10, 2013 (40:3 Md. R. 215); amended permanently effective July 8, 2013 (40:13 Md. R. 1073) #### Regulation .01 Medical Examinations. *COMAR 09.14.04.01* A. A contestant applying for a license or license renewal shall have a comprehensive physical examination by the applicant's personal physician performed within 30 days before the application is submitted to the Commission. B. The findings from a physical examination under §A of this regulation shall be reported by the applicant to the Commission at least 5 business days before the date of the contest. #### Regulation .02 Ophthalmological Evaluation. *COMAR 09.14.04.02* A. In this regulation, “ophthalmological evaluation” means an examination by an ophthalmologist to detect abnormalities of a person's vision and includes, but is not limited to: (1) Assessment of the cornea, lens, macula, and retina of the eye; (2) Visual acuity; and (3) Peripheral vision. B. A contestant applying for a license or license renewal shall submit to the Commission an ophthalmological evaluation completed by an ophthalmologist licensed by or eligible for certification by the American Board of Ophthalmology, performed within 30 days before the date of filing the application. C. The evaluation under §B shall include an official report of the indirect ophthalmoscopy and slit lamp. D. The findings from the evaluation under §§B and C of this regulation shall be reported to the Commission at least 5 business days before the date of the contest. E. In order to participate in a contest, a contestant shall pass an ophthalmological evaluation and: (1) Have visual acuity: (a) Of at least 20/80 in both eyes, or (b) Between 20/80 and 20/200, with special permission of the Commission; and (2) Have 100 percent peripheral vision in both eyes. #### Regulation .03 Neurological Testing. *COMAR 09.14.04.03* A. In this regulation “neurological test” means an examination by a physician to detect abnormalities of the nervous system and includes, but is not limited to: (1) Assessment of mental status, cranial nerves, motor function including power, tone, and bulk, cerebellar function, deep tendon reflexes, and plantar responses; (2) Physical examination; (3) Laboratory procedure; and (4) Other specialized testing. B. A contestant shall be examined by a neurologist or neurosurgeon appointed by the Commission before the contestant's first bout in Maryland each licensed period and annually after that. C. The Commission shall require a contestant to be reexamined by a neurologist or neurosurgeon, appointed by the Commission, before participating in a contest: (1) If the contestant has participated in more than 12 contests in or outside the State; (2) If the contestant has been knocked out or receives a technical knockout as a result of neurological injury in two consecutive contests; or (3) Upon recommendation of a ringside physician. D. The Commission may require a contestant to undergo additional neurological testing and evaluation as prescribed by the examining neurosurgeon or neurologist. E. A neurologist or neurosurgeon, appointed by the Commission, shall be licensed in Maryland and be certified by the American Board of Neurological Surgery or the American Board of Psychiatry and Neurology. F. A contestant may not be licensed or permitted to participate in a contest if the neurological examination demonstrates abnormalities suggestive of acute, subacute, or chronic nervous system abnormalities. #### Regulation .04 Precontest Examinations. *COMAR 09.14.04.04* A. A contestant and any substitute contestant shall undergo a final physical examination by a physician at a location, and on a date and time, approved by the Commission. B. A contestant may not engage in a contest if any of the following physical conditions are determined by the Commission’s physician: (1) A significant hernia or varicocele; (2) Organic heart murmurs or dysrhythmia; (3) Active pulmonary lesions; (4) Vision that fails to meet the requirements of Regulation .02E of this chapter; (5) Oral temperature over 100°F; (6) Systolic pressure or diastolic pressure outside of acceptable limits; (7) Infectious skin lesions, such as boils or infected wounds; (8) Wounds, especially on face and ears, that are incompletely or poorly healed; (9) Hand injuries and fractures less than 6 weeks old that would be detrimental to the contestant's showing or to subsequent healing; (10) Use of narcotics, stimulants, depressants, or strong analgesics; or (11) Detached retina, retinal tear, or macular hole in one or both eyes. C. Upon certification by a contestant's ophthalmologist who performed the operation, and upon review and approval of the Commission's senior physician, a repaired retinal abnormality may not automatically disqualify a contestant from participation in a contest. Documentation shall be submitted to the Commission 1 month in advance. D. The Commission may cancel a boxing contest if either contestant in a contest fails to appear for the final physical by 12 p.m. on the day of the contest. E. Within 1 hour before the first contest, the Commission's physician may, at any time, conduct a brief examination to determine if a contestant's physical condition has changed since the final physical. F. A referee shall be given a physical examination before officiating a contest. G. A contestant under contract who is injured or becomes ill before a contest shall submit to the Commission, before the date of the contest, a notarized medical report by a physician detailing the nature of the injury or illness and the prognosis for recovery. H. On the date of the contest, a contestant shall declare use of any medication on the final physical examination form including the name, the dosage, and the time of the last injection or ingestion of any prescription or non-prescription drug. I. The Commission shall provide the contestant with a written statement which explains the contestant's rights and responsibilities under these regulations at the pre-fight examination on the date of the contest. #### Regulation .05 Physician at Contest. *COMAR 09.14.04.05* A. The Commission shall appoint at least two physicians to insure the safety and health of all contestants in a contest. B. One of the physicians appointed under §A of this regulation, may be a neurosurgeon or a neurologist. C. The Commission shall designate a senior physician. D. A senior physician has the following authority to: (1) Interrupt a contest at any time to examine a contestant; (2) Terminate a contest at any time after determining that serious injury has occurred or is immediately likely to occur to either contestant, or when a contestant is bleeding sufficiently to provide a health hazard to spectators and personnel; (3) Admit a contestant to a medical facility; and (4) Require a contestant to submit to a blood test or urinalysis. E. The Commission shall designate ringside physicians. F. The senior physician and ringside physician may render emergency treatment to a contestant on-site or while traveling to a hospital. #### Regulation .06 Ringside Medical Equipment and Materials. *COMAR 09.14.04.06* A. The following items shall be available in good working order before each contest begins: (1) A stretcher; (2) A portable resuscitator or Ambubag with oxygen equipment; (3) A hard cervical collar; (4) Endotracheal tubes with laryngoscope; (5) A portable defibrillator; and (6) Advanced life-support medications. B. Only the following materials shall be allowed in a contestant's corner: (1) Ice; (2) Water; (3) Cotton swabs; (4) Gauze pads; (5) Clean towels; (6) Aventine; (7) Adrenaline (one part per thousand solution); (8) Medical diachylon tape; (9) Enswell; (10) Petroleum jelly; (11) Safety scissors; and (12) Disposable latex examination gloves. #### Regulation .07 Protection Materials. *COMAR 09.14.04.07* A contestant shall use a custom fitted mouthpiece with palate and a professional protection cup during the contest. #### Regulation .08 Proximity of Contest to Emergency Medical Facilities. *COMAR 09.14.04.08* A. The location of a contest may not be more than 15 minutes by ambulance from a hospital providing neurosurgical evaluation and treatment facilities, with a neurosurgeon on call. B. The medical facility in §A of this regulation, shall be notified by the State Athletic Commission 24 hours before a contest of the time and location of the contest, with a request for a neurosurgeon to be on call. #### Regulation .09 Post-Fight Examinations. *COMAR 09.14.04.09* A. A contestant shall be given a brief post-fight physical examination by the ringside physician. B. The ringside physician shall complete a post-fight medical recommendation form and give copies of the form to the contestant and the contestant's manager. C. The following individuals shall remain in the arena and be available for medical evaluation until released by the senior physician: (1) A contestant suffering a knockout or technical knockout; or (2) A contestant who requires observation in the opinion of the ringside physician. #### Regulation .10 Medical Suspensions. *COMAR 09.14.04.10* A. Medical suspensions may be issued at the discretion of the physician appointed by the Commission. B. The following shall constitute mandatory grounds for medical suspension and minimum duration: (1) Laceration ... 30 days; (2) Technical knockout ... 30 days; (3) Knockout or technical knockout with loss of consciousness (first occurrence) ... 60 days; (4) Knockout or technical knockout with loss of consciousness (second consecutive occurrence): (a) Not less than 70 days from the date of the second occurrence, and (b) Not less than 120 days from the date of the first occurrence; (5) Knockout or technical knockout with loss of consciousness (third consecutive occurrence) ... indefinite; (6) Poorly conditioned ... 42 days; (7) Physically demanding contest or excessive blows to the head ... 30 to 60 days. C. A contestant suspended indefinitely shall remain suspended until a medical examination specified by the Commission has been completed and the Commission has determined that the contestant has satisfactorily recovered. D. Unless the Commission otherwise approves, a contestant may not participate in another contest: (1) For at least 14 days after a contest of four to eight rounds duration; and (2) For at least 28 days after a contest of more than eight rounds duration. E. A contestant whose urine test results are positive shall be suspended pending a hearing. F. Knockout occurrences in other states, suspensions, and durations of contests shall be used in determining the length of medical suspensions and the fitness of a contestant to compete. #### Regulation .11 Duties of Promoter. *COMAR 09.14.04.11* A. A promoter shall furnish the following for a boxing, kickboxing, or mixed martial arts contest: (1) Sanitary dressing rooms for contestants that contain a restroom, rest table, and facilities for Commission physicians to examine contestants before and after a contest; (2) Emergency procedures at least 7 days before the date of the contest to the Commission for removing an injured contestant to a hospital pursuant to Regulation .08 of this chapter; (3) A ring conforming with the specifications of the Commission; (4) An ambulance to transport an injured contestant to a medical facility as required in Regulation .08A of this chapter; and (5) An ambulance crew consisting of: (a) One emergency medical technician—paramedic (EMT-P); and (b) One emergency medical technician—basic (EMT-B). B. A promoter shall instruct contestants, managers, and individuals in charge of the arena in the safety standards of the Commission. C. A promoter shall follow all safety standards required by the Commission and shall take all reasonable precautions to insure the safety and health of contestants, officials, and spectators. #### Regulation .12 Female Contestant. *COMAR 09.14.04.12* A. A contest between female contestants shall be subject to all the requirements of this chapter. B. The following requirements for a female contestant are in addition to the requirements under §A of this regulation: (1) A female contestant may not contract for, or engage in, a contest with a male contestant; (2) Contests shall be limited as follows: (a) Not more than eight rounds of 2-minute duration with a 1-minute rest period between rounds, depending on the skills of the contestants competing; and (b) Eight rounds of 2-minute duration with a 1-minute rest period between rounds for a championship contest; (3) An abdominal guard shall be worn and a breast protector shall be used as a binder; (4) Hair shall be secured in a manner that it does not interfere with the vision or safety of either contestant; (5) A boxer who is pregnant may not engage in a contest; (6) Promoters shall provide adequate, separate dressing rooms; (7) Cosmetic use shall be prohibited; (8) An examination under Regulation .01 of this chapter shall include a pelvic examination; (9) An examination under Regulation .04 of this chapter shall include an abdominal and breast examination with notations of any masses; and (10) Gloves used in the contest shall be: (a) 8 ounces for weight classifications less than 148 pounds; and (b) 10 ounces for weight classifications 148 pounds or greater. C. A female contestant shall: (1) Take a HCG serum pregnancy test within 5 days before each contest; and (2) Submit the results of the test to the Commission at the final physical. D. Failure of a female contestant to comply with §C of this regulation shall result in the immediate disqualification of the female contestant for a contest. #### Regulation .13 Blood Tests. *COMAR 09.14.04.13* A. In compliance with the blood testing requirements of Business Regulation Article, §4-304.1, Annotated Code of Maryland, a blood sample from an individual desiring to participate in a boxing, kickboxing, or mixed martial arts contest shall be: (1) Taken by a physician, phlebotomist, or other qualified health care provider chosen by the individual; and (2) Analyzed by a medical laboratory, certified in accordance with the Clinical Laboratory Improvement Act, 42 U.S.C. §263(a), for the presence of: (a) Antibodies to the human immunodeficiency virus (HIV), and (b) The antigen of virus hepatitis B. B. Only blood tests with negative results shall be submitted to the Commission. C. The required negative blood tests: (1) Shall be submitted to the Commission by an applicant for licensure as a contestant, a contestant, or an authorized representative of the applicant or contestant; and (2) May not be submitted by the person taking the blood sample, the medical laboratory testing the blood sample, or any other person. D. The required negative blood tests shall: (1) Have been performed within 30 days of the individual's application for a license; and (2) Except as provided in §E of this regulation, be submitted to the Commission: (a) At the time the application is submitted to the Commission, or (b) Not later than the weigh-in for the first contest in which the contestant is to participate following the submittal of the application. E. The Commission, in its discretion, may extend the time for the submittal of the required negative blood tests to a time immediately before the contestant's first contest following the issuance of a license. F. To constitute documentary evidence satisfactory to the Commission, the negative test results from the medical laboratory shall be: (1) On the medical laboratory's letterhead; and (2) Signed by an authorized representative of the medical laboratory. G. In addition to submitting the required negative blood tests before a contestant's first contest following the submittal of an application for licensure, a contestant is required to submit the required negative blood tests if: (1) The contestant previously tested positive for the antibodies to HIV or the antigens of virus hepatitis B; or (2) The Commission has reasonable cause to believe that the testing of the contestant's blood may not result in a negative test for the presence of the antibodies to HIV or the antigens of virus hepatitis B. ### Chapter 05 — Boxing and Kickboxing Facilities and Equipment **Authority:** Business Regulation Article, §4-205, Annotated Code of Maryland **Administrative History:** Effective date: October 1, 1965 **Administrative History:** Subtitle revised effective August 26, 1985 (12:17 Md. R. 1705) **Administrative History:** Regulation .03A amended effective June 10, 1991 (18:11 Md. R. 1187) **Administrative History:** Regulation .04 amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Chapter revised effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .01 amended as an emergency provision effective January 10, 2013 (40:3 Md. R. 216); amended permanently effective July 8, 2013 (40:13 Md. R. 1074) **Administrative History:** Regulation .03 amended as an emergency provision effective January 10, 2013 (40:3 Md. R. 216); amended permanently effective July 8, 2013 (40:13 Md. R. 1074) #### Regulation .01 Boxing or Kickboxing Ring. *COMAR 09.14.05.01* A. A boxing or kickboxing ring shall meet the following requirements: (1) The boxing or kickboxing ring may not be less than 16 feet square or more than 24 feet square within the ring ropes; (2) The platform shall extend beyond the ropes for a distance of at least 2 feet; (3) The ring posts shall be at least 18 inches away from the ring ropes; (4) The ring floor, both within and outside the ropes, shall be padded with a minimum of 1 inch thick unicellular safety foam; (5) The platform shall have a top covering of canvas, duck, or equivalent material tightly stretched and laced to the platform; (6) The platform shall be a maximum height of 4 feet above the floor of the building and shall be provided with suitable steps for use by the boxers; and (7) The mat and coverings shall be kept clean and free of odors at all times. B. Ring posts shall meet the following requirements: (1) Constructed of metal with a maximum diameter of 3 inches; (2) Extend to the floor of the ring with a maximum height of 58 inches; and (3) Properly padded. C. Ring ropes shall meet the following requirements: (1) Four in number with a minimum diameter of 1 inch; (2) The lower rope shall be 18 inches above the ring floor; (3) The top rope shall be 54 inches above the ring floor; (4) The remaining two ropes shall be evenly spaced between the lower and top ropes; (5) The ropes shall be covered with a smooth plastic or other smooth, soft material; (6) The ropes shall be adjustable and shall be kept at the correct tautness; and (7) The ring ropes shall be tied in the center of the ropes on all four sides. #### Regulation .02 Ring Equipment. *COMAR 09.14.05.02* A. The promoter shall provide all necessary equipment for use by seconds, boxers, and kickboxers at all events, subject to approval by the Commission. B. A bell or gong shall be provided by the Commission and shall be positioned at the ring not higher than the floor level of the ring. #### Regulation .03 Gloves. *COMAR 09.14.05.03* A. General. (1) Gloves shall conform to specifications as determined by the Commission. (2) Gloves shall be examined before a contest by a Commission representative and the referee. (3) If the padding is misplaced or lumpy, or if the gloves are otherwise defective, the gloves shall be changed before the contest starts. (4) Breaking, roughing, or twisting of gloves is not permitted. (5) Glove weights shall be: (a) 8 ounces for weight classifications less than 148 pounds; and (b) 10 ounces for weight classifications 148 pounds or greater. (6) The laces shall be knotted on the back of the wrist and tape shall be applied where the laces are knotted. (7) The gloves shall be thumb-attached. B. Reserved. C. Gloves — Main Event. (1) The promoter shall furnish approved new gloves designed to fit the hands of the contestants in a main event contest. (2) The promoter shall deliver the gloves to the Commission at the time of the final physical for approval by the main event boxers. (3) Upon approval, the Commission shall keep the gloves until the time of the main event contest. D. Gloves — Preliminaries. (1) Used gloves for preliminary contests shall be whole, clean, in sanitary condition, and subject to inspection by the referee or Commission representative. (2) Unfit gloves shall be immediately discarded and replaced with gloves approved by the referee or Commission representative. E. Gloves — Extra Set. (1) All promoters shall have at each contest an extra set of 8-ounce gloves and 10-ounce gloves. (2) Extra gloves may be used if the set of gloves currently in use are broken or damaged during the course of a contest. #### Regulation .04 Sanitation. *COMAR 09.14.05.04* A. Promoters shall be responsible for any violation of Commission regulations or applicable local health department requirements concerning sanitary conditions of dressing rooms, showers, water bottles, towels, or other equipment. B. Promoters shall provide at least one receptacle for medical waste, and properly dispose of the waste. C. Promoters shall immediately correct any violation of the duties imposed by §A of this regulation. #### Regulation .05 Round Cards. *COMAR 09.14.05.05* A. The promoter shall provide a sufficient supply of round cards to designate the upcoming round. B. These cards shall be white and numbered on each side from 1 to 12. C. Cards shall be displayed to be visible to all spectators. ### Chapter 06 — Conduct of Boxing Contests **Authority:** Business Regulation Article, §§4-205 and 4-310, Annotated Code of Maryland **Administrative History:** Effective date: October 1, 1965 **Administrative History:** Subtitle revised effective August 26, 1985 (12:17 Md. R. 1705) **Administrative History:** Regulation .01 amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .03B amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .04B amended effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .04C amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .05 amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .06 amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .07 amended as an emergency provision effective May 14, 1999 (26:12 Md. R. 924); emergency status expired November 15, 1999; amended permanently effective January 24, 2000 (27:1 Md. R. 75) **Administrative History:** Regulation .08 amended as an emergency provision effective May 14, 1999 (26:12 Md. R. 924); emergency status expired November 15, 1999; amended permanently effective January 24, 2000 (27:1 Md. R. 75) **Administrative History:** Regulation .10D amended effective May 22, 2017 (44:10 Md. R. 471) **Administrative History:** Regulation .11 amended effective December 11, 2003 (30:24 Md. R. 1739) **Administrative History:** Regulation .12 amended effective September 3, 1990 (17:17 Md. R. 2079); December 19, 2005 (32:25 Md. R. 1941) **Administrative History:** Regulation .14 amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .15 amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .16C amended effective July 13, 1986 (13:14 Md. R. 1633) **Administrative History:** Regulation .16D adopted effective June 10, 1991 (18:11 Md. R. 1187) **Administrative History:** Regulation .16D amended as an emergency provision effective March 30, 2002 (29:7 Md. R. 616); emergency status expired August 28, 2002; amended permanently effective November 25, 2002 (29:23 Md. R. 1811) **Administrative History:** Regulation .16E adopted as an emergency provision effective March 30, 2002 (29:7 Md. R. 616); emergency status expired August 28, 2002; amended permanently effective November 25, 2002 (29:23 Md. R. 1811) **Administrative History:** Regulation .18 repealed and new Regulation .18 adopted effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .19 adopted as an emergency provision effective March 15, 1998 (25:8 Md. R. 594); emergency status expired September 15, 1998 #### Regulation .01 Weights and Classes. *COMAR 09.14.06.01* A. The Commission recognizes the following weights and classes: (1) Flyweight ----------------------112 pounds or less; (2) Bantamweight -------------- over 112 to 118 pounds; (3) Featherweight ----------------over 118 to 126 pounds; (4) Junior lightweight ------------over 126 to 130 pounds; (5) Lightweight -------------------over 130 to 135 pounds; (6) Junior welterweight ---------over 135 to 140 pounds; (7) Welterweight -----------------over 140 to 147 pounds; (8) Junior middleweight ------- over 147 to 154 pounds; (9) Middleweight -----------------over 154 to 160 pounds; (10) Junior light heavyweight - over 160 to 168 pounds; (11) Light heavyweight -------- over 168 to 175 pounds; (12) Cruiserweight ------------ over 175 to 190 pounds; (13) Heavyweight ------------------------- over 190 pounds. B. If a boxer's weight is greater than the weight specified in the contract, the contest may not take place without special permission of the Commission. C. A contest may not be allowed in which the weight difference between the boxers in the contest is greater than the following: (1) Flyweight -----------------------------3 pounds; (2) Bantamweight ------------------------4 pounds; (3) Featherweight -------------------------5 pounds; (4) Junior lightweight --------------------6 pounds; (5) Lightweight ---------------------------7 pounds; (6) Junior welterweight ------------------8 pounds; (7) Welterweight -------------------------10 pounds; (8) Junior middleweight -----------------11 pounds; (9) Middleweight -------------------------12 pounds; (10) Junior light heavyweight ----------13 pounds; (11) Light heavyweight -----------------15 pounds; (12) Cruiserweight -----------------------15 pounds; (13) Heavyweight -------------------------No limit. D. Weighing In. (1) Weighing of boxers for events shall take place not later than 12 noon on the day of the contest. (2) The boxer's weight shall be determined by a member of the Commission in the presence of the matchmaker, promoter, or manager of the boxers scheduled in a contest. (3) Opponents shall be weighed in the presence of each other. (4) A boxer shall be weighed wearing not more than trunks and socks. (5) Members of the press may be permitted to attend the weighing in. (6) Scales used for the weighing in shall be approved annually by the Division of Weights and Measures. #### Regulation .02 Scheduling of a Main Event Contest. *COMAR 09.14.06.02* A. A main event contest shall begin not later than 10 p.m. B. The Commission may grant special permission to begin a main event contest later than permitted by §A of this regulation. #### Regulation .03 Substitute Contestants. *COMAR 09.14.06.03* A. Substitute contestants may not engage in a contest unless approved by the Commission. B. The Commission may approve a substitute contestant not later than 12 noon on the date of the contest if the substitute contestant: (1) Passes the final physical; and (2) Meets the requirements of COMAR 09.14.03.02 and COMAR 09.14.04. C. The requirements of this regulation shall be in addition to COMAR 09.14.03.03D. #### Regulation .04 Boxer's Appearance. *COMAR 09.14.06.04* A. The Commission or its representative shall inspect each boxer to determine if facial hair or length of hair presents a potential hazard to the boxer, the boxer's opponent, or the referee's ability to supervise the match. B. A boxer may not use excessive amounts of grease, any substance that constitutes an irritant, or any other foreign substance not allowed in a boxer's corner as described in COMAR 09.14.04.06B. C. A boxer in violation of §A or B of this regulation may be ordered by the referee or a Commission representative to alter or remove any substances. D. Managers shall be responsible to insure compliance with the provisions of this regulation. #### Regulation .05 Boxer's Equipment. *COMAR 09.14.06.05* A. A boxer's equipment shall be firmly adjusted before entering the ring. B. The belt of the trunks may not extend above the waistline. C. Boxers may not enter the ring with trunks of the same color. D. A boxer may not wear any apparel not provided for in these regulations. E. Bandage. (1) In all classes up to and including middleweights, bandages on the hands of a boxer shall be restricted to soft cloth not more than 10 yards in length and 2 inches in width that is held in place by not more than 4 feet of surgeon's tape for each hand. (2) In all other classes of boxer, bandages on the hands of a boxer shall meet the following requirements: (a) Not more than 12 yards in length and 2 inches in width that is held in place by not more than 8 feet of surgeon's tape for each hand shall be allowed; and (b) Not more than 6 inches of adhesive tape that is not more than 1 inch in width applied across the back of each hand after bandaging shall be allowed, provided that the tape is not put across the knuckles. (3) Bandages shall be adjusted in the dressing room in the presence of a Commission representative and both boxers. F. Shoes. (1) Shoes shall be of soft material. (2) Shoes may not be fitted with spikes, cleats, hard soles, or hard heels. #### Regulation .06 Boxers' Report Time. *COMAR 09.14.06.06* Boxers shall report to the Commission representative in charge of the dressing rooms at least 2 hours before the scheduled starting time of the first contest. #### Regulation .07 Fouls. *COMAR 09.14.06.07* A. A boxer who flagrantly or repeatedly commits a foul may be: (1) Disqualified in a contest by the referee; and (2) Subject to disciplinary action under COMAR 09.14.02.07. B. A foul includes: (1) Hitting below the belt; (2) Hitting an opponent who is down or getting up after being down; (3) Holding; (4) Wrestling or kicking; (5) Striking an opponent who is helpless as a result of blows and supported by the ropes so that the opponent does not fall; (6) Butting with the head or shoulder or using the knee; (7) Hitting with the open glove, or with the butt of the hand, the wrist, or the elbow, and all backhand blows; (8) Going down without being hit; (9) Striking at that part of the body over the kidney; (10) The rabbit punch; (11) Jabbing the opponent's eye with the thumb of the glove; (12) Using abusive language in the ring; (13) Using an unsportsmanlike trick or action causing injury to an opponent; (14) Hitting on the break; (15) Hitting after the bell has sounded ending the round; (16) Roughing at the ropes; (17) Pushing an opponent about the ring or into the ropes; and (18) Biting. #### Regulation .08 Accidental Foul. *COMAR 09.14.06.08* A. If an accidental foul occurs and the injured boxer is unable to continue: (1) The contest shall be declared a technical draw if the accidental foul occurs before the completion of half of the scheduled rounds; and (2) A technical decision shall be awarded to the boxer who is ahead on points if the accidental foul occurs after the completion of half of the scheduled rounds. B. If an accidental foul occurs and the injured boxer is able to continue, the referee shall notify both corners, the judges, and the Commission table of the accidental foul not later than the end of the round in which the accidental foul took place. C. If the injury to the boxer resulting from an accidental foul worsens, causing the injured boxer to be unable to continue: (1) The contest shall be declared a technical draw if the bout is stopped before the completion of half of the scheduled rounds; and (2) A technical decision shall be awarded to the boxer who is ahead on points if the bout is stopped after the completion of half of the scheduled rounds. D. Under §§A(2) and C(2) of this regulation, only completed rounds shall be scored. E. If a majority cannot be established under §§A(2) and C(2) of this regulation, the contest shall be declared a technical draw. #### Regulation .09 Assessment of Penalty Points. *COMAR 09.14.06.09* A. A referee may, in the referee's discretion, penalize a boxer who fouls an opponent during a contest by charging the boxer with the loss of points for an intentional or unintentional foul. B. A referee shall assess the penalty points after the occurrence of each foul based on the severity of the foul and the effect of the foul on the boxer's opponent. C. The referee shall: (1) Indicate on the official scorecard the number of points deducted from a boxer in any round a boxer is penalized; and (2) Notify the judges and both boxers of the number of points to be deducted at the conclusion of each round. D. Points may only be deducted for fouls that occur in the round for which points are assessed. #### Regulation .10 Low-Blow Foul. *COMAR 09.14.06.10* A. A contest may not be awarded by reason of a low-blow foul. B. A boxer suffering a low-blow foul shall be given a rest period not exceeding 5 minutes. C. If, after being granted a rest period under §B, of this regulation, the boxer is incapable of continuing, the senior physician shall examine the boxer. D. If the senior physician determines that the boxer cannot continue, the contest shall be ruled a no contest. #### Regulation .11 Knockdown. *COMAR 09.14.06.11* A. A boxer shall be considered to have suffered a knockdown if a: (1) Part of the body other than the feet is on the ring floor; (2) Boxer is hanging helplessly over the ropes; (3) Boxer is rising from a down position; or (4) Boxer is knocked through the ropes. B. A boxer may only suffer a knockdown by a punch. C. The following procedures shall apply to a knockdown count: (1) The referee shall order the opponent to retire to the farthest corner of the ring by pointing to the corner and immediately begin the count over the boxer who is down; (2) The referee shall audibly announce the passing of the seconds by accompanying the count with motions of the arm with the downward motion indicating the end of each second; (3) A boxer who has suffered a knockdown may not resume boxing until the referee has finished a mandatory eight count; (4) A boxer may take the count either on the floor or standing; (5) The knockdown timekeeper, by effective signaling, shall give the referee the correct 1-second interval for the count; and (6) The referee's count shall be the official count. D. The following events may interrupt a knockdown count: (1) If the boxer's opponent fails to stay in the farthest corner, the count may not continue until the opponent has returned to the proper corner; (2) If the boxer suffering the knockdown count rises during the count, the referee may stop the count to determine if the boxer is fit to continue; or (3) If the referee determines that the boxer can continue, the referee shall cease the count and order both boxers to continue the contest. E. A boxer not rising from a knockdown before the count of ten shall be declared knocked out by the referee's waving both arms, and the boxer's opponent shall be declared the winner of the contest. F. If both boxers suffer a knockdown, the referee shall continue the knockdown count as long as one boxer remains in the condition described in §A of this regulation. G. If neither boxer in §F of this regulation is able to rise before the count of ten, the contest shall be declared to be a technical draw. H. The following procedures shall apply for all rounds in a contest: (1) A referee's knockdown count may not be interrupted by the conclusion of the round; and (2) If the referee's knockdown count extends beyond the conclusion of the round, but the boxer suffering the knockdown rises before the count of ten and the referee determines that the boxer can continue, the referee shall give the command to box and the gong shall then be rung immediately to end the round. I. A boxer who suffers a knockdown and fails to rise before the count of ten shall be considered to have been knocked out in the round in which the boxer suffered the ten-count knockdown. J. If a boxer rises after suffering a knockdown and immediately assumes a position described in §A of this regulation, without being struck, the referee shall resume the count from when it was interrupted. #### Regulation .12 Termination of a Contest. *COMAR 09.14.06.12* A. A referee may terminate a contest if the referee determines, in his discretion, that a boxer is unable to continue the contest. B. The senior physician may terminate a contest at any time if, in the physician's opinion, the health of either boxer is in serious jeopardy. C. A boxer giving up a contest during a rest period between rounds shall be determined to lose the contest by a technical knockout in the preceding round. D. A boxer failing to respond to the gong signaling the beginning of a new round shall be considered to have suffered a technical knockout in the round begun by the gong. #### Regulation .13 Judging and Scoring. *COMAR 09.14.06.13* A. Judges shall score all contests and determine the winner through the use of the “ten-point must system”. B. The “ten-point must system” shall be applied as follows: (1) The winner of each round receives ten points and the opponent a proportionately less number; (2) If a round is even, each boxer shall receive ten points; and (3) Fractions of points may not be awarded. C. The awarding of a round or the match shall be based on the following factors to be scored in the order listed: (1) Knockdown; (2) Clean hits; (3) Effective aggressiveness; (4) Defense; (5) Ring generalship; and (6) Other relevant considerations. D. In addition to the factors in §C of this regulation, a boxer may be given credit for the following: (1) Sportsmanlike actions in the ring; (2) Close adherence to the spirit as well as the letter of the regulations; and (3) Refraining from taking technical advantage of situations unfair to an opponent. E. Deductions of points may result from the following: (1) Persistent delays of a boxer by clinching; and (2) Lack of aggressiveness. F. The following guidelines shall govern the awarding of points and the decision: (1) Each knockdown shall have a value of one point; (2) Points for each round shall be awarded immediately after the termination of the round; (3) Each judge shall: (a) Award the decision to the boxer who has the highest point total at the end of the contest, and (b) Write the decision on the scorecard; (4) The announcer shall collect the scorecards from the judges and deliver the scorecards to the Commission's representative for review; (5) The Commission's representative shall advise the announcer of the decision who shall, in turn, announce the decision to the audience; (6) A boxer receiving the decision from a majority of the judges shall be declared the winner of the contest; and (7) If neither boxer is granted the decision by a majority of the judges, the contest shall be declared to be a draw. #### Regulation .14 Seconds. *COMAR 09.14.06.14* A. Chief Second. (1) Before starting a contest, the referee shall ascertain from each boxer the name of the chief second. (2) The chief second shall be responsible for the conduct of the assistant seconds during the progress of the contest. B. Number of Seconds. Each boxer may have at least one and not more than three seconds. C. The following guidelines shall control the conduct of seconds: (1) Seconds shall conduct themselves in a sportsmanlike manner throughout the contest; (2) Seconds shall remain seated during a round and may not assist a boxer in any manner during the round; (3) Seconds may not enter the ring until the timekeeper signals the conclusion of the round; (4) Seconds are prohibited from spraying or throwing water on a boxer at any time; (5) Seconds shall leave the ring enclosure upon the appropriate signal sounding 10 seconds before the beginning of each round; and (6) Seconds shall leave the ring platform promptly, removing all obstructions such as buckets and stools, when the gong signals the beginning of each round. D. Violations by Seconds. (1) Violations of §C of this regulation, shall result in the ejection of a second from the boxer's corner. (2) Violations of §C of this regulation, may result in the disqualification of a boxer at the referee's discretion. #### Regulation .15 Referee's Instructions. *COMAR 09.14.06.15* A. The referee shall call the boxers together for final instructions before the beginning of each contest. B. At the instructions, a boxer may only be accompanied by the boxer's manager or chief second. C. Before the instructions, the referee shall inspect the gloves and bodies of each boxer for foreign substances. #### Regulation .16 Rounds. *COMAR 09.14.06.16* A. A round shall consist of 3 minutes separated by a 1-minute rest period. B. A contest may not exceed 12 rounds. C. Unless special permission has been granted by the Commission, a promoter may not schedule less than five matches in any one event and shall schedule: (1) A minimum of 26 rounds of boxing; or (2) A maximum of 40 rounds of boxing. D. Except as provided in this regulation, exhibition bouts may not be used to meet the requirements of §C of this regulation. E. The Commission may grant a promoter permission to hold a pro-am boxing event, encompassing both professional contests and amateur contests, if: (1) The event includes a minimum of three professional matches, one of which consists of eight rounds or more; (2) The event includes a minimum of 20 rounds of professional boxing; (3) The event includes a minimum of eight rounds of amateur boxing; (4) The amateur contests all precede the professional contests, with the professional contests and amateur contests being separated by a 15-minute intermission; and (5) The promoter indicates on event tickets, as well as in advertisements pertaining to the event, that the event is a pro-am boxing event including both professional contests and amateur contests. #### Regulation .17 Public Access to Dressing Room. *COMAR 09.14.06.17* A. The public may not be allowed into the dressing room of a boxer. B. Only the following persons may be allowed into the dressing room of a boxer: (1) The boxer; (2) The boxer's manager; (3) The boxer's seconds; and (4) The Commission's representative. #### Regulation .18 Reserve Boxers. *COMAR 09.14.06.18* A. A promoter may contract for extra contests in reserve for each event. B. Reserve boxers shall meet all requirements for substitute contestants as specified in COMAR 09.14.04. C. An extra contest may only be used if a scheduled contest is cancelled. ### Chapter 07 — Ring Officials **Authority:** Business Regulation Article, §§4-205, 4-303, and 4-308, Annotated Code of Maryland **Administrative History:** Effective date: October 1, 1965 **Administrative History:** Subtitle revised effective August 26, 1985 (12:17 Md. R. 1705) **Administrative History:** Chapter revised effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .03D adopted effective February 28, 1994 (21:4 Md. R. 275) **Administrative History:** Regulation .05D, E adopted effective February 28, 1994 (21:4 Md. R. 275) **Administrative History:** Chapter revised effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .03D amended effective April 15, 2024 (51:7 Md. R. 332) **Administrative History:** Regulation .05F adopted effective April 15, 2024 (51:7 Md. R. 332) #### Regulation .01 Authority of Commission. *COMAR 09.14.07.01* A. The Commission shall determine the qualifications of all ring officials. B. The Commission shall control and direct the activities of the following individuals: (1) Referee; (2) Timekeepers; (3) Physicians; (4) Announcer; (5) Ring inspectors; (6) Judges; and (7) Scorekeeper. #### Regulation .02 Assignments of Officials. *COMAR 09.14.07.02* A. The Commission shall assign all officials in a boxing, kickboxing, or mixed martial arts contest. B. The following persons shall be assigned as officials for each boxing, kickboxing, or mixed martial arts contest: (1) One referee; (2) Three judges; (3) One timekeeper; (4) One announcer; (5) At least two physicians; (6) Inspectors; and (7) Scorekeeper. #### Regulation .03 Referee. *COMAR 09.14.07.03* A. General. The referee shall have the authority to: (1) Supervise, generally, a boxing, kickboxing, or mixed martial arts contest; (2) Decide all matters arising during a boxing, kickboxing, or mixed martial arts contest that are not specified in these regulations. B. Referee's Authority. (1) The referee may stop a boxing, kickboxing, or mixed martial arts contest during or between rounds for any of the following reasons: (a) Injury to a contestant; (b) Poor physical conditioning of a contestant; (c) Disqualification of a contestant for not participating in earnest; or (d) Unsafe ring or fenced area conditions. (2) The referee shall give a contestant sufficient time to recuperate when the contestant is incapacitated by a low blow or other fouling tactic. C. Referee's Duties. (1) A referee may touch a contestant only if the contestant fails to obey a command to break. (2) In addition to the knockdown procedure described in COMAR 09.14.06.11, the referee shall: (a) Begin a knockdown count for any contestant who leaves the ring or fenced area during the 1-minute rest period between rounds and does not resume participation when the bell signals the beginning of a round; (b) Begin a knockdown count for any contestant who is knocked out or falls out of the ring or fenced area during a round and fails to return immediately to the ring or fenced area; and (c) Remove the mouthpiece of a contestant after the knockdown count. (3) A referee shall warn a contestant and the contestant's manager or chief second in a clear and distinct manner that persistent fouling will result in a penalty before a referee assesses a penalty point. D. Medical Standards for Referees. (1) A referee annually shall submit to the Commission certification of the following medical examinations: (a) A comprehensive physical; (b) An ophthalmological evaluation as defined in COMAR 09.14.04.02A; and (c) A neurological test as defined in COMAR 09.14.04.03A which is performed by a neurologist or neurosurgeon. (2) The Senior Physician shall determine the appropriate medical documentation for nonresident applicant referees. (3) A referee may not officiate in a contest if any of the following physical conditions are found: (a) Conditions specified in COMAR 09.14.04.04B(1)—(8) and (10)—(11); (b) Uncorrected visual acuity that is less than 20/40; (c) Peripheral vision that is less than 100 percent; or (d) Abnormalities suggestive of acute, subacute, or chronic nervous system abnormalities. #### Regulation .04 Physicians. *COMAR 09.14.07.04* A. Senior Physician. The senior physician is responsible for the health and safety of all participants during a contest and shall have the authority specified in COMAR 09.14.04.05. B. Ringside Physician. The examining physician shall exercise the duties specified in COMAR 09.14.04.05 including: (1) The pre-fight examination; (2) Examining contestants at the request of the referee; and (3) The post-fight examination. #### Regulation .05 Judges. *COMAR 09.14.07.05* A. The judges appointed by the Commission shall be stationed in locations designated by the Commission. B. Judges may bring any matter to the attention of the referee at the end of a round. C. Judges shall render their scoring at the conclusion of each round. D. A judge annually shall submit to the Commission the results of an ophthalmological evaluation as defined in COMAR 09.14.04.02A. E. An individual may not judge a contest if the individual's corrected vision is less than 20/40. F. The Senior Physician shall determine the appropriate medical documentation for nonresident applicant judges. #### Regulation .06 Timekeepers. *COMAR 09.14.07.06* The timekeeper shall: A. Be provided with a whistle and accurate stopwatch; B. Be seated outside the ring, or fenced area, close to the bell and shall indicate the beginning and ending of each round by striking the bell with a metal hammer; C. Give an appropriate signal to the contestants' seconds 10 seconds before the beginning of each round; D. Inform the announcer of the exact duration of a contest that is terminated before the completion of the scheduled number of rounds; E. Keep the time for a contestant suffering a knockdown; and F. After a knockdown, rise and start counting with the stopwatch until the count of ten is reached. #### Regulation .07 Announcer. *COMAR 09.14.07.07* A. The announcer shall state the following: (1) The name of the contestants; (2) The correct weight of the contestants; and (3) The decision of the referee and judges. B. The announcer may announce other matters as directed by the Commission. #### Regulation .08 Inspectors. *COMAR 09.14.07.08* A. The Commission shall assign ringside inspectors to the corners, and may also assign inspectors to dressing rooms or any other part of the arena to ensure compliance with the regulations. B. Inspectors shall remain in their assigned positions until relieved by the supervisor of the contests. ### Chapter 08 — Wrestling Regulations **Authority:** Business Regulation Article, §4-205, Annotated Code of Maryland **Administrative History:** Effective date: October 1, 1965 **Administrative History:** Subtitle revised effective August 26, 1985 (12:17 Md. R. 1705) **Administrative History:** Regulation .03 amended effective December 6, 1993 (20:24 Md. R. 1864) **Administrative History:** Regulation .03F amended effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .03U amended effective January 6, 2005 (31:26 Md. R. 1861) **Administrative History:** Regulation .04D and E adopted effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .04E amended effective May 22, 2017 (44:10 Md. R. 471) **Administrative History:** Regulation .07A amended effective September 3, 1990 (17:17 Md. R. 2079) #### Regulation .01 Applicability. *COMAR 09.14.08.01* A. These regulations apply to persons conducting wrestling matches, including persons licensed by the Commission in the following capacities: (1) Wrestlers; (2) Managers; (3) Promoters; and (4) Matchmakers. B. Persons described in §A of this regulation, shall also be subject to all other appropriate regulations of the Commission. #### Regulation .02 Contestants and Substitutions. *COMAR 09.14.08.02* A. The promoter shall provide the Commission with a list of wrestlers scheduled to appear in a contest at least 21 days before the date of the wrestling contest. B. Substitutions shall receive prior approval of the Commission. C. A main event substitution shall be reported immediately to the Commission with an accompanying explanation for the substitution. D. The wrestling card shall specify the number of falls required for each contest. #### Regulation .03 Conduct of Wrestling Contest. *COMAR 09.14.08.03* A. A wrestling contest shall be determined by: (1) One fall; or (2) Two out of three falls. B. A one-fall contest shall be determined as follows: (1) The wrestler scoring a fall within the time limit shall be declared the winner of the contest; or (2) If neither wrestler scores a fall within the time limit, the referee shall: (a) Award the decision to one of the contestants, or (b) Call the contest a draw. C. A two-fall contest shall be determined as follows: (1) The wrestler scoring two falls within the time limit shall be declared the winner of the contest; (2) If only one fall is scored within the time limit, the wrestler scoring the one fall shall be declared the winner of the contest; or (3) If no wrestler has scored a fall or if both wrestlers have each scored one fall, the referee shall: (a) Award the decision to one of the contestants, or (b) Call the contest a draw. D. Scoring a Fall. (1) A fall is scored by a wrestler when the wrestler's opponent has both shoulders touching the mat for a count of three. (2) The referee shall signal the wrestler scoring a fall by immediately slapping the wrestler's back or shoulder. E. Time Limits. (1) A wrestler shall be allowed 5 minutes between falls in a contest that provides for two out of three falls. (2) A wrestling match shall have a maximum time limit of 60 minutes. (3) The Commission may authorize any other time limit. F. Prohibited Activities. (1) The following actions are prohibited: (a) Striking an opponent with a fist or using the knuckles; (b) Scratching or gouging the opponent; (c) Butting the opponent; (d) Slamming an opponent into a ring post; (e) Striking an opponent with a foreign object; (f) Kicking an opponent unless a recognized wrestling move; (g) Stranglehold; (h) Pulling hair; (i) Inhibiting breathing by covering the nose and mouth at the same time; (j) Jumping from the ring ropes onto an opponent; (k) Deliberately leaving the ring enclosure during a contest; (l) Unsportsmanlike or physically dangerous conduct; and (m) Deliberately lacerating oneself or one's opponent, or, by any other means, introducing human or animal blood into the ring. (2) A wrestler continuing to engage in prohibited activities after sufficient warning may be disqualified by the referee. G. Breaking. A wrestler: (1) Shall break a hold when instructed by the referee; (2) Failing to break upon instruction shall be given a count of four to release the hold; (3) Failing to release the hold after the count of four shall be disqualified and the opponent shall be awarded the match by the referee. H. Wrestlers Out of the Ring. (1) If a wrestler is out of the ring during the contest, the opponent shall immediately retire to the opposite side of the ring and remain until the wrestler has returned within the ring and the referee has instructed them to begin wrestling. (2) If a wrestler leaves the ring and remains on the ring apron, the referee and timekeeper shall begin a count of ten. (3) A wrestler failing to return to the ring under §H(2) by the count of ten shall lose the match to the wrestler's opponent if the opponent is in the ring before the count of ten is concluded. (4) If both wrestlers leave the ring and remain on the ring apron through a count of ten, then the contest shall be ended with no winner declared. (5) If a wrestler leaves the ring and is on the floor outside of the ring, the referee and timekeeper shall begin a count of 20. (6) A wrestler failing to return to the ring under §H(5) by the count of 20 shall lose the match to the wrestler's opponent if the opponent is in the ring before the count of 20 is concluded. (7) If both wrestlers leave the ring and remain on the floor outside of the ring through a count of 20, then the contest shall be ended with no winner declared. I. Refusal or Inability to Continue. If a wrestler refuses or is physically unable to continue a match, the match shall be ended and the decision awarded to the wrestler's opponent. J. A wrestler may not touch or otherwise interfere with the referee. K. Tag Team Wrestling. (1) “Tag team wrestling” means a contest between two teams each composed of two or more wrestlers. (2) The time limit for this type of contest shall be 60 minutes. (3) A team shall be awarded a fall when a member of the team scores a fall against a member of the opposing team. (4) A 2-minute rest period shall be permitted between falls. (5) A tag team contest shall be conducted as follows: (a) The contest shall begin with one wrestler from each team inside the ring while the respective partners remain outside the ring on the apron; (b) The wrestler outside the ring may not enter the ring unless a fall is scored or his partner has tagged his hand; (c) In order to be eligible to receive a tag, the wrestler's partner shall be outside the ring on the apron in the proper corner with both feet on the ring apron and only receive the tag over the top ring rope; (d) When the tag is made, the wrestler making the tag shall leave the ring as the partner enters the ring; (e) Only two wrestlers from opposing teams shall be permitted to be in the ring at any one time; (f) After the scoring of a fall a wrestler may relieve the partner; (g) If a wrestler is unable to continue, the wrestler's partner shall continue the contest alone; (h) The referee may call time after an injury to permit the injured wrestler to be removed from the ring; and (i) The decision in the match shall be governed under the guidelines in Regulation .03. (6) In addition to the prohibited activities in §F, a wrestler may not: (a) Assist the partner or interfere in any manner with the opponents while outside the ring enclosure; or (b) Release the rope provided in the team corner until officially tagged by the partner. (7) The referee shall warn a team of any prohibited conduct and may disqualify a team for persisting in prohibited conduct after a warning. L. Timekeeping. A timekeeper: (1) Appointed by the Commission shall time all wrestling contests; (2) Shall begin the beginning of the time limit of a contest upon the referee's signal and shall sound the gong at the referee's command. M. Reporting Time. (1) Wrestlers shall appear at least 1 hour before the scheduled contest begins. (2) Failure to comply with §M(1) shall be cause for disciplinary action. N. Time of Contest. (1) Wrestling contests shall begin not later than 8:30 p.m. and conclude before 11 p.m. (2) The Commission may authorize different starting and concluding times. O. Seconds. (1) A wrestler may have a second who: (a) Shall remain in the wrestler's corner outside the ring enclosure; and (b) May not interfere in any manner with the progress of the contest. (2) The referee may immediately eject from the ring area any second failing to comply with §O(1). P. Referee. (1) The referee shall have the authority to conduct the contest and enforce the regulations of the Commission. (2) The referee's decision on any matter, whether arising under these regulations or not, shall be final. (3) Referees assigned to officiate a contest shall: (a) Be properly attired 30 minutes before the scheduled time of the opening contest; and (b) Remain attired and available until all matches have been concluded. Q. Wrestler's Equipment. (1) A wrestler shall be clothed in clean apparel with trunks and tights that are well-fitted and whole. (2) Two pairs of trunks, one over the other, may be worn. (3) If a wrestler wears shoes, they shall be fitted with soft tops, soft smooth soles, soft laces, and equipped with eyelets only. (4) A wrestler may not have any grease, lotion, or foreign substances on the body. R. Ring. (1) The ring shall have a minimum of three ropes with the: (a) Lower rope 18 inches above the ring floor; (b) Upper rope 52 inches above the ring floor; and (c) Middle rope equidistant between the lower and upper ropes. (2) Except as provided in §R(1), the ring shall meet the same requirements set forth in COMAR 09.14.05.01. S. Ring Barrier. (1) A ring shall be enclosed within a barrier which shall be erected between the ring and the seating area in the arena. (2) The barrier shall be at least: (a) 6 feet away from the ring; and (b) 4 feet away from the first row of the seating area. (3) The ring barrier shall conform to the following requirements: (a) Be constructed of metal or other shatterproof material; (b) Be designed to prevent wrestlers from exiting through the barrier into the seating area during a contest; (c) Be built to a height of at least 42 inches from the floor of the arena; and (d) Be stable. (4) The ring barrier shall be approved by the Commission or the Commission's representative before its use during a contest. T. “Ring enclosure” means the area within the ring barrier. U. Contests between a male and a female wrestler are prohibited, unless special permission is granted by the Commission after a review of the wrestlers' experience and physical fitness. #### Regulation .04 Physical Examinations. *COMAR 09.14.08.04* A. A wrestler shall be given a physical by a physician approved by the Commission before engaging in a contest. B. A referee shall be given a physical before officiating a contest. C. An inspector may permit a wrestler not examined under §A of this regulation, to engage in a contest if the wrestler has been examined by a licensed physician within 15 days of the scheduled contest. D. A wrestler shall submit, on a form provided by the Commission, the results of a physical examination performed within 21 days of the application for a license. E. The examining physician may disqualify a contestant or referee for: (1) Blood pressure elevation, systolic pressure or diastolic pressure outside of acceptable limits as determined by the examining physician; (2) An unhealed fracture or dislocation requiring splinting or casting; or (3) Any other medical condition that, in the physician's opinion, renders the contestant unfit to compete, or a referee to officiate a contest. F. The ringside physician may remain at the contest after completing the physical examinations. #### Regulation .05 Records. *COMAR 09.14.08.05* A. Licensees shall maintain true and accurate books of accounts showing receipts and distributions of funds in connection with a wrestling contest. B. The records required under §A of this regulation shall be made available upon request of the Commission's representative for inspection and audit. #### Regulation .06 Responsibility of Promoter. *COMAR 09.14.08.06* A. A promoter shall be responsible to the Commission for the conduct of its representatives and employees. B. The promoter shall be responsible for conducting wrestling contests in a safe, peaceable, and orderly fashion. C. Violation of the Commission's regulations by a representative or employee of the promoter may be grounds for disciplinary action against the promoter. #### Regulation .07 Insurance Coverage. *COMAR 09.14.08.07* A. Each contestant shall be insured through a group insurance policy provided by the Commission as follows: (1) Minimum medical expense coverage of $5,000; and (2) Minimum coverage for death, dismemberment, or loss of sight of $5,000. B. The terms and conditions of the coverage in §A of this regulation shall be governed by the insurance policy between the Commission and its insurance carrier. C. Nothing in this regulation shall preclude a promoter from providing coverage in excess of the coverage stated in §A of this regulation. D. If the promoter provides insurance coverage, a copy of the policy shall: (1) Be given to the Commission not later than the final physical; and (2) List the Commission as an additional insured. ### Chapter 09 — Control and Taxing of Tickets **Authority:** Business Regulation Article, §4-205, Annotated Code of Maryland **Administrative History:** Effective date: October 1, 1965 **Administrative History:** Subtitle revised effective August 26, 1985 (12:17 Md. R. 1705) **Administrative History:** Chapter revised effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .02D adopted effective June 10, 1991 (18:11 Md. R. 1187) **Administrative History:** Regulation .03A amended effective June 10, 1991 (18:11 Md. R. 1187) **Administrative History:** Regulation .05 amended as an emergency provision effective June 7, 1999 (26:13 Md. R. 1016); emergency status expired December 6, 1999; amended permanently effective January 24, 2000 (27:2 Md. R. 75) **Administrative History:** Regulation .05A amended effective July 6, 2009 (36:13 Md. R. 898) #### Regulation .01 Approval by Commission. *COMAR 09.14.09.01* A. Tickets may only be sold to contests approved by the Commission. B. Tickets may not be sold for a contest before the Commission has issued a sanction for the contest. #### Regulation .02 Printing of Tickets. *COMAR 09.14.09.02* A. Each ticket shall bear the following information: (1) The price; (2) The name of the club or promoter; and (3) The date and location of the contest. B. The number of tickets printed may not exceed the actual seating capacity of the arena where the event is being held. C. Tickets for different prices may be printed on a paper stock of different colors. D. Each ticket in each ticket category shall bear a serial or seat location number. #### Regulation .03 Ticket Manifest. *COMAR 09.14.09.03* A. The promoter shall immediately provide to the Commission a notarized manifest from the printer of the tickets. B. The manifest shall list the total number of tickets printed and number of tickets in each price category. #### Regulation .04 Reduced Price Tickets. *COMAR 09.14.09.04* Tickets sold for less than the printed price shall be plainly overstamped with the actual price charged on the printed face of the ticket, including the stub that is retained by the ticket holder. #### Regulation .05 Complimentary Tickets. *COMAR 09.14.09.05* A. The total number of complimentary tickets, excluding press tickets, shall be: (1) Not more than 100 for professional boxing, kickboxing, and mixed martial arts events in venues with under 3,000 total seats; (2) Not more than 300 for professional boxing, kickboxing, and mixed martial arts events in venues with 3,000 total seats or more; (3) Not more than 100 for professional wrestling events in venues with under 3,000 total seats; and (4) Unlimited for professional wrestling events in venues with 3,000 seats or more. B. Complimentary tickets shall be stamped “complimentary” or punched. #### Regulation .06 Press Passes. *COMAR 09.14.09.06* A. Members of the press assigned to report on a contest by their employers shall be issued a pass to attend a contest. B. Members of the press shall be issued credentials that clearly designate them as working press. #### Regulation .07 Commission Tickets. *COMAR 09.14.09.07* A. Two opposing rows of ringside seats designated as Commission rows shall be reserved for use by the Commission at each contest. B. The tickets in §A of this regulation shall be stamped with the word “Commission” or punched. #### Regulation .08 Commission Employee Passes. *COMAR 09.14.09.08* A. Employees of the Commission who are assigned to work at an event shall be issued identification badges. B. The Commission shall provide a list of employees who are assigned to work at a particular contest. C. Only those employees who are listed and present their identification at the pass gate shall be admitted without a ticket. #### Regulation .09 Refunds. *COMAR 09.14.09.09* A. The promoter shall issue a refund to a purchaser, upon request of the purchaser, if the advertised main event or specially added attraction does not take place at the time and date shown on the ticket. B. If any of the contestants featured in the main event or specially added attraction are not present in the arena or are determined to be unable to participate in the event at the time immediately preceding the first contest, the promoter shall promptly inform the Commission. C. The Commission's senior official shall instruct the announcer to announce the absence and inform the audience of its right to receive a refund as provided for in §D of this regulation. D. Refunds may not be granted more than 1 hour after the refund announcement is made. #### Regulation .10 Accounting for Tickets. *COMAR 09.14.09.10* A. Representatives of the promoters, ticket agent, and Commission shall meet after the ticket windows have closed to account for all tickets sold for the contest. B. The promoter and ticket agent shall then submit to the Commission representative a financial report on a form provided by the Commission indicating: (1) The amount of tax; and (2) Other charges due as specified by the Commission. C. The promoter shall submit a check in the amount due to the Commission within 72 hours after the contest. ### Chapter 10 — Prohibited Practices **Authority:** Business Regulation Article, §§4-205 and 4-315, Annotated Code of Maryland **Administrative History:** Effective date: October 1, 1965 **Administrative History:** Subtitle revised effective August 26, 1985 (12:17 Md. R. 1705) **Administrative History:** Regulation .07 adopted effective July 13, 1986 (13:14 Md. R. 1633) **Administrative History:** Chapter revised effective September 3, 1990 (17:17 Md. R. 2079) **Administrative History:** Regulation .06 recodified to Regulation .07 and new Regulation .06 adopted effective July 19, 1993 (20:14 Md. R. 1168) **Administrative History:** Regulation .06-1 adopted effective February 28, 1994 (21:4 Md. R. 275) **Administrative History:** Regulation .06-1 amended effective July 6, 2009 (36:13 Md. R. 898) #### Regulation .01 Interest in Club. *COMAR 09.14.10.01* A. Officers or stockholders of any club, corporation, or association, interested in the promoting of contests under these regulations may not officiate in any capacity at contests sponsored by the organization. B. An individual may not have an interest as stockholder or otherwise in more than one club. #### Regulation .02 Payment for Service. *COMAR 09.14.10.02* A contestant may not be paid for services until the contestant has complied with COMAR 09.14.13.03. #### Regulation .03 Unruly Conduct and Betting. *COMAR 09.14.10.03* A. Words or conduct that may incite individuals to disturb the peace shall be prohibited and shall be reported to the appropriate law enforcement agencies. B. Betting, gambling, or wagering in any form is prohibited and shall be reported to any law enforcement agency. C. The Commission shall consider the conduct under §§A and B of this regulation in determining whether to sanction future events for an applicant or licensee. #### Regulation .04 Unsanctioned Contests. *COMAR 09.14.10.04* A. A licensee may not compete in or be associated with any contest held in this State that has not been sanctioned by the Commission. B. Violation of §A of this regulation may result in disciplinary action against any licensees connected with the contest. #### Regulation .05 Misrepresentation. *COMAR 09.14.10.05* A. An applicant or licensee may not misrepresent information or otherwise mislead the Commission concerning the applicant's or licensee's medical or personal history which is required to be furnished to the Commission. B. An applicant or licensee who knowingly misleads the Commission will be subject to disciplinary action by the Commission. #### Regulation .06 Interference with a Commission Official. *COMAR 09.14.10.06* A licensee may not interfere with a Commission official in the performance of the official's duties. #### Regulation .06-1 Publishing, Announcing, or Advertising a Contestant's Record. *COMAR 09.14.10.06-1* A person may not publish or advertise a contestant's record other than the official record. #### Regulation .07 Disciplinary Action. *COMAR 09.14.10.07* An applicant or licensee shall be subject to disciplinary action by the Commission for negligently, willfully, or knowingly violating the provisions of this chapter. ### Chapter 11 — Hearing Regulations *Repealed* **Administrative History:** Effective date: October 1, 1965 **Administrative History:** Chapter revised effective August 26, 1985 (12:17 Md. R. 1705) **Administrative History:** Regulation .02B amended effective August 8, 1988 (15:16 Md. R. 1914) **Administrative History:** Chapter repealed effective July 6, 2009 (36:13 Md. R. 898) ### Chapter 12 — Amateur Boxing Regulations **Authority:** Business Regulation Article, § 4-205, Annotated Code of Maryland **Administrative History:** Effective date: July 13, 1986 (13:14 Md. R. 1633) #### Regulation .01 Applicability. *COMAR 09.14.12.01* A. These regulations apply to persons participating in an amateur boxing event in the following capacities: (1) Boxers; (2) Coaches; (3) Officials; (4) Physicians; (5) Seconds; (6) Referees; (7) Judges. B. Persons described in §A of this regulation shall also be subject to all other appropriate regulations of the Commission. C. These regulations do not apply to the following: (1) Intercollegiate boxing held or given on the campus of or under the auspices of any college or university within this State; (2) Interscholastic boxing held or given on the campus of any high school within this State. #### Regulation .02 Administration. *COMAR 09.14.12.02* A. Amateur boxing events of any kind, when athletes compete in amateur boxing, shall be approved by the local boxing committee of the United States of America Amateur Boxing Federation, Inc. B. Each local boxing committee which conducts amateur boxing within Maryland shall meet the following requirements: (1) Submit promoter and matchmaker license applications to the Commission annually; (2) Submit a bond in the amount of $2,000 to cover expenses incurred by the amateur boxing events to the Commission annually; (3) Submit a list of boxers, judges, referees, and other officials registered with the United States of America Amateur Boxing Federation, Inc. local boxing committee on a regular basis; (4) Advise the Commission as to when amateur boxing events are to take place. C. Organizers and participants of amateur boxing events sanctioned by the United States of America Amateur Boxing Federation, Inc. or its local boxing committee may not be required to pay any license fees. #### Regulation .03 Technical Rules. *COMAR 09.14.12.03* Amateur boxing shall be governed by the "1985-86 Official Rules — USA Amateur Boxing Federation", which is incorporated by reference. ### Chapter 13 — Prohibited Substances **Authority:** Business Regulation Article, §4-205, Annotated Code of Maryland **Administrative History:** Effective date: December 28, 1987 (14:26 Md. R. 2744) **Administrative History:** Regulation .01 amended effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .02 amended effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .03 amended effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .08 amended effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .09 amended effective June 10, 1991 (18:11 Md. R. 1187); July 6, 2009 (36:13 Md. R. 898) #### Regulation .01 Definition. *COMAR 09.14.13.01* A. In this chapter, the following term has the meaning indicated. B. Term Defined. “Prohibited substance” means any controlled dangerous substance listed in Criminal Law Article, §5-101, Annotated Code of Maryland. #### Regulation .02 Urine Test Required. *COMAR 09.14.13.02* A contestant who signs a contract to participate in a contest sanctioned by the State Athletic Commission shall submit to a urine test. #### Regulation .03 Urine Specimen Collection Procedures. *COMAR 09.14.13.03* A. The Commission shall designate an inspector and observer who shall be responsible for the collection of the urine sample from each contestant. B. The contestant shall report to the designated inspector at a time and location designated by the Commission. C. The contestant shall designate an individual to act as the contestant's witness to monitor the urine sampling procedure. D. The inspector shall log the time the contestant reports to the testing area and shall, upon request, explain to the contestant instructions of the contestant's rights and responsibilities under these regulations. E. The Commission shall provide a supply of sealed test kits. Each kit shall contain two clean specimen bottles. F. The contestant shall randomly select a test kit and provide at least 30 milliliters of urine in each bottle. G. The Commission inspector and observer, and the witness designated by the contestant, shall accompany the contestant continuously from the time a test kit is selected until the time the specimen bottles are filled and the required identification documents are completed. H. The specimen bottles shall be sealed with a tamper-resistant seal by the Commission inspector or observer in the presence of the contestant and the contestant's witness. I. The contestant, the contestant's witness, and the Commission's inspector and observer shall sign two affidavits. One affidavit shall be affixed to each bottle, which will certify that the urine sample was collected in accordance with Maryland law and these regulations and that there were no irregularities in the sampling process. J. Evidence Bag. (1) The inspector or observer shall place the bottles in an evidence bag and seal the evidence bag in a manner which resists tampering. (2) The placement of the bottles into the evidence bag shall be witnessed by the contestant and the contestant's witness. (3) The inspector, the observer, the contestant, and the contestant's witness shall certify, on a form provided by the Commission, the following: (a) That at no time during the sample collection process, did any one tamper with or alter the labels, the bottles, or the urine sample; (b) That certification labels, correctly identifying the urine sample as belonging to the contestant, were affixed to both bottles; (c) That the inspector immediately sealed the bottles with tamper resistant tape upon receipt from the contestant and then placed the bottles in the evidence bag; and (d) The date and time the sample bottles were placed in the evidence bag. K. Certification. (1) Any perceived irregularity shall be described and recorded on the affidavit form, before the signatures are placed on the affidavit form. (2) Irregularity in the specimen collection process shall be defined as tampering by any party with the sample kits, specimen bottles, labels, or urine specimen. (3) The contestant shall receive a copy of the affidavit. L. All sealed and certified bottles shall be secured in a State Athletic Commission transportation case which shall also include a manifest of all samples collected at the event and a sample of any liquids given to the contestant to stimulate the production of urine. M. Following the collection of the final sample, the inspector and the Commission appointed courier shall inventory all the urine samples and the inspector shall release the urine samples to the custody of the courier. N. The courier shall affix a tamper resistant seal bearing the following information: (1) Date and time the transportation case was sealed; (2) Signature of the inspector; and (3) Signature of the courier. #### Regulation .04 Testing of Samples. *COMAR 09.14.13.04* Testing of the urine samples specified above shall be conducted by the Laboratories Administration of the Maryland Department of Health. #### Regulation .05 Chain of Custody. *COMAR 09.14.13.05* A. The Commission courier shall deliver the transportation case to the Laboratories Administration of the Maryland Department of Health not later than the end of the next business day after the boxing contest. B. The Laboratories Administration shall designate an individual who will sign the manifest certifying that the transportation case has been received with the official seal intact. #### Regulation .06 Testing Procedures. *COMAR 09.14.13.06* A. The Laboratories Administration of the Maryland Department of Health shall perform the analyses on urine samples received from the Commission. B. The preliminary urinalysis screen shall be performed by enzyme immunoassay or thin layer chromatography to detect the presence of controlled dangerous substances. C. A urine sample which tests positive for the presence of controlled dangerous substances as defined in Regulation .01B(2) of this chapter shall be retested by a confirmatory test to confirm the presence of the controlled dangerous substance. D. The confirmatory test shall be made by gas chromatography/mass spectrometry. #### Regulation .07 Notification to the Commission of Urine Test Results. *COMAR 09.14.13.07* The results of the urinalysis shall be reported to the Commission not later than 21 days after receipt of the specimens for testing. #### Regulation .08 Notification of the Contestant. *COMAR 09.14.13.08* A contestant whose urine test was positive shall be advised in writing of the following: A. The test results; B. The contestant's license is under a medical suspension; and C. The date for a proposed hearing in accordance with COMAR 09.01.02. #### Regulation .09 Penalties. *COMAR 09.14.13.09* After a hearing, as provided in COMAR 09.01.02, the Commission shall impose the following penalties upon a contestant found to have a controlled dangerous substance in the contestant's urine sample: A. Suspension or revocation of license; B. Forfeiture of purse; C. If the contestant was the winner of a Commission sanctioned contest, the contestant shall be disqualified and the decision of the contest shall be changed to “No Contest”; D. If the contestant was the loser of the contest, the result shall remain unchanged. #### Regulation .10 Reinstatement of License. *COMAR 09.14.13.10* A licensee whose license was revoked under these regulations may apply for reinstatement after 1 year. ### Chapter 14 — Kickboxing Regulations **Authority:** Business Regulation Article, § 4-205, Annotated Code of Maryland **Administrative History:** Effective date: July 23, 1990 (17:14 Md. R. 1756) **Administrative History:** Regulation .03B amended effective February 17, 1992 (19:3 Md. R. 303) #### Regulation .01 Applicable Boxing Regulations. *COMAR 09.14.14.01* Unless otherwise indicated the regulations in COMAR Subtitle 14 pertaining to the sport of boxing shall apply to the sport of kickboxing. #### Regulation .02 Weight and Classes. *COMAR 09.14.14.02* A. The Commission recognizes the following weights and classes: (1) Atomweight — 112.9 pounds and under (51.3 kilograms and below); (2) Flyweight — 113 to 118 pounds (51.4—54.0 kilograms); (3) Bantamweight — 119 to 125.9 pounds (54.1—57.2 kilograms); (4) Featherweight — 126 to 132.9 pounds (57.3—60.4 kilograms); (5) Lightweight — 133 to 139.9 pounds (60.4—63.6 kilograms); (6) Light welterweight — 140 to 147.9 pounds (63.6—67.2 kilograms); (7) Welterweight — 148 to 155.9 pounds (67.3—70.8 kilograms); (8) Light middleweight — 156 to 163.9 pounds (70.9—74.5 kilograms); (9) Middleweight — 164 to 171.9 pounds (74.6—78.1 kilograms); (10) Light heavyweight — 172 to 179.9 pounds (78.2—81.4 kilograms); (11) Heavyweight — 180 to 194.9 pounds (81.5—88.3 kilograms); (12) Super Heavyweight — Over 195 pounds (over 88.3 kilograms). B. The following weight spreads are permissible for matchmaking within each weight division. Any situation in which fighters from two different weight divisions are matched shall be approved by the Commission and the weight spread used will be that of the weight division of the lighter weight. Any weight spread greater than those listed below requires the advance approval of the Commission: (1) Atom and featherweight — Not more than 4 pounds (1.8 kilograms); (2) Bantamweight — Not more than 5 pounds (2.27 kilograms); (3) Featherweight — Not more than 6 pounds (2.72 kilograms); (4) Lightweight — Not more than 7 pounds (3.17 kilograms); (5) Light welterweight — Not more than 8 pounds (3.62 kilograms); (6) Welterweight — Not more than 9 pounds (4.08 kilograms); (7) Light middleweight — Not more than 10 pounds (4.53 kilograms); (8) Heavyweight — Not more than 12 pounds (5.44 kilograms); (9) Superweight — Not more than 14 pounds (6.34 kilograms). #### Regulation .03 Rounds. *COMAR 09.14.14.03* A. Matches may not exceed nine 2-minute rounds with a 1-minute rest period between rounds. B. The Commission may permit an additional three rounds for the purpose of championship events. #### Regulation .04 Contestants' Safety Equipment. *COMAR 09.14.14.04* A. Male contestants shall wear: (1) A foul-proof groin protector; (2) Abdominal guard; (3) Footpads; and (4) Shin guards. B. Female contestants shall wear: (1) Foul-proof breast protectors; and (2) A pelvic protective girdle which covers the pubic area, ovaries, coccyx, and side of hips. C. Contestants shall meet the requirements of COMAR 09.14.04.07. #### Regulation .05 Methods of Judging. *COMAR 09.14.14.05* A. Judges shall score all contests and determine the winner through the use of the 10-point must system. B. The 10-point must system shall be applied as follows: (1) The winner of each round receives 10 points and the opponent a proportionally less number; (2) If a round is even, each boxer shall receive 10 points; and (3) Fractions of points may not be awarded. C. During each round the referee shall instruct the master scorekeeper of points assigned to any foul as it is committed. D. Following each round and at the termination of the contest, the referee shall collect the signed ballots of the judges and deliver them to the master scorekeeper, who shall tally each contestant's score and deduct any penalty points. E. The contestant receiving the decision from a majority of the judges shall be declared the winner of the contest. F. If neither boxer is granted the decision by a majority of the judges, the contest shall be declared a draw. #### Regulation .06 Minimum Kicking Requirement. *COMAR 09.14.14.06* A. Each contestant shall execute a minimum of eight kicks during the course of each round. B. If either contestant does not execute the minimum number of kicks, a penalty of one point per kick less than the eight-kick minimum shall be assessed. C. If both contestants fail to execute the minimum number of kicks, the round shall be declared a draw. D. A contestant who fails in a contest of nine or more rounds to execute the minimum number of kicks in three rounds shall be disqualified. E. A contestant who fails to execute five kicks per round shall be disqualified. #### Regulation .07 Fouls. *COMAR 09.14.14.07* A. The following tactics are fouls and are forbidden: (1) Headbutts, elbow strikes, clubbing, kicks, or punches or any other strikes to the groin, attack with the knees, openhand attacks to the eyes or throat, and striking at the part of the body over the kidney or spine, or chopping the back of the neck or head; (2) Spitting, biting, or, in the referee's discretion, slapping; (3) Palm heel strikes (using the heel of the palm of the hand to deliver a blow to the face); (4) Arm bars (grabbing one arm with the other and pressing the grabbed arm against the opponent's throat); (5) Grabbing or holding onto an opponent's leg or foot, and grabbing or holding onto any part of the body; (6) Punching or kicking a contestant when he is down, when any part of his body, other than his feet, touches the floor; however, the opponent may continue to attack until the contestant has touched the floor with any part of the body other than the feet; (7) Leg checking (extending the leg to check an opponent's leg or to prevent him from kicking); (8) Purposely going down without being hit; (9) The use of abusive language in the ring; (10) Any unsportsmanlike trick or action causing an injury to an opponent; (11) Attacking on the break; (12) Attacking after the bell or gong has sounded ending the round, or when the opponent is out of the ring; (13) Intentionally pushing, shoving, or wrestling an opponent out of the ring with any part of the body; (14) Kicking, striking, or kicksweeping below the belt, except blows to the side and back of thighs in a kung fu contest; (15) Failure to make eight kicks per round; (16) Any use of throws or any takedown not executed boot-to-boot; (17) Continuous dropping of mouthpiece; (18) Holding and hitting; (19) Intentional evasion of contact; (20) Hitting or flicking with an open glove. B. Use of the tactics listed in §A(1)—(20) of this regulation shall result in a warning and a loss of points as determined by the referee. C. A contestant guilty of foul tactics in a contest may be disqualified. #### Regulation .08 Termination of a Contest. *COMAR 09.14.14.08* A. A kickboxer suffering three knockdowns in any one round shall provide sufficient grounds to terminate a contest. B. A referee may terminate the contest if: (1) Either boxer fails to execute five kicks per round; (2) Either boxer fails to execute the minimum number of required kicks in three rounds; or (3) In the referee's opinion, the kickboxer is unable to continue the contest. C. The senior physician may terminate a contest if, in his opinion, the health of either kickboxer is in serious jeopardy. D. A kickboxer giving up a contest during a rest period between rounds shall be determined to lose the contest by technical knockout in the preceding round. E. A kickboxer failing to respond to the bell or gong signaling the beginning of a round shall be determined to lose the contest by a technical knockout in the round begun by the bell or gong. ### Chapter 15 — State Championships **Authority:** Business Regulation Article, §4-205, Annotated Code of Maryland **Administrative History:** Effective date: May 6, 1996 (23:9 Md. R. 669) **Administrative History:** Regulation .02 amended effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .02A amended effective March 9, 1998 (25:5 Md. R. 367) **Administrative History:** Regulation .03 amended effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .04B amended effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .05 amended effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .05E amended effective March 9, 1998 (25:5 Md. R. 367) **Administrative History:** Regulation .06 amended effective July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .07 amended effective March 9, 1998 (25:5 Md. R. 367); July 6, 2009 (36:13 Md. R. 898) **Administrative History:** Regulation .08 amended effective July 6, 2009 (36:13 Md. R. 898) #### Regulation .01 Designation. *COMAR 09.14.15.01* A. The Commission may designate a contest as one in which the winner is declared the State champion for the weight class in which the contest takes place. B. A contest may not be promoted as being for a State championship contest without the prior consent of the Commission. #### Regulation .02 Eligibility. *COMAR 09.14.15.02* A. To be eligible to participate in a State championship contest, a contestant shall: (1) Reside in Maryland for at least 1 year preceding the State championship contest; or (2) Participate in at least two contests in Maryland within a 24-month period preceding the State championship contest. B. In determining the eligibility of a contestant to participate in a State championship contest, the Commission shall consider the contestant's: (1) Official record; (2) Experience; and (3) Fitness to compete in a contest pursuant to COMAR 09.14.04. #### Regulation .03 Challenging for a State Championship. *COMAR 09.14.15.03* A. To challenge for a State championship, a contestant shall submit a written challenge to the Commission. B. Upon determining that a contestant is eligible as provided in Regulation .02 of this chapter, the Commission, within 10 days after its determination, shall notify the existing State champion in the pertinent weight class, if any, of the: (1) Filing of the challenge; and (2) Date by which a title defense shall be made. #### Regulation .04 Defense of a State Championship. *COMAR 09.14.15.04* A. If a proper challenge is made, a State champion shall defend the State championship within 6 months from the date of winning or retaining a State championship. B. The Commission may extend the time within which a State championship is to be defended if: (1) A determination by the Commission that a contestant is an eligible challenger is made within 30 days of the time within which the State championship is to be defended; or (2) The State champion is suffering from an injury or ailment, certified by the Commission's medical staff, that renders the State champion unfit to participate in a contest. #### Regulation .05 Loss of State Championship. *COMAR 09.14.15.05* The Commission may void a State championship held by a contestant for any of the following reasons: A. A loss in the ring in a State championship contest; B. A forfeit in a State championship contest; C. The inability to make weight for a State championship contest; D. The failure to defend a State championship as required by Regulation .04 of this chapter; E. The winning of a regional, continental, or world championship title; F. A violation of Business Regulation Article, Title 4, Annotated Code of Maryland, or any regulation of the Commission; and G. A violation of any federal or state law other than minor traffic violations. #### Regulation .06 Determination of Champion Status. *COMAR 09.14.15.06* A contestant is considered a State champion only by winning a State championship contest, and a contestant may not be considered a State champion by way of default. #### Regulation .07 Length and Time of Rounds. *COMAR 09.14.15.07* A contest to determine a State champion consists of: A. Ten 3-minute rounds in a boxing or kickboxing contest; and B. Five 5-minute rounds in a mixed martial arts contest. #### Regulation .08 Promotional Activities. *COMAR 09.14.15.08* A person may not promote or advertise a contestant as a State champion or challenger for a State championship in a false or misleading manner. #### Regulation .09 Championship Belt. *COMAR 09.14.15.09* A. The promoter of a State championship contest is responsible for the cost of a State championship belt. B. The design of a State championship belt is subject to the approval of the Commission. ### Chapter 16 — Mixed Martial Arts—Professional **Authority:** Business Regulation Article, §§4-205 and 4-301, Annotated Code of Maryland **Administrative History:** Effective date: July 6, 2009 (36:13 Md. R. 898) #### Regulation .01 Applicable Boxing Regulations. *COMAR 09.14.16.01* Unless otherwise indicated, the regulations in this subtitle pertaining to the sport of boxing shall apply to the sport of professional mixed martial arts. #### Regulation .02 Weights and Classes. *COMAR 09.14.16.02* A. The Commission recognizes the following weights and classes in professional mixed martial arts: (1) Flyweight—up to 125 pounds; (2) Bantamweight—over 125 pounds to 135 pounds; (3) Featherweight—over 135 pounds to 145 pounds; (4) Lightweight—over 145 pounds to 155 pounds; (5) Welterweight—over 155 pounds to 170 pounds; (6) Middleweight—over 170 pounds to 185 pounds; (7) Light heavyweight—over 185 pounds to 205 pounds; (8) Heavyweight—over 205 pounds to 265 pounds; and (9) Super heavyweight—all over 265 pounds. B. If a mixed martial arts contestant's weight is greater than the weight specified in the promoter-contestant contract, the contest may not take place without special permission of the Commission. #### Regulation .03 Mixed Martial Arts Contestant Equipment. *COMAR 09.14.16.03* A. General. Each mixed martial arts contestant shall use the equipment, and in the manner, specified in this regulation. B. Hand Wraps. For all weight classes, the hand wraps shall be: (1) Soft gauze cloth not more than 13 yards long and 2 inches wide, distributed evenly across the hand; (2) Held in place by not more than 10 feet of surgeon's tape, 1 inch wide, for each hand, which shall: (a) Be placed directly on each hand for protection near the wrist; and (b) Cross the back of the hand twice and extend to cover and protect the knuckles when the hand is clenched to make a fist; (3) Placed on a mixed martial arts contestant's hands in the dressing room in the presence of the chief second of the mixed martial arts contestant's opponent; and (4) Be inspected and approved by the Commission prior to the gloves being placed on the hands of the mixed martial arts contestant. C. Gloves. Gloves worn by each mixed martial arts contestant during a contest shall: (1) Be open-fingered; (2) Conform to specifications as determined by the Commission; (3) Weigh between 4 and 7.5 ounces; and (4) Be examined before the contest by a Commission representative and the referee. D. A mouth guard shall be approved by the Commission. E. Groin protection shall be approved by the Commission. #### Regulation .04 Proper Attire and Appearance. *COMAR 09.14.16.04* A. A mixed martial arts contestant, during a contest: (1) Shall wear shorts approved by the Commission; (2) May wear one or more neoprene sleeves without taping; (3) May not be taped on any part of the body other than in a hand-wrap as described in Regulation .03B of this chapter; and (4) May not wear shoes or any padding on the feet. B. A mixed martial arts contestant shall have properly trimmed fingernails and toenails. #### Regulation .05 Fighting Area. *COMAR 09.14.16.05* A. A mixed martial arts contest shall be held in a ring or in a fenced area. B. A ring used for a contest of mixed martial arts shall meet the following requirements: (1) The ring may not be smaller than 20 feet square and may not be larger than 32 feet square within the ropes; (2) The ring floor shall: (a) Extend at least 18 inches beyond the ropes; (b) Be padded with ensolite or another similar closed-cell foam, with at least a 1-inch layer of foam padding, which shall extend beyond the ring ropes and over the edge of the platform; (c) Have a top covering of canvas, duck, or similar material that: (i) Does not tend to gather in lumps or ridges; and (ii) Is tightly stretched and laced to the ring platform; and (d) Be free of any obstruction or object, including a triangular border; (3) The ring platform: (a) May not be more than 4 feet above the floor of the building; and (b) Shall have suitable steps for the use of the mixed martial arts contestants; (4) The ring posts: (a) Shall be made of metal; (b) May not be more than 3 inches in diameter, extending from the floor of the building to a minimum height of 58 inches above the ring floor; (c) Shall be at least 18 inches away from the ring ropes; and (d) Shall be properly padded in a manner approved by the Commission; and (5) The ring ropes: (a) Shall be five in number; (b) May not be less than 1 inch in diameter; (c) Shall be wrapped in soft material; and (d) Shall be at least 12 inches above the ring floor. C. A fenced area used for a contest of mixed martial arts shall meet the following requirements: (1) The fenced area shall be circular or have at least four equal sides; (2) The fenced area may not be smaller than 20 feet wide and may not be larger than 32 feet wide in diameter; (3) The floor of the fenced area shall: (a) Be padded with ensolite or another similar closed-cell foam, with at least a 1-inch layer of foam padding; and (b) Have a top covering of canvas, duck, or similar material that: (i) Does not tend to gather in lumps or ridges; and (ii) Is tightly stretched and laced to the platform of the fenced area; (4) The platform of the fenced area: (a) May not be more than 4 feet above the floor of the building; and (b) Shall have suitable steps for the use of the mixed martial arts contestants; (5) The fence posts of the fenced area shall be: (a) Made of metal, not more than 6 inches in diameter, extending from the floor of the building to between 5 and 7 feet above the floor of the fenced area; and (b) Properly padded in a manner approved by the Commission; (6) The fencing used to enclose the fenced area shall be made of a material that will prevent a mixed martial arts contestant from falling out of, or breaking through, the fenced area onto the floor of the building or onto the spectators; (7) Any metal portion of the fenced area shall be covered and padded in a manner approved by the Commission and may not be abrasive to the mixed martial arts contestants; (8) The fenced area shall have two entrances; and (9) There may not be any obstruction on any part of the fence surrounding the area where the mixed martial arts contestants are to be competing. #### Regulation .06 Video Screens. *COMAR 09.14.16.06* The promoter of a mixed martial arts contest shall hang at least two video screens that: A. Allow spectators and judges to view the action inside the ring or fenced area from an overhead perspective; and B. Meet the approval of the Commission. #### Regulation .07 Rounds. *COMAR 09.14.16.07* A. A nonchampionship contest of mixed martial arts may not exceed three rounds in duration. B. A championship contest of mixed martial arts shall be five rounds in duration. C. Unless otherwise approved by the Commission, each round in a mixed martial arts contest shall be 5 minutes in duration with a 1-minute rest period between each round. D. The total number of rounds and the total number of mixed martial arts contests a promoter is authorized to schedule shall be subject to the approval of the Commission. #### Regulation .08 Referee. *COMAR 09.14.16.08* The referee shall be: A. The sole arbiter of a mixed martial arts contest; and B. Other than the senior ringside physician, the only individual authorized to: (1) Enter the fighting area at any time during the competition; and (2) Stop a contest. #### Regulation .09 Method of Judging. *COMAR 09.14.16.09* A. All mixed martial arts contests shall be evaluated and scored by three judges. B. The 10-Point Must System shall be the standard system of scoring a mixed martial arts contest where: (1) The winner of each round receives 10 points and the opponent proportionately less; (2) If a round is even, each mixed martial arts contestant receives 10 points; and (3) Fractions of points may not be awarded. C. Judges shall evaluate mixed martial arts techniques, including: (1) Effective striking; (2) Effective grappling; (3) Control of the fighting area; (4) Effective aggressiveness; and (5) Defense. D. Except as provided in §K of this regulation, when scoring each round, the judges shall evaluate the mixed martial arts techniques set forth in §C of this regulation by assigning the most weight to the technique in the order it appears in §C of this regulation. E. Effective striking shall be judged by determining the total number of legal heavy strikes landed by a contestant. F. Effective grappling shall be judged by considering the number of successful executions of a legal takedown and a legal reversal including: (1) A takedown from the standing position to a mount position; (2) Passing the guard to a mount position; and (3) A bottom position mixed martial arts contestant using an active, threatening guard. G. Fighting area control shall be judged by determining which mixed martial arts contestant is dictating the pace, location, and position of the bout, including: (1) Countering an attempted takedown by remaining standing and legally striking; (2) Taking down an opponent to force a ground fight; (3) Creating a threatening submission attempt; (4) Passing the guard to achieve a mount; and (5) Creating striking opportunities. H. Effective aggressiveness means moving forward and landing a legal strike. I. Effective defense means avoiding being struck, taken down, or reversed while countering with offensive attacks. J. The following objective scoring criteria shall be utilized by the judges when scoring a round: (1) A round shall be scored as a 10-10 round when both mixed martial arts contestants appear to be fighting evenly and neither mixed martial arts contestant shows clear dominance in a round; (2) A round shall be scored as a 10-9 round when a mixed martial arts contestant wins by a close margin, landing the greater number of effective legal strikes, grappling, and other maneuvers; (3) A round shall be scored as a 10-8 round when a mixed martial arts contestant overwhelmingly dominates by striking or grappling in a round; and (4) A round shall be scored as a 10-7 round when a mixed martial arts contestant totally dominates by striking or grappling in a round. K. Judges shall use a sliding scale and recognize the length of time the mixed martial arts contestants are either standing or on the ground, as follows: (1) If the mixed martial arts contestant spent a majority of a round on the canvas, then: (a) Effective grappling is weighed first; and (b) Effective striking is then weighed; (2) If the mixed martial arts contestant spent a majority of a round standing, then: (a) Effective striking is weighed first; and (b) Effective grappling is then weighed; and (3) If a round ends with a relatively even amount of time spent standing and on the canvas, striking and grappling shall be weighed equally. #### Regulation .10 Fouls. *COMAR 09.14.16.10* A. A mixed martial arts contestant who flagrantly or repeatedly commits a foul may be: (1) Disqualified in a contest by the referee; and (2) Subject to disciplinary action by the Commission. B. The following acts are fouls and may result in penalties: (1) Butting with the head; (2) Eye gouging of any kind; (3) Biting or spitting at an opponent; (4) Hair pulling; (5) Fish hooking; (6) Groin attacks of any kind; (7) Intentionally placing a finger in any opponent's orifice, or into any cut or laceration of an opponent; (8) Downward pointing of elbow strikes; (9) Small joint manipulation; (10) Strikes to the spine or back of the head; (11) Strikes or kicks to the kidney; (12) Throat strikes of any kind, including the grabbing of the trachea; (13) Clawing, pinching, or twisting the flesh or grabbing the clavicle; (14) Kicking the head of a grounded mixed martial arts contestant; (15) Kneeing the head of a grounded mixed martial arts contestant; (16) Stomping of a grounded mixed martial arts contestant; (17) The use of abusive language in the fighting area; (18) Any unsportsmanlike conduct that causes an injury to an opponent; (19) Attacking an opponent on or during the break; (20) Attacking an opponent who is under the referee's care; (21) Timidity, including: (a) Avoiding contact; (b) Continual dropping of the contestant's mouthpiece; or (c) Faking an injury; (22) Interference from a mixed martial arts contestant's second, including throwing in the towel during competition; (23) Throwing an opponent out of the fighting area; (24) Flagrant disregard of the referee's instructions; and (25) Spiking an opponent to the canvas on the head or neck. C. Except as provided in §E of this regulation, if a foul is committed, the referee may: (1) Call time; (2) Check the fouled mixed martial arts contestant's condition and safety; and (3) Assess the foul to the offending contestant and deduct one or more points, based upon the severity and effect of the foul, by notifying, as soon as practical, but not later than the end of the round in which the foul occurred: (a) Both corners; (b) The judges; and (c) The Commission table. D. Subject to the discretion of the referee, a fouled mixed martial arts contestant may have up to 5 minutes to recuperate. E. If a bottom mixed martial arts contestant commits a foul, unless the top mixed martial arts contestant is injured, the contest shall continue, so as not to jeopardize the top mixed martial arts contestant's superior positioning at the time, and the referee shall: (1) Verbally notify the bottom mixed martial arts contestant of the foul; and (2) Assess the foul and notify both corners' seconds, the judges, and the official scorekeeper of the same when the round is over. F. If the referee does not call a foul and deduct one or more points, the judges may not make such an assessment on their own or factor such an assessment into their scoring calculations. G. A deduction of one or more points by the referee shall result in that number of points being deducted from the offending mixed martial arts contestant's score by the official scorekeeper. #### Regulation .11 Injuries Sustained During Competition. *COMAR 09.14.16.11* A. If an injury sustained during competition as a result of a legal maneuver is severe enough to terminate a contest, the injured mixed martial arts contestant shall lose by a technical knockout. B. If an injury sustained during competition as a result of an intentional foul is severe enough to terminate a contest, the mixed martial arts contestant causing the injury shall be disqualified. C. If an injury is sustained during competition as a result of an intentional foul and the contest is allowed to continue, the referee shall notify the scorekeeper to automatically deduct one or more points from the contestant who committed the foul. D. If an injury sustained during competition as a result of an intentional foul causes the injured mixed martial arts contestant to be unable to continue at a subsequent point in the contest: (1) The injured mixed martial arts contestant shall win by technical decision if the contestant is ahead on the scorecards at the time of the stoppage; and (2) The contest shall be declared a technical draw if the injured mixed martial arts contestant is even or behind on the score cards at the time of stoppage. E. If a mixed martial arts contestant injures himself or herself while attempting to foul his or her opponent: (1) The referee may not take any action in his or her favor; and (2) The injury shall be treated in the same manner as an injury produced by a fair blow. F. If an injury sustained during competition as a result of an accidental foul is severe enough for the referee to stop the contest immediately or in a subsequent round, the contest shall result in a no contest if: (1) In a three-round contest, the contest is stopped before two rounds have been completed; or (2) In a five-round contest, the contest is stopped before three rounds have been completed. G. If an injury sustained during competition as a result of an accidental foul is severe enough for the referee to stop the contest immediately or in a subsequent round, the contest shall result in a technical decision awarded to the mixed martial arts contestant who is ahead on the score cards at the time the contest is stopped if: (1) In a three-round contest, the contest is stopped after two rounds have been completed; or (2) In a five-round contest, the contest is stopped after three rounds have been completed. H. If an accidental foul occurs and the injured mixed martial arts contestant is able to continue, the referee shall notify both corners, the judges, and the Commission table of the accidental foul not later than the end of the round in which the accidental foul took place. I. An incomplete round may not be scored. #### Regulation .12 Results of a Contest. *COMAR 09.14.16.12* A mixed martial arts contest may end under any of the following results: A. Knockout, by the failure of a mixed martial arts contestant to rise from the canvas; B. Technical knockout, by the referee or ringside physician determining that a mixed martial arts contestant is unable to continue the contest; C. Submission by tap-out when a mixed martial arts contestant: (1) Physically uses his or her hand to indicate that he or she no longer wishes to continue; or (2) Verbally announces to the referee that he or she does not wish to continue; D. Decision via score cards, including: (1) Unanimous decision, when all three judges score the contest in favor of the same mixed martial arts contestant; (2) Split decision, when two judges score the contest in favor of one mixed martial arts contestant and one judge scores the contest in favor of the other mixed martial arts contestant; or (3) Majority decision, when two judges score the contest in favor of the same mixed martial arts contestant and one judge scores the contest as a draw; E. Draw, including: (1) Unanimous draw, when all three judges score the contest a draw; (2) Majority draw, when two judges score the contest a draw and one judge scores the contest in favor of one of the mixed martial arts contestants; or (3) Split draw, when one judge scores the contest in favor of one of the mixed martial arts contestants, another judge scores the contest in favor of the other mixed martial arts contestant, and the third judge scores the contest a draw; F. Technical draw, when an injury sustained during competition as a result of an intentional foul causes the injured mixed martial arts contestant to be unable to continue, and the injured mixed martial arts contestant is even or behind on the score cards at the time of stoppage; G. Technical decision, when the contest is prematurely stopped due to an accidental injury, and a mixed martial arts contestant is leading on the score cards; H. No contest, when a contest is prematurely stopped due to accidental injury, and a sufficient number of rounds have not been completed to render a decision via the score cards; or I. Disqualification, as provided in Regulation .10A of this chapter. ### Chapter 17 — Mixed Martial Arts — Amateur **Authority:** Business Regulation Article, §§4-205 and 4-302, Annotated Code of Maryland **Administrative History:** Effective date: July 6, 2009 (36:13 Md. R. 898) #### Regulation .01 General. *COMAR 09.14.17.01* A. Definition. (1) In this chapter, the following term has the meaning indicated. (2) Term Defined. “Organization” means an amateur kickboxing organization or an amateur mixed martial arts organization, as described in Business Regulation Article, §4-302(a)(3), Annotated Code of Maryland. B. All amateur mixed martial arts contests shall be conducted under the supervision of an organization. #### Regulation .02 Organization Supervising Amateur Mixed Martial Arts. *COMAR 09.14.17.02* An organization seeking to supervise an amateur mixed martial arts contest shall: A. Be approved by the Commission; B. Ensure that all contests are conducted in accordance with these regulations regarding amateur mixed martial arts; C. Have a Commission-approved training and certification program for officials; D. Provide the Commission with evidence demonstrating: (1) A minimum of $100,000 in liability insurance coverage for the officials; and (2) A minimum of $10,000 in medical insurance coverage for the amateur mixed martial arts contestants; E. Provide the Commission with any other information it may request, provided the Commission request is neither arbitrary nor capricious; F. Ensure the presence of two Commission-approved ringside physicians on-site and at ringside at all times during the amateur mixed martial arts contests being supervised by the organization; G. Ensure the presence of the following equipment and personnel on-site at all times during the amateur mixed martial arts contests being supervised by the organization: (1) A stretcher; (2) A portable resuscitator or Ambubag with oxygen equipment; (3) A hard cervical collar; (4) Endotracheal tubes with laryngoscope; (5) A portable defibrillator; (6) Advanced life support medications; and (7) An ambulance crew consisting of: (a) One emergency medical technician—paramedic (EMT-P); and (b) One emergency medical technician—basic (EMT-B); H. Ensure that the officials used by the organization in the supervision of the amateur mixed martial arts contests have been approved by the Commission; I. Ensure that none of the amateur mixed martial arts contestants receives any type of purse payment or other form of compensation other than Commission-approved travel expenses; J. Obtain from each amateur mixed martial arts contestant a signed affidavit in which the amateur mixed martial arts contestant attests that he or she: (1) Has been trained in mixed martial arts, including the number of years of the training; (2) Is sufficiently skilled, healthy, and prepared to compete in the scheduled amateur mixed martial arts contest; (3) Understands the dangers and risks attendant to participating in amateur mixed martial arts; (4) Waives any claim against the organization supervising the amateur mixed martial arts contest and the Commission related to any injury he or she sustains while participating in amateur mixed martial arts; (5) Is not under suspension in any jurisdiction or by any organization supervising amateur mixed martial arts contests; (6) Has never participated in a professional mixed martial arts contest; and (7) Last participated in an amateur mixed martial arts contest on a specified date, and the result of that amateur mixed martial arts contest; K. Obtain from the trainer of each amateur mixed martial arts contestant a signed affidavit in which the trainer attests to: (1) The name, address, and telephone number of the gym or school in which the trainer performs his or her duties; (2) The length of time the trainer has trained the amateur mixed martial arts contestant; and (3) The fact that the amateur mixed martial arts contestant: (a) Is sufficiently skilled, healthy, and prepared to compete in the scheduled amateur mixed martial arts contest; (b) Has never participated in a professional mixed martial arts contest; and (c) Is not under suspension in any jurisdiction or by any organization supervising professional or amateur mixed martial arts; L. Ensure that there are no exhibition bouts; M. Conduct a weigh-in, which shall be completed not later than 2 hours from the time the weigh-in begins; N. Ensure that each amateur mixed martial arts contestants has a: (1) Comprehensive physical examination conducted by a licensed physician, completed within 30 days of the amateur mixed martial arts contest, stating that the mixed martial arts contestant is healthy to compete in an amateur mixed martial arts contest; (2) Precontest physical examination conducted by a Commission-approved ringside physician; and (3) Post-contest physical examination immediately following the conclusion of the contest in which the amateur mixed martial arts contestant competes; O. Conduct a precontest rules meeting, which shall be attended by each amateur mixed martial arts contestant scheduled to participate in a contest, and disqualify any amateur mixed martial arts contestant who fails to attend; P. Inspect the fighting area before the amateur mixed martial arts contest begins; and Q. Supervise the hand wrapping and glove placement for each amateur mixed martial arts contestant. #### Regulation .03 Promoters. *COMAR 09.14.17.03* The promoter of an amateur mixed martial arts contest shall: A. Obtain sanctioning approval from an organization to supervise the contest, including the payment of any applicable fees; B. Notify the organization of the date, time, and location of the amateur mixed martial arts contest at least 60 days prior to the date the contest is scheduled to be held; C. Agree that the organization will be responsible for appointing the officials for the amateur mixed martial arts contests, and that the promoter will not be permitted to officiate the contests he or she promotes; D. Be responsible for paying the officials the following fees, subject to increase if more than 15 contests are scheduled: (1) One referee at a minimum of $100 per eight contests; (2) Three judges at a minimum of $100 each; (3) Two inspectors at a minimum of $75 each; (4) One timekeeper at a minimum of $75; (5) One scorekeeper at a minimum of $75; and (6) Two ringside physicians at a minimum of $200 each; and E. Within 48 hours prior to a scheduled amateur mixed martial contest, submit to the organization, in writing: (1) A list containing the following for each amateur mixed martial arts contestant scheduled to participate in the contest: (a) Name; (b) Address; (c) Telephone number; (d) Age; (e) Height and weight; (f) Trainer; (g) Trainer's telephone number; (h) Training gym or school; and (i) Amateur mixed martial arts record; (2) A certification that two Commission-approved ringside physicians will be on-site and at ringside at all times when competition is ongoing; (3) A certification that the requirements of Regulation .02G of this chapter will be met; (4) A certification that the contests will be conducted under the amateur mixed martial arts regulations of the Commission; (5) The required medical insurance and accidental death insurance policies, as described in Regulation .02D of this chapter; and (6) Any other information the organization may reasonably request. #### Regulation .04 Additional Duties and Responsibilities of a Promoter. *COMAR 09.14.17.04* A. A promoter shall provide the following equipment at an amateur mixed martial arts contest: (1) Gloves: (a) Approved by the organization; (b) Weighing from 4.0 to 7.5 ounces; and (c) In red and blue to denote the color for each corner; (2) Gauze and surgeon's tape for the contestant's wraps at each contest; (3) Shin and instep guards in various sizes, approved by the organization, in red and blue to denote the color for each corner; (4) Disposable gloves for each second, each referee, and each ringside physician; and (5) For each second, a form of identification indicating that person is allowed: (a) Access into the ring or fenced area; and (b) To be in a corner. B. Prior to handing out equipment, a promoter shall clean each piece, inside and out, with antibacterial disinfectant wipes. C. After each amateur mixed martial arts contestant returns his or her equipment, a promoter shall clean each piece, inside and out, with antibacterial disinfectant wipes before issuing the equipment to another amateur mixed martial arts contestant. D. After all equipment is returned at the end of all of the contests, a promoter shall clean each piece of equipment, inside and out, with antibacterial disinfectant wipes. E. A promoter shall make hand sanitizer available to all amateur mixed martial arts contestants, which shall be kept at the equipment table and used by each amateur mixed martial arts contestant: (1) Prior to putting on his or her wraps; and (2) After his or her contest, when the wraps are removed. #### Regulation .05 Physical Examination. *COMAR 09.14.17.05* A. Each amateur mixed martial arts contestant shall submit to the organization a comprehensive physical examination by a licensed physician, completed within 30 days of the amateur mixed martial arts contest, stating that the mixed martial arts contestant is healthy to compete in an amateur mixed martial arts contest. B. Each amateur mixed martial arts contestant shall be examined by a Commission-approved ringside physician and be approved to participate prior to participating in an amateur mixed martial arts contest. C. The failure of an amateur mixed martial arts contestant to be examined in accordance with §§A and B of this regulation shall result in the disqualification of the amateur mixed martial arts contestant. D. Each amateur mixed martial arts contestant shall be examined by a Commission-approved ringside physician immediately after the amateur mixed martial arts contestant participates in an amateur mixed martial arts contest. E. The failure of an amateur mixed martial arts contestant to be examined in accordance with §D of this regulation shall result in a minimum 90-day suspension of the amateur mixed martial arts contestant. #### Regulation .06 Weight and Classes. *COMAR 09.14.17.06* A. Men's Division. The Commission recognizes the following weights and classes in amateur mixed martial arts for male contestants: (1) Flyweight—up to 112 pounds; (2) Bantamweight—over 112 pounds to 118 pounds; (3) Super bantamweight—over 118 pounds to 122 pounds; (4) Featherweight—over 122 pounds to 126 pounds; (5) Super featherweight—over 126 pounds to 130 pounds; (6) Lightweight—over 130 pounds to 135 pounds; (7) Super lightweight—over 135 pounds to 140 pounds; (8) Welterweight—over 140 pounds to 147 pounds; (9) Super welterweight—over 147 pounds to 154 pounds; (10) Middleweight—over 154 pounds to 160 pounds; (11) Super middleweight—over 160 pounds to 167 pounds; (12) Light heavyweight—over 167 pounds to 175 pounds; (13) Super light heavyweight—over 175 pounds to 183 pounds; (14) Cruiserweight—over 183 pounds to 190 pounds; (15) Super cruiserweight—over 190 pounds to 195 pounds; (16) Heavyweight—over 195 pounds to 210 pounds; and (17) Super heavyweight—all over 210 pounds. B. Women's Division. The Commission recognizes the following weights and classes in amateur mixed martial arts for female contestants: (1) Flyweight—up to 105 pounds; (2) Bantamweight—over 105 pounds to 114 pounds; (3) Featherweight—over 114 pounds to 123 pounds; (4) Lightweight—over 123 pounds to 132 pounds; (5) Welterweight—over 132 pounds to 141 pounds; (6) Middleweight—over 141 pounds to 150 pounds; (7) Light heavyweight—over 150 pounds to 159 pounds; (8) Cruiserweight—over 159 pounds to 168 pounds; and (9) Heavyweight—all over 168 pounds. C. Weight differences between contestants may not exceed 7 pounds. #### Regulation .07 Weigh-In. *COMAR 09.14.17.07* A. A weigh-in shall be completed within 2 hours from the time of its commencement. B. If an amateur mixed martial arts contestant is not present at the weigh-in, the amateur mixed martial arts contestant may not be allowed to participate in the contest for which he or she was scheduled. C. At the weigh-in, if an amateur mixed martial arts contestant is over the allowable weight, a second weigh-in may be conducted not more than 1 hour after the initial weigh-in. D. An amateur mixed martial arts contestant may not be permitted to lose more than 2 pounds between the first and second weigh-in. E. If an amateur mixed martial arts contestant does not make weight or fails to attend the weigh-in, the contest in which the amateur mixed martial arts contestant was scheduled to participate shall be canceled. #### Regulation .08 Equipment, Attire, and Appearance. *COMAR 09.14.17.08* A. An amateur mixed martial arts contestant shall use: (1) Hand wraps as described in COMAR 09.14.16.03B; (2) Open finger gloves, which shall weigh not less than 4 ounces and not more than 7.5 ounces; (3) A mouth guard; (4) Shin pads; (5) Instep pads; and (6) For male contestants, groin protection. B. An amateur mixed martial arts contestant may not use: (1) Shoes or sneakers; (2) Shorts with a metal zipper; (3) A shirt, other than a female amateur mixed martial arts contestant, who shall wear a rashguard; or (4) Grease, oil, balm, lotion, or an excessive amount of petroleum jelly on the face or body. C. An amateur mixed martial arts contestant shall have properly trimmed fingernails and toenails. #### Regulation .09 Rounds. *COMAR 09.14.17.09* A. Unless the organization agrees to fewer rounds per contest or rounds of a lesser duration, each amateur mixed martial arts contest shall consist of three 3-minute rounds with a 1-minute rest period between each round. B. The organization shall prescribe the total number of rounds and the total number of amateur mixed martial arts contests a promoter is authorized to schedule. C. Not more than one corner person for each amateur MMA contestant may be in the fighting area between rounds. #### Regulation .10 Seconds. *COMAR 09.14.17.10* A. More than three seconds may not be in the corner of each amateur mixed martial arts contestant. B. All seconds shall wear disposable gloves. #### Regulation .11 Legal Techniques. *COMAR 09.14.17.11* A. The following techniques are permissible in amateur mixed martial arts while an amateur mixed martial arts contestant is in a standing position: (1) Closed hand strikes to head and body; (2) Kicking techniques to body; (3) Knees to body and legs; (4) Throws, takedowns, and sweeps; (5) Standing submissions; (6) Chokes; (7) Arm bars; and (8) Shouldering. B. The following techniques are permissible in amateur mixed martial arts while an amateur mixed martial arts contestant is on the ground: (1) Closed hand strikes to the body and legs; and (2) Submissions restricted to those accomplished by: (a) Chokes; (b) Arm bars; or (c) Straight leg locks. #### Regulation .12 Illegal Techniques. *COMAR 09.14.17.12* A. The following techniques are not permissible in amateur mixed martial arts while an amateur mixed martial arts contestant is in a standing position: (1) Striking an opponent with the elbows; (2) Striking with the knees to the head of an opponent; (3) Kicking the knees of an opponent; (4) Stomping the feet of an opponent; (5) Striking the groin of an opponent; (6) Striking the back of an opponent's head; (7) Striking the spine of an opponent; (8) Slamming an opponent to the ground; (9) Throwing an opponent onto his or her head or neck; (10) Throwing an opponent against a joint; (11) Throwing an opponent out of the competition area; (12) Cranking the neck of an opponent; (13) Pinching, biting, or gouging an opponent; (14) Holding onto the ropes of enclosure; and (15) Striking or kicking the kidney of an opponent. B. The following techniques are not permissible in amateur mixed martial arts while an amateur mixed martial arts contestant is on the ground: (1) Any striking of an opponent's head; (2) Any striking of an opponent with an elbow; (3) Cranking of an opponent's neck; (4) Hooking an opponent's heel; (5) Locking an opponent's finger or toe; (6) Choking an opponent by the placement of a hand on the opponent's throat; (7) Smothering an opponent by the placement of a hand over the opponent's mouth; (8) Locking an opponent's spine; (9) Placing an opponent in a hammer lock; (10) Fish hooking an opponent; (11) Striking an opponent in the groin; (12) Striking an opponent in the spine; (13) Slamming an opponent to the ground; (14) Throwing an opponent out of the competition area; (15) Pinching, biting, or gouging an opponent; (16) Twisting an opponent's leg, knee, or ankle; and (17) Striking or kicking the kidney of an opponent. #### Regulation .13 Injuries Sustained During Competition. *COMAR 09.14.17.13* A. If an injury sustained during competition as a result of a legal maneuver is severe enough to terminate a contest, the injured amateur mixed martial arts contestant shall lose by a technical knockout. B. If an injury sustained during competition as a result of an intentional foul is severe enough to terminate a contest, the amateur mixed martial arts contestant causing the injury shall be disqualified. C. If an injury is sustained during competition as a result of an intentional foul and the contest is allowed to continue, the referee shall notify the scorekeeper to automatically deduct one or more points from the contestant who committed the foul. D. If an injury sustained during competition as a result of an intentional foul causes the injured amateur mixed martial arts contestant to be unable to continue at a subsequent point in the contest: (1) The injured amateur mixed martial arts contestant shall win by technical decision if he or she is ahead on the scorecards at the time of the stoppage; and (2) The contest shall be declared a technical draw if the injured amateur mixed martial arts contestant is even or behind on the score cards at the time of stoppage. E. If an amateur mixed martial arts contestant injures himself or herself while attempting to foul his or her opponent: (1) The referee may not take any action in his or her favor; and (2) The injury shall be treated in the same manner as an injury produced by a fair blow. F. If an accidental foul occurs and the injured mixed martial arts contestant is able to continue, the referee shall notify both corners, the judges, and the organization of the accidental foul not later than the end of the round in which the accidental foul took place. G. If an injury sustained during competition as a result of an accidental foul is severe enough for the referee to stop the contest immediately or in a subsequent round, the contest shall result in a no contest if the accidental foul occurs before one round has been completed in a three-round contest. H. If an injury sustained during competition as a result of an accidental foul is severe enough for the referee to stop the contest immediately or in a subsequent round, the contest shall result in a technical decision awarded to the amateur mixed martial arts contestant who is ahead on the score cards at the time the contest is stopped if the contest is stopped after one round has been completed in a three-round contest. I. An incomplete round may not be scored. #### Regulation .14 Results of a Contest. *COMAR 09.14.17.14* A. An amateur mixed martial arts contest may end under any of the results described in COMAR 09.14.16.12. B. The organization shall report the results of each amateur mixed martial arts contest, and any suspension resulting from the contest, to the mixed martial arts record keeper, certified by the Association of Boxing Commissions, within a time frame prescribed by the Association of Boxing Commissions. ### Chapter 18 — Muay Thai Regulations — Professional **Authority:** Business Regulations Article, §§4-205, 4-301, and 4-303, Annotated Code of Maryland **Administrative History:** Effective date: September 29, 2025 (52:19 Md. R. 956) #### Regulation .01 Applicable Boxing Regulations. *COMAR 09.14.18.01* Unless otherwise indicated, the regulations in this subtitle pertaining to the sport of boxing shall apply to the sport of Professional Muay Thai. #### Regulation .02 Definitions. *COMAR 09.14.18.02* A. In this chapter, the following terms have the meanings indicated and, unless otherwise indicated, the regulations in this subtitle pertaining to the sport of boxing shall apply to the sport of Professional Muay Thai. B. Terms Defined. (1) “Commission” means the State Athletic Commission of Maryland. (2) “Contest” means any Muay Thai: (a) Competition; (b) Match; (c) Performance; or (d) Show. (3) “Contestant” means a Muay Thai fighter who participates against an opponent in a contest. (4) Manager. (a) “Manager” means a person who, under contract, agreement, or other arrangement, undertakes to control or administer, directly or indirectly, a Muay Thai contest-related matter on behalf of a contestant. (b) “Manager” includes, but is not limited to: (i) A booking agent; and (ii) An advisor. (5) “Muay Thai” means a competition in which contestants use interdisciplinary forms of fighting, including striking with the hands, feet, knees, or elbows. (6) “Official record” means the cumulative results of Muay Thai contests, sanctioned by a regulatory agency, in which a contestant has participated. (7) “Promoter” means an individual, partnership, corporation, club, association or other organization that gives, holds, or otherwise conducts a Muay Thai contest within the State. (8) “Regulatory agency” means a commission, board, or other entity of a state, commonwealth, territory, or country, created by law or executive order, which regulates Muay Thai contests. (9) “Second” means an individual who assists a Muay Thai contestant during a contest. #### Regulation .03 Weights and Classes. *COMAR 09.14.18.03* A. The Commission recognizes the following weights and classes in Professional Muay Thai: (1) Mini-Flyweight up to and including 105 pounds (2) Light-Flyweight over 105 to 108 pounds; (3) Flyweight over 108 to 112 pounds; (4) Super-Flyweight over 112 to 115 pounds; (5) Bantamweight over 115 to 118 pounds; (6) Super-Bantamweight over 118 to 122 pounds; (7) Featherweight over 122 to 126 pounds; (8) Super-Featherweight over 126 to 130 pounds; (9) Lightweight over 130 to 135 pounds; (10) Super Lightweight over 135 to 140 pounds ; (11) Welterweight over 140 to 147 pounds; (12) Super-Welterweight over 147 to 154 pounds; (13) Middleweight over 154 to 160 pounds; (14) Super Middleweight over 160 to 168 pounds; (15) Light Heavyweight over 168 to 175 pounds; (16) Cruiserweight over 175 to 200 pounds; (17) Heavyweight over 200 to 225 pounds; and (18) Super Heavyweight over 225 pounds B. If a Muay Thai contestant’s weight is greater than the specified weight in the promoter-contestant contract, the contest may not take place without special permission of the Commission. #### Regulation .04 Muay Thai Contestants Equipment. *COMAR 09.14.18.04* A. General. Each Muay Thai contestant shall use the equipment, and in the manner, specified in this regulation. B. Bandage. For all weight classes, bandages shall be: (1) A maximum of one roll (no more than 2 inches wide and 20 yards in length) of white, soft, cloth gauze is permitted per hand; (2) A maximum of one roll (no more than 2 inches wide and 10 feet in length) of white athletic tape is permitted per hand, which shall: (a) Be placed directly on each hand for protection near the wrist; (b) Cross the back of the hand twice but may not extend within three-fourths of an inch of the knuckles when the hand is clenched to make a fist; (c) Placed between the fingers; and (d) Not be allowed to cover the knuckles. (3) Placed on a Muay Thai contestant’s hands in the dressing room in the presence of the chief second of the Muay Thai contestant’s opponent; and (4) Be inspected and approved by the Commission prior to the gloves being placed on the hands of the Muay Thai contestant. C. Gloves. Gloves worn by each Muay Thai contestant during the contest shall: (1) Be open-fingered; (2) Conform to specifications as determined by the Commission; (3) Weigh 8 ounces from weight classes Mini-Flyweight to Super-Welterweight; and (4) Weigh 10 ounces from weight classes Middleweight to Super-Heavyweight. D. A mouth guard shall be approved by the Commission. E. Groin protection shall be approved by the Commission. #### Regulation .05 Proper Attire and Appearance. *COMAR 09.14.18.05* A. Rules for Shorts/trunks Worn in Competition. (1) Fighters shall wear shorts approved by the Commission; (2) Rules for male and female fighters are the same. (3) The hem of trunks shall not extend below the mid-thigh; (4) Long pants or leggings are prohibited. (5) Compression shorts may be worn under the approved fight trunks, but they may not extend down the leg below the bottom of the trunks. B. Male fighters shall not wear any form of clothing on their upper body. C. Clothing Rules for Female Fighters. (1) Female fighters shall wear short sleeved (above the elbow) or sleeveless form fitting rash guard and or sports bra. (2) No loose-fitting tops shall be allowed. (3) The use of breast protectors is optional for female fighters as determined by the Commission. (4) Female fighters shall follow the same requirements for bottom coverings as male fighters, minus the requirement for groin protection. D. No clothing worn in the ring shall have exposed Velcro, clasps, pockets, zippers, or other items that may be harmful to the fighter or their opponent. E. Fighters shall not wear shoes in the cage or ring. F. When deemed necessary by the referee, or Commission, all fighters shall have their hair secured in a manner that does not interfere with the vision and safety of either fighter. G. No object can be worn to secure the fighter’s hair which may cause injury to their opponent. H. The wearing of jewelry will be strictly prohibited during all contests. I. Fighters may wear an inscribed cloth, an amulet, or an inscribed charm around the upper arm or strung around the waist, but neatly wrapped and covered with cloth. J. Wrapping the ankles or legs with pieces of cloth is prohibited. K. If during the contest, the Pra Jiad (arm band) loosens or moves in a way that may be harmful, or a distraction, it may be removed at the discretion of the referee. L. Cosmetics (1) Body cosmetics are any product applied to the body for cleansing, beautifying, or altering appearance and shall be prohibited during all contests. (2) Facial cosmetics are products used improve the appearance of the face, and. the use of such products shall be at the discretion of the Commission and/or referee. M. Protective Garments. (1) Other than the fighter’s hands, as previously listed, there will be no taping, covering, or protective gear of any kind on the upper body, which includes but is not limited to: (a) Joint sleeves; (b) Padding; and (c) Any form of brace or body gauze/tape. (2) Ankle joint sleeves: (a) A fighter may use one soft neoprene type sleeves to cover each ankle joint; and (b) Approved sleeves may not have padding, Velcro, plastic, metal, ties, or any other material considered to be unsafe or that may create an unfair advantage. N. Tape and gauze, or any materials other than the approved sleeves, are not permitted on the lower body. O. The allowable length and color of sleeves shall be determined by the Commission. P. A Muay Thai contestant shall have properly trimmed fingernails and toenails. #### Regulation .06 Fighting Area. *COMAR 09.14.18.06* A. A Muay Thai contest shall be held in a ring or in a fenced area. B. A ring used for a Muay Thai contest shall meet the following requirements. (1) The ring may not be smaller than 20 feet square and may not be larger than 32 feet square within the ropes. (2) The ring floor shall: (a) Extend at least 18 inches beyond the ropes; (b) Be padded with Ensolite or another similar closed-cell foam, with at least a 1-inch layer of foam padding, which shall extend beyond the ring ropes and over the edge of the platform; (c) Have a top covering of canvas, duck, or similar material that: (i) Does not tend to gather in lumps or ridges; and (ii) Is tightly stretched and laced to the ring platform; and (d) Be free of any obstruction or object, including a triangular border; (3) The ring platform: (a) May not be more than 4 feet above the floor of the building; and (b) Shall have suitable steps for the use of the Muay Thai contestant; (4) The ring posts: (a) Shall be made of metal; (b) May not be more than 3 inches in diameter, extending from the floor of the building to a minimum height of 58 inches above the ring floor; (c) Shall be at least 18 inches away from the ring ropes; and (d) Shall be properly padded in a manner approved by the Commission. (5) The ring ropes: (a) Shall be five in number; (b) May not be less than 1 inch in diameter; (c) Shall be wrapped in soft material; and (d) Shall be at least 12 inches above the ring floor. C. A fenced area used for a contest of mixed martial arts shall meet the following requirements: (1) The fenced area shall be circular or have at least four equal sides. (2) The fenced area may not be smaller than 20 feet wide and may not be larger than 32 feet wide in diameter. (3) The floor of the fenced area shall: (a) Be padded with Ensolite or another similar closed-cell foam, with at least a 1-inch layer of foam padding; and (b) Have a top covering of canvas, duck, or similar material that: (i) . Does not tend to gather in lumps or ridges; and (4) The platform of the fenced area: (a) May not be more than 4 feet above the floor of the building; and (b) Shall have suitable steps for the use of the Muay Thai contestants. (5) The fence posts of the fenced area shall be: (a) Made of metal, not more than 6 inches in diameter, extending from the floor of the building to between 5 and 7 feet above the floor of the fenced area; and (b) Properly padded in a manner approved by the Commission. (6) The fencing used to enclose the fenced area shall be made of a material that will prevent a Muay Thai contestant from falling out of, or breaking through, the fenced area onto the floor of the building or onto the spectators. (7) Any metal portion of the fenced area shall be covered and padded in a manner approved by the Commission and may not be abrasive to the Muay Thai contestant. (8) The fenced area shall have two entrances. (9) There may not be any obstruction on any part of the fence surrounding the area where Muay Thai Contestant are to be competing. #### Regulation .07 Rounds. *COMAR 09.14.18.07* A. Each round shall be 3 minutes in duration, with a 1 minute rest period between rounds. B. Bouts shall ordinarily be scheduled for either three or five rounds. C. When a tournament and/or another format is approved, the total number of rounds allowed to be contested in a day shall be determined by the Commission. D. At the discretion of the Commission, bouts will begin after the completion of any pre-fight rituals, in accordance with Thai traditions. #### Regulation .08 Referee. *COMAR 09.14.18.08* A. The referee is the sole arbiter of a bout. B. The referee and/or the ringside physician are the only individuals authorized to stop the contest, as determined by the Commission. C. The referee shall confirm with the fighter that the mouthpiece is inserted and shall confirm with male fighters that a groin protector is inserted before the start of the contest. #### Regulation .09 Knockdown. *COMAR 09.14.18.09* A. In the event of a knockdown the referee shall send the standing fighter to a neutral corner and administer a mandatory eight count to the downed fighter. B. When a fighter is knocked through the ropes and off the platform of the ring and onto a table or the floor by a legal blow or blows, the fighter will receive a mandatory 18 count and must be standing before the count of 20. C. There is no standing eight count. D. A fighter who has been knocked down cannot be saved by the bell in any round, including the final round. #### Regulation .10 Method of Judging. *COMAR 09.14.18.10* A. Judges shall consider damage, domination, and duration when evaluating the relative merits of each fighter’s performance in each round. Towards that end they shall use the following prioritized criteria to establish their score. (1) A fighter who has an advantage in the number or quality of knockdowns in a round shall never lose that round. (2) If there is no advantage in knockdowns, the fighter with a clear advantage in cumulative damage shall win the round. (3) If there is not a clear advantage in cumulative damage, the fighter with the greater number and/or variety of clean scoring Muay Thai techniques shall win the round. B. If the criteria in §A of this regulation fails to distinguish either fighter, the round may be awarded to the fighter who was more successful in applying either aggressiveness, control or effective defense in their efforts to win the round. C. All bouts will be evaluated and scored by a minimum of three judges. D. The 10 Point Must System will be the standard system for scoring a bout. (1) Under the 10 Point Must Scoring System, ten points must be awarded to the winner of the round. (2) The fighter who has lost the round may be awarded nine or less points depending on the margin of advantage. (3) In the very rare case that neither fighter has shown even a marginal advantage, a 10-10 round may be awarded. (4) Partial or incomplete rounds shall be scored. If no significant action has occurred, the round shall be scored as 10-10. This is at the discretion of the judges. (5) Any time the referee penalizes either fighter, then the appropriate points shall be deducted when the scorekeeper calculates the final score including partial rounds. E. The following objective scoring criteria shall be utilized by the judges when scoring a round: (1) An extremely rare 10-10 round is not a score to be used as an excuse by a judge that cannot assess the differences in the action of a round. It should only be used to score an incomplete round where nothing occurred in the round. (2) A round is to be scored as a 10-9 round when there is a slight or clear advantage in overall action favoring one fighter, but not an overwhelming advantage. (3) A round is to be scored as a 10-8 round when there is an overwhelming advantage without a knockdown, or a fighter won the round and scored a knockdown. (4) A round is to be scored as a 10-7 round when a fighter won the round and scored two knockdowns. (5) A round is to be scored as a 10-6 round when a fighter won the round and scored three knockdowns. #### Regulation .11 Permissible Strikes. *COMAR 09.14.18.11* The following strikes are permitted during a contest: A. Punches; B. Kicks; C. Knees; and D. Elbows. #### Regulation .12 Fouls. *COMAR 09.14.18.12* A. The following acts are prohibited: (1) Head butts; (2) Groin strikes; (3) Thumbing or eye gouging; (4) Biting; (5) Spiting at the opponent; (6) Hair pulling; (7) Attacks to the throat; (8) Striking your opponent while grounded; (9) Strikes directed to the back of the head or the spine; (10) Tripping or sweeping an opponent; (11) Hip, shoulder, or leg throws; (12) Grasping the opponent’s lower back while also forcing an opponent's spine to hyperextend; (13) Intentionally falling on a downed opponent, pressing elbow or knee upon the opponent; (14) Wrestling, back or arm locks or any similar judo or wrestling hold; (15) Attempting to pile-drive an opponent's head into the canvas; (16) Catching an opponent's kick and pushing an opponent for more than one step in any direction without attempting to deliver an attacking technique; (17) If a fighter’s leg is caught while kicking, the opponent may not intentionally ground themselves; (18) Striking a downed fighter or fighter entangled in the ropes; (19) Failure to obey the referee’s commands; (20) Striking on a break; (21) Striking after a bell; (22) Holding the ropes/cage or using the ropes/cage while striking or clinching; (23) Holding the opponent’s shorts; (24) Timidity or causing intentional delays in the action; (25) Unsportsmanlike behavior including use of abusive language and/or gestures; and (26) Attacking an opponent who is under the care of the referee. B. Time Considerations for Fouls. (1) Low Blow. (a) A fighter who has been struck with a low blow as called by the referee, is allowed up to 5 minutes to recover from the foul, as long as, in the ringside physician’s opinion, the fighter may possibly continue on in the contest. (b) If the fighter states that they can continue before the 5 minutes of time have expired, the referee shall restart the fight as soon as practical. (c) If the fighter goes over the 5 minutes time allotment, the fight cannot be restarted and the contest must come to an end with the outcome determined by how the low blow occurred the round, and time in which the fight was stopped. (2) Eye Poke. (a) A fighter, who has received an eye poke as called by the referee, is allowed up to 5 minutes to recover from the foul as long as the ringside physician confirms the fighter may possibly continue in the contest once recovered. (b) If the fighter states that they can see and wishes to continue before the 5 minutes of time have expired, and confirmed by the ringside physician, the referee shall restart the fight as soon as practical. (c) If the fighter goes over the 5 minutes time allotment, the fight cannot be restarted and the contest must come to an end with the outcome determined by how the eye poke occurred, the round, and time in which the fight was stopped. C. Intentional Fouls. (1) If an intentional foul causes an injury, and the injury is severe enough to terminate the bout immediately, the fighter causing the injury shall lose by disqualification. (2) If an intentional foul causes an injury and the bout is allowed to continue, the referee shall notify the authorities and deduct two points from the fighter who caused the foul. Point deductions for intentional fouls will be mandatory. (3) If an injury caused by an intentional foul results in the contest being stopped in any round after half of the scheduled rounds have been completed, by either another legal or illegal strike, the judges will score the incomplete round and: (a) If the injured fighter is ahead on the scorecards, he shall be declared the winner by a Technical Decision; or (b) If the injured fighter is behind or even on the scorecards, the contest shall be declared a Technical Draw. (4) If a fighter injures themselves while attempting to intentionally foul their opponent, but is able to continue fighting, the referee shall take no action and treat the injury as if produced by a fair blow. If the referee determined the fighter who injured themselves is unable to continue, that fighter will lose by Technical Knockout/Knockout. D. Accidental Fouls. (1) If an accidental foul causes an injury severe enough for the referee to terminate the bout immediately, the bout will result in either a No Contest or Disqualification if stopped before: (a) A completed 2 rounds of a scheduled 3 round bout; or (b) A completed 3 rounds of a scheduled 5 round bout. (2) If an accidental foul causes an injury severe enough for the referee to terminate the bout, the bout will result in a Technical Decision awarded to the fighter who is ahead on the score cards at the time the bout is stopped immediately, after: (a) A completed 2 rounds of a scheduled 3 round bout; or (b) A completed 3 rounds of a scheduled 5 round bout. (3) If a fighter, during the course of a round, visibly loses control of bodily function (vomit, urine, feces), the fight shall be stopped by the referee and the fighter shall lose the contest by a Technical Knockout (TKO) due to Medical Stoppage. (a) In the event a loss of bodily function occurs in the rest period between rounds, the ringside physician shall be called in to evaluate if the fighter can continue. If the fighter is not cleared by the ringside physician to continue, that fighter shall lose by a Technical Knockout (TKO) due to Medical Stoppage (b) If fecal matter becomes apparent at any time, the contest shall be halted by the referee, and the offending fighter shall lose by a Technical Knockout (TKO) due to Medical Stoppage. #### Regulation .13 Result of the Contest. *COMAR 09.14.18.13* A. The winner of the match may be decided in the following ways: (1) Points Decision. (a) Unanimous Decision—when all three judges score the bout for the same fighter; (b) Split Decision—when two judges score the bout for one fighter and one judge scores the bout for the opponent; (c) Majority Decision—when two judges score the bout for one fighter and one judge scores the bout a draw; (d) Technical Decision—when a bout is prematurely stopped due to injury from an accidental foul and a fighter is leading on the score cards. (2) Draws occur when: (a) Unanimous Draw—when all three judges score the bout a draw; (b) Majority Draw—when two judges score the bout a draw; (c) Split Draw—when one judge scores the bout for one fighter, one judge scores the bout for the opponent, and one judge scores the bout a draw; (d) Technical Draw—when an injury is sustained during competition as a result of an intentional foul and the bout is allowed to continue, then later the injury requires stoppage from either a legal or illegal strike to the affected area; and (e) Draw—when both fighters go down at the same time, and neither can resume the fight within the referee’s ten count. (3) Knockouts occur when a fighter is incapable of resuming the fight within the referee’s ten-count due to legal strikes or the referee stops the contest because a fighter cannot effectively defend themselves. (4) Technical Knockouts occur when: (a) Referee Stoppage occurs when a referee terminates a contest if: (i) The referee determines a fighter shows no will to or is incapable of resuming the fight due to a legal technique; (ii) The referee determines the fighter is not effectively defending themselves; (iii) The fighter does not leave their corner to take part in the fight following the sounding of the bell; or (iv) The referee is of the opinion that one fighter is outmatched by the opponent and continuing the match would jeopardize the fighter’s health and safety; (v) A fighter or their corner indicates to the referee or regulatory representative they no longer wish to continue the contest. (b) Medical Stoppage occurs when a ringside physician terminates a contest if: (i) The bout is terminated for medical reasons due to injury resulting from a legal technique. (ii) The bout is terminated on the advice of the ringside physician. (iii) There is a loss of control of bodily function. (5) Disqualification occurs when an injury sustained during the bout as a result of an intentional foul is severe enough to terminate the bout, multiple fouls have been assessed, interference from a fighter’s corner, and/or there is a flagrant disregard for the rules and/or referee’s commands. B. No Decision/No Contest occurs when: (1) When a bout is prematurely stopped due to an accidental injury and a sufficient number of rounds have not been completed to render a decision via the scorecards. (2) If the referee decides both fighters must be disqualified. ## Subtitle 15 — State Board of Heating, Ventilation, Air-Conditioning, and Refrigeration Contractors ### Chapter 01 — Fees **Authority:** Business Regulation Article§§2-106.2, 2-106.9, 2-106.10, 9A-205, 9A-207, and 9A-304(f), Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulation .01 adopted as an emergency provision effective December 8, 1993 (20:66 Md. R. 2023); emergency status expired June 8, 1994 **Administrative History:** Regulation .01 adopted effective November 7, 1994 (21:22 Md. R. 1875) **Administrative History:** Regulation .01 amended as an emergency provision effective July 25, 1997 (24:17 Md. R. 1208); amended permanently effective January 12, 1998 (25:1 Md. R. 15) **Administrative History:** Regulation .01A amended as an emergency provision effective December 16, 2005 (33:1 Md. R. 33); emergency status expired May 25, 2006 **Administrative History:** Regulation .01A amended effective July 3, 2006 (33:13 Md. R. 1063); May 22, 2017 (44:10 Md. R. 471) **Administrative History:** Regulation .01B amended as an emergency provision effective July 1, 1997 (24:15 Md. R. 1059); emergency status extended at 24:26 Md. R. 1751; emergency status expired July 1, 1998 **Administrative History:** Regulation .01B amended effective May 22, 2017 (44:10 Md. R. 471) **Administrative History:** Regulation .01C, D amended effective October 14, 2013 (40:20 Md. R. 1651) **Administrative History:** Regulation .01D adopted as an emergency provision effective September 14, 1995 (22:20 Md. R. 1539); emergency status expired March 10, 1996 **Administrative History:** Regulation .01D adopted effective March 25, 1996 (23:6 Md. R. 475) **Administrative History:** Regulation .01 repealed and new Regulations .01—.03 adopted effective August 27, 2018 (45:17 Md. R. 802) **Administrative History:** Regulation .03 amended effective March 18, 2024 (51:5 Md. R. 229) #### Regulation .01 Purpose. *COMAR 09.15.01.01* This chapter is intended to carry out the provisions of Business Regulation Article, §§2-106.9 and 2-106.10 and Title 9A, Annotated Code of Maryland. In particular, it is intended to set various fees in order to cover the actual documented direct and indirect costs of fulfilling the statutory and regulatory duties of the State Board of Master Electricians, the State Board of Stationary Engineers, the State Board of Plumbing, and the State Board of Heating, Ventilation, Air-Conditioning, and Refrigeration Contractors. #### Regulation .02 Definitions. *COMAR 09.15.01.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Board” means the State Board of Heating, Ventilation, Air-Conditioning and Refrigeration Contractors. (2) “License fee” means the fee paid by an applicant or licensee, as applicable, in connection with the issuance and renewal of a license and the issuance of a limited license and a reciprocal license. (3) “Mechanical boards” means collectively the: (a) State Board of Master Electricians; (b) State Board of Stationary Engineers; (c) State Board of Plumbing; and (d) State Board of Heating, Ventilation, Air-Conditioning, and Refrigeration Contractors. (4) “Secretary” means the Secretary of Labor. #### Regulation .03 Fees and Costs. *COMAR 09.15.01.03* A. The Secretary and the mechanical boards have agreed to average their direct and indirect costs, based on the calculation of costs performed by the Secretary in consultation with the mechanical boards. Based on these calculations, the Board sets the following nonrefundable fees as of January 1, 2024: (1) Original and renewal license: (a) Master — $84; (b) Master Restricted — $28 for each area licensed; (c) Limited — $84; (d) Journeyman — $22.50; (e) Journeyman Restricted —$22.50 for each area licensed; (f) Apprentice — $11; (g) Inspector — $50; and (h) Letter of Good Standing — $25. (2) Inactive license — $28. B. The Secretary and the mechanical boards have agreed to average their direct and indirect costs, based on the calculation of costs performed by the Secretary in consultation with the mechanical boards. Based on these calculations, the Board sets the following nonrefundable fees as of January 1, 2025: (1) Original and renewal license: (a) Master — $94.50; (b) Master Restricted — $31.50 for each area licensed; (c) Limited — $94.50; (d) Journeyman — $25; (e) Journeyman Restricted — $25 for each area licensed; (f) Apprentice — $12; (g) Inspector — $56; and (h) Letter of Good Standing — $25. (2) Inactive license — $31.50. C. An applicant for an appropriate licensing examination shall pay the examination fee directly to the testing service chosen by the Board to develop or administer the examination, as such fees are established by the testing service selected by the Board. D. An applicant who fails an examination: (1) May reapply to take the examination 30 days after the date the applicant last took the examination; and (2) Shall pay the fee for the examination in the manner described in §A of this regulation. E. Inactive Status. (1) An active license holder of a master, master restricted, or limited license, at time of renewal may renew a license holder’s license to an inactive status upon payment of the applicable fee, set forth in §A of this regulation. In order to maintain the inactive status the license holder is required to complete a renewal application and remit the applicable inactive license fee each renewal period. (2) To reactivate an inactive license at a time other than normal renewal, the inactive license holder shall be required to pay the full license fee, shown in §A of this regulation, for the category that the license holder held before becoming inactive. ### Chapter 02 — General Regulations **Authority:** Business Regulation Article, §§9A-205(a)(1), and 9A-302(e) and (f), 9A-310(a)(1)(xii), and 9A-401(c), Annotated Code of Maryland **Administrative History:** Effective date: June 19, 1995 (22:12 Md. R. 900) **Administrative History:** Regulation .01B amended as an emergency provision effective September 19, 1997 (24:21 Md. R. 1443); emergency status expired March 19, 1998; amended permanently effective May 18, 1998 (25:10 Md. R. 746) **Administrative History:** Regulation .03 amended effective November 4, 1996 (23:22 Md. R. 1495) **Administrative History:** Regulation .04B amended and C adopted effective July 1, 1996 (23:13 Md. R. 942) **Administrative History:** Regulation .04B, C amended as an emergency provision effective June 2, 2000 (27:13 Md. R. 1209); amended permanently effective November 27, 2000 (27:23 Md. R. 2147) **Administrative History:** Regulations .05—.08 adopted as an emergency provision effective May 1, 1996 (23:9 Md. R. 668); adopted permanently effective July 29, 1996 (23:15 Md. R. 1088) **Administrative History:** Regulation .09 adopted effective June 15, 1998 (25:12 Md. R. 946) **Administrative History:** Regulation .10 adopted effective September 6, 1999 (26:18 Md. R. 1375) **Administrative History:** Regulation .10C adopted effective February 7, 2000 (27:2 Md. R. 144) **Administrative History:** Regulation .11 adopted effective September 6, 1999 (26:18 Md. R. 1375) **Administrative History:** Regulation .11C adopted effective June 24, 2002 (29:12 Md. R. 926) **Administrative History:** Chapter revised effective May 22, 2017 (44:10 Md. R. 471) **Administrative History:** Regulation .04A, B effective December 11, 2025 (52:24 Md. R. 1197) **Administrative History:** Regulation .07A amended effective March 4, 2024 (51:4 Md. R. 202) **Administrative History:** Regulation .09 amended effective December 31, 2018 (45:26 Md. R. 1241) **Administrative History:** Regulation .10 adopted effective December 31, 2018 (45:26 Md. R. 1241) **Administrative History:** Regulation .11 adopted effective March 2, 2026 (53:4 Md. R. 184) #### Regulation .01 Qualification of Inspectors. *COMAR 09.15.02.01* A. Heating, ventilation, air conditioning, and refrigeration inspectors hired by the State, a county, or other local subdivision, shall meet minimum standards that are established by the State Board. B. The minimum standards established by the State Board are as follows: (1) The heating, ventilation, air conditioning, and refrigeration inspector shall be licensed as a Maryland master, master restricted, or journeyman heating, ventilation, air conditioning, and refrigeration contractor; (2) The heating, ventilation, air conditioning, and refrigeration inspector shall hold a current Building Officials and Code Administrators International, Inc. (BOCA) certification in one of the following classifications: mechanical inspector, mechanical plans examiner, plumbing inspector, plumbing plans examiner, one- and two-family dwelling combination inspector, one- and two-family dwelling mechanical inspector, one- and two-family dwelling plumbing inspector; or (3) The heating, ventilation, air conditioning, and refrigeration inspector shall: (a) Have at least 4 years experience as an inspector or mechanic in the mechanical building and construction trade including heating, ventilation, air conditioning, and refrigeration, and (b) Pass a written examination prepared and administered by the State Board or prepared and administered by the county or local subdivision, provided the examination is approved by the State Board, and certified copies of all results are provided to the State Board. C. Each heating, ventilation, air conditioning, and refrigeration inspector shall attend, at least once a year, a refresher course to be conducted by the State Board or a course approved by the State Board and which is conducted by a county or local subdivision. #### Regulation .02 Responsibility of Master, Master Restricted, or Limited Licensee. *COMAR 09.15.02.02* A licensee may not use the licensee's license to obtain a permit or other authority to proceed from a governmental entity unless the licensee is: A. Familiar with the design and purpose of the specific heating, ventilation, air conditioning, and refrigeration work to be performed; B. Available to direct and control all journeymen, apprentices, and others providing heating, ventilation, air conditioning, and refrigeration services; and C. Responsible for the work. #### Regulation .03 Advertisements. *COMAR 09.15.02.03* A. Definition. For purposes of this regulation, “license number” means the license registration certificate number that shows on the license document received by the individual licensee. B. License Number on Vehicles. (1) Each vehicle that advertises heating, ventilation, air conditioning, or refrigeration services shall display the current category and license number of the master, master restricted, or limited licensed contractor who supervises and controls the work of that company in that particular area. (2) Each licensed heating, ventilation, air conditioning, or refrigeration master, master restricted, or limited contractor shall display the licensee's license category and license number on both sides of all vehicles primarily used by the licensee or under the licensee's supervision and control for the performance of heating, ventilation, air conditioning, and refrigeration services. (3) A contractor's license category shall be indicated by the following prefixes: (a) .01 for a master license; (b) .02 for a master restricted license; (c) .06 for a limited license. (4) The license category and the license number shall be displayed on each vehicle in the following form: (a) Md.