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Oklahoma Administrative Code (Last Updated: March 11, 2021) |
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TITLE 660. Department of Securities |
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Chapter 2. Organization and Procedures of Department of Securities |
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Subchapter 9. Individual Proceeding Practices and Procedures |
SECTION 660:2-9-3. Prehearing proceedings and processes
Latest version.
- (a) Scheduling. As soon as is practicable after a hearing has been scheduled, the Administrator or the Hearing Officer shall enter a scheduling order that is intended to expedite the disposition of the action and ensure the fair, orderly and efficient conduct of the proceedings. The parties shall confer in person or by telephone and attempt to prepare a single agreed scheduling order to submit to the Administrator or the Hearing Officer. The agreed, proposed scheduling order shall be submitted to the Administrator or the Hearing Officer no later than fifteen (15) days after the hearing has been scheduled. If the parties are unable to agree to a single scheduling order, the parties shall each submit, no later than twenty (20) days after the hearing has been scheduled, a proposed scheduling order to the Administrator or the Hearing Officer, who shall issue an appropriate scheduling order or, prior to issuing such order, hold a scheduling conference in person or by telephone. The scheduling order shall establish at least the following:(1) a schedule of discovery;(2) any limitations to be placed on discovery;(3) a preliminary list identifying all witnesses, documents and exhibits intended to be utilized at the hearing;(4) identification of any expert witness intended to be called;(5) the date for exchanging the documents and exhibits intended to be utilized at the hearing and the final list identifying all witnesses intended to be called at the hearing; and(6) such other matters as may aid in the disposition of the matter.(b) Discovery.(1) Discovery may be obtained by one or more of the following methods:(A) A party may serve a written request on any other party requiring the party to produce, within fifteen (15) days, for inspection and copying, any documents or tangible items that are in the possession, custody or control of the party and relevant to the subject matter of the individual proceeding and are not privileged. The number of requests to produce or permit inspection shall not exceed thirty (30) in number except by agreement of the party being required to produce or by order of the Administrator or Hearing Officer. All documents will be produced at the offices of the Department or at such other place as the parties may agree in writing.(B) A party may serve on any other party a written request to admit, for purposes of the pending action only, the truth of any matters relating to facts, the application of law to fact, or opinions about either; and the genuineness of any documents described in the request. Copies of documents shall be served with the request to admit unless they have been or are otherwise furnished or made available for inspection and copying. The number of requests to admit for each party shall not exceed thirty (30) in number except by agreement of the party being required to respond or by order of the Administrator or the Hearing Officer. Each matter upon which an admission is requested shall be separately stated. The matter is admitted unless, within fifteen (15) days after service of the request, or within such shorter or longer time as the Administrator or the Hearing Officer may allow, the party to whom the request is directed serves upon the party requesting the admission a written answer or objection addressed to the matter and signed by the party. If a matter is not admitted, the answer must specifically deny it or state in detail why the answering party cannot truthfully admit or deny it. A denial shall fairly meet the substance of the requested admission, and when good faith requires that a party qualify the answer or deny only a part of the matter of which an admission is requested, the party shall specify so much of it as is true and qualify or deny the remainder. An answering party may not give lack of information or knowledge as a reason for failure to admit or deny unless the party states that the party has made reasonable inquiry and that the information known or readily obtainable by the party is insufficient to enable the party to admit or deny. The grounds for an objection must be stated. A party may not object solely on the ground that the request presents a genuine issue for trial.(C) A party may take the testimony of a witness by deposition at the expense of that party. A party desiring a transcript must make appropriate arrangements with the reporter or transcriber to order and pay for it. A party desiring to take the deposition of another party, or an employee thereof, shall serve written notice to the witness, or his counsel. The notice shall state the time and place for taking the deposition and shall be served at least three (3) days before the person is required to appear. A party desiring to take the deposition of a non-party witness shall serve the witness with a subpoena in accordance with 660:2-9-4. A copy of the notice or subpoena shall be served on all other parties to the proceeding by means specified in paragraph (h) below. Unless otherwise agreed by the parties or ordered by the Administrator or Hearing Officer, a deposition under this provision shall not last more than six (6) hours, exclusive of breaks, and shall be taken only between the hours of 8:00 a.m. and 5:00 p.m. on a day other than a Saturday or Sunday and on a day other than a legal holiday.(2) A party who has responded to a request for production or request to admit must supplement or correct its response:(A) in a timely manner if the party learns that in some material respect the disclosure or response is incomplete or incorrect, and if the additional or corrective information has not otherwise been made known to the other parties during the discovery process or in writing; or(B) as ordered by the Administrator, or the Hearing Officer.(3) In addition to limitations on discovery set forth in a scheduling order or any law, regulation, or rule, discovery does not include:(A) Non-public information or documents from the personnel file of any Department employee;(B) Non-public information or documents relating to any investigation conducted by the Department against unrelated parties;(C) Non-public information or documents relation to any action brought by the Department against unrelated parties;(D) Information or documents relation to any examination conducted by the Department of unrelated parties;(D) Information or documents relations to any license applications or determinations made by the Department of unrelated parties; or(F) Depositions of Department personnel.