Okla. Admin. Code § 605:10-17-3

Current through Vol. 42, No. 4, November 1, 2024

Section 605:10-17-3 - Complaint hearings; notice and procedures

(a)Summary suspension. If the Commission finds that public health, safety, or welfare imperatively requires emergency action, and incorporates a finding to that effect in its order, summary suspension of a license may be ordered pending proceedings for revocation or other action within thirty (30) days. The summary suspension shall remain in effect until further order by the Commission.

(b)Formal hearing ordered; notification. Except as provided in (a) of this section, the Commission may issue a disciplinary order only after entering into a consent order with respondent(s) or after a formal hearing of which the respondent(s) shall be given at least fifteen (15) days written notice. Such written notice to a respondent shall specify the offenses with which the respondent is charged and shall be served in accordance with the procedure outlined in this subchapter, including service on respondent's associated broker, if applicable.

(c)Formal hearing location. Formal hearings shall be set at such time and place as the Commission, through its Secretary-Treasurer, may prescribe and the notice to respondents outlined in (b) of this section shall specify this time and place for the formal hearing. At the sole discretion of the Commission or the Hearing Examiner, formal hearings may be held virtually. The Secretary-Treasurer may for sufficient cause schedule a formal hearing to be held virtually upon proper motion or request having been filed with the Commission office at least seven (7) days prior to the formal hearing. Any request for a hearing to be held virtually must be filed with the Commission office by mailing and/or emailing such request to the Secretary-Treasurer. If the request is submitted by email, you must include the case number, the name of the party your request is submitted on behalf of, and "Request for Formal Hearing to be Virtually" in the subject line.

(d)Formal hearing before Commission; hearing examiner or selected panel. The Secretary-Treasurer shall schedule each formal disciplinary hearing before a Hearing Examiner, a selected panel of the Commission, or the Commission as a whole. In the case of a formal hearing conducted by the Commission as a whole or a panel of the Commission, the Chairman or his/her designee shall preside. Designated counsel shall advise the Chair as to rulings upon the questions of admissibility of evidence, competence of witnesses, and any other question of law where such ruling is required or requested.

(e)Request for postponement. Once a formal hearing has been scheduled, the Secretary-Treasurer may for sufficient cause postpone or reschedule a formal hearing upon proper motion or request having been filed with the Commission office seven (7) days prior to the formal hearing.

(1) Each postponement request must be in writing and must state the specific reason(s) for the request.

(2) Each postponement request must be filed with the Commission office by mailing and/or emailing such request to the Secretary-Treasurer. If the request is submitted by email, you must include the case number, the name of the party your request is submitted on behalf of, and "Request for Postponement" in the subject line.

(3) The Commission may require official documentation supporting such postponement request.

(4) An emergency postponement request shall be considered at the time of the emergency, but it is within the Commission's discretion to accept or deny an emergency postponement request.

(5) The granting of a continuance whether general or emergency, shall not be interpreted to deny the Commission the power to impose summary suspension if the Commission finds that public health, safety, or welfare imperatively requires emergency action, and incorporates a finding to that effect in its Order, summary suspension of a license may be ordered pending proceedings for revocation or other action within thirty (30) days.

(f)Prehearing procedures. Prior to the formal hearing, the parties can agree to, or the person designated by the Commission to preside over the formal hearing, can order submission of stipulated facts and identification of witnesses and exhibits as necessary. The person designated by the Commission to preside over the formal hearing may schedule or the parties may request a prehearing conference. Attendance at the conference by the prosecuting attorney and respondent or respondent's attorney is mandatory. The subjects and objectives of prehearing conferences shall be similar to those for pretrial proceedings in the district courts.

(g)Hearings public; witnesses may be excluded. All formal hearings shall be open to the public except that upon motion of either party, witnesses may be excluded from the hearing room when such witness is not testifying.

