9 NYCRR Part 479 - Executive Department

Title 9 is open to everyone.

Ask LawEngine about the NYCRR →Create a free account →All 23 titles. No credit card required.

Source version current through Aug 15, 2022

All 14 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.

9 NYCRR 479.1 - Reports of accusations

Later State Register activity may affect this section.

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Aug 15, 2022

Whenever accusations are made by any person, or information is received, that a member has violated any rule, regulation, instruction or order of the New York State Police, the member receiving such accusation or information shall make an official record of its receipt and immediately, by telephone, notify appropriate troop or detail commander or, if he is not available, the acting troop or detail commander. The troop or detail commander will thereafter notify the chief inspector at division headquarters. Every such accusation or information shall be thoroughly investigated, in order to protect the accused member, the division, and the people of the State of New York, and all such investigations shall be handled in accordance with current written division instructions outlining the procedure for reporting and investigating complaints against personnel. A written report shall be prepared without delay in accordance with division instructions. The report shall, whenever possible, include written statements of the complainant or complainants, written statements of witnesses interviewed, and a full and complete written statement of the accused member.

9 NYCRR 479.2 - Disposition by troop or detail commander

Later State Register activity may affect this section.

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Aug 15, 2022

The troop or detail commander may dispose of the matter by:

(a)A determination that no action is warranted and that the matter is closed. The commander will so inform the accused member, in writing, and thereafter shall forward the complete report, together with his final adjudication, to the superintendent.

(b)A determination that, in his judgment, the penalties which he can impose as a troop or detail commander would not be adequate punishment for any violation of the rules, regulations, instructions or orders as reported to him. Upon such determination, the commander shall forward the complete report to the superintendent.

(c)A determination that, in his judgment, the penalties which he can impose as a troop or detail commander will be adequate punishment for any proven violation of the rules, regulations, instructions or orders as reported to him. Upon such determination, the commander shall proceed as follows:

(1)The commander shall cause the accused member to appear before him, affording the member the right to be represented, if desired, and shall inform him of the following:

(i)the commander's decision to dispose of the matter;

(ii)the penalties that the commander can impose upon a finding of guilt, these penalties shall be limited to:

(a)a letter of censure; and/or

(b)an intra-troop transfer, with the consent of the accused member; and/or

(c)a fine to be expressed in the loss of no more than five vacation days to be worked by the member with no additional compensation or overtime; and/or

(d)a period of probation not exceeding 90 days (this probation must be for a definite period of time and must include conditions of probation that, if violated, could subject the member, without the right of a further inquiry or a hearing, to the imposition of any one or more of the penalties that can be imposed by the commander, and/or an intra-troop transfer, without the consent of the accused member);

(iii)the member's right to an informal inquiry, to be conducted by the troop or detail commander, resulting in an adjudication of both the question of guilt and of penalty, if any, to be imposed;

(iv)that the commander's adjudication after an inquiry will be final; and

(v)that if the member desires informal inquiry and adjudication by the commander, the member must execute in writing a consent to have the matter adjudicated by the commander and a waiver of any right of appeal from the commander's adjudication.

(2)If the accused member does not desire informal inquiry and adjudication by the commander or does not execute in writing such consent and waiver of right of appeal, the commander shall forward the complete report to the superintendent.

(3)Upon the execution of such consent and waiver by the accused member, the commander shall conduct an informal inquiry; thereafter he shall make a final adjudication to include a finding of any violations of the rules, regulations, instructions or orders sustained. If the commander finds that no violation is proven, the matter will be closed and the accused member will be so advised in writing. Upon a finding that the member is in violation of the rules, regulations, instructions or orders, the commander may impose any or all of the penalties which he can impose, as aforesaid, and will so advise the accused member. The commander shall forward a complete report to the superintendent.

9 NYCRR 479.3 - Disposition by superintendent

Later State Register activity may affect this section.

