reglab/statecodes huggingface dataset:
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 132 - Cannabis Research License › Section 132.6 - Research Involving Human Subjects

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Prior to receiving a research license for a research project that includes
				human subjects, the following shall be required:
(1) one or more licensed practitioners in
				good standing to monitor participants shall be included, if required by the IRB
				of record;
(2) for any research
				project involving the consumption of investigational products by human
				subjects:
(i) all products shall be tested in
				accordance with Part 130 of this Title;
(ii) research participants shall be subject
				to all applicable laws and regulations; and
(3) for any multi-site research projects
				involving the consumption of investigational products by human subjects, all
				research sites shall be located in New York State.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 132 - Cannabis Research License › Section 132.7 - Research Involving Animals

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Prior
				to receiving a research license for a research project that includes animals as
				participants, the applicant shall submit evidence of approval of the project by
				the identified Institutional Animal Care and Use Committee (IACUC). Evidence of
				IACUC approval or exemption may be submitted separately from the information
				required in this Part but shall be submitted to receive a final research
				license.
(b) A research licensee
				conducting research involving animals as defined in the Animal Welfare Act,
				Title 7 of the US Code, section 2132(g) shall:
(1) be registered and provide proof of
				registration with the U.S. Department of Agricultural pursuant to the Animal
				Welfare Act, Title 7 of the US Code sections 2131 et seq.
(2) treat animals involved in research,
				humanely and consistent with all relevant federal and/or state laws and
				regulations, as well as all ethical standards and requirements for research on
				such animals.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 132 - Cannabis Research License › Section 132.8 - Agricultural Research

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Research licensees performing agricultural research shall:
(1) keep all areas used for the cultivation
				of cannabis for research purposes, including any growing, harvesting, drying,
				or storage areas, separate and distinct from any area designated for hemp
				cultivation authorized under the Department of Agriculture and Markets, if
				applicable;
(2) keep all areas used
				for the cultivation of cannabis for research purposes, including any growing,
				harvesting, drying, or storage areas, separate and distinct from any area
				designated for cannabis cultivation authorized by the Board pursuant to Article
				3, 4 or 6 of the Cannabis Law, if applicable;
(3) comply with all rules, regulations, and
				policies applicable to a cultivator related to pesticide use and other
				agriculture inputs, security requirements, sanitary conditions, record keeping
				and tracking, and disposal of cannabis as set forth in any applicable
				regulation.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 132 - Cannabis Research License › Section 132.9 - Reporting Requirements

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A
				research licensee shall maintain and shall make available all documentation
				related to:
(1) the proper disposal of
				investigational products as required by this Part; and
(2) an occurrence that is reportable,
				including:
(i) any investigational products
				cultivated, produced, or acquired for use in an approved research
				project;
(ii) an annual report to
				the Board. The Board shall review such report and determine whether the
				research project continues to meet the research qualifications under this Part;
				and
(iii) any adverse events that
				occur during trial participation which shall be documented by the research
				licensee and reported to the Office, in a manner determined by the Office, if
				the event becomes serious. Serious adverse events shall be reported to the
				Office within 24 hours from the time of awareness.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 132 - Cannabis Research License › Section 132.10 - Inspections and Audits

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Approved
				research study sites, regardless of the type of premises, and all records
				related to a research project, including but not limited to financial
				statements and corporate documents, shall be subject to inspection by the
				Office, by the duly authorized representatives of the Office, by any peace
				officer acting pursuant to his or her special duties, or by any police
				officer.
(b) All research projects
				that report serious adverse events shall be subject to inspection by the Office
				if the events are thought to jeopardize the immediate health, safety, or
				well-being of the research participants.
(c) A research licensee shall make
				themselves, or an agent thereof, available and present for any inspection
				required by the Office. Such inspection may include, but is not limited to,
				ensuring compliance by the research licensee with all requirements of the
				regulations pursuant thereto, and other applicable state and local building
				codes, fire, health, safety, and other applicable regulations.
(d) Any inspection finding, which the Office
				determines jeopardizes the immediate health, safety, or well-being of the
				public shall be deemed a critical deficiency and shall require a corrective
				action to remove the immediate risk and may result in the immediate suspension
				of the research license. The research licensee shall submit a corrective action
				plan to the Office within 24 hours of notification by the Office of the
				critical deficiency.
(e) If the
				Office determines that the corrective action plan needs modification, the
				research licensee shall modify the plan until it is in its final form, as
				accepted by the Office.
(f) Upon
				written approval of the Office, the research licensee shall implement the
				corrective action plan.
(g) Nothing
				herein shall limit the application of any other remedies or sanctions that are
				available through local, state, and federal laws, and these rules.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 132 - Cannabis Research License › Section 132.11 - Record Retention

