TITLE 13 INSURANCE
CHAPTER
1 INSURANCE GENERAL PROVISIONS
PART
5 FORMAL ADMINISTRATIVE
HEARINGS
13.1.5.1 ISSUING AGENCY: New
Mexico Office of Superintendent of Insurance.
[13.1.5.1 NMAC - N, 7/1/2019]
13.1.5.2 SCOPE: Except as otherwise
provided, the rules in this part govern every adjudicatory proceeding conducted
pursuant to a notice of hearing issued by the superintendent of insurance on
any matter delegated to the superintendent under the Insurance Code, and to any
request for hearing submitted to the superintendent, unless a more specific
statutory or regulatory provision applies to the specific hearing type being
conducted. The rules in this part do not
apply to (1) an informal hearing conducted pursuant to Section 59A-4-18 NMSA
1978 and its implementing rules, (2) if the law governing a request for hearing
requires the superintendent to commence the hearing fewer than 91 days from the
hearing request, or (3) to any hearing governed by 13.10.17 NMAC.
[13.1.5.2
NMAC - N, 7/1/2019]
13.1.5.3 STATUTORY AUTHORITY: Section 59A-2-9 NMSA
1978.
[13.1.5.3
NMAC - N, 7/1/2019]
13.1.5.4 DURATION: Permanent.
[13.1.5.4 NMAC - N, 7/1/2019]
13.1.5.5 EFFECTIVE DATE: July l, 2019 unless a later date is
specified at the end of a section.
[13.1.5.5
NMAC - N, 7/1/2019]
13.1.5.6 OBJECTIVE: The purpose of this rule is to provide
procedures to govern formal administrative hearings held before the
superintendent.
[13.1.5.6
NMAC - N, 7/1/2019]
13.1.5.7 DEFINITIONS:
A. “Attorney”
for purposes of this rule, “attorney”
means only an individual who is licensed to practice law in New Mexico or who
has requested temporary licensure under the New Mexico supreme
court’s pro hac
vice rules.
B. “Day
or Days” shall be interpreted as follows, unless otherwise specified:
(1) “Business day” means Monday through Friday, excluding any days that state
offices are officially closed;
(2) one
to five days means only business days; and
(3) six
days or more means calendar days, including weekends and state holidays.
C. “Hearing” means an on-the-record adjudicatory proceeding before the
superintendent or the before a hearing officer appointed by the superintendent.
D. “Hearing
officer” is the superintendent, or a person designated by the
superintendent pursuant to Section 59A-2-7
NMSA 1978, to serve as a neutral decision maker in a proceeding.
E. “Order”
means any directive, command, determination of a disputed issue, or ruling on a
disputed matter issued by the superintendent or a hearing officer in a
proceeding governed by these rules.
F. “OSI” means the New Mexico office of
superintendent of insurance.
G. “Party” means a person who participates in a proceeding governed by
these rules by order of the superintendent.
H. “Pleading” means any written request, motion, or proposed action filed by
a party in a docketed proceeding, as set forth in 13.1.5.10 NMAC.
I. “Proceeding”
means any formal adjudicatory proceeding, case or hearing conducted by the
superintendent pursuant to these rules.
J. “Request
for hearing” means a formal written request for an opportunity to appear
before the superintendent and offer testimony, to call witnesses, present
evidence and ask questions, that is submitted by a person with respect to a
particular matter where OSI has statutory or regulatory authority to conduct an
adjudicatory proceeding.
K. “Sua Sponte” means any
determination of the superintendent or of his designee made without prompting
of the parties.
L. “Superintendent” means the
superintendent of insurance, the office of superintendent of insurance or
employees of the office of superintendent of insurance acting within the scope
of the superintendent’s official duties and with the superintendent’s
authorization.
[13.1.5.7 NMAC - N, 7/1/2019]
13.1.5.8 REVISION OF STANDING ORDERS: The superintendent may issue or withdraw
standing procedural orders addressing general practice issues and filing
protocols for the handling of matters to be adjudicated before the
superintendent. Such standing orders
will be available for public inspection at OSI office facilities, on the OSI
website, and in any applicable information provided with a notice of
hearing. Parties appearing before the
superintendent are expected to comply with standing orders.
