9 NYCRR Part 54 - Executive Department

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Source version current through Jul 31, 2022

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

9 NYCRR 54.1 - Commencement of proceedings

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 31, 2022
Related Register notice: LQR-36-21-00002-A · Adopted rule
Related notice published: Mar 9, 2022
Related notice effective date: Mar 9, 2022

(a)Disciplinary proceedings shall be commenced by serving a notice of pleading on the licensee. Such notice shall be deemed to have been duly served if:

(1)sent by registered or certified mail to the licensee addressed to the licensed premises and a copy thereof sent by first class mail to the residence of record of the licensee or of any officer or director of a corporate licensee, or any general partner of a partnership licensee; or

(2)transmitted by electronic means to the licensee to the email address currently on file with the authority for the licensee, with the subject matter for such transmission indicating that it is related to a State Liquor Authority disciplinary proceeding. For purposes of this part, electronic means is any method of transmission of information, between computers or other devices, designed for the purpose of sending and receiving such transmissions and which allows the recipient to reproduce the information transmitted in a tangible medium of expression.

(b)Notices of pleading shall:

(1)indicate whether the proceedings may result in revocation or cancellation of the license (“revocation proceedings”), or in a penalty other than revocation or cancellation of the license (“suspension proceedings”);

(2)set forth numbered charges against the licensee, each relating, insofar as possible, to separate violations or causes for revocation or suspension;

(3)require the licensee to plead to the charges on or before a specified date;

(4)advise the licensee of its right to be represented by counsel; and

(5)advise the licensee that upon its failure to appear or enter a plea, it shall be deemed to have pleaded “no contest” to the charges and no further hearing shall be held.

(c)Notices of pleading in suspension proceedings shall, in addition to the matters set forth in subdivision (b) of this Part:

(1)set forth the maximum penalty, including a fine and/or any claim against the licensee's penal bond, which the authority may assess if the charges are sustained; and

(2)advise the licensee that it may request that a bond forfeiture or fine be imposed in lieu of any suspension of its license, the granting of which request shall be within the discretion of the authority.

(d)In the case of revocation proceedings, a copy of the notice of pleading shall be sent by either first class mail or electronic means to the owner of the building in which the licensed premises are situated, as reflected in the files of the authority, at the last address or email address in the files of the authority of such owner. Where the application for the license for the current period has indicated that the licensee occupies such premises under a written lease from a person other than such owner, a further copy shall be sent by either first class mail or electronic means to such lessor at its address or email address as set forth in the files of the authority.

9 NYCRR 54.2 - Pleading procedure

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 31, 2022
Related Register notice: LQR-36-21-00002-A · Adopted rule
Related notice published: Mar 9, 2022
Related notice effective date: Mar 9, 2022

(a)After a disciplinary proceeding has been commenced, the licensee shall be afforded an opportunity to plead either “not guilty” or “no contest” to the charges on or before a scheduled date. If the licensee pleads “not guilty,” a hearing shall be scheduled. If the licensee pleads “no contest,” the charges shall be deemed sustained, and no further hearing shall be held. A licensee may plead “no contest” at any time prior to the close of a hearing.

(b)Failure of a licensee to plead on or before the pleading date shall be deemed a plea of “no contest,” and no further hearing shall be held.

(c)The licensee may plead to the charges by mail or by delivering the licensee’s plea by electronic means to the email address designated in the pleading, or by posting the licensee’s plea to an active online portal provided by the State Liquor Authority for the licensee’s account. In order to plead “not guilty” to the charges by mail or by email, a letter signed by the licensee or its attorney setting forth the plea must be received by the authority on or before the scheduled date. In order to plead “not guilty” to the charges by posting to the portal, an authorized posting must be made on the portal on or before the scheduled date.

9 NYCRR 54.3 - Hearing procedure

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 31, 2022
Related Register notice: LQR-36-21-00002-A · Adopted rule
Related notice published: Mar 9, 2022
Related notice effective date: Mar 9, 2022

(a)The notice of hearing shall set forth the date and time at which the hearing is scheduled to be held. Upon licensee's failure to appear at the hearing or any adjournment thereof, he shall be deemed to have pleaded “no contest,” the charges shall be deemed sustained, and no further hearing shall be held.

(b)A notice of hearing shall be deemed to have been duly served if:

(1)sent by first class mail to the licensee addressed to the licensed premises and a copy thereof by first class mail to the residence of record of the licensee or of any officer or director of a corporate licensee, or any general partner of a partnership licensee; or

(2)transmitted by electronic means to the licensee and, if applicable, the licensee’s attorney or authorized representative.

