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<chapter num="03" heading="Contested Cases" title_num="25" subtitle_num="01">
  <regulation prefix="Regulation" num=".01" heading="Scope.">
    <text>This chapter applies to hearings that the Treasurer is required to conduct by statute or regulation to adjudicate the rights, duties, statutory entitlements, or privileges of specific persons, except for hearings, including those delegated by the Treasurer to the Office of Administrative Hearings, for which other procedures are specifically prescribed by statute or regulation.</text>
  </regulation>
  <regulation prefix="Regulation" num=".02" heading="Definitions.">
    <paragraph num="A.">
      <text>In these regulations, the following terms have the meanings indicated.</text>
    </paragraph>
    <paragraph num="B.">
      <text>Terms Defined.</text>
      <paragraph num="(1)">
        <text>“Notice” means a written document sent by certified mail, return receipt requested.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>“Office” means the Office of the State Treasurer.</text>
      </paragraph>
      <paragraph num="(3)">
        <text>“Party” means the Office or any person whose rights are being adjudicated by the Treasurer at a hearing.</text>
      </paragraph>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".03" heading="Notice.">
    <paragraph num="A.">
      <text>Whenever the Treasurer is required by statute or regulation to provide a hearing to a person, the Treasurer or the Treasurer's designee shall send that person reasonable notice of the hearing.</text>
    </paragraph>
    <paragraph num="B.">
      <text>Contents of Notice. The notice shall contain a:</text>
      <paragraph num="(1)">
        <text>Statement of the:</text>
        <paragraph num="(a)">
          <text>Date, time, place, and nature of the hearing,</text>
        </paragraph>
        <paragraph num="(b)">
          <text>Person's right to be represented by counsel,</text>
        </paragraph>
        <paragraph num="(c)">
          <text>Legal authority and jurisdiction under which the hearing is to be held;</text>
        </paragraph>
      </paragraph>
      <paragraph num="(2)">
        <text>Reference to the particular sections of statute and regulation, including rules of procedure, involved; and</text>
      </paragraph>
      <paragraph num="(3)">
        <text>Short and simple statement of the matters that will be at issue at the hearing.</text>
      </paragraph>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".04" heading="Hearing Officer.">
    <text>The Treasurer may conduct the hearing or may delegate to the Office of Administrative Hearings the authority to hear a particular case, in which event the case shall be heard under the procedures established by the Office of Administrative Hearings in COMAR Title 28.</text>
  </regulation>
  <regulation prefix="Regulation" num=".05" heading="Prehearing Conference.">
    <paragraph num="A.">
      <text>Before the date of the hearing, a prehearing conference may be held, for which notice shall be given to all parties of the date, time, and place.</text>
    </paragraph>
    <paragraph num="B.">
      <text>In the discretion of the Treasurer, persons other than parties may attend a prehearing conference.</text>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".06" heading="Hearing.">
    <paragraph num="A.">
      <text>General. The provisions of State Government Article, §§10-205—10-214, concerning the conduct of administrative hearings, apply to these proceedings.</text>
    </paragraph>
    <paragraph num="B.">
      <text>Presentation of Hearing. Hearings shall be conducted generally in the following order, unless modified by the Treasurer during the prehearing conference or otherwise:</text>
      <paragraph num="(1)">
        <text>Call of the case by the Treasurer;</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Opening statements by the parties;</text>
      </paragraph>
      <paragraph num="(3)">
        <text>Presentation of evidence in the following order:</text>
        <paragraph num="(a)">
          <text>The Office presents the basis for its action or proposed action and other evidence,</text>
        </paragraph>
        <paragraph num="(b)">
          <text>Parties aggrieved by the Office's action or proposed action present their objections and other evidence,</text>
        </paragraph>
        <paragraph num="(c)">
          <text>Other persons may present evidence in the discretion of the Treasurer,</text>
        </paragraph>
        <paragraph num="(d)">
          <text>Rebuttals in the same order.</text>
        </paragraph>
      </paragraph>
    </paragraph>
    <paragraph num="C.">
      <text>Powers of Treasurer. The Treasurer shall have all powers necessary to these ends, including, but not limited to, the power to:</text>
      <paragraph num="(1)">
        <text>Administer oaths and affirmations;</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Rule upon offers of proof and receive relevant and material evidence;</text>
      </paragraph>
      <paragraph num="(3)">
        <text>Consider and rule upon all procedural and other motions appropriate to the proceedings;</text>
      </paragraph>
      <paragraph num="(4)">
        <text>Examine witnesses;</text>
      </paragraph>
      <paragraph num="(5)">
        <text>Maintain order, limit unduly repetitious testimony, and limit the time for presentations;</text>
      </paragraph>
      <paragraph num="(6)">
        <text>Grant a continuance for good cause shown;</text>
      </paragraph>
      <paragraph num="(7)">
        <text>Require parties to submit proposed findings of fact and conclusions of law;</text>
      </paragraph>
      <paragraph num="(8)">
        <text>Call witnesses.</text>
      </paragraph>
    </paragraph>
    <paragraph num="D.">
      <text>Rights of Party. Each party shall have the right on each genuine issue of fact to:</text>
