New York Consolidated Laws SAP - State Administrative Procedure Act

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https://law.justia.com/codes/new-york/2012/sap/article-3

2012 New York Consolidated Laws
SAP - State Administrative Procedure Act
Article 3 - (301 - 307) ADJUDICATORY PROCEEDINGS

    301 - Hearings.
    302 - Record.
    303 - Presiding officers.
    304 - Powers of presiding officers.
    305 - Disclosure.
    306 - Evidence.
    307 - Decisions, determinations and orders.

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New York Consolidated Laws, State Administrative Procedure Act - SAP § 100. Legislative intent

Current as of January 01, 2021 | Updated by FindLaw Staff

The legislature hereby finds and declares that the administrative rulemaking, adjudicatory and licensing processes among the agencies of state government are inconsistent, lack uniformity and create misunderstanding by the public.  In order to provide the people with simple, uniform administrative procedures, an administrative procedure act is hereby enacted.  

This act guarantees that the actions of administrative agencies conform with sound standards developed in this state and nation since their founding through constitutional, statutory and case law.  

It insures that equitable practices will be provided to meet the public interest.

It is further found that in the public interest it is desirable for state agencies to meet the requirements imposed by the administrative procedure act.  Those agencies which will not have to conform to this act have been exempted from the act, either specifically by name or impliedly by definition

What agency is excluded from NY State Administrative Procedure Act?

The Office of Court Administration and the Judiciary are exempt from SAPA requirements requiring proposal review notices in the State Register.

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Universal Citation: NY State APA § 301 (2012)


    §  301.  Hearings. 1. In an adjudicatory proceeding, all parties shall
  be afforded an opportunity for hearing within reasonable time.

    2. All parties shall be given reasonable notice of such hearing, which
  notice shall include
(a) a statement of the time, place, and  nature  of
  the  hearing; 
(b)  a  statement of the legal authority and jurisdiction
  under which the hearing is to be held;
(c) a reference to the particular
  sections of the statutes and rules involved, where possible;
(d) a short
  and plain statement of  matters  asserted;  and 
(e)  a  statement  that
  interpreter  services  shall  be  made  available to deaf persons, at no
  charge, pursuant to this section. 

Upon application of any party, a more
  definite and detailed statement shall be furnished whenever  the  agency
  finds  that  the  statement  is  not  sufficiently  definite  or  not
  sufficiently detailed.

The finding of the agency as to  the  sufficiency
  of  definiteness or detail of the statement or its failure or refusal to
  furnish a more definite or detailed statement shall not  be  subject  to
  judicial  review. 

Any  statement  furnished  shall  be  deemed,  in all
  respects, to be a part of the notice of hearing.

    3. Agencies shall adopt rules governing the procedures on adjudicatory
  proceedings and appeals, in accordance with provisions of article two of
  this chapter, and shall prepare a summary of such  procedures  in  plain
  language. 

Agencies  shall  make  such summaries available to the public
  upon request, and a copy of such summary shall be provided to any  party
  cited  by the agency for violation of the laws, rules or orders enforced
  by the agency.


    4. All parties shall be afforded an  opportunity  to  present  written
  argument  on  issues  of  law and an opportunity to present evidence and
  such argument on issues of fact, provided however that nothing contained
  herein shall be construed to prohibit an agency from allowing parties to
  present oral argument within a reasonable time.

In fixing the  time  and
  place  for  hearings  and oral argument, due regard shall be had for the
  convenience of the parties.

    5. Unless precluded  by  statute,  disposition  may  be  made  of  any
  adjudicatory  proceeding  by  stipulation,  agreed  settlement,  consent
  order, default, or other informal method.

    6. Whenever any deaf person is a party to an  adjudicatory  proceeding
  before  an  agency,  or  a witness therein, such agency in all instances
  shall appoint a qualified interpreter who is certified by  a  recognized
  national  or  New  York  state  credentialing authority to interpret the
  proceedings to, and the testimony of, such  deaf  person.    The  agency
  conducting  the adjudicatory proceeding shall determine a reasonable fee
  for all such interpreting services which shall  be  a  charge  upon  the
  agency.

