N.Y. Comp. Codes R. & Regs. tit. 9 § 133.9

Current through Register Vol. 46, No. 53, December 31, 2024

Section 133.9 - [Effective until 1/7/2025] Disciplinary Proceedings Procedures

(a) After a disciplinary proceeding has been commenced, the licensee may be afforded an opportunity to plead either "no contest" or "conditional no contest" to the charges and agree to a proposed penalty, on or before a scheduled date. If the licensee chooses not to plea to the charges, it may request a one-time request for reconsideration, or that a hearing be scheduled.

(1) If the licensee pleads "no contest," and the office approves this plea and proposed penalty, there is no admission of guilt to the charges, and no hearing will be held.

(2) If the office denies the plea, the office may offer a "conditional no contest plea." If the licensee pleads "conditional no contest," and the office approves this plea and proposed penalty, the charges shall be deemed admitted, and no further hearing shall be held. A licensee who timely responds to the notice of pleading, may plead "conditional no contest" at any time prior to the scheduling of the hearing, upon approval by the office.

(b) Failure of a licensee to plead on or before the pleading date listed in the notice of pleading shall be deemed a plea of admission of all charges and consent to the penalties imposed; and no further hearing shall be held.

(c) The licensee may plead to the charges by mail or by delivering the licensee's plea by electronic means to the email address designated in the pleading. In order to plead to the charges by mail or by email, a letter or the notice of pleading form signed by the licensee or its attorney setting forth the plea must be received by the office on or before the scheduled date.

(d) If the penalty proposed is a monetary fine, the licensee will have 90 calendar days from the date the letter or notice of pleading is received by the office, or 90 calendar days from the default, to pay the fine. Failure to pay be the due date may result in additional penalties, fees, and interest.

(e) The licensee may request a one-time reconsideration by the office of the charges and penalties for issues of mistakes of fact or law or if all violations have been cured. Said request shall solely be in writing and accompanied by evidence of alleged mistakes of fact or law or that violations have been cured, where the opportunity to cure is applicable.

(1) Request for one-time reconsideration will result in suspension of the disciplinary proceeding until a notice of determination is issued by the office and either party declines the determination.

(2) The office may determine to confirm the charges and/or penalties, reduce the charges and/or penalties, or withdraw the charges and/or penalties, at its sole discretion.

(3) The office may delegate its authority to conduct one-time reconsiderations to the administrative law judge.

(4) Notice of the office's determination shall be transmitted by electronic means to the licensee to the email address currently on file with the office for the licensee, with the subject matter for such transmission indicating that it is related to an Office of Cannabis Management determination. Service shall be deemed complete when email is sent.

(5) Once a determination is made, the licensee may accept or decline the determination by executing the notice of determination and returning it by mail or email within 15 calendar days of service, pursuant to paragraph (4) of this subdivision.

(6) Failure of the licensee to respond within 15 calendar days of service of notice shall be deemed a consent to the charges and penalties imposed in the notice of determination and the determination may become a final order upon acceptance of the office. No further hearing shall be held unless requested by the office.

(7) The office will have 30 calendar days from the receipt of the licensee's executed notice of determination, to respond to accept or decline the determination. Should the licensee fail to respond within 15 calendar days, the office shall have 30 calendar days to respond to accept or decline the determination beginning on the 15th calendar day from the date service is deemed complete, pursuant to paragraph (4) of this subdivision. Should the office fail to respond within 30 calendar days, the determination will become a final order, and no further hearing shall be held.

(8) Once both parties have accepted the notice of determination it will become a final order.

(9) Should either party decline the determination, the proceeding will be scheduled for preliminary conference or hearing, pursuant to section 133.10 of this Part.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 133.9

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)