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A
				research licensee shall keep and maintain records required by this Part, or any
				other applicable federal or state rule or regulation, including all books and
				electronic records located on the premises, in a readily retrievable manner for
				at least seven years from the date of creation, unless a shorter time is
				specified by the Office.
(b)
				Records shall account for all activities of the research licensee. Records of
				all investigational products received, stored, delivered, distributed,
				dispensed, lost, or destroyed shall be readily retrievable and made available
				to the Office upon request. The research licensee shall provide accountability
				of all investigational products to help reduce the potential for theft or
				diversion. Records shall be legible and accurate.
(c) Records shall be stored in a secure area
				and in a manner in which they are protected from debris, moisture,
				contamination, hazardous waste, and theft.
(d) The failure of the research licensee to
				comply with the requirements set forth in this section may result in fines and
				possible suspension or revocation of licensure.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 132 - Cannabis Research License › Section 132.12 - Conditions for License Suspension or Revocation

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Each of the following, in and of itself,
				may be used to suspend or revoke a research license:
(1) The research project is:
(i) not operational within the time projected
				in the application or the time otherwise approved by the Board;
(ii) denied pursuant to any of the provisions
				in section 132.3(d) of this
				Part; or
(iii) not registered with
				the Office in association with the research license.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 132 - Cannabis Research License › Section 132.13 - Disposal

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The disposal of
				cannabis shall mean that the cannabis has been rendered unusable, except for
				stalks, stems, fan leaves, root balls, and soil media which do not have to be
				rendered unusable prior to disposal.
(b) Research licensees shall dispose of any
				investigational products that are outdated, damaged, deteriorated,
				contaminated, or otherwise deemed not appropriate for usage or any plant-based
				waste produced.
(c) Research
				licensees shall dispose of liquid and chemical waste in accordance with
				applicable federal, state, and local laws and regulations.
(d) Research licensees shall, at the
				conclusion of the research, dispose of all remaining investigational products
				subject to the research licensees approved research project. Unless otherwise
				approved by the Office, a research project will be deemed concluded on its
				estimated end date, as provided in the approved research licensee's
				application, or the license expiration date, whichever occurs first. The
				research licensee shall ensure remaining investigational products are disposed
				of in conformance with this Part.
(e) Research licensees shall ensure the
				return of all investigational products by research participants by the
				conclusion of the research project for disposal.
(f) Research licensees shall maintain records
				of disposal, which shall include:
(1) the
				type of plant material being disposed, if the material is a by-product of the
				processing or manufacturing process;
(2) investigational products being disposed,
				if a finished product;
(3) the
				weight of the disposed material, the number of plants, or in the case of a
				finished product, the quantity of the disposed product for each research
				project and in total as of the date of the reporting of the materials in this
				section; and
(4) the signatures of
				at least two (2) research licensee staff members who witnessed the
				disposal.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 132 - Cannabis Research License › Section 132.14 - Referenced Materials