—HVAC—category prefix—license number; (b) Display of letters or numbers shall be at least 1-1/2 inches in height. C. Each printed, audio, or video advertisement of any type, and all contracts shall reflect the license category and license number, in a manner as described in §B(4)(a) of this regulation, of the current licensee to be responsible for the work. #### Regulation .04 Restoration of Expired License. *COMAR 09.15.02.04* A. The Board may restore the license of an individual who has failed to renew the license for any reason if the individual: (1) Applies for restoration within 4 years of expiration of the license; (2) Otherwise is entitled to be licensed; and (3) Pays to the Board the renewal fee. B. An individual who fails to seek the restoration of a license within 4 years days of expiration of the license shall: (1) File a written letter with the Board providing: (a) The reasons the individual permitted the license to expire, (b) An explanation for the individual's failure to file a timely application for license renewal or restoration, (c) A statement of the individual's employment and job duties since the license expiration, and (d) Any documentation to support the individual's claims; and (2) Appear in person before the Board to show good and valid cause why the individual's license should be restored, if the Board requires the individual to do so. C. The Board may: (1) Restore an expired license of the applicant under this regulation if the applicant: (a) Is otherwise entitled to be licensed, and (b) Pays to the Board all past due renewal fees, and any applicable reinstatement and late fees; (2) Require the applicant to pay the applicable examination fees, and take and successfully pass the written examination required for the license previously held by the applicant; or (3) Consider the applicant as having never been licensed, in accordance with Business Regulation Article, §9A-309(e)(2), Annotated Code of Maryland, thus requiring the filing of a new application and complying with Business Regulation Article, §9A-302, Annotated Code of Maryland. #### Regulation .05 Time to Request Formal Hearing on Denial. *COMAR 09.15.02.05* If an application for a license is denied by the Board, the applicant, within 30 days from the date on the notice of the Board's decision, may request a formal hearing, conducted in accordance with Business Regulation Article, §9A-311, Annotated Code of Maryland. #### Regulation .06 Renewal of a Lower License Category. *COMAR 09.15.02.06* A. A master, master restricted, or limited licensee: (1) May elect to renew a current license under a lower category, if the original license held by the licensee is forfeited; (2) Who has renewed and received a license pursuant to §A(1) of this regulation, is required to requalify for the higher category of license previously held by taking and passing the appropriate examination administered by the Board in accordance with Business Regulation Article, §9A-304, Annotated Code of Maryland. B. The Board may waive the examination requirement in §A(2) of this regulation, for a licensee who: (1) Renewed a license under §A(1) of this regulation; and (2) Had obtained the higher category license previously held by taking and passing the appropriate examination administered by the Board in accordance with Business Regulation Article, §9A-304, Annotated Code of Maryland. #### Regulation .07 Training for HVACR Journeyman. *COMAR 09.15.02.07* A. Before an HVACR apprentice may be examined for a license as an HVACR journeyman, the apprentice shall complete at least 6,000 hours of training in providing heating, ventilation, air-conditioning, and refrigeration services under the direction and control of a licensed HVACR contractor. The training shall be over a period of at least 4 years, while licensed as a Maryland HVACR apprentice. B. It is recommended that the study, instruction, training, and experience include the following areas: (1) Installation of HVACR equipment including: (a) Determining location of exterior and interior equipment including condensers, thermostat, humidistat, exhaust piping, and duct work; (b) Preparing equipment foundation/base to install anchors, equipment, and vibration isolator pads; (c) Determining type and mounting system required for equipment, layout, and routing of condensate drain; (d) Installing air, water and evaporative cooled condensers, evaporative cooler, air-handling units, gas and oil furnaces, heat pumps, and baseboard heat; (e) Installing humidifiers, electronic air cleaners, thermostats, and humidistats; and (f) Installing and filling a hydronic system including a circulator pump, three-way diverter valve, automatic feeder, expansion tank, zone valves, air vent, pressure relief valve, booster fan, condensate pump, water pump, gas valve, and primary safety control; (2) Duct systems including: (a) Being able to provide basic design of a duct system and determine adequacy of the existing or designed duct system; (b) Installing with accessories round metal duct, rectangular metal duct, rigid fiberglass duct, plenum, duct liner, and duct wrap; (c) Installing manual air-flow damper, register, grill, fire damper, barometric damper, powered damper with actuator, factory-fabricated filter box, and vent damper; (d) Being able to modify an existing plenum and existing duct; and (e) Being able to fabricate a rectangular trunk line duct, plenum, transition, elbow, offset, sled with turning vanes, floor pan, and filter sled; (3) Diagnostic procedures including troubleshooting: (a) Air-conditioning system, AC system with electric heat, heat pump system, heat pump with fossil fuel heat; (b) Gas pack, gas furnace, electric furnace, oil furnace, and hydronic system; and (c) Cooling-tower system, chilled-water system, and evaporative cooler; (4) Adjustment of components including gas pressure, pilot flame, pilot igniter, direct spark igniter, burner oil system, burner air on gas furnaces, and burner primary air on oil furnaces; (5) Installation of piping and tubing including: (a) Determination of layout and size of refrigerant tubing; (b) Determination of the type and location of fittings and in-line components; (c) Connection of pipe using a threaded joint and a cemented joint; (d) Connection of tubing using a compression fitting, flare fitting, soft solder, and brazing; (e) Pipe and tubing insulation and covering, refrigeration line solenoid valve, in-line or angle hand valve, suction line accumulator, suction/liquid line heat exchanger, liquid receiver, fixed restriction/thermostatic expansion metering device, liquid/suction line filter-dryer, sight glass, pressure-regulator valve, head pressure control valve, check valve, and access valve; and (f) Vibration isolator in refrigerant line, precharged factory line set, tubing and pipe clamps and supports, and evaporator condensate drain line; (6) Placement of HVACR systems in operation including: (a) Leak test system, set belt tension if applicable, adjust condenser water-flow controls, test for gas leaks; (b) Measuring air flow at register, measuring relative humidity, adjusting humidistat, calibrating thermostat, and setting heat anticipator; (c) Adjusting fan speed for correct CFM output, adjusting fresh air intake, adjusting bypass damper, and adjusting relief damper; (d) Checking safety drain in attic installation, checking humidifier water feed and drain, checking aquastat for proper setting and operation, and checking static pressure at fan discharge; (7) Maintenance and repair of systems including replacing an HVAC timer delay relay, control switch, gas valve, pilot safety switch, glow coil assembly, thermocouple or thermopile, and flame sensing electronic sensing device. C. The Journey examination will include questions based upon basic knowledge in the areas listed in §C of this regulation. #### Regulation .08 Time for Submitting License Application. *COMAR 09.15.02.08* A. An applicant who has successfully completed the licensing examination shall apply for licensure, including payment of all applicable fees, within 1 year of successfully completing the licensing examination in order for the applicant's test results to remain valid. All applicants who have successfully completed the licensing examination more than 1 year before the effective date of this section shall apply for licensure not later than July 31, 1999. B. An applicant for a license, filed pursuant to Business Regulation Article, §9A-306(e), Annotated Code of Maryland, authorizing the Board to issue a journeyman license to an applicant who has successfully completed an applicable apprentice program approved by the Apprenticeship and Training Council, shall have completed the apprentice program within 2 years of the date the journeyman license application is filed. #### Regulation .09 Responsibilities of Licensee. *COMAR 09.15.02.09* A. A licensee shall undertake to provide heating, ventilation, air-conditioning, or refrigeration services only if the licensee is qualified by training, education, and experience to provide the required services. B. A licensee shall maintain appropriate insurance covering any heating, ventilation, air-conditioning, and refrigeration service the licensee provides. Insurance provided by an employer does not satisfy the insurance requirements of Business Regulation Article, §9A-402, Annotated Code of Maryland, if a licensee provides heating, ventilation, air-conditioning, or refrigeration services outside the scope of employment with the insured person or business entity. #### Regulation .10 Failure to Respond. *COMAR 09.15.02.10* A. If an applicant or licensee receives from the Board a written communication requesting a response, the applicant or licensee shall respond in writing within 30 days of the date of the mailing. B. The Board shall send a written communication by first-class mail to the last address furnished to the Board by the applicant or licensee. C. It is the responsibility of an applicant or licensee to notify the Board in writing if there has been a change in an applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Board to be a violation of Business Regulation Article, §9A-310(a)(1)(xii), Annotated Code of Maryland. #### Regulation .11 Violations of Business Regulation Article, §9A-501.1, Annotated Code of Maryland. *COMAR 09.15.02.11* A. The Board may seek regulatory action against an individual who violates Business Regulation Article, §9A-501.1, Annotated Code of Maryland. B. Such adjudication shall proceed in manner set forth in Business Regulation Article, §9A-311, Annotated Code of Maryland. ### Chapter 03—04 — *VACANT* ### Chapter 05 — Compliance with International Mechanical Code **Authority:** Business Regulation Article, §§9A-205 and 9A-310(a)(1)(iii), Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.03 adopted as an emergency provision effective February 1, 1996 (23:4 Md. R. 267); adopted permanently effective July 1, 1996 (23:13 Md. R. 943) **Administrative History:** Regulations .01—.03 amended affective May 18, 1998 (25:10 Md. R. 746); June 25, 2001 (28:12 Md. R. 1106) **Administrative History:** Regulation .01 amended effective June 24, 2013 (40:12 Md. R. 1042); April 13, 2026 (53:7 Md. R. 326) **Administrative History:** Regulation .01A amended effective December 16, 2019 (46:25 Md. R. 1131) **Administrative History:** Regulation .01B amended effective April 12, 2004 (31:7 Md. R. 584) **Administrative History:** Regulation .01C adopted as an emergency provision effective October 25, 2001 (28:24 Md. R. 2125); adopted permanently effective March 18, 2002 (29:5 Md. R. 502) **Administrative History:** Regulation .02 amended effective June 24, 2013 (40:12 Md. R. 1042) **Administrative History:** Regulation .02C, E amended effective December 16, 2019 (46:25 Md. R. 1131) **Administrative History:** Regulation .02C, H amended effective April 12, 2004 (31:7 Md. R. 584) **Administrative History:** Regulation .02 repealed effective April 13, 2026 (53:7 Md. R. 326) **Administrative History:** Regulation .03 amended effective June 24, 2013 (40:12 Md. R. 1042) **Administrative History:** Regulation .03A amended effective December 16, 2019 (46:25 Md. R. 1131) **Administrative History:** Regulation .03F amended effective April 12, 2004 (31:7 Md. R. 584) **Administrative History:** Regulation .03 repealed effective April 13, 2026 (53:7 Md. R. 326) #### Regulation .01 Incorporation by Reference. *COMAR 09.15.05.01* A. In this chapter, the documents set forth in §B of this regulation are adopted. B. In compliance with Business Occupations and Professions Article, §§12-101(p) and 12-205(a), Annotated Code of Maryland, the Board adopts the most recent version of the following Codes as they may be amended, modified, or updated from time to time: (1) International Mechanical Code (International Code Council, 500 New Jersey Ave., N.W., 6th Floor, Washington, D.C. 20001), which has been incorporated by reference in COMAR 09.12.50.02-1B(5); and (2) International Residential Code for One- and Two-Family Dwellings (International Code Council, 500 New Jersey Ave., N.W., 6th Floor, Washington, D.C. 20001), which has been incorporated by reference in COMAR 09.12.50.02-1B(4) and 09.12.51.04A(2) except Chapters 1—11 and 25—44. C. The requirements of this chapter do not apply to work areas subject to the Maryland Building Rehabilitation Code as adopted by the Department of Labor under Public Safety Article, §12-1004, Annotated Code of Maryland, except as provided by that Code. ## Subtitle 16 — Board of Barbers ### Chapter 01 — General Regulations **Authority:** : Business Occupations and Professions Article, Titles 4 and 5; Business Regulations Article, §§2-106.13 and 2-106.14; Annotated Code of Maryland; Ch. 256, Acts of 2017 **Administrative History:** Effective date: April 9, 1973 **Administrative History:** Regulations .02C, D, .03B—D, .05B, C, .06H, .08, .09D, E, and .11D amended effective June 6, 1983 (10:11 Md. R. 974) **Administrative History:** Regulation .02E repealed effective June 6, 1983 (10:11 Md. R. 974) **Administrative History:** Regulation .02 repealed effective December 14, 1987 (14:25 Md. R. 2659) **Administrative History:** Regulation .03D amended effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulations .04 and .11E, M—N repealed effective August 2, 1982 (9:15 Md. R. 1513) **Administrative History:** Regulation .04 adopted effective January 25, 1988 (15:2 Md. R. 120) **Administrative History:** Regulation .05B amended effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .05D adopted effective June 6, 1983 (10:11 Md. R. 974) **Administrative History:** Regulation .05E adopted effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .06M adopted effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .06 amended effective December 14, 1987 (14:25 Md. R. 2659) **Administrative History:** Regulation .06G amended effective January 25, 1988 (15:2 Md. R. 120) **Administrative History:** Regulation .06M amended effective January 25, 1988 (15:2 Md. R. 120) **Administrative History:** Regulation .06N adopted effective January 25, 1988 (15:2 Md. R. 120) **Administrative History:** Regulation .08B amended effective February 9, 1987 (14:3 Md. R. 272) **Administrative History:** Regulation .09E amended effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .09F amended effective August 2, 1982 (9:15 Md. R. 1513); April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .09 amended effective December 14, 1987 (14:25 Md. R. 2659) **Administrative History:** Regulation .10 amended effective November 2, 1987 (14:22 Md. R. 2339) **Administrative History:** Regulation .11B amended effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .11D, I—K, P amended effective August 2, 1982 (9:15 Md. R. 1513) **Administrative History:** Regulation .11L amended effective February 9, 1987 (14:3 Md. R. 272); April 6, 1987 (14:7 Md. R. 830); January 25, 1988 (15:2 Md. R. 121) **Administrative History:** Regulation .11M adopted effective May 19, 1986 (13:10 Md. R. 1155) **Administrative History:** Regulation .11N adopted effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .11Q, R adopted effective September 3, 1975 (2:20 Md. R. 1300) **Administrative History:** Regulation .11R amended effective February 22, 1988 (15:4 Md. R. 472) **Administrative History:** Regulation .11S adopted effective March 23, 1987 (14:6 Md. R. 713) **Administrative History:** Regulation .12 adopted effective August 2, 1982 (9:15 Md. R. 1513) **Administrative History:** Regulation .12A, B amended effective August 25, 1986 (13:17 Md. R. 1922) **Administrative History:** Regulation .13 adopted effective June 6, 1983 (10:11 Md. R. 974) **Administrative History:** Regulation .13C, D, and E adopted effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .14 adopted effective July 27, 1987 (14:15 Md. R. 1660) **Administrative History:** Regulation .15 adopted as an emergency provision effective July 1, 1991 (18:18 Md. R. 2001); emergency status expired January 1, 1992 **Administrative History:** Regulation .15 adopted as an emergency provision effective February 14, 1992 (19:5 Md. R. 573); emergency status extended at 19:11 Md. R. 1011; emergency status expired July 1, 1992 **Administrative History:** Regulation .16 adopted as an emergency provision effective July 1, 1991 (18:18 Md. R. 2001); emergency status extended at 19:2 Md. R. 150 and 19:11 Md. R. 1011; emergency status expired July 1, 1992 **Administrative History:** Regulation .17 adopted as an emergency provision effective July 1, 1991 (18:18 Md. R. 2001); emergency status expired January 1, 1992 **Administrative History:** Regulation .17 adopted as an emergency provision effective February 14, 1992 (19:5 Md. R. 573); emergency status extended at 19:11 Md. R. 1011; emergency status expired July 1, 1992 **Administrative History:** Regulations .01—.14 repealed and new Regulations .01—.10 adopted effective August 3, 1992 (19:15 Md. R. 1389) **Administrative History:** Regulation .01 amended effective May 29, 2000 (27:10 Md. R. 966) **Administrative History:** Regulation .03 amended effective May 29, 2000 (27:10 Md. R. 966) **Administrative History:** Regulation .04 amended effective November 6, 2017 (44:22 Md. R. 633) **Administrative History:** Regulation .05 amended effective February 6, 2012 (39:2 Md. R. 141); November 6, 2017 (44:22 Md. R. 633) **Administrative History:** Regulation .05C adopted effective May 31, 1999 (26:11 Md. R. 854) **Administrative History:** Regulation .05C amended effective April 29, 2002 (29:8 Md. R. 698) **Administrative History:** Regulation .06 amended effective April 10, 2017 (44:7 Md. R. 354) **Administrative History:** Regulation .06A amended effective February 6, 2012 (39:2 Md. R. 141) **Administrative History:** Regulation .06D adopted effective October 7, 1996 (23:20 Md. R. 1422) **Administrative History:** Regulation .07E amended as an emergency provision effective July 23, 1993 (20:15 Md. R. 1218); amended permanently effective November 22, 1993 (20:23 Md. R. 1804) **Administrative History:** Regulation .07E, H amended effective May 29, 2000 (27:10 Md. R. 966) **Administrative History:** Regulation .07J adopted effective April 10, 2017 (44:7 Md. R. 354) **Administrative History:** Regulation .08A amended as an emergency provision effective April 25, 1996, (23:10 Md. R. 728); emergency status expired July 15, 1996 **Administrative History:** Regulation .08A, B amended effective May 29, 2000 (27:10 Md. R. 966) **Administrative History:** Regulation .08A amended as an emergency provision effective March 1, 2003 (30:13 Md. R. 851); emergency status extended at 30:25 Md. R. 1843); emergency status expired January 1, 2004; amended permanently effective January 5, 2004 (30:26 Md. R. 1913) **Administrative History:** Regulation .08A amended as an emergency provision effective September 10, 2009 (36:21 Md. R. 1587); amended permanently effective March 8, 2010 (37:5 Md. R. 428) **Administrative History:** Regulation .08A amended as an emergency provision effective December 18, 2014 (42:1 Md. R. 12); emergency status expired May 30, 2015 **Administrative History:** Regulation .08A, B amended effective April 10, 2017 (44:7 Md. R. 354) **Administrative History:** Regulation .08 repealed and new Regulation .08 adopted effective October 8, 2018 (45:20 Md. R. 918) **Administrative History:** Regulation .08E amended effective May 27, 2024 (51:10 Md. R. 524) **Administrative History:** Regulation .10 amended effective April 10, 2017 (44:7 Md. R. 354) **Administrative History:** Regulation .11 adopted effective November 5, 2007 (34:22 Md. R. 1976) **Administrative History:** Regulation .12 adopted effective December 31, 2018 (45:26 Md. R. 1241) #### Regulation .01 General Requirements. *COMAR 09.16.01.01* A. A licensee, permit holder, or registrant shall be familiar with and comply with the laws and regulations governing the practice of barbering. B. Every licensee, permit holder, and registrant shall display a current and valid license in full view of the public at the licensee's individual work station. The licensee or registrant shall affix a current picture to the license. C. A master barber or barber may not practice barbering in any place other than an authorized barber shop or an authorized beauty salon unless the following conditions are met: (1) The services are sponsored by an authorized shop; (2) The licensee is fully supplied with sanitized and disinfected equipment by the sponsoring shop and the implements and tools are carried back and forth in an appropriate manner to assure they are not contaminated; (3) The sponsoring shop maintains complete records of all services performed, and the date, time, place, and charge for the services; and (4) All tools, equipment, and complete records are available for inspection. D. An apprentice barber may not practice barbering in any place other than in an authorized barber shop. E. A master barber or barber operating in a beauty salon shall comply with all pertinent sanitation regulations contained in COMAR 09.16.02.04. F. A licensee, permit holder, or registrant shall promptly notify the Board of any change of address. G. The Board may initiate a criminal prosecution of a person who engages in the practice of barbering without a valid license or registration. H. A licensee or registrant is responsible for the sanitary condition of the licensee's or registrant's individual work station. I. A licensee, permit holder, or registrant may not knowingly interfere with the lawful activity of an inspector of the Board. #### Regulation .02 Master Barber License. *COMAR 09.16.01.02* A. A master barber license authorizes the licensee to practice all aspects of barbering without supervision. B. A master barber may provide training to one apprentice. #### Regulation .03 Barber License. *COMAR 09.16.01.03* A barber license authorizes the licensee to practice all aspects of barbering. #### Regulation .04 Barber Apprentice and Barber-Stylist Apprentice Registration. *COMAR 09.16.01.04* A. A barber apprentice registration authorizes the apprentice to learn all aspects of barbering while in an authorized barber shop under the direct supervision of a master barber. B. A barber-stylist apprentice registration authorizes the apprentice to learn all aspects of barber styling while in an authorized barber shop under the direct supervision of a master barber. #### Regulation .05 Supervision of a Barber Apprentice or Barber-Stylist Apprentice. *COMAR 09.16.01.05* A. Prior to supervising an apprentice for the first time, a master barber shall participate in an orientation program administered by the Board. B. A master barber licensee who supervises an apprentice shall: (1) Ensure that the apprentice receives the required theory and practical training; (2) Ensure that the apprentice receives at least 30 hours of training per week; (3) File a monthly report, on a form supplied by the Board, stating the progress of each apprentice in the shop and identifying the designated licensee in charge of each apprentice; and (4) Advise the Board immediately, in writing, when an apprenticeship is discontinued, temporarily or otherwise. C. One master barber shall directly train one barber apprentice or barber-stylist apprentice. D. Unless the Board determines that legitimate circumstances exist, if a monthly report, as required under this regulation, is not received by the Board within 90 days of the training being reported: (1) The report may not be received by the Board; and (2) Credit may not be given for the purported training. #### Regulation .06 Apprenticeship Registration Requirements. *COMAR 09.16.01.06* A. A person may be registered as an apprentice if the person: (1) Is at least 16 years old; (2) Has secured a sponsoring shop in which to apprentice; (3) Has been approved by the Board; and (4) Prior to being registered as an apprentice, has participated in an orientation program administered by the Board. B. For good cause, the Board may issue a new barber apprentice registration to an individual previously registered as a barber apprentice if: (1) A minimum of 6 months has passed since the individual was last registered as a barber apprentice; and (2) The individual surrenders the number of hours earned under any other barber apprentice registration. #### Regulation .07 Examinations. *COMAR 09.16.01.07* A. The Board shall schedule examinations as often as necessary to meet the demand. B. Each qualified applicant for examination shall be sent a notice of the examination that contains the: (1) Time, date, and location of the examination; (2) Amount of time allotted for the examination; (3) Areas that will be tested during the theoretical and practical portions of the examination; (4) Requirements for models; (5) Equipment the applicant shall bring; (6) Requirements for passing the examination; and (7) Board's policy on bringing books or other materials into the examination room. C. Requirements for Taking Examination. (1) A candidate shall arrive in a timely fashion to take the examination. (2) A candidate shall present the notice of examination and a proper identification with the candidate's signature and photograph. (3) A candidate may not bring books or papers into the examination room and may not use those materials during either the practical or the theoretical portion of the examination. (4) A candidate taking the practical portion of an examination shall: (a) Appear in a clean, washable garment; (b) Be accompanied by a live model who is at least 16 years old unless advised otherwise by the Board; and (c) Appear with the equipment necessary to take the examination which shall be in a clean and disinfected condition and in good repair. D. Disqualification. A candidate who violates any of the provisions of §C of this regulation may not be admitted to the examination and shall forfeit the examination fee. E. Interpreters or Readers. (1) The Board may permit an interpreter or reader to accompany an applicant and assist in the translation or reading of the theory portion of the barber examination. (2) Except for a sign interpreter who may assist an individual who is hearing impaired: (a) An interpreter or reader may not assist in the practical portion of the barber examination; and (b) The Board may not permit interpreters or readers to translate or read the master barber examination. F. When a practical test cannot be completed for any reason, the grade for that test shall be “incomplete” and not “failure”. G. Passing Examination. (1) In order to be certified as passing an examination, a candidate shall: (a) Receive a satisfactory result on all parts of the practical examination; (b) Score at least 70 percent or more on the theoretical portion of the examination; and (c) Demonstrate a sufficient ability to verbally communicate and comprehend the English language in order to understand, converse, and properly respond to the requests, needs, and explanations of English-speaking patrons. (2) An individual who passes one or more portions of the examination shall be excused from retaking the portion passed. (3) An applicant who has not passed all parts of the examination within 1 year of the original examination date shall be required to retake the entire examination. H. Content of Barber Examination. (1) A barber examination shall consist of a theoretical portion and a practical portion. (2) The theoretical portion of the barber examination shall consist of questions which embrace the subjects of barber science found in a basic textbook including, but not limited to, the following: (a) Sanitation and disinfection; (b) Chemical applications; (c) Hair cutting and styling techniques; (d) Diseases and disorders; and (e) Laws and regulations regarding the practice of barbering. (3) The practical portion of the barber examination shall consist of the candidate demonstrating and explaining a: (a) Haircut; (b) Cold wave; and (c) Shave. I. Content of a Master Barber Examination. (1) A master barber examination shall consist of a theoretical portion only. (2) The candidate shall be required to demonstrate a knowledge of barbering including, but not limited to, the following: (a) An advanced knowledge of sanitation and disinfection; (b) An advanced knowledge of chemical applications; (c) An advanced knowledge of hair cutting and styling techniques; (d) An advanced knowledge of diseases and disorders; and (e) Knowledge of laws and regulations regarding the practice of barbering. J. Content of Barber Stylist Examination. (1) A barber examination shall consist of a theoretical portion and a practical portion. (2) The theoretical portion of the barber examination shall consist of questions which embrace the subjects of barber science found in a basic textbook including, but not limited to, the following: (a) Sanitation and disinfection; (b) Hair cutting and styling techniques; (c) Diseases and disorders; and (d) Laws and regulations regarding the practice of barbering. (3) The practical portion of the barber examination shall consist of the candidate demonstrating and explaining: (a) Haircut; and (b) Shave. #### Regulation .08 Fees. *COMAR 09.16.01.08* A. Purpose. This regulation is intended to carry out the provisions of Business Occupations and Professions Article, Titles 4 and 5, and Business Regulation Article, §§2-106.13 and 2-106.14, Annotated Code of Maryland. In particular, it is intended to set various fees in order to cover the actual documented direct and indirect costs of fulfilling the statutory and regulatory duties of the State Board of Barbers and State Board of Cosmetologists. B. Definitions. (1) In this regulation, the following terms have the meanings indicated. (2) Terms Defined. (a) “Barber shop permit fee” means the fee paid by an applicant or licensee, as applicable, in connection with the issuance and renewal of a barber shop permit. (b) “Barbers Board” means the State Board of Barbers. (c) “Cosmetologists Board” means the State Board of Cosmetologists. (d) “License fee” means the fee paid by an applicant or licensee, as applicable, in connection with the issuance and renewal of a license and the issuance of a limited license and a reciprocal license. (e) “Secretary” means the Secretary of Labor. C. Examination Fees. An applicant for examination or reexamination shall pay an examination or reexamination fee directly to the testing service chosen by the Barbers Board to develop or administer the examination. D. Average of Costs. In order to establish fees that more equitably distribute the costs associated with the operation of each board among similar boards, the Secretary may average the direct and indirect costs of the Barbers Board and the Cosmetologists Board, provided that the boards consent to having their direct and indirect costs averaged together. E. As provided for in Business Regulation Article, §§2-106.13 and 2-106.14, Annotated Code of Maryland, and this regulation, the Barbers Board sets the following license and permit fees: (1) Owner —$56; (2) Master barber —$56; (3) Barber —$56; (4) Barber stylist —$56; (5) Apprentice —$11; (6) Duplicate — 1/2 the applicable fee set forth in this section; (7) Reinstatement —$56; (8) Certification —$28; and (9) Inspection —$169. F. A separate payment is required for each application. G. Payment in cash may not be accepted. H. All fees are nonrefundable. #### Regulation .09 Renewals. *COMAR 09.16.01.09* A. A renewal application for each license or registration shall be mailed to each licensee, permit holder, and registrant at the last known address. B. A licensee, permit holder, or registrant shall submit each application and the required payment at least 14 days before the expiration date of the existing license. C. An application that is incomplete or is not accompanied by the appropriate fee shall be returned to the applicant. #### Regulation .10 Compensation of Inspectors. *COMAR 09.16.01.10* A. Inspectors, appointed by the Board, shall be paid a per diem of at least $50 based on the State's budget. B. All per diem employees are entitled to be reimbursed for traveling expenses in accordance with the State's policy. #### Regulation .11 Citations to Licensees. *COMAR 09.16.01.11* Unless otherwise indicated, the following civil penalties are applicable to the following violations of the laws and regulations of the Board of Barbers discovered by a Board inspector during an inspection of a barbershop: A. Working in a barbershop for which a permit never has been issued or at another unauthorized location—$300 B. Licensing. (1) Operating without a valid license—$300 (2) No photo on license—$100 (3) Providing services beyond scope of license—$300 C. Sanitation. (1) Improper Disinfection. (a) Failure to wash implements before disinfection—$150 (b) Failure to properly disinfect implements, bowls, basins, or other areas—$150 (c) Failure to properly store disinfected implements—$150 (2) Improper procedures for cut or blood-related incidents—formal hearing (3) Other. (a) Poor lighting, heating, ventilation—$50 (b) Unclean walls, curtains, or floor coverings—$50 (c) Absence of hot or cold running water—$50 (d) Presence of rodents or insects—$50 (e) Use of shop for sleeping or living—$100 (f) Failure to promptly remove hair or debris—$50 (g) Unsanitary restroom—$50 (h) No soap dispenser and disposable towels—$50 (i) Unclean operator's garments—$50 (j) Failure to wash hands before each client—$50 (k) No wet sanitizer containing proper disinfectant solution—$50 (l) No closed drawer or cabinet for disinfected implements at station—$100 (m) Failure to store disinfected implements in closed cabinet or drawer that contains no other objects or substances—$100 (n) Use of neck duster, powder puff, sponge, septic pencil, or lump alum on more than one client—$100 (o) Failure to properly cover head rest for each client—$100 (p) Improper storage or disposal of towels—$50 (q) Insufficient number of combs or brushes—$50 (r) Failure to use protective neck strip or similar covering—$50 (s) Improperly washed or sanitized shampoo bowl—$50 (t) Failure to remove soiled items from top of work station after use—$50 (u) Use of implements dropped on floor without cleaning and disinfecting—$100 (v) Failure to maintain barber chairs and waiting chairs in a sanitary condition—$50 D. Prohibited Practices. (1) Services on client with infectious or contagious disease—formal hearing (2) Operator with infectious or contagious disease performing services—formal hearing (3) Services on inflamed skin or scalp without physician authorization—formal hearing (4) Removal of corns, calluses, or other growths of skin by cutting—$300 (5) Presence of animal—$100 (6) Sale of used hairpieces—$300 (7) Habitual intoxication or under influence of any drug—formal hearing E. Interference With Inspector—Formal Hearing #### Regulation .12 Failure to Respond. *COMAR 09.16.01.12* A. An applicant or licensee shall respond in writing to a written communication from the Board within 30 days of the date of mailing. B. The Board shall send a written communication by first-class mail to the last address furnished to the Board by an applicant or licensee. C. It is a responsibility of an applicant or licensee to notify the Board in writing if there has been a change in applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Board to be a violation of Business Occupations and Professions Article, §4-314(a)(1)(ix), Annotated Code of Maryland. ### Chapter 02 — Barber Shops **Authority:** Business Occupations and Professions Article, Title 4, Annotated Code of Maryland **Administrative History:** Effective date: August 3, 1992 (19:15 Md. R. 1389) **Administrative History:** Regulation .01 amended effective October 8, 2018 (45:20 Md. R. 918) **Administrative History:** Regulation .02B, C amended effective May 31, 1999 (26:11 Md. R. 854) **Administrative History:** Regulation .04B amended effective May 31, 1999 (26:11 Md. R. 854); May 29, 2000 (27:10 Md. R. 966) **Administrative History:** Regulation .05 adopted effective November 5, 2007 (34:22 Md. R. 1976) #### Regulation .01 Shop — General. *COMAR 09.16.02.01* A. Application for a barber shop permit shall be submitted to the Board together with certification of approval with respect to zoning, health, fire prevention, and all other laws, ordinances, and requirements applicable to the establishment. B. A person establishing a residential shop shall meet the following requirements in addition to the requirements set forth in §A of this regulation: (1) The shop shall be completely separate and distinct from all living quarters; (2) The shop shall be in compliance with all applicable laws, regulations, and ordinances; (3) The shop shall have a separate outside entrance for use of shop patrons; and (4) The shop shall have a restroom facility maintained for exclusive use by shop clients. C. A barber shop shall have the following minimum fixtures, facilities, and equipment: (1) One barber pole or barber sign; (2) One barber chair in good repair; (3) One back bar or work station; (4) One cabinet or drawer for clean towels; (5) One covered container for disposal of soiled towels; (6) Proper sterilization equipment. D. More than one shop permit may not be issued for any one premises unless a separate and distinct shop entity is established on a different level of the one premises. E. Mobile Barbershops. (1) All mobile units shall prominently display on the outside of the unit the name of the non-mobile barbershop that serves as the mobile unit's permanent base address. (2) All health and safety rules governing barbering shall apply to mobile units unless otherwise specified. (3) All storage containers, cabinets, and drawers shall have safety catches. (4) All equipment not in storage cabinets or drawers shall be securely anchored. (5) A ramp or lift shall be provided for access to the mobile unit if providing services for disabled individuals. (6) Services may not be provided while the mobile unit is in motion. (7) The owners of mobile units shall be responsible for adherence to all local, State and federal laws and regulations regarding the operation of vehicles to be used as mobile units. (8) An itinerary showing dates, locations and times of service shall be made available, upon request, to an authorized representative of the board. F. Preopening Inspection. (1) Before a shop permit is issued, the premises shall be inspected by a Board member or inspector. (2) If the premises are not in compliance with the laws and regulations governing barbering, the Board may refuse to issue the permit. #### Regulation .02 Owner Responsibility. *COMAR 09.16.02.02* The holder of a barber shop permit is responsible for: A. The condition and operation of the shop in compliance with the laws and regulations governing the practice of barbering; B. Displaying a sign containing the name and nature of the establishment, in at least 3-inch bold display-type lettering, on the outside of the premises in full view of the street or public walkway unless otherwise directed by the Board; C. Displaying, in full view of the public: (1) The shop permit; (2) A zoning certification or other approval for the practice of barbering on the premises; and (3) A condensed version of the laws and regulations regarding the licensing and regulation of individuals authorized to perform services in a barber shop, and owners of a barber shop, as provided by the Board; D. Ensuring that all employees of the shop are properly licensed or registered; E. Ensuring that an employee does not perform services beyond the scope of the applicable license or registration; F. Employing a sufficient number of master barbers who are qualified to supervise the training of apprentices to ensure that each apprentice being trained in the shop is individually supervised and trained. #### Regulation .03 Prohibitions. *COMAR 09.16.02.03* The following activities are prohibited in any barber shop or in regard to any shop-sponsored services: A. The performance of services of any kind on a client who has an infectious or contagious disease that presents a hazard to others; B. The performance of services of any kind by a licensee or registrant who has an infectious or contagious disease that presents a hazard to clients; C. The performance of services of any kind upon the surface of a client's skin or scalp, where the skin or scalp is inflamed or where a skin infection or eruption is present, unless authorized by a physician; D. The removal of corns, calluses, or other growths of the skin, such as warts, by cutting; E. The presence of a dog, cat, bird, or any kind of animal on the shop premises with the exception of guide dogs for the blind; F. The sale of any hairpieces which previously have been worn including, but not limited to wigs, toupees, wiglets, falls, and switches; G. The integration of any other business unless the other business is separated from the barber shop by a permanent partition or wall that goes from floor to ceiling. #### Regulation .04 Sanitation Requirements — General. *COMAR 09.16.02.04* A. A barber shop shall comply with the sanitation provisions in §B of this regulation. B. Sanitation Provisions. (1) Every shop shall be well lighted, heated, and ventilated, and shall be kept in a clean and sanitary condition. (2) The walls, curtains, and floor coverings in a shop shall be washed and kept clean. (3) All shops shall be supplied with hot and cold running water. (4) The premises shall be kept free from rodents, vermin, flies, or similar insects. (5) The shop may not be used for sleeping or living quarters. (6) All hair, cotton, or other waste material shall be removed from the floor without delay and deposited in a closed container and removed from the premises frequently. (7) Rest rooms shall be kept in a sanitary condition and have a soap dispenser and disposable towels. (8) All employees of a shop shall be attired in clean, washable garments. (9) The hands of a licensee and registrant shall be washed before attending each patron. (10) Surgical latex gloves shall be worn if the licensee or registrant has a cut or open wound. (11) Instruments used in direct contact with a client shall be washed in hot, soapy water before being immersed in a disinfectant solution as specified in §B(12) of this regulation. (12) Instruments shall be disinfected in a wet sanitizer containing an EPA-registered, hospital-grade tuberculocidal disinfectant in a quantity sufficient to cover those portions of the instruments that come in direct contact with a client. (13) Each shop shall have: (a) At least one wet sanitizer containing a disinfectant solution as specified in §B(12) of this regulation; and (b) One closed drawer or cabinet for each work station being used by a licensee or registrant. (14) Cleaned and disinfected implements and equipment shall be stored in a closed dry cabinet or drawer which contains no other objects or substances. (15) The use of neck dusters, styptic pencil, lump alum, or any other equipment or implement which cannot be sanitized and disinfected may not be used on more than one client. (16) Every head rest shall be covered with a new clean towel or disposable paper for each client. (17) A shop shall have a closed cabinet in which laundered towels are stored and a separate bin or hamper for the disposal of soiled towels. If the shop does its own laundering, the shop shall have both an automatic washer and dryer on the premises. (18) An instrument that caused a skin abrasion or a cut to the skin shall be cleansed and disinfected immediately. If bleeding occurs, a tissue or cotton shall be used to collect the blood. Blood-contaminated materials shall be disposed of immediately in a sealed, double-plastic bag. (19) A licensee or registrant whose hands come in contact with blood shall wash and disinfect them immediately. (20) A minimum of eight combs and four brushes shall be available for each master barber, barber, and barber apprentice. (21) Protective neck strips or similar covering shall be used on each client. (22) Shampoo bowls shall be washed after each shampoo and sanitized frequently with a disinfectant to assure cleanliness. (23) Soiled combs, brushes, towels, or other used material shall be removed from the tops of work stations immediately after use. (24) Objects dropped on the floor may not be used until they are cleansed and disinfected. (25) All barber chairs and waiting chairs shall be maintained in good repair and in a sanitary condition. #### Regulation .05 Citations to Barbershops. *COMAR 09.16.02.05* Unless otherwise indicated, the following civil penalties are applicable to the following violations of the laws and regulations of the Board of Barbers discovered by a Board inspector during an inspection of a barbershop: A. Operating a barbershop for which a permit: (1) Never has been issued — formal hearing (2) Expired — $300 B. Licensing of Personnel. (1) Operating without a valid license — formal hearing (2) No photo on license — $100 (3) Providing services beyond scope of license — $300 (4) Improper supervision of apprentice — $300 C. Failure to display: (1) Sign — $25 (2) Permit — $50 (3) Condensed rules and regulations — $100 (4) Zoning certificate — $50 D. Failure to have: (1) Barber pole or barber sign — $50 (2) At least one barber chair in good repair — $100 (3) At least one back bar or work station — $100 (4) Separate outside entrance for use of clients — $100 (5) Restroom facility exclusively for clients — $100 E. Sanitation. (1) Improper Disinfection. (a) Failure to wash implements before disinfection — $150 (b) Failure to properly disinfect implements, bowls, basins, or other areas — $150 (c) Failure to properly store disinfected implements — $150 (2) Improper procedures for cut or blood-related incidents — formal hearing (3) Other. (a) Poor lighting, heating, ventilation — $50 (b) Unclean walls, curtains, or floor coverings — $50 (c) Absence of hot or cold running water — $50 (d) Presence of rodents or insects — $50 (e) Use of shop for sleeping or living — $100 (f) Failure to promptly remove hair or debris — $50 (g) Unsanitary restroom — $50 (h) No soap dispenser and disposable towels — $50 (i) Unclean operator's garments — $50 (j) Failure to wash hands before each client — $50 (k) No wet sanitizer containing proper disinfectant solution — $50 (l) No closed drawer or cabinet for disinfected implements at station — $100 (m) Failure to store disinfected implements in closed cabinet or drawer that contains no other objects or substances — $100 (n) Use of neck duster, powder puff, sponge, septic pencil, or lump alum on more than one client — $100 (o) Failure to properly cover head rest for each client — $100 (p) Improper storage or disposal of towels — $50 (q) Insufficient number of combs or brushes — $50 (r) Failure to use protective neck strip or similar covering — $50 (s) Improperly washed or sanitized shampoo bowl — $50 (t) Failure to remove soiled items from top of work station after use — $50 (u) Use of implements dropped on floor without cleaning and disinfecting — $100 (v) Failure to maintain barber chairs and waiting chairs in a sanitary condition — $50 F. Prohibited Practices. (1) Services on client with infectious or contagious disease — formal hearing (2) Operator with infectious or contagious disease performing services — formal hearing (3) Services on inflamed skin or scalp without physician authorization — formal hearing (4) Removal of corns, calluses, or other growths of skin by cutting — $300 (5) Presence of animal — $100 (6) Sale of used hairpieces — $300 (7) Habitual intoxication or under influence of any drug — formal hearing G. Interference With Inspector—Formal Hearing. ### Chapter 03 — Schools **Authority:** Business Occupations and Professions Article, Title 4, Annotated Code of Maryland **Administrative History:** Effective date: August 3, 1992 (19:15 Md. R. 1389) **Administrative History:** Regulation .03B amended effective May 31, 1999 (26:11 Md. R. 854) **Administrative History:** Regulation .05 adopted effective November 5, 2007 (34:22 Md. R. 1976) #### Regulation .01 Public and Private Barber Schools — General. *COMAR 09.16.03.01* The Board's inspectors may conduct inspections of those schools of barbering approved by the State Board of Education or the Maryland Higher Education Commission. #### Regulation .02 Prohibitions — Schools. *COMAR 09.16.03.02* The following activities are prohibited in a barber school approved by the State Board of Education or the Maryland Higher Education Commission: A. The performance of services of any kind on a client who has an infectious or contagious disease that presents a hazard to others; B. The performance of services of any kind by a student who has an infectious or contagious disease that presents a hazard to clients; C. The performance of services of any kind upon the surface of a client's skin or scalp, where the skin or scalp is inflamed or where a skin infection or eruption is present, unless authorized by a physician; D. The removal of corns, calluses, or other growths of the skin, such as warts, by cutting; E. The presence of a dog, cat, bird, or any kind of animal on the school premises with the exception of guide dogs for the blind; F. The sale of any hairpieces which previously have been worn including, but not limited to wigs, toupees, wiglets, falls, and switches. #### Regulation .03 Sanitation Requirements — General. *COMAR 09.16.03.03* A. A barber school approved by the State Board of Education or the Maryland Higher Education Commission shall comply with the sanitation provisions in §B of this regulation. B. Sanitation Provisions. (1) Every school shall be well lighted, heated, and ventilated, and shall be kept in a clean and sanitary condition. (2) The walls, curtains, and floor coverings in a school shall be washed and kept clean. (3) All schools shall be supplied with hot and cold running water. (4) The premises shall be kept free from rodents, vermin, flies, or similar insects. (5) The school may not be used for sleeping or living quarters. (6) All hair, cotton, or other waste material shall be removed from the floor without delay and deposited in a closed container and removed from the premises frequently. (7) Rest rooms shall be kept in a sanitary condition and have a soap dispenser and disposable towels. (8) All students shall be attired in clean, washable garments. (9) The hands of a student shall be washed before attending each patron. (10) Surgical latex gloves shall be worn if a student has a cut or open wound. (11) Instruments used in direct contact with a client shall be washed in hot, soapy water before being immersed in a disinfectant solution for the required period of time as specified in §B(12) of this regulation. (12) Instruments shall be disinfected in a wet sanitizer containing an EPA registered, hospital-grade tuberculocidal disinfectant in a quantity sufficient to cover those portions of the instruments that come in direct contact with a client. (13) Each school shall have: (a) At least one wet sanitizer containing a disinfectant solution as specified in §B(12) of this regulation; and (b) One closed drawer or cabinet for each work station being used by a licensee or registrant. (14) Cleaned and disinfected implements and equipment shall be stored in a closed dry cabinet or drawer which contains no other objects or substances. (15) The use of neck dusters, styptic pencil, lump alum, or any other equipment or implement which cannot be sanitized and disinfected may not be used on more than one client. (16) Every head rest shall be covered with a new clean towel or disposable paper for each client. (17) A school shall have a closed cabinet in which laundered towels are stored and a separate bin or hamper for the disposal of soiled towels. If the school does its own laundering, the school shall have both an automatic washer and dryer on the premises. (18) An instrument that caused a skin abrasion or a cut to the skin shall be cleansed and disinfected immediately. If bleeding occurs, a tissue or cotton shall be used to collect the blood. Blood-contaminated materials shall be disposed of immediately in a sealed, double-plastic bag. (19) A student whose hands come in contact with blood shall wash and disinfect them immediately. (20) A minimum of eight combs and four brushes shall be available for each student. (21) Protective neck strips or similar covering shall be used on each client. (22) Shampoo bowls shall be washed after each shampoo and sanitized frequently with a disinfectant to assure cleanliness. (23) Soiled combs, brushes, towels, or other used material shall be removed from the tops of work stations immediately after use. (24) Objects dropped on the floor may not be used until they are cleansed and disinfected. (25) All barber chairs and waiting chairs shall be maintained in good repair and in a sanitary condition. #### Regulation .04 Complaints and Violations in Barber Schools. *COMAR 09.16.03.04* A. This regulation applies whenever a complaint is made to the Board by an inspector, member of the Board, or any other person in regard to the sanitary condition of a barber school or the sanitary practice of barbering performed at a barber school. B. Upon receipt of a complaint, in compliance with Business Occupations and Professions Article, §4-511, Annotated Code of Maryland, an inspector shall investigate the complaint, and the Board shall determine if the complaint alleges grounds adequate to warrant action by the Board. C. If the Board determines that the complaint does not allege grounds adequate to warrant action by the Board, the Board shall dismiss the complaint. D. If the Board determines that the complaint does allege grounds adequate to warrant action by the Board, the Board shall notify the owner of the school, or an authorized representative of the school, in writing and provide the owner of the school with an opportunity to correct the violation. E. If the owner corrects each alleged violation within 10 days of the written notification, the Board shall dismiss the complaint and notify the owner. F. If the owner fails to correct each alleged violation within 10 days of the written notification, the Board shall institute and conduct a hearing as provided in State Government Article, Title 10, Subtitle 2, Annotated Code of Maryland. G. If the Board conducts a hearing and concludes that the owner has violated one or more sanitation regulations, the Board may impose a fine not to exceed $300 for each violation. H. The Board shall report the sanitation violation and the amount of fine imposed to the Maryland State Board of Education in regard to a public school or to the Maryland Higher Education Commission in regard to a private career school. #### Regulation .05 Citations to Schools. *COMAR 09.16.03.05* Unless otherwise indicated, the following civil penalties are applicable to the following violations of the laws and regulations of the Board of Barbers discovered by a Board inspector during an inspection of a school: A. Sanitation. (1) Improper Disinfection. (a) Failure to wash implements before disinfection — $150 (b) Failure to properly disinfect implements, bowls, basins, or other areas — $150 (c) Failure to properly store disinfected implements — $150 (2) Improper procedures for cut or blood-related incidents — formal hearing (3) Other. (a) Poor lighting, heating, ventilation — $50 (b) Unclean walls, curtains, or floor coverings — $50 (c) Absence of hot or cold running water — $50 (d) Presence of rodents or insects — $50 (e) Use of school for sleeping or living — $100 (f) Failure to promptly remove hair or debris — $50 (g) Unsanitary restroom — $50 (h) No soap dispenser and disposable towels — $50 (i) Unclean operator's garments — $50 (j) Failure to wash hands before each client — $50 (k) No wet sanitizer containing proper disinfectant solution — $50 (l) No closed drawer or cabinet for disinfected implements at station — $100 (m) Failure to store disinfected implements in closed cabinet or drawer that contains no other objects or substances — $100 (n) Use of neck duster, powder puff, sponge, septic pencil, or lump alum on more than one client — $100 (o) Failure to properly cover head rest for each client — $100 (p) Improper storage or disposal of towels — $50 (q) Insufficient number of combs or brushes — $50 (r) Failure to use protective neck strip — $50 (s) Improperly washed or sanitized shampoo bowl — $50 (t) Failure to remove soiled items from top of work station after use — $50 (u) Use of implements dropped on floor without cleaning and disinfecting — $100 (v) Failure to maintain barber chairs and waiting chairs in a sanitary condition — $50 B. Prohibited Practices. (1) Services on client with infectious or contagious disease — formal hearing (2) Operator with infectious or contagious disease performing services — formal hearing (3) Services on inflamed skin or scalp without physician authorization — formal hearing (4) Removal of corns, calluses, or other growths of skin by cutting — $300 (5) Presence of animal — $100 (6) Sale of used hairpieces — $300 (7) Habitual intoxication or under influence of any drug — formal hearing C. Interference With Inspector—Formal Hearing. ## Subtitle 17 — Board of Stationary Engineers ### Chapter 01 — General Regulations **Authority:** Business Occupations and Professions Article, §§6.5-205, 6.5-304, 6.5-305, 6.5-306, 6.5-311, and 6.5-314(a)(1)(iv), Annotated Code of Maryland **Administrative History:** Effective date: August 5, 2013 (40:15 Md. R. 1229) **Administrative History:** Regulation .02 amended effective May 22, 2017 (44:10 Md. R. 472) **Administrative History:** Regulation .04 adopted effective February 25, 2019 (46:4 Md. R. 190) #### Regulation .01 Responsibilities of Licensee. *COMAR 09.17.01.01* A licensee shall be familiar with and comply with the laws and regulations governing the provision of stationary engineer services. #### Regulation .02 Application for Licensure. *COMAR 09.17.01.02* An applicant who has successfully completed a license examination shall apply for licensure, and pay all applicable fees, within 2 years of successfully completing the license examination in order for the applicant’s test results to remain valid. #### Regulation .03 Boiler Certification. *COMAR 09.17.01.03* If a boiler certification is required, a licensee shall: A. Display conspicuously a current and valid license of each individual assigned to oversee a boiler: (1) Near the regulated machinery; or (2) With the certificate of inspection for the regulated machinery; B. Affix a current photograph to the license; and C. Have available at all times valid government-issued photographic identification. #### Regulation .04 Failure to Respond. *COMAR 09.17.01.04* A. If an applicant or licensee receives from the Board a written communication requesting a response, the applicant or licensee shall respond in writing within 30 days of the date of the mailing. B. The Board shall send a written communication by first-class mail to the last address furnished to the Board by the applicant or licensee. C. It is the responsibility of an applicant or licensee to notify the Board in writing if there has been a change in an applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Board to be a violation of Business Occupations and Professions Article, §6.5-314(a)(1)(ix), Annotated Code of Maryland. ### Chapter 02 — Computerized Monitoring System **Authority:** Article 4, §4-1, Public Laws of Baltimore City **Administrative History:** Effective date: December 27, 2010 (37:26 Md. R. 1786) #### Regulation .01 Scope. *COMAR 09.17.02.01* This chapter governs the duties of licensed stationary engineers and is to be read in conjunction with Maryland Boiler and Pressure Vessel Safety Act, Public Safety Article, Title 12, Subtitle 9, Annotated Code of Maryland. #### Regulation .02 Definitions. *COMAR 09.17.02.02* A. In this chapter, the following terms have the meaning indicated. B. Terms Defined. (1) “Competent authority” means: (a) The boiler manufacturer; or (b) If the boiler manufacturer is unavailable or defers to a jurisdictional authority: (i) A person designated by the Commissioner of Labor and Industry as a Deputy Boiler Inspector or a Special Boiler Inspector; or (ii) A professional engineer who has experience in the design, operation, and maintenance and repair of boilers. (2) “High level” means the level above normal considered unsafe for the operation of the boiler by a competent authority. (3) “High pressure” means the pressure above normal considered unsafe for the operation of the boiler by a competent authority. (4) “High temperature” means the temperature above normal considered unsafe for the operation of the boiler by a competent authority. (5) “Low level” means the level below normal considered unsafe for the operation of the boiler by a competent authority. (6) “Low pressure” means the pressure below normal considered unsafe for the operation of the boiler by a competent authority. (7) “Low temperature” means the temperature below normal considered unsafe for the operation of the boiler by a competent authority. (8) “Normal level” means the level considered safe for the operation of the boiler by a competent authority. (9) “Normal pressure” means the pressure considered safe for the operation of the boiler by a competent authority. (10) “Normal temperature” means the temperature considered safe for the operation of the boiler by a competent authority. #### Regulation .03 Incorporation by Reference. *COMAR 09.17.02.03* Controls and Safety Devices for Automatically Fired Boilers (ASME CSD-1), published by the American Society of Mechanical Engineers, which has been incorporated by reference in COMAR 09.12.01.01-1, is incorporated by reference in this chapter. #### Regulation .04 Monitors and Indicators. *COMAR 09.17.02.04* A. For a boiler, a computerized monitoring system shall qualify as a "24-hour computerized monitoring system and automatic controls," in accordance with Business Occupations and Professions Article, Title 6.5, Annotated Code of Maryland, if it meets the requirements of this regulation. B. For a boiler operating at 30 to 299 horsepower, the system shall monitor and indicate: (1) Stack flue gas temperature; (2) Burner status, including “on” and “off” indicators; (3) Flame safety control status, including “normal” and “flame failure” indicators; and (4) One of the following, as applicable: (a) For steam boilers: (i) Pressure; and (ii) Water level; or (b) For hot water boilers, temperature. C. For a boiler operating at 300 horsepower or more, the system shall monitor, indicate, and record: (1) Stack flue gas temperature; (2) Burner status, including “on” and “off” indicators; (3) Flame safety control status, including “normal” and “flame failure” indicators; and (4) One of the following, as applicable: (a) For steam boilers: (i) Pressure; and (ii) Water level; or (b) For hot water boilers: (i) Pressure; and (ii) Temperature. #### Regulation .05 Automatic Controls. *COMAR 09.17.02.05* A computerized monitoring system shall be equipped with automatic controls in accordance with whichever is more restrictive of the Maryland Boiler and Pressure Vessel Safety Act, Public Safety Article, Title 12, Subtitle 9, Annotated Code of Maryland or ASME CSD-1. #### Regulation .06 Alarm. *COMAR 09.17.02.06* A computerized monitoring system shall be equipped with an alarm that will activate when: A. The stack flue gas reaches a high temperature; B. The burner status indicator indicates the burner is “off”; C. The flame safety control status indicates a “flame failure”; and D. One of the following occurs, as applicable: (1) For steam boilers, the: (a) Steam reaches low or high pressure; or (b) Water reaches low or high level; (2) For a hot water boiler operating at 30 to 299 horsepower, the water reaches low or high temperature; or (3) For a hot water boiler operating at 300 or more horsepower the water reaches low or high: (a) Pressure; (b) Temperature; or (c) Level. #### Regulation .07 Automatic Shutdown. *COMAR 09.17.02.07* A computerized monitoring system shall be equipped with an automatic burner shutdown mechanism that will activate when: A. Stack flue gas reaches high temperature; and B. One of the following occurs, as applicable: (1) For a steam boiler: (a) Steam reaches high pressure; or (b) Water reaches Low or high level; (2) For a hot water boiler operating at 30 to 299 horsepower, water reaches high temperature; or (3) For a hot water boiler operating at 300 or more horsepower, water reaches: (a) High pressure; (b) High temperature; or (c) Low level. #### Regulation .08 Manual Reset. *COMAR 09.17.02.08* A. Subject to §B of this regulation, manual reset following an automatic shutdown as set forth in Regulation .07 of this chapter requires that a licensee or the licensee's designee shall physically inspect the boiler and appurtenances prior to restart. B. Notwithstanding §A of this regulation, the licensee shall be responsible for the safe operation of a boiler at all times in accordance with Business Occupations and Professions Article, §6.5-302, Annotated Code of Maryland. #### Regulation .09 Miscellaneous Provisions. *COMAR 09.17.02.09* The Board may accept an alternate computerized monitoring system if the system is equipped with features that provide a comparable level of safety, monitoring, and control to those required by this regulation, in the opinion of the Board. ### Chapter 03 — Fees **Authority:** Business Occupations and Professions Article, §§6.5-205(a)(1), 6.5-207, 6.5-304, 6.5-306, 6.5-312, and 6.5-313; Business Regulation Article, §§2-106.2, 2-106.9 and 2-106.10; Annotated Code of Maryland **Administrative History:** Effective date: August 27, 2018 (45:17 Md. R. 802) **Administrative History:** Regulation .03 amended effective April 15, 2024 (51:7 Md. R. 332) #### Regulation .01 Purpose. *COMAR 09.17.03.01* This chapter is intended to carry out the provisions of Business Occupations and Professions Article, Title 12, Annotated Code of Maryland, and Business Regulation Article, §§2-106.9 and 2-106.10, Annotated Code of Maryland. In particular, it is intended to set various fees in order to cover the actual documented direct and indirect costs of fulfilling the statutory and regulatory duties of the State Board of Master Electricians, the State Board of Stationary Engineers, the State Board of Plumbing, and the State Board of Heating, Ventilation, Air-Conditioning, and Refrigeration Contractors. #### Regulation .02 Definitions. *COMAR 09.17.03.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Board” means the State Board of Stationary Engineers. (2) “License fee” means the fee paid by an applicant or licensee, as applicable, in connection with the issuance and renewal of a license and the issuance of a limited license and a reciprocal license. (3) “Mechanical boards” means collectively the: (a) State Board of Master Electricians; (b) State Board of Stationary Engineers; (c) State Board of Plumbing; and (d) State Board of Heating, Ventilation, Air-Conditioning, and Refrigeration Contractors. (4) “Secretary” means the Secretary of Labor. #### Regulation .03 Fees and Costs. *COMAR 09.17.03.03* A. The Secretary and the mechanical boards have agreed to average their direct and indirect costs, based on the calculation of costs performed by the Secretary in consultation with the mechanical boards. Based on these calculations, the Board sets the following nonrefundable fees as of January 1, 2024: (1) Original and Renewal License: (a) Grade 1 — $73; (b) Grade 2 — $56; (c) Grade 3 — $56; (d) Grade 4 — $39; and (e) Grade 5 — $39. (2) Application — $28. (3) Reinstatement — $112.50. (4) Letter of Good Standing — $50. B. The Secretary and the mechanical boards have agreed to average their direct and indirect costs, based on the calculation of costs performed by the Secretary in consultation with the mechanical boards. Based on these calculations, the Board sets the following nonrefundable fees as of January 1, 2025: (1) Original and Renewal License: (a) Grade 1 — $82; (b) Grade 2 — $63; (c) Grade 3 — $63; (d) Grade 4 — $43; and (e) Grade 5 — $43. (2) Application — $31.50. (3) Reinstatement — $126. (4) Letter of Good Standing — $50. C. An applicant for an examination or reexamination shall pay an examination or reexamination fee directly to the testing service chosen by the Board to develop or administer the examination, as such fees are established by the testing service selected by the Board. ## Subtitle 18 — Board of Certified Interior Designers ### Chapter 01 — General Regulations **Authority:** Business Occupations and Professions Article, §§8-101, 8-206, 8-207, 8-302—8-305, 8-307, and 8-309; Business Regulation Article, §§2-106.1 and 2-106.2; Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulation .01 adopted as an emergency provision effective January 31, 1994 (21:4 Md. R. 272); emergency status extended at 21:11 Md. R. 948; adopted permanently effective August 15, 1994 (21:16 Md. R. 1382) **Administrative History:** Regulation .01 amended effective July 17, 1995 (22:14 Md. R. 1052) **Administrative History:** Regulation .01 repealed and new Regulations .01—.03 adopted as an emergency provision effective July 1, 2003 (30:14 Md. R. 932); adopted permanently effective November 10, 2003 (30:22 Md. R. 1579) **Administrative History:** Regulation .03A amended effective April 23, 2007 (34:8 Md. R. 767); March 3, 2014 (41:4 Md. R. 300); May 27, 2024 (51:10 Md. R. 524) #### Regulation .01 Purpose. *COMAR 09.18.01.01* This chapter is intended to carry out the provisions of Business Regulation Article, §§2-106.1 and 2.106.2, Annotated Code of Maryland, and Business Occupations and Professions Article, Title 8, Annotated Code of Maryland. In particular, it is intended to set various fees in order to cover the actual documented direct and indirect costs of fulfilling the statutory and regulatory duties of the State Board of Architects, the State Board of Certified Interior Designers, the State Board of Examiners of Landscape Architects, the State Board for Professional Engineers, and the State Board for Professional Land Surveyors. #### Regulation .02 Definitions. *COMAR 09.18.01.02* A. In this chapter, the following terms have the meaning indicated. B. Terms Defined. (1) “Board” means the State Board of Certified Interior Designers. (2) “Certificate fee” means the fee paid by an applicant or certificate holder, as applicable, in connection with the issuance and renewal of a certificate and the issuance of a reciprocal certificate. (3) “Design boards” means collectively the: (a) State Board of Architects; (b) Board; (c) State Board of Examiners of Landscape Architects; (d) State Board for Professional Engineers; and (e) State Board for Professional Land Surveyors. (4) “NCIDQ” means the National Council of Interior Design Qualification. (5) “Secretary” means the Secretary of Labor. #### Regulation .03 Fees and Costs. *COMAR 09.18.01.03* A. The Secretary and the design boards have agreed to average their direct and indirect costs, based on the calculation of costs performed by the Secretary in consultation with the design boards. Based on these calculations, the Board sets the following fees: (1) Certificate fee — $86; (2) Nonrefundable initial application fee payable in connection with: (a) An application for certificate — $39; (b) An application for certificate by reciprocity — $56; (3) Reinstatement fee — $112. B. An applicant shall pay the examination fees directly to the NCIDQ, as these fees are established by NCIDQ. ### Chapter 02 — Code of Ethics **Authority:** Business Occupations and Professions Article, §8-206(b), Annotated Code of Maryland **Administrative History:** Effective date: July 17, 1995 (22:14 Md. R. 1052) **Administrative History:** Regulation .06 adopted effective December 12, 2002 (29:24 Md. R. 1919) **Administrative History:** Regulation .07 adopted effective June 13, 2011 (38:12 Md. R. 704) **Administrative History:** Regulation .07 amended effective August 12, 2019 (46:16 Md. R. 688) #### Regulation .01 Purpose. *COMAR 09.18.02.01* The primary obligation of a certified interior designer when performing interior design services is to protect the health, safety, and welfare of the public. #### Regulation .02 Responsibility to the Public. *COMAR 09.18.02.02* A. In rendering professional services, a certified interior designer shall comply in all respects with applicable laws and regulations pertaining to the practice of interior design. B. A certified interior designer may not engage in any form of false or misleading advertising or promotional activities, including, but not limited to, the falsification or misrepresentation of the work of a certified interior designer or of another person, academic or professional qualifications, degree of responsibility, experience, performance, or licensing status. C. A certified interior designer shall be truthful and objective in all professional communications and public statements. D. A certified interior designer may not seal, stamp, or sign, or permit to have a certified interior designer's name, signature, or stamp be affixed to, any plans, drawings, specifications, or other documents which were not prepared by a certified interior designer or under the certified interior designer's responsible supervising control and direction. E. A certified interior designer may not by affirmative act or failure to act engage in improper, unprofessional, or dishonorable conduct of a character likely to deceive, defraud, or harm the public. F. A certified interior designer may not knowingly associate with, or permit the use of, a certified interior designer's personal or business name in a business venture by a person or a firm which a certified interior designer knows, or has reason to know, is engaged in business or professional practice of a fraudulent or dishonorable nature. G. In rendering professional services, a certified interior designer may not counsel or assist anyone, including, but not limited to, a certified interior designer's client, in conduct a certified interior designer knows, or reasonably is expected to know, is illegal or improper. H. A certified interior designer who has direct knowledge of a violation of a provision of the laws or regulations pertaining to the practice of interior design by another person or entity shall immediately inform the Board of Certified Interior Designers in writing. I. A certified interior designer may not pay, or offer to pay, either directly or indirectly, any commission, political contribution, gift, or other consideration in order to secure work, exclusive of the customary fees payable to employment agencies. #### Regulation .03 Responsibility to the Client. *COMAR 09.18.02.03* A. A certified interior designer shall undertake to perform professional assignments only if the certified interior designer, together with the certified interior designer's consultants, is qualified, by training, education, and experience to perform required services. B. A certified interior designer may not divulge any confidential information about the client or the client's project, unless the certified interior designer reasonably believes that nondisclosure of the information creates a significant risk to public health and safety, or violates the applicable laws or this Code of Ethics. C. A certified interior designer shall fully disclose to the certified interior designer's client all compensation that the certified interior designer receives in connection with a project, and may not accept any form of compensation from a third party in cash or in kind unless the client is informed and does not object to the method or form of compensation. D. A certified interior designer may not knowingly assume or accept any position in which the certified interior designer's personal interests conflict with professional responsibilities. E. A certified interior designer may offer professional services to the client as a consultant, specifier, or supplier on the basis of a fee, percentage, or mark-up, except that a certified interior designer may not request, propose, or accept a commission on a fee basis under circumstances in which the certified interior designer's professional judgment may be compromised. F. Before entering into a written or verbal contract with a client, a certified interior designer shall clearly determine and convey to the client the scope and nature of the project involved, the services to be performed, and the method of remuneration for the services. G. A certified interior designer shall produce studies, drawings, specifications, and other related documents of sufficiently high standards to clearly and accurately indicate all essential parts of the work to which they refer. H. Except for specifications and drawings over which a certified interior designer retains proprietary rights or which the certified interior designer is required by law, or in connection with an investigation by the Board of Certified Interior Designers, to furnish, a certified interior designer may not use specifications, photographs, or drawings of a project without the express permission of a client. #### Regulation .04 Responsibility to Other Certified Interior Designers. *COMAR 09.18.02.04* A. A certified interior designer shall pursue all professional endeavors with honesty, integrity, fairness, and professionalism. B. A certified interior designer may not initiate, participate, or engage in an activity that may reasonably result in interference in the performance by another certified interior designer of a contractual or professional relationship with a client or an unjust injury to another certified interior designer's reputation or business relationship. C. A certified interior designer shall only take credit for services performed by the certified interior designer directly, or by the certified interior designer's firm and under the certified interior designer's supervision or direction. D. A certified interior designer may not: (1) Accept instructions from a client which the certified interior designer knows involve plagiarism; (2) Consciously plagiarize work of another certified interior designer. #### Regulation .05 Responsibility to the Profession. *COMAR 09.18.02.05* A. A certified interior designer shall adhere to and maintain standards of professional and personal conduct that reflect in a responsible manner on the profession. B. In addition to requirements set forth in the law and regulations governing certified interior designers, a certified interior designer shall seek to continually upgrade professional knowledge and competency with respect to the interior design profession. C. A certified interior designer shall, whenever possible, encourage and contribute to the sharing of information and knowledge between certified interior designers and other allied professionals and the public. #### Regulation .06 Sealing Requirements. *COMAR 09.18.02.06* A. A certificate holder may sign and seal plans, specifications, drawings, reports, or any other interior design documents that are required to be signed and sealed under Business Occupations and Professions Article, §8-403, Annotated Code of Maryland, only if the following requirements are met: (1) The certificate holder is competent in the subject matter of the documents by reason of education or experience or both; and (2) The certificate holder either: (a) Personally prepared the documents; or (b) Approved the documents. B. Definition. In §(A)(2)(b) of this regulation, “approved” means the certificate holder: (1) Had direct knowledge and responsible control over the content of the interior design documents during their preparation; and (2) Performed substantive review and had authority to make revisions of the interior design documents during their preparation. C. For the purpose of sealing and signing interior design documents under this regulation, a certificate holder shall obtain an individual seal which shall contain: (1) A depiction of the Great Seal of Maryland in the center of the seal; (2) The certification number of the certificate holder above the depiction of the Great Seal of Maryland; (3) The words “Certified Interior Designer” above the certification number of the certificate holder; (4) The name of the certificate holder below the depiction of the Great Seal of Maryland; and (5) The words “State of Maryland” below the name of the certificate holder. D. The diameter of the seal shall be 2 inches. #### Regulation .07 Failure to Respond. *COMAR 09.18.02.07* A. If an applicant or certificate holder receives from the Board a written communication requesting a response, the applicant or certificate holder shall respond in writing within 30 days of the date of the mailing. B. The Board shall send a written communication by first-class mail to the last known address furnished to the Board by the applicant or certificate holder. C. It is a responsibility of an applicant or certificate holder to notify the Board in writing if there has been a change in the applicant’s or certificate holder’s address. D. Failure to respond as required by this regulation may be considered by the Board to be a violation of Business Occupations and Professions Article, §8-310(a)(1)(vi), Annotated Code of Maryland. ### Chapter 03 — Continuing Education **Authority:** Business and Professions Article, §§8-206(a) and 8-308, Annotated Code of Maryland **Administrative History:** Effective date: January 15, 1996 (23:1 Md. R. 24) **Administrative History:** Regulation .02 amended effective June 29, 2009 (36:13 Md. R. 899) **Administrative History:** Regulation .03 amended effective April 16, 2001 (28:7 Md. R. 689); June 29, 2009 (36:13 Md. R. 899) #### Regulation .01 Purpose. *COMAR 09.18.03.01* The State legislature has determined that it will be in the best interest of the public to require certified interior designers to comply with continuing education requirements as a prerequisite to the renewal of a certificate (the “certificate”) issued by the Board of Certified Interior Designers (the “Board”). #### Regulation .02 Definitions. *COMAR 09.18.03.02* A. Approved Continuing Education Course. (1) “Approved continuing education course” means a continuing education course approved by the Board. In order to qualify as the approved continuing education course, the continuing education course shall: (a) Meet the criteria established by these regulations; and (b) Be submitted in an outline form acceptable to the Board at least 2 months in advance of any regularly scheduled Board meeting in order to be considered at the respective meeting. (2) Subject to the requirements set forth in §B(3) of this regulation, a course approved by the Interior Design Continuing Education Council shall be considered to be an approved course. B. Continuing Education Course. (1) “Continuing education course” means a course which contributes directly to the enhancement of professional competency of an individual to provide interior design services and has a clear purpose and objective of protecting health, safety, and welfare of the public. (2) “Continuing education course” includes the following subject matter: (a) Technical or aesthetic aspects of interior design or principles of sustainable design; (b) Client relations and communications; (c) Compliance with appropriate federal, State, and local laws and regulations, as related to the practice of interior design; and (d) Other courses which foster improvement, advancement, and extension of professional skills and knowledge related to the practice of interior design. (3) “Continuing education course” does not include marketing courses, unless otherwise determined by the Board. C. “Continuing education unit (CEU)” means a unit of credit customarily used for continuing education courses. One CEU equals 10 hours of study in the approved continuing education courses. D. “Qualified sponsor” means a national interior design organization, an accredited college or university, or any other entity recognized by the Board as qualified to offer continuing education courses. E. “Sustainable design” means the design process that utilizes an integrative approach aimed at: (1) The conservation of energy, water, and raw material resources; (2) The prevention of environmental degradation; and (3) The overall creation of healthy, livable, and productive environments. #### Regulation .03 Requirements. *COMAR 09.18.03.03* A. A certified interior designer shall complete a minimum of 1 CEU in two or more approved continuing education courses during each 2-year certificate term. B. As a part of 1 CEU required under §A(1) of this regulation, a certified interior designer shall complete at least 1 hour of study in a course that fulfills the following requirements: (1) The subject matter of the course outlines the principles of sustainable design; (2) The course has been approved by the Interior Design Continuing Education Council and the U.S. Green Building Council; and (3) The course emphasizes the relationship of the concepts of green building and sustainable design to the protection of health, safety, and welfare of the public. C. Notwithstanding the requirement stated in §A of this regulation, if the certificate is granted to a certificate holder during the second year of a certificate term, the certificate holder may renew the certificate for the next full term only if the certificate holder earns 0.5 of the CEU in one or more approved continuing education courses. #### Regulation .04 Determination of Value. *COMAR 09.18.03.04* A. Each hour of attendance or instruction of the approved continuing education course shall equal 1/10th of 1 CEU. B. Credits for the approved continuing education courses shall be based upon the number of hours of attendance or instruction. C. College courses taken for academic credit qualify only if approved pursuant to these regulations. Credit for completed and approved college courses may vary, but in any event may not exceed eight-tenths of 1 CEU. D. Credits may not be considered earned until the completion of the approved continuing education course. #### Regulation .05 Determination of Credits. *COMAR 09.18.03.05* A. The Board shall have the final authority with regard to the approval of courses, sponsors, credit, value for courses, and other matters related to the continuing education requirements. Selection of the approved continuing education courses from the list formulated by the Board is a responsibility of a certificate holder. The list of approved continuing education courses may be amended by the Board at any time the Board finds appropriate. Credits toward the fulfillment of continuing education requirements shall be given only for the approved continuing education courses. B. The following standards shall be used for the determination of credit with regard to the approved continuing education courses: (1) Successful completion of the approved continuing education course offered by the qualified sponsor; (2) Services as a teacher, lecturer, or instructor in interior design and related subjects qualifying for continuing education credit, to be considered by the Board on a case-by-case basis, provided that: (a) Credit may not be given for repetitious presentations or those that cover, in the Board's opinion, substantially the same material, and (b) Not more than 1 CEU may be earned, with no carryover provision for excess hours. #### Regulation .06 Reporting and Record Keeping. *COMAR 09.18.03.06* A. An applicant for certificate renewal shall provide to the Board a signed statement, under penalty of perjury, on an appropriate form supplied by the Board, setting forth the following minimum information for qualification: (1) Name of the qualified sponsor; (2) Location of the approved continuing education course; (3) Title and description of the approved continuing education course; (4) Dates attended; (5) Number of hours claimed; and (6) Other information the Board considers appropriate. B. The Board, at the Board's discretion, may verify the information submitted by a certificate holder. C. The certificate holder shall be responsible for maintaining records used to support credits claimed. The records shall be maintained by certificate holders for a period of at least 2 years from the date of completion of the approved continuing education course. #### Regulation .07 Exceptions. *COMAR 09.18.03.07* The Board may issue a certificate renewal to a certificate holder who has not fully complied with the continuing education requirements set forth in these regulations if the certificate holder's failure to fulfill the requirements was due to one or more of the following reasons: A. Military service on extended active duty with the armed forces of the United States; B. Physical or mental disability, illness, or other similar extenuating circumstances, as supported by an appropriate documentation from a licensed or certified health care professional; C. Other good and valid causes, as may be determined by the Board in the Board's sole discretion. #### Regulation .08 Nonrenewal. *COMAR 09.18.03.08* Failure to comply with these regulations shall result in nonrenewal of the certificate. ## Subtitle 19 — Commission of Real Estate Appraisers, Appraisal Management Companies, and Home Inspectors — Real Estate Appraisers ### Chapter 01 — Appraiser Classifications **Authority:** Business Occupations and Professions Article, §§16-101(k), 16-208(a), 16-216, 16-220, 16-503(f), and 16-509, Annotated Code of Maryland **Administrative History:** Effective date: September 30, 1991 (18:19 Md. R. 2099) **Administrative History:** Regulation .01 amended as an emergency provision effective December 1, 1991 (18:25 Md. R. 2748); emergency status expired May 1, 1992; adopted permanently effective September 28, 1992 (19:19 Md. R. 1705) **Administrative History:** Regulation .01 amended effective November 24, 2014 (41:23 Md. R. 1371) **Administrative History:** Regulation .01E adopted as an emergency provision effective December 1, 2000 (27:25 Md. R. 2277); emergency status expired June 1, 2001; adopted permanently effective February 18, 2002 (29:3 Md. R. 219) #### Regulation .01 Appraiser Classifications. *COMAR 09.19.01.01* A. An individual who is a licensed real estate appraiser is entitled to provide real estate appraisal services in connection with noncomplex one to four residential units having a transaction value less than $1,000,000, complex one to four residential units having a transaction value of less than $250,000, and commercial properties having a transaction value of less than $250,000. B. An individual who is a certified residential real estate appraiser is entitled to provide real estate appraisal services in connection with one to four residential units without regard to value or complexity and commercial properties having a transaction value of less than $250,000. C. An individual who is a certified general real estate appraiser is entitled to provide real estate appraisal services in connection with all types of real property without regard to value, complexity, or whether the property is residential or commercial. D. In addition to the appraisal services stated in §§A—C of this regulation, a certified or licensed appraiser may provide real estate appraisal services in accordance with regulations adopted by a federal financial institutions regulatory agency or the Resolution Trust Corporation pursuant to 12 U.S.C. §3341. E. An individual who is a real estate appraiser trainee may provide real estate appraisal services in accordance with Business Occupations and Professions Article, §16-101, Annotated Code of Maryland, and as stated in §§A—D of this regulation, while: (1) Under the supervision of a certified residential or certified general real estate appraiser; and (2) In training to become a certified or licensed real estate appraiser. ### Chapter 02 — Educational Requirements **Authority:** Business Occupations and Professions Article, §§16-208(a), 16-216, 16-220, 16-302(d)(1) and (3) and (g), 16-308,16-309, 16-503(b)(1)(iii), (3), and (4), (e), and (f), 16-511, and 16-5A-01, Annotated Code of Maryland **Administrative History:** Effective date: September 30, 1991 (18:19 Md. R. 2099) **Administrative History:** Regulation .01 amended effective January 14, 2008 (35:1 Md. R. 17); January 1, 2015 (41:23 Md. R. 1372); January 27, 2020 (47:2 Md. R. 62) **Administrative History:** Regulation .01A amended as an emergency provision effective January 1, 1998 (25:2 Md. R. 73); emergency status expired June 30, 1998; amended permanently effective August 24, 1998 (25:17 Md. R. 1360) **Administrative History:** Regulation .01B amended effective September 12, 1994 (21:18 Md. R. 1509) **Administrative History:** Regulation .01C amended as an emergency provision effective January 1, 1998 (25:2 Md. R. 73); emergency status expired June 30, 1998; amended permanently effective August 24, 1998 (25:17 Md. R. 1360) **Administrative History:** Regulation .01D adopted as an emergency provision effective December 1, 2000 (27:25 Md. R. 2277); emergency status expired June 1, 2001; adopted permanently effective February 18, 2002 (29:3 Md. R. 219) **Administrative History:** Regulation .02 amended effective January 14, 2008 (35:1 Md. R. 17) **Administrative History:** Regulation .02A amended effective September 12, 1994 (21:18 Md. R. 1509) **Administrative History:** Regulation .02A amended as an emergency provision effective January 1, 1998 (25:2 Md. R. 73); emergency status expired June 30, 1998; amended permanently effective August 24, 1998 (25:17 Md. R. 1360) **Administrative History:** Regulation .03 amended effective January 14, 2008 (35:1 Md. R. 17) **Administrative History:** Regulation .03A amended as an emergency provision effective January 1, 1998 (25:2 Md. R. 73); emergency status expired June 30, 1998; amended permanently effective August 24, 1998 (25:17 Md. R. 1360) **Administrative History:** Regulation .03B amended effective September 12, 1994 (21:18 Md. R. 1509) **Administrative History:** Regulation .03C amended as an emergency provision effective January 1, 1998 (25:2 Md. R. 73); emergency status expired June 30, 1998; amended permanently effective August 24, 1998 (25:17 Md. R. 1360) **Administrative History:** Regulation .03D, E amended effective January 1, 2015 (41:23 Md. R. 1372) **Administrative History:** Regulation .03E, F adopted as an emergency provision effective December 1, 2000 (27:25 Md. R. 2277); emergency status expired June 1, 2001; adopted permanently effective February 18, 2002 (29:3 Md. R. 219) **Administrative History:** Regulation .03G adopted effective March 31, 2003 (30:6 Md. R. 420) **Administrative History:** Regulation .04A amended as an emergency provision effective December 1, 2000 (27:25 Md. R. 2277); emergency status expired June 1, 2001; adopted permanently effective February 18, 2002 (29:3 Md. R. 219) **Administrative History:** Regulation .04A amended effective March 17, 2014 (41:5 Md. R. 343) **Administrative History:** Regulation .04A, B amended as an emergency provision effective January 1, 1998 (25:2 Md. R. 73); emergency status expired June 30, 1998; amended permanently effective August 24, 1998 (25:17 Md. R. 1360) **Administrative History:** Regulation .04A, B amended effective March 31, 2003 (30:6 Md. R. 420) **Administrative History:** Regulation .04B amended as an emergency provision effective January 14, 2026 (53:8 Md. R. 354) **Administrative History:** Regulation .04B, D amended effective May 15, 2023 (50:9 Md. R. 378) **Administrative History:** Regulation .04D, E amended effective January 1, 2015 (41:23 Md. R. 1372) **Administrative History:** Regulation .04F adopted effective January 7, 2013 (39:26 Md. R. 1663) **Administrative History:** Regulation .04G adopted effective January 1, 2015 (41:23 Md. R. 1372) #### Regulation .01 Eligibility to Take Examination or Obtain Original Trainee License. *COMAR 09.19.02.01* A. Licensed Real Estate Appraisers. Except as provided in COMAR 09.19.04, to be eligible to sit for the licensed real estate appraisers examination, an applicant shall hold a valid trainee appraiser license and shall have successfully completed 150 classroom hours of study in accordance with the Appraiser Qualifications Board core curriculum as set forth in Regulation .03B of this chapter that includes: (1) The 15-hour National USPAP Course or an equivalent course approved by the Appraisal Qualifications Board; and (2) 75 hours in: (a) Residential market analysis and highest and best use — 15 hours; (b) Residential appraiser site valuation and cost approach — 15 hours; (c) Residential sales comparison and income approaches — 30 hours; and (d) Residential report writing and case studies — 15 hours. B. Residential Real Estate Appraisers. To be eligible to sit for the certified residential real estate appraisers examination, an applicant shall have successfully completed: (1) 200 classroom hours of study; and (2) One of the following: (a) A bachelor’s degree or higher from an accredited college or university; (b) An associate’s degree, or higher, from an accredited college, junior college, or community college in a field of study related to: (i) Business administration; (ii) Accounting; (iii) Finance; (iv) Economics; or (v) Real estate; (c) 30 semester credit hours of college-level courses that cover 3 semester hours in each of the following specific topic areas: (i) English composition; (ii) Microeconomics; (iii) Macroeconomics; (iv) Finance; (v) Algebra; (vi) Statistics; (vii) Computer science; (viii) Business or real estate law; and (ix) 2 elective courses in any of the topics listed in §B(2)(c)(i)—(viii) of this regulation or in accounting, geography, agricultural economics, business management, or real estate; (d) Successful completion of at least 30 semester hours of college-level examination program (CLEP) examinations from each of the following subject matter areas: (i) College algebra — 3 semester hours; (ii) College composition — 6 semester hours; (iii) College composition modular — 6 semester hours; (iv) College mathematics — 6 semester hours; (v) Principles of macroeconomics — 3 semester hours; (vi) Principles of microeconomics — 3 semester hours; (vii) Introductory business law — 3 semester hours; and (viii) Information systems — 3 semester hours; or (e) Any combination of §B(2)(c) or (d) of this regulation that ensures coverage of all topics and hours identified in §B(2)(c) of this regulation. C. As an alternative to the requirements of §B(2)(c) of this regulation, an individual who has held a real estate appraiser license for a minimum of 5 years may qualify for a residential real estate appraiser certificate by satisfying all of the following: (1) No record of any adverse, final, and non-appealable disciplinary action affecting the licensee’s legal eligibility to engage in appraisal practice within the 5 years immediately preceding the date of application for a residential real estate appraiser certificate; and (2) Successful completion of the required Appraiser Qualifications Board core curriculum as set forth in Regulation .03B of this chapter; and (3) Successful completion of the additional required qualifying education as set forth in §D of this regulation. D. An individual holding valid trainee appraiser license may satisfy the educational requirements for a residential appraiser certificate by successful completion of Appraiser Qualifications Board core curriculum as set forth in Regulation .03B of this chapter. E. An individual holding a valid real estate appraiser license may satisfy the educational requirements for a residential real estate appraiser certificate by successful completion of the: (1) Appraiser Qualifications Board core curriculum as set forth in Regulation .03B of this chapter; and (2) Additional qualifying education including: (a) Statistics, modeling, and finance — 15 hours; (b) Advanced residential applications and case studies — 15 hours; and (c) Appraisal subject matter electives — 20 hours. F. An individual holding a valid trainee appraiser license may qualify for a real estate appraiser license by satisfying the college-level education requirements as set forth in §B(2) of this regulation. G. An individual holding a valid real estate appraiser license who does not meet the requirements set forth in §C of this regulation may qualify for a residential appraiser certificate by satisfying the college-level education requirements as set forth in §B(2) of this regulation. H. General Real Estate Appraisers. To be eligible to sit for the certified general real estate appraisers examination, an applicant shall have completed: (1) 300 classroom hours of study; and (2) A bachelor’s degree or higher from an accredited college or university. I. To be eligible for a real estate appraiser trainee license, an applicant, within the 5 year period prior to the date of submission of an application for a real estate appraiser trainee license, shall have completed: (1) 75 hours of classroom study which comply with this regulation; and (2) A Commission-approved course oriented toward trainee appraiser expectations and responsibilities. #### Regulation .02 Minimum Requirements for Approved Courses. *COMAR 09.19.02.02* A. A course hour may not be considered as part of the 90-hour, 120-hour, or 180-hour, or on and after January 1, 2008, the 150-hour, 200-hour, or 300-hour, requirement of Regulation .01 of this chapter unless it has been approved by the Commission. B. A course may not be approved by the Commission unless the: (1) Course is at least 15 hours in length; and (2) Individual passes an examination at the completion of the course. C. In determining whether a course is 15 hours in duration, the time during which the required examination is given is counted as part of the 15 hours. D. A classroom hour is 50 minutes out of each 60-minute segment. E. An individual may be given up to one half of an individual's continuing education requirement for participation, other than as a student, in appraisal educational processes and programs. Credit for instructing any given course or seminar may be awarded only once during a continuing education cycle. F. The Commission may approve courses taken at any time. All courses, however, whether taken before or after July 1, 1990, shall meet the requirements of this regulation, including but not limited to the 15-hour and examination requirements. #### Regulation .03 Required Courses. *COMAR 09.19.02.03* A. Effective January 1, 2008, in order to meet the 150-hour requirement set forth in Regulation .01 of this chapter, an applicant shall, at a minimum, have completed the required Appraiser Qualifications Board core curriculum for the licensed education requirements, as follows: (1) Basic appraisal principles — 30 hours; (2) Basic appraisal procedures — 30 hours; (3) The 15-hour national Uniform Standards of Professional Appraisal Practice course or its equivalent — 15 hours; (4) Residential market analysis and highest and best use — 15 hours; (5) Residential appraiser site valuation and cost approach — 15 hours; (6) Residential sales comparison and income approaches — 30 hours; and (7) Residential report writing and case studies — 15 hours. B. Effective January 1, 2008, in order to meet the 200-hour requirement set forth in Regulation .01 of this chapter, an applicant shall, at a minimum, have completed the required Appraiser Qualifications Board core curriculum for the certified residential education requirements, as follows: (1) Basic appraisal principles — 30 hours; (2) Basic appraisal procedures — 30 hours; (3) The 15-hour national Uniform Standards of Professional Appraisal Practice course or its equivalent — 15 hours; (4) Residential market analysis and highest and best use — 15 hours; (5) Residential appraiser site valuation and cost approach — 15 hours; (6) Residential sales comparison and income approaches — 30 hours; (7) Residential report writing and case studies — 15 hours; (8) Statistics, modeling and finance — 15 hours; (9) Advanced residential applications and case studies — 15 hours; and (10) Appraisal subject matter electives — 20 hours. C. Effective January 1, 2008, in order to meet the 300-hour requirement set forth in Regulation .01 of this chapter, an applicant shall, at a minimum, have completed the required Appraiser Qualifications Board core curriculum for the certified general education requirements, as follows: (1) Basic appraisal principles — 30 hours; (2) Basic appraisal procedures — 30 hours; (3) The 15-hour national Uniform Standards of Professional Appraisal Practice course or its equivalent — 15 hours; (4) General appraiser market analysis and highest and best use — 30 hours; (5) Statistics, modeling and finance — 15 hours; (6) General appraiser site comparison approach — 30 hours; (7) General appraiser site valuation and cost approach — 30 hours; (8) General appraiser income approach — 60 hours; (9) General appraiser report writing and case studies — 30 hours; and (10) Appraisal subject matter electives — 30 hours. D. Effective January 1, 2015, in order to meet the 75-hour requirement and the Trainee Appraiser Expectation and Responsibilities Course set forth in Regulation .01D of this chapter, an applicant shall, at a minimum, have completed the required Appraiser Qualifications Board core curriculum for the trainee education requirements, as follows: (1) Basic appraisal principles — 30 hours; (2) Basic appraisal procedures — 30 hours; (3) The 15-hour national Uniform Standards of Professional Appraisal Practice course or its equivalent — 15 hours; and (4) Trainee appraiser and responsibilities course. E. Continuing education credit may be granted for educational offerings that: (1) Are consistent with the purpose of ensuring that appraisers participate in a program that maintains and increases their skill, knowledge, and competency in real property appraising; and (2) Cover real property related appraisal topics, including, but not limited to: (a) Ad valorem taxation; (b) Arbitration and dispute resolution; (c) Courses related to the practice of real estate appraisal or consulting; (d) Development cost estimating; (e) Ethics and standards of professional practice under the Uniform Standards of Professional Appraisal Practice; (f) Land use planning and zoning; (g) Management, leasing, and timesharing; (h) Property development and partial interests; (i) Real estate law, easements, and legal interests; (j) Real estate litigation, damages, and condemnation; (k) Real estate financing and investment; (l) Real estate appraisal related computer applications; (m) Real estate securities and syndication; (n) Developing opinions of real property value in appraisal that also include personal property and/or business value; (o) Seller concessions and impact on value; and (p) Energy efficient items and “green building” appraisals. F. Requirement for Appraisal Standards of Conduct and Ethics. (1) Effective January 1, 2003, individuals seeking to meet the educational requirement under this regulation shall successfully complete the 15-hour national Uniform Standards of Professional Appraisal Practice (USPAP) course or its equivalent for qualifying education, as determined by the Appraiser Qualifications Board (AQB) of the Appraisal Foundation. (2) The course shall be taken from an instructor who is: (a) An AQB certified USPAP instructor; and (b) A State certified residential appraiser or State certified general appraiser. #### Regulation .04 Continuing Education. *COMAR 09.19.02.04* A. Renewal Requirements. (1) In order to be considered for renewal as a certified general real estate appraiser, certified residential real estate appraiser, licensed real estate appraiser, or appraiser trainee, the applicant shall have completed 14 hours of continuing education for each year or portion thereof the applicant has been certified or licensed, since the initial issuance of the license held or, if appropriate, the most recent renewal. These courses shall be approved by the Commission as set forth in this regulation. (2) A total of not less than 42 hours of continuing education during each license term is required for renewal. (3) A licensee or certificate holder shall complete the continuing education required by §A(1)—(2) of this regulation prior to filing any application for renewal of a license or certificate, notwithstanding the expiration date for the license or certificate to be renewed. (4) Failure to complete the continuing education required by §A(1) — (2) of this regulation in advance of filing any application for renewal of a license or certificate may be considered by the Commission to be a violation of Business Occupations and Professions Article, §16-701(a)(1)(i), Annotated Code of Maryland, among other potential violations related to failure to complete the required continuing education hours. B. Required Subject Matter for Continuing Education. (1) Required Continuing Education in Professional Appraisal Standards, Ethics, Fair Housing, Discrimination, and Bias. (a) Effective January 1, 2003, all currently licensed appraisers, certified appraisers, and appraiser trainees, at least once every 2 calendar years, shall successfully complete the 7-hour national Uniform Standards of Professional Appraisal Practice (USPAP) update course, or its equivalent as determined by the Appraiser Qualifications Board (AQB) of the Appraisal Foundation. (b) For licenses and certificates expiring on or after March 1, 2026: (i) Any currently licensed appraiser, certified appraiser, and appraiser trainee shall complete a 7-hour course the first time they meet the AQB education requirement for Valuation Bias and Fair Housing Laws and Regulations Outline; and (ii) All currently licensed appraisers, certified appraisers, and appraiser trainees applying for license or certificate renewal shall successfully complete during the preceding 3-year license cycle a 4-hour Valuation Bias and Fair Housing Laws and Regulations course. (c) If obtaining a new credential or upgrading an existing credential individuals shall complete an 8-hour course to meet AQB education requirements in Valuation Bias and Fair Housing Laws and Regulations Outline that includes 7 hours of instruction and a 1-hour exam; and (d) Every 2 calendar years thereafter, the course length must be at least 4 hours. (2) The course required by §B(1)(a) of this regulation shall be taken from an instructor who is: (a) An AQB certified USPAP instructor; and (b) A State certified residential appraiser or State certified general appraiser. C. A classroom hour is 50 minutes out of each 60-minute segment. D. The Commission may not approve a continuing education course unless the course: (1) Is at least 2 hours in duration; (2) Is taught by an approved educational provider; and (3) Covers real estate appraisal-related topics, including but not limited to: (a) Ad valorem taxation; (b) Arbitration and dispute resolution; (c) Courses related to real estate appraisal or consulting; (d) Development cost estimating; (e) Ethics and standards of professional practice (USPAP); (f) Land use planning and zoning; (g) Management, leasing, and timesharing; (h) Property development and partial interests; (i) Real estate law, easements, and legal interests; (j) Real estate litigation, damages, and condemnation; (k) Real estate financing and investment; (l) Real estate appraisal related computer applications; (m) Real estate securities and syndication; (n) Developing opinions of real property value in appraisals that also include personal property and/or business value; (o) Seller concessions and impact on value; (p) Energy efficient items and “green building” appraisals; (q) Training in racial discrimination; and (r) Training in implicit bias or appraisal bias. E. The Commission may approve up to one half of an individual’s continuing education credit for participation, other than as a student, in appraisal educational processes and programs. Examples of activities for which credit may be granted are teaching, program development, authorship of textbooks, or similar activities which are determined to be equivalent to obtaining continuing education. F. The Commission may grant a licensee or certificate holder no more than 8 hours of credit for instruction per day for courses of continuing education. G. The Commission may not grant a licensee or certificate holder credit for completion of the same continuing education course offering within the appraiser’s continuing education cycle, with the exception of the 7-Hour National USPAP Update Course, or its AQB-approved equivalent. **Emergency Action:** 53:8 26-056-E (Regulations .04) EMERGENCY ACTION IN EFFECT 1/14/2026 — 7/13/2026 #### Regulation .05 Approved Educational Providers. *COMAR 09.19.02.05* A. A course may not be credited towards the hours necessary to satisfy either the educational prerequisites for examination or for continuing education unless the course has been taught by a provider approved by the Commission. B. Accredited universities and colleges, including community and junior colleges, are approved. C. Other providers will be approved by the Commission if the Commission is satisfied that the provider is capable of providing courses which meet the educational requirements of this chapter. ### Chapter 03 — Work Experience Requirements **Authority:** Business Occupations and Professions Article, §§16-208(a), 16-216, 16-220, 16-302(d)(1) and (2) and (g), and 16-503(b)(1)(iii) and (2), (e), and (f), Annotated Code of Maryland **Administrative History:** Effective date: September 30, 1991 (18:19 Md. R. 2099) **Administrative History:** Regulation .01 amended effective January 13, 2022 (49:1 Md. R. 13) **Administrative History:** Regulation .01A amended effective March 15, 2004 (31:5 Md. R. 447) **Administrative History:** Regulation .01B, C amended effective August 24, 1998 (25:17 Md. R. 1360) **Administrative History:** Regulation .02 amended effective May 23, 2005 (32:10 Md. R. 924) **Administrative History:** Regulation .03 repealed effective January 14, 2019 (46:1 Md. R. 11) #### Regulation .01 Eligibility to Take Examination. *COMAR 09.19.03.01* A. Except as provided in COMAR 09.19.04, to be eligible to sit for the licensed real estate appraisers examination, an applicant shall have 1,000 hours of appraisal work experience which complies with this regulation. This experience shall have been acquired over a period of no less than 6 months. B. To be eligible to sit for the certified residential real estate appraisers examination, an applicant shall have a minimum of 1,500 hours of appraisal work experience which complies with this regulation. This experience shall have been acquired over a period of no less than 12 months. C. To be eligible to sit for the certified general real estate appraisers examination, an applicant shall have a minimum of 3,000 hours of appraisal work experience which complies with this regulation. This experience shall have been acquired over a period of no less than 18 months. Of the 3,000 required hours, at least 1,500 shall have been in nonresidential real property appraisal work. #### Regulation .02 Acceptable Work Experience. *COMAR 09.19.03.02* Acceptable work experience includes but is not limited to the following: A. Fee and staff appraisals; B. Ad valorem tax appraisals; C. Review appraisals which are performed in accordance with Standard 3 of the Uniform Standards of Professional Appraisal Practice which is incorporated by reference under 55 FR 53613 (December 31, 1990); D. Appraisal analysis; E. Real estate counseling; F. Highest and best use analysis; G. Feasibility analysis or study; and H. Market analyses that are prepared in accordance with Standards 1 and 2 of the Uniform Standards of Professional Appraisal Practice which are incorporated by reference under 55 FR 53613 (December 31, 1990). ### Chapter 04 — Supervising Appraisers and Appraiser Trainees **Authority:** Business Occupations and Professions Article, §§16-101(r) and (s), 16-216, 16-220, and 16-5A-03, Annotated Code of Maryland **Administrative History:** Effective date: September 30, 1991 (18:19 Md. R. 2099) **Administrative History:** Regulations .01—.02 repealed and new Regulations .01—.02 adopted effective November 9, 2015 (42:22 Md. R. 1377) #### Regulation .01 Supervising Appraisers. *COMAR 09.19.04.01* A. To be eligible to serve as a supervising appraiser, an individual: (1) Shall be in good standing; (2) May not have been subject to any disciplinary action within the immediately preceding 3 years; and (3) Shall have held a certified residential or certified general real estate appraisal license for at least 3 years. B. A supervising appraiser may supervise a maximum of three appraiser trainees at one time. C. A supervising appraiser must complete a Commission-approved course that, at a minimum, complies with the specifications for course content established by the AQB and is oriented toward the requirements, expectations and responsibilities of supervisory appraisers. D. A supervising appraiser shall notify the Commission on a form prescribed by the Commission of the commencement or termination of a supervisory relationship with a real estate appraiser trainee no later than 10 days after the commencement or termination. E. A supervising appraiser shall approve, sign and accept responsibility for each appraisal report prepared by a trainee under the supervision of the supervising appraiser. #### Regulation .02 Appraiser Trainees. *COMAR 09.19.04.02* A. A real estate appraiser trainee shall notify the Commission on form prescribed by the Commission of the commencement or termination of a supervisory appraiser relationship with a supervising appraiser no later than 10 days after the commencement or termination. B. To obtain experience credit for appraisals, the real estate appraiser trainee must sign the appraisal report, sign the certification of the appraisal report, or have their name and significant appraisal assistance conspicuously identified in the appraisal report. ### Chapter 05 — Code of Ethics **Authority:** Business Occupations and Professions Article, §§16-208, 16-216, 16-220, 16-302(d) and (g), and 16-503(b) and (f), Annotated Code of Maryland **Administrative History:** Effective date: September 30, 1991 (18:19 Md. R. 2099) **Administrative History:** Regulation .01 repealed and new Regulations .01—.03 adopted effective August 30, 1993 (20:17 Md. R. 1345) **Administrative History:** Chapter revised as an emergency provision effective February 1, 1996 (23:4 Md. R. 269); revised permanently effective July 1, 1996 (23:13 Md. R. 943) **Administrative History:** Regulation .01B amended as an emergency provision effective May 15, 1997 (24:11 Md. R. 791); emergency status expired November 14, 1997 (Emergency provisions are temporary and not printed in COMAR) **Administrative History:** Regulation .01B amended as an emergency provision effective February 12, 1998 (25:5 Md. R. 366); emergency status expired July 11, 1998; amended permanently effective August 24, 1998 (25:17 Md. R. 1360) **Administrative History:** Regulation .01B amended as an emergency provision effective March 31, 1999 (26:8 Md. R. 613); emergency status expired September 28, 1999 **Administrative History:** Regulation .01B amended effective November 1, 1999 (26:22 Md. R. 1691) **Administrative History:** Regulation .01B amended as an emergency provision effective February 25, 2000 (27:7 Md. R. 703); amended permanently effective August 21, 2000 (27:16 Md. R. 1523) **Administrative History:** Regulation .01B amended as an emergency provision effective February 20, 2001 (28:6 Md. R. 619); amended permanently effective June 25, 2001 (28:12 Md. R. 1106) **Administrative History:** Regulation .01B amended as an emergency provision effective January 31, 2002 (29:4 Md. R. 411); emergency status expired July 29, 2002; adopted permanently effective August 19, 2002 (29:16 Md. R. 1288) **Administrative History:** Regulation .01B amended as an emergency provision effective March 20, 2003 (30:8 Md. R. 538); emergency status extended at 30:25 Md. R. 1843; emergency status expired January 20, 2004; amended permanently effective March 1, 2004 (31:4 Md. R. 314) **Administrative History:** Regulation .01B amended effective January 6, 2005 (31:26 Md. R. 1861); August 1, 2005 (32:15 Md. R. 1320); September 10, 2007 (34:18 Md. R. 1579); October 6, 2008 (35:20 Md. R. 1774); November 15, 2010 (37:23 Md. R. 1610); October 29, 2012 (39:21 Md. R. 1378) **Administrative History:** Regulation .01B amended as an emergency provision effective January 1, 2014 (41:3 Md. R. 199); amended permanently effective May 12, 2014 (41:9 Md. R. 520) **Administrative History:** Regulation .01B amended as an emergency provision effective January 1, 2016 (42:26 Md. R. 1593); amended permanently effective May 23, 2016 (43:10 Md. R. 585) **Administrative History:** Regulation .01B amended as an emergency provision effective January 1, 2018 (45:5 Md. R. 284); amended permanently effective March 12, 2018 (45:5 Md. R. 285) **Administrative History:** Regulation .03 adopted effective March 18, 2002 (29:5 Md. R. 502) **Administrative History:** Regulation .01 repealed and new Regulation .01 adopted effective July 12, 2021 (48:14 Md. R. 538) #### Regulation .01 Uniform Standards of Professional Appraisal Practice. *COMAR 09.19.05.01* In compliance with Business Occupations and Professions Article, §16-208(b), Annotated Code of Maryland, the Commission adopts the most recent version of the Uniform Standards of Professional Appraisal Practice (The Appraisal Foundation), including Preamble, Ethics Rule, Competency Rule, Scope of Work Rule, Jurisdictional Exception, Supplemental Standards, Definitions and Standards 1, 2, 3, and 4 with all related Standard Rules and Statements on Appraisal Standards, as it may be amended, modified, or updated from time to time. #### Regulation .02 Compliance with State Law. *COMAR 09.19.05.02* While performing an appraisal, licensed and certified appraisers shall abide by each provision of the Maryland Real Estate Appraisers Act, Business Occupations and Professions Article, §16-101 et seq., Annotated Code of Maryland, including each provision of §16-701. #### Regulation .03 Responsibilities of Licensees and Certificate Holders. *COMAR 09.19.05.03* A. A licensee or certificate holder shall respond to the Commission in writing within 30 days of receipt of a written communication from the Commission to the licensee or certificate holder. B. The Commission shall send written communications by certified and first class mail to the last address furnished to the Commission by the licensee or certificate holder. ### Chapter 06 — Hearing Regulations **Authority:** Business Occupations and Professions Article, §16-216, Annotated Code of Maryland **Administrative History:** Effective date: October 28, 1991 (18:21 Md. R. 2307) **Administrative History:** Regulations .01—.08 repealed and new Regulation .01 adopted effective March 15, 2004 (31:5 Md. R. 447) #### Regulation .01 Contested Case Hearings. *COMAR 09.19.06.01* A. Except as provided in §§B and C of this regulation, all contested case hearings before the Commission are governed by COMAR 09.01.02. B. Contested case hearings before the Commission shall be conducted before the Real Estate Appraisal Hearing Board in accordance with Business Occupations and Professions Article, §§16-210 and 16-211, Annotated Code of Maryland. C. In accordance with Business Occupations and Professions Article, §16-211(d), Annotated Code of Maryland, the Commission or any of its members may file an exception to the decision of the Hearing Board within 15 days after the filing of the Hearing Board's decision. D. If a timely exception under §C of this regulation is filed, the Commission shall set the matter in for a hearing before the Commission. E. All contested hearings delegated to the Office of Administrative Hearings are governed by COMAR 09.01.03. ### Chapter 07 — Fees **Authority:** Business Occupations and Professions Article, §§16-216, 16-217, 16-220, 16-303, 16-304(d), 16-308, 16-310, 16-505, 16-506(d), 16-510—16-512, 16-5A-01, and 16-5A-04, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulation .01 adopted as an emergency provision effective September 4, 1991 (18:22 Md. R. 2391); emergency status expired February 4, 1992; adopted permanently effective June 8, 1992 (19:11 Md. R. 1015) **Administrative History:** Regulation .01 amended effective March 1, 1993 (20:4 Md. R. 371); March 15, 2004 (31:5 Md. R. 447); May 23, 2005 (32:10 Md. R. 924) **Administrative History:** Regulation .01 amended as an emergency provision effective May 6, 1993 (20:11 Md. R. 911); amended permanently effective August 30, 1993 (20:17 Md. R. 1345) **Administrative History:** Regulation .01A amended as an emergency provision effective May 1, 1994 (21:11 Md. R. 949); emergency status expired November 1, 1994; amended permanently effective November 7, 1994 (21:22 Md. R. 1875) **Administrative History:** Regulation .01A amended as an emergency provision effective December 16, 2005 (33:1 Md. R. 34); amended permanently effective May 22, 2006 (33:10 Md. R. 881) **Administrative History:** Regulation .01B amended as an emergency provision effective December 1, 2000 (27:25 Md. R. 2277); emergency status expired June 1, 2001; adopted permanently effective February 18, 2002 (29:3 Md. R. 219) **Administrative History:** Regulation .01B amended effective January 1, 2012 (38:25 Md. R. 1581) **Administrative History:** Regulation .01C amended effective September 26, 2016 (43:19 Md. R. 1071) **Administrative History:** Regulation .01C, D amended as an emergency provision effective February 24, 2012 (39:6 Md. R. 405); amended permanently effective May 28, 2012 (39:10 Md. R. 659) #### Regulation .01 Fees Owed the Commission. *COMAR 09.19.07.01* A. Pursuant to Business Occupations and Professions Article, §§16-304(d) and 16-506(d), Annotated Code of Maryland, an applicant for examination or reexamination shall pay an examination fee of $100. B. At the time a license or certificate is issued by the Commission, the licensee or certificate holder shall pay to the Commission $40 for each year for which the license is issued. This fee will be transmitted to the Appraisal Subcommittee of the Federal Financial Institutions Examinations Council as required by 12 U.S.C. §3338. C. Pursuant to Business Occupations and Professions Article, Title 16, Annotated Code of Maryland, the Commission shall set fees to produce funds to approximate the cost of maintaining the Commission. Fees charged by the Commission are as follows: (1) Copy of the annual roster — $25; (2) Certification of good standing — $15; (3) Reciprocal license application fee — $250; (4) Reciprocal certificate application fee — $250; (5) Temporary permit — $75; (6) Original license application fee — $250; (7) Original certificate application fee — $250; (8) Original appraiser trainee application fee — $150; (9) Renewal license fee — $250; (10) Renewal certificate fee — $250; (11) Renewal appraiser trainee fee — $150; (12) Reinstatement license fee — $75; (13) Reinstatement certificate fee — $75. D. The failure without good cause to pay any of the fees or charges set forth in this regulation shall be grounds for disciplinary action under Business Occupations and Professions Article, §16-701(a)(1)(xiii), Annotated Code of Maryland. ### Chapter 08 — Temporary Permits and Reciprocity **Authority:** Business Occupations and Professions Article, §§16-216, 16-220, 16-305, and 16-507, Annotated Code of Maryland **Administrative History:** Effective date: March 2, 1992 (19:4 Md. R. 473) **Administrative History:** Regulation .01 amended effective March 15, 2004 (31:5 Md. R. 448); May 23, 2005 (32:10 Md. R. 925) **Administrative History:** Regulation .01B amended as an emergency provision effective January 30, 2006 (33:4 Md. R. 349); amended permanently effective May 22, 2006 (33:10 Md. R. 881) **Administrative History:** Regulation .02 amended effective September 26, 2016 (43:19 Md. R. 1072); March 31, 2025 (52:6 Md. R 267) #### Regulation .01 Temporary Permits. *COMAR 09.19.08.01* A. The Commission may issue a temporary permit allowing an individual to provide, on a temporary basis, certified or licensed real estate appraisal services in the State, if the: (1) Individual is licensed or certified in another state; (2) Property to be appraised is located in Maryland; (3) Appraiser's business is of a temporary nature in Maryland; (4) Individual files an application for a temporary permit on a form prepared by the Commission; and (5) Individual pays the fee set by the Commission. B. A temporary permit: (1) May be issued only for a particular appraisal assignment; (2) May include multiple properties; and (3) May not be renewed. C. An individual may hold more than one temporary permit at a time. D. More than one permit may be issued per year. E. The term for a temporary permit: (1) Is 6 months from the date of issuance; (2) May not exceed the term of the license or certificate of the permit holder; and (3) Terminates automatically and immediately if the temporary permit holder's license from the other state expires or is suspended or revoked. F. A temporary permit automatically expires on the date the specific assignment is completed or the expiration date specified on the temporary permit, whichever occurs first. G. Upon request, the Commission may extend the term of a temporary permit. H. When a temporary permit is in effect, it authorizes the individual to provide licensed or certified appraisal services only for the specific assignment listed on the temporary permit. I. Subject to the hearing provisions of §16-602, Annotated Code of Maryland, the Commission may deny or revoke a temporary permit for any applicable ground under Business Occupations and Professions Article, §16-701, Annotated Code of Maryland. #### Regulation .02 Reciprocal Licenses and Certificates. *COMAR 09.19.08.02* The Commission may waive the examination requirement and issue a reciprocal license or certificate to an individual, if the individual: A. Holds a valid license or certificate in another state; B. Is licensed or certified by a state that is in compliance with Title XI of the federal Financial Institutions Reform, Recovery, and Enforcement Act of 1989, as determined by the Appraisal Subcommittee of the Federal Financial Institutions Examination Council; C. Files an application for a reciprocal license or certificate and, if the applicant is a nonresident, executes an irrevocable consent to service of process specifying that service of process on the Secretary of State is binding on the applicant in any legal action concerning the provision of appraisal services; and D. Pays the fee required by COMAR 09.19.07.01D. ### Chapter 09 — License and Certificate Numbers **Authority:** Business Occupations and Professions Article, §§15.5-216 and 15.5-513, Annotated Code of Maryland **Administrative History:** Effective date: March 1, 1993 (20:4 Md. R. 371) #### Regulation .01 License and Certificate Numbers. *COMAR 09.19.09.01* A. Each licensed and certified appraiser shall be assigned a license or certificate number by the Commission. B. On each document which refers, directly or indirectly, to the licensed or certified status of an appraiser, the appraiser shall indicate the appraiser's classification and shall list the license or certificate number which has been assigned to the appraiser. ### Chapter 10 — Disciplinary Actions **Authority:** Business Occupations and Professions Article, §16-216(2), Annotated Code of Maryland **Administrative History:** Effective date: September 12, 1994 (21:18 Md. R. 1509) #### Regulation .01 Definitions. *COMAR 09.19.10.01* A. For purposes of Business Occupations and Professions Article, §16-701, Annotated Code of Maryland, the following terms have the meanings indicated. B. Terms Defined. (1) “Competence” means the ability of an appraiser to identify properly the task or assignment to be carried out and then to apply the required knowledge and experience to complete the assignment or task. (2) “Incompetence” means the physical or mental incapacity or inability to perform normally recognized duties as a certified or licensed appraiser. (3) “Negligence” means the failure to act with ordinary care. A certified or licensed appraiser acts with ordinary care when the certified or licensed appraiser exercises the amount of care which an ordinarily or reasonably prudent and careful appraiser would exercise under similar circumstances. (4) “Reasonable diligence” means the amount of effort which the average certified or licensed appraiser would exercise under similar circumstances. #### Regulation .02 Incorporation by Reference. *COMAR 09.19.10.02* Minimum standards of reasonable care for federally related transactions, as defined in 12 U.S.C. §3350(4), are those set forth in 12 CFR §323.4, which is incorporated by reference. Minimum standards also require compliance with the appraiser's Code of Ethics set forth in COMAR 09.19.05.01. ### Chapter 11 — Volunteer Expert Review Appraiser Roster **Authority:** Business Occupations and Professions Article, §§16-208(a), 16-216, 16-220, and 16-503(f), Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.04 adopted as an emergency provision effective January 5, 2000 (27:2 Md. R. 140); adopted permanently effective June 26, 2000 (27:12 Md. R. 1139) #### Regulation .01 Composition. *COMAR 09.19.11.01* A. The Commission may assemble and maintain a roster of licensed and certified real estate appraisers who: (1) Possess, in the opinion of the Commission, specific expertise and knowledge; and (2) Are willing to provide appraisal report reviews for the Commission on a volunteer basis pursuant to COMAR 25.02.01.02B(8). B. The Application/Complaint Committee of the Commission may request the assistance of an appraiser from this roster to conduct research, gather data, and review and evaluate appraisal reports for compliance with the Uniform Standards of Professional Appraisal Practice (USPAP). #### Regulation .02 Responsibilities of Volunteer Expert Appraisers. *COMAR 09.19.11.02* The volunteer expert review appraiser (VERA) roster participants shall: A. Be licensees selected by the Commission who are State-certified or State-licensed appraisers; B. Agree to provide their services on a voluntary basis; C. Act in conformance with the Maryland Real Estate Appraisers Act and this chapter; D. Keep a detailed log of the volunteer activities conducted as a participant of the VERA roster; E. Submit a copy of this log to the Application/Complaint Committee at the end of each month during which volunteer activity occurred; F. Provide the Committee with written results of the review based on information obtained through services provided pursuant to Regulation .01 of this chapter; and G. Appear at an administrative proceeding and provide testimony pertaining to the volunteer services rendered to the Committee pursuant to Regulation .01 of this chapter. #### Regulation .03 Review Process. *COMAR 09.19.11.03* When an appraisal report is submitted to a roster participant for review and evaluation for compliance with USPAP: A. The assignment of the appraisal review will be based on the geographic location of the subject property, the type of property appraised, and the expertise and qualifications of the VERA roster participant; B. The appraiser reviewing the report will be given specific written instructions by the Application/Complaint Committee as to the scope of the assignment; C. The appraiser will have 30 days in which to complete a review for residential properties and 45 days for all other properties; D. Extensions of the time for review may be granted upon written request from the appraiser to the Application/Complaint Committee; E. The appraiser shall provide the Application/Complaint Committee with written results of the review; F. Confidential information, such as the identities of the appraiser who prepared a report and the lender/client, will not be disclosed to the appraiser reviewing the report; and G. The appraiser reviewing the report will keep all information and documents submitted as part of the review confidential. #### Regulation .04 Application Process. *COMAR 09.19.11.04* A. A licensed or certified appraiser may apply to serve as a volunteer expert review appraiser by submitting to the Commission a resume, a letter of interest reflecting the applicant's qualifications, including education, experience, geographic location, and property type expertise and any other information which may support selection to the VERA roster. B. The Commission may appoint a committee to review applications and make recommendations to the Commission. C. The Commission will select applicants to be included in the VERA roster from among those applicants deemed qualified by the Commission based on the applicant's education, knowledge, and experience. D. All applicants will be notified of the decision of the Commission in writing. E. Appraisers selected to be included in the VERA roster shall serve for a 5-year term. F. Upon 30 days notice, the Commission may remove an individual from the VERA roster for any reason. G. Upon request, a list of appraisers then serving on the VERA roster will be made available to members of the public. ### Chapter 12 — General Regulations **Authority:** Business Occupations and Professions Article, §§16-101(r), 16-216(2), 16-312(6), 16-220, 16-5A-03, and 16-701(a)(1)(xiii), Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulation .01 adopted as an emergency provision effective January 30, 2006 (33:4 Md. R. 349); emergency status expired June 19, 2006 **Administrative History:** Regulation .01 adopted effective September 25, 2006 (33:19 Md. R. 1559) **Administrative History:** Regulation .02 adopted effective September 10, 2007 (34:18 Md. R. 1579) **Administrative History:** Regulation .02A amended effective January 7, 2013 (39:26 Md. R. 1664); November 24, 2014 (41:23 Md. R. 1372) **Administrative History:** Regulation .02C adopted effective November 24, 2014 (41:23 Md. R. 1372) **Administrative History:** Regulation .02 repealed effective November 9, 2015 (42:22 Md. R. 1377) **Administrative History:** Regulation .02 adopted effective January 14, 2019 (46:1 Md. R. 11) #### Regulation .01 Time for Submitting License/Certification Application. *COMAR 09.19.12.01* A. An applicant who is approved by the Commission to sit for a license or certification examination shall be given up to 2 years from that approval date to sit for the appropriate examination. B. An applicant who has successfully completed the license or certification examination shall apply and be approved for licensure or certification, including payment of all applicable fees, within 2 years of successfully completing the licensing examination in order for the applicant's test results to remain valid. #### Regulation .02 Correspondence with the Commission. *COMAR 09.19.12.02* A. If an applicant or licensee receives from the Commission a written communication requesting a response, the applicant or licensee shall respond in writing within 30 days of the date of the mailing. B. The Commission shall send a written communication by first-class mail to the last address furnished to the Board by the applicant or licensee. C. It is the responsibility of an applicant or licensee to notify the Commission in writing if there has been a change in an applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Commission to be a violation of Business Occupations and Professions Article, §16-701(a)(1)(xiii), Annotated Code of Maryland. ## Subtitle 20 — Board of Plumbing ### Chapter 01 — State Plumbing Code **Authority:** Business Occupations and Professions Article, §§12-205 and 12-207, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** COMAR 09.20.01—09.20.25 repealed and new Regulations .01 and .02 adopted under a new chapter, State Plumbing Code, effective October 20, 1997 (24:21 Md. R. 1448) **Administrative History:** Regulation .01B amended effective July 23, 2001 (28:14 Md. R. 1321); May 9, 2005 (32:9 Md. R 848); May 18, 2009 (36:10 Md. R. 716); May 13, 2013 (40:9 Md. R. 789); January 2, 2017 (43:26 Md. R. 1444) **Administrative History:** Regulation .02 amended effective July 23, 2001 (28:14 Md. R. 1321); May 9, 2005 (32:9 Md. R. 848); May 18, 2009 (36:10 Md. R. 716); May 13, 2013 (40:9 Md. R. 789); January 2, 2017 (43:26 Md. R. 1444) **Administrative History:** Regulation .02G, H amended effective January 29, 2000 (27:1 Md. R. 75) **Administrative History:** Regulation .02I amended effective May 12, 2003 (30:9 Md. R. 614) **Administrative History:** Regulation .03 adopted as an emergency provision effective January 1, 2012 (39:2 Md. R. 139); emergency extended at 39:13 Md. R. 785; adopted permanently effective February 4, 2013 (40:2 Md. R. 72) **Administrative History:** Regulation .03E amended effective January 2, 2017 (43:26 Md. R. 1444) **Administrative History:** Regulation .04 adopted effective May 13, 2013 (40:9 Md. R. 789) **Administrative History:** Regulation .04 amended effective January 2, 2017 (43:26 Md. R. 1444) **Administrative History:** Regulation .05 adopted effective January 2, 2017 (43:26 Md. R. 1444) **Administrative History:** Chapter revised effective December 30, 2019 (46:26 Md. R. 1163) **Administrative History:** Regulation .01 amended effective November 24, 2025 (52:23 Md. R. 1138) **Administrative History:** Regulations .02.—.04, .06, .07 repealed effective November 24, 2025 (52:23 Md. R. 1138) #### Regulation .01 Incorporation by Reference. *COMAR 09.20.01.01* A. In this chapter, the documents set forth in §B of this regulation are incorporated by reference. B. In compliance with Business Occupations and Professions Article, §§12-101(p) and 12-205(a), Annotated Code of Maryland, the Board adopts the most recent version of the following Codes as they may be amended, modified, or updated from time to time. (1) The International Plumbing Code (International Code Council, 500 New Jersey Avenue, N.W., 6th Floor, Washington, DC 20001), which has been incorporated by reference in COMAR 09.12.50.02-1B(2). (2) The International Residential Code, (International Code Council, 500 New Jersey Avenue, N.W., 6th Floor, Washington, DC 20001), which has been incorporated by reference in COMAR 09.12.50.02-1B(4) and 09.12.51.04A(2). (3) The International Fuel Gas Code (International Code Council, 500 New Jersey Avenue, N.W., 6th Floor, Washington, DC 20001). (4) The most recent version of the National Fuel Gas Code, NFPA 54. (5) The Liquefied Petroleum Gas Code, NFPA 58. #### Regulation .02 Modifications to the International Plumbing Code. — Repealed. *COMAR 09.20.01.02* #### Regulation .03 Modifications to the International Residential Code. — Repealed. *COMAR 09.20.01.03* #### Regulation .04 Modifications to the National Fuel Gas Code, ANSI Z223.1, NFPA 54. — Repealed. *COMAR 09.20.01.04* #### Regulation .05 Limit on Lead Content. *COMAR 09.20.01.05* A. Definitions. (1) In this regulation, the following terms have the meanings indicated. (2) Terms Defined. (a) “Lead-free” means: (i) Containing not more than a weighted average of 0.25 percent lead when used with respect to the wetted surface of pipes, pipe fitting, plumbing fittings, and fixtures; and (ii) Not containing more than 0.2 percent lead when used with respect to solder and flux. (b) “NSF” means the standards of the National Sanitation Foundation. B. Weighted Average Lead Content Formula. (1) The weighted average lead content of a lead-free pipe, pipe fitting, plumbing fitting, or fixture shall be calculated by using the following formula: For each wetted component, the percentage of lead in the component shall be multiplied by the ratio of the wetted surface area of that component to the total wetted surface area of the entire product to arrive at the weighted percentage of lead of the component. The weighted percentage of lead of each wetted component shall be added together, and the sum of these weighted percentages shall constitute the weighted average lead content of the product. The lead content of the material used to produce wetted components shall be used to determine compliance with lead-free requirements. For lead content of materials that are provided as a range, the maximum content of the range shall be used. (2) The use of platings, coatings, or acid wash treatments may not be used to meet the 0.25 percent weighted average lead content requirements set forth in Business Occupations and Professions Article, §§12-101(h-1)(4) and 12-101(q)(4) and(5), Annotated Code of Maryland. C. Materials used to dispense water intended for human consumption through drinking or cooking, including piping, faucets, and valves as set forth in §§F and G of this regulation, shall be lead-free, containing not more than a weighted average of 0.25 percent lead with respect to the wetted surface as defined in §A(2)(a)(ii) of this regulation. D. Soldered Joints. (1) Solder and flux for soldered joints in potable water piping shall be lead-free, containing not more than 0.2 percent lead, as defined in §A(2)(a)(ii) of this regulation. (2) Flux shall be recommended by the manufacturer for making soldered joints in lead-free potable water supply system piping. E. Components. (1) Potable water supply components that are within the scope of NSF 61 for drinking water system components and are required to be lead-free shall comply with NSF 61 and NSF 372. (2) Potable water system components that are not within the scope of NSF 61 for drinking water system components but are required to be lead-free shall comply with NSF 372. (3) Potable water system components that are not required to be 0.25% lead-free shall be suitable for distributing potable water but may contain up to 8% lead. F. Potable water end-use devices and potable water supply system piping that are intended to dispense water for human consumption through drinking or cooking include, but are not limited to: (1) Kitchen sink faucets; (2) Bar sink faucets; (3) Private bathroom sink faucets; (4) Drinking fountain faucets; (5) Kitchen hot water dispensers; (6) Water supply to: (a) Ice makers; (b) Potable water heaters; (c) Commercial grocer or supermarket misting systems used for produce; (d) Commercial kitchen cooking equipment; and (e) Production equipment for processed food containing water; and (7) Any other end-use device or piping that is intended to dispense or convey water for human consumption. G. Piping components that shall be lead-free when used with lead-free end-use devices and piping that are required to be lead-free include, but are not limited to: (1) Main service shut-off valves; (2) Water service backflow prevention devices; (3) Water meters; (4) Pressure booster pumps; (5) Pressure reducing valves; (6) Strainers; (7) Water filters; (8) Check valves; (9) Control valves; (10) Vacuum breakers; (11) Water hammer arrestors; (12) Master hot water mixing valves; (13) In-line tempering valves; (14) Hot water recirculating pumps; (15) Branch piping shut off valves; (16) Balancing valves; (17) Fixture shut off valves; (18) Solenoid valves; (19) Tankless water heaters; and (20) Any other piping component associated with an end-use device or water supply piping that is required to be lead-free. H. Materials Not Required to Be Lead-Free. (1) Pipes, pipe fittings, plumbing fittings or fixtures, including backflow preventers, that are used exclusively for nonpotable services such as manufacturing, industrial processing, irrigation, outdoor watering, or any other uses where the water is not anticipated to be used for human consumption are not required to be lead-free. (2) Potable water end-use devices and water supply system components not anticipated to dispense or convey water to be used for human consumption and not required to be lead-free, including the associated supply piping of such devices and components, include, but are not limited to: (a) Tub faucets or fillers; (b) Shower fixtures, including: (i) Valves; (ii) Heads; and (iii) Adapters; (c) Flush valves for: (i) Water closets; (ii) Urinals; and (iii) Bidets; (d) Shut off valves for clothes washers; (e) Lavatory faucets in public restrooms; (f) Laundry sink faucets; (g) Service sink faucets; (h) Faucets for laboratory applications; (i) Hose bibbs; (j) Trap seal priming devices; (k) Backflow prevention devices that supply nonpotable applications; (l) Fire hose valves; (m) Water hammer arrestors; (n) The water supply to: (i) Dishwashers; (ii) Whirlpools; (iii) Spas; (iv) Therapy pools; (v) Swimming pools; (vi) Boilers; (vii) Heating hot water generators; (viii) Humidifiers; and (ix) Irrigation systems; (o) Food production equipment that does not contact the food; and (p) Any other end-use device or water supply piping that is not anticipated to dispense or convey water that is to be used for human consumption. ### Chapter 02 — Enforcement of the Plumbing Law by the Board **Authority:** Business Occupations and Professions Article, §§12-205, 12-207, 12-302(d), (e), (g)(2), and (h)(3), 12-304(d)(1), and 12-503(a), Annotated Code of Maryland **Administrative History:** Effective date: 1971 **Administrative History:** Regulation .02, .13 amended effective January 7, 1976 (3:1 Md. R. 41) **Administrative History:** Regulation .07 amended effective February 8, 1980 (7:3 Md. R. 263) **Administrative History:** Regulation .15 amended effective May 26, 1976 (3:11 Md. R. 592) **Administrative History:** Regulation .17 amended effective December 24, 1975 (2:29 Md. R. 1735) **Administrative History:** Chapter revised effective October 26, 1981 (8:21 Md. R. 1706) **Administrative History:** Regulation .04 amended effective August 12, 1985 (12:16 Md. R. 1605) **Administrative History:** Regulation .04A amended effective April 21, 1986 (13:8 Md. R. 898) **Administrative History:** Regulation .05 amended effective April 21, 1986 (13:8 Md. R. 898) **Administrative History:** Regulation .05D adopted effective March 25, 1985 (12:6 Md. R. 595) **Administrative History:** Regulation .06 amended as an emergency provision effective July 1, 1983 (10:14 Md. R. 1257); adopted permanently effective September 26, 1983 (10:19 Md. R. 1690) **Administrative History:** Regulation .06 amended effective April 21, 1986 (13:8 Md. R. 898) **Administrative History:** Regulation .06G adopted effective March 25, 1985 (12:6 Md. R. 595) **Administrative History:** Regulation .10A amended effective February 13, 1984 (11:3 Md. R. 199) **Administrative History:** Regulation .12A amended effective August 12, 1985 (12:16 Md. R. 1605) **Administrative History:** Regulation .12D adopted effective July 28, 1986 (13:15 Md. R. 1734) **Administrative History:** Regulation .15 adopted effective June 26, 1989 (16:12 Md. R. 1335) **Administrative History:** Chapter revised effective June 22, 1992 (19:12 Md. R. 1133) **Administrative History:** Regulation .11 adopted as an emergency provision effective March 1, 1995 (22:6 Md. R. 471); emergency status expired September 1, 1995 **Administrative History:** Regulation .11 adopted effective March 25, 1996 (23:6 Md. R. 475) **Administrative History:** Chapter recodified from COMAR 09.20.26 to COMAR 09.20.02 effective October 20, 1997 (24:21 Md. R. 1448) **Administrative History:** Regulation .02 amended effective May 22, 2017 (44:10 Md. R. 472) **Administrative History:** Regulations .03B amended effective October 20, 1997 (24:21 Md. R. 1448); June 17, 2019 (46:12 Md. R. 536) **Administrative History:** Regulations .04E amended effective October 20, 1997 (24:21 Md. R. 1448) **Administrative History:** Regulation .05 amended effective June 17, 2019 (46:12 Md. R. 536) **Administrative History:** Regulation .06A amended effective June 24, 2002 (29:12 Md. R. 927) **Administrative History:** Regulation .07A amended effective May 22, 2017 (44:10 Md. R. 472) **Administrative History:** Regulation .09 amended effective November 29, 1999 (26:24 Md. R. 1857); March 18, 2002 (29:5 Md. R. 503) **Administrative History:** Regulation .10B amended effective February 4, 2013 (40:2 Md. R. 72) **Administrative History:** Regulation .11 amended as an emergency provision effective December 1, 2005 (32:26 Md. R. 1993); emergency status expired April 28, 2006 **Administrative History:** Regulation .11 amended effective July 3, 2006 (33:13 Md. R. 1063) **Administrative History:** Regulation .11 repealed effective May 22, 2017 (44:10 Md. R. 472) **Administrative History:** Regulation .11 adopted effective June 17, 2019 (46:12 Md. R. 536) #### Regulation .01 Qualifications of Plumbers—How Certificates May Be Issued. *COMAR 09.20.02.01* A. All plumbing work shall be performed, or supervised and approved, by a licensed master plumber who is: (1) Familiar with its design and purpose; and (2) Available to direct and control all journey and apprentice plumbers. B. The license of a master plumber will be issued in the name of the master plumber. C. All plumbing work performed, or supervised and approved, by a licensed master plumber shall be of ordinary worker-like skill and quality and shall conform both to the regulations promulgated by the Board and to applicable local laws and regulations. #### Regulation .02 Required Training for Apprentice Plumbers. *COMAR 09.20.02.02* A. Before an apprentice plumber may be examined for a license as a journey plumber, the apprentice plumber shall: (1) Receive at least 7,500 working hours of instruction and experience in the installation and repair of plumbing material and systems, under the direction and control of a master plumber; and (2) Be registered with the Board for the duration of the apprenticeship training. B. To avoid undue hardship, the Board may give credit for hours worked in the installation and repair of plumbing material and systems by an unregistered apprentice plumber. C. It is recommended that the instruction and experience include: (1) Installation of piping for waste, soil, sewerage, vent and rain leader lines in copper, (a) Name and size of sewer fittings, wyes, tees, bend, packing, pouring, caulking joints; (b) Use of proper fittings in making connections; (c) Proper pitch in sewer lines; (d) Regulations on cesspools and septic tanks; (e) Local codes governing plumbing. (2) Installation of piping for hot and cold water for domestic purposes: 1,400 hrs. (a) Rough-in water and gas piping for fixtures; (b) Cut holes in floors and joist; (c) Measure up piping; (d) Run pipe in copper, steel, or plastic; (e) Installation of domestic water boilers and hot water heaters; (f) Install tankless or tank-type copper coil heaters in boilers; (g) Automatic gas water heaters with vent to chimney; (h) Measure up piping and connect to hot and cold water lines; (i) Use of pipe cutters and reamers; (j) Cut threads with stocks and dies, or with pipe threading machines; (k) Use of joint compound on threads and screw up fittings on pipe with pipe wrenches; (l) Local codes governing plumbing. (3) Installation of lead pipe, tin pipe, sheet lead, and solder work: 180 hrs. (a) Proper use of tools; (b) Kinds of materials and fluxes; (c) Correct heating temperatures. (4) Assembly in position and connection of fixtures and appliances used in the plumbing (a) Rough-in waste, soil, and vent lines for fixtures; (b) Pack, pour, and caulk fittings and pipe; (c) Make up fittings, run piping, and hook up main sewer; (d) Lay out water lines, hot and cold; (e) Place and connect various plumbing fixtures; (f) Local codes governing plumbing. (5) Service work—maintenance and repair of plumbing: 480 hrs. (a) Leaks; (b) Renewals; (c) Stoppage of lines; (d) Alterations; (e) Trouble shooting plumbing systems. (6) Operation, care, safety, and use of all tools and materials connected with the trade: 850 hrs. (a) Pipe and fittings, tees, ells, 45-degree ells and nipples; (b) Black, galvanized, wrought iron, wrought steel, copper, and plastic pipe; (c) Use and care of tools; (d) Pipe cutters, reamers, stocks and dies, size of wrenches, caulking irons, lead pots, (e) Types of tubs—corner or recess, left or right; (f) Lavatories—cast iron, vitreous china, and stainless steel; (g) Closet combinations—vitreous china, closed couples, siphon action, flushometer types. (7) Gas installation: 750 hrs. (a) Types of gas installations—natural and LPG; (b) Venting gas systems; (c) Gas appliances and controls; (d) Local codes governing gas fitting. (8) Special purpose installations: 180 hrs. (a) Swimming pools; (b) Fountains and planters; (c) Lawn sprinkling and vacuum systems; (d) Local codes governing plumbing. (9) Plan reading: 375 hrs. (a) Sketching; (b) Sleeve drawing and deck layout; (c) Drawing coordination. (10) Builders level transit: 275 hrs. (a) Layout of sewer and water lines; (b) Shoot grades and elevations. (11) Welding connected with the trade: 480 hrs. (a) Gas, metallic arc, and heliarc welding; (b) Use of torch; (c) Proper flame, fluxes, and solder; (d) Pipe welding; (e) Proper welding procedures and techniques; (f) Identification of welding rods and materials; (g) Flame cutting; (h) Brazing. (12) Rigging: 375 hrs. (a) Materials; (b) Equipment. #### Regulation .03 Examinations for Journey Plumber Certificates. *COMAR 09.20.02.03* A. Each applicant for the journey plumber's examination shall provide certification that the applicant has accrued at least 7,500 working hours, that is, 4 years of apprenticeship instruction and experience in the installation and repair of plumbing material and systems, under the direction and control of a master plumber. The following conditions apply: (1) Up to 1,500 hours of accredited, approved school study may be applied towards the 7,500-hours requirement, which may be composed of classroom plumbing work or study under a vocational or technical program accredited by the State Department of Education or under the apprenticeship agreement registered with the Maryland Apprenticeship and Training Council; (2) The applicant shall furnish the certification, made under penalty of perjury, with the examination application; (3) Hours accrued may not be credited to an individual serving under an apprenticeship agreement registered with the Maryland Apprenticeship and Training Council unless the individual is also licensed with the Board as an apprentice plumber. B. Examinations. (1) The Board shall examine qualified applicants by written examination. (2) If the applicant satisfactorily documents that the applicant has a disability as defined under The Americans With Disabilities Act (ADA), the Board will make those accommodations necessary for the administration of the examination. (3) An applicant shall attain a passing grade of 70 to qualify for licensure as a journey plumber. C. Out-of-State Applicants. (1) A nonresident applicant or an applicant whose work experience has not been in Maryland shall provide certification that: (a) The applicant has accrued at least 7,500 working hours, that is, 4 years of apprenticeship instruction and experience in the installation and repair of plumbing material and systems, under the direction and control of a licensed master plumber; and (b) The master plumber under whom the applicant trained received a license by passing a written competency examination. (2) Up to 1,500 hours of accredited, approved school study may be applied towards the 7,500-hour requirement. (3) The applicant shall furnish the certification as to accrued work experience and the qualifications of the supervisory master plumber, under penalty of perjury, with the examination application. #### Regulation .04 Examinations for Master Plumber Certificates. *COMAR 09.20.02.04* A. Each applicant for the master plumber's examination shall provide certification, under penalty of perjury, that the applicant has accrued at least 2 years, that is, 3,750 working hours of practical experience as a journey plumber, in the installation and repair of plumbing material and systems under the direction and control of a master plumber. B. The candidate shall be examined on: (1) General knowledge of the regulations as may be provided by the Board; (2) Knowledge of physics and hygiene as may deal with the proper and safe methods of supplying water to a building, and of removing water and sewage from it; and (3) Drainage, hydraulics, pneumatics, and hydrostatics insofar as they relate to the proper construction of work required in providing plumbing services. C. Applicants shall also be required to demonstrate their ability to comprehend and interpret plans and drawings, showing the arrangements of plumbing fixtures and other related parts of the plumbing system. D. Unless specifically provided for, each applicant shall answer all examination questions in writing. E. If the applicant satisfactorily documents that the applicant has a disability as defined under The Americans With Disabilities Act (ADA), the Board will make those accommodations necessary for the administration of the examination. F. If an applicant successfully completes the examination under §E of this regulation, the Board shall grant to the applicant a license as a master plumber upon a showing that the: (1) Applicant's ability to function as a master plumber is not significantly impaired by the dyslexia or other reading disability; and (2) Applicant is otherwise competent and qualified to become a master plumber. G. Out-of-State Applicants. (1) A nonresident applicant or an applicant whose work experience has not been in Maryland shall accrue a total of at least 11,250 working hours, that is, 6 years of practical experience in the installation and repair of plumbing material and systems. (2) The applicant shall furnish information about the applicant's work experience, under penalty of perjury, as follows: (a) Certification of at least 4 years of the required total number of years, that is, 7,500 working hours spent in the installation and repair of plumbing material and systems under the direction and control of a licensed master plumber; (b) Certification of at least 2 years, that is, 3,750 hours of work in the plumbing trade as a journey plumber; (c) Certification that the journey plumber's license was received by passing a written competency examination; and (d) Certification that the master plumber for whom the applicant worked received a license by passing a written competency examination. (3) If the nonresident applicant is from an area that does not require licensure of journeyperson plumbers, and the applicant holds a master plumber's license, the applicant shall provide certification with the application that: (a) The applicant accrued at least 7,500 hours of practical experience in the plumbing trade under the direction and control of a licensed master plumber; (b) The master plumber for whom the applicant worked received a license by passing a written competency examination; (c) The applicant's master plumber license was received by passing a written competency examination; and (d) The applicant has accrued at least 2 years, that is, 3,750 working hours in the installation and repair of plumbing material and systems since receiving the master plumber's license. #### Regulation .05 Passing Grade Required for a Master's License. *COMAR 09.20.02.05* An applicant shall attain a passing grade of 70 to quality for a license as a master plumber. #### Regulation .06 Applicants Failed. *COMAR 09.20.02.06* A. Any applicant who failed the examination for either a master or journey license may apply and pay the prescribed fee for another examination. A period of 1 month shall elapse before a failed applicant may retake an examination. B. Applicants who have failed an examination may review their examination papers upon written request to the Board. This request shall be made within 30 days after the applicant has been notified that the applicant failed to attain the required grade. #### Regulation .07 Applicants for Renewal of License. *COMAR 09.20.02.07* A. All apprentice, journey, and master plumbers eligible for renewal shall renew their licenses every 2 years. B. All applicants for renewal, after submitting their written application for renewal accompanied by the required fee, shall be issued a new license by the Board. C. Any applicant for renewal who has for 5 consecutive years failed to renew a license is subject to examination before being issued a new license. #### Regulation .08 Issuing of License on a Reciprocal Basis. *COMAR 09.20.02.08* A. The Board shall issue a master or journey plumber license on a reciprocal basis to applicants living in Baltimore County or the Washington Suburban Sanitary District who: (1) Have passed the master or journey plumber examination in either jurisdiction; (2) Are in good standing in that jurisdiction; and (3) Intend to do business in Maryland outside of Baltimore County or Washington Suburban Sanitary District. B. The Board shall give examinations for journey or master plumber licenses to applicants living outside the State who: (1) Demonstrate that they have served an apprenticeship, or had practical experience, under supervision equivalent to that required in Maryland; or (2) Demonstrate the same level of proficiency and study required of applicants serving an apprenticeship or gaining practical experience in Maryland. #### Regulation .09 Advertisements. *COMAR 09.20.02.09* A. Definitions. In this regulation, the following terms have the meanings indicated: (1) “Current master plumber” means the individual responsible for supervising and controlling the work of all individuals providing or assisting in providing plumbing services in a business. (2) “Current natural gas fitter” means the individual responsible for supervising and controlling the work of all individuals providing or assisting in providing natural gas services in a business. (3) “Current propane gas fitter” means the individual responsible for supervising and controlling the work of all individuals providing or assisting in providing propane gas services in a business. (4) “License number” means the license registration certificate number displayed on the license document or propane gas fitter certificate issued to a licensee or certificate holder by the Board. B. Requirements for Plumbers. (1) The license number of the current master plumber shall be displayed on all documents used by any person holding themselves out to the public as providing plumbing services. (2) Each vehicle that advertises plumbing services shall display the words “MD Licensed Plumber” and the license number of the current master plumber on both sides of the vehicle. C. Requirements for Licensed Natural Gas Fitters. (1) The license number of the current natural gas fitter shall be displayed on all documents used by any person holding themselves out to the public as providing natural gas services. (2) Each vehicle that advertises natural gas services shall display the words “MD Licensed Natural Gas Fitter” and the license number of the current natural gas fitter on both sides of the vehicle. D. Requirements for Propane Gas Fitters. (1) The license number of the current propane gas fitter shall be displayed on all documents used by any persons holding themselves out to the public as providing propane gas services. (2) Each vehicle that advertises propane gas services shall display the words “MD Certified Propane Gas Fitter” and the license number of the current propane gas fitter on both sides of the vehicle. E. Additional Requirements for Licensees and Certificate Holders. (1) Each vehicle that advertises plumbing, natural gas, or propane gas services shall display the information required by this regulation on both sides of the vehicle. Display of wording shall be not less than 1-1/2 inches in height. (2) Each printed, audio, video, or computerized advertisement of any type, including all estimate forms, contract forms, and final statements of payment, shall clearly contain the words “MD Licensed Plumber”, “MD Licensed Natural Gas Fitter”, or “MD Certified Propane Gas Fitter” and the license number as required by §§B(2), C(2), and D(2) of this regulation. #### Regulation .10 Qualifications for Plumbing Inspectors. *COMAR 09.20.02.10* A. Plumbing inspectors hired by the State, a county, or a local government after October 1, 1988, shall meet minimum standards that are established by the county or local government in consultation with the State Board, or, if there is no standard established by the county or local government, the minimum standards established by the State Board. The minimum standards established by the State Board are as follows: (1) The plumbing inspector shall be a licensed master or journey plumber; (2) The plumbing inspector shall: (a) Have at least 4 years experience as an inspector or craftsman in a building and construction trade, and (b) Pass a written examination prepared and administered by the State Board, or prepared and administered by the county or local government, provided that the examination is approved by the State Board, and certified copies of all results are provided to the State Board. B. Each plumbing inspector shall: (1) Attend, at least once each year, continuing education pursuant to Business Occupations and Professions Article, §12-503(a)(1), Annotated Code of Maryland, to be conducted by the State Board, or a course which is consistent in content with the State Board's course and which is conducted by a county or local government; and (2) In accordance with Business Occupations and Professions Article, §12-503(a)(1), Annotated Code of Maryland, obtain a cumulative 8 hours of qualifying continuing education each calendar year. #### Regulation .11 Passing Grade for License and Certificate Examinations. *COMAR 09.20.02.11* In accordance with Business Occupations and Professions Article, §12-304(d)(1), Annotated Code of Maryland, and as set forth in Regulations .03B(3) and .05 of this chapter, an applicant for any license or certificate issued by the Board shall attain a passing score of 70 to qualify for the license or certificate. ### Chapter 03 — General Regulations **Authority:** Business Occupations and Professions Article, §§12-205, 12-207, 12-303(1), 12-311(c), and 12-312(a)(1)(xiii), Annotated Code of Maryland **Administrative History:** Effective date: November 29, 1999 (26:24 Md. R. 1857) **Administrative History:** Regulation .01D adopted effective March 18, 2002 (29:5 Md. R. 503) **Administrative History:** Regulation .02 adopted effective December 12, 2013 (40:24 Md. R. 2016) **Administrative History:** Regulation .03 adopted effective December 31, 2018 (45:26 Md. R. 1241) #### Regulation .01 Responsibilities of Licensees. *COMAR 09.20.03.01* A. A licensee shall undertake to provide plumbing services only if the licensee is qualified by education, training, and experience to provide the required services. B. A licensee shall undertake to provide plumbing services related to gas only if the licensee is qualified by education, training, and experience with the specific gas, gas system, gas utilization equipment, and associated accessories to provide the required services. C. A licensee may not use or allow the use of a license issued by the Board for the purpose of obtaining or attempting to obtain a permit or other authority to provide plumbing services from a county or local government agency unless the licensee is: (1) Familiar with the design and purpose of the plumbing services to be provided, and, when any portion of the services provided is to be outside of a permanent structure, the ground conditions of the area; (2) Available to direct and control all journey and apprentice plumbers who will provide or assist in the providing of the plumbing services; and (3) Responsible for the services performed or to be performed pursuant to a contract. D. A licensee shall maintain appropriate insurance covering any plumbing service the licensee provides. Insurance provided by an employer does not satisfy the insurance requirements of Business Occupations and Professions Article, §12-501, Annotated Code of Maryland, if a licensee provides plumbing services outside the scope of employment with the insured person or business entity. #### Regulation .02 Street Address Required. *COMAR 09.20.03.02* A. This regulation applies to all applications, both original and renewal, received on or after January 1, 2014. B. An applicant for a license shall provide to the Board the actual street address of the individual’s residence or principal business office. An applicant may not provide a post office box or private mail drop as the applicant's business address of record. #### Regulation .03 Failure to Respond. *COMAR 09.20.03.03* A. If an applicant or licensee receives from the Board a written communication requesting a response, the applicant or licensee shall respond in writing within 30 days of the date of the mailing. B. The Board shall send a written communication by first-class mail to the last address furnished to the Board by the applicant or licensee. C. It is the responsibility of an applicant or licensee to notify the Board in writing if there has been a change in an applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Board to be a violation of Business Occupations and Professions Article, §12-312(a)(1)(xiii), Annotated Code of Maryland. ### Chapter 04 — Cross Connection/Backflow Prevention Certification Training Program **Authority:** Business Occupations and Professions Article, §§12-207 and 12-306(c), Annotated Code of Maryland **Administrative History:** Effective date: July 22, 2013 (40:14 Md. R. 1174) #### Regulation .01 Definitions. *COMAR 09.20.04.01* A. In this chapter, the following terms have the meaning indicated. B. Terms Defined. (1) “Certified instructor” means an individual who possesses a master plumber or a journey plumber license issued by the Board or a reciprocating jurisdiction and has successfully completed an instructional certification program sponsored by an organization recognized by the Board, including, but not limited to, the University of Florida Treeo Center (TREEO), American Society of Sanitary Engineering (ASSE) Instructor Accreditation Certification, and University of Southern California Foundation for Cross Connection Control. (2) “Certified provider” means a person or organization who provides Board-approved cross connection/backflow prevention certification training in accordance with Business Occupations and Professions Article, §12-306(c), Annotated Code of Maryland, and meets the requirements of Regulation .02A—C of this chapter. (3) “Certified technician” means an individual who is certified to install, test, repair, and make reports on a mechanical cross connection/backflow prevention device or assembly after successful completion of a 32-hour cross connection/backflow prevention certification program approved by the Board in accordance with Business Occupations and Professions Article, §12-306(c), Annotated Code of Maryland. #### Regulation .02 Approved Cross Connection/Backflow Prevention Certification Program. *COMAR 09.20.04.02* A. In accordance with Business Occupations and Professions Article, §12-306(c), Annotated Code of Maryland, a cross connection/backflow prevention certification program may be eligible for approval by the Board if: (1) The certified provider submits to the Board an application on the form that the Board provides, identifying the course provider and the provider’s credentials to offer cross connection/backflow prevention certification training; (2) Each program instructor is a certified instructor in accordance with Regulation .01B(1) of this chapter; (3) The course materials include a cross connection/backflow prevention training manual prepared by an organization identified in Regulation .01B(1) of this chapter; (4) In the opinion of the Board, the course curriculum provides, at a minimum, adequate training in: (a) Introduction to backflow prevention; (b) Hazards of cross connection/backflow; (c) Laws of backflow prevention; (d) Responsibilities of certified technician; (e) The methods, mechanisms, and installation techniques used for the prevention of backflow; (f) Field testing; (g) Field reports; (h) Troubleshooting; (i) Repair of a backflow occurrence; and (j) Recertification; (5) The program is conducted at a facility that provides adequate space and a suitable training environment in the opinion of the Board that is: (a) Accessible for inspection by an authorized representative or agent of the Board during normal business and class hours without prior notice; and (b) Equipped with adequate apparatus necessary for adequate training in the opinion of the Board including: (i) A test kit; (ii) One of each mechanical cross connection control device and assembly necessary for compliance with ASSE 1011, 1012, 1013, 1015, 1019, 1020, 1022, 1024, 1035, and 1056; and (iii) Mechanical cross connection control assembly set up for field testing; (6) The certified provider issues to an individual who successfully completes the program a: (a) Certificate that includes: (i) The name of the certified provider; (ii) The name of the certified technician to whom it is issued; (iii) A statement that the course constitutes a 32-hour cross connection/backflow prevention certification program approved by the Maryland State Board of Plumbing; (iv) The date of completion of the certification program; (v) The name and signature of the course instructor; and (vi) The certification technician number; and (b) Pocket identification card that includes: (i) The name of the certified technician to whom it is issued; (ii) The title “Certified Backflow Prevention Technician”; (iii) The dates for which the certification is valid; and (7) The certified provider notifies the Board within 10 days of any change of a certified course instructor. B. In order for a cross connection/backflow prevention certification program to be and remain eligible for approval by the Board in accordance with Business Occupations and Professions Article, §12-306(c), Annotated Code of Maryland, the program must be able to demonstrate adequate recertification credentials including the: (1) Offer of recertification training for technicians every 5 years; and (2) Requirement that course instructors maintain instructor certification by meeting the requirements of, but not limited to, the University of Florida Treeo Center (TREEO), American Society of Sanitary Engineering (ASSE) Instruction Accreditation Certification, and University of Southern California Foundation for Cross Connection Control, which shall include completion of recertification training at a minimum of once every 5 years. C. In addition to the requirements of §B of this regulation, in order for a cross connection/backflow prevention certification program to remain eligible for approval by the Board in accordance with Business Occupations and Professions Article, §12-306(c), Annotated Code of Maryland, every 3 years, the program provider shall provide the Board with updated information about the program which shall include: (1) A current list of certified instructors; and (2) Notification from the certified provider of changes to the course curriculum or the location of the training facility. D. The Board may rescind its approval of a cross connection/backflow prevention certification program at any time if, in the opinion of the Board: (1) The certified provider demonstrates misconduct or incompetence in the performance of supervisory duties over the program; (2) A certified course instructor demonstrates misconduct or incompetence in the provision of applicable training; or (3) The certified provider fails to meet any of the requirements of §§A—C of this regulation. E. In accordance with Business Occupations and Professions Article, §§12-306(c)(3) and 12-503, Annotated Code of Maryland, an individual appointed, designated, or employed by a county or local government as an inspector of mechanical cross connection/backflow prevention devices shall have completed a cross connection/backflow prevention certification program approved by the Board. F. Completion of an approved cross connection/backflow prevention certification program does not authorize an individual to: (1) Install, test, or certify a mechanical cross connection/backflow prevention device unless the individual is licensed by the Board as a master or journey plumber in accordance with Business Occupations and Professions Article, §12-101(g) or (l), Annotated Code of Maryland; or (2) Assist in installing, testing, or certifying a mechanical cross connection/backflow prevention device unless the individual is licensed by the Board as an apprentice plumber in accordance with Business Occupations and Professions Article, §12-101(c), Annotated Code of Maryland. ### Chapter 05 — Fees **Authority:** Business Occupations and Professions Article, §§12-207, 12-209, 12-303, 12-304.1, 12-306, 12-308, and 12-503; Business Regulation Article, §§2-106.9 and 2-106.10; Annotated Code of Maryland **Administrative History:** Effective date: August 27, 2018 (45:17 Md. R. 803) **Administrative History:** Regulation .03 amended effective March 4, 2024 (51:4 Md. R. 202) #### Regulation .01 Purpose. *COMAR 09.20.05.01* This chapter is intended to carry out the provisions of Business Occupations and Professions Article, Title 12, Annotated Code of Maryland. and Business Regulation Article, §§2-106.9 and 2-106.10, Annotated Code of Maryland, In particular, it is intended to set various fees in order to cover the actual documented direct and indirect costs of fulfilling the statutory and regulatory duties of the State Board of Master Electricians, the State Board of Stationary Engineers, the State Board of Plumbing, and the State Board of Heating, Ventilation, Air-Conditioning, and Refrigeration Contractors. #### Regulation .02 Definitions. *COMAR 09.20.05.