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Universal Citation: NY State APA § 302 (2012)


    §  302.  Record.  1.  The  record  in an adjudicatory proceeding shall
  include:  (a) all notices, pleadings, motions, intermediate rulings; (b)
  evidence presented; (c) a statement of matters officially noticed except
  matters so obvious that a  statement  of  them  would  serve  no  useful
  purpose; 

(d)  questions  and  offers  of proof, objections thereto, and
  rulings thereon;
(e) proposed findings and exceptions, if any; 
(f)  any findings of fact, conclusions of law or other recommendations made by a
  presiding officer; and
(g) any decision, determination,  opinion,  order
  or report rendered.

    2.  The  agency  shall  make  a  complete  record  of all adjudicatory
  proceedings conducted before it. 

 For  this  purpose,  unless  otherwise
  required  by  statute,  the  agency  may  use  whatever  means  it deems
  appropriate, including but  not  limited  to  the  use  of  stenographic
  transcriptions  or  electronic recording devices. 

Upon request made by
  any party upon the agency within a reasonable time,  but  prior  to  the
  time  for  commencement  of judicial review, of its giving notice of its
  decision, determination, opinion or order, the agency shall prepare  the
  record  together  with any transcript of proceedings within a reasonable
  time and shall furnish a copy of the record and transcript or  any  part
  thereof to any party as he may request.

Except when any statute provides
  otherwise, the agency is authorized to charge not more than its cost for
  the  preparation and furnishing of such record or transcript or any part
  thereof, or the rate specified in the contract between the agency and  a
  contractor if prepared by a private contractor.

    3.  Findings of fact shall be based exclusively on the evidence and on
  matters officially noticed.

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Universal Citation: NY State APA § 303 (2012)


    §  303.  Presiding  officers. Except as otherwise provided by statute,
  the agency, one or more members of the agency, or one  or  more  hearing
  officers  designated  and  empowered  by  the agency to conduct hearings
  shall be  presiding  officers.   

Hearings  shall  be  conducted  in  an impartial  manner. 

Upon the filing in good faith by a party of a timely
  and sufficient affidavit of  personal  bias  or  disqualification  of  a
  presiding  officer, the agency shall determine the matter as part of the
  record in the case, and its determination shall be a matter  subject  to
  judicial  review  at  the  conclusion  of  the  adjudicatory proceeding.

  Whenever a presiding officer is disqualified or it  becomes  impractical
  for  him  to  continue  the  hearing,  another  presiding officer may be
  assigned to continue with the case unless it is shown  that  substantial
  prejudice to the party will result therefrom.

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Universal Citation: NY State APA § 305 (2012)

 
    §  305.  Disclosure.  Each agency having power to conduct adjudicatory
  proceedings may adopt rules providing for discovery and  depositions  to
  the extent and in the manner appropriate to its proceedings.

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Universal Citation: NY State APA § 306 (2012)


  §  306.  Evidence.  1. Irrelevant  or  unduly repetitious evidence or
  cross-examination may be  excluded. 

Except  as  otherwise  provided  by
  statute,  the  burden  of  proof shall be on the party who initiated the
  proceeding.

No decision, determination or order  shall  be  made  except
  upon  consideration  of the record as a whole or such portion thereof as
  may be cited by any party to the proceeding and as supported by  and  in
  accordance  with  substantial evidence.

Unless otherwise provided by any
  statute, agencies need not observe the rules  of  evidence  observed  by
  courts,  but  shall  give effect to the rules of privilege recognized by
  law. 

Objections to evidentiary offers may be made and shall be noted in
  the record. 

Subject to these requirements,  an  agency  may,  for  the
  purpose  of  expediting hearings, and when the interests of parties will
  not be  substantially  prejudiced  thereby,  adopt  procedures  for  the
  submission of all or part of the evidence in written form.

    2. All evidence, including records and documents in the possession of
  the agency of which it desires to avail itself,  shall  be  offered  and
  made  a  part  of  the  record, and all such documentary evidence may be
  received in the form of copies  or  excerpts,  or  by  incorporation  by
  reference. 

In  case  of  incorporation  by  reference, the materials so
  incorporated shall be available for examination by  the  parties  before
  being received in evidence.


    3. A party shall have the right of cross-examination.

    4.  Official notice may be taken of all facts of which judicial notice
  could be taken and of other facts within the  specialized  knowledge  of
  the  agency.   

When  official  notice  is  taken of a material fact not
  appearing in the evidence in the record and  of  which  judicial  notice
  could  not be taken, every party shall be given notice thereof and shall
  on timely request be  afforded  an  opportunity  prior  to  decision  to
  dispute the fact or its materiality.

