N.Y. Comp. Codes R. & Regs. tit. 9 § 133.15

Current through Register Vol. 46, No. 43, October 23, 2024

Section 133.15 - [Effective until 1/7/2025] Disclosure

(a) There shall be no disclosure, including, but not limited to, bills of particulars, exchanges of documents and witness lists, depositions, interrogatories, discovery and requests for documents, except as provided for in subdivisions (b) and (c) of this section. An administrative law judge may not require disclosure. When the parties agree to any form of disclosure, the administrative law judge shall ensure that all parties proceed in accordance with the agreement of the parties. The administrative law judge shall not be bound by the rules of evidence observed by courts, except the rules of privilege recognized by law.

(b) Disclosure of evidence prior to a license revocation hearing. When the office seeks the revocation of a license, registration, or permit, as such terms are used in section 401.4 of the State Administrative Procedure Act, either party shall upon demand and at least seven (7) calendar days prior to the hearing, disclose the evidence that the party intends to introduce at the hearing, including documentary evidence and the identification of witnesses. The provisions of this subdivision shall not be deemed to require the disclosure of information or material otherwise protected by law from disclosure, including information and material protected because of privilege, secrecy provisions, or confidentiality. If, after such disclosure, a party determines to rely upon other witnesses or information, the party shall as soon as practicable, supplement its disclosure by providing the names of such witnesses or the additional documents.

(c) Disclosure of ownership information prior to a hearing. Upon a request by the office, when requesting and as a condition to having a hearing, respondent shall serve to the office within five (5) calendar days after a demand, or sooner if a hearing is scheduled less than five (5) calendar days from the date of demand, a verified statement setting forth:

(1) If the respondent is a natural person, such party's:

(i) full legal name;

(ii) date of birth;

(iii) current home or business street address; and

(2) If the respondent is a partnership, limited liability partnership, limited liability company, or other unincorporated association, including a for profit or not-for-profit membership organization or club, the information required pursuant to paragraph (c)(1) of this subdivision for all of its partners or members, as well as the state or other jurisdiction of its formation.

(3) If the respondent is a corporation, its state or other jurisdiction of incorporation, principal place of business, and any state or other jurisdiction of which that party is a citizen.

(4) If the respondent is not an individual, in addition to any information provided pursuant to paragraphs (c)(2) and (3) of this subdivision, and to the extent not previously provided, each beneficial owner of the responding party by:

(i) full legal name;

(ii) date of birth;

(iii) current home or business street address; and

(iv) a unique identifying number from an unexpired passport; an unexpired state driver's license; or an unexpired identification card or document issued by a state or local government agency or tribal authority for the purpose of identification of that individual. As used in this section, the term "beneficial owner" shall have the same meaning as defined in section 16-a of the Cannabis Law.

(d) Upon application of any party, the administrative law judge:

(1) upon good cause shown, may allow demands and responses within time periods other than those described in this subdivision;

(2) upon good cause shown, may limit, condition, or regulate the use of information or material disclosed by the party who made the disclosure; and

(3) may preclude a party that unreasonably fails to timely respond for disclosure or to supplement its disclosure from introducing evidence or witnesses not disclosed.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 133.15

Adopted New York State Register April 26, 2023/Volume XLV, Issue 17, eff. 4/6/2023 (Emergency)

Amended New York State Register August 16, 2023/Volume XLV, Issue 33, eff. 8/4/2023, exp. 12/4/2023 (Emergency)

Adopted New York State Register December 20, 2023/Volume XLV, Issue 51, eff. 12/4/2023, exp. 4/2/2024 (Emergency)

Adopted New York State Register September 25, 2024/Volume XLVI, Issue 39, eff. 9/10/2024, exp. 1/7/2025 (Emergency)