Wyo. Code R. 021-0007-3
Uniform Consumer Credit Code
Chapter 3: Rules of Practice and Proced. before the Administrator
Effective Date: 10/08/1991 to 08/23/1996
Rule Type: Superceded Rules & Regulations
Reference Number: 021.0007.3.10081991
audit/uccc/03_Rules_of_Practice_and_Proced_before_the_Administrator
Agency AUDIT Audit, Dept. of
Program UCCC
Uniform Consumer Credit Code
Chapter Name Rules of Practice and Proced. before the Administrator
Chapter No.3
Date Filed 10/08/91 Expr Date
Supr Date
Repeal Date
Document Type RULES
Section 3.1. Definitions. For the purpose of this Chapter, the following definitions apply:
(i) 'Contestee' means the person, corporation, partnership, trust, association, or other entity whose legal rights, duties, privileges, or conduct are the subject of a formal or investigative hearing before the Administrator.
(ii) 'Contested Case' means any formal or investigative hearing before the Administrator.
(iii) 'Hearing Examiner' means the Administrator, Deputy Administrator, or other person appointed by the Administrator to preside over a contested case.
Section 3.2. Case Numbers and Titles.
(a) Types of cases: At the designation of the Administrator, cases requiring a hearing shall be classified as either formal or investigative.
(i) Formal cases are those cases other than investigative cases which are initiated by application, complaint, petition, or otherwise, and require a formal hearing.
(ii) Investigative cases are those cases initiated by the Administrator inquiring into the practices or conduct of any person in which a formal hearing is required and shall include cases involving the revocation, suspension, annulment, or withdrawal of a license.
(b) Dockets. When a hearing is instituted, it shall be assigned a number and entered with the date of its filing on a separate page of a docket provided for such purpose. The Administrator shall establish a separate file for each such docketed case, in which shall be systematically placed all papers, pleadings thereto, and all such items shall have noted thereon the docket number assigned and the date of filing.
(a) Size and writing. All pleadings filed with the Administrator shall be printed or typewritten and, so far as practicable, shall be on legal size paper.
(b) Title and docket number. After a case has been assigned a docket number, all pleadings filed therein shall bear the correct title and docket number of the case in which they are filed.
(a) Filing of pleadings. The Administrator may direct that a copy of applications, petitions, complaints, and other papers be made available by the party filing the same to any person who desires copies thereof and who the Administrator determines may be affected by the proceedings.
(b) Service. All notices, findings of fact, opinions, and orders required to be served by the Administrator and all documents filed by any party may be served by mail, and service thereof shall be deemed complete when a true copy of such paper or document, properly addressed and stamped, is deposited in the United States mail.
(c) Proof of service. On all documents required to be served, there shall appear an acknowledgment of service or the following certificate:
I hereby certify that I have this day served the foregoing document upon all parties of record in this proceeding (by delivering a copy thereof in person to...) (by mailing a copy thereof, properly addressed, with postage prepaid, to...)
Dated at ...
this ... day of ...
19...
...
Signature
(d) Service upon attorney. Service upon the attorney of record constitutes service upon the party he represents.
(e) Statement of case. The Administrator, or proponent of the proceeding, or his attorney, shall make a concise statement concerning the scope and purpose of the hearing.
(f) Order of presentation of evidence.
(i) In investigative proceedings or on orders to show cause issued by the Administrator, the person proceeded against may be required to first produce his evidence. To simplify production of evidence, the order to show cause shall specify, in sufficient detail, the reasons underlying the action proposed therein.
(g) Participation of Administrator's staff. When members of the Administrator's staff participate in a hearing, such appearance will be solely for the purpose of assisting the Administrator in discovering the facts pertinent to the issues involved.
(h) Consolidation of hearing. The Administrator may combine two or more proceedings in any one hearing where it appears that the issues are substantially the same and the rights of interested parties will not be prejudiced by such procedure.
(i) Informality in hearing. No informality in a hearing or proceeding in the manner of taking testimony or other procedure shall invalidate any order, decision, rule, or regulation made, approved, or confirmed by the Administrator.
(j) Record of proceedings. Unless the Administrator provides otherwise, a full and complete record of all the proceedings of any formal hearing shall be taken down by a reporter appointed by the Administrator.
(k) Orders for transcripts. Any person desiring a transcript of any proceedings before the Administrator must place his order with the reporter and pay for the transcript in advance of delivery.
(a) Persons who may testify. All persons competent to testify in civil actions are competent witnesses before the Administrator.
(b) The Administrator may issue subpoenas for the attendance of witnesses and the production of any paper, book, record, document, or other evidence in any inquiry, investigation, hearing, or proceeding before the Administrator.
Section 3.6. Contents of Formal Complaint. Each formal complaint filed with or by the Administrator shall contain the following:
(a) The title, 'Before the Administrator of the Wyoming Uniform Consumer Credit Code.'
