Rules Governing the Procedures for Adjudicatory Proceedings Before the Department of Financial ...
NY-ADR
7/6/22 N.Y. St. Reg. DFS-14-22-00004-AA
NEW YORK STATE REGISTER
VOLUME XLIV, ISSUE 27
July 06, 2022
RULE MAKING ACTIVITIES
DEPARTMENT OF FINANCIAL SERVICES
AMENDED NOTICE OF ADOPTION
I.D No. DFS-14-22-00004-AA
Filing No. 461
Filing Date. Jun. 21, 2022
Effective Date. Jul. 06, 2022
Rules Governing the Procedures for Adjudicatory Proceedings Before the Department of Financial Services
PURSUANT TO THE PROVISIONS OF THE State Administrative Procedure Act, NOTICE is hereby given of the following action:
Action taken:
Addition of section 2.19 to Title 23 NYCRR.
Amended action:
This action amends the rule that was filed with the Secretary of State on June 7, 2022, to be effective June 22, 2022, File No. 00408. The notice of adoption, I.D. No. DFS-14-22-00004-A, was published in the June 22, 2022 issue of the State Register.
Statutory authority:
Financial Services Law, sections 102, 201, 202, 302, 305; State Administrative Procedure Act, section 301
Subject:
Rules Governing the Procedures for Adjudicatory Proceedings Before the Department of Financial Services.
Purpose:
To specify that administrative hearings are held by videoconference unless determination is made to hold the hearing in-person.
Text of amended rule:
Section 2.19 is added to read as follows:
§ 2.19 Hearings conducted by videoconference.
(a) A hearing shall be conducted by videoconference, unless a hearing officer determines at the hearing officer’s discretion, or upon a finding of good cause based upon an application submitted in accordance with subdivision (b) of this section, to conduct a hearing where all or some of the parties, witnesses, and the hearing officer are physically present at the same location. When a hearing is conducted by videoconference, the parties, witnesses, and the hearing officer do not need to be physically present at the same location.
(b) A party may object to a hearing being conducted by videoconference by sending a written notice of the objection to the hearing officer by first class mail, overnight mail, or electronic mail to an address designated by the Department and posted on the Department’s website. The written notice of objection must be received by the hearing officer at least five calendar days prior to the return date set forth in the notice of action or proposed action that was served or issued by a party as provided in Financial Services Law section 304.
(c) The hearing officer may determine not to conduct a hearing or any portion thereof, or not to have a party or witness testify, by videoconference upon a finding that a timely written objection to conducting a hearing pursuant to this Part by videoconference submitted in accordance with subdivision (b) of this section establishes that:
(1) a party’s due process rights would be best served by all or some of the parties and witnesses, and the hearing officer being physically present at the same location; or
(2) circumstances render a hearing, or a portion thereof, conducted pursuant to this Part by videoconference impractical.
(d) All provisions of this Part that are not inconsistent with the specific provisions of this section shall apply to hearings conducted by videoconference. For purposes of section 2.14(b) of this Part, the term hearing room shall mean videoconference when a hearing is conducted by videoconference.
Amended rule as compared with adopted rule:
Nonsubstantive revisions were made in section 2.19(b).
Text of amended rule and any required statements and analyses may be obtained from:
Sally Geisel, Department of Financial Services, One State Street, New York, NY 10004, (212) 480-7608, email: [email protected]
Revised Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural Area Flexibility Analysis and Job Impact Statement
A revised Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural Area Flexibility Analysis and Job Impact Statement are not required for the adoption of the First Amendment to 23 NYCRR 2 because the non-substantive revision to the regulation does not require a change to the previously published Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural Area Flexibility Analysis and Job Impact Statement.
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