      <paragraph num="(1)">
        <text>Call witnesses and present evidence;</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Cross-examine every witness called by a party, the Treasurer, or other person;</text>
      </paragraph>
      <paragraph num="(3)">
        <text>Submit rebuttal evidence;</text>
      </paragraph>
      <paragraph num="(4)">
        <text>Present summation and argument; and</text>
      </paragraph>
      <paragraph num="(5)">
        <text>File objections, exceptions, and motions, except that if a party is represented by counsel, all the submissions of evidence, examination and cross-examination of witnesses, and filing of objections, exceptions, and motions shall be done and presented solely by counsel.</text>
      </paragraph>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".07" heading="Record and Transcript.">
    <paragraph num="A.">
      <text>The Treasurer shall prepare an official record of each hearing, which shall include all pleadings, exhibits, and other material filed in the proceeding, and any testimony transcribed according to §B.</text>
    </paragraph>
    <paragraph num="B.">
      <text>A stenographic record of the proceedings or other form of verbatim record acceptable to the Treasurer shall be made at the expense of the Office. This record need not be transcribed unless requested by a party or the Treasurer. The cost of any transcripts of any proceedings, or part of them, shall be paid by the party requesting the transcript.</text>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".08" heading="Decisions.">
    <paragraph num="A.">
      <text>If the Treasurer personally hears the evidence at the hearing, the Treasurer shall issue a final decision within a reasonable time of the hearing.</text>
    </paragraph>
    <paragraph num="B.">
      <text>Proposed Decision.</text>
      <paragraph num="(1)">
        <text>If the Treasurer does not personally hear the evidence at the hearing, the Office of Administrative Hearings shall issue a proposed decision within a reasonable time after the hearing according to the provisions of State Government Article, §10-216, Annotated Code of Maryland, and a final decision may not be issued until the requirements of this section have been met.</text>
      </paragraph>
      <paragraph num="(2)">
        <text>The proposed decision, including the findings of fact and conclusions of law on which it is based, shall be mailed or delivered to all parties immediately after its issuance.</text>
      </paragraph>
      <paragraph num="(3)">
        <text>The parties also shall be notified that within 15 days after receipt of the proposed decision, a party adversely affected by the proposed decision may file written exceptions to the proposed decision and request the opportunity to present argument to the Treasurer. Any party filing written exceptions or requesting argument shall include in the exceptions or the request precise references to those sections of the record that the party wishes the Treasurer to review. References to the record other than any transcript of testimony shall be indicated as R..., and references to the transcript of testimony as contained in the record shall be indicated as T.... If a party fails to provide these specific references, the Treasurer may dismiss any request to present argument and may base review of the proposed decision on whatever portion of the record the Treasurer deems appropriate.</text>
      </paragraph>
      <paragraph num="(4)">
        <text>If an opportunity to present argument is not requested, the Treasurer shall issue a final decision.</text>
      </paragraph>
      <paragraph num="(5)">
        <text>If argument is requested, the Treasurer shall set a date for presentation of argument and shall notify the parties of that date within 30 days of the receipt of the request.</text>
      </paragraph>
      <paragraph num="(6)">
        <text>The Treasurer shall issue a final decision within a reasonable time of presentation of argument. Copies of the decision shall be delivered or mailed to all parties, return receipt requested.</text>
      </paragraph>
    </paragraph>
    <paragraph num="C.">
      <text>Final decisions issued by the Treasurer shall include findings of fact and conclusions of law in accordance with State Government Article, §10-221, Annotated Code of Maryland.</text>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".09" heading="Appeal.">
    <text>A party adversely affected by a final decision of the Treasurer may obtain judicial review of the decision as provided by law.</text>
  </regulation>
  <annotations>
    <annotation type="Authority">State Government Article, §§10-204 and 10-207, Annotated Code of Maryland</annotation>
    <annotation type="History" subtype="Administrative History">Effective date: October 17, 1988 (15:21 Md. R. 2470)</annotation>
    <annotation type="History" subtype="Administrative History">Regulation .01 amended effective November 8, 1993 (20:22 Md. R.1709)</annotation>
    <annotation type="History" subtype="Administrative History">Regulation .02B amended effective November 8, 1993 (20:22 Md. R.1709)</annotation>
    <annotation type="History" subtype="Administrative History">Regulation .04 amended effective November 8, 1993 (20:22 Md. R.1709)</annotation>
    <annotation type="History" subtype="Administrative History">Regulation .05B amended effective November 8, 1993 (20:22 Md. R.1709)</annotation>
    <annotation type="History" subtype="Administrative History">Regulation .06 amended effective November 8, 1993 (20:22 Md. R.1709)</annotation>
    <annotation type="History" subtype="Administrative History">Regulation .07 amended effective November 8, 1993 (20:22 Md. R.1709)</annotation>
    <annotation type="History" subtype="Administrative History">Regulation .08 amended effective November 8, 1993 (20:22 Md. R.1709)</annotation>
  </annotations>
</chapter>