N.Y. Comp. Codes R. & Regs. tit. 6 § 621.9

Current through Register Vol. 46, No. 45, November 2, 2024

Section 621.9 - Settlement conferences

(a) Under certain circumstances, a settlement conference may offer a more effective and efficient way to resolve disputes over applications than an adjudicatory proceeding. A settlement conference is an opportunity for frank and open discussion between parties in the presence of an administrative law judge that may result in the resolution of outstanding issues. The purpose of the conference is to allow both parties to participate in good faith in the process of narrowing and resolving areas of disputes. The further option of an adjudicatory proceeding may still be exercised should resolution not be achieved.

(b) The regional permit administrator may offer an applicant the option to participate in a settlement conference, or the applicant may request a settlement conference, if the application meets the following conditions:

(1) no draft environmental impact statement has been required to be prepared;

(2) public notice has been published (unless the application is for a minor project);

(3) no substantive public comments have been received or public concerns identified;

(4) there remain unresolved departmental concerns with the proposed project that could result in either permit denial or substantial modification; and

(5) the applicant has agreed to a suspension of the time period for a decision pursuant to section 621.14(a) of this Part.

(c) A settlement conference shall be conducted by an administrative law judge assigned by the commissioner.

(d) The parties to the conference shall be the applicant and appropriate department staff, and their representatives.

(e) Each party shall be afforded an opportunity to present summary written documents and oral statements in support of its positions.

(f) The administrative law judge shall have the power to:

(1) set the time and place of the conference;

(2) help the parties define unresolved issues and their respective positions on them;

(3) offer opinions on the relative merits of each party's position and alternative ways to resolve disputed positions;

(4) try to facilitate the settling of issues in dispute; and

(5) close the conference if no reasonable progress towards resolution is being made.

(g) The administrative law judge shall:

(1) prepare a report which will identify the issues raised, identify the scope and nature of any settlement, and recommend further action on outstanding issues including the need for hearing; and

(2) send the report to the regional permit administrator and the applicant within 30 days of the close of the conference.

(h) On the date the department mails a notice to the applicant granting the settlement conference time frames specified in this Part are suspended. Upon receipt of the administrative law judge's report by the regional permit administrator such time periods will resume at the same point they were suspended.

(i) If an adjudicatory proceeding is ultimately held on an application that used the settlement conference procedure, an administrative law judge other than the one who conducted the settlement conference shall preside. The presiding administrative law judge at the adjudicatory proceeding shall not confer on the merits of the application with the administrative law judge who conducted the settlement conference. No part of the settlement conference report shall be introduced into the hearing record without the consent of the department staff and the applicant.

N.Y. Comp. Codes R. & Regs. Tit. 6 § 621.9

Amended New York State Register November 9, 2016/Volume XXXVIII, Issue 45, eff. 11/9/2016

Amended New York State Register September 27, 2023/Volume XLV, Issue 39, eff. 12/26/2023