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Board” means the State Board of Plumbing. (2) “License fee” means the fee paid by an applicant or licensee, as applicable, in connection with the issuance and renewal of a license and the issuance of a limited license and a reciprocal license. (3) “Mechanical boards” means collectively the: (a) State Board of Master Electricians; (b) State Board of Stationary Engineers; (c) State Board of Plumbing; and (d) State Board of Heating, Ventilation, Air-Conditioning, and Refrigeration Contractors. (4) “Secretary” means the Secretary of Labor. #### Regulation .03 Fees and Costs. *COMAR 09.20.05.03* A. The Secretary and the mechanical boards have agreed to average their direct and indirect costs, based on the calculation of costs performed by the Secretary in consultation with the mechanical boards. Based on these calculations, the Board sets the following nonrefundable fees as of January 1, 2024: (1) Application: (a) Master Natural Gas Fitter — $56; (b) Journey Natural Gas Fitter — $28; (c) Apprentice Plumber/Gas Fitter — $16.50; (d) Apprentice Natural Gas Fitter —$16.50; and (e) Propane Gas Fitter Certificate — $28. (2) Original license and certificate: (a) Master Plumber/Gas Fitter — $78; (b) Journey Plumber/Gas Fitter — $39; (c) Limited Master Plumber — $78; (d) Limited Journey Plumber — $39; (e) Master Natural Gas Fitter — $78; (f) Journeyman Natural Gas Fitter — $39; (g) Propane Gas Fitter — $39; (h) Master Inspector — $50; (i) Journeyman Inspector — $50; and (j) Plumbing Inspector — $50. (3) License and certificate renewal: (a) Master Plumber/Gas Fitter — $78; (b) Journey Plumber/Gas Fitter — 39; (c) Apprentice Plumber/Gas Fitter —$16.50; (d) Limited Master Plumber — $78; (e) Limited Journey Plumber — $39; (f) Master Natural Gas Fitter — $39; (g) Journeyman Natural Gas Fitter — $28; (h) Apprentice Natural Gas Fitter — $16.50; (i) Propane Gas Fitter — $39; (j) Master Inspector — $50; (k) Journeyman Inspector — $50; and (l) Plumbing Inspector — $50. (4) License reactivation: (a) Master Plumber/Gas Fitter — $56; (b) Journey Plumber/Gas Fitter — $22.50; (c) Limited Master Plumber — $56; and (d) Limited Journey Plumber — $22.50. (5) Miscellaneous: Letter of Good Standing — $50. B. The Secretary and the mechanical boards have agreed to average their direct and indirect costs, based on the calculation of costs performed by the Secretary in consultation with the mechanical boards. Based on these calculations, the Board sets the following nonrefundable fees as of January 1, 2025: (1) Application: (a) Master Natural Gas Fitter — $63; (b) Journey Natural Gas Fitter — $31.50; (c) Apprentice Plumber/Gas Fitter — $18.50; (d) Apprentice Natural Gas Fitter — $18.50; and (e) Propane Gas Fitter Certificate — $31.50. (2) Original license and certificate: (a) Master Plumber/Gas Fitter — $87.50; (b) Journey Plumber/Gas Fitter — $43.50; (c) Limited Master Plumber — $87.50; (d) Limited Journey Plumber — $43.50; (e) Master Natural Gas Fitter — $87.50; (f) Journeyman Natural Gas Fitter — $43.50; (g) Propane Gas Fitter — $43.50. (h) Master Inspector — $56; (i) Journeyman Inspector — $56; and (j) Plumbing Inspector — $56. (3) License and certificate renewal: (a) Master Plumber/Gas Fitter — $87.50; (b) Journey Plumber/Gas Fitter — $43.50; (c) Apprentice Plumber/Gas Fitter — $18.50; (d) Limited Master Plumber — $87.50; (e) Limited Journey Plumber — $43.50; (f) Master Natural Gas Fitter — $43.50; (g) Journeyman Natural Gas Fitter — $31.50; (h) Apprentice Natural Gas Fitter — $18.50; (i) Propane Gas Fitter — $43.50; (j) Master Inspector — $56; (k) Journeyman Inspector — $56; and (l) Plumbing Inspector — $56. (4) License reactivation: (a) Master Plumber/Gas Fitter — $63; (b) Journey Plumber/Gas Fitter — $25; (c) Limited Master Plumber — $63; and (d) Limited Journey Plumber — $25. (5) Miscellaneous Letter of Good Standing — $50. C. An applicant for an appropriate license or certification examination shall pay the examination fee directly to the testing service chosen by the Board to develop or administer the examination, as such fees are established by the testing service selected by the Board. ## Subtitle 21 — Board of Architects ### Chapter 01 — General Regulations **Authority:** Business Occupations and Professions Article, §3-208(a)(1), Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.04 adopted April 9, 1973 and amended effective June 11, 1975 (2:13 Md. R. 929) **Administrative History:** Regulation .02B amended effective July 30, 1984 (11:15 Md. R. 1330) **Administrative History:** Regulation .02B amended as an emergency provision effective January 2, 1985 (12:2 Md. R. 131); emergency status expired May 2, 1985; adopted permanently effective September 9, 1985 (12:18 Md. R. 1765) **Administrative History:** Regulation .02B amended effective April 2, 1990 (17:6 Md. R. 740) **Administrative History:** Regulation .02D amended effective February 13, 1984 (11:3 Md. R. 199); April 2, 1990 (17:6 Md. R. 740) **Administrative History:** Regulation .03C amended effective March 10, 1986 (13:5 Md. R. 542) **Administrative History:** Regulation .04 amended effective October 10, 1983 (10:20 Md. R. 1786); April 2, 1990 (17:6 Md. R. 740) **Administrative History:** Regulation .04E adopted effective February 13, 1984 (11:3 Md. R. 199); repealed effective July 30, 1984 (11:15 Md. R. 1330) **Administrative History:** Regulation .04E adopted effective April 8, 1985 (12:7 Md. R. 701) **Administrative History:** Regulation .04E amended effective August 21, 1989 (16:16 Md. R. 1749) **Administrative History:** Regulation .04F adopted effective December 29, 1986 (13:26 Md. R. 2806) **Administrative History:** Regulation .04G adopted effective March 23, 1987 (14:6 Md. R. 713) **Administrative History:** Regulation .04H amended effective March 7, 1988 (15:5 Md. R. 617) **Administrative History:** Regulation .05 adopted effective June 11, 1975 (2:13 Md. R. 929); amended effective June 16, 1978 (5:12 Md. R. 966) **Administrative History:** Regulations .06—.07 adopted April 9, 1973 and amended effective June 11, 1975 (2:13 Md. R. 929) **Administrative History:** Regulation .08 adopted effective November 27, 1974 (1:5 Md. R. 240) **Administrative History:** Regulations .09—.10 adopted April 9, 1973 and amended effective June 11, 1975 (2:13 Md. R. 929) **Administrative History:** Regulation .09 amended effective March 28, 1983 (10:6 Md. R. 555) **Administrative History:** Regulation .09A, C amended effective August 25, 1978 (5:17 Md. R. 1329) **Administrative History:** Regulation .09B amended effective December 30, 1985 (12:26 Md. R. 2544) **Administrative History:** Regulation .09B-1 adopted effective March 1, 1982 (9:4 Md. R. 331) **Administrative History:** Regulation .09C amended effective November 23, 1981 (8:23 Md. R. 1855); March 7, 1988 (15:5 Md. R. 617); May 27, 1991 (18:10 Md. R. 1116) **Administrative History:** Regulation .09D amended effective March 1, 1982 (9:4 Md. R. 331); March 7, 1988 (15:5 Md. R. 617); May 27, 1991 (18:10 Md. R. 1116); June 6, 1994 (21:11 Md. R. 950) **Administrative History:** Regulation .09D-1—D-8 amended effective March 7, 1988 (15:4 Md. R. 617) **Administrative History:** Regulation .09G—I, M amended effective February 13, 1984 (11:3 Md. R. 199) **Administrative History:** Regulation .09N adopted effective March 7, 1988 (15:5 Md. R. 617) **Administrative History:** Regulations .01—.05 repealed and new Regulations .01, .01-1, .02, .03, .04, .04-1, and .05 adopted effective July 28, 1997 (24:15 Md. R. 1062) **Administrative History:** Regulation .04F amended effective December 28, 1998 (25:26 Md. R. 1921) **Administrative History:** Regulation .06 repealed and new Regulation .06 adopted effective May 5, 1997 (24:9 Md. R. 656) **Administrative History:** Regulation .06B amended effective October 29, 2001 (28:21 Md. R. 1856) **Administrative History:** Regulation .07 repealed and new Regulation .07 adopted effective May 5, 1997 (24:9 Md. R. 656) **Administrative History:** Regulation .07-1 adopted effective May 5, 1997 (24:9 Md. R. 656) **Administrative History:** Regulation .09 repealed and new Regulation .09 adopted as an emergency provision effective June 15, 1997 (24:13 Md. R. 928); adopted permanently effective October 20, 1997 (24:21 Md. R. 1449) **Administrative History:** Regulation .09A amended effective January 8, 2001 (27:26 Md. R. 2358) **Administrative History:** Regulation .09A amended as an emergency provision effective December 11, 2000 (28:1 Md. R. 20); amended permanently effective April 16, 2001 (28:7 Md. R. 689) **Administrative History:** Regulation .09 repealed as an emergency provision effective July 1, 2003 (30:14 Md. R. 932); repealed permanently effective November 10, 2003 (30:22 Md. R. 1579) **Administrative History:** Chapter revised effective September 1, 2003 (30:17 Md. R. 1203) **Administrative History:** Regulation .05D amended effective September 25, 2006 (33:19 Md. R. 1559); July 2, 2007 (34:13 Md. R. 1151) **Administrative History:** Regulation .05F amended effective April 11, 2005 (32:7 Md. R. 679); April 7, 2008 (35:7 Md. R. 748) **Administrative History:** Regulations .01—.06 repealed and new Regulations .01—.07 adopted effective November 30, 2009 (36:24 Md. R. 1858) **Administrative History:** Regulation .04B amended effective April 25, 2016 (43:8 Md. R. 497); July 29, 2019 (46:15 Md. R. 654) **Administrative History:** Regulation .05 amended effective July 29, 2019 (46:15 Md. R. 654) **Administrative History:** Regulation .06 amended effective July 29, 2019 (46:15 Md. R. 654) **Administrative History:** Regulation .07A amended effective July 29, 2019 (46:15 Md. R. 654) #### Regulation .01 Definitions. *COMAR 09.21.01.01* The definitions set forth in Business Occupations and Professions Article, §3-101, Annotated Code of Maryland, apply in this chapter unless otherwise noted. #### Regulation .02 Relationship with the National Council of Architectural Registration Boards (NCARB). *COMAR 09.21.01.02* A. The Board shall: (1) Maintain membership in the National Council of Architectural Registration Boards (NCARB) and pay the necessary costs for membership; (2) Keep up-to-date information on the rules, appendices, and policies adopted from time to time by NCARB; and (3) Cooperate with NCARB in rendering assistance necessary to aid in establishing uniform standards of professional qualifications throughout the United States and its territories. B. The Board has adopted and shall continue to use, until further notice, the: (1) NCARB examination and NCARB grading procedures; and (2) Examination appeal process recommended by NCARB. #### Regulation .03 Requirements for Licensure. *COMAR 09.21.01.03* In order to qualify for a license, an applicant shall satisfy the Board that the applicant possesses the proper qualifications to engage in the practice of architecture in the State as set forth in Business Occupations and Professions Article, §3-303, Annotated Code of Maryland, including, but not limited to, the following: A. Be of good character and reputation; B. Fulfill the educational requirements set forth in Regulation .04 of this chapter; C. Complete the experience requirements set forth in Regulation .05 of this chapter; and D. Pass all parts of the Architect Registration Examination (ARE) more particularly described in Regulation .06 of this chapter. #### Regulation .04 Educational Requirements. *COMAR 09.21.01.04* A. To qualify for a license, an applicant shall meet the educational requirements set forth in Business Occupations and Professions Article, §3-303(c), Annotated Code of Maryland. B. If an applicant does not meet the professional education degree requirements referenced in §A of this regulation, an applicant shall comply with the education requirements by either work experience or academic training, or a combination of both, in accordance with the following Education Equivalency Matrix: 1. Combinations of Educational Experience not explicitly stated in the Education Equivalency Matrix shall be considered on a case-by-case basis by the Board. 2. Work experience shall be directly related to architectural work and be completed under the direct supervision of a licensed architect. The work experience shall be full-time, a minimum of 40 hours per week. The work experience shall be completed in the office of a licensed Architect except that 80% of the required work experience may be completed as an employee of an organization other than the office of a licensed Architect if the work experience is directly related to architectural work and is completed under the direct supervision of a licensed Architect. All work experience must be documented on the Board’s ERC Forms. 3. No credit is given. #### Regulation .05 Architectural Experience Program (AXP) Requirements. *COMAR 09.21.01.05* An applicant shall complete the training requirements of the Architectural Experience Program (AXP) as outlined in the appropriate NCARB guidelines. #### Regulation .06 Architect Registration Examination (ARE) Requirements. *COMAR 09.21.01.06* A. The Board shall use the Architect Registration Examination (ARE) prepared by the National Council of Architectural Registration Boards (NCARB). B. The Board has followed and shall continue to follow, until further notice, appropriate NCARB guidelines pertaining to the ARE methodologies and grading procedures. C. In order to be eligible for admission to the ARE, an applicant shall meet the following requirements: (1) Satisfy the educational requirements set forth in Regulation .04 of this chapter; (2) Be enrolled in the Architectural Experience Program (AXP) and provide the Board with NCARB-issued verification of enrollment; and (3) Establish to the Board's satisfaction, by at least three character references from other architects, employers, community leaders, or professional societies, that the applicant is an individual of good character and reputation. D. The Board reserves the right at any time to require that an applicant produce evidence acceptable to the Board of the applicant’s enrollment in the AXP as a condition of taking the ARE. E. Certification by NCARB that an applicant is enrolled in the AXP is prima facie evidence of the enrollment. F. An application to take the ARE shall be made on the form acceptable to the Board. G. Fees established by the Board and set forth in COMAR 09.21.04 shall accompany all applications, unless otherwise specified. H. Transfer of Grades. (1) The Board may accept the transfer of grades for any part of the ARE from the state of examination. (2) The request for transfer shall be made at the time of application to sit for the examination in Maryland. (3) It is the responsibility of the applicant to request the transferring state to transfer that applicant's grades and file to the Board. #### Regulation .07 Licensure. *COMAR 09.21.01.07* A. After the applicant has satisfied the Board, and, if applicable, the National Council of Architectural Registration Boards (NCARB), that the applicant possesses the proper qualifications to engage in the practice of architecture in the State, including, but not limited to, the fulfillment of the educational requirements, successful completion of all parts of the Architect Registration Examination (ARE), and completion of the Architectural Experience Program (AXP), and upon payment of the licensing fee, the Board shall issue to the applicant: (1) A certificate of licensure; and (2) A license card. B. The certificate of licensure and the license card issued by the Board are not transferable. C. The Board shall issue a replacement for a lost, destroyed, or mutilated certificate of licensure upon filing by the licensee with the Board of a signed statement setting forth the facts incident to the loss, destruction, or mutilation. The statement shall be accompanied by the proper fee set by the Board. D. Use of the certificate of licensure or of a professional seal as evidence of licensure is prohibited unless accompanied by a valid and unexpired license card. ### Chapter 02 — Code of Ethics **Authority:** Business Occupations and Professions Article, §§3-205, 3-208(a)(1), and 3-501, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.04 recodified from COMAR 09.21.01.05—.07-1 effective September 1, 2003 (30:17 Md. R. 1203) **Administrative History:** Regulation .01F adopted effective June 15, 2009 (36:12 Md. R. 836) **Administrative History:** Regulation .01F amended effective February 25, 2019 (46:4 Md. R. 190) **Administrative History:** Regulation .03E—G adopted effective January 19, 2015 (42:1 Md. R. 18) **Administrative History:** Regulation .03E amended effective July 16, 2018 (45:14 Md. R. 696) #### Regulation .01 Rules of Conduct. *COMAR 09.21.02.01* A. Competence. (1) In practicing architecture, an architect shall act with reasonable care and competence, and shall apply the technical knowledge and skills which are ordinarily applied by architects of good standing, practicing in the same locality. (2) In designing a project, an architect shall take into account all applicable State and municipal building laws and regulations. While an architect may rely on the advice of attorneys, engineers, and other qualified individuals as to the intent and meaning of those regulations, once having obtained this advice, an architect may not knowingly design a project in violation of those laws and regulations. (3) An architect shall undertake to perform professional services only when the architect, together with those whom the architect may engage as consultants, are qualified by education, training, and experience in the specific technical areas involved. (4) An individual may not practice architecture if, in the Board's judgment, the individual's professional competence is substantially impaired by physical or mental disabilities. B. Conflict of Interest. (1) An architect may not accept compensation for services from more than one party on a project, unless the circumstances are fully disclosed and agreed to, in writing, by all interested parties. (2) If an architect has a business association or direct or indirect financial interest which is substantial enough to influence the architect's judgment in connection with the architect's performance of professional services, the architect shall fully disclose in writing to the architect's client or employer the nature of the business association or financial interest. If the client or employer objects to the association or financial interest, the architect shall either terminate the association or interest, or offer to give up the commission or employment. (3) An architect may not solicit or accept compensation from material or equipment suppliers in return for specifying or endorsing their products. (4) When acting as the interpreter of building contract documents and the judge of contract performance, an architect shall render decisions impartially, not favoring either party to the contract. C. Full Disclosure. (1) An architect, making public statements on architectural questions, shall disclose when the architect is being compensated for making the statement. (2) An architect shall accurately represent to a prospective or existing client or employer the scope of the architect's qualifications and the scope of the architect's responsibility in connection with work for which the architect is claiming credit. (3) If, in the course of the architect's work on a project, an architect becomes aware of a decision taken by the architect's employer or client, against the architect's advice, which violates applicable State, county, or municipal building laws and regulations and which will, in the architect's judgment, materially affect adversely the safety to the public of the finished project, the architect shall: (a) Report the decision to the local building inspector or other public official charged with the enforcement of the applicable State, county, or municipal building laws and regulations; (b) Refuse to consent to the decision; and (c) In circumstances when the architect reasonably believes that other decisions will be taken notwithstanding the objection, terminate the services with reference to the project. (4) In the case of a termination in accordance with §C(3)(c) of this regulation, the architect has no liability to the architect's client on account of the termination. (5) An architect may not deliberately make a materially false statement or fail deliberately to disclose a material fact requested in connection with the architect's application for licensure or renewal of licensure. D. Compliance with Laws. (1) In the conduct of architectural practice, an architect may not knowingly violate any State or federal criminal laws. (2) An architect shall comply with the licensing laws and regulations governing architectural professional practice in this or other jurisdictions in which the architect practices architecture. E. Professional Conduct. (1) An architect may not either offer or make any payment or gift to a government official, whether elected or appointed, with the intent of influencing the official's judgment in connection with a prospective or existing project in which the architect is interested. (2) An architect may not either offer or make any gifts, other than gifts of nominal value, including, for example, reasonable entertainment and hospitality, with the intent of influencing the judgment of an existing prospective client in connection with a project in which the architect is interested. (3) An architect may not engage in conduct involving fraud or wanton disregard of the rights of others. (4) An architect may not assist the application for licensure of a person known by the architect to be unqualified in respect to education, training, experience, or character. (5) An architect possessing knowledge of a violation of these regulations by another architect shall report this knowledge to the Board. F. Failure to Respond. (1) If an applicant or licensee receives from the Board a written communication requesting a response, the applicant or licensee shall respond within 30 days of the date of mailing. (2) The Board shall send a written communication by first-class mail to the last known address furnished to the Board by the applicant or licensee. (3) It is a responsibility of an applicant or licensee to notify the Board in writing if there has been a change in the applicant’s or licensee’s address. (4) Failure to respond as required by this regulation may be considered by the Board to be a violation of Business Occupations and Professions Article, §3-311(a)(l)(iv), Annotated Code of Maryland. #### Regulation .02 Names of Entities. *COMAR 09.21.02.02* A. An individual, a partnership, a corporation, a limited liability company, or any other entity through which architecture is practiced, may not use an impersonal name unless the name complies with appropriate requirements set forth in Corporations and Associations Article, Annotated Code of Maryland, and Business Occupations and Professions Article, Title 3, Annotated Code of Maryland. B. A misleading designation may not be used or implied in the name of a sole proprietorship, partnership, corporation, limited liability company, or other entity offering architectural services in the State. However, this does not prevent the use of the name of a deceased or retired partner, corporate officer, director, or member in the name of the entity. #### Regulation .03 Sealing Requirements. *COMAR 09.21.02.03* A. A licensee may sign or seal plans, specifications, drawings, reports, or other documents that are required to be signed and sealed pursuant to Business Occupations and Professions Article, §3-501, Annotated Code of Maryland, only if the following requirements are met: (1) The licensee is competent in the subject matter of those documents by virtue of education or experience, or both; and (2) The licensee either: (a) Personally prepared the documents; or (b) Approved the documents. B. For purposes of §A(2)(a) and (b) of this regulation and Business Occupations and Professions Article, §3-501, Annotated Code of Maryland, “approval” means: (1) Direct knowledge and responsible control over the content of technical submissions during their preparation; and (2) Substantive review and authority to make revisions with regard to the preparation of submissions described in these regulations. C. In addition, a licensee may sign or seal, after review and inspection, the following: (1) Portions of the professional work that are not required by Business Occupations and Professions Article, Title 3, Annotated Code of Maryland, to be prepared or approved by an architect, only if the architect reviewed and adopted in whole or in part those portions, has coordinated their preparation, and has integrated them into the project; and (2) Prototype standard drawings prepared by an out-of-State architect licensed in any United States jurisdiction, in connection with the design of a commercial chain establishment. D. The licensee who signs and seals the documents in accordance with the requirements set forth in these regulations shall be considered to be the architect of record with regard to these documents. E. Signature. (1) For the purposes of this regulation, the term “signature” means: (a) A handwritten signature in permanent ink containing the name of the person who applied it; or (b) For electronic or digital documents, an electronic authentication process attached to or logically associated with the document. (2) A digital signature described in this section shall satisfy the following criteria: (a) It must contain an identification unique to a licensee using it; (b) It must be under the exclusive control of the licensee using it; (c) It must be verifiable; and (d) It is linked to the document in such a manner that any subsequent modifications to the document will result in the document no longer being considered prepared or approved by the licensee. F. Once the digital signature is applied to the document, the document shall be available in a View Format only if the document is to be transmitted electronically. G. Nothing in this regulation is intended to modify any of the requirements applicable to professional certification or titleblock more specifically set forth in Regulation 09.21.02.04. #### Regulation .04 Titleblock Rules. *COMAR 09.21.02.04* A. An architectural entity shall incorporate a titleblock on all drawings and other documents required to be signed and sealed pursuant to Business Occupations and Professions Article, §3-501, Annotated Code of Maryland. B. A licensee may not remove a titleblock from any print or reproduction of the documents described in these regulations. C. The name of the entity shall appear in the titleblock, either as a partnership, corporation, limited liability company, or other appropriate entity. In addition, the titleblock shall contain a date, printed name, signature, and seal of one of the directors of a corporation, general partners of a partnership, or members of a limited liability company, who prepared or approved the documents in accordance with these regulations. D. The directors of a corporation, partners of a partnership, or members of a limited liability company through which architecture is practiced, may designate another employee of the entity to sign and seal the documents in accordance with the requirements set forth in these regulations, if the designee: (1) Is licensed in the State to practice architecture; and (2) Prepared or approved the documents for a particular project in accordance with these regulations. E. In addition, the titleblock shall contain the following certification: ### Chapter 03 — Hearing Regulations **Authority:** Business Occupations and Professions Article, §3-208(a)(1), Annotated Code of Maryland **Administrative History:** Effective date: September 1, 2003 (30:17 Md. R.1203) #### Regulation .01 Hearings Before the Board. *COMAR 09.21.03.01* A. Except as otherwise provided in this chapter, all contested case hearings before the Board are governed by COMAR 09.01.02. B. The administrative unit shall send the hearing notice described in COMAR 09.01.02.07B not later than 30 days before the hearing. #### Regulation .02 Hearings Delegated to the Office of Administrative Hearings. *COMAR 09.21.03.02* All contested case hearings delegated to the Office of Administrative Hearings are governed by COMAR 09.01.03. ### Chapter 04 — Fees **Authority:** Business Occupations and Professions Article, §§3-101, 3-208, 3-209, 3-304, 3-306, 3-307, 3-309, 3-309.1, 3-309.2, 3-310, 3-405, 3-406, and 3-408; Business Regulation Article, §§2-106.1 and 2-106.2; Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.03 adopted as an emergency provision effective July 1, 2003 (30:14 Md. R. 932); adopted permanently effective November 10, 2003 (30:22 Md. R. 1578) **Administrative History:** Regulation .03 amended as an emergency provision effective October 1, 2009 (36:23 Md. R. 1815); amended permanently effective January 14, 2010 (37:1 Md. R. 14) **Administrative History:** Regulation .03 amended effective November 14, 2011 (38:23 Md. R. 1420) **Administrative History:** Regulation .03A amended effective April 9, 2007 (34:7 Md. R. 698); November 1, 2010 (37:22 Md. R. 1553); January 20, 2014 (41:1 Md. R. 13); May 27, 2024 (51:10 Md. R. 525) **Administrative History:** Regulation .03B amended as an emergency provision effective July 1, 2005 (32:15 Md. R. 1314); amended permanently effective November 7, 2005 (32:22 Md. R. 1756); October 24, 2016 (43:21 Md. R. 1165); May 27, 2024 (51:10 Md. R. 525) **Administrative History:** Regulation .03C amended effective April 24, 2017 (44:8 Md. R. 402) #### Regulation .01 Purpose. *COMAR 09.21.04.01* This chapter is intended to carry out the provisions of Business Regulation Article, §§2-106.1 and 2-106.2, Annotated Code of Maryland, and Business Occupations and Professions Article, Title 3, Annotated Code of Maryland. In particular, it is intended to set various fees to cover the actual documented direct and indirect costs of fulfilling the statutory and regulatory duties of the State Board of Architects, the State Board of Certified Interior Designers, the State Board of Examiners of Landscape Architects, the State Board for Professional Engineers, and the State Board for Professional Land Surveyors. #### Regulation .02 Definitions. *COMAR 09.21.04.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Board” means the State Board of Architects. (2) “Design boards” means collectively the: (a) Board; (b) State Board of Certified Interior Designers; (c) State Board of Examiners of Landscape Architects; (d) State Board for Professional Engineers; and (e) State Board for Professional Land Surveyors. (3) “License fee” means the fee paid by an applicant or licensee, as applicable, in connection with the issuance and renewal of a license and the issuance of a reciprocal license. (4) “Permit fee” means the fee paid in connection with the issuance and renewal of a permit. (5) “Secretary” means the Secretary of Labor. #### Regulation .03 Fees and Costs. *COMAR 09.21.04.03* A. The Secretary and the design boards have agreed to average their direct and indirect costs, based on the calculation of costs performed by the Secretary in consultation with the design boards. Based on these calculations, the Board sets the following fees: (1) License fee — $86; (2) Permit fee — $112; (3) Nonrefundable initial application fee payable in connection with: (a) An application for permit — $39; (b) An application for license by reciprocity — $56; (4) Reinstatement fee — $112. B. Retired Status. The Board sets the fee for a retired status license at $56. C. An applicant shall pay the examination fees directly to NCARB, as these fees are established by NCARB. D. Effective October 1, 2009, an applicant shall pay directly to NCARB or its designee a security and development fee per each section of the ARE, as such fee is established by NCARB. ### Chapter 05 — Continuing Professional Competency Requirements **Authority:** Business Occupations and Professions Article, §§3-208, 3-309, 3-309.1, and 3-309.2, Annotated Code of Maryland **Administrative History:** Effective date: August 19, 2013 (40:16 Md. R. 1342) **Administrative History:** Regulation .08 amended effective November 10, 2014 (41:22 Md. R. 1319) **Administrative History:** Chapter revised effective March 7, 2022 (49:5 Md. R. 365) #### Regulation .01 Purpose. *COMAR 09.21.05.01* The State legislature has determined that, in order to safeguard the health, safety, and welfare of the public, licensed architects shall comply with the continuing professional competency requirements as a prerequisite for the renewal of a license. #### Regulation .02 Definitions. *COMAR 09.21.05.02* A. In this chapter, the following terms have the meaning indicated. B. Terms Defined. (1) “Authorized activities” means professional development activities that: (a) Meet the criteria set forth in Regulation .04 of this chapter; and (b) Are approved and accepted for credit by the American Institute of Architects (AIA), the National Council of Architectural Registration Boards (NCARB), or the Board. (2) “Board” means the State Board of Architects. (3) “Health, safety, and welfare subjects (HSW)” means content areas identified as such by NCARB or AIA, as those content areas may be updated or otherwise amended from time to time. (4) “Learning unit (LU)” means one continuous instructional hour spent attending and completing the professional development activity in health, safety, and welfare subjects. One LU means a minimum of 50 minutes of face-to-face or distance learning instruction per 60-minute hour and is equivalent to a comparable single educational unit that may be utilized by AIA or NCARB. #### Regulation .03 Requirements. *COMAR 09.21.05.03* A. A licensee shall complete 12 LUs during each of the 2 preceding calendar years that occur prior to the calendar year in which an applicable license term is set to expire. B. As an alternative to §A of this regulation, a licensee shall complete 24 LUs during the 2-year term of the license ending on the date that the license term is set to expire. C. If a licensee chooses the calendar year method, as described in §A of this regulation, the LUs from each calendar year shall be considered separately. A licensee may not carry forward any LUs earned in excess of the annual requirement of 12 LUs to any following calendar year. D. If a licensee chooses to complete 24 LUs during the 2-year term of the license, as described in §B of this regulation, the licensee may not carry forward any LUs earned in excess of the required 24 LUs to the following 2-year term of the license. E. LUs used to meet the requirements described in §A of this regulation may not also be used in the future to meet the requirements described in §B of this regulation. In a similar way, LUs used to meet the requirements described in §B of this regulation may not also be used in the future to meet the requirements of §A of this regulation. #### Regulation .04 Professional Development Activities. *COMAR 09.21.05.04* A. A professional development activity shall meet the following criteria: (1) Be a post-licensing educational activity approved by the Board in which at least 75 percent of activity's content and instructional time is dedicated to health, safety, and welfare subjects, as they relate to the practice of architecture. (2) Expand the knowledge of health, safety, and welfare subjects and offer a skill set geared towards maintaining and enhancing professional competency of licensed architects; (3) Offer learning experiences relevant to current or future architectural practices as they relate to the public health, safety, and welfare; and (4) Be presented, led, or taught at a professional level by well-qualified professionals in an environment conducive to learning and appropriate for accomplishing learning objectives described in these regulations. B. A professional development activity shall provide for clear outcome measures in the form of a narrative, quiz, test, questions and answers, project, or any other appropriate form or method. C. The learning content of any professional development activity shall be unbiased, evidence based, and focused on increasing knowledge. Activities shall not be sales or marketing events and shall not promote or market products or services. Activities shall only contain material relevant to the program learning objectives and the desired outcomes during the instructional portion of the activity. D. A professional development activity may be presented by the following methods, as defined by NCARB: (1) Live in-person programs; (2) Live online programs; (3) On demand e-learning or printed programs; (4) Nano learning or blended programs; or (5) Any other formats approved by the Board. E. Self-reported professional development activities are not eligible for LU credit. #### Regulation .05 Submissions for Approval to Present a Professional Development Activity. *COMAR 09.21.05.05* A. Entities or individuals, including, but not limited to, professional firms conducting in-house presentations, may submit a specific professional development activity for review and approval by the Board. Each professional development activity shall be designed to be presented to other architects for LU credit. B. During the application process, the Board will evaluate the suitability of the activity and its presenter. C. The presenter shall submit adequate information to enable the Board to evaluate the professional development activity. The activity shall be developed by individuals or entities having demonstrated verifiable expertise in the subject matter. Expertise may be demonstrated through practical experience or education or both. An architect holding an active license shall be consulted in the initial development of a professional development activity or substantive changes to an activity. D. At a minimum, the Board requires the following information to be submitted with each application for approval: (1) The types and descriptions of proposed or existing programs intended to be offered; (2) The number of LUs to be awarded for each activity; (3) The identity and qualifications of the instructors; (4) The explanation and sample of outcome measures; and (5) The sample course outlines detailing the content of activity to be offered. E. The Board may approve an activity only if it meets all of the following criteria: (1) The activity's main content areas are in the health, safety, and welfare subjects; and (2) The activity enables a licensee to further the licensee's competency and professionalism as a licensed architect. F. The Board may suspend or revoke its approval of an activity if, in the judgment of the Board, the intent of Business Occupations and Professions Article, §3-309.1, Annotated Code of Maryland, is no longer served or a presenter materially changed the content of the activity without the prior written approval of the Board. #### Regulation .06 Sources of Credit and Determination of Units. *COMAR 09.21.05.06* A. A licensee may earn the LUs by any appropriate methods that may from time to time be approved by the Board. B. A licensee may earn the applicable number of LUs in accordance with the following conversion schedule: (1) 1 college credit hour — 5 LUs; (2) 1 contact hour of professional development work, or professional or technical presentations made at meetings, conventions, or conferences — 1 LU; and (3) Subject to exclusions set forth in this regulation, teaching of, lecturing on, or instructing on architectural subjects, subject to the following limitations: (a) For the first presentation, a presenter may claim credit for the activity that is equivalent to two times the number of LUs awarded by the Board for the activity; and (b) Unless the presentation has been substantially modified and updated for subsequent presentations, a presenter may claim only the same number of credits as awarded by the Board to the recipients of the qualifying activity. #### Regulation .07 Record Keeping. *COMAR 09.21.05.07* A. Responsibility to Maintain Records. (1) The responsibility of maintaining records to be used to support the continuing professional competency credit claim is the responsibility of each licensee. (2) A licensee shall maintain the records for a period of at least 6 years from the date of completion of the qualifying program. B. Documentation referred to in §A(2) of this regulation, includes, but is not limited to, the following: (1) Certificates of participation; (2) Transcripts; or (3) Any other appropriate evidence acceptable to the Board. C. A printed program agenda, program marketing materials, or an event program are not considered sufficient evidence of participation in a professional development activity. #### Regulation .08 Reporting Requirements for License Renewal. *COMAR 09.21.05.08* A. A licensee shall attest on the license renewal form to the fact that the licensee has completed all applicable CPC requirements set forth in this chapter by the last day of the following: (1) The calendar year preceding the year in which the licensee's individual license is to be renewed for the following 2-year licensing term; or (2) The 24-month period of the year in which the licensee's individual license is to be renewed for the following 2-year licensing term. B. The Board at its discretion may audit randomly selected licensees to ascertain compliance with CPC requirements. C. Licensees who are audited shall provide within 30 days of receipt of electronic notice of audit from the Board any documentation that may be required by the Board to complete the audit. #### Regulation .09 Extenuating Circumstances or Exceptions. *COMAR 09.21.05.09* A. Notwithstanding other requirements set forth in this chapter, a licensee who is granted an initial license may renew a license for the next full term without complying with the CPC requirements if: (1) The licensee has been granted an initial license and is renewing a license for the next full term; and (2) The licensee qualifies under the criteria set forth in Business Regulation Article, Title 2.5, Annotated Code of Maryland. B. Compliance Exception Request. (1) If a licensee is unable to comply with all or part of CPC requirements due to physical disability, illness, or other extenuating circumstances, the licensee may request the Board grant a one-time exception from compliance (Compliance Exception Request), provided that the Compliance Exception Request is filed with the Board at least 60 days prior to the licensee’s license expiration date. (2) If a Compliance Exception Request is based on physical disability or illness, the licensee must provide the Board with written documentation acceptable to the Board supporting the basis for the request. (3) A Compliance Exception Request must be accompanied by a detailed proposal acceptable to the Board indicating the licensee’s intended plan of compliance with CPC requirements within no later than 12 months after the license expiration date. Failure to provide the acceptable plan of compliance within the time period specified in this regulation may result in the Board’s administrative dismissal of the Compliance Exception Request. #### Regulation .10 Failure to Meet the CPC Requirements. *COMAR 09.21.05.10* In the event the licensee does not respond to the Board’s notice or otherwise fails to comply with the CPC requirements set forth in this chapter, the Board, subject to the hearing provisions of Business Occupations and Professions Article, §3–313, Annotated Code of Maryland, may take any and all available disciplinary actions under Business Occupations and Professions Article, §3–311, Annotated Code of Maryland. #### Regulation .11 Reinstatement of License. *COMAR 09.21.05.11* A licensee who wishes to reinstate a license after failing to complete the CPC requirements shall fulfill past due CPC requirements for the immediately preceding CPC reporting periods up to 24 LUs and pay all applicable fees. #### Regulation .12 Emeritus Status. *COMAR 09.21.05.12* An individual who elected the status of “architect emeritus” shall be exempt from the compliance with the CPC requirements. In the event such individual decides to have the license reactivated, the individual shall fulfill past due CPC requirements up to 24 LUs. #### Regulation .13 Learning Units Earned in Other States. *COMAR 09.21.05.13* The CPC requirements applicable to the renewal of Maryland architectural license shall be deemed to be satisfied by an architect licensed in another state if the following requirements are met: A. The state of current residency of an out-of-State licensed architect has a comparable continuing professional competency program; and B. The state of current residency accepts Maryland CPC requirements as satisfying its own comparable continuing professional competency program. ## Subtitle 22 — Board of Cosmetologists ### Chapter 01 — General Regulations **Authority:** Business Occupations and Professions Article, Titles 4 and 5; Business Regulation Article, §§2-106.13 and 2-106.14;Annotated Code of Maryland; Ch. 256, Acts of 2017 **Administrative History:** Effective date: April 4, 1973 **Administrative History:** Regulation .01 amended effective November 14, 1980 (7:23 Md. R. 2166); repealed effective November 16, 1987 (14:23 Md. R. 2414) **Administrative History:** Regulation .01 adopted as an emergency provision effective July 1, 1991 (18:18 Md. R. 2001); emergency status expired January 1, 1992 **Administrative History:** Regulation .01 adopted as an emergency provision effective February 14, 1992 (19:5 Md. R. 573); emergency status extended at 19:11 Md. R. 1011 **Administrative History:** Regulation .02A amended effective November 14, 1980 (7:23 Md. R. 2166); repealed effective November 16, 1987 (14:23 Md. R. 2414) **Administrative History:** Regulation .02B repealed effective November 16, 1987 (14:23 Md. R. 2414) **Administrative History:** Regulation .02C amended effective November 16, 1987 (14:23 Md. R. 2414) **Administrative History:** Regulation .02D repealed effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .02D adopted effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .02 repealed and new Regulation .02 adopted as an emergency provision effective July 1, 1991 (18:18 Md. R. 2001); emergency status extended at 19:2 Md. R. 150 and 19:11 Md. R. 1011 **Administrative History:** Regulation .03A—C amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .03D repealed effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .03 repealed and new Regulation .03 adopted as an emergency provision effective July 1, 1991 (18:18 Md. R. 2001); emergency status expired January 1, 1992 **Administrative History:** Regulation .03 repealed and new Regulation .03 adopted as an emergency provision effective February 14, 1992 (19:5 Md. R. 573); emergency status extended at 19:11 Md. R. 1011 **Administrative History:** Regulation .04A amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .04B amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .04C-1 adopted effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .04F repealed effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .05 amended effective November 14, 1980 (7:23 Md. R. 2166); June 17, 1985 (12:12 Md. R. 1163); March 23, 1987 (14:6 Md. R. 713); November 16, 1987 (14:23 Md. R. 2414) **Administrative History:** Regulation .06A adopted effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .06D repealed effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .06D—F adopted effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulations .06, .08, and .09 amended as an emergency provision effective July 1, 1991 (18:18 Md. R. 2001); emergency status extended at 19:2 Md. R. 150 and 19:11 Md. R. 1011 **Administrative History:** Regulation .07A and C amended effective December 30, 1977 (4:27 Md. R. 2106) **Administrative History:** Regulation .07E repealed effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .08 amended effective February 4, 1976 (3:3 Md. R. 149) **Administrative History:** Regulation .08A amended effective November 14, 1980 (7:23 Md. R. 2166); June 12, 1981 (8:12 Md. R. 1061); April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .08B amended effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .08C repealed effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .08C adopted effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .09A amended effective August 21, 1989 (16:16 Md. R. 1750) **Administrative History:** Regulation .09D repealed effective November 16, 1987 (14:23 Md. R. 2414) **Administrative History:** Regulation .09F amended effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .09F-1 adopted effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .12 amended effective November 14, 1980 (7:23 Md. R. 2166); June 12, 1981 (8:12 Md. R. 1061) **Administrative History:** Regulation .12A amended effective March 23, 1987 (14:6 Md. R. 713) **Administrative History:** Regulation .12D amended effective March 23, 1987 (14:6 Md. R. 713) **Administrative History:** Regulation .13 repealed effective December 15, 1978 (5:25 Md. R. 1853) **Administrative History:** Regulation .13 adopted effective March 23, 1987 (14:6 Md. R. 713) **Administrative History:** Regulation .13 amended effective June 11, 1990 (17:11 Md. R. 1343) **Administrative History:** Regulation .14 amended effective August 21, 1989 (16:16 Md. R. 1750) **Administrative History:** Regulation .14B amended effective December 30, 1977 (4:27 Md. R. 2106) **Administrative History:** Regulation .15 repealed and new Regulation .15 adopted effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .15C—F amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .15D amended effective February 4, 1976 (3:3 Md. R. 149) **Administrative History:** Regulation .15F amended effective February 4, 1976 (3:3 Md. R. 149); October 19, 1979 (6:21 Md. R. 1708) **Administrative History:** Regulation .16B amended effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .16C amended effective March 3, 1976 (3:5 Md. R. 295); November 14, 1980 (7:23 Md. R. 2166); November 16, 1987 (14:23 Md. R. 2414) **Administrative History:** Regulation .16D amended effective June 13, 1988 (15:12 Md. R. 1445) **Administrative History:** Regulation .16F amended effective June 13, 1988 (15:12 Md. R. 1445) **Administrative History:** Regulation .16H amended effective June 13, 1988 (15:12 Md. R. 1445) **Administrative History:** Regulation .16I repealed effective November 16, 1987 (14:23 Md. R. 2414) **Administrative History:** Regulation .16I adopted effective June 13, 1988 (15:12 Md. R. 1445) **Administrative History:** Regulation .16J amended effective June 13, 1988 (15:12 Md. R. 1445) **Administrative History:** Regulation .16U amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .16W amended effective June 13, 1988 (15:12 Md. R. 1445) **Administrative History:** Regulation .16AA repealed effective November 16, 1987 (14:23 Md. R. 2414) **Administrative History:** Regulation .16BB adopted effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .16CC adopted effective February 9, 1987 (14:3 Md. R. 272) **Administrative History:** Regulation .16DD adopted effective June 13, 1988 (15:12 Md. R. 1445) **Administrative History:** Regulation .16EE adopted effective May 1, 1989 (16:8 Md. R. 909) **Administrative History:** Regulation .17F repealed effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .18A—D amended effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .18C amended effective February 4, 1976 (3:3 Md. R. 149) **Administrative History:** Regulation .18D amended effective February 4, 1976 (3:3 Md. R. 149) **Administrative History:** Regulation .18H amended effective February 4, 1976 (3:3 Md. R. 149); March 23, 1987 (14:6 Md. R. 713) **Administrative History:** Regulation .19 repealed effective November 16, 1987 (14:23 Md. R. 2414) **Administrative History:** Regulations .20—.24 adopted effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulations .21, .22, and .24 amended as an emergency provision effective July 1, 1991 (18:18 Md. R. 2001); emergency status extended at 19:2 Md. R. 150 and 19:11 Md. R. 1011 **Administrative History:** Regulation .22G amended effective June 13, 1988 (15:12 Md. R. 1445) **Administrative History:** Regulations .02—.24 repealed and new Regulations .01—.15 adopted effective June 22, 1992 (19:12 Md. R. 1133) **Administrative History:** Regulation .01 amended effective December 14, 1998 (25:25 Md. R. 1831) **Administrative History:** Regulation .01B amended effective May 13, 2002 (29:9 Md. R. 745) **Administrative History:** Regulation .01C amended effective July 17, 1995 (22:14 Md. R. 1052) **Administrative History:** Regulation .01D amended effective September 4, 2000 (27:17 Md. R. 1618) **Administrative History:** Regulation .01J adopted effective May 13, 2002 (29:9 Md. R. 745) **Administrative History:** Regulation .04 amended effective April 26, 2004 (31:8 Md. R. 646) **Administrative History:** Regulation .04D amended effective September 4, 2000 (27:17 Md. R.1619) **Administrative History:** Regulation .06 amended effective September 4, 2000 (27:17 Md. R. 1618) **Administrative History:** Regulation .07 amended effective April 29, 2002 (29:8 Md. R. 698) **Administrative History:** Regulation .07E adopted effective October 7, 1996 (23:20 Md. R. 1422) **Administrative History:** Regulation .07F adopted effective September 4, 2000 (27:17 Md. R. 1619) **Administrative History:** Regulation .08 amended effective April 26, 2004 (31:8 Md. R. 646) **Administrative History:** Regulation .08A amended effective September 4, 2000 (27:17 Md. R. 1619) **Administrative History:** Regulation .08B amended effective February 14, 1994 (21:3 Md. R. 193) **Administrative History:** Regulation .08C amended effective September 4, 2000 (27:17 Md. R. 1619) April 29, 2002 (29:8 Md. R. 698) **Administrative History:** Regulation .08D adopted effective October 7, 1996 (23:20 Md. R. 1422) **Administrative History:** Regulation .08E adopted effective September 4, 2000 (27:17 Md. R. 1619) **Administrative History:** Regulation .08F adopted effective September 4, 2000 (27:17 Md. R. 1619) **Administrative History:** Regulation .09A amended effective September 4, 2000 (27:17 Md. R. 1618) **Administrative History:** Regulation .09B amended effective February 14, 1994 (21:3 Md. R. 193); September 4, 2000 (27:17 Md. R. 1618) **Administrative History:** Regulation .09C amended effective September 4, 2000 (27:17 Md. R. 1618); September 4, 2000 (27:17 Md. R. 1619); April 29, 2002 (29:8 Md. R. 698) **Administrative History:** Regulation .09D adopted effective October 7, 1996 (23:20 Md. R. 1422) **Administrative History:** Regulation .09D amended effective September 4, 2000 (27:17 Md. R. 1619) **Administrative History:** Regulation .09E adopted effective September 4, 2000 (27:17 Md. R. 1619) **Administrative History:** Regulation .10 amended effective April 29, 2002 (29:8 Md. R. 699); February 6, 2012 (39:2 Md. R. 141) **Administrative History:** Regulation .11A amended effective February 6, 2012 (39:2 Md. R. 141) **Administrative History:** Regulation .12C amended effective November 6, 2006 (33:22 Md. R. 1732) **Administrative History:** Regulation .12E amended as an emergency provision effective July 23, 1993 (20:15 Md. R. 1218); amended permanently effective November 22, 1993 (20:23 Md. R. 1804) **Administrative History:** Regulation .12E amended as an emergency provision effective June 20, 1997 (24:15 Md. R. 1060); emergency status expired December 20, 1997 **Administrative History:** Regulation .12E amended effective March 9, 1998 (25:5 Md. R. 367) **Administrative History:** Regulation .12G amended effective April 29, 2002 (29:8 Md. R. 699) **Administrative History:** Regulation .12K amended effective September 4, 2000 (27:17 Md. R. 1618) **Administrative History:** Regulation .13A amended as an emergency provision effective April 25, 1996 (23:10 Md. R. 728); emergency status expired July 15, 1996 **Administrative History:** Regulation .13A amended as an emergency provision effective July 1, 1997 (24:15 Md. R. 1060); emergency status expired December 1, 1997; amended permanently effective March 9, 1998 (25:5 Md. R. 368) **Administrative History:** Regulation .13A amended effective September 4, 2000 (27:17 Md. R.1618) **Administrative History:** Regulation .13A amended as an emergency provision effective October 1, 2002 (29:23 Md. R. 1807); emergency status expired April 2, 2003 **Administrative History:** Regulation .13A amended as an emergency provision effective March 1, 2003 (30:13 Md. R. 851); emergency status extended at 30:25 Md. R. 1843); emergency status expired January 1, 2004; amended permanently effective January 5, 2004 (30:26 Md. R, 1913) **Administrative History:** Regulation .13A amended as an emergency provision effective October 15, 2009 (36:23 Md. R. 1815); emergency status expired effective April 9, 2010; amended permanently effective June 14, 2010 (37:12 Md. R. 800) **Administrative History:** Regulation .13A amended as an emergency provision effective December 19, 2014 (42:1 Md. R. 13); emergency status expired May 30, 2015 **Administrative History:** Regulation .13B amended as an emergency provision effective July 25, 1997 (24:17 Md. R. 1208); emergency status expired January 25, 1998; amended permanently effective March 9, 1998 (25:5 Md. R. 368) **Administrative History:** Regulation .13B amended effective September 4, 2000 (27:17 Md. R. 1618); September 4, 2000 (27:17 Md. R. 1619) **Administrative History:** Regulation .13C, E amended effective October 24, 2016 (43:21 Md. R. 1165) **Administrative History:** Regulation .13D amended effective December 14, 1998 (25:25 Md. R. 1831); May 2, 2011 (38:9 Md. R. 552) **Administrative History:** Regulation .16 adopted effective July 31, 2006 (33:15 Md. R. 1280) **Administrative History:** Chapter revised effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .11C amended as an emergency provision effective July 8, 2020 (47:16 Md. R. 736); emergency status expired effective November 30, 2020 **Administrative History:** Regulation .11C amended effective March 22, 2021 (48:6 Md. R. 237) **Administrative History:** Regulation .11E amended effective June 3, 2019 (46:11 Md. R. 516) **Administrative History:** Regulation .12 repealed and new Regulation .12 adopted effective November 5, 2018 (45:22 Md. R. 1027) **Administrative History:** Regulation .12E amended effective May 27, 2024 (51:10 Md. R. 525) **Administrative History:** Regulation .13F adopted effective May 1, 2023 (50:8 Md. R. 337) **Administrative History:** Regulation .15E amended effective March 23, 2020 (47:6 Md. R. 341) **Administrative History:** Regulation .16 adopted effective January 28, 2019 (46:2 Md. R. 52) **Administrative History:** Chapter revised effective March 2, 2026 (53:4 Md. R. 184) #### Regulation .01 General Requirements. *COMAR 09.22.01.01* A. A licensee, permit holder, or registrant shall be familiar with and comply with the laws and regulations governing the practice of beauty culture. B. Every licensee and registrant shall: (1) Display a current and valid license in full view of the public at the practitioner's work station; (2) Affix a current picture to the license; and (3) Have available at all times valid government-issued photographic identification. C. When a senior cosmetologist or cosmetologist practices cosmetology in the residence of a patron, in a nursing home, or in a hospital, the following conditions shall be met: (1) The services are sponsored by an authorized salon; (2) The licensee is fully supplied with sanitized and disinfected equipment by the sponsoring salon and the implements and tools are carried back and forth in an appropriate manner to assure they are not contaminated; (3) The sponsoring salon maintains complete records of all services performed, and the date, time, place, and charge for the services; (4) All tools, equipment, and complete records are available for inspection; (5) Board inspectors are permitted to conduct inspections of any area where cosmetology services are provided; and (6) When the cosmetology services are provided in a nursing home, hospital, or similar facility, the: (a) Patron is a: (i) Resident of the facility, and (ii) Customer of the beauty salon, preexisting or otherwise; (b) Facility does not hold itself out to the public as a provider of cosmetology services; and (c) Compensation paid for the cosmetology services is ultimately paid to the licensee performing the services or to the sponsoring beauty salon. D. A licensee operating a barber shop shall comply with all pertinent sanitation regulations contained in COMAR 09.22.02.04—.06. E. A photography studio that provides hair styling or makeup services as a part of a photo package shall obtain an owner's permit, and the services shall be performed by an authorized licensee. F. A licensee, permit holder, or registrant shall promptly notify the Board of any change of address. G. The Board may initiate a criminal prosecution of a person who engages in the practice of beauty culture without a valid license or registration. H. A licensee or registrant is responsible for the sanitary condition of the licensee's or registrant's individual work station. I. A licensee, permit holder, or registrant may not knowingly interfere with the lawful activity of an inspector of the Board. J. The provision of cosmetology, esthetic, or nail technology services in a beauty salon is prima facie evidence that compensation has been, or will be, paid for the services rendered. #### Regulation .02 Senior Cosmetologist License. *COMAR 09.22.01.02* A. A senior cosmetologist is responsible for the theory and practical training of apprentices and limited practice apprentices in the cosmetologist's salon. B. A senior cosmetologist license authorizes the licensee to practice all aspects of beauty culture. #### Regulation .03 Cosmetologist License. *COMAR 09.22.01.03* A cosmetologist license authorizes the licensee to practice all aspects of beauty culture. #### Regulation .04 Esthetician License. *COMAR 09.22.01.04* A. An esthetician license authorizes the licensee to engage in providing esthetic services as defined in Business Occupations and Professions Article, §5-101(o), Annotated Code of Maryland. B. The term “massaging”, as used in Business Occupation and Professions Article, §5-101(o), Annotated Code of Maryland, means contact with the skin limited to the beautification, cleansing, and embellishment of the skin during the application and removal of skin care products. C. The term “exfoliating” as used in Business Occupation and Professions Article, §5-101(o), Annotated Code of Maryland, means to remove dead skin cells, dirt, bacteria, and excess oil from the skin. D. The term “cosmetic microneedling” as used in Business Occupation and Professions Article, §5-101(o), Annotated Code of Maryland, means the use of cosmetic, non-medical devices that have needles no longer than 1 mm and are used in a manner that does not penetrate the skin beyond the epidermis. E. The term “toning” as used in Business Occupation and Professions Article, §5-101(o), Annotated Code of Maryland, means the cleaning, manipulating and stimulating of skin by use of facials, face masks, and wraps. #### Regulation .05 Nail Technician License. *COMAR 09.22.01.05* A nail technician license authorizes the licensee to engage in the practice of: A. Massaging the hands and feet; B. Applying cosmetic preparations, nail enamels, antiseptics, lotions, creams, nail gel, nail wrappings, acrylics, and artificial nails; and C. Cutting, shaping, and similar work upon the nails. #### Regulation .06 Eyelash Extension Technician License. *COMAR 09.22.01.06* A. An eyelash extension technician license authorizes the licensee to engage in the practice of applying, removing, cleansing, and maintenance of semi-permanent individual or volume eyelash extensions to enhance the length, curl, fullness, and thickness of natural lashes. B. Temporary Eyelash Extension Technician License. (1) The Board may issue a temporary eyelash extension technician license to an applicant who submits an application on or before December 31, 2026. (2) An applicant for a temporary license shall submit to the Board an application on the form that the Board provides. (3) To qualify for a temporary license, an applicant shall be at least 17 years old and have completed successfully a ninth grade education or the equivalent. (4) Applicants for a temporary license are exempt from the training and exam requirements of Business Occupations and Professions Article, §5-305(c) and (h), Annotated Code of Maryland. (5) The term of a temporary license is 1 year. (6) The fee for a temporary license is $11. (7) The Board may issue no more than one temporary license to an individual. (8) Renewal. (a) Temporary licenses may be renewed no more than one time for a term of 1 year. (b) An applicant for the renewal of a temporary license shall submit to the Board an application on the form that the Board provides. (c) The Board shall not renew a temporary license unless the applicant demonstrates good cause as to why they did not obtain a permanent eyelash technician license and that they are (i) Enrolled in an eyelash extension course approved by the State Department of Education or the Maryland Higher Education Commission; or (ii) Registered as an apprentice as provided under Business Occupations and Professions Article, §§5-404 and 5-505, Annotated Code of Maryland. (d) The fee for the renewal of a temporary license is $11. #### Regulation .07 Cosmetologist Apprentice Registration. *COMAR 09.22.01.07* A. A cosmetologist apprentice registration authorizes the apprentice to learn all aspects of cosmetology under the direct supervision of a senior cosmetologist. B. One senior cosmetologist shall directly train one cosmetologist apprentice. C. Before becoming eligible to take the cosmetologist examination, a cosmetologist apprentice shall: (1) Train at least 20 hours per week; (2) Train for not less than 24, nor more than 36, months; and (3) Complete the apprenticeship curriculum approved by the Board. D. For good cause, the Board may issue a new cosmetologist apprentice registration to an individual previously registered as a cosmetologist apprentice if: (1) A minimum of 6 months has passed since the individual was last registered as a cosmetologist apprentice; and (2) The individual surrenders the number of hours earned under any other cosmetologist apprentice registration. E. A cosmetologist apprentice registration shall be obtained, and used, only for the purpose of receiving the amount of training required to qualify for a licensing examination given by the Board. #### Regulation .08 Esthetician Apprentice Registration. *COMAR 09.22.01.08* A. An esthetician apprentice registration authorizes the esthetician apprentice to learn all aspects of providing esthetic services as defined in Business Occupations and Professions Article, §5-101(l), Annotated Code of Maryland. B. The term “massaging”, as used in Business Occupation and Professions Article, §5-101(l), Annotated Code of Maryland, means contact with the skin limited to the beautification, cleansing, and embellishment of the skin during the application and removal of skin care products. C. One senior cosmetologist or one licensed esthetician with 2 years experience shall directly train one esthetician apprentice. D. Before becoming eligible to take the esthetician examination, an esthetician apprentice shall: (1) Train at least 20 hours per week; (2) Train for not less than 12 or more than 24 months; and (3) Complete the apprenticeship curriculum approved by the Board. E. For good cause, the Board may issue a new esthetician apprentice registration to an individual previously registered as a cosmetologist apprentice or an esthetician apprentice if: (1) A minimum of 6 months has passed since the individual was last registered as a cosmetologist apprentice or an esthetician apprentice; and (2) The individual surrenders the number of hours earned under any other cosmetologist apprentice or esthetician apprentice registration. F. An esthetician apprentice registration shall be obtained, and used, only for the purpose of receiving the amount of training required to qualify for a licensing examination given by the Board. G. An esthetician apprentice registration may be renewed one time. #### Regulation .09 Nail Technician Apprentice Registration. *COMAR 09.22.01.09* A. A nail technician apprentice registration authorizes the nail technician apprentice to learn all aspects of manicuring and pedicuring. B. One senior cosmetologist or one licensed nail technician with 2 years experience shall directly train one apprentice. C. Before becoming eligible to take the nail technician examination, a nail technician apprentice shall: (1) Train at least 20 hours per week; (2) Train for not less than 8 or more than 12 months; and (3) Complete the apprenticeship curriculum approved by the Board. D. For good cause, the Board may issue a new nail technician apprentice registration to an individual previously registered as a cosmetologist apprentice or a nail technician apprentice if: (1) A minimum of 6 months has passed since the individual was last registered as a cosmetologist apprentice or a nail technician apprentice; and (2) The individual surrenders the number of hours earned under any other cosmetologist apprentice or nail technician apprentice registration. E. A nail technician apprentice registration shall be obtained, and used, only for the purpose of receiving the amount of training required to qualify for a licensing examination given by the Board. #### Regulation .10 Eyelash Extension Technician Apprentice Registration. *COMAR 09.22.01.10* A. An eyelash extension technician apprentice registration authorizes the eyelash extension technician apprentice to learn all aspects of applying, removing, cleansing, and maintaining semi-permanent individual or volume eyelash extensions to enhance the length, curl, fullness, and thickness of natural lashes. B. Beginning January 1, 2027, one senior cosmetologist who has completed a Board approved continuing education course regarding eyelash extension services or one licensed eyelash extension technician with 2 years’ experience as a licensed practitioner shall directly train one apprentice. C. Before becoming eligible to take the eyelash extension technician examination, an eyelash extension technician apprentice shall: (1) Train at least 10 hours per week; (2) Train for not less than 3 or more than 7 months; and (3) Complete the apprenticeship curriculum approved by the Board. D. For good cause, the Board may issue a new eyelash extension technician apprentice registration to an individual previously registered as a cosmetologist apprentice or an eyelash extension technician apprentice if: (1) A minimum of 6 months has passed since the individual was last registered as a cosmetologist apprentice or an eyelash extension technician apprentice; and (2) The individual surrenders the number of hours earned under any other cosmetologist apprentice or eyelash extension technician apprentice registration. E. An eyelash extension technician apprentice registration shall be obtained and used only for the purpose of receiving the amount of training required to qualify for a licensing examination given by the Board. #### Regulation .11 Supervision of an Apprentice. *COMAR 09.22.01.11* A. Prior to supervising an apprentice for the first time, a licensee shall participate in an orientation program administered by the Board. B. A licensee who supervises an apprentice shall: (1) Ensure that the apprentice receives: (a) At least 20 hours of training per week; and (b) The required theory and practical training; (2) File a monthly report, on a form supplied by the Board, stating the progress of each apprentice in the salon and identifying the designated licensee in charge of each apprentice; (3) Advise the Board immediately, in writing, when an apprenticeship is discontinued, temporarily or otherwise; and (4) Ensure that any apprentice is limited to and performs only the services authorized by the apprentice registration. C. Unless the Board determines that exceptional circumstances exist, if a monthly report required by §A(2) of this regulation is not received by the Board within 90 days of the completion of the apprentice training: (1) The report may not be received by the Board; and (2) Credit may not be given for the training. #### Regulation .12 Apprenticeship Registration Requirements. *COMAR 09.22.01.12* A person may be registered as an apprentice if the person: A. Is at least 16 years old; B. Has secured a sponsoring salon in which to apprentice; C. Has been approved by the Board; and D. Prior to being registered as an apprentice, has participated in an orientation program administered by the Board. #### Regulation .13 Examinations. *COMAR 09.22.01.13* A. The Board shall schedule examinations as often as necessary to meet the demand. B. Each qualified applicant for examination shall be sent a notice of the examination that contains the: (1) Time, date, and location of the examination; (2) Amount of time allotted for the examination; (3) Areas that will be tested during the theoretical and practical portions of the examination; (4) Requirements for models; (5) Equipment the applicant shall bring; (6) Requirements for passing the examination; and (7) Board's policy on bringing books or other materials into the examination room. C. Requirements for Taking Examination. (1) A candidate shall arrive in a timely fashion to take the examination. (2) A candidate shall present the notice of examination and a proper identification with the candidate's signature and photograph. (3) A candidate may not bring books or papers into the examination room and may not use those materials during either the practical or the theoretical portion of the examination. (4) A candidate taking the practical portion of an examination shall: (a) Appear in a clean, washable garment; (b) If taking the cosmetologist examination, appear with an appropriate mannequin head; (c) If taking the nail technician examination, appear with an appropriate mannequin hand; (d) If taking the esthetician examination: (i) Be accompanied by a live model who is 16 years old or older; or (ii) Appear with a mannequin head; and (e) Appear with the equipment necessary to take the examination which shall be in a clean and disinfected condition and in good repair. D. Disqualification. A candidate who violates any of the provisions of §C of this regulation may not be admitted to the examination and shall forfeit the examination fee. E. Interpreters—Foreign Language Dictionaries. (1) The Board may permit a Board-approved interpreter to accompany an applicant and assist in the theory portion of the examination. (2) If approved by the Board or its authorized representative, an applicant may use a word-for-word, bilingual dictionary during the theory portion of an examination. (3) During any portion of an examination: (a) A sign interpreter may assist an applicant who is hearing impaired; and (b) A reader may assist an applicant who has dyslexia or another, similar reading impairment. F. When a practical test cannot be completed for any reason, the grade for that test shall be “incomplete” and not “failure.” G. Passing Examination. (1) In order to be certified as passing an examination, a candidate shall: (a) Receive a score of 75 percent or more on the practical portion of the examination; (b) Score at least 75 percent or more on the theoretical portion of the examination; and (c) Demonstrate a sufficient ability to verbally communicate and comprehend the English language in order to understand, converse, and properly respond to the requests, needs, and explanations of English speaking patrons. (2) An individual who passes one or more portions of the examination shall be excused from retaking the portion passed. (3) An applicant who has not passed all parts of the examination within 1 year of the original examination date shall be required to retake the entire examination. H. Content of Cosmetologist Examination. (1) A cosmetologist examination shall consist of a theoretical portion and a practical portion. (2) The theoretical portion of the cosmetologist examination shall consist of questions which embrace the subjects of cosmetology found in basic cosmetology textbooks including, but not limited to, the following: (a) Sanitation and disinfection; (b) Chemical applications; (c) Hair cutting and styling techniques; (d) Diseases and disorders; (e) Facial massage; (f) Skin care; (g) Makeup application; (h) Hair removal; (i) Application of artificial nails; (j) Manicuring and pedicuring procedures; and (k) Laws and regulations regarding the practice of cosmetology. (3) The practical portion of the cosmetologist examination shall consist of the candidate demonstrating and explaining: (a) Wet set or thermal curl set; (b) Permanent cold wave; (c) Chemical relaxing; (d) Hair pressing; (e) Croquignole curl; (f) Bleach and tint; (g) Blended haircut; (h) Fingerwave; (i) Pincurls; (j) Roller placement; and (k) Manicure. I. Content of Senior Cosmetologist Examination. (1) A senior cosmetologist examination shall consist of a theoretical portion only. (2) A candidate shall be required to demonstrate a knowledge of cosmetology including, but not limited to, an advanced knowledge of: (a) Sanitation and disinfection techniques; (b) Chemical applications; (c) Hair cutting and styling techniques; (d) Diseases and disorders; and (e) Laws and regulations regarding the practice of cosmetology. J. Content of Esthetician Examination. (1) An esthetician examination shall consist of a theoretical portion and a practical portion. (2) The theoretical portion of the esthetician examination shall consist of questions which embrace the subjects of esthetics found in basic esthetics textbooks including, but not limited to, the following: (a) Sanitation and disinfection; (b) Diseases and disorders; (c) Facial massage; (d) Skin care; (e) Makeup application; (f) Hair removal; and (g) Laws and regulations regarding the practice of esthetics. (3) The practical portion of the esthetician examination shall consist of the candidate demonstrating and explaining: (a) Patron preparation; (b) Skin cleansing; (c) Skin analysis; (d) Location and names of motor points; (e) Tweezing and arching of eyebrows; (f) Massage movements; and (g) Application of women's daytime makeup. K. Contents of Nail Technician Examination. (1) A nail technician examination shall consist of a theoretical portion and a practical portion. (2) The theoretical portion of the nail technician examination shall consist of questions which embrace the subjects of manicuring found in basic manicuring textbooks including, but not limited to, the following: (a) Sanitation and disinfection; (b) Diseases and disorders; (c) Manicuring and pedicuring procedures; (d) Application of artificial nails; and (e) Laws and regulations regarding the practice of a nail technician. (3) The practical portion of the nail technician examination shall consist of the candidate demonstrating and explaining: (a) Basic manicure; (b) Hairline tip of a free edge; (c) Half moon; (d) Application of acrylic nails; and (e) Pedicure procedure. L. Contents of Blow Drying Examination. (1) A blow drying examination shall consist of a theoretical portion and a practical portion. (2) The theoretical portion of the blow drying examination shall consist of questions which embrace the subjects of beautifying, cleaning, and arranging hair found in cosmetology textbooks including, but not limited to, the following: (a) Sanitation and disinfection; (b) Disease and disorders; (c) Arranging hair; (d) Cleansing hair; (e) Curling hair; (f) Dressing hair; (g) Blow drying hair; (h) Singeing hair; and (i) Beautifying hair. (3) The practical portion of the blow drying examination shall consist of the candidate demonstrating and explaining: (a) Arranging hair; (b) Cleansing hair; (c) Curling hair; (d) Dressing hair; (e) Blow drying hair; (f) Singeing hair; and (g) Beautifying hair. M. Content of Hair Stylist Examination. (1) A hair stylist examination shall consist of a theoretical and a practical portion. (2) The Theoretical portion of the hair stylist examination shall consist of questions which embrace the subjects of the hair styling found in basic cosmetology textbooks, including, but not limited to, the following: (a) Sanitation and disinfection; (b) Chemical applications; (c) Hair cutting and styling techniques; (d) Diseases and disorders; and (e) Laws and regulations regarding the practice of hair styling. (3) The practical portion of the hair styling examination shall consist of the candidate demonstrating and explaining: (a) Wet set or thermal curl set; (b) Permanent cold wave; (c) Chemical relaxing; (d) Hair pressing; (e) Croquignole curl; (f) Bleach and tint; (g) Blended haircut; (h) Fingerwave; (i) Pincurls; and (j) Roller placement. N. Content of Eyelash Extension Examination. (1) An eyelash extension examination shall consist of a theoretical and a practical portion. (2) The theoretical portion of the eyelash extension examination shall consist of questions that relate to the subject of eyelash extensions, including, but not limited to, the following: (a) Sanitation and safety; (b) Lash extension types, adhesives, and tools; (c) Lash anatomy and growth cycles; (d) Contraindications and allergic reactions; and (e) Laws and regulations regarding the practice of cosmetology. (3) The practical portion of the eyelash extension examination shall consist of the candidate demonstrating and explaining: (a) Lash isolation; (b) Lash extension application; (c) Adhesive control; (d) Lash extension removal; (e) Client safety measures; and (f) Sanitation practices. #### Regulation .14 Fees. *COMAR 09.22.01.14* A. Purpose. This regulation is intended to carry out the provisions of Business Occupations and Professions Article, Titles 4 and 5, and Business Regulation Article, §§2-106.13 and 2-106.14, Annotated Code of Maryland. In particular, it is intended to set various fees in order to cover the actual documented direct and indirect costs of fulfilling the statutory and regulatory duties of the State Board of Barbers and State Board of Cosmetologists. B. Definitions. (1) In this regulation, the following terms have the meanings indicated. (2) Terms Defined. (a) “Barbers Board” means the State Board of Barbers. (b) “Cosmetologists Board” means the State Board of Cosmetologists. (c) “License fee” means the fee paid by an applicant or licensee, as applicable, in connection with the issuance and renewal of a license and the issuance of a limited license and a reciprocal license. (d) “Salon owner permit fee” means the fee paid by an applicant or licensee, as applicable, in connection with the issuance and renewal of a salon permit. (e) “Secretary” means the Secretary of Labor. C. Examination Fees. An applicant for examination or reexamination shall pay an examination or reexamination fee directly to the testing service chosen by the Cosmetologists Board to develop or administer the examination. D. Average of Costs. In order to establish fees that more equitably distribute the costs associated with the operation of each board among similar boards, the Secretary may average the direct and indirect costs of the Barbers Board and the Cosmetologists Board, provided that the boards consent to having their direct and indirect costs averaged together. E. As provided for in Business Regulation Article, §§2-106.13 and 2-106.14, Annotated Code of Maryland, and this regulation, the Cosmetologist Board sets the following license and permit fees: (1) Salon owner — $56; (2) Senior cosmetologist — $28; (3) Cosmetologist — $28; (4) Blow dry — $28; (5) Esthetician — $28; (6) Nail technician — $28; (7) Hair stylist — $28; (8) Eyelash extension technician — $28; (9) Apprentice — $11; (10) Reinstatement: (a) If the license of a senior cosmetologist, cosmetologist, esthetician, or nail technician license has expired, a reinstatement fee of $28 shall be paid in addition to the renewal fee in this section; and (b) If the permit of a salon owner has expired, in addition to the renewal fee in this section: (i) A reinstatement fee of $56 shall be paid if not more than 45 days have passed since the expiration of the permit; and (ii) A pre-opening inspection fee of $169 shall be paid, and such an inspection shall be conducted, if more than 45 days have passed since the expiration of the permit; and (11) Pre-opening inspection — $169. F. A separate payment is required for each application. G. Payment in cash may not be accepted. H. All fees are nonrefundable. #### Regulation .15 Renewals. *COMAR 09.22.01.15* A. A renewal application for each license, permit, or registration shall be mailed to each licensee, permit holder, or cosmetologist apprentice at the last known address. B. A licensee, permit holder, or cosmetologist apprentice shall submit each application and the required payment at least 14 days before the expiration date of the existing license. C. An application that is incomplete or is not accompanied by the appropriate fee shall be returned to the applicant. D. A registered cosmetologist apprentice is limited to two renewals. E. A limited practice apprentice registration is not renewable. F. Prior to the expiration of each 2-year term, a licensee shall provide proof of satisfactory completion of continuing education requirements. #### Regulation .16 Compensation — Examiners and Inspectors. *COMAR 09.22.01.16* A. Examiners, appointed by the Board, shall be paid a per diem of at least $50 based on the State's budget. B. Inspectors, appointed by the Board, shall be paid a per diem of at least $50 based on the State's budget. C. All per diem employees are entitled to be reimbursed for traveling expenses in accordance with the State's policy. #### Regulation .17 Citations to Licensees. *COMAR 09.22.01.17* Unless otherwise indicated, the following civil penalties are applicable to the following violations of the laws and regulations of the Board of Cosmetologists discovered by a Board inspector during an inspection of a beauty salon: A. Working in a beauty salon for which a permit never has been issued or other unauthorized location — $300; B. Licensing: (1) Operating without a valid license — $300; (2) No photo on license — $100; (3) No valid government-issued photo identification — $100; (4) Services beyond scope — $300; C. Sanitation: (1) Improper disinfection: (a) Failure to wash implements before disinfection — $150; (b) Failure to properly disinfect implements, bowls, basins, other areas — $150; (c) Failure to properly store disinfected implements — $150; (d) Failure to keep clean disinfectant on esthetician tray or nail technician table — $150; (2) Improper procedures for cut or blood-related incidents — formal hearing; (3) Other: (a) Poor lighting, heating, or ventilation — $50; (b) Unclean walls, curtains, or floor coverings — $50; (c) Absence of hot or cold running water — $50; (d) Presence of rodents or insects — $50; (e) Use of salon (shop) for sleeping or living — $100; (f) Failure to promptly remove hair or debris — $50; (g) Unsanitary restroom — $50; (h) No soap dispenser and disposable towels — $50; (i) Unclean operator's garments — $50; (j) Failure to wash hands before each client — $50; (k) No wet sanitizer at station — $50; (l) No closed drawer or cabinet for disinfected implements at station — $100; (m) Use of neck duster, powder puff, sponge, septic pencil, or lump alum on more than one client — $100; (n) Improper application, removal, or discarding of lotions, oils, and other liquids — $100; (o) Improper application of creams — $100; (p) Improper maintenance of lotions, oils, and other liquids — $100; (q) Failure to properly cover head, foot rest, or manicuring cushion — $100; (r) Improper storage or disposal of towels — $50; (s) Improper sanitation of pressing combs or curling irons — $100; (t) Insufficient number of combs or brushes — $50; (u) Failure to use protective neck strip — $50; (v) Improperly washed or sanitized shampoo bowl — $50; (w) Improper cleansing or sanitation of retention rods — $100; (x) Failure to remove soiled items from top of work station after use — $50; (y) Placement of pins or clips in mouth — $50; (z) Use of implements dropped on floor without cleaning and disinfecting — $100; (aa) Failure to sharpen lip or eyebrow pencil after each use — $100; (bb) Failure to discard disposable implement or cosmetic after use — $100; (cc) Use of hair removal wax for more than one client — $300; (dd) Failure to launder nondisposable draping after each client — $50; (ee) Unsanitary manicuring or eyelash extension table or surrounding area — $100; (ff) Improper paraffin wax procedures — $100; (gg) Improper use of electric files, bits, or sanding bands — $100; (hh) Improper procedures when working on acrylic nails — $100; (ii) Improper procedures when performing eyelash extension services — $100; (jj) Failure to label eyelash adhesive with accurate date of opening or failure to discard eyelash adhesive container within 30 days of opening; (kk) Any other sanitation violation— $50; D. Unauthorized services: (1) Massage — $300; (2) Microdermabrasion — formal hearing; (3) Lasers — formal hearing; (4) Chemical peels that penetrate the skin beyond the epidermis — formal hearing; (5) Practice causing tissue destruction or penetration to the blood fluid barrier — formal hearing; (6) Credo blade — $300; E. Prohibited practices: (1) Services on client with infectious or contagious disease — formal hearing; (2) Operator with infectious or contagious disease performing services — formal hearing; (3) Services on inflamed skin or scalp without physician authorization — formal hearing; (4) Removal of corns, calluses, or other growths of skin by cutting — $300; (5) Use of electrical muscle stimulator devices — $300; (6) Cosmetic tattooing — formal hearing; (7) Presence of an animal other than a designated service animal — $100; (8) Sale of used hairpieces — $300; (9) Methyl methacrylate liquid monomer (MMA) — formal hearing; F. Interference with inspector — formal hearing. #### Regulation .18 Failure to Respond. *COMAR 09.22.01.18* A. An applicant or licensee shall respond in writing to a written communication from the Board within 30 days of the date of mailing. B. The Board shall send a written communication by first-class mail to the last address furnished to the Board by an applicant or licensee. C. It is a responsibility of an applicant or licensee to notify the Board in writing if there has been a change in the applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Board to be a violation of Business Occupations and Professions Article, §5-314(a)(1)(viii), Annotated Code of Maryland. ### Chapter 02 — Beauty Salons **Authority:** Business Occupations and Professions Article, Title 5, Annotated Code of Maryland **Administrative History:** Effective date: April 4, 1973 **Administrative History:** Regulation .01A amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .01B amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .01D and E repealed effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .02 repealed effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .02 adopted effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .03A amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .03C amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .03D repealed effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .03E amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .03F repealed effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .04A amended effective November 14, 1980 (7:23 Md. R. 2166); June 17, 1985 (12:12 Md. R. 1163); March 23, 1987 (14:6 Md. R. 713) **Administrative History:** Regulation .04B amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .04C amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .04E repealed effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .04E adopted effective March 23, 1987 (14:6 Md. R. 713) **Administrative History:** Regulation .05C repealed effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .05D amended effective November 14, 1980 (7:23 Md. R. 2166); November 16, 1987 (14:23 Md. R. 2414) **Administrative History:** Regulation .05F amended effective November 14, 1980 (7:23 Md. R. 2166); repealed effective November 16, 1987 (14:23 Md. R. 2414) **Administrative History:** Regulation .05G repealed effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .06 amended effective November 16, 1987 (14:23 Md. R. 2414) **Administrative History:** Regulation .08 amended effective March 23, 1987 (14:6 Md. R. 714) **Administrative History:** Regulation .12 repealed effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .13 amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .14A amended effective November 14, 1980 (7:23 Md. R. 2166); August 21, 1989 (16:16 Md. R. 1750) **Administrative History:** Regulation .14B amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .14D amended effective November 14, 1980 (7:23 Md. R. 2166); August 21, 1989 (16:16 Md. R. 1750) **Administrative History:** Regulation .14E amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .15 repealed effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .15 adopted effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .15A amended effective August 21, 1989 (16:16 Md. R. 1750) **Administrative History:** Regulation .16 amended effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .16D amended effective October 19, 1979 (6:21 Md. R. 1708) **Administrative History:** Regulation .16E amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .16G amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .17A amended effective December 30, 1977 (4:27 Md. R. 2106) **Administrative History:** Regulation .17B amended effective December 30, 1977 (4:27 Md. R. 2106); November 14, 1980 (7:23 Md. R. 2166); June 17, 1985 (12:12 Md. R. 1163); June 13, 1988 (15:12 Md. R. 1445) **Administrative History:** Regulation .17D—I adopted effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .17D amended effective June 13, 1988 (15:12 Md. R. 1445) **Administrative History:** Regulation .17G amended effective June 13, 1988 (15:12 Md. R. 1445) **Administrative History:** Regulation .17I amended effective June 13, 1988 (15:12 Md. R. 1445) **Administrative History:** Regulation .18A amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .18B amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .18C repealed effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .18C adopted effective March 23, 1987 (14:6 Md. R. 714) **Administrative History:** Regulation .19B amended effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .19D, K, N amended effective November 22, 1982 (9:23 Md. R. 2258) **Administrative History:** Regulation .19E amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .19F amended effective December 15, 1978 (5:25 Md. R. 1853); March 23, 1987 (14:6 Md. R. 714) **Administrative History:** Regulation .19L amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .19O amended effective December 30, 1977 (4:27 Md. R. 2107); October 19, 1979 (6:21 Md. R. 1708); repealed effective November 22, 1982 (9:23 Md. R. 2258) **Administrative History:** Regulation .19P adopted effective October 19, 1979 (6:21 Md. R. 1708) **Administrative History:** Regulation .19Q adopted effective March 23, 1987 (14:6 Md. R. 713) **Administrative History:** Regulation .20 amended effective November 16, 1987 (14:23 Md. R. 2414) **Administrative History:** Regulation .20A amended effective October 19, 1979 (6:21 Md. R. 1708); March 23, 1987 (14:6 Md. R. 714) **Administrative History:** Regulation .20C amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .20D and E repealed effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .20D and E adopted effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .20F amended effective November 14, 1980 (7:23 Md. R. 2166); June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .20F-1 adopted effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .20G adopted effective October 19, 1979 (6:21 Md. R. 1708) **Administrative History:** Regulation .20H amended effective April 6, 1987 (14:7 Md. R. 830); May 15, 1989 (16:9 Md. R. 994) **Administrative History:** Regulation .20I amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .20J amended effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .20K amended effective November 14, 1980 (7:23 Md. R. 2166); June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .20L amended effective October 19, 1979 (6:21 Md. R. 1708); November 14, 1980 (7:23 Md. R. 2166); June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .20M adopted effective February 9, 1987 (14:3 Md. R. 273) **Administrative History:** Regulation .20N—P adopted effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .21B repealed effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .21C repealed effective November 16, 1987 (14:23 Md. R. 2414) **Administrative History:** Regulation .21E—G amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .21F repealed effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Regulation .21J repealed effective June 17, 1985 (12:12 Md. R. 1163) **Administrative History:** Regulation .22E—I amended effective June 13, 1988 (15:12 Md. R. 1445) **Administrative History:** Regulation .22R amended effective November 14, 1980 (7:23 Md. R. 2166) **Administrative History:** Regulation .22T amended effective June 13, 1988 (15:12 Md. R. 1445) **Administrative History:** Regulation .22U, V adopted effective June 13, 1988 (15:12 Md. R. 1445) **Administrative History:** Regulation .23 adopted effective March 23, 1987 (14:6 Md. R. 713) **Administrative History:** Regulation .24 adopted effective March 23, 1987 (14:6 Md. R. 713) **Administrative History:** Regulation .25 adopted effective April 6, 1987 (14:7 Md. R. 830) **Administrative History:** Chapter repealed effective June 22, 1992 (19:12 Md. R. 1133) **Administrative History:** Regulations .01—.06 adopted effective June 22, 1992 (19:12 Md. R. 1133) **Administrative History:** Regulation .01D adopted effective October 22, 2018 (45:21 Md. R. 973) **Administrative History:** Regulation .02B, C amended effective April 6, 1998 (25:7 Md. R. 526) **Administrative History:** Regulation .03G amended effective March 23, 2020 (47:6 Md. R. 341) **Administrative History:** Regulation .03H amended and I—K adopted effective September 12, 2005 (32:18 Md. R. 1519) **Administrative History:** Regulation .03J amended effective March 2, 2026 (53:4 Md. R. 184) **Administrative History:** Regulation .03J, K amended effective May 2, 2011 (38:9 Md. R. 552) **Administrative History:** Regulation .04B amended effective April 6, 1998 (25:7 Md. R. 526); April 29, 2002 (29:8 Md. R. 699) **Administrative History:** Regulation .05B amended effective April 29, 2002 (29:8 Md. R. 699); March 2, 2026 (53:4 Md. R. 184) **Administrative History:** Regulation .06 amended effective September 4, 2000 (27:17 Md. R. 1618) **Administrative History:** Regulation .06B amended effective March 9, 1998 (25:5 Md. R. 368) **Administrative History:** Regulation .06 repealed and new Regulation .06 adopted effective April 29, 2002 (29:8 Md. R. 699) **Administrative History:** Regulation .07 adopted effective July 31, 2006 (33:15 Md. R. 1280) **Administrative History:** Regulation .07F amended effective March 23, 2020 (47:6 Md. R. 341) **Administrative History:** Regulation .07 adopted effective March 2, 2026 (53:4 Md. R. 184) **Administrative History:** Regulation .08 recodified from Regulation .07 and amended effective March 2, 2026 (53:4 Md. R. 184) #### Regulation .01 Salon — General. *COMAR 09.22.02.01* A. Application for a salon permit shall be submitted to the Board together with certification of approval with respect to zoning, health, fire prevention, and all other laws, ordinances, and requirements applicable to the establishment. B. A person establishing a residential salon shall meet the following requirements in addition to the requirements set forth in §A of this regulation: (1) The salon shall be completely separate and distinct from all living quarters; (2) The salon shall be in compliance with all applicable laws, regulations, and ordinances; (3) The salon shall have a separate outside entrance for use of salon patrons; and (4) The salon shall have a restroom facility maintained for exclusive use by salon clients. C. More than one salon permit may not be issued for any one premises unless a separate and distinct salon entity is established on a different level of the one premises. D. Mobile Salons. (1) All mobile units shall prominently display the name of the non-mobile beauty salon that serves as the mobile unit’s permanent base address on the outside of the unit. (2) All health and safety rules governing cosmetology shall apply to mobile units unless otherwise specified. (3) All storage containers, cabinets, and drawers shall have safety catches. (4) All equipment not placed in storage cabinets or drawers shall be securely anchored. (5) A ramp or lift shall be provided for access to the mobile unit if providing services for disabled individuals. (6) Services may not be provided while the mobile unit is in motion. (7) The owners of mobile units shall be responsible for adherence to all local, State, and federal laws and regulations regarding the operation of vehicles to be used as mobile units. (8) An itinerary showing dates, locations, and times of service shall be made available, upon request, to an authorized representative of the board. E. Pre-opening Inspection. (1) Before a salon permit is issued, the premises shall be inspected by a Board member or inspector. (2) If the premises are not in compliance with the regulations and laws governing beauty culture, the Board may refuse to issue the permit. F. The Board may initiate a criminal prosecution of a person operating a beauty salon without a valid permit. #### Regulation .02 Owner Responsibility. *COMAR 09.22.02.02* The holder of either a full service salon permit or a limited practice salon permit is responsible for: A. The condition and operation of the salon in compliance with the laws and regulations governing the practice of beauty culture; B. Displaying a sign containing the name and nature of the establishment, in at least 3-inch bold display-type lettering, on the outside of the premises in full view of the street or public walkway unless otherwise directed by the Board; C. Displaying, in full view of the public: (1) The salon permit, (2) A zoning certification or other approval for the practice of beauty culture on the premises, and (3) A condensed version of the laws and regulations regarding the licensing and regulation of operators and salons, as provided by the Board; D. Ensuring that all employees of the salon are properly licensed or registered; E. Ensuring that an employee does not perform services beyond the scope of the applicable license or registration; F. Employing a sufficient number of licensed personnel who are qualified to supervise the training of apprentices to ensure that each apprentice being trained in the salon is individually supervised and trained. #### Regulation .03 Prohibitions. *COMAR 09.22.02.03* The following activities are prohibited in any full service or limited practice salon or in regard to any salon-sponsored services: A. The performance of services of any kind on a client who has an infectious or contagious disease that presents a hazard to others; B. The performance of services of any kind by a licensee or registrant who has an infectious or contagious disease that presents a hazard to clients; C. The performance of services of any kind upon the surface of a client's skin, scalp, or nail where the skin, scalp, or nail is inflamed or where a skin infection or eruption is present unless authorized by a physician; D. The removal of corns, calluses, or other growths of the skin, such as warts, by cutting; E. The use of electrical muscle stimulator devices purported to produce nonsurgical face or body lifts; F. Cosmetic tattooing; G. The presence of a dog, cat, bird, or any kind of animal on the salon premises with the exception of a designated service animal; H. The sale of any hairpieces which previously have been worn including, but not limited to wigs, toupees, wiglets, falls, and switches; I. The use or possession of a Credo blade or a similar razor-type implement used to cut growths on the skin; J. Unless an individual possesses a valid and appropriate health occupation license issued by the Maryland Department of Health: (1) The use of lasers, microdermabrasion equipment, or any other mechanical device used to remove one or more layers of skin; (2) The use of any product or method that causes tissue destruction or penetrates the blood fluid barrier; (3) Chemical peels that penetrate the skin beyond the epidermis; (4) Mechanical tissue alteration, including, but not limited to: (a) Microdermabrasion; and (b) Electrotherapy; (5) Contouring or sculpting using cryotherapy, radio frequency, or liposuction; (6) Any procedure causing ablation of the dermis or hypodermis; and (7) Any form of skin injections. #### Regulation .04 Sanitation Requirements — General. *COMAR 09.22.02.04* A. A full service beauty salon and a limited practice beauty salon shall comply with the sanitation provisions in §B of this regulation. B. Sanitation Provisions. (1) Every salon shall be well lighted, heated, and ventilated, and shall be kept in a clean and sanitary condition. (2) The walls, curtains, and floor coverings in a salon shall be washed and kept clean. (3) All salons shall be supplied with hot and cold running water. (4) The premises shall be kept free from rodents, vermin, flies, or similar insects. (5) The salon may not be used for sleeping or living quarters. (6) All hair, nail service debris, cotton, or other waste material shall be removed from the floor without delay and deposited in a closed container and removed from the premises frequently. (7) Rest rooms shall be kept in a sanitary condition and have a soap dispenser and disposable towels. (8) All employees of a salon shall be attired in clean, washable garments. (9) The hands of a licensee or registrant shall be washed before attending each client. (10) Surgical latex gloves shall be worn if the licensee or registrant has a cut or open wound. (11) Implements used in direct contact with a client shall be washed in hot, soapy water before being immersed in a disinfectant solution as specified in §B(12) of this regulation. (12) Implements shall be disinfected in a wet sanitizer containing an EPA-registered disinfectant effective against HIV and hepatitis viruses, or a hospital-grade tuberculocidal disinfectant in a quantity sufficient to cover those portions of the implements that come in direct contact with a client. (13) For each work station being used by a licensee or registrant, a salon shall have: (a) At least one wet sanitizer containing a disinfectant solution as specified in §B(12) of this regulation; and (b) At least one closed, dry drawer or cabinet which contains no objects or substances other than those specified in §B(14) of this regulation. (14) Cleaned and disinfected implements and equipment shall be stored in a closed, dry cabinet or drawer which contains no other objects or substances. (15) The use of neck dusters, powder puffs, sponges, styptic pencil, and lump alum or any other equipment or implement which cannot be sanitized and disinfected may not be used on more than one client. (16) Lotions, oils, and any other type liquid shall be poured into a disinfected container or disinfected hand. Any excess remaining after application shall be discarded immediately and not returned to the original container or applied to another client. (17) Lotions, ointments, creams, and powders shall be kept in clean closed containers. All cosmetic containers shall be recovered. (18) Every head rest and foot rest shall be covered with a new clean towel or disposable paper for each client. (19) A salon shall have a closed cabinet in which laundered towels are stored and a separate bin or hamper for the disposal of soiled towels. If the salon does its own laundering, the salon shall have both an automatic washer and dryer on the premises. (20) Creams shall be dipped from a container with a clean spatula, and this instrument may not come in contact with the patron. Creams may not be removed with the fingers. (21) An instrument that caused a skin abrasion or a cut to the skin shall be cleansed and disinfected immediately. If bleeding occurs, a tissue or cotton shall be used to collect the blood. Blood-contaminated materials shall be disposed of immediately in a sealed, double-plastic bag. (22) A licensee or registrant whose hands come in contact with blood shall wash and disinfect them immediately. (23) Pressing combs shall be kept clean and free of carbon, and a hot soda solution or similar cleansing agent shall be used for this purpose. Between clients, pressing combs shall be scrubbed with a stiff brush, rinsed, disinfected, and dried. (24) Curling irons shall be wiped with a clean cloth after use on each client. They shall be cleansed in a soap solution containing a portion of ammonia or similar cleansing agent and wiped dry each day to keep them clean and free from rust, grease, and dirt. (25) Hot combs and curling irons shall be used in a well ventilated area and wiped free of grease and hair with a paper towel or cloth prior to their placement in the heater. (26) A minimum of eight combs and four brushes shall be available for each senior cosmetologist, cosmetologist, and cosmetologist apprentice. (27) Protective neck strips or similar covering shall be used on each client. (28) Shampoo bowls shall be washed after each shampoo and sanitized frequently with a disinfectant to assure cleanliness. (29) Permanent waving retention rods shall be cleansed and sanitized after each use. End papers shall be discarded immediately after use. (30) Soiled combs, brushes, towels, or other used material shall be removed from the tops of work stations immediately after use. (31) Hair clips, hairpins, bobby pins, or similar implements may not be placed in the mouth. (32) Objects dropped on the floor may not be used until they are cleansed and disinfected. (33) Scissors, trimmers, clippers, and other implements which cannot be immersed in a disinfectant shall be cleaned and sprayed with an EPA-registered antimicrobial spray after each use. #### Regulation .05 Sanitation Requirements — Estheticians. *COMAR 09.22.02.05* A. In addition to the sanitation requirements in Regulation .04 of this chapter, all establishments that offer the services normally performed by an esthetician shall comply with the sanitation requirements in §B of this regulation. B. Sanitation Requirements. (1) Creams, lotions, powders, and other cosmetics shall be removed from the patron by means of disposable absorbent cotton, cleansing tissue, cotton swab, pledget, or other similar material. (2) Lip and eyebrow pencils shall be sharpened after each use. (3) Lip color, eye color, shadows, or other cosmetics shall be removed from the container by a spatula and applied to the client with a disposable or cleansed and sanitized applicator. (4) Disposable lip, makeup, eyelash, or other cosmetic applicator shall be discarded immediately after use. (5) Hair removal waxes may not be used for more than one client. Any excess wax left after client service shall be discarded immediately. (6) Extraction lancets shall be cleaned and disinfected immediately after each use. (7) An EPA-registered disinfectant effective against HIV and hepatitis viruses or a hospital-grade tuberculocidal disinfectant shall be: (a) Kept on the esthetician tray for contact disinfection of implements that may come in contact with blood; and (b) Changed after each use. (8) Nondisposable drapings shall be laundered after each client. (9) Microneedling. (a) New needles must be used for each client. (b) Needles must be discarded into a sharps container. (c) Reusable equipment must be cleaned and disinfected after each client. #### Regulation .06 Sanitation Requirements — Nail Technician Services. *COMAR 09.22.02.06* A. In addition to the sanitation requirements in Regulation .04 of this chapter, all establishments offering the services normally performed by a nail technician shall comply with the requirements in §B of this regulation. B. Sanitation Requirements. (1) Finger bowls, manicure bowls, pedicure spas, and foot bath basins shall be disinfected after each client with: (a) An EPA-registered disinfectant effective against HIV and hepatitis viruses; or (b) A hospital-grade tuberculocidal disinfectant. (2) Oils used in a nail technology procedure shall be dropped onto a properly disinfected hand with a glass or plastic dropper, and any excess remaining after application shall be immediately discarded. (3) The manicure table and surrounding areas shall be maintained in a sanitary condition at all times. (4) Table tops, armrests, footrests, and any other surface that the client has physical contact with shall be disinfected after each client with: (a) An EPA-registered disinfectant effective against HIV and hepatitis viruses; or (b) A hospital-grade tuberculocidal disinfectant. (5) A clean towel or disposable paper cover shall be placed over the manicure cushion and footrest and changed before each client. (6) An emery board or disposable file shall be discarded after its use on a client. (7) Except as provided in Regulation .04B(33) of this chapter, all implements used by a nail technician shall be cleansed in hot, soapy water and then immersed in a disinfecting solution as specified in Regulation .04B(12) of this chapter before reuse. (8) An EPA-registered disinfectant effective against HIV and hepatitis viruses or a hospital-grade tuberculocidal disinfectant in a quantity sufficient to cover those portions of the implements that come in direct contact with the client shall be: (a) Kept on the licensee's or registrant's table for contact disinfection of implements that may come in contact with blood; and (b) Changed immediately upon becoming dirty, cloudy, or contaminated with blood. (9) A complete set of manicuring implements shall be: (a) Properly cleansed and disinfected, as specified in Regulation .04B(12) of this chapter, after use on a client; and (b) Stored in an air-tight container or a wet sanitizer containing a disinfectant as specified in Regulation .04B(12) of this chapter. (10) A sanitizable or washable file shall be properly disinfected, as specified in Regulation .04B(12) of this chapter, after each use. (11) When paraffin wax is used: (a) A client shall be free of broken skin or any skin disorder; (b) Hands or feet of a client shall be properly disinfected before being dipped into paraffin wax; (c) Hands or feet shall be covered with disposable plastic coverings after being dipped into the wax and before covering with cloth mitts, boots, or towels; (d) Cloth mitts or towels used in paraffin wax services shall be kept in a closed container; (e) Paraffin wax that has been removed from a client's hands or feet shall be discarded after each use; and (f) Paraffin wax shall be kept free of any debris and in a sanitary manner at all times. (12) Sanding bands used on electric file mandrels are for single use purposes and shall be disposed of after each use. (13) Electric Files. (a) Only electric files specifically manufactured for use in the nail technology industry shall be used during the performance of nail technology services. (b) Modified craft and hobby drills may not be used during the performance of nail technology services. (14) Metal bits for electric files shall be properly disinfected after each client with an approved disinfectant as specified in Regulation .04B(12) of this chapter. (15) Only bits specifically manufactured for use on the nail plate itself shall be used on the natural nail. (16) Metal bits and sanding bands shall be used only on the surface of artificial nail enhancement products. (17) During acrylic nail services, both the technician and client shall wear protective eye glasses or goggles when acrylic is being clipped, filed, or shaped. (18) Artificial nail products: (a) Shall be removed by using a solvent; and (b) May not be pulled off the nail plate by the nail technician. #### Regulation .07 Sanitation Requirements—Eyelash Extensions. *COMAR 09.22.02.07* A. In addition to the sanitation requirements in Regulation .04 of this chapter, all establishments offering the services normally performed by eyelash extension technicians shall comply with the requirements of this regulation. B. Sanitation Requirements. (1) If linens are used, clean linens must be used for each client. (2) Hands must be washed immediately before and after serving each client. (3) Chairs and beds, including headrests, must be cleaned and disinfected after providing services to each client. Chairs and beds must be made of or covered in a non-porous material that can be disinfected. (4) Adhesive palettes must be disposed of after each use. (5) When a container of adhesive used for eyelash extensions is first opened, it must be labeled with the date of opening, and such containers must be disposed of within 30 days of opening. (6) Premade fans must not be reused. (7) Disposable tools must not be reused. (8) Gel pads and tape used to secure lower lashes must be disposed of after each use. (9) Tape used must be medical grade. #### Regulation .08 Citations to Beauty Salons. *COMAR 09.22.02.08* Unless otherwise indicated, the following civil penalties are applicable to the following violations of the laws and regulations of the Board of Cosmetologists discovered by a Board inspector during an inspection of a beauty salon: A. Operating a beauty salon for which a permit: (1) Never has been issued — formal hearing; (2) Expired — $300; B. Licensing of personnel: (1) Operating without a valid license — formal hearing; (2) Services beyond scope — $300; (3) Improper supervision of apprentice — $300; (4) No valid government-issued photo identification — $100; C. Failure to display: (1) Sign — $25; (2) Permit — $50; (3) Condensed rules and regulations — $100; (4) Zoning certificate — $50; D. Sanitation, unauthorized services, prohibited practices, and interference with inspector. The civil penalties applicable to licensees under COMAR 09.22.01.17C-F apply to beauty salons. ### Chapter 03 — Schools **Authority:** Business Occupations and Professions Article, Title 5, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulation .01 adopted as an emergency provision effective May 23, 1986 (13:12 Md. R. 1371) (Emergency provisions are temporary and not printed in COMAR) **Administrative History:** Regulation .01 adopted effective November 3, 1986 (13:22 Md. R. 2397) **Administrative History:** Chapter repealed effective June 22, 1992 (19:12 Md. R. 1133) **Administrative History:** Regulations .01—.06 adopted effective June 22, 1992 (19:12 Md. R. 1133) **Administrative History:** Regulation .02G amended effective March 23, 2020 (47:6 Md. R. 342) **Administrative History:** Regulation .02H amended and I—K adopted effective September 12, 2005 (32:18 Md. R. 1519) **Administrative History:** Regulation .03A amended effective April 29, 2002 (29:8 Md. R. 699) **Administrative History:** Regulation .03B amended effective March 9, 1998 (25:5 Md. R. 368); April 29, 2002 (29:8 Md. R. 699) **Administrative History:** Regulation .04 amended effective April 29, 2002 (29:8 Md. R. 699) **Administrative History:** Regulation .05 amended effective September 4, 2000 (27:17 Md. R. 1618) **Administrative History:** Regulation .05 repealed and new Regulation .05 adopted effective April 29, 2002 (29:8 Md. R. 699) **Administrative History:** Regulation .06 adopted effective March 2, 2026 (53:4 Md. R. 184) **Administrative History:** Regulation .07 adopted effective July 31, 2006 (33:15 Md. R. 1280) **Administrative History:** Regulation .07B amended effective March 23, 2020 (47:6 Md. R. 342) **Administrative History:** Regulation .08 recodified from Regulation .07 and amended effective March 2, 2026 (53:4 Md. R. 184) #### Regulation .01 Public and Private Beauty Schools—General. *COMAR 09.22.03.01* The Board's inspectors may conduct inspections of those schools of beauty culture approved by the State Board of Education or the Maryland Higher Education Commission. #### Regulation .02 Prohibitions — Schools. *COMAR 09.22.03.02* The following activities are prohibited in a beauty school approved by the State Board of Education or the Maryland Higher Education Commission: A. The performance of services of any kind on a client who has an infectious or contagious disease that presents a hazard to others; B. The performance of services of any kind by a student who has an infectious or contagious disease that presents a hazard to clients; C. The performance of services of any kind upon the surface of a client's skin, scalp, or nail where the skin, scalp, or nail is inflamed or where a skin infection or eruption is present, unless authorized by a physician; D. The removal of corns, calluses, or other growths of the skin, such as warts, by cutting; E. The use of electrical muscle stimulator devices purported to produce nonsurgical face or body lifts; F. Cosmetic tatooing; G. The presence of a dog, cat, bird, or any kind of animal on the school premises with the exception of a designated service animal; H. The sale of any hairpieces which previously have been worn including, but not limited to, wigs, toupees, wiglets, falls, and switches; I. The use or possession of a Credo blade or a similar razor-type implement used to cut growths on the skin; J. The use or possession of lasers, microdermabrasion equipment, or any other mechanical device used to remove one or more layers of skin; and K. The use of any product or method that causes tissue destruction or penetrates the blood fluid barrier, including: (1) Chemical peels; and (2) Glycolic acids. #### Regulation .03 Sanitation Requirements—General. *COMAR 09.22.03.03* A. A cosmetology school approved by the State Board of Education or the Maryland Higher Education Commission shall comply with the sanitation provisions in §B of this regulation. B. Sanitary Provisions. (1) Every school shall be well lighted, heated, and ventilated, and shall be kept in a clean and sanitary condition. (2) The walls, curtains, and floor coverings in a school shall be washed and kept clean. (3) All schools shall be supplied with hot and cold running water. (4) The premises shall be kept free from rodents, vermin, flies, or similar insects. (5) The school may not be used for sleeping or living quarters. (6) All hair, nail service debris, cotton, or other waste material shall be removed from the floor without delay and deposited in a closed container and removed from the premises frequently. (7) Rest rooms shall be kept in a sanitary condition and have a soap dispenser and disposable towels. (8) All students shall be attired in clean, washable garments. (9) The hands of a student shall be washed before attending each client. (10) Surgical latex gloves shall be worn if a student has a cut or open wound. (11) Implements used in direct contact with a client shall be washed in hot, soapy water before being immersed in a disinfectant solution as specified in §B(12) of this regulation. (12) Implements shall be disinfected in a wet sanitizer containing an EPA-registered disinfectant effective against HIV and hepatitis viruses, or a hospital-grade tuberculocidal disinfectant in a quantity sufficient to cover those portions of the implements that come in direct contact with a client. (13) For each work station being used by a student, a school shall have: (a) At least one wet sanitizer containing a disinfectant solution as specified in §B(12) of this regulation; and (b) At least one closed, dry drawer or cabinet which contains no other objects or substances. (14) Cleaned and disinfected implements and equipment shall be stored in a closed, dry cabinet or drawer which contains no other objects or substances. (15) The use of neck dusters, powder puffs, sponges, styptic pencil, and lump alum or any other equipment or implement which cannot be sanitized and disinfected may not be used on more than one client. (16) Lotions, oils, and any other type liquid shall be poured into a disinfected container or disinfected hand. Any excess remaining after application shall be discarded immediately and not returned to the original container or applied to another client. (17) Lotions, ointments, creams, and powders shall be kept in clean closed containers. All cosmetic containers shall be recovered. (18) Every head rest and foot rest shall be covered with a new clean towel or disposable paper for each client. (19) A school shall have a closed cabinet in which laundered towels are stored and a separate bin or hamper for the disposal of soiled towels. If the school does its own laundering, the school shall have both an automatic washer and dryer on the premises. (20) Creams shall be dipped from a container with a clean spatula, and this instrument may not come in contact with the patron. Creams may not be removed with the fingers. (21) An instrument that caused a skin abrasion or a cut to the skin shall be cleansed and disinfected immediately. If bleeding occurs, a tissue or cotton shall be used to collect the blood. Blood-contaminated materials shall be disposed of immediately in a sealed, double-plastic bag. (22) A student whose hands come in contact with blood shall wash and disinfect them immediately. (23) Pressing combs shall be kept clean and free of carbon, and a hot soda solution or similar cleansing agent shall be used for this purpose. Between clients, pressing combs shall be scrubbed with a stiff brush, rinsed, disinfected, and dried. (24) Curling irons shall be wiped with a clean cloth after use on each client. They shall be cleansed in a soap solution containing a portion of ammonia or similar cleansing agent and wiped dry each day to keep them clean and free from rust, grease, and dirt. (25) Hot combs and curling irons shall be used in a well ventilated area and wiped free of grease and hair with a paper towel or cloth before their placement in the heater. (26) A minimum of eight combs and four brushes shall be available for each student. (27) Protective neck strips or similar covering shall be used on each client. (28) Shampoo bowls shall be washed after each shampoo and sanitized frequently with a disinfectant to assure cleanliness. (29) Permanent waving retention rods shall be cleansed and sanitized after each use. End papers shall be discarded immediately after use. (30) Soiled combs, brushes, towels, or other used material shall be removed from the tops of work stations immediately after use. (31) Hair clips, hairpins, bobby pins, or similar implements may not be placed in the mouth. (32) Objects dropped on the floor may not be used until they are cleansed and disinfected. (33) Scissors, trimmers, clippers, and other implements which cannot be immersed in a disinfectant shall be cleaned and sprayed with an EPA-registered antimicrobial spray after each use. #### Regulation .04 Sanitation Requirements—Estheticians. *COMAR 09.22.03.04* A. In addition to the sanitation requirements in Regulation .03 of this chapter, a cosmetology school approved by the State Board of Education or the Maryland Higher Education Commission that offers cosmetology services normally performed by an esthetician shall comply with the sanitation requirements in §B of this regulation. B. Sanitation Requirements. (1) Creams, lotions, powders, and other cosmetics shall be removed from the patron by means of disposable absorbent cotton, cleansing tissue, cotton swab, pledget, or other similar material. (2) Lip and eyebrow pencils shall be sharpened after each use. (3) Lip color, eye color, shadows, or other cosmetics shall be removed from the container by a spatula and applied to the client with a disposable or cleansed and sanitized applicator. (4) Disposable lip, makeup, eyelash, or other cosmetic applicator shall be discarded immediately after use. (5) Hair removal waxes may not be used for more than one client. Any excess wax left after client service shall be discarded immediately. (6) Blood lancets shall be wrapped and discarded immediately after use. (7) An EPA-registered disinfectant effective against HIV and hepatitis viruses or a hospital-grade tuberculocidal disinfectant shall be: (a) Kept on the esthetician tray for contact disinfection of implements that may come in contact with blood; and (b) Changed every 1 to 2 hours, or immediately upon becoming dirty, cloudy, or contaminated with blood. (8) Nondisposable drapings shall be laundered after each client. #### Regulation .05 Sanitation Requirements—Nail Technician Services. *COMAR 09.22.03.05* A. In addition to the sanitation requirements in Regulation .03 of this chapter, a cosmetology school approved by the State Board of Education or the Maryland Higher Education Commission that offers cosmetology services normally performed by a nail technician shall comply with the requirements of §B of this regulation. B. Sanitation Requirements. (1) Finger bowls, manicure bowls, pedicure spas, and foot bath basins shall be disinfected after each client with: (a) An EPA-registered disinfectant effective against HIV and hepatitis viruses; or (b) A hospital-grade tuberculocidal disinfectant. (2) Oils used in a nail technology procedure shall be dropped onto a properly disinfected hand with a glass or plastic dropper, and any excess remaining after application shall be immediately discarded. (3) The manicure table and surrounding areas shall be maintained in a sanitary condition at all times. (4) Table tops, armrests, footrests, and any other surface that the client has physical contact with shall be disinfected after each client with: (a) An EPA-registered disinfectant effective against HIV and hepatitis viruses; or (b) A hospital-grade tuberculocidal disinfectant. (5) A clean towel or disposable paper cover shall be placed over the manicure cushion and footrest, and changed before each client. (6) An emery board or disposable file shall be discarded after its use on a client. (7) Except as provided in Regulation .03B(33) of this chapter, all implements used by a nail technician student shall be cleansed in hot, soapy water and then immersed in a disinfecting solution as specified in Regulation .03B(12) of this chapter before reuse. (8) An EPA-registered disinfectant effective against HIV and hepatitis viruses or a hospital-grade tuberculocidal disinfectant in a quantity sufficient to cover those portions of the implements that come in direct contact with the client shall be: (a) Kept on the student's table for contact disinfection of implements that may come in contact with blood; and (b) Changed immediately upon becoming dirty, cloudy, or contaminated with blood. (9) A complete set of manicuring implements shall be: (a) Properly cleansed and disinfected, as specified in Regulation .03B(12) of this chapter, after use on a client; and (b) Stored in an air-tight container or a wet sanitizer containing a disinfectant as specified in Regulation .03B(12) of this chapter. (10) A sanitizable or washable file shall be properly disinfected, as specified in Regulation .03B(12) of this chapter, after each use. (11) When paraffin wax is used: (a) The client shall be free of broken skin or any skin disorder; (b) The hands or feet of the client shall be properly disinfected before being dipped into paraffin wax; (c) Hands or feet shall be covered with disposable plastic coverings after being dipped into the wax and before covering with cloth mitts, boots, or towels; (d) Cloth mitts or towels used in paraffin wax services shall be kept in a closed container; (e) Paraffin wax that has been removed from the client's hands or feet shall be discarded after each use; and (f) Paraffin wax shall be kept free of any debris and in a sanitary manner at all times. (12) Sanding bands used on electric file mandrels are for single use purposes and shall be disposed of after each use. (13) Electric Files. (a) Only electric files specifically manufactured for use in the nail technology industry shall be used during the performance of nail technology services. (b) Modified craft and hobby drills may not be used during the performance of nail technology services. (14) Metal bits for electric files shall be properly disinfected after each client with an approved disinfectant as specified in Regulation .03B(12) of this chapter. (15) Only bits which are specifically manufactured for use on the nail plate itself shall be used on the natural nail. (16) Metal bits and sanding bands shall be used only on the surface of artificial nail enhancement products. (17) During acrylic nail services, both the technician and client shall wear protective eye glasses or goggles when acrylic is being clipped, filed, or shaped. (18) Artificial nail products: (a) Shall be removed by using a solvent; and (b) May not be pulled off the nail plate by the nail technician student. #### Regulation .06 Sanitation Requirements-Eyelash Extensions. *COMAR 09.22.03.06* In addition to the sanitation requirements in Regulation .03 of this chapter, a cosmetology school approved by the State Board of Education or the Maryland Higher Education Commission that offers cosmetology services normally performed by an eyelash extension technician shall comply with the requirements of COMAR 09.22.02.07B. #### Regulation .07 Complaints and Violations in Beauty Schools. *COMAR 09.22.03.07* A. This regulation applies whenever a complaint is made to the Board by an inspector, member of the Board, or any other person in regard to the sanitary condition of a cosmetology school or the sanitary practice of cosmetology performed at a cosmetology school. B. Upon receipt of a complaint, in compliance with Business Occupations and Professions Article, §5-509, Annotated Code of Maryland, an inspector shall investigate the complaint, and the Board shall determine if the complaint alleges grounds adequate to warrant action by the Board. C. If the Board determines that the complaint does not allege grounds adequate to warrant action by the Board, the Board shall dismiss the complaint. D. If the Board determines that the complaint does allege grounds adequate to warrant action by the Board, the Board shall notify the owner of the school, or an authorized representative of the school, in writing, and provide the owner of the school with an opportunity to correct the violation. E. If the owner corrects each alleged violation within 10 days of the written notification, the Board shall dismiss the complaint and notify the owner. F. If the owner fails to correct each alleged violation within 10 days of the written notification, the Board shall institute and conduct a hearing as provided in State Government Article, Title 10, Subtitle 2, Annotated Code of Maryland. G. If the Board conducts a hearing and concludes that the owner has violated one or more sanitation regulations, the Board may impose a fine not to exceed $300 for each violation. H. The Board shall report the sanitation violation and the amount of fine imposed to the Department of Education in regard to a public school or to the Maryland Higher Education Commission in regard to a private career school. #### Regulation .08 Citations to Schools. *COMAR 09.22.03.08* Unless otherwise indicated, the civil penalties applicable to licensees under COMAR 09.22.01.17C—F apply to schools. ### Chapter 04 — Continuing Education **Authority:** Business Occupations and Professions Article, §§5-205 and 5-311, Annotated Code of Maryland **Administrative History:** Effective date: Effective date: May 1, 2023 (50:8 Md. R. 337) **Administrative History:** Regulation .02B amended effective March 2, 2026 (53:4 Md. R. 184) **Administrative History:** Regulation .05A amended effective March 2, 2026 (53:4 Md. R. 184) #### Regulation .01 Purpose. *COMAR 09.22.04.01* The State legislature has determined that it is in the best interest of the public to require licensed cosmetologists to comply with the continuing professional competency requirements as a prerequisite for the renewal of a license. #### Regulation .02 Definitions. *COMAR 09.22.04.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Approved continuing education course” means a course approved by the Maryland Board of Cosmetologists. (2) “Board” means the Maryland Board of Cosmetologists. (3) “Classroom instruction” means the art or science of teaching in a space: (a) That is exclusively used for teaching during periods of instruction; (b) That is conducive to learning; and (c) Where an assigned instructor is present. (4) Contact Hour (a) “Contact hour” means a period of 60 minutes in which actual learning takes place. (b) “Contact hour” does not include (i) A portion of the program devoted to registration, breaks, or meals; or (ii) Fractions of an hour. (5) “Continuing education course” means the basic measurement for a licensee’s direct participation in continuing education, consisting of 6 contact hours. (6) “Continuing education course related to cosmetology” means a course that covers one or more of the following topics: (a) Board Laws and Regulations (1 to 2 hours); (b) Elective topics (1 to 4 hours); (c) Health (1 to 2 hours); (d) Safety (1 to 2 hours); or (e) Welfare (1 to 2 hours). (7) “Course” means classroom or distance learning instruction of 1 clock hour, but not more than 6 clock hours. (8) “Course provider” means someone who is qualified to conduct continuing education courses in accordance with Business Occupations and Professional Article, §5-205(c)(2), Annotated Code of Maryland. (9) Distance Learning Instruction. (a) “Distance learning instruction” means the art or science of teaching where: (i) The instructor and student may be separated by distance and time; (ii) Equipment may be needed to communicate the content; or (iii) The content is specifically developed for this form of instruction. (b) “Distance learning instruction” includes any other delivery system approved by the Board. (10) “Instructor” means an individual engaged by a course provider to teach a continuing education course. (11) “License” means, unless the context requires otherwise, a license issued by the Board. (12) “Licensee” means an individual awarded a license by the Board. #### Regulation .03 Requirements. *COMAR 09.22.04.03* A. Licensee Requirements. (1) A licensee shall complete, as a condition for a license renewal, a minimum 6 credit hours of approved continuing education. (2) A licensee shall provide proof of completion of continuing education courses by uploading the documentation to the Board’s website as provided by the Department. B. Course Provider Requirements. (1) A course provider shall get approval from the Maryland Board of Cosmetologists’ designee or Education Coordinator. (2) The course provider shall submit grades for continuing education courses by uploading the documentation to the Board’s website as provided by the Department. #### Regulation .04 Course Provider Fees. *COMAR 09.22.04.04* Fees charged by the Board are as follows: A. Course providers shall pay a nonrefundable fee for each continuing education provider application. B. Providers shall pay a nonrefundable fee for each continuing education course approval application. #### Regulation .05 Course Content. *COMAR 09.22.04.05* A. The Board may approve continuing education courses that include, but are not limited to, the following topics: (1) Business; (2) Communicable and infectious disease control; (3) The practice of cosmetology, esthetics, eyelash extension techniques, and nail techniques; (4) Ethics and standards of professional practice; (5) Occupational health and safety; (6) Product knowledge; (7) Sanitation; and (8) State of Maryland laws and regulations. B. The subject matter of the course shall meet the following requirements: (1) Address the protection of health and safety of the general public; (2) Enable the licensee to serve the objectives of the consumer in a cosmetology transaction; or (3) Enable the licensee to develop competency and professionalism in a changing marketplace. C. The course shall meet the following criteria: (1) Cover the topic area cited in the applications; (2) Have an outline detailing the sequence of topics and the amount of time allotted to each topic; (3) Content may not be materially changed without prior written approval of the Board; and (4) Consist of at least 1 clock hour. #### Regulation .06 Facilities. *COMAR 09.22.04.06* Each classroom in which courses are given shall: A. Meet all fire, safety, zoning, and Americans with Disabilities Act (ADA) requirements; B. Be of sufficient size to comfortably accommodate all enrolled students; C. Provide an appropriate learning environment; and D. Be free of distractions that would disrupt class sessions. #### Regulation .07 Conduct of Courses. *COMAR 09.22.04.07* A. Scheduling. (1) The maximum permissible class session without a break is 90 minutes. (2) A course scheduled for more than 4 hours in a single day shall include a meal break of at least 30 minutes, but not more than 90 minutes. (3) A course shall begin promptly at the scheduled time. B. Records. (1) The course provider shall require each licensee to show photo identification in order to be admitted to a class for which the licensee has enrolled. (2) The course provider shall maintain a sign-in sheet containing: (a) The printed names and the signatures of all enrolled licensees on their arrival; and (b) Notation by the instructor or monitor of the beginning and end times of any absences of the licensee from the class during the instructional period. (3) The course provider shall give each student at check-in a copy of the continuing education student information sheet furnished to the provider by the Board unless the sheet has previously been made available to students electronically. C. Monitors. (1) A monitor is not required if the class consists of 25 or fewer pre-registered students. (2) Monitors are required under the following conditions: (a) 26 to 50 preregistered students — 1 monitor; (b) 51 to 100 preregistered students — 2 monitors; and (c) More than 100 preregistered students — 1 additional monitor for each additional 100 students. D. The instructor shall teach the course in substantially the same manner as that set forth in the outline submitted to the Board. #### Regulation .08 Distance Learning. *COMAR 09.22.04.08* A. The course provider of a distance learning course shall obtain approval of the technical aspects of a course from an entity recognized by the Board in the field of technical expertise before submitting the course to the Board for review of its substance and subject matter. B. Technical staff: (1) The course provider’s technical staff may answer student questions about technical support and delivery method; (2) The course provider’s technical staff may not answer questions about content; and (3) The assigned instructor shall respond to questions from students about course content within 2 business days. C. The course provider shall be responsible for establishing guidelines for the completion of a distance learning course and any specific components of the course. D. A distance learning instruction course shall include the following requirements: (1) The student shall complete the instructional module or modules and receive a passing grade on a final examination administered and graded by the approved provider; (2) The passing grade shall be 75 percent or higher; and (3) If a student fails initially to achieve a passing score on a final exam, the student shall successfully pass the examination within the period set by the course provider in order to use the course for credit toward the continuing education requirement. E. Student Affirmation. (1) The course provider shall be responsible for obtaining from each student who has completed a distance learning course an affirmation that states, “I (name of student) affirm that I have personally completed every requirement of the course and that I have not provided any aspect of the course to others.” (2) The course provider may obtain the affirmation described in §E(1) of this regulation by electronic means. #### Regulation .09 Audit. *COMAR 09.22.04.09* A. The Board shall conduct random audits of licensees in conjunction with license renewal requirements. B. The Board shall send an audit letter at the close of the renewal period to licensees subject to audit. #### Regulation .10 Penalties. *COMAR 09.22.04.10* A licensee who submits false continuing education documentation at the time of license renewal shall be subject to any and all available disciplinary action available pursuant to Business Occupations and Professional Article, §5-314, Annotated Code of Maryland ## Subtitle 23 — Board for Professional Engineers ### Chapter 01 — Procedural Regulations **Authority:** Business Occupations and Professions Article, §§14-205 and 14-208; State Government Article, §10-204; Annotated Code of Maryland **Administrative History:** Effective dates: **Administrative History:** Regulations .01—.08 effective April 9, 1973 **Administrative History:** Regulation .09 effective November 27, 1974 (1:5 Md. R. 241) **Administrative History:** Chapter revised effective January 23, 1981 (8:2 Md. R. 111) **Administrative History:** Regulation .07A amended effective April 23, 1984 (11:8 Md. R. 714) **Administrative History:** Regulation .09B amended effective December 24, 1982 (9:24 Md. R. 2389); July 9, 1990 (17:13 Md. R. 1610) **Administrative History:** Regulation .09C—F amended effective February 14, 1983 (10:3 Md. R. 209) **Administrative History:** Chapter revised effective September 28, 1992 (19:19 Md. R. 1705) **Administrative History:** Chapter revised effective March 1, 2004 (31:4 Md. R. 314) **Administrative History:** Regulation .04 amended effective June 13, 2011 (38:12 Md. R. 704); September 1, 2014 (41:17 Md. R. 970); April 8, 2019 (46:7 Md. R. 370) #### Regulation .01 Duties of Board Officers. *COMAR 09.23.01.01* A. The Chairman shall preside at meetings of the Board, execute the decisions of the Board, and perform other duties which the Board may from time to time direct. B. The Vice-Chairman shall perform duties that the Board may from time to time direct. In the absence of the Chairman, the Vice-Chairman shall preside at meetings of the Board and perform other duties of the Chairman as directed by the Board. C. The Secretary shall perform such duties as the Board may from time to time direct. #### Regulation .02 Board Meetings. *COMAR 09.23.01.02* A. A meeting of the Board shall be held each month at the Maryland Department of Labor for the purpose of acting upon applications and conducting other business, except that a specific meeting may be cancelled by the consent of the Board. B. The regular meeting held in the month of July shall be designated the Annual Meeting. At this meeting, Board officers shall be elected for the fiscal year beginning July 1. If the July meeting is cancelled, the next regular meeting shall be designated the Annual Meeting. C. Special meetings, in addition to the regular meetings, may be held at any time or location at the discretion of the Board. D. A special meeting may be called by the Board or by the Chairman. #### Regulation .03 Licensee's Seal. *COMAR 09.23.01.03* A. A licensee who engages in the practice of engineering in Maryland shall obtain an impression seal or a rubber stamp facsimile. B. A licensee's seal shall be a seal consisting of the pictorial device of the Great Seal of Maryland as a center, surrounded by the words “State of Maryland” and “Professional Engineer” and the licensee's name and license number. #### Regulation .04 Examinations. *COMAR 09.23.01.04* A. All examinations, except by specific action of the Board to the contrary, shall be those developed by the National Council of Examiners for Engineering and Surveying (NCEES). B. An applicant shall apply directly to NCEES to take or retake the Fundamentals of Engineering examination. C. An applicant to take or retake any of the Principles and Practice of Engineering examinations (the PE examination) shall apply directly to the Board. Applications which are not complete in all respects, as detailed in the most current application form, will not be reviewed by the Board. D. An applicant who fails any PE examination three times may take the examination again only if the applicant complies with the requirements set forth in Business Occupations and Professions Article, §14-309, Annotated Code of Maryland, and submits to the Board documentation that is acceptable to the Board indicating the applicant’s updated work experience or education. ### Chapter 02 — Hearing Regulations **Authority:** State Government Article, §10-204; Business Occupations and Professions Article, §§14-205 and 14-208; Annotated Code of Maryland **Administrative History:** Effective date: January 23, 1981 (8:2 Md. R. 111) **Administrative History:** Chapter revised effective September 28, 1992 (19:19 Md. R. 1705) **Administrative History:** Regulations .01—.08 repealed and new Regulations .01 and .02 adopted effective March 1, 2004 (31:4 Md. R. 314) #### Regulation .01 Hearings Before the Board. *COMAR 09.23.02.01* A. Except as otherwise provided in §B of this regulation, all contested case hearings before the Board are governed by COMAR 09.01.02. B. The administrative unit shall send the hearing notice described in COMAR 09.01.02.07B at least 30 days before the hearing. #### Regulation .02 Hearings Delegated to the Office of Administrative Hearings. *COMAR 09.23.02.02* All contested case hearings delegated to the Office of Administrative Hearings are governed by COMAR 09.01.03. ### Chapter 03 — Code of Ethics **Authority:** Business Occupations and Professions Article, §§14-205, 14-208, and 14-4A-02, Annotated Code of Maryland **Administrative History:** Effective date: June 11, 1975 (2:13 Md. R. 929) **Administrative History:** Regulations .01, .04, .05, and .07 amended effective December 29, 1978 (5:26 Md. R. 1922) **Administrative History:** Originally promulgated as COMAR 09.23.01.10. Recodified effective January 23, 1981 (8:2 Md. R. 111) **Administrative History:** Regulation .04D adopted effective September 7, 1987 (14:18 Md. R. 1965) **Administrative History:** Chapter revised effective September 28, 1992 (19:19 Md. R. 1705) **Administrative History:** Regulations .02—.06 repealed and new Regulations .02—.10 adopted effective December 29, 1997 (24:26 Md. R. 1757) **Administrative History:** Regulation .03B amended effective March 1, 2004 (31:4 Md. R. 314) **Administrative History:** Regulation .09 amended effective September 1, 2014 (41:17 Md. R. 970) **Administrative History:** Regulation .09E amended effective July 16, 2018 (45:14 Md. R. 696) **Administrative History:** Regulation .10D,E adopted effective July 2, 2007 (34:13 Md. R. 1151) **Administrative History:** Regulation .11 adopted effective October 20, 2008 (35:21 Md. R. 1824) **Administrative History:** Regulation .11 amended effective December 17, 2018 (45:25 Md. R. 1205) #### Regulation .01 Responsibility to the Public. *COMAR 09.23.03.01* A licensee shall make every reasonable effort to protect the safety, health, property, and welfare of the public. If the licensee's professional judgement is overruled under circumstances when the safety, health, property, or welfare of the public is endangered, the licensee shall inform the employer or client of the possible consequences. #### Regulation .02 Public Statements, Reports, and Testimony. *COMAR 09.23.03.02* A. A licensee making public statements on engineering questions shall disclose when the licensee is being compensated for making the statement. B. A licensee may express publicly a professional opinion on an engineering subject only when that opinion is founded upon adequate knowledge of the material facts and a background of technical competence in the subject matter. C. In any professional report, statement, or testimony, a licensee may not be untruthful, deceptive, or misleading. #### Regulation .03 Competency for Assignments Undertaken or Approved. *COMAR 09.23.03.03* A. In practicing engineering, a licensee shall act with reasonable care and competence, and shall apply the technical knowledge and skills which are ordinarily applied by professional engineers of good standing, practicing in the same field of engineering. B. A licensee may undertake to perform engineering assignments only when qualified to do so by education or experience, or both, in the specific field of engineering involved. #### Regulation .04 Conflicts of Interest. *COMAR 09.23.03.04* A. A licensee shall make every effort to avoid conflicts of interest with the employer or client. Whenever conflicts of interest appear unavoidable, however, the licensee shall disclose promptly and fully all the circumstances to the employer or client. B. A licensee shall inform promptly an employer or client of any business association, interest, or circumstances which may influence the judgment or the quality of services rendered to the employer or client. C. A licensee may not accept compensation, financial or other, from more than one party for services pertaining to a project unless full disclosure is made by the licensee to all interested parties. D. A licensee may not solicit or accept financial or other valuable consideration from any material or equipment supplier for specifying the supplier's products, except when the licensee is a previously announced employee or agent of the supplier. E. When acting as the interpreter of engineering documents and the judge of performance under the documents, a licensee shall render decisions impartially, not favoring either party to the documents. #### Regulation .05 Full Disclosure. *COMAR 09.23.03.05* A. A licensee shall accurately represent to a prospective or existing client or employer the licensee's qualifications and the scope of the licensee's responsibility in connection with work for which the licensee is claiming credit. B. A licensee may not deliberately make a materially false statement or fail deliberately to disclose a material fact requested in connection with the licensee's application for licensure or renewal of licensure. #### Regulation .06 Compliance with Laws. *COMAR 09.23.03.06* A. In the conduct of the licensee's engineering practice, the licensee may not knowingly violate any state or federal criminal laws. B. A licensee shall comply with the licensing laws and regulations governing the licensee's professional practice in this or any other jurisdiction in which the licensee practices engineering. #### Regulation .07 Professional Conduct. *COMAR 09.23.03.07* A. A licensee may not either offer or make any payment or gift to a government official, whether elected or appointed, with the intent of influencing the official's judgment in connection with a prospective or existing project in which the licensee is interested. B. A licensee may not either offer or make any gifts, other than gifts of nominal value including, for example, reasonable entertainment and hospitality, with the intent of influencing the judgment of an existing or prospective client in connection with a project in which the licensee is interested. C. A licensee may not engage in conduct involving fraud or wanton disregard of the rights of others. D. A licensee may not assist the application for licensure of a person known by the licensee to be unqualified in respect to education, training, experience, or character. E. A licensee possessing knowledge of a violation of this chapter by another licensee shall report this knowledge to the Board. #### Regulation .08 Names of Entities. *COMAR 09.23.03.08* A. An individual, a partnership, a corporation, a limited liability company, or any other entity through which engineering is practiced, shall use a name that complies with appropriate requirements set forth in the Corporations and Associations Article, Annotated Code of Maryland, and Business Occupations and Professions Article, Title 14, Annotated Code of Maryland. B. A business entity may not use the term “engineering” or any of its derivatives, unless that entity employs, on a regular basis, a licensed professional engineer. C. A misleading designation may not be used or implied in the name of a sole proprietorship, partnership, or corporation, limited liability company, or any other entity offering engineering services in Maryland. #### Regulation .09 Signing and Sealing Requirements. *COMAR 09.23.03.09* A. A licensee may sign and seal plans, specifications, drawings, reports, or other documents that are required to be signed and sealed pursuant to the Business Occupations and Professions Article, §14-4A-02, Annotated Code of Maryland, only if the following requirements are met: (1) The licensee is competent in the subject matter of those documents by virtue of education or experience, or both; and (2) The licensee either: (a) Personally prepared the documents, or (b) Approved the documents. B. Definition. For purposes of §A(2)(b) of this regulation, the term “approved” means that the licensee satisfied the following criteria: (1) Had technical knowledge and responsible control over the content of technical submissions during their preparation; and (2) Performed substantive review and had authority to make revisions with regard to the preparation of submissions described in this regulation. C. A licensee may complete, correct, revise, or add to the work performed by another licensee when engaged to do so by a client, if the following requirements are met: (1) The client furnishes the documentation of the work submitted to the client by the first licensee; (2) The first licensee, if still engaged in a business of providing engineering services, is notified in writing by the second licensee of the engagement referred to in this section immediately upon acceptance of the engagement; and (3) The second licensee signs, seals, and is responsible for the completions, corrections, revisions, or additions that the second licensee made. D. Nothing in §C of this regulation is intended to relieve the first licensee from any liability that the first licensee is deemed to assume for work performed by the first licensee pursuant to the requirements set forth in this regulation. E. Original Signature. (1) A licensee who prepared or approved documents in accordance with the criteria set forth in this regulation shall place the licensee’s original signature and date of the signature on the documents required to be signed and sealed pursuant to Business Occupations and Professions Article, §14-4A-02, Annotated Code of Maryland. (2) For the purposes of this regulation, the term “original signature” means: (a) A handwritten signature in permanent ink; or (b) A digital signature, which satisfies the following requirements: (i) It contains identification unique to a licensee using it, such as the licensee’s name and license number; (ii) It is under the exclusive control of the licensee using it; (iii) It cannot be repudiated and is independently verifiable; and (iv) It is linked to the document in such a manner that any subsequent modifications to the document after the digital signature was appended to it will result in the document no longer being prepared or approved by the licensee. F. Nothing in this regulation is intended to modify any of the requirements applicable to professional certifications or titleblocks more specifically set forth in Regulation .10 of this chapter. #### Regulation .10 Titleblock Rules. *COMAR 09.23.03.10* A. A person may not remove a titleblock from any print or reproduction of the documents described in this chapter. B. The titleblock shall contain at least the printed name of the engineering entity. C. The directors of a corporation, partners of a partnership, or members of a limited liability company through which engineering is practiced, may designate another employee of the entity to sign and seal the documents in accordance with the requirements set forth in this chapter, if: (1) The designee is licensed in the State to practice engineering; and (2) The designee prepared or approved the documents for a particular project in accordance with this chapter. D. Documents described in this chapter shall contain the following certification: “Professional Certification. I hereby certify that these documents were prepared or approved by me, and that I am a duly licensed professional engineer under the laws of the State of Maryland, License No._____, Expiration Date:_______________.” E. The titleblock, certification, seal, and signature shall appear close to each other. #### Regulation .11 Failure to Respond. *COMAR 09.23.03.11* A. An applicant or licensee shall respond in writing to a written communication from the Board within 30 days of the date of mailing. B. The Board shall send a written communication by first-class mail to the last known address furnished to the Board by an applicant or licensee. C. It is a responsibility of an applicant or licensee to notify the Board in writing if there has been a change in applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Board to be a violation of Business Occupations and Professions Article, §14-317(a)(1)(vi), Annotated Code of Maryland. ### Chapter 04 — Fees **Authority:** Business Occupations and Professions Article, §§14-101, 14-205, 14-207—14-209, 14-306, 14-307, 14-307.1, 14-310—14-312, 14-314—14-316, and 14-320; Business Regulation Article, §§2-106, 2-106.1, and 2-106.2; State Government Article, §10-204; Annotated Code of Maryland **Administrative History:** Effective date: September 28, 1981 (8:19 Md. R. 1565) **Administrative History:** Regulation .01 amended effective April 25, 1983 (10:8 Md. R. 725); December 28, 1987 (14:26 Md. R. 2745); August 8, 1988 (15:16 Md. R. 1914); October 17, 1988 (15:21 Md. R. 2468); July 19, 1993 (20:14 Md. R. 1168); February 28, 1994 (21:4 Md. R. 276) **Administrative History:** Regulation .01 repealed and new Regulation .01 adopted as an emergency provision effective August 22, 1997 (24:19 Md. R. 1335); adopted permanently effective December 29, 1997 (24:26 Md. R. 1757) **Administrative History:** Regulation .01 amended as an emergency provision effective October 15, 1998 (25:23 Md. R. 1694); emergency status expired April 15, 1999 **Administrative History:** Regulation .01 amended as an emergency provision effective June 7, 1999 (26:13 Md. R. 1017); emergency status expired August 22, 2000; amended permanently effective October 18, 1999 (26:21 Md. R. 1629) **Administrative History:** Regulation .01 amended as an emergency provision effective December 11, 2000 (28:1 Md. R. 20); amended permanently effective April 30, 2001 (28:8 Md. R. 760) **Administrative History:** Regulation .01B amended as an emergency provision effective February 25, 2000 (27:7 Md. R. 703); amended permanently effective October 30, 2000 (27:21 Md. R. 1975) **Administrative History:** Regulation .02 adopted effective December 24, 1982 (9:24 Md. R. 2389) **Administrative History:** Regulation .02 repealed effective September 28, 1992 (19:19 Md. R. 1705) **Administrative History:** Regulation .01 repealed and new Regulations .01—.03 adopted as an emergency provision effective July 1, 2003 (30:14 Md. R. 933); adopted permanently effective November 10, 2003 (30:22 Md. R. 1579) **Administrative History:** Regulation .03 amended effective July 11, 2011 (38:14 Md. R. 789) **Administrative History:** Regulation .03A amended effective March 12, 2007 (34:5 Md. R. 560); November 1, 2010 (37:22 Md. R. 1553); January 23, 2012 (39:1 Md. R. 17); March 4, 2013 (40:4 Md. R. 345); December 12, 2013 (40:24 Md. R. 2016); July 8, 2024 (51:13 Md. R. 647) **Administrative History:** Regulation .03B amended effective May 10, 2004 (31:9 Md. R. 712) **Administrative History:** Regulation .03B amended as an emergency provision effective April 13, 2008 (35:9 Md. R. 892); amended permanently effective July 17, 2008 (35:14 Md. R. 1246) **Administrative History:** Regulation .03B, E amended as an emergency provision effective April 4, 2006 (33:9 Md. R. 795); amended permanently effective August 14, 2006 (33:16 Md. R. 1365) **Administrative History:** Regulation .03B amended effective January 23, 2012 (39:1 Md. R. 17); November 11, 2013 (40:22 Md. R. 1876); April 24, 2017 (Md. R. 402); September 10, 2018 (45:18 Md. R. 834) **Administrative History:** Regulation .03E repealed effective September 10, 2018 (45:18 Md. R. 834) #### Regulation .01 Purpose. *COMAR 09.23.04.01* This chapter is intended to carry out the provisions of Business Regulation Article, §§2-106.1 and 2-106.2, Annotated Code of Maryland, and Business Occupations and Professions Article, Title 14, Annotated Code of Maryland. In particular, it is intended to set various fees in order to cover the actual documented direct and indirect costs of fulfilling the statutory and regulatory duties of the State Board of Architects, the State Board of Certified Interior Designers, the State Board of Examiners of Landscape Architects, the State Board for Professional Engineers, and the State Board for Professional Land Surveyors. #### Regulation .02 Definitions. *COMAR 09.23.04.