20 CSR 1140-31.020 - Rules of Procedure
(1)
Definitions. As used in this rule, except as otherwise required by the context-
(A) Appellants shall mean persons who are
appealing a decision of the director;
(B) Board shall mean the Residential Mortgage
Board;
(C) Director shall mean the
director of the Division of Finance;
(D) Presiding officer shall mean the chairman
of the board or any board member designated by the presiding officer to assume
those duties; and
(E) Secretary
shall mean that member so designated by the board.
(2) Records of the Board. The secretary shall
maintain a complete record of all board proceedings. All orders or other
actions of the board shall be certified or authenticated by the signature of
the secretary.
(3) Appeal Allowed.
Appeals will be allowed from the director's decision as provided by law, and
the board shall hear the appeal. At the time the appeal is to be heard,
testimony will be taken by the board on issues specifically raised by the
notice of appeal and any application to intervene. The board will follow the
practice of administrative agencies concerning the admissibility of evidence in
contested cases as provided for in section
536.070, RSMo, and may receive
evidence by deposition as provided in section
536.073, RSMo.
(4) Notice of Appeal. Within ten (10) days of
the director mailing notice of the action, the appellant shall file a notice of
appeal to the board, specifically stating which finding of the director the
appellant challenges. The notice of appeal may be delivered to the board by
mailing it to the Division of Finance at PO Box 716, Jefferson City, MO 65102
or by fax at (573) 751-9192.
(5)
Docket and Hearing Calendar. The director shall maintain a record of
proceedings filed and proceedings set for hearing which shall be available for
public inspection at the office of the Division of Finance in Jefferson City,
Missouri. The docket and hearing calendar shall be available for public
inspection during office hours.
(6)
Prehearing Conference. The presiding officer may hold prehearing conferences
for the purpose of formulating or simplifying the issues, arranging for the
exchange of proposed exhibits or prepared expert testimony, limitation of the
number of witnesses, and such other matters as may expedite orderly conduct and
disposition of the proceedings.
(7)
Time and Place. Notice of the day, hour, and place of hearing shall be served
at least ten (10) days prior to the time set on all appellants and intervenors,
unless the board shall find that public necessity requires hearings be held on
shorter notice. The hearing shall be held at a place determined by the
presiding officer. At the direction of the board, the director shall serve
notice to each party designated as applicant or intervenor.
(8) Limiting Number of Witnesses. To avoid
unnecessary cumulative evidence, the presiding officer may limit the number of
witnesses or the time for testimony on a particular issue.
(9) Who May Practice Before the Board. Only
licensed attorneys from Missouri, or from other states as provided, shall be
permitted to practice before the board. Attorneys who are not members of the
Missouri bar shall be permitted to practice before the board under the same
rules and limitations as an attorney in good standing in Missouri would be
permitted to practice before the corresponding board, official, or other body
of the state of the nonresident attorney.
(10) Form and Admissibility. The board will
follow in general the practice in the circuit court of the state and the common
law rules on admissibility of evidence as interpreted by the courts of the
state, except that the board may permit the introduction of hearsay evidence
when, in its opinion, circumstances require.
(11) Ruling. The presiding officer shall rule
on the admissibility of all evidence. That ruling may be reviewed by the board
in determining the matter on its merits.
(12) Objections and Exceptions. When
objections are made to the admission or exclusion of evidence, the grounds
relied upon shall be stated briefly. Formal exception to rulings are
unnecessary and need not be taken.
(13) Offer of Proof. When a party wishes to
make an offer of proof for the record, that offer shall consist of a statement
of the substance of the evidence to the admission of which objection has been
sustained.
(14) Prepared Testimony.
With the approval of the presiding officer, a witness may read into the record
his/her testimony and direct examination. Before any prepared testimony is
read, unless excused by the presiding officer, the witness shall deliver copies
to the presiding officer, the court reporter, and counsel for all parties.
Admissibility of testimony shall be subject to the rules governing oral
testimony. If the presiding officer deems that substantial saving of time will
result without prejudice to any party, prepared testimony may be copied into
the record without having the witness read it aloud; provided, however, that
the witness shall be available for cross-examination by any party other than
the party on whose behalf the testimony is admitted.
