Title 48: Office of Administrative Trials and Hearings (OATH)

Chapter 1: Rules of Practice Applicable To Cases at the OATH Trials Division

Subchapter A: General Matters

§ 1-01 Definitions.

As used in this chapter:

Administrative law judge. “Administrative law judge” means the person assigned to preside over a case, whether the Chief Administrative Law Judge or a person appointed by the Chief Administrative Law Judge.

Agency. “Agency” means any commission, board, department, authority, office or other governmental entity authorized or required by law to refer a case to OATH, regardless of whether the agency is petitioner or respondent in such a case.

CAPA. “CAPA” means the City Administrative Procedure Act, §§ 1041 to 1047 of the New York City Charter (“Charter”).

Case. “Case” means an adjudication pursuant to CAPA, § 1046, referred to OATH pursuant to Charter, § 1048.

Chief Administrative Law Judge. “Chief Administrative Law Judge” means the director and chief executive officer of OATH appointed by the mayor pursuant to Charter, § 1048.

Electronic means. “Electronic means” means any method of transmission of information between computers or other machines 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, e.g. facsimile transmission and e-mail.

Filing. “Filing” means submitting papers to OATH, whether in person, by mail, or by electronic means, for inclusion in the record of proceedings in a case.

Mailing. “Mailing” means the deposit, in a post office or official depository under the exclusive care and custody of the United States Postal Service, of a paper enclosed in a first class postpaid wrapper, addressed to the address designated by a person for that purpose or, if none is designated, at such person’s last known address.

OATH. “OATH” means the Office of Administrative Trials and Hearings, including the OATH Trials Division and the OATH Hearings Division (see 48 RCNY § 6-02).

OATH Trials Division. “OATH Trials Division” means the adjudicatory body authorized to conduct proceedings pursuant to 48 RCNY Chapters 1 and 2.

Petition. “Petition” means a document, analogous to a complaint in a civil action, which states the claims to be adjudicated.

Petitioner. “Petitioner” means a party asserting claims.

Respondent. “Respondent” means a party against whom claims are asserted.

Trial. “Trial” means a proceeding before an administrative law judge in the OATH Trials Division.

§ 1-02 Jurisdiction.

Pursuant to Charter § 1049(3), OATH’s jurisdiction includes the authority to render any ruling or order necessary and appropriate under applicable law or agency rule for the just and efficient adjudication of cases.

§ 1-03 Applicability.

This chapter applies to the conduct of all cases, including trials, pre-trial and post-trial matters, except to the extent that this chapter may be superseded by CAPA or other provision of law.

§ 1-04 Construction and Waiver.

This title will be liberally construed to promote just and efficient adjudication of cases. This title may be waived or modified on such terms and conditions as may be determined in a particular case to be appropriate by an administrative law judge.

§ 1-05 Effective Date.

This chapter is effective on the first day permitted by CAPA, § 1043(e), and applies to all cases brought before the OATH Trials Division. However, for cases initiated prior to the effective date of these rules, no act which was valid, timely or otherwise proper under the rules applicable at the time of the act will be rendered improper by the subsequent effectiveness of this chapter.

§ 1-06 Computation of Time.

Periods of days prescribed in this chapter will be calculated in calendar days, except that when a period of days expires on a Saturday, Sunday or legal holiday, the period will run until the next business day. Where this chapter prescribes different time periods for taking an action depending whether service of papers is personal or by mail, service of papers by electronic means will be deemed to be personal service, solely for purposes of calculating the applicable period of time.

§ 1-07 Filing of Papers.

(a) Generally. Papers may be filed at OATH in person, by mail or by electronic means.
  1. Headings. The subject matter heading for each paper sent by personal service, mail or electronic means must indicate the OATH index number where one has been assigned pursuant to 48 RCNY § 1-26(b).
  2. Means of service on adversary. Submission of papers by a party in a case to the administrative law judge by electronic means, mail or personal delivery without providing equivalent method of service to all other parties will be deemed to be an ex parte communication.
  3. Proof of service. Proof of service must be maintained by the parties for all papers filed at OATH. Proof of service must be in the form of an affidavit by the person effecting service, or in the form of a signed acknowledgement of receipt of papers by the person receiving the papers. A writing admitting service by the person to be served is adequate proof of service. Proof of service for papers served by electronic means, in addition to the foregoing, may also be in the form of a record confirming delivery or acknowledging receipt of the electronic transmission.

§ 1-08 Access to Facilities and Programs by People with Disabilities.

OATH is committed to providing equal access to its facilities and programs to people with disabilities and OATH will make reasonable accommodations requested by people with disabilities. A person requesting an accommodation for purposes of participation in a case at OATH, including attendance as a member of the public, must request such accommodation sufficiently in advance of the proceeding in which the person wishes to participate to permit a reasonable time to evaluate the request. A request for accommodation must be submitted to OATH’s Calendar Unit.

Subchapter B: Rules of Conduct

§ 1-11 Appearances.