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Universal Citation: NY State APA § 307 (2012)

 
    §  307.  Decisions,  determinations  and  orders. 1. A final decision,
  determination or order adverse to a party in an adjudicatory  proceeding
  shall  be  in writing or stated in the record and shall include findings
  of  fact  and  conclusions  of  law  or  reasons   for   the   decision,
  determination  or  order. 

Findings  of  fact, if set forth in statutory
  language, shall be accompanied by a concise and  explicit  statement  of
  the  underlying  facts  supporting  the findings.

If, in accordance with
  agency rules, a party submitted proposed findings of fact, the decision,
  determination or  order  shall  include  a  ruling  upon  each  proposed
  finding.

 A  copy  of  the  decision,  determination  or  order shall be
  delivered or mailed forthwith to each  party  and  to  his  attorney  of
  record.

    2.  Unless required for the disposition of ex parte matters authorized
  by law, members or employees of an agency assigned to render a  decision
  or  to  make  findings of fact and conclusions of law in an adjudicatory
  proceeding shall not communicate, directly or indirectly, in  connection
  with  any  issue  of  fact, with any person or party, nor, in connection
  with any issue of law, with any party or his representative, except upon
  notice and opportunity for all parties to participate. 

Any such  agency member (a) may communicate with other members of the agency, and (b) may
  have  the aid and advice of agency staff other than staff which has been
  or  is  engaged  in  the  investigative  or  prosecuting  functions in
  connection with the case under consideration or factually related case.


    This  subdivision  does  not apply (a) in determining applications for
  initial licenses for public utilities or carriers; or (b) to proceedings
  involving the validity or application of rates, facilities, or practices
  of public utilities or carriers.

    3. (a) Each agency shall maintain an index by name and subject of  all
  written  final  decisions,  determinations  and  orders  rendered by the
  agency in adjudicatory proceedings. 

For purposes of  this  subdivision,
  such  index  shall  also  include  by name and subject all written final
  decisions, determinations and orders rendered by the agency pursuant  to
  a  statute  providing any party an opportunity to be heard, other than a
  rule making.   

Such index  and  the  text  of  any  such  written  final
  decision,   determination   or  order  shall  be  available  for  public
  inspection and copying.

Each decision, determination and order shall  be
  indexed within sixty days after having been rendered.

    (b)  An agency may delete from any such index, decision, determination
  or order  any  information  that,  if  disclosed,  would  constitute  an
  unwarranted  invasion  of  personal  privacy  under  the  provisions  of
  subdivision two of section eighty-nine of the public  officers  law  and
  may  also  delete  at  the request of any person all references to trade
  secrets that, if  disclosed,  would  cause  substantial  injury  to  the
  competitive  position  of  such  person. 

Information which would reveal
  confidential material protected by federal or state  statute,  shall  be
  deleted from any such index, decision, determination or order.

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2012 New York Consolidated Laws
SAP - State Administrative Procedure Act
Article 1 - (100 - 104) GENERAL PROVISIONS

    100 - Legislative intent.
    101 - Short title.
    102 - Definitions.
    102-A - Small business regulation guides.
    103 - Construction; severability.
    104 - Access to studies and data.

[Admin]

2012 New York Consolidated Laws
SAP - State Administrative Procedure Act
Article 1 - (100 - 104) GENERAL PROVISIONS
100 - Legislative intent.

Universal Citation: NY State APA § 100 (2012)

 
    §  100.  Legislative intent. The legislature hereby finds and declares
  that the administrative rulemaking, adjudicatory and licensing processes
  among the agencies of state government are inconsistent, lack uniformity
  and create misunderstanding by the  public.  In  order  to  provide  the
  people with simple, uniform administrative procedures, an administrative
  procedure act is hereby enacted.

This act guarantees that the actions of
  administrative  agencies  conform with sound standards developed in this
  state and nation since their founding through
constitutional, 
statutory
  and  case  law. 

It insures that equitable practices will be provided to
  meet the public interest.

    It is further found that in the public interest it  is  desirable  for
  state  agencies  to  meet the requirements imposed by the administrative
  procedure act. 

Those agencies which will not have to  conform  to  this
  act  have  been  exempted  from  the act, either specifically by name or
  impliedly by definition.