Sec. 19a.01.03.02. General Provisions

A. Definitions.

(1) "Hearing" means a hearing conducted by the Commission pursuant to General Provisions Article, §5-404, and the Administrative Procedure Act, State Government Article, Title 10, Subtitle 2, Annotated Code of Maryland.

(2) "Party" includes only the respondent and the staff counsel or other counsel designated by the Commission.

(3) Preliminary Inquiry.

(a) "Preliminary inquiry" means the process by which a matter may be presented to the Commission for preliminary review to determine whether the matter should be processed as a complaint in accordance with General Provisions Article, §5-401, Annotated Code of Maryland.

(b) "Preliminary inquiry" includes:

(i) Investigation and review of the matter by Commission staff or other individual designated by the Commission; and

(ii) Consideration of the matter by the Commission.

(4) "Preliminary investigation" means the investigation conducted by the staff counsel or other investigator identified by the Commission, after a complaint has been accepted or issued and been referred by the Commission pursuant to General Provisions Article, §5-403, Annotated Code of Maryland.

(5) "Respondent" includes, when appropriate to the context of this chapter, counsel speaking or acting on the respondent's behalf in connection with an enforcement matter subject to this chapter.

(6) "Staff counsel" includes, when appropriate to the context of this chapter, any other person designated by the Commission to perform the functions of the staff counsel in accordance with this chapter.

B. Confidentiality.

(1) General Rules.

(a) Except as set forth in §B(2)-(4) of this regulation, during the pendency of any preliminary inquiry by Commission staff pursuant to Regulation .03 of this chapter or following the filing of a complaint, the proceedings, meetings, and activities of the Commission and its employees in connection with the complaint shall be conducted in a confidential manner.

(b) Except as set forth in §B(2)-(4) of this regulation, the Commission, its staff, the complainant, and the respondent may not disclose any information relating to the complaint, including the identity of the complainant and the respondent.

(2) Exceptions.

(a) The Commission may release information at any time if the respondent has agreed in writing to the release.

(b) The identity of the complainant shall be disclosed to the respondent at any time in response to a written request from the respondent.

(c) Information may be disclosed by the Commission or the Commission's staff as necessary to conduct a preliminary inquiry, investigation, or hearing, or to issue subpoenas at the request of the respondent pursuant to General Provisions Article, §5-404, Annotated Code of Maryland.

(d) Confidentiality does not apply to referral or release of information to a prosecuting authority pursuant to General Provisions Article, §5-408, Annotated Code of Maryland.

(e) Confidentiality may be waived by the respondent, and information disclosed accordingly as part of a cure, settlement, or other prehearing resolution of an enforcement proceeding pursuant to Regulation .08 of this chapter.

(3) Information Provided to a Complainant.

(a) A complainant shall be provided information regarding the status of an enforcement matter as set forth in §B(3)(b) and (c) of this regulation.

(b) The staff counsel shall notify the complainant that evidence is being referred to the Commission for preliminary disposition, at least 15 days before referring the evidence to the Commission.

(c) The complainant shall be provided with a copy of a signed order of the Commission dismissing a complaint if after:

(i) Preliminary consideration of the evidence, it is determined that the evidence does not merit further proceedings and that dismissal is not contrary to the purposes of General Provisions Article, Title 5, Annotated Code of Maryland; or

(ii) Consideration of the evidence at a hearing, it is determined that the respondent has not violated any of the provisions of General Provisions Article, Title 5, Annotated Code of Maryland.

(4) Confidentiality after Hearing.

(a) The confidentiality requirements apply, as set forth in §B(4)(b)-(c) of this regulation, to written reports setting forth findings of fact and conclusions of law required after a hearing by General Provisions Article, §5-405, Annotated Code of Maryland, and Regulation .11 of this chapter.

(b) When there is a finding that there was no violation of General Provisions Article, Title 5, Annotated Code of Maryland, the requirements of §B(1) of this regulation apply, and there may not be disclosure of information.

(c) When there is a finding of violation as to any allegation of the complaint, the written report of the Commission shall be a public record.

C. Subpoena Powers and Oaths.

(1) The staff counsel of the Commission may:

(a) Administer oaths and affirmations; and

(b) Subject to the supervision of the Executive Director, issue subpoenas to compel the attendance and testimony of witnesses or for the production of books, papers, records, documents, or other tangible objects.

(2) The Commission may:

(a) On its own or through its designee, administer oaths and affirmations; and

(b) On its own motion, issue subpoenas to compel the attendance and testimony of witnesses or for the production of books, papers, records, documents, or other tangible objects.

(3) The respondent may, as set forth in §C(4)-(6) of this regulation, use the subpoena power of the Commission in preparation for any hearing to be held in accordance with this chapter.

(4) Respondent subpoenas pursuant to §C(3) of this regulation shall be issued only in response to a written request by or on behalf of the respondent received by the Commission not later than 10 working days before the date set for the hearing.

(5) Respondent subpoenas pursuant to §C(3) of this regulation may be issued by the Commission or by the Commission Chairman acting on behalf of the Commission.

(6) Service and enforcement of any respondent subpoena issued pursuant to §C(3) of this regulation is the responsibility of the respondent or other person acting on respondent's behalf, not of the Commission or its staff.

(7) Subpoenas issued pursuant to this section and General Provisions Article, §§5-207 and 5-404, Annotated Code of Maryland, are judicially enforceable.

D. Referral.

(1) If, while an enforcement matter is being considered, it is determined that there are reasonable grounds to believe that the respondent may have committed a criminal offense, the Commission or the Commission's staff, upon direction from the Commission or the Chairman, shall refer the matter:

(a) Promptly to an appropriate prosecuting authority for an evaluation of whether criminal prosecution is appropriate; or

(b) Directly to the appropriate prosecuting authority for prosecution.

(2) When an enforcement matter is referred to a prosecuting authority for evaluation or prosecution, the Commission may suspend action by the Commission or the Commission's staff on the matter pending completion of action by the prosecuting authority.

(3) When an enforcement matter is referred to a prosecuting authority for evaluation or prosecution, the Commission shall make available to the prosecuting authority all pertinent evidence under the Commission's control.

(4) Commission staff may consult with a prosecuting authority in connection with the possible referral of a matter.

E. Counsel. The respondent in an enforcement matter conducted pursuant to this chapter is entitled to be represented by counsel for any purpose, including:

(1) Representation in connection with interviews of the respondent by the staff counsel;

(2) Submission of any written or other materials on respondent's behalf in connection with the investigation; and

(3) Personal appearance on respondent's behalf at any stage of the matter where respondent's appearance before the Commission is permitted or required.

F. Service.

(1) Except as set forth in §F(2) of this regulation, service of any document required to be served by this chapter shall be by regular mail, postage prepaid, to the respondent or other addressee at their last known address.

(2) Instead of service by mail, the hearing notice may be served by:

(a) Personal service by an individual over 18 years old, as evidenced by an affidavit of personal service;

(b) Service by the Sheriff of the county of the addressee; or

(c) Registered or certified mail, restricted delivery, return receipt requested.

(3) If required service is to a person represented by an attorney, mail or delivery to the attorney's last known business address is considered satisfactory service.

G. Appointment of Interpreter. If a party or witness cannot readily hear, speak, understand, or communicate the spoken English language, the Commission may, of its own volition, or shall, upon written application of the party or witness, appoint a qualified interpreter to provide assistance during the hearing.