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Regulations included in Part 132 of this Title contain references to documents
				for information as to the standards to be met or guidelines and methodologies
				to be used in meeting the requirements of specific regulations. In addition,
				copies of referenced materials are available for public inspection and copying
				at the Albany office of the New York State Department of State.
Table 1
Regulation
Referenced Material
Availability
9 NYCRR Part/sec./etc.
CFR (Code of Federal Regulations) or
								other
§
															132.1(o)
Public Health Law Article twenty-four-A
****
§
															132.1(o)
42 USC 289 (a)
**
§
															132.1(o); §
															132.6(e)
45 CFR Part 46
*
§
															132.3(h)
Penal Law § 210.45
***
§
															132.6(f)(2)
21 CFR Part 50
*
§
															132.7(b)
7 USC §
																2132(g)
**
§
															132.7(b)(1)
7 USC §§
																2131 et
								seq
**
* Any printed editions of the
Code of Federal
				  Regulations
(CFR) can be obtained by calling the Superintendent of
				  Documents, U.S. Government Printing Office, at (202) 512-1800. Electronic
				  copies of CFR sections may also be obtained at Government Printing Office (GPO)
				  which contains the most recent revisions, can be searched directly at:
https://www.ecfr.gov/
** Any printed editions of the
United States
Code (USC) can be obtained by calling the Superintendent of Documents, U.S.
				  Government Printing Office, at (202) 512-1800. Electronic copies of CFR
				  sections may also be obtained at Government Printing Office (GPO) which
				  contains the most recent revisions, can be searched directly at:
https://uscode.house.gov/
*** Electronic copies of New York State Law, including but
				  not limited to, Public Health Law, Vehicle and Traffic Law, Education Law,
				  Mental Hygiene Law, Social Services Law and Penal Law may be searched directly
				  under the Laws tab (which drops down to "Laws of New York") at:
http://public.leginfo.state.ny.us/lawssrch.cgi?NVLWO
:
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.1 - Definitions

Current through Register Vol. 46, No. 28, July 10, 2024
For the purposes of this Part, the following terms shall have
				  the following meanings:
(a)
Administrative law judge or ALJ
means a hearing officer who is
				assigned to and conducts a hearing pursuant to the Cannabis Law and this
				Part.
(b)
Civil Practice
				Law and Rules or CPLR
means Chapter 8 of the Consolidated Laws of New
				York.
(c)
Corrective action
				plan
means a plan submitted by a licensee to the office that addresses
				corrections made or to be made by a licensee as a result of a violation or
				non-compliance with the Cannabis Law, rules, or regulations, of the
				office.
(d)
Debarment
means an exclusion from
(1) contracting or subcontracting with a
				licensee,
(2) contracting or
				subcontracting with, or submitting bids for contracts awarded by, the office,
				and
(3) eligibility for a license
				issued pursuant to Cannabis Law.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.2 - Denial of Requests for Change or Amendment of License or Renewals of License

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Upon review
				of a request for change or amendment of a license, including, but not limited,
				to changes of ownership, or a renewal of a license, the licensee shall be
				notified whether the request was approved.
(b) If a request is not approved, the notice
				shall identify the reasons therefore, including the person and particular
				offense or incident that does not satisfy the requirements and prohibitions of
				the Cannabis Law or applicable regulations.
(c) The notice shall provide the licensee
				with the opportunity to cure and the options therefor.
(d) The licensee shall submit the proposed
				cure no later than the date set forth in the notice of denial of a request for
				change or amendment of a license or renewal of license.
(e) The denial will be affirmed as final, and
				the licensee will be deemed to have waived any rights it may otherwise have or
				have had to challenge the denial.
(f) If the parties do not agree to the
				proposed resolution, the licensee may request a hearing before an
				administrative law judge challenging the denial of the change or amendment of
				license or renewal.
(g) Request for
				administrative law judge hearing.
(1) a
				request for a hearing before an administrative law judge may be made only after
				the parties fail to agree on a proposed resolution and shall be a challenge of
				the denial of a change or amendment of license or renewal. The request shall be
				in a form and a manner determined by the board. The request shall be made no
				later than thirty (30) days after the date the office indicates whether it
				shall agree to the proposed resolution or maintain the denial.
(2) a request for a hearing before an
				administrative law judge shall specifically identify each issue and fact in
				dispute and state the position of the licensee, the pertinent facts to be
				adduced at the hearing, and the reasons supporting that position.
(3) if a request for a hearing is not filed
				as set forth herein or state the basis of the hearing request, the request will
				be summarily dismissed, the denial will be affirmed as final, and the licensee
				will be deemed to have waived any rights it may otherwise have or have had to
				challenge the denial of the change or amendment of license or renewal of
				license.
(4) a hearing before an
				administrative law judge shall be conducted pursuant to the procedures therefor
				set forth in this Part.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.4 - Violations