[13.1.5.8
NMAC - N, 7/1/2019]
13.1.5.9 REQUESTING A HEARING:
A. Written request required. Any person seeking a hearing before the
superintendent shall file a written request for a hearing using the form
available on the OSI website or as otherwise directed by the
superintendent. The request shall
include all of the following:
(1) a brief
summary identifying the nature of the dispute;
(2) the
applicable statute, rule, bulletin or order in dispute in the matter;
(3) a statement
of the jurisdictional basis for the superintendent to adjudicate the matter;
(4) the
triggering action of the superintendent, such as an order, denial, suspension,
revocation, penalty, fine, rule, or interpretative publication;
(5) the
requestor’s reason for challenging that action or inaction; and
(6) the
mailing address of the requestor.
B. Request rejected. The superintendent may reject any request
for hearing if the superintendent lacks jurisdiction to adjudicate the matter;
the matter is moot; or the request for hearing is procedurally or substantively
deficient.
(1) If
a request for hearing is rejected, the superintendent will notify the requestor
in writing with a brief explanation of the rejection.
(2) If the request for hearing is
deficient for any reason other than lack of subject matter jurisdiction of
mootness, the requestor may correct any deficiency and resubmit the request for
hearing.
C. Designation of hearing officer and
docket. Upon receipt of a request
for hearing that contains all information required by Subsection A of this
section and over which the superintendent has jurisdiction, the superintendent
may designate a hearing officer to preside in the matter based on the
knowledge, expertise, experience, efficiency, and staffing needs of the
office. The superintendent may
subsequently reassign the matter to a different hearing officer, if
necessary. The superintendent shall
assign a docket number to be referenced in all subsequent communications and
filings concerning the matter.
D. Intervenors. Any person showing that they will be
substantially and specifically affected by the proceeding shall be allowed to
intervene as a party in the whole or any portion of the proceeding.
(1) Whether
to allow intervention for any other interested person is at the sole discretion
of the superintendent.
(2) OSI
staff may intervene in any proceeding as a matter of right by filing a notice
of intervention.
[13.1.5.9
NMAC - N, 7/1/2019]
13.1.5.10 REPRESENTATION AT HEARING, FORMAL ENTRY OF
APPEARANCE, SUBSTITUTION OF COUNSEL, AND WITHDRAWAL FROM REPRESENTATION:
A. Representation. Unless otherwise expressly authorized by
statute, only the person challenging the action or a bona fide majority owner
if the party is a business entity, or that person’s
attorney may represent the person in a proceeding.
B. Entry of appearance. Any attorney wishing to represent a party
shall file a formal written entry of appearance in the docket of the
proceeding. The entry of appearance
shall list the attorney’s mailing address, phone and fax number (if any), and
an email address (if any). Any attorney
wishing to substitute in for a previous attorney shall file a substitution of
counsel containing the same information required in the initial entry of
appearance.
C. Withdrawal.
An attorney who intends to withdraw from representation of a party
must do so in accordance with the rules of professional conduct.
(1) Withdrawing
counsel must file in the docket a written request to withdraw from representation
that indicates when counsel notified the party of the withdrawal,
and of the date and time of the scheduled hearing.
(2) The
superintendent may deny a request to withdraw from representation only when
withdrawal would have a clear, materially adverse effect on the represented
party’s interests and impede the conduct of a full, fair, and efficient
hearing.
[13.1.5.10
NMAC - N, 7/1/2019]
13.1.5.11 FILING OF PLEADINGS:
A. Opening
the docket. A docket shall be opened in the OSI records management system
immediately upon the superintendent’s determination that the requestor shall be
granted a hearing.
(1) The
superintendent shall direct that the requestor’s original request for hearing
be filed to the docket.
(2) The
superintendent shall establish the caption for the docket, which caption shall
be used thereafter for any matters pertaining to the hearing. The caption shall establish the nature of the
matter and shall include the docket number.
(3) Every
written document that is submitted to the superintendent or exchanged between
the parties for consideration, including pleadings such as motions, responses
and objections, all evidentiary documents and any other filings shall include the
caption and shall be filed to the docket.
B. Public
access. Unless otherwise determined
by the superintendent upon consideration of a request by a party for
confidentiality, all dockets shall be open for public inspection.
C. Filing restrictions and service.
(1) OSI shall accept filings through
mail, facsimile, or electronic mail.
(2) Any
item that is filed to the docket shall also be contemporaneously served upon
all parties of record and on the hearing officer.
(3) All
filings shall include a certificate of service that documents the method of
service used. A represented party shall
only be served through counsel.
(4) Electronic
and in-person filing shall be accepted on business days between 8:00 and 4:00
pm. Pleadings shall be marked as filed
on the business day that OSI receives the pleading.
