N.Y. Comp. Codes R. & Regs. tit. 9, § 6190.6 – Sanctions for noncompliance; appeals.

(a) In accordance with Executive Law, section 995-b(3)(e), the commission (and with respect to forensic DNA laboratories, upon the binding recommendation of the DNA subcommittee to the commission) may revoke, suspend or otherwise limit the NYS accreditation of a forensic laboratory, if the commission, or where appropriate, the DNA subcommittee determines that a forensic laboratory or one or more persons in its employ:
1. (1) is guilty of misrepresentation in obtaining a forensic laboratory NYS accreditation;
2. (2) rendered a report on laboratory work actually performed in another forensic laboratory without disclosing the fact that the examination or procedure was performed by such other forensic laboratory;
3. (3) showed unacceptable error or errors in the performance of forensic laboratory examination procedures;
4. (4) failed to file any report required to be submitted pursuant to EL article 49-B or violated in a material respect any provision of that article;
5. (5) violated in a material respect any provision of this Part, including the continuing compliance requirements of ANAB or ABFT;
6. (6) failed to participate in or to meet the standards of any proficiency test required by the DNA subcommittee and/or the commission; or
7. (7) failed to notify the division, in writing, of any significant change in the management or management structure of such laboratory within the time period provided for in section 6190.5(b) of this Part. A forensic laboratory found to be in violation of the paragraph shall be subject to a warning for the first violation.
(b) A forensic laboratory found to be in violation of the provisions of subdivision (a) of this section shall be subject to the following sanctions:
1. (1) Notice of violation: on its own initiative or, with respect to forensic DNA laboratories, at the request of the chair of the DNA subcommittee, the commission, by its chair, shall serve written notice of the alleged violation, which notice shall be mailed by certified mail to the holder of the NYS accreditation at the address of such holder. Within five days of receipt of such notice, a NYS accredited laboratory must file a written answer to the charges with the commission and, where appropriate, the DNA subcommittee.
2. (2) Probation: NYS accreditation becomes probationary for a limited, specified time. Analytical work can continue uninterrupted provided the laboratory adheres to specified requirements and/or conditions.
3. (3) Suspension: NYS accreditation is suspended pending demonstration within a specified time frame that the laboratory has remedied the problem.
4. (4) Revocation: NYS accreditation is revoked for a minimum specified time after which the laboratory may submit a new application for NYS accreditation. The laboratory shall cease performing casework analysis until reaccredited.
(c) No forensic laboratory NYS accreditation shall be revoked, suspended, or otherwise limited without a hearing. On its own initiative or, with respect to forensic DNA laboratories, at the request of the chair of the DNA subcommittee, the chair of the commission shall serve written notice of the alleged violation, together with written notice of the time and place of the hearing, which notice shall be mailed by certified mail to the holder of the NYS accreditation at the address of such holder at least 21 days prior to the date fixed for such hearing. A NYS accredited laboratory may file a written answer to the charges with the commission and, where appropriate, the DNA subcommittee, not less than five days prior to the hearing. The hearing shall be conducted by the commission or where appropriate, the DNA subcommittee. The laboratory director shall be allowed to appear in person and present relevant testimony. If the DNA subcommittee conducts such hearing, it shall make a binding recommendation to the commission with respect to the appropriate sanction, if any.
(d) NYS accreditation shall be reinstated when the forensic laboratory demonstrates to the satisfaction of the commission, and, where appropriate, upon the binding recommendation of the DNA subcommittee, that the deficiencies which resulted in the sanctions have been corrected.
(e) The outcome of any disciplinary proceeding conducted by ANAB or ABFT with respect to ANAB or ABFT accreditation shall not bind the DNA subcommittee or commission with respect to the imposition of sanctions as set forth in this Part.