OGC 2: Procedure For Handling Small Claims
New York State Department of Environmental Conservation
DEC Program Policy
Issuing Authority: Thomas S. Berkman, General Counsel
Title: Procedure for Handling Small Claims
Date Issued: December 9, 1997
Latest Date Revised: May 29, 2020
- Summary: Procedure for handling small claims submitted by members of the public and employees of the Department.
- Policy: It is the policy of the Department that the Office of General Counsel (OGC) in Central Office oversees the processing of all small claims for the Department.
- Purpose and Background: This Policy provides for consistent procedures for the processing of small claims by OGC. The Department is authorized to consider and approve small claims not exceeding $5,000 for personal injuries or property damage resulting from tortious conduct of the Department or its employees pursuant to State Finance Law 8(12-a). The Department is also authorized to approve small claims submitted by Department employees not exceeding $350 for personal property damaged or destroyed in the performance of official duties without the fault or negligence of the employee pursuant to applicable union contracts and State Finance Law §8.
- Responsibility: OGC oversees the processing of all small claims for the Department. Each Regional Office is responsible for cooperating with OGC's investigation of claims that arise in a Region.
- Procedure: OGC reviews two different categories of small claims. It reviews small claims submitted by the public; and small claims submitted by Department employees. The procedures for filing each category of small claims is addressed separately below.
- Small Claims filed by the public
The Department is authorized to approve small claims not exceeding $5,000 for personal injuries or property damage resulting from tortious conduct of the Department or its employees pursuant to State Finance Law §8(12-a).
The claimant must provide the following information and complete the following forms:
- Claim and Release Form. Claimant must complete four (4) original copies of the claim and release form.
- Standard Voucher. One (1) standard voucher is required for processing payment of the claim.
- Substitute Form W9. One (1) W9 form is required for payment of the claim.
- Two Cost Estimates. The claimant must provide two written estimates of cost to repair or replace damaged property in a like condition. Note that the office of the Attorney General will only approve claims equaling the lowest estimate. Therefore, it is the lowest estimate that should be provided on the claim and release forms and on the standard voucher.
- Other Information. The claimant should provide other relevant information such as compensation from insurance or any other sources. If possible, the claimant should provide photos of damaged property that may be helpful in reviewing the claim.
*** Instructions for filing a small claim and required forms can be found on the Department's webpage at:
https://www.dec.ny.gov/pubs/4765.html
Completed forms, estimates, statements, and other information should be sent together as a package to:
Small Claims
Office of General Counsel, 14th floor
New York State Department of Environmental Conservation
625 Broadway
Albany, NY 12233-1500After the claimant has submitted a complete claim package, OGC reviews and investigates the claim to determine whether the claim was caused by any tortious (i.e., negligent or otherwise wrongful) conduct by the Department or its employees. In its investigation, OGC requests incident or accident reports from involved programs. OGC may have follow-up questions for involved programs about the claim and whether there are any facts or reasons why the claim should not be approved.
If OGC's investigation of the facts surrounding the claim show there was tortious conduct on the part of the Department or its employees, the claim will be deemed substantiated and will be approved. If OGC finds no tortious conduct, the claim will be denied and OGC will advise the claimant of its determination, in writing, by letter sent first-class mail. If the claimant is dissatisfied with OGC's determination, the claimant may pursue further action in the Court of Claims.
Approved claims will be paid using Department funds, not Court of Claims funds. The division of the Department from which the claim arose is responsible for providing a Department cost center to OGC for completion of a voucher. Claims in excess of $1,000 must be approved by the office of the Attorney General. Approved claims are forwarded to the Division of Management and Budget Services (DMB) to be processed for payment.
- Small claims filed by Department employees
Pursuant to applicable union contracts and State Finance Law §8, Department employees may submit small claims, not exceeding $350, for personal property damaged or destroyed in the performance of their official duties. The Department shall only reimburse these claims where damage occurred without the fault or negligence of the employee.
When filing a claim, a Department employee must provide OGC with the following information and completed forms:
- Claim and Release Form. Four (4) original copies of the claim and release form completed and signed by the department employee filing the claim.
- Standard Voucher. One (1) standard voucher is required for processing payment of the claim.
- Substitute Form W9. One (1) W9 form is required for processing payment of the claim.
- Cost estimate to repair or replace damaged personal property in like condition.
- Written Supervisor statement verifying the incident.
- Other information such as relevant incident reports, photos and witness statements.
*** Instructions for filing a small claim and required forms can be found on the Department's webpage at:
https://www.dec.ny.gov/pubs/4765.html
Completed forms, estimates, statements, and other information should be sent together as a package to:
Small Claims
Office of General Counsel, 14th floor
New York State Department of Environmental Conservation
625 Broadway
Albany, NY 12233-1500The Department employee should include facts in the claim form explaining how the personal property was damaged or destroyed. OGC will rely on the information provided in the claim form and in the supervisor's statement to determine whether any negligence on the part of the employee was a contributing factor. If there is no evidence of negligence on the part of the employee, the claim will be approved. OGC will review claims submitted by Department employees in consultation with the Department's Labor Relations Office and/or union representatives when and as appropriate.
- Small Claims filed by the public
- Related References
Instructions and required forms can be found on the Department's webpage for filing a small claim at:
