N.Y. Comp. Codes R. & Regs. tit. 9 § 581-2.6

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

Section 581-2.6 - Enforcement proceedings

(a) The executive director may initiate an enforcement proceeding to be held by the enforcement committee for a determination whether a violation has occurred and a decision on an appropriate disposition of an enforcement action. Whenever this section refers to the enforcement committee, it shall mean the agency where the agency considers aa alleged violation pursuant to section 581-2.2 of this Subpart.

(b) To initiate enforcement proceedings, the executive director shall serve a notice of apparent violation upon the respondent reciting the material facts and documentary evidence, and the provisions of law upon which the notice is based. The notice may also include a recommendation for resolution of the enforcement action. The notice shall include:

(1) the date and place the enforcement committee will consider the matter;

(2) a statement that any written response to the notice shall be signed by the respondent or his attorney and served upon the executive director within 30 days of the date of the notice; and

(3) a statement that the respondent may appear before the enforcement committee either in person or by counsel, and be heard concerning any disputed matter of fact or law or with respect to the nature of any proposed resolution. The notice shall state that a respondent may authorize the person other than an attorney to speak on his behalf so long as the respondent appears in person before the enforcement committee.

(c) Within 30 days of the date of the notice of apparent violation, the respondent may serve a written response upon the executive director signed by the respondent or his attorney, including all material facts and documentary evidence, and any affirmative defenses. If the respondent fails to respond to the notice of apparent violation within such 30-day period, the enforcement committee may accept as correct the allegations of fact and law set forth in the notice of apparent violation.

(d) Following the enforcement proceeding, the enforcement committee shall consider the alleged violation in executive session, and may make a determination as to whether a violation has occurred. The enforcement committee may also decide on an appropriate disposition of the enforcement action, or may decide to adjourn the matter for additional investigation or consideration or for any other reason it deems appropriate.

(e) A copy of any determination made by the enforcement committee shall be served upon the respondent within 15 days of the date of the enforcement committee determination.

(f) Service of the notice of apparent violation and the enforcement committee's determination shall be by certified mail or other means designed to provide actual notice. Service of any other papers connected with an enforcement proceeding may be by ordinary mail or hand-delivery.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 581-2.6