(a) A party may appear in person, by an attorney, or by a duly authorized representative. A person appearing for a party, including by telephone conference call, is required to file a notice of appearance with OATH. Docketing of a case by an attorney or representative of a party will be deemed to constitute the filing of a notice of appearance by that person. The filing of any papers by an attorney or representative who has not previously appeared will constitute the filing of a notice of appearance by that person, and must conform to the requirements of subdivisions (b), (d) and (e) of this section.
  1. The appearance of a member in good standing of the bar of a court of general jurisdiction of any state or territory of the United States must be indicated by the suffix “Esq.” and the designation “attorney for (petitioner or respondent)”, and the appearance of any other person must be indicated by the designation “representative for (petitioner or respondent)”.
  2. Absent extraordinary circumstances, no application may be made or argued by any attorney or other representative who has not filed a notice of appearance. Any application submitted on behalf of a party or participation in a conference, whether by e-mail, letter or phone, will be deemed an appearance by the attorney or representative. After making such an appearance, the attorney or representative must file a notice of appearance in conformity with subdivisions (b), (d) and (e) of this section.
  3. A person may not file a notice of appearance on behalf of a party unless he or she has been retained by that party to represent the party before OATH. Filing a notice of appearance constitutes a representation that the person appearing has been so retained. Filing a notice of appearance pursuant to subdivision (a) of this section constitutes a representation that the person appearing has read and is familiar with the rules of this subchapter.
  4. Each attorney or representative appearing before OATH must provide his or her address, telephone number, fax number, and an e-mail address on all notices of appearance and must provide prompt written notice of any change in name, address, telephone number, fax number, or e-mail address.

§ 1-12 Withdrawal and Substitution of Counsel.

(a) An attorney who has filed a notice of appearance must not withdraw from representation without the permission of the administrative law judge, on application. Withdrawals will not be granted unless upon consent of the client or when other cause exists as delineated in the applicable provisions of the Code of Professional Responsibility.
  1. Notices of substitution of counsel must be served and filed with OATH and the opposing party. A party may substitute counsel without leave of the administrative law judge as long as the substitution is made more than twenty days before trial. Applications for later substitutions of counsel will be granted freely absent prejudice or substantial delay of proceedings.

§ 1-13 Conduct; Suspension from Practice at OATH.

(a) Individuals appearing before OATH must comply with the rules of this chapter and any other applicable rules, and must comply with the orders and directions of the administrative law judge.
  1. Individuals appearing before OATH must conduct themselves at all times in a dignified, orderly and decorous manner. In particular, at the trial, all parties, their attorneys or representatives, and observers must address themselves only to the administrative law judge, avoid colloquy and argument among themselves, and cooperate with the orderly conduct of the trial.
  2. Attorneys and other representatives appearing before OATH must be familiar with the rules of this title.
  3. Attorneys appearing before OATH must conduct themselves in accordance with the canons, ethical considerations and disciplinary rules set forth in the code of professional responsibility in their representation of their clients, in their dealings with other parties, attorneys and representatives before OATH, and with OATH’s administrative law judges and staff.
  4. Willful failure of any person to abide by the standards of conduct stated in paragraphs (a) through (d) of this section, may, in the discretion of the administrative law judge, be cause for the imposition of sanctions. Such sanctions may include formal admonishment or reprimand, assessment of costs or imposition of a fine, exclusion of the offending person from the proceedings, exclusion or limitation of evidence, adverse evidentiary inference, adverse disposition of the case, in whole or in part, or other sanctions as the administrative law judge may determine to be appropriate. The imposition of sanctions may be made after a reasonable opportunity to be heard. The form of the trial will depend upon the nature of the conduct and the circumstances of the case.
  5. In the event that an attorney or other representative of a party persistently fails to abide by the standards of conduct stated in paragraphs (a) through (d) of this section, the Chief Administrative Law Judge may, upon notice to the attorney or representative and a reasonable opportunity to rebut the claims against him or her, suspend that attorney or representative from appearing at OATH, either for a specified period of time or indefinitely until the attorney or representative demonstrates to the satisfaction of the Chief Administrative Law Judge that the basis for the suspension no longer exists.

§ 1-14 Ex Parte Communications.

(a) Except for ministerial matters, on consent, in an emergency, or as provided in 48 RCNY § 1-31(a), communications with the administrative law judge concerning a case must only occur with all parties present. If an administrative law judge receives an ex parte communication concerning the merits of a case to which he or she is assigned, then he or she must promptly disclose the communication by placing it on the record, in detail, including all written and oral communications and identifying all individuals with whom he or she has communicated. A party desiring to rebut the ex parte communication will be allowed to do so upon request.
  1. Communications between OATH and a party docketing a case, to the extent necessary to the placement of a case on the trial calendar or conference calendar pursuant to 48 RCNY § 1-26(a), will be deemed to be ministerial communications. Communications between OATH and a party docketing a case, to the extent necessary to a request for expedited calendaring pursuant to 48 RCNY § 1-26(c), will be deemed to be emergency communications.

Subchapter C: Pre-trial Matters

§ 1-21 Designation of OATH.

Where necessary under the provision of law governing a particular category of cases, the agency head will designate the Chief Administrative Law Judge of OATH, or such administrative law judges as the Chief Administrative Law Judge may assign, to hear such cases.

§ 1-22 The Petition.

The petition must include a short and plain statement of the matters to be adjudicated, and, where appropriate, specifically allege the incident, activity or behavior at issue as well as the date, time, and place of occurrence. The petition must also identify the law, rule, regulation, contract provision, or policy that was allegedly violated and provide a statement of the relief requested. If the petition does not comply with this provision, the administrative law judge may direct, on the motion of a party or sua sponte, that the petitioner re-plead the petition.

§ 1-23 Service of the Petition.

