Administrative Hearing Commission Procedure for All Contested Cases Under Statutory Jurisdiction 2017

2017·2.5 MB·English

by  Missouri Office of Administration, Administrative Hearing Commission

State of Missouri
Administrative Hearing
Commission
Procedure for All Contested Cases
Under Statutory Jurisdiction
Effective March 30, 2017
Rules of
Office of Administration
Division 15-Administrative Hearing Commission
Chapter 3-Procedure For All Contested Cases
Under Statutory Jurisdiction, Except Cases Where
Procedure Is Otherwise Provided For By Law
Title Page
1 CSR 15-3.010 Definitions (Rescinded February 6, 1992) ................................................. 3
1 CSR 15-3.020 Powers and Duties (Rescinded February 6, 1992) ........................................ 3
1 CSR 15-3.030 Practice by Attorneys (Rescinded February 6, 1992) ..................................... 3
1 CSR 15-3.035 Expedited Filing (Rescinded February 6, 1992) ........................................... 3
1 CSR 15-3.040 Complaints (Rescinded February 6, 1992) ................................................. 3
1 CSR 15-3.050 Answers and Supplementary Pleadings (Rescinded February 6, 1992) ............... 3
1 CSR 15-3.060 Petition for Stay (Rescinded February 6, 1992) ........................................... 3
1 CSR 15-3.070 Prehearing Conference (Rescinded February 6, 1992) ................................... 3
1 CSR 15-3.080 Discovery (Rescinded February 6, 1992) ................................................... 3
1 CSR 15-3.090 Hearing (Rescinded February 6, 1992) ..................................................... 3
1 CSR 15-3.100 Final Decisions (Rescinded February 6, 1992) ............................................ 3
1 CSR 15-3.110 Judicial Review (Rescinded February 6, 1992) ............................................ 3
1 CSR 15-3.120 Availability of Commission's Rules (Rescinded February 6, 1992) .................... 3
1 CSR 15-3.130 Waiver of Hearing (Rescinded February 6, 1992) ....................................... .4
1 CSR 15-3.140 Dismissal (Rescinded February 6, 1992) ................................................... 4
1 CSR 15-3.150 Disposition of Contested Case Without Hearing (Rescinded February 6, 1992) ... .4
1 CSR 15-3.160 Bench Rulings and Memorandum Decisions (Rescinded February 6, 1992) ........ .4
1 CSR 15-3.170 Applications for Attorney's Fees (Rescinded February 6, 1992) ...................... .4
1 CSR 15-3.200 Subject Matter .................................................................................. .4
JOHN R. ASHCROFT (2/28/17) CODE OF STATE REGULATIONS
Secretary of State
1 CSR 15-3.210 Definitions ....................................................................................... 4
1 CSR 15-3.230 Computation of Time ......................................................... : ............... .4
1 CSR 15-3.250 Practice by a Licensed Attorney; When Required .. , ..................................... 5
1 CSR 15-3.270 Service of Filings Other Than the Original Complaint. .................................. 5
1 CSR 15-3.290 Filing of Documents; Fax or Electronic Filing; Posting Bond .......................... 5
1 CSR 15-3.320 Stay of Action under Review ................................................................. 6
1 CSR 15-3.350 Complaints ....................................................................................... 7
1 CSR 15-3.380 Answers and Other Responsive Pleadings .................................................. 7
1 CSR 15-3.390 Intervention ...................................................................................... 8
1 CSR 15-3.410 Closing of Case Records and Hearings ..................................................... 9
1 CSR 15-3.420 Discovery ....................................................................................... 9
1 CSR 15-3.425 Sanctions ........................................................................................ 10
1 CSR 15-3.430 Dismissal (Rescinded November 30, 2002) .............................................. 10
1 CSR 15-3.431 Voluntary Dismissal, Settlement, and Consent Orders ................................. 10
1 CSR 15-3.436 Involuntary Dismissal ........................................................................ 10
1 CSR 15-3.440 Disposing of a Case Without a Hearing on the Complaint
(Rescinded January 1, 2009) ............................................................... 11
1 CSR 15-3.446 Decision on the Complaint without a Hearing ........................................... 11
1 CSR 15-3.450 Determination of Cases Without Hearing (Rescinded November 30, 2002) ........ 11
1 CSR 15-3.470 Prehearing Conferences ...................................................................... 12
1 CSR 15-3.480 Motions ......................................................................................... 12
1 CSR 15-3.490 Hearings on Complaints; Default. .......................................................... 12
1 CSR 15-3.500 Written Arguments ............................................................................ 12
1 CSR 15-3.510 Transcripts ...................................................................................... 12
1 CSR 15-3.530 Bench Rulings and Memorandum Decisions ............................................. 13
1 CSR 15-3.560 Fees and Expenses ............................................................................ 13
1 CSR 15-3.580 Certifications of Records ..................................................................... 13
2 CODE OF STATE REGULATIONS (2/28/17) JOHN R. ASHCROFT
Secretary of State
Chapter 3-Procedure For All Contested Cases Under Statutory Jurisdiction, Except Cases ~
Where Procedure Is Otherwise Provided For By Law 1CSR15-3~
Title I-OFFICE OF AUTHORITY: section 621.198, RSMo 1986. 11, 1978, effective Aug. 23, 1978, expired
ADMINISTRATION This rule was previously filed as 4 CSR 20- Dec. 20, 1978. Original rule filed Aug. 11,
Division 15-Aclministrative Hearing 3. 040. Emergency rule filed Aug. 11, 1978, 1978, effective Dec. 20, 1978. Amended:
Commission effective Aug. 23, 1978, expired Dec. 20, Filed July 15, 1980, effective Nov. 13, 1980.
Chapter 3-Procedure For All Contested 1978. Original rule filed Aug. 11, 1978, Amended: Filed May 29, 1986, effective Dec.
Cases Under Statutory Jurisdiction, effective Dec. 20, 1978. Rescinded: Filed 1, Emergency amendment filed Aug. 18,
Except Cases Where Procedure Is Aug. 5, 1991, effective Feb. 6, 1992. 1989, effective Aug. 28, 1989, expired Dec.