D. Filing requirements.
(1) All motions, except motions made on
the record during the hearing or a continuance request made in a genuine
unforeseen emergency circumstance (such as an unexpected accident, force
majeure, or major medical emergency occurring in such close proximity to the
date of the scheduled hearing that a written motion cannot be completed), shall
be in writing and shall state with particularity the grounds and the relief
sought.
(2) Absent any order
to the contrary, no pleading shall exceed 10 pages, excluding the caption and
certificate of service, of double-spaced (except for block quotations),
12-point font. Only relevant excerpts of
a motion exhibit shall be filed, with the pertinent portions highlighted,
underlined, or otherwise emphasized. All
exhibits and attachments shall identify the total number of pages, and
consecutive page numbers (e.g., “Page
1 of 10”). Only single-sided documents
shall be accepted for filing or into a record at a hearing.
E. Request for concurrence. Before submission of any motion, request
for relief or request for continuance, the requesting party shall make
reasonable efforts to consult with each other party about that party’s position
on the motion unless the nature of the pleading is such that it can be
reasonably assumed the requested relief would be opposed. The moving party shall state the position of
each other party in the pleading.
F. Responses to pleadings.
(1) Unless a different deadline has been
established by the hearing officer, each non-moving party shall have 14 days to
file a written response to a pleading.
(2) If
a deadline for filing would fall on a non-business day, the deadline shall be
the next business day.
(3) The
hearing officer shall have the discretion to extend or shorten the response
deadline.
(4) Failure
to file a response in opposition may be presumed to be consent to the relief
sought.
(5) The
hearing officer is not required to make a default ruling on any motion if the
relief sought could be contrary to the facts or law on the issues.
G. In
the event of a procedural defect or other error with the manner, method, or
content of a submitted pleading, the hearing officer or records manager may
communicate such error to the filing party and withhold filing of the pleading
until the moving party remedies the procedural defect. Examples of a procedural defect include, but
are not limited to, failure to certify service, failure to comply with the page
limitations, failure to confer with other parties, failure to use the form or
follow the specific filing method required by OSI, submission of double-sided
documents, failure to properly number pages, failure to use the correct caption
of reference the assigned docket number, or failure to comply with an
applicable standing order.
[13.1.5.11
NMAC - N, 7/1/2019]
13.1.5.12 PREHEARING CONFERENCES, STATUS CONFERENCES,
AND STATUS CHECKS:
A. Purpose of prehearing conferences. The
hearing officer may direct representatives for all parties to meet together or
with the hearing officer present for a prehearing conference to consider any or
all of the following:
(1) simplify, clarify, narrow or resolve the pending issues;
(2) stipulations and admissions of fact and of the contents and
authenticity of documents;
(3) expedition of discovery and presentation of evidence,
including, but not limited to, restriction on the number of exhibits and
expert, economic or technical witnesses;
(4) matters of which administrative notice shall be taken; and
(5) such
other matters as may aid in the orderly and expeditious disposition of the
proceeding, including disclosure of the names of witnesses and the identity of
documents or other physical exhibits which will be introduced in evidence in
the course of the proceeding.
B. Conduct of prehearing conferences.
(1) Prehearing conferences conducted by
the hearing officer may be electronically, but not stenographically,
recorded. Should a
party request that the recording be transcribed, that party shall pay any costs
of transcription.
(2) The
hearing officer may issue a written order that recites the results of the
conference. Such order shall include
rulings upon matters raised at the conference, together with appropriate
directions to the parties. The order
shall control the subsequent course of the proceeding, unless superseded by a
subsequent order.
C. Status conferences.
(1) The hearing officer may require the
parties to submit a written report of any conference ordered to be conducted
between the parties updating the status of the proceeding in light of the
conference.
(2) The
hearing officer may conduct a status conference upon the request of either
party or on the hearing officer’s own initiative, at which time the hearing
officer may require the parties, attorneys, or authorized representatives, to
provide information regarding the status of a proceeding.
[13.1.5.12
NMAC - N, 7/1/2019]
13.1.5.13 HEARING LOCATION, TIME AND PLACE, NOTICE OF
HEARING:
A. Location.
(1) In the absence
of any statutory requirements to the contrary, all hearings conducted by OSI
shall occur in Santa Fe, unless the hearing officer orders the parties to
appear at another location in New Mexico.
(2) The parties may express a mutual
preference for location of the hearing in their request for hearing.
(3) In selecting a location other
than Santa Fe, the hearing officer shall consider and give weight to the
location and wishes of the parties, witnesses, access for a hearing officer
with expertise in the matter, and the scheduling and staffing needs of OSI.