(h)Court reporter. A court reporter shall be present to record the formal hearing on behalf of the Commission. Any person desiring a copy of the transcript of the proceedings, may purchase such from the reporter.

(i)Formal hearing procedures. The designated attorney for the State shall present the State's case. The respondent may present his or her own evidence or may present such through his or her own counsel. If the charges against the respondent resulted from a complaint filed by a party present at the hearing, the complaining party may be a witness for the State. In order that the hearing will not be encumbered by evidence having no bearing on the issues, testimony by all witnesses will be limited to matters relevant to the issues involved.

The order of procedure shall be as follows:

(1) Recitation of the statement of charges by the person presiding.

(2) Recitation of stipulated facts between the parties, if any, by the person presiding.

(3) Opening statement by the State.

(4) Opening statement by the respondent.

(5) Presentation of the State's case followed by cross-examination.

(6) Respondent's presentation followed by cross-examination.

(7) Closing arguments by the State.

(8) Closing arguments by the respondent.

(9) The person presiding may ask the parties questions consistent with general trial practices under the Administrative Procedures Act.

(j)Duty of disclosure. It is the duty and obligation of every licensee to make full disclosure at any formal hearing of any knowledge of a violation of any law or of the rules and regulations of the Commission. No person may refuse to testify at any formal hearing on any relevant matter, except in the proper exercise of a legal privilege, nor shall any person testify falsely.

(k)Failure to appear. Any respondent who fails to appear as directed, after first having received proper notice, shall be deemed by the Commission to have waived his or her right to present a defense to the charges alleged in the complaint, and the Commission may deem the allegations of the complaint to be true and correct as alleged. Thereupon, the Commission may vote to take disciplinary action upon the allegations of the complaint if it appears, after having reviewed the evidence, that disciplinary action is warranted.

(l)Supervising Broker Attendance. The supervising broker shall be required to attend all formal hearings wherein their real estate associate or company is the subject of a complaint unless the Secretary-Treasurer provides written notice that attendance is not required. Failure to attend may result in disciplinary action against the supervising broker.

(m)Order; hearing before Commission. If the case is heard by the Commission as a whole, the Commission shall deliberate and render a decision with confirmation of such decision in writing in the form of an Order distributed to all parties by mail.

(n)Proposed order consideration; hearing before hearing examiner or panel. In the case of a hearing conducted by a panel of the Commission or by a Hearing Examiner, following the hearing, the Hearing Examiner or attorney sitting as counsel to the panel shall prepare a proposed Order to be considered by members of the Commission at a future meeting.

(o)Proposed order notification; written exceptions. All respondents will be furnished copies of the proposed Order and notified as to the date the proposal will be considered by the Commission for adoption. At the same time, notice will also be given to the parties that written exceptions or requests to present oral exceptions or arguments, if any, should be submitted on or before a designated date pursuant to Section 311, of Title 75, Oklahoma Statutes. Upon adoption of the Order by the Commission as a whole, the adopted Order shall be distributed to all parties.

(p)Actual notification pertaining to this section. For purposes of paragraph (n) of this section, notice shall be deemed to have been given at the time that notice is deposited in the United States mail with proper postage thereon and mailed to the last known address of the notified person, or date when such notice is served in person by a person duly authorized as a representative of the Commission.

(q)Violation found. If the Commission shall determine that any respondent is guilty of violation of the Code, such person may be disciplined in the manner as prescribed in such Code.

Okla. Admin. Code § 605:10-17-3

Amended at 8 Ok Reg 2071, eff 7-1-91; Amended at 14 Ok Reg 3031, eff 7-11-97; Amended at 15 Ok Reg 3322, eff 7-13-98; Amended at 25 Ok Reg 1989, eff 7-1-08

Amended by Oklahoma Register, Volume 38, Issue 23, August 16, 2021, eff. 11/1/2021

Amended by Oklahoma Register, Volume 41, Issue 22, August 1, 2024, eff. 11/1/2024