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Board” means the State Board for Professional Engineers. (2) “Design boards” means collectively the: (a) State Board of Architects; (b) State Board of Certified Interior Designers; (c) State Board of Examiners of Landscape Architects; (d) Board; and (e) State Board for Professional Land Surveyors. (3) “License fee” means the fee paid by an applicant or licensee, as applicable, in connection with the issuance and renewal of a license and the issuance of a limited license and a reciprocal license. (4) “Secretary” means the Secretary of Labor. #### Regulation .03 Fees and Costs. *COMAR 09.23.04.03* A. The Secretary and the design boards have agreed to average their direct and indirect costs, based on the calculation of costs performed by the Secretary in consultation with the design boards. Based on these calculations, the Board sets the following fees: (1) License fee — $86; (2) Permit fee — $112; (3) Engineer-in-training certification fee — $17; (4) Nonrefundable initial application fee payable in connection with: (a) An application for license — $56; (b) An application for license by reciprocity — $56; (5) Reinstatement fee — $112; (6) Retired Status License fee — $56; (7) Reactivation fee — $112; (8) Verification fee — $22; (9) Replacement license certificate fee — $39. B. An applicant for the appropriate licensing examination shall pay the examination, re-examination, or testing service fees directly to the National Council of Examiners for Engineering and Surveying (NCEES), as these fees are established by NCEES. C. An applicant approved by the Board to take the appropriate licensing examination, and to whom the Board or the Board’s designee sent an applicable admission notice, is not entitled to a refund of applicable fees paid under §B of this regulation. D. An applicant who notifies the Board or the Board’s designee of the applicant's election not to take the appropriate licensing examination before the Board or the Board’s designee sends to the applicant an applicable admission notice is entitled to a refund of applicable fees under §B of this regulation. ### Chapter 05 — Unapproved Option—Engineering Curriculum **Authority:** Business Occupations and Professions Article, §§14-205, 14-208, and 14-305, Annotated Code of Maryland **Administrative History:** Effective date: January 14, 1988 (15:1 Md. R. 19) **Administrative History:** Chapter revised effective September 28, 1992 (19:19 Md. R. 1705) **Administrative History:** Regulation .02A amended effective June 26, 2000 (27:12 Md. R. 1139) **Administrative History:** Regulation .02 amended effective March 4, 2002 (29:4 Md. R. 417) **Administrative History:** Regulation .03F—H and M amended and N—U adopted effective March 4, 2002 (29:4 Md. R. 417) **Administrative History:** Regulation .05 repealed and Regulation .06 amended and recodified to Regulation .05 effective March 4, 2002 (29:4 Md. R. 417) **Administrative History:** Regulation .06 adopted effective March 4, 2002 (29:4 Md. R. 417) #### Regulation .01 Definitions. *COMAR 09.23.05.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Board” means the Board for Professional Engineers. (2) “Engineering subject” means an area of study rooted in mathematics and basic sciences but carried further towards creative application and design by providing a bridge between basic science and engineering practice. (3) “One quarter hour” means credit which is awarded for instruction equivalent to 2/3 of the contact hours required for 1 semester hour of credit. (4) “One semester hour” means credit which is awarded for a minimum of: (a) 15 hours (50 minutes each) of actual class time, exclusive of registration, study days, and holidays; (b) 30 (50 minutes each) of supervised laboratory time, exclusive of registration, study days, and holidays. #### Regulation .02 Engineering Curriculum. *COMAR 09.23.05.02* A. An engineering curriculum is a course of study which imparts knowledge of the mathematical and natural sciences and trains an individual to apply that knowledge to developing ways to use the materials and forces of nature for the benefit of mankind. An “engineering curriculum of 4 scholastic years or more” is defined to be both an approved and unapproved college or university engineering and sciences curriculum consisting of at least: (1) 15 semester-hours of instruction in mathematics that emphasizes mathematical concepts and principles rather than computation, which shall include differential calculus, integral calculus, and differential equations; (2) 15 semester-hours of instruction in basic sciences including general chemistry and general physics with calculus; (3) 30 semester-hours of instruction in engineering subjects, that includes a course, project, or thesis that focuses upon engineering design; and (4) 15 semester-hours of instruction in advanced mathematics, basic science, or engineering. B. Incorporated in the engineering curriculum as integral elements of instruction shall be: (1) Hands-on, quantitative laboratory work correlated with the science and design instruction; (2) For graduation subsequent to 1975, at least one high-level computer language such as FORTRAN, PASCAL, C/C++, or MATLAB so that the student is able to compose computer programs to solve problems in science and design; and (3) Demonstrated familiarity with probability, statistics, and linear algebra. #### Regulation .03 Engineering Subject Courses. *COMAR 09.23.05.03* Engineering subject courses shall be selected from subject areas such as: A. Statics and dynamics; B. Strength of materials; C. Materials science; D. Thermodynamics; E. Transfer and transport phenomena; F. Electrical, electronic, and computer engineering; G. Solid state physics, nuclear physics, and quantum optics; H. Physical chemistry, inorganic, and organic chemistry; I. Electrodynamics; J. Digital signals and systems; K. Finite element analysis; L. Transient analysis and feedback control theory; M. Engineering design; N. Fluid mechanics, hydraulics, and gas dynamics; O. Civil and structural engineering; P. Sanitary and environmental engineering; Q. Computer science, other than computer programming skills; R. Biochemistry, biophysics, and biomechanics; S. Geochemistry and geophysics; T. Engineering economics; or U. Other subject areas acceptable to the Board. #### Regulation .04 Evidence of Completion. *COMAR 09.23.05.04* An applicant who has graduated from a college or university curriculum which does not meet the standards set forth in Regulation .02 of this chapter may present to the Board evidence of satisfactory completion of instruction in other programs of study required by the Board to meet the requirements of Regulation .02 of this chapter. #### Regulation .05 Burden of Persuasion. *COMAR 09.23.05.05* The applicant shall: A. Have the burden of persuasion that the applicant's curriculum is substantially equal to the engineering curriculum defined in Regulation .02 of this chapter. B. Submit a university circular, official college catalog which includes, as a minimum, brief course descriptions of the courses identified in the student academic transcript or an independent evaluation satisfactory to the Board. When the evidence submitted by the applicant does not appear to the Board to qualify the curriculum as an engineering curriculum, the Board may require the applicant to submit further evidence. #### Regulation .06 Approved and Unapproved Curricula. *COMAR 09.23.05.06* The Board considers an applicant's curriculum to be an approved curriculum if the applicant is: A. A graduate of a bachelor's degree program in a branch of engineering for which the college or university has met the basic-level criteria of the Engineering Accreditation Commission (EAC) of the Accreditation Board for Engineering and Technology (ABET), and which is listed in the ABET Accreditation Yearbook, as it may be amended or modified from time to time; B. A graduate of a master's or doctoral degree program in a branch of engineering for which the college or university has met the advanced-level criteria of the EAC/ABET, and which is listed in the ABET Accreditation Yearbook, as it may be amended or modified from time to time; C. A graduate of a master's or doctoral degree program in a branch of engineering for which the college or university has met the basic-level criteria described in §A of this regulation; or D. A graduate of a degree program approved by the Board. ### Chapter 06 — Continuing Professional Competency Requirements **Authority:** Business Occupations and Professions Article, §14-314, Annotated Code of Maryland **Administrative History:** Effective date: July 11, 2011 (38:14 Md. R. 789) **Administrative History:** Regulation .11 amended effective August 18, 2014 (41:16 Md. R. 945) **Administrative History:** Chapter revised effective January 15, 2018 (45:1 Md. R. 13) **Administrative History:** Regulation .15 adopted effective July 27, 2020 (47:15 Md. R. 713) #### Regulation .01 Purpose. *COMAR 09.23.06.01* The public interest requires that professional engineers provide competent services in all areas of practice. The State legislature has determined that it is in the best interest of the public to require professional engineers to comply with the continuing professional competency requirements as a prerequisite to the renewal of a license. #### Regulation .02 Definitions. *COMAR 09.23.06.02* A. In this chapter, the following terms have the meaning indicated. B. Terms Defined. (1) “Activity” means attending and completing any qualifying courses, seminars, workshops, technical presentations, and other qualifying programs with a clear purpose and objective that will maintain, improve, or expand the skills and knowledge relevant to the licensee’s field of practice. Regular duties in the course of employment are not considered qualified activities. (2) "Authorized provider” means an organization or individual reviewed and approved by the Board. (3) “Board” means the State Board for Professional Engineers. (4) “Dual Licensee” means a person who is licensed as both a professional engineer and a professional land or property line surveyor. (5) “NCEES” means the National Council of Examiners for Engineering and Surveying. (6) “Professional Development Hour (PDH)” means a contact hour (nominal) of instruction or presentation and is the common denominator for other units of credit. (7) “Qualifying program” means any course, seminar, workshop, technical presentation, or other qualifying offering that meets the criteria set forth in Regulation .04 of this chapter. (8) “Reporting period” means a 2-year licensing period immediately preceding a current individual licensing term. (9) “Self-directed activity” means an activity that does not involve a face-to-face direct learning experience. The self-directed activity may include, but is not limited to, correspondence courses, online courses, and televised, videotaped, or audiotaped presentations and shall provide for, in addition to the requirements in Regulation .04 of this chapter, clear outcome measures in the form of a narrative, test, report, study, research paper, or any other appropriate form or method. #### Regulation .03 Requirements. *COMAR 09.23.06.03* A. A licensee shall complete a minimum of 16 PDH units earned from the participation in and completion of qualifying programs described in Regulation .04 of this chapter as a condition of license renewal in each individual biennial licensing term. B. A minimum of 1 PDH unit in each individual biennial licensing term shall be earned from the participation in and the completion of qualifying programs with content areas related to the following: (1) The awareness of ethical concerns and conflicts related to the practice of engineering; (2) An enhanced familiarity with the code of conduct for professional engineers; (3) An understanding of standards of practice or care related to the practice of engineering; or (4) Laws and regulations applicable to the practice of engineering in Maryland. C. A maximum of 8 PDH units earned in excess of 16 units that are required for a license renewal during the licensing term can be carried forward to apply as credit toward the next individual licensing term. #### Regulation .04 Qualifying Programs. *COMAR 09.23.06.04* A. Programs shall meet at least the following criteria in order to be considered qualifying programs: (1) Maintain and enhance professional competency of professional engineers; and (2) Foster improvement, advancement, and extension of professional skills and knowledge related to the practice of engineering. B. Qualifying programs shall have the following content areas: (1) Technical, research, analytical, or design aspects of engineering; (2) Laws and regulations applicable to the practice of engineering in Maryland; (3) Engineering-related computer hardware and software topics; (4) Standards of practice or care; (5) Professional engineering ethics; (6) Project management, risk assessment and management, or emergency and disaster management; or (7) Similar topics aimed to maintain, improve, or expand the skills and knowledge relevant to the licensee’s field of practice. C. The determination of whether the activity constitutes a qualifying activity is within the discretion of the Board. #### Regulation .05 Sources of Credit. *COMAR 09.23.06.05* A. A licensee may earn PDH units by any of the following methods: (1) Attending and successfully completing qualifying programs in which the teaching methodology consists primarily of systematic presentation of subjects related to the practice of engineering, and which programs are: (a) Offered by pre-approved or other authorized providers; (b) Have a stated purpose and defined content areas; and (c) Have a clearly stated duration. (2) Serving as a single or first author of an original paper on engineering subject matters published in magazines, journals, professional proceedings, or other similar publications intended for professional use and distribution; (3) Serving as a single or first author of an original published book on engineering subject matters that exhibits excellence in scholarship and has a significant impact and influence on the direction of engineering; (4) Subject to limitations set forth in Regulation .06 of this chapter, active participation in an engineering professional or technical society; (5) Obtaining a patent; (6) Subject to limitations set forth in this Regulation .05, teaching or lecturing of a qualified program, as described in Regulation .04 of this chapter; (7) Developing examination questions accepted for use on NCEES examinations; or (8) Other appropriate methods approved by the Board. B. A licensee may not earn credits for such activities as: (1) Regular employment as a professional engineer, full-time faculty member, or expert witness; (2) Marketing or business development or sales; (3) Equipment demonstrations or trade show displays; (4) Time management techniques and strategies; (5) Computer-aided drafting; (6) Repetitive attendance of the same course or activity; (7) Attending committee meetings or general business meetings of any organization; (8) Conversational language courses for personal use; (9) Executive coaching; (10) Basic computer software, including, but not limited to, Excel, Word, Outlook, and similar basic computer software; or (11) Any other topics not relevant to the practice of engineering. #### Regulation .06 Values of Units. *COMAR 09.23.06.06* A. PDH units are earned or converted from other units of credit as follows: (1) 1 college or unit semester hour — 45 PDH units; (2) 1 college or unit quarter hour — 30 PDH units; (3) 1 continuing education unit — 10 PDH units; (4) Each published paper or article on an engineering subject as identified in Regulation .04 of this chapter — 5 PDH units; (5) Each published book on an engineering subject — 24 PDH units; (6) Teaching of engineering and related subjects on a part-time basis, provided that: (a) The presenter may claim credit for the first time presentation of the qualifying program; and (b) The presenter may claim up to 2 times the number of PDH units awarded by the Board for the same program; (7) Participation in engineering, professional or technical societies, regardless of the number of organizations a licensee may be serving on simultaneously, as an officer, provided that the credit is not considered earned until the end of each year of service completed — 1 PDH unit; (8) Work related to the development and submission of examination questions subject to the following limitations: (a) Questions accepted for use on NCEES examinations — 2 PDH units per accepted question, up to 4 PDH units per year; and (b) Attendance and participation in NCEES exam development committee meetings — up to 6 PDH units per year; and (9) Obtaining a patent — 8 PDH units. B. The final determinations of value and other matters related to the PDH units are the responsibility of the licensee, subject to review and approval by the Board. #### Regulation .07 Authorizations of Providers/Other Presenters. *COMAR 09.23.06.07* A. The Board will review and, if appropriate, approve the providers of the qualifying programs. B. Providers’ Eligibility/Other Presenters. (1) The following providers are considered to be preauthorized providers without any further action by the Board: (a) National (ABET/EAC), regional, or State accredited academic institutions; (b) National, State, or regional engineering professional or technical societies or organizations; (c) NCEES; (d) American Council of Engineering Companies; (e) International Association for Continuing Education and Training; (f) Entities that are currently certified as approved providers by preauthorized providers; and (g) Other entities that may from time to time become approved by the Board. (2) In order to be eligible to become an approved provider, the provider must offer the qualifying activity that meets the criteria set forth in Regulation .04 of this chapter. (3) The Board may allow appropriate credits for the attendance and participation in a technical activity or presentation by companies or organizations, whether or not approved by the Board under this regulation, if: (a) The activity or presentation is consistent with Regulation .04 of this chapter; and (b) A licensee maintains required documentation in accordance with Regulation .08 of this chapter, including a test or other appropriate outcome measure acceptable to the Board. (4) Approval of Providers. (a) The individuals or entities that are not considered to be pre-approved providers, including, but not limited to, professional firms conducting in-house presentations, may be approved by the Board to become authorized providers upon application and approval by the Board. (b) During the application process, the Board will evaluate the suitability of the provider to serve as an approved provider. (c) The provider shall submit general information that will enable the Board to evaluate the provider’s qualifications. At a minimum, the Board requires the following information to be submitted with each application for approval: (i) The types and descriptions of proposed or existing courses intended to be offered; (ii) The number of PDH units to be awarded for each course; (iii) The identity and qualifications of the course instructors; (iv) The explanation and sample of outcome measures for any self-directed programs that may be offered; and (v) The sample course outlines detailing the content of activity to be offered. (d) The Board may suspend or revoke authorization as a provider if, in the judgment of the Board, the intent of Business Occupations and Professions Article, §14-314(f), Annotated Code of Maryland, is no longer served. (e) An individual or organization whose provider's privilege has been suspended or revoked may appeal to the Board for a hearing, within 30 days after notification of the action by the Board. (f) The Board may require approved providers to document the CPC activities for audit by the Board at any time within the 6-year period after the first presentation of the programs. Documentation shall include registration and attendance records, stated purpose, content, presentation, time and length of the activity, and participant evaluations. C. The Board shall maintain and make available to licensees, as often as it considers appropriate, a roster of approved providers. #### Regulation .08 Record Keeping. *COMAR 09.23.06.08* A. Responsibility to Maintain Records. (1) The responsibility of maintaining records to be used to support the continuing professional competency credit claim is the responsibility of each licensee. (2) A licensee shall maintain the records for a period of at least 4 years from the date of completion of the qualifying program. B. Documentation referred to in §A(2) of this regulation, includes, but is not limited to, the following: (1) Certificates of participation; (2) Transcripts, if appropriate; (3) Reprints of publications; (4) Proof of presentations; (5) Title and description of the activity; (6) Dates and times attended; (7) Presenter’s name; and (8) Any other information that may be required by the Board. #### Regulation .09 Reporting Requirements for License Renewal. *COMAR 09.23.06.09* A. A licensee shall attest on the license renewal form to the fact that the licensee has completed all applicable CPC requirements set forth in this chapter before the licensee’s license expiration date. B. The Board at its discretion may audit licensees to ascertain compliance with CPC requirements. C. Licensees who are audited shall provide any additional documentation required by the Board to complete the audit. #### Regulation .10 Exceptions from Compliance with CPC Requirements. *COMAR 09.23.06.10* A. Notwithstanding other requirements set forth in this chapter, a licensee who is granted an initial license may renew a license for the next full term without complying with the CPC requirements if: (1) The licensee has been granted an initial license and is renewing a license for the next full term; and (2) The licensee qualifies under the criteria set forth in Title 2.5, Business Regulation Article, Annotated Code of Maryland. B. Compliance Exception Request. (1) If a licensee is unable to comply with all or part of CPC requirements due to physical disability, illness, or other extenuating circumstances, the licensee may request the Board or the Board’s administrative designee grant a one-time exception from compliance (Compliance Exception Request), provided that the Compliance Exception Request is filed with the Board or the Board’s administrative designee at least 30 days prior to the licensee’s license expiration date. (2) If a Compliance Exception Request is based on physical disability or illness, the licensee must provide the Board or the Board’s designee with written documentation acceptable to the Board supporting the basis for the request. (3) A Compliance Exception Request must be accompanied by a detailed proposal acceptable to the Board indicating the licensee’s intended plan of compliance with CPC requirements within no later than 6 months after the license expiration date. Failure to provide the acceptable plan of compliance within the time period specified in this regulation may result in the Board’s administrative dismissal of the Compliance Exception Request. #### Regulation .11 Failure to Meet the CPC Requirements. *COMAR 09.23.06.11* In the event a licensee fails to comply with the CPC requirements set forth in this chapter, the Board, subject to the hearing provisions of Business Occupations and Professions Article, §14–319, Annotated Code of Maryland, may take any and all available disciplinary actions under Business Occupations and Professions Article, §14–317, Annotated Code of Maryland. #### Regulation .12 Reinstatement of License. *COMAR 09.23.06.12* A licensee who wishes to reinstate a license shall fulfill at least 16 PDH units by attending and successfully completing one or more qualifying programs described in Regulations .03 and .04 of this chapter for the immediately preceding CPC reporting period and pay all applicable fees. #### Regulation .13 Retired Status. *COMAR 09.23.06.13* An individual who elected to receive retired status license shall be exempt from the compliance with the CPC requirements. In the event such individual elects to have the license reactivated, the individual shall fulfill at least 16 PDH units by attending and successfully completing one or more qualifying programs described in Regulations .03 and .04 of this chapter. #### Regulation .14 Dual Licensees. *COMAR 09.23.06.14* A licensee who maintains current licenses in the State of Maryland both as a professional engineer and as a professional land or property line surveyor shall fulfill at least 8 PDH units that satisfy the CPC requirements set forth in COMAR 09.13.08 applicable to licensed professional land or property line surveyors, and at least 8 PDH units that satisfy the CPC requirements of this chapter. #### Regulation .15 CPC Units Earned in Other States. *COMAR 09.23.06.15* The Board will accept CPC units earned for qualifying activities completed in other jurisdictions, provided that: A. The activity is consistent and complies with the requisite criteria set forth in this chapter; B. An out-of-State licensee provides evidence of attending and completing a qualifying activity in another state, together with the applicable number of CPC units earned; and C. An out-of-State licensee otherwise fulfills all other applicable license renewal requirements in the State of Maryland. ## Subtitle 24 — Board of Public Accountancy ### Chapter 01 — General Regulations **Authority:** Business Occupations and Professions Article, §§2-102, 2-207, 2-209, 2-304—2-307, 2-309, 2-311, 2-313, 2-315, 2-410, and 2-416, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.03 effective May 2, 1972 **Administrative History:** Regulations .01—.03 amended effective May 12, 1976 (3:10 Md. R. 529) **Administrative History:** Regulations .04—.06 adopted effective May 12, 1976 (3:10 Md. R. 529) **Administrative History:** Chapter revised effective August 25, 1978 (5:17 Md. R. 1329) **Administrative History:** Regulation .01A amended effective January 26, 1987 (14:2 Md. R. 128); September 19, 1988 (15:19 Md. R. 2246) **Administrative History:** Regulation .01D amended effective January 26, 1987 (14:2 Md. R. 128) **Administrative History:** Regulation .02 amended effective June 16, 1986 (13:12 Md. R. 1374) **Administrative History:** Regulation .02A amended effective October 25, 1982 (9:21 Md. R. 2105) **Administrative History:** Regulation .02B amended effective April 2, 1990 (17:6 Md. R. 740) **Administrative History:** Regulation .02D amended effective November 30, 1987 (14:24 Md. R. 2554); September 19, 1988 (15:19 Md. R. 2247) **Administrative History:** Regulation .03C amended effective January 26, 1987 (14:2 Md. R. 128) **Administrative History:** Regulation .03D amended effective October 5, 1979 (6:20 Md. R. 1628); December 20, 1982 (9:25 Md. R. 2479); January 26, 1987 (14:2 Md. R. 128); September 19, 1988 (15:19 Md. R. 2246) **Administrative History:** Regulation .03E amended effective November 3, 1986 (13:22 Md. R. 2397); January 26, 1987 (14:2 Md. R. 128); May 4, 1987 (14:9 Md. R. 1080) **Administrative History:** Regulation .03G amended effective January 26, 1987 (14:2 Md. R. 128) **Administrative History:** Regulation .03H amended effective January 26, 1987 (14:2 Md. R. 128); September 19, 1988 (15:19 Md. R. 2247) **Administrative History:** Regulation .03K adopted effective November 3, 1978 (5:22 Md. R. 1672) **Administrative History:** Regulation .03K amended effective January 26, 1987 (14:2 Md. R. 128) **Administrative History:** Regulation .04A and B amended effective April 11, 1983 (10:7 Md. R. 633); January 26, 1987 (14:2 Md. R. 128) **Administrative History:** Regulation .04D amended effective December 20, 1982 (9:25 Md. R. 2479); January 26, 1987 (14:2 Md. R. 128); March 23, 1987 (14:6 Md. R. 714) **Administrative History:** Regulation .05A, B, O amended effective January 26, 1987 (14:2 Md. R. 128) **Administrative History:** Regulation .06A amended effective January 26, 1987 (14:2 Md. R. 128) **Administrative History:** Regulation .07 adopted effective October 24, 1983 (10:21 Md. R. 1901) **Administrative History:** Regulation .07 amended effective January 26, 1987 (14:2 Md. R. 128) **Administrative History:** Regulation .08 adopted effective March 23, 1987 (14:6 Md. R. 714) **Administrative History:** Regulation .08A, B amended effective November 2, 1987 (14:22 Md. R. 2339) **Administrative History:** Regulation .08M adopted effective September 19, 1988 (15:19 Md. R. 2247) **Administrative History:** Chapter revised effective September 28, 1992 (19:19 Md. R. 1705) **Administrative History:** Regulation .01A amended effective March 20, 2000 (27:5 Md. R. 583); December 31, 2007 (34:26 Md. R. 2261) **Administrative History:** Regulation .02 amended effective August 28, 1995 (22:17 Md. R. 1317) **Administrative History:** Regulation .02A, C amended and E, F adopted effective August 15, 1994 (21:16 Md. R. 1383) **Administrative History:** Regulation .02A, D, F, G amended effective September 9, 1996 (23:18 Md. R. 1316) **Administrative History:** Regulation .02B, C amended effective June 29, 1998 (25:13 Md. R. 993) **Administrative History:** Regulation .02 repealed effective March 29, 2004 (31:6 Md. R. 508) **Administrative History:** Regulation .03A, C amended as an emergency provision effective January 1, 2004 (31:3 Md. R. 206) **Administrative History:** Regulation .03C amended as an emergency provision effective May 15, 1998 (25:12 Md. R. 943); amended permanently effective October 5, 1998 (25:20 Md. R. 1528) **Administrative History:** Regulation .03G adopted effective April 14, 2003 (30:7 Md. R. 487) **Administrative History:** Regulation .03H adopted as an emergency provision effective August 1, 2003 (30:20 Md. R. 1445); emergency status extended at 31:1 Md. R. 28 **Administrative History:** Regulation .03 repealed effective March 29, 2004 (31:6 Md. R. 508) **Administrative History:** Regulation .04A amended effective May 9, 1994 (21:9 Md. R. 750) **Administrative History:** Regulation .04 repealed effective March 29, 2004 (31:6 Md. R. 508) **Administrative History:** Regulation .05A amended effective July 19, 1993 (20:14 Md. R. 1168); December 28, 1998 (25:26 Md. R. 1921); May 9, 2005 (32:9 Md. R. 848); December 28, 2009 (36:26 Md. R. 1994) **Administrative History:** Regulation .05B amended effective May 9, 2005 (32:9 Md. R. 848) **Administrative History:** Regulation .05C adopted effective May 9, 2005 (32:9 Md. R. 848) **Administrative History:** Regulation .05D adopted effective December 28, 2009 (36:26 Md. R. 1994) **Administrative History:** Regulation .06C amended effective March 20, 2000 (27:5 Md. R. 583); December 31, 2007 (34:26 Md. R. 2261) **Administrative History:** Regulation .06G amended effective October 19, 1998 (25:21 Md. R. 1573) **Administrative History:** Regulation .06I amended effective October 10, 1994 (21:20 Md. R. 1732); December 28, 1998 (25:26 Md. R. 1921); January 28, 2019 (46:2 Md. R. 52) **Administrative History:** Regulation .06J adopted effective April 28, 2014 (41:8 Md. R. 470) **Administrative History:** Regulation .07 repealed and new Regulation .07 adopted effective September 29, 2003 (30:19 Md. R. 1331) **Administrative History:** Regulation .09 amended as an emergency provision effective January 15, 1993 (20:3 Md. R. 255); emergency status expired July 15, 1993 **Administrative History:** Regulation .09 amended effective July 19, 1993 (20:14 Md. R. 1169) **Administrative History:** Regulation .09 amended as an emergency provision effective July 1, 1998 (25:18 Md. R. 1431); amended permanently effective December 28, 1998 (25:26 Md. R. 1921) **Administrative History:** Regulation .09 amended effective September 22, 2008 (35:19 Md. R. 1716); May 17, 2010 (37:10 Md. R. 721); June 1, 2012 (39:9 Md. R. 611); May 1, 2014 (41:8 Md. R. 470); April 10, 2017 (44:7 Md. R. 354) **Administrative History:** Regulation .09A, B amended as an emergency provision effective January 20, 1995 (22:3 Md. R. 150); amended permanently effective June 5, 1995 (22:11 Md. R. 820) **Administrative History:** Regulation .09A, B amended effective May 6, 1996 (23:9 Md. R. 670) **Administrative History:** Regulation .09A, B amended as an emergency provision effective January 10, 2001 (28:3 Md. R. 202); emergency status expired July 10, 2001 (Emergency provisions are temporary and not printed in COMAR) **Administrative History:** Regulation .09A, B amended as an emergency provision effective June 22, 2001 (28:14 Md. R. 1319); emergency status expired December 15, 2001; amended permanently effective January 7, 2002 (28:26 Md. R. 2272) **Administrative History:** Regulation .09A, B amended as an emergency provision effective May 1, 2002 (29:12 Md. R. 924); amended permanently effective September 2, 2002 (29:17 Md. R. 1380) **Administrative History:** Regulation .09A, B amended as an emergency provision effective January 1, 2004 (31:3 Md. R. 206); amended permanently effective March 29, 2004 (31:6 Md. R. 508) **Administrative History:** Regulation .09B amended effective July 1, 2005 (32:11 Md. R. 982) **Administrative History:** Regulation .09B amended as an emergency provision effective August 14, 2006 (33:16 Md. R. 1362); amended permanently effective October 1, 2006 (33:19 Md. R. 1559) **Administrative History:** Regulation .09B amended effective August 16, 2007 (34:16 Md. R. 1431); August 14, 2008 (35:16 Md. R. 1391); June 10, 2024 (51:11 Md. R. 580) **Administrative History:** Regulation .09H adopted as an emergency provision effective November 18, 1994 (21:25 Md. R. 2093); adopted permanently effective April 24, 1995 (22:8 Md. R. 595) **Administrative History:** Regulation .09O, P adopted effective April 24, 1995 (22:8 Md. R. 595) **Administrative History:** Regulation .09P repealed effective October 10, 2016 (43:20 Md. R. 1109) **Administrative History:** Regulation .10 adopted effective June 1, 2012 (39:9 Md. R. 611) **Administrative History:** Annotation: COMAR 09.24.01.01A(5) and .04B(2) cited in Attorney General Opinion No. 81-010 (March 4, 1981), which clarified the definition of the term “audit”. #### Regulation .01 The Board. *COMAR 09.24.01.01* A. In this chapter, the following terms have the meanings indicated: (1) “Client” means the person that retains a licensee for the performance of professional services. (2) Contingent Fee. (a) “Contingent fee” means a fee established for the performance of any service pursuant to an arrangement in which no fee will be charged unless a specified finding or result is attained, or in which the amount of the fee is otherwise dependent upon the finding or result of the service. (b) “Contingent fee” does not apply to professional services: (i) Involving tax matters, if the fee is determined based on the results of judicial proceedings or the findings of governmental agencies; and (ii) For which the fees are to be fixed by the courts or other public authorities. (3) “Financial statements” means statements and related footnotes that purport to show actual or anticipated financial position which relates to a point in time or results of operations, cash flow, or changes in financial position which relate to a period of time, on the basis of generally accepted accounting principles or another comprehensive basis of accounting. The term includes specific elements, accounts, or items of the financial statements, but does not include incidental financial data included in management advisory services reports to support recommendations to a client, nor does it include tax returns and supporting schedules. (4) “Management course” means a course in business-related subjects of 3 semester hours taken to fulfill the requirement for a major in accounting and includes the study of: (a) Controlling; (b) Decision making; (c) Leadership; (d) Organization; and (e) Planning. (5) Other Compensation. (a) “Other compensation” means compensation received by a licensee who is engaged in the practice of certified public accountancy other than for the performance of professional services, including compensation for the sale of products other than the work product of the licensee, or for referral of products or services of others. (b) “Other compensation” does not include gifts valued at $100 or less in a single calendar year. (6) “Practice of certified public accountancy” means to perform any of the following accountancy services: (a) Conducting an audit or an examination of financial statements; or (b) Providing a written certificate or opinion as to the correctness of the information or the fairness of the presentation of the information in any financial statement, schedule, report or exhibit. (7) Practice of Public Accountancy. (a) “Practice of public accountancy” means the offering to perform or the performance by a person while holding out to the public as a licensee, for a client or potential client: (i) Services involving the use of accounting or auditing skills, including the issuance of reports on financial statements; (ii) One or more types of management advisory services, consulting, or financial planning services; or (iii) The preparation of tax returns or the furnishing of advice on tax matters. (b) “Practice of public accountancy” includes the practice of certified public accountancy. (8) “Professional services” means any services performed or offered to be performed by a licensed certified public accountant or permit holder for a client in the course of the practice of public accountancy. (9) “U.S. business law” means a course in accounting education of 3 or more semester hours taken to fulfill the requirement for a major in accounting, and includes the analysis and study of the law regarding: (a) Agency; (b) Contracts; (c) Employment; (d) Insurance; (e) Negotiable instruments; (f) Personal or real property; and (g) Sales. (10) Written Certificate or Opinion as to the Correctness of the Financial Statement or as to the Fairness of the Presentation. (a) “Written certificate or opinion as to the correctness of the financial statement or as to the fairness of the presentation” means an opinion, report, or other form of language that states or implies assurance as to the reliability of any financial statements, and that also includes or is accompanied by any statement or implication that the person or firm issuing the written certificate or opinion has special knowledge or competence in accounting or auditing. This statement or implication of special knowledge or competence may arise from use by the issuer of the report of names or titles indicating that the person is a certified public accountant or auditor, or may arise from the language of the certificate or opinion itself. (b) “Written certificate or opinion as to the correctness of the financial statement or as to the fairness of the presentation” includes any: (i) Form of language which expressly disclaims an opinion when that form of language is conventionally understood to imply any positive assurance as to the reliability of the financial statements referred to; and (ii) Other form of language that is conventionally understood to imply positive assurance or special knowledge or competence. (c) “Written certificate or opinion as to the correctness of the financial statement or as to the fairness of the presentation” may include special competence on the part of the person or firm issuing the language in this subsection. B. The Board shall hold an annual meeting in July of each year or at such other time as the members of the Board may vote upon, for the purpose of electing officers. Monthly meetings may be held on dates mutually convenient to the members of the Board. Special meetings shall be held, after reasonable notice, at the call of the Chairman or of any two Board members. Notice of all meetings and hearings shall be published in the Maryland Register. C. The Chairman shall preside at all meetings and shall perform such duties as the Board may direct. At any meeting at which the Chairman is absent, the Secretary-Treasurer shall act in the Chairman's place. #### Regulation .02 Repealed. *COMAR 09.24.01.02* #### Regulation .03 Repealed. *COMAR 09.24.01.03* #### Regulation .04 Repealed. *COMAR 09.24.01.04* #### Regulation .05 Transfer of Grades. *COMAR 09.24.01.05* A. An applicant who has passed all sections of the Uniform CPA Examination in another state is entitled to receive a license to practice certified public accountancy from the Board without retaking the examination in Maryland if the applicant meets all of the following qualifications: (1) The applicant either: (a) Under the paper and pencil testing format, sat for all sections of the initial examination and all unsuccessfully completed sections of subsequent examination; or (b) Under the computerized testing format, passed all sections of the examination within 18 months from the date the first section was passed; (2) The applicant is of good moral character; (3) The applicant is 18 years old; (4) The applicant has never been licensed as a certified public accountant in any state; and (5) The applicant either: (a) Met the requirements of education and experience as specified in Business Occupations and Professions Article, Title 2, Subtitle 3, Annotated Code of Maryland, at the time of initially applying to take the examination in the other state; or (b) Meets the current requirements of education and experience as specified in Business Occupations and Professions Article, Title 2, Subtitle 3, Annotated Code of Maryland. B. An applicant who has met the requirements of §A(2)—(4) of this regulation and, under the paper and pencil format, sat for all sections of the initial examination and all unsuccessfully completed sections of subsequent examinations, and has passed two or more sections in another state or territory, but has not passed all sections of the examination, shall be given conditional credit for the sections passed, in accordance with Regulation .05 of this chapter. C. An applicant who has met the requirements of §A(2) — (4) of this regulation but, under the computerized testing format, has not passed all sections of the examination, shall be given conditional credit for the sections passed in accordance with Regulation .05 of this chapter. D. An applicant who passed the examination more than 4 years prior to applying for transfer of grades must complete 80 hours of continuing education in compliance with COMAR 09.24.02 before receiving a license to practice certified public accountancy. #### Regulation .06 Code of Professional Conduct. *COMAR 09.24.01.06* A. Independence. (1) A licensee who is performing an engagement in which the licensee is to issue a written certificate or opinion, other than one in which a lack of independence is disclosed, shall be independent with respect to the client in fact and appearance. (2) Independence is considered to be impaired if, for example, during the period of a licensee's professional engagement, or at the time of issuing the written certificate or opinion, the licensee: (a) Had or was committed to acquire any direct or material indirect financial interest in the client; (b) Was a trustee of any trust, or personal representative of any estate, if this trust or estate had or was committed to acquire any direct or material indirect financial interest in the client; (c) Had any joint, closely held business investment with the client or any officer, director, or principal stockholder of the client which was material in relation to the net worth of either the licensee or the client; or (d) Had any loan to or from the client or any officer, director, or principal stockholder of the client other than loans of the following kinds made by a financial institution under normal lending procedures, terms, and requirements: (i) Loans obtained by the licensee which are not material in relation to the net worth of the licensee, (ii) Home mortgages, and (iii) Other secured loans, except those secured solely by a guarantee of the licensee. (3) Independence is also considered to be impaired if, during the period covered by the financial statements, during the period of the professional engagement, or at the time of issuing the written certificate or opinion, the licensee: (a) Was connected with the client as a promoter, underwriter, or voting trustee, a director, or officer or in any capacity equivalent to that of a member of management or of an employee; (b) Was a trustee for any pension or profit-sharing trust of the client; or (c) Received other compensation from a third party, or had a commitment to receive other compensation from the client or a third party, with respect to services or products procured or to be procured by the client. (4) The examples in §A(2) of this regulation are not intended to be all-inclusive. B. A licensee may not in the performance of professional services knowingly misrepresent facts, or subordinate judgement to others. In tax practice, however, a licensee may resolve doubt in favor of the client as long as there is reasonable support for the licensee's position. C. A licensee may not, during the period in which the licensee is engaged to perform any of the following services, and during the period covered by any historical financial statements involved in the listed services: (1) Perform for a contingent fee any professional services for, or receive a contingent fee from a client for whom the licensee or the licensee's firm performs: (a) An audit or review of a financial statement; (b) A compilation of a financial statement, when the licensee expects, or reasonably might expect, that a third party will use the financial statement and the licensee's compilation report does not disclose a lack of independence; or (c) An examination of prospective financial information; or (2) Prepare an original or amended tax return or claim for a tax refund for a contingent fee for any client. D. A licensee may not concurrently engage in the practice of certified public accountancy and in any other business or occupation which impairs independence or objectivity in rendering professional services. E. With respect to other compensation: (1) A licensee who receives or agrees to receive other compensation with respect to services or products recommended, referred, or sold by the licensee to another person shall make, not later than the making of the recommendation, referral, or sale, the following disclosures to the other person in writing: (a) If the other person is a client, the nature, source, and amount of the other compensation, or (b) If the other person is not a client, the nature and source only of any other compensation received from a third party; (2) The disclosure required by this regulation shall be made regardless of the amount, as defined by Regulation .01A(4) of this chapter, of the other compensation involved; (3) This regulation does not apply to payments received from the sale of all or a material part of an accounting practice, or to retirement payments to persons formerly engaged in the practice of public accountancy; (4) Compliance with the requirements of this section does not constitute a defense to a charge of impaired independence under §A(3)(c) of this regulation. F. A licensee may not pay a commission to a third party to obtain a client unless, before being engaged by the client, the licensee discloses to the client in writing the fact and the amount of the commission. This regulation does not apply to payments made by a licensee for the purchase of all or a material part of an accounting practice, or to retirement payments to persons formerly engaged in the practice of public accountancy. G. Competence and Technical Standards. (1) A licensee may not undertake any engagement for the performance of professional services which the licensee cannot reasonably expect to complete with due professional competence, including compliance, where applicable, with §G(2)—(4) of this regulation. (2) A licensee may not permit the licensee's name to be associated with financial statements in such a manner as to imply that the licensee is acting as an independent certified public accountant with respect to these financial statements unless the licensee has complied with applicable generally accepted auditing standards, as such standards may be amended, modified, issued, or reissued. Statements on auditing standards issued, reissued, amended, or modified, from time to time, by the American Institute of Certified Public Accountants, and other pronouncements having similar generally recognized authority, are considered to be interpretations of generally accepted auditing standards, and departures therefrom shall be justified by those who do not follow them. (3) A licensee may not issue a report asserting that financial statements are presented in conformity with generally accepted at that time accounting principles if these financial statements contain any departure from those accounting principles which have a material effect on the financial statements taken as a whole, unless the licensee can demonstrate that by reason of unusual circumstances the financial statements would otherwise have been misleading. In this case, the licensee's report shall describe the departure, the approximate effects thereof, if practicable, and the reasons why compliance with the principle would result in a misleading statement. For purposes of this regulation, generally accepted accounting principles are considered to be defined by pronouncements issued, reissued, amended, or modified, from time to time, by the Financial Accounting Standards Board and its predecessor and successor entities and similar pronouncements issued by other entities having similar generally recognized authority. (4) A licensee in the performance of accounting and review services or management advisory services, consulting, financial planning, or tax services shall conform to the professional standards applicable to these services at the time the services are performed. H. Responsibilities to Clients. (1) Except by permission of the client or the heirs, successors, or personal representatives of the client, a licensee or any partner, officer, shareholder, or employee of a licensee may not voluntarily disclose information communicated by the client relating to and in connection with professional services rendered to the client by the licensee. This regulation does not: (a) Relieve a licensee of any obligations under §G of this regulation; (b) Affect in any way a licensee's obligation to comply with a validly issued subpoena or summons in a criminal or bankruptcy case; (c) Prohibit disclosures in the course of a quality review of a licensee's professional services; or (d) Preclude a licensee from responding to any inquiry made by the Board or any investigative or disciplinary body established by law or formally recognized by the Board. (2) Members and agents of the Board and professional practice reviewers may not disclose any client information which comes to their attention from licensees in disciplinary proceedings or otherwise in carrying out their responsibilities, except that they may furnish this information to an investigative or disciplinary body of the kind referred to above. (3) A licensee shall furnish to the licensee's client or former client, upon request and reasonable notice made within a reasonable time after original issuance of the document in question: (a) A copy of a tax return of the client; (b) A copy of any report, or other document, issued by the licensee to or for this client; (c) Any accounting or other records belonging to, or obtained from or on behalf of, the client which the licensee removed from the client's premises or received from the client's account, but the licensee may make and retain copies of these documents when they form the basis for work done by the licensee; and (d) A copy of the licensee's working papers, to the extent that these working papers include records which would ordinarily constitute part of the client's records and are not otherwise available to the client. I. Other Responsibilities and Practices. (1) A licensee may not commit any act that reflects adversely on the licensee's fitness to engage in the practice of public accountancy. (2) A licensee may not permit others to carry out on the licensee's behalf, either with or without compensation, acts which, if carried out by the licensee, would place the licensee in violation of the Code of Professional Conduct. (3) A licensee may practice public accountancy only in a proprietorship, a partnership, or a professional corporation, organized in accordance with Business Occupations and Professions Article, Title 2, Annotated Code of Maryland. (4) A licensee may not engage in the practice of public accountancy using a professional or firm name or designation which is misleading in any way, about the legal form of the firm, or about those who are partners, members, directors, or shareholders of the firm, or about any other matter. However, names of one or more former partners, members, directors, or shareholders may be included in the name of a firm or its successor, with the written consent of the former partner, member, director, or shareholder. A partner, member, director, or shareholder surviving the death of all other partners, members, directors, or shareholders may continue to practice under a firm name for 1 year after becoming a sole practitioner. An accounting firm may not use in its name terms such as “Group”, “and Company”, “and Associates”, or similar terms which imply the presence in the firm of more licensees than those identified by name in the firm name unless the number of licensees associated with the firm, whether as partners, shareholders, members, directors, or full-time employees, exceeds the number of licensees named in the firm name. (5) Failure to Respond. (a) If an applicant or licensee receives from the Board a written communication requesting a response, the applicant or licensee shall respond in writing within 30 days of the date of the mailing. (b) The Board shall send a written communication by first-class mail to the last address furnished to the Board by the applicant or licensee. (c) It is the responsibility of the applicant or licensee to notify the Board in writing if there has been a change in the applicant’s or licensee’s address. (d) Failure to respond as required by the regulation may be considered by the Board to be a violation of Business Occupations and Professions Article, §2-315(a)(1)(xii), Annotated Code of Maryland. (6) Advertising and Solicitation. (a) A licensee may not use or participate in the use of any form of communication, written or oral, having reference to the licensee's professional services, which contains a false, fraudulent, misleading, deceptive, or unfair statement or claim. (b) A licensee may not solicit clients by the use of coercion, duress, compulsion, intimidation, threats, overreaching, or vexatious or harassing conduct. (c) A false, fraudulent, misleading, deceptive, or unfair statement or claim includes but is not limited to a statement or claim which: (i) Contains a misrepresentation of fact; (ii) Is likely to mislead or deceive because it fails to make full disclosure of relevant facts; (iii) Is intended or likely to create false or unjustified expectations of favorable results; (iv) Implies educational or professional attainments or licensing recognition not supported in fact; (v) Represents that professional services can or will be competently performed for a stated fee when this is not the case, or makes representations with respect to fees for professional services that do not disclose all variables that reasonably may be expected to affect the fees that will in fact be charged; or (vi) Contains other representations or implications that in reasonable probability will cause those of ordinary prudence to misunderstand or be deceived. (d) A licensee or CPA firm offering or performing public accounting services on an Internet webpage or website shall include the following information on the webpage or website: (i) Name of the licensee or firm; (ii) Principal place of business of the licensee or firm; (iii) Business phone of the licensee or firm; and (iv) The Maryland license or permit number issued by the Board accompanied by the language “Maryland license number” or “Maryland permit number”, as appropriate. (e) A CPA firm webpage or website need not include the individual registration number of each CPA firm member. J. Requirement to Disclose Conviction or Sanction to Board. (1) A licensee or permit holder shall disclose to the Board that the licensee or permit holder has been: (a) Convicted of a felony under the laws of the United States or any state; (b) Convicted of a misdemeanor under the laws of the United States or any state; or (c) Sanctioned by a unit of federal or state government, or any regulatory entity established by law. (2) The disclosure under §J(1) of this regulation shall be made: (a) In writing; and (b) Within 30 days of the date of the conviction or sanction. (3) The fact that a licensee or permit holder has appealed a conviction or sanction does not relieve the licensee or permit holder of the obligation to comply with §J of this regulation. #### Regulation .07 General Hearing Rules. *COMAR 09.24.01.07* The regulations set forth in COMAR 09.01.02 shall govern hearings before the Board. #### Regulation .08 Interpretive Regulation on “Conviction” under Business Occupations and Professions Article, §3-315(a)(3), Annotated Code of Maryland. *COMAR 09.24.01.08* In proceedings for suspension or revocation of any license or permit the Board will regard “conviction” under Business Occupations and Professions Article, §3-315(a)(3), Annotated Code of Maryland, to have occurred upon the entering of a guilty verdict or acceptance of a plea of nolo contendere in a court of competent jurisdiction. #### Regulation .09 Fees. *COMAR 09.24.01.09* A. An applicant for a licensing examination shall pay to the Board the examination fee in an amount or amounts set by one or more entities selected by the Board to develop, administer, or score the examination. B. Other fees to be charged by the Board are as follows: (1) Original examination application fee — $67; (2) Application for reciprocity — $75; (3) License fee — $24; (4) Renewal fee — $63; (5) Application for inactive status — $31; (6) Renewal for inactive status — $31; (7) Reinstatement for inactive status — $63; (8) Reactivation from inactive status — $63; (9) Reinstatement of expired license — $126; (10) Firm application fee — $75; (11) Firm permit fee — $75; (12) Firm renewal fee — $151; (13) Firm reinstatement fee — $303; (14) Transfer of grades application — $75; (15) Duplicate license certificate — $56; (16) Verification fee (letter of good standing) — $25. #### Regulation .10 Compilation Reporting Language. *COMAR 09.24.01.10* A compilation does not constitute the practice of certified public accountancy if the compilation report: A. Includes the statement “The preparer of this report has not undergone and is not required to undergo peer review”. B. Does not reference the Statements on Standards for Accounting and Review Services issued by the AICPA. ### Chapter 02 — Continuing Education **Authority:** Business Occupations and Professions Article, §§2-207(a), 2-311, and 2-312, Annotated Code of Maryland **Administrative History:** Effective date: January 5, 1977 (4:1 Md. R. 17) **Administrative History:** Chapter revised effective August 25, 1978 (5:17 Md. R. 1329) **Administrative History:** Regulation .01 amended effective January 26, 1987 (14:2 Md. R. 128) **Administrative History:** Regulation .01B amended effective February 28, 1994 (21:4 Md. R. 276) **Administrative History:** Regulation .02 amended effective January 26, 1987 (14:2 Md. R. 128); October 1, 2006 (32:23 Md. R. 1825); May 18, 2009 (36:10 Md. R. 716) **Administrative History:** Regulation .02A amended and C repealed effective August 15, 1983 (10:16 Md. R. 1454) **Administrative History:** Regulation .02A amended effective December 28, 1998 (25:26 Md. R. 1921) **Administrative History:** Regulation .02C adopted effective September 9, 1996 (23:18 Md. R. 1316) **Administrative History:** Regulation .02D amended effective May 17, 2010 (37:10 Md. R. 721) **Administrative History:** Regulation .02E amended effective December 31, 2007 (34:26 Md. R. 2261) **Administrative History:** Regulation .02F adopted effective May 17, 2010 (37:10 Md. R. 721) **Administrative History:** Regulation .03 amended effective November 30, 1987 (14:24 Md. R. 2554); December 28, 1998 (25:26 Md. R. 1921); May 18, 2009 (36:10 Md. R. 716) **Administrative History:** Regulation .03B, E amended effective January 26, 1987 (14:2 Md. R. 128) **Administrative History:** Regulation .03H adopted effective December 31, 2007 (34:26 Md. R. 2262) **Administrative History:** Regulation .04 amended effective January 26, 1987 (14:2 Md. R. 128); December 28, 1998 (25:26 Md. R. 1921) **Administrative History:** Regulation .04B amended effective December 31, 2007 (34:26 Md. R. 2261) **Administrative History:** Regulation .04D adopted effective September 9, 1996 (23:18 Md. R. 1316) **Administrative History:** Regulation .04D repealed effective December 28, 1998 (25:26 Md. R. 1921) **Administrative History:** Regulation .04D adopted effective April 28, 2014 (41:8 Md. R. 470) **Administrative History:** Regulation .05 amended effective January 26, 1987 (14:2 Md. R. 128) **Administrative History:** Chapter revised effective March 30, 2015 (42:6 Md. R. 511) #### Regulation .01 Citation of Regulations, Applicability, and Purpose. *COMAR 09.24.02.01* A. These regulations may be cited and referred to as the “Accountancy Continuing Education Regulations”. The continuing education requirement applies to all persons licensed under Business Occupations and Professions Article, Annotated Code of Maryland, to practice certified public accountancy in this State. B. The requirement does not apply to those licensees who have been placed on inactive status. C. The public interest requires that certified public accountants provide competent service in all areas of their practice. The State legislature has determined that it is in the public interest to require certified public accountants employed in or engaged in public accounting to comply with the continuing education requirements as a prerequisite to the renewal of a license. #### Regulation .02 Definitions. *COMAR 09.24.02.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Application date” means: (a) The date and time an online license application is electronically submitted to the Board; (b) The date a mailed, paper license application is postmarked by the U.S. Postal Service; or (c) The date a paper license application otherwise delivered is stamped by the Board. (2) “Carried forward” means eligible to be counted towards the continuing education requirement for the following 2-year licensing term. (3) “Certificate of attendance” means a document issued and signed by the instructor, or other qualified program representative, that: (a) Certifies an individual’s attendance at a continuing education program; and (b) Includes the following: (i) The name of the attendee; (ii) The title of the program; (iii) The subject matter presented; (iv) The method by which the subject matter was presented; (v) The number of credit hours earned by the attendee; (vi) The name of the entity sponsoring the program; and (vii) The date of the program. (4) “Certificate of completion” means a document issued and signed by a qualified program representative that: (a) Certifies that an individual has successfully completed the learning objectives of the continuing education program; and (b) Includes the following: (i) The name of the attendee; (ii) The title of the program; (iii) The subject matter presented; (iv) The method by which the subject matter was presented; (v) The number of credit hours earned by the attendee; (vi) The name of the entity sponsoring the program; (vii) The date of the program; and (viii) The registry number of the program sponsor. (5) “Continuing education publication” means information pertaining to the practice of public accountancy prepared and issued for distribution or sale to the public for the purpose of providing continuing education instruction. #### Regulation .03 Basic Requirement. *COMAR 09.24.02.03* A. An applicant for license renewal shall complete, prior to submitting an application, a minimum of 80 credit hours of qualifying continuing education in each 2-year license term. B. The requirement in §A of this regulation does not apply to the first renewal of a license. C. Professional Ethics. (1) A minimum of 4 credit hours of the continuing education for each 2-year license term shall be in professional ethics. (2) Credit hours in professional ethics in excess of 4 hours in a 2-year license term may not be carried forward to satisfy this requirement. (3) Credit hours in professional ethics in excess of 4 hours in a 2-year license term may be carried forward to meet the requirement of §A of this regulation. D. Except as provided in §C of this regulation, qualifying credit hours in excess of the 80 credit hours required for a 2-year license term, up to a maximum of 80 credit hours, may be carried forward to apply to the following 2-year license term. E. Qualifying credit hours reported in a license renewal application in excess of the 80 credit hour requirement in §A of this regulation may only be carried forward to apply to the following 2-year license term. F. The Board shall allow a maximum of 80 credit hours of qualifying continuing education earned in the initial license term to be carried forward if the credit hours are properly reported on the first renewal application. #### Regulation .04 Qualifying Continuing Education Programs and Methods. *COMAR 09.24.02.04* A. The overriding consideration in determining whether a specific program or method qualifies is that it shall be a program or method of learning which contributes directly to the professional competence of an individual after this individual has been licensed to practice certified public accountancy. B. Group Continuing Education Programs. (1) A group continuing education program will qualify only if it meets §A of this regulation. (2) Types of group continuing education programs would include: (a) Professional development programs of recognized national and state accounting organizations and their chapters; (b) Technical sessions at meetings of recognized national and state accounting organizations and their chapters; (c) Non-credit courses at universities and colleges; (d) In-firm education programs; and (e) Programs offered by other recognized professional or industrial organizations. (3) An individual who reports participation in a qualifying group continuing education program to satisfy the continuing education requirements of this chapter shall provide, upon the Board’s request, the following documentation: (a) A certificate of completion; or (b) A certificate of attendance. C. University and College Courses. (1) University and college courses taken for academic credit at an institution of higher education that meets the requirements of Business Occupations and Professions Article, §2-303(c), Annotated Code of Maryland, will qualify only if §A of this regulation is met. (2) Credit towards the continuing education requirement will be calculated as follows: (a) 15 hours for each semester hour credit; and (b) 10 hours for each quarter hour credit. (3) An individual who reports completion of a university or college course to satisfy the continuing education requirements of this chapter shall provide, upon the Board’s request, an official transcript that includes the course. D. Other Programs. (1) A program other than a group program will qualify only if the program meets the requirements of §A of this regulation. (2) An individual who reports participation in a program other than a group continuing education program to satisfy the continuing education requirements of this chapter shall provide, upon the Board’s request, the following documentation: (a) A certificate of completion; or (b) A certificate of attendance. (3) Electronic Self-Study. In order to qualify, an electronic self-study program of 10-minute duration must include: (a) At least one stated learning objective; and (b) Require the participant to correctly answer at least two final assessment questions at the end of the program. E. Peer Reviews. (1) A peer review shall qualify if conducted in accordance with Business Occupations and Professions Article, Title 2, Subtitle 4A, Annotated Code of Maryland, and COMAR 09.24.06. (2) Calculation of Credit for Peer Reviews. (a) Only an individual in a firm that receives a “passing” peer review report with no deficiencies may receive credit. (b) The peer reviewer shall allocate the credit hours among the engagement personnel in attendance at the exit conference for the peer review. (c) The peer reviewer shall allocate a maximum of: (i) 12 hours for an engagement review; and (ii) 16 hours for a system review. (d) Peer review credit hours may not exceed 16 credit hours per individual for any license period. (3) An individual who reports participation in a peer review to satisfy the continuing education requirements of this chapter shall provide, upon the Board’s request, a written certification signed and dated by the peer reviewer indicating the following: (a) The name of the individual receiving credit; (b) The name of the reviewed firm; (c) The permit number of the reviewed firm; (d) The type of peer review performed; and (e) The number of credit hours awarded to the individual. F. Continuing Education Publications. (1) An individual may receive continuing education credit for authoring or contributing to a continuing education publication that: (a) Meets §A of this regulation; and (b) Has been reviewed prior to publication by a qualified independent party. (2) Credit Hours. (a) The Board shall determine the number of credit hours to be awarded to an individual for authoring or contributing to a continuing education publication based on the time spent by the individual: (i) Performing research associated with the continuing education publication; and (ii) Writing the continuing education publication. (b) An individual may be awarded a maximum of 10 credit hours for each continuing education publication. (c) Continuing education publication credit hours may not exceed 40 credit hours per individual for any license period. (3) Documentation. An individual who reports authoring or contributing to a continuing education publication to satisfy the continuing education requirements of this chapter shall provide, upon the Board’s request, the following documentation: (a) For printed media, the individual shall provide a copy of the published work. (b) For digital media, the individual shall provide a copy of the published work. (c) For online media, the individual shall provide: (i) The complete uniform resource locator of the published work; (ii) The title of the published work; and (iii) The date of the published work. (d) For all types of media, the individual shall, on a form provided by the Board: (i) Certify the hours spent by the individual researching and writing the continuing education publication; and (ii) Identify the independent party who reviewed the continuing education publication. G. Services as a Teacher, Lecturer, or Discussion Leader. (1) An individual may receive continuing education credit for services as a teacher, lecturer, or discussion leader that meet §A of this regulation. (2) Credit Hours. (a) An individual who provides services as a teacher, lecturer, or discussion leader will be awarded credit hours for a presentation of a course or program in the following amounts: (i) For a university or college course offered at an institution of higher education that meets the requirements of Business Occupations and Professions Article, §2-303(c), Annotated Code of Maryland, the individual shall receive 15 hours of continuing education for each semester hour credit of the course and 10 hours of continuing education for each quarter hour credit of the course; or (ii) For any other course or program, the individual shall receive three times the credit hours of the course or program. (b) Credit hours for services as a teacher, lecturer, or discussion leader may not exceed 45 credit hours per individual for any license period. (c) An individual may only be awarded credit hours for the first time presentation of a course or program within a 2-year license term. (3) Documentation. An individual who reports services as a teacher, lecturer, or discussion leader to satisfy the continuing education requirements of this chapter shall provide, upon the Board’s request, the following documentation: (a) The professional credentials of the individual; (b) The name of the course or program; (c) The group or institution offering the course or program; (d) An outline or syllabus of the subject matter presented; (e) The date of the presentation; (f) The location of the presentation; and (g) The duration of the presentation. #### Regulation .05 Controls and Reporting. *COMAR 09.24.02.05* A. Applicants for license renewal or reinstatement shall provide a certification of compliance with the license requirements, under Business Occupations and Professions Article, §§2-311 and 2-312, Annotated Code of Maryland, under penalty of perjury, in an appropriate form specified by the Board. B. An applicant for license renewal or reinstatement who reports continuing education credit hours to the Board shall retain the applicable documentation of the credit hours, as specified in this chapter, for a period of 4 years from the application date. C. The Board, at its discretion, may verify the information and documentation supporting the certification of continuing education credit hours reported. Upon request, the individual who reported the continuing education credit hours shall submit to the Board, or its designee, copies of the original documentation. D. An applicant for license renewal or reinstatement may request a modification of continuing professional education credit hours previously reported to the Board provided that the applicant: (1) Makes the request in writing within 30 days of the application date; and (2) Provides to the Board the documentation identified in §A of this regulation for the continuing professional education credit hours claimed. E. An applicant for reinstatement may only report continuing education hours earned within 2 years of the application date. F. Credit Hour Calculation. For purposes of these regulations, the Board shall calculate continuing education credit hours as follows: (1) 50 minutes of instruction shall be considered equivalent to 1 credit hour; (2) 25 minutes of instruction shall be considered equivalent to .5 credit hour; (3) 10 minutes of instruction shall be considered equivalent to .2 credit hour; (4) Instruction of duration other than set forth in §F(1)—(3) of this regulation shall be rounded down to the lowest 10-minute increment; and (5) Instruction of a duration less than 10 minutes may not qualify for continuing education credit. #### Regulation .06 Exceptions. *COMAR 09.24.02.06* The Board may issue a license to any applicant who has not fully complied with the continuing education requirements in cases when failure by the applicant to fulfill this requirement has been caused by reason of any of the following: A. Health as certified by a medical doctor; B. Military service on extended active duty with the armed forces of the United States; C. Other good and valid causes, as determined and approved by the Board. ### Chapter 03 — Practical Work Experience **Authority:** Business Occupations and Professions Article, §2-207(a), Annotated Code of Maryland **Administrative History:** Effective date: August 25, 1978 (5:17 Md. R. 1329) **Administrative History:** Regulation .01 amended effective October 5, 1979 (6:20 Md. R. 1628); April 11, 1983 (10:7 Md. R. 633); January 26, 1987 (14:2 Md. R. 128); July 19, 1993 (20:14 Md. R. 1169) **Administrative History:** Regulation .01 repealed and new Regulation .01 adopted effective January 8, 2001 (27:26 Md. R. 2358) #### Regulation .01 Experience Required for Initial License. *COMAR 09.24.03.01* A. In order to receive an initial license, an applicant shall provide evidence of practical work experience meeting the requirements of Business Occupations and Professions Article, §2-302(f), Annotated Code of Maryland. B. Verification of Work Experience. (1) Only work experience verified by a certified public accountant holding an active license may be approved. (2) The Board may require a certified public accountant who has verified an applicant's work experience to provide evidence sufficient to support the verification. (3) The Board may require a certified public accountant who has refused to verify an applicant's work experience to explain the refusal to the Board, either in writing, or in person. (4) The Board may require an applicant to provide additional information concerning the applicant's work experience. C. Evaluation and Approval of Work Experience. The Board shall consider the following factors in determining whether to approve an applicant's verified work experience: (1) The complexity of the work experience; and (2) The diversity of the work experience. ### Chapter 04 — Firm Permits and Ownership **Authority:** Business Occupations and Professions Article, §§2-207 and 2-401—2-403, Annotated Code of Maryland **Administrative History:** Effective date: September 29, 2003 (30:19 Md. R. 1331) **Administrative History:** Regulation .04 amended effective May 18, 2009 (36:10 Md. R. 716) #### Regulation .01 Permits. *COMAR 09.24.04.01* Except sole proprietorships, any firm in which certified public accountancy is practiced shall have a permit issued by the Board under the requirements in Business Occupations and Professions Article, Title 2, Subtitle 4, Annotated Code of Maryland. #### Regulation .02 Ownership Interest. *COMAR 09.24.04.02* A majority of the ownership interest, in terms of financial interests and voting rights, of a firm in which certified public accountancy is practiced shall be owned by individuals licensed to practice certified public accountancy in this State or another state. #### Regulation .03 Registration of the Firm. *COMAR 09.24.04.03* Any firm in which certified public accountancy is practiced shall designate and identify to the Board an individual licensed to practice certified public accountancy in this State who shall be responsible for the proper registration of the firm and communication with the Board. #### Regulation .04 Nonlicensee Owners. *COMAR 09.24.04.04* A. An individual not licensed to practice certified public accountancy may have an ownership interest in a firm in which certified public accountancy is practiced, if the individual is an active participant in the business of the firm or its affiliated entities. B. To determine whether a nonlicensee owner is an active participant in the business of the firm or its affiliated entities, the Board shall consider the: (1) Number of hours the nonlicensee owner devotes to firm business or the business of its affiliated entities; and (2) Type of activities the nonlicensee owner performs for the firm or its affiliated entities. C. A nonlicensee owner may be a: (1) Natural person; or (2) Business entity, if each ultimate beneficial owner of equity interest in that entity is a natural person actively participating in the business of the firm or its affiliated entities. D. A nonlicensee's ownership interest shall revert to the firm when the nonlicensee's active participation in the business of the firm or its affiliated entities ceases. E. The Board may deny, suspend, or revoke a permit for a firm in which certified public accountancy is practiced if a nonlicensee having interest in the firm or its affiliated entities: (1) Has been convicted under the laws of the United States or any state of a: (a) Felony; or (b) Misdemeanor containing an element of fraud or misrepresentation; (2) Violates any provision of Business Occupations and Professions Article, Title 2, Annotated Code of Maryland; or (3) Violates any provision of COMAR 09.24. F. The name of an owner not licensed to practice certified public accountancy may not be included in the name of the certified public accountancy firm. ### Chapter 05 — Examinations **Authority:** Business Occupations and Professions Article, §§2-207, 2-303, 2-305, and 2-307, Annotated Code of Maryland **Administrative History:** Effective date: March 29, 2004 (31:6 Md. R. 508) **Administrative History:** Regulation .03 amended effective December 31, 2007 (34:26 Md. R. 2262); October 3, 2011 (38:20 Md. R. 1202); April 28, 2014 (41:8 Md. R. 470) **Administrative History:** Regulation .03A amended effective May 18, 2009 (36:10 Md. R. 716) **Administrative History:** Regulation .03A, B, F amended effective January 8, 2024 (50:26 Md. R. 1131) **Administrative History:** Regulation .04J adopted effective June 29, 2020 (47:13 Md. R. 641) **Administrative History:** Regulation .05B, C amended effective January 8, 2024 (50:26 Md. R. 1131) #### Regulation .01 Purpose. *COMAR 09.24.05.01* This chapter establishes criteria for the Uniform CPA Examination, which: A. Tests the knowledge and skills required by the Board for performance as an entry-level certified public accountant; and B. Includes the subject areas of accounting, auditing, and related knowledge and skills as the Board may require. #### Regulation .02 Definitions. *COMAR 09.24.05.02* A. In this chapter, the following terms have the meaning indicated. B. Terms Defined. (1) “Administration window” means one of four quarterly periods during the year in which a candidate may sit for any section of the Uniform CPA Examination. (2) “Applicant” means an individual who applies to take the Uniform CPA Examination. (3) “Candidate” means an individual who is approved by the Board to take the Uniform CPA Examination. (4) “Cheating” means: (a) Falsifying or misrepresenting educational credentials or other information required by the Board for qualification for the Uniform CPA Examination; (b) Communicating inside or outside of an examination facility for the purpose of exchanging information about examination subject matter during the administration of any examination section; (c) Copying another candidate's answers during the administration of the examination; (d) Substituting another person to sit in a test facility while the examination is in progress; (e) Referring to any material or electronic media other than material provided by the examination facility for the purpose of completing the examination; or (f) Attempting to gain an unfair advantage over other candidates by any other means. (5) “Examination section” means one of four parts of the Uniform CPA Examination. (6) “Notice to schedule” means notification sent to a candidate that authorizes the candidate to schedule an examination. (7) “Notify in writing” means notice by regular mail, email, or other electronic means. (8) “Passing score” means a score of 75 or greater on each section of the Uniform CPA Examination. #### Regulation .03 Educational Requirements. *COMAR 09.24.05.03* A. To take the Uniform CPA Examination, an applicant shall satisfactorily complete: (1) Unless otherwise indicated, a minimum of 27 undergraduate semester hours of accounting education to include each of the following subjects: (a) Auditing of at least 3 undergraduate semester hours; (b) Financial accounting of at least 9 undergraduate semester hours; (c) Accounting information systems of at least 3 undergraduate semester hours; and (d) U.S. federal income tax of at least 3 undergraduate semester hours; and (2) At least 3 undergraduate semester hours in: (a) Business ethics; or (b) Accounting ethics. B. In order to become licensed, in addition to satisfactorily completing the requirements set forth in §A of this regulation, an applicant shall satisfactorily complete 3 undergraduate semester hours in business law and a minimum of 18 undergraduate semester hours in the following business-related subjects, including 3 undergraduate semester hours in at least five of the following subjects: (1) Statistics; (2) Economics; (3) Corporation or business finance; (4) Management; (5) Data analytics; (6) Marketing; (7) Business communication; (8) Information technology/systems; (9) Quantitative methods; or (10) Other business-related content areas included in the Uniform CPA Examination Blueprints. C. The following may be accepted as fulfilling a part or all of the semester hours requirement under §A of this regulation, at either the graduate or undergraduate level, if the accredited institution granting the credits reports the credits on an official transcript without qualification or limitation and if the credits are acceptable by the accredited institution in the institution's own graduate or undergraduate degree-granting programs: (1) Independent study courses; (2) Correspondence courses; (3) College Level Entrance Programs (CLEP); and (4) Credits earned only by examination. D. If qualification is sought on the basis of a combination of graduate and undergraduate courses: (1) 3 undergraduate level semester hours shall be considered equivalent to 2 graduate level semester hours; and (2) A higher than baccalaureate degree is not required to fulfill this requirement. E. If qualification is sought on the basis of a combination of semester and quarter hour courses: (1) 1 undergraduate level quarter hour shall be considered equivalent to .667 semester hours; and (2) 1 graduate level quarter hour shall be considered equivalent to 1 undergraduate semester hour. F. If an applicant has received an accounting degree, or has taken course work to supplement a non-accounting degree, at a school or college that is not a member of the Association to Advance Collegiate Schools of Business or not accredited as provided by Business Occupations and Professions Article, Title 2, Annotated Code of Maryland, the Board may: (1) Seek the advice of consultants as to the academic standing of the institution; (2) Charge the applicant the reasonable cost of the consultation; (3) Upon receipt of the report of the consultants, the Board may decide to reject, or to accept within its lawful discretion, either: (a) The entire academic program; or (b) Any part of the academic program. G. If only a part of the academic program is accepted under §F(3)(b) of this regulation, the Board shall specify the courses to be taken at an accredited institution for the applicant to qualify. #### Regulation .04 Filing an Application with the Board. *COMAR 09.24.05.04* A. Each original applicant shall: (1) File an application with the Board on forms that the Board approves; and (2) Submit the appropriate fee and the official transcripts demonstrating completion of the educational requirements set forth in Regulation .03 of this chapter to the address designated by the Board on the appropriate application forms. B. A candidate may choose to take the examination sections individually and in any order. C. An application to take a reexamination shall be submitted on a form, or in a manner, determined by the Board. D. For examinations administered after November 6, 2003, a candidate approved to take the examination before July 1, 1999 shall meet the requirements of Regulation .03 of this chapter unless the candidate: (1) Has earned conditional credit under Regulation .04 of this chapter; or (2) Was present for the examinations administered in: (a) May 2003; or (b) November 2003. E. The Board shall give examinations to applicants, at least twice a year, at times and places that the Board determines. F. Notification of Candidate Eligibility and Notice to Schedule. (1) The Board or its designee shall issue a notice to schedule upon: (a) The original candidate's approval to take the Uniform CPA Examination and payment of appropriate examination fees; or (b) Receipt of payment of appropriate examination fees from a reexamination candidate. (2) The notice to schedule is valid for 180 days from the date issued. G. A candidate may not retake a failed examination section during the same administration window. H. After filing the proper application and fee, if a candidate does not appear at the exam as scheduled, the candidate forfeits the application fee. I. A candidate may not transfer fees from one administration window to another. J. If the examination is offered on a continuous basis with no administration window limitations, a candidate may retake a failed examination section once their grade for that section has been released. #### Regulation .05 Conditional Credit. *COMAR 09.24.05.05* A. A candidate who received a score of 75 or higher in any examination section shall earn conditional credit for passing the section. B. A candidate who receives conditional credit is excused from retaking the examination section passed, if the candidate passes the remaining sections of the examination within 30 months from the date the first section was passed. C. A candidate who fails to pass all sections of the examination within 30 months from the date the first section is passed loses conditional credit for the first section and shall pass the section again before 30 months elapse from the date the next examination section is passed. D. The conditional credit period may be extended by the Board upon a candidate's showing of reasons, acceptable to the Board, why the candidate is unable to take an examination. E. As soon as practicable after the grading of the examination papers, each candidate shall be notified in writing of the candidate's grades on each subject taken. F. Within a period of 60 days after release of grades, a candidate may request permission to review the candidate's examination by writing to the Board. G. Conditional Credit Transition. (1) Candidates who have earned conditional credit for examination sections passed under the paper and pencil format shall retain conditional credit as follows: (a) The Accounting and Reporting examination section under the paper and pencil format shall be considered equivalent to the Regulation examination section under the computerized testing format; (b) The Auditing examination section under the paper and pencil format shall be considered equivalent to the Auditing and Attestation examination section under the computerized testing format; (c) The Business Law and Professional Responsibilities examination section under the paper and pencil format shall be considered equivalent to the Business Environment and Concepts examination section under the computerized testing format; and (d) The Financial Accounting and Reporting examination section under the paper and pencil format shall be considered equivalent to the Financial Accounting and Reporting examination section under the computerized testing format. (2) Duration of Conditional Credit from Paper and Pencil Format. (a) Conditional credit earned in November 2001, expires on the earlier of: (i) The candidate's first attempt to pass the remaining examination sections, if unsuccessful; or (ii) May 31, 2004. (b) Conditional credit earned in May 2002, expires on the earlier of: (i) The candidate's second attempt to pass the remaining examination sections, if unsuccessful; or (ii) November 30, 2004. (c) Conditional credit earned in November 2002, expires on the earlier of: (i) The candidate's third attempt to pass the remaining examination sections, if unsuccessful; or (ii) May 31, 2005. (d) Conditional credit earned in May 2003, expires on the earlier of: (i) The candidate's fourth attempt to pass the remaining examination sections, if unsuccessful; or (ii) November 30, 2005. (e) Conditional credit earned in November 2003, expires on the earlier of: (i) The candidate's fifth attempt to pass the remaining examination sections, if unsuccessful; or (ii) May 31, 2006. #### Regulation .06 Professional Ethics Examination. *COMAR 09.24.05.06* A. Before applying for a license, an individual who has successfully passed all of the examination sections of the Uniform CPA Examination shall pass the examination in professional ethics approved by the Board. B. The individual shall pay the cost of the examination in professional ethics. ### Chapter 06 — Peer Review **Authority:** Business Occupations and Professions Article, §§2-207 and 2-4A-01—2-4A-06, Annotated Code of Maryland **Administrative History:** Effective date: October 9, 2006 (33:20 Md. R. 1615) #### Regulation .01 Scope. *COMAR 09.24.06.01* A. A firm that provides any of the services described in Business Occupations and Professions Article, §2-4A-04, Annotated Code of Maryland, shall be required to undergo, at least once every 3 years, a peer review as a condition of permit renewal. B. A licensee who provides any of the services described in Business Occupations and Professions Article, §2-4A-04, Annotated Code of Maryland, in a firm holding a permit issued by the Board is not required to undergo a separate peer review as a condition for license renewal. C. A licensee who provides any of the services described in Business Occupations and Professions Article, §2-4A-04, Annotated Code of Maryland, other than in a firm holding a permit issued by the Board, shall be required to undergo, at least once every 3 years, a peer review as a condition of license renewal. D. For purposes of this requirement, firms or licensees that only provide compilation services to clients for management use only, the products of which are not disclosed to third parties, are not required to have a peer review as described in Business Occupations and Professions Article, §2-4A-02, Annotated Code of Maryland. #### Regulation .02 Requirements for Peer Reviews. *COMAR 09.24.06.02* A. In order to qualify for purposes of license or permit renewal, a peer review shall be conducted in an approved peer review program in accordance with: (1) The Standards for Performing and Reporting on Peer Reviews of the American Institute of Certified Public Accountants; or (2) An equivalent set of standards approved by the Board. B. The Board shall maintain on its website a list of all approved peer review programs and standards. C. To the extent that there is any conflict between any peer review standards approved by the Board and Maryland law or regulations, Maryland law and regulations shall prevail. #### Regulation .03 Requirements for Peer Reviewers. *COMAR 09.24.06.03* A. Approval by the Board. (1) Before conducting a peer review, an individual shall be approved by the Board. (2) An individual seeking Board approval as a peer reviewer shall file an application on a form provided by the Board. (3) An individual who is authorized as a peer reviewer by a program approved by the Board shall be provisionally approved by the Board pending verification of the individual's qualifications. (4) The Board shall approve an individual it considers qualified to conduct peer reviews. B. In order to receive and maintain approval as a peer reviewer from the Board, an individual shall comply with the requirements set forth in Business Occupations and Professions Article, §2-4A-05, Annotated Code of Maryland. C. The Board may revoke its approval of a peer reviewer for the reasons set forth in Business Occupations and Professions Article, §2-4A-05(g), Annotated Code of Maryland. D. A peer reviewer shall conduct a peer review intended to satisfy the requirement set forth in Business Occupations and Professions Article, §2-4A-02, Annotated Code of Maryland, in accordance with a peer review program approved by the Board. #### Regulation .04 Peer Review Reporting. *COMAR 09.24.06.04* A. An approved peer review program shall notify the Board upon completion of a peer review within that program that is intended to satisfy the peer review requirements of the Maryland Public Accountancy Law. B. A peer reviewer shall ensure that a copy of the report of findings is provided to the Board only under the circumstances set forth in Business Occupations and Professions Article, §2-4A-05(e), Annotated Code of Maryland. ### Chapter 07 — Notification of Intent to Practice *Repealed* **Administrative History:** Effective date: October 9, 2006 (33:20 Md. R. 1615) **Administrative History:** Chapter repealed effective May 18, 2009 (36:10 Md. R. 717) ## Subtitle 25 — Secondhand Precious Metals and Gem Dealers and Pawnbrokers ### Chapter 01 — Licenses **Authority:** Business Regulation Article, Title 12, Annotated Code of Maryland **Administrative History:** Effective date: December 24, 1990 (17:25 Md. R. 2907) **Administrative History:** Regulation .03 amended effective September 9, 1996 (23:18 Md. R. 1316) **Administrative History:** Regulation .05 adopted effective September 9, 1996 (23:18 Md. R. 1316) #### Regulation .01 License Required. *COMAR 09.25.01.01* A. Individuals engaged in the business of buying, acquiring, or trading commercially with members of the public in secondhand precious metals are required to be licensed as dealers unless specially exempt under Business Regulation Article, §12-102, Annotated Code of Maryland. B. Each of the following individuals, when engaged in the secondhand precious metals business, shall be licensed as dealers: (1) In a sole proprietorship, the owner shall be licensed as a dealer; (2) In a partnership, each partner shall be licensed as a dealer; (3) In a corporation whose stock is not publicly traded on one of the stock exchanges, the individual who owns the controlling interest in the corporation shall be licensed as a dealer; (4) In a corporation whose stock is publicly traded, the individual who is the manager of the shop which deals in secondhand precious metals shall be licensed as a dealer. #### Regulation .02 License Address. *COMAR 09.25.01.02* A. A dealer's license may only be issued for a specific fixed address. B. A license may not be transferred to another address. C. If a dealer moves the place of business to a new address, the dealer shall obtain a new license before engaging in the secondhand precious metals business at the new address. D. If a dealer has more than one place of business, a separate license shall be obtained for each address. #### Regulation .03 License Name. *COMAR 09.25.01.03* A. A dealer's license may be issued only in the name of an individual. If the individual operates under a trade name or through a corporation or other commercial entity, the trade name, the corporate name, or business name shall be listed on the license. B. A licensee may not operate as a secondhand precious metals dealer under any name other than the individual's name unless the trade name, corporate name, or name of the business is listed on the dealer's license and is certified to the Department of Assessments and Taxation under Article 2, §18, Annotated Code of Maryland. C. A licensee shall only use the trade, corporate, or business name listed on the license. D. A licensee may only effect a change of a trade, corporate, or business name if the licensee: (1) Notifies the Secretary of the licensee's intent to change the trade, corporate, or business name; and (2) Receives approval from the Secretary of the change of the trade, corporate, or business name. #### Regulation .04 License Renewal. *COMAR 09.25.01.04* A. Each secondhand precious metals dealer's license issued by the Secretary of Labor expires on April 30 of each even-numbered year, irrespective of the date when the license was issued. B. If a fully executed application for renewal is filed before the expiration of a dealer's license, the licensee may continue to operate as a dealer while the application for renewal is pending. C. If an application for renewal is not filed until after the expiration of a dealer's license, the dealer may not engage in the secondhand precious metals business until the required State police investigation is complete and the application for renewal is finally approved by the Secretary of Labor. #### Regulation .05 Employees of the Licensee. *COMAR 09.25.01.05* A. At the time an individual applies for a license, the individual shall: (1) On a form provided by the Secretary, submit the name of each employee who, on behalf of the applicant, will engage in a precious metal object transaction or pawn transaction; (2) Submit documents, as required by the Secretary, necessary to conduct a criminal background investigation for each employee who will engage in a precious metal object or pawn transaction; and (3) Pay the fee for each employee pursuant to Business Regulation Article, §12-203, Annotated Code of Maryland. B. A current licensee shall notify the Secretary, under the requirements of §A of this regulation, of the identity of an employee whom the licensee intends to hire to engage in a precious metal object or pawn transaction. C. The licensee may not permit an employee to engage in a precious metal object or pawn transaction until the Secretary notifies the licensee of the licensee's compliance with §A or B of this regulation. ### Chapter 02 — Registration of Weights and Measures **Authority:** Business Regulation Article §§12-103 and 12-302(a)(3)(iv), Annotated Code of Maryland **Administrative History:** Effective date: October 24, 1994 (21:21 Md. R. 1814) #### Regulation .01 Definition. *COMAR 09.25.02.01* “Weight and measure” has the meaning stated in Agriculture Article, §11-101, Annotated Code of Maryland. #### Regulation .02 Registration Required. *COMAR 09.25.02.02* A. A licensed dealer shall register with the Department of Agriculture any weights and measures which are used in buying from, selling to, or trading commercially with the public, any secondhand precious metal object. B. Registration with the Department of Agriculture shall be in accordance with Agriculture Article, §§11-204.1—11-204.7, Annotated Code of Maryland. C. A licensed dealer shall display the registration conspicuously in the place of business of the licensee. ### Chapter 03 — General Regulations **Authority:** Business Regulation Article §§12-103, 12-207(g), and 12-209(a)(2)(ix), Annotated Code of Maryland **Administrative History:** Effective date: December 31, 2018 (45:26 Md. R. 1241) #### Regulation .01 Failure to Respond. *COMAR 09.25.03.01* A. If an applicant or licensee receives from the Secretary or the Secretary’s designee a written communication requesting a response, the applicant or licensee shall respond in writing within 30 days of the date of the mailing. B. The Secretary or the Secretary’s designee shall send a written communication by first-class mail to the last business address furnished to the Secretary or the Secretary’s designee by the applicant or licensee. C. It is the responsibility of an applicant or licensee to notify the Secretary in writing if there has been a change in an applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Secretary or the Secretary’s designee to be a violation of Business Regulation Article, §12-209(a)(2)(ix), Annotated Code of Maryland. ## Subtitle 26 — Board of Pilots ### Chapter 01 — General Regulations **Authority:** Business Occupations and Professions Article, §11-205, Annotated Code of Maryland **Administrative History:** Effective date: September 2, 1969 **Administrative History:** Regulation .06 amended effective November 22, 1982 (9:23 Md. R. 2259) **Administrative History:** Regulation .07 amended effective August 31, 1981 (8:17 Md. R. 1419) **Administrative History:** Regulation .08 repealed effective August 27, 1984 (11:17 Md. R. 1491) **Administrative History:** Regulations .01—.10 repealed effective July 29, 1985 (12:15 Md. 1516) **Administrative History:** Regulations .01—.06 adopted effective July 29, 1985 (12:15 Md. R. 1516) **Administrative History:** Chapter revised effective December 9, 1991 (18:24 Md. R. 2643) **Administrative History:** Regulation .03B amended effective September 28, 1992 (19:19 Md. R. 1706) **Administrative History:** Chapter revised effective May 26, 2003 (30:10 Md. R. 668) **Administrative History:** Regulation .02 amended effective June 20, 2005 (32:12 Md. R. 1046) **Administrative History:** Regulation .04 amended effective May 31, 2010 (37:11 Md. R. 765) **Administrative History:** Regulation .04B amended and C adopted effective May 10, 2004 (31:9 Md. R. 712) **Administrative History:** Regulation .05 recodified to Regulation .06, existing Regulation .06 repealed, and new Regulation .05 adopted effective June 20, 2005 (32:12 Md. R. 1046) **Administrative History:** Regulation .06A amended effective December 11, 2003 (30:24 Md. R. 1739) **Administrative History:** Regulation .07 adopted effective March 11, 2019 (46:5 Md. R. 305) #### Regulation .01 Board Meetings. *COMAR 09.26.01.01* A. Regular meetings of the Board shall be held quarterly at a time and date set by the Board. B. Special Meetings. (1) Special meetings of the Board may be called at the request of: (a) The Chairman; or (b) Three members of the Board. (2) Special meetings of the Board may be held at a time and date directed by the Chairman. #### Regulation .02 Qualification Committee. *COMAR 09.26.01.02* A. The pilot members and a consumer member of the Board shall constitute the Qualification Committee. B. The Qualification Committee may evaluate and conduct the actual observation of demonstrated performance required for licensure as a pilot under any kind of license at the direction of the Board and report its recommendations to the Board. C. The Qualification Committee may develop model training programs for Board approval designed for apprentices and pilots with limited licenses in order to acquire sufficient ability, skill, and experience required for licensure under any kind of license. #### Regulation .03 Incident Committee. *COMAR 09.26.01.03* A. The Chairman shall appoint one pilot member and one industry member to constitute the Incident Committee. B. The Incident Committee shall: (1) Review all complaints filed with the Board and reports of incidents filed by a licensed pilot; and (2) Make recommendations to the full Board on the disposition of each matter. C. Before making a recommendation on a complaint or an incident, the Incident Committee may request that the Department perform an investigation to obtain additional information. After receipt of this information, the Committee shall make the recommendation to the full Board. #### Regulation .04 Reports of Incidents. *COMAR 09.26.01.04* A licensed pilot involved in an incident that is required to be reported to the United States Coast Guard shall file a written report of the incident with the Board within 7 calendar days after the date of the incident. The written report shall contain a detailed factual account of the incident. #### Regulation .05 Complaint Procedure. *COMAR 09.26.01.05* A. A complaint against a licensed pilot may be filed by a member of the Board or by any other person. B. A complaint shall be in writing and shall state specifically the facts on which the complaint is based. C. The complaint shall be submitted to the Secretary of the Board, who shall assign it a tracking number and refer it to the Incident Committee. D. The Incident Committee shall: (1) Investigate all complaints filed with the Board to determine if the facts alleged could form the basis for disciplinary action against the licensee under Business Occupations and Professions Article, §11-409, Annotated Code of Maryland; (2) Within 30 days of the Committee's receipt of the complaint, make a report to the Board on the progress of the investigation; (3) Except as provided in §D(4) of this regulation, within 60 days of the Committee's receipt of the complaint, make a recommendation to the Board for the disposition of the complaint; and (4) Within 30 days of receipt of the report of an investigator appointed pursuant to Business Occupations and Professions Article, §11-208(c), Annotated Code of Maryland, make a recommendation to the Board for the disposition of the complaint. E. The Board shall review the recommendation of the Incident Committee at its next meeting. #### Regulation .06 Relief Pilot. *COMAR 09.26.01.06* A. When it is necessary for reasons of safe, efficient, or reliable pilotage that a pilot be relieved of his duties, the pilot so requesting shall arrange in a timely fashion for a relief pilot to be transferred aboard the vessel at an appropriate transfer point. B. The provisions of this regulation are effective as long as the Public Service Commission provides a tariff for rates and charges applicable to a relief pilot requested under the circumstances in this regulation. #### Regulation .07 Communications with the Board. *COMAR 09.26.01.07* A. If an applicant or licensee receives from the Board a written communication requesting a response, the applicant or licensee shall respond within 30 days of the date of mailing. B. The Board shall send a written communication by first class mail to the last known address furnished to the Board by an applicant or licensee. C. It is a responsibility of an applicant or licensee to notify the Board in writing if there has been a change in applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Board to be a violation of Business Occupations and Professions Article, §11-409, Annotated Code of Maryland. ### Chapter 02 — Pilots-in-Training, and Limited and Unlimited Licensed Pilots **Authority:** Business Occupations and Professions Article, §§11-205, 11-403, 11-406, and 11-406.1, Annotated Code of Maryland **Administrative History:** Effective date: July 29, 1985 (12:15 Md. R. 1516) **Administrative History:** Regulation .02 adopted effective February 10, 1986 (13:3 Md. R. 271) **Administrative History:** Regulation .02A amended effective August 21, 1989 (16:16 Md. R. 1750) **Administrative History:** Regulation .03 amended effective December 11, 2003 (30:24 Md. R. 1740) **Administrative History:** Regulation .03B amended effective September 28, 1992 (19:19 Md. R. 1706) **Administrative History:** Regulation .03F adopted effective August 25, 1986 (13:17 Md. R. 1922) **Administrative History:** Regulation .03G amended effective January 6, 2005 (31:26 Md. R. 1861) **Administrative History:** Regulation .04B amended effective December 11, 2003 (30:24 Md. R. 1739) **Administrative History:** Regulation .05 amended effective February 23, 1998 (25:4 Md. R. 243) **Administrative History:** Regulation .06B amended effective February 23, 1998 (25:4 Md. R. 243) **Administrative History:** Regulation .07 adopted effective April 7, 1997 (24:7 Md. R. 552) **Administrative History:** Regulation .07A amended effective December 11, 2003 (30:24 Md. R. 1740) **Administrative History:** Chapter revised effective June 20, 2005 (32:12 Md. R. 1046), except that Regulation .02 repealed effective November 1, 2005 **Administrative History:** Regulation .01A, B amended effective March 21, 2011 (38:6 Md. R. 394) **Administrative History:** Regulation .06 amended effective May 31, 2010 (37:11 Md. R. 765) **Administrative History:** Regulation .06A amended effective February 24, 2020 (47:4 Md. R. 261) **Administrative History:** Regulation .07 adopted effective May 31, 2010 (37:11 Md. R. 765) **Administrative History:** Regulation .08 adopted effective May 31, 2010 (37:11 Md. R. 765) #### Regulation .01 Appointment of Pilot-in-Training. *COMAR 09.26.02.01* A. If the Board determines that it is necessary for the protection of the commercial interest of the State, the Board may appoint any number of qualified applicants to be pilots-in-training. B. In evaluating the commercial interest of the State, the Board may consider the State's interest in the availability of efficient, safe, and reliable pilotage services. #### Regulation .02 Selection of Pilots-in-Training. *COMAR 09.26.02.02* A. An applicant meeting the qualifications of the Business Occupations and Professions Article, §11-303, Annotated Code of Maryland, shall complete an application form approved by the Board. B. In addition to the application form, an applicant shall submit: (1) A transcript from the applicant's postsecondary education institution, if applicable; (2) A copy of the applicant's valid United States Coast Guard license; (3) The applicant's maritime employment history; and (4) An application fee of $25. C. If an applicant fails to comply with these regulations, the applicant may not be eligible for selection as a pilot-in-training. D. The Board shall maintain a list of qualified applicants from which candidates shall be selected when the Board determines that apprentice pilots are required under Regulation .01 of this chapter. E. To compile the list of qualified applicants, the Board: (1) Shall review the applications of all eligible applicants; (2) May conduct personal interviews of eligible applicants that it considers necessary and under the circumstances that it may direct; and (3) Shall rank them in the order in which they would be selected if the need for pilots-in-training arises. F. Selection from the List. (1) If the Board determines that pilots-in-training are required under Regulation .01 of this chapter, the Board shall select them beginning with the top ranked on the existing list. (2) If the list is older than 1 year, the Board may require qualified applicants to update relevant information before the selection process. G. Maintenance of the List. (1) Unless the Board determines that the list should be extended for 1 additional year, the list of qualified applicants shall be maintained for a period of 2 years from the date it is compiled by the Board. (2) Before the expiration of the list, a new list shall be prepared based on new applications. (3) All existing applications must be renewed to be considered for the subsequent list. (4) A list of qualified applicants compiled before October 1, 2004, shall be maintained for 1 year. H. An applicant selected under §F of this regulation shall pass an additional physical examination, as required by the Board, before the applicant may be appointed a pilot-in-training. #### Regulation .03 Limited Licensed Pilot. *COMAR 09.26.02.03* A. A pilot-in-training shall serve under the supervision of unlimited licensed pilots for at least 2 years after the appointment of the pilot-in-training before being licensed as a limited licensed pilot. B. Before an eligible pilot-in-training may be licensed as a limited licensed pilot, the pilot-in-training shall: (1) File an application approved by the Board; and (2) Demonstrate to the satisfaction of the Board by actual observation of demonstrated performance that the pilot-in-training possesses sufficient ability, skill, and experience. C. In evaluating the ability, skill, and experience of a pilot-in-training, the Board shall consider the following: (1) The recommendation of the Qualification Committee; (2) The recommendation of the supervising licensed pilots; (3) Any license issued to the pilot-in-training by the United States Coast Guard; (4) The training program of the pilot-in-training including but not limited to: (a) The number of trips; (b) Types of vessels; and (c) Pilotage routes in the training program; and (5) Other pertinent factors identified by the Board. #### Regulation .04 Raise in Grade of Limited Licensed Pilot. *COMAR 09.26.02.04* A. A limited licensed pilot holding a license to pilot vessels not exceeding 32 feet draft may apply for a license to pilot vessels not exceeding 36 feet draft. B. A limited licensed pilot holding a license to pilot vessels not exceeding 36 feet draft may apply for a license to pilot vessels not exceeding 40 feet draft. C. Before a limited licensed pilot under §§A and B of this regulation may be granted a raise in grade license, the limited licensed pilot shall: (1) File an application approved by the Board; and (2) Demonstrate to the satisfaction of the Board by actual observation of demonstrated performance that the limited licensed pilot possesses sufficient ability, skill, and experience. D. In evaluating the ability, skill, and experience of a limited licensed pilot, the Board shall consider the following: (1) The recommendation of the Qualification Committee; (2) The length of time that the limited licensed pilot has piloted vessels under the lower draft limited license; (3) The number of vessels piloted; (4) The pilotage routes; (5) Any other licenses obtained by the limited licensed pilot; and (6) Other pertinent factors identified by the Board. #### Regulation .05 Unlimited Licensed Pilot. *COMAR 09.26.02.05* A. A limited licensed pilot shall serve for at least 3 years after being licensed before being licensed as an unlimited licensed pilot. B. Before an eligible limited licensed pilot may be licensed as an unlimited licensed pilot, the limited licensed pilot shall: (1) File an application approved by the Board; and (2) Demonstrate to the satisfaction of the Board by actual observation of demonstrated performance that the limited licensed pilot possesses sufficient ability, skill, and experience. C. In evaluating the ability, skill, and experience of a limited licensed pilot, the Board shall consider the following: (1) The recommendations of the Qualification Committee; (2) The length of time that the limited licensed pilot has piloted vessels; (3) The number of vessels piloted; (4) The pilotage routes; (5) Any other licenses obtained by the limited licensed pilot; and (6) Other pertinent factors identified by the Board. D. An application filed under this regulation may be treated as an application filed under Regulation .04 of this chapter in the discretion of the Board. #### Regulation .06 Continuing Education. *COMAR 09.26.02.06* A. Once every 5 years, a licensed pilot shall satisfactorily complete a course approved by the Board or a course offered at an institute approved by the Board in each of the following subject areas: (1) Bridge Resource Management for Pilots; (2) Differential Global Positioning System; (3) E-Navigation; (4) Current and emerging marine navigation, steering, and propulsion technologies; and (5) Any other subject areas that are or may be designated by the United States Coast Guard or the Board. B. At the request of a pilot, the Board may give the pilot an additional year beyond the normal 5-year time period on one continuing education cycle to extend the renewal date of the ARPA or ROR so that the dates are coincident for the purposes of federal licensing requirements. C. A licensed pilot who completed a required course while a pilot-in-training shall complete the course again within 5 years of the prior course completion and every 5 years thereafter. #### Regulation .07 Reporting Requirements for License Renewal. *COMAR 09.26.02.07* A. A licensee shall provide the Board with satisfactory evidence of completion of the continuing education requirements either through electronic completion notices provided directly to the Board by the course provider or through other documentation from the course provider that is acceptable to the Board. B. The documentation shall be submitted within 30 days of the completion of the course. C. The Board at its discretion may audit up to 10 percent of randomly selected licensees to ascertain compliance with the continuing education requirements. D. Licensees who are audited shall provide any additional documentation required by the Board to complete the audit. #### Regulation .08 Maintenance of Federal License. *COMAR 09.26.02.08* A. Each licensed pilot shall maintain an active United States Coast Guard license. B. A licensed pilot shall give the Board immediate notice of any lapse in the pilot's United States Coast Guard license. C. If the lapse is the result of a delay that occurs in the United States Coast Guard renewal process, the pilot shall be permitted to continue piloting pending re-issuance of the license upon a showing by the pilot to the Board that: (1) A timely application for the renewal of the license has been made; (2) There are no known impediments to renewal of the license; and (3) A licensed physician or physician's assistant has certified that the pilot is in good health and has no physical impairment or medical condition that would render the pilot physically unable to perform the ordinary duties of the license. ### Chapter 03 — Hearing Regulations **Authority:** Business Occupations and Professions Article, § 11-205(a), Annotated Code of Maryland **Administrative History:** Effective date: July 29, 1985 (12:15 Md. R. 1516) **Administrative History:** Regulations .01—.03 repealed and new Regulation .01 adopted effective December 11, 2003 (30:24 Md. R. 1739) #### Regulation .01 Hearings. *COMAR 09.26.03.01* A. All contested case hearings before the Board shall be governed by COMAR 09.01.02. B. All contested case hearings delegated to the Office of Administrative Hearings shall be governed by COMAR 09.01.03. ### Chapter 04 — Work Rules **Authority:** Business Occupations and Professions Article, §11-205, Annotated Code of Maryland **Administrative History:** Effective date: December 11, 2003 (30:24 Md. R. 1740) **Administrative History:** Regulation .01 amended effective May 31, 2010 (37:11 Md. R. 765) #### Regulation .01 Committee on Work Rules. *COMAR 09.26.04.01* A. The Chairman shall appoint one consumer member, one member representing the steamship industry, and one pilot member to serve on the Committee on Work Rules. B. The Association shall submit to the Committee all proposed changes in the Association's work rules that affect pilot list administration, appointments, assignment intervals, or relief pilots. C. The Committee may meet in person or through a conference call to consider and discuss whether any of the proposed changes affect safe operations of vessels by Maryland pilots and, if so, what action should be taken on them. D. Within 15 days of the submission, the Committee shall notify the Association whether it has determined that any of the proposed changes affect safe operations of vessels by Maryland pilots, and if so, whether those changes have been preliminarily approved or have been referred to the full Board for its consideration. E. The Association may immediately implement the changes which have been preliminarily approved, subject to the Board's subsequent review. F. The Committee shall promptly report to the Board on the changes in the work rules that it has: (1) Preliminarily approved; and (2) Referred to the Board for its consideration. G. The Board shall consider the proposed changes referred to it by the Committee, as well as those changes preliminarily approved by the Committee, at its next scheduled business meeting. H. Work rule changes approved by the Board under §G of this regulation shall go into effect immediately upon approval, unless the work rule change specifies a different date. I. Work rule changes that had been implemented as a result of preliminary approval by the Committee and that have been subsequently disapproved by the Board shall be discontinued at the earliest possible time after the Board's action. J. The Committee and the Board may not take a position on proposed changes that the Committee determines do not affect safe operations of vessels by Maryland pilots. ### Chapter 05 — Cross Training **Authority:** Business Occupations and Professions Article, §§11-205 and 11-406.1, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulation .01 adopted as an emergency provision effective October 1, 2004 (31:20 Md. R. 1482); adopted permanently effective February 28, 2005 (32:4 Md. R. 410) **Administrative History:** Regulation .02 adopted effective June 20, 2005 (32:12 Md. R. 1046) **Administrative History:** Regulation .03 adopted effective November 6, 2006 (33:22 Md. R. 1732) **Administrative History:** Regulation .03 amended effective February 11, 2008 (35:3 Md. R. 289) #### Regulation .01 Unlimited Licensed Pilot. *COMAR 09.26.05.01* An unlimited licensed pilot who, without the supervision of a licensed docking master, berthed, unberthed, or shifted at least 50 vessels within a port with tug assistance before October 1, 2004, may be assigned that work without the need for additional experience or training. #### Regulation .02 Training for Work with Tug Assistance. *COMAR 09.26.05.02* Except as provided in Regulation .01 of this chapter, a pilot who held an unlimited license before October 1, 2004, shall satisfy the following requirements before the pilot may be assigned work that includes the berthing and unberthing of vessels with tug assistance or the shifting of a vessel within a port with tug assistance: A. Successful performance of a minimum of 200 berthings, unberthings, or shifts under the supervision of a pilot who held a docking master license before October 1, 2004, or who is qualified under this chapter; B. The recommendation of the Association that the pilot be permitted to receive pilotage assignments that include the berthing and unberthing of vessels with tug assistance and the shifting of vessels within a port with tug assistance; and C. Sufficient ability, skill, and experience in the berthing and unberthing of vessels with tug assistance and the shifting of vessels within a port with tug assistance as demonstrated to the satisfaction of the Board by actual observation of performance. #### Regulation .03 Piloting Within Certain Areas. *COMAR 09.26.05.03* Without additional experience or training, a pilot who held a docking master's license before October 1, 2004, may pilot a vessel when the vessel is inside North Point or within 10 miles of the Cove Point or Piney Point terminals. ## Subtitle 27 — Board of Docking Masters ### Chapter 01 — General Regulations *Repealed* **Administrative History:** Effective date: December 24, 2001 (28:25 Md. R. 2190) **Administrative History:** Chapter repealed effective March 22, 2010 (37:6 Md. R. 477) ### Chapter 02 — Trainees *Repealed* **Administrative History:** Effective date: December 24, 2001 (28:25 Md. R. 2190) **Administrative History:** Regulation .05 amended effective December 11, 2003 (30:24 Md. R. 1740) **Administrative History:** Chapter repealed effective March 22, 2010 (37:6 Md. R. 477) ### Chapter 03 — Code of Ethics *Repealed* **Administrative History:** Effective date: April 15, 2002 (29:7 Md. R. 619) **Administrative History:** Chapter repealed effective March 22, 2010 (37:6 Md. R. 477) ## Subtitle 28 — Board of Examiners of Landscape Architects ### Chapter 01 — General Regulations **Authority:** Business Occupations and Professions Article, §§9-206(a), 9-207(a), and 9-304(2), Annotated Code of Maryland **Administrative History:** Effective date: September 25, 1971 **Administrative History:** The Board of Landscape Architects was transferred from the jurisdiction of the Department of Natural Resources to the Department of Licensing and Regulation, effective January 1, 1974 (2:6 Md. R. 442) **Administrative History:** Regulation .01D amended effective April 8, 1985 (12:7 Md. R. 701) **Administrative History:** Regulation .02A amended effective October 21, 1996 (23:21 Md. R. 1467) **Administrative History:** Regulation .04B amended effective October 7, 1985 (12:20 Md. R. 1925) **Administrative History:** Regulations .04F—I, .08B and C, and .11A amended, and .05 repealed effective November 5, 1984 (11:22 Md. R. 1898) **Administrative History:** Regulation .04G amended effective February 22, 1988 (15:4 Md. R. 472); July 9, 1990 (17:13 Md. R. 1610) **Administrative History:** Regulation .04I and J repealed effective October 10, 1983 (10:20 Md. R. 1786) **Administrative History:** Regulation .05 adopted effective October 7, 1985 (12:20 Md. R. 1925) **Administrative History:** Regulation .13A amended effective October 12, 1981 (8:20 Md. R. 1634); July 5, 1982 (9:13 Md. R. 1350); July 4, 1983 (10:13 Md. R. 1180); February 27, 1984 (11:4 Md. R. 314); November 5, 1984 (11:22 Md. R. 1989); February 22, 1988 (15:4 Md. R. 472); April 2, 1990 (17:6 Md. R. 741); September 3, 1990 (17:17 Md. R. 2080); April 13, 1992 (19:7 Md. R. 746); February 15, 1993 (20:3 Md. R. 258); February 28, 1994 (21:4 Md. R. 276) **Administrative History:** Regulation .13A amended as an emergency provision effective October 19, 1994 (21:23 Md. R. 1929); emergency status expired April 19, 1995; amended permanently effective April 24, 1995 (22:8 Md. R. 595) **Administrative History:** Regulation .13A amended as an emergency provision effective August 28, 1995 (22:19 Md. R. 1469); emergency status expired February 15, 1996; adopted permanently effective March 11, 1996 (23:5 Md. R. 378) **Administrative History:** Regulation .13 repealed and new Regulation .13 adopted as an emergency provision effective September 19, 1997 (24:21 Md. R. 1444); emergency status extended at 25:8 Md. R. 594; adopted permanently effective April 20, 1998 (25:8 Md. R. 596) **Administrative History:** Regulation .13 amended as an emergency provision effective April 12, 1999 (26:10 Md. R. 793); emergency status expired October 12, 1999 **Administrative History:** Regulation .13 amended as an emergency provision effective November 22, 1999(26:27 Md. R. 2014); emergency status expired May 15, 2000 **Administrative History:** Regulation .13 amended as an emergency provision effective May 16, 2000 (27:13 Md. R. 1209); emergency status expired July 1, 2000 **Administrative History:** Regulation .13 amended effective October 30, 2000 (27:21 Md. R. 1975) **Administrative History:** Regulation .13 amended as an emergency provision effective December 11, 2000 (28:1 Md. R. 20); amended permanently effective April 16, 2001 (28:7 Md. R. 689) **Administrative History:** Regulation .13A amended effective August 20, 2001 (28:16 Md. R. 1482); April 29, 2002 (29:8 Md. R. 699) **Administrative History:** Regulation .13 repealed as an emergency provision effective July 1, 2003 (30:14 Md. R. 933); repealed permanently effective November 10, 2003 (30:22 Md. R. 1579) **Administrative History:** Chapter revised effective November 10, 2003 (30:22 Md. R. 1579) #### Regulation .01 Definitions. *COMAR 09.28.01.01* The definitions set forth in the Business Occupations and Professions Article, §9-101, Annotated Code of Maryland, apply in this chapter unless otherwise noted. #### Regulation .02 Filing of Applications. *COMAR 09.28.01.02* A. An application for admittance to the examination or for registration to practice landscape architecture shall be submitted on the form provided by the Board and will be received at any time during regular business hours at the office of the Board. The application shall be filed with the Board at least 90 days before the date of the examination. B. The application fee shall accompany the application. Application fees are not refundable. C. The Board may require an applicant to submit, with the formal application, documentary evidence of experiential or educational qualifications. #### Regulation .03 Examinations. *COMAR 09.28.01.03* A. Scope of the Examination. (1) The scope of the examinations will be established by the Board. (2) The examinations shall: (a) Be designed to determine the qualifications of the applicant to practice landscape architecture; (b) Cover such technical, professional and practical subjects as relates to the practice of the profession of landscape architecture; (c) Cover the basic arts and sciences, a knowledge of which is material and necessary to the proper understanding, application, and qualification for practice of the profession of landscape architecture. B. The minimum passing grade in all subjects of the examination shall be established by the Board. C. An applicant receiving a passing grade on a subject included in the examination will be given credit for that subject. D. Applicants may take all or any parts of the original examination or the re-examination. E. Applicants desiring to retake certain subjects of the examination may be required to appear before the Board and furnish evidence of satisfactory study and preparation before readmittance to the examination. #### Regulation .04 Qualifications for Examination. *COMAR 09.28.01.04* To qualify for the examination, the applicant shall meet the requirements as set out in Business Occupations and Professions Article, §9-305, Annotated Code of Maryland. #### Regulation .05 Embossing Seals and Rubber Stamp Facsimiles. *COMAR 09.28.01.05* A. For the purpose of sealing and signing all final drawings, plans, specifications, reports, and other contract documents, referred to in Business Occupations and Professions Article, §9-501, Annotated Code of Maryland, each licensed landscape architect shall obtain an individual seal to be used on documents prepared by the licensee or under the licensee's supervision. The seal shall imprint the name of the landscape architect and the license number. B. A rubber stamp facsimile of the seal and the live signature of the landscape architect may be applied to tracings to produce legible reproduction of the drawings or to prints made from the tracings. This provision, however, does not in any manner modify the requirements of Business Occupations and Professions Article, §9-501, Annotated Code of Maryland, in reference to use of the impression seal and signature. ### Chapter 02 — Code of Ethics **Authority:** Business Occupations and Professions Article, §9-206, Annotated Code of Maryland **Administrative History:** Effective date: April 24, 1995 (22:8 Md. R. 596) **Administrative History:** Regulation .07 adopted effective February 25, 2019 (46:4 Md. R. 191) #### Regulation .01 Responsibility to the Public. *COMAR 09.28.02.01* A licensee shall make every reasonable effort to protect the safety, health, property, and welfare of the public. If the licensee's professional judgment is overruled under circumstances where the safety, health, property, or welfare of the public is endangered, the licensee shall inform the employer or client of the possible consequences. #### Regulation .02 Public Statements, Reports, and Testimony. *COMAR 09.28.02.02* A. A licensee may not make statements or reports or give expert testimony on landscape architectural matters connected with public policy if the remarks are inspired or paid for by an interested party, unless the remarks are preceded by: (1) Identification; (2) Disclosing the identity of the party on whose behalf the remarks are being offered; and (3) Revealing the existence of any pecuniary interest in the matter. B. A licensee may express publicly a professional opinion on a landscape architectural subject only when that opinion is founded upon adequate knowledge of the material facts and a background of technical competence in the subject matter. C. In any professional report, statement, or testimony, a licensee may not be untruthful, deceptive, or misleading. D. A licensee may not affix a professional seal other than the licensee's own seal to a professional document. #### Regulation .03 Competency for Assignments Undertaken or Approved. *COMAR 09.28.02.03* A. A licensee may undertake to perform landscape architectural assignments only when qualified to do so by education or experience, or both. If the competence of a licensee to perform an assignment is questioned, the Board either upon request of the licensee, or by its own motion, may require the licensee to submit to a formal or informal inquiry by or on behalf of the Board. B. A licensee may sign or seal landscape architectural documents only if the: (1) Licensee is competent in the subject matter of those documents by virtue of education or experience, or both; or (2) Documents were prepared under the licensee's direction as principal by an individual competent in the subject matter of those documents by virtue of education or experience, or both. C. When using the seal, a licensee shall affix the licensee's signature immediately adjacent to the impression of the seal. #### Regulation .04 Conflicts of Interest. *COMAR 09.28.02.04* A. A licensee shall make every effort to avoid conflicts of interest with the employer or client. Whenever conflicts of interest appear unavoidable, however, the licensee shall disclose promptly and fully all the circumstances to the employer or client. B. A licensee shall inform promptly an employer or client of any business association, interests, or circumstances which may influence the judgment or the quality of services rendered to the employer or client. C. A licensee may not accept compensation, financial or other, from more than one party for services on a project or for services pertaining to a project unless full disclosure is made by the licensee to all interested parties. D. A licensee may not solicit or accept financial or other valuable consideration from a material supplier or equipment supplier for specifying the supplier's projects, except when the licensee is a previously announced employee or agent of the supplier. E. Except for gifts of only token value, a licensee may not solicit or accept gratuities, directly or indirectly, from any contractor, architect, engineer, or other party dealing with the licensee's employer or client in connection with work for which the licensee is responsible. #### Regulation .05 Improper Solicitation of Professional Employment. *COMAR 09.28.02.05* A. Except for gifts of only token value and the usual commissions paid to licensed employment agencies, a licensee may not compensate, give anything of value, or offer to compensate or give anything of value: (1) To a person or organization to recommend or secure employment as a landscape architect; or (2) As a reward for having made a recommendation resulting in his employment as a landscape architect. B. When competing for professional employment, a licensee may not falsify or permit misrepresentation of the licensee's qualifications or those of the licensee's associates. #### Regulation .06 Knowledge of Improper Conduct by Others. *COMAR 09.28.02.06* Except to the extent the rules of privilege recognized in this State apply, when questioned by a member or authorized representative of the Board concerning an alleged violation of another person or organization, a licensee may not conceal or refuse to divulge any information or make false or misleading statements about the matter. #### Regulation .07 Failure to Respond. *COMAR 09.28.02.07* A. If an applicant or licensee receives from the Board a written communication requesting a response, the applicant or licensee shall respond within 30 days of the date of mailing. B. The Board shall send a written communication by first-class mail to the last known address furnished to the Board by an applicant or licensee. C. It is a responsibility of an applicant or licensee to notify the Board in writing if there has been a change in the applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Board to be a violation of Business Occupations and Professions Article, §9-310(a)(1)(vi), Annotated Code of Maryland. ### Chapter 03 — Fees **Authority:** Business Regulation Article, §§2-106, 2-106.1 and 2-106.2; Business Occupations and Professions Article, §§9-101, 9-206, 9-207, 9-304(2), 9-305.1, 9-306, 9-309, 9-313, 9-314, 9-405, 9-406, and 9-408; Annotated Code of Maryland **Administrative History:** Effective date **Administrative History:** Regulations .01—.03 adopted as an emergency provision effective July 1, 2003 (30:14 Md. R. 933); adopted permanently effective November 10, 2003 (30:22 Md. R. 1579) **Administrative History:** Regulation .03 amended as an emergency provision effective May 24, 2004 (31:12 Md. R. 908); emergency status expired November 24, 2004 **Administrative History:** Regulation .03 amended effective February 28, 2005 (32:4 Md. R. 410); March 13, 2006 (33:5 Md. R. 519); December 18, 2006 (33:25 Md. R. 1951); April 23, 2007 (34:8 Md. R. 767); July 28, 2008 (35:15 Md. R. 1348); November 1, 2010 (37:22 Md. R. 1554) **Administrative History:** Regulation .03A amended effective March 3, 2014 (41:4 Md. R. 300); May 27, 2024 (51:10 Md. R. 525) **Administrative History:** Regulation .03C amended effective April 29, 2013 (40:8 Md. R. 723); May 27, 2024 (51:10 Md. R. 525) **Administrative History:** Regulation .03C, D amended effective April 16, 2012 (39:7 Md. R. 491) **Administrative History:** Regulation .03D—K repealed effective April 29, 2013 (40:8 Md. R. 723) #### Regulation .01 Purpose. *COMAR 09.28.03.01* This chapter is intended to carry out the provisions of Business Regulation Article, §§2-106.1 and 2-106.2, Annotated Code of Maryland, and Business Occupations and Professions Article, Title 9, Annotated Code of Maryland. In particular, it is intended to set various fees in order to cover the actual documented direct and indirect costs of fulfilling the statutory and regulatory duties of the State Board of Architects, the State Board of Certified Interior Designers, the State Board of Examiners of Landscape Architects, the State Board for Professional Engineers, and the State Board for Professional Land Surveyors. #### Regulation .02 Definitions. *COMAR 09.28.03.