(1) Hearings may be held for the following reasons:
(a) In furtherance of any investigation conducted by the Office pursuant to 970 CMR 3.04,
and may include the taking of testimony of witnesses pursuant to summonses issued under
970 CMR 3.05 or those who are invited to testify before the Director;
(b) Upon request by any person or political committee after receiving notification by
registered mail, return receipt requested, by the Director of his intention to present to
the attorney general evidence of any alleged violation of M.G.L. c. 55 or regulations
promulgated thereunder, to permit the alleged violator to present evidence to the contrary,
provided the request is received by the Director within ten days of receipt of notification
by the alleged violator.
(2) The testimony of all witnesses shall be heard only at private hearings which shall be
governed by all provisions of secrecy applicable to grand jury proceedings.
(3) The testimony of a witness shall be taken under oath administered by the presiding
officer, a notary public or other Person authorized by the laws of the Commonwealth to
administer oaths. Witnesses shall be sworn before testifying.
(4) 970 CMR 3.00 shall be made available in printed form to each witness prior to his or
(5) A witness shall have the right to be represented at a hearing by counsel. Counsel
shall file a written Notice of Appearance with the Office before representing a witness at
(6) All provisions with reference to secrecy which govern proceedings of a grand jury shall
govern proceedings before the director.
(7) There shall be a Presiding Officer at all hearings, who shall be the Director or his
designee, who shall conduct said hearing.
(8) A witness shall be informed, prior to his or her testimony, of the privilege against
(9) Testimony at all hearings shall be recorded by a stenographer or a mechanical
(10) Witnesses, counsel and other persons present at a hearing shall conduct themselves in
a manner consistent with the standards of decorum commonly observed in any court.
Where such decorum is not observed, the Director may take appropriate action.
(11) The examination and cross-examination of witnesses shall be subject to the
(a) At any hearing conducted in furtherance of any investigation as provided by 970 CMR
1. Witnesses may be examined and cross-examined by the Director, Legal Counsel and Office
staff at the discretion of the Presiding Officer;
2. Counsel for the witness shall not be permitted to examine or cross-examine the witness,
but the witness shall have the right to consult with his or her counsel;
3. At any time prior to the close of questioning of the witness, the witness or his or her
counsel may submit to the Presiding Officer written questions which the Presiding Officer
may, in his or her discretion, ask of the witness.
(b) At any hearing conducted as the result of a Request for Hearing, as provided by 970
1. Witnesses may be examined and cross-examined by Counsel for the requesting party;
2. Witnesses may be examined and cross-examined by the Director, Legal Counsel, and Office
3. Counsel for a witness, other than a witness who is the requesting party, shall not be
permitted to examine or cross-examine the witness, but the witness shall have the right to
consult with his or her counsel;
4. The Presiding Officer shall have the discretion to require that any such examination or
cross-examination be modified in any manner.
(12) A witness or his or her counsel may object to a question on the ground of privilege
against self-incrimination. A witness may refuse to answer a question on the ground
of this privilege. If a witness claims the privilege, he or she shall not be required
to answer the question at that time.
(13) Strict rules of evidence applicable in a judicial proceeding shall not be applied.
(14) The order of proceedings shall be as follows:
(a) At any hearing conducted in furtherance of any investigation, as provided by 970 CMR
1. A witness called to testify shall be permitted to make a brief opening statement, after
2. The witness may be examined and cross-examined in accordance with 970 CMR
3. At the close of his or her testimony, a witness may make a brief closing
statement. A witness may be asked additional questions after his or her closing
(b) At any hearing conducted as the result of any Request for Hearing, as provided by 970
1. The requesting party, or his or her counsel, may make a brief opening statement for the
purpose of highlighting issues to be addressed and summarizing evidence to be adduced
during the presentation of evidence;
2. Witnesses may be examined and cross-examined in accordance with 970 CMR 3.06(11)(b);
3. At the close of all evidence presented, the requesting party, or his or her counsel may
make a brief closing statement.
(15) A witness, or requesting party may file a sworn statement for inclusion in the record
of the private hearing, which may be filed prior to the hearing, during the hearing, but no
later than five calendar days after the hearing has been concluded or adjourned.
(16) Transcript of Proceeding.
(a) All hearings shall be recorded by a stenographer or a mechanical recording device.
(b) Transcripts of a witness' testimony may be prepared upon request of and at the expense
of the witness. The transcript shall be made available to the witness and his counsel
for inspection at the Office.
(c) The witness or counsel for the witness shall be notified when such transcript is
available for inspection. The witness shall then have seven days (excluding
Saturdays, Sundays and legal Holidays) to indicate to the Office any alleged inaccuracies
in the transcript. Requests to correct alleged inaccuracies shall be submitted in
writing to the office to the attention of the Presiding Officer, who shall agree or
disagree to amend the transcript to reflect the change. If the Presiding Officer
disagrees, the witness proposed list of alleged inaccuracies shall be appended to the
(d) It shall be within the discretion of the Presiding Officer to provide a transcript of
a witness' testimony to that witness, upon written request by the witness or his
counsel, and at the expense of the witness.
(e) Transcripts of private hearings shall be kept confidential subject to the same
restrictions on use as those applying to grand jury transcripts.
(17) Nothing contained in 970 CMR 3.06 shall be construed to limit the manner and extent
to which the Office may interview persons while conducting reviews or investigations, as
provided by 970 CMR 3.04(2)(b).