N.Y. Comp. Codes R. & Regs. tit. 21 § 250.3

Current through Register Vol. 46, No. 45, November 2, 2024

Section 250.3 - Hearing procedures

(a) Preliminary findings. If, after an investigation, commission staff finds a basis for believing that any lobbyist, public corporation or client has failed to register and report as required by the Lobbying Act, or has filed a false report, or has offered or given a gift with a value exceeding $75 to a public official, staff shall make a recommendation to the commissioners at a public meeting to refer such lobbyist, public corporation or client to a hearing. If, upon review of the information presented by staff, a majority of the commissioners does not agree with the staff recommendation, the commission may decide that the matter shall be closed, or may decide to refer the matter back to staff for further inquiry. Any matter referred back to commission staff for further inquiry, and any closed matter in which further information is obtained or which commission staff decides should be reopened for any other reason, may again be presented to the commissioners at a public meeting for referral to a hearing. If, upon review of the information presented by staff, a majority of the commissioners agrees with the staff recommendation and determines that there is reasonable cause to believe that a violation of the Lobbying Act has occurred, the commissioners shall direct that the matter be referred to a hearing and a notice of reasonable cause shall be sent to the lobbyist, public corporation or client.

(b) Notice of reasonable cause. Written notice of reasonable cause to believe that a violation of the Lobbying Act has occurred shall be sent by certified and first-class mail to the subject lobbyist, public corporation or client and shall contain the following:

(1) the date, time and place of the hearing;

(2) notice of the nature of the alleged violation upon which the notice of reasonable cause is based and notice of intent to assess a penalty if cause is found after a hearing;

(3) notice of the lobbyist, public corporation or client's right to be represented, to testify, to produce witnesses, to present documentary evidence, and to examine opposing witnesses and evidence at the hearing;

(4) a statement for hearing impaired parties and participants concerning the provision of deaf interpretation without charge; and

(5) information concerning circumstances under which an adjournment may be granted and the result of failure to appear for a scheduled hearing.

(c) Presiding officer. Any member of the commission may serve as the presiding officer at the hearing. At the outset of the hearing, the chairman of the commission, or in his or her absence the vice-chairman, shall designate which member of the commission shall serve as the presiding officer.

(d) Record. While not required by the Lobbying Act to do so, the commission shall make a record of all hearings using whatever means its deems appropriate, including but not limited to the use of stenographic transcriptions or electronic recording devices. Upon request by any party to the hearing, the commission will, within a reasonable time, furnish a copy of the transcript or recording of the hearing upon payment to the commission of its costs for the preparation and furnishing of such transcript or recording.

(e) Representation. Any person compelled to appear in person or who voluntarily appears at any commission hearing herein has the right to be accompanied, represented and advised by counsel. In addition, counsel for any party subject of a hearing may appear on the subject party's behalf, but may only testify with regard to matters about which he or she has personal knowledge.

(f) Evidence and proof. The formal rules of evidence shall not apply to hearings conducted by the commission. Objections to evidentiary offers may be made and shall be a part of the record. The burden of proof shall be on the party initiating the hearing. Any party may, for the purpose of expediting the hearing, and when the interests of the parties will not be substantially prejudiced thereby, submit all or part of the evidence in written form, with copies provided to the opposing party, with copies to the opposing party. Each party shall have the right of cross examination. The presiding officer may exclude irrelevant or unduly repetitive evidence or cross examination from any hearing. Official notice may be taken of all facts of which judicial notice could be taken and of other facts within the specialized knowledge of the commission. When official notice is taken, every party shall be given notice thereof and shall on timely request be afforded an opportunity prior to decision to dispute the fact or its materiality.

(g) Oaths. Oaths shall be administered to all witnesses who testify or appear at a commission hearing. All oaths may be taken before any person authorized to administer oaths within the State of New York.

(h) Decision after hearing. Upon hearing all the evidence and arguments presented, the commission shall determine if there has been a violation of the act. No decision shall be made except upon consideration of the record as a whole or such portion thereof as may be cited to by any party to the hearing and as supported by and in accordance with substantial evidence. If the commission finds that a violation has occurred, it shall determine the appropriate penalty to be imposed. All final decisions of the commission shall be in writing and shall include finding of fact, conclusions of law, and, if a penalty is imposed, the amount of the penalty and the reason(s) therefor. The commission shall mail by certified mail to each party to the hearing and to its representatives of record a copy of all final decisions.

(i) Judicial review. Any determination that a party has violated the Lobbying Act shall be subject to review in a proceeding commenced under article 78 of the Civil Practice Law and Rules.

N.Y. Comp. Codes R. & Regs. Tit. 21 § 250.3