(a) The petitioner must serve the respondent with the petition. The petition must be accompanied by a notice of the following: the respondent's right to file an answer and the deadline to do so under 48 RCNY § 1-24; the respondent's right to representation by an attorney or other representative; and the requirement that a person representing the respondent must file a notice of appearance with OATH. The notice must include the statement that OATH's rules of practice and procedure are published in Title 48 of the Rules of the City of New York, and that copies of OATH's rules are available at OATH's offices or on OATH's website www.nyc.gov/oath.
  1. Service of the petition must be made pursuant to statute, rule, contract, or other provision of law applicable to the type of proceeding being initiated. Absent any such applicable law, service of the petition must be made in a manner reasonably calculated to achieve actual notice to the respondent. Service by certified mail, return receipt requested, contemporaneously with service by regular first-class mail, will be presumed to be reasonably calculated to achieve actual notice. Appropriate proof of service must be maintained.
  2. A copy of the petition and accompanying notices, with proof of service, must be filed with OATH at or before the commencement of the trial.

§ 1-24 Answer.

The respondent may serve and file an answer to the petition within eight days of service of the petition if service was personal, or within thirteen days of service of the petition if service was by mail, unless a different time is fixed by the administrative law judge. In the discretion of the administrative law judge, the respondent may be required to serve and file an answer. Failure to file an answer where required, may result in sanctions, including those specified in 48 RCNY § 1-33(e).

§ 1-25 Amendment of Pleadings.

Amendments of pleadings must be made as promptly as possible. If a pleading is to be amended less than twenty-five days before the commencement of the trial, amendment may be made only on consent of the parties or by leave of the administrative law judge on motion.

§ 1-26 Docketing the Case.

(a) A case must be docketed by filing with OATH a completed intake sheet, and either a petition or a written application for relief. Parties are encouraged to docket cases by electronic means. When a case is docketed, OATH will place it on the trial calendar, the conference calendar, or on open status. Absent prejudice, cases involving the same respondent or respondents will be scheduled for joint trials or conferences, as will cases alleging different respondents' involvement in the same incident or incidents.
  1. When a case is docketed, it will be given an index number and assigned to an administrative law judge. Assignments will be made and changed in the discretion of the Chief Administrative Law Judge or his or her designee, and motions concerning such assignments will not be entertained except pursuant to 48 RCNY § 1-27.
  2. OATH may determine that the case is not ready for trial or conference and may adjourn the trial or conference, or may remove the case from the trial or conference calendar and place it on open status. In addition, OATH may determine that the case should proceed on an expedited basis, and may direct expedited procedures, including expedited pre-trial and post-trial procedures, shortened notice periods, and/or expedited calendaring.
  3. The party docketing a case may do so ex parte. If the case is placed on the conference calendar or the trial calendar rather than on open status, the party may at the time of docketing also select a trial date and/or conference date ex parte. However, OATH encourages selection of trial and conference dates by all parties jointly. In the event that a party selects a trial date or a conference date ex parte, that party must serve the notice of conference or trial required by 48 RCNY § 1-28, within one business day of selecting that date. Whenever practicable, such notice must be served by personal delivery or electronic means.
  4. Cases docketed with the Trials Division are subject to review by the Chief Administrative Law Judge who shall determine whether the case should proceed at the Trials Division or removed to the Hearings Division.

§ 1-27 Disqualification of Administrative Law Judges.

(a) A motion for disqualification of an administrative law judge must be addressed to that administrative law judge, accompanied by a statement of the reasons for such application, and made as soon as practicable after a party has reasonable cause to believe that grounds for disqualification exist.
  1. The administrative law judge will be disqualified for bias, prejudice, interest, or any other cause for which a judge may be disqualified in accordance with § 14 of the Judiciary Law. In addition, an administrative law judge may, sua sponte or on motion of any party, withdraw from any case, where in the administrative law judge’s discretion, his/her ability to provide a fair and impartial adjudication might reasonably be questioned.
  2. If the administrative law judge determines that his or her disqualification or withdrawal is warranted on grounds that apply to all of the existing administrative law judges, the administrative law judge must state that determination, and the reasons for that determination, in writing or orally on the record, and may recommend to the Chief Administrative Law Judge that the case be assigned to a special administrative law judge to be appointed temporarily by the Chief Administrative Law Judge. The Chief Administrative Law Judge will either accept that recommendation, or, upon a determination and reasons stated in writing or orally on the record, reject that recommendation. A special administrative law judge will have all of the authority granted to administrative law judges under this title.

§ 1-28 Notice of Conference or Trial.

(a) When a case is placed on either the trial calendar or the conference calendar, and within the time provided in 48 RCNY § 1-26(d), if applicable, the party that placed the case on the calendar must serve each other party with notice of the following: the date, time and place of the trial or conference; each party's right to representation by an attorney or other representative at the trial or conference; the requirement that a person representing a party at the trial or conference must file a notice of appearance with OATH prior to the trial or conference; and, in a notice of a trial served by the petitioner, the fact that failure of the respondent or an authorized representative of the respondent to appear at the hearing may result in a declaration of default, and a waiver of the right to a trial or other disposition against the respondent. The notice may be served personally or by mail, and appropriate proof of service must be maintained. A copy of the notice of conference, with proof of service, must be filed with OATH at or before the commencement of the conference. A copy of the notice of trial, with proof of service, must be filed with OATH at or before the commencement of the trial.
  1. When multiple petitions against a single respondent, or petitions against multiple respondents, are placed on the calendar or calendar conference for joint trial or conference pursuant to 48 RCNY § 1-26(a), notice of trial or notice of conference pursuant to this section must include notice of such joinder.