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Board” means the State Board of Examiners of Landscape Architects. (2) “Design boards” means collectively the: (a) State Board of Architects; (b) State Board of Certified Interior Designers; (c) Board; (d) State Board for Professional Engineers; and (e) State Board for Professional Land Surveyors. (3) “License fee” means the fee paid by an applicant or licensee, as applicable, in connection with the issuance and renewal of a license and the issuance of a reciprocal license. (4) “Permit fee” means the fee paid in connection with the issuance and renewal of a permit. (5) “Secretary” means the Secretary of Labor. #### Regulation .03 Fees and Costs. *COMAR 09.28.03.03* A. The Secretary and the design boards have agreed to average their direct and indirect costs, based on the calculation of costs performed by the Secretary in consultation with the design boards. Based on these calculations, the Board sets the following fees: (1) License fee — $86; (2) Permit fee — $112; (3) Nonrefundable initial application fee payable in connection with: (a) An application for permit — $39; (b) An application for license by reciprocity — $56; (4) Reinstatement fee — $112. B. An applicant shall be approved by the Board to take any section of the licensing examination. C. An applicant for the licensing examination shall pay examination fees directly to the Council of Landscape Architectural Registration Boards (CLARB) as these fees are established by CLARB. ### Chapter 04 — Continuing Professional Competency Requirements **Authority:** Business Occupations and Professions Article §9-309, Annotated Code of Maryland **Administrative History:** Effective date: February 12, 2018 (45:3 Md. R. 156) **Administrative History:** Regulation.01 amended effective August 7, 2023 (50:15 Md. R. 681) **Administrative History:** Regulation.02B amended effective August 7, 2023 (50:15 Md. R. 681) **Administrative History:** Regulation.03 amended effective August 7, 2023 (50:15 Md. R. 681) **Administrative History:** Regulation.04 amended effective August 7, 2023 (50:15 Md. R. 681) **Administrative History:** Regulation.05 amended effective August 7, 2023 (50:15 Md. R. 681) **Administrative History:** Regulation.06 amended effective August 7, 2023 (50:15 Md. R. 681) **Administrative History:** Regulation.08C repealed effective August 7, 2023 (50:15 Md. R. 681) #### Regulation .01 Purpose. *COMAR 09.28.04.01* The State legislature has determined that, in order to safeguard the health, safety, and welfare of the public, licensed landscape architects must comply with the continuing professional competency (CPC) requirements as a prerequisite for the renewal of a license. #### Regulation .02 Definitions. *COMAR 09.28.04.02* A. In this chapter, the following terms have the meaning indicated. B. Terms Defined. (1) “ASLA” means the American Society of Landscape Architects. (2) “ Board” means the State Board of Examiners of Landscape Architects. (3) “College credit hour” means the credit for a course described in Regulation .04 of this chapter, offered by a university, college, or community college. (4) “Continuing education standard activities” means traditional continuing education course work presented to students by an instructor in an in-person or virtual classroom format. (5) “Continuing education alternative activities” means work that qualifies under this chapter for continuing professional competency credits that is not traditional continuing education course work presented to students by an instructor in an in-person or virtual classroom format. (6) “Health, safety, and welfare (HSW) subjects” means content areas identified as such by Landscape Architecture Continuing Education System as those content areas may be updated or otherwise amended from time to time. (7) “LACES” means Landscape Architecture Continuing Education System. (8) “Professional development hour (PDH)” means a minimum of 50 minutes of face-to-face or distance learning instruction per 60-minute hour. (9) “Qualifying activities” means professional development activities which qualify for PDH credit by meeting the following requirements: (a) Meet the criteria set forth in Regulation .04 of this chapter; and (b) Are approved and accepted for credit by LACES or the Board. #### Regulation .03 Requirements. *COMAR 09.28.04.03* A. A licensee shall complete, as a condition of a license renewal in each individual 2-year-renewal cycle, a minimum of 24 PDHs . The 24 PDHs shall consist of a minimum of 16 PDHs in continuing education standard activities and a maximum of 8 PDHs in continuing education alternative activities. Of the 16 PDH continuing education standard activities, 8 PDHs shall be HSW-focused. B. A licensee may not be eligible to earn PDHs for a professional development activity that has not been approved for credit by LACES or the Board. #### Regulation .04 Qualifying Activities. *COMAR 09.28.04.04* A. In order for an activity to be considered a qualifying continuing education standard activity or continuing education alternative activity, the activity shall meet the following criteria: (1) Maintain, improve, or expand the skills and knowledge relevant to the practice of landscape architecture; (2) Research, analysis, assessment, conservation, preservation, and enhancement of land use; (3) Selection and allocation of cultural, historic, and natural resources; (4) Laws and regulations applicable to the practice of landscape architecture in Maryland; (5) Standards of practice or care applicable to the practice of landscape architecture; or (6) Professional ethics as applicable to the practice of landscape architecture. B. Qualifying continuing education standard activities include completing traditional continuing education course work that meets the requirements of §A of this regulation as well as the criteria below: (1) Maintain and enhance professional competency; (2) Foster improvement, advancement, and extension of professional skills and knowledge related to the practice of landscape architecture; (3) Offer learning experiences relevant to current landscape architectural practices or those that relate to the public health, safety, and welfare; (4) Be presented in a systematic manner that clearly defines learning objectives; and (5) Be led or taught at a professional level by well-qualified professionals in a learning environment conducive to learning and appropriate for accomplishing learning objectives described in these regulations. C. Qualifying continuing education alternative activities include participating in one of the following, provided it meets the requirements of §A of this regulation: (1) Authorship of original published work, including books, articles, papers, or documents, or other media types at the discretion of the Board; (2) Enrollment in and completion of a related, for-credit course at a university, college, or community college; (3) Professional development work or professional or technical presentations made on matters related to landscape architecture at meetings, conventions, or conferences; or (4) Other appropriate activities that may from time to time be approved by the Board. #### Regulation .05 Nonqualifying Activities. *COMAR 09.28.04.05* Activities that do not meet the criteria set forth in Regulation .04 of this chapter shall be considered to be nonqualifying activities, including, but not limited to, the following: A. Regular employment as a licensed landscape architect or teacher or serving as an expert witness; B. Repetitive completion of the same courses or programs without substantial modifications or updates; C. Attending trainings or seminars related to time management techniques and strategies; D. Attending committee meetings or general business meetings of any organizations; and E. Other activities that, in the Board’s opinion, are not directly related to the practice of landscape architecture. #### Regulation .06 Sources of Credit and Determination of Units. *COMAR 09.28.04.06* A. A licensee may earn PDHs through participation in continuing education standard activities by attending and successfully completing traditional continuing education courses that meet the requirements of Regulation .04 of this chapter. B. PDH credit may be claimed only once for a particular course. C. A licensee shall apply to the Board for approval of PDHs through participation in continuing education alternative activities in accordance with Regulation .04 of this chapter under the following conversion schedule: (1) Credited contribution to a print or digital publication of original work published in a periodical recognized by the Board, with a maximum of 3 PDHs applied for upon publication. (2) Credited contribution to an original book, with a maximum of 5 PDHs applied for upon publication. (3) Enrollment in and completion of a related, for-credit course at a university, college, or community college, with 1 PDH applied for upon completion of 1 college credit hour with a maximum of 3 total PDHs per for-credit course. (4) Teach a traditional continuing education course, as follows: (a) A maximum of two times the number of PDHs awarded under §A of this regulation for the taking of the course may be applied for. (b) A licensee may only apply for this credit for the first time the traditional course is taught. D. The final determination of value, sources, and number of credits is within the discretion of the Board. #### Regulation .07 Approval Process. *COMAR 09.28.04.07* A. Entities or individuals, including, but not limited to, professional firms conducting in-house presentations, may submit a specific professional development activity for review and approval by the Board. B. During the application process, the Board or the Board’s designee will evaluate the suitability of the activity and the qualifications of presenter. C. The presenter shall submit adequate information to enable the Board or the Board’s designee to evaluate the professional development activity. At a minimum, the Board requires the following information to be submitted with each application for approval: (1) The types and descriptions of proposed or existing programs intended to be offered; (2) The number of PDHs to be awarded for each activity; and (3) The identity and qualifications of the instructors. D. The Board may require presenters to document the offered activities for audit E. The Board may suspend or revoke its approval of an activity if, in the judgment of the Board, the intent of Business Occupations and Professions Article, §9-309, Annotated Code of Maryland, is no longer served or a presenter materially changed the content of the activity without the prior written approval of the Board. #### Regulation .08 Record Keeping. *COMAR 09.28.04.08* A. Responsibility to Maintain Records. (1) The responsibility of maintaining records to be used to support the continuing professional competency credit claim is the responsibility of each licensee. (2) A licensee shall maintain the records for a period of at least 4 years from the date of completion of the qualifying activity. B. Documentation referred to in §A(2) of this regulation, includes, but is not limited to, the following: (1) Certificates of participation; (2) Transcripts; or (3) Any other appropriate evidence acceptable to the Board. #### Regulation .09 Reporting Requirements for License Renewal. *COMAR 09.28.04.09* A. A licensee shall attest to the satisfactory completion of the CPC requirements set forth in this chapter before the licensee’s license expiration date. B. The Board at its discretion may audit licensees to ascertain compliance with CPC requirements. C. Licensees who are audited shall provide within 30 days of receipt of electronic notice of audit from the Board any additional documentation required by the Board to complete the audit. #### Regulation .10 Extenuating Circumstances/Exceptions. *COMAR 09.28.04.10* A. Exemptions. Notwithstanding other requirements set forth in this chapter, a licensee may renew a license for the next full term without complying with the CPC requirements if: (1) A licensee has been granted an initial license and is renewing a license for the next full term; or (2) A licensee qualifies under the criteria set forth in Title 2.5, Business Regulation Article, Annotated Code of Maryland. B. Compliance Exception Request. (1) If a licensee is unable to comply with all or part of CPC requirements due to physical disability, illness, or other extenuating circumstances, the licensee may request the Board or the Board’s administrative designee to grant a one-time exception from compliance, provided that the request is filed with the Board or the Board’s administrative designee prior to the licensee’s license expiration date. (2) If the request is based on physical disability or illness, the licensee must provide the Board or the Board’s administrative designee with a written documentation acceptable to the Board supporting the basis for the request. (3) The request must be accompanied by a detailed proposal acceptable to the Board indicating a licensee’s intended plan of compliance with the CPC requirements within no later than 6 months after the license expiration date. Failure to provide the acceptable plan of compliance within the time period specified in this regulation may result in the Board’s administrative dismissal of the request. #### Regulation .11 Failure to Meet the CPC Requirements. *COMAR 09.28.04.11* In the event a licensee fails to comply with the CPC requirements set forth in this chapter, the Board, subject to the hearing provisions of Business Occupations and Professions Article, §9–312, Annotated Code of Maryland, may take any and all available disciplinary actions under Business Occupations and Professions Article, §9–310, Annotated Code of Maryland. #### Regulation .12 Reinstatement of License. *COMAR 09.28.04.12* A licensee who wishes to reinstate a license shall fulfill past due CPC requirements for the immediately preceding CPC reporting periods up to 48 PDHs and pay all applicable fees. #### Regulation .13 CPC Units Earned in Other States. *COMAR 09.28.04.13* The Board will accept CPC units earned for activities completed in other jurisdictions, provided that: A. The activity has been approved by a licensing board in another jurisdiction; and B. The licensee otherwise fulfills all other applicable license renewal requirements in the State of Maryland. ## Subtitle 29 — Board of Foresters ### Chapter 01 — General Regulations **Authority:** Business Occupations and Professions Article, §§7-206(a)(2), 7-304, 7-305(b)(1)(i0), and 7-309(a)(1)(vii), Annotated Code of Maryland **Administrative History:** Effective date: January 7, 1976 (3:1 Md. R. 40) **Administrative History:** Regulations .02, .03, and .04 amended effective August 31, 1981 (8:17 Md. R. 1419) **Administrative History:** Regulation .03 amended effective March 13, 1995 (22:5 Md. R. 367) **Administrative History:** Regulation .03D amended effective August 21, 1989 (16:16 Md. R. 1750) **Administrative History:** Regulation .05 adopted effective August 31, 1981 (8:17 Md. R. 1419) **Administrative History:** Regulation .05 repealed and new Regulation .05 adopted effective May 23, 1994 (21:10 Md. R. 843) **Administrative History:** Regulation .06 adopted effective March 13, 1995 (22:5 Md. R. 367) **Administrative History:** Regulations .01—.06 repealed and new Regulations .01—.05 adopted effective May 8, 2017 (44:9 Md. R. 437) **Administrative History:** Regulation .02B amended effective May 3, 2021 (48:9 Md. R. 359) **Administrative History:** Regulation .06 adopted effective February 25, 2019 (46:4 Md. R. 191) #### Regulation .01 Administrative Procedures of the Board. *COMAR 09.29.01.01* A. The Board shall elect its officers at its July meeting. B. Hearings. The regulations set forth in COMAR 09.01.02 shall govern hearings before the Board. #### Regulation .02 Application for Licensing. *COMAR 09.29.01.02* A. Only the experience of the applicant in practicing forestry that was gained after the completion of the educational requirements under Business Occupations and Professions Article, §7-304(b), Annotated Code of Maryland shall be considered by the Board. B. An application shall contain: (1) Statements made under oath showing the applicant's education, including the applicant's official college transcript, which reflects completion of a program accredited by the Society of American Foresters or approved by the Board, including: (a) An undergraduate degree in forestry; or (b) A master’s degree in forestry; (2) A detailed summary of the applicant's experience in practicing forestry that was obtained after the completion of the educational requirements under Business Occupations and Professions Article, §7-304(b), Annotated Code of Maryland; and (3) At least five signed references to indicate endorsement of the applicant, of which three or more shall be foresters having personal or professional knowledge of the applicant's forestry experience. #### Regulation .03 Procedures Governing Licensing. *COMAR 09.29.01.03* A. Seal. The seal shall be affixed on all plans, maps, reports and specifications prepared by the licensee, pursuant to the requirements of Business Occupations and Professions Article, §§7-401 and 7-402, Annotated Code of Maryland. B. A suspended, revoked or expired license may not be displayed in any public office or place of business by any licensee in connection with the practice of forestry. C. The Board shall issue a new license to replace any license destroyed or mutilated upon receipt by the Board of a written request. D. A licensee may display the title “Maryland Licensed Forester” any manner consistent with the practice of forestry. #### Regulation .04 Code of Professional Conduct. *COMAR 09.29.01.04* A. A licensee shall advocate and practice forest management consistent with ecologically sound principles. B. Knowledge and Skills. A licensee shall: (1) Use knowledge and skills for the benefit of the public. (2) Strive for accurate, current, and increasing knowledge of forestry. (3) Communicate knowledge, when it is not confidential, and challenge and correct untrue statements about forestry. C. Advertisements. A licensee: (1) Shall advertise only in a dignified and truthful manner. (2) Shall state services the licensee is qualified and prepared to perform. (3) May include references to fees charged. D. Public Comment. A licensee: (1) Shall make public comment on forestry matters based upon accurate knowledge. (2) May not distort or withhold pertinent information to substantiate a point of view. (3) Shall indicate on whose behalf statements are made before commenting on forest policies and practices. E. Services. A licensee: (1) Shall perform services consistent with the highest standards of quality; (2) Shall perform only those services for which the licensee is qualified by education or experience, or both; (3) May not accept compensation or expenses from more than one employer for the same service unless the parties involved are informed and consent; (4) Shall engage, or advise the licensee’s employer to engage, other experts and specialists in forestry or related fields if the employer's interest would be best served by this action; (5) Shall work cooperatively with other professionals; (6) Shall give credit for the methods, ideas, or assistance obtained from others; and (7) In competition for supplying forestry services, shall encourage the prospective employer to base selection on comparison of qualifications and negotiation of fee or salary. F. A licensee who is asked to participate in forestry operations which deviate from accepted professional standards shall advise the employer in advance of the consequences of this deviation. G. A licensee may not voluntarily disclose information concerning the affairs of the licensee’s employer without the employer's express permission. H. A licensee shall avoid conflicts of interest or even the appearance of these conflicts. If, despite this precaution, a conflict of interest is discovered, the licensee shall promptly and fully disclose the conflict to the licensee’s employer, and the licensee shall be prepared to act immediately to resolve the conflict. I. A licensee may not, by false statements or dishonest action, injure the reputation or professional associations of another licensee. J. Information submitted by a licensee about a candidate for a prospective position, award, or elected office shall be accurate, factual, and objective. K. A licensee having evidence of a violation of Business Occupations and Professions Article, Title 7, Annotated Code of Maryland, or the regulations contained in this chapter, by another licensee shall present the information and complaints to the Board. #### Regulation .05 Continuing Education. *COMAR 09.29.01.05* A. Continuing Education Requirements. (1) An applicant for license renewal shall complete, prior to submitting an application, a least 8 credit hours of qualifying continuing education in each 2-year license term. (2) The continuing education requirement does not apply to the first renewal of a license by a licensee. B. Qualifying continuing education shall be in technical forestry or forestry-related subject matter given by: (1) The Department of Natural Resources Forest Service; (2) The Maryland Department of Agriculture, Forest Pest Division or Soil Conservation District; (3) The University of Maryland Extension, Natural Resources; (4) The United States Department of Agriculture, Forest Service; (5) The Society of American Foresters; (6) A college or university accredited by the Society of American Foresters; (7) A course certified by the Society of American Foresters' Continuing Forestry Education program; (8) The Association of Consulting Foresters; (9) The International Society of Arboriculture; or (10) Other continuing education approved by the Board. C. Credit for continuing education accrues at a rate of 1 hour for: (1) Each 50 minutes of actual classroom activity; or (2) 3 hours of tour or field session activity. D. A licensee, upon notification of audit of the continuing education reported on the license renewal application shall provide the following information: (1) Name of provider; (2) Name of course; (3) Number of hours; and (4) Dates attended. E. Verification. (1) The Board may verify, on a random basis, satisfactory completion of the requirements of this regulation. (2) A licensee shall retain the evidence to verify the satisfactory completion of the requirements of this regulation for a period of at least 2 years. F. The Board may grant an additional period of time within which the deficiencies in satisfying the continuing education requirement may be corrected. G. Continuing education hours may not be carried over from one licensing period to the next. #### Regulation .06 Failure to Respond. *COMAR 09.29.01.06* A. If an applicant or licensee receives from the Board a written communication requesting a response, the applicant or licensee shall respond within 30 days of the date of mailing. B. The Board shall send a written communication by first-class mail to the last address furnished to the Board by the applicant or licensee. C. It is the responsibility of an applicant or licensee to notify the Board in writing if there has been a change in the applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Board to be a violation of Business Occupations and Professions Article, §7-309(a)(1)(vii), Annotated Code of Maryland. ## Subtitle 30 — Household Goods Movers ### Chapter 01 — General Regulations **Authority:** Business Regulation Article, §§8.5-103, 8.5-104, 8.5-105.1, 8.5-105, 8.5-106, and 8.5-107, Annotated Code of Maryland **Administrative History:** Effective date: July 21, 2025 (52:14 Md. R. 712) #### Regulation .01 Purpose. *COMAR 09.30.01.01* This chapter sets out the requirements and procedures for the registration of household goods movers. #### Regulation .02 Definitions. *COMAR 09.30.01.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Consumer” means the person who entered into a written contract with a household goods mover for loading, packing, moving, transporting, or storing household goods. (2) “Department” means the Maryland Department of Labor. (3) “Household goods” means personal property of the consumer used for personal, family, or household purposes. (4) “Household goods movers” means a person who provides household goods moving services. (5) Household Goods Moving Services. (a) “Household goods moving services“ means the loading, packing, moving, transporting, storing while in transit, unloading, or otherwise taking possession or control from a consumer of household goods for the purpose of moving them to another location at the direction of the consumer for a fee. (b) “Household goods moving services” does not include moving household goods for disposal or destruction. (6) “Registration fee” means the annual fee paid by an applicant or registrant, as applicable, in connection with the issuance or renewal of a registration. (7) “Secretary” means the Secretary of the Department, or the Secretary’s designee. (8) “State” means the State of Maryland. #### Regulation .03 Application. *COMAR 09.30.01.03* A. A person who intends to provide household goods moving services shall submit an application for registration on the form approved by the Department. B. The form shall include at least the following information: (1) The applicant’s name and all trade names under which the applicant intends to provide household goods moving services in the State; (2) The applicant’s physical address, telephone number, and e–mail address; (3) The name of all persons with at least 25 percent ownership in the applicant’s business; (4) Previous applications: (a) For those identified under §B(3) of this regulation if that person has previously applied for registration for another entity; and (b) Identification of that person and the disposition of the application for the other entity; (5) The applicant’s Federal Employee Identification Number; (6) The name of the applicant’s resident agent in the State, if any; (7) The applicant’s U.S. Department of Transportation or State Department of Transportation number, as applicable; (8) Insurance carrier and policy number showing liability and cargo coverage with the minimum standards in 49 C.F.R. Part 387.303; (9) Proof of workers’ compensation coverage for all covered employees; (10) A certificate of status, issued by the Maryland Department of Assessment and Taxation, or its equivalent, indicating the business is in good standing and dated not earlier than 30 days before the date of the application; and (11) Other information that may be required by the Department. C. An application for registration shall be accompanied by an application fee in the amount provided in Regulation .07 of this chapter. #### Regulation .04 Registration. *COMAR 09.30.01.04* A. The Department shall issue to each qualified applicant who submits a completed application form and the required fee the following: (1) A unique registration number; and (2) A registration certificate valid for one year. B. A registrant is required to keep a copy of the registration in each of the trucks owned by the registrant when the vehicle is used to perform household goods moving services. #### Regulation .05 Renewal of Registration. *COMAR 09.30.01.05* A. Unless a registration is renewed for a 1-year term as provided in this regulation, the registration expires on the expiration date. B. At least 1 month before a registration expires: (1) The Department shall mail or electronically transmit to the registrant the following: (a) A renewal application form; and (b) A notice that states: (i) The date on which the current registration expires; and (ii) The amount of the renewal fee. (2) If an electronic transmission under §B(1) of this regulation is returned to the Department as undeliverable, the Department shall mail to the registrant, at the last known address of the registrant, the materials required under paragraph (1) of this subsection within 10 business days of the date the Department received the notice that the electronic transmission was undeliverable. C. Before a registration expires, the registrant periodically may renew it for an additional 1–year term, if the registrant: (1) Submits to the Department a renewal application on the form that the Department provides; (2) Signs the renewal application under oath; (3) Updates the information submitted in the original application and states that the information is current; (4) Complies with each requirement applicable to the original application; and (5) Pays the renewal fee. D. Failure of the Department to timely notify a registrant of registration renewal does not affect a registrant’s obligation to file a renewal application prior to the expiration of the registration and payment of a renewal fee. #### Regulation .06 Reinstatement. *COMAR 09.30.01.06* A. If a registrant fails to renew a license for any reason, no household goods mover services may be offered or provided until the registration is reinstated. B. A request for reinstatement shall: (1) Be in writing; (2) Be on the form required by the Department; and (3) Include payment of the reinstatement fee. #### Regulation .07 Fees. *COMAR 09.30.01.07* The following non-refundable fees shall be charged by the Department: A. Original registration application review—$250; B. Original registration—$325; C. Registration renewal—$325; and D. Late Renewal—$75, in addition to the fee set forth in §C of this regulation. #### Regulation .08 Violations. *COMAR 09.30.01.08* A person or registrant who violates any of the following provisions regarding the household goods movers registration requirements may be subject to a civil penalty of up to $5,000: A. Failure to register as a mover of household goods; B. Providing false information on the registration application; C. Failure to comply with requirements set forth in Business Regulation Article, Title 8.5, Annotated Code of Maryland; and D. Failure to comply with requirements set forth in these regulations. #### Regulation .09 Failure to Respond. *COMAR 09.30.01.09* A. If an applicant or registrant receives from the Department a written communication requesting a response, the applicant or registrant shall respond in writing within 30 days of the date of such communication. B. The Department shall send a written communication by first class mail or email to the last address or email address furnished to the Department by an applicant or registrant. C. It is the responsibility of an applicant or registrant to notify the Department in writing if there has been a change in the applicant’s or registrant’s address. D. Failure to respond as required by this regulation may be considered by the Secretary or the Secretary’s designee to be a violation of Business Regulation Article, §8.5-106, Annotated Code of Maryland. #### Regulation .10 Notice of Change of Licensing Information. *COMAR 09.30.01.10* In addition to the requirements of Business Regulation Article, Title 8.5, Annotated Code of Maryland, an applicant or registrant shall notify the Secretary or the Secretary’s designee, in writing, within 15 days of any change of the: A. Business name the applicant or registrant; B. Business address of the applicant or registrant; or C. Address of the business through which an applicant or registrant will provide or provides licensee household goods mover services. ## Subtitle 31 — ## Subtitle 32 — Unemployment Insurance ### Chapter 01 — Obligations of Employers **Authority:** Labor and Employment Article, §§8-101, 8-206, 8-305, 8-421, 8-601, 8-602, 8-605.1, 8-613, 8-614, 8-625, 8-626, 8-1002.1, and 8-1005, Annotated Code of Maryland **Administrative History:** Effective date: February 1, 1973 **Administrative History:** Regulation .02A amended effective March 1, 1982 (9:4 Md. R. 330) **Administrative History:** Regulation .04B amended effective July 28, 1978 (5:15 Md. R. 1187) **Administrative History:** Regulation .05A, D, F, G, H amended effective September 14, 1981 (8:18 Md. R. 1477) **Administrative History:** Regulation .05H amended effective March 30, 1977 (4:7 Md. R. 577); December 30, 1977 (4:27 Md. R. 2104) **Administrative History:** Regulation .08B amended effective September 14, 1981 (8:18 Md. R. 1477) **Administrative History:** Regulation .09 amended effective December 10, 1975 (2:28 Md. R. 1666) **Administrative History:** (Transferred from Department of Human Resources to Department of Employment and Training, effective October 1, 1983; recodified from COMAR 07.04.01 to 24.02.01) **Administrative History:** Chapter, Reporting Requirements of Employing Units, repealed effective June 24, 1991 (18:12 Md. R. 1340) **Administrative History:** Regulations .01—.23, Obligations of Employers, adopted effective June 24, 1991 (18:12 Md. R. 1340) **Administrative History:** Regulation .02B amended effective October 24, 1994 (21:21 Md. R. 1815) **Administrative History:** Regulation .06 amended effective January 2, 1994 (20:26 Md. R. 2029) **Administrative History:** Regulation .09C amended effective November 23, 1992 (19:23 Md. R. 2042) **Administrative History:** Regulation .11A amended effective November 23, 1992 (19:23 Md. R. 2042); January 2, 1994 (20:26 Md. R. 2029) **Administrative History:** Regulation .12A amended effective January 2, 1994 (20:26 Md. R. 2029) **Administrative History:** Regulation .14 amended effective October 24, 1994 (21:21 Md. R. 1815) **Administrative History:** Regulation .14A amended effective November 23, 1992 (19:23 Md. R. 2042) **Administrative History:** Regulation .15-1 adopted effective June 8, 1992 (19:11 Md. R. 1017) **Administrative History:** Regulation .16A and B amended effective November 23, 1992 (19:23 Md. R. 2042) **Administrative History:** Regulation .18-1 adopted effective October 24, 1994 (21:21 Md. R. 1815) **Administrative History:** Regulation .22B amended effective November 23, 1992 (19:23 Md. R. 2042) **Administrative History:** Regulation .24 adopted effective January 2, 1994 (20:26 Md. R. 2029) **Administrative History:** Regulation .25 adopted effective January 2, 1994 (20:26 Md. R. 2029) **Administrative History:** Chapter recodified from COMAR 24.02.01 to COMAR 09.32.01, May 1996 **Administrative History:** Regulation .05A amended effective March 11, 2019 (46:5 Md. R. 306) **Administrative History:** Regulation .06C amended effective May 4, 1998 (25:9 Md. R. 679) **Administrative History:** Regulation .12C amended effective May 4, 1998 (25:9 Md. R. 679) **Administrative History:** Regulation .13B amended effective May 4, 1998 (25:9 Md. R. 679) **Administrative History:** Regulation .14A amended effective January 1, 2007 (33:26 Md. R. 1996) **Administrative History:** Regulation .18-1 amended and recodified to Regulation .18-2, and new Regulation .18-1 adopted effective May 4, 1998 (25:9 Md. R. 679) **Administrative History:** Regulation .18-1 repealed effective January 7, 2013 (39:26 Md. R. 1664) **Administrative History:** Regulation .18-2D amended effective January 1, 2007 (33:26 Md. R. 1996) **Administrative History:** Regulation .18-3 adopted effective January 7, 2013 (39:26 Md. R. 1664) **Administrative History:** Regulation .21 repealed and new Regulation .21 adopted effective March 27, 2006 (33:6 Md. R. 578) **Administrative History:** Regulation .21 amended effective April 24, 2017 (44:8 Md. R. 402) **Administrative History:** Regulation .26 adopted effective May 4, 1998 (25:9 Md. R. 679) **Administrative History:** Regulation .26 repealed and new Regulation .26 adopted effective March 27, 2006 (33:6 Md. R. 578) **Administrative History:** Chapter revised effective December 11, 2025 (52:24 Md. R. 1197) #### Regulation .01 Purpose. *COMAR 09.32.01.01* This chapter sets out the reporting requirements, payment requirements, and related procedures for employers. #### Regulation .02 Definitions. *COMAR 09.32.01.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Administrative fee” means the fee due and owing on an employer's taxable wage base under §8-605.1 of the Unemployment Insurance Law. (2) “Contributor” means an employing unit liable for contributions on taxable wages for covered employment. (3) “Covered employment” means service performed for an employing unit that is subject to the Unemployment Insurance Law as determined by the Secretary. (4) “Department” means the Maryland Department of Labor. (5) “Reimburser” means a nonprofit organization or governmental unit, as defined in the Unemployment Insurance Law, that elects to finance its Unemployment Insurance liability through self-insurance. (6) “Secretary” means the Secretary of Labor or the Secretary's designee. (7) “Unemployment Insurance Law” means Labor and Employment Article, Title 8, Annotated Code of Maryland. C. Unless the context indicates otherwise, all other terms used in this chapter shall have the same meanings as in the Unemployment Insurance Law or in COMAR 09.32.02. #### Regulation .03 Reports to Determine Liability. *COMAR 09.32.01.03* A. Registration. An employer shall file a registration application with the Comptroller of the Treasury within 20 days after the first day the business begins operation. B. Further Information. (1) Additional or supplemental reports to determine liability shall be filed at the Secretary's request. (2) An employer that contends it is not liable under the Unemployment Insurance Law shall submit to the Secretary information to support that contention. C. Determination. The Secretary shall review the registration application and any additional or supplemental reports to determine the employer's liability pursuant to the Unemployment Insurance Law. D. Review. An employing unit that disputes the liability determination may seek review of the determination pursuant to Labor and Employment Article, §8-604, Annotated Code of Maryland. #### Regulation .04 Posting of Notices. *COMAR 09.32.01.04* An employing unit currently assigned an account number shall post notices in a prominent place near the actual employment locations, in a number and form designated by the Secretary, informing employees: A. That the employing unit is liable for contributions or payments instead of contributions under the Unemployment Insurance Law; B. Of their rights to benefits under the Unemployment Insurance Law; and C. Of other information required by the Unemployment Insurance Law. #### Regulation .05 Charging of Benefit Payments. *COMAR 09.32.01.05* A. Contributor. (1) Benefit Payments Charged. Except as provided in §A(2) of this regulation or in the Unemployment Insurance Law, the earned-rate record of a contributor who is a base period employer shall be charged with all regular and work-sharing benefit payments, the appropriate share of extended benefit payments, and dependents' allowance. (2) Benefit Payments Not Chargeable. Benefit payments may not be charged against the earned-rate record of a contributor who is a base period employer when the claimant: (a) Voluntarily left employment: (i) Without good cause, (ii) To accept better employment, or (iii) To enter a training program approved by the Secretary; (b) Has been discharged by the employer for gross misconduct as defined in the Unemployment Insurance Law; (c) Was employed by the employing unit on a continuous part-time basis as of the date of the claimant’s initial claim for benefits; or (d) Was employed in a work release program as set forth in the Unemployment Insurance Law, if the separation was caused by the claimant's release from prison. (3) Continuous Part-Time Basis. For the purposes of this regulation, employment is on a continuous part-time basis under Labor and Employment Article, Title 8, Subtitle 6, Annotated Code of Maryland if: (a) The claimant was not employed by the employing unit on a full-time basis during the base period; (b) The claimant continued to be employed by the employing unit on a part-time basis as of the date of the initial claim for benefits; and (c) The employing unit did not cause the claimant’s part-time working hours to be reduced. (4) When Charged. (a) Benefit payments shall be charged to an employer's earned-rate record for the calendar quarter during which the benefits are paid. (b) A notice of benefit payments charged to the contributor's earned-rate record shall be sent to the contributor at the end of each calendar quarter. (5) Benefit Overpayment Credit. When an overpayment of benefits is established, the overpayment shall be credited to the contributor's earned-rate record in the calendar quarter in which the overpayment is established. B. Reimburser. (1) A reimburser who is a base period employer shall reimburse the Unemployment Insurance Trust Fund for all regular and work-sharing benefit payments, the appropriate share of extended benefit payments, and dependents' allowance. (2) A notice of benefit payments that must be reimbursed (Statement of Reimbursable Benefits) shall be sent to the reimburser at the end of each calendar quarter. C. Allocation. (1) Reimbursers and Contributors. (a) When not all of the claimant's base period employers are reimbursers, benefits paid to a claimant shall first be allocated to each reimburser in accordance with the Unemployment Insurance Law. The remainder of the claimant's benefit payments shall be charged to the earned-rate record of those base period employers who are contributors in the same ratio that each employer paid the claimant's total base period wages. (b) When calculating the allocation, the percentage of the charge to each base period employer shall be rounded off to the nearest whole number. (2) Contributors. When all the claimant's base period employers are contributors, benefits paid to a claimant shall be allocated to each contributor in accordance with the Unemployment Insurance Law. (3) Reimbursers. When all the claimant's base period employers are reimbursers, benefits paid to a claimant shall be prorated to each reimburser in accordance with the Unemployment Insurance Law. D. Charging of Out-of-State Benefit Payments. Except as provided in §A(2) of this regulation, when the State reimburses another state for benefits paid by that other state based on Maryland wages, the earned-rate record of each contributor shall be charged, and each reimburser shall be charged in the same ratio that each employer paid the claimant's total Maryland wages. E. Review. An employer who disputes the charging determination may seek review of the determination pursuant to Labor and Employment Article, §8-604, Annotated Code of Maryland. #### Regulation .06 Records. *COMAR 09.32.01.06* A. Responsibility of Employing Unit. (1) An employing unit shall record the Social Security number of each of its employees. If an employee does not have a Social Security number, the employing unit shall require the employee to execute the proper application form to acquire a Social Security number within 5 days of the first day of employment. (2) Employment Records. (a) An employing unit shall keep employment records safe and readily accessible at the place of business of the employing unit. The records shall be retained and preserved for a period of 5 years from the last day of the calendar quarter to which the records relate. (b) An employing unit that discontinues business shall keep employment records safe and readily accessible. The records shall be retained and preserved for a period of 5 years from the last day of the calendar quarter to which the records relate. (c) Employment records include but are not limited to wage records, payroll registers, check registers, cash disbursements journals, cancelled checks, federal income tax returns (Schedule 1040C for individual proprietors), forms 1096 and 1099, and general ledgers. (d) Employment records shall be made available to the Department for inspection and copying. Prior notice to the employing unit is not required. B. Specific Contents of Wage Records. An employing unit shall include in its wage records: (1) The dates of each pay period; (2) All of the wages paid to each worker for each pay period and the total amount of wages paid for employment in the pay period, showing separately the amount of wages paid: (a) In cash; and (b) In any medium other than cash; (3) The method by which wages are computed; (4) Hire date, separation date, and reason for separation of each worker; (5) Name, address, and Social Security number of each worker; and (6) With respect to individuals who work less than full-time: (a) The wage rate; (b) The number of hours worked each day; (c) Wages earned by calendar week; (d) Whether the individual worked less than full-time during the week; and (e) Whether the individual worked all available hours. #### Regulation .07 Collateral Security Posted by Certain Reimbursers. *COMAR 09.32.01.07* A. Amount and Adjustment of Collateral. (1) Nonprofit organizations that elect to make payments instead of contributions shall file collateral approved by the Secretary. (2) The Secretary shall review the sufficiency of the collateral annually based on the previous year's taxable wages or on any other basis the Secretary deems appropriate. If the amount of existing collateral is less than the employer's average annual benefit costs for the preceding 2 years, the amount of the collateral shall be increased to equal the average annual benefit costs. The amount of the collateral may not exceed the maximum State tax rate multiplied by that employer's taxable payroll for the prior year. (3) When the collateral is increased, the adjusted collateral shall be filed within 30 days of the Secretary's demand. B. Collateral shall be posted with the Secretary in a form acceptable to the Secretary, which may include one or more of the following forms: (1) A corporation bond issued by a company licensed to issue surety-type bonds; (2) Cash deposit; (3) Treasury notes or other evidence of federal indebtedness; (4) Bonds or other evidence of indebtedness insured by the State that bind the full faith and credit of the State; or (5) Irrevocable and unconditional letters of credit. #### Regulation .08 Group Reporting. *COMAR 09.32.01.08* A. Two or more reimbursers may maintain employment records and report to the Secretary as a group, provided the: (1) Reimbursers are engaged in essentially the same industry, occupation, or activity; and (2) Secretary finds that the risk to the Unemployment Insurance Fund represented by each of the members of the group is approximately the same as the risk represented by other members of the group. B. An approved group of reimbursers shall maintain employment records as a group and report required information to the Secretary in one report covering the entire group. C. The group report shall designate which reimburser in the group received the services and paid the wages for each of the employees listed. The Secretary shall approve the method of designating the wages. #### Regulation .09 Contributions and Administrative Fees. *COMAR 09.32.01.09* A. Contributions and administrative fees are due and shall be paid on or before the last day of the month immediately following each calendar quarter. B. Contributions and administrative fees from an employer whose status is changed by cessation of business, or appointment of a receiver, trustee, trustee in bankruptcy, or other fiduciary are due and shall be paid within 5 days of the change in status. C. For payment of administrative fees, a fractional part of a cent: (1) That is less than one-half cent shall be disregarded; and (2) That is one-half cent or more shall be increased to 1 cent. D. Failure to pay the required contributions in the prescribed manner shall result in the imposition of interest charges as provided in Labor and Employment Article, §8-628, Annotated Code of Maryland. E. Failure to pay the required administrative fees in the prescribed manner shall result in the imposition of interest charges as provided in Labor and Employment Article §8-628, Annotated Code of Maryland, for the nonpayment of contributions. F. The Secretary shall pay interest collected on administrative fees into the Special Administrative Expense Fund established under Labor and Employment Article, §8-419, Annotated Code of Maryland. #### Regulation .09-1 Collection of Administrative Fees and Interest. *COMAR 09.32.01.09-1* A. Collection by Assessment. (1) If an employing unit fails to pay administrative fees or related interest due based on information the employing unit provided in a contribution report, the Secretary: (a) May assess the amount of the payment or interest due as prescribed under Labor and Employment Article, §8-629, Annotated Code of Maryland, for the nonpayment of contributions; and (b) Notwithstanding §(2) of this regulation, may make an additional assessment if the contribution report is later determined to be incorrect. (2) An assessment under this regulation is final unless: (a) An employing unit requests a review determination under Labor and Employment Article, §8-604, Annotated Code of Maryland; or (b) On its own motion, the Board of Appeals grants a hearing to consider whether the amount should be reduced. (3) Except in the case of a fraudulent contribution report or the failure to file a contribution report, written notice of an assessment under this regulation shall be sent to an employing unit within 3 years of the last day of the period at issue in the notice. (4) If an employing unit fails to pay an assessment under this regulation, the Secretary may file a notice of lien in the circuit court of the county where the employing unit’s principal place of business is located, or a notice of lien in any other county that includes the information set forth in Labor and Employment Article, §8-629, Annotated Code of Maryland. B. If, after an assessment, an employing unit fails to pay administrative fees or interest, the Secretary may collect the amount due by filing a civil action or pursuing any other available legal means. #### Regulation .10 Payments by Reimbursers. *COMAR 09.32.01.10* A. Payments by reimbursers are due and shall be paid within 30 days from the date set forth on the Statement of Reimburseable Benefits. B. Failure to make the required payment in the prescribed manner shall result in the imposition of interest charges as set forth in the Unemployment Insurance Law. C. A reimburser who fails to reimburse the Unemployment Insurance Fund for benefits paid: (1) May lose its reimburser status and become a contributor as of the next January 1st for a period of 2 years; and (2) Shall forfeit its collateral to the extent of the unpaid benefits. #### Regulation .11 Contribution Reports. *COMAR 09.32.01.11* A. A contributor shall file with the Secretary, on or before the contribution payment date, a complete and correct contribution report containing: (1) Total quarterly wages paid by the contributor; (2) Taxable quarterly wages paid by the contributor; (3) Total wages in excess of $8,500 per year; (4) Computation of contributions and administrative fees due; (5) The employing unit's Maryland unemployment insurance account number; (6) The employing unit's tax rate applicable to the quarter filed; (7) The number of employees performing services for the employing unit in each month of the quarter; (8) If applicable, penalties or interest as set forth in the Unemployment Insurance Law; (9) The signature of the employing unit or authorized representative; and (10) Other information the Secretary may require. B. Contribution reports shall be filed by an employing unit that operates its business during a calendar quarter, even though no wages were paid during that quarter. C. Exceptions to Filing Date. (1) An employing unit that transfers its business to another employer shall file a contribution report within 15 days from the date of discontinuation or transfer. (2) An employing unit who otherwise discontinues its business or whose status is changed by appointment of a receiver, trustee, trustee in bankruptcy, or other fiduciary, shall file a contribution report within 5 days from the date of this change in status. #### Regulation .12 Employment Reports. *COMAR 09.32.01.12* A. An employing unit shall file with the Secretary on or before the contribution payment date, a complete and correct employment report containing: (1) Name and Social Security number of each employee; (2) The employing unit's Maryland unemployment insurance account number; (3) Total quarterly wages paid to each employee; (4) Total quarterly wages paid by the employing unit; and (5) Other information the Secretary may require. B. Exceptions to Filing Date. (1) An employing unit that transfers its business to another employer shall file an employment report within 15 days from the date of the discontinuation or transfer. (2) An employing unit that otherwise discontinues its business or whose status is changed by appointment of a receiver, trustee, trustee in bankruptcy, or other fiduciary, shall file an employment report within 5 days from the date of this change in status. #### Regulation .13 Closing of Accounts. *COMAR 09.32.01.13* A. An employing unit that anticipates that it will not report wages for a 12-month period shall notify the Secretary to close its account. B. An employing unit that has reported no wages for the 12-month period from July 1 through June 30 shall be presumed to no longer be an employing unit and its account shall be closed. #### Regulation .14 Wages. *COMAR 09.32.01.14* A. Reporting. (1) Wages to be reported on the quarterly employment report include: (a) All remuneration paid to corporate officers for services rendered to the corporation. Corporation includes “subchapter S” corporations. Wages include draws, profit distributions, and dividends paid to corporate officers as remuneration for services rendered. The form in which remuneration for services is designated and the manner of payment is not determinative of what constitutes wages under the Unemployment Insurance Law. (b) The value of meals provided to employees unless meals are provided on the employing unit's premises and for the convenience of the employing unit. (c) The value of lodging provided to employees unless the lodging is provided on the employing unit's premises, for the employing unit's convenience, and as a condition of employment. (d) The amount of tips paid to an employee by a customer of the employing unit and reported by the employee to the employing unit as required by the applicable provisions of the Internal Revenue Code. (e) The value of payments, other than those received under a workers' compensation law, provided by a third-party insurer on account of sickness or accident disability, or medical or hospitalization expenses in connection with sickness or accident disability if the employer paid insurance premiums upon which the payments were made. (2) Wages to be reported on the quarterly employment report do not include payments made by an employing unit: (a) Into a deferred compensation plan that are not deducted from an employee's salary if the employee may withdraw money from the plan only on retirement or separation from employment; (b) To, or on behalf of, former employees on active duty with the armed forces of the United States, if those payments are designed to supplement amounts received by them from the federal government. B. Time for Reporting. Wages shall be reported on the quarterly employment report when actually or constructively paid. Wages are constructively paid when they are credited to the account of an employee or set apart for an employee so that the employee may draw upon the wages without substantial limitation or restriction. #### Regulation .15 Separation Notice. *COMAR 09.32.01.15* Separation notices shall be requested and submitted in accordance with the Unemployment Insurance Law and COMAR 09.32.02.05. #### Regulation .15-1 Report of Work Refusal. *COMAR 09.32.01.15-1* If an employer offers employment to an unemployed individual and the individual refuses the offer, the employer shall notify the Secretary in writing within 15 days after the refusal in order for the refusal to be considered in determining whether the individual is disqualified for benefits. #### Regulation .16 Penalties and Interest Assessments. *COMAR 09.32.01.16* A. Penalties. (1) Contribution Reports. An employing unit that fails to file a timely contribution report in the prescribed manner shall pay a penalty of $35. (2) Employment Reports. An employing unit that fails to file a timely employment report in the prescribed manner shall pay a penalty of $35. (3) Separation Reports. An employing unit that fails to file a timely separation report in the prescribed manner upon the Secretary's request shall pay a penalty of $15. (4) Earnings Reports. An employing unit that fails to file a timely earnings report in the prescribed manner upon the Secretary's request shall pay a penalty of $15. (5) An employing unit that submits a check or other negotiable instrument that is returned for insufficient funds shall pay a penalty of $25. B. Interest on Past Due Contributions and Administrative Fees. An employing unit that fails to file a timely contribution report shall pay interest on contributions and administrative fees then due and unpaid at a rate in accordance with Regulation .09 of this chapter until the contribution report and payment is received. C. The Secretary may waive any penalties or interest for cause, upon the employer's request or upon the Secretary's review of the penalty or interest assessed. #### Regulation .16-1 Order of Payments. *COMAR 09.32.01.16-1* A payment made by an employing unit shall be applied in the following order to an amount due and owing at the time of payment: A. To any penalty imposed; B. To any interest due and owing on administrative fees; C. To any interest due and owing on contributions and reimbursement payments; D. To administrative fees; and E. To contributions or reimbursement payments. #### Regulation .17 Refunds and Adjustments. *COMAR 09.32.01.17* A. Application for refunds and adjustments of contributions, reimbursement payments, or related interest shall be processed in accordance with the Unemployment Insurance Law. B. Application for refunds and adjustments of administrative fees or related interest shall be processed in the manner set forth in the Unemployment Insurance Law for refunds and adjustments of contributions, except that the Secretary shall refund any such amounts erroneously collected from the Special Administrative Expense Fund. C. Refunds. (1) Automatic Refund. In each quarter when the Secretary determines that a refund due an employing unit is less than $100, the Secretary shall automatically issue a refund to that employing unit. (2) In each quarter when the Secretary determines that a refund due an employing unit is $100 or over, the refund may be applied to the employing unit's future indebtedness or refunded at the employing unit's request. #### Regulation .18 Presumption of Employee. *COMAR 09.32.01.18* A. Employee. A person performing services is presumed to be an employee, regardless of whether a common law master and servant relationship exists, unless specifically exempted under the Unemployment Insurance Law or these regulations. B. Independent Contractor. (1) To overcome the employee presumption, an employing unit shall establish that the person performing services is an independent contractor. (2) The Secretary shall determine that an employing unit has established that the person performing services is an independent contractor when the conditions in §B(3)(a)—(c) of this regulation are clearly shown. (3) Circumstances evidencing the conditions mentioned in §B(2) of this regulation include, but are not limited to, the items listed after each condition: (a) The person has been and will continue to be free from the employing unit's control or direction: (i) The employing unit does not require the person to comply with detailed instructions about when, where, and how the person is to work, (ii) The employing unit does not train the person to perform the service in a particular manner or using a particular method determined by the employing unit, (iii) The employing unit does not establish set hours of work for the person performing the services, (iv) The employing unit does not establish a schedule or routine for the person performing the service, (v) The employing unit may not discharge the person for failure to obey the employing unit's specific instructions on how the service is to be performed; (b) The service is outside the usual course of business of the employing unit: (i) The person performs the work off the employing unit's premises, (ii) The person performs work that is not integrated into the employing unit's operation, (iii) The service performed is unrelated to the employing unit's business; (c) The person performing the service is customarily engaged in an independently established business: (i) Maintains a business listing in the telephone directory, (ii) Has his or her own place of business, (iii) Has a financial investment in a related business and can incur a loss in the performance of the service, (iv) Has his or her own equipment needed to perform the service, (v) Determines the price of the service to be performed, (vi) Employs others to perform the service, (vii) Carries his or her own liability or workers' compensation insurance, or both, (viii) Performs the service for more than one unrelated employer at the same time, (ix) Sets his or her own hours, (x) Is paid by the job. #### Regulation .18-1 Repealed. *COMAR 09.32.01.18-1* #### Regulation .18-2 Covered Employment—Certain Business Entities. *COMAR 09.32.01.18-2* A. Sole Proprietorships. (1) Except as otherwise provided, a person performing services for wages for a sole proprietorship is engaged in covered employment. (2) The following persons employed by a sole proprietor are not engaged in covered employment: (a) The sole proprietor; (b) A spouse of the sole proprietor; (c) Children of the sole proprietor under the age of 21; and (d) Parents of the sole proprietor. B. Partnerships. (1) A partner in a partnership is not engaged in covered employment. (2) If a partnership consists exclusively of spouses, then their children under 21 years old employed by the partnership are not engaged in covered employment. C. Corporations with Revoked Charters. (1) When a corporate charter has been forfeited or revoked and the entity continues to operate, the entity shall be treated as a sole proprietorship or a partnership, as determined by the Secretary. (2) Persons determined by the Secretary to be sole proprietors or partners are not engaged in covered employment. (3) Any other employee of the entity is engaged in covered employment. D. Limited Liability Companies. (1) If a limited liability company is automatically classified as a corporation or elects to be classified as a corporation for federal tax purposes, the limited liability company is treated as a corporation for Maryland unemployment insurance purposes. All persons, including members who receive remuneration from the limited liability company for services performed, are engaged in covered employment. (2) If a limited liability company has a single member and is not classified as a corporation for federal tax purposes, the limited liability company is treated as a sole proprietorship for Maryland unemployment insurance purposes. The following persons employed by the single member limited liability company are not engaged in covered employment: (a) The single member; (b) The spouse of the member; (c) Children younger than 21 years old of the member; and (d) Parents of the member. (3) If a limited liability company consists of two or more members and is not classified as a corporation for federal tax purposes, the limited liability company is treated as a partnership for Maryland unemployment insurance purposes. The following persons employed by the limited liability company are not engaged in covered employment: (a) The members; and (b) Children younger than 21 years old of the member, if the members of the limited liability company consist exclusively of spouses. #### Regulation .18-3 Home Health Care Illustrations. *COMAR 09.32.01.18-3* A. The illustrations in this regulation provide guidance for the home health care industry in the application of Labor and Employment Article, §8-205, Annotated Code of Maryland and do not apply to any other State or federal labor law. B. Illustration 1. (1) Extra Loving Care (“ELC”) is a Nursing Referral Service Agency (“NRSA”) licensed by the Maryland Department of Health (“MDH”) pursuant to COMAR 10.07.07. It has a registry of certified nursing assistants (“CNAs”), geriatric nursing assistants (“GNAs”) and licensed practical nurses (“LPNs”). The company verifies that all workers do not have a criminal background and are properly licensed before placing them on the registry. (2) Before placing a worker on its registry, ELC requires that the worker attend mandatory training and receive a list of rules and policies to follow in clients’ homes. ELC assigns available workers on its registry to clients. ELC sets the workers’ schedules and requires documentation of the work performed, such as time sheets or notes. (3) ELC determines the workers’ rates of pay and the workers cannot negotiate pay rates directly with ELC’s clients. Clients pay ELC and ELC deducts its fee and pays the workers. If a client is dissatisfied with a worker, the client contacts ELC directly. Each worker must sign an agreement with ELC that restricts his or her ability to enter into employment agreements with ELC’s clients, past or present. (4) The workers on ELC’s registry are employees of ELC. C. Illustration 2. (1) Loving Care (“LC”) is a Nursing Referral Service Agency (“NRSA”) licensed by the Maryland Department of Health (“MDH”) pursuant to COMAR 10.07.07. It has a registry of certified nursing assistants (“CNAs”), geriatric nursing assistants (“GNAs”) and licensed practical nurses (“LPNs”). The company verifies that all workers do not have a criminal background and are properly licensed before placing them on the registry. (2) LC provides its clients with the names and contact information for available workers on its registry. Once contacted, a worker may then set and adjust their work hours and may negotiate their rates of pay directly with the client, unless otherwise established by a third party payor. The workers on LC’s registry, in conjunction with the client, determine the client’s needs and use their own tools and equipment to carry out their services. Workers are not required to report hours to LC, although some workers maintain notes for their own records. (3) Workers on LC’s registry carry their own workers’ compensation insurance and/or professional liability insurance coverage. Workers have their own independent businesses that are demonstrated by Federal Employer Identification Numbers (“FEINs”), tax returns, business cards, invoices, advertising and/or other indicia of operating an independently established business. Workers are responsible for maintaining necessary licensures and certifications, however, LC performs periodic credential checks to confirm that workers’ licenses and certifications are current. (4) The workers on LC’s registry invoice clients directly and are paid directly by the client. The workers are then responsible for remitting any referral fee directly to LC. LC only deviates from this payment system in limited circumstances when an alternative method of payment is necessitated by a third party payor or other legal arrangement established for the benefit of the care recipient. If dissatisfied with a worker, the client informs the worker directly. The workers are not bound by a non-solicitation provision. (5) The workers on LC’s registry are independent contractors. #### Regulation .19 Employment Not Covered when Services Performed for Certain Religiously Affiliated Organizations. *COMAR 09.32.01.19* A. A person is not engaged in covered employment when the person is employed by a church or convention or association of churches. B. A person is not engaged in covered employment when the person is employed by an organization which is: (1) Operated, supervised, controlled, or principally supported by a church or convention or association of churches; and (2) Operated primarily for religious purposes. C. Circumstances that may support the determination that the organization is operated primarily for religious purposes include, but are not limited to: (1) Interrelationship between affiliation with the church and institutional autonomy, including: (a) Composition of governing board, (b) Degree of supervision of church, (c) Sources of financial support; (2) Extent of religious indoctrination, including: (a) Stated purpose, (b) Extent of encouragement of spiritual development, (c) Composition of student body, (d) Extent of religious exercises, (e) Extent of prayer in the classroom, (f) Extent of religion or theology classes, (g) Degree of intellectual freedom in nontheology classes, (h) Composition of faculty, (i) Degree of academic freedom. #### Regulation .20 Covered Employment when Service Is Not Performed Entirely within the State. *COMAR 09.32.01.20* A. Localized Service. A person is engaged in covered employment in the State when the person's service is localized within the State. Service is localized when it is performed: (1) Entirely within the State. (2) Both within and outside the State, but the service performed outside the State is incidental to the service performed within the State. Service is incidental if it is temporary or transitory in nature, or consists of isolated transactions. B. In determining whether the service of a worker is incidental or transitory, the Secretary shall consider the: (1) Intention of the employing unit and employee as to whether the service is an isolated transaction or a regular part of the employee's work; (2) Intention as to whether the employee will return to the State upon completion of the work outside the State; and (3) Length of service with the employing unit within the State as compared to the length of service outside the State. C. Base of Operations. (1) A person is engaged in covered employment in this State when the person's service is not localized in any state, but some services are performed in the State and the person's base of operations is in the State. (2) The base of operations is the place or fixed center, of more or less permanent nature, from which the employee starts work and to which he or she customarily returns in order to receive instructions from the employing unit or communications from customers or other persons, to replenish stocks and materials, to repair equipment, or to perform other functions necessary to the exercise of the employee's trade or profession. (3) The base of operations may be the employee's business office, or the employment contract may specify a particular place at which the employee is to receive directions and instructions. D. Place From Which Service is Directed or Controlled. (1) A person is engaged in covered employment in this State when the person's service is not localized in any state and the person has no base of operations, or if the base of operations is in a state in which the employee performs no service, or if the base of operations moves from state to state, but the person's service is directed or controlled from this State. (2) The place from which a person's service is directed or controlled is the place at which the basic authority exists and from which the general control emanates. E. Place of Residence. When application of §§A—D of this regulation does not establish where the person's employment is covered, a person is engaged in covered employment in this State if the person's residence is in this State, provided some of the service is performed in this State. F. Reciprocal Coverage Agreement. (1) When application of §§A—E of this regulation does not establish where the person's employment is covered, a person is engaged in covered employment in this State if the employing unit elects to cover in this State all the person's service either through an election of coverage or under a reciprocal coverage agreement. (2) Under the reciprocal coverage agreement the service may be covered in this State if: (a) Some part of the person's service is performed in this State; (b) The person's residence is in this State; or (c) The employer maintains a place of business in this State. #### Regulation .21 Successor Determinations Under §§8-613—and 8-614. *COMAR 09.32.01.21* A. Common ownership, management, or control exists between the successor employer and the predecessor employer when any person serves in any of the following positions in both the predecessor and successor employer: (1) Sole proprietor, which includes spouse, children, and parents of a sole proprietor; (2) Partner of a partnership; (3) Member of a limited liability company; (4) Chief Executive Officer; (5) Chief Financial Officer; (6) Any corporate officer; or (7) Any shareholder owning, directly or indirectly, more than 50 percent of a corporation's stock. B. An employer acquiring the assets, business, organization, or trade of a predecessor employer is not a successor employer for the purposes of attributing or assigning the rate of contribution if the acquiring employer: (1) Has no common ownership, management, or control with the predecessor; (2) Acquires less than 50 percent of the payrolls or employees of the predecessor; and (3) Acquires less than 50 percent of the assets, business, organization, and trade of the predecessor. C. In acquisitions not involving common ownership, management, or control, the Secretary shall determine the proportionate value of assets, business, organization, and trade acquired by the successor based on a comparison to the total amount of assets, business, organization, and trade of the predecessor that existed on December 31 or, if the predecessor reported its financial performance based on a fiscal year (instead of calendar year), a comparison to the total amount of assets, business, organization, and trade of the predecessor that existed on the last day of the predecessor’s fiscal year immediately preceding the acquisition date. D. In acquisitions not involving common ownership, management, or control, the Secretary shall determine the proportionate share of the payrolls or number of employees acquired by the successor based on a comparison to the total payrolls or number of employees working for the predecessor on December 31 or, if the predecessor reported its financial performance based on a fiscal year (instead of calendar year), a comparison to the total payrolls or number of employees working for the predecessor on the last day of the predecessor’s fiscal year immediately preceding the acquisition date. E. In acquisitions not involving common ownership, management, or control, and subject to the limitation provided in §B of this regulation, if a person acquires a part of a business, trade, or organization and the employer is classified as a successor employer, the earned rate record of the acquired business, trade, or organization is transferred to the successor employer according to the percent of the payrolls or assets acquired. F. An employing unit that transfers all or part of its operations from another state to this State may be classified as a successor employer and assigned an earned rate in accordance with the Unemployment Insurance Law, provided the employing unit makes application to the Secretary for successor status effective upon the date of transfer. #### Regulation .22 Transfer of Operations from Another State. *COMAR 09.32.01.22* A. The transfer of a business from another state to this State within the meaning of the Unemployment Insurance Law occurs only when an operation maintained by an employing unit in another state has been closed, discontinued, or curtailed, in whole or in part, and that same operation is transferred into Maryland. The opening of new branches, new offices, or new retail outlets in this State does not constitute a transfer. B. In order to invoke the provisions of the Unemployment Insurance Law relating to an employer who transfers operations from another state in which the employer has had at least 3 years experience immediately preceding the transfer to this State, the employer shall submit the following on forms prescribed by the Secretary: (1) Within 120 days of the transfer, written notice specifying the nature of the operations transferred and the state in which they were previously performed. (2) Within 60 days from the date of this notice, a certification from the unemployment insurance agency of the state from which the employer's operations were transferred certifying all information required by the Unemployment Insurance Law for calculating an earned rate in this State, and any other additional information required by the Secretary. The certificate shall include information identifying wages paid in the other state together with the employer's annual payrolls and benefit charges as defined in the Unemployment Insurance Law, for the 3 years immediately preceding this computation date as defined in the Unemployment Insurance Law. (3) Upon the request of the Secretary, a certification from the other state containing all the information that the Secretary requires relating to benefit charges for the 12 consecutive month period preceding each subsequent computation date on the basis of wages paid in the other state. When this information is required, the employer shall furnish it not later than 60 days after the Secretary's request. C. If the employer meets the conditions of this regulation, wages, remuneration, contributions, and benefits resulting in earned rate charges in connection with the transferred operations shall be deemed to have been paid in this State for the purpose of the Unemployment Insurance Law. D. Remuneration for services paid to employees in another state may not be considered wages with respect to any fiscal year for the purposes of this regulation or the provisions of the Unemployment Insurance Law unless the contributions due on the remuneration have been paid before the computation date for contribution rates in this State. #### Regulation .23 Common Paymasters. *COMAR 09.32.01.23* A. Definitions. (1) For the purpose of this regulation, “related corporation” means a member of a controlled group of corporations as the term is defined in the Internal Revenue Code. (2) For purposes of this regulation, an individual is considered “concurrently employed” by two or more related corporations if the individual performs services for covered wages for the common paymaster for some portion of each calendar year. B. Payment through Common Paymaster. (1) When two or more related corporations concurrently employ the same individual and compensate that individual through a common paymaster, and when the common paymaster is one of the related corporations that employs the individual, each corporation shall be considered to have paid only the remuneration it actually disburses to that individual. If all the remuneration to the individual from the related corporations is disbursed through the common paymaster, the total amount of wages disbursed by the common paymaster shall be deemed wages subject to contribution and administrative fees. The common paymaster shall be responsible for filing the contribution report and the employment report. (2) When two or more related corporations employ different individuals and compensate the individuals through a common paymaster, but the individual performs no service for the common paymaster during the calendar year, each corporation shall be considered to have paid only the remuneration it actually disburses to the individuals. The related corporations that pay the remuneration to the individuals shall each be responsible for filing the contribution reports and the employment reports. C. The common paymaster shall notify the Secretary in writing, at least 30 days before the quarter for which the common paymaster reporting is to be effective, of the name and employer account number of each of the related corporations. The common paymaster shall notify the Secretary at least 30 days before any change or termination of the arrangement. D. If the common paymaster fails to remit contributions and administrative fees due, the common paymaster and each of the other related corporations shall be jointly and severally liable for the full amount of the unpaid portion of the contributions and administrative fees. #### Regulation .24 Deletion of Wages—Aggravated Misconduct. *COMAR 09.32.01.24* A. When a claimant is disqualified from receiving benefits for reasons determined to constitute aggravated misconduct under the Unemployment Insurance Law, wages from the base period employer against whom the aggravated misconduct was committed shall be deleted as set forth in §B of this regulation. B. Wages shall be deleted for: (1) Only the employing unit from which the claimant was discharged or suspended for reasons which are determined to constitute aggravated misconduct in connection with the work; and (2) Any benefit years beginning with and following the disqualification for discharge or suspension for reasons which constitute aggravated misconduct in connection with the work, except that if the benefit year has been established before the date of the discharge or suspension, the deletion takes effect beginning with the week of the disqualification. C. A refund may not be made on any taxes paid on wages which are deleted as a result of the imposition of a disqualification for aggravated misconduct in connection with the work. #### Regulation .25 Unemployment Insurance Tax Preparers. *COMAR 09.32.01.25* A. Definition and Scope. (1) Definition. “Unemployment insurance tax preparer” means a person who files quarterly unemployment insurance contribution reports or employment reports on behalf of employing units for compensation. (2) Scope. Sections B and C of this regulation apply to unemployment insurance tax preparers who file on behalf of 100 or more employing units. B. Method of Filing Contribution Reports and Employment Reports. (1) An unemployment insurance tax preparer shall file the information required in Regulations .11 and .12 of this chapter by mail or electronic means. (2) A contribution report or an employment report is deemed returned when it is either received by the Division of Unemployment Insurance or postmarked by the United States Post Office. C. Method of Payment. An unemployment insurance tax preparer shall remit unemployment insurance contributions and administrative fees on behalf of employing units in one lump sum payment that covers in full the total contribution payments and administrative fees due for all the employing units that the preparer represents. D. Penalty and Interest. An employing unit whose unemployment insurance tax preparer fails to file the contribution reports, employment reports, or pay contributions or administrative fees in the prescribed manner is subject to the penalties and interest set forth in Regulations .09 and .16 of this chapter and the Unemployment Insurance Law. #### Regulation .26 Professional Employer Organizations. *COMAR 09.32.01.26* A. Professional Employer Organization. (1) “Professional employer organization” means an employing unit which places all or part of a client company's workers on its payroll or payrolls and, by written agreement, assigns or leases the workers to the client company. (2) “Professional employer organization” does not mean a temporary help firm within the meaning of this subtitle. B. Obligations of a Professional Employer Organization. (1) A professional employer organization is subject to all of the rights and obligations of employing units under the Unemployment Insurance Law. (2) Acquisitions. (a) Upon the acquisition of all or part of a client company's workers: (i) A professional employer organization is initially classified as a successor employer for purposes of assigning a contribution rate, assessing administrative fees and tax liability, and transferring the taxable wage base of the workers who were placed on the professional employer organization's payroll; and (ii) The client company is initially classified as a predecessor employer. (b) A subsequent acquisition or transfer, by sale or otherwise, of all or part of a professional employer organization's assets, business, organization, or trade is treated in accordance with the Unemployment Insurance Law. (3) Notification. (a) A professional employer organization shall notify the Secretary in writing when the company places all or part of a client company's workers on its payroll. (b) Notification shall be given within 30 days of placing the workers on the payroll and shall be provided in the form and manner required by the Secretary. (c) Notification shall include, at a minimum, the following information: (i) Name, address, and phone number of the professional employer organization; (ii) Name, address, and phone number of the client company; (iii) Date the professional employer organization acquired the client company's workers; and (iv) Total number of workers acquired from the client company. (4) Annual Report. (a) On or before December 31 of each year, a professional employer organization shall file an annual report of the company's clients with the Secretary. (b) The annual report shall be in writing and shall include: (i) Name, address, and phone number of the professional employer organization; and (ii) Names and addresses of client companies to whom the professional employer organization leases or assigns workers. ### Chapter 02 — Claims for Benefits **Authority:** Labor and Employment Article, §§8-101, 8-305, 8-805, 8-809, 8-902, 8-903, and 8-1004—8-1009, Annotated Code of Maryland **Administrative History:** Effective date: February 1, 1973 **Administrative History:** Regulation .03H amended effective December 15, 1978 (5:25 Md. R. 1853) **Administrative History:** Regulation .06 amended effective December 10, 1975 (2:28 Md. R. 1666); December 15, 1978 (5:25 Md. R. 1853); January 31, 1983 (10:2 Md. R. 108) (Transferred from Department of Human Services to Department of Employment and Training, effective October 1, 1983; recodified from COMAR 07.04.02 to 24.02.02) **Administrative History:** Regulations .01—.13, Reporting and Registration by Claimant for Benefits, repealed and new Regulations .01—.19, Claims for Benefits, adopted effective October 29, 1990 (17:21 Md. R. 2531) **Administrative History:** Regulation .03D amended effective June 24, 1991 (18:12 Md. R. 1340) **Administrative History:** Regulation .03E amended effective January 2, 1994 (20:26 Md. R. 2029) **Administrative History:** Regulation .04B amended effective June 24, 1991 (18:12 Md. R. 1340); June 8, 1992 (19:11 Md. R. 1017) **Administrative History:** Regulation .04-1 adopted effective October 24, 1994 (21:21 Md. R. 1815) **Administrative History:** Regulation .07D adopted effective December 21, 1992 (19:25 Md. R. 2208) **Administrative History:** Regulation .07-1 adopted effective January 2, 1994 (20:26 Md. R. 2029) **Administrative History:** Regulation .07-2 adopted effective October 1, 1995 (22:12 Md. R. 903) **Administrative History:** Regulation .09 amended effective January 2, 1994 (20:26 Md. R. 2029) **Administrative History:** Regulation .14 amended effective January 2, 1994 (20:26 Md. R. 2029) **Administrative History:** Regulation .14D amended effective October 24, 1994 (21:21 Md. R. 1815) **Administrative History:** Regulation .15-1 adopted effective June 8, 1992 (19:11 Md. R. 1017) **Administrative History:** Regulation .15-1B amended effective January 2, 1994 (20:26 Md. R. 2029) **Administrative History:** Regulation .16G adopted effective October 9, 1995 (22:20 Md. R. 1546) **Administrative History:** Chapter recodified from COMAR 24.02.02 to COMAR 09.32.02, May 1996 **Administrative History:** Regulation .02B amended effective December 28, 1998 (25:26 Md. R. 1922) **Administrative History:** Regulation .03 amended effective December 28, 1998 (25:26 Md. R. 1922) **Administrative History:** Regulation .04 amended effective December 28, 1998 (25:26 Md. R. 1922) **Administrative History:** Regulation .06 amended effective December 28, 1998 (25:26 Md. R. 1922) **Administrative History:** Regulation .08 amended effective December 28, 1998 (25:26 Md. R. 1922) **Administrative History:** Regulation .09 amended effective December 28, 1998 (25:26 Md. R. 1922) **Administrative History:** Regulation .10C amended effective December 28, 1998 (25:26 Md. R. 1922) **Administrative History:** Regulation .11A, B amended effective December 28, 1998 (25:26 Md. R. 1922) **Administrative History:** Regulation .13 amended effective May 4, 1998 (25:9 Md. R. 679) **Administrative History:** Regulation .14 amended effective April 24, 2017 (44:8 Md. R. 403) **Administrative History:** Regulation .14D amended effective December 28, 1998 (25:26 Md. R. 1922) **Administrative History:** Regulation .15-1B amended effective December 28, 1998 (25:26 Md. R. 1922) **Administrative History:** Regulation .16 amended effective December 28, 1998 (25:26 Md. R. 1922) **Administrative History:** Regulation .18 amended effective December 28, 1998 (25:26 Md. R. 1922) **Administrative History:** Chapter revised effective April 24, 2017 (44:8 Md. R. 403) **Administrative History:** Regulation .04 amended effective April 24, 2017 (44:8 Md. R. 404) **Administrative History:** Regulation .14 amended effective April 24, 2017 (44:8 Md. R. 404) #### Regulation .01 Purpose. *COMAR 09.32.02.01* This chapter sets out the registration and reporting requirements and procedures for individuals applying for unemployment insurance benefits. #### Regulation .02 Definitions. *COMAR 09.32.02.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Appointment” means reporting: (a) By telephone, at a scheduled date and time, and at the telephone number provided by the claimant to the Secretary; or (b) In person at a specific date, time, and place. (2) “Basic weekly benefit amount” means the weekly benefit amount for a week of total unemployment excluding any allowance for dependents. (3) “Benefits” means benefits pursuant to the Unemployment Insurance Law. (4) “Claim” means an application for benefits that is filed with the Secretary, either for the purpose of beginning a claim period, or for the purpose of claiming benefits for a compensable week. (5) “Claim notification” means written notification sent to a claimant, by mail or electronic means, that provides instructions to the claimant for the filing of a continued claim or claims. (6) “Continued claim” means one of a series of claims filed, for one or more weeks of continuous unemployment, following an initial or a reopened claim. (7) “Department” means the Maryland Department of Labor. (8) “Dependent” means a claimant's child, stepchild, or legally adopted child who, at the beginning of a claimant's benefit year, is wholly or partially supported by the claimant and is younger than 16 years old. (9) “Employment Service” means the Employment Service, an agency within the Department. (10) “Initial claim” means an application for benefits filed with the Secretary. The three types of initial claims are as follows: (a) “New claim” means the first claim filed requesting a determination of entitlement to and eligibility for compensation. “New claim” includes the first claim for extended or additional benefits, as described in COMAR 09.32.03. (b) “Transitional claim” means the first claim filed at the expiration of a benefit year requesting a determination of eligibility and determination of a new benefit year. A transitional claim has an effective date within the 7-day period immediately following the benefit year ending date and a week for which compensation was claimed. (c) “Additional claim” means the first claim filed within a benefit year after earning gross wages equal to or in excess of the weekly benefit amount during any given week. (11) Office. (a) “Office” means an office of the Department. (b) “Office” includes a designated call center or electronic address. (12) “Register” and “registration” mean that the individual is available for referral to job opportunities, training, and employment development services through the Department. When the filing of a claim permits an individual full use of the Employment Service, that filing constitutes registration. (13) “Remuneration” means all compensation for services whether or not the compensation constitutes taxable wages under the Unemployment Insurance Law. (14) Reopened Claim. (a) “Reopened claim” means the first claim filed after a break in continued claims during a benefit year caused by other than intervening employment, for example, illness, disqualification, unavailability, or failure to report for any reason other than employment. (b) “Reopened claim” does not include a claim for extended or additional benefits as described in COMAR 09.32.03. (15) “Secretary” means the Secretary of Labor or the Secretary's designee. (16) “Unemployment Insurance Law” means Labor and Employment Article, Title 8, Annotated Code of Maryland. (17) “Week” means the calendar week beginning at 12:01 a.m. Sunday morning and ending at midnight the following Saturday. (18) “Weekly benefit amount” means the weekly benefit amount for a week of total unemployment including any dependents' allowance. (19) “Week of total unemployment” means a week during which a claimant performs no work for which wages are payable. (20) “Working day” means a day other than Saturday, Sunday, or a State holiday. C. Unless the context indicates otherwise, all other terms used in these regulations have the same meanings as provided in the Unemployment Insurance Law. #### Regulation .03 Claims for Total Unemployment. *COMAR 09.32.02.03* A. Claims Generally. Except as otherwise provided, to file an initial or reopened claim for benefits, an individual shall report as instructed by the Secretary. B. A claimant who earns gross wages in 1 week equal to or more than the claimant's weekly benefit amount may not file subsequent continued claims for total unemployment, but shall file an initial claim in order to claim subsequent benefits. C. Initial and Reopened Claims. Except as otherwise provided, the: (1) Effective date of an initial or reopened claim is the first day of the week in which an individual reports, registers, and files the initial or reopened claim as instructed by the Secretary; (2) Claimant shall file initial or reopened claims in the manner and time frame prescribed by the Secretary; (3) Secretary may direct that an initial or reopened claim be filed: (a) By telephoning an office designated by the Secretary, (b) By electronic means, to a site designated by the Secretary, (c) By mailing, by first class mail, required documents to an office designated by the Secretary, or (d) In person by reporting to an office designated by the Secretary; (4) Eligibility of an individual for benefits may not be determined until the individual provides a valid Social Security number. D. Effective Date of Initial and Reopened Claims—Exceptions. The effective date of an initial or reopened claim may be other than as provided in §C of this regulation in the following situations: (1) A claim may be backdated when a claimant reports partial earnings for a week before the initial claim, to the Sunday of that week provided the claim is filed not later than: (a) 30 days immediately following the close of that week, or (b) 2 weeks after the date the partial wages are paid; (2) A transitional claim shall be effective the day following the end of the preceding benefit year; (3) Severe weather conditions exist, as declared by the Secretary; (4) Clerical error attributable to the Department occurs; (5) The office to which the claimant is instructed by the Secretary to report is closed for a reason other than that the day is not a working day; (6) A claim may be backdated when the claimant did not file a claim in reasonable reliance on an invalid agreement to waive, release, or commute the claimant's rights to benefits as prohibited by the Unemployment Insurance Law. E. Benefit Year. (1) Except in the case of a transitional claim, the benefit year for a claimant begins with the Sunday of the first week for which the claimant files a valid new claim for benefits. This benefit year continues for 52 weeks. (2) In the case of a transitional claim, the benefit year begins on the day immediately following the expiration date of the previous benefit year. #### Regulation .04 Reporting Requirements. *COMAR 09.32.02.04* A. Notification of Reporting Requirements. A claimant shall be notified in writing of the reporting requirements upon the filing of an initial or reopened claim and, if requested to do so, shall acknowledge the notification. B. Continued Claims. (1) Except as otherwise provided, following an initial or reopened claim, a claimant shall file continued claims in the manner required by the Secretary. (2) The Secretary may instruct a claimant to file a continued claim by: (a) Telephoning the Department's interactive voice response unit; or (b) Electronic means. (3) Continued claims shall be filed in the manner required by the Secretary not sooner than the Sunday immediately following the close of the week for which benefits are claimed and within the time allowed under §B(5) of this regulation. (4) If appropriate, an open week shall be created for the first week which includes the date on which the initial or reopened claim was filed. Following the first week, the claimant shall file a continued claim on a weekly basis. If appropriate, the next open week to be filed shall be made available to the claimant upon the receipt of the preceding continued claim. (5) Timely Filing. (a) Continued claims shall be filed and received no later than 5 p.m. on the Friday following the week for which benefits are claimed in order to be timely. Late continued claims shall be considered timely only if the Department's error caused the claimant not to receive the claim forms or the claimant did not file a claim in reasonable reliance on an invalid agreement to waive, release, or commute the claimant's rights to benefits as prohibited by the Unemployment Insurance Law. (b) If the Secretary receives an untimely continued claim, the Secretary shall schedule the claimant for an appointment for a fact-finding interview pursuant to §C of this regulation. (c) A claimant who fails to file a timely continued claim shall file an initial or reopened claim by telephoning an office designated by the Secretary, by electronic means, or by reporting in person to an office designated by the Secretary to reactivate the claim. Any weeks requested after filing an untimely continued claim but before reactivating the claim shall be denied. C. Appointments. (1) The Secretary may schedule an appointment for a claimant: (a) Whenever there is an indication that the claimant does not meet the requirements of the Unemployment Insurance Law or these regulations; and (b) Periodically to monitor the claimant's continuing ability to work, availability for work, and to assist the claimant in the work search process. (2) The claimant shall be given notice by mail or electronic means of the time, date, place, and type of the appointment and notified whether the appointment will be by telephone or in person. The notice shall include any issue to be resolved. (3) If the claimant is unable to report as instructed for the appointment, the claimant shall complete the form provided and return it to the Secretary before the appointment. The claimant's response shall include the reason the claimant is unable to report as instructed and shall provide any information that should be considered on the issue to be resolved. (4) If the claimant fails to report as instructed for the scheduled appointment or the office designated by the Secretary does not receive requested information from the claimant by the time of the appointment, the decision shall be based on information available to the Secretary at the time of the appointment. (5) If the claimant fails to report as instructed for any scheduled Department appointment, benefits may be terminated or suspended for that reason alone. #### Regulation .04-1 Claimant Reemployment Assistance Services. *COMAR 09.32.02.04-1* A. The Secretary shall establish criteria for a profiling system to identify claimants who are likely to exhaust unemployment insurance benefits and who will need reemployment assistance services to make a successful transition to new employment. B. When the Secretary determines that a claimant is likely to exhaust unemployment insurance benefits and will need reemployment assistance services to make a successful transition to new employment, the Secretary may schedule the claimant for appointments for reemployment assistance services. Reemployment assistance services may include: (1) Job search assistance; (2) Job placement; (3) Counseling; (4) Testing; (5) Providing occupational and labor market information; (6) Evaluations and assessments; (7) Workshops; (8) Job clubs; (9) Referrals to employers; and (10) Related services. C. Regulation .04C of this chapter applies to the appointments scheduled pursuant to this regulation. #### Regulation .05 Separation Notices. *COMAR 09.32.02.05* A. The Secretary shall request on appropriate forms information pertaining to the separation of claimants from employment. B. When a claimant files a new claim, the Secretary shall request separation information from the claimant's base period employers and the claimant's other employers from the end of the base period to the filing of the claim. Each employer shall indicate on the separation notice the: (1) Reason for the claimant's separation from employment; (2) Last day that the claimant worked for that employer; (3) Amount and form of any pension pay to which the claimant may be entitled, and whether the claimant contributed to the pension; (4) Amount of any holiday pay, vacation pay, severance pay, or special pay paid or payable by the employer; (5) Claimant's last weekly or hourly pay rate; and (6) Other information that the Secretary may request. C. When a claimant files an additional claim for benefits, the Secretary shall request the information set forth in §B of this regulation from the claimant's last employer and any other employer for whom the claimant worked since the claimant last filed for benefits. D. An employer shall complete and return the separation notice to the address shown on the notice, or by electronic means, within the time prescribed in the Unemployment Insurance Law. E. A separation notice is deemed returned when it is either received by the Department or postmarked by the United States Post Office. #### Regulation .06 Claims during Temporary Mass Layoff. *COMAR 09.32.02.06* A. Definition. “Mass layoff” means the layoff from work of 25 or more workers in a single establishment for an expected duration of 7 days or more, at the same time, and for the same reason. B. Advance Knowledge. When the employer has advance knowledge of an expected mass layoff, the employer shall file with the Secretary a notice of the layoff 48 hours before the beginning of the layoff. This notice shall substitute for individual separation notices. The notice shall state: (1) The date of the layoff; (2) The reason for the layoff; (3) The names and Social Security numbers of the employees affected, in Social Security number or alphabetical sequence; (4) The amount and form of any pension pay to which an employee may be entitled, and whether the employee contributed to the pension; (5) The amount of any vacation pay, holiday pay, severance pay, or special pay paid or payable by the employer; (6) Any wage continuation as defined in Regulation .13 of this chapter; and (7) Each employee's last weekly or hourly pay rate. C. No Advance Knowledge. When the employer has no advance knowledge of a mass layoff: (1) Immediately upon the beginning of the layoff, the employer shall notify the Secretary of the layoff, the date of the layoff, and the reason for the layoff; and (2) Within 48 hours after the beginning of the layoff, the employer shall file with the Secretary the information set forth in §B(3)—(7) of this regulation. D. Modified Reporting. When the employer informs the Secretary in writing before the beginning of the mass layoff, the Secretary may adopt a plan modifying reporting requirements for these employees. Under the plan, the Department may distribute applications to the affected employees at offices located in close proximity to the employer or any other location. The Department may take claims directly from the employer on behalf of the employees. These applications, upon completion and return in accordance with the plan, shall constitute the employees' registrations for work and claims for benefits. #### Regulation .07 Work Search Exemption. *COMAR 09.32.02.07* A. Ten Week Exemption. (1) The Secretary shall exempt only from the “actively seeking work” eligibility condition a claimant who, at the time the claimant files an initial claim, provides a definite return-to-work date to the same employer that is within 10 weeks of the last day of employment, if the: (a) Return-to-work date is verified by that employer; and (b) Layoff is as a result of vacation, inventory, or any other purpose causing unemployment, except a labor dispute. (2) Exemptions under this section may be granted for each period of unemployment of 10 weeks or less in 1 benefit year. B. Eleven to Twenty-Six Week Exemption. (1) The Secretary may exempt from only the “actively seeking work” eligibility condition a claimant who, at the time the claimant files an initial claim, provides a definite return-to-work date to the same employer that is 11 to 26 weeks from the last day of employment, if the: (a) Return-to-work date is verified by that employer; (b) Layoff is as a result of any purpose causing unemployment other than vacation, inventory, or labor dispute; and (c) Employer and the affected employees jointly request the exemption through a written request that: (i) Is submitted 2 weeks before the layoff (which requirement may be waived), and (ii) Includes the name and Social Security number of each claimant for whom the request is made. (2) The Secretary's determination to grant or deny the exemption under this section shall be based on: (a) The reason for the layoff; (b) The length of the layoff; (c) Local labor market conditions; and (d) The employer's earned-rate record for the 3 years preceding the request. (3) The Secretary shall grant or deny the request for the exemption within 15 days of receipt of the request. (4) An exemption under this section may be granted only once during any 12-month period. C. Exemptions granted under this regulation do not apply to any federal or State extended benefit programs. D. Work search exemptions granted for participation in approved training are described in COMAR 09.33.01.06. #### Regulation .07-1 Qualified Individual with a Disability. *COMAR 09.32.02.07-1* For purposes of determining whether a claimant is able to work under §8-903 of the Unemployment Insurance Law, the term “qualified individual with a disability” as used there has the same meaning as it does under the Americans With Disabilities Act, 42 U.S.C. §12111. #### Regulation .07-2 Temporary Help Firm Former Employees. *COMAR 09.32.02.07-2* A. Applicability. This regulation does not apply to claimants granted work-search exemptions under Regulation .07 of this chapter. B. Definitions. (1) In this regulation, the following terms have the meanings indicated. (2) Terms Defined. (a) “Temporary help firm” means an entity that assigns its own employees to perform services for clients on a nonpermanent basis. (b) “First week claimed” means the first week of benefits claimed in an initial claim. C. Not Actively Seeking Work. (1) Unless the claimant makes the showing required in §C(2) of this regulation, the Secretary shall determine that a claimant does not meet the “actively seeking work” eligibility condition during the first week claimed if: (a) The claimant's last employer is a temporary help firm; (b) That temporary help firm advised the claimant in writing before the end of the claimant's most recent work assignment that failure to request a new work assignment at the end of the current work assignment could result in a delay or denial of benefits; and (c) That temporary help firm submits information, supported by contemporaneous documentation prepared in the ordinary course of business, for example, a telephone log, that the claimant did not request another work assignment after the claimant's most recent assignment ended. (2) The claimant may avoid the Secretary's determination in §C(1) of this regulation if the claimant shows that the claimant: (a) Did request another assignment; or (b) Had good cause for failing to request another assignment. #### Regulation .08 Claims during Labor Dispute. *COMAR 09.32.02.08* A. Notice by Employer. (1) Immediately upon notice by the union of its intent to strike or the beginning of a labor dispute, the employer shall notify the Secretary of the existence of this dispute. (2) Within 48 hours after the beginning of the dispute, the employer shall file with the Secretary a list stating the: (a) Name, title, email address, telephone number, and address of the employer's representative; (b) Name, title, email address, telephone number, and address of the union's representative; (c) Last day of work of the employees who are not working as a result of the alleged labor dispute; (d) Names and Social Security numbers of the employees who are participating in the dispute in Social Security number or alphabetical sequence; and (e) Names and Social Security numbers of employees, in numerical or alphabetical order, who are not participating in the dispute but who are laid off by the employer as a result of the dispute. (3) The list in §A(2) of this regulation shall substitute for individual separation notices for the listed employees. (4) When the dispute is over or the employees have returned to work, the employer shall so advise the Secretary. B. Filing Claims. (1) A claim of a claimant who is not working as a result of an alleged labor dispute is effective the first day of the week in which the claimant reports under the same terms and conditions as set forth for initial and reopened claims in Regulation .03 of this chapter. (2) Claims made under this regulation shall be filed as instructed by the Secretary. C. Claims Determination — Qualification. Qualification for benefits for claimants not working as a result of an alleged labor dispute shall be determined pursuant to COMAR 09.32.06.06. D. Claims Determination — Eligibility. Eligibility for benefits for claimants not working as a result of an alleged labor dispute shall be determined using the same criteria as used in determining eligibility for benefits for any other claimant. #### Regulation .09 Claims for Partial Benefits. *COMAR 09.32.02.09* A. Definition. A claimant shall be eligible for partial benefits for any week in which the claimant: (1) Performed services for wages; (2) Earned less in gross wages than the claimant's weekly benefit amount plus any allowance for a dependent to which the claimant is entitled under the Unemployment Insurance Law; and (3) Meets all of the requirements set forth in the Unemployment Insurance Law. B. A claimant who earns gross wages in 1 week equal to or more than the claimant's weekly benefit amount may not file subsequent continued claims for partial benefits, but shall file an initial claim in order to claim subsequent benefits. C. Reporting Requirements. (1) A claimant for partial benefits shall comply with each reporting requirement set forth in Regulation .04 of this chapter. (2) A claimant for partial benefits shall report gross wages during the week in which the claimant performed the services for which the wages were earned. (3) A claimant for partial benefits shall be able to work, available to work, and actively seeking full-time employment. (4) The effective date of a claim for partial benefits is as set forth in Regulation .03D(1) of this chapter. D. Self-Employment. A claimant who is self-employed or regularly employed under conditions when the hours of work are not controlled by the employer, or who is paid on a commission basis, shall be eligible for partial benefits: (1) When the remuneration is paid; (2) If remuneration is less than the claimant's weekly benefit amount; and (3) If the claimant is able and available to accept full-time work, and is actively seeking full-time work. E. Vacation Pay or Holiday Pay. A claimant shall be considered partially unemployed with respect to any week during which the claimant receives or is eligible to receive vacation pay or holiday pay that is less than the claimant's weekly benefit amount. F. Method of Calculation. (1) A claimant eligible for partial benefits shall be paid a benefit amount equal to the claimant's weekly benefit amount, less that part of the wages payable to the claimant in excess of the amount provided by the Unemployment Insurance Law. (2) The partial benefit amount shall be rounded down to the nearest whole dollar. (3) Partial benefits are payable until the maximum benefit amount is exhausted for the claimant's benefit year, provided all of the eligibility requirements of the Unemployment Insurance Law are met. (4) A claimant may receive only 26 weeks of dependents' allowance regardless of the number of weeks the claimant receives partial benefits. #### Regulation .10 Dependents' Allowance. *COMAR 09.32.02.10* A. Time for Declaring Dependents. A claimant shall declare the claimant's dependents on the date that the claimant files a new or transitional claim for the benefit year. The time for declaration may not be extended, except for good cause. B. Verification. (1) The claimant shall provide a Social Security number, a copy of the dependent's birth certificate, or other reliable means of proof within 30 days from the week in which the first continued claim in the benefit year is filed. (2) A claimant who is otherwise eligible for benefits and who has not yet submitted the required dependents' allowance verification shall be paid benefits in the amount equal to the claimant's weekly benefit amount without the allowance for any unverified dependents. This shall continue until such time as verification is provided. Upon receipt, dependents' allowance shall be paid retroactively. C. Dependent of One Claimant Only. Once a child has been determined to be a dependent child of any claimant, as of the first day of the claimant's benefit year, the child cannot be considered to be a dependent of any other claimant whose benefit year starts within 1 year of that year. D. Maximum Benefit Amount. (1) The total of the claimant's basic weekly benefit amount plus the claimant's dependents' allowance may not exceed the maximum weekly benefit amount. (2) When the total of a claimant's basic weekly benefit amount and dependents' allowance exceed the maximum weekly benefit amount, any other claimant who, at that time, is supporting the same dependents may claim the dependents' allowance for the balance of the latter claimant's benefit year. E. Partial Earnings. As set forth in Regulation .10F(4) of this chapter, a claimant may receive only 26 weeks of dependents' allowance. F. Death of Claimant. The benefit year of a claimant who is receiving dependents' allowance is considered ended if the claimant dies. After that, any other claimant who, at that time, is supporting the same dependents, may claim the dependents' allowance for the balance of the living claimant's benefit year. #### Regulation .11 Holiday Pay or Vacation Pay. *COMAR 09.32.02.11* A. Definition. “Holiday pay” or “vacation pay” means the gross amount of holiday pay or vacation pay. B. Holiday pay or vacation pay is attributable to: (1) The week or weeks designated by the employer or the collective bargaining agreement as the holidays or vacation days; or (2) If not as designated in §B(1) of this regulation, the weeks during which it is paid. C. Deductible Holiday Pay or Vacation Pay. (1) Holiday pay or vacation pay shall be deducted from benefits if the claimant is notified of a definite return-to-work date on or before the date of layoff or separation. The reason for separation is not a determining factor. (2) If the employer rescinds or modifies the return-to-work date originally given the claimant and extends the period of unemployment after the claimant files the initial or reopened claim, vacation pay or holiday pay shall be deducted only for the originally specified vacation or holiday period and may not be deducted for any period of additional unemployment resulting from the rescission or modification. D. Nondeductible Holiday Pay or Vacation Pay. Holiday pay or vacation pay may not be deducted from unemployment insurance benefits if the holiday pay or vacation pay is paid: (1) At the time of or after the claimant is separated from employment, and the claimant is separated from employment for an indefinite period or is permanently separated from employment; or (2) By the employer or payable for any period which is outside of the terms of an employment agreement that specifies scheduled vacation or holiday periods or employee discretion in scheduling vacation or holiday periods. E. Partial Earnings. Holiday pay or vacation pay that is less than the claimant's weekly benefit amount shall be deducted as partial earnings as set forth in Regulation .10E of this chapter. F. Holiday Pay and Vacation Pay Reportable and Taxable. Holiday pay or vacation pay is reportable and taxable for the purpose of the employer's contribution obligations under the Unemployment Insurance Law. #### Regulation .12 Severance Pay, Dismissal Pay, or Pay instead of Notice of Termination. *COMAR 09.32.02.12* A. “Severance pay” is the gross amount of severance pay including severance pay that is contingent on the employee signing a release of liability or waiver agreement, dismissal pay, pay instead of notice of termination, wage continuation, or other remuneration paid or payable to the claimant upon separation from employment. B. Deducting Severance Pay. (1) Severance pay shall be deducted from benefits. (2) The Secretary shall allocate severance pay that is paid in a lump sum or in increments to a number of weeks following the date of separation, including the week during which the claimant was separated from employment. The Secretary shall allocate severance pay by: (a) Calculating the entire amount of severance pay including any amount of severance pay that may be contingent on the employee signing a release of liability or waiver agreement; (b) Calculating the claimant's daily wage by dividing the claimant's last weekly wage by seven; (c) Calculating the number of days to which the severance pay applies by dividing the total amount of severance pay by the claimant's daily wage; and (d) Applying the severance pay to the days immediately following the claimant's last day of service. (3) If severance pay allocated to a particular week is less than the claimant's weekly benefit amount, the claimant shall receive the difference. C. Severance Pay Reportable and Taxable. Severance pay is reportable and taxable for the purpose of the employer's contribution obligations under the Unemployment Insurance Law. #### Regulation .13 Retirement Payments. *COMAR 09.32.02.13* A. Definitions. (1) “Contributory retirement plan” means a plan providing a retirement payment under which an employing unit pays or has paid some, but not all, of the premiums or contributions, and the claimant has paid some, but not all, of the premiums or contributions. (2) “Lump-sum retirement payment” means the gross amount of a retirement payment that is paid in one payment. Any retirement payment paid in more than one payment is not a lump-sum retirement payment, even if the installments are paid irregularly. (3) “Noncontributory retirement payment” means a plan providing a retirement payment under which an employing unit pays or has paid all premiums or contributions and the claimant pays or has paid none. (4) “Periodic retirement payment” means the gross amount of a retirement payment payable on a recurring basis. B. Deductible Retirement Payments. (1) Retirement payments shall be deducted from benefits if the payments are made under a plan maintained or contributed to by a base period employer. (2) Deductible retirement payments include but are not limited to: (a) State government pensions; (b) Local government pensions; (c) Federal Civil Service retirement pensions and annuities; (d) Federal Civil Service disability pensions; (e) Private employer pensions; (f) Military retirement pensions; (g) Military disability pensions; (h) Railroad retirement annuities; (i) Individual Retirement Accounts (IRA) and Keogh Plans, to which the base period employer contributed directly; (j) Trust, annuity, or insurance funds, to which the base period employer contributed; and (k) Profit-sharing plans established to provide employees with income on retirement. C. Nondeductible Retirement Payments. Retirement payments may not be deducted from benefits if the payments derive from: (1) Social Security benefits; (2) Survivor's or widow's pensions; (3) Military service connected disability compensation as defined in 38 U.S.C. §301 et seq. (Veterans' Administration Disability Benefits); (4) Temporary disability insurance; or (5) Workers' compensation and black lung benefits. D. Method of Deduction. (1) Verification. (a) A claimant shall provide documentary proof of any retirement payment. When the claimant cannot provide the verification, the Secretary shall request verification from the employer. (b) When a claimant cannot provide documentary proof of the retirement payment, the claimant's sworn statement shall be accepted subject to employer verification and may not affect payment of claims. (2) Calculation. Deductible retirement payments shall be deducted from benefits payable to the claimant as follows: (a) 100 percent of each noncontributory retirement payment paid by or originating from a base period employer shall be fully deducted from basic weekly benefit amounts payable throughout the claimant's benefit year; (b) 50 percent of each contributory retirement payment paid by or originating from a base period employer shall be deducted from basic weekly benefit amounts payable throughout the claimant's benefit year; (c) A periodic contributory or noncontributory retirement payment prorated by week shall be deducted from the claimant's basic weekly benefit amount beginning with the first week in which the effective date of the retirement payment falls and for which the claimant has filed a continued claim. (3) Dependents' Allowance. The deduction of retirement payments from benefits paid does not affect the weekly benefit amount for purposes of calculating the dependents' allowance, except that if no benefit payment is due after the deduction, the dependents' allowance is not payable. (4) Duration of Benefit Payments. Benefits reduced as a result of a retirement payment deduction are payable until the maximum benefit amount is exhausted for the claimant's benefit year, provided all of the eligibility requirements of the Unemployment Insurance Law are met. (5) Effect on Partial Earnings. If a claimant has partial earnings in any week for which the claimant's weekly benefit amount is to be reduced by a deductible retirement payment amount, the partial benefits are computed first, and the retirement payment is deducted from the remainder, if any. E. Lump Sum Retirement Payments. (1) Deductible Lump Sum Retirement Payments. (a) Except as otherwise provided, a lump sum retirement payment shall be deducted from benefits if the payment is made under a plan maintained or contributed to by a base period employer. (b) A deductible lump sum retirement payment shall be deducted from benefits payable to the claimant only if the payment is actually received within the claimant's first benefit year. (c) A deductible lump sum retirement payment shall be deducted from benefits payable to the claimant as follows: A lump sum retirement payment shall be allocated by week, beginning with the week the claimant was separated from employment, according to the claimant's last weekly rate of pay. (d) The allocation in §E(1)(c) of this regulation extends for as long as the employer maintaining or contributing to the plan is a base period employer. (e) Other calculations concerning deductible lump sum retirement payments shall be made pursuant to §D of this regulation. (2) Nondeductible Lump Sum Retirement Payments. (a) A lump sum retirement payment or lump sum profit-sharing payment may not be deducted from benefits if the: (i) Claimant is separated from employment due to layoff or shutdown of the operation; (ii) Payment is received after the end of a benefit year in which the contributing employer is a base period employer; or (iii) Claimant places the lump sum payment in a qualified retirement plan within 30 days of receipt. (b) With regard to §E(2)(a)(iii) of this regulation, the: (i) Claimant shall provide documentation to the Secretary that states that the lump sum retirement payment has been placed in a qualified retirement plan, and gives the name of the institution or fund in which the payment was placed; (ii) Lump sum retirement payment shall be verified as set forth in §D(1) of this regulation. #### Regulation .14 Special Pay. *COMAR 09.32.02.14* A. Definition. “Special pay” means the gross amount of any bonus or other special payment paid or payable to the claimant by the employer that is not holiday pay, vacation pay, severance pay, or pension pay. B. Special pay is attributable to the week or weeks designated by the employer or the collective bargaining agreement, or if not so designated, the week or weeks during which the special pay is paid. C. Deductible Special Pay. Special pay shall be deducted from benefits for any week to which it is attributable if the claimant performed services during that week. D. Nondeductible Special Pay. Special pay may not be deducted from benefits for any week to which it is attributable if the claimant performed no services during that week. E. Partial Earnings. The sum of the deductible special pay and earnings for that week that is less than the claimant's weekly benefit amount shall be deducted pursuant to Regulation .10F of this chapter as partial earnings. F. Special Pay Reportable and Taxable. Special pay is reportable and taxable for the purpose of the employer's contribution obligations under the Unemployment Insurance Law. #### Regulation .15 Monetary Eligibility. *COMAR 09.32.02.15* A. The following payments are considered wages for the purpose of determining a claimant's monetary eligibility for benefits: (1) Any wage received for covered employment as defined by the Unemployment Insurance Law; (2) Holiday pay; (3) Vacation pay; and (4) Special pay. B. Payments Not Considered Wages. (1) The following payments are not considered wages for the purpose of determining a claimant's monetary eligibility for benefits: (a) Severance pay, dismissal pay, wage continuation, or pay instead of notice of termination; and (b) Pension. C. Holiday pay, vacation pay, and special pay shall be considered wages for the purpose of determining a claimant's monetary eligibility at the time the payments are made even if the pay is attributed to a different time for benefit purposes. #### Regulation .16 Benefit Payment. *COMAR 09.32.02.16* A. Review of Claim. After an initial, reopened, or continued claim is filed, the Secretary shall review the claim and any separation information received from employers, together with any other available information to determine if the claimant is eligible for benefits for the week or weeks being claimed. B. Material Fact. A material fact is a fact that is of consequence to a decision regarding eligibility or disqualification for benefits. C. Payment of Benefits When Claimant Found Eligible and Not Disqualified. (1) Benefit payments shall be initiated as quickly as administratively feasible when: (a) There is no dispute of material fact; (b) The Secretary finds the claimant eligible and not disqualified; and (c) The Department receives the claimant's complete and correct continued claim. (2) Unless a question of continued eligibility arises, payment of benefits shall continue on a biweekly basis following the receipt of the claimant's complete and correct biweekly claim forms. D. Fact-Finding Interview When There Is No Dispute of Material Fact. When the Secretary's review of an initial, reopened, or continued claim reveals no dispute of material fact, but the information reviewed indicates that the claimant may be ineligible or disqualified, the Secretary shall schedule the claimant for an appointment for a fact-finding interview pursuant to Regulation .04C of this chapter. E. Fact-Finding Proceeding When There Is a Dispute of Material Fact. When the Secretary's review of an initial, reopened, or continued claim reveals a dispute of material fact concerning whether the claimant is eligible or disqualified, the Secretary shall: (1) Send a written notice by first-class mail or electronic means to the claimant and any employer who may have knowledge of the disputed facts, stating: (a) The date, time, place, and type of the proceeding, (b) The issues to be resolved at the proceeding, (c) That the proceeding may result in the denial of benefits or may affect the employer's earned-rate record or reimbursement account, and (d) That any party shall have the right to be present by telephone or in person as required by the Secretary and may be represented by an attorney or other representative of the party's choosing; (2) Conduct a proceeding at which the parties may: (a) Be present, by telephone or in person, as required by the Secretary, (b) Be represented by an attorney or other representative of the party's choosing, (c) Present and rebut evidence and argument relating to the issues, (d) Cross-examine any person who participates in person or by telephone at the proceeding and testifies or provides information relating to the issues, and (e) Be given the opportunity to examine all evidence relating to that issue that is before the Secretary; and (3) Provide a reasonable opportunity to a party to rebut any relevant evidence that the Secretary receives after the proceeding and that may be a basis for a decision. F. Decision. (1) After conducting an interview or a proceeding as set forth in §D or E of this regulation, the Secretary shall send a written decision to all parties by first-class mail or electronic means that: (a) Informs the parties of the right to appeal pursuant to COMAR 09.32.06; (b) States the provisions of the Unemployment Insurance Law on which the decision is based; (c) Explains the reasons for the determination in sufficient detail to inform the parties why benefits were awarded or denied; and (d) Explains what the claimant must do to requalify for benefits or purge the disqualification, if the determination denies benefits. (2) Benefit payments shall be initiated as quickly as administratively feasible in accordance with a decision awarding benefits. G. Expedited Payment for Benefits Due Claimant. (1) The Secretary may expedite payment for benefits due a claimant if the: (a) Secretary has found the claimant eligible and not disqualified; and (b) Claimant submits to the office designated by the Secretary: (i) A complete and correct claim form for benefits due the claimant, and (ii) Satisfactory evidence that an immediate financial hardship exists. (2) Examples of an immediate financial hardship include: (a) Imminent eviction; or (b) Utility cut-off notice. #### Regulation .17 Requirement for Earning Wages before Second Benefit Year. *COMAR 09.32.02.17* A. If a claimant receives benefits during a benefit year, the claimant may not be entitled to receive benefits in a subsequent benefit year unless the claimant earned wages after the beginning of the first benefit year as a result of performing services in insured work, and the wages are equal to not less than 10 times the claimant's weekly benefit amount. B. Special pay, severance pay, vacation pay, holiday pay, or prior earnings paid to a claimant at or after separation from employment do not constitute wages as a result of performing services in insured work. C. Remuneration earned by a claimant for performing services in another state in insured work as defined by that state's unemployment insurance law shall be treated the same as remuneration earned for services performed in Maryland in covered employment. #### Regulation .18 Week of Disqualification. *COMAR 09.32.02.18* If a claimant is disqualified from receiving benefits or found ineligible for benefits under the Unemployment Insurance Law, the first week of disqualification shall be the calendar week in which the act on which the disqualification is based occurred, or the calendar week beginning with the Sunday immediately before the last day of work, whichever is later. #### Regulation .19 First Day of Work and Last Day of Work on Midnight Shift. *COMAR 09.32.02.19* When a claimant is reemployed and the hours of work on the first shift worked begin before midnight on one day and end after midnight, the claimant's first day of work shall be the day on which the shift ends. When, before a period of unemployment, a claimant last works a shift which begins before midnight on one day and ends after midnight, the claimant's last day of work shall be the day on which the last shift ended. ### Chapter 03 — Extended Unemployment Insurance Benefits **Authority:** Labor and Employment Article, §8-305, Annotated Code of Maryland **Administrative History:** Effective date: February 1, 1973 **Administrative History:** Regulation .01C, F, I amended effective December 1, 1978 (5:24 Md. R. 1796) **Administrative History:** Regulation .01F, I amended effective December 10, 1975 (2:28 Md. R. 1666) **Administrative History:** Regulation .02B amended effective March 30, 1977 (4:7 Md. R. 577); December 1, 1978 (5:24 Md. R. 1796) **Administrative History:** Regulation .02C amended effective July 25, 1980 (7:15 Md. R. 1423); March 6, 1981 (8:5 Md. R. 472) **Administrative History:** Regulation .07 amended effective December 1, 1978 (5:24 Md. R. 1796) **Administrative History:** (Transferred from Department of Human Services to Department of Employment and Training, effective October 1, 1983; recodified from **Administrative History:** COMAR 07.04.03 to 24.02.03) **Administrative History:** Regulation .07A and B amended effective June 8, 1992 (19:11 Md. R. 1017) **Administrative History:** Chapter recodified from COMAR 24.02.03 to COMAR 09.32.03, May 1996 #### Regulation .01 Definitions. *COMAR 09.32.03.01* All terms used in this regulation which are defined in the Unemployment Insurance Law shall have the same meanings as provided in that law. A. “Eligibility period” of an individual means the period of the weeks in his benefit year which begin in an extended benefit period, and, if his benefit year ends within the extended benefit period, any weeks after that which begin in that period. B. “Entitlement”. An individual is entitled to extended compensation for a week of unemployment in his eligibility period if, with respect to this week, he is an exhaustee under this regulation and he meets the requirements of the Unemployment Insurance Law and these regulations. C. “Exhaustee”. An individual is an exhaustee with respect to a week of unemployment of his eligibility period if: (1) Either of the following conditions is satisfied: (a) He has received, before that week, all the regular compensation payable to him according to the monetary determination for his current benefit year that includes the week, or (b) His benefit year having expired before that week, he has insufficient wages or employment, or both, on the basis of which he could establish in any state a new benefit year that would include that week, or having established a new benefit year that includes the week, he is precluded from receiving regular compensation by reason of an Unemployment Insurance Law provision of the state which meets the requirement of §3304(a)(7) of the Internal Revenue Code of 1954; (2) He has no right to unemployment compensation or allowances, as the case may be, under the following federal law, the Railroad Unemployment Insurance Act; and (3) He has not received and is not seeking for the week unemployment compensation under the law of the Virgin Islands or of Canada, but if he is seeking this compensation and the appropriate agency finally determines that he is not entitled to compensation under this law, he is an exhaustee. D. “Extended benefits” means benefits (including benefits payable to federal civilian employees and to ex-servicemen pursuant to 5 U.S.C. Chapter 85) payable to an individual under the provisions of Labor and Employment Article, Title 8, Subtitle 11, Annotated Code of Maryland, for weeks of unemployment in his eligibility period. E. “Extended benefit period” means a period which: (1) Begins with the third week after whichever of the following weeks occurs first: (a) A week for which there is a national “on” indicator, or (b) A week for which there is a State “on” indicator; and (2) Ends with either of the following weeks, whichever occurs later: (a) The third week after the first week for which there is both a national “off” indicator and a State “off” indicator, or (b) The thirteenth consecutive week of this period, provided an extended benefit period may not begin by reason of a State “on” indicator before the fourteenth week following the end of a prior extended benefit period which was in effect with regard to this State. F. National “On” and “Off” Indicators. There is a “national 'on' indicator” for a week if the United States Secretary of Labor determines that for a period consisting of that week and the 12 immediately preceding weeks, the rate of insured unemployment (seasonally adjusted) for all states, based on the average monthly covered employment for the first 4 of the 6 most recent calendar quarters ending before the close of the period, equaled or exceeded 4.5 percent. There is a “national `off' indicator” for a week if the United States Secretary of Labor determines that for a period consisting of that week and the 12 immediately preceding weeks, the rate of insured unemployment (seasonally adjusted) for all states, based on the average monthly covered employment for the first 4 of the 6 most recent calendar quarters ending before the close of the period was less than 4.5 percent. G. “Rate of insured unemployment” for purposes of §I of this regulation means the percentage derived by dividing: (1) The average weekly number of individuals filing claims in this State for weeks of unemployment with respect to the most recent 13-consecutive-week period, as determined by the Secretary on the basis of his reports to the United States Secretary of Labor, by (2) The average monthly employment covered under the Unemployment Insurance Law for the first four of the most recent six completed calendar quarters ending before the end of the 13-week period. H. “Regular benefits” means benefits payable to an individual under the Unemployment Insurance Law or under any other State law (including benefits payable to federal civilian employees and to ex-servicemen pursuant to 5 U.S.C. Chapter 85), other than extended benefits. I. State “On” and “Off” Indicators. State “on” and “off” indicators may occur in either of the following two circumstances: (1) There is a State “on” indicator in this State for a week if the Secretary determines, in accordance with the regulations of the United States Secretary of Labor, that for the period consisting of that week and the immediately preceding 12 weeks, the rate of insured unemployment (not seasonally adjusted) under the law equaled or exceeded 120 percent of the average of the rates for the corresponding 13-week period ending in each of the preceding 2 calendar years, and equaled or exceeded 4 percent. After a State “on” occurs pursuant to this section, there is a State “off” indicator for this State for a week if the Secretary determines, in accordance with the regulations of the United States Secretary of Labor, that for the period consisting of that week and the immediately preceding 12 weeks, the rate of insured unemployment (not seasonally adjusted) under the law was less than 120 percent of the average of the rates for the corresponding 13-week period ending in each of the preceding 2 calendar years or was less than 4 percent. (2) There is a State “on” indicator in this State for a week if the Secretary determines, in accordance with the regulations of the United States Secretary of Labor, that for the period consisting of that week and the immediately preceding 12 weeks, the rate of insured unemployment (not seasonally adjusted) under the law equaled or exceeded 5 percent. After a State “on” indicator occurs pursuant to this section, there is a State “off” indicator for a week if the Secretary determines, in accordance with the regulations of the United States Secretary of Labor, that for the period consisting of that week and the immediately preceding 12 weeks, the rate of insured unemployment (not seasonally adjusted) under the law was less than 5 percent. J. “Total Extended Benefit Amount”. The total extended benefit amount payable to any eligible individual with respect to his applicable benefit year may not be less than whichever of the following is the least: (1) 50 percent of the total amount of regular compensation, (including dependents' allowances) payable to him during the benefit year under the law; (2) 13 times his average weekly benefit amount; or (3) 39 times his average weekly benefit amount, reduced by the regular compensation paid (or deemed paid) to him during the benefit year under that law. K. “Weekly Extended Benefit Amount”. The weekly benefit amount of extended benefits payable to an individual for a week of total unemployment in his eligibility period is the amount of regular benefits (including dependents' allowances) payable to him for a week of total unemployment during his applicable benefit year. #### Regulation .02 Computation of Rate of Insured Unemployment. *COMAR 09.32.03.02* A. National “On” and “Off” Indicators. The national “on” and “off” indicators shall be determined by the United States Secretary of Labor and upon notification by that officer concerning the existence of these indicators the Secretary shall act in response to them as provided by law. B. State “On” and “Off” Indicators. (1) The Secretary shall determine the “rate of insured unemployment” for the purposes of the State “on” and “off” indicators. In making this determination he shall use a fraction, the numerator of which will be the weekly average number of weeks claimed in the State for the 13-week period ending with the week for which the determination is made (not seasonally adjusted) and the denominator of which shall be the average monthly employment covered under the State law for the first four of the last six calendar quarters ending before the close of the 13-week period. The quotient obtained is to be computed to four decimal places and is not to be otherwise rounded. (2) The rate for the most recent 13-week period is to be divided by the average of the rates for the corresponding 13-week periods in each of the 2 preceding years to determine whether the rate is equal to 120 percent of the average rate for the 2 years. The quotient obtained shall be computed to four decimal places and may not be otherwise rounded. The average of the rates for the corresponding 13-week periods in each of the 2 preceding years shall be one-half the sum of the rates for the period computed to four decimal places and not otherwise rounded. (3) For the purpose of determining the corresponding 13-week period ending in each of the preceding calendar years, the first week in any calendar year shall be the first full calendar week in that year. The Secretary shall utilize the list of numbered weeks for each calendar year beginning with the first Sunday in January, 1968, provided by the Secretary of Labor. C. For Both National and State Indicators. In determining the “weekly average number of weeks claimed” for any period, the Secretary shall count weeks claimed in continued claims (including interstate claims filed in the State) for total, partial, or part-total unemployment for regular or extended compensation, and shall exclude claims filed under 5 U.S.C. Chapter 85 (UCFE/UCX) and interstate claims filed against Maryland as liable state. #### Regulation .03 Extended Benefit Period: Beginning and Ending. *COMAR 09.32.03.03* A. Beginning and Ending an Extended Benefit Period. (1) An extended benefit period in Maryland shall begin on the first day of the third calendar week after whichever of the following occurs first: (a) A week for which there is a national “on” indicator; or (b) A week for which there is an “on” indicator in Maryland. (2) An extended benefit in Maryland shall end on the last day of the third week after the first week for which there is both a national and a State “off” indicator. An extended benefit period established in Maryland before January 1, 1972 may be ended before that date solely on the basis of a State “off” indicator in Maryland. (3) Notwithstanding the provisions of §A(2) of this regulation, an extended benefit period which becomes effective in Maryland shall continue for not less than 13 consecutive weeks. (4) An extended benefit period may not begin by reason of a State “on” indicator before the fourteenth week after the close of a prior extended benefit period with respect to Maryland. (5) “Week” for the purpose of determining whether a State “on” or “off” indicator occurs means a calendar week beginning at 12:01 a.m. Sunday and ending 12:00 p.m. on the following Saturday. B. Announcement of the Beginning and Ending of an Extended Benefit Period. Whenever the Secretary determines that there is an “on” indicator in this State by reason of which an extended benefit period will begin or an “off” indicator by reason of which an extended benefit period will end, he shall promptly announce his determination through appropriate news media in the State. This announcement shall include the beginning or ending date of the extended benefit period, whichever is appropriate. If an extended benefit period is about to begin, the announcement shall also describe clearly what unemployed individuals may be eligible for extended compensation during the extended benefit period. #### Regulation .04 Extended Benefits To Federal Employees. *COMAR 09.32.03.04* This State shall pay, as agent for the Secretary of Labor, and shall be reimbursed as provided in 5 U.S.C. §8505 an amount equal to the additional cost of extended compensation paid to federal civilian workers and ex-servicemen pursuant to 5 U.S.C. Chapter 85. #### Regulation .05 Combined Wage Credits and Interstate Benefits. *COMAR 09.32.03.05* Where regular compensation exhausted by an individual or sharable regular compensation was based on combined wage credits earned in more than one state, Maryland shall pay extended benefits when it was the liable state so long as it is reimbursable in proper proportions as liable state under appropriate federal laws and regulations. #### Regulation .06 Terms and Conditions of State Law and Regulations. *COMAR 09.32.03.06* A. Applicability of State Law and Regulations. Except when the result would be inconsistent with the other provisions of the Unemployment Insurance Law or these regulations, the provisions of the Unemployment Insurance Law and regulations promulgated pursuant to it which apply to claims for, or the payment of, regular benefits shall apply to claims for, and the payment of, extended benefits. B. Effect of Disqualification for Regular Compensation on Entitlement to Extended Compensation. If the week of unemployment for which an individual claims extended compensation is a week to which a disqualification for regular benefits applies, the individual may not be entitled to extended compensation for that week. #### Regulation .07 Charging and Reimbursement. *COMAR 09.32.03.07* A. Charging Extended Compensation. The Secretary shall charge to the experience rating account or accounts of the respective base period employer or employers the appropriate share of any extended benefits paid a claimant in the same manner as regular benefits are charged under COMAR 09.32.01.05. B. Employer's Reimbursement of Extended Compensation. An employer who elects to come under the Unemployment Insurance Law as a reimburseable employer shall reimburse the Unemployment Insurance Fund for the appropriate share of any extended benefits chargeable to him as a base period employer in the same manner as he reimburses the Fund for regular benefits under COMAR 09.32.01.05. C. With respect to governmental entities (including the State, its political subdivisions, and instrumentalities of the State, of one or more subdivisions, of one or more states, and of one or more states and subdivisions), the appropriate share of any extended benefits shall be one-half of any extended benefits paid to these individuals for compensable weeks beginning on or before December 31, 1978, and all extended benefits paid to these individuals for compensable weeks beginning after December 31, 1978. With respect to all other employers, the appropriate share of any extended benefits shall be one-half of any extended benefits paid to these individuals. #### Regulation .08 Recovery Including Restitution and Offset. *COMAR 09.32.03.08* The provisions of Maryland law that apply to recovery of overpayments (including restitution and offset) shall apply to overpayments of extended compensation. If there is recovery of extended compensation, that proportion of the amount restored or offset which represents the federal share of the original payment shall be restored to the appropriate federal accounts. #### Regulation .09 Duplication. *COMAR 09.32.03.09* An individual who is entitled to both extended compensation under the Unemployment Insurance Law and training allowances under §203 of the Manpower Development and Training Act with respect to a week shall be treated as he would have been treated had he been entitled to both regular compensation and the training allowance. #### Regulation .10 Partial Claims. *COMAR 09.32.03.10* Provisions requiring the reduction of regular benefits by specified deductible income are also applicable to benefits paid under the Extended Benefits Program. ### Chapter 04 — Interstate Reciprocal Coverage Arrangements for Employer Elections to Cover Multi-State Workers **Authority:** Labor and Employment Article, §8-305, Annotated Code of Maryland **Administrative History:** Effective date: February 1, 1973 **Administrative History:** (Transferred from Department of Human Services to Department of Employment and Training, effective October 1, 1983; recodified from COMAR 07.04.04 to 24.02.04) **Administrative History:** Chapter recodified from COMAR 24.02.04 to COMAR 09.32.04, May 1996 #### Regulation .01 Relation to Subscribing States. *COMAR 09.32.04.01* This chapter shall regulate the Maryland Department of Labor in its cooperation with other states subscribing to the Interstate Reciprocal Coverage Arrangement hereinafter referred to as “the arrangements”. #### Regulation .02 Definitions. *COMAR 09.32.04.02* A. In this chapter, unless the context clearly indicates otherwise, the following terms have the meanings indicated. B. Terms Defined. (1) “Agency” means any officer, board, commission, or other authority charged with the administration of the unemployment insurance law of a participating jurisdiction. (2) “Interested jurisdiction” means any participating jurisdiction to which an election submitted under this regulation is sent for its approval. “Interested agency” means the agency of that jurisdiction. (3) “Jurisdiction” means any state of the United States, the District of Columbia, Puerto Rico, Virgin Islands, Guam, and Samoa, or, with respect to the Federal Government, the coverage of any Federal Unemployment Law. (4) “Participating jurisdiction” means a jurisdiction whose administrative agency has subscribed to the arrangement and whose adherence to it has not ended. (5) “Services customarily performed by an individual in more than one jurisdiction” means service performed in more than one jurisdiction during a reasonable period, if the nature of the services gives reasonable assurance that they will continue to be performed in more than one jurisdiction or if these services are required or expected to be performed in more than one jurisdiction under the elections. #### Regulation .03 Submission and Approval of Coverage under the Interstate Reciprocal Coverage Arrangement. *COMAR 09.32.04.03* A. Any employing unit may file an election, on Form RC-1, to cover under the law of a single participating jurisdiction all the services performed for him by an individual who customarily works for him in more than one participating jurisdiction. An election as just described may be filed, with respect to an individual with any participating jurisdiction in which: (1) Any part of the individual's services are performed; (2) The individual has his residence; or (3) The employing unit maintains a place of business to which the individual's services bears a reasonable relation. B. Approval of the Election. (1) The agency of the elected jurisdiction (thus selected and determined) shall approve or disapprove the election. (2) If the agency approves the election, it shall forward a copy of it to the agency of each other participating jurisdiction specified on the copy, under whose unemployment compensation law the individual or individuals in question might, in the absence of this election, be covered. Each interested agency shall approve or disapprove the election, as promptly as practicable, and shall notify the agency of the elected jurisdiction accordingly. If its law requires, any interested agency, before taking this action, may require from the electing employing unit satisfactory evidence that the affected employees have been notified of, and have acquiesced in, the election. C. If the agency of the elected jurisdiction, or the agency of any interested jurisdiction, disapproves the election, the disapproving agency shall notify the elected jurisdiction and the electing employing unit of its action and of its reason for this action. D. Such an election shall take effect as to the elected jurisdiction only if approved by its agency and by one or more interested agencies. An election thus approved shall take effect, as to any interested agency, only if it is approved by the agency. E. In case any election is approved only in part, or is disapproved by some of the agencies, the electing employing unit may withdraw its election within 10 days after being notified of this action. #### Regulation .04 Effective Period of Elections. *COMAR 09.32.04.04* A. Commencement. (1) An election duly approved under these regulations shall become effective at the beginning of the calendar quarter in which the election was submitted, unless the election as approved, specifies the beginning of a different calendar quarter. (2) If the electing unit requests an earlier effective date than that beginning of the calendar quarter in which the election was submitted, the earlier date may be approved solely as to those interested jurisdictions in which the employer had no liability to pay contributions for the earlier period in question. B. Termination. (1) The application of an election to any individual under this regulation shall terminate, if the agency of the elected jurisdiction finds that the nature of the services customarily performed by the individual for the electing unit has changed, so that they are no longer customarily performed in more than one participating jurisdiction. This termination shall be effective as of the close of the calendar quarter in which notice of the finding is mailed to all parties affected. (2) Except as provided in §B(1) of this regulation, each election approved here shall remain in effect through the close of the calendar year in which it is submitted, and afterwards until the close of the calendar quarter in which the electing unit gives written notice of its termination to all affected agencies. (3) Whenever an election under this regulation ceases to apply to any individual, under §B(1) or (2) of this regulation, the electing unit shall notify the affected individual accordingly. #### Regulation .05 Reports and Notices by the Electing Unit. *COMAR 09.32.04.05* A. The electing unit shall promptly notify each individual affected by its approved election, on the Form RC-2 supplied by the elected jurisdiction, and shall furnish the elected agency a copy of this notice. B. Whenever an individual covered by an election under this regulation is separated from his employment, the electing unit shall again notify him, immediately, as to the jurisdiction under whose unemployment compensation law his services have been covered. If at the time of termination, the individual is not located in the elected jurisdiction, the electing unit shall notify him as to the procedure for filing interstate benefit claims. C. The electing unit shall immediately report to the elected jurisdiction any change which occurs in the conditions of employment pertinent to its election, such as cases where an individual's services for the employer cease to be customarily performed in more than one participating jurisdiction or where a change in the work assigned to an individual requires him to perform services in a new participating jurisdiction. #### Regulation .06 Approval of Reciprocal Coverage Elections. *COMAR 09.32.04.06* The Secretary or his designated representative shall approve or disapprove reciprocal coverage elections in accordance with these regulations. ### Chapter 05 — Payment of Benefits to Interstate Claimants **Authority:** Labor and Employment Article, §8-305, Annotated Code of Maryland **Administrative History:** Effective date: February 1, 1973 **Administrative History:** (Transferred from Department of Human Services to Department of Employment and Training, effective October 1, 1983; recodified from COMAR 07.04.05 to 24.02.05) **Administrative History:** Chapter recodified from COMAR 24.02.05 to COMAR 09.32.05, May 1996 #### Regulation .01 Scope. *COMAR 09.32.05.01* This chapter shall regulate the Maryland Department of Labor in its administrative cooperation with other states adopting similar regulations for the payment of benefits to interstate claimants. #### Regulation .02 Definitions. *COMAR 09.32.05.02* A. In this chapter, unless the context clearly requires otherwise, the following terms have the meanings indicated. B. Terms Defined. (1) “Agent state” means any state in which an individual files a claim for benefits from another state. (2) “Basic Plan for Combining Wages” means an interstate agreement which establishes a system whereby unemployed workers who lack qualifying wages sufficient for benefits in any one state, may through combining wages from more than one state, become eligible for benefits. (3) “Benefits” means the compensation payable to an individual, with respect to his unemployment, under the unemployment insurance law of any state. (4) “Extended Plan for Combining Wages” means an interstate agreement which establishes a system whereby unemployed workers having sufficient base-period wages to qualify for less than maximum benefits in one or more states and insufficient base-period wages to qualify for benefits in one or more states, may increase the benefits to which they are entitled by combining wages in one of the states in which they have sufficient base-period wages with base-period wages in all states in which they have insufficient wages. (5) “Interstate Benefit Payment Plan” means the plan approved by the Interstate Conference of Employment Security Agencies under which benefits shall be payable to unemployed individuals absent from the state (or states) in which benefit credits have been accumulated. (6) “Interstate claimant” means an individual who claims benefits under the unemployment insurance law of one or more liable states through the facilities of an agent state. The term “interstate claimant” does not include any individual who customarily commutes from a residence in an agent state to work in a liable state unless the Maryland Department of Labor finds that this exclusion would create undue hardship on the claimants in specified areas. (7) “Liable state” means any state against which an individual files, through another state, a claim for benefits. (8) “State” includes District of Columbia, Puerto Rico, Virgin Islands, Guam, Samoa, and the Philippine Islands. (9) “Week of unemployment” includes any week of unemployment as defined in the law of the liable state from which benefits with respect to these weeks are claimed. #### Regulation .03 Registration for Work. *COMAR 09.32.05.03* A. Each interstate claimant shall be registered for work, through any public employment office in the agent state when and as required by the law, regulations, and procedures of the agent state. This registration shall be accepted as meeting the registration requirement of the liable state. B. Each agent state shall duly report to the liable state in question, whether each interstate claimant meets the registration requirements of the agent state. #### Regulation .04 Benefit Rights of Interstate Claimants. *COMAR 09.32.05.04* A. If a claimant files a claim against any state, and it is determined by that state that the claimant has available benefit credits in that state, then claims shall be filed only against the state as long as benefit credits are available in the state. After that, the claimant may file claims against any other state in which there are available benefit credits. For the purpose of this regulation, benefit credits shall be deemed to be unavailable whenever benefits have been exhausted, terminated, or postponed for an indefinite period or for the entire period in which benefits would otherwise be payable, or whenever benefits are affected by the application of a seasonal restriction. B. The benefit rights of interstate claimants established by these regulations shall apply only with respect to new claims (notices of unemployment) filed on or after July 5, 1953. #### Regulation .05 Claims for Benefits. *COMAR 09.32.05.05* A. Claims for benefits or waiting period shall be filed by interstate claimants on uniform interstate claim forms and in accordance with uniform procedures developed pursuant to the Interstate Benefit Payment Plan. Claims shall be filed in accordance with the type of week in use by the agent state. Any adjustments required to fit the type of week used by the liable state shall be made by the liable state on the basis of consecutive claims filed. B. Claims shall be filed in accordance with agent state regulations for interstate claims in local employment offices, or at an itinerant point, or by mail. C. With respect to claims for weeks of unemployment in which an individual was not working for his regular employer, the liable state, under circumstance which it considers good cause, shall accept a continued claim filed up to 1 week, or one reporting period, late. If a claimant files more than one reporting period late, an initial claim shall be used to begin a claim series and a continued claim for a past period may not be accepted. D. With respect to weeks of unemployment during which an individual is attached to his regular employer, the liable state shall accept any claim which is filed within the time limit applicable to the claims under the law of the agent state. #### Regulation .06 Determination of Claims. *COMAR 09.32.05.06* A. The agent state shall, in connection with each claim filed by an interstate claimant, ascertain and report to the liable state in question the facts relating to the claimant's availability for work and eligibility for benefits as are readily determinable in and by the agent state. B. The agent state's responsibility and authority in connection with the determination of interstate claims shall be limited to investigation and reporting of relevant facts. The agent state may not refuse to take an interstate claim. #### Regulation .07 Appellate Procedure. *COMAR 09.32.05.07* A. The agent state shall afford all reasonable cooperation in the taking of evidence and the holding of hearings in connection with appealed interstate claims. B. With respect to the time limits imposed by the law of a liable state upon the filing of an appeal in connection with a disputed benefit claim, an appeal made by an interstate claimant shall be deemed to have been made and communicated to the liable state on the date when it is received by any qualified officer of the agent state. #### Regulation .08 Extension of Interstate Benefit Payments To Include Claims Taken in and for Canada, Puerto Rico, and the Virgin Islands. *COMAR 09.32.05.08* These regulations shall apply in all its provisions to claims taken in and for Canada, Puerto Rico, and the Virgin Islands. #### Regulation .09 Combining Wage Credits. *COMAR 09.32.05.09* A. Claimants desiring to do so will be permitted to elect to combine wages under the terms of any plan for combining wage credits, of which Maryland is a cooperating member. B. All claims filed under the basic plan for combining wages shall be filed in accordance with the laws of the paying state under the terms of any Interstate Arrangement for the Combining of Wages to which Maryland is a party. C. All claims for benefits filed under the Extended Plan for Combining Wages shall be filed as follows: (1) If claims are filed in other than the paying state, the Interstate Benefit Payment Procedure shall be followed. (2) If claims are filed in the paying state, they shall be filed in the same manner as by any other claimant who is claiming benefits under the unemployment insurance law of that paying state. ### Chapter 06 — Board of Appeals — Appeals Procedure **Authority:** Labor and Employment Article, §§8-101, 8-5A-02, 8-5A-05, 8-5A-10, 8-504, 8-604, and 8-605, Annotated Code of Maryland **Administrative History:** Effective date: February 1, 1973 **Administrative History:** Regulation .01 amended effective March 30, 1977 (4:7 Md. R. 578); December 30, 1977 (4:27 Md. R. 2105) **Administrative History:** Regulation .02D amended effective March 30, 1977 (4:7 Md. R. 578) **Administrative History:** Regulation .06K amended as an emergency provision effective March 24, 1986 (13:8 Md. R. 897); emergency status extended at 13:17 Md. R. 1920; emergency status expired November 30, 1986 **Administrative History:** Regulation .07G amended effective July 28, 1978 (5:15 Md. R. 1187) **Administrative History:** Transferred from Department of Human Resources to Department of Employment and Training, effective October 1, 1983; recodified from COMAR 07.04.06 to 24.02.06 **Administrative History:** Annotation: COMAR 24.02.06.02 cited in Johnson v. Department of Employment and Training, 67 Md. App. 712 (1986) **Administrative History:** Regulations .01—.12 repealed and new Regulations .01—.11 adopted effective December 1, 1986 (13:24 Md. R. 2562) **Administrative History:** Regulation .03-1 adopted effective June 8, 1992 (19:11 Md. R. 1017) **Administrative History:** Regulation .11 repealed effective June 8, 1992 (19:11 Md. R. 1017) **Administrative History:** Regulation .12 adopted effective June 10, 1991 (18:11 Md. R. 1190); recodified to Regulation .11 effective June 8, 1992 (19:11 Md. R. 1017) **Administrative History:** Chapter recodified from COMAR 24.02.06 to COMAR 09.32.09, May 1996 **Administrative History:** Regulation .01 amended effective April 5, 1999 (26:7 Md. R. 542) **Administrative History:** Regulation .02 amended effective April 5, 1999 (26:7 Md. R. 542) **Administrative History:** Regulation .03 amended effective April 5, 1999 (26:7 Md. R. 542) **Administrative History:** Regulation .04C amended effective April 5, 1999 (26:7 Md. R. 542) **Administrative History:** Regulation .10 repealed and Regulation .11 amended and recodified to Regulation .10 effective April 5, 1999 (26:7 Md. R. 542) **Administrative History:** Regulations .01—.10 repealed and new Regulations .01—.11 adopted effective December 13, 2010 (37:25 Md. R. 1737) **Administrative History:** Chapter revised effective July 16, 2018 (45:14 Md. R. 696) #### Regulation .01 Appeals and Petitions for Review from Lower Appeals to the Board of Appeals. *COMAR 09.32.06.01* A. Manner of Filing. (1) An appeal from a hearing examiner’s decision, or a petition for review to request a discretionary appeal of a hearing examiner’s decision under Labor and Employment Article, §8-5A-10(b)(2), Annotated Code of Maryland, shall be in writing and signed by the appealing party or the appealing party’s attorney or authorized representative. (2) An appeal or a petition for review may be filed only by mail, facsimile, hand delivery to the administrative office of the Board of Appeals as listed on the hearing examiner decision, or other method of transmission established by the Board of Appeals. The appeal may not be filed by electronic mail. (3) When filed by an attorney or authorized representative, an appeal from or petition for review of a hearing examiner’s decision shall be accompanied by a certification that a copy of the appeal or petition for review and all accompanying papers were mailed, or otherwise delivered in accordance with the format and procedures established by the Board of Appeals, to all other parties in the case. Failure to include the certification does not affect a determination as to the timeliness of the appeal. Failure to include the certification may result in a dismissal of the appeal or petition for review. (4) In the event of an appeal or a petition for review from a hearing examiner’s decision involving more than one claimant on the same issue, the appeal or petition for review may be filed by the individual claimants or by an attorney or authorized representative on the claimants’ behalf. The attorney or authorized representative shall submit, together with the appeal or petition for review, a list containing the names, addresses, appeal numbers, and the last four digits of the Social Security numbers of the claimants who are parties to the appeal or petition for review. (5) In the event of an appeal or petition for review from a hearing examiner’s decision involving a review determination issued under the Labor and Employment Article, Title 8, Subtitle 6, Annotated Code of Maryland, the employer, or the employer’s attorney or authorized representative, shall include the name of the employer, the employer’s address, employer account number, if any, the review determination number and a copy of the hearing examiner’s decision. B. Time for Filing. (1) Under Labor and Employment Article, §8-5A-10(a)(1), Annotated Code of Maryland, an appeal or petition for review from a hearing examiner’s decision involving a determination or redetermination of a claim shall be filed by a party within 15 calendar days after Lower Appeals sends a decision to the last known address of the party. (2) Under Labor and Employment Article, §8-5A-10(a)(2), Annotated Code of Maryland, an appeal from a hearing examiner’s decision involving a review determination shall be filed by an employer within 30 calendar days after Lower Appeals sends the hearing examiner’s decision to the employer at the employer’s last known address. (3) The period for filing an appeal or a petition for review may not be extended by the Board of Appeals. (4) An appeal or petition for review is considered filed on the earliest of the following dates: (a) The date an appeal or petition for review is delivered in person to the administrative office of the Board of Appeals; (b) The U.S. Postal Service postmarked date on which an appeal or petition for review, properly addressed and stamped, is mailed to the administrative office of the Board of Appeals; (c) The date on the appeal or petition for review itself when the envelope has an illegible postmark; (d) The date an appeal or petition for review is received by facsimile transmission at the administrative office of the Board of Appeals; or (e) The date an appeal is otherwise filed in accordance with the format and procedures established by the Board of Appeals. C. Denial of Petition for Review. The Board of Appeals may deny a petition for review filed pursuant to Labor and Employment Article, §8-5A-10(b)(2), Annotated Code of Maryland, if it agrees with the hearing examiner’s decision. #### Regulation .02 Hearings. *COMAR 09.32.06.02* A. Scheduling Authority. The scheduling authority in the case of an appeal or a petition for review pending before the Board of Appeals is the Board of Appeals or its designee. B. Notice of Hearing. (1) The Board of Appeals shall give interested parties at least 15 business days notice in writing of the time and place of any hearing before the Board of Appeals. (2) Notice is sufficient when mailed to the party, postage prepaid, or otherwise delivered to the party in accordance with the format and procedures established by the Board of Appeals, at the last known address of the party. (3) In the case of appeals or petitions for review filed under Regulation .01A(3) of this chapter, notice mailed or otherwise delivered to the attorney or authorized representative, plus notice mailed or otherwise delivered to each individual appellant who filed an individual appeal or a petition for review or to those persons who requested an individual notice, shall be sufficient notice to all parties represented by the attorney or authorized representative. This subsection shall also apply to notices of hearings in labor disputes in which the Board of Appeals has jurisdiction to issue original determinations. (4) For notice purposes, the representation of a party by an attorney or authorized representative is effective on the date an appearance is entered in the case, or the date the appearance is noted in the appeal file, whichever is earlier. C. Public Hearing. Hearings before the Board of Appeals shall be public. The record made in any appeal hearing is a public record. Media coverage of any hearing is permissible unless the Board of Appeals determines that it interferes with the hearing process. D. Record. The record made by or at the direction of the Board of Appeals is the only official transcript of the oral hearing. Additional recordings or transcriptions may be made by the parties at the hearings, or by third parties, only at the discretion of the Board of Appeals or its designee. E. Issues. (1) The Board of Appeals shall inquire fully into the facts of the particular case. The Board of Appeals shall consider all issues expressly appealed by the party in the case and all issues expressly ruled upon in the decision of the hearing examiner. The appeal of a ruling under Labor and Employment Article, §8-1001, 8-1002, 8-1002.1, or 8-1003, Annotated Code of Maryland, shall be considered an appeal raising all four disqualification issues. (2) Notwithstanding §E(1) of this regulation, the Board of Appeals may hear and determine any issue in the case, even if not expressly ruled upon by the hearing examiner or indicated in the notice of hearing, if the speedy administration of justice, without prejudice to any party, will be substantially served by doing so. F. Representation. (1) An interested party may appear without representation in any proceeding before the Board of Appeals. (2) A party may be represented by an attorney admitted to practice by the Maryland Court of Appeals. Attorneys admitted to practice before the courts of any other state or territory of the United States may represent a party subject to the rules of the Maryland Court of Appeals. (3) A claimant may also be represented by an authorized representative other than an attorney, but the representative may not charge or accept payment for the representation. (4) An employer may appear for itself, or be represented by any other authorized representative. (5) The Board of Appeals may prohibit an individual from representing others in a hearing if the Board of Appeals finds, after a special hearing convened for that purpose, that the individual has committed unethical conduct in relation to unemployment insurance claims and appeals. G. Appointment of Interpreter. (1) If a party or witness is hearing-impaired or mute, and because of this impediment cannot readily understand or communicate the spoken language, or if the party or witness is unable to communicate in the English language, the party or witness may apply to the Board of Appeals for the appointment of a qualified interpreter to assist that person. The scheduling authority may appoint an interpreter on its own motion. (2) Upon application of the party or witness, the Board of Appeals shall appoint a qualified interpreter to assist that person. (3) In selecting a qualified interpreter for appointment, the Board of Appeals may consult any directory of interpreters which is maintained by any court in this State. (4) An interpreter appointed pursuant to this section shall be allowed reasonable compensation subject to approval of the Board of Appeals. H. Procedure at Hearing. (1) Unless the Board of Appeals has denied a petition for review, appeals to the Board of Appeals shall be considered upon the evidence in the record based on the hearing before the hearing examiner, but the Board of Appeals may direct the taking of testimony in addition to that contained in the record, in its discretion, or, after notice to the parties, hear the case de novo and disregard testimony taken previously, or take testimony in addition to that contained in the record made before the Lower Appeals Division. (2) The Board of Appeals shall have the power to call, examine, and cross-examine witnesses and to introduce into the record documentary or other evidence. As authorized by the Board