N.Y. Comp. Codes R. & Regs. tit. 14 § 853.14

Current through Register Vol. 46, No. 25, June 18, 2024

Section 853.14 - Complaints and investigations

(a)Nature of complaints reviewed.

(1) A complaint may be made by the Office or by any person to the Office concerning misconduct as defined in this Part.

(2) Complaints must be submitted on forms provided by the Office.

(3) Upon receipt of a complaint, the Office shall make an initial determination whether the complaint is sufficient to warrant further investigation pursuant to subdivision (b) of this section; complaints deemed insufficient for further investigation may be dismissed at the discretion of the Office.

(b)Investigation.

(1) Complaints concerning conduct which, if proven, would be sufficient to warrant a penalty or other remedial action shall be investigated by the Office. The Office may use administrative discretion to:

(i) dismiss a complaint that cannot be defined as misconduct; or cannot be substantiated;

(ii) settle complaints upon grounds satisfactory to the commissioner; or

(iii) determine appropriate penalties or remedial action.

(2) Subsequent to the completion of an investigation, the Office shall notify the credentialed professional in writing by certified mail, return receipt requested, and e-mail to the most recent mailing address and e-mail address on file with the Office that a complaint has been filed and that s/he has fifteen (15) days from receipt thereof to submit a detailed statement in response, including any documentation or additional materials to be considered in connection with the complaint. Such notice shall be deemed received three (3) days after mailing.

(3) The results of any Office investigation may be provided to the Justice Center; results of any Justice Center investigation regarding the subject of the complaint may be provided to the Office. The Office may consider as a binding final agency determination against the credentialed person any determination by the Justice Center that results in placement on the Staff Exclusion List.

N.Y. Comp. Codes R. & Regs. Tit. 14 § 853.14

Adopted New York State Register September 9, 2015/Volume XXXVII, Issue 36, eff. 9/9/2015

Amended New York State Register July 15, 2020/Volume XLII, Issue 28, eff. 4/1/2021

Amended New York State Register February 7, 2024/Volume XLVI, Issue 6, eff. 2/7/2024