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<chapter num="04" heading="Hearing Procedures" title_num="16" subtitle_num="02">
  <regulation prefix="Regulation" num=".01" heading="Venue.">
    <text>Hearings shall be conducted at a site designated by the Secretary.</text>
  </regulation>
  <regulation prefix="Regulation" num=".02" heading="Proceedings to be Public.">
    <paragraph num="A.">
      <text>In General.</text>
      <paragraph num="(1)">
        <text>Except as otherwise provided in this regulation, all proceedings before the Secretary shall be open to the public.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Proceedings shall be closed to the public to the extent:</text>
        <paragraph num="(a)">
          <text>Necessary to preserve confidentiality provided by law for individuals or records; or</text>
        </paragraph>
        <paragraph num="(b)">
          <text>Otherwise required by law.</text>
        </paragraph>
      </paragraph>
      <paragraph num="(3)">
        <text>On motion or on the Secretary's own initiative, the Secretary may close all or any part of the proceedings for good cause shown.</text>
      </paragraph>
    </paragraph>
    <paragraph num="B.">
      <text>Maintaining Order. The Secretary may:</text>
      <paragraph num="(1)">
        <text>Remove individuals whose conduct impedes the orderly progress of the hearing; and</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Restrict attendance because of the physical limitations of the hearing facility.</text>
      </paragraph>
    </paragraph>
    <paragraph num="C.">
      <text>Recording Equipment. Recording equipment (cameras, tape recorders, and other sound or video equipment) shall be excluded from the hearing room:</text>
      <paragraph num="(1)">
        <text>When required by law; or</text>
      </paragraph>
      <paragraph num="(2)">
        <text>If the Secretary determines that the use of this equipment may impede the orderly progress of the proceedings or otherwise interfere with the process.</text>
      </paragraph>
    </paragraph>
    <paragraph num="D.">
      <text>Records. Unless otherwise provided by law, all documents, notices, and records in the Secretary's possession as a result of a contested-case proceeding are subject to inspection and copying under the Public Information Act (State Government Article, Title 10, Subtitle 6, Part III, Annotated Code of Maryland), and COMAR16.03.03.</text>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".03" heading="Postponement; Continuance.">
    <paragraph num="A.">
      <text>Request for Postponement. A request for postponement may be made in writing or by telephone.</text>
    </paragraph>
    <paragraph num="B.">
      <text>Parties to be Contacted. When practicable, all parties to a proceeding shall be contacted before a ruling is made on the request.</text>
    </paragraph>
    <paragraph num="C.">
      <text>Action by Secretary.</text>
      <paragraph num="(1)">
        <text>The Secretary may grant the motion for good cause and as justice requires.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>The Secretary may postpone or continue a hearing on the Secretary's own initiative.</text>
      </paragraph>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".04" heading="Hearing by Telephone or Other Electronic Means.">
    <paragraph num="A.">
      <text>In General.</text>
      <paragraph num="(1)">
        <text>Except as otherwise provided in this section, the Secretary may conduct all or part of the hearing by telephone, video conference, or other electronic means, if each participant in the hearing has an opportunity to participate in, hear, and (for video means) see the entire proceeding.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>On objection for good cause, the hearing shall be conducted in accordance with the alternatives specified in State Government Article, §10-211(b), Annotated Code of Maryland.</text>
      </paragraph>
    </paragraph>
    <paragraph num="B.">
      <text>Rights Unaffected. All substantive and procedural rights apply to telephone, video conference, or other electronic hearings, subject only to the limitations of the physical arrangement.</text>
    </paragraph>
    <paragraph num="C.">
      <text>Documentary Evidence. For a hearing conducted by electronic means, documentary evidence to be offered must be delivered by the proponent to all parties and the Secretary at least 1 day before the hearing.</text>
    </paragraph>
    <paragraph num="D.">
      <text>Default. For a hearing conducted by electronic means, the following may be considered as a failure to appear and grounds for default, if the condition exists for more than 15 minutes after the scheduled start of the hearing:</text>
      <paragraph num="(1)">