of Appeals, the parties to the hearing may be given an opportunity to cross-examine witnesses, call witnesses on their own behalf, to inspect documents, and to offer evidence in explanation or rebuttal. (3) The Board of Appeals may also order the taking of testimony in a hearing before a special examiner, unless a party objects in writing. (4) Upon request of any party at a hearing, the Board of Appeals or its designee shall grant the interested parties a reasonable time for oral argument. (5) The Chairman shall preside at the hearings before the Board of Appeals and shall make all evidentiary and procedural rulings at the hearings. If the Chairman is not present at a hearing, each associate member shall, on alternate hearing days, exercise the powers of the Chairman at the hearing. (6) Two members of the Board of Appeals shall constitute a quorum for the purpose of any hearing under this regulation. (7) If the decision of the three members of the Board of Appeals is not unanimous, the decision of the majority of the members shall control. The minority member may file a dissenting opinion, together with the reasons for that dissent. Each member of the Board of Appeals who participates in a Board of Appeals hearing shall sign the decision on the case and shall indicate his or her concurring opinion, and shall state the reasons for that concurrence. I. Evidence. (1) Rules of Evidence. The hearings shall be conducted informally in a manner to ascertain the substantial rights of the parties, and the Board of Appeals may not be bound by common law or statutory rules as to the admissibility of evidence or by technical rules of procedures. Witnesses shall testify under oath or affirmation. (2) Electronically Stored Records. A party who seeks to enter into evidence video recordings, audio recordings, or other electronically stored records shall produce at the hearing the equipment necessary to allow review of the contents of the records. The party offering the records shall have the continuing obligation to produce the equipment necessary to review the records if further administrative proceedings occur. If the party offering the records fails to produce the equipment necessary to review the records, the Board of Appeals may exclude the records from consideration. (3) Agency Records. (a) The records of the Maryland Department of Labor are public records and shall be competent evidence of the facts disclosed in the records. A witness is not required to introduce a public record into evidence. The burden shall be on the party objecting to any Department records being entered into evidence at the hearing to show by a preponderance of the credible evidence the legal reasons why the records should not be entered into evidence. (b) Requests of any party to an appeal or petition for review for information from the records of the Maryland Department of Labor or the Board of Appeals shall be forwarded to the Secretary so that relevant and pertinent information may be furnished by the Secretary. Upon request, any party shall be furnished with any information contained in the appeals records that may be pertinent or material to the case. Requests for this information shall be made at least 5 business days before the hearing and state, with particularity, the nature of the information desired. Requests for information made after the fifth business day prior to the hearing, will be granted only at the discretion of the scheduling authority. (4) Evidence of Medical Condition. In any case when the medical condition of a party is at issue, the Board of Appeals, for good cause shown, may grant a party up to 10 days after the hearing to submit written medical documentation. (5) Additional Records. The Board of Appeals, for good cause shown, may grant a party up to 10 calendar days after a hearing to submit additional records. J. Subpoenas. (1) The Board of Appeals may issue subpoenas, to be served by certified mail or by any individual who is not a party and who is 18 years old or older, to compel the attendance of witnesses and the production of books, papers, correspondence, and other records deemed necessary as evidence in writing. (2) The scheduling authority may deny requests for subpoenas that it determines are frivolous or unreasonably burdensome to the other party, but requests may not be denied without substantial cause. (3) Requests for subpoenas shall: (a) Be in writing; (b) State the name and address of the person to be subpoenaed; (c) State the reason for the request; (d) State with specificity the documents to be subpoenaed; and (e) Be delivered to the scheduling authority at least 10 business days before the hearing date. K. Continuance of Hearing. The Board of Appeals, in its sole discretion, may continue any hearing. Whenever it appears that an investigation as to any matter material to the issues involved in the proceedings is necessary to aid in the determination of the case, the Board of Appeals may order an investigation to be made and may continue the hearing pending the investigation. L. Withdrawal of Appeals. At any time before the conclusion of a hearing before the Board of Appeals or before a decision is issued by the Board of Appeals, a party appealing from a hearing examiner’s decision may request that its appeal be withdrawn, and the Board of Appeals may permit the withdrawal. An approved withdrawal is a final decision and is not subject to a request to reopen. Approved withdrawn appeals shall not be subject to further review by the Board of Appeals. M. Dismissal of Appeal for Failure to Appear. If an appealing party fails to appear at a hearing after having been given the required notice of the hearing, the Board of Appeals may issue a decision on the facts available or may dismiss the appeal. A party’s failure to be present at the location designated for the hearing within 10 minutes of the time scheduled is a failure to appear within the meaning of this section. N. Reopening of Dismissed Case. (1) A request for reopening of a dismissed case shall be in writing. If an attorney or authorized representative files a request on behalf of a party, the request shall include a notation that a copy of the reopening request was simultaneously mailed or delivered to the opposing parties. A failure to include this notation, however, does not affect the timeliness of the request. (2) A request for the reopening of a case may be granted for the following reasons: (a) The party received the hearing notice on or after the date of the hearing as a result of: (i) An untimely or incorrect mailing or delivery of a hearing notice; or (ii) A delay in the delivery of a hearing notice by the United States Postal Service; (b) An emergency or other unforeseen and unavoidable circumstance that prevented a party from both attending the hearing and requesting a postponement of the hearing; or (c) A party requested a postponement for the reasons listed in §N(2)(a) or (b) of this regulation, but the request was improperly denied. (3) Misreading of a properly prepared hearing notice as to the date, time, and place of the hearing is not good cause for reopening a dismissed case. (4) A dismissal issued by the Board of Appeals after a scheduled hearing may be reopened only by a majority vote of the Board of Appeals taken within 10 calendar days of the date of the dismissal. (5) The decision of the Chief Hearing Examiner of the Lower Appeals Division that there is not good cause to reopen a dismissed case is appealable to the Board of Appeals. (6) The decision of the Chief Hearing Examiner of the Lower Appeals Division that there is good cause to reopen a dismissed case is appealable to the Board of Appeals only at the time that a decision on the merits of the underlying case is rendered. O. Failure to Appear Before Hearing Examiner. (1) In the event that a party failed to appear for a hearing that resulted in a decision by a hearing examiner, the non-appearing party may request an opportunity to establish good cause for failing to appear for a hearing. (2) A request for a hearing to determine if there is good cause for failing to appear shall be in writing, and shall be sent to the opposing party or parties. The Board of Appeals may order that a second hearing be held before a hearing examiner if the party establishes a reason listed in COMAR 09.32.11.02 for reopening a case or a procedural or due process violation. P. Attorney’s Fees. (1) An attorney representing a claimant in a proceeding before the Board of Appeals may not charge a fee in excess of 200 percent of the claimant’s weekly benefit amount per case without the approval of the Board of Appeals. (2) Requests for approval of fees greater than 200 percent of the claimant’s weekly benefit amount shall be accompanied by an itemized account of services rendered in the case. A request for the excess fee shall be submitted within 30 calendar days of the date of the issuance of the decision. The Board of Appeals shall have authority to approve a fee higher than the maximum allowed under §P(1) of this regulation based upon the complexity of the case and the reasonableness of the fees. (3) The fee amounts set out in this subsection may be awarded in addition to any fees awarded by the Chief Hearing Examiner of the Lower Appeals Division. Q. Conflict of Interest. A member of the Board of Appeals may not participate in a hearing or appeal in which the member has an interest. A challenge as to the interest of a particular Board member shall be decided by the other members of the Board of Appeals. R. Postponement of Hearings. (1) A request for the postponement of a case shall be in writing, addressed to the scheduling authority, and accompanied by a notation that a copy of the request was simultaneously mailed, or otherwise delivered in accordance with procedures established by the Board of Appeals, to the opposing party in the case. (2) Unless the requirements of §R(5) of this regulation are met, a request for postponement shall be considered only if received by the scheduling authority at least 3 business days before the hearing date. (3) The scheduling authority may postpone a hearing for good cause shown. The repeated inability of a party’s attorney or authorized representative to appear on account of a conflicting court date is not good cause. (4) Documentary proof of the reason for postponement may be required by the scheduling authority. This documentation must be received by the scheduling authority at least 3 business days before the date of the originally scheduled hearing. (5) A request for a postponement that is not received by the scheduling authority at least 3 business days before the hearing may be granted for good cause if: (a) The request for postponement was postmarked at least 5 calendar days before the hearing date but was not received by the Board of Appeals until after the time set in §R(2) of this regulation; (b) An error on the part of the Board of Appeals has caused such a delay in the requesting party’s receipt of the hearing notice that the requirement of §R(2) of this regulation could not reasonably be met, and the requesting party has taken timely and reasonable steps to request a postponement as soon as possible after receipt of the hearing notice; or (c) The postponement is requested because of sudden and unforeseeable health problems, hazardous weather conditions, or the like, the emergency nature of which would cause a substantial hardship or injustice on a party if the case were not postponed. S. Witness Fees. Upon written request, a witness not employed by the Maryland Department of Labor who is subpoenaed for a hearing before the Board of Appeals shall be entitled to receive an attendance fee in the amount of $25 in a case when the witness is summoned to appear in the county where the witness lives or does business, or $50 in other cases. Fees for witnesses subpoenaed shall be paid by the Board of Appeals. T. Telephone Conference Hearings Before Special Examiners. (1) Testimony before a special examiner designated by the Board of Appeals may be taken by telephone. (2) A party not wishing to present testimony and evidence by telephone may appear at the hearing and present evidence in person at the location from which the telephone hearing is generated. (3) In all telephone hearings, documentary evidence that a party participating by telephone intends to offer must be provided to the special examiner and all other parties at least 5 calendar days before the hearing. The special examiner may refuse to consider evidence that is not timely provided. Before the acceptance into evidence of documents at a telephone hearing, the special examiner shall allow the opposing party to cross–examine the submitting party or witness concerning the nature and veracity of the proffered document. (4) A party shall be afforded all rights at a telephone hearing to which the party would be entitled at a regular hearing, subject only to the limitations of the physical arrangement. (5) A party’s failure to call into a hearing, failure to answer the telephone, failure to have a telephone available for a hearing, or failure to be ready to proceed with the hearing shall be considered as a failure to appear at the hearing if these conditions exist for more than 10 minutes after the scheduled time for the hearing. #### Regulation .03 Withdrawal of Decision by the Board of Appeals. *COMAR 09.32.06.03* A. At any time within 10 calendar days of a decision pursuant to Labor and Employment Article, §8-806(h), Annotated Code of Maryland, the Board of Appeals may withdraw its decision by vote of a majority of its members. Notice shall promptly be given to all parties of the withdrawal. Upon withdrawing a decision, the Board of Appeals may issue a revised decision or hold the case for further hearing or argument. The 10-day period is not tolled by the filing of petitions, appeals, or correspondence from any party. B. A request for the Board of Appeals to withdraw its decision under §A of this regulation does not toll the time limit for filing an appeal to circuit court. #### Regulation .04 Remand to Hearing Examiner. *COMAR 09.32.06.04* A. The Board of Appeals may remand a case to a hearing examiner for purposes that it may direct. Cases remanded for a de novo or additional hearing shall be placed upon the calendar for prompt hearing. The hearing examiner to whom a case has been remanded for a new decision without a new hearing shall promptly issue the new decision. B. If a case is remanded for a new hearing, the previous decision of the hearing examiner shall remain in effect unless vacated by the Board of Appeals until the issuance of a new decision by a hearing examiner. Unless the Board of Appeals orders otherwise, upon the convening of the new hearing, the appellant before the Board of Appeals shall have the burden of going forward. If the appellant before the Board of Appeals does not appear at the remand hearing, the previous decision of the hearing examiner shall remain in effect or be reinstated. C. The Board of Appeals may issue specific directions to a hearing examiner with regard to the remand of any particular case. #### Regulation .05 Precedent Decisions. *COMAR 09.32.06.05* Decisions of the Board of Appeals designated as precedent by the Board shall constitute legal precedent for decisions of the hearing examiners. #### Regulation .06 Procedure for Hearings on Claims Under Labor and Employment Article, §8-1004, Annotated Code of Maryland. *COMAR 09.32.06.06* A. A claim involving the application of the provisions of Labor and Employment Article, §8-1004, Annotated Code of Maryland, that is referred to a special examiner by order of the Board of Appeals shall be presented, heard, and decided by the special examiner in the manner prescribed by the provisions of this chapter pertaining to hearings before the Board of Appeals. B. An appeal from the decision of a special examiner shall be decided by the Board of Appeals in the manner prescribed by the provisions of this chapter pertaining to an appeal from a decision of a hearing examiner. #### Regulation .07 Employer Appeals Arising Under Labor and Employment Article, §8-605(b), Annotated Code of Maryland. *COMAR 09.32.06.07* A. An employer aggrieved by a decision of the Lower Appeals Division appealable under Labor and Employment Article, §8-605(b), Annotated Code of Maryland, may file an appeal or petition for review within 30 calendar days after Lower Appeals sends the decision to the employer. The provisions of Regulations .01 and .02 of this chapter apply to these appeals. B. An appeal or petition for review shall include the following information: (1) The name, address, employer account number, if any, and review determination number; and (2) A copy of the decision of the Lower Appeals Division that is being appealed. C. The Board may refer an appeal or petition for review from Lower Appeals to a special examiner for a hearing and a proposed decision, which, if adopted by the Board of Appeals, shall be appealable to a circuit court of the State. #### Regulation .08 Judicial Review. *COMAR 09.32.06.08* Within 30 calendar days after the Board of Appeals mails or otherwise delivers its decision to a party, a party aggrieved by the decision may secure judicial review of the decision by appealing the decision in accordance with the provisions of Labor and Employment Article, §8-5A-12, Annotated Code of Maryland, the Maryland Rules of Procedure, and the appropriate rules of court. #### Regulation .09 Records and Transcripts. *COMAR 09.32.06.09* A. All documents received from a party shall be retained either in paper form or by scanning the document electronically into an electronic case file. In cases where duplicate copies of documents are received by the Board of Appeals, only the first copy of the document received by the Board of Appeals shall be retained in the paper or electronic case file. B. The Board of Appeals shall maintain a record of all testimony and proceedings before the Board of Appeals and its special examiners. C. Upon the filing of an appeal from a decision of the Board of Appeals to a circuit court, the record of the oral proceedings shall be transcribed. D. Except as otherwise provided by statute or regulation, the party filing the appeal with a circuit court shall pay to the Department the expense of the transcript, including a reasonable charge for the reproduction of exhibits, in advance of the transcript preparation. E. An individual claiming benefits may not be charged a fee for transcription of the oral proceedings in that individual’s case. ### Chapter 07 — Reconsideration of Unemployment Insurance Overpayment Recovery and Waiver Request **Authority:** Labor and Employment Article, §§8-305 and 8-809, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.09 adopted as an emergency provision effective March 14, 1989 (16:7 Md. R. 809); emergency status expired July 14, 1989 **Administrative History:** Regulations .01—.09 adopted permanently effective November 13, 1989 (16:22 Md. R. 2366) **Administrative History:** Chapter recodified from COMAR 24.02.07 to COMAR 09.32.07, May 1996 **Administrative History:** Regulation .02 amended as an emergency provision effective August 17, 2022 (49:20 Md. R. 909); emergency provision expired effective November 22, 2022 **Administrative History:** Regulation .02 amended effective December 26, 2022 (49:26 Md. R. 1079) **Administrative History:** Regulation .03B amended as an emergency provision effective August 17, 2022 (49:20 Md. R. 909); emergency provision expired effective November 22, 2022 **Administrative History:** Regulation .03B amended effective December 26, 2022 (49:26 Md. R. 1079) **Administrative History:** Regulation .04 amended as an emergency provision effective August 17, 2022 (49:20 Md. R. 909); emergency provision expired effective November 22, 2022 **Administrative History:** Regulation .04 amended effective December 26, 2022 (49:26 Md. R. 1079) **Administrative History:** Regulation .08E, F adopted as an emergency provision effective August 17, 2022 (49:20 Md. R. 909); emergency provision expired effective November 22, 2022 **Administrative History:** Regulation .08E, F adopted effective December 26, 2022 (49:26 Md. R. 1079) #### Regulation .01 Purpose. *COMAR 09.32.07.01* The purpose of these regulations is to establish procedures and interpret the standards for waiver of recovery of overpayments of unemployment insurance benefits, and to establish procedures for appealing the correctness of the application of an overpayment, in accordance with Labor and Employment Article, §8-809, Annotated Code of Maryland. #### Regulation .02 Scope and Applicability. *COMAR 09.32.07.02* These regulations apply to any claimant who has been found to have received an overpayment of unemployment insurance benefits and requested a waiver, unless the overpayment was determined to have resulted from fraud on the part of the claimant. #### Regulation .03 Definitions. *COMAR 09.32.07.03* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Claimant” means any individual who has filed a claim for unemployment insurance benefits. (2) “Deliver” or “delivery” means the Department’s transmission of a communication to a claimant in accordance with the claimant’s preferred communication method. In cases involving notices of a decision of an overpayment waiver request, the term “deliver” or “delivery” means to also require transmission by first-class mail to the claimant’s last known address. (3) “Deliver” or “delivery” means the Department's transmission of a communication to a claimant in accordance with the claimant's preferred communication method. In cases involving notices of a decision of an overpayment waiver request, the term “deliver” or “delivery” means to also require transmission by first-class mail to the claimant's last known address. (4) “Department” means the Maryland Department of Labor. (5) “Overpaid claimant” means any claimant who has been determined to have received an overpayment of unemployment insurance benefits. (6) “Overpayment” means any amount of unemployment insurance benefits received by an individual which has been determined to be in excess of that which the individual was entitled to receive under the applicable law. (7) “Secretary” means the Secretary of Labor, or the Secretary's authorized representative. (8) “Unemployment insurance benefits” means any monetary payments of benefits, including dependents' allowances, which are made pursuant to: (a) The Unemployment Insurance Law and intended to replace income lost by reason of unemployment; or (b) Another state's unemployment insurance law or an unemployment insurance benefit program of the United States, where the benefits paid are subject to a governmental offset agreement. (9) “Unemployment Insurance Law” means Labor and Employment Article, Title 8, Annotated Code of Maryland. #### Regulation .04 Recovery of Overpayments. *COMAR 09.32.07.04* The Department may recover overpayments by beginning civil actions or, in the discretion of the Secretary, overpayment may be offset against current or future payments of unemployment insurance benefits to which the overpaid claimant is entitled. If the Department chooses to recover the overpayment by offset, the amount of the offset may be 100 percent of the current or future weekly benefit entitlement. The Department may not recover an overpayment before the time for requesting an overpayment waiver has expired, while a timely filed waiver request is pending decision by the Secretary or the Secretary’s designee, or while a timely filed appeal of the denial of an overpayment waiver request is pending. #### Regulation .05 Waiver of Recovery of Overpayments. *COMAR 09.32.07.05* A. Waiver of recovery of the overpayment will be approved when, in the judgment of the Secretary, the overpaid claimant: (1) Is without fault; and (2) Lacks the ability to pay now and in the foreseeable future, or is likely to be below the federal minimum poverty level and is likely to remain there for the foreseeable future. B. If an overpaid claimant is found to be without fault because the overpayments were caused exclusively by agency error, the waiver request may be recommended. C. In any proceedings under these regulations, the overpaid claimant shall have the burden of proving entitlement to a waiver. D. An overpayment found to have been illegally received pursuant to Labor and Employment Article, §8-809, Annotated Code of Maryland, may not be waived. #### Regulation .06 Determination of Fault. *COMAR 09.32.07.06* A. “Fault”, as used in the phrase “without fault”, applies only to the fault of the overpaid claimant. Fault on the part of the Department in making the overpayment does not relieve the overpaid claimant of liability for repayment if the claimant's fault contributed to the overpayment. B. In determining whether an individual is at fault, the Secretary may consider the nature and cause of the overpayment and the capacity of the particular claimant to have recognized the error causing the overpayment. The elements which constitute fault on the part of the overpaid claimant depend upon whether the facts show: (1) An incorrect statement made by the claimant which the claimant knew or should have known to be incorrect; (2) Failure to furnish information which the claimant knew or should have known to be material, including failure to correct a monetary determination; or (3) Acceptance of a payment which the claimant knew or should have known was incorrect. C. The determination of what an overpaid claimant “should have known” is an issue of fact to be found by the administrative agency. #### Regulation .07 Notice of Recovery and Right to Request Waiver. *COMAR 09.32.07.07* When the Secretary decides to recover an overpayment, the Secretary shall notify the overpaid claimant in writing. The notice shall include: A. The amount to be recovered; B. The weeks with respect to which the benefits were paid; C. The provision of the law under which it was determined that the claimant was ineligible for benefits; D. A brief explanation of the means available to the Department for recovery of the overpayment; E. A statement directing the claimant to the claimant's local office to obtain an application for waiver of overpayment; and F. A statement advising that the claimant has 30 days from the date of the notice to submit an application for waiver of overpayments, unless the claimant can show good cause for not meeting the 30-day requirement. #### Regulation .08 Processing of Application for Waiver of Overpayment. *COMAR 09.32.07.08* A. After an application for waiver of overpayment is received, the local office representative shall determine the cause of the overpayment and forward the application to the Department's recoveries section. The recoveries section shall make the initial recommendation to recover or waive the overpayment. B. If the recommendation is to recover the overpayment and deny waiver, written notice shall be given to the claimant. The notice shall include a statement: (1) Of the reasons for the proposed denial in accordance with Regulation .05 of this chapter, including a determination of fault and the claimant's ability to pay. If the waiver request is denied on the ground that the overpaid claimant was at fault, however, no further finding will be made. (2) Advising the claimant of the right to provide additional information within 15 days to the Secretary for the Secretary's consideration. C. Applications recommended for approval shall be forwarded to the Secretary. D. The Secretary may grant a waiver of overpayment only within 1 year of the initial determination establishing the overpayment. The 1-year period shall be stayed pending the outcome of any appeal. E. Following the grant or denial of a request for waiver of recovery of an overpayment, the Department shall promptly deliver to the claimant a written notice setting out the basis for grant or denial of the request and explaining the claimant's appeal rights. F. Within 30 days of the delivery of a denial of a request for waiver of a recovery of overpayment, a claimant may appeal the denial in accordance with COMAR 09.32.11 or, if the claimant disagrees with the decision issued, in accordance with COMAR 09.32.06, as applicable. #### Regulation .09 Interest on Overpayments. *COMAR 09.32.07.09* Interest on overpayments shall be calculated from the initial determination of the overpayment. ### Chapter 08 — Access to Unemployment Insurance Records **Authority:** Labor and Employment Article, §8-305, Annotated Code of Maryland **Administrative History:** Effective date: May 4, 1998 (25:9 Md. R. 679) #### Regulation .01 Purpose. *COMAR 09.32.08.01* This chapter sets out the procedures for access to and inspection of unemployment insurance records related to the determination of a claim. The procedures described in this chapter are in addition to the procedures for obtaining access to and inspection of records under the Maryland Public Information Act pursuant to COMAR 09.01.04. A claimant or employer, as defined in this chapter, may choose to proceed under either COMAR 09.01.04 or this chapter in order to obtain access to and inspection of unemployment insurance records. #### Regulation .02 Definitions. *COMAR 09.32.08.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Claimant” means an individual who submits a claim for unemployment insurance benefits. (2) “Department” means the Maryland Department of Labor. (3) “Employer” means a person or governmental entity who employs at least one individual within the State and who is an interested party in the determination of the claimant's claim. (4) “Unemployment insurance office” means: (a) Any local office that processes claims for unemployment insurance benefits; or (b) The central office of the Office of Unemployment Insurance of the Maryland Department of Labor. #### Regulation .03 Applicability. *COMAR 09.32.08.03* This chapter applies only to requests made to an unemployment insurance office by a claimant or employer for the inspection or copying of unemployment insurance records related to the determination of a claim for unemployment insurance benefits. #### Regulation .04 Procedures. *COMAR 09.32.08.04* A. A claimant or employer, or an authorized representative of a claimant or employer, may request to inspect or copy the unemployment insurance records related to the determination of the claimant's claim for benefits. The request may be directed to either the manager of the unemployment insurance office where the claim was filed or the custodian of records of the Office of Unemployment Insurance. B. Upon the request of a claimant or employer, or an authorized representative, and upon the reasonable verification of the claimant's or employer's or representative's identify, the unemployment insurance office to whom the request was made shall, with reasonable promptness, make available to the requestor for inspection and copying unemployment insurance records related to the determination of the claimant's claim. C. A claimant or employer who requests access to and inspection of unemployment insurance records may inspect the records during the normal working hours of the unemployment insurance office to which the request was made. D. If a determination of a claim for unemployment insurance benefits is appealed, the unemployment insurance office where the claim was filed shall maintain a copy of all records upon which the determination is based and make them available to a claimant or employer, or the authorized representative of the claimant or employer, upon request. ### Chapter 09 — Workplace Fraud **Authority:** Labor and Employment Article, §8-201.1, 8-305, and 8-306, Annotated Code of Maryland **Administrative History:** Effective date: November 2, 2009 (36:22 Md. R. 1724) #### Regulation .01 Evidence of a Knowing Violation. *COMAR 09.32.09.01* A. The Secretary may consider evidence under §B of this regulation that an employer knowingly failed to properly classify an employee. B. The evidence shall include the following: (1) Any previous violation of the Workplace Fraud Act or a violation of any other state or federal law that involves similar issues related to the classification of employees; (2) Refusal or failure of the employer to produce records requested pursuant to Labor and Employment Article, §8-625(b), Annotated Code of Maryland; (3) Refusal or failure of the employer to cooperate with an investigation authorized under Labor and Employment Article, §8-306, Annotated Code of Maryland; (4) Evidence that the employer classifies differently individuals who perform substantially the same tasks, allowing for the business model described in Labor and Employment Article, §3-903(c)(3), Annotated Code of Maryland; and (5) Any other credible evidence of the employer's actual knowledge of, deliberate ignorance of, or reckless disregard for whether or not the worker is misclassified. ### Chapter 10 — Employer Audits **Authority:** Labor and Employment Article, §§8-305, 8-306, 8-602, and 8-625, Annotated Code of Maryland **Administrative History:** Effective date: July 26, 2010 (37:15 Md. R. 998) **Administrative History:** Regulation .05H, I amended effective April 24, 2017 (44:8 Md. R. 403) #### Regulation .01 Purpose. *COMAR 09.32.10.01* This chapter sets out the Division of Unemployment Insurance's procedures for conducting an audit, the related requirements for employers, and procedures for agency level review prior to appeal. #### Regulation .02 Definitions. *COMAR 09.32.10.02* For the purpose of this chapter, “audit” means a review of an employer's records to ensure compliance with the Maryland Unemployment Insurance Law and regulations. #### Regulation .03 Audit Process. *COMAR 09.32.10.03* A. Assignment. (1) Upon receipt of an audit assignment, a field auditor shall send an audit notice letter to the employer advising that the employer is the subject of an audit by the field investigation and audit unit. (2) The letter shall: (a) State the authority for conducting the audit; (b) Contain a list of records that the auditor will review in order to conduct the audit; and (c) Request that the employer contact the auditor within 15 business days to arrange a convenient time to conduct the audit. B. Failure to Respond. (1) If the employer fails to respond to the initial audit notice, the auditor shall send the employer a final audit notice requesting that the employer contact the auditor within 10 business days. (2) The notice shall advise that if the employer fails to contact the auditor within 10 business days, a subpoena duces tecum may be issued compelling production of records. C. After the audit has been scheduled, the auditor may do any or all of the following: (1) Require a meeting with the employer or the employer's designated representative; (2) Interview the workers in question; or (3) Request additional information or documentation from the employer. D. Upon completion of the audit, if the auditor determines that no adjustment is necessary, a letter shall be sent to the employer advising the employer that no violation of the Maryland Unemployment Insurance Law was found for the audit period. E. Adjustments Needed. (1) If, after completing the audit, the auditor finds that adjustments to the employer's account are warranted, the auditor shall notify the employer of the audit findings and the adjustments to be made to the account. (2) The Preliminary Audit Findings letter shall state the basis for the audit findings, based on information the auditor has received. #### Regulation .04 Records. *COMAR 09.32.10.04* A. An auditor may request any records necessary from an employer including, but not limited to, those set forth in the Labor and Employment Article, §§8-306(b) and 8-625, Annotated Code of Maryland, and COMAR 09.32.01.06. Refusal or failure by an employer, or the employer's representative, to provide requested records to an auditor may result in the issuance of a subpoena. B. Refusal or failure by an employer, or the employer's representative, to provide requested documents after issuance of a subpoena may result in either or both of the following: (1) Judicial enforcement of the subpoena; or (2) Placement of estimated assessments on the employer's account. No judicial action to collect on estimated assessments will occur until a final determination is made. #### Regulation .05 Appeal of Audit Findings. *COMAR 09.32.10.05* A. If an auditor determines that adjustments to an employer's account are warranted, the auditor shall issue preliminary audit findings. B. If the employer disagrees with the preliminary audit findings, the employer may request a review determination within 30 days of the date of the preliminary audit letter. C. Upon receipt of a request for a review determination, a reviewer designated by the Secretary shall be assigned to conduct the review determination. D. The designated reviewer may: (1) Review the audit work papers; (2) Speak to the employer and designated representative; and (3) Request any additional information the reviewer deems necessary. E. In addition, the employer may provide any documentation to the reviewer that the employer believes supports its position. F. If the employer fails to provide the additional information requested by the Reviewer within the timeframe established by the Reviewer, the Reviewer shall make a determination based on the available information. G. Upon completion of the review determination, the reviewer shall prepare a detailed written decision affirming or reversing the findings of the field auditor. H. The review determination shall: (1) State in detail the facts upon which the reviewer relied in order to affirm or adjust the audit findings; and (2) Advise the employer that if the employer disagrees with the review determination, the employer may file an appeal with the Board of Appeals in accordance with procedure and time periods set forth in the Maryland Unemployment Insurance Law. I. If an employer does not request a review determination within the 30-day period for requesting a review determination: (1) The preliminary audit findings shall become final; and (2) The employer shall be sent a notice of determination advising the employer that the employer may file an appeal with the Board of Appeals in accordance with procedure and time periods set forth in the Maryland Unemployment Insurance Law. ### Chapter 11 — Lower Appeals Division — Appeals Procedure **Authority:** Labor and Employment Article, §8-504, Annotated Code of Maryland **Administrative History:** Effective date: December 13, 2010 (37:25 Md. R. 1737) **Administrative History:** Regulation .01 amended effective April 23, 2018 (45:8 Md. R. 420) **Administrative History:** Regulation .02 amended effective April 23, 2018 (45:8 Md. R. 420) **Administrative History:** Regulation .02I amended effective April 24, 2017 (44:8 Md. R. 403) **Administrative History:** Regulation .04 amended effective April 23, 2018 (45:8 Md. R. 420) #### Regulation .01 Filing of Appeal. *COMAR 09.32.11.01* A. Manner of Filing. (1) An appeal from a claims examiner's determination or an appeal of a review determination shall be in writing and signed by the party appealing, or the party's attorney or authorized representative. The appeal may be filed by mail, by facsimile, by hand delivery to the Lower Appeals administrative office at the Lower Appeals Division address listed on the benefit determination or review determination, or by other electronic means in a format approved by the Chief Hearing Examiner. (2) In the event of an appeal from a determination of a claims examiner involving more than one claimant on the same issue, the appeal may be filed by the individual claimants or by an authorized representative on their behalf. The authorized representative shall submit, together with the appeal, a list containing the names, addresses, and last four digits of the Social Security numbers of the claimants who are parties to the appeal. B. Time for Filing. (1) An appeal from a claims examiner’s determination shall be filed within 15 calendar days after the determination is mailed or otherwise sent to the last known address of the party. (2) An appeal from a review determination shall be filed within 30 calendar days after the review determination is mailed or otherwise sent to the last known address of the party. (3) An appeal is considered filed on the earliest of the following dates: (a) The date an appeal is delivered in person to the administrative office of the Lower Appeals Division; (b) The U.S. Postal Service postmark date on which an appeal, properly addressed and stamped, is mailed to the administrative office of the Lower Appeals Division; (c) The date on the appeal itself when the envelope has an illegible postmark; or (d) The date an appeal is received by facsimile or other electronic means in a format approved by the Chief Hearing Examiner at the administrative office of the Lower Appeals Division. (4) The period for filing an appeal from the claims examiner's determination or an appeal of a review determination may be extended by the Hearing Examiner for good cause shown. #### Regulation .02 Hearings Before the Hearing Examiner. *COMAR 09.32.11.02* A. Scheduling Authority. The scheduling authority in the case of an appeal pending before a Hearing Examiner is the Chief Hearing Examiner or the Chief Hearing Examiner’s designee. B. Notice of Hearing. (1) The interested parties shall be given at least 7 business days notice in writing of the time and place of any hearing before the Hearing Examiner. (2) Notice is sufficient when mailed to the party, postage prepaid, at the last known post office address of the party or by electronic means in a format approved by the Chief Hearing Examiner, if the party has opted to receive notice by electronic means. (3) In the case of appeals filed under Regulation .01A(2) of this chapter, notice sent in accordance with §B(2) of this regulation to the attorney or authorized representative, and to each individual appellant who filed an individual appeal or who requested individual notice, shall be sufficient notice to all parties represented by the attorney or authorized representative. (4) For notice purposes, the representation of parties by attorneys or authorized representatives is effective on the date an appearance is entered in the case, or the date the appearance is noted in the appeal file, whichever is earlier. C. Pretrial Conference. In appeals of review determinations resolving issues arising under Labor and Employment Article, §8-602(a)(2) and (5), Annotated Code of Maryland, the Chief Hearing Examiner may consider a motion of a party requesting a scheduling conference to resolve preliminary issues including, but not limited to, the exchange of documentation, the exchange of lists of potential witnesses, and proposed stipulations. D. Public Hearing. Hearings before the Hearing Examiner shall be public. The record made in any appeal hearing is a public record. Media coverage of any hearing is permissible unless the Hearing Examiner determines that it interferes with the hearing process. E. Record. The recording made by or at the direction of the Hearing Examiner is the only official record of the oral hearing. Additional recordings or transcriptions may be made by the parties at the hearing, or by third parties, only at the discretion of the Hearing Examiner hearing the case. F. Issues. The Hearing Examiner shall inquire fully into the facts of the particular case. A Hearing Examiner shall consider the issue expressly ruled upon in the determination of the claims examiner or the review determination from which the appeal was filed. G. Representation. (1) An interested party may appear without representation in any proceeding before a Hearing Examiner. (2) A party may be represented by an attorney admitted to practice by the Maryland Court of Appeals or by an authorized representative. Attorneys admitted to practice before the courts of any other state or territory of the United States may represent a party subject to the rules of the Maryland Court of Appeals. (3) A claimant may also be represented by an authorized representative other than an attorney, but the representative may not charge or accept payment for the representation. (4) An employer may appear for itself, or be represented by any other authorized representative. (5) The Chief Hearing Examiner may prohibit an individual from representing others in a hearing if the Chief Hearing Examiner finds, after a special hearing convened for that purpose, that the individual has committed unethical conduct in relation to unemployment insurance claims or appeals. H. Attorney’s Fees. (1) An attorney representing a claimant in any proceeding before a Hearing Examiner may not charge a fee in excess of 200 percent of the claimant’s weekly benefit amount per case without the approval of the Chief Hearing Examiner. (2) Requests for approval of fees greater than 200 percent of the claimant’s weekly benefit amount shall be accompanied by an itemized account of services rendered in the case. A request for the excess fee shall be submitted within 30 calendar days of the date of the issuance of the decision. The Chief Hearing Examiner shall have authority to approve a fee higher than the maximum allowed under §H(1) of this regulation based upon the complexity of the case and the reasonableness of the fee. The fee shall be reviewable by the Board of Appeals upon written protest of either the claimant or the attorney. (3) The fee amounts set out in §H(1) and (2) of this regulation may be awarded for each level of appeal. (4) Although the maximum fee allowed is governed by these regulations, payment of the fee allowed is a private matter left solely to the claimant and the claimant’s attorney. I. Appointment of Interpreter. (1) If a party or witness is hearing-impaired or mute, and because of this impediment cannot readily understand or communicate the spoken language, or if the party or witness is unable to communicate in the English language, the party or witness may apply to the Chief Hearing Examiner for the appointment of a qualified interpreter to assist that person. (2) Upon application of the party or witness, the Chief Hearing Examiner shall appoint a qualified interpreter to assist that person. The Chief Hearing Examiner may also appoint an interpreter on his or her own motion. (3) In selecting a qualified interpreter for appointment, the Chief Hearing Examiner may consult any directory of interpreters maintained by any court in this State. (4) An interpreter, appointed pursuant to this section, shall be allowed reasonable compensation subject to approval of the Chief Hearing Examiner. J. Evidence. (1) Rules of Evidence. The hearings shall be conducted informally in a manner to ascertain the substantial rights of the parties. The Hearing Examiner is not bound by common law or statutory rules as to the admissibility of evidence or by technical rules of procedures. Witnesses shall testify under oath or affirmation. (2) Electronically Stored Records. A party who seeks to enter into evidence videotapes, audiotapes, or other electronically stored records shall produce at the hearing the equipment necessary to allow review of the contents of the records. The party offering the records shall have the continuing obligation to produce the equipment necessary to review the records if further administrative proceedings occur. If the party offering the records fails to produce the equipment necessary to review the records, the Hearing Examiner may exclude the records from consideration. (3) Agency Record. For purposes of an appeal from a claims examiner's determination, the official Agency record shall consist of the appeal letter and envelope or other evidence showing its manner of submission, and the Agency Fact Finding Report. For purposes of an appeal from a review determination, the official Agency record shall consist of the appeal letter and envelope or other evidence showing its manner of submission, and the review determination under review. Upon request of a party to an appeal for information from other records of the Department, the Hearing Examiner shall forward the request to the Secretary so that information that may be relevant and pertinent and that is not by definition a part of the Agency record, may be furnished by the Secretary. Upon request, any party shall be furnished with any information contained in the official Agency record, or other Agency documents in the custody of the Secretary that may be pertinent or material to the case. Requests for this information shall be made at least 3 business days before the hearing and shall state, as nearly as possible, the nature of the information desired. Requests made after this time will be granted only at the discretion of the scheduling authority. The records of the Maryland Department of Labor shall be deemed self-authenticating for purposes of admission under the Rules of Evidence. The Hearing Examiner shall admit the Agency record, including the Agency Fact-Finding Report, into evidence at the hearing, without the need for an Agency representative to appear at the hearing to authenticate or introduce it. The Hearing Examiner shall consider the Agency record when making a final decision, giving weight to the Agency Fact-Finding Report that the Hearing Examiner deems appropriate. (4) Evidence of Medical Condition. In any case where the medical condition of a party is at issue, the Hearing Examiner, for good cause shown, may grant a party up to 10 calendar days after the hearing to submit written medical documentation. K. Subpoenas. (1) The Hearing Examiner may issue subpoenas, to be served by first-class mail, or by any individual who is not a party and who is at least 18 years of age, to compel the attendance of witnesses and the production of books, papers, correspondence, and other records deemed necessary as evidence in writing. (2) The scheduling authority may deny requests for subpoenas that request irrelevant information, or are frivolous or unreasonably burdensome to the other party. A request for a subpoena may not be denied without substantial cause. (3) Requests for subpoenas shall: (a) Be in writing; (b) State the name and address of the person to be subpoenaed; (c) State with specificity the documents to be produced; (d) State the reason for the request; and (e) Be delivered to the scheduling authority at least 5 business days before the date of the hearing. L. Procedure at Hearing. The Hearing Examiner may call, examine, and cross-examine witnesses and may introduce into the record documentary or other evidence. The parties to the hearing shall be given an opportunity to call witnesses on their own behalf, cross-examine witnesses, inspect documents, and offer evidence in explanation or rebuttal. The Hearing Examiner may order the taking of additional testimony as the Hearing Examiner considers necessary. Upon the request of any party at the hearing, the Hearing Examiner shall grant a reasonable time for oral argument by the interested parties. M. Continuance of Hearing. The Hearing Examiner may continue any hearing and make any direction or instruction necessary for the efficient disposition of the matter at the Hearing Examiner’s discretion. N. Withdrawal of Appeals. At any time before the hearing, a party appealing from a determination of a claims examiner or appealing a review determination may request that the appeal be withdrawn, and the Hearing Examiner shall permit the withdrawal. After the hearing has commenced or concluded, a withdrawal may be permitted for good cause shown. A request for withdrawal shall be submitted in writing or placed on the record during a hearing. An approved withdrawal is a final decision and is not subject to a request to reopen. O. Dismissal of Appeal When Appealing Party Fails to Appear. If a party appealing the determination of a claims examiner or appealing a review determination fails to appear at a hearing after having been given the required notice, the Hearing Examiner may issue a decision on the facts available or may dismiss the appeal. Failure to be present at the location designated for the hearing within 10 minutes of the time scheduled shall be considered a failure to appear within the meaning of this section. P. Request by Appealing Party to Reopen Dismissed Case. (1) A request to reopen a dismissed case shall be in writing and a copy shall be sent to the opposing party. Failure to notify the opposing party does not affect the timeliness of the request. (2) A request to reopen a case may be granted for the following reasons: (a) The party received the hearing notice on or after the date of the hearing as a result of: (i) An untimely or incorrect mailing or electronic transmission of a hearing notice; or (ii) A delay in the delivery of a hearing notice by the United States Postal Service; (b) An emergency or other unforeseen and unavoidable circumstance that prevented a party from both attending the hearing and requesting a postponement of the hearing; or (c) A party requested a postponement for the reasons listed in §P(2)(a) or (b) of this regulation, but it was improperly denied. (3) Misreading of a properly prepared hearing notice as to the date, time, and place of the hearing is not good cause for reopening a dismissed case. (4) A request to reopen a case dismissed by a Hearing Examiner shall be delivered or postmarked within 7 business days after the date the dismissal was mailed to the last known address of the requesting party. The Chief Hearing Examiner may: (a) Grant the requesting party up to 10 calendar days to provide documentary evidence of the reason for the requested reopening; or (b) Deny a request to reopen in writing or grant a further hearing to determine if good cause exists. (5) Documentation submitted in support of a request to reopen a case shall become part of the record of that case. (6) A further hearing granted to determine if there is good cause for reopening a case may be consolidated with a further hearing on the merits unless, in the judgment of the Chief Hearing Examiner, this consolidation would result in substantial inconvenience for either party. (7) A decision by the Chief Hearing Examiner that there is not good cause to reopen a dismissed appeal is appealable to the Board of Appeals. (8) A decision by the Chief Hearing Examiner that there is good cause to reopen a dismissed case is appealable to the Board of Appeals only at the time that a decision on the merits is also reached. Q. Conflicts of Interest. (1) A Hearing Examiner may not participate in a hearing in which the Hearing Examiner or a family member has a personal financial interest. The challenge to the interest of a Hearing Examiner shall be decided by the Chief Hearing Examiner. The challenge to the interest of the Chief Hearing Examiner, when the Chief Hearing Examiner is hearing a case, shall be decided by the Board of Appeals. (2) A decisions by the Chief Hearing Examiner as to a conflict of interest of a Hearing Examiner, and a challenge to the interest of the Chief Hearing Examiner may be appealed to the Board of Appeals but only at the time that a decision on the merits is also reached. R. Postponement of Hearings. (1) A request for the postponement of a case shall be in writing, addressed to the Chief Hearing Examiner, and submitted to the Lower Appeals Division by mail, fax, or hand delivery. A copy of the request shall be simultaneously mailed to the opposing party in the case. (2) Subject to the requirements of §R(5) of this regulation, a request for postponement shall be considered only if the request is received by the Chief Hearing Examiner at least 3 business days before the hearing. (3) The Chief Hearing Examiner may postpone a hearing for good cause shown. The repeated inability of a party's attorney or authorized representative to appear on account of a conflicting court date shall not constitute good cause. (4) The Chief Hearing Examiner may require documentary proof of the reason for the postponement. This documentation must be received by the Chief Hearing Examiner at least 3 business days before the date of the originally scheduled hearing. (5) A request for a postponement that is not received by the Chief Hearing Examiner at least 3 business days before the hearing may be granted for good cause if: (a) The request for postponement was postmarked at least 5 calendar days before the hearing date but was not received by the Lower Appeals Division until after the time set in §R(2) of this regulation; (b) An error on the part of the Lower Appeals Division has caused such a delay in the requesting party's receipt of the hearing notice that the requirement of §R(2) of this regulation could not reasonably be met, and the requesting party has taken timely and reasonable steps to request a postponement as soon as possible after receipt of the hearing notice; or (c) The postponement request is based on sudden and unforeseeable health problems, hazardous weather conditions, or the like, the emergency nature of which would cause a substantial hardship or injustice on a party if the case were not postponed. S. Witness Fees. (1) Upon written request, a witness not employed by the Maryland Department of Labor, who is subpoenaed for a hearing before a Hearing Examiner, shall be entitled to receive an attendance fee in the amount of $25 in a case when the witness is summoned to appear in the county where the witness lives or does business, or $50 in other cases. (2) Fees allowed in accordance with §S(1) of this regulation for witnesses subpoenaed shall be paid by the Lower Appeals Division. T. Telephone Conference Hearings. (1) Testimony before a Hearing Examiner may be taken by telephone. (2) A party not wishing to present testimony and evidence by telephone has a right to appear at the hearing and present evidence in person at the location from which the telephone hearing is being generated. (3) In all telephone hearings, documentary evidence which a party intends to offer shall be mailed, or sent via electronic means in a format approved by the Chief Hearing Examiner if the parties have opted to receive notice by electronic means, to the Hearing Examiner and all other parties before the hearing. The Hearing Examiner may refuse to consider evidence that is not timely sent to or received by the Hearing Examiner and all parties before the hearing. Before the acceptance of any evidence, the Hearing Examiner shall allow the opposing party to cross-examine the submitting party or witness concerning the nature and authenticity of the proffered evidence. A party shall be afforded all rights at a telephone hearing to which the party would be entitled at a regular hearing, subject only to the limitations of the physical arrangement. (4) In the case of a telephone hearing, the failure to answer the telephone, the failure to have a telephone available for the hearing, or the failure to be ready to proceed with the hearing shall be considered as a failure to appear at the hearing if these conditions exist for more than 10 minutes after the scheduled time for the hearing. #### Regulation .03 Hearing Examiner Decision. *COMAR 09.32.11.03* A. After the hearing before the Hearing Examiner, the parties and the Secretary shall be notified of the decision of the Hearing Examiner and the reasons for it. B. The Hearing Examiner's decision shall include specific findings of fact on all relevant factual issues, and conclusions of law which apply the law to the facts found. C. Decisions of the Board of Appeals designated as precedent by the Board constitute legal precedent for the Hearing Examiner's decisions. #### Regulation .04 Review by the Board of Appeals. *COMAR 09.32.11.04* If the Hearing Examiner does not affirm the determination of the claims examiner or the review determination, the decision shall be accompanied by the notice of the right of appeal to the Board of Appeals. If the Hearing Examiner affirms the determination of the claims examiner or the review determination, the decision shall be accompanied by the notice of the provisions of the law providing for petition for review to request a discretionary appeal. ### Chapter 12 — Procedures for Initial Determination of Unemployment Insurance Overpayments and for Appeals of Overpayment Determinations **Authority:** Labor and Employment Article, §§8-305 and 8-809, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.05 adopted as an emergency provision effective August 17, 2022 (49:20 Md. R. 909); emergency provision expired effective November 22, 2022 **Administrative History:** Regulations .01—.05 adopted effective March 6, 2023 (50:4 Md. R. 122) #### Regulation .01 Purpose. *COMAR 09.32.12.01* The purpose of these regulations is to establish procedures for the initial determination of overpayments of unemployment insurance benefits, and to establish the appeal process of such determinations in accordance with Labor and Employment Article, §8-809(c), Annotated Code of Maryland, and applicable federal law. #### Regulation .02 Scope and Applicability. *COMAR 09.32.12.02* These regulations apply to any claimant whom the Secretary or the Secretary’s designee has reason to believe may have received an overpayment of unemployment insurance benefits or has been determined to have received an overpayment of unemployment insurance benefits. #### Regulation .03 Pre-Determination Investigations. *COMAR 09.32.12.03* A. Before determining that a claimant has been overpaid, the Secretary or the Secretary’s designee shall conduct a pre-determination investigation in accordance with Labor and Employment Article, Title 8, Annotated Code of Maryland, and other applicable law. B. As a part of the pre-determination investigation, the Department shall take the following steps: (1) Make reasonable attempts to promptly contact the claimant to whom the potential overpayment was made and provide the claimant with an opportunity to respond to requests for information about the potential overpayment; (2) Independently verify information received from a computer cross-match with a federal database or other automatic processes or matches; (3) Make reasonable attempts to gather all relevant information that is of sufficient quality and quantity to support the findings and rationale for the determination; and (4) Provide the claimant an opportunity to rebut information received from a computer cross-match with any database, or from an employer or other outside source. C. If the Secretary’s or Secretary’s designee’s review reveals a dispute of material fact concerning whether the claimant is eligible or disqualified, the Secretary or the Secretary’s designee shall conduct a proceeding in accordance with COMAR 09.32.02.16E. D. The notice of the proceedings shall be set forth as follows: (1) The Secretary’s designee shall deliver notice to the claimant in accordance with the claimant’s preferred method of communication; and (2) The notice described in this regulation shall contain the following information: (a) The issues to be resolved at the proceeding; (b) The date, time, and place of a proceeding to determine whether the claimant was overpaid; (c) Notice that the proceeding may result in an overpayment determination that may lead to an enforceable monetary judgment against the claimant, in addition to or instead of the reduction or elimination of current or future benefits; and (d) Notice that any party shall have the right to be present by telephone or in person, as required by the Secretary or the Secretary’s designee, and may be represented by an attorney or other representative of the party’s choosing. E. During the proceeding described above, the parties may: (1) Be present, by telephone or in person, as required by the Secretary; (2) Be represented by an attorney or other representative of the party’s choosing; (3) Present and rebut evidence and argument relating to the issues; (4) Cross-examine any person who participates in person or by telephone at the proceeding and testifies or provides information relating to the issues; and (5) Be given the opportunity to examine all evidence relating to any issue that is before the Secretary and all evidence upon which the Secretary may rely in reaching a determination. #### Regulation .04 Notice of Determination of Overpayment. *COMAR 09.32.12.04* A. If, after conducting the investigation under Regulation .03 of this chapter, the Secretary or the Secretary’s designee determines that the claimant was overpaid, the Secretary or the Secretary’s designee shall deliver notice to the claimant. B. The notice shall be delivered to the claimant by first-class mail to the claimant’s last known address and in accordance with the claimant’s preferred communication method, if other than first-class mail, and shall: (1) Contain all information required by Labor and Employment Article, §8-809(c)(1), Annotated Code of Maryland; (2) Provide that the claimant has been determined liable to refund the amount of benefits to which the claimant is not entitled and that the amount, if not previously collected, shall be deducted from future benefits payable to the claimant, unless the claimant exercises the claimant’s appeal rights more specifically set forth in Regulation .05 of this chapter, or waiver rights more specifically set forth in COMAR 09.32.07; and (3) Provide information on the procedures to request an overpayment waiver. C. The notice described above may not reference fraud, unless the Secretary or the Secretary’s designee has determined that the overpayment resulted from fraud. #### Regulation .05 Appeal Procedures. *COMAR 09.32.12.05* A. In the event a claimant challenges the finding of overpayment, or the amount of overpayment, the claimant may appeal the Department’s determination, provided, however, that any appeal exercised pursuant to the provisions of this chapter shall be limited solely to the overpayment issue. B. If no appeal is taken within 30 days after delivery of the notice of overpayment determination, no timely filed waiver request is pending decision by the Secretary or the Secretary’s designee, and no timely filed appeal of the denial of an overpayment waiver request is pending, the overpayment determination will be considered final and the court shall, upon application of the Department, enter a judgment in the amount provided by the notice of overpayment determination C. Appeals described in this regulation shall be made in accordance with COMAR 09.32.11 or, if the claimant disagrees with the decision issued, in accordance with COMAR 09.32.06, as applicable. ## Subtitle 33 — Job Service ### Chapter 01 — Job Service **Authority:** Labor and Employment Article, §§8-303 and 8-305, Annotated Code of Maryland **Administrative History:** Effective date: February 4, 1976 (3:3 Md. R. 149) **Administrative History:** (Transferred from Department of Human Services to Department of Employment and Training, effective October 1, 1983; recodified from COMAR 07.05.02 to **Administrative History:** 24.03.01) **Administrative History:** Regulations .01—.04, Job Service Bank System, repealed and Regulations .01—.09, Job Service, adopted effective August 3, 1992 (19:15 Md. R. 1393) **Administrative History:** Regulation .06B amended effective December 21, 1992 (19:25 Md. R. 2208) **Administrative History:** Chapter recodified from COMAR 24.03.01 to COMAR 09.33.01, May 1996 #### Regulation .01 Purpose. *COMAR 09.33.01.01* These regulations set forth the policies and procedures for employers and applicants seeking to use the Maryland Job Service. #### Regulation .02 Objective. *COMAR 09.33.01.02* Job Service shall operate a labor exchange system that has the capacity to: A. Assist job seekers in finding employment; B. Assist employers in filling jobs; C. Facilitate the match between job seekers and employers; D. Participate in a system for clearing labor among the states, including the use of standardized classification systems issued by the Secretary of the U.S. Department of Labor; E. Meet the work test requirements of the Unemployment Insurance Law; and F. Meet other requirements arising from changes in legislation or regulations. #### Regulation .03 Definitions. *COMAR 09.33.01.03* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Applicant” means an individual who applies for Job Service services. (2) “Complaint” means an allegation made or referred to Job Service of a violation of the federal Job Service regulations or other federal, State, or local employment-related law. (3) “Department” means the Maryland Department of Labor. (4) “Employer” means a person or entity that: (a) Currently has a location within the United States to which U.S. workers and alien workers with valid work permits may be referred for employment; (b) Proposes to employ a worker; and (c) Has an employer relationship with respect to employees as indicated by the fact that it hires, pays, fires, supervises, and otherwise controls the work of the employee. (5) “Job Service” means the Maryland Job Service, a program of the Office of Employment Services within the Department. (6) “Public employment office” means an office of the Department maintained for the purpose of providing placement and other services of the public employment service system. (7) “Secretary” means the Secretary of Labor or the Secretary's designee. #### Regulation .04 Compliance with Law. *COMAR 09.33.01.04* The Job Service shall be administered in accordance with the Wagner-Peyser Act, 29 U.S.C. §49, regulations adopted by the United States Employment Service, and the Labor and Employment Article, §8-803, Annotated Code of Maryland. #### Regulation .05 Job Placement. *COMAR 09.33.01.05* A. Job Order. (1) An employer may place a job order with Job Service. A job order is a single request for referral of one or more applicants to fill one or more job openings in a single occupational classification. The job order shall provide sufficient information to describe the job. (2) Pursuant to 20 CFR §652.8(j) and COMAR 01.01.1988.05, Job Service shall fill all job orders on a nondiscriminatory basis, and shall decline any job order carrying a specification or limitation as to political or religious opinion or affiliation, marital status, race, color, creed, or national origin, or as to sex or age, unless sex or age constitutes a bona fide occupational qualification, or as to the physical or mental disability of a qualified individual with a disability. (3) Pursuant to 20 CFR §652.8(j), Job Service shall accept and attempt to accommodate employers' valid affirmative action requests in job orders by referring a significant number of qualified applicants from the target groups. B. Applicant. An individual may become a Job Service applicant by applying to Job Service. C. Job Referral. (1) Job Service staff shall review the applicant's completed application to assess the applicant's qualifications. (2) When appropriate, Job Service shall attempt to match the applicant's qualification with the specifications set forth in a job order or otherwise attempt to develop a job opportunity for the applicant. (3) Job Service may refer one or more applicants to an employer in response to a job order. (4) If an applicant fails to appear for three scheduled appointments with employers within a 12-month period, Job Service may refuse to refer the applicant for 1 year following the third missed appointment. (5) Applicants exhibiting disruptive behavior at a public employment office on a given day may not be referred to an employer that day. D. No Guarantees. Neither the United States Department of Labor nor the Maryland Department of Labor guarantees the truthfulness or accuracy of information obtained from employers or applicants. #### Regulation .06 Determinations of Eligibility for Unemployment Insurance. *COMAR 09.33.01.06* A. Suitable Employment. (1) The work test necessary to determine whether suitable work is available to an unemployment insurance claimant shall be performed by either Job Service staff, or another employee of the Department designated by the manager of the public employment office serving the claimant. (2) The following factors shall be considered in making the determination if suitable work is available to a claimant: (a) Claimant's skills; (b) Claimant's training; (c) Claimant's experience; (d) Claimant's capabilities; (e) Claimant's prior earnings; (f) Claimant's length of unemployment; (g) Claimant's prospects for securing customary occupation in the local area; (h) The distance of available work from claimant's residence; (i) Wages, hours, or other conditions of the work offered are substantially less favorable than those prevailing for similar work in the locality; (j) The position offered is vacant due directly to a strike, lockout, or other labor dispute; (k) As a condition of being employed, the individual will be required to forfeit rights secured by the National Labor Relations Act; and (l) Any other factors that the Secretary determines are relevant. B. Approved Training. (1) Job Service shall determine whether an employment-related training program is approved for the purposes of granting a work search waiver to unemployment insurance claimants. (2) Job Service shall consider the following factors in determining whether to approve a training program: (a) Whether the prospects for the claimant's employment in the occupation for which the claimant has existing training and experience are minimal; (b) Whether the training program will prepare the claimant for employment in a career in which there are job opportunities; (c) Whether participating in the training program will effectively prevent the claimant from conducting work search or employment activities during the claimant's normal work hours; (d) Whether the claimant could reasonably be required to attend a similar training program at times that would not conflict with the claimant's normal work hours; (e) Whether the claimant has been accepted into the training program; and (f) Any other factors that the Secretary determines are relevant. (3) A work search exemption may not be granted for: (a) A self-study program that does not require on-premises attendance; (b) A program not accredited by or approved by the appropriate authority, unless the program lasts 13 weeks or less and the training is in a field for which there are jobs in the local labor market; or (c) Education leading to a college or post-college degree, unless the claimant will attain the degree in 26 weeks or less and the training is in a field for which there are jobs in the local labor market. (4) A claimant who is granted a work search waiver due to participation in approved training shall submit each week attendance and progress reports on Department forms. (5) A claimant who fails to attend training or to submit the required forms shall have the work search exemption withdrawn. #### Regulation .07 Job Service Fees. *COMAR 09.33.01.07* A. Job Service may not charge a referral fee to individuals who seek employment. B. Job Service may not charge a fee to employers for placing job orders. C. Job Service may charge a fee to employers requesting special services such as interviewing, screening, or training applicants at a location other than a public employment office. #### Regulation .08 Job Service Complaint System. *COMAR 09.33.01.08* A. Complaints. Both of the following types of complaints shall be made and processed in accordance with the Job Service Complaint System described in 20 CFR §§658.400—658.418: (1) Complaints that are made against an employer about the specific job to which the applicant was referred by Job Service and that allege a violation of employment-related law or of the terms and conditions of the job order; and (2) Complaints about Job Service actions or omissions. B. Hearings. The Office of Administrative Hearings shall hold the Job Service Complaint System hearings as required in 29 CFR §658.417, using the procedures set forth in COMAR Title 28. C. Complaints alleging discrimination shall be filed and processed according to the procedures in 29 CFR 31 and 32. #### Regulation .09 Waiver. *COMAR 09.33.01.09* The Secretary may waive or vary particular provisions of these regulations to the extent that the waiver is not inconsistent with relevant State or federal law. ### Chapter 02 — Economic Stabilization **Authority:** Labor and Employment Article, §§11-301—11-306, State Government Article, §10-206, Annotated Code of Maryland **Administrative History:** Effective date: May 19, 1986 (13:10 Md. R. 1158) **Administrative History:** Chapter recodified from COMAR 24.03.03 to COMAR 24.03.02 **Administrative History:** Chapter recodified from COMAR 24.03.02 to COMAR 09.33.02, May 1996 **Administrative History:** Chapter revised effective October 13, 2025 (52:20 Md. R. 1000) #### Regulation .01 Purpose. *COMAR 09.33.02.01* The Economic Stabilization Act regulations provide notice requirements and guidelines for employers faced with a major reduction in the workforce. #### Regulation .02 Exemptions. *COMAR 09.33.02.02* This chapter does not apply to a reduction in operations as described in Labor and Employment Article, §11-302, Annotated Code of Maryland. #### Regulation .03 Definitions. *COMAR 09.33.02.03* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Bulk claims” means deploying Maryland Division of Unemployment Insurance to the employer’s and employees’ place of business to assist the employees in filing unemployment claims through the unemployment online claim filing system for incidents where 25 or more workers are laid off at one time. (2) “Employee” has the meaning stated in Labor and Employment Article, §11-301(b), Annotated Code of Maryland. (3) Employer. (a) “Employer” means a person, corporation, or other entity that: (i) Operates an industrial, commercial, or business enterprise; (ii) Employs at least 50 employees; (iii) Has been operating for at least 1 year; and (iv) Is operating in the State of Maryland. (b) “Employer” does not mean the State or its political subdivisions. (4) “Permanent” has the meaning stated in Labor and Employment Article, §11-301(d), Annotated Code of Maryland. (5) “Reduction in operations” has the meaning stated in Labor and Employment Article, §11-301(e), Annotated Code of Maryland. (6) “Remote worker” refers to an employee, or multiple employees operating under the same Employer Identification Number, with a permanent work arrangement under which they are scheduled to perform duties, responsibilities, and other authorized activities of such employee’s position at an approved worksite other than the assigned workplace. (7) “Secretary” means the Secretary of the Maryland Department of Labor. (8) “Telework” refers to a worksite flexibility agreement for the purpose of allowing an employee or employees to perform their duties, responsibilities, and other authorized activities of such employee’s position from an approved alternative worksite other than the employee’s official duty station. (9) Workplace. (a) “Workplace” has the meaning stated in Labor and Employment Article, §11-301(f), Annotated Code of Maryland. (b) “Workplace” includes the official duty station or agency worksite for telework employees within the State of Maryland. (c) “Workplace” includes the entire State of Maryland, which is considered a single workplace for any remote worker or collection of remote workers. #### Regulation .04 Notice. *COMAR 09.33.02.04* At least 60 calendar days prior to initiating a reduction in operations, an employer shall provide written notice as required by Labor and Employment Article, §11-305, Annotated Code of Maryland. #### Regulation .05 Guidelines for Employers Anticipating a Permanent Reduction in Operations. *COMAR 09.33.02.05* A. Employers facing a reduction in shall use their best efforts to meet with employee representatives regarding concessions or alternatives, or both, in an effort to prevent closure and the reduction in operations. B. Termination Phase-In. (1) Meet with employee representatives regarding concessions or alternatives, or both, to closure in order to save the place and save jobs; (2) If collective bargaining agreements are in force, then the employer shall implement the provisions of each agreement as the agreement pertains to termination and seniority. C. Post Termination Benefits. (1) Employers should consider continuing non-work-related benefits for as long as feasible following termination. (2) Employers should consider offering laid-off employees the following benefits: (a) Health care coverage or the option of continuing, at the employee's own expense, the employee's current health care coverage: (i) For at least 6 months following termination; or (ii) Until other employment is secured; (b) Participation rights in employee credit unions; and (c) Other special company benefits. D. Special Termination Benefits. (1) Employers should consider providing the following special benefits: (a) Retraining allowances, which: (i) Could range from $1,000 to $1,800; and (ii) Can be utilized by any employee who both enrolls and completes a retraining program or career-related educational program; (b) A severance pay package tied to the employee's wage level or length of employment, or both; (c) Job search assistance or job clubs which include instruction on how to: (i) Market employment skills; (ii) Complete resumes/applications; (iii) Interview; (iv) Look for work; and (v) Utilize labor market information. (2) Employers may implement on-site displaced worker centers to provide a central place for the dissemination of all termination services and information. #### Regulation .06 Assistance from the Maryland Department of Labor. *COMAR 09.33.02.06* A. The Maryland Department of Labor shall make the Rapid Response Program available to employers consisting of: (1) On-site unemployment insurance bulk claims registration; (2) Registration of federal trade readjustment services; (3) Labor market and retraining information; (4) Job placement services; (5) Job seeking and finding information; and (6) Referral to retraining opportunities. B. The Maryland Department of Labor shall assist employers in planning for and implementing a program to provide reemployment services for displaced or soon to be displaced workers by attempting to provide: (1) Assistance with planning for reemployment services to the work force; (2) Assistance with planning for and implementing an on-site displaced worker assistance center; and (3) Financial resources, as available, to assist with a wide range of employment and training services. #### Regulation .07 Mechanisms to Start Assistance Programs from the Maryland Department of Labor. *COMAR 09.33.02.07* A. .Employers may contact the Assistant Secretary for the Division of Workforce Development and Adult Learning. B. The Secretary shall: (1) Monitor layoffs to identify employers who are likely to experience a reduction in operations; (2) Identify employers likely to experience a reduction in operations; and (3) Contact all employers in the State who appear to be faced with or planning a permanent reduction in operations. This contact shall be: (a) ; Considered confidential, commercial, and financial information; (b) Directed to the chief executive of the business; and (c) For the purpose of offering: (i) Planning assistance; and (ii) Assistance in providing services, if needed. C. If the employer approves, the Maryland Department of Labor may contact other partner organizations to provide whatever assistance and resources are deemed appropriate. #### Regulation .08 Order Compelling Compliance. *COMAR 09.33.02.08* A. Issuance. (1) If, after investigation, the Secretary, or the Secretary’s designee, believes an employer has violated Labor and Employment Article, §11-305, Annotated Code of Maryland, or a regulation adopted pursuant to this Act, the Secretary shall, with reasonable promptness, issue an order compelling compliance. (2) An order shall: (a) Be in writing; (b) Describe with specificity the nature of the alleged violation; (c) State the penalty, if any, that the Secretary proposes to assess under Labor and Employment Article, §11-306, Annotated Code of Maryland; and (d) Inform a party of the requirements of §B(2) of this regulation. B. Enforcement. (1) A party to whom an order is issued may file with the Secretary, or the Secretary’s designee, a written notice of contest to the proposed penalty. (2) Notice shall be: (a) In writing; and (b) Postmarked within 15 business days of the date of the order. (3) If a party does not file proper notice of contest, any proposed penalty becomes final upon the expiration of 15 business days following the party's receipt of the order. (4) If a party files a notice of contest in accordance with this regulation, the Secretary, or the Secretary’s designee, shall delegate the hearing to the Office of Administrative Hearings. (5) A contested hearing shall be governed by COMAR 09.01.03. #### Regulation .09 Penalties and Scope. *COMAR 09.33.02.09* A. This regulation applies to the assessment of civil penalties by the Secretary, or the Secretary’s designee, under Labor and Employment Article, §11-306, Annotated Code of Maryland, in all cases arising from a violation of Labor and Employment Article, §11-305, Annotated Code of Maryland. B. In assessing a penalty for a violation of the law, a regulation, or an order, the Secretary or the Secretary’s designee shall consider the factors listed in Labor and Employment Article, §11-306(b), Annotated Code of Maryland. ### Chapter 03 — Hospital Employees Retraining Program **Authority:** Business Regulation Article, §§2-102 and 2-105;Health-General Article, §§19-223, 19-325, and 19-326.1;Labor and Employment Article, §11-201; Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.06 adopted as an emergency provision effective July 18, **Administrative History:** 1986 (13:16 Md. R. 1824); emergency status expired October 31, 1986 **Administrative History:** Regulations .01—.06 adopted effective September 7, 1987 (14:18 Md. R. 1968) **Administrative History:** Chapter recodified from COMAR 24.03.04 to COMAR 24.03.03 **Administrative History:** Regulations .03, .05, and .06 amended effective August 3, 1992 (19:15 Md. R. 1393) **Administrative History:** Chapter recodified from COMAR 24.03.03 to COMAR 09.33.03, May 1996 **Administrative History:** Regulation .01 amended effective December 29, 1997 (24:26 Md. R. 1757); July 25, 2022 (49:15 Md. R. 738) **Administrative History:** Regulation .02 amended effective December 29, 1997 (24:26 Md. R. 1757) **Administrative History:** Regulation .02B amended effective July 25, 2022 (49:15 Md. R. 738) **Administrative History:** Regulation .03 amended effective December 29, 1997 (24:26 Md. R. 1757); July 25, 2022 (49:15 Md. R. 738) **Administrative History:** Regulation .04 amended effective December 29, 1997 (24:26 Md. R. 1757); July 25, 2022 (49:15 Md. R. 738) **Administrative History:** Regulation .05B amended effective July 25, 2022 (49:15 Md. R. 738) **Administrative History:** Regulation .06 amended effective December 29, 1997 (24:26 Md. R. 1757) **Administrative History:** Regulation .06B, C amended effective July 25, 2022 (49:15 Md. R. 738) **Administrative History:** Regulation .06D adopted effective July 25, 2022 (49:15 Md. R. 738) #### Regulation .01 Purpose. *COMAR 09.33.03.01* The purpose of these regulations is to establish a program to provide employment and retraining assistance to displaced hospital employees who are unemployed or may become unemployed due to a hospital's change in status as more particularly described in Health-General Article, Title 19, Subtitle 3, Annotated Code of Maryland. #### Regulation .02 Definitions. *COMAR 09.33.03.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Acquisition” has the meaning stated in Labor and Employment Article, §11-201(a)(2), Annotated Code of Maryland. (2) “Closure” has the meaning stated in Labor and Employment Article, §11-201(a)(3), Annotated Code of Maryland. (3) “Commission” means the Health Services Cost Review Commission. (4) “Division” means the Division of Workforce Development and Adult Learning of the Maryland Department of Labor. (5) “Downsize” has the meaning stated in Labor and Employment Article, §11-201(a)(5), Annotated Code of Maryland. (6) “Full delicensure” has the meaning stated in Health-General Article, §19-326.1(a)(6), Annotated Code of Maryland. (7) “Fund” has the meaning stated in Labor and Employment Article, §11-201(g), Annotated Code of Maryland. (8) “Hospital” means a health care facility as defined in Health-General Article, §19-301(f), Annotated Code of Maryland, whose rates have been approved by the Commission. (9) “May become unemployed” means the employee is at risk of displacement during the next 90 days due to hospital acquisition, closure, partial closure, merger, delicensure, partial delicensure, or downsizing, and the: (a) Employee has received written notice from the hospital that the employee is in a position or job classification that may be affected by acquisition, closure, partial closure, merger, delicensure, partial delicensure, or downsizing; (b) Hospital has notified the Maryland Department of Labor or the Commission, pursuant to Regulation .03B(1) of this chapter, that the employee will be laid off due to acquisition, closure, partial closure, merger, delicensure, partial delicensure, or downsizing; or (c) Hospital has notified the Maryland Department of Labor, pursuant to Regulation .03B(2) of this chapter, that the employee will be laid off. (10) “Merger” has the meaning stated in Labor and Employment Article, §11-201(a)(6), Annotated Code of Maryland. (11) “Partial closure” has the meaning stated in Labor and Employment Article, §11-201(a)(7), Annotated Code of Maryland. (12) “Partial delicensure” has the meaning stated in Health-General Article, §19-326.1(a)(9), Annotated Code of Maryland. (13) “Physician” has the meaning stated in Health-General Article, §1-101(j), Annotated Code of Maryland. (14) “Physician assistant” has the meaning stated in Health Occupations Article, §15-101(o), Annotated Code of Maryland. (15) “Program” means the program established for the retraining of and job search assistance for eligible hospital employees who may become unemployed. #### Regulation .03 Eligibility for Services. *COMAR 09.33.03.03* A. An individual may be eligible for service through the Hospital Employees Retraining Program if the individual: (1) Is included in a hospital's listing of employees scheduled for layoff as required by §B of this regulation; (2) Either meets the eligibility requirements for unemployment insurance benefits under Labor and Employment Article, Title 8, Annotated Code of Maryland, or may become unemployed and provides the Maryland Department of Labor with a copy of any notice received from the hospital which informed the individual that the individual may become unemployed; (3) Is not an independent third-party contractor; and (4) Is not an executive employee, physician or physician’s assistant. B. Voluntary Closure, Merger, Downsizing, or Delicensure of Hospital. (1) A hospital that is: (a) Planning to close; (b) Planning to partially close; (c) Planning to merge with another institution voluntarily; (d) Is subject to acquisition; or (e) Has been fully or partially delicensed by the Secretary of Health, shall provide the Maryland Department of Labor and the Commission with a listing of all employees who will be laid off due to the circumstances described in this Regulation. (2) A hospital that is planning to downsize shall provide the Maryland Department of Labor with a listing of employees who will be laid off due to downsizing of the hospital. (3) The hospital shall submit the listing at least 90 days before the scheduled date of the voluntary closure, partial closure, acquisition, downsizing, or merger, or within 90 days of full or partial delicensure by the Secretary of Health. However, the period may be waived in whole or in part by the Maryland Department of Labor and the Commission for good cause. (4) The hospital shall include the following information in the listing for each affected employee: (a) Full name; (b) Social Security number; (c) Job title; (d) Description of job duties; (e) Length of service; (f) Rate of pay at time of layoff; and (g) Scheduled date of layoff. #### Regulation .04 Services Provided. *COMAR 09.33.03.04* A. The Hospital Employees Retraining Program shall be administered in accordance with guidelines and policies, adopted by the Division. B. Availability of Services. (1) The provision of services under this chapter is subject to the continued availability of monies in the Hospital Employees Retraining Fund. (2) The Maryland Department of Labor may decide how to allocate funds in the Hospital Employees Retraining Fund in order to serve hospital employees who are unemployed or may become unemployed as a result of the closure, downsizing, merger, or delicensure of a hospital. #### Regulation .05 Filing of Complaints. *COMAR 09.33.03.05* A. A hospital employee may file a complaint regarding a determination of eligibility or the provision of services under the Hospital Employees Retraining Program. B. Complaints may be filed in writing with the Assistant Secretary of the Division. #### Regulation .06 Hospital Employees Retraining Fund. *COMAR 09.33.03.06* A. The Maryland Department of Labor shall establish a Hospital Employees Retraining Fund to pay for the costs of the Hospital Employees Retraining Program. B. Fund Revenues. (1) If a hospital closes, merges, or is fully delicensed and workers are displaced under Health-General Article, §19-325, Annotated Code of Maryland, the Health Services Cost Review Commission shall assess a fee as required by Health-General Article, §19-326.1(b), Annotated Code of Maryland, to be paid within 30 days of the assessment. (2) Each hospital regulated by the Commission shall pay an annual fee as required by Health-General Article, §19-326.1(c)(1), Annotated Code of Maryland, by July 1 of each year. (3) If a hospital does not pay the fee by the date specified in this section, the Maryland Department of Labor shall assess interest on the amount due at the rate of 1-1/2 percent per month calculated on a daily basis. (4) If in any year the Fund is depleted, each hospital regulated by the Commission shall pay to the Department a direct remittance to address the needs resulting from a partial closure, downsizing, acquisition, or partial delicensure of a hospital, as required by Health-General Article, §19-326.1(d), Annotated Code of Maryland, within 30 days of receipt of the notice of assessment from the Commission. C. The Hospital Employees Retraining Fund may be used only for expenses incurred for the administration and operation of the Hospital Employees Retraining Program including the costs of maintaining the Fund. Allowable costs may include but are not limited to: (1) Training, employment, and supportive services pursuant to the policies of the Division; (2) Payments to vendors to provide services necessary for the operation of the Program; and (3) Administrative costs for the management of the Program and the Fund, which may not exceed 15 percent of the total program costs. D. At the end of each fiscal year ending on June 30, any unexpended funds remaining in the Fund shall be returned to the hospitals that contributed to the Fund on a pro rata basis as required by Labor and Employment Article, §11-201(h), Annotated Code of Maryland. ## Subtitle 34 — Office of Cemetery Oversight ### Chapter 01 — Registration and Permit Requirements **Authority:** Business Regulation Article, §§5-204—5-205, 5-301—5-308, and 5-401—5-405, Annotated Code of Maryland **Administrative History:** Effective date: December 28, 1998 (25:26 Md. R. 1922) **Administrative History:** Chapter revised effective March 18, 2002 (29:5 Md. R. 503) **Administrative History:** Regulation .01A amended effective April 29, 2024 (51:8 Md. R. 366) **Administrative History:** Regulation .02B amended effective April 29, 2024 (51:8 Md. R. 366) **Administrative History:** Regulation .04B amended effective February 13, 2006 (33:3 Md. R. 241); April 29, 2024 (51:8 Md. R. 366) **Administrative History:** Regulation .05C amended effective May 8, 2017 (44:9 Md. R. 438) **Administrative History:** Regulation .05D adopted effective February 13, 2006 (33:3 Md. R. 241) **Administrative History:** Regulation .05D amended effective April 29, 2024 (51:8 Md. R. 366) **Administrative History:** Regulation .05E adopted effective February 13, 2006 (33:3 Md. R. 241) **Administrative History:** Regulation .06B amended effective May 8, 2017 (44:9 Md. R. 438) **Administrative History:** Regulation .11 amended effective November 23, 2006 (33:23 Md. R. 1794) **Administrative History:** Regulation .13 adopted effective April 29, 2024 (51:8 Md. R. 366) #### Regulation .01 Scope. *COMAR 09.34.01.01* A. This chapter governs the: (1) Registration of individuals who operate cemeteries and provide burial goods for either human or pet remains in the State; and (2) Application procedures for persons requiring a permit to operate a cemetery or provide burial goods for either human or pet remains in this State. B. This chapter does not apply to: (1) A person that owns and operates a bona fide religious, nonprofit cemetery in this State; (2) The operation of a funeral establishment in this State, including the sale of burial goods in the ordinary course of the funeral establishment's business; (3) A licensed funeral director acting within the scope of a State funeral director's license; (4) A mortician acting within the scope of a State mortician's license; (5) A not-for-profit organization created before 1900 by an act of the General Assembly; (6) A county, city, or municipal corporation that owns and operates a cemetery in the State; or (7) A veterans' cemetery operated by the State. #### Regulation .02 Definitions. *COMAR 09.34.01.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Balance sheet” means a statement of financial position which presents assets, liabilities, and stockholders' equity or fund balance, and distinguishes current assets and current liabilities from other assets and liabilities. (2) “Bona fide religious, nonprofit cemetery” means a cemetery which is owned and operated solely by a religious organization and is established as a nonprofit business entity. (3) “Burial goods” means goods that are used in connection with either human or pet burial. (4) “Cemetery” means the interment of either human or pet remains. (5) “Comparative balance sheet” means a statement of financial position which presents assets, liabilities, and stockholders' equity or fund balance, and compares a previous year's results with the most recent year's results. (6) “Contract” means an agreement between a consumer and a cemetery or burial goods business for any service or any burial good purchased from a cemetery or burial goods business. (7) “Development stage enterprise financial sheet” means a financial statement which is prepared in conformity with generally accepted accounting principles and which includes the following: (a) A balance sheet; (b) An income statement; (c) A statement of changes in financial position; and (d) A detailed statement of stockholders' equity. (8) “Director” means the Director of the Office of Cemetery Oversight. (9) “Office” means the Office of Cemetery Oversight. (10) “Registered cemeterian” means an individual who: (a) Is registered to operate a cemetery as a sole proprietor or on behalf of a sole proprietor or permit holder; and (b) May employ sales counselors to provide burial space, goods, or services. (11) “Registered sales counselor” means an individual employed by a cemetery or burial goods business who provides burial space, goods, or services. (12) “Registered seller” means an individual who: (a) Is registered to provide burial goods as a sole proprietor or on behalf of a sole proprietor or permit holder to operate a burial goods business; and (b) May employ sales counselors. (13) “Responsible party” means a sole proprietor or the individual designated by a partnership, limited liability company, or corporation to be responsible for the operations of a cemetery or burial goods business. (14) “Substantial doubt” means that a certified public accountant, after reviewing a business's balance sheet, related note disclosures, and supplementary information, determines that a company's ability to continue as a going concern is in doubt or that a company is unable to continue to meet its obligations as they become due without substantial disposition of assets outside the ordinary course of business, restructuring of debt, externally forced revisions of its operations, or similar actions. #### Regulation .03 Exception from Permit and Registration Requirements. *COMAR 09.34.01.03* A. Except as provided in §§C and D of this regulation, a bona fide religious, nonprofit cemetery is exempt from the permit requirements in this chapter. B. Except as provided in §§C and D of this regulation, an owner, operator, or employee of a bona fide religious, nonprofit cemetery is exempt from the registration requirements of this chapter. C. A bona fide religious, nonprofit cemetery in which burials have taken place within the previous 5 years, shall file with the Director, once every 2 years, a statement that includes the name, address, and telephone number of the: (1) Cemetery; (2) Religious organization that owns and operates the cemetery; and (3) Individual who is responsible for the oversight of the cemetery. D. If the Director determines that a cemetery claiming exemption under Business Regulation, §5-102, Annotated Code of Maryland, is no longer exempt, that cemetery and its owners, operators, and employees shall apply for the required permits and registrations within 30 days of the determination. #### Regulation .04 Permit—Requirements for Initial Permit of Business. *COMAR 09.34.01.04* A. A corporation, limited liability company, or partnership shall receive a permit to operate a cemetery or to provide burial goods in this State if the corporation, limited liability company, or partnership meets the permit requirements in this regulation. B. A corporation, limited liability company, or partnership shall receive a permit from the Office if the entity: (1) Completes an application on a form provided by the Director; (2) Pays the nonrefundable permit fees under COMAR 09.34.03; (3) Provides the name, address, and phone number of each affiliated cemetery or burial goods business; (4) Designates a registered cemeterian or registered seller as the responsible party for each affiliated cemetery or burial goods business provided that the registered cemeterian or registered seller may not be designated as the responsible party for more than a combined total of three cemeteries or burial goods businesses; (5) Provides a list of the officers, directors, members, partners, agents, and employees of the entity applying for the permit; (6) Provides the number of required sales contracts entered into within the business' last 2 fiscal years; and (7) Complies with the appropriate financial stability requirements under Regulation .06 of this chapter. #### Regulation .05 Registration — Requirements for Initial Registration of Individuals Who Operate Cemeteries or Provide Burial Goods. *COMAR 09.34.01.05* A. An individual shall be registered by the Office if the individual meets the registration requirements of this regulation. B. An individual shall be registered with the Office if the individual: (1) Completes a registration application supplied by the Office; (2) Pays the initial nonrefundable application fee and any additional fees set by the Director under COMAR 09.34.03; (3) Is 18 years old or older; (4) Is of good character and reputation, and lists the applicant's previous three employers; (5) States the name and mailing address of the cemetery or burial goods business with which the applicant is affiliated; (6) States whether the cemetery or burial goods business with which the applicant is affiliated is owned or controlled by: (a) A partnership; (b) A limited liability company; (c) A corporation; or (d) A sole proprietorship; (7) States whether the application is for: (a) Registered cemeterian; (b) Registered seller; (c) Sales counselor; and (8) If the applicant is a responsible party, demonstrates financial stability under Regulation .06 of this chapter for the permit or sole proprietor application of the cemetery or burial goods business with which the applicant is affiliated. C. Additional Requirements. (1) An individual applying for initial registration shall provide the Office with a detailed description of activities including, but not limited to, whether the applicant has: (a) Had a license, certification, registration, or permit of the type for which application is being made ever denied, suspended, or revoked by Maryland or any jurisdiction; (b) Been convicted of a felony in any state or federal court; (c) Been convicted in any state or federal court of a misdemeanor directly related to the ownership or operation of a cemetery or burial goods business; (d) Had any civil judgments or settlements within the 5 years before applying for registration which relate directly to the operation of a cemetery or providing burial goods or services; (e) Been convicted by a court in this State of violating a usury provision under Commercial Law Article, Title 12, Annotated Code of Maryland, or an unfair and deceptive trade practices provision under Commercial Law Article, Title 13, Annotated Code of Maryland; and (f) Filed for bankruptcy. (2) Additional Information. An applicant shall submit copies of all: (a) Charging documents which were issued and docket entries for convictions which occurred before applying for registration, for a misdemeanor or felony referred to in §C(1) of this regulation; (b) Disciplinary actions, judgments, and final orders which occurred or were issued, before applying for registration for any regulatory probation, suspension, or revocation, referred to in §C(1)(a) of this regulation, in Maryland or any jurisdiction; and (c) Civil judgments or settlements against the applicant within the past 5 years which relate directly to the operation of a cemetery or providing burial goods. D. An individual may not be designated as the responsible party for more than a combined total of three cemeteries or burial goods businesses. E. An individual may be issued registrations for affiliations with more than one cemetery or burial goods business if each affiliated cemetery or burial goods business is owned by the same individual or entity. #### Regulation .06 Business Application — Financial Stability. *COMAR 09.34.01.06* A. The following are the categories of cemeteries and burial goods businesses for purposes of determining financial stability: (1) A for-profit cemetery or a cemetery which sells burial goods making initial application; (2) A nonprofit cemetery which does not sell burial goods making initial or renewal application; (3) A for-profit cemetery or a cemetery which sells burial goods applying for renewal of permit; (4) A burial goods business or new burial goods business making initial application, or existing burial goods business applying for renewal; (5) A new cemetery which sells burial goods or new cemetery which does not sell burial goods; and (6) A cemetery which no longer sells goods or space and in which an average of five or fewer interments have occurred within the past 3 fiscal years. B. To determine financial stability of each category of affiliated cemetery or burial goods business, the responsible party shall: (1) Submit an application on a form supplied by the Director; (2) Be in good standing with the Maryland Department of Assessments and Taxation or have an equivalent status, as determined by the Director; (3) Submit any additional documentation required as set forth in §§C—H of this regulation; and (4) If the applicant is a cemetery, state whether the cemetery is organized as a for-profit or nonprofit operation and whether it sells burial goods. C. The responsible party for a cemetery described in §A(1) of this regulation shall submit: (1) A balance sheet; and (2) A review by a certified public accountant retained by the affiliated cemetery, prepared in accordance with generally accepted accounting principles, as to the financial stability of the cemetery. D. The responsible party for a cemetery described in §A(2) of this regulation shall submit an affidavit which states that the cemetery does not sell burial goods and has nonprofit status. E. The responsible party for a cemetery in §A(3) of this regulation shall submit: (1) A comparative balance sheet; and (2) A review by a certified public accountant retained by the affiliated cemetery, prepared in accordance with accepted accounting principles, as to the financial stability of the cemetery. F. The responsible party for a burial goods business in §A(4) of this regulation shall submit the documents required by §B(1) and (2) of this regulation. G. Development Stage Enterprise Financial Sheet. (1) The responsible party for a cemetery described in §A(5) of this regulation shall submit a development stage enterprise financial sheet, prepared in accordance with generally accepted accounting principles, by a certified public accountant retained by the affiliated cemetery. (2) If the certified public accountant retained by the affiliated cemetery has substantial doubt about the reporting entity's ability to continue in business beyond 1 year from the development stage enterprise financial sheet, the certified public accountant shall specifically reference this concern in the development stage enterprise financial sheet. H. The responsible party for a cemetery described in §A(6) of this regulation shall submit an affidavit stating that the cemetery no longer sells space or goods and that there has been an average of five or fewer interments per year in the past 3 fiscal years. I. The balance sheet and the comparative balance sheet in this regulation shall include: (1) Note disclosures which, if applicable to the affiliated cemetery or burial goods business, shall include: (a) A description of how cemetery roadways, garden features, and other features of the cemetery are accounted for, whether as fixed assets and depreciated, or as cost of the grave space inventory and part of cost of sales as spaces are sold; (b) The method of providing for allowance for cancellations on installment contracts; (c) The method of accounting for developed burial gardens, constructed mausoleum crypt or niche inventories, and related cost of sales; (d) Receivables sold with recourse; (e) The method of accounting for preconstruction sales of burial gardens, mausoleum crypts, or niche spaces; (f) A description of how the obligation for undelivered merchandise sold as preneed is accounted for; (g) The method of recognizing preneed sales of services and related costs; (h) The nature and amount of any perpetual care assets included in the classified balance sheet, which may or may not be in accordance with generally accepted accounting principles; (i) The existence and nature of any nonstatutory trust funds; (j) Loans or other amounts receivable from, or payable to, merchandise and service trust funds or perpetual care trust funds not otherwise reported on the face of the classified balance sheet or in the supplementary information; and (k) A description of loans or other amounts receivable from, or payable to, shareholders, directors, trustees, or officers; and (2) Supplementary information which, if applicable to the affiliated cemetery or burial goods business, shall include: (a) Amounts of installment contracts receivable for which customer payments are more than 120 days beyond their scheduled payment dates and the dollar amounts that are beyond the 120 days; and (b) Details of liabilities due upon collection of final payment on installment contracts receivable. J. The balance sheet and comparative balance sheet, related note disclosures, and supplementary information submitted to the Office shall be that of the most recently ended fiscal year of the affiliated cemetery. The comparative balance sheet shall also include a comparison with the statements submitted for the reported fiscal year in the previous application. K. If the certified public accountant has substantial doubt about the reporting entity's ability to continue in business beyond 1 year from the balance sheet date, the certified public accountant shall specifically reference this concern in the review report or related note disclosures, or both. L. If the cemetery or burial goods business is owned by a publicly traded company, or is owned by a company or individual that normally reports its financial statements on a consolidated basis, the balance sheet may be prepared on a combined basis for all of its cemeteries or burial goods businesses located in Maryland, only if the publicly traded company, company, or individual that owns multiple cemeteries or burial goods businesses guarantees its obligations to consumers among all of its Maryland properties or businesses that are included in the combined report. M. The Office may waive the financial stability requirement of this regulation only if the affiliated cemetery or burial goods business has fulfilled the financial stability requirements of this regulation within the past 2 years. #### Regulation .07 Change of Information. *COMAR 09.34.01.07* The responsible party shall notify the Office of any change in the information provided in the application for a permit or registration either before or after the issuance of a permit or registration within 1 week from the date of a change. #### Regulation .08 Setting of Fees. *COMAR 09.34.01.08* All fees shall be set by the Director. The fee schedule is set forth in COMAR 09.34.03. #### Regulation .09 Renewal. *COMAR 09.34.01.09* A. A person who is registered or permitted with the Office may renew registration or a permit every 2 years beginning on a date specified by the Office in the following manner: (1) Complete the renewal application on a form supplied by the Director; (2) Pay the renewal fee set in COMAR 09.34.03; (3) Meet the initial registration or permit requirements under Regulations .04, .05, and .06 of this chapter; (4) Submit the documentation required by Regulation .06 of this chapter, and (5) If a balance sheet is required, submit a comparative balance sheet, related note disclosures, and supplementary information based on the requirements for a comparative balance sheet of Regulation .06 of this chapter accompanied by a review report prepared by a retained certified public accountant. B. Before the expiration date of the registration or permit, a registrant or permit holder shall complete and return the renewal form and renewal fee according to instructions. After the expiration date, if a registrant or permit holder has not yet applied for renewal, the registrant or permit holder is no longer authorized to engage in the operation of a cemetery or to provide burial goods in this State. C. If a registrant or permit holder completes and returns the renewal form before the deadline established by the Office, and the Office does not renew the registration or permit before the registration or permit expires, the registrant or permit holder is considered to be actively registered or permitted until receipt from the Office of either a renewed registration or permit or a notice of denial of registration or permit. D. If a registrant or permit holder applies for renewal past the renewal deadline established by the Office, the registrant or permit holder shall pay the renewal fee plus the late renewal fee under COMAR 09.34.03. #### Regulation .10 Lapsed Registration. *COMAR 09.34.01.10* A person who has been registered or permitted by the Office and who has allowed the registration or permit to lapse for at least 6 months may apply for registration or a permit in the following manner: A. Complete an initial registration or permit application on a form supplied by the Office; B. Pay the initial registration or permit fee and the late renewal fee under COMAR 09.34.03; C. Meet the initial registration or permit requirements under Regulations .04, .05, and .06 of this chapter; D. Submit the documentation required by Regulation .06 of this chapter; E. If a balance sheet is required, submit a comparative balance sheet, related note disclosures, and supplementary information based on the requirements for a comparative balance sheet of Regulation .06 of this chapter accompanied by a review report prepared by a retained certified public accountant; and F. Provide a full, written explanation to the Office detailing the reasons why the registration or permit was allowed to expire and why registration or a permit is now sought. #### Regulation .11 Hearings. *COMAR 09.34.01.11* A. Registration or Permit Denial. An applicant, registrant, or permit holder applying for an initial or renewal registration or permit may be denied approval subject to the hearing provisions of Business Regulation Article, §5-311, Annotated Code of Maryland, for any of the grounds listed in Business Regulation Article, §5-310, Annotated Code of Maryland. B. Hearing Before Director. (1) Except as otherwise provided in §B(2)—(6) of this regulation, all contested case hearings before the Director shall be governed by COMAR 09.01.02. (2) In addition to the actions provided in COMAR 09.01.02.03C, the Director shall attempt to negotiate a settlement of a complaint between the complainant and a registrant or permit holder. If the Director is unable to negotiate a settlement of a complaint, the Director may, at the request of either party, refer the complaint to the Office of the Attorney General or the Office of Administrative Hearings for binding arbitration, if both parties agree to binding arbitration. (3) An applicant who has been notified that a new or renewal registration or permit has been or may be denied and who requests a hearing before the Director must file the request for a hearing not later than 30 days after the date the notice or proposed action was mailed. (4) The Director shall send the hearing notice described in COMAR 09.01.02.07B at least 10 days before the hearing, or, if the parties have agreed to a date for which 10 days notice cannot be given, at the earliest time possible. (5) The notice to an applicant that a new or renewal registration or permit has been or may be denied shall state that the proposed action of the Director shall be affirmed if: (a) A hearing is not requested within 30 days after the date the notice of proposed action was mailed; or (b) The applicant fails to appear for the hearing after requesting a hearing. (6) If, after a hearing, the proposed action of the Director is upheld, the appellant shall pay the hearing costs as described in COMAR 09.34.03.03F. C. Hearings Delegated to the Office of Administrative Hearings. All contested case hearings delegated to the Office of Administrative Hearings shall be governed by COMAR 09.01.03. #### Regulation .12 Display of Registration or Permit. *COMAR 09.34.01.12* A registrant or permit holder shall display the registration or permit conspicuously at each business address of the registrant or permit holder. #### Regulation .13 Communication from Director — Failure to Respond. *COMAR 09.34.01.13* A. Definition. (1) In this regulation, the following term has the meaning indicated. (2) Term Defined — Person. (a) “Person” has the meaning provided in Business Regulation Article, §1-101(g), Annotated Code of Maryland. (b) “Person” includes: (i) Any registrant or permit holder under Business Regulation Article, Title 5, Annotated Code of Maryland, and any applicant for a registration or permit to operate a cemetery or crematory, or to provide burial goods, in this State; and (ii) Any other person required under the provisions of Business Regulation Article, Title 5, Annotated Code of Maryland, or any regulation in this subtitle, to respond to a communication from the Director. B. Duty to Respond. (1) If a person receives from the Director or the Office a written communication requesting a response, the person shall respond in writing, by first-class mail, within 30 days of the date of the mailing. (2) It is the responsibility of a person to notify the Office in writing if there has been a change in the person’s address. C. Failure to respond as required by this regulation may be considered by the Director to be a violation of Business Regulation Article, Title 5, Annotated Code of Maryland. ### Chapter 02 — Perpetual Care **Authority:** Business Regulation Article, §§5-204 5-605, and 5-606, Annotated Code of Maryland **Administrative History:** Effective date: February 13, 2006 (33:3 Md. R. 241) **Administrative History:** Regulation .01 amended effective April 29, 2024 (51:8 Md. R. 366) **Administrative History:** Regulation .03 amended effective May 8, 2017 (44:9 Md. R. 438) #### Regulation .01 Scope. *COMAR 09.34.02.01* This chapter governs each sole proprietor registered cemeterian or permit holder for either human or pet remains who is required to have a perpetual care trust fund and identifies the information which must be provided to the Office of Cemetery Oversight as part of the perpetual care trust report. #### Regulation .02 Definition. *COMAR 09.34.02.02* A. In this chapter, the following term has the meaning indicated. B. Income of a Perpetual Care Trust Fund. (1) “Income of a perpetual care trust fund” means interest or dividends earned on the perpetual care trust fund. (2) “Income of a perpetual care trust fund” does not include realized capital gains of a perpetual care trust fund. #### Regulation .03 Perpetual Care Report. *COMAR 09.34.02.03* The perpetual care trust report shall comply with the requirements of Business Regulation Article, §5-606, Annotated Code of Maryland. #### Regulation .04 Realized Capital Gains of a Perpetual Care Trust Fund. *COMAR 09.34.02.04* Realized capital gains of a perpetual care trust fund are not income of the perpetual care trust fund and shall be deposited in the perpetual care trust fund as principal. ### Chapter 03 — Fees **Authority:** Business Regulation Article, §§5-204, 5-205, 5-303, 5-307, 5-312, 5-404, 5-605, and 5-710, Annotated Code of Maryland **Administrative History:** Effective date: December 28, 1998 (25:26 Md. R. 1923) **Administrative History:** Chapter revised as an emergency provision effective September 1, 2001 (28:19 Md. R. 1676); emergency status expired March 1, 2002 **Administrative History:** Chapter revised effective March 18, 2002 (29:5 Md. R. 503) **Administrative History:** Chapter revised effective April 10, 2006 (33:7 Md. R. 668) **Administrative History:** Regulation .01A, B amended effective April 29, 2013 (40:8 Md. R. 723); April 29, 2024 (51:8 Md. R. 367) **Administrative History:** Regulation .02 amended effective April 29, 2024 (51:8 Md. R. 367) **Administrative History:** Regulation .02A, B amended effective April 29, 2013 (40:8 Md. R. 723) **Administrative History:** Regulation .03D, E amended effective October 22, 2007 (34:21 Md. R. 1914) **Administrative History:** Regulation .03I—K amended effective September 26, 2016 (43:19 Md. R. 1072) #### Regulation .01 Registration Fees. *COMAR 09.34.03.01* A. Initial registration fees are as follows: (1) Registered cemeterian/registered seller who is a sole proprietor of a cemetery or burial goods business — $150 plus $30 per sales contract of $250 or more entered into within the business’ past 2 fiscal years; (2) Registered cemeterian/registered seller who is not a sole proprietor of a cemetery or burial goods business — $150; (3) Registered cemeterian who operates a nonprofit cemetery which does not sell burial goods — $50; (4) Sales counselor — $100. B. Registration renewal fees are as follows: (1) Registered cemeterian/registered seller who is a sole proprietor of a cemetery or burial goods business — $150 plus $30 per sales contract of $250 or more entered into within the business’ past 2 fiscal years; (2) Registered cemeterian/registered seller who is not a sole proprietor of a cemetery or burial goods business — $150; (3) Registered cemeterian who operates a nonprofit cemetery which does not sell burial goods — $50; (4) Sales counselor — $100. C. The late renewal fee is $100. #### Regulation .02 Permit Fees. *COMAR 09.34.03.02* Permit fees are as follows: A. Initial permit fee — $200 plus $30 per sales contract of $250 or more entered into within the business’ past 2 fiscal years; B. Permit renewal fee — $200 plus $30 per sales contract of $250 or more entered into within the business’ past 2 fiscal years; C. Initial permit fee for a nonprofit cemetery which does not sell sales contracts — $50; D. Permit renewal fee for a nonprofit cemetery which does not sell sales contracts — $50; E. Late renewal fee — $100. #### Regulation .03 Other Fees. *COMAR 09.34.03.03* Other fees are as follows: A. Replacement of registration — $50; B. Replacement of permit — $50; C. Returned check fee — $50; D. Annual perpetual care trust report fee — $25; E. Annual preneed sales trust report fee — $25; F. Hearing costs described in Business Regulation Article, §5-312(h), Annotated Code of Maryland, shall be determined to be the cost of a court reporter and the transcripts ordered by the Office or by the Office of the Attorney General for the purpose of presenting a case alleging violation of Business Regulation Article, §5-310, Annotated Code of Maryland, before the Office or the Office of Administrative Hearings; G. Additional copy of registration — $50; H. Additional copy of permit — $50; I. Business name change — $25; J. Personal name change — $25; and K. Business address change — $25. ### Chapter 04 — Code of Ethics and Professional Standards **Authority:** Business Regulation Article, §§5-204,5-205, 5-303, 5-307, 5-312, and 5-404, 5-605, 5-710, and 5-801, Annotated Code of Maryland **Administrative History:** Effective date: March 22, 1999 (26:6 Md. R. 485) **Administrative History:** Regulation .01 amended effective April 29, 2024 (51:8 Md. R. 366) **Administrative History:** Regulation .02B amended effective February 13, 2006 (33:3 Md. R. 241); April 29, 2024 (51:8 Md. R. 366) **Administrative History:** Regulation .03A amended effective February 13, 2006 (33:3 Md. R. 241); April 29, 2024 (51:8 Md. R. 366) **Administrative History:** Regulation .04A amended effective December 10, 2001 (28:24 Md. R. 2128); February 13, 2006 (33:3 Md. R. 241) **Administrative History:** Regulation .04B amended effective February 13, 2006 (33:3 Md. R. 241) #### Regulation .01 Scope. *COMAR 09.34.04.01* This chapter governs any person who holds a registration or permit to operate a cemetery or to provide burial goods for either human or pet remains in this State. #### Regulation .02 Definitions. *COMAR 09.34.04.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) Burial Space. (a) “Burial space” means land or space in a structure used or to be used for human interment. (b) “Burial space” includes an interment right in the land or space. (2) Consumer. (a) “Consumer” means an actual or prospective purchaser, lessee, or recipient of consumer goods, consumer services, consumer realty, or consumer credit. (b) “Consumer” includes an individual directed by the consumer, or properly acting on behalf of a deceased consumer, to inquire about the cost or purchase of burial space or burial goods or to act on behalf of the consumer. (3) “Decedent” means a person or pet who is no longer living. (4) “Installation of a memorial” includes the installation of a foundation for a memorial. (5) “Licensee” means a person licensed by the State agency to sell burial space, burial goods, or burial services. (6) “Memorial” means a marker, memorial, monument, scroll, urn, vase, or other permanent fixture used to memorialize a burial space. #### Regulation .03 General Professional Practices. *COMAR 09.34.04.03* A. A registrant or permit holder shall: (1) Act in a manner that respects and protects the dignity of a decedent and the decedent’s family or pet’s owner; (2) Conduct business in a reasonable, usual, and customary manner; (3) Comply with the State public health laws as set forth in Health-General Article, §4-215 and §5-501 et seq., Annotated Code of Maryland; (4) Comply with Commercial Law Article, Titles 12 and 13, Annotated Code of Maryland; (5) Implement and follow through on all arrangements agreed upon between a consumer and the cemetery or burial goods business; (6) Provide appropriate services for and respect the rights of individuals without regard to age, race, creed, national origin, gender, disability, marital status, political belief, religious affiliation, social or economic status, or social preferences; (7) Comply with the State laws for cremation; (8) Be sensitive and responsive to the bereavement needs of a decedent’s family or pet’s owner; (9) Complete the obligations of a paid-in-full contract within a reasonable time of the need for these goods and services; (10) Comply with all laws dealing with the operation of a cemetery or providing burial goods; (11) Be responsible for repair or replacement of any memorial damaged or improperly set by the registrant or the registrant's or permit holder's employees; (12) Disclose to a consumer orally and in writing at or before the time of a preneed sale all goods and services that are reasonably expected to be required at the time of need that are not included in the preneed burial contract, including: (a) Interment or entombment fees including opening and closing costs, and any additional fees associated with an extra depth interment, (b) A vault or grave liner or the installation of a vault or grave liner, or both, (c) Removal and replacement of a footing or memorial, or both, for the opening and closing of a burial space, (d) Imposition of additional fees for weekend, holiday, or after hours interment, including any rights to a refund or reimbursement of the fees for services paid in advance but not utilized, and notification that any additional fees imposed for weekend, holiday, or after hours interment will be those listed on the current general price list at the time of need, and (e) Any other goods or services for which the registrant or permit holder charges a fee including but not limited to memorial care fees, vault inspection fees, vault installation fees, lay-out fees, temporary marker fees, memorial inscription fees, and inspection fees; (13) Disclose to a consumer orally and in writing at or before the time of a sale of a monument, memorial, or other permanent product used to identify a human or pet burial space all goods and services related to the monument, memorial, or other permanent product that are reasonably expected to be required for the full use and care of the product at the time of need that are not included in the burial contract, including: (a) Installation of memorials, (b) Inspection and lay-out fees charged by cemeteries in connection with the installation of foundations, memorials, or both, (c) Removal and resetting fees, (d) Memorial care fees, (e) Date of death inscription, and (f) Any other goods, services, or fees directly related to or reasonably expected to be required for full use and care of installed memorials; (14) State to a consumer in clear understandable language orally and in writing, at the time of entering into a contract, all cancellation and refund rights which may be available to the consumer, including rights relating to burial spaces, caskets, and burial goods considered delivered; (15) Disclose to a consumer, orally and in writing, the responsibility of the registrant or permit holder for the continued care of memorials after purchase; (16) Disclose to a consumer, orally and in writing, at or before the time of an at-need sale that: (a) Memorials and foundations for memorials may be purchased either from the cemetery or an outside burial goods business; and (b) The installation or servicing of memorials, including foundations, may be purchased from either the cemetery or an outside burial goods business; (17) Provide to any person who requests information, at the office, regarding burial space, burial goods, or burial services, the general price list for the person to retain; (18) Provide accurate information, orally, from the general price list to any person who requests information, by telephone, regarding specific burial space, burial goods, or burial services; (19) Present to a consumer a balanced display of various cost options of burial goods or services offered for sale; and (20) Comply with any oral or written disclosure requirements in this chapter by obtaining a signed acknowledgment from the consumer. B. A registrant or permit holder may not: (1) Place advertisements which include statements: (a) Containing misrepresentation of facts, (b) Likely to mislead or deceive because in context the statement makes only a partial disclosure of relevant facts, (c) Relating to fees without reasonable disclosure of all relevant variables so that the statement would not be misunderstood or be deceptive to a consumer, or (d) Containing representations or implications that in reasonable probability can be expected to cause an ordinarily prudent person to misunderstand or be deceived; (2) Use, or participate in the use of, any form of communication to consumers containing a false, fraudulent, misleading, deceptive, or unfair statement or claim; (3) Operate a cemetery or provide burial goods while under the influence of alcohol, an illegal drug, or a controlled dangerous substance which has not been prescribed by a physician; (4) Fail to provide care to a memorial or burial space if the registrant or permit holder agrees to provide this care; (5) Provide less care to or state or imply that less care is given a memorial or burial space if a memorial is obtained from a person other than the registrant or permit holder; and (6) Pay or agree to pay any sum or any thing of value to any person, who is not licensed or registered by a State agency to sell burial space, or burial goods or services, for soliciting or referring, at need, a consumer for the purchase of burial space, or burial goods or services. #### Regulation .04 Professional Standards for Registered Cemeterians and Permit Holders that Own or Operate Cemeteries. *COMAR 09.34.04.04* A. A registered cemeterian or cemetery permit holder shall: (1) Maintain cemetery grounds and structures in a reasonable condition; (2) Keep accurate records of all sales and interments, including a map or plat which identifies the section name, lot number, and site number of each burial space in the cemetery or mausoleum or both; (3) Establish and maintain a record with the dates, locations, facts, and any permit required under Health-General Article, §4-215(e), Annotated Code of Maryland, relative to the relocation of human remains, including cremated human remains, from an existing burial space to another burial space; (4) Provide to a consumer, orally and in writing, at the time of entering into a contract for a memorial, a statement of the cemetery's policy on the use of independent monument companies; (5) Provide to a consumer, within 1 business day, a response to an authorization request for the installation or servicing of a foundation or burial goods; (6) Provide to a consumer, upon request, within 1 business day, information about the rules and regulations for a section and area of the cemetery, including the specifications, standards, and requirements, and any fees for the installation and type of memorial; (7) Provide, upon request, to a consumer, within 1 business day, information regarding the exact location of a burial space for the purpose of installing or servicing a memorial; (8) Have the same specifications, standards, and requirements for the installation of memorials in the registrant's or permit holder's cemetery regardless of who sold the memorial; and (9) Disclose to a consumer, orally and in writing, at the time of entering into a contract, the number of interments that may be placed in each burial space and their disposition within a burial space. (10) Disclose to the owner of the burial space, in writing, if damage has occurred to the integrity of a casket, liner, vault, crypt, mausoleum space, or columbarium space within 10 days of discovery of the damage; (11) If the damage which has occurred to the integrity of a casket, liner, vault, crypt, mausoleum space, or columbarium space, was caused by the actions of the cemetery, offer to repair or to supply to the owner of the burial space a reasonable and comparable alternative burial space, casket, liner, vault, crypt, mausoleum space, or columbarium space; and (12) Maintain in the cemetery's office, for inspection by consumers, a current and complete listing of the rules and requirements of the cemetery including those related to memorialization, interment, memorial services, burial space embellishments, and hours of operation. B. A registered cemeterian or cemetery permit holder may not: (1) State or imply that the State requires a consumer to come to a cemetery before an interment is performed; (2) Charge extra fees for the storage of a casket, or the opening and closing of a burial space after hours, due to a delay in burial attributable to a breakdown of equipment or to the registrant's or permit holder's actions; (3) Charge a fee for disclosing any information which is needed to install or service a memorial; (4) Establish any policy or rule which unreasonably impedes, prohibits, or restricts anyone from viewing the lowering of a casket or participating in a funeral service at a burial space; (5) Knowingly or intentionally open a burial space other than that which the lot owner, next-of-kin, family, or their agent or personal representative owns or purchased for right of burial; (6) Knowingly or intentionally resell a burial space which has already been sold for future use or in which an interment exists; (7) Charge any fees relating to the installation or servicing of burial goods purchased from a registered cemetarian, registered seller, or permit holder, other than the registered cemeterian or permit holder, unless the fee is reasonable and is based on actual labor and other appropriate costs; and. (8) Charge a fee for any memorial care other than perpetual memorial care. ### Chapter 05 — Crematories — Definitions **Authority:** Business Regulation Article, §5-204; Health-General Article, §5-508; Annotated Code of Maryland **Administrative History:** Effective date: March 31, 2014 (41:6 Md. R. 378) **Administrative History:** Regulation .02B amended effective April 13, 2026 (53:7 Md. R. 327) #### Regulation .01 Scope. *COMAR 09.34.05.01* This chapter governs the definition of terms used in COMAR 09.34.06, COMAR 09.34.07, COMAR 09.34.08 and COMAR 09.34.09. #### Regulation .02 Definitions. *COMAR 09.34.05.02* A. In COMAR 09.34.06, COMAR 09.34.07, COMAR 09.34.08, and COMAR 09.34.09, the following terms have the meanings indicated. B. Terms Defined. (1) “Advertisement” means the publication, dissemination, or circulation of any oral or written matter, including labeling, which directly or indirectly calls to the attention of the public the goods or services one has to offer. (2) “Alkaline hydrolysis” means the process of reducing human remains using water, alkaline chemicals, and heat inside a watertight vessel to accelerate decomposition. (3) “Authorizing agent” means an individual who has legal authority to arrange for and make decisions regarding the final disposition of human remains, including cremation or alkaline hydrolysis. (4) “Board” means the Board of Morticians and Funeral Directors. (5) Consumer. (a) “Consumer” means an actual or prospective purchaser of consumer services, consumer goods, or consumer credit. (b) “Consumer” includes an individual directed by the consumer, or properly acting on behalf of a deceased consumer, to inquire about the cost or purchase of cremation services or cremation related goods, or to act on behalf of the consumer. (c) “Consumer” includes a funeral establishment contracting with a crematory or the authorizing agent of a decedent contracting with a crematory. (6) “Cremated human remains” means the recoverable bone fragments of a deceased person that result from the completion of cremation. (7) “Cremation” means disposition of a dead human body by means of incineration. (8) “Cremation container” means a readily combustible, rigid container in which human remains are sent to the crematory and then placed in the cremator for cremation. (9) “Cremator” means the machinery within which the process of cremation begins. (10) “Crematory” means a building, portion or a building, or structure that houses the necessary appliances and facilities for cremation, alkaline hydrolysis, or both. (11) “Decedent” means a dead human being. (12) “Embalming” means the disinfection or preserving of human remains by arterial or cavity injection or any other type of preservation. (13) “Engage in the operation of a crematory” means controlling or managing a crematory. (14) “Holding facility” means an area, within or adjacent to a crematory, designed for the retention of human remains before cremation or alkaline hydrolysis. (15) Human Remains. (a) “Human remains” means: (i) The body of a deceased person; or (ii) A part of a body or limb that has been removed from a living person. (b) “Human remains” includes the body or part of a body or limb in any state of decomposition. (16) “Hydrolysis container” means a container, including a body bag, in which human remains are sent to the crematory for alkaline hydrolysis, but the human remains may be removed prior to the start of the process of alkaline hydrolysis. (17) “Hydrolysis unit” means the watertight vessel in which the process of alkaline hydrolysis occurs. (18) “Hydrolyzed human remains” means the recoverable bone fragments of a deceased person that result from the completion of alkaline hydrolysis. (19) “Office” means the Office of Cemetery Oversight. (20) “Permit” means a permit issued by the Office to allow a person to operate a business which engages in the operation of a crematory or to act as a registered crematory operator. (21) “Permit holder” means the holder of a permit under Business Regulation Article, Title 5, Annotated Code of Maryland, to engage in the operation of a crematory or to act as a registered crematory operator. (22) “Person” means an individual, receiver, trustee, corporation, limited liability company, or partnership. (23) “Processed human remains” means the end result of pulverization. (24) “Pulverization” means the process following cremation or alkaline hydrolysis of crushing, grinding, or milling cremated or hydrolyzed human remains into fine particles or powder, leaving bone fragments reduced to 5 millimeters or less. (25) “Registered crematory operator” means an individual registered to operate a crematory as a sole proprietor or on behalf of a sole proprietor or permit holder. (26) “Responsible party” means a sole proprietor or the individual designated by a corporation, limited liability company, or partnership, which holds a permit to engage in the operation of a crematory, to be responsible for the operations of the crematory. (27) “Sealable container” means any container in which processed human remains can be placed and sealed so as to prevent leakage of the processed human remains or the entry of any foreign material. ### Chapter 06 — Crematories — Permit and Registration Process and Fees **Authority:** Business Regulation Article, §§5-102, 5-204, 5-205, 5-301—5-310, 5-312, 5-401—5-403, and 5-901—5-905, Annotated Code of Maryland **Administrative History:** Effective date: March 31, 2014 (41:6 Md. R. 378) **Administrative History:** Regulation .14 adopted as an emergency provision effective August 28, 2014 (41:19 Md. R. 1074); adopted permanently effective November 24, 2014 (41:23 Md. R. 1372) **Administrative History:** Regulation .02D, F, amended effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .02G adopted effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .03B amended effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .04B amended effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .05 amended effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .06B, C amended effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .07B, C amended effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .14 amended effective April 13, 2026 (53:7 Md. R. 327) #### Regulation .01 Scope. *COMAR 09.34.06.01* This chapter governs the permit process for persons, regulated under Business Regulation Article, Title 5, Annotated Code of Maryland, who operate a crematory in the State and the fees for crematory and registered crematory operator permits. #### Regulation .02 Permit Issuing Agency. *COMAR 09.34.06.02* A. A person who holds a permit or registration under Business Regulation Article, Title 5, Annotated Code of Maryland, and owns a greater interest in a crematory than a licensee under Health Occupations Article, Title 7, Annotated Code of Maryland, shall obtain a permit to engage in the operation of a crematory from the Office. B. A person whose ownership interest in a crematory is equal to the ownership interest in the crematory of a licensee under Health Occupations Article, Title 7, Annotated Code of Maryland, shall obtain a permit to engage in the operation of a crematory from the Office. C. A person who owns a crematory and is neither a licensee under Health Occupations Article, Title 7, Annotated Code of Maryland, nor a registrant or permit holder under Business Occupations Article, Title 5, Annotated Code of Maryland, shall obtain a permit to engage in the operation of a crematory from the Office. D. A person who is a licensee or holder of a corporation license under Health Occupations Article, Title 7, Annotated Code of Maryland, and owns a greater interest in a crematory than a person who holds a permit or registration under Business Regulation Article, Title 5, Annotated Code of Maryland, shall obtain a permit to engage in the operation of a crematory from the Board. E. An individual, who is designated as the registered crematory operator by a person required to obtain a permit to operate a crematory from the Office, shall obtain a registered crematory operator permit from the Office. F. All operating crematories and individuals designated as the registered crematory operator required to obtain a permit from the Office shall apply to the Office for a permit. G. A permit issued by the Office shall specify if the crematory is authorized to offer and perform either cremation services, alkaline hydrolysis services, or both. #### Regulation .03 Permit — Requirements for Permit for a Crematory Owned by a Corporation, Limited Liability Company, or Partnership. *COMAR 09.34.06.03* A. A corporation, limited liability company, or partnership shall receive a permit to operate a crematory in this State if the corporation, limited liability company, or partnership meets the permit requirements of this regulation. B. A corporation, limited liability company, or partnership shall receive a permit if the entity: (1) Completes an application form; (2) Pays the nonrefundable application fee and any other fees due under this chapter; (3) Provides the name, address, and phone number of each affiliated crematory; (4) Designates a registered crematory operator as the responsible party for each affiliated crematory provided that: (a) The registered crematory operator may not be designated as the responsible party for more than a total of two crematories; and (b) A registered crematory operator shall be registered to operate a cremator, an alkaline hydrolysis unit, or both; (5) Provides a list of the officers, directors, members, partners, agents, and employees of the entity applying for the permit; (6) Provides a certificate of status, issued by the Maryland Department of Assessments and Taxation, indicating that the entity is in good standing, or its equivalent as determined by the Office, and dated not earlier than 30 days before the date of the application; and (7) Provides an affidavit stating that: (a) No federal or State taxes or fees are delinquent; and (b) The corporation, limited liability company or partnership is financially stable. #### Regulation .04 Permit — Requirements for Permit for a Crematory Owned by a Sole Proprietor. *COMAR 09.34.06.04* A. A sole proprietor applicant for a crematory permit shall receive a permit to operate a crematory in this State if the sole proprietor applicant meets the permit requirements of this regulation. B. A sole proprietor shall receive a permit if the sole proprietor: (1) Completes an application form; (2) Pays the nonrefundable application fee and any other fees due under this chapter; (3) Provides the name, address, and phone number of each affiliated crematory; (4) Designates a registered crematory operator as the responsible party for each affiliated crematory provided that: (a) The registered crematory operator may not be designated as the responsible party for more than a total of two crematories; and (b) A registered crematory operator shall be registered to operate a cremator, alkaline hydrolysis unit, or both; and (5) Provides an affidavit stating that: (a) No federal or State taxes or fees are delinquent; and (b) The crematory business is financially stable. #### Regulation .05 Permit — Requirements for Registration for a Registered Crematory Operator. *COMAR 09.34.06.05* A. An individual shall register with and receive a permit from the Office as a registered crematory operator if the individual meets the registration requirements of this regulation. The permit shall specify whether the individual’s training and registration required by this chapter permits the individual to operate a cremator, alkaline hydrolysis unit, or both. B. An individual shall be registered with the Office as a registered crematory operator if the individual: (1) Completes an application form; (2) Pays the nonrefundable application fee and any other fees due under this chapter; (3) Is 18 years old or older; (4) Is of good character and reputation and provides at least three character references from employers, community leaders, or professional societies, that the applicant is an individual of good character and reputation; (5) Has achieved certification as a crematory operator by the Cremation Association of North America, International Cemetery, Cremation and Funeral Association, or other equivalent certification recognized by the Office and the Board; (6) Has successfully completed the operator training course of the manufacturer of the cremator or alkaline hydrolysis unit located in the crematory with which the applicant is affiliated; (7) States the name and mailing address of the crematory with which the applicant is affiliated; (8) States whether the crematory with which the applicant is affiliated is owned or controlled by: (a) A corporation; (b) A partnership; (c) A limited liability company; or (d) A sole proprietorship; and (9) States whether the applicant is the responsible party for the affiliated crematory. C. Additional Requirements. (1) An individual applying for a permit as a registered crematory operator shall provide the Office with a detailed description of activities including, but not limited to, whether the applicant has: (a) Had a license, certification, registration, or permit of the type for which the application is being made ever denied, suspended, or revoked by any jurisdiction; (b) Been convicted of a felony in any State or federal court; (c) Been convicted in any State or federal court of a misdemeanor directly related to the ownership or operation of a crematory; (d) Had any civil judgments or settlements within the 5 years before applying for a permit which directly related to the ownership or operation of a crematory; or (e) Been convicted by a court in this State of violating a usury provision under Commercial Law Article, Title 12, Annotated Code of Maryland, or an unfair and deceptive trade practices provision under Commercial Law Article, Title 13, Annotated Code of Maryland. (2) An applicant shall submit copies of all: (a) Charging documents which were issued and docket entries for convictions, which occurred before applying for a permit, for a misdemeanor or felony referred to in §C(1)(b),(c), or (e) of this regulation; (b) Disciplinary actions, judgments, and final orders which occurred or were issued before applying for a permit for any regulatory probation, suspension, or revocation referred to in §C(1)(a) of this regulation; and (c) Civil judgments or settlements against the applicant within the past 5 years which directly relate to the ownership or operation of a crematory. (3) An individual applying for a permit, who is designated by the permit holder as the responsible party, shall state the name and residential address of each employee who sells goods or services to the public while engaging in the operation of a crematory. D. A registered crematory operator may not be designated as the responsible party for more than two crematories. E. An individual may be issued permits for affiliations with more than one crematory if each affiliated crematory is owned by the same individual or entity. #### Regulation .06 Permit — Requirements for Permit for a New Crematory Owned by a Corporation, Limited Liability Company, or Partnership. *COMAR 09.34.06.06* A. A corporation, limited liability company, or partnership shall receive a permit to operate a new crematory in this State if the corporation, limited liability company, or partnership meets the permit requirements of this regulation. B. A corporation, limited liability company, or partnership shall receive a permit from the Office if, at least 30 days prior to the opening of the new crematory, the entity: (1) Completes an application form; (2) Pays the nonrefundable application fee and any other fees due under this chapter; (3) Provides the name, address, and phone number of each affiliated crematory; (4) Designates a registered crematory operator as the responsible party for each affiliated crematory provided that: (a) The registered crematory operator may not be designated as the responsible party for more than a total of two crematories; and (b) A registered crematory operator shall be registered to operate a cremator, alkaline hydrolysis unit, or both. (5) Provides a list of the officers, members, partners, agents, and employees of the entity applying for the permit; and (6) Provides an affidavit stating that the corporation, limited liability company, or partnership: (a) Is financially stable; and (b) Has the ability to continue to operate the crematory business for a 2-year period after issuance of a permit. #### Regulation .07 Permit — Requirements for a New Crematory Owned by a Sole Proprietor. *COMAR 09.34.06.07* A. A sole proprietor applicant for a new crematory shall receive a permit to operate if the sole proprietor applicant meets the permit requirements of this regulation. B. A sole proprietor shall receive a permit from the Office if, at least 30 days prior to the opening of the new crematory, the sole proprietor applicant: (1) Completes an application form; (2) Pays the nonrefundable application fee and any other fees due under this chapter; (3) Provides the name, address, and phone number of each affiliated crematory; (4) Designates a registered crematory operator as the responsible party for each affiliated crematory provided that: (a) The registered crematory operator may not be designated as the responsible party for more than a total of two crematories; and (b) A registered crematory operator shall be registered to operate a cremator, alkaline hydrolysis unit, or both; and (5) Provides an affidavit stating that the new crematory business: (a) Is financially stable; and (b) Has the ability to continue to operate the crematory business for a 2-year period after issuance of a permit. C. Before applying to the Office for a permit, a crematory shall have in its employ an individual who holds a certification from: (1) The Cremation Association of North America; (2) The International Cemetery, Cremation and Funeral Association; or (3) Another equivalent body recognized by the Office and the Board. #### Regulation .08 Change of Information. *COMAR 09.34.06.08* The responsible party shall notify the Office of any change in the information provided in the application for permit for a crematory or for a permit as a registered crematory operator, either before or after the issuance of a permit, within 1 week of the date of the change. #### Regulation .09 Renewal. *COMAR 09.34.06.09* A. Before the expiration date of a permit, a permit holder shall complete and return the renewal form, pay the renewal fee, and submit any required documentation. B. A person who has a permit to engage in the operation of a crematory or a permit as a registered crematory operator may renew the permit every 2 years, beginning on a date specified by the Office, in the following manner: (1) Complete the renewal application form; (2) Pay the nonrefundable renewal fee set forth in Regulation .13 of this chapter; (3) Meet the permit requirements under Regulation .03, .04, or .05 of this chapter; and (4) Submit the documentation required by Regulation .03, .04, or .05 of this chapter. C. After the expiration date of a permit, if a permit holder has not yet applied for renewal, the permit holder is no longer authorized to engage in the operation of a crematory or to act as a registered crematory operator. D. If a permit holder completes the renewal application process set forth in Regulation .09B of this chapter before the expiration date of the permit and the Office does not renew the permit before its expiration date, the permit holder is considered to be actively permitted until receipt from the Office of either a renewed permit or a notice of denial of a permit. E. If a permit holder applies for renewal of a permit after the expiration date of the permit, the permit holder shall pay the renewal fee plus the late renewal fee under Regulation .12 of this chapter. #### Regulation .10 Lapsed Permit. *COMAR 09.34.06.10* A person who has been issued a permit and who has allowed the permit to lapse for at least 6 months may apply for a permit in the following manner: A. Complete a permit application form; B. Pay the permit fee and the late renewal fee under Regulation .12 of this chapter; C. Meet the permit requirements under Regulation .03, .04, or .05 of this chapter; D. Submit the documentation required by Regulation .03, .04, or .05 of this chapter; E. Provide a full written explanation to the Office detailing the reasons why the permit was allowed to expire and why a permit is now sought; and F. Submit to the Office an affidavit stating that the person did not engage in the operation of a crematory or act as a registered crematory operator in this State while the permit was lapsed. #### Regulation .11 Hearings — Permit Denial. *COMAR 09.34.06.11* A. Permit Denial. An applicant or permit holder applying for an initial or renewal permit to the Office may be denied the issuance of a permit, subject to the hearing provisions of Business Regulation Article, §5-312, Annotated Code of Maryland. B. Hearing Before Director of Office. (1) Except as otherwise provided in §B(2)—(6) of this regulation, all contested cases before the Director of the Office shall be governed by COMAR 09.01.02. (2) An applicant who has been notified that a new or renewal permit has been or may be denied and who requests a hearing before the Director of the Office must file the request for a hearing not later than 30 days after the notice of proposed action was mailed. (3) The Director of the Office shall send the hearing notice described in COMAR 09.01.02.07B at least 10 days before the hearing or, if the parties have agreed to a date for which 10 days notice cannot be given, at the earliest time possible. (4) The notice to an applicant that a new or renewal permit has been or may be denied shall state that the proposed action of the Director of the Office shall be affirmed if: (a) A hearing is not requested within 30 days after the date the notice of proposed action was mailed; or (b) The applicant fails to appear for the hearing after requesting a hearing. (5) If, after a hearing, the proposed action of the Director of the Office is upheld, the appellant shall pay the hearing costs described in Regulation .12 of this chapter. C. Hearings Delegated by the Office to the Office of Administrative Hearings. All contested case hearings delegated to the Office of Administrative Hearings shall be governed by COMAR 09.01.03. #### Regulation .12 Fees. *COMAR 09.34.06.12* A. Permit fees: (1) Crematory permit — $350; (2) Registered Crematory Operator permit — $300; (3) Crematory permit renewal — $350; (4) Registered Crematory Operator permit renewal — $300; and (5) Late renewal fee — $200. B. Miscellaneous fees: (1) Replacement of permit — $50; (2) Returned check fee — $50; (3) Additional copy of permit — $50; (4) Business name change — $50; (5) Personal name change — $50; (6) Business address change — $50; and (7) Annual preneed sales trust report — $25. C. Hearing costs described in Business Regulation Article, §5-312(h), Annotated Code of Maryland, shall be determined to be the cost of a court reporter and the transcripts ordered by the Office, or by the Office of the Attorney General, for the purpose of presenting a case alleging violation of Business Regulation Article, Title 5, Annotated Code of Maryland, before the Office or before the Office of Administrative Hearings, #### Regulation .13 Display of Permit. *COMAR 09.34.06.13* A permit holder shall display the permit conspicuously, in a public area at each business address of the permit holder. #### Regulation .14 Cremation Prior to Obtaining a Permit. *COMAR 09.34.06.14* A crematory may cremate or hydrolyze the human remains of one decedent prior to obtaining a permit from the Office, provided: A. The cremation or alkaline hydrolysis is only performed as part of the manufacturer’s operator training course for the cremation machinery or alkaline hydrolysis unit in which the cremation or alkaline hydrolysis takes place; and B. The person or persons with the right to final disposition of the decedent are notified and have given permission prior to the cremation or alkaline hydrolysis. ### Chapter 07 — Crematories — Inspections, Complaints, and Discipline **Authority:** Business Regulation Article, §§5-204, 5-310, and 5-311, Annotated Code of Maryland **Administrative History:** Effective date: March 31, 2014 (41:6 Md. R. 378) **Administrative History:** Regulation .02 amended effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .04A amended effective April 13, 2026 (53:7 Md. R. 327) #### Regulation .01 Scope. *COMAR 09.34.07.01* This chapter governs crematory inspections, the complaint process, investigations, grounds for discipline, and penalties. #### Regulation .02 Inspection by the Office. *COMAR 09.34.07.02* A. A crematory shall be available for inspection by a representative of the Office at any time during operating hours. The permit holder or registered crematory operator shall be available to accompany the inspector during the inspection and sign the initial inspection report. A copy of the inspection report shall be provided to the permit holder or registered crematory operator. B. Each crematory shall be inspected: (1) On at least a biennial basis; (2) In furtherance of an investigation; or (3) Upon the sale or change of ownership of the crematory. C. A crematory shall maintain the following minimum standards: (1) The premises shall be maintained in a sanitary manner to comply with Centers for Disease Control’s guidelines on universal precautions; (2) Except by express, written consent of the authorizing agents to perform simultaneous, multiple cremations or alkaline hydrolyses, there shall be no more than one human body cremated or hydrolyzed in a single cremator or alkaline hydrolysis unit at a time; (3) A cremator or alkaline hydrolysis unit shall be cleaned completely after each cremation or alkaline hydrolysis; (4) There may not be co-mingling of human remains and pet remains in refrigeration units, cremators, or alkaline hydrolysis units; (5) Separate cremators or alkaline hydrolysis units shall be dedicated for the cremation or alkaline hydrolysis of human remains and the cremation or alkaline hydrolysis of pets; (6) There may not be: (a) Co-mingling of processed human remains with other processed human remains or pet remains; (b) Scooping of processed human remains from a bucket containing commingled processed human remains; or (c) Any form of misrepresentation in the return of processed human remains; (7) Excluding a deceased person with a known communicable infection, human remains shall be properly identified before cremation or alkaline hydrolysis by verifying that the documentation accompanying the human remains is consistent with a visual observation of the human remains; (8) A burial transit permit shall be an original document pertaining to the deceased; (9) Each crematory shall have: (a) A sink with hot and cold water in the room in which the crematory equipment is housed; and (b) The tools necessary to thoroughly clean the floor within the room housing the crematory equipment with water and an appropriate sanitizing agent; (10) The name of the deceased shall be visible on the outside of the crematory container; (11) Human remains shall be properly stored prior to cremation or alkaline hydrolysis; (12) Crematories shall: (a) Use only mechanical pulverizing equipment meeting industry standards that has been thoroughly brushed as clean as possible between each use; and (b) Pulverize the processed human remains with a mortar and pestle when the processed human remains are not sufficient in amount for pulverizing in mechanical equipment; (13) Separate pulverizing drums shall be dedicated for processed human remains and processed pet remains; (14) Before pulverizing, the mechanical pulverizer shall be clamped; (15) A crematory may not refuse to release processed human remains pending payment of outstanding fees; (16) Cremators without safety devices that prevent the automatic door from dropping unintentionally shall be retrofitted with such safety devices; (17) Portable fans may not be used in the area of the cremator or pulverizing equipment; (18) There shall be a minimum of 6 inches between