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Violation
				categories:
(1) Category 1 - Violations are
				such that they are immediate and severe threat to public health, safety or
				welfare.
(2) Category 2 -
				Violations are such that they create a severe threat to public health, safety
				or welfare.
(3) Category 3 -
				Violations are such that they create a potential threat to public health,
				safety or welfare.
(4) Category 4 -
				Violations are such that they create a climate which is conducive to abuses of
				office regulations governing the cultivation, processing, production,
				distribution, sale, or delivery of cannabis or cannabis products.
(5) Category 5 - Violations are those that
				are inconsistent with the orderly operation of a regulated business engaged in
				the cultivation, processing, production, distribution, sale, or delivery of
				cannabis or cannabis products or those that are inconsistent with said
				business's ability to operate in a manner that comports with applicable
				regulations.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.5 - Corrective Action Plan

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Any
				violations or instances of noncompliance identified whether by an inspection,
				investigation or otherwise, shall be documented in a statement of findings by
				the office.
(b) A licensee shall
				respond to a statement of findings by submitting a written corrective action
				plan in a format acceptable to the office within fifteen (15) calendar days of
				the date of the statement of findings. A corrective action plan shall address
				all violations and areas of noncompliance cited in the statement of findings
				and shall contain:
(1) an assessment and
				analysis of the violation and circumstances relating to the noncompliance
				including, but not limited to:
(i) restating
				facts and circumstances surrounding the events in the statement of findings as
				the licensee understands them;
(ii)
				an analysis of any remedies that were immediately put into place to address the
				situation;
(iii) an attestation
				that there was no intention to violate any laws or purposefully noncomply;
				and
(iv) any other information the
				licensee would like to share regarding the violation and circumstances relating
				to the noncompliance.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.6 - Summary Suspension and Stop Work Orders

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The office
				may issue a summary suspension order or stop work order to any licensee that
				has:
(1) committed a Category 1
				violation;
(2) committed any
				violation that poses or posed a severe and imminent risk to public health,
				safety or welfare;
(3) engaged in
				any action or failed to act in any way that poses or posed a severe and
				immediate risk to public health, safety or welfare;
(4) failed to make themselves available to
				the duly authorized representative of the office, to any peace officer acting
				pursuant to their special duties, or to a police officer, during an inspection
				or investigation; or
(5) failed to
				make available any documents requested by the office.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.8 - Notice of Hearing and Statement of Charges

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A notice of
				hearing and statement of charges shall be provided to the licensee by the
				office and will include a statement of the legal authority and jurisdiction
				under which the proceeding is to be held, a reference to any applicable
				statutes and regulations that serve as the basis of the violation, and a
				statement of the matters asserted comprising the statement of
				charges.
(b) The notice of hearing
				shall specify the time, place and date for a hearing.
(c) Service of the notice of hearing and
				statement of charges, if any, shall be served at least thirty (30) days prior
				to the date of the hearing and shall be sent by certified or registered mail,
				or by service consistent with Article 3 of the CPLR. Where service is by mail,
				service shall be deemed complete three (3) days after mailing.
(d) The notice shall provide the licensee
				with the opportunity cure.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.9 - Request for Adjournment

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A request
				for an adjournment of a hearing shall be made in writing and submitted to the
				administrative law judge and other parties prior to the hearing.
(b) Adjournments shall be granted only by the
				administrative law judge, and only after the administrative law judge has
				consulted with all parties. When granted, adjournments should be assigned a
				specific time, date and place.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.10 - Answer or Responsive Pleadings

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A party may
				serve an answer, or responsive pleadings, signed by the party. The answer or
				responsive pleadings shall specify which allegations are admitted, which
				allegations are denied and which allegations a party has insufficient
				information upon which to form an opinion.
(b) The answer or responsive pleadings shall
				be served no later than seven (7) days before the initial hearing
				date.
(c) An answer or responsive
				pleading is required if there are affirmative defenses.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.11 - Amendment of Pleadings

Current through Register Vol. 46, No. 28, July 10, 2024
Any party may amend or supplement a pleading at any time
				  prior to the issuance of the administrative law judge's decision upon the
				  approval of the administrative law judge, if there is no substantial prejudice
				  to any party.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.12 - Service of Papers