        <text>Failure to answer telephone;</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Failure to free telephone for a hearing;</text>
      </paragraph>
      <paragraph num="(3)">
        <text>Failure to be present in the designated video or audio hearing room; or</text>
      </paragraph>
      <paragraph num="(4)">
        <text>Any other failure to be ready to proceed with the hearing as scheduled.</text>
      </paragraph>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".05" heading="General Conduct of Hearings.">
    <paragraph num="A.">
      <text>Secretary's Duties. The Secretary shall:</text>
      <paragraph num="(1)">
        <text>Conduct a full, fair, and impartial hearing;</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Take action to avoid unnecessary delay in the disposition of the proceedings; and</text>
      </paragraph>
      <paragraph num="(3)">
        <text>Maintain order.</text>
      </paragraph>
    </paragraph>
    <paragraph num="B.">
      <text>Secretary's Powers—General. The Secretary's authority to regulate the conduct of the proceedings includes the power to:</text>
      <paragraph num="(1)">
        <text>Administer oaths and affirmations;</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Rule on offers of proof and receive relevant and material evidence;</text>
      </paragraph>
      <paragraph num="(3)">
        <text>Rule on motions;</text>
      </paragraph>
      <paragraph num="(4)">
        <text>Call and examine witnesses to insure a full and complete record;</text>
      </paragraph>
      <paragraph num="(5)">
        <text>Limit unduly repetitious testimony and limit the time for presentations;</text>
      </paragraph>
      <paragraph num="(6)">
        <text>Request parties to submit legal memoranda and proposed findings of fact and conclusions of law;</text>
      </paragraph>
      <paragraph num="(7)">
        <text>Issue orders as necessary to secure procedural simplicity and administrative fairness and to eliminate unjustifiable expense and delay;</text>
      </paragraph>
      <paragraph num="(8)">
        <text>Conduct the hearing in a manner suited to ascertain the facts and safeguard the parties' rights; and</text>
      </paragraph>
      <paragraph num="(9)">
        <text>Impose appropriate sanctions for failure to abide by this subtitle or any order of the Secretary.</text>
      </paragraph>
    </paragraph>
    <paragraph num="C.">
      <text>Secretary's Powers—Prehearing Order. Whether or not a prehearing conference is held, the Secretary may issue a prehearing order to regulate the conduct of the proceedings.</text>
    </paragraph>
    <paragraph num="D.">
      <text>Sanctions. The sanctions authorized by this regulation include:</text>
      <paragraph num="(1)">
        <text>Limiting the issues to be heard;</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Dismissing all or any part of the request for a hearing; or</text>
      </paragraph>
      <paragraph num="(3)">
        <text>Entering an order on the merits against a party.</text>
      </paragraph>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".06" heading="Stipulations.">
    <paragraph num="A.">
      <text>Authorized. The parties may agree by stipulation to any substantive or procedural matter.</text>
    </paragraph>
    <paragraph num="B.">
      <text>How Made. A stipulation may be filed in writing or entered on the record at the hearing.</text>
    </paragraph>
    <paragraph num="C.">
      <text>Additional Development. The Secretary may require additional development of stipulated matters.</text>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".07" heading="Waiver of Right to Appear.">
    <paragraph num="A.">
      <text>In General.</text>
      <paragraph num="(1)">
        <text>A party may waive the right to appear personally at the hearing.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>A waiver may be made:</text>
        <paragraph num="(a)">
          <text>Orally to the Secretary; or</text>
        </paragraph>
        <paragraph num="(b)">
          <text>In writing and filed with the Secretary.</text>
        </paragraph>
      </paragraph>
    </paragraph>
    <paragraph num="B.">
      <text>Withdrawal. A waiver may be withdrawn only by written notice received by the Secretary at least 5 days before the earlier of:</text>
      <paragraph num="(1)">
        <text>The scheduled hearing; or</text>
      </paragraph>
      <paragraph num="(2)">
        <text>The date that applicable law permits for the issuance of the Secretary's decision.</text>
      </paragraph>
    </paragraph>
    <paragraph num="C.">
      <text>Not a Default. If a party has filed a waiver under this regulation, the failure of that party to appear personally or by representative may not result in a finding of default.</text>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".08" heading="Waiver of Hearing.">