(4) If selection of a location other
than Santa Fe would cause an unreasonable, undue burden to any party, that
party may file a written objection to the selected location within 10 days of
issuance of the notice of hearing, articulating the reasons supporting the
objection. The hearing officer shall
promptly review the objection and, upon a showing of an unreasonable, undue
burden, may move the hearing to another more reasonable location and the
superintendent may designate another hearing officer if necessary.
B. Notice.
OSI shall notify the parties to the hearing of the date, time and, place
scheduled for the hearing at least fourteen days before the scheduled
hearing. This notice shall be directed
to the party’s attorney, or to the last known address of any unrepresented
party. Notice will be sent by US mail
unless the parties have requested an alternate method of notification that is
acceptable to OSI.
[13.1.5.13
NMAC - N, 7/1/2019]
13.1.5.14 TELEPHONIC, VIDEOCONFERENCE AND
OTHER EQUIVALENT ELECTRONIC METHOD HEARINGS:
A. If
not otherwise prohibited by statute, rule, or court ruling, the hearing officer
may conduct the hearing in person or by telephone, videoconference, or other
equivalent electronic method. The
hearing officer shall cause a stenographic or audio recording to be made of all
proceedings involving the presentation of evidence, points, authorities or
argument pertaining to the merits of the matter before the hearing officer.
B. If
the hearing is to be conducted by telephone, videoconference or other
equivalent electronic method, the notice shall so inform the parties. Either party may file a written objection to
conducting the hearing by telephone, videoconference, or other equivalent
electronic method within 10 days of the notice of hearing. Failure to timely object to the conduct of a
hearing by telephone, videoconference, or other equivalent electronic
method constitutes consent to the
hearing proceeding in that manner and waiver of any other applicable statutory
in county hearing requirement.
C. Upon
receipt of a timely objection, the hearing officer shall consider the
applicable legal requirements; the location of the parties and witnesses; the
complexity of the particular matter; the availability of necessary electronic
equipment for conduct of a full and fair hearing by telephone, videoconference,
or other equivalent electronic method; and the basis of the objection in
determining whether the hearing should occur at a specific location rather than
by telephone, videoconference, or other equivalent electronic method.
D. Provided
that the requesting party has not previously demanded an in-person hearing or
otherwise objected to conducting the matter by telephone, videoconference, or
other equivalent electronic methods, any party may request to appear directly
or have a witness on their behalf appear by telephone, videoconference, or
alternative electronic means by filing a request at least three business days
before the scheduled hearing. The filing
of a request to appear by telephone, videoconference, or other alternative
electronic method shall be deemed as a total and complete waiver of any
in-person hearing right, and deemed as consent for all
parties, all witnesses, and the hearing officer to appear by telephone,
videoconference, or other equivalent electronic methods.
E. All
parties appearing by telephone, videoconference, or other electronic method
shall provide the hearing officer with a working email address or facsimile
number for the exchange of all documentary evidence before or during the hearing.
F. Failure
to follow the hearings officer’s instructions for participating in the hearing
by telephone, videoconference, or other equivalent electronic method will be
treated as a non-appearance at the hearing.
G. Any
technical issues shall be promptly reported to the hearing officer.
H. In
the event that technical or other computer problems prevent a hearing by
videoconference or other electronic method from occurring or otherwise
interferes with maintaining or developing a complete record at the hearing, the
parties agree and consent that the assigned hearing officer may continue the
matter to a different time before expiration of the statutory deadline, may
order the parties to appear for an in-person hearing, or may conduct the
remaining portion of the hearing by telephone.
I. If
the assigned hearing officer determines during the course of the hearing,
either sua sponte or
upon argument of a party, that an in-person hearing is necessary to adequately
complete the record, address credibility issues, or is otherwise necessary to
ensure a full or fair hearing process, the hearing officer may recess a hearing
occurring by telephone, videoconference, or other equivalent electronic method
and reconvene the proceeding as an in-person hearing.
[13.1.5.14
NMAC - N, 7/1/2019]
13.1.5.15 CONTINUANCES:
A. At
the request of a party, a witness, or upon the hearing officer’s own
determination, a hearing may be continued for good cause. The hearing officer shall consider only
written continuance requests made at least three working days prior to the
scheduled hearing absent extraordinary, unforeseen circumstances that the
requesting party or witness could not have known earlier. An order to grant or deny the request may be
issued prior to the scheduled hearing or if there is insufficient time to issue
an order prior to the scheduled hearing, the hearing officer may grant or deny
the request on the record at the hearing.
No continuance request shall be granted unless there is adequate time to
provide notice to the parties, subpoena witnesses and conduct the rescheduled
hearing before expiration of any statutory jurisdictional deadline.
