CHAPTER Rea 200 PRACTICE AND PROCEDURAL RULES
PART Rea 201 ADOPTION OF RULES AND DECLARATORY RULINGS
Rea 201.01 Petition and Adoption of Rules.
(a) Any person may submit a petition to adopt, amend or repeal a rule to the executive director of the commission. The petition shall be limited to a single subject.
(b) The executive director shall present the petition to the commission at the next scheduled meeting and the commission shall act on the petition, or if necessary, request further information.
(c) The person submitting the petition shall be notified of the commission's decision within 30 days after submission of the petition.
(d) The petition shall be granted if the
petitioner can demonstrate the following:
(1) The proposed rule,
amendment or repeal protects the public interest; and
(2) The proposed rule,
amendment or repeal does not conflict with RSA 331-A.
| Source. #2130, eff 8-30-82; ss by #2847, eff 9-19-84, | |
| EXPIRED: 9-19-90 | |
| New. #5567, eff 2-11-93 (from Rea 103.01), EXPIRED: 2-11-99 |
|
| New. #7161, INTERIM, eff 12-18-99, EXPIRED: 4-16-00 |
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| New. #7263, eff 5-6-00, EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08: ss by #9269-A, eff 9-17-08 |
Rea 201.02 Public Hearings. A
non-adjudicative public hearing shall be held:
(a) When the commission proposes to adopt rules; or
(b) At any other time when a hearing is not required by law where
the commission determines that a public hearing will benefit the public, the commission,
or both.
Rea 201.03 Notice. Notice of the date,
time and place for hearings shall be given as follows:
(a) For rulemaking hearings held pursuant to RSA 541-A, by
publication in the rulemaking register and by mail, commission newsletter or newspaper
advertisement as required by RSA 541-A; and
(b) For all other public hearings, by a method consistent
with the requirements of RSA 91-A.
| Source. #7263, eff 5-6-00, amd by #7519, eff 6-28-01; amd by #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
| Source. #7263, eff 5-6-00, EXPIRED: 5-6-08 New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
| Source. #7263, eff 5-6-00, EXPIRED: 5-6-08 New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 201.06 Testimony.
(a) Any person who desires to submit written testimony at a
non-adjudicative hearing shall do so to the presiding officer provided such testimony is
signed and dated.
(b) Any person who desires to testify orally at a
non-adjudicative hearing shall submit her or his name, address, and person or entity that she
or he is representing, if any, to the presiding officer.
(c) The presiding officer shall terminate any comments,
questions, or discussion from the public that are not relevant to the subject matter of
the hearing.
| Source. #7263, eff 5-6-00, EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 201.07 Concluding the Hearing. When the
presiding officer determines that no other persons wish to speak, she or he shall close
the hearing.
| Source. #7263, eff 5-6-00, EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 201.08 Petition for Declaratory Rulings.
(a) Any person may petition the commission for a declaratory ruling as to the applicability of any provision of RSA 331-A or of any rule or order of the commission by filing a written petition with the executive director of the commission.
(b) The petition shall be considered at the next scheduled meeting of the commission, and the commission shall in every case issue its ruling in writing, with a copy to the petitioner.
| Source. #7263, eff 5-6-00 (formerly Rea 201.02), EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 202.03 Delivery of Documents.
(a) Copies of all petitions, motions, exhibits, memoranda,
or other documents filed by any party to a proceeding governed by these rules shall be
delivered by that party to all other parties to the proceeding.
(b) All notices, orders, decisions or other documents
issued by the presiding officer or commission shall be delivered to all parties to the
proceeding.
(c) Delivery of all documents relating to a proceeding
shall be made by personal delivery or by depositing a copy of the document, by certified
mail, postage prepaid, in the United States mail, addressed to the last address given to
the commission by the party.
(d) When a party appears by a representative, delivery of a
document to the party's representative at the address stated on the appearance filed by
the representative shall constitute delivery to the party.
| Source. #5568, eff 2-11-93, EXPIRED: 2-11-99 | |
| New. #7161, INTERIM, eff 12-18-99, EXPIRED: 4-16-00 |
|
| New. #7263, eff 5-6-00, EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
PART Rea 204 COMPLAINT PROCEDURE
Rea 204.01 Complaint Form.