Current through Register Vol. 46, No. 28, July 10, 2024
All notices and papers connected with a hearing, other than
				  the notice of hearing and statement of charges, if any, may be served by
				  ordinary mail. Except where otherwise provided, service by mail shall be deemed
				  complete three days after mailing.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.13 - Disclosure

Current through Register Vol. 46, No. 28, July 10, 2024
(a) There shall
				be no disclosure, including, but not limited to, bills of particulars,
				exchanges of documents and witness lists, depositions, interrogatories,
				discovery and requests for documents. An administrative law judge may not
				require disclosure. When the parties agree to any form of disclosure, the
				administrative law judge shall ensure that all parties proceed in accordance
				with the agreement of the parties. The administrative law judge shall not be
				bound by the rules of evidence observed by courts, except the rules of
				privilege recognized by law.
(b)
				Notice of hearing issued by the office.
(1)
				Upon application of any party, the administrative law judge:
(i) upon good cause shown, may allow demands
				and responses within time periods other than those described in this
				subdivision;
(ii) upon good cause
				shown, may limit, condition, or regulate the use of information or material
				disclosed by the party who made the disclosure; and
(iii) may preclude a party that unreasonably
				fails to timely respond for disclosure or to supplement its disclosure from
				introducing evidence or witnesses not disclosed.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.14 - Office of Administrative Hearings

Current through Register Vol. 46, No. 28, July 10, 2024
There is hereby established within the Office of Cannabis
				  Management an Office of Administrative Hearings which shall conduct all
				  adjudicatory proceedings which devolve upon the board by requirement of
				  statute. All adjudicatory proceedings shall be conducted by the Office of
				  Administrative Hearings through the service of administrative law judges who
				  will have all the power and authority of presiding officers or hearing officers
				  as defined by the State Administrative Procedure Act, and other pertinent
				  statutes, and these regulations.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.15 - Responsibilities of the Administrative Law Judge

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The
				administrative law judge is responsible for scheduling and conducting all
				administrative hearings as set forth in this Part. The administrative law judge
				is in charge of reviewing the statement of charges and all motions filed under
				this Part, as well as issuing decisions after hearings and on motions.
(1) All administrative law judges shall be
				licensed to practice law and shall not serve in any other capacity within the
				office.
(2) For administrative and
				personnel purposes, the chief administrative law judge shall report directly to
				the office's Executive Director or the Executive Director's designee.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.16 - Administrative Law Judge Hearings

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Appearances.
(1) a party may appear in person
				or through representation by an attorney. If a party appears through
				representation by an attorney, service of papers shall be made upon the
				attorney.
(2) any person appearing
				on behalf of a party in a representative capacity may be required to show their
				authority to act in such capacity and shall file a notice of
				appearance.
(3) if a party fails to
				appear at the hearing and no adjournment has been requested and granted for
				cause, the administrative law judge shall recommend a default order.
(4) at any time before a decision is issued,
				the administrative law judge may relieve any party of the consequences of any
				default upon good cause shown.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.17 - Subpoenas

Current through Register Vol. 46, No. 28, July 10, 2024
A subpoena issued by the office pursuant to authority granted
				  by the board shall be governed by the CPLR.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.18 - Stipulations and Consent Orders

Current through Register Vol. 46, No. 28, July 10, 2024
(a) At any time
				prior to issuance of a board determination, parties may enter a stipulation for
				the resolution of any or all issues.
(b) The office may issue a consent order upon
				agreement or stipulation of the parties. A consent order shall have the same
				force and effect as an order issued after a hearing.
(c) As a condition for the settlement of all
				charges and potential charges, a licensee, who is under investigation or
				against whom a decision has been made that a hearing is warranted, shall, at
				any time after service of the notice of hearing and statement of charges:
(1) admit guilt to at least one of the acts
				of misconduct alleged,
(2) agree
				not to contest the allegations, and
(3) assert that they cannot successfully
				defend against at least one of the acts of misconduct alleged and shall either
				surrender their license or agree to a penalty.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.19 - Administrative Law Judge's Decision