B. Within
the jurisdictional time limits set by statute, the superintendent or hearing
officer may sua sponte
continue any matter as necessary to address OSI staffing needs, to ensure
efficient and adequate use of state resources, and to manage the hearing
docket. To this end, the hearing officer
may contact the parties to inquire about the status of a scheduled case.
C. No
case shall be continued, even with a showing of good cause or an emergency
circumstance, beyond any mandatory, applicable jurisdictional time limit on the
case.
[13.1.5.15
NMAC - N, 7/1/2019]
13.1.5.16 ATTIRE AT HEARING: All attorneys and other
authorized representatives must be attired in a dignified, professional manner
at all times during the hearing.
Witnesses shall dress in a respectful manner. No attire or dress as to create a distraction
to the orderly conduct of the hearing will be permitted.
[13.1.5.16
NMAC - N, 7/1/2019]
13.1.5.17 BURDEN OF PROOF, PRESENTATION OF
CASE, EVIDENCE:
A. Burden of proof. Unless otherwise specified by statute,
the burden of proof in a proceeding is the preponderance of evidence.
B. Presentation order. The party with the burden of proof in the
case shall ordinarily present their case first, followed by the opposing party,
if any, unless the hearing officer makes reasonable exceptions related to the
availability of the witnesses, representatives or other scheduling concerns.
C. Opening statements. The hearing officer may require or allow
opening statements as the circumstances justify. Opening statements are not ordinarily
evidence, but without objection, may be adopted as evidence by sworn oath of
the party-witness who made the opening statement.
D. Testimony under oath. All testimony must be given under oath
and shall be subject to questioning of each other party. The hearing officer may also ask questions of
the witness as appropriate. At the hearing
officer’s discretion, redirect and re-cross may be allowed.
E. Closing arguments. The parties may make closing arguments,
either orally at the conclusion of the case or, upon order of the hearing
officer, in writing after conclusion of the hearing.
F. Post-hearing
briefs. The hearing officer may also
order the parties to submit further briefing on any issue in the case, and to
submit proposed findings of fact and conclusions of law. The hearing officer shall establish a
timeline for submission of any post-hearing pleadings, including time for the
parties to exchange briefs, as the hearing officer finds necessary. No decision-writing deadline commences until
the parties have submitted any ordered post-hearing briefing or submission.
G. Rules of evidence.
(1) Formal rules of evidence and civil
procedure shall not apply in a proceeding unless otherwise expressly and
specifically required by statute, regulation, or order of the hearing
officer. The rules of evidence and civil
procedure pertaining to privilege shall always apply regardless of the level of
formality in a particular proceeding.
(2) Relevant
and material evidence shall be admissible.
Irrelevant, immaterial, unreliable, or unduly repetitious evidence may
be excluded.
(3) A
party may offer exhibits, such as records of transactions.
(a) The
party shall have the exhibits numbered by the stenographer prior to the
hearing.
(b) The
party shall provide copies of the evidence to the stenographer, all parties and
to the hearing officer.
(c) Exhibits
must be introduced and explained by a witness, who must be prepared to answer
questions from the parties and the hearing officer.
(d) The
hearing officer shall be asked by the party offering an exhibit to accept the
exhibit into evidence. The hearing officer may be asked to consider all
exhibits introduced by a witness at the conclusion of that witness’s testimony
or at the conclusion of that party’s case in chief.
(e) The
stenographer shall retain on copy of all exhibits that are admitted and shall
make them a part of the record.
(4) The
hearing officer shall consider and give appropriate weight to all relevant and
material evidence admitted in rendering a final decision on the merits of a
matter.
H. Taking notice.
(1) The hearing officer may take
administrative notice of facts not subject to reasonable dispute that are
generally known within the community, capable of accurate and ready
determination by resort to sources whose accuracy cannot be reasonably
disputed, or as provided by an applicable statute.
(2) The
hearing officer may take administrative notice at any stage in the proceeding,
whether sua
sponte or
at the request of a party.
(3) A
party may dispute the propriety of taking administrative notice, including the
opportunity to refute a noticed fact.
I. Objections.
(1) A party objecting to evidence,
qualifications of an expert, a line of questioning, or the response shall
timely and briefly state the grounds for the objection.
(2) Rulings
on objections may be addressed on the record at the time of the objection,
reserved for ruling in a subsequent written order, or noted as a continuing,
ongoing objection for which ruling is reserved to later in the proceeding.