(a) All complaints shall be made in writing on Form No. 11, and shall be signed and sworn to in the presence of a notary public or justice of the peace.
(b) The complainant shall supply the following information:
(1) Name and address of complainant;
(2) Name and address of broker or salesperson against whom the complaint is made;
(3) Name and address of attorneys, if any, representing the parties if this information is available;
(4) Names and addresses of seller and purchaser of property in question, if applicable;
(5) Location of property in question;
(6) Statement of relevant facts;
(7) Alleged violations of statutes and/or administrative rules complained about, with appropriate statutory and/or administrative rules references; and
(8) Names and addresses of
witnesses, if any, to the alleged violations of statutes and/or administrative rules.
| Source. #5568, eff 2-11-93, EXPIRED: 2-11-99 | |
| New. #7161, INTERIM, eff 12-18-99, EXPIRED: 4-16-00 |
|
| New. #7263, eff 5-6-00 (formerly from Rea 202.01), EXPIRED: 5-6-08 |
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| New. #9202, INTERIM, eff 7-16-08; ss by #9269-B, eff 9-17-08 |
Rea 204.02 Filing of Complaint.
The complete original Form No. 11 shall be mailed or delivered to the commission
office.
| Source. #5568, eff 2-11-93, EXPIRED: 2-11-99 | |
| New. #7161, INTERIM, eff 12-18-99, EXPIRED: 4-16-00 |
|
| New. #7263, eff 5-6-00 (formerly Rea 202.02),
EXPIRED: 5-6-08 |
|
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-B, eff 9-17-08 |
Rea 204.03 Notice of Complaint.
The commission shall send a copy of the formal complaint filed on Form No. 11 to
the licensee or licensees against whom the complaint is made together with the
blank original Form No. 11-A.
| Source. #7263, eff 5-6-00 (formerly Rea 202.03), EXPIRED: 5-6-08 |
|
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-B, eff 9-17-08 |
Rea 204.04 Answer.
(a) Each licensee against whom a complaint is made shall respond to the complaint in writing on an original Form No. 11-A. Said form shall be signed and sworn to in the presence of a notary public or justice of the peace.
(b) The respondent shall supply the following:
(1) Name and address of person answering the complaint;
(2) A narrative response to the complaint setting forth the explanation of and defenses to the complaint; and
(3) Names and addresses of witnesses to the alleged violation of statutes and/or administrative rules, if any.
(c) The response shall be filed with the commission
within 30 days of receipt of the Form No. 11-A.
| Source. #7263, eff 5-6-00 (formerly Rea 202.04), EXPIRED: 5-6-08 |
|
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-B, eff 9-17-08 |
Rea 204.05 Investigation. All formal
complaints shall be investigated pursuant to RSA 331-A:29.
| Source. #7263, eff 5-6-00 (formerly Rea 202.05), EXPIRED: 5-6-08 |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-B, eff 9-17-08 |
(a) For purposes of this section "informal disposition" means resolution of the complaint without a hearing on the merits and with the consent of the licensee and approval of the commission, pursuant to RSA 331-A:29 and RSA 541-A:31, V(a) and (b).
(b) The evaluating commission member, the executive director or designee shall attempt to resolve the complaint informally pursuant to RSA 331-A:29, I and RSA 541-A:31,V.
(c) When resolving a complaint informally, the commission shall:
(1) Inform the licensee that any proposed settlement agreement is voluntary; and
(2) Inform the licensee that the licensee may be represented by counsel at an informal disposition at the licensee's expense.
(d) A proposed informal disposition of a complaint shall be presented to the commission for its consideration. The proposed settlement agreement shall be in writing, signed at a minimum by the licensee and executive director, and be notarized.
(e) A proposed settlement agreement shall at a minimum set forth the allegations made in the complaint, the conditions agreed upon, and the consequences of noncompliance.
(f) The commission shall accept the proposed settlement agreement in whole or in part, reject the proposed settlement agreement or indicate that it would accept the proposed settlement agreement with specified conditions or amendments.
| Source. #7519, eff 6-28-01 (from Rea 205.03); ss by #8831, eff 5-1-07 |
PART Rea 205 CONDUCT OF ADJUDICATIVE HEARING
Rea 205.01 Notice.
