N.Y. Comp. Codes R. & Regs. tit. 19 § 941.3

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

Section 941.3 - Notices

(a) Notice of Allegations ("15-Day Letter"). If following a preliminary review, the Commission or Commission staff decides to elevate such preliminary review into an investigation pursuant to Executive Law § 94(10)(f) the Commission shall provide written notice to the respondent individual or entity setting forth, to the extent the Commission is able to do so, the possible or alleged violation or violations of law and a description of the allegations against the respondent and the evidence, if any, already gathered pertaining to such allegations. Any information that may, in the judgment of the Commission or staff, either be prejudicial to the complainant or victim, or compromise the investigation, shall be redacted.

(1) The 15-Day Letter shall provide the individual or entity with a fifteen-day period from the receipt of the 15-day Letter in which to submit a written preliminary response or information the respondent determines may benefit the Commission or Commission staff in its work, including any evidence, statements, and proposed witnesses, and setting forth information relating to the activities cited as possible or alleged violation(s) of law.

(i) While any response submitted will be reviewed by the Commission and/or Commission staff, Commission staff is not precluded from recommending and the Commission is not precluded from voting to close or settle the matter, to advance it to a confidential due process hearing or to return it to staff for further investigation prior to receiving a Respondent's written response.

(ii) An extension of time to respond may be available to Respondent upon request.

(2) The 15-Day Letter shall include a copy of the Commission's rules regarding the conduct of adjudicatory proceedings and appeals and shall also contain a plain language summary of the rules contained in this Part.

(3) Pursuant to Executive Law § 94(10)(k), the 15-Day Letter continues the Commission's jurisdiction over the Respondent.

(b) Notice of Hearing.

(1) If following presentation of the matter to the Commission pursuant to Executive Law §94(10)(f), the Commission has determined by majority vote to proceed to a hearing, having found that there is credible evidence of a violation under the Commission's jurisdiction, notice shall be provided to the Respondent to inform Respondent of their right to be heard and appear in person and by attorney at a confidential hearing and to give sworn testimony, present evidence, and cross examine witnesses. The notice shall contain the following:

(i) the alleged violations of law and the factual basis for those allegations;

(ii) a statement of the time and place of the hearing;

(iii) the hearing officer who will preside over the matter and instructions for the submission of any notices, filings, or other papers;

(iv) a statement for hearing impaired parties and participants concerning the provision of deaf interpretation without charge;

(v) notice to the Respondent that failure to appear will not preclude the hearing officer or Commission from proceeding with the scheduled hearing; and

(vi) any other information deemed necessary or appropriate.

(2) The notice of hearing shall include a copy of the Commission's rules regarding the conduct of adjudicatory proceedings and appeals and shall also contain a plain language summary of the rules in this Part.

(c) Notice of Closure, Continued Investigations or Guidance. If following presentation of the matter to the Commission pursuant to Executive Law §94(10)(f), the Commission decides, by majority vote, to return the matter to the staff for further investigation, close the matter, or authorizes the resolution of the matter by guidance to the subject, or if the Commission's vote to proceed to a due process hearing does not carry, the Commission shall, within 60 days of such determination, provide written notice of its decision as follows:

(1) to the Complainant and/or Victim if any;

(2) to the Subject or Respondent if they have been notified, by the Commission or otherwise, of a complaint or allegations against them;

(3) to any Agency that made a referral to the Commission or otherwise, notified the Commission of the allegations, or any Agency which employs the Subject or Respondent.

(4) At the discretion of the Commission, written notice shall be provided to a Subject who has not been previously notified of the allegations against them or other interested parties, including but not limited to witnesses.

(5) Pursuant to §94(10)(l), where the Commission's vote to proceed to a due process hearing has not carried, the notice shall not include any personally identifying information or information tending to identify any party involved in the investigation.

N.Y. Comp. Codes R. & Regs. Tit. 19 § 941.3

Amended New York State Register December 21, 2016/Volume XXXVIII, Issue 51, eff. 12/21/2016

Amended New York State Register June 6, 2018/Volume XL, Issue 23, eff. 6/6/2018

Amended New York State Register July 19, 2023/Volume XLV, Issue 29, eff. 7/19/2023