Authorizes the commissioner of the NYC department of buildings to impose sanctions preventing a registered architect, licensed professional engineer or others found guilty of misconduct with respect to department applications from filing any documents with the department for up to two years; establishes a hearing panel and also provides for a hearing and an appeal process.
STATE OF NEW YORK
________________________________________________________________________
4827
2015-2016 Regular Sessions
IN ASSEMBLY
February 6, 2015
___________
Introduced by M. of A. CLARK -- read once and referred to the Committee
on Cities
AN ACT to amend the administrative code of the city of New York, in
relation to imposing administrative sanctions on registered archi-
tects, licensed professional engineers and other persons for miscon-
duct with respect to applications and other accompanying documents
submitted to the department of buildings of the city of New York
The People of the State of New York, represented in Senate and Assem-bly, do enact as follows:
1 Section 1. Subchapter 1 of chapter 1 of title 27 of the administrative
2 code of the city of New York is amended by adding a new article 27 to
3 read as follows:
4 ARTICLE 27
5 ADMINISTRATIVE SANCTIONS FOR MISCONDUCT WITH RESPECT TO THE
6 SUBMISSION OF APPLICATIONS AND OTHER ACCOMPANYING
7 DOCUMENTS TO THE DEPARTMENT
8 § 27-228.17 Administrative sanctions for misconduct with respect to
9 applications and other accompanying documents submitted to the depart-
10 ment. In addition to any other penalties provided under any other
11 provision of law, the commissioner may, during the period when sanctions
12 imposed under this article are in effect, refuse to accept or approve
13 any application, or other accompanying documents submitted pursuant to
14 any provision of this code, or in satisfaction of any of the require-
15 ments of any provision of this code for the approval of plans or the
16 issuance of a permit or a certificate of occupancy bearing the signature
17 of a registered architect, licensed professional engineer or other
18 person who has been found guilty under the procedures set forth in
19 section 27-228.18 of this article of any of the following acts:
20 a. making a false or misleading statement as to a material fact in a
21 report or written statement which was submitted pursuant to former
22 section 27-132 or former section 27-136 of this subchapter;
EXPLANATION--Matter in italics (underscored) is new; matter in brackets
[] is old law to be omitted.
LBD08636-01-5
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1 b. making a false or misleading statement as to a material fact in an
2 application for the approval of plans or any accompanying document which
3 was submitted pursuant to former section 27-139 of this subchapter,
4 which fact he or she knew would be relied upon by the department in
5 determining whether to approve such plans;
6 c. submitting an application for the approval of plans pursuant to
7 former section 27-140 of this subchapter which were not prepared by him
8 or her or under his or her supervision;
9 d. making a written statement which was submitted pursuant to former
10 section 27-142 of this subchapter that, to the best of his or her know-
11 ledge and belief, the plans and the work shown thereon comply with the
12 provisions of this code and all other applicable laws, rules and regu-
13 lations when he or she knew that the plans were substantially not in
14 compliance with the provisions of this code and all other applicable
15 laws, rules and regulations;
16 e. making a false or misleading statement as to a material fact in an
17 application for a permit or any accompanying document which was submit-
18 ted pursuant to former section 27-150 of this subchapter, which fact he
19 or she knew would be relied upon by the department in determining wheth-
20 er to issue such permit;
21 f. making a false or misleading statement as to a material fact in an
22 application for a certificate of occupancy or any accompanying document
23 which was submitted pursuant to former section 27-219 of this subchap-
24 ter, which fact he or she knew would be relied upon by the department in
25 determining whether to issue such certificate of occupancy;
26 g. making a written statement which was submitted pursuant to former
27 section 27-221 of this subchapter that, to the best of his or her know-
28 ledge and belief, a building was erected or altered in accordance with
29 the approved plans and specifications and, as erected or altered,
30 complied with the provisions of this code and all other applicable laws,
31 rules and regulations when he or she knew that the building had substan-
32 tially not been erected or altered in accordance with the approved plans
33 and specifications, or the building as erected was substantially not in
34 compliance with the provisions of this code and all other applicable
35 laws, rules and regulations.
36 § 27-228.18 Procedure. a. If the commissioner has reasonable cause to
37 believe that a registered architect, licensed professional engineer or
38 other person has committed any of the acts described in section
39 27-228.17 of this article, he or she shall prepare charges stating the
40 alleged misconduct and the material facts by which the charges are to be
41 proved.
42 b. At least thirty days prior to the hearing, the department shall
43 serve a copy of the charges and a notice of the time and place of the
44 hearing upon the respondent personally or by certified mail, return
45 receipt requested, to the respondent's last known address.
46 c. The hearing shall be held before a hearing panel appointed pursuant
47 to section 27-228.19 of this article. The respondent shall have the
48 right to be represented by counsel, produce witnesses and present
49 evidence on his or her behalf. The respondent shall also have the right
50 to examine evidence produced against him or her, cross-examine witnesses
51 and request the hearing officer to issue subpoenas. A record shall be
52 kept of the proceeding.