a cremator smoke stack and the roof of the crematory; (19) A cremator shall have, visible on its front, a warning sign stating “No leaning past the door of the cremator.”; (20) The permit holder or registered crematory operator shall be present at the crematory during regular business hours; and (21) All individuals who operate the cremator or alkaline hydrolysis unit in a crematory shall be certified by the Cremation Association of North America, International Cemetery, Cremation and Funeral Association, or other equivalent certification recognized by the Office and the Board. Individuals receiving training toward certification to operate a cremator or alkaline hydrolysis unit shall be allowed to work under the supervision of a registered crematory operator who has the required certification for a period not to exceed 6 months. D. The following completed forms shall be available at all times for inspection and copying and are subject to be pulled at random by the inspector: (1) Crematory services authorization form; (2) Burial transit permit; (3) Delegation of authority form; (4) Receipt for human remains; (5) Record of cremation or alkaline hydrolysis; (6) Certificate of cremation or alkaline hydrolysis; and (7) Return of processed human remains certificate. E. Inspection results shall be written on forms approved by the Office. F. The representative of the Office performing the inspection shall, upon completion of the inspection: (1) Apprise the permit holder of the findings of the inspection; and (2) Provide the permit holder or a representative of the permit holder with a copy of the inspection report. G. The permit holder or representative of the permit holder shall sign and verify receipt of the inspection report. H. At the time of the Office’s inspection, the permit holder shall provide written documentation to the Office’s inspector that: (1) The crematory equipment has been inspected in accordance with manufacturer specifications; (2) In accordance with manufacturer specifications, it is not time for a manufacturer’s inspection; or (3) The permit holder has requested that the manufacturer conduct an inspection of the crematory equipment. #### Regulation .03 Crematory Inspection Report, Deficiencies, Violations, and Penalties. *COMAR 09.34.07.03* A. The Director of the Office shall review the inspection report and make a determination as to whether a deficiency exists. B. The Office shall notify the permit holder of the results of the inspection by providing a copy of the inspection report to the permit holder. C. If a permit holder passes an inspection, the permit holder shall prominently display, in public view on the premises, a statement issued by the Office that the crematory has successfully passed an inspection. D. If the Director of the Office finds a deficiency, the Director of the Office shall: (1) Within 7 days notify the permit holder of the deficiency or failure to pass the inspection; and (2) Provide a copy of the inspection report, notice of the deficiency, or failure to pass the inspection to the crematory permit holder within 30 days of completion of the inspection. E. Correction of Deficiency. (1) Except as provided in this section, a crematory permit holder shall correct a deficiency within 30 days after receipt of notification or sooner as determined by the Office. (2) The Office may require immediate correction of a deficiency if the Office considers the correction necessary in the interest of public health. (3) The crematory permit holder may request an extension of time within which to correct a deficiency. (4) The Office may approve an extension of time for correction of a deficiency. (5) Upon completion of the correction of all deficiencies, the crematory permit holder shall notify the Office. (6) Upon notification by the crematory permit holder, a representative of the Office shall re-inspect the crematory. (7) The Office shall notify the crematory permit holder, in writing, of the results of the re-inspection report by providing a copy of a new inspection report to the crematory permit holder. (8) If re-inspection reveals additional deficiencies not cited in the first report, the crematory permit holder shall correct those deficiencies in the time period specified by the Office unless an extension of time for correction of the additional deficiencies is requested by the crematory permit holder and approved by the Office. F. Penalties. In the event that a crematory permit holder fails to allow an inspection of the crematory or fails to comply with a notice to correct deficiencies or violations within the time specified, the Office shall: (1) Deem the failure to be a threat to the public health, safety, or welfare requiring immediate action; (2) Summarily suspend the crematory permit as provided under State Government Article, §10-226(c)(2), Annotated Code of Maryland; (3) Provide notice of the Office’s action to the crematory permit holder; and (4) Provide the crematory permit holder a subsequent opportunity for a hearing pursuant to Business Regulation Article, §5-312, Annotated Code of Maryland. #### Regulation .04 Complaints. *COMAR 09.34.07.04* A. A complaint regarding a permit holder or a registered crematory operator under the jurisdiction of the Office shall be: (1) Filed by the complainant, on a form devised by the Office in compliance with the provisions of Business Regulation Article, §5-311(b), Annotated Code of Maryland; and (2) Processed in accordance with the provisions of Business Regulation Article, §5-311(c)—(h), Annotated Code of Maryland. B. The Office may initiate a complaint or investigation. #### Regulation .05 Investigations. *COMAR 09.34.07.05* The Office and the Board may share investigative information and conduct joint investigations. #### Regulation .06 Grounds for Discipline and Penalties. *COMAR 09.34.07.06* A. Subject to the hearing provisions of Business Regulations Article, §5-312, Annotated Code of Maryland, the Director of the Office of Cemetery Oversight may deny a crematory permit or registered crematory operator permit to an applicant, reprimand any person required to obtain a crematory permit or registered crematory operator permit, or suspend or revoke a crematory permit or registered crematory operator permit of an applicant or permit holder, or an agent, employee, officer, director, or partner of the applicant or permit holder for the reasons set forth in Business Regulation Article, §5-310, Annotated Code of Maryland. B. The Director of the Office may seek the remedies and may impose the penalties set forth in Business Regulation Article, Title 5, Annotated Code of Maryland, for violations of that title. ### Chapter 08 — Crematories — Crematory Procedures **Authority:** Business Regulation Article, §5-204, Annotated Code of Maryland **Administrative History:** Effective date: March 31, 2014 (41:6 Md. R. 378) **Administrative History:** Regulation .01 amended effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .02 amended effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .03 amended effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .05 amended effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .06 amended effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .07 amended effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .08 amended effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .09 amended effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .10 amended effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .11 amended effective April 13, 2026 (53:7 Md. R. 327) **Administrative History:** Regulation .12B amended effective April 13, 2026 (53:7 Md. R. 327) #### Regulation .01 Scope. *COMAR 09.34.08.01* This chapter governs the procedures to be followed by a permit holder in performing a cremation or alkaline hydrolysis in this State. #### Regulation .02 Removal, Identification, and Transportation of Human Remains. *COMAR 09.34.08.02* A. Upon receipt of human remains, a permit holder, in the presence of the authorizing agent or representative of the funeral establishment engaging crematory services, shall: (1) Verify that the information on the wrist tag of the human remains is consistent with the documentation accompanying the human remains and consistent with the visual observation of the human remains; (2) Use a metal detector wand to inspect for the presence of any battery operated, implanted devices including pacemakers, defibrillators, or pain relief devices; (3) Refuse to accept human remains for cremation or alkaline hydrolysis if an inspection of the human remains indicates the presence of any battery operated, implanted device; (4) Remove and properly dispose of any hazardous object or any other materials that the permitted designee of the permit holder deems should be removed from the human remains or crematory container in order to prevent harm to the public health or damage to the cremator or alkaline hydrolysis unit; (5) Remove any jewelry on the human remains or in the crematory container; (6) Return any removed jewelry to the authorizing agent or representative of the funeral establishment engaging [cremation] crematory services; and (7) Obtain a signed, itemized receipt from the authorizing agent or representative of the funeral establishment engaging crematory services for the removed jewelry and retain the receipt as a permanent record. B. Foreign objects removed from the human remains: (1) Shall be treated as medical waste and disposed of accordingly; and (2) May not be donated until a sterilization process through a third party, recognized by the Office, to dispose properly of medical waste has been performed. C. Materials identifying the human remains placed in the custody of a permit holder shall contain the following information: (1) Name; (2) Date of birth; (3) Date of death; (4) Name of funeral establishment or authorizing agent; (5) Gender; and (6) Name and relationship of authorizing agent to the decedent. D. A permit holder shall not accept unidentified human remains for cremation or alkaline hydrolysis. #### Regulation .03 Crematory Containers. *COMAR 09.34.08.03* A. A cremation container: (1) Shall be a readily combustible, rigid container suitable for cremation; (2) Shall provide a completely enclosed covering for the human remains; (3) Shall be resistant to leakage or spillage; (4) Shall be of sufficient strength and rigidity for ease of handling; (5) Shall provide protection to the health and safety of crematory establishment personnel; (6) Shall comply with all local, State, and federal governmental emissions regulations; and (7) May not be composed of metal or polyethylene material. (8) A cremation container which appears to be heavily coated with varnish, lacquer, or any other highly combustible substance shall be: (a) Placed in a cold cremator within which no cremation has occurred in the prior 4 hours; or (b) Coated completely with water before being placed in the cremator. B. An alkaline hydrolysis container: (1) Shall completely enclose the human remains; (2) Shall be resistant to leakage or spillage; (3) Shall provide protection to the health and safety of crematory establishment personnel and the public; and (4) May be removed prior to the start of the alkaline hydrolysis process as long as the human remains are covered to protect the dignity of the decedent. #### Regulation .04 Holding Facilities. *COMAR 09.34.08.04* A holding facility shall: A. Comply with applicable public health laws; B. Preserve the dignity of human remains; C. Recognize the integrity, health, and safety of crematory establishment personnel; and D. Be secure from access by unauthorized persons. #### Regulation .05 Holding Remains. *COMAR 09.34.08.05* A. Unless prevented by emergency circumstances, human remains that have been designated for cremation or alkaline hydrolysis shall be cremated or hydrolyzed by a permit holder within 48 hours after receipt. B. A permit holder may not hold human remains for cremation or alkaline hydrolysis unless the human remains are contained within an individual, closed cremation or alkaline hydrolysis container as required under Regulation .03 of this chapter. C. A permit holder may not accept a cremation or alkaline hydrolysis container from which there is any evidence of leakage of the body fluids from the human remains therein. D. Whenever a permit holder is unable to cremate or hydrolyze human remains within 48 hours of taking custody thereof due to emergency circumstances, the permit holder shall maintain the human remains in a refrigerated holding facility, either on or off site, at 44° F or less, unless the remains have been embalmed. #### Regulation .06 Identification of Human Remains Immediately Prior to Cremation or Alkaline Hydrolysis. *COMAR 09.34.08.06* A. Immediately prior to being placed within the cremator or alkaline hydrolysis unit, a designee of the permit holder shall: (1) Verify the identification of the human remains; and (2) Place in the cremator or alkaline hydrolysis unit the hard metal or plastic identification disc of the human remains being processed where it shall remain in place until the cremation or alkaline hydrolysis process is complete. B. The designee of the permit holder who is operating the cremator may not leave the immediate area of the cremator during the cremation process C. The alkaline hydrolysis unit shall be monitored at all times during alkaline hydrolysis. #### Regulation .07 Crematory Services Authorization. *COMAR 09.34.08.07* A. Except as otherwise provided in this regulation, a permit holder may not cremate or hydrolyze human remains until: (1) The body has been identified as required by Health Occupations Article, §7-411, Annotated Code of Maryland; (2) The crematory has received: (a) A crematory services authorization on a form approved by the Office and signed by an authorizing agent; (b) If applicable, a written delegation document or facsimile; and (c) Any other documentation required by federal, State, or local law; and (3) The permit holder has documented that at least 12 hours have elapsed from the time of death of the individual whose remains are to be processed. B. The crematory services authorization form shall: (1) Be provided by the permit holder to the authorizing agent, and signed by the authorizing agent; (2) Contain the following information: (a) The identity of the decedent; (b) Date of death; (c) The name and address of the crematory where the cremation or alkaline hydrolysis will occur; (d) The name and address of the authorizing agent and the relationship between the authorizing agent and the deceased; (e) Authorization for the permit holder to cremate or hydrolyze the human remains; (f) Indicate whether the decedent is a veteran, as defined in State Government Article, §9-90,1 Annotated Code of Maryland, or an eligible dependent, as defined in Business Regulation Article, §5-803, Annotated Code of Maryland; (g) Authorization to verify that the following have been removed prior to cremation or alkaline hydrolysis: (i) Implanted pacemaker or defibrillator; or (ii) Any other materials that the crematory authority deems should be removed to prevent harm to the public health or damage to equipment; (h) A representation by the authorizing agent that radiological implant treatment has not occurred to the human remains within 5 days before cremation or alkaline hydrolysis; (i) A representation that the authorizing agent is aware of no objection to the human remains being processed by any person who has a right to control the disposition of the human remains; and (j) The name and address of the person authorized to claim the processed remains from the permit holder or accept the processed remains via registered mail; and (3) Be signed by the authorizing agent. C. If an authorizing agent is not available to execute the crematory services authorization form, the authorizing agent may delegate that authority to another individual: (1) In writing; or (2) If located outside the area, by transmitting to the crematory authority: (a) A signed, notarized statement, electronically or by facsimile device, that contains the name, address, and relationship of the sender to the deceased and the name and address of the individual to whom authority is delegated; and (b) Once the authorizing agent is located in the area, a notarized statement, through the United States Postal Service attesting to the delegation of authority. D. Upon receipt of the written delegation document or a copy of the delegation statement transmitted electronically or by facsimile device, the crematory authority shall allow the named individual to serve as the authorizing agent. The documents shall be signed by the authorizing agent in the presence of a notary. E. A person signing a crematory services authorization form is deemed to warrant the truthfulness of any facts set forth in the authorization form, including the identity of the deceased whose remains are sought to be processed and the authority of that person to order such a cremation or alkaline hydrolysis. F. A permit holder shall notify and obtain the written consent of the authorizing agent before the cremation or alkaline hydrolysis of human remains at a location other than the location named on the cremation or alkaline hydrolysis authorization form. G. A permit holder shall maintain a copy of every crematory services authorization form required under this regulation as permanent records. H. Crematory services authorization records are subject to inspection and copying by the Office. #### Regulation .08 Record of Receipt of Remains. *COMAR 09.34.08.08* A. A permit holder shall provide to an individual who delivers human remains for cremation or alkaline hydrolysis a receipt signed by both the permit holder and the person who delivered the human remains, that includes the: (1) Name of the individual from whom the human remains were received and the name of the individual's employer, if any; (2) Name and address of the crematory authority; (3) Name and address of the deceased; (4) Gender of the deceased; (5) Date of death of deceased; and (6) Verification of authorized burial transit permit. B. The permit holder shall maintain a record of each cremation or alkaline hydrolysis which shall include the: (1) Name of the deceased; (2) Date of birth of the deceased; (3) Date of death of the deceased; (4) Gender of the deceased; (5) Name and address of the authorizing agent; (6) Date, time, and location of cremation or alkaline hydrolysis; and (7) Name of the individual who performed the cremation or alkaline hydrolysis. C. The permit holder shall provide a certificate of disposition of processed human remains to the authorizing agent or funeral establishment that arranged for the cremation or alkaline hydrolysis that contains the: (1) Name of the deceased; (2) Name of the authorizing agent; (3) Date, time, and location where cremation or alkaline hydrolysis occurred; (4) Name of the individual who performed the cremation or alkaline hydrolysis; (5) Name and address of the person who received the processed human remains from the permit holder; and (6) If ascertainable, the location, including the name of the cemetery and plot location if the remains are interred, the manner, and the date of the disposition of the processed human remains. D. The permit holder shall maintain a copy of every record and receipt required by this regulation as permanent records. E. All records required to be maintained by a permit holder by this chapter are subject to inspection and copying by the Office. #### Regulation .09 Use of a Casket; Embalming. *COMAR 09.34.08.09* A. Except as provided in §B of this regulation, a permit holder may not: (1) Require that human remains be placed in a casket before cremation or that human remains be cremated in a casket; (2) Refuse to accept human remains for cremation because the remains are not in a casket; or (3) Refuse to accept human remains for cremation because the remains are in a suitable, combustible wooden casket, but may request the authorizing agent or funeral establishment engaging the services of the permit holder to remove the metal mattress holder in the casket. B. Human remains delivered to a permit holder may not be removed from the cremation container and the cremation container shall be cremated with the human remains unless the authorizing agent for the deceased requests that the human remains be placed in the cremator without enclosure in a cremation container. C. The cremation container shall be cremated with the human remains unless the authorizing agent for the deceased requests a more natural environment for the deceased. A permit holder is not required to accept this manner of disposition. D. A permit holder may not require that human remains be subjected to embalming before cremation. #### Regulation .10 Disposition of Processed Human Remains. *COMAR 09.34.08.10* A. Upon completion of the cremation or alkaline hydrolysis, insofar as is possible: (1) All of the recoverable residue of the cremation or alkaline hydrolysis process shall be: (a) Removed from the cremator or alkaline hydrolysis unit; and (b) Except for medical devices remaining after cremation or alkaline hydrolysis, pulverized; and (c) Placed in a sealable container; and (2) The identification disc required by Health Occupations Article, §7-411, Annotated Code of Maryland, shall be: (a) Removed from the cremator or alkaline hydrolysis unit; and (b) Placed in the sealable container with the processed human remains. B. Medical devices which remain after the completion of the cremation or alkaline hydrolysis process shall be treated as medical waste and disposed of accordingly. C. After pulverization, all of the processed human remains, together with the identification disc, shall be placed in a sealable container. D. If the sealable container opening is not of adequate dimensions to accommodate an identification disc, it shall be affixed to the exterior of the sealable container and a record of the cremation number shall be placed in the sealable container. E. If all of the processed human remains and the identification tag will not fit within the dimensions of a sealable container, the remainder of the processed human remains shall be returned to the authorizing agent, or the agent's representative, in a separate, sealable container. Container seams shall be taped. F. If the processed human remains and identification tag do not adequately fill the container's interior dimensions, the extra space may be filled with packing material that will not become intermingled with the processed human remains and then securely closed. G. If a sealable container containing processed human remains is to be shipped, the sealable container shall: (1) Be placed within a separate sturdy box with all box seams securely taped closed; and (2) Have the name of the deceased person whose processed human remains are contained therein legibly written on the outside of the container. H. If processed human remains have been in the possession of a permit holder, as originally authorized by the authorizing agent, without instructions for disposition, for a period of 10 days or more from the date of cremation or alkaline hydrolysis, the permit holder may send the processed human remains, using the current mailing standard approved by the U.S. Postal Service, to the authorizing agent. I. Veteran and Eligible Dependent Decedents. (1) Unless the authorizing agent directs otherwise, if a permit holder in possession of processed remains of a decedent veteran or a decedent eligible dependent shall provide the decedent’s identifying information to a veterans service organization, as defined in Business Regulation Article, §5-803, Annotated Code of Maryland. (2) The veterans service organization will notify the permit holder whether the decedent is a veteran or eligible dependent eligible for burial in a veterans cemetery. (3) If the unclaimed processed remains are those of a veteran or an eligible dependent, the permit holder may transfer the processed remains to a veterans service organization for the purpose of disposition of the processed remains. (4) If a veterans service organization does not take possession of unclaimed processed remains that qualify for a plot in a State veterans cemetery under State Government Article, §9-906, Annotated Code of Maryland, within 10 days after the permit holder receives the notification required this regulation, permit holder shall: (a) Notify the Department of Veterans and Military Families of the status of the processed remains for the purpose of the appropriate disposition of the processed remains; and (b) Transfer the processed remains to the Department of Veterans and Military Families for the purpose of the appropriate disposition of the processed remains. #### Regulation .11 Tools. *COMAR 09.34.08.11* A. A crematory offering cremation shall maintain, at its own expense, the following tool inventory: (1) Safety placement tool measuring a minimum of 49 inches in length; (2) Wire brushes for cleaning cremators; (3) Brush with fine bristles for cleaning pulverizers; (4) Mortar and pestle; (5) Funnel; (6) High temperature protective gloves and heat resistant leather gloves; (7) Hand magnet and metal detector wand to detect and remove metal from cremated human remains; (8) Tweezers to remove nonmetal objects from cremated human remains; and (9) National Institute for Occupational Safety & Health certified N95 filtering facepiece respirators. B. A crematory offering alkaline hydrolysis shall maintain, at its own expense, the following tool inventory: (1) Suitable tools for cleaning the alkaline hydrolysis unit; (2) Brush with fine bristles for cleaning pulverizers; (3) Mortar and pestle; (4) Funnel; (5) Hand magnet and metal detector wand to detect and remove metal from hydrolyzed human remains; (6) Tweezers to remove nonmetal objects from hydrolyzed human remains; (7) National Institute for Occupational Safety & Health certified respirators; and (8) An emergency shower and eyewash combination unit meeting the criteria established under the American National Standards Institute and the International Safety Equipment Association Z358.1-2014 (R2020) or its successor. #### Regulation .12 Visitors. *COMAR 09.34.08.12* A. The crematory permit holder or registered crematory operator shall: (1) Submit to the Office the number of persons not affiliated with the operation of the crematory who can safely be within the same room and within 10 feet of the cremator door; and (2) Verify to the Office that the crematory permit holder has submitted the information required in §A(1) of this regulation to their liability insurance carrier. B. Crematories that begin operation after July 1, 2014, shall construct a viewing room the area of the cremator or alkaline hydrolysis unit if the permit holder intends to permit more than two visitors present in the area of the cremator or alkaline hydrolysis unit during a cremation. ### Chapter 09 — Crematories — Code of Ethics **Authority:** Business Regulation Article, §§5-204 and 5-310, Annotated Code of Maryland **Administrative History:** Effective date: March 31, 2014 (41:6 Md. R. 378) **Administrative History:** Regulation .02C amended effective April 13, 2026 (53:7 Md. R. 327) #### Regulation .01 Scope. *COMAR 09.34.09.01* This chapter governs any person who holds a permit, pursuant to Business Regulation Article, Title 5, Annotated Code of Maryland, to engage in the operation of a crematory or to act as a registered crematory operator. #### Regulation .02 General Professional Practices. *COMAR 09.34.09.02* A. A permit holder shall: (1) Act in a manner that respects and protects the dignity of a decedent and the decedent’s family; (2) Conduct business in a reasonable, usual, and customary manner; (3) Comply with the State public health laws as set forth in Health General Article, §§4-215 and 5-501 et seq., Annotated Code of Maryland; (4) Comply with Business Regulation Article, Title 5, Annotated Code of Maryland; (5) Comply with the Commercial Law Article, Titles 12 and 13, Annotated Code of Maryland; (6) Implement and follow through on all arrangements agreed upon between a consumer and the crematory; (7) Provide appropriate services for and respect the rights of individuals without regard to age, race, creed, national origin, gender, disability, marital status, political belief, religious affiliation, social or economic status, or social preferences; (8) Comply with all local, State, and federal laws for regarding the disposition of human remains; (9) Be sensitive and responsive to the bereavement needs of a decedent’s family; (10) Provide a general price list in effect at that time, in accordance with the requirements of the Federal Trade Commission’s funeral rule found at 16 CFR part 453; and (11) Provide accurate information from the general price list to any person who requests information, by telephone, regarding cremation related goods or services. B. In advertising, a permit holder may not include statements: (1) That are misrepresentations of facts; (2) That are likely to mislead or deceive because, in context, the statement makes only a partial disclosure of relevant facts; (3) Relating to fees without reasonable disclosure of all relevant variables so that the statement would not be misunderstood or be deceptive to a consumer; or (4) Containing representations or implications that in reasonable probability can be expected to cause an ordinarily prudent person to misunderstand or be deceived. C. A permit holder or registered crematory operator may not: (1) Use, or participate in the use of, any form of communication to consumers containing a false, fraudulent, misleading, deceptive, or unfair statement or claim; or (2) Operate a crematory or perform a cremation or alkaline hydrolysis while under the influence of alcohol, an illegal drug, or a controlled dangerous substance which has not been prescribed by a physician. ### Chapter 10 — Natural Organic Reduction — Definitions **Authority:** Business Regulation Article, § 5-204, Annotated Code of Maryland **Administrative History:** Effective date: March 30, 2026 (53:6 Md. R. 287) #### Regulation .01 Scope. *COMAR 09.34.10.01* This chapter governs the definitions of terms used in COMAR 09.34.11, COMAR 09.34.12, COMAR 09.34.13, and COMAR 09.34.14. #### Regulation .02 Definitions. *COMAR 09.34.10.02* A. In COMAR 09.34.11, COMAR 09.34.12, COMAR 09.34.13, and COMAR 09.34.14, the following terms have the meanings indicated. B. Terms Defined. (1) “Advertisement” means the publication, dissemination, or circulation of any oral or written matter, including labeling, which directly or indirectly calls to the attention of the public the goods or services one has to offer. (2) “Aerobic” means the biochemical decomposition of organic matter primarily into stabilized solids and carbon dioxide by microorganisms in the presence of air. (3) “Authorizing Agent” means an individual who has legal authority to arrange for and make decisions regarding the final disposition of human remains. (4) “Board” means the Board of Morticians and Funeral Directors. (5) “Bulking agent” means a material added to remains to increase porosity and facilitate aeration during natural organic reduction and can only be organic materials and cannot include synthetic microbes, insects, or chemicals. (6) Consumer. (a) “Consumer” means an actual or prospective purchaser of consumer services, consumer goods, or consumer credit. (b) “Consumer” includes an individual directed by the consumer, or properly acting on behalf of a deceased consumer, to inquire about the cost or purchase of reduction services or reduction related goods, or to act on behalf of the consumer. (c) “Consumer” includes a funeral establishment contracting with a reduction facility authorizing agent of a decedent contracting with a reduction facility. (7) Curing. (a) “Curing” means the phase of the reduction process after: (i) Most of the human remains have completed natural organic reduction and stabilized; and (ii) Any pathogen reduction process needed for the soil remains to meet the standards set in COMAR 09.34.13.11. (b) “Curing” includes periods in which the soil remains are managed to increase maturity prior to the completion of natural organic reduction. (8) “Decedent” means a dead human being. (9) “Director” means the Director of the Office of Cemetery Oversight. (10) “Engage in the Operation of a reduction facility” means: (a) Controlling or managing a reduction facility. (b) “Engage in the operation of a reduction facility” does not include: (i) The practice of funeral direction or the practice of mortuary science; or (ii) Assistance in making decisions and filling out forms that are not directly related to natural organic reduction; (iii) Obtaining vital statistics, signatures, and other information necessary to complete a death certificate; (iv) Transportation of a body to the place of disposition; or (v) Any other services regarding the disposition of a body that are not directly related to natural organic reduction. (11) “Holding facility” means an area, within or adjacent to a reduction facility, designed for the retention of human remains before natural organic reduction begins. (12) “Funeral establishment” means a building, structure, or premises licensed by the Board, with facilities for: (a) Embalming or holding of human remains for disposition; (b) Viewing of the human remains; and (c) Funeral services. (13) Human Remains. (a) “Human remains” means: (i) The body of a deceased person; or (ii) A part of a body or limb that has been removed from a living person. (b) “Human remains” includes the body or part of a body or limb in any state of decomposition. (c) “Human remains” does not include soil remains produced after the completion of natural organic reduction. (14) “Label” means the display of all written, printed, or graphic matter on the soil remains container or a statement accompanying a soil remains container. (15) “Mature” means the characteristics of a soil after completing natural organic reduction so that is harmless to plant growth if used as a topsoil or soil supplement and it sufficiently stable that it will not generate nuisance odors and can be returned to the authorizing agent or the authorizing agent’s designee as soil remains. (16) “Natural Organic Reduction” means the contained, accelerated, aerobic degradation of human remains into soil. (17) “Office” means the Office of Cemetery Oversight. (18) “Organic” means any natural biological substance of plant origin that is capable of microbial degradation. (19) “Organic materials” means biodegradable materials such as wood chips, straw, and alfalfa added to the vessel to facilitate the natural organic reduction process and create nutrient-rich soil. (20) “Pathogenic organisms” means disease-causing organisms including, but not limited to bacteria, viruses, protozoa and viable helminth ova. (21) “Permit” means a permit issued by the Office to allow a sole proprietor, partnership, limited liability company, or corporation to operate a business which engages in the operation of a reduction facility or an individual to act as a registered reduction operator. (22) “Permit Holder” means the holder of a permit under Business Regulation Article, Title 5, Annotated Code of Maryland, to engage in the operation of a reduction facility or to act as a registered reduction operator. (23) “Pulverization” means the process of breaking down of skeletal remains into fine particles or powder by crushing, grinding, or milling after natural organic reduction leaving bone fragments reduced to 5 millimeters or less. (24) “Reduction container” means a leak-proof container, including a body bag or casket, in which human remains are transported to the reduction facility for natural organic reduction, but the human remains are removed from prior to the start of the natural organic reduction process. (25) “Reduction facility” means a building, portion of a building, or enclosed structure that houses the necessary appliances, containers, and facilities for performing natural organic reduction. (26) “Registered Reduction Operator” means an individual registered with the Office to operate a reduction facility as a sole proprietor or on behalf of a sole proprietor or a permit holder. (27) “Responsible Party” means a sole proprietor or the individual designated by a corporation, limited liability company, or partnership which holds a permit to engage in the operation of a reduction facility, to be the registered reduction operator responsible for the operations of the reduction facility. (28) “Soil Remains” means the soil produced at final disposition of a dead human body at a reduction facility by completion of natural organic reduction. (29) “Soil remains container” means a closable container, including an urn, box, or sack, in which soil remains are returned to the authorizing agent or the authorizing agent’s designee following the completion of natural organic reduction. (30) “Vector” means a carrier organism that is capable of transmitting a pathogen to another organism and includes, but is not limited to, flies and other insects, rodents, birds and vermin. (31) “Vessel” means the chamber, container, or pod into which the remains are placed for natural organic reduction. The vessel shall: (a) Promote aerobic reduction during natural organic reduction; and (b) Be leak-proof, durable, noncorrosive, and fully sealed. ### Chapter 11 — Natural Organic Reduction—Permits, Registration Process, and Fees **Authority:** Business Regulation Article, §5-204, Annotated Code of Maryland **Administrative History:** Effective date: March 30, 2026 (53:6 Md. R. 287) #### Regulation .01 Scope. *COMAR 09.34.11.01* This chapter governs the permit process for persons, regulated under Business Regulation Article, Title 5, Annotated Code of Maryland, who operate a reduction facility in the State and the fees for reduction facilities and registered reduction operator permits. #### Regulation .02 Permit Issuing Agency. *COMAR 09.34.11.02* A. A person who holds a permit or registration under Business Regulation Article, Title 5, Annotated Code of Maryland, and owns a greater interest in a reduction facility than a licensee under Health Occupations Article, Title 7, Annotated Code of Maryland, shall obtain a permit to engage in the operation of a reduction facility from the Office. B. A person whose ownership interest in a reduction facility is equal to the ownership interest in the reduction facility of a licensee under Health Occupations Article, Title 7, Annotated Code of Maryland, shall obtain a permit to engage in the operation of a reduction facility from the Office. C. A person who owns a reduction facility and is neither a licensee under Health Occupations Article, Title 7, Annotated Code of Maryland, nor a registrant or permit holder under Business Regulation Article, Title 5, Annotated Code of Maryland, shall obtain a permit to engage in the operation of a reduction facility from the Office. D. A person who is a licensee or holder of a corporation license under Health Occupations Article, Title 7, Annotated Code of Maryland, and owns a greater interest in a reduction facility than a person who holds a permit or registration under Business Regulation Article, Title 5, Annotated Code of Maryland, shall obtain a permit to engage in the operation of a reduction facility from the Board. E. An individual, who is designated as the registered reduction operator by a person required to obtain a permit to operate a reduction facility from the Office, shall obtain a registered reduction operator permit from the Office. F. All operating reduction facilities and individuals designated as the registered reduction operator required to obtain a permit from the Office shall apply to the Office for a permit. #### Regulation .03 Permit Requirements for a Reduction Facility Owned by a Corporation, Limited Liability Company, or Partnership. *COMAR 09.34.11.03* A. A corporation, limited liability company, or partnership shall receive a permit to operate a reduction facility in this State if the corporation, limited liability company, or partnership meets the permit requirements of this regulation. B. A corporation, limited liability company, or partnership shall receive a permit if the entity: (1) Completes an application form; (2) Pays the nonrefundable application fee and any other fees due under this chapter; (3) Provides the name, address, and phone number of each affiliated reduction facility; (4) Designates a registered reduction operator as the responsible party for each affiliated reduction facility provided that the registered reduction operator may not be designated as the responsible party for more than a total of two reduction facilities; (5) Provides a list of the officers, directors, members, partners, agents, and employees of the entity applying for the permit; (6) Provides a certificate of status, issued by the Maryland Department of Assessments and Taxation, indicating that the entity is in good standing, or its equivalent as determined by the Office, and dated not earlier than 30 days before the date of the application; (7) Provides evidence of a bond, letter of credit, or trust account established to meet the requirements of Regulation .07 of this chapter; and (8) Provides an affidavit stating that: (a) No local, federal, or State taxes or fees are delinquent; and (b) The corporation, limited liability company or partnership is financially stable. #### Regulation .04 Permit Requirements for a Reduction Facility Owned by a Sole Proprietor. *COMAR 09.34.11.04* A. A sole proprietor applicant for a reduction facility permit shall receive a permit to operate a reduction facility in this State if the sole proprietor applicant meets the permit requirements of this regulation. B. A sole proprietor shall receive a permit if the sole proprietor: (1) Completes an application form; (2) Pays the nonrefundable application fee and any other fees due under this chapter; (3) Provides the name, address, and phone number of each affiliated reduction facility; (4) Designates a registered reduction operator as the responsible party for each affiliated reduction facility provided that the registered reduction operator may not be designated as the responsible party for more than a total of two reduction facilities; (5) Provides evidence of a bond, letter of credit, or trust account established to meet the requirements of Regulation .07 of this chapter; (6) Provides an affidavit stating that: (a) No local, federal, or State taxes or fees are delinquent; and (b) The reduction facility business is financially stable. #### Regulation .05 Permit Requirements for Registration for a Registered Reduction Operator. *COMAR 09.34.11.05* A. An individual shall register with and receive a permit from the Office as a registered reduction operator if the individual meets the registration requirements of this regulation. B. An individual shall be registered with the Office as a registered reduction operator if the individual: (1) Completes an application form; (2) Pays the nonrefundable application fee and any other fees due under this chapter; (3) Is 18 years old or older; (4) Is of good character and reputation and provides at least three character references from employers, community leaders, or professional societies, that the applicant is an individual of good character and reputation; (5) Has achieved certification as a reduction operator by the Cremation Association of North America, International Cemetery, Cremation and Funeral Association, or other equivalent certification recognized by the Office and the Board; (6) Has successfully completed the operator training course of the manufacturer of each vessel located in the reduction facility with which the applicant is affiliated; (7) States the name and mailing address of the reduction facility with which the applicant is affiliated; (8) States whether the reduction facility with which the applicant is affiliated is owned or controlled by: (a) A corporation; (b) A partnership; (c) A limited liability company; or (d) A sole proprietorship; and (9) States whether the applicant is the responsible party for the affiliated reduction facility. C. Additional Requirements. (1) An individual applying for a permit as a registered reduction operator shall provide the Office with a detailed description of activities including, but not limited to, whether the applicant has: (a) Had a license, certification, registration, or permit of the type for which the application is being made ever denied, suspended, or revoked by any jurisdiction; (b) Been convicted of a felony in any state or federal court; (c) Been convicted in any State or federal court of a misdemeanor directly related to the ownership or operation of a reduction facility; (d) Had any civil judgments or settlements within the 5 years before applying for a permit which directly related to the ownership or operation of a reduction facility; or (e) Been convicted by a court in this State of violating a usury provision under Commercial Law Article, Title 12, Annotated Code of Maryland, or an unfair and deceptive trade practices provision under Commercial Law Article, Title 13, Annotated Code of Maryland. (2) An applicant shall submit copies of all: (a) Charging documents which were issued and docket entries for convictions, which occurred before applying for a permit, for a misdemeanor or felony referred to in §C(1)(b), (c), or (e) of this regulation; (b) Disciplinary actions, judgments, and final orders which occurred or were issued before applying for a permit for any regulatory probation, suspension, or revocation referred to in §C(1)(a) of this regulation; and (c) Civil judgments or settlements against the applicant within the past 5 years which directly relate to the ownership or operation of a reduction facility. (3) An individual applying for a permit, who is designated by the permit holder as the responsible party, shall state the name and residential address of each employee who sells goods or services to the public while engaging in the operation of a reduction facility. D. A registered reduction operator may not be designated as the responsible party for more than two reduction facilities. E. An individual may be issued permits for affiliations with more than two reduction facilities if each affiliated reduction facility is owned by the same individual or entity. F. An individual who will become the registered reduction operator for a reduction facility which was in operation prior to the effective date of this chapter or for a reduction facility which has filed an application for a permit pursuant to this chapter shall obtain the certification and training required by §B(5) and (6) of this regulation within 90 days from the effective date of this chapter or be subject to action by the Office. #### Regulation .06 Permit Requirements for a New Reduction Facility. *COMAR 09.34.11.06* A. A sole proprietor, corporation, limited liability company, or partnership shall receive a permit to operate a new reduction facility in this State if the sole proprietor, corporation, limited liability company, or partnership meets the permit requirements of this regulation. B. A sole proprietor, corporation, limited liability company, or partnership shall receive a permit from the Office if, at least 30 days prior to the opening of the new reduction facility, the entity: (1) Completes an application form; (2) Pays the nonrefundable application fee and any other fees due under this chapter; (3) Provides the name, address, and phone number of each affiliated reduction facility; (4) Designates a registered reduction operator as the responsible party for each affiliated reduction facility provided that the registered reduction operator may not be designated as the responsible party for more than a total of two reduction facilities; (5) A corporation, limited liability company, or partnership shall provide a list of the officers, members, partners, agents, and employees of the entity applying for the permit; (6) Provides evidence of a surety bond established to meet the requirements of Regulation .07 of this chapter; and (7) Provides an affidavit stating that the sole proprietor, corporation, limited liability company, or partnership: (a) Is financially stable; and (b) Has the ability to continue to operate the reduction facility business for a 2-year period after issuance of a permit. #### Regulation .07 Surety Bond Requirements. *COMAR 09.34.11.07* A. With each application for a new permit and renewal for an existing permit, a permit holder or an applicant shall provide proof of a surety bond with the Office. B. Surety Bond. (1) The bond shall run to the Office, as obligee, for the benefit of: (a) The State; and (b) Any consumer who has been damaged by a violation committed by a permit holder of any law or regulation governing the activities of reduction facilities. (2) The bond shall be: (a) In an amount determined by the Office under §C of this regulation; and (b) Issued by a surety company that: (i) Is authorized to do business in the State; (ii) Holds a certificate of authority issued by the Maryland Insurance Commissioner; and (iii) Conditioned that the licensee shall comply with all Maryland laws regulating the activities of natural organic reduction. (3) The liability of the surety: (a) Shall be continuous; (b) May not be aggregated or cumulative, whether or not the bond is renewed, continued, replaced, or modified; (c) May not be determined by adding together the penal sum of the bond, or any part of the penal sum of the bond, in existence at any two or more points in time; (d) Shall be considered to be one continuous obligation, regardless of increases or decreases in the penal sum of the bond; (e) May not be affected by: (i) The insolvency or bankruptcy of the permit holder; (ii) Any misrepresentation, breach of warranty, failure to pay a premium, or any other act or omission of the permit holder or an agent of the permit holder; or (iii) The suspension of the permit; (f) May not require an administrative enforcement action by the Office as a prerequisite to liability; and (g) Shall continue for 3 years after the later of the date on which: (i) The bond is canceled; or (ii) The permit holder, for any reason, ceases to be permitted. (4) A bond may be canceled by the surety or the licensee by giving notice of cancellation to the Office. Notice of cancellation shall: (a) Be in writing; and (b) Be sent by certified mail, return receipt requested. (c) A cancellation of a bond is not effective until 90 days after receipt of a notice of cancellation by the Office. (5) A claim against the bond may be filed with the surety by: (a) A claimant; or (b) The Office for the benefit of a claimant or the State. (6) If the amount of claims against a bond exceeds the amount of the bond, the surety: (a) Shall pay the amount of the bond to the Office for pro rata distribution to claimants; and (b) Is relieved of liability under the bond. (7) If the penal amount of a bond is reduced by payment of a claim or judgment, the permit holder shall file a new or additional bond with the Office. (8) A penalty imposed against a permit holder under Business Regulation Article, §5-905, Annotated Code of Maryland may be collected and paid from the proceeds of a bond required under this section. C. Annuity and Surety Bond. (1) The amount of the surety bond under §B of this regulation shall be in an amount of not less than $10,000 and not more than $20,000, as determined by the Office for each vessel used for natural organic reduction by the permit holder. (2) In setting the amount of the surety bond, the Office may consider: (a) The nature and volume of the business or proposed business of the permit holder or applicant; (b) The financial condition of the permit holder or applicant, including: (i) The amount, nature, quality, and liquidity of the assets of the permit holder or applicant; (ii) The amount and nature of the liabilities, including contingent liabilities, of the permit holder or applicant; (iii) The history of and prospects for the permit holder or applicant to earn and retain income; (iv) The potential harm to consumers if the applicant or permit holder becomes financially impaired; and (v) Any other factor that the Office considers relevant. D. Subject to approval by the Office, an applicant for a permit who files an application for a new permit or renewal of a permit may satisfy the bonding requirement under this section by establishing a trust account with or obtaining an irrevocable letter of credit from a financial institution insured by the Federal Deposit Insurance Corporation in an amount equal to the bond required under this section. E. If a permit holder is subject to a receivership proceeding, the Office or a court-appointed receiver without regard to any priorities, preferences, or adverse claims, may: (1) Reduce the bond or the deposit in lieu of a bond to cash; and (2) Use the cash to defray the costs associated with the receivership. #### Regulation .08 Change of Information. *COMAR 09.34.11.08* The responsible party shall notify the Office of any change in the information provided in the application for permit for a reduction facility or for a permit as a registered reduction operator, either before or after the issuance of a permit, within 1 week of the date of the change. #### Regulation .09 Renewal. *COMAR 09.34.11.09* A. Before the expiration date of a permit, a permit holder shall complete and return the renewal form, pay the renewal fee, and submit any required documentation. B. A person who has a permit to engage in the operation of a reduction facility or a permit as a registered reduction operator may renew the permit every 2 years, beginning on a date specified by the Office, in the following manner: (1) Complete the renewal application form; (2) Pay the nonrefundable renewal fee set forth in Regulation .12 of this chapter; (3) Meet the permit requirements under Regulation .03, .04, or .05 of this chapter; and (4) Submit the documentation required by Regulation .03, .04, or .05 of this chapter. C. After the expiration date of a permit, if a permit holder has not yet applied for renewal, the permit holder is no longer authorized to engage in the operation of a reduction facility or to act as a registered reduction operator. D. If a permit holder completes the renewal application process set forth in §B of this regulation before the expiration date of the permit and the Office does not renew the permit before its expiration date, the permit holder is considered to be actively permitted until receipt from the Office of either a renewed permit or a notice of denial of a permit. E. If a permit holder applies for renewal of a permit after the expiration date of the permit, the permit holder shall pay the renewal fee plus the late renewal fee under Regulation .12 of this chapter. #### Regulation .10 Lapsed Permit. *COMAR 09.34.11.10* A person who has been issued a permit and who has allowed the permit to lapse for at least 6 months may apply for a permit in the following manner: A. Complete a permit application form; B. Pay the permit fee and the late renewal fee under Regulation .12 of this chapter; C. Meet the permit requirements under Regulation .03, .04, or .05 of this chapter; D. Submit the documentation required by Regulation .03, .04, or .05 of this chapter; E. Provide a full written explanation to the Office detailing the reasons why the permit was allowed to expire and why a permit is now sought; and F. Submit to the Office an affidavit stating that the person did not engage in the operation of a reduction facility or act as a registered reduction operator in this State while the permit was lapsed. #### Regulation .11 Hearings—Permit Denial. *COMAR 09.34.11.11* A. Permit Denial. An applicant or permit holder applying for an initial or renewal permit to the Office may be denied the issuance of a permit, subject to the hearing provisions of Business Regulation Article, §5-312, Annotated Code of Maryland. B. Hearing Before Director of Office. (1) Except as otherwise provided in §B(2)-(6) of this regulation, all contested cases before the Director of the Office shall be governed by COMAR 09.01.02. (2) An applicant who has been notified that a new or renewal permit has been or may be denied and who requests a hearing before the Director of the Office must file the request for a hearing not later than 30 days after the notice of proposed action was mailed. (3) The Director of the Office shall send the hearing notice described in COMAR 09.01.02.07B at least 10 days before the hearing or, if the parties have agreed to a date for which 10 days notice cannot be given, at the earliest time possible. (4) The notice to an applicant that a new or renewal permit has been or may be denied shall state that the proposed action of the Director of the Office shall be affirmed if: (a) A hearing is not requested within 30 days after the date the notice of proposed action was mailed; or (b) The applicant fails to appear for the hearing after requesting a hearing. (5) If, after a hearing, the proposed action of the Director of the Office is upheld, the appellant shall pay the hearing costs described in Regulation .12 of this chapter. C. Hearings Delegated by the Office to the Office of Administrative Hearings. All contested case hearings delegated to the Office of Administrative Hearings shall be governed by COMAR 09.01.03. #### Regulation .12 Fees. *COMAR 09.34.11.12* A. Permit fees: (1) Initial and renewal reduction facility permit – $350; (2) Initial and renewal registered reduction operator permit – $300; and (3) Late renewal fee – $200. B. Miscellaneous fees: (1) Replacement of permit – $50; (2) Returned check fee – $50; (3) Additional copy of permit – $50; (4) Business name change – $50; (5) Personal name change – $50; and (6) Business address change – $50. C. Hearing costs described in Business Regulation Article, §5-312(h), Annotated Code of Maryland, shall be determined to be the cost of a court reporter and the transcripts ordered by the Office, or by the Office of the Attorney General, for the purpose of presenting a case alleging violation of Business Regulation Article, Title 5, Annotated Code of Maryland, before the Office or before the Office of Administrative Hearings. #### Regulation .13 Display of Permit. *COMAR 09.34.11.13* A permit holder shall display the permit conspicuously, in a public area at each business address of the permit holder. #### Regulation .14 Reduction Prior to Obtaining a Permit. *COMAR 09.34.11.14* Reduction facilities may perform the natural organic reduction of one decedent prior to obtaining a permit from the Office provided: A. The natural organic reduction is only performed as part of the manufacturer’s operator training course for the vessel in which the natural organic reduction takes place; and B. The authorizing agent of the decedent is notified and has given permission prior to the natural organic reduction. ### Chapter 12 — Natural Organic Reduction—Inspections, Complaints, and Discipline **Authority:** Business Regulation Article, § 5-204, Annotated Code of Maryland **Administrative History:** Effective date: March 30, 2026 (53:6 Md. R. 287) #### Regulation .01 Scope. *COMAR 09.34.12.01* This chapter governs reduction facility inspections, the complaint process, investigations, grounds for discipline, and penalties. #### Regulation .02 Inspection by the Office. *COMAR 09.34.12.02* A. A reduction facility shall be available for inspection by a representative of the Office at any time during operating hours. B. Each reduction facility shall be inspected: (1) On at least a biennial basis; (2) In furtherance of an investigation; or (3) Upon the initial permitting, sale, or change of ownership of the reduction facility. C. A reduction facility shall maintain the following minimum standards: (1) The premises shall be maintained in a safe and sanitary manner to comply with Centers for Disease Control's guidelines on universal precautions and the Maryland Occupational Safety and Health Act; (2) Except by express, written consent of the authorizing agents to perform simultaneous, multiple reductions, there shall be no more than one decedent in a single vessel at a time; (3) A vessel shall be cleaned after each natural organic reduction to prevent unauthorized co-mingling; (4) There may not be co-mingling of human remains and pet remains in the holding facility; (5) Separate vessels shall be dedicated for the reduction of human remains and the reduction of pet remains; (6) There may not be: (a) Co-mingling of one decedent’s soil remains with another decedent’s soil remains or reduced pet remains without written consent by the authorizing agent; (b) Any form of misrepresentation in the return of soil remains; (7) Human remains shall be properly identified before natural organic reduction by verifying that the documentation accompanying the human remains is consistent with a visual observation of the human remains; (8) A burial transit permit shall be an original document pertaining to the decedent; (9) Each reduction facility shall have: (a) A sink with hot and cold water in the room in which the vessel is housed; and (b) The equipment necessary to thoroughly clean the floor within the room housing the vessel with water and an appropriate sanitizing agent; (10) The name of the decedent shall be visible on the outside of the vessel; (11) Human remains shall be properly stored prior to natural organic reduction; (12) Reduction facilities shall: (a) Use only mechanical pulverizing equipment meeting industry standards that are cleaned between each use; and (b) Pulverize the soil remains with a mortar and pestle when the soil remains are not sufficient in amount for pulverizing in mechanical equipment; (13) Separate pulverizing drums shall be dedicated for soil remains and reduced pet remains; (14) A reduction facility may not refuse to release soil remains pending payment of outstanding fees; (15) Portable fans may not be used in the area of the vessel, where curing occurs, or pulverizing equipment; (16) A registered reduction operator shall be present at the reduction facility during regular business hours; (17) Reduction facilities shall be capable of monitoring the status of each vessel’s progress during natural organic reduction; and (18) All individuals who operate the vessels in a reduction facility shall be certified by the Cremation Association of North America, International Cemetery, Cremation and Funeral Association, or other equivalent certification recognized by the Office and the Board. Individuals receiving training toward certification to operate a vessel shall be allowed to work under the supervision of a registered reduction operator with written permission from the Office. D. The following completed forms shall be available at all times for inspection and copying and are subject to be pulled at random by the inspector: (1) Natural organic reduction authorization form; (2) Burial transit permit; (3) Delegation of authority form; (4) Receipt for human remains; (5) Record of each natural organic reduction, including evidence of all human remains reaching a minimum temperature of 131 degrees Fahrenheit for 72 consecutive hours during the natural organic reduction; (6) Certificate of natural organic reduction; (7) Return of soil remains certificate; and (8) Reduction Facility Operations Plan (RFOP). (a) A reduction facility shall have and follow an RFOP that contains a high-level overview of the operational procedures for the reduction facility in order to comply with the requirements of these regulations, to include: (i) A description of the methods, equipment, and bulking agents to be used; (ii) A description of the movement of materials throughout the reduction process, including a description of the locations to be used at the reduction facility for receipt, active reduction, curing, and storage phases. (iii) Total amount of vessels; (iv) A plan for the prevention of nuisances, including odors; (v) A plan for the prevention of harborage and infestation of vectors; (vi) A plan and procedure for monitoring temperature of each vessel, including a procedure for demonstrating that the pathogen reduction requirements of Regulation .11 of this chapter are met; (vii) A plan and procedure for monitoring moisture during reduction; (viii) A plan for periodic inspection of the site by the reduction operator or personnel; (ix) A description of an ongoing testing program to ensure the safety of soil remains produced, compliant with Regulation .11 of this chapter; (x) A procedure for recording instances where soil remains failed the testing program and actions taken by the registered reduction operator to bring the soil remains into compliance with Regulation .11 of this chapter; and (xi) Establish any other reasonable prohibition, rule, or requirement the Director determines is necessary to protect the public health and safety during the process of natural organic reduction. (b) The registered reduction operator shall review the RFOP internally every 6 months and update the RFOP when there is a change in registered reduction operators, procedures, or bulking agents. E. Inspection results shall be written on forms approved by the Office. F. The representative of the Office performing the inspection shall, upon completion of the inspection: (1) Apprise the permit holder of the findings of the inspection; and (2) Provide the permit holder or a representative of the permit holder with a copy of the inspection report. G. The permit holder or representative of the permit holder shall sign and verify receipt of the inspection report. H. At the time of the Office's inspection, the permit holder shall provide written documentation to the Office’s inspector that: (1) The vessel has been inspected in accordance with manufacturer specifications; (2) In accordance with manufacturer specifications, it is not time for a manufacturer's inspection; or (3) The permit holder has requested that the manufacturer conduct an inspection of the vessel. #### Regulation .03 Reports, Deficiencies, Violations, and Penalties. *COMAR 09.34.12.03* A. The Director shall review the inspection report and make a determination as to whether a deficiency exists. B. The Office shall notify the permit holder of the results of the inspection by providing a copy of the inspection report to the permit holder. C. If a permit holder passes an inspection, the permit holder shall prominently display, in public view on the premises, a statement issued by the Office that the reduction facility has successfully passed an inspection. D. If the Director finds a deficiency, the Director shall: (1) Within 7 days notify the permit holder of the deficiency or failure to pass the inspection; and (2) Provide a copy of the inspection report, notice of the deficiency, or failure to pass the inspection to the permit holder within 30 days of completion of the inspection. E. Correction of Deficiency. (1) Except as provided in this section, a permit holder shall correct a deficiency within 30 days after receipt of notification or sooner as determined by the Office. (2) The Office may require immediate correction of a deficiency if the Office considers the correction necessary in the interest of public health. (3) The permit holder may request an extension of time within which to correct a deficiency. (4) The Office may approve an extension of time for correction of a deficiency. (5) Upon completion of the correction of all deficiencies, the permit holder shall notify the Office. (6) Upon notification by the permit holder, a representative of the Office shall re-inspect the reduction facility. (7) The Office shall notify the permit holder, in writing, of the results of the re-inspection report by providing a copy of a new inspection report to the permit holder. (8) If re-inspection reveals additional deficiencies not cited in the first report, the permit holder shall correct those deficiencies in the time period specified by the Office unless an extension of time for correction of the additional deficiencies is requested by the permit holder and approved by the Office. F. Penalties. In the event that a permit holder fails to allow an inspection of the reduction facility or fails to comply with a notice to correct deficiencies or violations within the time specified, the Office shall: (1) Deem the failure to be a threat to the public health, safety, or welfare requiring immediate action; (2) Summarily suspend the permit as provided under State Government Article, §10-226(c)(2), Annotated Code of Maryland; (3) Provide notice of the Office's action to the permit holder; and (4) Provide the permit holder a subsequent opportunity for a hearing pursuant to Business Regulation Article, §5-312, Annotated Code of Maryland. #### Regulation .04 Complaints. *COMAR 09.34.12.04* A. A complaint regarding a reduction facility or a registered reduction operator under the jurisdiction of the Office shall be: (1) Filed by the complainant, on a form devised by the Office in compliance with the provisions of Business Regulation Article, §5-311(b), Annotated Code of Maryland; and (2) Processed in accordance with the provisions of Business Regulation Article, §5-311(c)—(h), Annotated Code of Maryland. B. The Office may initiate a complaint or investigation. #### Regulation .05 Investigations. *COMAR 09.34.12.05* The Office and the Board may share investigative information and conduct joint investigations. #### Regulation .06 Grounds for Discipline. *COMAR 09.34.12.06* A. Subject to the hearing provisions of Business Regulations Article, §5-312, Annotated Code of Maryland, the Office may deny a reduction facility permit or registered reduction operator permit to an applicant, reprimand any person required to obtain a reduction facility permit or registered reduction operator permit, or suspend or revoke a reduction facility permit or registered reduction operator permit of an applicant or permit holder, or an agent, employee, officer, director, or partner of the applicant or permit holder for the reasons set forth in Business Regulation Article, §5-310, Annotated Code of Maryland. B. The Office may seek the remedies and may impose the penalties set forth in Business Regulation Article, Title 5, Annotated Code of Maryland, for violations of that title. ### Chapter 13 — Natural Organic Reduction—Inspections, Complaints, and Discipline **Authority:** Business Regulation Article, §5-204, Annotated Code of Maryland **Administrative History:** Effective date: March 30, 2026 (53:6 Md. R. 287) #### Regulation .01 Scope. *COMAR 09.34.13.01* This chapter governs the procedures to be followed by a permit holder in performing natural organic reduction in this State. #### Regulation .02 Removal, Identification, and Transportation of Human Remains. *COMAR 09.34.13.02* A. Upon receipt of human remains, a registered reduction operator, in the presence of the authorizing agent or representative of the funeral establishment engaging reduction facility services, shall: (1) Verify that the information on the wrist tag of the human remains is consistent with the documentation accompanying the human remains and consistent with the visual observation of the human remains; (2) Verify with a hand magnet or metal detector wand that any battery operated, implanted devices including pacemakers, defibrillators, or pain relief devices are removed before the process may begin; (3) Refuse to accept human remains for natural organic reduction if human remains are confirmed to have or suspected of having one or more of the following conditions: (a) A radioactive seed implant within thirty days of death; (b) A nuclear pacemaker; (c) Perishing as a result of a radiologic incident or accident, unless a written release is provided by the Maryland Department of Environment Radiological Health Program or other local, state, or federal agency in charge of the response to the radiological incident or accident; or (d) A presence of Creutzfeldt-Jakob disease or other prion disease, Ebola virus infection, mycobacterium tuberculosis infection, or any other infection, disease, or biological condition identified by the Director based on the reasonable recommendation of federal, state, or local health authority; (4) Remove and properly dispose of any hazardous object or any other materials that the registered reduction operator deems should be removed from the human remains or vessel in order to prevent harm to the public health or damage to the vessel; (5) Remove any jewelry on the human remains or in the vessel; (6) Return any removed jewelry to the authorizing agent or representative of the funeral establishment engaging natural organic reduction services; and (7) Obtain a signed, itemized receipt from the authorizing agent or representative of the funeral establishment engaging natural organic reduction services for the removed jewelry and retain the receipt as a permanent record. B. Foreign objects removed from human remains: (1) Shall be treated as medical waste and disposed of accordingly; and (2) May not be donated until a sterilization process through a third party, recognized by the Office, to dispose properly of medical waste has been performed. C. Materials identifying the human remains placed in the custody of a permit holder shall contain the following information: (1) Name; (2) Date of birth; (3) Date of death; (4) Name of funeral establishment or authorizing agent; (5) Gender; and (6) Name and relationship to the decedent of authorizing agent. D. A permit holder shall not accept unidentified human remains for reduction. #### Regulation .03 Vessels. *COMAR 09.34.13.03* Vessel requirements. The vessel shall: A. Be leak-proof, durable, noncorrosive, and fully sealed; B. Enable accurate testing of temperature designed to measure from the interior of the vessel and the accurate collection of any other data required by the natural organic reduction process used by the reduction facility; C. Prevent vectors from entering the vessel; and D. Control odor. #### Regulation .04 Holding Facilities. *COMAR 09.34.13.04* Holding facility requirements. A holding facility shall: A. Comply with applicable public health laws; B. Preserve the dignity of human remains; C. Recognize the integrity, health, and safety of reduction facility establishment personnel; and D. Be secure from access by unauthorized persons. #### Regulation .05 Holding Remains. *COMAR 09.34.13.05* A. Unless prevented by emergency circumstances, human remains that have been designated for natural organic reduction shall be placed in a vessel and begin natural organic reduction services within 48 hours of receipt. B. A registered reduction operator may not hold human remains for natural organic reduction unless the human remains are contained within a reduction container. C. A registered reduction operator may not accept a reduction container from which there is any evidence of leakage of bodily fluids from the human remains therein. D. Whenever a registered reduction operator is unable to perform natural organic reduction services on a decedent within 48 hours of taking custody thereof due to emergency circumstances, the registered reduction operator shall maintain the human remains in a refrigerated holding facility, either on or off site, at 44° F or less. E. If any remains exhibit an objectionable odor either at delivery or at any time thereafter, reduction of such remains shall commence as soon as possible after they have been accepted by the registered reduction operator or as soon as possible after the objectionable odor is first detected. #### Regulation .06 Identification of Human Remains Immediately Prior to Natural Organic Reduction. *COMAR 09.34.13.06* Immediately prior to being placed within the vessel, a registered reduction operator shall: A. Verify the identification of the human remains; and B. Place in the vessel the hard metal or plastic identification disc of the human remains receiving natural organic reduction services where it shall remain in place until the natural organic reduction process is complete. #### Regulation .07 Natural Organic Reduction Authorization. *COMAR 09.34.13.07* A. Except as otherwise provided in this regulation, a registered reduction operator may not perform natural organic reduction on human remains until: (1) The human remains have been identified as required by Health Occupations Article, §7-411, Annotated Code of Maryland; (2) The reduction facility has received: (a) A natural organic reduction authorization form on a form approved by the Office and signed by an authorizing agent; (b) If applicable, a written delegation document, paper or electronic; (c) Any other documentation required by federal, State, or local law; and (3) The registered reduction operator has documented that at least 12 hours have elapsed from the time of death of the individual whose remains are to receive natural organic reduction services. B. The natural organic reduction authorization form shall: (1) Be provided by the permit holder to the authorizing agent, and signed by the authorizing agent; (2) Contain the following information: (a) The identity of the decedent; (b) Date of death; (c) The name and address of the reduction facility where the natural organic reduction will occur; (d) The name and address of the authorizing agent and the relationship between the authorizing agent and the deceased; (e) Disclose that the authorizing agent may not use or dispose of soil remains: (i) On public or private property without the prior written permission of the owner or surviving owner of the property; (ii) By using the soil remains to grow food for consumption by humans or livestock; (iii) By selling or reselling the soil remains to a third party; or (iv) By combining or incorporating the soil remains into compost offered for sale to consumers or for commercial or agricultural purchasers; (f) Indicate whether the decedent is a veteran, as defined in § 9-901 of the State Government Article, or an eligible dependent, as defined in §5-803 of the Business Regulation Article; (g) Authorization for the registered reduction operator to perform natural organic reduction services; (h) Authorization to verify that the following have been removed prior to perform natural organic reduction: (i) Implanted pacemaker or defibrillator; or (ii) Any other materials that the registered reduction operator deems should be removed to prevent harm to the public health or damage to equipment; (i) A representation by the authorizing agent that none of the following apply: (i) A radioactive seed implant within thirty days of death until such time that thirty days have elapsed or the organ containing the seed(s) has been removed; (ii) Containing a nuclear pacemaker until such time that the nuclear pacemaker is removed; (iii) Perishing as a result of a radiologic incident or accident, unless a written release is provided by the department of health office of radiation protection or other state or federal agency in charge of the response to the radiological incident or accident; or (iv) There is a presence of Creutzfeldt-Jakob disease or other prion disease, Ebola virus infection, mycobacterium tuberculosis infection, or any other infection, disease, or biological condition identified by the Director based on the reasonable recommendation of federal, state, or local health authority; (j) A representation that the authorizing agent is aware of no objection to the decedent receiving natural organic reduction services by any person who has a right to control the disposition of the decedent; (k) The name and address of the person authorized to claim the soil remains from the reduction facility or accept the soil remains via certified mail; (l) Informs the authorizing agent of the procedures that will be followed if disposition instructions are not received within sixty days of the permit holder first attempts to contact the authorizing agent to notify the authorizing agent the natural organic reduction service is complete; (m) Informs the authorizing agent that recovery of the soil remains after the disposition may not be possible; and (3) Be signed by the authorizing agent. C. If an authorizing agent is not available to execute the natural organic reduction authorization form, the authorizing agent may delegate that authority to another individual: (1) In writing; or (2) If located outside the area, by transmitting to the permit holder: (a) A signed, notarized statement, electronically or by facsimile device, that contains the name, address, and relationship of the sender to the decedent and the name and address of the individual to whom authority is delegated; and (b) Once the authorizing agent is located in the area, a notarized statement attesting to the delegation of authority. D. Upon receipt of the written delegation document or a copy of the delegation statement transmitted electronically or by facsimile device, the permit holder shall allow the named individual to serve as the authorizing agent. The documents shall be signed by the authorizing agent in the presence of a notary. E. A person signing a natural organic reduction authorization form is deemed to warrant the truthfulness of any facts set forth in the natural organic reduction authorization form, including the identity of the decedent whose remains are receiving natural organic reduction and the authority of that person to order natural organic reduction. F. A permit holder shall notify and obtain the written consent of the authorizing agent before the natural organic reduction of human remains at a location other than the location named on the reduction authorization form. G. A permit shall maintain a copy of every natural organic reduction authorization form required under this regulation as permanent records. H. Natural organic reduction authorization records are subject to inspection and copying by the Office. #### Regulation .08 Record of Receipt of Remains. *COMAR 09.34.13.08* A. A registered reduction operator shall provide to an individual who delivers human remains for natural organic reduction a receipt signed by both the registered reduction operator and the person who delivered the human remains, that includes the: (1) Name of the individual from whom the human remains were received and the name of the individual’s employer, if any; (2) Name and address of the reduction facility; (3) Name and address of the decedent; (4) Gender of the decedent; (5) Date of death of decedent; and (6) Verification of authorized burial transit permit. B. The permit holder shall maintain a record of each natural organic reduction which shall include the: (1) Name of the decedent; (2) Date of birth of the decedent; (3) Date of death of the decedent; (4) Gender of the decedent; (5) Name and address of the authorizing agent; (6) Relationship of the authorizing agent to the decedent; (7) Date, time, and location of the reduction facility; and (8) Name of the registered reduction operator who performed the natural organic reduction. C. The permit holder shall provide a certificate of disposition of soil remains to the authorizing agent or funeral establishment that arranged for the natural organic reduction that contains the: (1) Name of the decedent; (2) Name of the authorizing agent; (3) Relationship of the authorizing agent to the decedent; (4) Date, time, and location where the natural organic reduction occurred; (5) Name of the registered reduction operator who performed the natural organic reduction; (6) Name and address of the person who received the soil remains from the permit holder; and (7) If ascertainable, the location, including the name of the cemetery and plot location if the soil remains are interred, the manner, and the date of the disposition of the soil remains. D. The permit holder shall maintain a copy of every record and receipt required by this regulation as permanent records. E. All records required to be maintained by a permit holder by this chapter are subject to inspection and copying by the Office. #### Regulation .09 Reduction Procedures and Prohibited Acts. *COMAR 09.34.13.09* A. Basic Operating Requirements. (1) The permit holder shall keep a permanent record of: (a) The starting and ending date of each natural organic reduction; and (b) The daily temperature data for each natural organic reduction, including records showing that the minimum temperature of 131 degrees Fahrenheit was reached for seventy-two consecutive hours. (2) The Registered reduction operator shall ensure: (a) Only a vessel that is designed to promote aerobic reduction, minimizes odors and vectors, and is leak-proof, durable, noncorrosive, and fully sealed is used for natural organic reduction; (b) A registered reduction operator is on site during business hours; (c) A registered reduction operator is able to monitor active vessels at all times; (d) Compliance with all other applicable local, State, and federal laws and regulations; and (e) Vessels reach an internal minimum temperature of 131 degrees Fahrenheit for seventy-two consecutive hours during natural organic reduction. (3) The reduction facility shall be maintained in a clean and sanitary condition. (4) The reduction facility, including the bulking agent receipt area, bulking agent storage area, active vessel storage area, curing area, and soil remains storage areas, shall be maintained to prevent nuisances, odors and vectors. (5) Bulking agents shall be received in a timeframe and managed to prevent nuisance odors, unauthorized discharge of contact water, fire, and scavenging by vectors. (6) Veteran and Eligible Dependent Decedents. (a) Unless the authorizing agent directs otherwise, a permit holder in possession of human remains of a decedent veteran or a decedent eligible dependent shall, within 5 business days of the initiation of the natural organic reduction provide the decedent’s identifying information to a veterans service organization, as defined in § 5-803 of the Business Regulation Article. (b) The veterans service organization will notify the permit holder whether the decedent is a veteran or eligible dependent eligible for burial in a veterans cemetery. (c) The permit holder will notify the authorizing agent whether the decedent is eligible for burial in a veterans cemetery. The authorizing agent may authorize the permit holder to: (i) Transfer a portion of the soil remains to a veterans service organization that grants permission for the purpose of disposition; and (ii) Transfer the balance of the soil remains to a cemetery or the owner of a woodland protected under the Forest Conservation Act. (d) If a veterans service organization does not take possession of a portion of unclaimed soil remains under this regulation that qualifies for a plot in a State veterans cemetery under § 9-906 of the State Government Article, within 10 days after the reduction facility receives the notification, the reduction facility shall: (i) notify the Department of Veterans and Military Families of the status of the soil remains for the purpose of the appropriate disposition of the soil remains; (ii) transfer the soil remains to the Department of Veterans and Military Families for the purpose of the appropriate disposition of the soil remains; and (iii) if authorized by the cemetery or owner, transfer the balance of the soil remains to a cemetery or the owner of a woodland protected under the Forest Conservation Act. (7) Soil remains may not be stored on site for longer than 12 months, unless approved by the Office on a case-specific basis and addressed in the RFOP. B. General Restrictions. (1) A permit holder shall not engage in operating a reduction facility in a manner which will likely: (a) Create a nuisance; (b) Be conducive to insect and rodent infestation or the harborage of animals; (c) Cause nuisance odors or other air pollution in violation of state, local, or federal laws and regulations unless permitted by state, federal, or local authorities; (d) Cause a discharge of liquid or solid waste derived from human remains to waters of this State unless otherwise permitted by state, federal, or local authorities; or (e) Create other hazards to the public health, safety, or comfort as may be determined by state, federal, or local authorities. (2) A registered reduction operator may not: (a) Perform natural organic reduction on human remains which are known, or reasonably suspected, to have been embalmed or have an infection, disease, or other biological condition that renders the process of natural organic reduction or the soil remains unreasonably unsafe, including: (i) Creutzfeldt-Jakob disease or other prion disease; (ii) Ebola virus infection; (iii) Mycobacterium tuberculosis infection; (iv) The presence of diagnostic or therapeutic radioisotopes; or (v) Any other infection, disease, or biological condition identified by the Director based on the reasonable recommendation of a federal, State, or local health authority; (b) Use or dispose of soil remains on public or private property without the prior written permission of the owner or surviving owner of the property; (c) Knowingly use or sell the soil remains to grow food for consumption by humans or livestock; (d) Combining or incorporating the soil remains into compost offered for sale to consumers or for commercial or agricultural purchasers. C. The Office, in exercising its authority under these regulations with respect to granting or renewing permits or inspecting a reduction facility may consider any documentation required under these regulations to evaluate whether any of the conditions described in these regulations is likely to occur or has occurred. #### Regulation .10 Disposition of Soil Remains. *COMAR 09.34.13.10* A. Upon completion of the natural organic reduction process, insofar as is possible: (1) All of the recoverable soil remains shall be: (a) Removed from the vessel; (b) Except for medical devices remaining after reduction, pulverized; and (c) Placed in a soil remains container; and (2) The identification disc required by Health Occupations Article, §7-411, Annotated Code of Maryland, shall be: (a) Removed from the vessel; and (b) Placed in the soil remains container with the soil remains. B. Medical devices which remain after the completion of the natural organic reduction process shall be treated as medical waste and disposed of accordingly. C. After pulverization, all soil remains, together with the identification disc, shall be placed in a soil remains container or containers adequate to accommodate the soil remains. D. A registered reduction operator is responsible for the label or labeling or providing on a written invoice or shipping statement indicating the soil remains containers, and a person may not use or dispose of soil remains produced by natural organic reduction: (1) On public or private property without the prior written permission of the owner or surviving owner of the property; (2) By using the soil remains to grow food for consumption by humans or livestock; (3) By selling or reselling the soil remains to a third party; or (4) By combining or incorporating the soil remains into compost offered for sale to consumers or for commercial or agricultural purchasers. E. If a soil remains container is to be shipped, the soil remains container shall have the name of the decedent contained therein legibly written on the outside of the soil remains container. F. If soil remains have been in the possession of a permit holder without instructions for disposition for a period of 90 days or more from the date of reduction, the permit holder may arrange for disposition in any legal manner, provided the entity: (1) Attempts to contact the authorizing agent for disposition instructions by certified mail to the last known address; (2) Informs the authorizing agent at the time of authorization the procedures that will be followed if disposition instructions are not received; (3) Informs the authorizing agent at the time of authorization that disposition will occur in a manner at the permit holder’s discretion if disposition instructions are not received within sixty days of the first attempt to notify the authorizing agent of the completion of natural organic reduction; (4) Informs the authorizing agent that recovery of the soil remains after disposition may not be possible; and (5) Maintains a permanent record of the location of disposition. G. A permit holder making disposition arrangements of unclaimed soil remains will not be liable for the disposition or nonrecoverability of the soil remains. H. Bodily fluids, blood, tissues, and waste removed from human remains must be kept with the body in the vessel. I. All containers and liners used to receive solid or fluid materials removed from human remains must be cleaned and disinfected immediately after use and disposed of in accordance with local ordinances and other applicable laws and rules for infectious waste. #### Regulation .11 Testing of Soil Remains. *COMAR 09.34.13.11* A. A permit holder shall: (1) Upon initial receipt of permit from the Office, test, using a third-party laboratory, the reduction facility’s initial 20 instances of soil remains for the parameters identified in Table A, and any additional instances of soil remains necessary to achieve 20 reductions meeting the parameters identified in Table A; (2) After 20 soil remains meet the limits outlined in Table A, analyze, at a minimum, 25 percent of a reduction facility’s monthly instances of soil remains for the parameters identified in Table A until 80 total instances have met the requirements in Table A; (3) Ensure the third-party laboratory described under §A(1) of this regulation: (a) Uses a sampling method such as described in the U.S. Composting Council 2002 Test Methods for the Examination of Composting and Compost, Method 02.01-A through E, or its successor; (b) Confirms Soil remains have less than 0.01 mg/kg dry weight of physical contaminants which include, but are not limited to, intact bone, dental fillings, and medical implants; and (c) Tests for arsenic, cadmium, lead, mercury, and selenium, and either fecal coliform or salmonella in soil remains to meet the testing parameters and limits identified in Table A. B. Other local, State, or federal authorities may require tests of soil remains for additional parameters. C. A permit holder may not release any soil remains that exceed the limits identified in Table A. D. Any soil remains that exceed the parameters identified in Table A must undergo additional pathogen treatment processes as described in Title 40 of the Code of Federal Regulations, Part 503, Appendix B until the soil tests within the limits identified in Table A. #### Regulation .12 Tools. *COMAR 09.34.13.12* Permit holders providing natural organic reduction services shall maintain, at its own expense, the following tool inventory: A. Suitable tools for cleaning a vessel; B. Suitable tools for cleaning pulverizers; C. Mortar and pestle; D. Hand magnet and metal detector wand to detect and remove metal from soil remains; E. Tweezers to remove nonmetal objects from soil remains; F. National Institute for Occupational Safety & Health certified N95 filtering facepiece respirators; and G. An emergency eyewash unit meeting the criteria established under the American National Standards Institute and the International Safety Equipment Association Z358.1-2014 (R2020) or its successor. #### Regulation .13 Visitors. *COMAR 09.34.13.13* A. Privacy. Entrances and exterior windows of the reduction facility shall be maintained at all times to secure privacy, including: (1) Doors shall be tight closing and rigid; (2) Windows shall be covered; (3) Entrances other than to the office or ceremony room shall be marked “private” or “authorized entry only” to preclude entry by unauthorized persons; and (4) Entrances shall be locked and secured when not actively attended by one or more authorized persons. B. Access. No persons except authorized persons shall be admitted into the holding facility while human remains are being stored and no persons except authorized persons shall be admitted into the area containing vessels for natural organic reduction while the decedents are receiving natural organic reduction. Authorized persons shall enter and remain in the holding facility or vessel area only as necessary to perform or assist with the performance of reduction facility business and operations. On admittance, authorized persons shall comply with all rules of the reduction facility and not infringe upon the privacy and dignity of the remains of decedents. C. Dignity of ceremony room. A reduction facility may have a ceremony room available for viewings and ceremonies. The ceremony room shall be separated from the holding facility. The holding facility interior shall not be visible from the ceremony room. No persons except authorized persons shall be admitted into the ceremony room during the commencement of natural organic reduction. D. Authorized Persons. The following are authorized persons: (1) Licensed funeral directors, morticians, and enrolled students of mortuary science; (2) Officers and directors of the reduction facility; (3) Authorized employees or agents of the reduction facility; (4) Public officers acting in the discharge of their duties; (5) Authorized instructors of funeral directing schools; (6) The person or persons in control of disposition; (7) Members of the immediate family of the decedent, their authorizing agent and designated representatives; and (8) Other individuals authorized by the authorizing agent or accompanied by reduction facility staff. ### Chapter 14 — Natural Organic Reduction—Code of Ethics **Authority:** Business Regulation Article, § 5-204, Annotated Code of Maryland **Administrative History:** Effective date: March 30, 2026 (53:6 Md. R. 287) #### Regulation .01 Scope. *COMAR 09.34.14.01* This chapter governs any person who holds a permit, pursuant to Business Regulation Article, Title 5, Annotated Code of Maryland, to engage in the operation of a reduction facility or to act as a registered reduction operator. #### Regulation .02 General Professional Practice. *COMAR 09.34.14.02* A. A permit holder shall: (1) Act in a manner that respects and protects the dignity of a decedent and the decedent’s family; (2) Conduct business in a reasonable, usual, and customary manner; (3) Comply with the State public health laws as set forth in Health General Article, §§4-215 and 5-501 to 5-1001, Annotated Code of Maryland; (4) Comply with Business Regulation Article, Title 5, Annotated Code of Maryland; (5) Comply with the Commercial Law Article, Titles 12 and 13, Annotated Code of Maryland; (6) Implement and follow through on all arrangements agreed upon between a consumer and the reduction facility; (7) Provide appropriate services for and respect the rights of individuals without regard to age, race, creed, national origin, gender, disability, marital status, political belief, religious affiliation, social or economic status, or social preferences; (8) Comply with all local, State, and federal laws regarding the disposition of human remains; (9) Be sensitive and responsive to the bereavement needs of a decedent’s family; (10) Provide a general price list in effect at that time, in accordance with the requirements of the Federal Trade Commission’s funeral rule found at 16 CFR part 453; and (11) Provide accurate information from the general price list to any person who requests information, by telephone, regarding natural organic reduction related goods or services. B. In advertising, a permit holder may not include statements: (1) That are misrepresentations of facts; (2) That are likely to mislead or deceive because, in context, the statement makes only a partial disclosure of relevant facts; (3) Relating to fees without reasonable disclosure of all relevant variables so that the statement would not be misunderstood or be deceptive to a consumer; or (4) Containing representations or implications that in reasonable probability can be expected to cause an ordinarily prudent person to misunderstand or be deceived. C. A permit holder or registered reduction operator may not: (1) Use, or participate in the use of, any form of communication to consumers containing a false, fraudulent, misleading, deceptive, or unfair statement or claim; or (2) Operate a reduction facility or perform a natural organic reduction while under the influence of alcohol, an illegal drug, or a controlled dangerous substance which has not been prescribed by a physician. ## Subtitle 35 — Elevator Safety Review Board ### Chapter 01 — General Regulations **Authority:** Public Safety Article, §§12-822.1, 12-823, 12-824, 12-833.1, 12-834, and 12-837, Annotated Code of Maryland; Chs. 306 and 307, Acts of 2012 **Administrative History:** Effective date: **Administrative History:** Regulation .01 adopted as an emergency provision effective January 31, 2002 (29:4 Md. R. 412); adopted permanently effective May 27, 2002 (29:10 Md. R. 826) **Administrative History:** Regulation .01 repealed and new Regulation .01 adopted as an emergency provision effective November 14, 2012 (39:25 Md. R. 1609); adopted permanently effective April 15, 2013 (40:7 Md. R. 610) **Administrative History:** Regulation .01 amended effective May 12, 2014 (41:9 Md. R. 520) #### Regulation .01 Fees. *COMAR 09.35.01.01* This chapter is intended to set various fees to cover the actual documented direct and indirect costs of fulfilling the statutory and regulatory duties of the Elevator Safety Review Board (the Board). Therefore, the Board hereby sets the following fees: A. Nonrefundable application fee for an Elevator Mechanic license, Elevator Contractor license, Elevator Renovator Mechanic license, Elevator Renovator Contractor license, and Accessibility Lift Mechanic license: $25 B. Initial license fee: (1) Elevator Mechanic license and Elevator Renovator Mechanic license: —$175 (2) Elevator Contractor license and Elevator Renovator Contractor license:—$275 (3) Accessibility Lift Mechanic license:—$125 C. Renewal license fee: (1) Elevator Mechanic license and Elevator Renovator Mechanic license: —200 (2) Elevator Contractor license and Elevator Renovator Contractor license: $300 (3) Accessibility Lift Mechanic license:—$150 D. License reinstatement fee, payable in addition to any applicable renewal fees:—$25 E. License verification fee:—$25 F. Temporary Elevator Mechanic license: (1) $25 for a 30-day initial license; and (2) $10 for each 30-day renewal license. ### Chapter 02 — Qualifications **Authority:** Public Safety Article, §§12-823(4), 12-826, 12-827(c), and 12-834, Annotated Code of Maryland **Administrative History:** Effective date: July 9, 2012 (39:13 Md. R. 785) **Administrative History:** Regulation .04 adopted effective January 13, 2020 (47:1 Md. R. 12) **Administrative History:** Regulation .05 adopted effective January 13, 2020 (47:1 Md. R. 12) **Administrative History:** Regulation .06 adopted effective January 13, 2020 (47:1 Md. R. 12) #### Regulation .01 Definitions. *COMAR 09.35.02.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Board" means the Elevator Safety Review Board. (2) “Safety Code” has the meaning set forth in Public Safety Article, §12-801(p), Annotated Code of Maryland. (3) “Third-party qualified elevator inspector” has the meaning set forth in Public Safety Article, §12-801(r), Annotated Code of Maryland. #### Regulation .02 Qualifications for an Elevator Renovator Mechanic’s License. *COMAR 09.35.02.02* A. An applicant who applies for an elevator renovator mechanic’s license on or before January 1, 2013, shall demonstrate to the Board a minimum of 3 years of relevant work experience in elevator renovation that is acceptable to the Board. B. An applicant who applies for an elevator renovator mechanic’s license after January 1, 2013, shall: (1) Demonstrate to the Board an acceptable combination of relevant work experience and education; and (2) Pass an exam approved by the Board. #### Regulation .03 Qualifications for an Elevator Renovator Contractor’s License. *COMAR 09.35.02.03* A. An applicant who applies for an elevator renovator contractor’s license on or before January 1, 2013, shall demonstrate to the Board a minimum of 3 years of relevant work experience in elevator renovation that is acceptable to the Board. B. An applicant who applies for an elevator renovator contractor’s license pursuant to §A of this regulation, shall have until January 1, 2013, to have at least one of its employees or responsible management personnel pass an exam approved by the Board. C. An applicant who applies for an elevator renovator contractor’s license after January 1, 2013, shall: (1) Demonstrate to the Board an acceptable combination of relevant work experience and education; and (2) Pass an exam approved by the Board. #### Regulation .04 Application for a Temporary Elevator Mechanic License. *COMAR 09.35.02.04* A. A temporary elevator mechanic license may be issued by the Board upon receipt of the following: (1) An application on a form provided by the Board from a licensed elevator contractor that includes: (a) A statement from a licensed elevator contractor that a licensed elevator mechanic is not available to perform construction, maintenance, or service and repair of elevators due to a labor shortage; and (b) A certification by the licensed elevator contractor that the individual to receive the temporary license possesses sufficient documented education and experience to perform as an elevator mechanic without direct and immediate supervision; (2) An application on a form provided by the Board from an applicant seeking a temporary mechanic license; and (3) A nonrefundable temporary mechanic license fee as established under COMAR 09.35.01.01. B. A temporary elevator mechanic license is valid for 30 days from the date of issuance. C. The Board may deny a request from a licensed elevator contractor who does not hold a license in good standing or who is the subject of an active or pending complaint. #### Regulation .05 Qualifications for a Temporary Elevator Mechanic License. *COMAR 09.35.02.05* A. The following individuals may be considered for a temporary elevator mechanic license: (1) An individual who has a minimum of 3 years of acceptable work experience in the elevator industry performing construction, maintenance, service, or repair of elevators and is a second year apprentice enrolled in an approved apprenticeship and training program; (2) An individual who has a minimum of 5 years of acceptable work experience in the elevator industry performing construction, maintenance, service, or repair of elevators under a licensed elevator mechanic; and (3) An individual who has a minimum of 3 years of acceptable work experience in the elevator industry performing construction, maintenance, service, or repair of elevators and holds a license in good standing with no violations in any other state. B. All qualifying education and experience shall be documented by the licensed elevator contractor on an application provided by the Board. C. Out-of-State individuals shall submit a letter of good standing from the state of licensure in addition to the required application. #### Regulation .06 Renewal of Temporary Elevator Mechanic License. *COMAR 09.35.02.06* A. The Board may renew a temporary elevator mechanic license for additional 30 day periods as long as a licensed elevator mechanic is unavailable and the holder of the temporary license remains an employee of the certifying licensed elevator contractor. B. To renew the temporary elevator mechanic license, the licensed elevator contractor shall submit the following: (1) A written notification to the Board that a shortage of license elevator mechanics continues; (2) A completed renewal application on a form the Board provides; and (3) A nonrefundable renewal fee pursuant to COMAR 09.35.01.01. C. The Board may refuse to renew the temporary license of a temporary licensee if the Board determines that the individual has had an adequate opportunity to obtain licensure under Public Safety Article, §12-827, Annotated Code of Maryland. ### Chapter 03 — Scope of Practice **Authority:** Public Safety Article, §§12-823(4), 12-826, and 12-827(c), Annotated Code of Maryland **Administrative History:** Effective date: July 9, 2012 (39:13 Md. R. 785) #### Regulation .01 Scope of Practice for Elevator Renovator Mechanics. *COMAR 09.35.03.01* A. An elevator renovator mechanic may not engage in any work that affects the moving or mechanical parts of an elevator. B. All elevator renovations shall be compliant with the Safety Code. C. If an elevator renovator mechanic performs any work that affects the weight, cab size, or fire ratings of an elevator, the work shall be performed in compliance with any applicable requirements of the Safety Code and, to the extent required, be done in consultation with a licensed elevator contractor or mechanic. D. If the renovation “alters” the elevator, as defined by the Safety Code, then a final inspection shall be performed by the Maryland Department of Labor's Division of Labor and Industry. #### Regulation .02 Scope of Practice for Elevator Renovator Contractors. *COMAR 09.35.03.02* A. An elevator renovator contractor may not engage in any work that affects the moving or mechanical parts of an elevator. B. If an elevator renovator contractor performs any work that affects the weight, cab size, or fire ratings of an elevator, the work shall be performed in compliance with any applicable requirements of the Safety Code and, to the extent required, be done in consultation with a licensed elevator contractor or mechanic. C. If the renovation “alters” the elevator as defined by the Safety Code, then a final inspection shall be performed by the Maryland Department of Labor's Division of Labor and Industry. D. Thirty days prior to the anticipated completion date of any elevator alteration, an elevator renovator contractor shall request a final acceptance inspection in accordance with COMAR 09.12.81.04. E. Prior to putting the elevator back in service, the elevator renovator contractor shall ensure that an inspection is performed by an authorized third-party qualified elevator inspector to determine compliance with applicable law, regulations, and the Safety Code. If the authorized third-party qualified elevator inspector determines that the renovation “alters” the elevator, as defined in the Safety Code, then a final acceptance inspection is required as described in §D of this regulation. F. A copy of the inspection report resulting from the final acceptance inspection required by COMAR 09.12.81.04 shall be provided to the owner of the elevator. ### Chapter 04 — Continuing Professional Competency **Authority:** Public Safety Article, §§12-823(4), 12-833(d), and 12-837(a)(7), Annotated Code of Maryland; Ch. 5, §2, Acts of 2003 **Administrative History:** Effective date: April 28, 2014 (41:8 Md. R. 470) **Administrative History:** Regulation .10 repealed effective June 5, 2017 (44:11 Md. R. 524) **Administrative History:** Regulation .10 adopted effective January 28, 2019 (46:2 Md. R. 52) #### Regulation .01 Purpose. *COMAR 09.35.04.01* The public interest requires that licensees holding applicable licenses pursuant to Public Safety Article, Title 12, Subtitle 8, Annotated Code of Maryland, provide competent services in all areas of practice. The State legislature has determined that it is in the best interest of the public to require licensees to comply with the continuing professional competency requirements as a prerequisite to the renewal of an applicable license. #### Regulation .02 Definitions. *COMAR 09.35.04.02* A. In this chapter, the following terms have the meaning indicated. B. Terms Defined. (1) “Activity” means attending and completing qualifying courses, seminars, workshops, technical presentations, and other qualifying programs that meet the criteria and objectives of continuing professional competency. (2) “Authorized provider” means an organization or individual reviewed and approved by the CPC Standards Committee. (3) “Board” means the Elevator Safety Review Board. (4) “Continuing Professional Competency (CPC) unit” means 1 hour of instruction, presentation, or other activity. (5) “Course” means a qualifying offering with a clear purpose and objective to maintain, improve, or expand the skills and knowledge of a licensee’s field of practice. (6) “CPC Standards Committee” means a committee of Board members as established in Regulation .05 of this chapter. (7) “Qualifying program” means any course, seminar, workshop, technical presentation, or any other qualifying offering that meets the criteria set forth in Regulation .04 of this chapter. #### Regulation .03 Requirements. *COMAR 09.35.04.03* A licensee shall complete a minimum of 8 CPC units during each licensing renewal period. #### Regulation .04 Criteria for Qualifying Programs. *COMAR 09.35.04.04* Programs shall meet at least the following criteria in order to be considered qualifying programs: A. Maintain and enhance professional competency of licensees regulated by the Board; B. Foster improvement, advancement, and extension of the mechanical and other appropriate professional skills and knowledge related to the work performed by licensees regulated by the Board; C. Be offered by an authorized provider; D. Have a stated purpose and defined content area; E. Be presented by presenters who are qualified in the defined content area; and F. Have a clearly stated time duration. #### Regulation .05 Authorization of Providers. *COMAR 09.35.04.05* A. Responsibility for Authorizing Providers. (1) The Board shall select and establish a committee to recommend the approval of providers of the CPC units (the “CPC Standards Committee”). (2) The CPC Standards Committee shall consist of the following individuals: (a) One renovator member; and (b) Two members from the following three categories of Board members: (i) A major elevator manufacturing company or its authorized representative; (ii) An elevator servicing company; or (iii) A representative of labor involved in the installation, maintenance, and repair of elevators. (3) The Board shall assign to the CPC Standards Committee the responsibility for reviewing and recommending the approval of providers to the Board. The Committee shall establish guidelines and procedures for the recommendation of approval of authorized providers in accordance with the objectives stated in this regulation and Regulation .04 of this chapter. (4) If requested by the Board, the CPC Standards Committee shall submit quarterly reports to the Board containing the list of authorized providers approved by the Committee in the previous calendar quarter, together with any other information requested by the Board. B. Providers’ Eligibility. (1) The following are authorized providers without any further action by the CPC Standards Committee or the Board: (a) National Association of Elevator Contractors; (b) American Society of Mechanical Engineers; (c) National Elevator Industry Educational Program; and (d) Elevator Industry Work Preservation Fund. (2) The CPC Standards Committee may recommend to the Board approval of other providers or programs, if: (a) The provider’s program meets the criteria set forth in Regulation .04 of this chapter; and (b) The provider submits general information that will enable the Board to evaluate the provider’s qualifications, including, at a minimum, the following information with each application for approval: (i) The types and descriptions of proposed or existing courses intended to be offered; (ii) The number of CPC units to be awarded for each course; (iii) The identity and qualifications of the course instructors; and (iv) The proposed course outlines detailing the content of instruction to be offered. (3) The Board may suspend or revoke authorization as a provider if, in the judgment of the Board, the provider no longer meets the objective of providing useful, current, and technically accurate information to the licensees. (4) Individuals or organizations that have not been recommended for authorized provider status by the Committee may appeal that decision to the Board within 30 days after the CPC Standards Committee notifies the individual or organization of the recommendation. (5) The Board may require approved providers to document the CPC activities for audit by the Board at any time. Documentation shall include registration and attendance records, stated purpose, content, presentation, time and length of the activity, and participant evaluations. C. The Board shall maintain and make available to licensees the roster of approved providers. #### Regulation .06 Record Keeping. *COMAR 09.35.04.06* A. Responsibility to Maintain Records. (1) It is the responsibility of the licensee to maintain records to be used to support the licensee’s continuing professional competency credit claim. (2) A licensee shall maintain the records for a period of at least 4 years from the date of completion of the qualifying program. B. Documentation referred to in §A(2) of this regulation includes, but is not limited to, the following: (1) Certificates of participation; (2) Transcripts, if appropriate; (3) Title and description of the activity; (4) Dates attended; (5) Presenter’s name; and (6) Any other appropriate information. #### Regulation .07 Reporting Requirements for License Renewal. *COMAR 09.35.04.07* A. A licensee shall attest on the license renewal form to the fact that the licensee has completed all applicable CPC requirements set forth in this chapter by the last day of the month preceding the month in which the licensee's individual license is required to be renewed for the following 2-year licensing term. B. The Board at its discretion may audit randomly selected licensees to verify compliance with CPC requirements. C. Licensees who are audited shall provide any additional documentation required by the Board to complete the audit. #### Regulation .08 Failure to Meet the CPC Requirements. *COMAR 09.35.04.08* In the event a licensee fails to comply with the CPC requirements set forth in this chapter, the Board, subject to the hearing provisions of Public Safety Article, §12-838, Annotated Code of Maryland, may take disciplinary action pursuant to Public Safety Article, §12-837, Annotated Code of Maryland. #### Regulation .09 Reinstatement of License. *COMAR 09.35.04.09* A licensee who wishes to reinstate a license after failing to complete the CPC requirements shall fulfill past due CPC requirements for the previous CPC reporting periods up to 16 CPC units (8 CPC units for up to two licensing periods) and pay all past due fees, unless the Board finds extenuating circumstances that establish good cause for a temporary waiver of the licensee’s failure to complete the CPC requirements. #### Regulation .10 Failure to Respond. *COMAR 09.35.04.10* A. If an applicant or licensee receives from the Board a written communication requesting a response, the applicant or licensee shall respond in writing within 30 days of the date of the mailing. B. The Board shall send a written communication by first-class mail to the last address furnished to the Board by the applicant or licensee. C. It is the responsibility of an applicant or licensee to notify the Board in writing if there has been a change in the applicant’s or licensee’s address D. Failure to respond as required by this regulation may be considered by the Board to be a violation of Public Safety Article, §12-837(a)(7), Annotated Code of Maryland. ## Subtitle 36 — Commission of Real Estate Appraisers, Appraisal Management Companies, and Home Inspectors — Home Inspectors ### Chapter 01 — General Regulations **Authority:** Business Occupations and Professions Article, §§16-216, 16-220, 16-601, and 16-701.1(a)(7), Annotated Code of Maryland **Administrative History:** Effective date: January 7, 2013 (39:26 Md. R. 1664) **Administrative History:** Regulation .02 adopted effective January 14, 2019 (46:1 Md. R. 11) #### Regulation .01 Time Limitations for Filing Complaints. *COMAR 09.36.01.01* The Commission may summarily dismiss any complaint brought against a licensee after 3 years from the date of the home inspection report from which the complaint arises, unless the Commission finds that the complainant's delay in bringing the complaint was justified and that the delay does not result in an undue burden for the licensee. #### Regulation .02 Correspondence with the Commission. *COMAR 09.36.01.02* A. If an applicant or licensee receives from the Commission a written communication requesting a response, the applicant or licensee shall respond in writing within 30 days of the date of the mailing. B. The Commission shall send a written communication by first-class mail to the last address furnished to the Commission by the applicant or registrant. C. It is the responsibility of an applicant or licensee to notify the Commission in writing if there has been a change in an applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Commission to be a violation of Business Occupations and Professions Article, §16-701.1(a)(7), Annotated Code of Maryland ### Chapter 02 — Work Experience Requirements *Repealed* **Administrative History:** Effective date: **Administrative History:** Regulation .01 adopted as an emergency provision effective January 31, 2002 (29:4 Md. R. 412); adopted permanently effective May 27, 2002 (29:10 Md. R. 826) **Administrative History:** Regulation .01 repealed effective May 22, 2017 (44:10 Md. R. 472) ### Chapter 03 — Fees **Authority:** Business Occupations and Professions Article, §§16-216, 16-217, 16-3A-02, 16-3A-03, 16-3A-05, 16-3A-07, and 16-3A-08, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulation .01 adopted as an emergency provision effective January 31, 2002 (29:4 Md. R. 412); adopted permanently effective May 27, 2002 (29:10 Md. R. 826) **Administrative History:** Regulation .01 amended as an emergency provision effective February 24, 2012 (39:6 Md. R. 405); amended permanently effective May 28, 2012 (39:10 Md. R. 659) #### Regulation .01 License Fees. *COMAR 09.36.03.01* A. Pursuant to Business Occupations and Professions Article, Title 16, Annotated Code of Maryland, the Commission shall set fees to produce funds to approximate the cost of maintaining the Commission. B. The Commission shall charge the following amounts: (1) License application fee — $50; (2) License renewal fee — $325; (3) License reinstatement fee — $50; (4) Reciprocal license application fee — $50; (5) Original license fee — $325. C. The failure without good cause to pay any fees or charges due under this regulation is grounds for disciplinary action under Business Occupations and Professions Article, §16-701.1(a)(7), Annotated Code of Maryland. ### Chapter 04 — Responsibilities of Licensees **Authority:** Business Occupations and Professions Article, §§16-216 and 16A-3A-02, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulations .01—.04 adopted as an emergency provision effective January 31, 2002 (29:4 Md. R. 412); adopted permanently effective May 27, 2002 (29:10 Md. R. 826) **Administrative History:** Chapter revised effective January 14, 2019 (46:1 Md. R. 11) #### Regulation .01 Responsibilities of Licensees. *COMAR 09.36.04.01* A licensee shall undertake to provide home inspection services only if the licensee is qualified by training, education and experience to provide the required services. #### Regulation .02 Time to Request a Formal Hearing. *COMAR 09.36.04.02* A. A license applicant or a licensee shall request, in writing, a hearing within 30 days of a decision by the Commission to deny an initial license or renewal of a license. B. The 30-day time period referred to in §A of this regulation begins on the date notification of an adverse decision by the Commission was sent to the last known address of the licensee or applicant. #### Regulation .03 Notice of Change of Licensing Information. *COMAR 09.36.04.03* In addition to the requirements of Business Occupations and Professions Article, §16-4A-03, Annotated Code of Maryland, a licensed home inspector shall notify the Commission, in writing, within 15 days, of any change of the business name or address of the licensee or of a change of the business name or address of the business through which the licensee performs home inspection services. ### Chapter 05 — Hearing Regulations **Authority:** Business Occupations and Professions Article, § 16-216, Annotated Code of Maryland **Administrative History:** Effective date: March 15, 2004 (31:5 Md. R. 448) #### Regulation .01 Contested Case Hearings. *COMAR 09.36.05.01* A. Except as provided in §§B and C of this regulation, all contested case hearings before the Commission are governed by COMAR 09.01.02. B. Contested case hearings before the Commission shall be conducted before the Home Inspector Hearing Board in accordance with Business Occupations and Professions Article, §§16-210.1 and 16-211, Annotated Code of Maryland. C. In accordance with Business Occupations and Professions Article, §16-211(d), Annotated Code of Maryland, the Commission or any of its members may file an exception to the decision of the Hearing Board within 15 days after the filing of the Hearing Board's decision. D. If a timely exception under §C of this regulation is filed, the Commission shall set the matter in for a hearing before the Commission. E. All contested hearings delegated to the Office of Administrative Hearings are governed by COMAR 09.01.03. ### Chapter 06 — Code of Ethics **Authority:** Business Occupations and Professions Article, §§16-208(a)(2), 16-216(2), and 16-3A-07(e), Annotated Code of Maryland **Administrative History:** Effective date: February 11, 2008 (35:3 Md. R. 289) **Administrative History:** Regulation .01E, F amended effective March 31, 2025 (52:6 Md. R. 267) **Administrative History:** Regulation .01G adopted effective March 31, 2025 (52:6 Md. R. 267) #### Regulation .01 Responsibilities to the Public. *COMAR 09.36.06.01* A home inspector shall: A. Act as an impartial third party; B. Discharge the home inspector's duties: (1) With integrity and fidelity to the public; (2) With fairness and objectivity to all parties; and (3) Without bias to any party; C. Always act in good faith towards a client; D. Express an opinion only if it is based on practical experience and personal knowledge; E. Promptly inform a client of any business association, interest, or circumstance that may influence the home inspector's judgment or the quality of the home inspector's inspection service to the client; F. Make every effort to uphold, maintain, and improve the professional practice, integrity, and reputation of the home inspection industry; and G. Obey all federal and state laws, regulations, and local ordinances. #### Regulation .02 Prohibitions. *COMAR 09.36.06.02* A. A home inspector may not: (1) Except under circumstances in which the safety, health, property, or welfare of the public is endangered, disclose any information concerning the results of an inspection without the approval of the client for whom the inspection was performed; (2) Accept compensation, financial or otherwise, from more than one interested party for the same service on the same property unless the home inspector makes full disclosure to all interested parties and obtains the consent of all interested parties; or (3) Accept or offer a commission or allowance, directly or indirectly, to or from another party dealing with the client in connection with home inspection services for which the home inspector is responsible. B. A home inspector may not: (1) Sell or offer to sell products for the repair of defects or the correction of deficiencies disclosed during an inspection to the client for a period of 1 year from the date of the inspection; (2) Provide or offer to provide services to repair defects or correct deficiencies disclosed during an inspection for a period of 1 year from the date of the inspection; or (3) Express an appraisal or opinion of the market value of the inspected property within the context of the inspection. #### Regulation .03 Additional Services. *COMAR 09.36.06.03* A home inspector may provide additional inspection services to the client if the home inspector discloses to the client that the additional inspection services are not part of the home inspection. #### Regulation .04 Conflicts of Interest. *COMAR 09.36.06.04* A. A home inspector shall avoid conflicts of interest with a client or an owner of property that is subject to an inspection by the home inspector. B. If a conflict appears unavoidable, the home inspector shall disclose promptly and fully all circumstances of the conflict to the client. ### Chapter 07 — Minimum Standards of Practice **Authority:** Business Occupations and Professions Article, §§16-208(a) 16-216(2), and 16-701.1(a)(3) and (7), Annotated Code of Maryland **Administrative History:** Effective date: February 11, 2008 (35:3 Md. R. 289) **Administrative History:** Regulation .01B amended effective March 17, 2014 (41:5 Md. R. 343) **Administrative History:** Regulation .02D amended effective August 19, 2024 (51:16 Md. R. 742) **Administrative History:** Regulation .07A, B amended effective March 17, 2014 (41:5 Md. R. 343) **Administrative History:** Regulation .08C, D amended effective March 17, 2014 (41:5 Md. R. 343) **Administrative History:** Chapter revised effective December 22, 2025 (52:25 Md. R. 1268) #### Regulation .01 Definitions. *COMAR 09.36.07.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) Activate. (a) “Activate” means to turn on, supply power, or enable systems, equipment, or devices to become active by normal control means. (b) “Activate” includes: (i) Turning on the gas or water supply valves to fixtures and appliances; and (ii) Activating electrical breakers or fuses. (2) Additional Inspection Services. (a) “Additional inspection services” means any service offered in addition to the home inspection as defined in Standards of Practice for Maryland Licensed Home Inspectors. (b) “Additional inspection services” includes, but is not limited to: (i) Services to detect the presence of a wood-destroying insect or organism; and (ii) Inspection and testing to evaluate the functional ability of septic system including drain and sewage lines. (c) “Additional inspection services” includes environmental testing that includes, but is not limited to, tests to determine: (i) Radon levels; (ii) Well water potability; and (iii) Air quality, to include testing for the presence of contaminants, mold spores, noxious gases and other harmful particulates in the air supply. (3) “Adversely affect” means to constitute, or potentially constitute, a negative or destructive impact on the durability or soundness of a system, component, or structure. (4) Alarm System. (a) “Alarm system” means a device to generate an audible or visible warning of an unsafe condition. (b) “Alarm system” includes, but is not limited to: (i) A warning device, installed or freestanding; (ii) A carbon monoxide detector and alarm; (iii) A flue gas detector; (iv) A water or other spillage detector; (v) Security equipment; (vi) An ejector pump; and (vii) A smoke detector or alarm. (5) “Automatic safety controls” means a device designed and installed to protect systems and components from unsafe conditions. (6) “Component” means a permanently installed appliance, fixture, element, or part of a system necessary for the system to operate as designed. (7) “CSST” means corrugated stainless steel tubing used as flexible gas piping in fuel distribution systems. (8) “Decorative” means ornamental or not required for the operation of the essential systems and components of a home. (9) “Describe” means to include in the written report: (a) A description of a system or component by its type or other observed significant characteristics to distinguish it from other systems or components; (b) The condition of the inspected item and indicate its proper operation or function; and (c) A statement of recommended corrective action, if appropriate. (10) “Dismantle” means to take apart or remove any component, device, or piece of equipment that would not be taken apart or removed by a homeowner in the course of normal and routine homeowner maintenance. (11) “Engineering service” means a professional service or creative work requiring: (a) Engineering education, training, and experience; and (b) The application of special knowledge of the mathematical, physical, and engineering sciences to professional service or creative work such as consultation, investigation, evaluation, planning, design, and supervision of construction for the purpose of assuring compliance with the specifications and design, in conjunction with structures, buildings, machines, equipment, works, or processes. (12) “Functional drainage” means a drain is: (a) Able to empty in a reasonable amount of time; and (b) Not subject to overflow when one of its supply faucets is left on. (13) “Functional flow” means sufficient water flow to provide uninterrupted supply to the highest unrestricted tap or faucet farthest from the source when a single intermediate unrestricted tap or faucet is operated simultaneously with uninterrupted flow. (14) “Further evaluation” means an examination and analysis by a qualified professional, tradesman, or service technician beyond that provided by the home inspection. (15) Heat Source. (a) “Heat source” means a mechanical means to transfer heat. (b) “Heat source” includes, but is not limited to: (i) A radiator; (ii) A convector unit; (iii) A radiant panel; (iv) A heat pipe; (v) Ductwork; (vi) A grille; (vii) A register; and (viii) Any other device from which heat is intended to be emitted. (16) “Household appliance” means an installed kitchen or laundry apparatus designed to perform a particular task or function. (17) “Inspect” means to examine readily accessible systems and components of a building in a non-invasive manner and in accordance with the standards of practice set forth in this chapter, using normal operating controls and opening readily openable access panels. (18) “Installed” means attached such that removal requires tools. (19) “Intended function” means: (a) Performing, or being able to perform, the usual function for which an item is designed or fitted; and (b) Being in a condition or state of repair appropriate to an item's function, age, and location. (20) “Normal operating control” means a device, such as a thermostat, switch, or valve, that may be operated by an individual and does not require specialized skill or knowledge. (21) “Readily accessible” means available for visual inspection without requiring moving of personal property, dismantling, destructive measures, or any action that will likely involve risk to a person or property and does not include opening an access panel or cover that is sealed and cannot be returned to its existing condition. (22) “Readily openable access panel” means a panel provided for homeowner inspection and maintenance that: (a) Is within normal reach; (b) Can be easily removed by one person; and (c) Is not sealed in place. (23) Recreational Facility. (a) “Recreational facility” means a fitness or entertainment device or equipment. (b) “Recreational facility” includes, but is not limited to: (i) A spa; (ii) A sauna; (iii) A steam bath; (iv) Exercise equipment; (v) Entertainment devices; (vi) Athletic equipment; (vii) Playground equipment; and (viii) Other similar equipment and associated accessories. (24) “Representative number” means a quantity of components of any system or structure enough like others in its class or kind so as to serve as an example of the class or kind. (25) “Roof drainage system” means a component used to carry water off a roof and away from a building. (26) “Shut down” means a state in which a system or component cannot be operated by normal operating controls. (27) “Significantly deficient” means to be unsafe or not functioning as deigned or intended. (28) Solid Fuel Burning Appliance. (a) “Solid fuel burning appliance” means a hearth and fire chamber or similar prepared place: (i) In which a fire may be built; and (ii) That is constructed in conjunction with a chimney. (b) “Solid fuel burning appliance” includes a listed assembly of a fire chamber, its chimney, and related factory-made parts designed for unit assembly without requiring field construction. (29) “Structural component” means a component that supports non-variable forces or weights and variable forces or weights. (30) “System” means a combination of interacting or interdependent components that are designed and assembled to carry out one or more functions. (31) “Technically exhaustive” means an investigation to identify concealed conditions or latent defects that involves dismantling, extensive use of advanced techniques, measurements, instruments, testing, calculations, or other means. (32) “Under-floor crawl space” means the area within the confines of the foundation and between the ground and the underside of the floor. (33) “Unsafe” means a condition in a readily accessible installed system or component that: (a) Is determined to create a significant risk of personal injury during normal, day-to-day use; and (b) May be the result of damage, deterioration, improper installation, or a change in accepted residential construction standards. (34) Wiring Methods. (a) “Wiring methods” means the identification of electrical conductors or wires by their general type. (b) “Wiring methods” includes, but is not limited to: (i) Nonmetallic sheathed cable; (ii) Armored cable; and (iii) Knob and tube. #### Regulation .02 General. *COMAR 09.36.07.02* A. Purpose. In the general public interest, the standards of practice set forth in this chapter are promulgated to establish a minimum and uniform standard of performance to be exercised by a home inspector licensed by the Maryland State Commission of Real Estate Appraisers and Home Inspectors. B. Conflicts. If this chapter conflicts with other federal or State requirements, the home inspector shall follow the more stringent requirements. C. Scope. The standards of practice set forth in this chapter apply only to the inspection of a residential building containing one to four dwelling units. D. Inspections. (1) The standards of practice set forth in this chapter: (a) Identify the items, components, systems, and certain terms included in the scope of a home inspection; and (b) Apply to a visual inspection of the readily accessible areas of the included items, components, and systems to determine if, at the time of the home inspection, the items, components, and systems are performing their intended function or are determined to be significantly deficient. (2) A home inspection performed in accordance with the standards of practice set forth in this chapter: (a) Shall be conducted while the licensed home inspector who is responsible for preparing the report in accordance with Business Occupations and Professions Article, § 16-101(i), Annotated Code of Maryland, is physically on-site at the property to be inspected; (b) Is intended to provide a client with objective information regarding the condition of the systems and components of a home at the time of the home inspection; (c) Acts to identify visible defects and conditions that, in the judgment of the home inspector, adversely affect the function or integrity of the items, components, and systems inspected, including those items or components near the end of their serviceable life; (d) May not be construed as a compliance inspection pursuant to any code or governmental regulation; (e) Is not intended to be construed as a guarantee, warranty, or any form of insurance; (f) Is not an express or implied warranty or a guarantee of the adequacy, performance, or useful life of any item, component, or system in, on, or about the inspected property; (g) Is based on the visual observation of the home inspector; and (h) Shall be performed in a time period sufficient to allow compliance with the provisions of the standards of practice set forth in this chapter. E. Representative Number. For the purpose of making a finding or conclusion as a result of a home inspection, a home inspector may consider a representative number of: (1) Electrical outlets; (2) Exterior windows; (3) Doors; (4) Siding materials; and (5) Exposed attic and floor, including attic and floor framing. F. Report. A home inspection report: (1) Shall contain the written opinion of the home inspector based on the judgment and experience of the home inspector; (2) Shall contain a description of systems and components in accordance with §D of this regulation; (3) Is not intended to be technically exhaustive; and (4) May identify items in need of further evaluation. #### Regulation .03 Limitations and Exclusions. *COMAR 09.36.07.03* A. A home inspection performed in accordance with the standards of practice set forth in this chapter: (1) Is not technically exhaustive; and (2) May not identify concealed conditions or latent defects. B. Except as may be required by lawful authority, a home inspector is not required to perform any action or make any determination unless specifically stated in the standards of practice set forth in this chapter. C. A home inspector is not required to determine any of the following: (1) Condition of a system or component that is not readily accessible; (2) Remaining life of any system or component; (3) Strength, adequacy, effectiveness, or efficiency of any system or component; (4) Causes of any condition or deficiency; (5) Methods, materials, or costs of corrections; (6) Future conditions, including, but not limited to, failure of systems and components; (7) Suitability of the property for any specialized use; (8) Property boundary lines or encroachments; (9) Compliance of the structure with applicable provisions of local ordinances, regulations, or codes; (10) Market value of the property or its marketability; (11) Advisability of the purchase of the property; (12) Indoor air quality or sickness of any building, including, but not limited to, the presence or absence of all manner of biological activity, such as carcinogens, mold, insects, birds, pets, mammals, and other flora and fauna, and their consequent damage, toxicity, odors, waste products, and noxiousness; (13) Effectiveness of any system installed or methods utilized to control or remove suspected hazardous substances; (14) Operating costs of a system or component; (15) Acoustical properties of any system or component; or (16) Existence of manufacturer's recalls. D. A home inspector is not required to offer or perform any of the following: (1) Any act or service contrary to law; (2) Engineering services; (3) Work in any trade or any professional service other than home inspection; or (4) Warranties or guarantees of any kind. E. A home inspector is not required to operate or activate: (1) A system or component that (a) Is shut down or otherwise inoperable; or (b) Does not respond to normal operating controls; (2) Shut off valves and manual stop valves; (3) Automatic safety controls; (4) Remote controlled devices via WiFi, Bluetooth, RF, or other electronic means; and (5) Any Smart Home System and associated device.. F. A home inspector is not required to enter: (1) Any area that may be, in the opinion of the home inspector, dangerous to the inspector or other persons or may damage the property or its systems or components; or (2) Under-floor crawl spaces, attics, or other unfinished areas that are not readily accessible. G. A home inspector is not required to inspect any of the following: (1) Underground items, including, but not limited to, underground storage tanks or other underground indications of their presence, whether abandoned or active; (2) Systems or components that are not installed; (3) Decorative items; (4) Systems or components located in areas that cannot be entered in accordance with the standards of practice set forth in this chapter; (5) Detached structures other than garages and carports; (6) Recreational facilities; (7) Common elements or common areas in multiunit housing, such as condominium properties or cooperative housing; or (8) A common condominium component or system or evaluated condominium reserve accounts. H. A home inspector is not required to: (1) Perform any procedure or operation that may be, in the opinion of the inspector, dangerous to the inspector or other persons or damage the property or its systems or components; (2) Move suspended ceiling tiles, personal property, furniture, equipment, plants, soil, snow, ice, or debris; (3) Dismantle any system or component, except as explicitly required by the standards of practice set forth in this chapter; (4) Include in a written report any information from any source concerning previous: (a) Property, geological, environmental, or hazardous waste conditions; (b) Manufacturer recalls or conformance of proper manufacturer's installation of any component or system; or (c) Information contained in a consumer protection bulletin of publication; (5) Anticipate or speculate about possible future events or conditions, including but not limited to: (a) Decay, deterioration, or damage that may occur after the inspection; (b) Deficiencies from abuse, misuse, or lack of use; (c) Changes in performance of any component or system due to changes in use or occupancy; (d) The consequences of the inspection or its effects on current or future buyers and sellers; (e) Common household accidents, personal injury, or death; (f) Water intrusion; or (g) The future performance of any system or system component; and (6) Provide additional inspection services not specifically set forth in this chapter and in accordance with COMAR 09.36.06.03 and Regulation .02 of this chapter. #### Regulation .04 Structural System. *COMAR 09.36.07.04* A. A home inspector shall visually inspect the accessible structural system, including the structural components. B. A home inspector shall describe the visible types and materials of the structural system, including the: (1) Foundation including a reference to the location of access and methods used to inspect the under-floor crawl spaces and basements; (2) Floor structure; (3) Wall structure; (4) Ceiling structure; (5) Roof structure, including a reference to the location of access and methods used to inspect the attic; and (6) Conditions that adversely impact the structure. C. Probing. (1) A home inspector shall probe a representative number of structural components where deterioration is suspected or where clear indications of possible deterioration exist. (2) Probing is not required: (a) If it will damage any finished surface; or (b) Where no deterioration is visible. D. A home inspector is not required to: (1) Provide any engineering service; or (2) Offer an opinion as to the adequacy of any structural system or component. #### Regulation .05 Exterior. *COMAR 09.36.07.05* A. A home inspector shall visually inspect the accessible exterior components, including: (1) Exterior wall covering, flashing, and trim; (2) All exterior doors; (3) Attached decks, balconies, stoops, steps and stringers, porches, and their associated railings and balusters; (4) Eaves, soffits, and fascias that are accessible from the ground level; (5) Vegetation, grading, surface drainage, and retaining walls on the property if any of these may adversely affect the building; and (6) Walkways, patios, and driveways leading to dwelling entrances. B. A home inspector shall describe: (1) The exterior: (a) Wall covering; (b) Flashing; (c) Trim; and (d) Doors; (2) Deck components, including the absence of flashing at the ledger board; (3) Eaves, soffits, and facias; (4) Walkways, patios, driveways, including trip hazards; and (5) Grading and surface drainage that may adversely affect the building. C. A home inspector is not required to inspect any of the following: (1) Screening, shutters, awnings, and similar seasonal accessories: (2) Fences, including each fence gate; (3) Geological, geotechnical, or hydrological conditions; (4) Recreational facilities; (5) Outbuildings; (6) Seawalls, break-walls, and docks; or (7) Erosion control and earth stabilization measures. #### Regulation .06 Roof System. *COMAR 09.36.07.06* A. A home inspector shall visually inspect the accessible roof system, including: (1) The roof covering; (2) Roof drainage components; (3) Flashings; and (4) Skylights, chimneys, and roof penetrations. B. A home inspector shall describe the roof covering including the type and material and report the methods used to inspect the roof. C. A home inspector is not required to: (1) Inspect: (a) Antennae and lightning arrestor systems; (b) Interiors of flues or chimneys that are not readily accessible; (c) Solar panels; or (d) Other installed accessories; (2) Walk on or access a roof where it could damage the roof or roofing material or be unsafe for the home inspector; (3) Remove snow, ice, debris, or other conditions that prohibit the observation of the roof surfaces; or (4) Determine: (a) The remaining life expectancy of roof coverings; (b) The presence or absence of hail damage; (c) Manufacturer's defects; (d) Installation methods; or (e) The number of layers of roofing material. #### Regulation .07 Plumbing System. *COMAR 09.36.07.07* A. A home inspector shall visually inspect the accessible plumbing system, including: (1) Interior water supply and distribution systems, including all fixtures and faucets; (2) Drain, waste, and vent systems, including all fixtures; (3) Water heating equipment; (4) Vent systems, flues, and chimneys; (5) Fuel storage and fuel distribution systems for the presence of CSST; (6) Drainage sumps, sump pumps, and related piping; (7) The functional flow of all fixtures and faucets; and (8) The functional drainage of all fixtures. B. A home inspector shall describe the type and material of the plumbing system, including: (1) Water supply, drain, waste, and vent piping materials, including waste cleanout access location: (2) Water heating equipment, including the energy source; (3) The location of the main water and hose bib shut-off valves; (4) The location of the main fuel shut-off valve; and (5) The presence of CSST with the recommendation that the bonding of the CSST be reviewed by a licensed master electrician. C. A home inspector is not required to: (1) Inspect any of the following: (a) Clothes washing machine connections; (b) Interiors of flues or chimneys that are not readily accessible; (c) Wells, well pumps, or water storage related equipment; (d) Water conditioning systems; (e) Solar, geothermal, or other renewable energy water heating systems; (f) Fire and lawn sprinkler systems; or (g) Private waste disposal systems; (2) Determine: (a) Whether water supply and waste disposal systems are public or private; (b) The quantity or quality of the water supply; or (c) The function of expansion tanks, anti-siphon devices, and water circulating systems; (3) Operate or activate safety valves or shut-off valves; or (4) Test shower pans or other fixtures for leaks. #### Regulation .08 Electrical Systems. *COMAR 09.36.07.08* A. A home inspector shall visually inspect the accessible electrical system, including: (1) The service drop; (2) Service entrance conductors, cables, and raceways; (3) Service equipment and main disconnects; (4) Service grounding; (5) System bonding; (6) Interior components of service panels and distribution panels; (7) Conductors; (8) Overcurrent protection devices; (9) A representative number of installed lighting fixtures, switches, and receptacles; (10) Ground fault and arc fault circuit interrupters; and (11) The general condition of visible branch circuit conductors that may constitute a hazard to the occupant or the structure by reason of improper use or installation of electrical components. B. A home inspector shall describe the type and materials of the electrical system, including the: (1) Amperage and voltage rating of the service; (2) Location of: (a) Main disconnect; (b) Service equipment; (c) Distribution panels; and (3) Wiring methods. C. If applicable, a home inspector shall describe the: (1) Presence of solid conductor aluminum branch circuit wiring; (2) Presence or absence of: (a) Smoke alarms; or (b) Carbon monoxide alarms; and (3) Presence of: (a) Non-arc-resistant CSST gas piping with the recommendation that the bonding of the CSST be reviewed by a licensed master electrician; and (b) Alternative energy systems, including disconnect locations. D. A home inspector is not required to: (1) Inspect: (a) Remote control devices, unless the device is the only control device; (b) Alarm systems and components; (c) Low voltage wiring systems and components; (d) Ancillary wiring, systems, and components that are not a part of the primary electrical power distribution system; or (e) the existing bonding method for CSST; or (2) Measure amperage, voltage, or impedance. #### Regulation .09 Heating System. *COMAR 09.36.07.09* A. A home inspector shall visually inspect accessible: (1) Installed heating equipment; (2) Vent systems, flues, and chimneys; and (3) Heat Sources. B. A home inspector shall describe: (1) The type of system; (2) Energy sources; and (3) Heating methods by distinguishing characteristics and means of distribution. C. A home inspector shall operate the heating system using normal operating controls, including emergency or auxiliary modes, if applicable. D. A home inspector is not required to: (1) Inspect: (a) Flue or chimney interiors that are not readily accessible; (b) Heat exchangers; (c) Humidifiers or dehumidifiers; (d) Electronic air filters; or (e) Solar space heating systems; or (2) Determine the adequacy of the heat system or the distribution balance. #### Regulation .10 Air-Conditioning System. *COMAR 09.36.07.10* A. A home inspector shall inspect the accessible installed central and through-wall cooling equipment. B. A home inspector shall describe: (1) Permanently installed cooling equipment; (2) Energy sources; (3) Cooling methods by distinguishing characteristics and means of distribution; and (4) Condensate drainage system. C. A home inspector shall operate the cooling system using normal operating controls and describe that the system was operated. D. A home inspector is not required to: (1) Inspect electronic air filters; (2) Determine the adequacy of the cooling system or the distribution balance; or (3) Operate the cooling equipment if it may damage the system or components. #### Regulation .11 Interior. *COMAR 09.36.07.11* A. A home inspector shall visually inspect accessible: (1) Walls, ceilings, and floors; (2) Ramps, steps, stairways, landings, and railings; (3) Countertops and installed cabinets; (4) Doors and windows, including safety glazing; (5) Garage doors and garage door operators; and (6) Household appliances including installed ovens, ranges, surface cooking appliances, microwave ovens, dishwashing machines, and food waste grinders by using normal operating controls to activate the primary function. B. A home inspector shall describe a condition that presents, at the time of the inspection, an unsafe condition. C. A home inspector is not required to inspect: (1) Paint, wallpaper, and other finish treatments; (2) Carpeting; (3) Window treatments, including window glass types or coatings; (4) Central vacuum systems; (5) Recreational facilities; (6) Appliances not listed in section §A(6) of this regulation; (7) Each control or feature of an inspected appliance; or (8) Microwave radiation leakage. #### Regulation .12 Insulation and Ventilation. *COMAR 09.36.07.12* A. A home inspector shall visually inspect accessible: (1) Insulation and vapor retarders in unfinished spaces; (2) Ventilation of attics and foundation areas; and (3) Mechanical ventilation systems. B. A home inspector shall describe: (1) Insulation and vapor retarders or barriers in accessible unfinished spaces; (2) If applicable, the absence of insulation in unfinished spaces at conditioned surfaces; and (3) The presence or absence of a moisture barrier in a crawlspace. C. A home inspector is not required to: (1) Disturb insulation, retarders, or barriers; or (2) Determine indoor air quality. #### Regulation .13 Fireplaces and Solid Fuel Burning Appliances. *COMAR 09.36.07.13* A. A home inspector shall visually inspect accessible: (1) System components of fireplaces and solid fuel burning appliances; and (2) Vent systems, flues, and chimneys. B. A home inspector shall describe: (1) Fireplaces and solid fuel burning appliances; and (2) Chimneys. C. A home inspector is not required to: (1) Inspect any of the following: (a) Interiors of flues or chimneys: (b) Fire Screens and doors; (c) Seals and gaskets; (d) Automatic fuel feed devices; (e) Mantels and fireplace surrounds; (f) Combustion make-up air devices; (g) Gravity-controlled and fan-assisted heat distribution assists; or (h) Detached chimneys or solid fuel or gas burning appliances; (2) Ignite or extinguish fires; (3) Determine draft characteristics; or (4) Move fireplace inserts or stove or firebox contents. ### Chapter 08 — Continuing Professional Competency **Authority:** Business Occupations and Professions Article, §§16-216 and 16-3A-07(e), Annotated Code of Maryland **Administrative History:** Effective date: July 22, 2013 (40:14 Md. R. 1174) **Administrative History:** Regulation .02 amended effective March 31, 2025 (52:6 Md. R. 267) #### Regulation .01 Citation of Regulations, Applicability, and Purpose. *COMAR 09.36.08.01* A. These regulations may be cited and referred to as the “Home Inspector Continuing Professional Competency Regulations”. The continuing professional requirements apply to all persons licensed under Business Occupations and Professions Article, Annotated Code of Maryland, to provide home inspection services in this State. B. The public interest requires that home inspectors provide competent home inspection services to the public. The General Assembly has determined that it is in the public interest to require home inspectors to comply with the continuing professional competency requirements as a prerequisite to the renewal of a license. #### Regulation .02 Basic Requirement. *COMAR 09.36.08.02* A. A renewal applicant shall complete at least 30 hours of qualifying continuing professional competency for each 2-year registration term. B. Effective October 1, 2024, in accordance with §A of this regulation, a licensed home inspector applying for license renewal shall successfully complete during the preceding 2-year license cycle a minimum of: (1) 2 hours of education related to home inspection report writing in accordance with Regulation .03F(1) of this chapter; and (2) 2 hours of education related to the minimum standards of practice in accordance with COMAR 09.36.07 and Regulation .03F(3) of this chapter. C. Acquisition of Continuing Professional Competency. (1) The continuing professional competency required by §A of this regulation shall have been obtained during the 24 months immediately preceding license renewal. (2) Continuing professional competency hours required by §A of this regulation obtained prior to the immediately preceding license term may not be considered toward an applicant’s eligibility for license renewal. (3) Continuing professional competency hours earned in excess of the 30 hours for a 2-year license term may not be credited towards the continuing professional competency requirement for a subsequent 2-year license term. (4) Not more than 8 hours of continuing professional competency education required by §A of this regulation in a particular subject matter area set forth in Regulation .03F of this chapter may be credited toward an applicant’s eligibility for license renewal. D. Up to 30 percent of the total continuing professional competency hours required by §A of this regulation may be obtained in other than a classroom setting. #### Regulation .03 Programs Which Qualify. *COMAR 09.36.08.03* A. The overriding consideration in determining whether a specific program qualifies is that it shall be a formal program of learning which contributes directly to the professional competence of the individual. B. Group Continuing Professional Competency Programs. (1) Group continuing professional competency programs will qualify only if §A of this regulation is met and: (a) An outline is prepared in advance and preserved for review by the Commission, if required; (b) The program is at least 1 hour (50-minute instruction period) in length; (c) The program is conducted by a qualified instructor; (d) A record of attendance is preserved; and (e) The sponsor agrees to admit a member of the Commission on request to monitor the program. (2) These programs include: (a) Professional development programs of recognized national home inspection organizations; (b) Technical sessions at meetings of recognized national home inspection organizations; (c) Noncredit short courses at universities and colleges; (d) Formal, organized, in-firm education programs as approved by the Commission; and (e) Programs offered by other recognized professional or industrial organizations. C. University and college courses taken for academic credit will qualify only if §A of this regulation is met. Credit towards the continuing professional competency requirement will be calculated at 15 hours for each semester hour credit and 10 hours for each quarter hour credit. D. Other Programs. A program other than a group program will qualify only if: (1) The program meets the requirements of §A of this regulation; (2) An outline is prepared in advance and preserved for review by the Commission, if required; (3) The program is at least 1 hour (50-minute instruction period) in length; and (4) The program provides evidence of satisfactory completion. E. Teacher, Lecturer, or Discussion Leader. (1) Services as a teacher, lecturer, or discussion leader in subjects qualifying for continuing professional competency credit will be included to the extent that it contributes to the applicant’s professional competence. Repetitious presentation, that is, those that are substantially the same subject material, may be included only once each reporting period. (2) A teacher, lecturer, or discussion leader of a qualifying continuing professional competency program shall receive: (a) 3 hours of continuing professional competency credit for every hour of presentation for a first-time presentation of a program; and (b) 1 hour of continuing professional competency credit for every hour of presentation for all subsequent presentations of a program. F. Subject Matter. The following general subject matter areas are acceptable to the extent that they contribute directly to the expertise of home inspector or the provision of home inspection services: (1) Home inspection report writing; (2) Home Inspector Code of Ethics; (3) Home Inspector Standards of Practice; (4) Structural systems; (5) Exterior systems; (6) Roofing systems; (7) Plumbing systems; (8) Electrical systems; (9) Air conditioning systems; (10) Insulation and ventilation systems; (11) Fireplace and solid burning systems; (12) Heating systems; (13) Environmental hazards; and (14) Others, if the applicant can demonstrate a direct relationship between the course and the provision of home inspection services. G. Documentation. The following minimum information concerning each continuing professional competency course shall be maintained by the renewal applicant for 5 years from the date of renewal: (1) Sponsoring organization; (2) Course location; (3) Program title; (4) Topical course outline; (5) Content description; (6) Dates attended; (7) Hours claimed; and (8) Information reflecting the expertise of the instructor in the subject matter. #### Regulation .04 Controls and Reporting. *COMAR 09.36.08.04* A. A renewal applicant shall provide a certification of compliance with renewal requirements, under Business Occupations and Professions Article, §16-3A-07, Annotated Code of Maryland, under penalty of perjury, in an appropriate form specified by the Commission. B. The Commission, at its discretion, may verify the information and documentation supporting a renewal applicant’s certification of continuing professional competency credit. Upon request, the renewal applicant shall submit to the Commission, or its designee, copies of the original documentation supporting the certification provided under §A of this regulation. #### Regulation .05 Exceptions. *COMAR 09.36.08.05* The Commission may issue a registration to a renewal applicant who has not fully complied with the continuing professional competency requirements in cases when failure by the applicant to fulfill this requirement has been caused by reason of any of the following: A. Health as certified by a medical doctor; B. Military service on extended active duty with the armed forces of the United States; or C. Other good and valid causes, as determined and approved by the Commission. ## Subtitle 37 — Workforce Development and Adult Learning ### Chapter 01 — Alternate Ways to Earn a High School Diploma **Authority:** Labor and Employment Article, §§11-807 and 11-808, Annotated Code of Maryland **Administrative History:** Effective date: January 14, 2010 (37:1 Md. R. 14) **Administrative History:** Regulation .04A, C amended effective November 28, 2011 (38:24 Md. R. 1501) **Administrative History:** Regulation .06 amended effective November 28, 2011 (38:24 Md. R. 1501) **Administrative History:** Regulation .08 amended effective November 28, 2011 (38:24 Md. R. 1501) **Administrative History:** Regulation .11A amended effective November 28, 2011 (38:24 Md. R. 1501) **Administrative History:** Regulation .17A, C amended effective November 28, 2011 (38:24 Md. R. 1501) **Administrative History:** Regulation .18 amended effective November 28, 2011 (38:24 Md. R. 1501) **Administrative History:** Regulations .01—.20 amended effective April 28, 2014 (41:8 Md. R. 470) **Administrative History:** Chapter revised effective July 21, 2025 (52:14 Md. R. 712) #### Regulation .01 Definitions. *COMAR 09.37.01.