(15) Documentary Evidence. If relevant,
material matter offered in evidence is embraced in the document containing
other matter, the party offering it shall designate specifically the matter so
offered. If other matter in the document would unnecessarily encumber the
record, the document will not be received in evidence but at the discretion of
the presiding officer, the relevant material matter may be read into the record
or copies received in exhibit. Other parties will be afforded opportunity to
examine these documents and to offer into evidence other portions believed
material and relevant.
(16)
Stipulations. The parties may file a stipulation of the facts or expected
testimony and, in this event, the same shall be numbered and used at the
hearing. This procedure is desirable wherever practical.
(17) Exhibits. Exhibits shall be legible and,
wherever practical, shall be prepared either on paper not exceeding eight and
one-half inches by eleven inches (8 1/2" × 11") in size or be bound
and folded to that approximate size. Wherever practical, the sheets of each
exhibit should be numbered and, where necessary, explained by index.
(18) Marking of Exhibits. Exhibits shall be
marked as follows: Appellants' exhibits shall be numbered consecutively in
order of their introduction and numbered as follows: Appellant Exhibit 1 and
Appellant Exhibit 2, etc. The division's exhibits will be marked
alphabetically. When exhibits are offered into evidence, the original and two
(2) copies shall be furnished to the board secretary, and the party offering
the exhibit should also be prepared to furnish a copy to each member of the
board sitting.
(19) Board Records.
If any document in the division's records is offered into evidence, that
document need not be produced as an exhibit unless directed otherwise by the
presiding officer, but may be received into evidence by reference, provided
that the particular portions of that document are specifically identified and
are otherwise competent, relevant, and material.
(20) Judicial Notice. Official and judicial
notice may be taken of those matters which may be noticed by the courts of
Missouri.
(21) Additional Evidence.
At the hearing, the presiding officer may require the production of further
evidence upon any issue. Upon agreement of the parties, s/he may authorize the
filing of specific documentary evidence as a part of the record within a fixed
time after the submission, reserving exhibit numbers.
(22) Briefs. If counsel or any party requests
permission to file a brief, the presiding officer shall fix the time for filing
of briefs. Failure to request, at the close of the testimony, the fixing of
time for filing briefs shall waive the right to subsequently file a
brief.
(23) Decisions. Proceedings
shall be submitted for the board's decision after the taking of testimony and
the filing of the briefs, as may be prescribed by the board or its presiding
officer. The board's formal decision and order shall be issued as soon as
practicable after the proceedings have been submitted. Decisions and orders
shall be served by the director mailing or making personal delivery of
certified copies to the parties of record. When a party to a proceeding has
appeared by representative, service upon that representative shall be deemed
service upon the party.
(24)
Construction of Rules. These rules shall be liberally construed to secure just,
speedy, and inexpensive determination of all issues presented. These rules may
be amended at any time by the board.
(25) Forms. The following form of Notice of
Appeal is merely illustrated as a general form. The content of particular
pleadings will vary depending upon the subject matter and applicable procedural
rules.
BEFORE THE RESIDENTIAL MORTGAGE BOARD OF THE STATE OF MISSOURI IN THE MATTER OF THE DENIAL, REVOCATION, ETC. OF THE LICENSE OF XYZ BROKERS BY THE DIRECTOR OF FINANCE.
NOTICE OF APPEAL
You are hereby notified that an appeal is taken from the decision of the Director of Finance denying, etc. a license to the XYZ Brokers for the following reasons:
1. The
Director was in error in finding that (State any specific ground relied on in
the appeal).
WHEREFORE, petitioner prays said license be (issued, restored, etc.) as petitioned for.
XYZ MORTGAGE BROKER
By Its Attorney
(Mailing Jurat in Standard Form)
(26) Recordation of Proceedings; Assessment
of Costs. If the parties consent, the hearing may be recorded by means other
than a court reporter. If the board obtains the services of a court reporter,
the costs of original and four (4) copies of the transcript shall be taxed
against the losing party.
(27)
Service of Process. The director or a deputy shall be the agent for service of
process on the board in any appeal arising from a decision of the
board.
Notes
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