§ 1-29 Scheduling Other Conferences.

In the discretion of the administrative law judge, and whether or not a case has been on the conference calendar, conferences may be scheduled on application of either party or sua sponte.

§ 1-30 Conduct of Conferences.

(a) All parties are required to attend conferences as scheduled unless timely application is made to the administrative law judge. Participants must be prompt and prepared to begin on time. No particular format for conducting the conference is required. The structure of the conference may be tailored to the circumstances of the particular case. The administrative law judge may propose mediation and, where the parties consent, may refer the parties to the Center for Creative Conflict Resolution or other qualified mediators. In the discretion of the administrative law judge, conferences may be conducted by telephone.
  1. At the conference, all parties must be fully prepared to discuss all aspects of the case, including the formulation and simplification of issues, the possibility of obtaining admissions or stipulations of fact and of admissibility or authenticity of documents, the order of proof and of witnesses, discovery issues, legal issues, pre-hearing applications, scheduling, and settlement of the case.
  2. In the event that the case is not settled at the conference, outstanding pre-trial matters, including discovery issues, must be raised during the conference. In the event that the case is not settled at the conference, a trial date may be set, if such a date has not already been set. The parties will be expected to know their availability and the availability of their witnesses for trial.

§ 1-31 Settlement Conferences and Agreements.

(a) Prior to a conference at which settlement is to be discussed, the administrative law judge assigned to the conference may require each party to provide a pre-conference letter. The pre-conference letter must be sent solely to the administrative law judge by fax or e-mail and marked prominently "CONFIDENTIAL MATERIAL FOR USE AT SETTLEMENT CONFERENCE." The pre-conference letter must state succinctly:

   (1) the history of settlement negotiations, if any;

   (2) the party’s settlement offer and the rationale for it; and

   (3) any other facts that would be helpful to the administrative law judge in preparation for the conference.

  1. If settlement is to be discussed at the conference, each party must have an individual possessing authority to settle the matter, either present at the conference or readily accessible. A settlement conference will be conducted by an administrative law judge or other individual designated by the Chief Administrative Law Judge, other than the administrative law judge assigned to hear the case. During settlement discussions, upon notice to the parties, the administrative law judge or other person conducting the conference may confer with each party and/or representative separately.
  2. All settlement offers, whether or not made at a conference, will be confidential and will be inadmissible at trial of any case. Administrative law judges must not be called to testify in any proceeding concerning statements made at a settlement conference.
  3. A settlement must be reduced to writing, or, in the discretion of the administrative law judge, placed on the record. In the event that a settlement is reached other than at a conference, OATH must be notified immediately pursuant to 48 RCNY § 1-32(f). Copies of all written settlement agreements must be sent promptly to OATH.

§ 1-32 Adjournments.

(a) Applications for adjournments of conferences or trials will be governed by this section and by 48 RCNY § 1-34 or § 1-50. Conversion of a trial date to a conference date, or from conference to trial, will be deemed to be an adjournment.
  1. Applications to adjourn conferences or trials must be made to the assigned administrative law judge as soon as the need for the adjournment becomes apparent. Applications for adjournments are addressed at the discretion of the administrative law judge, and will be granted only for good cause. Although consent of all parties to a request for an adjournment will be a factor in favor of granting the request, such consent will not by itself constitute good cause for an adjournment. Delay in seeking an adjournment will militate against grant of the request.
  2. If a party selects a trial or conference date without consulting with or obtaining the consent of another party pursuant to 48 RCNY § 1-26(d), an application for an adjournment of such date by that other party, especially if such application is based upon a scheduling conflict, will be decided with due regard to the ex parte nature of the case scheduling.
  3. An attorney must file an affirmation of actual engagement prior to a ruling on an adjournment sought on that basis. Such affirmation must state the name and nature of the conflicting matter, the court or tribunal hearing the matter, the judge before whom it is scheduled, the date that the conflicting engagement became known to counsel, and the date, time, place and approximate duration of the engagement.
  4. Approved adjournments, other than adjournments granted on the record, must be promptly confirmed in writing by the applicant, to all parties and to the administrative law judge.
  5. Withdrawal of a case from the calendar by the petitioner will not be subject to the “good cause” requirement of subdivision (b) of this section. However, such withdrawal, other than pursuant to settlement agreement or other final disposition of the case, will be permitted only upon application to the administrative law judge, who may grant or deny the application, either in full or upon stated terms and conditions.
  6. At the discretion of the administrative law judge, a grant of an adjournment may be conditioned upon the imposition of costs for travel, lost earnings and witness fees, which may be assessed against the party causing the need for an adjournment.
  7. If an administrative law judge determines that a case is not ready for trial or conference and that an adjournment is inappropriate, the judge may remove the case from the calendar. Unless otherwise directed by the administrative law judge, the case will be administratively closed if the parties do not restore the matter to the calendar within 30 days.

§ 1-33 Discovery.