Otherwise Provided For By Law 25, 1989. Amended: Filed Aug. 31, 1989,
effective Dec. 28, 1989. Rescinded: Filed
1 CSR 15-3.010 Definitions 1 CSR 15-3.050 Answers and Supplemen Aug. 5, 1991, effective Feb. 6, 1992.
(Rescinded February 6, 1992) tary Pleadings
(Rescinded February 6, 1992)
AUTHORITY: section 621.198, RSMo 1986.
This rule was previously filed as 4 CSR 20- AUTHORITY: section 621.198, RSMo 1986. 1 CSR 15-3.090 Hearing
3. 010. Emergency rule filed Aug. 11, 1978, This rule was previously filed as 4 CSR 20- (Rescinded February 6, 1992)
effective Aug. 23, 1978, expired Dec. 20, 3. 050. Emergency rule filed Aug. 11, 1978,
1978. Original rule filed Aug. 11, 1978, effective Aug. 23, 1978, expired Dec. 20, AUTHORITY: section 621.198, RSMo 1986.
effective Dec. 20, 1978. Amended: Filed July 1978. Original rule filed Aug. 11, 1978, This rule was previously filed as 4 CSR 20-
15, 1980, effective Nov. 13, 1980. Rescinded: effective Dec. 20, 1978. Amended: Filed July 3. 090. Emergency rule filed Aug. 11, 1978,
Filed Aug. 5, 1991, effective Feb. 6, 1992. 15, 1980, effective Nov. 13, 1980. Emergen effective Aug. 23, 1978, expired Dec. 20,
cy amendment filed Nov. 14, 1986, effective 1978. Original rule filed Aug. 11, 1978,
Dec. 1, 1986, expired March 1, 1987. effective Dec. 20, 1978. Amended: Filed July
1 CSR 15-3.020 Powers and Duties Amended: Filed Nov. 14, 1986, effective 15, 1980, effective Nov. 13, 1980. Emergen
(Rescinded February 6, 1992) March 2, 1987. Amended: Filed Oct. 16, cy amendment filed Nov. 14, 1986, effective
1987, effective Jan. 19, 1988. Emergency Dec. 11, 1986, expired March 1, 1987.
AUTHORITY: section 621.198, RSMo 1986. amendment filed Aug. 18, 1989, effective Amended: Filed Nov. 14, 1986, effective
This rule was previously filed as 4 CSR 20- Aug. 28, 1989, expired Dec. 25, 1989. March 2, 1987. Rescinded: Filed Aug. 5,
3. 020. Emergency rule filed Aug. 11, 1978, Amended: Filed Aug. 31, 1989, effective Dec. 1991, effective Feb. 6, 1992.
effective Aug. 23, 1978, expired Dec. 20, 28, 1989. Rescinded: Filed Aug. 5, 1991,
1978. Original rule filed Aug. 11, 1978, effective Feb. 6, 1992.
effective Dec. 20, 1978. Amended: Filed July 1 CSR 15-3.100 Final Decisions
15, 1980, effective Nov. 13, 1980. Rescinded:
(Rescinded February 6, 1992)
Filed Aug. 5, 1991, effective Feb. 6, 1992. 1 CSR 15-3.060 Petition for Stay
(Rescinded February 6, 1992) AUTHORITY: section 621.198, RSMo 1986.
This rule was previously filed as 4 CSR 20-
1 CSR 15-3.030 Practice by Attorneys AUTHORITY: section 621.198, RSMo 1986.
3.100. Emergency rule filed Aug. 11, 1978,
(Rescinded February 6, 1992) This rule was previously filed as 4 CSR 20-
3. 060. Emergency rule filed Aug. 11, 1978, effective Aug. 23, 1978, expired Dec. 20,
AUTHORITY: section 621.198, RSMo 1986. effective Aug. 23, 1978, expired Dec. 20, 1978. Original rule filed Aug. 11, 1978,
This rule was previously filed as 4 CSR 20- 1978. Original rule filed Aug. 11, 1978, effective Dec. 20, 1978. Rescinded: Filed
3. 030. Emergency rule filed Aug. 11, 1978, effective Dec. 20, 1978. Rescinded: Filed Aug. 5, 1991, effective Feb. 6, 1992.
effective Aug. 23, 1978, expired Dec. 20, Aug. 5, 1991, effective Feb. 6, 1992.
1978. Original rule filed Aug. 11, 1978,
effective Dec. 20, 1978. Amended: Filed July 1 CSR 15-3.110 Judicial Review
15, 1980, effective Nov. 13, 1980. Amended: 1 CSR 15-3.070 Prehearing Conference (Rescinded February 6, 1992)
Filed Oct. 16, 1987, effective Jan. 19, 1988. (Rescinded February 6, 1992)
Rescinded: Filed Aug. 5, 1991, effective Feb. AUTHORITY: section 621.198, RSMo 1986.
6, 1992. AUTHORITY: section 621.198, RSMo 1986. This rule was previously filed as 4 CSR 20-
This rule was previously filed as 4 CSR 20- 3. 090. Emergency rule filed Aug. 11, 1978,
3. 070. Emergency rule filed Aug. 11, 1978, effective Aug. 23, 1978, expired Dec. 20,
1 CSR 15-3.035 Expedited Filing effective Aug. 23, 1978, expired Dec. 20, 1978. Original rule filed Aug. 11, 1978,
(Rescinded February 6, 1992) 1978. Original rule filed Aug. 11, 1978, effective Dec. 20, 1978. Emergency amend
effective Dec. 20, 1978. Amended: Filed July
ment filed Nov. 14, 1986, effective Dec. 1,
AUTHORITY: section 621.198, RSMo 1986. 15, 1980, effective Nov. 13, 1980. Rescinded:
1986, expired March 1, 1987. Amended:
Emergency rule filed Aug. 18, 1989, effective Filed Aug. 5, 1991, effective Feb. 6, 1992.
Filed Nov. 14, 1986, effective March 2, 1987.
Aug. 28, 1989, expired Dec. 25, 1989. Orig
Rescinded: Filed Aug. 5, 1991, effective Feb.
inal rule filed Aug. 31, 1989, effective Dec.