(a) Whenever the commission determines that a hearing is warranted, based on a preliminary showing of evidence giving rise to sufficient concern that a violation(s) may have occurred as presented by the evaluating commission member, a disciplinary hearing shall be conducted. A hearing shall then be scheduled and notice of the hearing shall be given to both parties at least 14 days prior to the scheduled hearing by certified mail, return receipt requested.
(b) Such notice shall include the following:
(1) A factual summary of the complaint or charges as well as a statement of the legal authority under which the hearing shall be held;
(2) Those provisions of RSA 331-A and/or administrative rules on which the complaint is based;
(3) The time, date, place and nature of hearing;
(4) The fact that either party may be represented by counsel at the hearing before the commission;
(5) The fact that either party may have witnesses present;
(6) The fact that either
party may provide evidence pursuant to RSA 541-A;
(7) A statement that each
party has the right to have the commission provide a certified shorthand court reporter at
the party's expense and that any such request shall be submitted in writing at least 10
days prior to the hearing; and
(8) A statement
indicating the extent to which the Jus 800 will apply to that proceeding.
| Source. #7263, eff 5-6-00 (formerly Rea 203.01),
EXPIRED: 5-6-08 |
|
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 205.02 Request for Continuance.
(a) Requests for granting continuances based on good
cause shall be submitted, in writing, to the executive director at least 10 days prior to
the hearing date. Good cause shall include the unavailability of parties, witnesses
or representatives necessary to conduct the hearing, or any other circumstances that
demonstrate that a postponement would assist in resolving the case fairly, unless such
unavailability is due to action or inaction on the part of the party.
(b) Any such requests submitted less than 10 days in
advance of a hearing shall be accompanied by an affidavit demonstrating good cause for the
late filing.
(c) Good cause for late filing shall include but not
be limited to:
(1) Serious illness;
(2) Death of a family member; and
(3)
Conflicting court schedules.
| Source. #7263, eff 5-6-00 (formerly Rea 203.02),
EXPIRED: 5-6-08 |
|
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 205.03 - RESERVED
| Source. #7263, eff 5-6-00 (formerly Rea 203.03); ss and moved by #7519, eff 6-28-01 (see Rea 204.06) |
Rea 205.04 Presiding Officer; Appointment; Authority.
(a) All hearings shall be conducted for the commission by a
natural person appointed or authorized to serve as a presiding officer.
(b) A presiding officer shall as necessary:
(1) Regulate and
control the course of a hearing;
(2) Facilitate an
informal resolution of an appeal;
(3) Administer oaths
and affirmations;
(4) Receive relevant
evidence at hearings and exclude irrelevant, immaterial or unduly repetitious evidence;
(5) Rule on procedural
requests, including adjournments or postponements, at the request of a party or on the
presiding officer's own motion;
(6) Question any person
who testifies;
(7) Cause a complete
record of any hearing to be made, as specified in RSA 541-A:31, VI;
(8) Take any other
action consistent with applicable statutes, rules and case law necessary to conduct the
hearing and complete the record in a fair and timely manner; and
(c) Upon his or her own initiative or upon the motion of any party, suspend or waive any requirement or limitation imposed by this chapter upon notice to affected persons when the proposed waiver or suspension appears to be lawful, and would be more likely to promote the fair, accurate and efficient resolution of issues pending before the commission than would adherence to a particular rule or procedure.
| Source. #7263, eff 5-6-00; amd by #7519, eff 6-28-01;
amd by #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 205.05 Withdrawal of
Commissioner.
(a) Upon his or her own initiative or upon the motion of
any party, a commissioner shall, for good cause withdraw from any hearing.
(b) Good cause shall exist if a commissioner:
(1) Has a direct
interest in the outcome of a proceeding, including, but not limited to, a financial or
family relationship, within the third degree of relationship, with any party; or
(2) Has made statements
or engaged in behavior which objectively demonstrates that he or she has prejudged the
facts of a case; or
(3) Personally believes
that he or she cannot fairly judge the facts of a case.
(c) Mere knowledge of the issues, the parties or any
witness shall not constitute good cause for withdrawal.
| Source. #7263, eff 5-6-00, EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 205.06 Appearances and
Representation.