53 d. The determination of the panel shall be based upon substantial
54 evidence.
55 e. The panel shall find the respondent guilty or not guilty of the
56 charge or charges and shall issue a written report including findings of
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1 fact and a determination of the time period over which the sanctions, if
2 any, imposed pursuant to section 27-228.17 of this article shall be
3 effective, provided, however, that no sanction imposed by a panel for
4 any single charge against any one respondent shall be effective for a
5 period of time in excess of two years. The report of the panel shall be
6 filed with the commissioner and served upon the respondent. The sanc-
7 tions shall commence upon the filing of the report.
8 f. The determination of the panel may be appealed to the commissioner
9 provided that notice of such appeal is filed with the commissioner with-
10 in thirty days after the filing of the report issued by the panel pursu-
11 ant to subdivision e of this section. Upon application, the commissioner
12 in his or her discretion may suspend the imposition of sanctions during
13 the pendency of such appeal. The period of time during which the sanc-
14 tions are effective shall be calculated without regard to any period of
15 suspension of such sanctions. The commissioner shall review the report
16 of the panel and may accept or modify the findings of fact of the panel
17 and accept, reduce or dismiss its recommended penalty. If the commis-
18 sioner determines that the imposition of sanctions shall not be
19 suspended during the pendency of the appeal, the commissioner shall have
20 fifteen days from the time of the filing of such appeal to make his or
21 her determination. If the commissioner fails to make his or her determi-
22 nation within this allotted time period, he or she shall suspend the
23 imposition of such sanctions. The commissioner shall serve upon the
24 respondent notice of his or her decision. The decision of the commis-
25 sioner regarding such appeal shall constitute the final agency determi-
26 nation.
27 § 27-228.19 Hearing panels. a. There shall be within the department a
28 hearing panel or panels. Each panel shall consist of nine members who
29 shall be appointed by the commissioner to serve on such panel at his or
30 her pleasure. The commissioner shall designate a member of each panel to
31 serve as chairperson and such person shall preside over the panel. The
32 members of the panel shall serve without compensation. The panel shall
33 consist of:
34 (1) two employees of the department, one of whom shall be either a
35 registered architect or licensed professional engineer;
36 (2) two licensed professional engineers selected from candidates who
37 are recommended by associations and organizations representing licensed
38 professional engineers in the state of New York;
39 (3) two registered architects selected from candidates who are recom-
40 mended by associations and organizations representing registered archi-
41 tects in the state of New York;
42 (4) two persons representing associations whose members perform or
43 supervise construction activities;
44 (5) one person representing an association whose members own and
45 manage property in the city of New York.
46 b. Each panel shall hear and determine charges of misconduct for those
47 acts set forth in section 27-228.17 of this article, in accordance with
48 procedures set forth in section 27-228.18 of this article and, upon a
49 determination of guilt, may impose the administrative sanctions set
50 forth in section 27-228.17 of this article. A majority of the appointed
51 members of the panel shall constitute a quorum for the transaction of
52 the panel's business. The panel shall have the power to act by a majori-
53 ty vote of its members.
54 § 27-228.20 Administrative sanctions for bribery of employees of the
55 department. A registered architect, licensed professional engineer or
56 other person who is convicted of any offense defined in article two
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1 hundred of the penal law, with respect to conduct toward an employee of
2 the department of buildings, may be subject to the sanctions set forth
3 in section 27-228.17 of this article. Notwithstanding any inconsistent
4 provision of section 27-228.18 of this article, upon conviction of any
5 offense defined in article two hundred of the penal law, with respect to
6 conduct toward an employee of the department, the commissioner shall
7 select a hearing panel pursuant to section 27-228.19 of this article to
8 determine whether to impose administrative sanctions pursuant to section
9 27-228.17 of this article on registered architects, licensed profes-
10 sional engineers or other persons convicted of any such offense. The
11 respondent may appeal the determination of such panel to the commission-
12 er, in accordance with the procedures set forth in subdivision f of
13 section 27-228.18 of this article. If the conviction is vacated or
14 reversed, such registered architect, licensed professional engineer or
15 other person who had been convicted of such offense and subject to
16 administrative sanctions set forth in section 27-228.17 of this article
17 may give the commissioner notice of the vacatur or reversal together
18 with such documentation thereof as the commissioner may reasonably
19 require and, upon receipt of such notice and documentation, the commis-
20 sioner shall revoke the sanctions imposed pursuant to section 27-228.17
21 of this article and this section. If the commissioner has reasonable
22 cause to believe that the imposition of such sanctions should be contin-
23 ued, he or she shall prepare charges and appoint a hearing panel in
24 accordance with the procedures set forth in subdivisions b through f of
25 section 27-228.18 of this article.
26 § 27-228.21 Registered architects and licensed professional engineers;
27 application. Registered architects and licensed professional engineers
28 shall be subject to the procedures and the administrative sanctions set
29 forth in this article, in addition to the procedures and penalties for
30 professional misconduct prescribed in title eight of the education law.
31 § 2. This act shall take effect immediately.