J. Audio or video evidence. Any party wishing to submit a video or
audio recording into the record shall provide a complete tangible, playable
copy that can be retained as part of the record.
K. Size of exhibits. In general, documentary evidence shall be
no larger than 8.5 inches by 11 inches unless expressly allowed by the hearing
officer. The hearing officer may admit
larger documentary exhibits presented at hearing, provided the proponent of
such exhibits provides the hearings officer with a copy of the exhibit reduced
to 8.5 inches by 11 inches. After the
hearing at which the exhibit was admitted, the reduced copy shall be
substituted for the larger exhibit and made part of the record of the
hearing. Arrangements to provide a
reduced copy of a large exhibit shall be undertaken in advance of the
hearing. Failure by the proponent to
provide a reduced copy shall be deemed a withdrawal of the exhibit.
L. Substitutions for objects. In lieu of the introduction of tangible
objects as exhibits, the hearing officer may require the moving party to submit
a photograph, video, or other appropriate substitute such as a verbal
description of the pertinent characteristics of the object for the record.
[13.1.5.17
NMAC - N, 7/1/2019]
13.1.5.18 WITNESSES, EXPERT WITNESSES, AND
INVOCATION OF THE RULE:
A. Use of witnesses. Any person having relevant, material
knowledge related to one of the issues in a hearing may testify as a witness
under oath in a proceeding. Upon
affirming the oath, the witness may be questioned by any party and by the
hearing officer.
B. Method of appearance. Unless a more specific provision applies,
witnesses are ordinarily expected to appear in the same manner or by the same
method as the parties in a proceeding, absent express preapproval of the
hearing officer allowing an appearance by a different method. For example, if the hearing is scheduled to
be conducted in person in a specific place, the witnesses are also ordinarily
expected to appear in person at that same place; however, if the matter is set
to occur by telephone or videoconference, then the witnesses may ordinarily
appear by telephone of videoconference.
C. Hearing officer as a witness. The current or previously assigned
hearing officer in a matter shall not be called and shall not be a witness in
the proceeding.
D. Use of expert witnesses.
(1) If either party intends to call and
treat a particular witness as an expert witness in the proceeding, the party
must identify the purported expert to the other parties and to the hearing
officer at least seven days before the scheduled hearing, or with sufficient
time before completion of the discovery deadline specified in a scheduling
order to allow for deposition.
(2) The
party shall include the scope of that expert’s purported testimony relative to
the proceeding, the expert’s credentials, and a listing of any materials the
expert reviewed as part of reaching his or her expert opinion.
(3) The
opposing party may file a response in opposition before the hearing or
challenge the designation of the witness as an expert when the expert is called
to testify.
E. Use of exclusionary rule. At the hearing, any party can invoke the
exclusionary rule to exclude all witnesses other than the real party in
interest, their representative, one main case agent, and any designated expert
witness from the proceeding until the time of the witness’s testimony. If the rule has been invoked, the witnesses
shall not discuss their testimony with each other until the conclusion of the
proceeding. When the rule has been
invoked, any witness who remains in the hearing after conclusion of their
testimony shall not be recalled as a witness in the proceeding, except that any
witness may observe the testimony of an expert witness and be recalled to
provide any subsequent rebuttal testimony.
F. OSI staff as experts.
(1) The hearing officer may request one
or more members of OSI staff to be present at the hearing to assist the hearing
officer with any matters within the expertise of the staff person.
(2) The
staff person may be called as a witness by the hearing officer and examined by
the parties and the hearing officer.
(3) Any
party may call the staff person as a witness.
(4) Each
other party shall have the opportunity to cross-examine a staff person who is
called as a witness. In the discretion
of the hearing officer, the hearing officer my permit re-direct or
re-cross-examination of the staff person.
(5) The
hearing officer shall not discuss the case with the staff person outside the
hearing or off the record.
(6) Any
staff person requested to be present by the hearing officer shall not be
subject to the exclusionary rule.
[13.1.5.18
NMAC - N, 7/1/2019]
13.1.5.19 HEARING OFFICER POWERS AND
RESPONSIBILITIES:
A. General authority. The superintendent may preside over OSI’s
hearings or may designate a hearing officer to preside instead.