(a) Requests for production of documents, for identification of trial witnesses, and for inspection of real evidence to be introduced at the trial may be directed by any party to any other party without leave of the administrative law judge.
  1. Depositions must only be taken upon motion for good cause shown. Other discovery devices, including interrogatories, will not be permitted except upon agreement among the parties or upon motion for good cause shown. Demands for bills of particulars will be deemed to be interrogatories. Resort to such extraordinary discovery devices will not generally be cause for adjournment of a conference or trial.
  2. Discovery must be requested and completed promptly, so that each party may reasonably prepare for trial. A demand for identification of witnesses, for production of documents, or for inspection of real evidence to be introduced at trial must be made not less than twenty days before trial, or not less than twenty-five days if service of the demand is by mail. An answer to a discovery request must be made within fifteen days of receipt of the request, or within ten days if service of the answer is by mail. An objection to a discovery request must be made as promptly as possible, but in any event within the time for an answer to that request. Different times may be fixed by consent of the parties, or by the administrative law judge for good cause. Notwithstanding the foregoing time periods, where the notice of the trial is served less than twenty-five days in advance of trial, discovery must proceed as quickly as possible, and time periods may be fixed by consent of the parties or by the administrative law judge.
    1. Parties are encouraged to resolve discovery disputes without the intervention of an administrative law judge. A party objecting to discovery should immediately commence discussion with the requesting party to clarify and possibly resolve the dispute.

   (2) Any unresolved discovery dispute must be presented to the assigned administrative law judge sufficiently in advance of the trial to allow a timely determination. A written motion to compel discovery must be served on all parties and the administrative law judge assigned to conduct the trial. The motion must state what efforts the parties have made to resolve discovery disputes. Any party objecting to a discovery motion must state, in writing, the grounds for the objection. In deciding whether to grant a request, the administrative law judge may consider the timeliness of discovery requests and responses and of discovery-related motions, the complexity of the case, the need for the requested discovery, and the relative resources of the parties.

   (3) In ruling upon a discovery motion, the administrative law judge may deny the motion, order compliance with a discovery request, order other discovery, or take other appropriate action. The administrative law judge may grant or deny discovery upon specified conditions, including payment by one party to another of stated expenses of the discovery. Failure to comply with an order compelling discovery may result in imposition of appropriate sanctions upon the disobedient party, attorney or representative, such as the sanctions set forth in 48 RCNY § 1-13(e), the preclusion of witnesses or evidence, drawing of adverse inferences, or, under exceptional circumstances, removal of the case from the calendar, dismissal of the case, or declaration of default.

§ 1-34 Pre-Trial Motions.

(a) Pre-trial motions will be consolidated and addressed to the administrative law judge as promptly as possible, and sufficiently in advance of the trial to permit a timely decision to be made. Delay in presenting such a motion may, in the discretion of the administrative law judge, weigh against the granting of the motion, or may lead to the granting of the motion upon appropriate conditions.
  1. A moving party must request in writing an informal conference with the administrative law judge before any dispositive motion will be heard. The request must, in no more than two pages, set forth the nature of the motion.
  2. The administrative law judge may in his or her discretion permit pre-trial motions to be made orally, including by telephone, electronic means, or in writing. The administrative law judge may require the parties to submit legal briefs on any motion. Parties are encouraged to make pre-trial motions, or to conduct preliminary discussions and scheduling of such motions, by conference telephone call or by electronic means to the administrative law judge.
  3. When a motion is made on papers, the motion papers must state the grounds upon which the motion is made and the relief or order sought. Motion papers must include notice to all other parties of their time pursuant to subdivision (d) of this section to serve papers in opposition to the motion. Motion papers and papers in opposition must be served on all other parties, and proof of service must be filed with the papers. The filing of motion papers or papers in opposition by a representative who has not previously appeared will constitute the filing of a notice of appearance by that representative, and must conform to the requirements of 48 RCNY § 1-11(b).
  4. Unless otherwise directed by the administrative law judge upon application or sua sponte, the opposing party must file and serve responsive papers no later than eight days after service of the motion papers if service of the motion papers was personal or by electronic means, and no later than thirteen days after service if service of the motion papers was by mail.
  5. The moving party must not file reply papers unless authorized by the administrative law judge, and oral argument will not be scheduled except upon the direction of the administrative law judge.
  6. Nothing in this section limits the applicability of other provisions to specific pre-trial motions. For instance, an application for withdrawal or substitution of counsel is also governed by 48 RCNY § 1-12; an application for an adjournment is also governed by 48 RCNY § 1-32; and an application for issuance of a subpoena is also governed by 48 RCNY § 1-43.

Subchapter D: Trials and Hearings

§ 1-41 Consolidation; Separate Trials.

All or portions of separate cases may be consolidated for trial, or portions of a single case may be severed for separate trials, in the discretion of the administrative law judge. Consolidation or severance may be ordered on motion or sua sponte, in furtherance of justice, efficiency or convenience.

§ 1-42 Witnesses and Documents.

The parties must have all of their witnesses available on the trial date. A party intending to introduce documents into evidence must bring to trial copies of those documents for the administrative law judge, the witness, and the other parties. Repeated failure to comply with this section may be cause for sanctions, as set forth in 48 RCNY § 1-13(e).

§ 1-43 Subpoenas.

(a) A subpoena ad testificandum requiring the attendance of a person to give testimony prior to or at a trial or a subpoena duces tecum requiring the production of documents or things at or prior to a trial may be issued only by the administrative law judge upon application of a party or sua sponte.
  1. A request by a party that the administrative law judge issue a subpoena will be deemed to be a motion, and must be made in compliance with 48 RCNY § 1-34 or 48 RCNY § 1-50, as appropriate; provided, however, that such a motion must be made on 24 hours’ notice by electronic means or personal delivery of papers, including a copy of the proposed subpoena, unless the administrative law judge directs otherwise. The proposed subpoena may be prepared by completion of a form subpoena available from OATH. The making and scheduling of requests for issuance of subpoenas by telephone conference call to the administrative law judge or by electronic means is encouraged.
  2. Subpoenas must be served in the manner provided by § 2303 of the Civil Practice Law and Rules, unless the administrative law judge directs otherwise. The party requesting the issuance of a subpoena will bear the cost of service, and of witness and mileage fees, which will be the same as for a trial subpoena in the Supreme Court of the State of New York.
  3. In the event of a dispute concerning a subpoena after the subpoena is issued, informal resolution must be attempted with the party who requested issuance of the subpoena. If the dispute is not thus resolved, a motion to quash, modify or enforce the subpoena must be made to the administrative law judge.