    <text>The Secretary need not hold a hearing if all parties agree to the admission of evidence and waive their right to appear.</text>
  </regulation>
  <regulation prefix="Regulation" num=".09" heading="General Order of Proceedings.">
    <paragraph num="A.">
      <text>Start of Proceeding. At the start of the proceedings, the Secretary shall:</text>
      <paragraph num="(1)">
        <text>Briefly explain the purpose and nature of the hearing; and</text>
      </paragraph>
      <paragraph num="(2)">
        <text>State the order of presentation of evidence.</text>
      </paragraph>
    </paragraph>
    <paragraph num="B.">
      <text>Preliminary Matters. The Secretary may allow the parties, before presentation of evidence, to:</text>
      <paragraph num="(1)">
        <text>Present preliminary matters; and</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Make opening statements.</text>
      </paragraph>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".10" heading="Admission and Exclusion of Evidence.">
    <text>Evidence shall be admitted and excluded in accordance with State Government Article, §10-213, Annotated Code of Maryland.</text>
  </regulation>
  <regulation prefix="Regulation" num=".11" heading="Witnesses.">
    <paragraph num="A.">
      <text>Witness List.</text>
      <paragraph num="(1)">
        <text>Prior to the hearing, and whether or not a prehearing conference is held, the Secretary may order that each party make available to the other parties the names and written reports of experts and other witnesses the party expects to call.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Failure to comply in good faith with the order is grounds for the refusal to admit the oral or written testimony of that witness or a report of that expert.</text>
      </paragraph>
    </paragraph>
    <paragraph num="B.">
      <text>Oath or Affirmation. Witnesses shall take an oath or affirmation to tell the truth.</text>
    </paragraph>
    <paragraph num="C.">
      <text>Exclusion from Proceedings.</text>
      <paragraph num="(1)">
        <text>On request of a party, the Secretary shall exclude witnesses other than parties from the hearing room, except when testifying.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>A party, representative, witness, spectator, or other person may not disclose to any witness excluded under this section the nature, substance, or purpose of any testimony, exhibit, or other evidence introduced during that witness' absence.</text>
      </paragraph>
      <paragraph num="(3)">
        <text>A party that is not an individual may designate an employee or officer to remain in the hearing room as its representative, even though the employee or officer may be a witness.</text>
      </paragraph>
      <paragraph num="(4)">
        <text>An expert witness who is to render an opinion based on testimony given at the hearing may remain during that testimony.</text>
      </paragraph>
      <paragraph num="(5)">
        <text>If a witness receives information in violation of this section, the Secretary may:</text>
        <paragraph num="(a)">
          <text>Exclude the testimony of that witness; or</text>
        </paragraph>
        <paragraph num="(b)">
          <text>Take other appropriate action.</text>
        </paragraph>
      </paragraph>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".12" heading="Affidavits; Prefiled Testimony.">
    <paragraph num="A.">
      <text>Affidavits. The Secretary may admit an affidavit as evidence.</text>
    </paragraph>
    <paragraph num="B.">
      <text>Prefiled Testimony.</text>
      <paragraph num="(1)">
        <text>In the Secretary's discretion, testimony may be received in written form.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>The testimony shall be filed with the Secretary and served on opposing parties at least 5 days before the hearing.</text>
      </paragraph>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".13" heading="Interpreters.">
    <paragraph num="A.">
      <text>Appointment. If a party or witness cannot readily hear, speak, or understand spoken or written English, the Secretary shall arrange for a qualified interpreter to provide assistance during the hearing.</text>
    </paragraph>
    <paragraph num="B.">
      <text>Oath or Affirmation. The interpreter shall take an oath or affirm that he or she will accurately translate.</text>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".14" heading="Burdens of Going Forward and Persuasion.">
    <paragraph num="A.">
      <text>Scope. This regulation does not modify any burden of going forward or burden of persuasion that is imposed on a party by specific statute or regulation.</text>