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Aug 15, 2022

When the superintendent receives a report involving accusations against a member that does not contain a final adjudication by the troop or detail commander, the superintendent may dispose of the matter by:

(a)a determination that no action is warranted and that the matter is closed. The troop or detail commander and the accused member will be so informed in writing; or

(b)a determination that the facts presented are sufficient and of such a nature as to warrant:

(1)a letter of censure; or

(2)a letter of censure and probation for a period not to exceed 90 days; in the event this action is taken, the troop or detail commander and the accused member shall be so informed in writing; or

(c)a determination that the allegations or accusations and facts presented are of such a nature that the charges should be prepared and served on the member in order that the matter may proceed to a hearing, if the accused member so desires; or

(d)a determination that the matter is of such a nature that it shall be referred to the first deputy superintendent with findings and penalty to be determined by him.

(1)If the findings of the first deputy superintendent are to the effect that the accused member is not guilty of the accusation or accusations alleged, the matter shall be closed and all parties in interest shall be promptly advised of this fact, in writing.

(2)If the findings of the first deputy superintendent are that there is reasonable cause to believe the accused member is guilty of the accusation or accusations alleged and that a penalty of:

(i)dismissal; or

(ii)suspension without pay for a period of time in excess of 30 days; and/or

(iii)reduction in permanent rank would be recommended; the first deputy superintendent shall recommend to the superintendent that charges be prepared and served on the accused member.

(3)If the findings of the first deputy superintendent are that the accused member is guilty of the accusation or accusations alleged and where disciplinary action recommended does not involve:

(i)dismissal; or

(ii)suspension without pay for a period of 30 days; and/or

(iii)reduction in permanent rank; the accused shall be notified in writing by the first deputy superintendent and also orally by his troop or detail commander of the findings and of the penalty imposed.

9 NYCRR 479.4 - Options of accused member

Later State Register activity may affect this section.

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Aug 15, 2022

(a)The accused member may, of his own volition, accept the penalty imposed by the first deputy superintendent, advising his troop or detail commander orally of his decision to accept the penalty imposed and waiving his right to a formal hearing. This oral advisement shall be confirmed promptly by memorandum directed to the troop or detail commander, who shall forward it promptly to division headquarters.

(b)Should the accused member wish to have a formal hearing, he shall orally so inform his troop or detail commander; the penalty will not be imposed pending the outcome of the hearing. He shall further confirm this request by memorandum to his troop or detail commander within a period of three days after he is initially notified of the findings and penalty imposed. The troop or detail commander shall immediately forward this memorandum request to division headquarters; the findings of the first deputy superintendent and the penalty imposed shall be set aside by the superintendent; thereafter, charges will be prepared and served on the accused member. The findings and penalty recommended by the first deputy superintendent will not, in any way, be binding on the hearing board; the board shall reach an independent determination from the facts presented at the hearing.

9 NYCRR 479.5 - Preparation of charges

Later State Register activity may affect this section.

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Aug 15, 2022

If: the superintendent determines that charges should be prepared; or the accused member does not accept the penalty imposed as a result of the findings of the first deputy superintendent and requests a hearing; or the findings of the first deputy superintendent are that there is reasonable cause to believe the accused is guilty of the violation alleged and the penalty may involve dismissal or suspension without pay for a period in excess of 30 days, or reduction in permanent rank; and it is recommended by the first deputy superintendent that charges be filed, charges shall be prepared, reduced to writing, filed and served on the accused member within 10 days after the signing of such charges by the superintendent and shall include:

(a)the charge, indicating completely the law, or the rule, regulation, instruction or order which is alleged to have been violated;

(b)specifications setting out the information and/or facts substantiating the charge;

(c)the fact that disciplinary action may result in separation from the division either temporarily or permanently, or in reduction in permanent rank; and

(d)the names and addresses of persons preferring the charges or who are witnesses in the matter.

9 NYCRR 479.6 - Acknowledgment of charges by accused member

Later State Register activity may affect this section.

