Coat of Arms

Manual for
Administrative Law Judges
and Hearing Officers


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.

Table of Contents


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  



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


Powers and Responsibilities


General Authority
Impartial Hearings
Judicial Attitude, Behavior and Demeanor


Judicial Independence


Relations with Administrative Personnel of Agency


Ex Parte Communications


Adjudicatory Proceedings




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  

Individualized Proceedings
Property Interests
Liberty Interests
Required Procedures
Specific Procedures


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

Chapter 4: Pre-hearing Considerations  



File Inspection


Pre-hearing Conferences
Preparation for the Hearing


Physical Aspects


Time and Placeof Hearing
Physical Accessibility






Telephones and Conference Calls
Fax Machines

Chapter 5: Conduct of the Hearing  

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
Variance of Order


Receipt of Testimony


Oaths and Affirmations
The Taking of Testimony
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


Clarifying the Record
Off the Record
Transcript of Records

Chapter 6: The Decision  

Substantial Evidence
Content of the Decision


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


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


Reopening on Default
Reopening on the Merits

Chapter 7: Alternative Dispute Resolution  

Neutrals: Qualifications and Training
Intersection of ADR and Litigation Scheduling

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


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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