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The
				administrative law judge shall prepare the decision which shall include the
				administrative law judge's findings of facts, legal conclusions, and a penalty,
				if any, and shall submit it to all parties and the board.
(b) The fact that an administrative law
				judge's rulings, decisions or other actions favor or disfavor the office, or
				any other party shall not be considered in establishing the administrative law
				judge's salary, promotion, benefits, working conditions, case assignments or
				opportunities for employment or promotion, and shall not be the cause of any
				disciplinary proceedings, removal, reassignment, reclassification, or
				relocation. There shall not be established any quotas or similar expectations
				for any administrative law judge that relate in any way to whether the
				administrative law judge's rulings, decisions or other actions favor or
				disfavor the office. The work of the administrative law judge shall be
				evaluated only on the following general areas of performance: competence,
				objectivity, fairness, productivity, diligence and temperament.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.20 - Filing of Exceptions to Administrative Law Judge's Decision

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Within
				thirty (30) days of the date a copy of the decision of the administrative law
				judge is sent to all parties, any party may submit exceptions to the decision
				for review by the board. If a party elects to submit such an exception, it must
				be submitted electronically in a document not to exceed ten (10) pages and must
				be single spaced and typed in a times new roman, 12-point font, unless approval
				has been given by the office to submit the exception in another
				manner.
(b) The exceptions may
				include:
(1) the administrative law judge's
				findings of fact, conclusions of law, penalty, or disposition with which the
				party disagrees, the reasons for disagreement and a substitute finding,
				conclusion or disposition;
(2)
				general comments on the appropriateness of the decision; and
(3) an alternative proposed decision for
				consideration by the board.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.21 - Determination of the Board

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The board
				shall be responsible for issuing determinations after review of decision issued
				by administrative law judges if an exception to the decision has been taken,
				provided, however, that the board may delegate such authority to the board's
				designee.
(b) Within one
				hundred-twenty (120) days after the issuance of the administrative law judge's
				decision, the board or its delegee shall issue a determination.
(c) The board's determination shall be
				embodied in a written order containing the reasons in support of the
				determination. The board in its sole discretion may engage outside assistance
				in the review of facts and law pertaining to any case before it.
(d) The drafting of the determination may be
				delegated to a designee who has had no prior involvement with respect to the
				matter.
(e) The board's
				determination may incorporate by reference, or reject, the administrative law
				judge's determination in whole or in part. The board shall consider all
				parties' exceptions submitted in response to the administrative law judge's
				decision but is not required to respond to these submissions.
(f) The board determination shall include,
				but not be limited to, the following:
(1) a
				statement of reasons including decisions of each issue of fact or law necessary
				to the determination;
(2) any
				disciplinary actions, sanctions, or penalty or an informal disposition of the
				matter;
(3) the board's
				determination shall be supported by at least a majority of the members deciding
				the matter;
(4) the board's
				determination constitutes a final agency determination; and
(5) the board or a delegee of the board shall
				electronically mail a copy of the determination to each licensee or their
				attorneys of record and, upon written request, shall mail a copy of the
				determination to each licensee or their attorneys of record.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.22 - Appeal of the Determination of the Board

Current through Register Vol. 46, No. 28, July 10, 2024
All parties shall have the right to appeal the determination
				  of the board by the commencement of an Article 78 Proceeding.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 133 - Violations, Hearings, and Enforcement › Section 133.24 - Severability

Current through Register Vol. 46, No. 28, July 10, 2024
If any provision of this Part or its application to any
				  particular person or circumstance is held invalid, the remainder of this Part
				  and its application to other persons and circumstances shall not be affected
				  thereby.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 135 - Overtime Compensation › Section 135.0 - Statement of policy

Current through Register Vol. 46, No. 28, July 10, 2024
Consistent with the provisions of chapter 615 of the Laws of
				  1967 and the applicable provisions of the Federal Fair Labor Standards Act,
				  officers and employees of the State, except those who serve in positions
				  excluded from coverage under section
				  135.2, shall receive compensation
				  for work performed in excess of 40 hours per week at a rate equal to one and
				  one-half times their hourly rate of pay as provided in section
				  135.8. It is the policy of the
				  State that overtime work be held to a minimum consistent with the needs and
				  requirements of sound and orderly administration of State government. The State
				  requires supervisors to hold overtime work to such a minimum by the proper
				  scheduling and assignment of activities, simplification of work processes and
				  requiring compliance with realistic standards of performance.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 135 - Overtime Compensation › Section 135.1 - Definitions

