19 CRR-NY 941.13NY-CRR

STATE COMPILATION OF CODES, RULES AND REGULATIONS OF THE STATE OF NEW YORK
TITLE 19. DEPARTMENT OF STATE
CHAPTER XX. JOINT COMMISSION ON PUBLIC ETHICS
PART 941. ADJUDICATORY PROCEEDINGS AND APPEALS PROCEDURE
19 CRR-NY 941.13
19 CRR-NY 941.13
941.13 Proposed findings of fact and recommendation, substantial basis investigation report, and notice of civil assessment.
(a) Within 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 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 investigation report to the commission for its consideration.
(c) The commission shall have 60 days from receipt of the proposed substantial basis investigation report, or as soon thereafter as possible, in which to vote on whether or not to issue a substantial basis investigation report and issue a notice of civil assessment. In the substantial basis investigation 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) The commission shall release such report publicly within 45 days of its issuance.
(e) 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 a substantial basis to conclude that respondent violated the Public Officers Law, Civil Service Law or the Legislative Law, the commission shall send a substantial basis investigation report containing its findings of fact and conclusions of law to the individual or entity.
(f) A substantial basis investigation report issued pursuant to Executive Law section 94(14-a) shall be delivered to the Legislative Ethics Commission and to the individual who is the subject of the report, and shall be made public and otherwise be governed by the Legislative Law section 80.
(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.
19 CRR-NY 941.13
Current through October 31, 2021
End of Document

IMPORTANT NOTE REGARDING CONTENT CURRENCY: JULY 31, 2023, is the date of the most recently produced official NYCRR supplement covering this rule section. For later updates to this section, if any, please: consult editions of the NYS Register published after this date; or contact the NYS Department of State Division of Admisnistrative Rules at [email protected]. See Help for additional information on the currency of this unofficial version of the NYS Rules.