# 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 R. 415) **Administrative History:** Regulations .01—.04 repealed and new Regulations .01—.21 adopted effective December 12, 2002 (29:24 Md.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.