28, 1989. Rescinded: Filed Aug. 5, 1991, 1 CSR 15-3.080 Discovery 6, 1992.
effective Feb. 6, 1992. (Rescinded February 6, 1992)
AUTHORITY: sections 536.073 and 621.198, 1 CSR 15-3.120 Availability of Commis
1 CSR 15-3.040 Complaints RSMo 1986. This rule was previously filed as sion's Rules
(Rescinded February 6, 1992) 4 CSR 20-3.080. Emergency rule filed Aug. (Rescinded February 6, 1992)
JOHN R. ASHCROFT (2/28/17) CODE OF STATE REGULATIONS 3
Secretary of State
'ib
1 CSR 15-3-OFFICE OF ADMINISTRATION Division 15-Administrative Hearing Commission
AUTHORITY: section 621.198, RSMo 1986. AUTHORITY: section 621.198, RSMo 1986. (D) Commission-the Administrative
This rule was previously filed as 4 CSR 20- Emergency rule filed Aug. 18, 1989, effective Hearing Commission or any commissioner;
3.120. Emergency rule filed Aug. 11, 1978, Aug. 28, 1989, expired Dec. 25, 1989. Orig (E) Commissioner-any administrative
inal rule filed Aug. 31, 1989, effective Dec. hearing commissioner, including any acting
effective Aug. 23, 1978, expired Dec. 20,
28, 1989. Rescinded: Filed Aug. 5, 1991, commissioner;
1978. Original rule filed Aug. 11, 1978, effective Feb. 6, 1992. (F) Commission's office-the Administra
effective Dec. 20, 1978. Rescinded: Filed tive Hearing Commission's official residence
Aug. 5, 1991, effective Feb. 6, 1992. at 131 West High Street, Third Floor, PO Box
1 CSR 15-3.200 Subject Matter 1557, Jefferson City, MO 65101;
(G) Complaint-the petition, application,
1 CSR 15-3.130 Waiver of Hearing PURPOSE: This rule sets out the matters to or other initial pleading other than a motion
which this chapter applies. for a stay, or any amended complaint;
(Rescinded February 6, 1992)
(H) Hearing-any presentation to, or con
This chapter 1 CSR 15-3 contains all proce sideration by, the commission of evidence or
AUTHORITY: section 621.198, RSMo 1986.
dural regulations for all contested cases argument on a complaint, motion or applica
This rule was previously filed as 4 CSR 20- assigned to the Administrative Hearing Com tion;
3.130. Emergency rule filed Aug. 11, 1978, mission by statute except as otherwise pro (I) License-any permit to engage in a
effective Aug. 23, 1978, expired Dec. 20, vided for by law. This chapter does not apply licensed activity or certificate of registration;
1978. Original rule filed Aug. 11, 1978, to cases not assigned to the Administrative (J) Licensee-any person holding a
effective Dec. 20, 1978. Rescinded: Filed Hearing Commission by statute, including license;
Aug. 5, 1991, effective Feb. 6, 1992. cases in which the Administrative Hearing (K) Person-any individual, corporation,
Commission acts as a hearing officer for limited liability company, or other legal enti
another agency by interagency agreement. ty;
(L) Petitioner-the party filing the com
1 CSR 15-3.140 Dismissal
AUTHORITY: sections 226.008.4, 536.073.3, plaint;
(Rescinded February 6, 1992)
621.035, 621.198, and 622.027, RSMo (M) Pleading-a complaint or a responsive
2016. * Original rule filed Jan. 11, 2001, pleading;
AUTHORJTY: section 621.198, RSMo 1986.
effective July 30, 2001. Amended: Filed June (N) Respondent-the party against whom
This rule was previously filed as 4 CSR 20-
3, 2002, effective Nov. 30, 2002. Emergency the complaint is filed, and any person later
3.140. Original rule filed July 15, 1980, amendment filed Nov. 26, 2002, effective joined as respondent;
effective Nov. 13, 1980. Amended: Filed Oct. Dec. 6, 2002, expired May 30, 2003. Amend (0) Responsive pleading-an answer, and
16, 1987, effective Jan. 19, 1988. Rescinded: ed: Filed Nov. 26, 2002, effective May 30, any motion directed to the contents or form of
Filed Aug. 5, 1991, effective Feb. 6, 1992. 2003. Amended: Filed May 30, 2006, effe c the complaint, including, without limitation,
tive Nov. 30, 2006. Amended: Filed Sept. 29, motions to dismiss, motions for more definite
2016, effective March 30, 2017. statement or to make more definite and cer
1 CSR 15-3.150 Disposition of Contested tain, motions to strike or any combination of
*Original authority: 226.008, RSMo 2002, 2014,' 536,()73, these pleadings; and
Case Without Hearing
RSMo 1957, amended 1985, 1989, 1995; 621.035, RSMo (P) Stay-any stay or a suspension of any
(Rescinded February 6, 1992) 1978; 621.198, RSMo 1965, amended 1978, 2001; and
action from which petitioner is appealing.
622.027, RSMo 1985, amended 1993, 1995.
AUTHORITY: section 536.073 and 621.198,
AUTHORITY: section 621.198, RSMo 2016. *
RSMo 1986. Original rule filed May 29, 1 CSR 15-3.210 Definitions Original rule filed Aug. 5, 1991, effective
1986, effective Dec. 1, 1986. Rescinded: Feb. 6, 1992. Amended: Filed Jan. 11, 2001,
Filed Aug. 5, 1991, effective Feb. 6, 1992. PURPOSE: This rule sets out the definitions effective July 30, 2001. Amended: Filed June
of terms used in the rules of the Administra 3, 2002, effective Nov. 30, 2002. Amended:
tive Hearing Commission. Filed Sept. 29, 2016, effective March 30,
1 CSR 15-3.160 Bench Rulings and Memo 2017.
randum Decisions (1) As used in this chapter, the following
(Rescinded February 6, 1992) terms mean: 2*0O0r1i,g inal authority: 621.198, RSMo 1965, amended 1978,
(A) Agency-any governmental entity sub
AUTHORITY: section 621.198, RSMo 1986. ject to the jurisdiction of the commission;
Emergency rule filed Aug. 18, 1989, effective (B) Aggrieved person-any person, other 1 CSR 15-3.230 Computation of Time
than an agency, the attorney general, a
Aug. 28, 1989, expired Dec. 25, 1989. Orig
licensee or an applicant, whom the law allows PURPOSE: This rule sets forth the manner in
inal rule filed Aug. 31, 1989, effective Dec.
to file a complaint relating to a license; which time periods will be computed.