(c)Any person who is entitled to notice pursuant to this rule may appear and be heard in peson or by duly appointed representative and may produce, under oath, evidence relevant and material to the charges preferred.

(d)A licensee may be represented by an attorney who is a member in good standing of the Bar of the State of New York. Such attorney shall provide the authority with an email address for the purpose of service of papers related to the proceeding.

(e)Any person appearing before the authority in a representative capacity may be required to show his or her authority to act in such capacity. Such representative shall provide the authority with an email address for the purpose of service of papers related to the proceeding.

(f)No application for adjournment of a hearing shall be granted except for good cause shown, and if such adjournment is sought upon the grounds that licensee's attorney is actually engaged in a court of record, upon the presentation of an affidavit of actual engagement by such attorney.

(g)Upon granting any adjournment, the hearing officer may direct that the matter be set down peremptorily against the licensee, in which event the licensee shall be notified that it shall not be entitled to any further adjournment.

(h)Any licensee desiring to subpoena a witness may do so in the name of the Chairman of the State Liquor Authority and in the manner provided for subpoenas in the New York Civil Practice Law and Rules. If evidence other than oral testimony is required, such as documents or written data, the subpoena shall set forth the specific matter to be produced.

9 NYCRR 54.4 - Conduct of hearings

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 31, 2022

(a)Hearings shall be conducted by a member of the authority or any employee of the authority duly designated by the authority to hold hearings, who shall be known as the administrative law judge. The administrative law judge shall rule upon matters of procedure and introduction of evidence, and shall conduct the hearing in such manner as, in his discretion, will best serve the attainment of justice. Wherever the term hearing officer appears in the rules of the authority in connection with disciplinary proceedings, it shall be deemed to mean and to refer to the administrative law judge.

(b)

(1)The order of proof in hearings before the authority shall be as follows:

(i)testimony by the witness or witnesses in support of the charges preferred against the licensee;

(ii)cross-examination of such witnesses;

(iii)testimony by the licensee or his witnesses in defense and explanation; and

(iv)cross-examination of the licensee and witnesses.

The hearing officer may, in his discretion, change the order of proof where the circumstances so warrant.

(2)Objections may be taken to the rulings of the hearing officer with the reasons for such objections, but will not be deemed to have been made unless duly noted in the record.

(3)Motions to dismiss may be made at the option of the licensee or his attorney, but are not required and will not be deemed to be necessary to protect any right of the licensee.

(4)The hearing officer shall have no power to grant any motion to dismiss any of the charges or to the effect that the authority has failed to establish a prima facie case.

(c)

(1)The rules of evidence governing proceedings in the courts of this State shall not be rigidly enforced in hearings before the authority. Unless objection is made and duly noted in the record, all evidence appearing in the record shall be deemed to have been validly introduced for the consideration of the authority.

(2)The introduction of cumulative evidence shall be avoided and the hearing officer may curtail the testimony of any witness which he judges to be merely cumulative; however, the party offering such testimony may make a short avowal of the testimony which would be given and if the witness asserts that such avowal is true, this avowal shall be made part of the record.

(3)Upon the due application to the authority prior to its determination, the authority may, in its discretion, reopen the hearing for the presentation of new or additional evidence. Such application must set forth concisely the nature of this additional evidence. The authority may, on its own motion, reopen a hearing for the presentation of additional evidence.

(d)The hearing officer or the attorney for the authority may amend the notice of pleading at any time before the close of the hearing or prior to a determination by the authority. If the licensee requests an adjournment based upon such amendment, the hearing officer may, in his discretion, grant such adjournment in the interest of justice when a party to such proceeding was surprised by such amendment without fault on his part.

(e)Parties may, by agreement, stipulate as to any facts involved in the proceedings, provided that such stipulation is duly noted in the record.

(f)Oral argument may be made only before the hearing officer. Such oral argument may be curtailed or limited by the hearing officer in his discretion and is to be included in the record.

(g)After the conclusion of the hearing, the hearing officer shall make, in writing, his findings as to whether the evidence sustained the charges, or any of them, preferred against the licensee, shall designate which charges he has found sustained by the evidence, and shall, at his option, recommend to the authority the action to be taken against the licensee. A copy of such report shall be served on the licensee or his attorney by first class mail prior to submission of such report to the authority, provided a request therefor is made on the record at the hearing. The report, when served, shall be accompanied by a statement in writing advising that the recipient may controvert any of the findings contained therein within the time limited in such statement. The record shall be referred, together with the hearing officer's report and any statement controverting the findings contained therein, for due consideration and appraisal by the authority at a meeting duly held by it.

