N.Y. Comp. Codes R. & Regs. Tit. 12 §§ 302-1.10

Current through Register Vol. 46, No. 38, September 18, 2024

Section 302-1.10 - Procedure for the suspension or revocation of licenses

(a) Processing of complaint. All complaints against licensed representatives or authorized employees of a licensed representative shall be referred to the secretary of the board. For purposes of this section the term representative shall include holders of licenses under section 24-a and section 50, subdivisions 3-b and 3-d of the Workers' Compensation Law, and duly designated and authorized employees under section 302-1.3(b) of this Subpart.

(b) Preliminary inquiry. The secretary's office, in consultation with board counsel, shall conduct a preliminary inquiry of all complaints received. The secretary may also conduct a preliminary inquiry on his or her own initiative. If the board secretary concludes that there exists evidence that violations of the Workers' Compensation Law or board rules which might warrant disciplinary action have occurred the secretary shall refer the complaint or the results of an inquiry undertaken at his or her own initiative to the chair.

(c) Investigation. The chair may designate a committee, comprised of a board member, the secretary and an officer or employee of the board, to conduct an investigation.

(1) The investigation shall be carried out by the designated committee and shall be assisted by board counsel. A representative has no right to be present or have legal representation present during the investigation. If, however, the committee directs the representative to appear before it during the investigation, the representative may have legal representation present.

(2) The committee may require witnesses to appear before it during the course of the investigation and may also require the production of books, papers or other documents deemed to be material. The committee may issue or cause to be issued subpoenas for documents and the appearance of witnesses before it.

(3) The committee shall report its findings to the full board.

(d) Institution of charges. The full board shall determine whether formal charges or other appropriate action should be brought against the licensed representative.

(e) Disciplinary hearing.

(1) The chair shall designate a committee consisting of not less than three board members to conduct a hearing on formal charges brought against the licensed representative by the full board. No license or authorization shall be suspended or revoked unless the representative shall have been served with a copy of the charges and been given an opportunity to be heard. The hearing shall be preceded by service of a copy of the charges and 10 days prior written notice of the time and place of the hearing. The representative may submit to the secretary a written answer to the charges at least three days prior to the hearing. Board counsel may assist the committee at said hearing.

(2) The representative has the right to be present at the hearing, and may have legal representation and present witnesses and evidence.

(3) The board committee may require witnesses to appear before it during the course of the hearing and may also require the production of books, papers or other documents deemed to be material. The board committee may issue subpoenas for such documents and for the appearance of witnesses at the hearing as may be required by the board committee or by the representative proceeded against.

(4) The board committee shall not be bound by the formal rules of evidence in the conduct of the hearing.

(f) Board committee report. The board committee shall report its findings of fact and recommendations to the full board. No evidence taken during the investigation may be presented in the final committee report, or be made the basis of board action suspending or revoking a license, unless it was presented at the hearing at which the representative had a right to be present and the opportunity to have legal representation.

(g) Full board determination. The full board determination must be based on the record before the board committee and such record must contain evidence to sustain the same. The full board may suspend or revoke a license or authorization, or may take other appropriate action.

(h) Notification of board action. The secretary shall notify the representative and the complainant of the final action taken by the board.

N.Y. Comp. Codes R. & Regs. Tit. 12 §§ 302-1.10