28, 1989. Rescinded: Filed Aug. 5, 1991, (C) Applicant-any person whom an agen
effective Feb. 6, 1992. cy refuses to permit to be examined upon the (1) In computing any period of time pre
person's qualifications, ·or who has passed an scribed or allowed by these rules or by order
examination for licensure but as to whom an of the commission, the day of the act, event
1 CSR 15-3.170 Applications for Attor agency refuses to issue or renew a license, or or default after which the designated period
ney's Fees who possesses the qualifications for licensure of time begins to run is not to be included.
(Rescinded February 6, 1992) without examination; The last day of the period so computed is to
4 CODE OF STATE REGULATIONS (2/28/17) JOHN R. ASHCROFT
Secretary of State
Chapter 3-Procedure For All Contested Cases Under Statutory Jurisdiction, Except Cases
Where Procedure Is Otherwise Provided For By Law 1CSR15-3~
be included, unless it is a Saturday, Sunday or ing anything other than a complaint with the apply to an original complaint.
legal holiday, in which event the period runs commission send copies to all parties.
until the end of the next day which is neither AUTHORITY: section 621.198, RSMo 2016. *
a Saturday, Sunday nor legal holiday. (1) Unless otherwise provided by these rules Original rule filed Aug. 5, 1991, effective
or by other law, any party to a proceeding Feb. 6, 1992. Amended: Filed Sept. 29, 2016,
(2) The commission may extend the time set before the commission or any person who effective March 30, 2017.
by these rules or by order of the commission seeks to become a party shall serve upon all
either before or after the time period has attorneys of record and unrepresented parties *Original authority: 621.198, RSMo 1965, amended 1978,
expired. a copy of any document or item the party 2001.
files with the commission.
(3) A party may move for an extension of the
1 CSR 15-3.290 Filing of Documents; Fax
time set by these rules or by order of the com (2) Methods of Service.
or Electronic Filing; Posting Bond
mission. The motion shall be in writing and (A) A person may serve a document on an
shall state whether any party objects to the attorney by-
PURPOSE: This rule establishes procedures
extension or that efforts to contact the parties 1. Hand-delivering it to the attorney;
for filing documents and when they are
have been futile. 2. Leaving it at the attorney's office with
deemed filed and clarifies the requirement for
a secretary, clerk, or attorney associated with
posting bonds.
AUTHORITY: section 621.198, RSMo 1986. * or employed by the attorney served;
Original rule filed Aug. 5, 1991, effective 3. Mailing it to the attorney's last known (1) A party may file a document with the
Feb. 6, 1992. address; commission by-
4. Sending it to the attorney's last known (A) Hand-delivering the document to the
*Original authority: 621.198, RSMo 1965, amended 1978. e-mail address; or commission. A document filed by hand
5. Facsimile transmitting (faxing) it to delivering a physical copy to the commission
the attorney's last known fax number. is deemed filed on the date the commission
1 CSR 15-3.250 Practice by a Licensed
(B) A person may serve a document on an receives the document;
Attorney; When Required
unrepresented party by- (B) Registered or Certified Mail. A docu
1. Hand-delivering it to the party; ment filed by registered or certified mail, as
PURPOSE: This rule states when and how a
2. Mailing it to the party's last known defined in section 1.020(1), RSMo, is deemed
party must be represented by a licensed attor
address; filed on the date shown on the records of the
ney.
3. Sending it to the party's last known e United States Post Office or other common
(1) Any individual may present that individu mail address; or carrier that allows a sender or recipient to
al's own case without a licensed attorney. 4. Faxing it to the party's last known fax electronically track its location and provides
number. record of the signature of the recipient;
(2) Any individual may file a complaint on (C) Personal service on attorneys and self (C) Electronic Transmission by fax or
behalf of another person,· including a corpo represented parties and service by leaving a through an electronic filing system, or its
equivalent.
ration, limited liability company, or other copy at the attorney's office is complete upon
1. A document filed by fax shall follow
legal entity. delivery. Service by mail is complete upon
the procedures set forth in section (2) of this
mailing. Service by fax transmission or e
rule.
(3) Except as set forth in section (2) of this mail is complete upon transmission, except
2. A document filed by electronic filing
rule, only a licensed attorney may represent that a transmission made on a Saturday, Sun
or its equivalent shall follow the procedures
any other person, including a corporation, day, or legal holiday, or after 5:00 p.m. shall
set forth in section (3) of this rule.
limited liability company, or other legal enti be complete on the next day that is not a Sat
3. A document filed by fax or electron
ty. The filing of any document with the com urday, Sunday, or legal holiday.
ic filing is deemed filed at the time the com
mission by a licensed attorney shall be
mission receives the fax or electronic filing,
deemed an entry of appearance. An attorney (3) Any document or item filed with the com
except that if a document arrives by fax or
not authorized to practice in Missouri shall mission shall contain or be accompanied by a
electronic filing after 5:00 p.m. and before
enter an appearance in accordance with Mis signed certification of service that indicates 12:00 midnight or on a Saturday, Sunday, or
souri Supreme Court Rules.
how and when the filing party has met the legal holiday, it is filed on the commission's
AUTHORITY: section 621.198, RSMo 2016. * provisions of section (1) of this rule. The cer next business day, unless the commission
tification of service shall state the- orders otherwise; or
Original rule filed Aug. 5, 1991, effective
(A) Name of the person served; (D) Any Other Method. A document filed
Feb. 6, 1992. Amended: Filed June 3, 2002,
(B) Date of service; by any method other than hand-delivery, reg
effective Nov. 30, 2002. Amended: Filed Sept.
(C) Method of service; and istered mail, certified mail, fax, or electronic
29, 2016, effective March 30, 2017.
(D) Address of service, such as mailing filing is deemed filed on the date the com
address, fax number, or e-mail address. mission receives the document.
*Original authority: 621.198, RSMo 1965, amended 1978,
2001.