§ 1-44 Interpreters.

(a) OATH will provide language assistance services to a party or their witnesses who are in need of such services to communicate at a trial or conference. All requests for language assistance must be made to OATH's calendar unit.
  1. A request for language assistance by telephone may be made at any time before the trial or conference.
  2. A request for in-person interpretation must be made at least five (5) business days before the trial or conference
  3. A request for sign language interpretation must be made at least three (3) calendar days before the trial or conference.

§ 1-45 Failure to Appear.

All parties, attorneys and other representatives are required to be present at OATH and prepared to proceed at the time scheduled for commencement of trial. Commencement of trial, or of any session of trial, will not be delayed beyond the scheduled starting time except for good cause as determined in the discretion of the administrative law judge. Absent a finding of good cause, and to the extent permitted by the law applicable to the claims asserted in the petition, the administrative law judge may direct that the trial proceed in the absence of any missing party or representative, render a disposition of the case adverse to the missing party, or take other appropriate measures, including the imposition of sanctions listed in 48 RCNY § 1-13(e). Relief from the direction of the administrative law judge may be had only upon motion brought as promptly as possible pursuant to 48 RCNY § 1-50 or § 1-52. The administrative law judge may grant or deny such a motion, in whole, in part, or upon stated conditions.

§ 1-46 Evidence at the Trial.

(a) Compliance with technical rules of evidence, including hearsay rules, will not necessarily be required. Traditional rules governing trial sequence will apply. In addition, principles of civil practice and rules of evidence may be applied to ensure an orderly proceeding and a clear record, and to assist the administrative law judge in the role as trier of fact. Traditional trial sequence may be altered by the administrative law judge for convenience of the parties, attorneys, witnesses, or OATH, where substantial prejudice will not result.
  1. The administrative law judge may limit examination, the presentation of testimonial, documentary or other evidence, and the submission of rebuttal evidence. The administrative law judge may accept testimony at trial by telephone or other electronic means, including video conferencing. Objections to evidence offered, or to other matters, will be noted in the transcript, and exceptions need not be taken to rulings made over objections. The administrative law judge may call witnesses, may require any party to clarify confusion, fill gaps in the record, or produce witnesses, and may question witnesses directly.
  2. In the discretion of the administrative law judge, closing statements may be made orally or in writing. On motion of the parties, or sua sponte, the administrative law judge may direct written post-trial submissions, including legal briefing, proposed findings of fact and conclusions of law, or any other pertinent matter.

§ 1-47 Evidence Pertaining to Penalty or Relief.

(a) A separate trial will not be held as to the penalty to be imposed or the relief to be granted in the event that the petition is sustained in whole or in part.
  1. In the event that a personnel file, abstract of a personnel file, driver record, owner record, or other similar or analogous file is not admitted into evidence at the trial on the merits, the administrative law judge, upon determining that the petition will be sustained in whole or in part, may request that the petitioner forward such file or record to the administrative law judge for consideration relative to penalty or relief. That request may be conveyed to the petitioner or the petitioner’s representative ex parte and without further notice to the respondent. The petitioner must forward only the requested file or record, without accompanying material, and such file or record must include only material which is available from the petitioner for inspection by the respondent as of right. In his or her report and recommendation, the administrative law judge will refer to any material from such file or record relied on in formulating the recommendation as to penalty or other relief.

§ 1-48 Official Notice.

(a) In reaching a decision, the administrative law judge may take official notice, before or after submission of the case for decision, on request of a party or sua sponte on notice to the parties, of any fact which may be judicially noticed by the courts of this state. Matters of which official notice is taken will be noted in the record, or appended thereto. The parties will be given a reasonable opportunity on request to refute the officially noticed matters by evidence or by presentation of authority.
  1. Official notice may be taken, without notice to the parties, of rules published in the Rules of the City of New York or in The City Record. In addition, all parties are deemed to have notice that official notice may be taken of other regulations, directives, guidelines, and similar documents that are lawfully applicable to the parties, provided that any such materials that are unpublished are on file with OATH sufficiently before trial of the case to enable all parties to address at trial any issue as to the applicability or meaning of any such materials. Unpublished materials on file with OATH will be available for inspection by any party or attorney or representative of a party.

§ 1-49 Public Access to Proceedings.

