2023 New York Laws › EDN - Education › Title 8 - The Professions › Article 130* - General Provisions › Sub Art. 4 - Unauthorized Acts. › 6516 - Civil Enforcement Proceedings and Civil Penalties.

§ 6516. Civil enforcement proceedings and civil penalties. 1. Issuance
  of  cease and desist order. Whenever the department has reasonable cause
  to believe that  any  person  has  violated  any  provision  of  section
  sixty-five  hundred  twelve  or  sixty-five  hundred  thirteen  of  this
  article, the department may issue and serve upon such person a notice to
  cease and desist from such violation. Such cease and desist order  shall
  be  served  personally by the department. If personal service can not be
  made after due diligence and such fact is certified under oath,  a  copy
  of  the order shall be made by certified mail, return receipt requested,
  to the person's last known address by the department.
2. Contents of cease and desist order.  The  cease  and  desist  order
  shall  be in writing and shall describe with particularity the nature of
  the violation, including  a  reference  of  the  specific  provision  or
  provisions  of  law  alleged  to  have been violated and an order to the
  respondent to cease any unlawful activity. The cease  and  desist  order
  shall  advise  the  respondent  (a) of the right to contest the order by
  requesting a hearing within thirty days of the service of the cease  and
  desist  order  before a hearing officer designated by the department (b)
  of the right to request a stay of the cease and desist order at the time
  a hearing is requested and (c) shall set forth the  respondent's  rights
  at such a hearing pursuant to subdivision five of this section.
3. Civil penalties. Civil penalties up to five thousand dollars may be
  imposed  for  each  violation  and the respondent may be ordered to make
  restitution to any person who has an interest in any money or  property,
  either  real  or  personal,  acquired by the respondent as a result of a
  violation. Whenever the department concludes that civil penalties and/or
  restitution may  be  warranted  because  of  the  egregiousness  of  the
  unlawful  activity, it may serve, along with the cease and desist order,
  a notice of a hearing on the allegations of unlawful  activity  and  the
  department's  intention  to  order  the  respondent  to make restitution
  and/or impose a civil penalty.  The  notice  should  specify  the  civil
  penalty sought for each violation.
4.  Request for hearing. If the respondent to a cease and desist order
  contests the cease and desist order,  the  respondent  shall  request  a
  hearing conducted by the department within thirty days of the receipt of
  the  cease  and desist order. Such a hearing shall be scheduled, and the
  requesting party notified of  the  date,  within  fifteen  days  of  the
  receipt  of the request for a hearing. If the respondent requests a stay
  of the cease and desist  order,  the  hearing  officer  shall  determine
  whether  the cease and desist order should be stayed in whole or in part
  within five working days of the request for a stay. The  respondent  may
  file  a  written  answer  to  the  cease  and  desist order prior to the
  hearing. A stenographic record of the hearing shall be made.
5. Conduct of hearing. The evidence in support of the cease and desist
  order shall  be  presented  by  an  attorney  for  the  department.  The
  respondent  may  appear  personally and may be represented by counsel at
  the hearing, may produce witnesses and evidence in his or her behalf  at
  the  hearing,  may cross-examine witnesses and examine evidence produced
  against him or her at the hearing, and may issue subpoenas in accordance
  with section three hundred four of the  state  administrative  procedure
  act.  The  hearing  officer shall not be bound by the rules of evidence,
  but his or her determination that  a  violation  of  section  sixty-five
  hundred  twelve  or  sixty-five  hundred  thirteen  of  this article has
  occurred shall be based on a preponderance of the  evidence.  A  hearing
  which  has been initiated shall not be discontinued because of the death
  or incapacity of  the  hearing  officer.  In  the  event  of  a  hearing
  officer's  death  or incapacity to serve, a new hearing officer shall be
  designated by the department to continue the hearing.  The  new  hearing