(4) The commission, after due notice to all (2) A party filing by fax shall-
parties, may waive the requirements of sec (A) Fax the document to the commission's
1 CSR 15-3.270 Service of Filings Other tion (1) of this rule either on its own motion dedicated fax number, [phone];
Than the Original Complaint or on the motion of any party. (B) Fax the document, if possible, to all
other parties having electronic facsimile
PURPOSE: This rule requires that anyone fil- (5) The requirements of this rule shall not equipment. If unable to fax, a party shall
JOHN R. ASHCROFT (2/28/17) CODE OF STATE REGULATIONS 5
Secretary of State
~
1 CSR 15-3-OFFICE OF ADMINISTRATION Division 15-Administrative Hearing Commission
notify all other parties of its intention to file by eleven inch (8 ½ x 11 ") paper and printed action.
the document by fax. The notice need not be on one (1) side only. (B) Department of Social Services Cases
in writing. A good faith attempt at compli Under Section 208.156, RSMo. The com
ance shall satisfy the requirements of this (8) Bonds. A bond is posted when the com mission shall not grant a stay until after a full
subsection; mission receives the original bond, unless the hearing on the motion.
(C) If the commission so orders, send the commission orders otherwise. 1. The movant must show:
original signed document to the commission; A. That immediate and irreparable
(D) Certify in the documents the method of AUTHORITY: sections 621.035 and 621.198, injury, loss, or damage will result if such stay
notice used to fulfill the requirements of sub RSMo 2016. * Original rule filed Aug. 5, order is denied; or
section (2)(B) of this rule; and 1991, effective Feb. 6, 1992. Amended: Filed B. That such person has a reasonable
(E) Send a copy of the document to all par Oct. 31, 1994, effective May 28, 1995. likelihood of success upon the merits of the
ties as provided in 1 CSR 15-3.270. The Amended: Filed Jan. 11, 2001, effective July claim; and
commission may order the party to send a 30, 2001. Amended: Filed June 1, 2005, 2. No stay order shall be issued without
copy of the document to any party by effective Nov. 30, 2005. Amended: Filed Aug. the movant posting a bond in such sum as the
overnight mail. 30, 2010, effective Feb. 28, 2011. Amended: commission finds sufficient to protect and
Filed Sept. 29, 2016, effective March 30, preserve the interest of the Department of
(3) A party filing by electronic filing shall 2017. Social Services or its divisions.
(A) Transmit the document via the com 3. In no event may the commission grant
mission's dedicated electronic filing system *Original authority: 621.035, RSMo 1978 and 621.198, such stay order where the claim arises under
RSMo 1965, amended 1978, 2001.
accessible through the commission website; a program or programs funded by federal
(B) E-mail the document, if possible, to all funds or by any combination of state and fed
other parties having e-mail capability. If 1 CSR 15-3.320 Stay of Action under eral funds, unless it is specified in writing by
unable to e-mail, a party shall notify all other Review the financial section of the appropriate feder
parties of its intention to file the document by al agency that federal financial participation
electronic filing. The notice need not be in PURPOSE: This rule describes the form and will be continued under the stay order and
writing. A good faith attempt at compliance content of a motion for stay or suspension of petitioner has met any other statutory condi
shall satisfy the requirements of this subsec an agency's actions, and the number of tions.
tion; copies required. (C) Franchise Cases Under Sections
(C) If the commission so orders, send the 407.822.l and 407.1031.1, RSMo. The com
original signed document to the commission; (1) Scope and Content. The commission may mission's notice of hearing shall contain a stay
(D) Certify in the documents the method of stay or suspend any action of an administra of the action from which the petitioner seeks
notice used to fulfill the requirements of sub tive agency pending the commission's find relief. The stay shall dissolve only as set forth
section (3)(B) of this rule; ings and determination in the cause. in section (7) and not section (8) of this rule.
-(B) Send a copy of the document to all par (A) All motions for stay of the action from -(D) Division of Liquor Control Cases, or
ties as provided in 1 CSR 15-3.270. The which petitioner is appealing shall be in writ any successor thereof. The commission, with
commission may order the party to send a ing. or without the filing of a motion, may stay
copy of the document to any party by (B) The movant shall include in the any order of the supervisor of the Division of
overnight mail; and motion: Liquor Control if the licensee files a com
(F) E-mail filing outside the commission's 1. The full name, address and telephone plaint.
electronic filing system is not permitted, number of movant, any attorney representing
except for cases filed under section 162.961, movant, the name, address, and telephone (3) The comm1ss1on, upon either party's
RSMo, Individuals with Disabilities Educa number of the respondent and any attorney request or, on its own initiative, may hold an
tion Act (IDEA) or as otherwise permitted in representing respondent; evidentiary hearing on whether to issue a stay
writing by the commission. 2. Suitable space in the caption for the order, except as provided in subsections
commission to affix a case number; (2)(B) and (2)(C) of this rule.
(4) The provisions of 1 CSR 15-3.350 relat 3. A clear heading, Motion for Stay;
ing to filing multiple copies of the complaint 4. Facts showing why the commission (4) The commission may condition its stay
shall not apply to filings made by fax or elec should grant the stay, set forth in numbered order on the posting of a bond or other secu
tronic filing, unless otherwise required by the paragraphs, each of which shall contain, as rity, except as provided in subsection (2)(B)
commission. far as practical, a single set of circumstances; of this rule. A bond or other security is post
and ed when the commission receives it.
(5 ) A facsimile or electronic signature shall 5. A copy of any written notice of the
have the same effect as an original signature. action from which the petitioner is appealing. (5) The denial of a motion for stay shall not
See section 432.230, RSMo. (C) The movant or movant's legal counsel prejudice the movant's complaint on the mer
shall sign the motion. its.
(6) The commission prefers that any docu
ment in excess of fifty (50) pages be filed by (2) Specific Cases. (6) The commission's stay order shall remain
electronic filing. (A) International Fuel Tax Agreement effective until the commission finally dispos
(IFTA) Cases. The commission, with or es of the case unless the commission orders
(7) All pleadings and other papers, except without the filing of a motion, may stay any otherwise. The commission shall not order
exhibits, filed with the commission shall be suspension or revocation of an IFTA license otherwise as to a case under subsection
printed on or formatted to eight and one half if the licensee files a complaint on that (2)(C) of this rule.