Current through Register Vol. 46, No. 28, July 10, 2024
Wherever used in this Part:
(a) A workweek shall mean a regularly
				recurring period of 168 hours in the form of seven consecutive 24-hour periods.
				A workweek need not coincide with the calendar week--it may begin any day of
				the week and any hour of the day. Each workweek stands alone. Once fixed,
				however, it must remain the same unless any change is intended to be
				permanent.
(b) Except in section
				135.11, overtime shall mean only
				hours worked in excess of 40 hours in any workweek by an eligible officer or
				employee. As used in section
				135.11, such term shall also
				include, in the case of an eligible officer or employee whose basic work
				schedule is less than 40 hours per week, hours worked in excess of 37 1/2 hours
				but not in excess of 40 hours in a workweek.
(c) An eligible officer or employee shall
				mean any officer or employee who is not deemed ineligible to earn overtime pay,
				as provided under section
				135.2.
(d) Scheduled overtime shall mean overtime
				which is susceptible to scheduling and approval in advance of need.
(e) Unscheduled overtime shall mean overtime
				which is necessitated by emergency conditions which cannot be anticipated in
				advance.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 135 - Overtime Compensation › Section 135.2 - Exclusions

Current through Register Vol. 46, No. 28, July 10, 2024
Officers and employees in positions or types of positions
				  meeting the following criteria shall not be eligible to earn overtime
				  pay:
(a) The head of every department,
				institution or other State agency and the head and members of boards and
				commissions.
(b) Deputies of
				principal executive officers.
(c)
				Administrative and staff personnel. This group includes those officers and
				employees in grade 15 and above and officers and employees in unallocated
				positions paid a salary equal to or in excess of that paid for the minimum of
				grade 15:
(1) whose primary duty consists of
				the management of a bureau, division or major subdivision of a department or
				agency; or
(2) who are in charge of
				independent offices or physically separated branches; or
(3) whose primary duty consists of
				administrative or staff work not performed under close and proximate
				supervision.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 135 - Overtime Compensation › Section 135.3 - Determination of eligibility and ineligibility

Current through Register Vol. 46, No. 28, July 10, 2024
Each appointing officer shall submit to the Director of the
				  Budget, for review and approval, a list of all titles in his department or
				  agency, indicating those titles proposed to be ineligible to earn overtime pay.
				  When some, but not all, of the positions in a title are proposed to be
				  ineligible, all the positions in such title shall be enumerated, indicating
				  those proposed for ineligibility. The Director of the Budget shall make the
				  final determination of which titles and positions shall be ineligible to earn
				  overtime pay[FN*] and shall file certificates listing such titles and positions
				  with the Department of Audit and Control, the Department of Civil Service, the
				  Senate Finance Committee, the Assembly Ways and Means Committee and the
				  affected department or agency. Such lists may be revised from time to time by
				  the Director of the Budget upon filing of revised certificates. Each appointing
				  officer shall be responsible for keeping officers and employees in his
				  department or agency informed as to their eligibility status to earn overtime
				  pay.
[FN*] See Appendix C-1 for list of titles and positions
				  ineligible to earn overtime credits.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 135 - Overtime Compensation › Section 135.5 - Determination of overtime earned