(h)Subject to the supervision and control of the authority, in all cases where the licensee has pleaded “no contest” to the charge or charges, the hearing officer shall summarize the facts of the case and shall recommend the penalty to be imposed by the authority.

(i)In the event of a hearing officer's death, resignation, removal, termination of employment, disability, or his inability or failure to make his written report and findings within 30 days after the completion of the hearing, the chairman of the authority may direct that all of the evidence taken at the hearing shall be submitted to the members of the authority at a regular meeting. After consideration thereof, the members of the authority shall make proposed written findings and mail a copy thereof to the licensee or his attorney and afford him an opportunity to controvert, in writing, any of the proposed findings contained therein. Thereafter, after due consideration of all of the foregoing, including any statement in controversion submitted by the licensee, the authority shall make final written findings and assess such penalty as may be deemed appropriate.

9 NYCRR 54.5 - Record

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 31, 2022

(a)Within the contemplation of this rule, or whenever mentioned herein, the term record shall mean: (1) the stenographic notes taken in the hearing by a stenographic reporter, including the transcribed minutes thereof, or (2) the testimony and other evidence taken at the hearing as recorded by electronic recording equipment or the transcription thereof. The record shall be kept in the room and available or the use of the members of the authority at the time a determination of such proceeding or hearing is being made by them. The record, including all exhibits, shall be kept by the authority in the license folder or other designated place for a minimum period of five months after written notification of the authority's determination is served upon the licensee.

(b)Upon application made by a licensee or his agent, a copy of the transcribed record of the hearing shall be furnished to such person upon payment of the prevailing charges. Where the record has been transcribed, the prevailing charges shall be $1 per page. Where the record has not been transcribed and it is the intention of the authority not to transcribe the record at the time of the application, the prevailing charges shall be the entire cost to the authority of transcribing the record of the hearing or so much thereof as the licensee requests.

9 NYCRR 54.6 - Penalties after hearing

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 31, 2022
Related Register notice: LQR-36-21-00002-A · Adopted rule
Related notice published: Mar 9, 2022
Related notice effective date: Mar 9, 2022

(a)After charges have been sustained in a revocation proceeding, the authority may direct revocation, cancellation or suspension of the license, including a fine and/or bond forfeiture, or impose any other penalty warranted by the facts.

(b)After charges have been sustained in a suspension proceeding, the authority may direct suspension of the license for a duration not to exceed the maximum period set forth in the notice of pleading, and may impose a fine and/or bond forfeiture to the extent, if any, also set forth therein.

(c)A copy of a notice of disposition of the proceeding, along with any order of suspension, cancellation or revocation, shall be served on the licensee and, if applicable, the licensee’s attorney or representative, by electronic means.

9 NYCRR 54.7 - Revocation, cancellation or suspension orders - extension of effective date

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 31, 2022

(a)Each order of revocation, cancellation or suspension of a license shall become effective immediately upon service of the order, or on such other date specified therein.

(b)The effective date of an order of revocation or cancellation of a license may be extended by a member of the authority, the chief executive officer or counsel to the authority for good cause shown, for a period not to extend beyond the date following the next succeeding meeting of the members of the authority, at which time a report thereon shall be made.

(c)The effective date of a suspension order may be extended by a member of the authority, chief executive officer, counsel or secretary to the authority for a period not exceeding 30 days.

(d)A liquidator's permit under section 99-b of the Alcoholic Beverage Control Law shall be issued to such revoked or cancelled licensee, on application therefor, to sell his entire stock of alcoholic beverages to other licensees.

9 NYCRR 54.8 - Service of suspension orders

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 31, 2022

(a)Whenever the autority directs the suspension of a license, the order of suspension shall be publicly displayed in the licensed premises in the following manner. If there is a door opening from the street into the licensed premises and a window facing the street upon which such door opens, such order shall be displayed in such window so that it may be readily seen from the street. If the licensed premises are otherwise located, such order shall be affixed to the door of the entrance to the premises.

(b)The order of suspension shall be affixed to the window or door of the licensed premises by a representative of the authority at the commencement of the suspension period and shall remain so affixed throughout the entire period of suspension. The removal, covering, defacement or obliteration of the order of suspension or the failure to maintain the order of suspension in the manner and place, as affixed by the authority's representative, prior to the expiration of the suspension period, shall be deemed the act of the licensee and shall constitute cause for the suspension, cancallation or revocation of the license.