6 CODE OF STATE REGULATIONS (2/28/17) JOHN R. ASHCROFT
Secretary of State
Chapter 3-Procedure For All Contested Cases Under Statutory Jurisdiction, Except Cases
Where Procedure Is Otherwise Provided For By Law 1CSR15-3~
(7) The corrumss10n, upon either party's 3. Any fact supporting the relief that the the complaint only with the commission's
request or, on its own initiative, may hold an agency seeks, including any conduct that a leave. The motion shall include the amended
evidentiary hearing on whether to dissolve a licensee has committed that is cause for dis complaint proposed to be filed.
stay order, except as provided in subsection cipline, with sufficient specificity to enable (B) For cases filed under section 162.961,
(2)(C) of this rule. the licensee to address the charge at hearing; RSMo, Individuals with Disabilities Educa
and tion Act (IDEA), a party may amend its due
AUTHORITY: sections 621.035 and 621.198, 4. Any provision of law that allows dis process complaint only if-
RSMo 2016. * Original rule filed Aug. 5, cipline for such facts; 1. The other party consents in writing to
1991, effective Feb. 6, 1992. Amended: Filed (B) A complaint by any person other than the amendment and the other party is given
Jan. 11, 2001, effective July 30, 2001. an agency- the opportunity to resolve the due process
Amended: Filed June 3, 2002, effective Nov. 1. Shall include a copy of any notice of complaint through a meeting held pursuant to
30, 2002. Amended: Filed June 16, 2003, the action of which petitioner seeks review; 34 CFR 300.510; or
effective Nov. 30, 2003. Amended: Filed July and 2. The commission grants permission.
2, 2008, effective Jan. 1, 2009. Amended: 2. May include a motion for stay; Pursuant to 34 CFR 300.508(d)(3)(ii), no
Filed Sept. 29, 2016, effective March 30, (C) An applicant's complaint shall, in leave to amend shall be granted by the com
2017. addition to the other requiremenis of this sec mission less than five (5) days before the due
tion, set forth facts that show that the appli process hearing is scheduled to begin.
•Original authority: 621.035, RSMo 1978 and 621.198, cant is entitled to be licensed or examined for
RSMo 1965, amended 1978, 2001. licensure; (5) The provisions of this rule, except sub
(D) In a case arising pursuant to Chapter section (l)(D) and section (3), apply to
407, RSMo, including cases relating to the amended complaints.
1 CSR 15-3,350 Complaints
protest of an action taken by a motor vehicle,
motorcycle, or all-terrain vehicle manufactur AUTHORITY: sections 621. 035, 621. 053, and
PURPOSE: This rule describes the form and
er, distributor, or representative pursuant to a 621.198, RSMo 2016. * Original rule filed
content of the complaints, the number of
franchise agreement, the petition shall Aug. 5, 1991, effective Feb. 6, 1992. Amend
copies required, how the complaints are
served, and how they are amended. include a filing fee in the amount equal to the ed: Filed Oct. 31, 1994, effective May 28,
filing fee of the circuit court of Cole County 1995. Amended: Filed Jan. 11, 2001, effective
(1) In General. The commission shall con pursuant to section 621.053, RSMo; July 30, 2001. Amended: Filed June 3, 2002,
strue the provisions of this rule liberally if (E) In a case arising pursuant to section effective Nov. 30, 2002. Amended: Filed June
petitioner has prepared the complaint without 105.055, 36.280, 36.370, 36.380, or 36.390, 16, 2003, effective Nov. 30, 2003. Amended:
legal counsel. RSMo, the petition shall include a copy of Filed June 1, 2004, effective Nov. 30, 2004.
(A) All complaints shall be in writing. any notice of the action of which the employ Amended: Filed June 1, 2005, effective Nov.
(B) Petitioner shall include in the com ee seeks review and shall state- 30, 2005. Amended: Filed May 30, 2006,
plaint: 1. The action being appealed; and effective Nov. 30, 2006. Amended: Filed May
-r. The"full name, address, and telephone 2. In the case of a dismissal, suspension 31, 2007, effeetive Nov. 30, 2007. Amended:
number of- for greater than five (5) days, or demotion, Filed July 2, 2008, effective Jan. 1, 2009.
A. Petitioner; and the reason the employee alleges that the dis Emergency amendment filed Aug. 30, 2010,
B. Any attorney representing petition missal, suspension, or demotion was- effective Sept. 9, 2010, expired March 7,
er; A. For political reasons; 2011. Amended: Filed Aug. 30, 2010, effective
2. Suitable space in the caption for the B. For religious reasons; Feb. 28, 2011. Amended: Filed Sept. 29,
commission to affix a case number; and C. For racial reasons; 2016, effective March 30, 2017.
3. As far as practical, facts in numbered D. Not in the interest of efficient
paragraphs stating the relief sought and the administration and that the good of the ser *Original authority: 621.035, RSMo 1978; 621.053, RSMo
reason for granting it; however, the failure to vice was not served; or 1997, amended 2001; and 621.198, RSMo 1965, amended
include facts in numbered paragraphs shall E. For reasons prohibited by section 1978, 2001.
not be a reason for involuntary dismissal of a 105.055, RSMo. The petitioner may, but is
complaint. not required to, utilize a form provided by the
(C) Petitioner or petitioner's legal counsel commission on its website for purposes of 1 CSR 15-3.380 Answers and Other
shall sign the complaint. appeals covered by this subsection. Responsive Pleadings
(D) Petitioner shall file the original of the
complaint at the commission's office with (3) Notice. PURPOSE: This rule describes who is
sufficient copies for all parties, unless filing (A) The commission shall serve notice of required to file a responsive pleading, how it
the complaint via fax or e-mail in accordance the complaint on the respondent and the peti shall be filed, the form and content of the
with 1 CSR 15-3.290. tioner. answer, and how an answer is amended.
(B) Except in cases arising under section
(2) Specific Cases. In addition to the other 407 .822, RSMo, the commission shall serve (1) The respondent shall file an answer in all
requirements of this rule- a copy of the complaint on the respondent. cases except those arising pursuant to sec
(A) An agency's complaint shall set forth- tions 36.280, 36.370, 36.380, and 36.390,
1. The full name, address, and telephone (4) Amended Complaint. RSMo, in which case respondent may, but is
number of any person whom petitioner names (A) Petitioner may amend the complaint not required to, file an answer, unless the
as a respondent; without the commission's leave any time commission orders that an answer be filed.
