Ala. Admin. Code r. 540-X-6-.03 - Hearing Officer
(1) A
hearing officer is an individual appointed by the Board to act in such
capacities and with such authority as is specified herein. A hearing officer
may be an attorney licensed to practice law in the State of Alabama, or may be
any person with the experience and qualifications necessary to carry out the
duties of the hearing officer. The hearing officer shall be compensated at a
rate to be prescribed by the Board for services actually performed pursuant to
a contractual agreement entered into between the Board and the hearing officer.
Subject to the restrictions concerning participation in prosecution and
conflict of interest, a hearing officer may be an employee of the
Board.
(2) The general duties of
the hearing officer shall be to guide and direct the course of contested cases
before the Board, to advise the Board on matters of law and evidence pertaining
to those contested cases and to assist the Board in the preparation of orders
and decrees resulting from hearings on contested cases. Specifically, the
hearing officer shall be empowered to:
(a)
Rule upon any motions contesting or challenging the legal sufficiency of a
complaint, order to show cause, or other document which is the basis of a
contested case, subject to the limitation set forth in paragraph (e)
below.
(b) Rule on all prehearing
motions by all parties to a contested case except that the hearing officer may
not grant a continuance or postponement of a hearing in a contested case
without the consent of the chairman of the Board.
(c) Order the attendance of parties and/or
attorneys at hearings and conferences on matters related to the contested
case.
(d) Establish on behalf of
the Board submission dates, deadlines and time tables which shall be binding on
the parties in all matters related to the orderly conduct of the contested
case.
(e) Enter orders on behalf of
the Board when the Board is not in session on legal matters related to a
pending contested case, except that the hearing officer is not authorized to
dismiss a complaint. The hearing officer may order the complainant to file a
more definite statement or to amend his complaint to provide additional
information. Dismissal of a complaint will only be upon the order of the
Board.
(f) Administer oaths and to
certify the authenticity of documents when required in the discharge of his
duties as hearing officer in a contested case.
(g) Direct that evidence relevant to the
general character and reputation of the registrant be submitted in writing by
affidavit or to place reasonable limitations upon the number of witnesses
permitted to testify as to the character and reputation of the
registrant.
(h) Render advice to
the chairman of the Board on the conduct of all aspects of hearings on
contested cases.
(3)
Except as limited above, the hearing officer is authorized to rule on all legal
matters including motions addressed to the sufficiency of the complaint,
objections to the evidence, motions to dismiss for lack of evidence, and any
other matters requiring a legal opinion. The ruling of the hearing officer
shall be deemed to be the official ruling of the Board unless that ruling is
challenged by a member of the Board, in which case the Board shall consider the
challenge to the ruling of the hearing officer outside the presence of the
parties and may affirm, modify or overrule the decision of the hearing
officer.
(4) The hearing officer
shall advise the Board on matters of evidence and law during its deliberations
and shall, if requested, prepare and present for consideration by the Board
proposed findings of fact and proposed conclusions of law; provided, however,
that the Board in its final decision may, within its sole discretion, modify,
alter, amend or disregard such proposed findings of fact and conclusions of
law.
(5) When directed by the
Board, the hearing officer shall prepare the final order reflecting the
decision of the Board in each contested case. The final order shall be executed
and authenticated in the manner prescribed by the Board.
(6) When directed by the Board, the hearing
officer shall notify all parties to the hearing of the final order of the Board
and of all appellate remedies available to any party that is adversely affected
by a decision of the Board.
(7) In
addition, the hearing officer shall be authorized to perform such duties and
functions in each specific case as may be prescribed by the Board, it being the
intent of this rule that the hearing officer shall be the chief legal advisor
to the Board in the conduct and disposition of all contested cases; however,
the Board shall retain the authority in all cases to hear all evidence and
argument and be the sole judge of the facts. The Board shall fix the penalty or
restriction, if any, to be imposed at the conclusion of a contested case. The
Board shall appoint a hearing officer in each contested case unless the case is
subject to informal disposition as otherwise provided in these rules.
(8) The person appointed by the Board to act
as a hearing officer in the contested case shall not have participated in the
investigation or prosecution of the registrant in the matters pertaining to the
contested case. The hearing officer shall not have a manifest conflict of
interest with any party in a contested case.
Author: Wendell R. Morgan
Notes
Statutory Authority: Code of Ala. 1975, ยงยง 20-2-53; 20-2-54; 34-24-53; 41-22-1, et seq.
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