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Total hours worked shall include all the time worked by an officer or employee
				when required to be on duty or at a prescribed workplace and shall exclude all
				absences from duty and all time allowed for meals. For purposes of computing
				total hours worked in a week, time during which an officer or employee is
				excused from work because of holidays, sick leave at full pay, vacation,
				personal leave, compensatory time off or other leave at full pay shall be
				considered as time worked by the officer or employee. An eligible member of the
				security services unit authorized and scheduled to assemble for briefing prior
				to his tour of duty shall be considered to be on duty during time spent in each
				such briefing in excess of 10 minutes. Compensatory time off granted in the
				same workweek in which it is earned, except compensatory time off granted in
				lieu of a holiday worked in such workweek, does not add to the total hours
				worked and is not to be construed as time worked by an officer or
				employee.
(b)
(1) Each time an employee is recalled to work
				overtime after having completed his scheduled work period and left his schedule
				work station, he shall be considered to have worked, for the purpose of
				computing overtime credits, a minimum of one-half day provided, however, that
				an employee in the security services unit, as established pursuant to article
				14 of the Civil Service Law, so recalled as a result of a riot, prison break,
				fire or escape and not put to work shall be guaranteed one-quarter day's credit
				for the purpose of computing overtime compensation. If an employee entitled to
				a minimum of one-half day of overtime credits works such overtime for more than
				one-half day, the total time worked shall be used in computing the total hours
				worked.
(2) Each time an eligible
				member of the State police is scheduled and authorized to return and returns to
				duty to work overtime for the purpose of making an appearance in court after
				completing his regularly scheduled work period and leaving his regularly
				scheduled work station, he shall be considered to have worked, for the purpose
				of computing overtime credits, a minimum of two hours. If such employee works
				such overtime for more than two hours, the total time worked shall be used in
				computing the total hours worked.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 135 - Overtime Compensation › Section 135.6 - Payment for overtime

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Unscheduled overtime shall be compensated in cash without the prior
				authorization and approval of the Director of the Budget.
(b) Scheduled overtime shall be compensated
				in cash only after prior authorization and approval by the Director of the
				Budget of requests for approval of cash payment made pursuant to section
				135.7.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 135 - Overtime Compensation › Section 135.7 - Requests for approval of cash payment

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Requests for approval of cash payment for
				scheduled overtime shall be made in writing to the Director of the Budget by
				the appointing officer of a department or other agency, or his duly authorized
				representative, not less than five workdays prior to the date such overtime is
				to start.
(b) All such requests
				shall furnish the following information:
(1)
				the titles of the positions for which payment of overtime compensation is
				requested and the number of hours of overtime per week requested for each
				title;
(2) the number of vacant
				positions with the same titles as those for which payment of overtime
				compensation is requested, excluding positions filled on a temporary
				basis;
(3) the reasons for
				requiring overtime and the period to be covered.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 135 - Overtime Compensation › Section 135.8 - Computation of cash compensation

Current through Register Vol. 46, No. 28, July 10, 2024
Payment for overtime shall be computed in the following
				  manner:
(a) If an officer or employee
				works overtime in his regular position or title or in a position the title of
				which is allocated to the same salary grade as his regular position, he shall
				be compensated for work in excess of 40 hours at one and one-half times the
				regular hourly rate of pay.
(b)
				When the overtime is worked in a position allocated to a salary grade lower
				than the officer's or employee's regular position, he shall be compensated for
				work in excess of 40 hours at one and one-half times the hourly rate of pay of
				the maximum salary of the lower position plus such longevity increments to
				which he would otherwise be entitled were he in such lower grade position, but
				in no event in excess of one and one-half times the hourly rate of pay of his
				regular position.
(c) When the
				overtime is worked in a position which is allocated to a higher salary grade
				than the grade of the officer's or employee's regular position, he shall be
				compensated for work in excess of 40 hours at one and one-half times the hourly
				rate of compensation he would be entitled to if he were permanently promoted to
				the higher position.
(d) The hourly
				rate of compensation shall be determined by dividing the basic annual rate of
				compensation plus any additional compensation payable because of the location
				of employment or because work is performed between 6 p.m. and 6 a.m. by 2,000.
				The hourly rate of compensation for per diem employees shall be determined by
				dividing the per diem rate by eight.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 135 - Overtime Compensation › Section 135.9 - Time of payment of cash compensation

Current through Register Vol. 46, No. 28, July 10, 2024
When cash payment for scheduled overtime has been approved by
				  the Director of the Budget, officers and employees shall be paid for such
				  overtime compensation in excess of 40 hours per week by the close of the second
				  bi-weekly payroll period following the period during which the overtime is
				  earned.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle C - Division of the Budget › Part 135 - Overtime Compensation › Section 135.10 - Certificates of approval for cash compensation

Current through Register Vol. 46, No. 28, July 10, 2024
The Director of the Budget shall file certificates of
				  approval for cash compensation for scheduled overtime with the Department of
				  Audit and Control, the Department of Civil Service, the Senate Finance
				  Committee and the Assembly Ways and Means Committee.