2. A description of any licenses the before the respondent serves a responsive
licensee holds from the agency and their sta pleading. After the respondent serves a (2) An answer to the complaint shall
tus; responsive pleading, petitioner shall amend (A) Be in writing;
JOHN R. ASHCROFT (2/28/17) CODE OF STATE REGULATIONS 7
Secretary of State
~
1 CSR 15-3-OFFICE OF ADMINISTRATION Division 15-Administrative Hearing Commission
(B) Admit those portions of the complaint (B) If the commission issues an order post tute the admission of any facts or entitle peti
which the respondent believes are true and poning its ruling on the request until hearing, tioner to the relief requested in the complaint
deny those portions that the respondent the respondent shall file the answer no later unless the commission so orders.
believes are not true and state that the respon than ten (10) days after the commission so (E) In cases in which a default decision has
dent is without sufficient knowledge to admit orders; been entered under section 621.045.6,
or deny the portions not admitted or denied; (C) If the commission issues an order RSMo, the commission may set aside the
(C) Assert as a defense any specific failure granting the request, but the order does not default when respondent files a motion to set
of the complaint to comply with 1 CSR 15- dispose of the entire complaint, respondent aside the default decision within thirty (30)
3 .350 or waive that defense by not asserting shall file the answer no later than ten (10) days after entry of the default, stating facts
it; days after the commission so orders; and constituting a meritorious defense and good
(D) Be signed by the respondent or the (D) If the commission orders petitioner to cause for not having filed an answer or other
respondent's attorney; and amend the complaint, the respondent shall responsive pleading.
(E) When the petitioner seeks review of file the answer no later than ten (10) days
respondent's action, include- after service of the amended complaint. AUTHORITY: sections 621.035 and 621.198,
1. Allegations of any facts on which the RSMo 2016. * Original rule filed Aug. 5,
respondent bases the action, with sufficient (5) Except by leave of the commission, the 1991, effective Feb. 6, 1992. Amended: Filed
specificity to enable the petitioner to address respondent shall file an answer to an amend Oct. 31, 1994, effective May 28, 1995.
such allegations; ed complaint within the latest of- Amended: Filed Jan. 11, 2001, effective July
2. Any provision of law that allows the (A) Ten (10) days after service of the 30, 2001. Amended: Filed June 3, 2002,
respondent to base the action on such facts; amended complaint; or effective Nov. 30, 2002. Amended: Filed June
3. A copy of any written notice of the (B) The time remaining for filing answer to 1, 2004, effective Nov. 30, 2004. Amended:
action of which petitioner seeks review, the original complaint; or Filed June 1, 2005, effective Nov. 30, 2005.
unless such written notice was included in the (C) Ten (10) days after the date of an order Amended: Filed July 2, 2008, effective Jan.
complaint; and granting leave to file the amended complaint. 1, 2009. Emergency amendment filed Aug.
4. Facts that show that the respondent 30, 2010, effective Sept. 9, 2010, expired
has complied with any provisions of law (6) Otherwise, the respondent shall amend March 7, 2011. Amended: Filed Aug. 30,
requiring the respondent to notify the peti the answer only with the commission's leave. 2010, effective Feb. 28, 2011. Amended: Filed
tioner of the action that petitioner is appeal Sept. 29, 2016, effective March 30, 2017.
ing. (7) Failure to File.
(A) The commission, on its own motion or *Original authority: 621.035, RSMo 1978 and 621.198,
RSMo 1965, amended 1978, 2001.
(3) The respondent shall file any responsive that of any party, may order a remedy for
pleading within the following times- respondent's failure to file an answer or other
(A) Thirty (30) days after service of the responsive pleading, or failure to otherwise 1 CSR 15-3.390 Intervention
notice of complaint, except when service is comply with this rule, as set forth at rule 1
by certified mail or publication; CSR 15-3.425. PURPOSE: This rule describes who may
(B) When service is by certified mail, (B) Except in cases under section 36.280, intervene in an action and how to intervene.
within thirty (30) days after acknowledgment 36.370, 36.380, 36.390, 407 .822.1, or
of receipt of the notice of complaint or return 407 .1031.1, RSMo, petitioner shall file the (1) The commission may permit any person
certified mail receipt is filed in the case; motion not fewer than thirty (30) days before to intervene if the person-
(C) When service is by publication, within the hearing on the complaint or the motion (A) Files a motion for intervention within
forty-five (45) days of the first publication of shall be waived. In cases under section such time as not to delay unduly the hearing
notice; 407.822.1 or 407.1031.1, RSMo, petitioner on the complaint; and
(D) For cases filed under section 162.961, shall file a motion for a remedy only with the (B) Has an interest in the action which is
RSMo, Individuals with Disabilities Educa commission's leave and pursuant to a sched different from the general public interest and
tion Act (IDEA), except as provided in 34 ule ordered by the commission. which cannot be represented adequately by
CFR 300.508(e), within ten (10) days of (C) In addition to the remedies set forth in the parties.
receiving the due process complaint. rule 1 CSR 15-3.425, remedies under this
section may include an order that respondent (2) A motion to intervene shall
(4) The filing of a responsive pleading, other is deemed to have- (A) Be in writing;
than an answer, that requests the commission 1 . Admitted the facts pleaded in the (B) Be served on all the parties;
to take some action shall increase the time in complaint; (C) Set forth facts showing that the person
which the respondent shall file an answer, as 2. Waived any defense to the complaint; is entitled, or should be permitted, to inter
set by section (3) of this rule, as follows, and vene;
unless the commission orders otherwise. In 3. Defaulted on any issue raised in the (D) Be signed by the person or the person's
any case, the time allowed for filing an complaint. attorney;
answer shall be no Jess than the time that (D) The commission may dispose of any (E) Be accompanied by a pleading that sets
remained when the responsive pleading was issue on which it deems respondent to have forth the relief, claim, or defense for which
filed. defaulted. The commission shall determine intervention is sought.
