Coat of Arms

Manual for
Administrative Law Judges
and Hearing Officers



ACKNOWLEDGMENT

The New York State Department of Civil Service wishes to extend their many thanks and deep gratitude to the Government Law Center of Albany Law School for their dedication, commitment and exemplary work. The guidance and legal expertise they provided in the review and drafting of this Manual have resulted in a product that will greatly benefit and enhance the role of administrative law judges in New York State. Their efforts exemplify the very best in public service.

Revisions to Manual

Chapter 8: The Freedom of Information Law (FOIL), p. 177

NOTE: This section was current as of July 1, 2001. The Freedom of Inforamtion Law was materially revised by Chapter 22 of the Laws of 2005. Readers are advised to consult the official compilations of such Law in either printed or electronic format.

Appendix E: State Administrative Procedure Act, page 325

NOTE: This section was current as of July 1, 2001 and has been included as a guide for reference purposes only. The State Administrative Procedure Act (SAPA) remains subject to frequent revision. Readers are advised to consult the official compiliations of such Act in either printed or electronic format.

Page 435

World Wide Web

Each of the States listed below maintain their own home pages which allow viewers to visit the executive, judicial or legislative branches of government. Many of the States provide a list of agencies on the Web, along with bill tracking features and a search function to locate specific governmental information.

The information below, was accurate as of July 1, 2001. Web pages are updated frequently; viewers are encouraged to explore State Web sites or utilize the key work seach capabilities or popular Internet search engines.

Page 442

32. New York, This site provides access to agencies that conduct hearings and to agency regulations. The Division of Administrative Rules of the New York State Department of State also furnishes useful information regarding the State Administrative Procedure Act and rulemaking in New York.

http://www.ny.gov/
http://www.dos.ny.gov/

Table of Contents

Foreword  
 

Author Biographies
Advisory Review Committee

Chapter 1: Introduction to Administrative Law  
 

Agency Functions
Sources of Legal Obligations of Agencies

 

The Constitution
State Administrative Procedure Act

 

Article 1
Article 2
Article 3
Article 4
Article 5

 

Other Statutes
Agency Specific Statutes and Regulations

Chapter 2: The Administrative Law Judge  
 

Qualifications

 

General Qualifications
Administrative Law Judges
Hearing Officer
Per Diem Hearing Officer
Judicial Qualifications

 

Powers and Responsibilities

 

General Authority
Impartial Hearings
Neutrality
Judicial Attitude, Behavior and Demeanor

 

Judicial Independence

 

Relations with Administrative Personnel of Agency

 

Ex Parte Communications

 

Adjudicatory Proceedings
Rulemaking

 

Ethics

 

The Code of Judicial Conduct
Codes of Conduct for Administrative Law Judges/Hearing Officers
Adoption of Agency Codes
Other Laws Restricting Activities of ALJs and Hearing Officers
Continuing Education and Training

Chapter 3: Due Process of Law  
 

Introduction
Individualized Proceedings
Property Interests
Liberty Interests
Required Procedures
Specific Procedures

 

Notice
Right to Counsel
Pre-hearing Disclosure or Discovery
Cross-Examination
Official Notice
Burden of Proof
Neutral Decisionmaker
Delay
Statement of Decision

Chapter 4: Pre-hearing Considerations  
 

Introduction
Disclosure

 

Subpoenas
File Inspection

 

Pre-hearing Conferences
Preparation for the Hearing

 

Physical Aspects

 

Time and Placeof Hearing
Physical Accessibility

 

Adjournments

 

Technology

 

Telephones and Conference Calls
Video-conferencing
Fax Machines
E-mail

Chapter 5: Conduct of the Hearing  
 

Generally
Commencement of the Hearing

 

Before the Hearing is Called to Order
Opening the Hearing
Opening Statements

 

Non-appearance of Party
Presentation of Proof

 

Order of Proof
Mode of Proof
Stipulations
Variance of Order

 

Subpoenas
Receipt of Testimony

 

Oaths and Affirmations
Interpreters
The Taking of Testimony
Cross-Examination
Use of Affidavits
Questioning by the ALJ
Receipt of Exhibits
Evidentiary Objections and Rulings

 

Maintaining Order and Decorum
Dealing with Unrepresented Parties
Recesses and Adjournments
Concluding the Hearing
The Record

 

Completeness
Clarifying the Record
Off the Record
Transcript of Records

Chapter 6: The Decision  
 

Generally
Substantial Evidence
Content of the Decision

 

Overview
Decisional Requirements
Preparing to Write the Decision
Writing Well and Good Writing
Elements of the Decision

 

Introductory Procedural Statement
Introductory Substantive Statement
Statement of Issues
Findings of Fact and Conclusions of Law/Reasons: An Introduction
Findings of Fact
Conclusions of Law or Reasons for Decision
Conclusion(s)

 

Notice of Decision
Pre-release Review of Decisions
Revised Decisions
Uniformity
Reopening on the Merits of the Case

 

Reopening on Default
Reopening on the Merits

Chapter 7: Alternative Dispute Resolution  
 

Introduction
Mediation
Arbitration
Neutrals: Qualifications and Training
Confidentiality
Intersection of ADR and Litigation Scheduling
Conclusion

Chapter 8: The Freedom of Information Law (FOIL)  
 

The Freedom of Information Law (FOIL) in Relation to the CPLR
Openness of Proceedings
Statutory Exemptions from Disclosure
Protection of Personal Privacy
Determinations and Recommendations
Presumption of Access
Fees for Copies

Appendices
 

Appendix A: Evidence
Appendix B: Integrating Mediation into the Administrative Process
Appendix C: List of Agency Hearing Regulations
Appendix D: Agency Codes of Ethics for ALJs
Appendix E: State Administrative Procedure Act
Appendix F: Bibliography of Books, Reports, Articles and World Wide Web Sites on Administrative Law



 

 

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