(c) Motions in general.(1) Unless otherwise permitted by these rules or by the Administrator or the Hearing Officer motions and responses thereto shall be served on all parties and shall:(A) be made in writing and shall not exceed twenty (20) pages;(B) state concisely the questions(s) to be determined;(C) state with particularity the grounds therefore and the relief or order sought; and(D) be accompanied by a concise brief or a list of authorities upon which movant relies.(2) A response to a written motion shall be filed within fifteen (15) days after receipt of the motion but no later than one day prior to the date and time of the hearing. A response to a written motion shall not exceed twenty (20) pages. A reply to a response to a written motion may be filed within five (5) days after receipt of the response but no later than the date and time of the hearing. A reply to a response to a written motion shall not exceed five (5) pages.(3) The Administrator or the Hearing Officer may allow oral argument if it appears necessary to the Administrator or the Hearing Officer for a fuller understanding of the issues presented.(4) The filing or pendency of a motion does not alter or extend any time period prescribed by this Subchapter or by an order of the Administrator or the Hearing Officer.(d) Motions for summary decision. A party may move for summary decision as to any substantive issue in the case. The Administrator or the Hearing Officer may issue a summary decision if he finds that there is no genuine issue as to any material fact and that the moving party is entitled to prevail as a matter of law.(e) Prehearing conference.(1) Upon the request of a party or when the Administrator or the Hearing Officer believes it necessary or appropriate, a prehearing conference shall be held, as close to the time of hearing as is reasonable under the circumstances, to address the following matters:(A) simplification of issues;(B) the final list of witnesses and exhibits to be utilized at the hearing;(C) admissions and stipulations of fact;(D) stipulations regarding admission and authenticity of documents;(E) requests for official notice;(F) discovery disputes;(G) pending motions; and(H) other matters that will promote the orderly and prompt conduct of the hearing.(2) At the conclusion of the prehearing conference, a ruling or order shall be entered reciting the action taken. The order shall control the subsequent course of the proceeding unless modified by a subsequent order. The order shall be modified only to prevent manifest injustice.(f) Failure to participate, appear, comply or cooperate. A party's failure to participate in good faith in the preparation of a scheduling order or prehearing conference order; failure to comply with a scheduling order or prehearing conference order; failure to comply with or cooperate in discovery; or failure to appear at, substantially prepare for, or participate in good faith in, any hearing or conference, may result in any of the following sanctions:(1) striking of any pleading in whole or in part;(2) an order prohibiting a party from supporting or opposing designated claims or defenses, or from introducing designated matters in evidence;(3) an order directing that designated facts be taken as established for purposes of the proceeding;(4) staying the proceeding;(5) default judgment; or(6) such other order as the Administrator, or the Hearing Officer, may deem just and appropriate.(g) Post prehearing conference. If additional exhibits are discovered after the prehearing conference order is issued or after the date final documents and exhibits are exchanged, the party intending to use them shall immediately notify all other parties and furnish copies of the additional exhibits to such parties. If additional witnesses are discovered, all other parties shall be notified immediately and furnished the nature of the testimony along with the names and addresses of the witnesses. These additional exhibits or the testimony of the additional witnesses shall not be admitted at the hearing without the agreement of all parties or without a showing to the Administrator or the Hearing Officer that manifest injustice would be created if the exhibit or witness testimony were not permitted.(h) Service and filing of papers. Service of papers upon a party shall be made by personal delivery, regular first-class mail, facsimile transmission or electronic mail. All papers required to be served by a party shall be filed with the Administrator in accordance with the scheduling order. When a Hearing Officer is appointed, a person making a filing with the Administrator shall promptly provide to the Hearing Officer a copy of such filing. Papers filed with the Administrator shall be accompanied by a certificate stating the name of the person or persons served, the date of service, the method of service and the mailing address, facsimile telephone number or electronic mail address to which service was made, if not made in person.(i) Signature and certification. Every filing of a party represented by counsel shall be signed by at least one counsel of record and shall state counsel's name, bar number, address, email address, and telephone number. A party who is not represented by counsel shall sign the filing and state the party's name, residential address, email address, and telephone number on every filing. The signature of counsel or a party shall constitute a certification that:(1) the person signing the filing has read the filing;(2) to the best of his knowledge, information, and belief, formed after reasonable inquiry, the filing is well grounded in fact and is warranted by existing law or a good faith argument for the extension, modification, or reversal of existing law; and the filing is not made for any improper purpose, such as to harass or to cause unnecessary delay or needless increase in the cost of adjudication; and(3) if a filing is not signed, the Administrator or the Hearing Officer shall strike the filing, unless it is signed promptly after the omission is called to the attention of the party making the filing.(j) Computation of time. A paper is filed when it is received by the Administrator. Unless otherwise specifically provided by this Subchapter, computation of any time period prescribed by this Subchapter, or by an order of the Administrator or the Hearing Officer begins with the first day following the act or event that initiates the time period. The last day of the time period so computed is included unless it is a Saturday, Sunday, state holiday, or any other day when the Department's office is not open for public business, in which event the period runs until the end of the next business day. If a notice or other filing is served by mail and the party served is entitled or required to take some action within a prescribed time period after service, the date of mailing is the date of service, and three (3) days shall be added to the prescribed time period.