N.Y. Comp. Codes R. & Regs. tit. 19 § 941.13

Current through Register Vol. 46, No. 50, December 11, 2024

Section 941.13 - Proposed Findings of Fact and Recommendation, Substantial Basis Report, and Notice of Civil Assessment and/or Other Penalty

(a) Within sixty (60) days of the conclusion of the hearing, the hearing officer shall make findings of fact and a recommendation as to the appropriate penalty to be assessed or any other action to be taken. The hearing officer shall transmit the proposed findings of fact and recommendation to the Respondent and his or her representative and to the Commission. The hearing officer may request from the Commission an extension of time in which to transmit the proposed findings of fact and recommendation. The Commission shall notify the hearing officer and all parties and their representatives should it grant an extension.

(b) Within thirty (30) days of the hearing officer's transmittal of the findings of fact and recommendation, the following shall occur:

(1) The Respondent shall have an opportunity to respond in writing, in the form of a brief directed to the Commission, to the findings of fact and recommendation of the hearing officer. The brief may not include or discuss evidence which is not a part of the official record of the hearing.

(2) The Commission's staff shall have an opportunity to respond in writing, in the form of a brief directed to the Commission, to the findings of fact and recommendation of the hearing officer, and shall submit a proposed Substantial Basis Report to the Commission for its consideration.

(c) The Commission shall have sixty (60) days from receipt of the proposed Substantial Basis Report, or as soon thereafter as possible, in which to vote on whether or not to issue a Substantial Basis Report and issue a Notice of Civil Assessment and/or Other Penalty. In the Substantial Basis Report, the Commission may adopt the findings of fact and recommendation of the hearing officer in whole or in part, or it may reverse, remand and/or dismiss the hearing officer's finding of fact and recommendation based upon the record produced at the hearing.

(d) With respect to the investigation of a Respondent subject to the jurisdiction of the Commission, other than a member of the legislature or a legislative employee or candidate for member of the legislature, if after its investigation and the hearing the Commission has found by a majority vote a substantial basis to conclude that Respondent violated the Public Officers Law, Civil Service Law or the Legislative Law, the Commission shall issue a report containing its determinations, including its findings of fact and conclusions of law, to the complainant, if any, and respondent.

(e) The Commission shall release such report publicly and publish it on its website within twenty days of its delivery to the complainant, if any, and the respondent.

(f) A report issued pursuant to Executive Law § 94(10)(p)(i) shall be delivered to the Legislative Ethics Commission and to the individual who is the subject of the report, and shall be made public in accordance with and otherwise be governed by Legislative Law §80. The Commission shall provide to the Legislative Ethics Commission copies of the full investigative file and hearing record.

(g) The Commission shall mail or deliver to each party to the hearing and to its representatives of record a copy of all findings of the hearing officer and all final decisions including a Notice of Civil Assessment, if any, of the Commission.

N.Y. Comp. Codes R. & Regs. Tit. 19 § 941.13

Amended New York State Register December 21, 2016/Volume XXXVIII, Issue 51, eff. 12/21/2016

Amended New York State Register June 6, 2018/Volume XL, Issue 23, eff. 6/6/2018

Amended New York State Register July 19, 2023/Volume XLV, Issue 29, eff. 7/19/2023