(A) If the commission denies the request, the appropriate remedy based on the facts of
the respondent shall file the answer no later the case. Respondent's failure to file an (3) The commission's order, ruling on the
than ten (10) days after the commission so answer or other responsive pleading or other motion to intervene, shall set the date on
orders; wise comply with this rule shall not consti- which intervenor's pleading is filed.
8 CODE OF STATE REGULATIONS (2/28/17) JOHN R. ASHCROFT
Secretary of State
ib
Chapter 3-Procedure For All Contested Cases Under Statutory Jurisdiction, Except Cases
Where Procedure Is Otherwise Provided For By Law 1 CSR15-3
(4 ) When the commission grants a motion to (E) Personal health information. (C) The party responding to requests for
intervene as petitioner, a responsive pleading admissions or interrogatories shall complete
to the intervenor-petitioner's complaint shall AUTHORITY: section 621.198, RSMo 2016. * them by printing the answer or objection to
be due thirty (30) days after the date on Original rule filed Aug. 5, 1991, effective each question in the space provided. If the
which such intervenor-petitioner's complaint Feb. 6, 1992. Amended: Filed June 3, 2002, space is insufficient, the party shall reply by
is filed, as set by the commission's order. A effective Nov. 30, 2002. Amended: Filed Sept. affidavit, clearly indicate so in the space pro
responsive pleading to the intervenor-peti 29, 2016, effective March 30, 2017. vided, and attach the affidavit to the inter
tioner's complaint shall be otherwise gov rogatories or requests for admissions. Each
erned by rule 1 CSR 15-3.380. *Original authority: 621.198, RSMo 1965, amended 1978, response shall include a certificate of service
2001.
in substantially the following form:
AUTHORITY: sections 621.035 and 621.198,
RSMo 2016. * Original rule filed Aug. 5, I served the original of these completed (writ
1 CSR 15-3.420 Discovery
1991, effective Feb. 6, 1992. Amended: Filed ten interrogatories/requests for admission) on
June 3, 2002, effective Nov. 30, 2002. PURPOSE: This rule explains the manner in (name of party) and sent (number oO copies
Amended: Filed May 30, 2006, effective Nov. which discovery may be obtained. to (name and address of parties or attorneys)
30, 2006. Amended: Filed July 2, 2008, this _____ day of ______
effective Jan. 1, 2009. Amended: Filed Sept. 20 ___
(1) Any party may obtain discovery in the
29, 2016, effective March 30, 2017.
same manner, upon or under the same condi
(Signature) ___________
tions and upon the same notice and other
*Original authority: 621.035, RSMo 1978 and 621.198,
RSMo 1965, amended 1978, 2001. requirements as is or may be provided for
with respect to discovery in civil actions by The responding party shall file the certificate
rule of the Supreme Court of Missouri for use of service with the commission and shall not
1 CSR 15-3.410 Closing of Case Records in the circuit court, except as provided in this file the response unless the commission so
and Hearings rule or by statute. orders. The responding party shall serve the
original completed response on the interro
PURPOSE: This rule describes the procedure (2) Service and Responses. gating party and copies on all other parties.
for closing records or a hearing in a particu (A) A party serving written interrogato (D) The commission will not serve any dis
lar case, and redaction of personal informa ries; requests for admissions, production of covery with the notice of complaint.
tion from documents filed with the Adminis documents or things or permission to enter
trative Hearing Commission, but does not upon land or other property, for inspection (3) Whenever a party files a motion to com
constitute legal authority for closing a record and other purposes; and physical and mental pel compliance with any discovery request, to
or hearing. sanction another party for failing to respond
examinations, shall include a certificate of
or responding inadequately to any discovery
service in substantially the following form:
( 1) Any party to a case may move to close--any - request, or alleging violation of any discovery -
record or hearing, or any portion thereof, in I served the original and (number of) copies rule, the moving party shall certify in its
that case. The motion shall be in writing. The of these (written interrogatories/production motion that it has made reasonable efforts to
party shall file it no fewer than fourteen ( 14) of documents or things or permission to enter contact the party who is the subject of the
days before the date the party wants the matter upon land or other property, for inspection motion and inform the commission as to what
closed. The motion shall cite the legal author and other purposes/physical and mental steps the moving party has taken to resolve
ity under which the commission may close the examinations/requests for admission) on informally the discovery dispute or alleged
record or hearing. (name and address of parties or attorneys) discovery rule violation. The party seeking
this _____ day of ______ relief shall attach a copy of any disputed dis
(2) The responsibility for redacting informa 20- --- covery to that motion.
tion that may be closed pursuant to Missouri's
Open Record Laws, Chapter 610 including (Signature) ___________ (4) No discovery or response to discovery
records protected from disclosure by other shall be considered as evidence unless it is
laws pursuant to section 610.021(14), RSMo, The party shall file a copy of the certificate admitted into evidence at hearing, or authen
from a document rests solely with counsel, the with the commission. The party shall serve ticated and attached to a motion for disposi
parties, or any other person preparing or filing the original discovery on the party to whom tion without hearing, as an exhibit.
that document. The commission's staff will it is directed.
not review each document for compliance with 1. The party shall not file written inter (5) No discovery order that requires a physi
this regulation. Information that may be closed rogatories; requests for production of docu cal or mental examination, permits entrance
includes, but is not limited to: ments or things or permission to enter upon upon land or inspection of property without
(A) Social Security numbers; land or other property, for inspection and permission of the owner, or purports to hold
(B) Testing and examination material used other purposes; and physical and mental any person in contempt shall be enforceable,
by an agency; examinations with the commission unless the unless the party seeking such enforcement
(C) Software codes for electronic data pro commission so orders. obtains an order of the circuit court of the
cessing; 2. The party may file requests for county in which the hearing will be held, or
(D) Financial institution account numbers, admissions with the commission. the circuit court of Cole County, at the option
credit card numbers, personal identification (B) Requests for admission and interroga of the person seeking enforcement. This sec
numbers, or passwords used to secure tories shall include appropriate spaces for tion does not apply to a case filed under sec-
accounts; and answers or objections. tion 407.822, RSMo. ·
JOHN R. ASHCROFT (2/28/17) CODE OF STATE REGULATIONS 9
Secretary of State