B. Duties of the hearing officer. The hearing officer shall conduct fair
and impartial hearings, take all necessary action to avoid delay in the
proceedings and maintain order. The
hearing officer shall have the powers necessary to carry out these duties,
including the following:
(1) to administer or have administered oaths and affirmations;
(2) to cause depositions to be taken;
(3) to require the production or inspection of documents and other
items;
(4) to require the answering of interrogatories and requests for
admissions;
(5) to rule upon offers of proof and receive evidence;
(6) to regulate the course of the hearings and the conduct of
the parties and their representatives therein;
(7) to issue a scheduling
order, schedule a prehearing conference for simplification of the
issues, or any other proper purpose;
(8) to schedule, continue and reschedule hearings;
(9) to consider and rule upon all procedural and other motions
appropriate in proceeding, including qualification of expert witnesses and
admission of exhibits;
(10) to require the filing of briefs on specific legal issues
prior to or after the hearing;
(11) to cause a docket to be opened and a complete record of a hearing
to be made;
(12) to make and issue decisions and procedural orders;
(13) to issue subpoenas in the name of the superintendent;
(14) if acting on behalf of the superintendent, to issue a
recommendation to the superintendent regarding the final resolution of the
matter; and
(15) to appropriately sanction, up to exclusion, indecorous,
obstinate, recalcitrant, obstreperous, unethical, unprofessional or other
improper conduct that interferes with the conduct of a fair and orderly hearing
or the development of a complete record.
C. Independence of the hearing officer. In the performance of these functions,
the hearing officer shall not be responsible to or subject to the direction of
any other officer, employee or agent of OSI, except that a hearing officer
appointed by the superintendent shall be subject to the direction of the
superintendent.
D. Ex
parte communication. In the
performance of these functions, the hearing officer is prohibited from engaging
in any improper ex parte
communications about the substantive issues with any party on any matter. An improper ex parte communication occurs when the hearing officer discusses or
otherwise communicates regarding the substance of a case without the opposing
party being present, except that it is not an improper ex parte communication for the hearing officer to go on the record
with only one party when the other party has failed to appear at a scheduled
hearing.
E. Final
order. After a thorough review of
the record and any recommendation prepared by a designated hearing officer, the
superintendent shall issue a final order.
No party or member of OSI staff shall engage in any ex parte communication with the superintendent in an attempt to
influence his final decision.
[13.1.5.19
NMAC - N, 7/1/2019]
13.1.5.20 CLOSED OR PUBLIC HEARING, SEALED
RECORDS, AND DELIBERATIVE NOTES OF HEARING OFFICER:
A. Closed hearings. Unless otherwise provided by law, ordered
by the hearing officer for good cause, or required to prevent disclosure of
confidential information, all hearings and the record are open to the
public. Any party to a proceeding may
submit a written request to close the hearing and the record to the public,
which shall be granted if authorized by statute, regulation, or rules
recognized by law to preserve confidentiality or to protect a party from
harassment or reprisal. Any proceedings
and records that involve an individual’s medical issues shall be closed to the
public.
B. Open hearings. If the hearing is open to the public,
members of the public and the media may attend the hearing so long as they do
not interrupt, interfere with or impede the orderly, fair, and efficient
hearing process. With prior consent of
the hearing officer, media members may record the proceeding from a fixed
location in the hearing room. The
hearing officer may direct any member of the public, including media members,
to leave the proceeding if they engage in any conduct that interferes with the
hearing officer’s ability to maintain order, develop the record, and provide a
fair and efficient hearing process. The
proceedings shall be made available telephonically to members of the public,
including the media, upon prior request.
C. Sealed records. Upon request of any party, and upon a
showing of good cause, the hearing officer shall seal a particular exhibit,
document, or portions of a witness’s testimony from public disclosure if such
items contain statutorily-protected confidential information, privileged
information, or otherwise contain private identification information of a party
or third party that is immaterial to a substantive issue in the proceeding or
if its materiality is substantially outweighed by the prejudice of public
release of the information. Upon
issuance of an order sealing such documents or exhibits, these records shall
remain under seal throughout the proceeding and shall be returned to the
submitting party at the conclusion of the appeal period or the appeal. The opposing party shall be entitled to promptly
review these documents in preparing for the hearing, and may rely on those
documents during the hearing as necessary to ensure a fair hearing process;
however, the opposing party shall not maintain its own copy of the sealed
document after conclusion of the hearing nor reveal, discuss, or disclose the
contents of these sealed documents to any other party outside of the hearing
process.
D. Notes of deliberation. The hearing officer’s notes taken during
the course of the hearing, notes generated during the decision-making process,
and any draft orders or draft decisions are confidential as part of the
deliberative process and are not subject to public disclosure.
[13.1.5.20
NMAC - N, 7/1/2019]
13.1.5.21 SUBPOENAS: Any request for issuance
of subpoenas in matters subject to these rules shall be guided by Rule 45 of
the rules of civil procedure for the district courts of New Mexico, except
where provisions of that rule conflict with the powers of the superintendent.