(a) Other than settlement conferences, all proceedings are open to the public, unless the administrative law judge finds that a legally recognized ground exists for closure of all or a portion of the proceeding, or unless closure is required by law. Trial witnesses may be excluded from proceedings other than their own testimony in the discretion of the administrative law judge.
  1. No person may make or cause to be made a stenographic, electronic, audio, audio-visual or other verbatim or photographic reproduction of any trial or other proceeding, whether such trial or other proceeding is conducted in person, by telephone, or otherwise, except upon application to the administrative law judge or as otherwise provided by law (e.g. N.Y. Civil Rights Law, § 52). Such application must be addressed to the discretion of the administrative law judge, who may deny the application or grant it in full, in part, or upon such conditions as the administrative law judge deems necessary to preserve the decorum of the proceedings and to protect the interests of the parties, witnesses and any other concerned persons.
  2. Transcripts of proceedings made a part of the record by the administrative law judge will be the official record of proceedings at OATH, notwithstanding the existence of any other transcript or recording, whether or not authorized under the previous subdivision of this section.
  3. Unless the administrative law judge finds that legally recognized grounds exist to omit information from a decision, all decisions will be published without redaction. To the extent applicable law or rules require that particular information remain confidential, including but not limited to the name of a party or witness or an individual’s medical records, such information will not be published in a decision. On the motion of a party, or sua sponte, the administrative law judge may determine that publication of certain information will violate privacy rights set forth in applicable law or rules and may take appropriate steps to ensure that such information is not published.

§ 1-50 Trial Motions.

Motions may be made during the trial orally or in writing. Trial motions made in writing must satisfy the requirements of 48 RCNY § 1-34. The administrative law judge may, in his or her discretion, require that any trial motion be briefed or otherwise supported in writing. In cases referred to OATH for disposition by report and recommendation to the head of the agency, motions addressed to the sufficiency of the petition or the sufficiency of the petitioner’s evidence will be reserved until closing statements.

§ 1-51 The Transcript.

Trials will be stenographically or electronically recorded, and the recordings will be transcribed, unless the administrative law judge directs otherwise. In the discretion of the administrative law judge, matters other than the trial may be recorded and such recordings may be transcribed. Transcripts will be made part of the record, and will be made available upon request or as required by law.

§ 1-51.1 Decision Made on the Record.

An administrative law judge may dispose of a case by making a decision or report and recommendation on the record.

§ 1-52 Post-Trial Motions.

Post-trial motions must be made in writing, in conformity with the requirements of 48 RCNY § 1-34, to the administrative law judge, except that after issuance of a report and recommendation in a case referred to OATH for such motions, as well as comments on the report and recommendation to the extent that such comments are authorized by law, must be addressed to the deciding authority.

Chapter 2: Additional Rules of Practice Applicable To Particular Types of Cases at the OATH Trials Division

Subchapter A: Additional Rules For Prequalified Vendor Appeals

§ 2-01 Applicability.

This subchapter applies solely to prequalified vendor appeals pursuant to § 324(b) of the Charter and the rules of the Procurement Policy Board, 9 RCNY § 3-10(m). Chapter 1 also applies to such proceedings except to the extent that it is inconsistent with this subchapter.

§ 2-02 Docketing; Service of the Petition.

(a) A vendor must docket an appeal by delivering to OATH a completed intake sheet, with a petition and appropriate proof of service of the petition upon the agency whose prequalification determination is to be reviewed. The petition must include a copy of the determination to be reviewed and must state the nature and basis of the challenge to the determination.
  1. The petition must be accompanied by a notice to the respondent of its time to serve and file an answer. The notice described in 48 RCNY § 1-23(a) is not required.

§ 2-03 Answer; Reply.

(a) If the petition is served personally on the respondent, the respondent must file an answer, with appropriate proof of service, within fourteen days of the respondent's receipt of the petition. If the petition is served by mail, it will be presumed that the respondent received the petition five days after it was served.
  1. The answer must include the determination to be reviewed, the basis of the determination, admission, denial or other response to each allegation in the petition, and a statement of any other defenses to the petition. The basis of the determination included in the answer must consist of all documentation and information that was before the agency head, including any submissions by the vendor. To the extent that information in support of the determination was not written, it must be reduced to writing and included in the answer in the form of affidavits or affirmations, documentary exhibits, or other evidentiary material. Also, defenses may be supported by evidentiary material. The answer may be accompanied by a memorandum of law.
  2. If the respondent’s attorney or other representative has not already filed a notice of appearance, such notice must be filed with the answer.
  3. Within fifteen days of the service of the answer, or within twenty days if such service Is by mail, the petitioner may file a reply. The reply may include affidavits or affirmations, documentary exhibits, or other evidentiary material in rebuttal of the answer, including information provided to the agency head which was not written. The reply may be accompanied by a memorandum of law.

§ 2-04 Further Proceedings.

An appeal will be decided on the petition, answer and reply, unless the administrative law judge directs further written submissions, oral argument, or an evidentiary hearing, as may be necessary to the decision of the appeal.

§ 2-05 Discovery.

Discovery may not be permitted except upon order of the administrative law judge in connection with 48 RCNY § 2-04.

§ 2-06 Determination.

The administrative law judge will render as expeditiously as possible a determination as to whether the agency’s decision is arbitrary or capricious.

§ 2-07 Copies of Determination.

The respondent must send copies of the administrative law judge’s determination to such non- parties as may be required, for instance, by the rules of the Procurement Policy Board, 9 RCNY § 3-10(m)(5).

Subchapter C: Additional Rules For Human Rights Cases

§ 2-21 Applicability.

This subchapter applies solely to cases brought by the New York City Commission on Human Rights pursuant to the City Human Rights Law, Title 8 of the New York City Administrative Code. Chapter 1 of this title also applies to such proceedings except to the extent that it is inconsistent with this subchapter.

§ 2-22 Definitions.

For purposes of this subchapter:

Commission. “Commission” means the New York City Commission on Human Rights.

Complainant. “Complainant” is defined according to the Commission’s rules, 47 RCNY § 1-03.