(a) A party or the party's representative shall file an
appearance that includes the following information:
(1) A brief
identification of the matter;
(2) A statement as to
whether or not the representative is an attorney and if so, whether the attorney is
licensed to practice in New Hampshire; and
(3) The party or
representative's daytime address and telephone number.
| Source. #7263, eff 5-6-00, EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 205.07 Prehearing
Conference. Upon request by any party, or upon the initiative of the
presiding officer or commission officials a prehearing conference shall be scheduled
in accordance with RSA 541-A:31, V, to consider:
(a) Offers of settlement;
(b) Simplification of the issues;
(c) Stipulations or admissions as to issues of fact or
proof by consent of the parties;
(d) Limitations on the number of witnesses;
(e) Changes to standard procedures desired during the
hearing by consent of the parties;
(f) Consolidation of examination of witnesses; or
(g) Any other matters which aid in the disposition of the
proceeding.
| Source. #7263, eff 5-6-00; ss by #7519, eff 6-28-01 |
Rea 205.08 Role of Agency Staff in Enforcement or
Disciplinary Hearings. Unless called as witnesses, agency staff shall have no
role in any enforcement or disciplinary hearing.
| Source. #7263, eff 5-6-00, EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 205.09 Role of Complainants in Enforcement or
Disciplinary Hearings. Unless called as a witness or granted party or intervenor
status, a person who initiates an adjudicative proceeding by complaining to the commission
about the conduct of a person who becomes a party shall have no role in any enforcement or
disciplinary hearing.
| Source. #7263, eff 5-6-00, EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 205.10 Postponements.
(a) Any party to a hearing may make an oral or written
motion that a hearing be postponed to a later date or time.
(b) If a postponement is requested by a party to the
hearing, it shall be granted if the presiding officer determines that good cause has been
demonstrated. Good cause shall include the unavailability of parties, witnesses or
attorneys necessary to conduct the hearing, the likelihood that a hearing will not be
necessary because the parties have reached a settlement or any other circumstances that
demonstrate that a postponement would assist in resolving the case fairly.
(c) If the later date, time and place are known at the time
of the hearing that is being postponed, the date, time and place shall be stated on the
record. If the later date, time and place are not known at the time of the hearing
that is being postponed, the presiding officer shall issue a written scheduling order
stating the date, time and place of the postponed hearing as soon as practicable.
| Source. #7263, eff 5-6-00, EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 205.11 Failure to Attend Hearing. If any
party to whom notice has been given in accordance with Rea 205.01 fails to attend a
hearing, the presiding officer shall:
(a) Declare that party to be in default; and
(b) Either:
(1) Dismiss the
case, if the party with the burden of proof fails to appear; or
(2) Hear the
testimony and receive the evidence offered by a party, if that party has the burden of
proof in the case.
| Source. #7263, eff 5-6-00, EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 205.12 Witnesses. All witnesses appearing before
the commission shall testify under oath or affirmation. Oaths shall be administered by the
presiding officer.
| Source. #7263, eff 5-6-00 (formerly Rea 203.04), EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 205.13 Evidence.
The introduction of evidence and testimony in adjudicative proceedings held before the
commission shall comply with RSA 541-A:33.
| Source. #7263, eff 5-6-00 (formerly Rea 203.05), EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 205.14 Standard and Burden of Proof. The
party asserting a proposition shall bear the burden of proving the truth of the
proposition by a preponderance of the evidence.
| Source. #7263, eff 5-6-00, EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 205.15 Reopening the Record. At any time
prior to the issuance of the decision on the merits, the presiding officer, on the
presiding officer's own initiative or on the motion of any party, shall reopen the record
to receive relevant material and non-duplicative testimony, evidence or arguments
not previously received, if the presiding officer determines that such
testimony, evidence or arguments are
necessary to a full and fair consideration of the issues to be decided.
| Source. #7263, eff 5-6-00, EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 205.16 Hearing Procedures.
(a) Disciplinary hearings shall be heard by a hearing panel consisting of at least 3 commission members. The hearing panel shall not include the commission member responsible for evaluating the complaint. The commission chairperson or acting chairperson shall act as the presiding officer.