    </paragraph>
    <paragraph num="B.">
      <text>Burdens for Permits, Licenses, and Certifications.</text>
      <paragraph num="(1)">
        <text>A party requesting a hearing following notice of the Department's intent to deny or refuse to renew a permit, license, or certification bears:</text>
        <paragraph num="(a)">
          <text>The burden of going forward to establish a prima facie case of entitlement to the permit or license; and</text>
        </paragraph>
        <paragraph num="(b)">
          <text>The burden of persuasion that the permit or license should be issued.</text>
        </paragraph>
      </paragraph>
      <paragraph num="(2)">
        <text>A party contesting the Department's proposed decision to issue or renew a permit, license, or certification bears:</text>
        <paragraph num="(a)">
          <text>The burden of going forward to establish a prima facie case that grounds exist for denying the license or permit; and</text>
        </paragraph>
        <paragraph num="(b)">
          <text>The burden of persuasion that the license or permit should be denied.</text>
        </paragraph>
      </paragraph>
      <paragraph num="(3)">
        <text>In a proceeding following notice by the Department of an intent to revoke or suspend a permit, license, or certification, the Department bears:</text>
        <paragraph num="(a)">
          <text>The burden of going forward to establish a prima facie case as to the existence of grounds for revocation or suspension; and</text>
        </paragraph>
        <paragraph num="(b)">
          <text>The burden of persuasion that the permit, license, or certification should be revoked or suspended.</text>
        </paragraph>
      </paragraph>
    </paragraph>
    <paragraph num="C.">
      <text>Burdens Established—Departmental Order. In a proceeding contesting an order or proposed order of the Department, the Department bears:</text>
      <paragraph num="(1)">
        <text>The burden of going forward to establish a prima facie case as to existence of grounds for issuance of the order; and</text>
      </paragraph>
      <paragraph num="(2)">
        <text>The burden of persuasion that the order be issued.</text>
      </paragraph>
    </paragraph>
    <paragraph num="D.">
      <text>Burdens Established—Party Asserting Affirmative of Issue. Except as otherwise specified in this regulation, the party asserting the affirmative of an issue before the Secretary bears both the burden of going forward and the burden of persuasion.</text>
    </paragraph>
    <paragraph num="E.">
      <text>Secretary's Decision.</text>
      <paragraph num="(1)">
        <text>The Secretary shall find against a party with the burden of going forward if that party has not presented sufficient evidence to establish a prima facie case for the party's claim or defense.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>The Secretary shall find against a party with the burden of persuasion if that party has not presented evidence sufficient to establish the correctness of the party's claim or defense by a preponderance of the evidence.</text>
      </paragraph>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".15" heading="Transcript of Proceedings.">
    <paragraph num="A.">
      <text>Recording.</text>
      <paragraph num="(1)">
        <text>A recording of the hearing shall be made at the Department's expense.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>The recording need not be transcribed unless requested by a party or by the Secretary.</text>
      </paragraph>
    </paragraph>
    <paragraph num="B.">
      <text>Transcription.</text>
      <paragraph num="(1)">
        <text>If a party is seeking judicial review of a final decision, that party shall request a transcript of the recording, unless a transcript already has been prepared.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>If a party is excepting to or appealing from a proposed decision, that party shall request a transcript of the recording, unless a transcript already has been prepared or the Secretary waives the requirement for a transcript.</text>
      </paragraph>
      <paragraph num="(3)">
        <text>The party requesting the transcript is responsible for all costs of transcription unless, at the party's request, the Department agrees to reduce or waive those costs for good cause shown.</text>
      </paragraph>
    </paragraph>
  </regulation>
  <annotations>
    <annotation type="Authority">Human Services Article, §9-204; State Government Article, Title 10, Subtitle 2; Annotated Code of Maryland</annotation>
    <annotation type="History" subtype="Administrative History">Effective date: June 18, 2007 (34:12 Md. R. 1067)</annotation>
  </annotations>
</chapter>