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Applicant” means the individual who is seeking to earn a high school diploma by examination. (2) “Candidate” means an individual who is deemed eligible to take, scheduled to sit for, or has taken the high school equivalency test. (3) “Department” means the Maryland Department of Labor. (4) “GED Option Program” means a program administered by the State Department of Education that creates a pathway to a high school diploma by examination for currently enrolled high school English language learner students under the age of 21 years who have experienced interrupted education and have a lower level of English proficiency than their peers. (5) “High school equivalency test” means an examination program authorized by the Department and the Maryland State Board of Education as a method for earning a high school diploma. (6) “Module” means a single subject area being measured by the Test. (7) “Online Proctored” means the administration format for the Test whereby candidates can access and complete the Test from a virtual location that meets the criteria and is delivered online and is continually monitored by a trained staff member of the Testing Service. (8) “Secretary” means the Secretary of Labor. (9) “State Board” means the Maryland State Board of Education. (10) “Test” means the instrument given by a high school equivalency test program for the purpose of earning a Maryland High School Diploma. (11) “Testing Service” means a contractor awarded to provide a high school equivalency test. #### Regulation .02 High School by Examination Program Description. *COMAR 09.37.01.02* A. The High School by Examination program offers an alternate and acceptable way for an individual who has not received a high school diploma is eligible pursuant to Regulation .04 of this chapter to earn a Maryland High School Diploma. B. Candidates who successfully complete a Test are awarded a Maryland High School Diploma by the State Board and the Department. C. A successful candidate may not be awarded any other Maryland High School Diploma either by the State Board, the Department, or by a local school system. #### Regulation .03 The High School by Examination Tests — Scope and Content. *COMAR 09.37.01.03* A. The Test will measure the major subject area skills required of a high school education as determined by a testing service. B. The Test will be offered in modules of each of the major subject areas and each module may be scheduled separately. C. The Test is given: (1) On a computer at an approved test center; or (2) Online as permitted by the Department. D. The State Board shall review and approve the State agreement with the Department and a testing service issuing the Test. #### Regulation .04 Applicant Eligibility. *COMAR 09.37.01.04* An applicant is eligible to take the Test if the applicant: A. Resides in the State of Maryland at the time of testing; B. Is not subject to compulsory school attendance set by Education Article, §7-301, Annotated Code of Maryland; and C. Either: (1) Meets both of the following requirements: (a) Has not obtained a Maryland High School Diploma, or a high school certificate or, diploma or equivalency issued by another state or non-U.S. or correspondence school; and (b) Has been officially withdrawn from a regular full-time public or private school; or (2) Has obtained a Maryland High School Certificate of Program Completion in accordance with COMAR 13A.03.02.09E; or (3) Is enrolled in a GED Option Program. #### Regulation .05 Scheduling of Testing. *COMAR 09.37.01.05* A. Various test centers shall be operated throughout Maryland and online. B. Scheduling of the Test shall be done by the applicant via the internet. A link to the Test application, schedule, and other pertinent information shall be posted on the Department's website. #### Regulation .06 Requirements for Applying to Take the Test. *COMAR 09.37.01.06* A. An applicant shall be required to demonstrate identity, age, and residency by providing one of the following at the time of testing: (1) A current official Maryland driver's license or current official Maryland learner's permit; (2) A current official Maryland identification (ID) card issued by the Motor Vehicle Administration; (3) A current official photo ID issued to an incarcerated individual, with name, current address, date of birth, and signature, by the Department of Juvenile Services, the Department of Public Safety and Correctional Services, or other residential facility accepted by the Adult Education Director or the Director’s designee; (4) A current official photo ID issued to an individual under supervision by the Department of Juvenile Services, with name, current address, date of birth, signature, and current residential address issued by the Department of Juvenile Services accepted by the Adult Education Director or the Director’s designee; (5) A current active duty military ID card for in person testing; (6) A valid passport and additional documentation that demonstrates residency in Maryland; or (7) GED Option candidates may use a current school photo ID issued to an individual, with name, current address, date of birth, and signature approved by the Adult Education Director or the Director’s designee. B. If none of the forms of identification and residency identified in §A of this regulation are attainable, prior to scheduling a Test, the applicant may apply to the Secretary for a waiver in accordance with the procedures set out in Regulation .18 of this chapter. The applicant shall provide to the Department one or more forms of identification which collectively show name, address, date of birth, signature, and photograph. If the Secretary or the Secretary’s designee is satisfied that the documentation of identification is authentic and valid, and the individual meets age and residency requirements, the Secretary may issue a waiver. The applicant shall present the documentation submitted to the Secretary in support of the waiver to the test center. C. In addition to the documentation required in §A or B of this regulation, the applicant shall: (1) Provide the applicant's signature verifying his or her identity and residency in Maryland at the time of testing; (2) Remit the appropriate fee along with the completed application at the time of registration; and (3) For an applicant younger than 18 years of age, present to the Department prior to the scheduling of a Test: (a) Written verification of school withdrawal from an official of the last regular full-time public or private school attended; (b) Verification of home schooling pursuant to COMAR 13A.10.01 from an official of the: (i) Supervising public or private school system; or (ii) School or institution offering an educational program operated by a bona fide church organization; or (c) A Maryland High School Certificate of Program Completion. #### Regulation .07 Fee Schedule. *COMAR 09.37.01.07* A. The Department shall establish a reasonable fee schedule for the scheduling of tests, issuance of diplomas and transcripts, and related costs associated with the administration of the Test Program. B. Only duplicate copies of official transcripts and diplomas may be issued with remittance of fee. #### Regulation .08 Admission to the Test Center. *COMAR 09.37.01.08* A. Confirmation of test date and location shall be transmitted electronically to candidates before the assigned test date. B. To be admitted to the test center, each candidate shall present documentation verifying identity, age, and Maryland residency as described in Regulation .06A of this chapter. #### Regulation .09 Minimum Score Requirements for Award of Maryland High School Diploma. *COMAR 09.37.01.09* A. To qualify for a Maryland High School Diploma by examination, a candidate shall earn the minimum passing score for each test module and the overall passing score for the entire battery of the Test established by the testing service. B. Once a candidate receives a passing score on an individual module, that score remains valid towards the achievement of a Maryland High School Diploma until a new series of tests has been issued by the testing service. C. In the event that a new series of tests has been issued, the Secretary may determine how and for how long passing scores on the previous series can be applied to the achievement of a Maryland High School Diploma. #### Regulation .10 Requirements for Retesting. *COMAR 09.37.01.10* A. Candidates who have failed one or more modules of the Test and candidates who fail to report to the Test on the assigned date may register for a retest/reschedule and may be charged the applicable testing fee. B. Candidates who are retested shall be administered a different form of the Test from that previously administered. C. A candidate seeking to retest shall register as proscribed in Regulation .05 of this chapter. #### Regulation .11 Permanent Record Changes. *COMAR 09.37.01.11* A. Changes may not be made to a candidate’s record after the diploma has been awarded unless the changes are a result of an error on behalf of the testing service or the Department or a legally verifiable name change. B. The Adult Education Director or the Director’s designee shall make changes when the Department is known to be in error. #### Regulation .12 Retention of Scores. *COMAR 09.37.01.12* All scores shall be retained in perpetuity by the Department #### Regulation .13 Language Options for Test. *COMAR 09.37.01.13* A. Each module of the Test, may be taken in a selected language as available from the Testing Service. B. If a candidate chooses to take a module in a selected language, the entire module must be taken in the same language. C. Separate modules may be taken in different languages if available from the Testing Service. D. A candidate who obtains passing scores on the selected language tests and who obtains the required overall passing score, shall be awarded a Maryland High School Diploma. #### Regulation .14 Accommodations for Individuals with Disabilities. *COMAR 09.37.01.14* A. Accommodations for candidates with disabilities shall be made available. Individuals who request testing accommodations shall provide appropriate documentation of their disability and the need for the requested testing accommodations, prior to scheduling. B. An individualized assessment of each request for testing accommodations shall be made based on the documentation provided and in accordance with the documentation policies of the Testing Service. #### Regulation .15 Tests Taken Out of State. *COMAR 09.37.01.15* Candidates who have passed a Test module outside of Maryland may transfer those results for credit towards a Maryland High School Diploma if that Test module is a current, valid, approved exam within Maryland, and the Applicant has not previously been issued a high school diploma or credential. #### Regulation .16 Testing for Individuals Whose High School Records Are Unobtainable. *COMAR 09.37.01.16* A. An applicant, high school graduate, or nongraduate whose records are unobtainable may take the Test and be awarded a diploma without verification of school withdrawal required in Regulation .06C(3) of this chapter by: (1) Making a written request to the Adult Education Director; and (2) Providing evidence that shows attempts made to obtain official verification. B. Based on the facts and extenuating circumstances of each case, the Adult Education Director or the Director’s designee has discretion to grant or deny requests to take the Test without official verification of school withdrawal. #### Regulation .17 Test Security. *COMAR 09.37.01.17* A. To protect the security of the tests, the integrity of the testing procedure, and the validity of test scores, the Adult Education Director or the Director’s designee has authority to request from the Testing Service the invalidation and revocation of test scores and to require the candidate to retest. B. Misrepresentation of information on the Test application form may result in the revocation of the diploma. C. Any violation of testing and test center policy may result in ejection from the test and test center and may result in a revocation of test scores and the Maryland High School Diploma. #### Regulation .18 Waivers. *COMAR 09.37.01.18* A. Waivers to the requirements of Regulations .06(A) and .07 of this chapter are granted only by the Secretary or the Secretary’s designee in exceptional circumstances if it is in the candidate's best interest and in accordance with testing standards. B. If the candidate is a student with a disability who receives special education and related services from a public or nonpublic program, the candidate must request a waiver of withdrawal from the Secretary prior to registration which requires that: (1) The waiver application to the Secretary or the Secretary’s designee shall include a copy of the student's current individualized education program indicating: (a) That preparation for and taking of the Test is part of the student's transition plan pursuant to COMAR 13A.05.01.09A(3); and (b) Any accommodations that the student may need for the Test; (2) If it is necessary for the student to continue to attend school after the date of the filing of the waiver request in order to receive a free appropriate public education, the request shall indicate: (a) That the student will withdraw from school before the testing date; and (b) The date upon which the student will withdraw from school; (3) The request shall be appended with a release that: (a) States that the parent has approved the waiver request and understands that receipt of a Maryland High School Diploma will conclude the student's eligibility for special education and related services; (b) Is signed by the student's parent; and (c) Is on a form approved by the Department; and (4) Upon receipt of notice from the Department that the candidate has failed to pass the Test, the local school system shall convene an individualized education program team meeting pursuant to COMAR 13A.05.01.07—.08 to plan for: (a) The student's resumption of special education and related services within 90 days of the Test date; and (b) Compensatory services for the period in which the student was withdrawn from school, as appropriate. C. The decision of the Secretary or the Secretary’s designee on a waiver request is final. #### Regulation .19 Diplomas. *COMAR 09.37.01.19* A. A Maryland High School Diploma shall be awarded to all candidates who successfully complete the Test. Diplomas shall be awarded within a reasonable time period by the Department or its designee. B. The diplomas shall be awarded by the State Board and the Department and shall bear the signatures of the Board President and the Secretary. #### Regulation .20 Maryland Adult External High School Program. *COMAR 09.37.01.20* A. Program Description. (1) The Maryland Adult External High School Program is designed to recognize demonstrated competence in adults, regardless of whether the skill was acquired in a formal school setting. (2) Competencies areas addressed by the assessment are established by the National External Diploma Program. B. Procedures for Administering the Maryland Adult External High School Program and the Issuance of a Diploma. (1) The Maryland Adult External High School Program is administered under a license agreement with the National External Diploma Program (NEDP) by the Maryland Department of Labor in consultation with the State Board. (2) Local grantees receiving Department funding to implement the Maryland Adult External High School Program shall operate the program according to NEDP standards and requirements in addition to provisions identified in annual requests for proposals and requirements determined by the Department. (3) Requirements for the program are described in manuals available at the Maryland Department of Labor, 1100 North Eutaw Street, Baltimore, Maryland 21201. These manuals describe all diagnostic and assessment instruments, administrative procedures, evaluation criteria, eligibility of applicants, and requirements for a diploma. (4) Residents of Maryland 18 years old or older who are not currently enrolled in a high school, who are not high school graduates, and who pass a screening test are eligible to register for the program. (5) A registration fee shall be charged of each individual at the time of entering the program. If a student leaves the program before completion and subsequently elects to register at a later time, a new registration fee may be charged. (6) The required assessment instruments shall comply with the most current standards and materials of the NEDP program to assure that they are valid. (7) A Maryland high school diploma shall be awarded to each graduate upon certification by the External Diploma Regional Center Director that the program requirements have been satisfactorily met. Diplomas shall be awarded monthly. The diplomas shall be awarded by the State Board and the Department and shall bear the signatures of the Board President and the Secretary. ### Chapter 02 — Correctional Institutions Mandatory Educational and Workforce Skills Training Program **Authority:** Labor and Employment Article, §§11-902(b) and 11-903, Annotated Code of Maryland **Administrative History:** Effective date: November 25, 2013 (40:23 Md. R. 1934) **Administrative History:** Regulation .05B amended effective October 4, 2021 (48:20 Md. R. 851) #### Regulation .01 Definitions. *COMAR 09.37.02.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Case Management” means the Department of Public Safety and Correctional Services employees responsible for oversight of the Correctional Education mandatory educational program and workforce skills training program. (2) “Correctional Education” means the Maryland Department of Labor employees responsible for administering the correctional education and workforce skills training programs at correctional institutions. (3) “Department” means the Maryland Department of Labor. (4) “GED®” means testing offered as an alternate and acceptable way for an individual older than the age requirement for compulsory school attendance to earn a Maryland high school diploma. (5) “Secretary” means the Secretary of Labor. #### Regulation .02 Purpose. *COMAR 09.37.02.02* The purpose of this regulation is to implement a mandatory educational and workforce skills training program in each of the correctional institutions in the Department of Public Safety and Correctional Services (DPSCS) to meet the needs of the inmates. #### Regulation .03 Exemption From Participation. *COMAR 09.37.02.03* An inmate is not required to participate in a mandatory educational and workforce skills training program if the inmate has a medical, developmental, or learning disability, which justifies an exemption, verified by: A. An Individualized Education Program (IEP) pursuant to the Individuals with Disabilities in Education Act (IDEA); or B. Other competent medical or educational documentation acceptable to the Secretary or his designee. #### Regulation .04 Required Participation. *COMAR 09.37.02.04* An inmate is required to participate in a mandatory educational and workforce skills training program if the inmate: A. Does not possess a verified high school diploma or a GED® diploma; B. Was received by the DPSCS after July 1, 1987; C. Has 18 months or more remaining to be served on the inmate’s sentence before a mandatory supervision release date; and D. Is not exempted due to a medical, developmental, or learning disability under Regulation .03 of this chapter. #### Regulation .05 Program Participation. *COMAR 09.37.02.05* A. If an inmate meets the participation requirements of Regulation .04 of this chapter, Case Management shall refer the inmate to the mandatory educational and workforce skills training program. B. If Case Management determines that the individual should pursue an educational program: (1) The inmate shall be assessed by Correctional Education with the Test of Adult Basic Education (TABE) or comparable educational assessment and placed into Beginning Literacy, Adult Basic Education, or Adult Secondary Educational Program, as appropriate, pursuant to the inmate’s personalized education plan; (2) The inmate shall actively participate in a mandatory educational program for not less than 240 days, with the educational standard being the attainment of a high school diploma. (3) An inmate may continue in the education program beyond 240 days at Case Management’s discretion. (4) Time of participation shall be calculated as follows: (a) Days shall mean calendar days, with the calculation beginning on the first day the inmate is assigned to attend class by Case Management, counting continuously until 240 days are complete; (b) The calculation may be suspended at the discretion of Case Management due to the inmate’s illness, removal, reassignment, or transfer to another institution and shall continue from where it was suspended upon an inmate’s return to an educational program, unless Case Management deems such calculation to be inappropriate; (c) The 240 days requirement for mandatory education shall be waived if the inmate acquires a high school diploma before the expiration of 240 days. (d) The 240 days requirement for mandatory education shall apply to inmates who meet the participation requirements of Regulation .04 of this chapter and who have not completed the mandatory education requirement prior to October 1, 2021. (5) The inmate shall comply with Correctional Education and Case Management rules of attendance and conduct. (6) Infractions of the rules or DPSCS disciplinary action for conduct outside the educational program may result in Case Management removing the inmate from the educational program for: (a) Refusal to submit to TABE or educational assessment; (b) Refusal to attend scheduled educational program classes; (c) Lack of demonstrated academic progress; (d) Inappropriate behavior; or (e) Conviction of violating an institutional rule. (7) An inmate who is 21 years of age or younger shall have priority status for placement. C. If Case Management determines that the inmate should pursue a workforce skills training program in lieu of an educational program: (1) The inmate shall be assessed by Correctional Education and, in consultation with Case Management, be placed into an appropriate workforce skills training program; (2) The inmate shall actively participate in a workforce skills training program until the inmate is able to demonstrate proficiency in the subject skill as determined by Correctional Education and Case Management. (3) The inmate may participate in additional workforce skills training programs at Case Management’s discretion. (4) The inmate shall comply with Correctional Education and Case Management rules of attendance and conduct. (5) Infractions of these rules or DPSCS disciplinary action for conduct outside the workforce program may result in Case Management removing the inmate from the workforce program for: (a) Refusal to submit to assessment; (b) Refusal to attend scheduled training; (c) Lack of demonstrated progress; (d) Inappropriate behavior; or (e) Conviction of violating an institutional rule. #### Regulation .06 Removal from the Mandatory Educational and Workforce Skills Training Program. *COMAR 09.37.02.06* A. If an inmate is removed from a mandatory educational program or a workforce skills training program for an infraction of Regulation .05C of this chapter, the inmate may: (1) Be charged with a Category II rule violation; (2) Lose all good time credits and all special project credits; (3) Have all visits suspended indefinitely; and (4) Be placed on unassigned status and not be assigned to any other job or program assignment, waiting list or job bank. B. An inmate may be returned to an educational program by Case Management after removal for an infraction of Regulation .05 of this chapter if the inmate: (1) Agrees to submit to TABE or educational assessment; (2) Agrees to attend scheduled educational program classes; (3) Demonstrates academic progress; (4) Agrees to refrain from inappropriate behavior; and (5) Agrees to refrain from violating institutional rules. C. An inmate may be returned to a workforce program after removal for an infraction of Regulation .05 of this chapter if Case Management deems it appropriate. #### Regulation .07 Reporting Requirement. *COMAR 09.37.02.07* The DPSCS shall report to the Parole Commission the progress of an inmate upon completion of or removal from the mandatory educational and workforce skills training program. #### Regulation .08 Inmate under an IEP. *COMAR 09.37.02.08* Notwithstanding the provisions of this chapter, an inmate 21 years of age or younger with an Individualized Education Program (IEP) pursuant to the Individuals with Disabilities in Education Act (IDEA) must be provided educational services pursuant to the IEP upon admission to a correctional institution and for the duration required under the IEP. DPSCS shall promptly notify Case Management of an inmate’s IEP status. ### Chapter 03 — Grant Programs for the Public Safety Apprenticeship Program and the Apprenticeship Career Training Pilot Program for Formerly Incarcerated Individuals **Authority:** Labor and Employment Article, §§11-603 and 11-604, Annotated Code of Maryland **Administrative History:** Effective date: April 19, 2021 (48:8 Md. R. 309) **Administrative History:** Regulation .01 amended effective March 30, 2026 (53:6 Md. R. 289) **Administrative History:** Regulation .02B amended effective March 30, 2026 (53:6 Md. R. 289) **Administrative History:** Regulation .08 amended effective March 30, 2026 (53:6 Md. R. 289) #### Regulation .01 Purpose. *COMAR 09.37.03.01* These regulations prescribe the policies, procedures, and authorizations for administering the Public Safety Apprenticeship Program and the Apprenticeship Career Training Pilot Program for Formerly Incarcerated Individuals. #### Regulation .02 Definitions. *COMAR 09.37.03.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Act” means Labor and Employment Article, §§11-603 and 11-604, Annotated Code of Maryland, as amended. (2) “Council” means the Maryland Apprenticeship and Training Council. (3) “Department” means the Department of Labor. (4) “Division” means the Division of Workforce Development and Adult Learning. (5) “Grantee” means an employer to whom an award is made under the terms of this chapter. (6) “Program” means the grant programs for the Public Safety Apprenticeship Program and the Apprenticeship Career Training Pilot Program for Formerly Incarcerated Individuals. (7) “Public safety agency” has the meaning set forth in Labor and Employment Article, §11-603(a)(4), Annotated Code of Maryland. (8) “Secretary” means the Secretary of Labor. #### Regulation .03 Application and Review Procedures. *COMAR 09.37.03.03* A. Grant Application. (1) An applicant may apply for a grant under the Act as set forth in this regulation. (2) An applicant shall apply to the Department on an application prescribed by the Department. (3) An applicant shall submit documentation that the Department requires to establish the eligibility of the applicant and apprentice. B. Review Procedures. (1) Upon receipt of the grant application and any required documentation, the Department shall review each application to determine whether an applicant will be awarded a grant. (2) The Secretary may delegate to the Assistant Secretary of the Division or an employee of the Department the authority to review grant applications and supporting documentation. (3) If a grant application is rejected, the Department shall notify the applicant in writing within 60 days of receipt of the grant application. (4) The notice of grant rejection shall state the reason the grant was rejected. (5) An applicant may request reconsideration within 15 days of the date of the notice of grant rejection by filing a request in writing with the Assistant Secretary of the Division. #### Regulation .04 Grant Monitoring. *COMAR 09.37.03.04* The Department may monitor grants and disbursement of grant funds to ensure that grant funds are properly disbursed. #### Regulation .05 Retention of Grant Records. *COMAR 09.37.03.05* A. Grantees shall retain and maintain all records regarding the application for at least 3 years after the final disbursement of grnt funds. B. The records shall be open to the inspections of representatives of the Department during reasonable working hours. #### Regulation .06 Application Records. *COMAR 09.37.03.06* The Department shall ensure that Program guidelines, information and application forms are publicly available on the Department’s website and at its offices. #### Regulation .07 Waiver. *COMAR 09.37.03.07* The Secretary may waive or modify a particular provision of this chapter to the extent that the waiver is not inconsistent with the Act if, in the determination of the Secretary, the application of a regulation in a specific case is inequitable or contrary to the purposes of the Act. #### Regulation .08 Amount of Public Safety Apprenticeship Program Grant. *COMAR 09.37.03.08* A. The maximum amount that a Public Safety Agency may be awarded for a Start Up grant may not exceed $200,000. B. The maximum amount that a Public Safety Agency may be awarded for a Stabilization grant may not exceed $5,000 per registered apprentice. #### Regulation .09 Amount of Apprenticeship Career Training Pilot Program Grant for Formerly Incarcerated Individuals. *COMAR 09.37.03.09* A. The maximum amount that a grantee may be awarded during a fiscal year may not exceed $25,000. B. Grants may not exceed $1,000 per apprentice employed by a grantee. ### Chapter 04 — Tax Credit for Eligible Apprentices **Authority:** Tax-General Article, §10-742, Annotated Code of Maryland **Administrative History:** Effective date: October 31, 2022 (49:22 Md. R. 979) #### Regulation .01 Definitions. *COMAR 09.37.04.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Comptroller” means the Comptroller of Maryland. (2) “Department” means the Maryland Department of Labor. #### Regulation .02 Credit Allowed. *COMAR 09.37.04.02* Subject to the limitations set forth in Tax-General Article, §10-742(c), Annotated Code of Maryland, a taxpayer may claim a credit against the State income tax in an amount equal to the amount stated in the tax credit certificate issued by the Department. #### Regulation .03 Application and Application Process. *COMAR 09.37.04.03* A. Application. An applicant shall submit: (1) A completed application to the Department on the form designated by the Department; and (2) Supporting documentation required by the Department. B. The Department shall: (1) Approve applications during the application period; (2) Approve the application if the: (a) Application is complete; and (b) Applicant is determined to be eligible; (3) Disapprove the application if the: (a) Application is incomplete; (b) Applicant fails to provide sufficient information or documentation to determine eligibility; (c) Applicant provides the appropriate documentation but is determined ineligible; or (d) The funds available for that tax year are expended; and (4) Provide the applicant with written notice of the final disposition of the application within 45 calendar days. #### Regulation .04 Income Tax Credits. *COMAR 09.37.04.04* On approval of an application, the Department shall issue an income tax credit certificate. #### Regulation .05 Claiming the Credit. *COMAR 09.37.04.05* A. A taxpayer allowed the credit shall claim the credit against the State income tax in the year in which the apprentice is registered as set forth in Tax-General Article, §10-742(a)(3), Annotated Code of Maryland. B. A taxpayer allowed the credit shall claim the credit against the State income tax in the form and manner required by the Comptroller. #### Regulation .06 Carryover of Excess Credit. *COMAR 09.37.04.06* If the credit allowed to the taxpayer in any taxable year exceeds the total of tax otherwise payable for that taxable year, the business entity may apply the excess as a credit for succeeding taxable years until the full amount of the excess credit is used. #### Regulation .07 Monitoring. *COMAR 09.37.04.07* The Department may request additional documentation to monitor continuing eligibility. #### Regulation .08 Expiration of the Credits. *COMAR 09.37.04.08* A. This chapter remains in effect until the earlier of: (1) The date that funding for income tax credits ceases to be available; or (2) June 30, 2025. B. The Department shall issue final income tax credits based on available funds. ### Chapter 05 — Maryland New Start Grant Program **Authority:** Labor and Employment Article, §11-606, Annotated Code of Maryland **Administrative History:** Effective date: May 15, 2023 (50:9 Md. R. 378) #### Regulation .01 Purpose. *COMAR 09.37.05.01* These regulations prescribe the policies, procedures, and authorizations for administering the Maryland New Start Grant Program. #### Regulation .02 Definitions. *COMAR 09.37.05.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Act” means Labor and Employment Article, §11-606, Annotated Code of Maryland. (2) “Department” means the Department of Labor. (3) “Division” means the Division of Workforce Development and Adult Learning. (4) “Grant” means an award under the terms of this chapter. (5) “Grantee” means an organization to whom an award is made under the terms of this chapter. (6) “Program” means the Maryland New Start Grant Program. (7) “Secretary” means the Secretary of Labor. #### Regulation .03 Eligible Grantees. *COMAR 09.37.05.03* Eligible grantees shall meet the following requirements to qualify for a grant: A. Have all requisite legal capacity and due authority to enter into the grant; B. Satisfy all legal requirements to operate in the State; and C. Meet the performance standards of the Department, as follows: (1) Not have defaulted on a prior grant or loan from the Department; and (2) Not be currently barred or suspended from any of the Department's programs. #### Regulation .04 Proposal and Review Procedures. *COMAR 09.37.05.04* A. The Department shall ensure that the Program guidelines, information and application forms are publicly available on the Department’s website and at its physical locations. B. Grant Proposal. The Department shall provide guidelines and detailed instructions for submitting a proposal for the Department’s consideration. Each proposal shall include: (1) The information required by Labor and Employment Article, §11-606(d)(2)(iii), Annotated Code of Maryland; (2) A description of the entrepreneurship development program as described in Labor and Employment Article, §11-606(d)(3), Annotated Code of Maryland; (3) An explanation of how the requirement of matching funds required by Labor and Employment Article, §11-606(e), Annotated Code of Maryland, will be satisfied; and (4) Any other information the Secretary requires related to the Program. C. Review Procedures. (1) Upon receipt of the grant proposal and any required documentation, the Department shall review each application to determine whether an applicant will be awarded a grant. (2) The Secretary may delegate to the Assistant Secretary of the Division or an employee of the Department the authority to review grant proposals and supporting documentation. #### Regulation .05 Grant Agreement. *COMAR 09.37.05.05* Upon approval of a grant proposal by the Department, the applicant, on a Departmental form, shall execute a grant agreement. The grant agreement shall at least require an applicant to meet the following obligations: A. Establish and operate the project according to the project description; B. Maintain and provide records and reports as required by Labor and Employment Article, §11-606(g), Annotated Code of Maryland, to the Department; and C. Use grant funds for only those activities provided in the approved project proposal. #### Regulation .06 Grant Monitoring. *COMAR 09.37.05.06* The Department may monitor grants and disbursement of grant funds to ensure that grant funds are properly disbursed by a grantee. #### Regulation .07 Retention of Grant Records. *COMAR 09.37.05.07* A. Grantees shall retain and maintain all records regarding the application for at least 3 years after the final disbursement of grant funds. B. The records shall be open to the inspections of representatives of the Department during reasonable working hours. #### Regulation .08 Expiration of the Program. *COMAR 09.37.05.08* This chapter remains in effect until the earlier of: A. The date that funding for the Program ceases to be available; or B. June 30, 2029. ## Subtitle 38 — State Board of Individual Tax Preparers ### Chapter 01 — General Regulations **Authority:** Business Occupations and Professions Article, §§21-101, 21-203, 21-205, 21-207, and 21-301—21-304,Annotated Code of Maryland; Ch. 623, §6, Acts of 2008 **Administrative History:** Effective date: **Administrative History:** Regulations .01—.04 adopted as an emergency provision effective February 25, 2011 (38:7 Md. R. 428); adopted permanently effective August 8, 2011 (38:16 Md. R. 944) **Administrative History:** Regulation .01A amended effective March 5, 2012 (39:4 Md. R. 336); November 23, 2015 (42:23 Md. R. 1433) **Administrative History:** Regulation .02 amended effective March 5, 2012 (39:4 Md. R. 336); November 23, 2015 (42:23 Md. R. 1433) **Administrative History:** Regulation .03 repealed effective November 23, 2015 (42:23 Md. R. 1433) **Administrative History:** Regulation .05 adopted effective March 5, 2012 (39:4 Md. R. 336) **Administrative History:** Regulation .05E amended effective January 28, 2019 (46:2 Md. R. 52) #### Regulation .01 The Board. *COMAR 09.38.01.01* A. In this chapter, the following terms have the meanings indicated. (1) “Board” means the State Board of Individual Tax Preparers. (2) “Client” means a person for whom an individual tax preparer performs individual tax preparation services. (3) “Examination” means the Maryland Registered Tax Preparer Examination given by the Board. B. The Board shall hold an annual meeting in July of each year or at such other time as the members of the Board may vote upon, for the purpose of electing officers. Monthly meetings may be held on dates mutually convenient to the members of the Board. Special meetings shall be held, after reasonable notice, at the call of the Chairperson or any two Board members. Notice of all meetings and hearings shall be published in the Maryland Register. C. The Chairperson shall preside at all meetings and shall perform such duties as the Board may direct. At any meeting at which the Chairperson is absent, the Vice-Chairperson shall act in the Chairperson’s place. #### Regulation .02 The Examination. *COMAR 09.38.01.02* A. The passing score for the Examination is 70 percent. B. After December 31, 2015, an individual shall pass the Examination given by the Board in order to qualify for a registration unless the individual meets the requirements of §D of this regulation. C. An individual who has passed the Registered Tax Return Preparer Examination given by the Internal Revenue Service from November 1, 2011, through January 18, 2013, shall be considered to have passed an examination equivalent to that given by the Board. D. Waiver of Examination. The Board shall grant a waiver of the examination requirement to any individual who: (1) Submits an application on the form the Board provides; (2) Pays the registration fee set by the Board; (3) Has obtained 15 consecutive years of individual tax preparation experience; (4) Has completed 8 hours of annual continuing education; and (5) Is in good standing with: (a) The Internal Revenue Service; (b) The Maryland Department of Labor; (c) The Office of the Comptroller; and (d) The Office of the Attorney General. E. Qualifying Experience. (1) In order to meet the requirements of §D(3) of this regulation, an applicant shall have completed: (a) An average of 50 individual tax returns per year; and (b) No fewer than 25 individual tax returns per year. (2) Both paid and unpaid individual tax preparation services may qualify under this section. (3) Documentation. An applicant may document the experience required under this section through any of the following: (a) Employer certification; (b) Client certification; or (c) Copies of completed individual tax returns. F. Continuing Education. Qualifying continuing education programs shall comply with the requirements set forth in COMAR .09.38.02.03. G. Reporting and Controls. (1) An applicant for waiver of the examination shall certify under penalty of perjury that the applicant meets the requirements set forth in §D of this regulation. (2) The Board at its discretion may verify the information and documentation supporting an application for waiver of examination. (3) An applicant shall comply with a request by the Board for additional documentation in support of an application for waiver of examination. #### Regulation .03 Federal Registration — Repealed. *COMAR 09.38.01.03* #### Regulation .04 Fees. *COMAR 09.38.01.04* Fees charged by the Board are as follows: A. Registration fee — $100; B. Renewal fee — $100; C. Reinstatement of expired registration fee — $120. #### Regulation .05 Code of Professional Conduct. *COMAR 09.38.01.05* A. Responsibilities and Practices. (1) An individual tax preparer may not commit any act that reflects adversely on the individual tax preparer’s fitness to provide individual tax preparation services. (2) An individual tax preparer may not permit others to perform acts on the individual tax preparer’s behalf, either with or without compensation, which, if performed by the individual tax preparer, would constitute a violation of the Code of Professional Conduct. (3) An individual tax preparer may not knowingly misrepresent facts while providing individual tax preparation services. An individual tax preparer may resolve doubt in favor of a client if there is reasonable support for the position. (4) An individual tax preparer who finds that a client has made an error or omitted information or related material required on an income tax return shall promptly advise the client of such error or omission. (5) An individual tax preparer may not permit a client's individual income tax refund check to be made payable to the individual preparer. B. Client records. (1) An individual tax preparer shall provide, make available, or return to a client or former client, upon written request and within a reasonable time: (a) A copy of the client’s tax return; (b) Personal papers or source material in the manner furnished by the client; and (c) A copy of any depreciation schedule associated with a client’s tax return. (2) An individual tax preparer may charge a fee in connection with the requirements of §B(1) of this regulation. C. Contingent Fees. An individual tax preparer may not provide individual tax preparation services under an arrangement where the fee is contingent upon the findings or result of the services rendered. D. Conflict of Interest. (1) An individual tax preparer shall notify a client or potential client of any conflict of interest known to the individual tax preparer. (2) An individual tax preparer with a conflicting interest to a client may not represent the client without the client's express written consent. E. Communications with the Board. (1) Failure to Respond. (a) If an applicant or individual tax preparer receives from the Board a written communication requesting a response, the applicant or individual tax preparer shall respond in writing within 30 days of the date of mailing. (b) The Board shall send a written communication by first-class mail to the last address furnished to the Board by the applicant or individual tax preparer. (c) Failure to respond as required by this subsection may be considered by the Board to be a violation of Business Occupations and Professions Article, §21-311(a)(5), Annotated Code of Maryland. (2) An applicant or individual tax preparer shall notify the Board in writing within 15 days after any change in the applicant’s or individual tax preparer’s: (a) Business address; (b) Home address; (c) Business telephone number; (d) Home telephone number; or (e) E-mail address. F. Competence and Technical Standards. (1) An individual tax preparer shall provide individual tax preparation services in accordance with applicable professional standards. (2) An individual tax preparer may not provide individual tax preparation services to a client if the individual tax preparer cannot reasonably expect to perform the services in accordance with applicable professional standards. G. Advertising and Solicitation. (1) An individual tax preparer may not solicit clients by the use of coercion, duress, compulsion, intimidation, threats, overreaching, or vexatious or harassing conduct. (2) An individual tax preparer may not use or participate in the use of any form of communication having reference to the individual tax preparer’s services that contains a false, fraudulent, misleading, deceptive, or unfair statement or claim. (3) A false, fraudulent, misleading, deceptive, or unfair statement or claim includes but is not limited to a statement or claim which: (a) Contains a misrepresentation of fact; (b) Is likely to mislead or deceive because it fails to make full disclosure of relevant facts; (c) Is intended or likely to create false or unjustified expectations of favorable results; (d) Implies educational or professional attainments or other recognition not supported in fact; (e) Represents that professional services can or will be competently performed for a stated fee when this is not the case, or makes representations with respect to fees for professional services that do not disclose all variables that reasonably may be expected to affect the fees that will in fact be charged; or (f) Contains other representations or implications that in reasonable probability will cause those of ordinary prudence to misunderstand or be deceived. ### Chapter 02 — Continuing Education **Authority:** Business Occupations and Professions Article, §§21-205, 21-308 and 21-309, Annotated Code of Maryland **Administrative History:** Effective date: March 5, 2012 (39:4 Md. R. 336 #### Regulation .01 Citation of Regulations, Applicability, and Purpose. *COMAR 09.38.02.01* A. These regulations may be cited and referred to as the “Individual Tax Preparers Continuing Education Regulations”. The continuing education requirement applies to all persons registered under Business Occupations and Professions Article, Annotated Code of Maryland, to provide individual tax preparation services in this State. B. The public interest requires that individual tax preparers provide competent service to the public. The General Assembly has determined that it is in the public interest to require individual tax preparers to comply with the continuing education requirements as a prerequisite to the renewal of a registration. #### Regulation .02 Basic Requirement. *COMAR 09.38.02.02* A. A renewal applicant shall complete at least 16 hours of qualifying continuing education for each 2-year registration term. B. A minimum of 4 hours of the continuing education for each 2-year registration term shall be in Maryland tax-related subjects. C. The Board may accept continuing education hours approved by the Internal Revenue Service. D. Continuing education hours earned in excess of the 16 hours for a 2-year registration term shall not be credited towards the continuing education requirement for a subsequent 2-year registration term. #### Regulation .03 Programs Which Qualify. *COMAR 09.38.02.03* A. The overriding consideration in determining whether a specific program qualifies is that it shall be a formal program of learning which contributes directly to the professional competence of the individual. B. Group Continuing Education Programs. (1) Group continuing education programs will qualify only if §A of this regulation is met and: (a) An outline is prepared in advance and preserved for review by the Board, if required; (b) The program is at least 1 hour (50-minute instruction period) in length; (c) The program is conducted by a qualified instructor; (d) A record of attendance is preserved; and (e) The sponsor agrees to admit a member of the Board on request to monitor the program. (2) These programs include: (a) Professional development programs of recognized national and state tax preparation organizations; (b) Technical sessions at meetings of recognized national and state tax preparation organizations; (c) Noncredit short courses at universities and colleges; (d) Formal, organized, in-firm education programs; and (e) Programs offered by other recognized professional or industrial organizations. C. University and college courses taken for academic credit will qualify only if §A of this regulation is met. Credit towards the continuing education requirement will be calculated at 15 hours for each semester hour credit and 10 hours for each quarter hour credit. D. Other Programs. A program other than a group program will qualify only if: (1) The program meets the requirements of §A of this regulation; (2) An outline is prepared in advance and preserved for review by the Board, if required; (3) The program is at least 1 hour (50-minute instruction period) in length; and (4) The program provides evidence of satisfactory completion. E. Teacher, Lecturer, or Discussion Leader. (1) Services as a teacher, lecturer, or discussion leader in subjects qualifying for continuing education credit will be included to the extent that it contributes to the applicant’s professional competence. Repetitious presentation, that is, those that are substantially the same subject material, may be included only once each reporting period. (2) A teacher, lecturer, or discussion leader of a qualifying continuing education program shall receive: (a) 3 hours of continuing education credit for every hour of presentation for a first-time presentation of a program; and (b) 1 hour of continuing education credit for every hour of presentation for all subsequent presentations of a program. F. Subject Matter. The following general subject matter areas are acceptable to the extent that they contribute directly to the expertise of individual income tax preparation: (1) Taxation; (2) Practitioner ethics; (3) Accounting and payroll theory; (4) Estate, tax, or investment planning; (5) Computer technology; and (6) Others, if the applicant can demonstrate a direct relationship between the course and individual income tax preparation. G. Documentation. The following minimum information concerning each continuing education course shall be maintained by the renewal applicant for 4 years from the date of renewal: (1) Sponsoring organization; (2) Course location; (3) Program title; (4) Topical course outline; (5) Content description; (6) Dates attended; (7) Hours claimed; and (8) Information reflecting the expertise of the instructor in the subject matter. #### Regulation .04 Controls and Reporting. *COMAR 09.38.02.04* A. A renewal applicant shall provide a certification of compliance with renewal requirements, under Business Occupations and Professions Article, §§21-308 and 21-309, Annotated Code of Maryland, under penalty of perjury, in an appropriate form specified by the Board. B. The Board, at its discretion, may verify the information and documentation supporting a renewal applicant’s certification of continuing education credit. Upon request, the renewal applicant shall submit to the Board, or its designee, copies of the original documentation supporting the certification provided under §A of this regulation. #### Regulation .05 Exceptions. *COMAR 09.38.02.05* The Board may issue a registration to a renewal applicant who has not fully complied with the continuing education requirements in cases when failure by the applicant to fulfill this requirement has been caused by reason of any of the following: A. Health as certified by a medical doctor; B. Military service on extended active duty with the armed forces of the United States; or C. Other good and valid causes, as determined and approved by the Board. ## Subtitle 39 — Commission of Real Estate Appraisers and Home Inspectors — Appraisal Management Companies ### Chapter 01 — Fees **Authority:** Business Occupations and Professions Article, §§16-217, 16-5B-04, and 16-5B-18, Annotated Code of Maryland **Administrative History:** Effective date: **Administrative History:** Regulation .01 adopted as an emergency provision effective February 24, 2012 (39:6 Md. R. 406); adopted permanently effective May 28, 2012 (39:10 Md. R. 659) **Administrative History:** Regulation .01B, C amended effective February 1, 2016 (42:26 Md. R. 1594) #### Regulation .01 Schedule of Fees. *COMAR 09.39.01.01* Pursuant to Business Occupations and Professions Article, Title 16, Annotated Code of Maryland, the Commission shall set fees to produce funds to approximate the cost of maintaining the Commission. Fees charged by the Commission are as follows: A. Appraisal management company application review fee (nonrefundable) — $250; B. Original appraisal management company registration fee — $1,750; and C. Annual appraisal management company registration fee — $2,000. ### Chapter 02 — General Regulations **Authority:** Business Occupations and Professions Article, §§16-216(2) and 16-701.2(a)(5), Annotated Code of Maryland **Administrative History:** Effective date: January 14, 2019 (46:1 Md. R. 12) #### Regulation .01 Correspondence with the Commission. *COMAR 09.39.02.01* A. If an applicant or licensee receives from the Commission a written communication requesting a response, the applicant or licensee shall respond in writing within 30 days of the date of the mailing. B. The Commission shall send a written communication by first-class mail to the last address furnished to the Commission by the applicant or registrant. C. It is the applicant’s or registrant’s responsibility to notify the Commission if there has been a change in the applicant’s or registrant’s address. D. Failure to respond as required by this regulation may be considered by the Commission to be a violation of Business Occupations and Professions Article, §16-701.2(a)(5), Annotated Code of Maryland. ## Subtitle 40 — Locksmiths ### Chapter 01 — Fees **Authority:** Business Regulation Article, §§12.5-104, 12.5-202, 12.5-209, and 12.5-210, Annotated Code of Maryland **Administrative History:** Effective date: June 25, 2012 (39:12 Md. R. 745) #### Regulation .01 Purpose. *COMAR 09.40.01.01* This chapter is intended to carry out the provisions of Business Regulation Article, §§12.5.-202, 12.5-209 and 12.5-210, Annotated Code of Maryland. In particular, it is intended to set various fees associated with licensing of locksmiths. #### Regulation .02 Schedule of Fees. *COMAR 09.40.01.02* Fees charged by the Secretary are as follows: A. Application Fee — $225; B. License Renewal Fee — $225; and C. Change of Name Fee — $ 50. ### Chapter 02 — General Regulations **Authority:** Business Regulation Article, §§12.5-104, 12.5-209(g), and 12.5-211(a)(1)(xiii), Annotated Code of Maryland **Administrative History:** Effective date: December 31, 2018 (45:26 Md. R. 1241) #### Regulation .01 Failure to Respond. *COMAR 09.40.02.01* A. Except as otherwise provided in Business Regulation Article, §12.5-303, Annotated Code of Maryland, if an applicant or licensee receives from the Secretary or the Secretary’s designee a written communication requesting a response, the applicant or licensee shall respond in writing within 30 days of the date of the mailing. B. The Secretary or the Secretary’s designee shall send a written communication by first-class mail to the last business address furnished to the Secretary or the Secretary’s designee by the applicant or licensee. C. It is the responsibility of an applicant or licensee to notify the Secretary or the Secretary’s designee in writing if there has been a change in an applicant’s or licensee’s address. D. Failure to respond as required by this regulation may be considered by the Secretary or the Secretary’s designee to be a violation of Business Regulation Article, §12.5-211(a)(1)(xiii), Annotated Code of Maryland. ## Subtitle 41 — Oil and Gas Land Professionals ### Chapter 01 — General Regulations **Authority:** Business Occupations and Professions Article, §10.5-105, Annotated Code of Maryland **Administrative History:** Effective date: February 3, 2014 (41:2 Md. R. 90) #### Regulation .01 Registration Form. *COMAR 09.41.01.01* In accordance with the provisions of Business Occupations and Professions Article, §10.5-105, Annotated Code of Maryland, each applicant shall use the initial or renewal registration form, as appropriate, provided by the Department. #### Regulation .02 Name and Address Requirements. *COMAR 09.41.01.02* A. An applicant for registration as an Oil and Gas Land Professional may not provide a post office box number as a primary address. B. When a registered Oil and Gas Land Professional changes the registrant’s name or address, the registrant shall notify the Secretary in writing within 10 days of the change. #### Regulation .03 Disclosure of Professional Designation or Recognized Professional Credential. *COMAR 09.41.01.03* A. An applicant for registration as an Oil and Gas Land Professional shall disclose to the Department any professional designation or recognized professional credential held by the applicant if the applicant intends to advertise the credential in the exercise of the applicant’s activities as a registered Oil and Gas Land Professional. B. The Department may disclose the credential, along with any relevant information regarding the nature of the credential, to the public. #### Regulation .04 Registration Number and Certificate. *COMAR 09.41.01.04* The Department shall issue to each applicant who submits a completed application form and the required fee: (1) A registration number; and (2) A registration certificate valid for 2 years. #### Regulation .05 Notice of Renewal. *COMAR 09.41.01.05* The Department shall notify a registered Oil and Land Gas Professional at least 60 days prior to the expiration of the individual’s registration. #### Regulation .06 Renewal Certificate. *COMAR 09.41.01.06* The Department shall issue a 2-year registration renewal certificate to a registrant who submits a completed renewal application form and the required fee prior to the expiration of the registrant’s current registration. ### Chapter 02 — Fees **Authority:** Business Occupations and Professions Article, §§10.5-105, Annotated Code of Maryland **Administrative History:** Effective date: February 3, 2014 (41:2 Md. R. 90) #### Regulation .01 Application and Renewal Fees. *COMAR 09.41.02.01* Fees charged by the Secretary are as follows: A. Application Fee — $50 B. Registration Renewal Fee — $50 ## Subtitle 42 — Family and Medical Leave Insurance Program ### Chapter 01 — General Provisions **Authority:** Labor and Employment Article, §§8.3-101, 401, 402 and 403, Annotated Code of Maryland **Administrative History:** Effective date: March 30, 2026 (53:6 Md. R. 289) #### Regulation .01 Definitions. *COMAR 09.42.01.01* A. In this subtitle, the following terms have the meanings indicated. B. Terms Defined. (1) “Administration” means the Maryland Insurance Administration. (2) “Adverse determination” means a disqualification of an individual or denial, in full or in part, of Family and Medical Leave Insurance (FAMLI) leave or benefits to a claimant made under the Division’s reconsideration process. (3) “Anchor date” has the meaning as defined in Labor and Employment Article, §8.3-101(a-2), Annotated Code of Maryland. (4) “Application year” means the 12-month period beginning on the Sunday of the calendar week of which FAMLI leave begins. (5) “Assistant Secretary” means the Assistant Secretary for the FAMLI Division established by COMAR 09.42.01.02. (6) “Business day” means a day that the State is open for the transaction of business and begins at 12 a.m. and ends at 11:59.59 p.m. (7) “Carrier” means an insurer authorized to sell insurance by the Administration. (8) “Claim” means an application for FAMLI leave and benefits under Labor and Employment Article, §8.3-101 et seq., Annotated Code of Maryland. (9) “Claimant” means an individual who applies for FAMLI leave and benefits under this subtitle. (10) “Commercially insured EPIP” means an EPIP in which the employer purchases an insurance policy from an insurance company approved to sell paid FAMLI products by the Administration and the benefits related to the plan are administered through the insurance policy. (11) “Continuing treatment” means any one or more of the following. (a) Incapacity and treatment. (b) Pregnancy or prenatal care. Any period of incapacity due to pregnancy, childbirth, miscarriage or stillbirth, or period of absence for prenatal care. (c) Chronic conditions. Any period of incapacity or treatment for the incapacity due to a chronic serious health condition that: (i) Requires periodic visits (defined as at least twice a year) for treatment ordered by a licensed health care provider; (ii) Continues over an extended period of time (including recurring episodes of a single underlying condition); and (iii) May cause episodic rather than a continuing period of incapacity (e.g., asthma, diabetes, epilepsy, etc.). (d) Permanent or Long-Term Conditions. A period of incapacity which is permanent or long-term due to a condition that treatment may not be effective and requires continuing supervision, but need not be receiving active treatment by, a licensed health care provider. (e) Conditions Requiring Multiple Treatments. Any period of absence to receive multiple treatments (including any period of recovery therefrom) ordered by a licensed health care provider, for: (i) Restorative surgery after an accident or other injury; or (ii) A condition that would likely result in a period of incapacity of more than 3 full, consecutive days in the absence of medical intervention or treatment. (f) Absences attributable to incapacity under §B(11)(b) or (c) of this regulation qualify for FAMLI leave even though the claimant or the family member does not receive treatment from a licensed health care provider during the absence, and even if the absence does not last more than 3 full, consecutive days. (12) “Contribution” means the payments made to the Division under Labor and Employment Article, §8.3-601 et seq., Annotated Code of Maryland and Chapter 2 of this subtitle. (13) “Covered employee” means an employee who has worked at least 680 hours performing qualified employment located in the State over the four most recently completed calendar quarters for which quarterly reports have been required immediately preceding the anchor date. (14) “Covered individual” means a covered employee. (15) “Department” means the Maryland Department of Labor. (16) “Deployment” has the meaning as defined in Labor and Employment Article, §8.3-101(g), Annotated Code of Maryland. (17) “Division” means the FAMLI Division established by COMAR 09.42.01.02. (18) “Domestic partner” means the person with whom someone is in a domestic partnership. (19) “Domestic partnership” means a relationship between two individuals who: (a) Are at least 18 years old; (b) Are not related to each other by blood or marriage within 4 degrees of consanguinity under civil law rule; (c) Are not married or in a civil union or a relationship described in this subsection with another individual; and (d) Agree to be in a relationship of mutual interdependence in which each individual contributes to the maintenance and support of the other individual and the relationship, even if both individuals are not required to contribute equally to the relationship. (20) Employee. (a) “Employee” means an individual who performs work for compensation. (b) “Employee” does not mean an individual who meets the following requirements: (i) The individual who performs the work is free from control and direction over its performance both in fact and under a contract; (ii) The individual customarily is engaged in an independent business or occupation of the same nature as that involved in the work; and (iii) The work is outside of the usual course of business of the person for whom the work is performed or it is performed outside of any place of business of the person for whom the work is performed. (21) Employer. (a) “Employer” means a person or governmental entity that employs at least one individual who performs qualified employment. (b) “Employer” does not mean: (i) An individual who is the sole owner of a sole proprietorship, limited liability company, C Corporation or S Corporation; and (ii) Is the only individual employed by the sole proprietorship, limited liability company, C corporation or S Corporation. (22) “EPIP administrator” means: (a) An employer self-administering an approved self-insured EPIP; (b) A third-party administrator or payroll company acting on behalf of an employer to provide administration and oversight of an approved self-insured EPIP; or (c) A carrier administering an approved commercially insured EPIP. (23) “Equivalent-private insurance plan (EPIP)” means a Division approved commercially insured or self-insured insurance plan provided by an employer to employees that meets or exceeds the State plan, whether it is administered by the employer, a third-party administrator, or a carrier. (24) “The Family and Medical Leave Act (FMLA)” means the Family and Medical Leave Act of 1993, 29 U.S.C. §§2601-2654. (25) “Family leave” means leave used: (a) To care for or bond with a child of the covered individual during the first year after the child’s birth; (b) During the process through which a child is being placed with the covered individual through foster care, kinship care, or adoption and to care for or bond with the child during the first year after the placement; (c) To care for a family member with a serious health condition; or (d) To care for a service member with a serious health condition for whom the covered individual is next of kin. (26) “Family member” means: (a) A biological child, an adopted child, a foster child, or a stepchild of the covered individual; (b) A child for whom the covered individual has legal or physical custody or guardianship; (c) A child for whom the covered individual stands in loco parentis, regardless of the child’s age; (d) A biological parent, an adoptive parent, a foster parent, or a stepparent of the covered individual or of the covered individual’s spouse; (e) The legal guardian of the covered individual or the ward of the covered individual or of the covered individual’s spouse; (f) An individual who acted as a parent or stood in loco parentis to the covered individual or the covered individual’s spouse when the covered individual or the covered individual’s spouse was a minor; (g) The spouse of the covered individual; (h) A domestic partner of the covered individual; (i) A biological grandparent, an adopted grandparent, a foster grandparent, or a stepgrandparent of the covered individual; (j) A biological grandchild, an adopted grandchild, a foster grandchild, or a stepgrandchild of the covered individual; or (k) A biological sibling, an adopted sibling, a foster sibling, or a stepsibling of the covered individual. (27) “FAMLI benefits” means the money payable under Labor and Employment Article, §8.3-101, et seq., Annotated Code of Maryland, and this subtitle. (28) “FAMLI leave” means family leave, medical leave, and/or qualified exigency leave that a covered individual is entitled to under Labor and Employment Article, §8.3-101 et seq., Annotated Code of Maryland. (29) “Incapacity” means the inability to perform at least one essential job function, attend school, or perform regular daily activities. (30) Incapacity and Treatment. (a) “Incapacity and treatment” means a period of incapacity of more than 3 full, consecutive days, and any subsequent treatment or period of incapacity relating to the same condition, that also involves: (i) Treatment two or more times, within 30 days of the first day of incapacity, unless extenuating circumstances exist, by a licensed health care provider; or (ii) Treatment ordered by a licensed health care provider on at least one occasion, which results in a regimen of continuing treatment, including home care administered by a competent individual under the direction of a licensed health care provider. (b) The requirement in §B(30)(a)(i) of this regulation for treatment by a licensed health care provider means an in-person visit or synchronous tele-health appointment with a licensed health care provider. (c) The first (or only) in-person treatment visit or synchronous tele-health appointment shall take place within 7 days of the first day of incapacity. (d) Whether additional treatment visits or a regimen of continuing treatment is necessary within the 30-day period shall be determined by the licensed health care provider. (e) The term extenuating circumstances in §B(30)(a)(i) of this regulation means circumstances beyond the claimant’s control that prevent the follow-up visit from occurring as planned by the licensed health care provider. (31) “Inpatient care” means an overnight stay in a hospital, as defined in Health General Article, §19-301, Annotated Code of Maryland, or related institution, as defined in Health General Article, §19-301, Annotated Code of Maryland, or a hospice facility, as defined in Health General Article, §19-901, Annotated Code of Maryland, or any subsequent treatment in connection with inpatient care. (32) “Kinship care” means informal kinship care as stated in the Education Article, §4-122.1(a)(2), Annotated Code of Maryland and formal kinship care as stated in the Family Law Article, §5-501(e), Annotated Code of Maryland. (33) Licensed Health Care Provider. (a) “Licensed health care provider” means a doctor of medicine or osteopathy who is authorized to practice medicine or surgery in a state and performing within the scope of their practice as defined under the state’s law. (b) “Licensed health care provider” means a podiatrist, dentist, clinical psychologist, optometrist, or chiropractor (limited to treatment consisting of manual manipulation of the spine to correct a subluxation as demonstrated by X ray to exist) authorized to practice in a state and performing within the scope of their practice as defined under the state’s law. (c) “Licensed health care provider” means a nurse practitioner, nurse midwife, clinical social worker, or physician assistant authorized to practice in a state and performing within the scope of their practice as defined under the state’s law. (d) “Licensed health care provider” means any health care provider listed above who practices in a country other than the United States, who is authorized to practice in accordance with the law of that country, and who is performing within the scope of their practice as defined under such law. (e) The phrase “authorized to practice in a state” as used in this section means that the provider must be authorized to diagnose and treat physical or mental health conditions. (34) “Maximum weekly benefit amount” means the amount established under Labor and Employment Article, §8.3-703, Annotated Code of Maryland. (35) “Medical leave” means leave taken because the covered individual has a serious health condition that results in the covered individual being unable to perform the functions of the covered individual’s position. (36) “Qualified employment” means the provision of services localized within the State under COMAR 09.42.02.04 by an employee to an employer. (37) “Qualified exigency leave” means leave taken when a qualifying exigency as defined in Labor and Employment Article §8.3-101(m), Annotated Code of Maryland arises out of the deployment of a service member who is a family member of the covered individual. (38) “Secretary” means the Secretary of Labor. (39) “Self-insured EPIP” means an EPIP in which the employer offers a private plan for which the employer assumes all financial risk associated with the benefits and administration of the EPIP, whether it is administered by the employer or a third-party administrator. (40) “Serious health condition” means an illness, injury, impairment, or physical or mental condition of a claimant or their family member that: (a) Requires inpatient care; (b) Requires continuing treatment by a licensed health care provider; or (c) Involves the donation of a body part, organ, or tissue, including preoperative or diagnostic services, surgery, post-operative treatment, and recovery. (41) “Service member’s next of kin” means the nearest blood relative other than the service member’s spouse, parent, son, or daughter, in the following order of priority: blood relatives who have been granted legal custody of the service member by court decree or statutory provisions, brothers and sisters, grandparents, aunts and uncles, and first cousins, unless the service member has specifically designated in writing another blood relative as their nearest blood relative for purposes of military caregiver leave under FMLA. (a) When no such designation is made, and there are multiple family members with the same level of relationship to the service member, all such family members shall be considered the service member’s next of kin and may take FAMLI leave to provide care to the service member, either consecutively or simultaneously. (b) When such designation has been made, the designated individual shall be deemed to be the service member’s only next of kin. (42) “State plan” means the State-provided FAMLI plan including the fund from which benefits are paid. (43) “Treatment” includes, with the exception of routine physical examinations, eye examinations, or dental examinations, examinations to determine if a serious health condition exists and evaluations of a serious health condition. (44) “Wages” has the meaning as defined in Labor and Employment Article, §8.3-101(r), Annotated Code of Maryland. #### Regulation .02 General Regulations. *COMAR 09.42.01.02* A. There is a FAMLI Division within the Department. B. The FAMLI Division shall administer the FAMLI program. C. The Assistant Secretary has been delegated by the Secretary powers and duties reasonable and proper for the administration of Labor and Employment Article, §8.3-101, et seq., Annotated Code of Maryland and this subtitle. #### Regulation .03 Required Templates and Forms. *COMAR 09.42.01.03* A. The Division may mandate the use of approved templates and forms by EPIPs, employers, and claimants including: (1) Employer notice to employee templates; (2) Claims: (a) Claim application form; (b) Certification of qualifying event forms; (c) Proof of relationship template; (d) Good cause exemption form; and (e) Intermittent leave use template; and (3) Dispute Resolution: (a) Request forms; (b) Reconsideration scheduling template; (c) Decision templates; and (d) Good cause exemption form. B. The Division shall make mandated templates and forms available for download from its website. C. Any changes to the fields on the templates or forms mandated by the Division shall be provided to the Division no less than 30 days before the changed template or form would go into effect. ### Chapter 02 — Contributions **Authority:** Labor and Employment Article, §§8.3-101, 201, and 601, Annotated Code of Maryland **Administrative History:** Effective date: March 30, 2026 (53:6 Md. R. 289) #### Regulation .01 Definitions. *COMAR 09.42.02.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Small employer” means a person or governmental entity that meets the definition of employer and employs fewer than 15 employees, as calculated using the method under COMAR 09.42.02.06. (2) “Social security wage base” means the maximum wage subject to tax under the Federal Insurance Contributions Act, 26 U.S.C. §3101, et seq. for any particular year, as published by the Social Security Administration. (3) “Total rate of contribution” means the percent of wages published by the Department for any particular year, under the Division’s authority under Labor and Employment Article, §8.3-601, Annotated Code of Maryland. #### Regulation .02 Employer Registration Requirements. *COMAR 09.42.02.02* An employer shall create and maintain an online account necessary to make required information reports, remit contribution payments, and both receive and communicate with the Division regarding reporting and contribution obligations under Labor and Employment Article, §8.3-101, et seq., Annotated Code of Maryland. #### Regulation .03 Registration of New Employers After Contributions Begin. *COMAR 09.42.02.03* An employer who commences operations after contributions begin shall, within 20 days of their first payment of wages to a qualified employee, create and maintain an online account necessary to make required information reports, remit contribution payments, and both receive and provide any necessary communication with the Division regarding reporting and contribution obligations under Labor and Employment Article, §8.3-101, et seq., Annotated Code of Maryland. #### Regulation .04 Qualified Employment. *COMAR 09.42.02.04* A. All wages paid by each employer to an employee for performing qualified employment are subject to contributions up to the amount of the social security wage base each calendar year. B. Employment is qualified employment if: (1) The employment obligates the employer to pay contributions to the Unemployment Insurance Fund under Labor and Employment Article, §8-101, et seq., Annotated Code of Maryland; or (2) The employment does not obligate the employer to pay unemployment insurance fund contributions to any jurisdiction but: (a) The employment is performed in the State, including: (i) Employment performed on land that the United States government holds or owns; and (ii) Employment performed in interstate commerce; or (b) The employment is performed partly in this State and: (i) The employment that is performed outside this State is incidental to the employment that is performed in this State, including employment that is temporary or transitory or that consists of isolated transactions; or (ii) The employment that is performed in this State is not incidental to employment that is performed in any other state and the base of operations or the place from which the employment is controlled or directed is in this State or the employment is performed by an individual who is a resident of this State and is not performed in part in a state in which the employment is controlled or directed or in which the base of operations is located. C. Employment is not qualified employment if the employment of an employee obligates the employer to pay unemployment insurance fund contributions to any jurisdiction other than this State for that employee and not this State. #### Regulation .05 Employer Contributions. *COMAR 09.42.02.05* A. Employers are responsible for remitting 100 percent of contributions due each quarter. B. Under Labor and Employment Article, §8.3-601, Annotated Code of Maryland, an employer may withhold from the pay of an employee an amount up to 50 percent of the total rate of contribution. C. An employer may elect to pay their employees’ contribution amounts required under §B of this regulation, in whole or in part, and shall notify employees of the election to pay employee contributions or not, in writing, using the Division’s template. D. An employer shall provide written notice to all of its employees of the commencement of contribution withholding and any changes to employee contributions at least 1 pay period prior to the commencement or change. E. Contribution payments to the Division will be applied in the following order, starting with the oldest quarter to the most recent past calendar quarter in which a balance is owed: (1) Penalties; (2) Interest; and (3) Contributions. F. Contributions from an employer whose status is changed by cessation of business are due and shall be paid within 5 days of the cessation. #### Regulation .06 Employer Size. *COMAR 09.42.02.06* A. The number of employees shall be counted by using the total number of employees within and without the State to whom the employer paid any wages regardless of whether the employee is performing qualified employment. B. An annual determination of employer size shall be made by averaging the number of employees to whom the employer paid any wages each quarter for the previous calendar year. C. Until an employer has 4 quarters of reports and contributions in 1 calendar year, employer size shall be determined quarterly by counting the total number of employees to whom the employer paid any wages in that calendar quarter. D. The employer is only responsible for remitting 50 percent of the total rate of contribution if the employer size determined under §§A, B, and C of this regulation is below 15. #### Regulation .07 Failure to Deduct from Payroll. *COMAR 09.42.02.07* A. If an employer fails to make the proper deduction from an employee’s pay, that employer is considered to have elected to pay the employee’s portion for each pay period the employer fails to make the deduction. B. The employer is liable to pay the portion of the employee share and may not recoup the employee share attributable to a past pay cycle on future pay cycles. C. Notwithstanding §§A and B of this regulation, within the immediately following 6 pay cycles, an employer may recoup the employee share attributable to a past pay cycle if there are insufficient paycheck funds due to other required federal, state and local withholdings that take precedence. #### Regulation .08 Wage Reporting and Payment Schedule. *COMAR 09.42.02.08* A. An employer shall remit contributions for each employee every quarter equal to the total rate of contribution multiplied by the total wages up to the social security wage base paid to each employee performing qualified employment in the State. For payment of contributions, a fractional part of a cent that is less than one-half cent shall be disregarded. A fractional part of a cent that is one-half cent or more shall be increased to 1 cent. B. Quarterly informational wage and hour reports, which shall include the amount of wages and hours worked for each employee performing qualified employment in the immediately preceding quarter, shall be due on or before the quarterly contribution payment due date. C. If the employer wants to be considered for classification as a small employer, the informational report shall include the number of employees performing employment for the employer outside the State to whom wages were paid in the quarter. D. If the employer fails to provide a number of employees performing employment for the employer outside the State, the employer will be deemed to not be a small employer. E. Contributions are due and shall be paid on or before the last day of the month immediately following each calendar quarter. Payment will be considered timely if received on or before the due date. If the due date falls on a Saturday, Sunday, or legal holiday, payment will be considered timely if received on the next business day. F. Amendments by employers to quarterly wage and hour reports shall be submitted to the Division within 1 year of the initial due date. #### Regulation .09 Contribution and Wage Report Delinquencies. *COMAR 09.42.02.09* A. If an employer fails to pay the required contributions in the prescribed manner, the employer shall be given 30 days to cure any deficiencies and may be required to pay interest, in the amount of 1.5 percent per month or part of a month from the date on which it is due to the Division, on unpaid contributions. B. If contribution deficiencies are not cured, penalties under Labor and Employment Article, §8.3-903, Annotated Code of Maryland, may be imposed as follows: (1) Assess the amount of contributions and interest, in the amount of 1.5 percent per month or part of a month from the date on which it is due to the Division; (2) Make an additional assessment in an amount not to exceed two times the contributions delinquent to the Division, as a penalty for failure to pay the contributions due; and (3) Order an audit of the employer for the immediately following fiscal year to investigate and determine compliance with Labor and Employment Article, §8.3-101, et seq., Annotated Code of Maryland. C. If wage and hour report deficiencies are not cured the Division may: (1) Use the information and knowledge available to the Division to estimate the wages paid by an employer during the contribution period or periods; (2) The amount of wages so determined will be deemed to have been paid by the employer; (3) Assess the employer for contributions calculated on the basis of the estimated wages; (4) Issue a subpoena duces tecum to compel an employer to release books and records to the Division for use in obtaining the required information; and (5) Order an audit of the employer for the immediately following fiscal year to investigate and determine compliance with Labor and Employment Article, §8.3-101, et seq., Annotated Code of Maryland. #### Regulation .10 Contribution Overpayments. *COMAR 09.42.02.10* A. An employer may request from the Division reimbursement of overpayment of contributions no later than 1 year from the due date of the alleged overpayment. B. An employer who receives a reimbursement under §A of this regulation shall return employee contributions to the employees from whom they were withheld within 90 days of receipt of the reimbursement. C. If a former employee owed reimbursed contributions from their employer cannot be located via reasonable effort, including making use of all contact information the employer has on file, within 90 days as required under §B of this regulation, the employee’s contributions shall be remitted to the State for safekeeping. ### Chapter 03 — Equivalent Private Insurance Plans **Authority:** Labor and Employment Article, §§8.3-101, 403, 503, and 705, Annotated Code of Maryland **Administrative History:** Effective date: March 30, 2026 (53:6 Md. R. 290) #### Regulation .01 Definitions. *COMAR 09.42.03.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Declaration of intent (DOI)” means a legally binding, signed attestation from an employer documenting the employer’s intent and commitment to provide an approved EPIP with an effective date of January 1, 2028. (2) “EPIP application” means an application submitted to the Division for approval of an EPIP in which the employer offers a private plan where the employer assumes all financial risk associated with the benefits and administration of the EPIP, whether it is administered by the employer or a third-party administrator. (3) “Good cause” means an extraordinary circumstance which a person of ordinary business prudence and intelligence would consider reasonable cause for an extension. (4) “Insurance producer” has the meaning as defined in Insurance Article, §1-101(u), Annotated Code of Maryland. (5) “Seeding period” means the time during which contributions will accrue before benefits are available, January 1, 2027—December 31, 2027. (6) “Utilization rate” means the anticipated number of approved claims in the State plan divided by the anticipated total number of workers in the State plan which shall be announced by the Division each November1 for the following calendar year based on the actuarial cost analysis performed in accordance with Labor and Employment Article, §8.3-601, Annotated Code of Maryland. #### Regulation .02 General. *COMAR 09.42.03.02* A. Except as explicitly provided in this chapter, the State is subject to the same EPIP requirements as all employers. B. An employer shall participate in the State plan until the Division-approved effective date of an EPIP. #### Regulation .03 EPIP Requirements. *COMAR 09.42.03.03* A. An EPIP shall cover all individuals employed by the employer who perform qualified employment. B. Benefits shall be paid to any employee who would be eligible for benefits under the State plan, had the employer chosen coverage under the State plan. C. All forms required to be completed by an employee or healthcare provider under an EPIP shall be forms prescribed by the Division in COMAR 09.42.01.03. D. An EPIP shall allow FAMLI benefits and leave to be taken for all purposes specified in the State plan. E. An EPIP shall allow a covered employee to take family leave or medical leave or qualified exigency leave in an application year for periods of time equal to or longer than the duration of leave provided under the State plan. F. An EPIP benefit calculation shall result in a weekly benefit that is equal to or greater than what the benefit would be if the employee received benefits from the State plan. G. If an employee has less than the requisite hours needed to make a benefit determination with their current employer, the current employer shall confirm the employee’s previously reported hours and benefit amount with the Division and shall account for the information from the Division to make the benefit determination. H. An EPIP shall allow leave to be taken in the same, or less restrictive, increments or nonconsecutive periods as provided under the State plan. I. An EPIP may not impose additional conditions, restrictions, or barriers on the use of leave beyond those explicitly authorized by the State plan and shall meet or exceed the rights, protections, and benefits provided under the State plan. J. The amount at which employee withholdings are made to an EPIP cannot exceed the amount the same employee would contribute under the State plan. K. An approved EPIP may not begin withholding until the policy effective date. L. Employee withholdings received or retained under an EPIP are not considered part of an employer’s assets for any purpose other than paying benefits or premiums under this subtitle. M. An EPIP shall establish claims processing procedures under COMAR 09.42.04. N. An EPIP shall establish reconsideration and appeal procedures under COMAR 09.42.05. O. An employer participating in an EPIP shall be subject to the notice requirements in Labor and Employment Article, §8.3-801, Annotated Code of Maryland. P. An employer participating in an EPIP shall use the written notices prescribed by the Division under COMAR 09.42.01.03. Q. All EPIP documents and communications shall be subject to the same accessibility, language access, and translation requirements as the Division. R. An employer shall ensure compliance with relevant federal and state laws regarding confidentiality of records. S. The Division, as a result of an appeal by a covered employee, may pay benefits from the State plan to a covered employee whom an EPIP was obligated to pay, if the Division determines both of the following: (1) Some benefits went unpaid; and (2) It is unlikely that the covered employee will otherwise be paid the benefits. T. An employer and/or EPIP administrator shall reimburse the State plan for the amounts and the Division may pursue all legal means to collect the amounts from the employer and/or EPIP administrator if the Division pays benefits from the State plan to a covered employee whom the EPIP was obligated to pay. #### Regulation .04 Job Protection and Retaliation. *COMAR 09.42.03.04* Participation in an EPIP does not negate employer obligations with respect to job protection and retaliation under Labor and Employment Article, §§8.3-706, 801(b)(2)(v), and 904, Annotated Code of Maryland. #### Regulation .05 Employer Application Process. *COMAR 09.42.03.05* A. The paid family and medical leave benefits offered to employees of the State pursuant to State Personnel and Pensions Article, §9–1001, et seq. Annotated Code of Maryland, are approved as an EPIP and no application by the State to the Division is required. B. To obtain approval of an EPIP, an employer shall first submit a completed EPIP application to the Division. C. The Division shall mandate the EPIP application form. D. An EPIP application may be submitted at any time. E. EPIP Application Review Process. (1) The Division will review complete EPIP applications as they are received. (2) Employers will be notified of deficiencies in EPIP applications. (3) Deficiencies must be cured within 30 days of the date of the notification. (4) If deficiencies are not cured within 30 days, the EPIP application may be denied. F. EPIP Application Fees. (1) For a commercially insured EPIP the application fees shall be as follows: (a) $100 for an employer with 1—14 employees performing qualified employment at the time the EPIP application is submitted. (b) $250 for an employer with 15—49 employees performing qualified employment at the time the EPIP application is submitted. (c) $500 for an employer with 50—199 employees performing qualified employment at the time the EPIP application is submitted. (d) $600 for an employer with 200—499 employees performing qualified employment at the time the EPIP application is submitted. (e) $750 for an employer with 500—999 employees performing qualified employment at the time the EPIP application is submitted. (f) $1,000 for an employer with 1000 or more employees performing qualified employment at the time the EPIP application is submitted. (2) For a self-insured EPIP the application fee is $1,000. G. An approved EPIP application becomes effective, and the employer is released from its contributions obligation on the first day of the calendar quarter following the date of approval by the Division of its EPIP application. H. An employer’s EPIP approval and release from contributions obligation expires 1 year after the effective date in §G of this regulation, and if a complete application has been timely filed and approval is pending after expiration, the Division may extend the previous approval. I. EPIPs shall make benefits available to all covered employees. J. An employer shall submit an EPIP application annually at least 90 days before the employer’s current EPIP approval expires. K. Special Requirements for a Self-Insured EPIP. (1) Any employer with 50 or more employees may apply for a self-insured EPIP. (2) Proof of Solvency. (a) An employer desiring to establish a self-insured EPIP shall provide proof of assured funds as demonstrated by obtaining a surety bond issued by a surety company certified by the United States Treasury Department Bureau of the Fiscal Service and authorized to do business in the State. (b) The surety bond shall be conditioned that the employer shall: (i) Comply with all State laws and regulations governing the EPIP; and (ii) Fulfill all obligations to pay employee claims. (c) A surety bond shall be issued in amount equal to 1 year of expected future benefits as determined by the product of the number of employees rounded up to the nearest 50 multiplied by 12 weeks multiplied by the utilization rate multiplied by the maximum weekly benefit amount. (d) A surety bond shall be issued on a form prescribed by the Division. (e) A surety bond shall include a statement that the bonding company shall give 90 days notice in writing of its intent to terminate coverage to both the principal and the Division, except that if the bonding company is terminating liability because it is issuing a replacement bond, it may do so without providing prior notice. (f) If a replacement bond is issued, the surety company and the employer shall notify the Division no later than 14 days after its effective date. (g) A surety bond shall continue for 3 years after the later of the date on which: (i) The bond is canceled; or (ii) The EPIP is terminated. (h) The liability of the surety: (i) Shall be continuous; (ii) May not be aggregated or cumulative, whether the bond is renewed, continued, replaced, or modified; (iii) May not be determined by adding together the penal sum of the bond, or any part of the penal sum of the bond, in existence at any two or more points in time; (iv) Shall be considered to be one continuous obligation, regardless of increases or decreases in the penal sum of the bond; (v) May not be affected by the insolvency or bankruptcy of the employer, any misrepresentation, breach of warranty, failure to pay a premium, any other act or omission of the employer, or the termination of the employer’s EPIP; and (vi) May not require an administrative enforcement action by the Division as a prerequisite to liability. (i) The Division may review the bond annually to ensure that the amount corresponds with the benefit projections and the employer: (i) Shall provide the Division with any documentation necessary to review the bond amount; (ii) Shall increase the bond amount if the Division determines an increase is necessary; and (iii) May decrease the bond amount if the Division determines that the bond amount exceeds the projected benefits. (j) A claim against the bond may be filed with the surety by the Division: (i) Under COMAR 09.42.03.03(T); (ii) To cover any outstanding contributions due to the Division; or (iii) For fees and penalties owed to the Division. (3) Separate Account. (a) If an employer who is approved to self-insure to provide FAMLI benefits withholds from employees, the employer shall establish and maintain a separate account: (i) Into which all employee contributions are deposited and kept; and (ii) From which only benefits shall be paid. (b) Funds collected from employee withholdings shall be: (i) Held separately from all other employer funds; and (ii) Separately accounted for. (c) Account records shall be made available for audits by the Division. (d) The separate fund does not represent the extent of liability of the employer. (4) Any employer may apply to the Division for a waiver of the surety bond requirement based on its capitalization and existing bondedness under Labor and Employment Article, §8.3-705(b)(2), Annotated Code of Maryland. (5) An employer with fewer than 50 employees may apply for a self-insured EPIP only if it provides a benefits package: (a) To all of the employer's covered employees; (b) That meets or exceeds the rights, protections, and benefits provided to a covered employee under Labor and Employment Article, §§8.3-101, et seq., Annotated Code of Maryland; and (c) That was in effect on or before July 31, 2026 and has remained continually in effect until the date of application. #### Regulation .06 Oversight of EPIPs by the Division. *COMAR 09.42.03.06* A. The Division may, at any time at its sole discretion, initiate a review of an EPIP to determine whether the EPIP is compliant with Labor and Employment Article, §§8.3-101, et seq., Annotated Code of Maryland or this subtitle. B. On initiation of a review by the Division, within 30 days of a request from the Division, the EPIP administrator and the employer shall provide all information and documentation requested. C. The Division may extend the 30 day deadline under §B of this regulation once upon request from the EPIP administrator and/or the employer. D. The Division shall ensure compliance with relevant federal and State laws regarding confidentiality of records. E. Failure by an employer to cooperate with a Division review of an EPIP may result in the Division’s termination of the employer’s EPIP approval. #### Regulation .07 Record Keeping Requirements. *COMAR 09.42.03.07* A. An EPIP administrator or employer shall collect and maintain documentation of all of the following for a minimum of 5 years: (1) Applications for benefits; (2) Benefits paid, including payment dates and amounts; (3) The outcome of internal initial applications for benefits; (4) Internal reconsideration requests received; (5) The outcome of internal reconsiderations; (6) Documents, including wage data or other evidence, containing the information on which benefits determinations and reconsiderations were based; and (7) Withholdings received from employees. B. Within 30 days of the Division’s written request, an EPIP administrator or an employer with an approved EPIP shall provide any documentation either is obligated to maintain. C. If the employer or EPIP administrator requests an extension and provides good cause for the extension, the Division may extend the 30-day deadline. D. If the employer or EPIP administrator does not provide the requested documentation by the deadline, the Division may terminate its approval of the EPIP. #### Regulation .08 Additional Reporting Requirements for Employers who Have Selected an EPIP. *COMAR 09.42.03.08* A. While an employer may authorize EPIP administrators to report on their behalf, the employer shall be responsible for the accuracy of the data and subject to any adverse actions related to inaccurate, late, or incomplete reporting. B. All reported data shall represent totals for each approved EPIP. C. Quarterly claims level and employer level data reports to the Division shall be submitted on or before the last day of the month immediately following the close of the previous quarter via an electronic template provided by the Division. D. Failure to submit timely and complete reports may result in the involuntary termination of the EPIP by the Division. E. An employer with an approved EPIP shall report wage and hour data quarterly in the same manner as an employer in the State plan. F. The Division may extend the deadline under §C of this regulation once upon request from the employer. #### Regulation .09 EPIP Termination Rules. *COMAR 09.42.03.09* A. Voluntary. Provided an employer has joined the State plan or has an approved application for a different EPIP: (1) The employer may voluntarily terminate enrollment in an EPIP provided the employer has been enrolled in the EPIP for at least 1 year. (2) The employer shall provide the requisite notice to the Division of the voluntary termination no later than 30 days before the termination’s effective date. (3) The employer shall provide the requisite notice to employees prescribed by COMAR 09.42.01.03 of the voluntary termination no later than 30 days before the termination’s effective date. (4) The employer shall continue the approved EPIP’s coverage through the termination’s effective date. (5) The voluntary termination shall become effective on the first date of the calendar quarter following the expiration of the 30 day period. B. Involuntary. An employer’s EPIP enrollment may be terminated by the Division when the Division determines that terms or conditions of the plan have been repeatedly or egregiously violated in a manner that necessitates termination. (1) Causes for plan termination may include: (a) Failure to pay benefits in the amount and duration required by Labor and Employment Article, §§8.3-101, et seq., Annotated Code of Maryland and this subtitle; (b) Failure to make timely benefit determinations or reconsiderations; (c) Failure to pay benefits in the amount and duration required by the EPIP, where the EPIP provides benefits in a greater amount or duration than is required by Labor and Employment Article, §§8.3-101, et seq., Annotated Code of Maryland and this subtitle; (d) Failure to pay benefits within the timeframes and in the manner specified by Labor and Employment Article, §§8.3-101, et seq., Annotated Code of Maryland and this subtitle; (e) Failure to maintain an adequate surety bond in accordance with this subtitle; (f) Failure to comply with Regulation .03(L) of this chapter; (g) Failure to submit reports or comply with other compliance requirements as required by Labor and Employment Article, §§8.3-101, et seq., Annotated Code of Maryland or this subtitle; (h) Failure to otherwise comply with Labor and Employment Article, §§8.3-101, et seq., Annotated Code of Maryland or this subtitle; (i) Failure to notify the Division that their plan has been cancelled by their carrier; or (j) Failure to notify the Division that the product is no longer offered by their carrier. (2) If the Division withdraws approval of an employer’s EPIP, the Division shall issue to the employer and the EPIP administrator a notice of involuntary termination of EPIP approval with an effective date 14 days after the date of the notice. (3) An employer may request a review under COMAR 09.42.05 of the withdrawal of EPIP approval before its effective date by filing with the Division. (4) Involuntary terminations shall result in the establishment of past-due mandatory contribution debt in the amount that would have been owed to the State plan had the employer been in the State plan for a period of 1 year prior to the date of the notice of termination of EPIP approval. (5) Involuntary terminations may result in civil penalties against an employer, including but not limited to execution on and collection of any bond amount. (6) An employer shall provide the requisite notice to employees prescribed by COMAR 09.42.01.03 of the involuntary termination no later than 5 days after the termination’s effective date. C. Termination Generally. (1) Continuation of Benefits. (a) An EPIP shall pay or continue to pay benefits under the terms of the EPIP to an employee who filed a valid claim for benefits under the EPIP before the effective date of termination until the total amount of the benefit claim is paid, the duration of approved leave ends, or the application year ends, whichever occurs first. (b) If the employer or EPIP administrator does not pay the benefits, the employee may seek relief with the Division under COMAR 09.42.05. (2) Within 60 days after the effective date of the termination of an EPIP, the employer shall send to the Division all reporting requirement information on benefit claims paid and amounts of contributions collected or owing from the date of the last report provided to the Division under the EPIP reporting requirements to the date of termination. (3) Outstanding Contributions. (a) On receipt of the report specified in §C(2) of this regulation, the Division will provide an invoice of the contribution amounts due, if any. (b) The contribution amount due shall be calculated based on any contributions withheld from employees’ wages that remain in the possession of the employer on the effective date of the EPIP termination, minus an amount equal to the amount of any benefits due to be paid as required under §C(1) of this regulation or any premium due to a carrier for commercially insured EPIPs. (c) Once all required benefits are paid under §C(1) of this regulation, the employer shall send to the Division the final report on any additional benefit claims paid or administrative expenses incurred after the date of the last report provided under §C(2) of this regulation within 5 business days. (d) The Division will provide an invoice of any additional contribution amounts due. (4) Any employer whose EPIP approval has been terminated, either voluntarily or involuntarily, shall be immediately enrolled in the State plan, with contribution obligations going back to the most recent quarter start date, unless and until the employer is approved for a new EPIP. D. To the extent that any of the regulations in this section conflict with the Temporary Provisions applicable to EPIP termination in Regulation .10 of this chapter, the provisions in Regulation .10 of this chapter control. #### Regulation .10 Temporary Provisions. *COMAR 09.42.03.10* A. Declaration of Intent to Obtain Approval of EPIP. (1) During the submission period announced by the Secretary, any employer who intends to enroll in an EPIP may submit a DOI, signed by the employer, acknowledging, attesting, and agreeing to certain requirements, including but not limited to: (a) The employer intends to provide an EPIP to all its employees that meets or exceeds all the requirements of Labor and Employment Article, §§8.3-101, et seq., Annotated Code of Maryland and this subtitle. (b) The employer met with an insurance producer or carrier about available commercially insured EPIPs. (c) A signature from the insurance producer or carrier acknowledging the meeting in §A(1)(b) of this regulation. (d) Except as provided in Ch. 363, Section 2, Acts of (2025), beginning on the effective date of a DOI and continuing until the Division has approved the EPIP application, the employer shall collect and hold all contributions from both the employer and employees that would otherwise be due to the State plan in an escrow account, provided that: (i) The employer collects employee contributions via payroll deduction or makes contributions on behalf of the employee; (ii) Employee contributions are withheld during the pay period for which they are being collected; and (iii) Employee contributions are not retroactively collected. (e) If, after the submission of a DOI, an EPIP is approved, the employer shall return employee contributions held in escrow to the employees from whom they were withheld, or if the EPIP approved is a self-insured EPIP the contributions held in escrow may be used to seed the separately accounted self-insured EPIP fund. (f) If a former employee cannot be located, the employee’s contributions shall be remitted to the State plan. (g) The employer shall submit an EPIP application no later than the date announced by the Secretary. (h) If, after the submission of a DOI, the employer is not approved for an EPIP before the date announced by the Secretary, the employer is liable for remitting to the State plan an amount equal to the sum of all unpaid employer and employee contribution payments due for the periods contributions were not made plus any interest and penalties for late payment. (i) If necessary, the funds held in escrow under §A(1)(d) of this regulation shall be used to remit payment under §A(1)(h) of this regulation. (2) The Division shall approve or deny a DOI within 15 business days of submittal. (3) An approved DOI becomes effective on the first day of the calendar quarter following the date of approval by the Division. (4) The Division may terminate a DOI for: (a) Misuse of employee contributions by the employer; (b) Failure to hold funds in escrow as required; (c) Failure to adhere to applicable FAMLI program requirements; (d) Excessive withholding of contributions from the pay of employees beyond the amount that would have been withheld under the State plan; (e) Failure to respond timely to a reasonable request from the Division for information about the EPIP or DOI; (f) Failure to submit quarterly wage and hour reports; (g) Failure to submit an EPIP application; or (h) Denial by the Division of an EPIP application. (5) All DOIs expire December 31, 2027. B. DOI and Contributions. C. Initial EPIP Enrollment. (1) If an employer is approved to be exempt from contributions to the State plan via a DOI and their subsequent EPIP application is approved, the employer shall remain in an EPIP for a minimum of 4 calendar quarters. (2) Failure to complete the initial EPIP enrollment shall result in the employer’s automatic enrollment in the State plan and remittance to the Division an amount equal to the total contributions that would have been paid to the State plan beginning January 1, 2027 minus any contributions made to the State plan prior to approval of the EPIP plus any interest and penalties for late payment. (3) If an employer whose DOI was approved enters into an EPIP and the EPIP is terminated before December 31, 2028, either by the employer or the Division, the employer shall remit to the Division the contributions and interest from which they were exempted as a result of the DOI. (4) If an employer whose DOI was approved enters into an EPIP and the EPIP is terminated before December 31, 2029, either by the employer or the Division, the employer is responsible for half the contributions and interest from which they were exempted as a result of the DOI. ### Chapter 04 — Claims **Authority:** Labor and Employment Article, §§8.3-101, 403, 701, 702, and 902, et seq., Annotated Code of Maryland **Administrative History:** Effective date: March 30, 2026 (53:6 Md. R. 290) #### Regulation .01 General. *COMAR 09.42.04.01* Unless expressly provided otherwise, all requirements in this chapter apply to EPIPs. #### Regulation .02 Definitions. *COMAR 09.42.04.02* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Alternative FAMLI purpose leave (AFPL)” means employer-provided leave specifically designated as a separate bank of time off for medical leave, family leave, qualified exigency leave, or under a disability policy and that is not leave provided under an EPIP. (2) “Claim application” means a claimant’s submission to the Division or an EPIP for FAMLI leave and benefits. (3) “Claimant’s average weekly wage” means the amount calculated in Regulation .06 of this chapter. (4) “Complete claim application” means an application submitted by a claimant with all required supporting documentation, including the response from an employer and any investigation, under Regulation .04 of this chapter. (5) “Fraud” means a misrepresentation or concealment of a material fact made by a claimant which induces the State plan or an EPIP to provide benefits when the claimant would have otherwise not qualified. (6) “General purpose leave” means employer-provided paid leave, such as general paid time off, personal leave, vacation leave, or sick leave, that is not AFPL or leave provided under an EPIP. (7) “Good cause” means a demonstration by a claimant that a failure to file a complete claim application was due to: (a) A serious health condition that resulted in an unanticipated and prolonged period of incapacity and that prevented an individual from filing a claim in a timely manner; (b) A demonstrated inability to reasonably access a means to file a claim in a timely manner, such as due to a natural disaster, power outage, or a significant and prolonged Department system outage; or (c) A demonstrated failure of the employer to provide the notification required under this subtitle to the claimant. (8) “Recipient” means a claimant whose application for FAMLI leave and benefits has been approved and is receiving benefits. (9) “State average weekly wage” means the wage calculated under Labor and Employment Article, §9-603, Annotated Code of Maryland. (10) “Weekly benefit amount” means the total weekly dollar amount provided to a recipient by the State plan or EPIP. #### Regulation .03 Qualifying Events. *COMAR 09.42.04.03* A. Childcare or bonding is a qualifying event in the following circumstances: (1) To care for or bond with a child of the claimant during the first 12 months after the child’s birth; or (2) During the process through which a child is being placed with the claimant through foster care, kinship care, or adoption and to care for or bond with the child during the first 12 months after the placement. B. Caring for a family member with a serious health condition is a qualifying event. C. The diagnosis, occurrence, or tending to of one’s own serious health condition is a qualifying event. D. Caring for a service member with a serious health condition is a qualifying event if: (1) The claimant is the service member’s next of kin; and (2) The serious health condition resulted from, or was exacerbated by, uniformed service. E. A qualifying exigency arising out of the deployment of a service member who is a family member of the claimant is a qualifying event. #### Regulation .04 Application Process. *COMAR 09.42.04.04* A. Eligibility. A covered individual experiencing a qualifying event may file an application for benefits within 60 days before the anticipated start date of the leave for which benefits may be paid under this title, but not later than 60 days after the start date of the leave. (1) The 60 day filing deadline shall be waived for good cause, up to 1 year from the leave commencing. (2) On or after the date on which applications for benefits may be submitted to the Division, applications may be accepted up to 60 days before the first day of FAMLI leave requested. (3) A covered individual shall file their application with their employer’s plan. B. Required Documentation. (1) A claimant shall provide personal identifying information as required by the Division. (2) A claimant applying for uniformed services caregiving leave shall provide documentation from the United States government establishing that the service member is a member or veteran of the uniformed services as defined in in 37 U.S.C. § 101, including a member of the National Guard or Reserves; (3) A claimant shall provide information regarding the employer from which they intend to take FAMLI leave as required by the Division. (4) A claimant seeking FAMLI leave for bonding or to care for another shall provide any of the following as proof of relationship: (a) An affidavit signed by the claimant attesting to qualifying relationships as provided by the Division; (b) Copies of official orders, certifications, or registrations from a government entity; or (c) Copies of documentation from licensed foster care and/or adoption providers. (5) Certification of Qualifying Event. (a) Care or Bonding with a Child. An application for FAMLI leave to care for or bond with a child of the claimant shall include: (i) A certification of live birth; (ii) Documentation of placement from a licensed child placement agency or government agency responsible for child placement, and documentation of any court appearances, appointments, or travel in anticipation of placement, if applicable, including a court order or an affidavit of an informal kinship care arrangement; or (iii) Other reasonable documentation determined by the Division. (b) Family Member’s Serious Health Condition. An application for FAMLI leave to care for a family member with a serious health condition, shall include a complete certification form, approved by the Division, from a licensed health care provider, establishing: (i) The first date on which the covered individual took or intends to take FAMLI leave from employment and whether the FAMLI leave will or is intended to be taken for a continuous period of time or intermittently; (ii) Date of diagnosis; (iii) The date on which the serious health condition of the family member commenced; (iv) The probable duration of the serious health condition; (v) The appropriate facts related to the serious health condition within the knowledge of the licensed health care provider; (vi) A statement that the covered individual needs to care for a family member and an estimate of the amount of time required to provide the care; and (vii) If intermittent FAMLI leave is requested, the expected frequency and duration of the intermittent FAMLI leave. (c) Own Serious Health Condition. An application for FAMLI leave for one’s own serious health condition, shall include a complete certification form, approved by the Division, from a licensed health care provider, establishing: (i) The first date on which the covered individual took or intends to take FAMLI leave from employment and whether the FAMLI leave will or is intended to be taken for a continuous period of time or intermittently; (ii) The date on which the serious health condition of the covered individual commenced; (iii) Treatment dates; (iv) Period of incapacity; (v) The probable duration of the serious health condition; (vi) The appropriate facts related to the serious health condition within the knowledge of the licensed health care provider; (vii) A statement that the covered individual is unable to perform the functions of the covered individual’s position; and (viii) If intermittent FAMLI leave is requested, the expected frequency and duration of the intermittent FAMLI leave. (d) Uniformed Services Caregiving. An application for FAMLI leave to care for a service member for whom the claimant is next of kin with a serious health condition, shall include a complete certification form, approved by the Division, from a licensed health care provider, establishing: (i) That the serious health condition was caused, or exacerbated by, uniformed service; (ii) The first date on which the covered individual took or intends to take FAMLI leave from employment and whether the FAMLI leave will or is intended to be taken for a continuous period of time or intermittently; (iii) The date on which the serious health condition of the service member commenced or was exacerbated; (iv) The probable duration of the serious health condition; (v) The appropriate facts related to the serious health condition within the knowledge of the licensed health care provider; and (vi) If intermittent FAMLI leave is requested, a statement that the covered individual needs to care for a service member and the expected frequency and duration of the intermittent FAMLI leave. (e) Qualified Exigency. An application for FAMLI leave for a qualifying exigency arising out of the deployment of a service member who is a family member, shall include a copy of the family member’s active duty orders or other documentation issued by the uniformed services that indicates that the service member is on covered active duty or call to covered active duty status, and the dates of the service member’s covered active duty service. (6) Attestations. The Division may require claimants to attest that information provided in their applications is true to the best of their knowledge and that there are no disqualifying criteria. (7) Employer Response to Claim Application. (a) An employer shall have 5 business days to respond to notice from the Division or an EPIP of an employee’s submitted claim application. (b) At the conclusion of the 5 business day period in §B(7)(a) of this regulation, if there is no employer response, the claim application is considered a complete claim application. (c) At the conclusion of the 5 business day period in §B(7)(a) of this regulation, if the employer has challenged the claimant’s eligibility, the Division or EPIP shall investigate which may include a request for a response from the claimant. (d) At the conclusion of the investigation in §B(7)(c) of this regulation, the claim application is considered a complete claim application. (e) The Division may request supplemental data from the employer together with the notice in §B(7)(a) of this regulation. (f) If the Division makes a request pursuant to §B(7)(e) of this regulation, and there is no employer response within the 5 business day period in §B(7)(a) of this regulation, the Division may proceed with estimation under COMAR 09.42.02.09C. (g) If benefits are approved and issued and job and anti-retaliation protections have thus attached and an employer provides a response after the time period provided in §B(7)(a) of this regulation, the response may still be considered and if the information negates the recipient’s eligibility: (i) The recipient is still entitled to the benefits received; (ii) Continuation of benefits will cease; and (iii) Job and anti-retaliation protections apply for the time period from approval of benefits to revocation of benefits. (h) If FAMLI leave has been retroactively approved and additional information as described in §B(7)(e) of this regulation has been provided then any benefits issued shall be considered an overpayment and job and anti-retaliation protections may not apply. C. Updating a Claim Application. (1) This provision applies to applications a claimant may need to update as well as the incomplete application notification requirements in Labor and Employment Article, §8.3-703, Annotated Code of Maryland. (2) A claim shall be updated within 10 days, or as soon as practicable with good cause shown, of any changes to the following information provided on an application: (a) Basis for leave; (b) Start date of leave; (c) Duration of leave; (d) End date of leave; or (e) Whether the claimant has begun to receive Workers’ Compensation or Unemployment Insurance benefits. (3) Failure to update a claim with any changes to the information provided on an application for benefits may result in a delay, underpayment, overpayment, or denial of benefits. D. Cancelation of a Claim. (1) If a claimant no longer requires FAMLI benefits, their application may be withdrawn. (2) If the FAMLI leave period has already commenced, the total amount of FAMLI leave actually taken, not the total amount applied for, will be assessed against the claimant’s FAMLI leave balance for the application year. #### Regulation .05 Determination of Length of FAMLI Leave. *COMAR 09.42.04.05* A. General. (1) Except as outlined in §A(2) of this regulation, any claimant may receive up to 12 weeks of FAMLI benefits and leave per employer per application year. (2) A claimant may receive an additional 12 weeks of FAMLI benefits and leave if the claimant during the same application year: (a) Received medical leave and becomes eligible for bonding leave; or (b) Received bonding leave and becomes eligible for medical leave. (3) For each claim, a claimant may be approved for the lesser of: (a) 12 weeks; (b) The remaining FAMLI leave balance for the claimant for the application year; (c) The amount requested; or (d) If applicable, the amount supported by any required documentation. B. Family Leave. (1) Bonding Leave. (a) Birth of a Child. Any claimant seeking leave for bonding with a child may apply for up to 12 weeks of FAMLI leave within the first 12 months beginning on the date of the birth. (b) Adoption, Foster Care, or Kinship Care. (i) Any claimant seeking leave for bonding with a child placed through adoption, fostering, or kinship care may apply for up to 12 weeks of FAMLI leave within 12 months of the placement. (ii) FAMLI leave may also be used in anticipation of placement for court appearances, legal appointments, placement agency appointments, counseling appointments, medical appointments, and travel, provided they are substantiated by documentation required. (2) Caring for a Family Member. (a) A claimant seeking leave to care for a family member may apply for up to 12 weeks of FAMLI leave provided documentation from a licensed health care provider substantiating the time period requested is submitted with the application. (b) Death of Family Member. If the covered individual is on approved FAMLI leave and the person they are caring for dies, the reason for that leave has ended. (i) Benefits shall continue to be paid to the covered individual until 7 days after the death of the family member or the previously approved end date for the leave, whichever date is soonest. (ii) The covered individual shall provide notice of the date of death of the family member for whom the covered individual was caring within 72 hours of the person’s passing. (3) Uniformed Services Caregiving. A claimant seeking leave to care for a service member may apply for up to 12 weeks of FAMLI leave provided documentation from a licensed health care provider substantiating the time period requested is submitted with the application. C. Medical Leave. A claimant seeking leave for their own serious health condition may apply for up to 12 weeks of FAMLI leave provided documentation from a licensed health care provider substantiating the time period requested is submitted with the application. D. Qualified Exigency Leave. A claimant seeking leave for a qualifying exigency may apply for up to 12 weeks of FAMLI leave provided documentation outlined in COMAR 09.42.04.04(B)(5)(e) substantiating the time period requested is submitted with the application. #### Regulation .06 FAMLI Benefit Calculation. *COMAR 09.42.04.06* A. Claimant Average Weekly Wage. (1) A claimant’s average weekly wage shall be calculated by dividing the wages earned from the employer from whom the claimant is taking FAMLI leave over the highest of the previous 4 completed calendar quarters for which quarterly reports have been required prior to the anchor date by 13. (2) If the Division does not have completed wage and hour reports for at least 2 quarters for an employed claimant with the employer from which they have requested leave, the Division will use the highest quarter of the most recent 4 quarters the claimant worked for any employer to calculate the employed claimant’s average weekly wage. B. Continuous FAMLI Leave Benefit Calculation. (1) If the claimant’s average weekly wage is 65 percent or less of the State average weekly wage, benefits will be 90 percent of the claimant’s average weekly wage; or, if the claimant’s average weekly wage is greater than 65 percent of the State average weekly wage, benefits will be the sum of: (a) 90 percent of the claimant’s average weekly wage up to 65 percent of the State average weekly wage; and (b) 50 percent of the claimant’s average weekly wage that is greater than 65 percent of the State average weekly wage up to the maximum weekly benefit amount. (2) The benefit amount shall be calculated using the State average weekly wage and maximum weekly benefit amount in effect at the time the approved leave begins and that amount shall be set for the duration of the claim. C. Intermittent FAMLI Leave Hours Calculation. For an intermittent leave claim, one week of benefits equals the quotient of the number of hours worked during the highest earning quarter of the previous 4 completed calendar quarters for which quarterly reports have been required prior to the anchor date divided by 13. D. Intermittent FAMLI Leave Benefit Calculation. (1) For intermittent FAMLI leave an hourly benefit amount will be calculated by dividing the weekly benefit amount by the average number of hours worked per week during the highest earning of the previous 4 completed calendar quarters for which quarterly reports have been required prior to the anchor date. (2) The benefit amount to be disbursed will be calculated by multiplying the hourly benefit amount by the number of hours of intermittent FAMLI leave taken in a week. (3) The benefit amount shall be calculated using the State average weekly wage and maximum weekly benefit amount in effect on the anchor date. (4) On or before the first day of January the benefit amount of every open and active claim for intermittent leave shall be readjusted based on the new maximum weekly benefit amount. #### Regulation .07 Intermittent FAMLI Leave Benefit Request Process. *COMAR 09.42.04.07* A. Claimants approved for intermittent FAMLI leave shall submit requests for benefits within 5 business days of leave being taken unless good cause can be shown. B. Intermittent FAMLI leave shall not be taken for less than 4 hours unless the claimant’s scheduled shift was fewer than 4 hours. C. Benefits will not be issued for requests that significantly exceed the expected duration and frequency listed on the medical certification without an updated certification. D. Approved intermittent leave applications expire after one year. E. If a claimant requires additional FAMLI leave for the qualifying event subject to the expiration period identified in §D of this regulation, the employee will have to submit a new claim application. #### Regulation .08 Notice Requirements. *COMAR 09.42.04.08* A. Employer to Employee. (1) An employer shall give an employee notice about FAMLI leave and benefits in the following circumstances: (a) 6 months prior to the commencement of benefits, either through an EPIP or with the State plan; (b) At hire; (c) Annually; (d) 30 days before any changes to the employer’s FAMLI procedures or plan go into effect; and (e) When the employer knows that an employee’s leave or leave request may be eligible for FAMLI. (2) The Division will publish prescribed forms and templates for employer use under COMAR 09.42.01.03. (3) If the employer collects an electronic or physical acknowledgement of receipt by the claimant (such as an electronic or wet signature) of the notice, the claimant is considered notified. B. Employee to Employer. (1) FAMLI Leave. (a) Foreseeable FAMLI Leave. If the need for FAMLI leave is foreseeable, an employee shall provide 30 days notice to an employer. (b) Unforeseeable FAMLI Leave. If an employee did not or could not have known about the need for FAMLI leave 30 days before the FAMLI leave commencement date, the employee shall be required to provide notice as soon as practicable of the need for FAMLI leave to their employer. (c) An employer may waive the notice requirement. (d) An employer is deemed to have waived the notice requirement under §B(1)(a) of this regulation if the employer: (i) Did not invoke it when notified of the claim by the Division or the EPIP; or (ii) Failed to notify the claimant that the employer requires notice under §B(1)(a) of this regulation. (2) Intermittent FAMLI Leave. (a) If FAMLI leave is to be taken on an intermittent schedule, the employee shall: (i) Make a reasonable effort to schedule the intermittent FAMLI leave in a manner that does not cause significant difficulty or expense in relation to the resources and specific operations of the employer’s operations; and (ii) Provide the employer with reasonable and practicable prior notice of the reason, dates, and duration for which intermittent FAMLI leave is necessary. (b) Notice of Intermittent Leave Schedule. (i) A recipient who is approved for intermittent FAMLI leave who fails to provide reasonable and practicable prior notice to their employer of the intermittent leave schedule may be subject to the employer’s established absence policy. (ii) An employer, whether enrolled in the State plan or an EPIP, shall notify the Division when a recipient approved for intermittent FAMLI leave fails to provide the notice detailed in §B(2)(a) of this regulation before the employer takes action against the employee under the employer’s established absence policy. (iii) If a recipient’s utilization of intermittent FAMLI leave is inconsistent with the FAMLI leave approval, it may not be considered retaliation for an employer to request additional information related to the use of FAMLI leave. C. State Plan or EPIP to Claimant. Claimants shall be provided notice in the following circumstances: (1) When a claimant’s application is submitted. (2) When an incomplete application is submitted, within 5 business days of application submission. (3) When a notice is sent to the claimant’s employer (confidentiality restrictions). (4) When their employer’s response is submitted. (5) Whether their application is approved, within 10 business days of complete claim application submission including: (a) Benefit amount; (b) FAMLI benefits beginning date; (c) FAMLI leave period beginning date; (d) FAMLI benefits ending date; (e) FAMLI leave period ending date; (f) Duration and frequency of intermittent FAMLI leave (if applied for); and (g) The claimant’s appeal rights. (6) Whether their application is denied (in full or in part) within 10 business days of complete claim application submission and the notice shall: (a) State concisely and simply: (i) The reasons for denial; (ii) The claimant’s appeal rights; (iii) The facts that are asserted; or (iv) If the facts cannot be stated in detail when the notice is given, the issues that are involved; (b) State the pertinent statutory and regulatory sections under which the action was taken; (c) State that the party receiving the notice has the opportunity to request a reconsideration, including: (i) What, if anything, a person must do to receive a reconsideration; and (ii) All relevant time requirements; and (d) State the direct consequences, if any, or remedy of the party receiving the notice’s failure to exercise in a timely manner the opportunity for a reconsideration. D. State Plan or EPIP to Employer. An employer shall be provided notice of any of the following circumstances occurring: (1) An employee files an application; (2) An employee files a complete claim application; (3) A determination regarding a claim for benefits is made; (4) A reconsideration or an appeal of a determination regarding a claim for benefits is filed; or (5) A change is made to a determination regarding a claim for benefits. #### Regulation .09 Coordination of Benefits. *COMAR 09.42.04.09* A. FMLA. An employee’s annual maximum duration of FAMLI leave may be reduced by the employee’s use of FMLA if: (1) The employee’s FMLA leave was also eligible for FAMLI; (2) The employer notified the employee of their potential eligibility for FAMLI when the employee took FMLA; and (3) The employee did not apply for FAMLI leave. B. Employer-Provided Leave. (1) Alternative FAMLI Purpose Leave (AFPL). (a) An employer may require an employee to use AFPL concurrently or in coordination with FAMLI provided the AFPL is: (i) Specifically designed to fulfill a purpose of FAMLI; (ii) Paid; (iii) Not accrued; (iv) Not subject to repayment if the employee leaves their position; (v) Not available for general purposes; and (vi) Available without a requirement to exhaust another form of leave. (b) If an employer chooses to require an employee to use AFPL concurrently or in coordination with FAMLI leave, the employer shall provide advanced written notice to its employees of this requirement. (c) When an employer requires concurrent or coordinated usage of AFPL and FAMLI and has satisfied the written notice requirement, and the employee declines to apply for FAMLI benefits, the employee’s FAMLI eligibility is reduced by the amount of AFPL time taken. (d) If a recipient receives wage replacement from both FAMLI and AFPL concurrently, the FAMLI benefit is primary and the AFPL benefit may be used to supplement the recipient’s wage to equal no more than 100 percent of the recipient’s average weekly wage. (e) An employer may deduct the full amount of time taken under both forms of leave from the recipient’s AFPL balance even if the recipient only received partial wage replacement from the AFPL. (f) An employee’s decision to use AFPL concurrently or in coordination with FAMLI does not negate the job protection or retaliation provisions of Labor and Employment Article, §§8.3-706 and 904, Annotated Code of Maryland. (2) General Purpose Leave. (a) Neither the employee nor the employer may require the substitution of general purpose leave for FAMLI leave. (b) An employer and an employee may agree to have general purpose leave wages supplement FAMLI benefits, up to 100 percent of the employee’s average weekly wage. (c) If general purpose leave is used to supplement FAMLI benefits, the employer may: (i) Convert the dollar amount of the supplement into the corresponding number of employer-provided general purpose leave hours; and (ii) Subtract those hours from the employee’s balance of accrued and unused employer-provided general purpose leave. (d) Documentation of use of general purpose leave. (i) The use of employer-provided general purpose leave to supplement FAMLI benefits requires mutual agreement in writing between the employer and the employee. (ii) If either the employer or the employee does not so mutually agree, employer-provided general purpose leave may not be used to supplement FAMLI benefits. (iii) Any agreement under §B(2)(d)(ii) of this regulation shall be documented and retained by the employer. (e) Mutual agreement between the employer and the employee is not necessary in order for an employee to use paid sick leave prior to receiving FAMLI leave benefits. C. Workers’ Compensation and Unemployment Benefits. (1) Under Labor and Employment Article, §8.3-702(e), Annotated Code of Maryland, an individual receiving Unemployment Insurance benefits from the State may not be eligible for FAMLI benefits. (2) Except in the case of benefits for a permanent partial disability, under Labor and Employment Article, §8.3-702(e), Annotated Code of Maryland, an individual receiving Workers’ Compensation wage replacement benefits may not be eligible for FAMLI benefits. #### Regulation .10 Benefit Payment Process. *COMAR 09.42.04.10* A. Payment Schedule. (1) The first payment to a recipient shall be within 5 business days after the complete claim application is approved or the FAMLI leave has started, whichever is later. (2) Subsequent benefit payments to recipients shall be made at least every 2 weeks until the benefit period ends. (3) In the event the recipient provides incorrect or erroneous payment information, additional time will be required for payment to be issued or reissued. B. Overpayment. (1) On learning of overpayment of benefits, written notice will be sent to the recipient, including that: (a) Repayment of the overpayment is being sought; or (b) A waiver of the repayment is being offered. (2) In cases of seeking repayment, the recipient shall have 30 days to reply to the notice as follows: (a) The recipient agrees to repay; or (b) The recipient requests a waiver under §B(4) of this regulation. (3) Repayment. Repayment of benefits may be sought from an individual who received benefits under this subtitle if: (a) Benefits were paid erroneously or as a result of willful misrepresentation by the recipient; or (b) A claim for benefits under this subtitle is rejected after the benefits were paid. (4) Waiver. Repayment of benefits may be waived if: (a) The error in payment was not due to any knowingly false statement, nondisclosure of material fact, or misrepresentation by a covered individual; or (b) The repayment would be against equity and good conscience or administrative efficiency. (5) Denial of waiver. If a recipient requests a waiver and the request is denied, the recipient may file a request for reconsideration. (6) If an EPIP seeks monetary reimbursement of an overpayment of benefits, the EPIP administrator shall notify the Division of its intent to seek reimbursement simultaneously with its notice to the recipient. (7) If a recipient’s employer has terminated enrollment in the State plan and enrolled in an EPIP, any recipient who filed a valid claim for benefits under the State plan before the effective date of the employer’s EPIP enrollment shall be paid or continue to be paid benefits from and under the terms of the State plan until the total amount of the benefit claim is paid, the duration of leave ends, or the application year ends, whichever occurs first. #### Regulation .11 Finding of Fraud After Benefit Approval. *COMAR 09.42.04.11* If benefits are approved and issued and job and anti-retaliation protections have thus attached, and then fraud is proven: A. Any benefits issued will be treated as an overpayment; and B. Job and anti-retaliation protections will not apply. #### Regulation .12 Special EPIP Provisions. *COMAR 09.42.04.12* A. To the extent the claim procedures, including timelines and good cause, outlined in this chapter are more restrictive with respect to claimants than those claim procedures outlined by the Administration, the Administration’s procedures shall control. B. To the extent the claim procedures, including notice requirements and good cause, outlined in this chapter are less restrictive with respect to employers and carriers than those claim procedures outlined by the Administration, the Administration’s procedures shall control. ### Chapter 05 — Dispute Resolution **Authority:** Labor and Employment Article, §§8.3-101, 403, and 906, Annotated Code of Maryland **Administrative History:** Effective date: March 30, 2026 (53:6 Md. R. 290) #### Regulation .01 Definitions. *COMAR 09.42.05.01* A. In this chapter, the following terms have the meanings indicated. B. Terms Defined. (1) “Administrative Procedure Act” means State Government Article, §§10-201—10-217, Annotated Code of Maryland. (2) “Authorized representative” means a person designated by a party to represent the party during the Division’s dispute resolution process. (3) “Contribution liability” means the amount the Division tells an employer is due each quarter, covering both the employer and employee portion. (4) “Final order” means the final decision of the hearing officer which contains findings of fact, conclusions of law, and a disposition which grants or denies FAMLI benefits and/or FAMLI leave. (5) “Good cause” means a demonstration by a party that a failure to timely file for EPIP denial or termination review, reconsideration, appeal, or postponement was due to: (a) A serious health condition that resulted in an unanticipated and prolonged period of incapacity and that prevented all individuals with authority to file from filing in a timely manner; (b) A demonstrated inability to reasonably access a means to file in a timely manner, such as due to a natural disaster, power outage, or a significant and prolonged Department system outage; or (c) A demonstrated failure of the entity which issued the adverse determination to provide notice of dispute resolution procedures. (6) “Hearing officer” means the individual or entity who issues the final order in a FAMLI appeal. (7) “Party” means a claimant, an individual who has been disqualified from receiving benefits under Labor and Employment Article, §8.3-901, Annotated Code of Maryland, an EPIP administrator, or the Division, or all or some of them, as applicable. #### Regulation .02 EPIP Denial or Termination Review. *COMAR 09.42.05.02* A. An employer whose application to opt-out of the State plan and into an EPIP was denied or whose EPIP was involuntarily terminated may file a request for review. B. Manner of Filing. (1) Requests for Review shall be filed with the Division within 10 business days of the application denial or termination unless good cause for a delay can be shown. (2) Requests for Review shall be in writing in a manner prescribed by the Division. (3) Requests for Review shall include why the requestor believes the application denial or termination was in error. C. Review shall be conducted by Division personnel who did not participate in the initial application denial or termination at issue. D. The Division shall issue a decision electronically on a request for review within 20 business days. E. The Division may schedule an informal conference to discuss the review request. F. If the Division schedules an informal conference, it shall be held within the required time period for a decision to be issued. #### Regulation .03 Claimant and Benefit Disqualification Reconsideration and Appeals. *COMAR 09.42.05.03* A. Reconsideration. Any claimant is entitled to request reconsideration of any determination by the Division or an EPIP administrator. (1) Manner of Filing. (a) Requests for reconsideration shall be filed within 30 days, unless good cause can be shown, of a determination by the issuing entity, either the Division or EPIP administrator. (b) Requests for reconsideration shall be in writing. (c) Requests shall include why the requestor believes the determination to be in error. (2) Notice of Reconsideration. When a reconsideration request is filed, the Division or EPIP administrator shall notify in a timely manner all parties to the determination being reconsidered and the employer. (3) Reconsideration shall be conducted by Division or EPIP administrator personnel, as applicable, who did not participate in the determination at issue. (4) A decision on the reconsideration shall be issued within 10 business days. (5) An informal conference to discuss the reconsideration may be held. (6) If an informal conference is scheduled, it shall be held within the required time period for a decision to be issued. B. Appeals. Any claimant whose claim has been denied, in part or in full, whose benefits have been underpaid, or any individual who has been disqualified from receiving benefits under Labor and Employment Article, §8.3-901, Annotated Code of Maryland, is entitled to file appeals of adverse determinations. (1) The appeals process is available only to claimants who have completed the reconsideration process as described in §A of this regulation. (2) The appeal shall be filed with the Division within 30 days of the adverse determination unless the claimant or individual can show good cause. (3) The Division shall be a party to every appeal under this section regardless of which entity issued the adverse determination on appeal. (4) Notice of Appeal. When an appeal is filed, the Division shall notify in a timely manner: (a) All parties to the adverse determination being appealed, including the issuer of the benefits at issue; and (b) The claimant’s employer from whom the claimant requested FAMLI leave. (5) Informal Conference. There may be an informal conference process activated at the sole discretion of the Division at the time of filing of the appeal and proceeding with it shall be at the discretion of the Division. (6) Absent unusual circumstances, a hearing shall be held on the appeal within 30 days of filing of the appeal. (7) Hearing Notice. Parties to appeals shall be provided with reasonable written notice of a hearing to the parties. (a) The hearing notice shall contain: (i) The date, time, place, and nature of the hearing; (ii) A statement of the right to present witnesses, documents, and other forms of evidence, and the right to cross-examine witnesses of another party; (iii) A statement of the right to request subpoenas for witnesses and evidence, specifying the costs, if any, associated with the request; (iv) A copy of the hearing procedure; (v) A statement of the right or restrictions pertaining to representation; (vi) A statement that failure to appear for the scheduled hearing may result in an adverse action against that party; and (vii) A statement that the parties may agree to the evidence and waive their right to appear at the hearing. (b) Service of Notices, Orders, and Other Documents. Except as provided by prior agreement of the parties, the hearing officer shall serve notices, orders, and other documents to the parties in one of the following ways: (i) Electronically; and (ii) By personal delivery; or (iii) By mailing a copy of the document, first class, postage prepaid, to the person’s last known business or home address; and (iv) If the person is represented by counsel, also by delivering or mailing a copy of the document, first class, postage prepaid, to the person’s attorney. (c) The hearing officer shall send the hearing notice to the parties to the appeal: (i) At least 15 days before the hearing; or (ii) If the parties have agreed to a date for which 15 days notice cannot be given, at the earliest time possible. (8) Representation. (a) A party to a proceeding may: (i) Appear individually or, if appearance by a representative is permitted by law, through a representative; or (ii) Be represented by an attorney authorized to practice in Maryland. (b) Any notice, decision, or other matter required to be sent to a party may also be sent to the party’s attorney of record at the attorney’s address. (c) If a party is represented by an attorney or appears through an authorized representative, then examination and cross-examination of witnesses, and objections and motions on the party’s behalf shall be made solely by the attorney or the authorized representative. (9) Failure to Appear. A hearing may proceed as scheduled in the absence of a party if the party has: (a) Been served in accordance with §B(7) of this regulation; and (b) Failed to obtain a postponement of the hearing from the hearing officer under these requirements. (10) Postponement. (a) The hearing officer may postpone a hearing only if a written request for postponement is filed with the hearing officer not later than 10 days before the date of the hearing. (b) If a request for postponement is received later than 10 days before the date of the hearing, the hearing officer shall deny the request unless they determine that there was good cause which justified the delay. (c) Failure to retain counsel or to timely request a subpoena may not be considered good cause under this regulation. (d) A request for postponement based on failure to obtain service on a witness may not be granted if the party has failed to comply with the subpoena procedures set forth at COMAR 09.01.02. (11) Discovery. There is no pre-hearing discovery. (12) The documents used by the provider of FAMLI benefits in determining the claim shall be part of the record. (13) Subpoenas. Subpoena procedures are governed by COMAR 09.01.02. (14) Conduct of the Proceedings. (a) The hearing officer may impose reasonable time limitations. (b) The Maryland Rules of Civil Procedure may be used as a guide in resolving procedural issues governing the conduct of the hearing that are not addressed in this chapter and the Administrative Procedure Act. (c) The hearing officer may conduct all or any part of the hearing by telephone, video conference, or other electronic means, in accordance with State Government Article, §10-211, Annotated Code of Maryland. (d) Order of Proceedings. Absent unusual circumstances, the order of proceedings shall be as follows: (i) Opening statements and preliminary matters may be heard; (ii) All individuals planning to testify shall be sworn before testifying; (iii) The claimant or individual or their attorney or authorized representative may present the claimant’s or individual’s case; (iv) The EPIP administrator may present the EPIP administrator’s case; (v) The Division may present the Division’s case; (vi) The claimant or individual shall be entitled to a brief rebuttal after the conclusion of the EPIP administrator’s case and/or the Division’s case; (vii) The hearing officer may hear closing arguments in the same order as the presentation of evidence; and (viii) Dispositive motions are prohibited. (15) Evidence. (a) The rules of evidence under this chapter shall be under State Government Article, §10-213, Annotated Code of Maryland. (b) Hearsay, in the form of medical records and certified forms filled out by licensed health care providers, shall be permitted at the hearing. (c) Additional evidence may not be introduced unless the party seeking to introduce it demonstrates to the satisfaction of the hearing officer that the new evidence: (i) Is relevant and material; (ii) Was not discovered before the claim was filed; and (iii) Could not have been discovered before the claim was filed with the exercise of due diligence. (16) All hearings shall be on the record. The record shall include: (a) All pleadings, motions, responses, correspondence, memoranda, including proposed findings of fact and conclusions of law, and requests filed by the parties; (b) All hearing notices; (c) All documentary and other tangible evidence received or considered; (d) A statement of each fact officially noticed; (e) All stipulations; (f) All offers of proof and objections; (g) All rulings, orders, and decisions, proposed or final; (h) Matters placed on the record in connection with ex parte communication; (i) The recording of the hearing, and any pre hearing proceeding, and any transcript of the recording prepared by a court reporting service; and (j) Any other item required by law. (17) Interpreters. (a) If a party or witness cannot readily hear, speak, or understand the spoken or written English language, and applies to the hearing officer in advance of the hearing for the appointment of a qualified interpreter to assist that party or witness, the hearing officer shall appoint a qualified interpreter to provide assistance during the hearing. (b) With the approval of the hearing officer, a party who intends to offer the testimony of a witness who cannot readily hear, speak, or understand the spoken or written English language, may arrange for a qualified interpreter to assist the witness. (c) An interpreter shall take an oath or affirm that the interpreter will accurately translate. (18) Burden of Proof. (a) The claimant shall bear the burden of proving, by a preponderance of the evidence, that the Division or EPIP administrator erred in making the initial claim decision under dispute, given the evidence available at the time of the initial decision. (b) The individual who has been disqualified from receiving benefits under Labor and Employment Article §8.3-901, Annotated Code of Maryland shall bear the burden of proving, by a preponderance of the evidence, that the individual should not have been disqualified. (19) Closed Hearings. Unless otherwise provided by statute, all hearings conducted under this chapter are closed to the public. (20) Recording. (a) The proceedings shall be recorded. (b) The record need not be transcribed unless requested by a party. (c) The cost of a typewritten transcript of any proceeding or part of a proceeding shall be paid by the party requesting the transcript. (d) Except as provided under §B(20)(a) of this regulation, cameras, tape recorders, and other electronic and photographic equipment of any type are not permitted at the hearing, unless the equipment is intended to be introduced into evidence or used to present evidence. (21) Recusal. A hearing officer shall be recused from the review of an appeal and from participating in a hearing if the hearing officer: (a) Has personal knowledge of the facts which gave rise to the appeal; (b) Has a personal or business relationship with any of the parties or witnesses; or (c) For any other reason may be unable to act impartially in the matter. (22) Decisions. After consideration of the testimony and other evidence the hearing officer shall issue a final written order, including any penalties or fees issued under Labor and Employment Article, §8.3-101 et seq., Annotated Code of Maryland, no more than 10 business days after the conclusion of the hearing. (23) Decision to Employer. Upon receipt of the decision by the Division, the Division shall forward a copy of the decision to the employer. (24) Judicial Review. A party aggrieved by the final order is entitled to judicial review of the decision under State Government Article, §10-222, Annotated Code of Maryland. #### Regulation .04 Contribution Liability Reconsideration and Appeals. *COMAR 09.42.05.04* A. Reconsideration. An employer is entitled to request reconsideration by the Division of a determination of the employer’s contribution liability. (1) Manner of Filing: (a) Requests for reconsideration shall be filed within 30 days, unless good cause can be shown, of notice of the contribution liability; (b) Requests for reconsideration shall be in writing; and (c) Requests shall include why the requestor believes the contribution liability to be in error. (2) Reconsideration shall be conducted by Division personnel who did not participate in the contribution liability determination at issue. (3) A decision on the reconsideration shall be issued within 30 days. B. Appeals. (1) The appeals process is only available to employers who have completed the reconsideration process as described in §A of this regulation. (2) The appeal shall be filed with the Division within 30 days of the reconsideration denial unless the employer can show good cause. (3) Absent unusual circumstances, a hearing shall be held on the appeal within 60 days of filing of the appeal. (4) Hearing Notice. Employers shall be provided with reasonable written notice of a hearing. (a) The hearing notice shall contain: (i) The date, time, place, and nature of the hearing; (ii) A statement of the right to present witnesses, documents, and other forms of evidence, and the right to cross-examine witnesses; (iii) A statement of the right to request subpoenas for witnesses and evidence, specifying the costs, if any, associated with the request; (iv) A copy of the hearing procedure; (v) A statement of the right or restrictions pertaining to representation; (vi) A statement that failure to appear for the scheduled hearing may result in an adverse action against the employer; and (vii) A statement that the employer and Division may agree to the evidence and waive their right to appear at the hearing. (b) Service of Notices, Orders, and Other Documents. Except as provided by prior agreement, the hearing officer shall serve notices, orders, and other documents to the employer and any other parties in one of the following ways: (i) Electronically; and (ii) By personal delivery; or (iii) By mailing a copy of the document, first class, postage prepaid, to the employer’s last known business or home address; and (iv) If the employer is represented by counsel, also by delivering or mailing a copy of the document, first class, postage prepaid, to the employer’s attorney. (c) The hearing officer shall send the hearing notice to the employer: (i) At least 15 days before the hearing; or (ii) If the employer has agreed to a date for which 15 days notice cannot be given, at the earliest time possible. (5) Representation. (a) An employer may appear individually or, if appearance by an attorney or representative is permitted or required by law, through an attorney authorized to practice in Maryland. (b) Any notice, decision, or other matter required to be sent to an employer may also be sent to the employer’s attorney of record at the attorney’s address. (c) If an employer is represented by an attorney or appears through an authorized representative, then examination and cross-examination of witnesses, and objections and motions on the employer’s behalf shall be made solely by the attorney or the authorized representative. (6) Failure to Appear. A hearing may proceed as scheduled in the absence of the employer if the employer has: (a) Been served in accordance with §B(4) of this regulation; and (b) Failed to obtain a postponement of the hearing from the hearing officer under these requirements. (7) Postponement. (a) The hearing officer may postpone a hearing only if a written request for postponement is filed with the hearing officer not later than 10 days before the date of the hearing. (b) If a request for postponement is received later than 10 days before the date of the hearing, the hearing officer shall deny the request unless they determine that there was good cause which justified the delay. (c) Failure to retain counsel or to timely request a subpoena may not be considered good cause under this regulation. (d) A request for postponement based on failure to obtain service on a witness may not be granted if the employer has failed to comply with the subpoena procedures set forth at COMAR 09.01.02. (8) Discovery. There is no pre-hearing discovery. (9) Subpoenas. Subpoena procedures are governed by COMAR 09.01.02. (10) Conduct of the Proceedings. (a) The hearing officer may impose reasonable time limitations. (b) The Maryland Rules of Civil Procedure may be used as a guide in resolving procedural issues governing the conduct of the hearing that are not addressed in this chapter and the Administrative Procedure Act. (c) The hearing officer may conduct all or any part of the hearing by telephone, video conference, or other electronic means, in accordance with State Government Article, §10-211, Annotated Code of Maryland. (d) Order of Proceedings. Absent unusual circumstances, the order of proceedings shall be as follows: (i) Opening statements and preliminary matters may be heard; (ii) All individuals planning to testify shall be sworn before testifying; (iii) The employer or their attorney or authorized representative may present the employer’s case; (iv) The Division may present the Division’s case; (v) The employer shall be entitled to a brief rebuttal after the conclusion of the Division’s case; (vi) The hearing officer may hear closing arguments in the same order as the presentation of evidence; and (vii) Dispositive motions are prohibited. (11) Evidence. (a) The rules of evidence under this chapter shall be under State Government Article, §10-213, Annotated Code of Maryland. (b) Additional evidence may not be introduced unless the party seeking to introduce it demonstrates to the satisfaction of the hearing officer that the new evidence: (i) Is relevant and material; (ii) Was not discovered before the contribution liability was determined; and (iii) Could not have been discovered before the contribution liability was determined with the exercise of due diligence. (12) The record shall include: (a) All pleadings, motions, responses, correspondence, memoranda, including proposed findings of fact and conclusions of law, and requests filed by the employer and Division; (b) All hearing notices; (c) All documentary and other tangible evidence received or considered; (d) A statement of each fact officially noticed; (e) All stipulations; (f) All offers of proof and objections; (g) All rulings, orders, and decisions, proposed or final; (h) Matters placed on the record in connection with ex parte communication; (i) The recording of the hearing, and any pre hearing proceeding, and any transcript of the recording prepared by a court reporting service; and (j) Any other item required by law. (13) Interpreters. (a) If an employer or witness cannot readily hear, speak, or understand the spoken or written English language, and applies to the hearing officer in advance of the hearing for the appointment of a qualified interpreter to assist that employer or witness, the hearing officer shall appoint a qualified interpreter to provide assistance during the hearing. (b) With the approval of the hearing officer, an employer who intends to offer the testimony of a witness who cannot readily hear, speak, or understand the spoken or written English language, may arrange for a qualified interpreter to assist the witness. (c) An interpreter shall take an oath or affirm that the interpreter will accurately translate. (14) Burden of Proof. The employer shall bear the burden of proving, by a preponderance of the evidence, that the employer is entitled to a change in the contribution liability. (15) Open Hearings. Unless otherwise provided by statute, all hearings conducted under this chapter are open to the public. (16) Recording. (a) The proceedings shall be recorded; (b) The record need not be transcribed unless requested by the employer; (c) The cost of a typewritten transcript of any proceeding or part of a proceeding shall be paid by the entity requesting the transcript; and (d) Except as provided under §B(16)(a) of this regulation, cameras, tape recorders, and other electronic and photographic equipment of any type are not permitted at the hearing, unless the equipment is intended to be introduced into evidence or used to present evidence. (17) Recusal. A hearing officer shall be recused from the review of an appeal and from participating in a hearing if the hearing officer: (a) Has personal knowledge of the facts which gave rise to the appeal; (b) Has a personal or business relationship with the employer or witnesses; or (c) For any other reason may be unable to act impartially in the matter. (18) Decisions. After consideration of the testimony and other evidence the hearing officer shall issue a final written order, including any penalties or fees issued under Labor and Employment Article, §8.3-101 et seq., Annotated Code of Maryland, within 90 days of the conclusion of the hearing. (19) Judicial Review. An employer aggrieved by the final order is entitled to judicial review of the decision under State Government Article, §10-222, Annotated Code of Maryland. #### Regulation .05 Special EPIP Provisions. *COMAR 09.42.05.05* A. To the extent the dispute resolution procedures, including timelines and good cause, outlined in this chapter are more restrictive with respect to claimants and recipients than those dispute resolution procedures outlined by the Administration, the Administration’s procedures shall control. B. To the extent the dispute resolution procedures, including notice requirements and good cause, outlined in this chapter are less restrictive with respect to employers and carriers than those dispute resolution procedures outlined by the Administration, the Administration’s procedures shall control.