(b) The complainant, whether a member of the public or the commission's investigator or complainant's representative, shall open the proceedings through production of witnesses and exhibits, to be followed by those produced by the licensee complained against, or licensee's counsel. Opportunity shall be afforded to either party to cross-examine each witness of the other party at the conclusion of the witness's direct testimony. Commission members shall if necessary ask questions of the witness during examination or subsequent to cross-examination, and shall request additional evidence as the hearing panel deems necessary to an understanding and determination of the issues.
(c) After all evidence is submitted, the
complainant, or complainant's representative, shall summarize first, followed by the
licensee complained against. The hearing panel shall then retire with the facts to
deliberate on the case and make its decision. Written memoranda and statements may also be
filed with the hearing panel before the close of evidence.
| Source. #7263, eff 5-6-00 (formerly Rea 203.06), EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
Rea 205.17 Record of the Hearing.
(a) A verbatim record of all disciplinary hearings held by
the commission shall be kept and made a part of the case file pursuant to RSA 541-A:31,
VII.
(b) If any person requests a transcript of the taped
record, the commission shall cause a transcript to be prepared and, upon receipt of
payment for the cost of the transcription, shall provide copies of the transcript to the
requesting party.
(c) At the request of a party to any proceeding
involving disciplinary action before the commission, the record of the proceeding shall be
made by a certified shorthand court reporter provided by the commission at the requesting
party's expense. A request for a certified shorthand court reporter shall be
filed at least 10 days prior to the hearing.
| Source. #7263, eff 5-6-00 (formerly Rea 203.07), EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
(a) Any decision by the hearing panel on matters considered at a disciplinary hearing shall be by majority vote. The decision shall be issued by the commission, in writing, in the form of an order.
(b) Members of the commission shall not participate in a decision unless they have been present at the hearing.
(c) An order shall include findings of fact and conclusions of law, and shall be based upon the preponderance of evidence presented at the disciplinary hearing or contained in the record.
(d) After the close of the record, the commission shall dismiss the case if the allegations have not been proved by a preponderance of evidence.
(e) After the close of the record, if the allegations have been proven by a preponderance of the evidence, the commission shall take disciplinary action pursuant to RSA 331-A:28, I and II. In imposing a sanction, the commission shall take into account the presence of aggravating or mitigating circumstances.
(f) The following shall be considered aggravating circumstances:
(1) The licensee's
prior disciplinary record, including number, type, and timing of prior
instances of misconduct;
(2) The licensee's state of mind at the time of the offense;
(3) The licensee's unwillingness to cooperate with the commission;
(4) The purpose of the rule or statute violated;
(5) The potential harm to the public; and
(6) Multiple offenses in the same incident.
(g) The following shall be considered mitigating circumstances:
(1) The absence of a prior disciplinary record;
(2) The licensee's state of mind at the time of the offense;
(3) The licensee's willingness to cooperate with the commission;
(4) The licensee's acknowledgement of his or her proven wrongdoing;
(5) The purpose of the rule or statute violated;
(6) The lack of potential harm to the public; and
(7) The lack of multiple offenses in the same incident.
(h) A copy of the commission's order shall be mailed within 2 days after issuance to:
(1) The licensee, addressed to her or his place of business; and
| Source. #7263, eff 5-6-00 (formerly Rea 204.01); ss by #7519, eff 6-28-01 |
Rea 206.02 Appeals. The action of the commission stated in an order may
be appealed to the superior court by the licensee within 30 days after its issuance
pursuant to RSA 331-A:28, III.
| Source. #7263, eff 5-6-00 (formerly Rea 204.02), EXPIRED: 5-6-08 | |
| New. #9202, INTERIM, eff 7-16-08; ss by #9269-A, eff 9-17-08 |
PART Rea 207 EXPLANATION OF RULES
Rea 207.01 Explanation of Rules.
(a) The commission shall provide, if requested by any person up to 30 days of the final adoption of any rule, an explanation of the rule to include:
(1) A concise statement of the principal reasons for and against the adoption of the rule in its final form; and
(2) An explanation of why the commission overruled the arguments and consideration against the rule.
(b) The request shall be considered at the next scheduled commission meeting and the commission shall issue a response within 45 days after consideration.
| Source. #9269-B, eff 9-17-08 | |
| Latest Update 12/01/08. |