  officer  shall  affirm in writing that he or she has read and considered
  evidence and transcripts of the prior proceedings.
6.   Results  of  hearing.  The  hearing  officer  designated  by  the
  department shall  render  a  written  report  which  shall  include  (a)
  findings  of  fact, (b) a determination on each violation alleged in the
  cease and desist order, (c) a determination as  to  whether  to  accept,
  reject,  or  modify  any  of  the terms of the cease and desist order in
  whole or in part, and (d) the civil penalty imposed, if any. A  copy  of
  the hearing officer's written report shall be served upon the respondent
  with a notice setting forth the respondent's rights to an administrative
  appeal within ten days of the conclusion of the hearing.
7. Appeals. The decision of the hearing officer shall be final, except
  that it may be appealed to a regents review committee within twenty days
  of  the  receipt  of  the hearing officer's report. The initiation of an
  appeal shall not in and of itself affect the validity or  terms  of  the
  cease  and  desist  order. The regents review committee shall consist of
  three members, at least one of whom shall be a regent. The review  shall
  be  based  on  the transcript and the report of the hearing officer. The
  respondent may appear at the meeting, and the regents  review  committee
  may  require the respondent to appear. The respondent may be represented
  by counsel. The department shall notify the respondent at least ten days
  before the meeting (a) of the time and place of the meeting, (b) of  the
  right  to  appear,  (c)  of  the right to be represented by counsel, (d)
  whether or not the respondent is required to appear,  and  (e)  of  such
  other  information  as may be considered appropriate. After the meeting,
  the regents review committee shall transmit  a  written  report  of  its
  review  to the board of regents. The board of regents (i) shall consider
  the transcript, the report of the hearing officer, and the report of the
  regents review committee, (ii) shall decide whether the  respondent  has
  violated  each  charge in the cease and desist order, (iii) shall decide
  what penalties, if any, to impose as prescribed  in  this  section,  and
  (iv)  shall  issue  an  order to carry out its decisions. Such decisions
  shall require the affirmative vote of a majority of the members  of  the
  board  of  regents.  The  order  shall  be  served  upon  the respondent
  personally or by certified mail to the respondent's last  known  address
  and  such  service  shall  be  effective  as of the date of the personal
  service or five days after mailing by certified mail. The  decisions  of
  the  board of regents under this section may be reviewed in a proceeding
  pursuant to article seventy-eight of the civil practice  law  and  rules
  brought in the supreme court, Albany county. Such decisions shall not be
  stayed  or  enjoined  except  upon  application  to  such  supreme court
  pursuant to article sixty-three of the civil practice law and rules with
  notice to the department and to the attorney general.
8. General enforcement of cease and desist order. In  any  case  where
  the cease and desist order is confirmed by the board of regents or where
  the  respondent  does  not  request an administrative hearing within the
  allotted time or does not appeal the decision  of  the  hearing  officer
  within  the  allotted  time, an action or proceeding may be filed in the
  name of the state of New York seeking a restraining  order,  injunction,
  appropriate  writ, or judgment against any person who violates the terms
  of the cease and desist order.
9. Special enforcement of civil monetary penalties. Provided  that  no
  appeal  is pending on the imposition of such civil penalty, in the event
  such civil penalty imposed by the department remains unpaid, in whole or
  in part, more than forty-five days after written demand for payment  has
  been sent by first class mail to the address of the respondent, a notice
  of  impending  default judgment shall be sent by first class mail to the
  respondent. The notice of impending default judgment  shall  advise  the

  respondent:  (a) that a civil penalty was imposed on the respondent; (b)
  the date the penalty was imposed; (c) the amount of the  civil  penalty;
  (d)  the  amount of the civil penalty that remains unpaid as of the date
  of  the  notice;  (e)  the  violations  for  which the civil penalty was
  imposed; and (f) that a judgment by  default  will  be  entered  in  the
  supreme court, Albany county unless the department receives full payment
  of  all civil penalties due within twenty days of the date of the notice
  of impending default judgment. If  full  payment  shall  not  have  been
  received  by  the department within thirty days of mailing of the notice
  of impending default judgment, the department  shall  proceed  to  enter
  with  such  court  a  statement  of  the default judgment containing the
  amount of the penalty or penalties remaining due and unpaid, along  with
  proof of mailing of the notice of impending default judgment. The filing
  of  such  judgment  shall  have  the  full force and effect of a default
  judgment duly docketed with such court pursuant to  the  civil  practice
  law  and rules and shall in all respects be governed by that chapter and
  may be enforced in the same manner and with  the  same  effect  as  that
  provided  by  law  in  respect to execution issued against property upon
  judgments of a court of record. A  judgment  entered  pursuant  to  this
  subdivision  shall  remain  in  full  force  and  effect for eight years
  notwithstanding any other provision of law.