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Aug 15, 2022

The accused member will be directed to acknowledge, in writing, the receipt of the charges and the accused member may include in his acknowledgment an answer to the charges. If the accused member requests a formal hearing upon such charges, his request must be made to the superintendent, by memorandum, within eight days of the receipt of the charges. Upon receipt of this memorandum request for a formal hearing, the superintendent shall set a date, within 20 days after this request is received and give notice to the accused by memorandum. At any time prior to the hearing, the accused member may submit to the superintendent by memorandum:

(a)a plea of guilty, setting out any mitigating or extenuating circumstances and any facts which might tend to lessen the penalty; or

(b)a waiver of his right to such hearing.

9 NYCRR 479.7 - Hearing board

Later State Register activity may affect this section.

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Aug 15, 2022

(a)Hearings upon charges against an accused member will be conducted by a hearing board consisting of three commissioned officers designated by the superintendent.

(b)The presiding hearing officer, who shall be of the rank of staff inspector or above, and one other officer with a field assignment shall be named and designated by the superintendent.

(c)The third officer of the board may be named by the certified or recognized employee representative organization of any accused member and, if available, he will be designated by the superintendent. If the accused member is a commissioned officer, the designated third officer of the board shall be of equal or higher rank than that of the accused member.

(d)If, after designation as a member of a hearing board, any officer feels constrained to disqualify himself for cause, he shall so advise the superintendent and the superintendent may then designate a replacement.

(e)After designation, and prior to the hearing, designated hearing board officers shall refrain from acquainting themselves with any facts or circumstances involving the accused member or the subject matter of the hearing, except to review the pleadings.

(f)The members of the hearing board shall have no ex parte communications regarding the subject of the hearing with division counsel, division counsel staff, the accused member's attorney, or the member's union representative during the hearing. If the presiding officer wishes to consult with division counsel during the hearing, the communication shall be made in the presence of the assigned division attorney, the accused member's attorney, and the member's union representative. The assigned division attorney, the member's attorney, and the member's union representative may not participate in any discussion between the presiding officer and the division counsel.

9 NYCRR 479.8 - Hearing

Later State Register activity may affect this section.

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Aug 15, 2022

(a)At a hearing, the accused member shall have the right to be represented by counsel of his choice.

(b)The presiding hearing officer shall conduct the hearing and shall make all rulings upon the submission of evidence and motions.

(c)The decision of the hearing boarrd shall be the result of a majority vote and shall be expressed in written findings and recommendations, without reference to, or recording of the voting and without inclusion of a dissenting opinion. The hearing board shall make an independent decision and shall not be bound by any prior determination or recommendation.

(d)After the hearing board has concluded its deliberations and has submitted its findings, conclusions, and recommendations, in writing, to the superintendent, all officers of the hearing board shall refrain from any discussion of any fact or matter arising at the hearing or in the deliberations of the hearing board, unless the superintendent or counsel for the parties consult them in their capacity as officers of the hearing board.

(e)The accused shall be confronted by the witnesses against him, given a reasonable opportunity to hear their statements under oath and to cross-examine them, in person or by counsel.

(f)The defense counsel shall have an opportunity and shall be granted a reasonable time to obtain witnesses and other evidence necessary to a proper defense of the accused. Such reasonable time for such defense preparation should not extend the commencement of the hearing beyond 30 days.

(g)The hearing should be conducted in continuous sessions to a conclusion without adjournments, except at the discretion of the presiding hearing officer for an unusual cause beyond the control of the participants.

(h)The testimony at the hearing shall be recorded.

(i)At the conclusion of the hearing, the accused member may request to have the findings and recommendations of the hearing board submitted to the superintendent for his approval, and he may request to have the final decision of the superintendent rendered without the transcript of testimony. Such request shall be on-the-record and in writing, and it shall be restricted to a waiver of the requirement that the transcript of testimony be available to the superintendent before his final decision. If such accused member should subsequently petition for judicial review of the superintendent's decision, under article 78 of the Civil Practice Law and Rules (CPLR), he shall be furnished with a copy of the transcript of the testimony.

