12/29/10 N.Y. St. Reg. Adjudicatory Reports
DEPARTMENT OF STATE
Administrative Adjudication Plan Biennial Report for December 1, 2008 to December 1, 2010 [pursuant to Executive Order No. 9 of Governor David A. Paterson (9 NYCRR Section 7.9), Executive Order No. 5 of Governor Eliot Spitzer (9 NYCRR Section 6.5), Executive Order No. 3 of Governor George E. Pataki (9 NYCRR Section 5.3), and Executive Order No. 131 of Governor Mario M. Cuomo (9 NYCRR Section 4.131)] December 1, 2010
The Office of Administrative Hearings (OAH) conducts quasi-judicial administrative hearings for occupations regulated by the Department of State (DOS). All adjudications are governed by applicable licensing statutes; the State Administrative Procedure Act; Part 400 of Title 19 of the Official Compilation of Codes, Rules and Regulations of the State of New York; the Executive Orders of Governors Paterson, Spitzer, Pataki, and Cuomo noted above; and the Administrative Adjudication Plan submitted by the Department in compliance with these Executive Orders.
Provisions of 19 NYCRR Part 400 create the OAH as an independent unit in New York City and Albany that is physically separate from the offices of other Department of State divisions that appear as parties in adjudicatory matters before the OAH; govern communications with and discipline of administrative law judges (ALJs); and establish the procedure under which administrative law judges issue final decisions. Part 400 also provides ALJs with authority to issue final decisions without prior review or approval by the Secretary of State or his/her designee. These final decisions are appealable to the Secretary of State by any party to a proceeding (applicant, licensee or a division of the Department of State). Judicial review of a decision of the Secretary of State to the New York State Supreme Court is available under provisions of Article 78 of the CPLR. ALJs report to the Secretary of State or his/her designee.
Attorneys assigned as prosecutors for the Department are located in Albany and New York City and report to the General Counsel. Review of the merits of a case and the decision whether to prosecute takes place in a consultative process that involves attorneys and program staff. Prosecuting attorneys and ALJs of the Department of State are forbidden by regulation to engage in ex parte communications about the merits of a matter being adjudicated.
The Department has simplified its procedure for the adjudication of less complex cases. In such cases, non-lawyer supervisory employees represent the Division of Licensing Services before the OAH. Licensees usually represent themselves in this process. This process quickly and fairly disposes of many cases that involve minor violations of the licensing laws.
During the reporting period, the OAH held 2523 hearings and issued 2354 decisions. The decisions in these hearings resulted in eleven Article 78 proceedings. Seven of these proceedings were either settled or resolved in the Department's favor. Of the other four proceedings, three are still pending and have not been decided, and one has been abandoned.
