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: June 3, 2024
OGC 2: Procedure For Handling Small Claims
I. Summary: Procedure for handling small claims submitted by members of the public and employees of the Department of Environmental Conservation (DEC).
II. Policy: It is DEC policy that the Office of General Counsel (OGC) in Central Office oversees the processing of all small claims for the Department.
III. Purpose and Background: This Policy provides for consistent procedures for the processing of small claims by OGC. DEC is authorized to consider and approve small claims not exceeding $5,000 for personal injuries or property damage resulting from tortious conduct of DEC or its employees pursuant to State Finance Law 8(12-a). DEC is also authorized to approve small claims submitted by DEC 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.
IV. Responsibility: OGC oversees the processing of all small claims for DEC. Each Regional Office is responsible for cooperating with OGC's investigation of claims that arise in a Region.
V. Procedure: OGC reviews two different categories of small claims: small claims submitted by the public and small claims submitted by DEC employees. The procedures for filing each category of small claims are addressed separately below.
A. Small Claims Filed by the Public
DEC is authorized to approve small claims not exceeding $5,000 for personal injuries or property damage resulting from tortious conduct of DEC 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 one (1) original notarized copy 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:
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 12233-1500
After the claimant has submitted a complete claim package, OGC reviews and investigates the claim to determine whether any tortious (i.e., negligent, or otherwise wrongful) conduct by DEC or its employees caused the claim. 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 DEC 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 DEC funds, not Court of Claims funds. The DEC division 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 (MBS) to be processed for payment.
B. Small Claims filed by DEC Employees
Pursuant to applicable union contracts and State Finance Law §8, DEC employees may submit small claims, not exceeding $350, for personal property damaged or destroyed in the performance of their official duties. DEC shall only reimburse these claims where damage occurred without the fault or negligence of the employee.
When filing a claim, a DEC employee must provide OGC with the following information and completed forms:
- Claim and Release Form. One (1) original notarized copy of the claim and release form completed and signed by the DEC 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 DEC's webpage at:
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 12233-1500
The DEC 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 DEC employees in consultation with DEC's Labor Relations Office and/or union representatives when and as appropriate.
VI. Related References: Instructions and required forms can be found on the Department's webpage for filing a small claim at:
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