(b) The full name and post office address of each complainant.
(c) The full name and post office address of the persons against whom the complaint is directed.
(d) The act, omission, or other matter upon which the complaint is based.
(e) A reference to any law, order, or rule claimed to be violated.
(f) Such other matters as will give the Administrator and the parties concerned a full understanding of the situation.
(a) Contents of answer. Each answer filed with the Administrator shall contain the following:
(i) The correct title of the proceeding and docket number.
(ii) The name and address of each answering party.
(iii) A statement in ordinary concise language of the matter of defense, or the position which the defendant takes with respect to such complaint.
(b) Objection to complaint not waived. The filing of the answer will not be deemed an admission of the sufficiency of the complaint.
(c) Failure to file answer. In case any party fails to answer within the prescribed time, he shall be deemed to have denied generally the allegations of the complaint or petition.
(d) Persons allowed to protest. No person may participate as a protestant in any proceedings unless he discloses fully his interest therein and it is made to appear to the Administrator that his contentions will be reasonably pertinent to the issues.
(a) Pleadings enumerated. Pleadings before the Administrator shall be applications, complaints, petitions, answers, and motions.
(b) Time for answer. Answers to complaints or petitions shall be filed with the Administrator and service thereof made to parties of record within twenty (20) days after service of said complaint or petition. However, for good cause, the Administrator may extend the time within which an answer need be filed.
(c) Time for motion. Any motion directed toward a complaint or petition must be filed before the answer is due. Otherwise, such objection must be raised in the answer. If a motion is directed toward an answer, it must be filed within ten (10) days of the service of the answer. Other motions must be timely filed.
(d) Defective pleadings. Upon the filing of any application, complaint, petition, or other pleading, it will be inspected by the Administrator and if found to be defective or insufficient, it may be returned to the party filing it for correction.
(e) Liberal construction. All pleadings shall be liberally construed with a view to effect justice between the parties. At every stage of any proceeding, the Administrator may disregard any error or defect in the pleadings or proceeding which does not affect the substantial rights of the parties.
(f) Amendments. The Administrator may allow amendments to the pleadings or other relevant documents at any time upon such terms as may be lawful and just, provided, that if any such amendment so alters or broadens the issues that it appears proper, the Administrator may permit any party affected thereby to have a reasonable time to prepare to meet the changed issues.
(g) Signing of pleadings. Every party who is not represented by an attorney shall sign his pleadings and state his address. Every pleading of a party represented by an attorney shall be signed by the attorney and shall show his address.
(a) Commenced by Administrator. On his own motion, the Administrator may institute an investigative case inquiring into any pertinent matter and/or the acts or omissions of any person subject to the Code.
(b) Answer by contestee. Any person named as a contestee in an order issued by the Administrator may answer the order in the manner prescribed for answers in Section 3.7.
(a) Setting of hearings. Upon the filing of an application which requires a hearing, or upon the filing of a petition for a hearing by an applicant who has been denied a license, or where it appears necessary to hold a hearing in a matter theretofore handled under summary procedure, or where the Administrator deems it necessary to initiate an investigative case, and in any other case upon the filing of an answer or other pleading which brings the matter properly to issue, the Administrator shall set a time and place for hearing. No hearing shall take place within the ten (10) day period immediately following the filing of the application, petition for hearing, or appropriate pleading unless the parties consent to a shorter period of time. Notice will be served on all parties by mail, and if it appears necessary, by publication, at least five (5) days before the date of the hearing.
(b) Failure to answer. When any case has been properly set for hearing, due notice is given, and any indispensable party fails to appear, the Administrator may dismiss or decide the matter against the interest of such defaulting party.
(c) Continuance. If application is made to the Administrator within a reasonable time prior to the date of the hearing, upon proper notice to the other interested parties, the Administrator may grant a motion for continuance or other change in the time or place of the hearing.
(d) Hearings public. Unless ordered by the Administrator for good cause, hearings will be open to the public.
(a) Rules of Evidence. Irrelevant, immaterial, or unduly repetitious evidence shall be excluded. The rules of evidence as applied to nonjury civil cases in the district courts of this state shall be followed. When necessary to ascertain facts not reasonably susceptible of proof under those rules, evidence not admissible thereunder may be admitted (except where precluded by statute) if it is of a type commonly relied upon by reasonably prudent men in the conduct of their affairs. The Administrator shall give effect to the rules of privilege recognized by law. Objections to evidentiary offers may be made and shall be noted in the record. Subject to these requirements, when a hearing will be expedited and the interests of the parties will not be prejudiced substantially, any part of the evidence may be received in written form.
(b) Documentary evidence. Documentary evidence may be received in the form of copies of excerpts, if the original is not readily available. Upon request, parties shall be given an opportunity to compare the copy with the original.
(c) Cross-Examination. A party may conduct cross-examination required for a full and true disclosure of the facts.
(d) Judicial notice. Notice may be taken of judicially cognizable facts. In addition, notice may be taken of generally recognized technical or scientific facts within the Administrator's specialized knowledge. Parties shall be notified either before or during the hearing, or by reference in preliminary reports or otherwise, of the material notices, including any staff memoranda or data, and they shall be afforded an opportunity to contest the material so noticed. The Administrator's experience, technical competence, and specialized knowledge may be utilized in the evaluation of the evidence.
(e) Stipulation. The parties to any proceeding before the Administrator may agree upon the facts or any portion thereof and file a written stipulation at any stage of a proceeding, which facts will be regarded and used as evidence.
(f) Evidence marked. Where relevant and material matter found in any book, paper, or document containing other matter not material or relevant is offered in evidence, the part offered as evidence must be plainly marked.
(g) Exhibits. All physical evidence shall be marked as exhibits. When evidence to be presented consists of technical data or figures so numerous as to make oral presentation difficult to follow, it shall be presented in exhibit form, supplemented and explained by oral testimony, or as agreed by stipulation.
(h) Identification of exhibits. Exhibits shall bear the case number, a space for the name of the witness, and for the number of the exhibits. Each page shall be marked to show the source from which the information is taken. No exhibits may be withdrawn except upon order of the Administrator. A copy of each exhibit shall be furnished to each party to the proceeding.
(a) Close of hearing. A hearing shall be closed when all parties have introduced all of their evidence and all witnesses have been heard. The Administrator shall declare the testimony closed and no further evidence will be received, except that the parties may stipulate to the introduction, after the close of the hearing, of such data, reports of investigations, studies, and inspections as may be allowed by the Administrator.
(i) Noninterference by parties. Concerning contested matters arising during a hearing, the Administrator's policy is that no person directly or indirectly interested in such matter or proceeding shall discuss its merits with the Administrator or his staff while such matter is under consideration by the Administrator.
(ii) Reopening. No hearing which has been finally closed will be reopened except upon motion of the Administrator or upon a motion regularly made by an interested party after proper service on all adverse parties.
(iii) Questions submitted without argument. All questions of law or fact arising in any proceeding will be deemed submitted to the Administrator without argument or brief unless otherwise ordered by the Administrator.
(iv) Oral argument. Upon the close of the hearing, the Administrator may, in his discretion, permit the parties to the proceeding to make oral arguments. The arguments shall be limited in time as prescribed by the Administrator.
(v) Filing of briefs. After the close of the hearing, the Administrator may, in his discretion, allow briefs.
(a) Report and order. After the Administrator has reached a final decision upon any proceeding, he shall prepare an order and a report, containing his findings and conclusions with respect to such proceeding.
(b) Service of report and order. A correct copy of such report and order shall be served upon the person against whom such proceeding is directed. Copies will be mailed to other parties who appeared and participated in the proceeding.
(c) Effective date of order. The order referred shall take effect and become operative of its own force after service thereof, unless otherwise provided in such order.
(a) Time for filings. Petitions for rehearing must be filed by a party within twenty (20) days after being served with a copy of the order or decision.
(b) Detail of petition. The petition for rehearing shall set forth specifically and in detail the particulars in which it is claimed the Administrator's order or decision is unlawful, unreasonable, or unfair. If the petition for rehearing is based upon a claim that the Administrator failed to consider certain evidence, such petition shall include an abstract of that evidence, relied upon by the petitioners.
(c) Petition based on new evidence. The petition may be based upon newly-discovered evidence. When such ground is used, the petition shall be accompanied by an affidavit setting forth the nature and extent of such evidence, its relevancy to the issues involved, and a statement that the party could not, with reasonable diligence, have discovered the evidence prior to the former hearing.
(d) Action on petition. Upon the filing of a petition for rehearing, the Administrator may set a time for the hearing of said petition, or may summarily grant or deny said petition in whole or in part.
(e) Rehearing limited. If an order is made granting the petition for rehearing, it shall be limited to the matter specified in such order. Upon rehearing of any proceeding, the Administrator may confirm his former judgment or abrogate, change, or modify the same in any particular. Such order and decision shall have the same force and effect as the original order and decision, but shall not affect any right or the enforcement of any right arising out of or by virtue of the original order and decision unless so ordered by the Administrator.
(f) Judicial review. A person who has exhausted all the administrative remedies available before the Administrator and who is aggrieved by a final decision in a contested case is entitled to judicial review.
(i) Judicial review shall be conducted pursuant and subject to the Uniform Consumer Credit Code, Wyoming Administrative Procedure Act and the Wyoming Rules of Civil Procedure.