Any subpoena issued shall be in the name of the superintendent. The party requesting the
subpoena shall prepare a proposed subpoena, submit the proposed subpoena
to each other party and to the hearings officer for approval, and shall timely
and reasonably serve the subpoena on the person or entity subject to the
subpoena. Unless good cause is shown for
a shorter period, a subpoena shall provide at least 10 days- notice before
compelled attendance at a hearing or deposition, and at least 10 days- notice
before compelled production of materials.
All returns or certificates of service on served subpoenas shall be
filed in the docket of the proceeding, copied to the opposing party, and be
made part of the record of the proceeding.
[13.1.5.21
NMAC - N, 7/1/2019]
13.1.5.22 LANGUAGE INTERPRETERS: A party to a proceeding
who needs language interpreter services for translation of one language into
another is responsible for arranging such service for the hearing. While the person serving as an interpreter
need not be a court-certified interpreter in order to provide interpretation at
a hearing, any person serving as an interpreter in a matter before the
superintendent must be approved by the hearing officer and shall affirm the
interpreter’s oath applicable in New Mexico courts. Upon reasonable notice by the party, any
interpreter required to be provided under the American with Disabilities Act
shall be provided for by the superintendent.
[13.1.5.22
NMAC - N, 7/1/2019]
13.1.5.23 FAILURE TO APPEAR:
A. Entry of default order. If a party fails to appear for a properly
noticed hearing, either in person, through a permissible representative or
telephonically with prior approval of the hearing officer, the person waives
the right to protest or challenge the action that is the subject of the hearing
notice. The matter shall go on the
record for the limited purpose of addressing notice and non-appearance, and a
final order shall be entered based on the waiver of the hearing by failing to
appear.
B. Evidence
of notice. In considering the
non-appearance and whether the person received appropriate notice necessitating
issuance of the order, the hearing officer may consider the contents of the
docket, information conveyed to or known by OSI, information related to
mailing, including mail tracking, returned receipt information, and notes
written on returned envelopes of the United States postal service or other mail
tracking services, and arguments offered by any present party, all of which may
be addressed on the record of the hearing or in any subsequent order.
C. Written order required. Oral rulings based on a party’s failure
to appear are not final until reduced to writing. The hearing officer may issue a different
written order as new information arises after the hearing regarding whether the
notice of hearing was properly sent to the correct address or otherwise
properly served.
[13.1.5.23
NMAC - N, 7/1/2019]
13.1.5.24 RECONSIDERATION:
A. Time to file. A party may file a motion for
reconsideration within 15 days after the date of the final order. Any other party may file a response no more
than 15 days after the motion for reconsideration was filed. Motions for reconsideration that are not
filed within this deadline may be denied automatically. A timely filed motion for reconsideration
shall be decided based on the merits, whether or not a response is filed.
B. Posture.
The prevailing party shall not file a motion for
reconsideration. However, if a requested
action is granted in part and denied in part, either party may file a motion
for reconsideration.
C. Basis for motion. Motions for reconsideration shall not
endeavor to present new evidence previously available, or discoverable through
reasonable diligence, to the parties before the hearing. Motions for reconsideration shall not reargue
the weight of evidence already ruled nor reiterate legal arguments already
ruled upon. However, a motion for
reconsideration may address gross factual or legal errors or omissions
contained in the final decision and order.
[13.1.5.24
NMAC N,
7/1/2019]
13.1.5.25 APPEALS FOLLOWING HEARING: Each order issued by the
superintendent shall include information about the appeal process for the type
of case at issue. Once the appeal is
filed in the appropriate court, the appealing party shall provide a
court-endorsed copy of the appeal to the superintendent so that the OSI records
manager can prepare and submit the proper record.
[13.1.5.25
NMAC - N, 7/1/2019]
13.1.5.26 REQUESTING COPIES OF EXHIBITS,
AUDIO, OR THE ADMINISTRATIVE RECORD: Any party may access and
copy any writing filed to the docket.
Copies of an audio recording or written transcript of the proceeding
shall be arranged through the stenographic service. OSI may charge a reasonable fee for copies
made, consistent with its fee schedule under the Inspection of Public Records
Act. OSI may also require the requesting
party to submit a computer storage device, such as a compact disc, dvd disc, blu-ray
disc, usb drive, or other tangible device for copying
of any audio or video recording that is part of the administrative record.
[13.1.5.26
NMAC - N, 7/1/2019]
History of
13.1.5 NMAC: [RESERVED]