(j)On completion of the hearing, the charges, reports, record of proceedings (if transcribed) and the disposition of the hearing shall be filed as a permanent part of the personnel record of the accused member.

9 NYCRR 479.9 - Failure to request or to appear for hearing

Later State Register activity may affect this section.

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Aug 15, 2022

If the accused member fails to request a hearing within eight days after service of the charges upon him, or fails or refuses to appear for the hearing, or waives his right to such hearing, the superintendent may make findings and impose such disciplinary action as he deems proper. The officer commanding the troop or detail commander of the troop or detail to which the accused member is assigned shall be so notified and shall thereafter be responsible for the immediate notification of the accused member.

9 NYCRR 479.10 - Suspension pending hearing

Later State Register activity may affect this section.

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Aug 15, 2022

(a)Pending a hearing, an accused member may be suspended without pay:

(1)after charges have been filed against him; or

(2)immediately in an emergency situation where, in the judgment of the superintendent, the continued status of the member as a police officer may constitute a danger to himself or others, and/or the public interest may be seriously jeopardized. In this event, charges will be filed as soon as possible after suspension.

(b)The period of suspension without pay shall not exceed 30 days, unless:

(1)the hearing is delayed beyond 30 days by the accused member's action or that of his counsel; or

(2)unusual circumstances exist beyond the control of the superintendent that prevent filing of charges and/or the holding of a hearing within 30 days.

(c)The 30-day limit may be extended by the length of the delay or the duration of existing unusual circumstances.

9 NYCRR 479.11 - Resignation after charges have been served

Later State Register activity may affect this section.

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Aug 15, 2022

An accused member who resigns after charges have been served upon him shall not be entitled to compensation for vacation and/or overtime accruals, except as may be approved by the superintendent.

9 NYCRR 479.12 - Reinstatement

Later State Register activity may affect this section.

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Aug 15, 2022

An accused member who has been suspended pending a hearing and is found not guilty of the charges filed against him shall be entitled to be immediately reinstated to his position and to receive back-pay for the period he was suspended.

9 NYCRR 479.13 - Penalties

Later State Register activity may affect this section.

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Aug 15, 2022

If the accused member is found guilty of any of the charges, he shall not be entitled to back-pay for the period he was suspended, notwithstanding the fact that he has been restored to his position. Upon a finding of guilty on one or more charges, any of the following penalties may be imposed:

(a)reprimand and/or probation for a specific period not to exceed six months;

(b)fine not exceeding $100 that shall be deducted from the salary of the member and/or probation for a specific period not to exceed six months;

(c)a requirement that the member pay for property lost or damaged as a result of negligence of the member, not to exceed $100, and/or fine not exceeding $100, and/or probation for a specific period not to exceed six months, and/or suspension without pay for a period not to exceed 60 days;

(d)suspension without pay for a specific period not to exceed 60 days and/or probation for a specific period not to exceed six months from the time of his reinstatement. Whenever suspension without pay is the penalty or part of the penalty imposed, any period of time the member was under suspension without pay, pending the adjudication of his case, may be deducted from the total period of suspension provided for in the penalty;

(e)demotion in permanent rank with corresponding reduction in pay and/or probation for a specific period not to exceed six months; or

(f)dismissal.

9 NYCRR 479.14 - Applicability of this Part

Later State Register activity may affect this section.

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Aug 15, 2022

The provisions of this Part shall apply to all disciplinary actions commenced upon or after the date of approval by the Governor in accordance with subdivision 3 of section 215 of article 11 of the Executive Law and to all disciplinary actions commenced prior to such effective date but still pending on such date.

LawEngine makes the New York Codes, Rules and Regulations easier to find, read, and research.