Party. “Party” is defined according to the Commission’s rules, 47 RCNY § 1-03.

Petition. “Petition” means a complaint as defined in the Commission’s rules, 47 RCNY §§ 1-11, 1-12.

Petitioner. “Petitioner” means the Law Enforcement Bureau of the Commission.

Report and recommendation. The “report and recommendation” referred to in this title constitutes the recommended decision and order referred to in the Commission’s rules.

§ 2-23 Proceedings Before Referral to OATH.

Proceedings before the case is docketed at OATH are governed by the Commission’s rules (47 RCNY §§ 1-01 to 1-62).

§ 2-24 Docketing the Case at OATH.

(a) Notwithstanding the provisions of 48 RCNY § 1-26, only the petitioner may docket a case at OATH. The petitioner must docket a case by delivering to OATH a completed intake sheet, the notice of referral required by the Commission's rules (47 RCNY § 1-71), the pleadings and any amendments to the pleadings, any notices of appearances filed with the petitioner pursuant to the Commission's rules (47 RCNY § 1-15), and any changes of address filed with the petitioner pursuant to the Commission's rules (47 RCNY § 1-16).
  1. Upon docketing the case at OATH, the petitioner must serve notice of trial, if a trial date has been selected, and notice of conference, if a conference date has been selected, in compliance with 48 RCNY § 1-28.

§ 2-25 Intervention.

(a) A person may move to intervene as a party at any time before commencement of the trial. Intervention may be permitted, in the discretion of the administrative law judge, if the proposed intervenor demonstrates a substantial interest in the outcome of the case. In determining applications for intervention, the administrative law judge will consider the timeliness of the application, whether the issues in the case would be unduly broadened by grant of the application, the nature and extent of the interest of the proposed intervenor and the prejudice that would be suffered by the intervenor if the application is denied, and such other factors as may be relevant. The administrative law judge may grant the application upon such terms and conditions as he or she may deem appropriate and may limit the scope of an intervenor's participation in the adjudication.
  1. A complainant may be permitted to intervene as of right, upon notice to all parties and the administrative law judge at or before the first conference in the case, or, if no conference is held, before commencement of trial. The Commission’s Law Enforcement Bureau will prosecute the complaint. Complainants and respondents may be represented by attorneys or other duly authorized representatives, who must file notices of appearance pursuant to the Commission’s rules (47 RCNY § 1-15), if before referral of the case to OATH, or pursuant to 48 RCNY § 1-11, if after such referral.

§ 2-26 Withdrawal or Dismissal of the Petition.

After referral of a case to OATH, but before commencement of the hearing, dismissal of the case by the petitioner on the grounds provided in the Commission’s rules (47 RCNY § 1-22), or withdrawal of the case by the petitioner pursuant to 48 RCNY § 1-32(f), will be effected by notice to all other parties and to the administrative law judge. The complainant may move to withdraw the complaint at any time before commencement of the hearing. All other motions to withdraw or dismiss the petition are governed by 48 RCNY §§ 1-34 and 1-50.

§ 2-27 Entry of and Relief from Default.

(a) If the notice of referral to OATH alleges that a respondent has not complied with the requirements of § 1-14 of the Commission's rules (47 RCNY § 1-14), the respondent must serve and file an affidavit asserting that the respondent has complied with those requirements, or asserting reasons constituting good cause for its failure to comply with those requirements. Such affidavit must be served and filed at or before the first conference in the case, or, if no conference is held, before commencement of the hearing. If the respondent fails to serve and file such an affidavit within the time allowed by this paragraph, the administrative law judge will declare the respondent to be in default and will preclude the respondent from further participation in the adjudication. If the respondent timely serves and files such an affidavit, the administrative law judge will decide the questions presented, and will either declare the respondent to be in default and preclude the respondent from further participation in the adjudication, or will deny the default in full or upon stated terms and conditions which may include such limitations on the respondent's participation in the adjudication as the administrative law judge deems to be equitable.
  1. A respondent against whom a default has been entered pursuant to paragraph (a) of this section may move at any time before issuance of the report and recommendation to open the default. Such a motion must include a showing of good cause for the conduct constituting the default, a showing of good cause for the failure to oppose entry of the default in accordance with paragraph (a) of this section, and a meritorious defense to the petition, in whole or in part. In granting any such motion, the administrative law judge may impose such terms and conditions as he or she deems to be equitable.

§ 2-28 Settlement Conferences.

In addition to or instead of the conduct of settlement conferences pursuant to 48 RCNY §§ 1-30 and 1-31, the Administrative Law Judge may in his or her discretion, on the request of any party, refer the case for a settlement conference to be conducted by the Commission’s Office of Mediation and Conflict Resolution pursuant to the Commission’s Rules (47 RCNY Subchapter F). In the discretion of the Administrative Law Judge, proceedings at OATH may be stayed, in whole or in part, pending completion of such settlement conference or for any shorter period of time.

§ 2-29 Discovery.

(a) Policy. Although strict compliance with the provisions of Article 31 of the Civil Practice Law and Rules is not required, the principles of that article may be applied to ensure orderly and expeditious preparation of cases for trial.
  1. Scope of discovery.

   (1) With the exception of the substance of any oral or written communications made by and between a complainant or complainant’s attorney and the petitioner subsequent to a determination that probable cause exists, the materials contained in the petitioner’s investigatory file must be available as of right to any party for inspection and copying subsequent to docketing at OATH upon reasonable notice, unless a default has been entered against that party by the administrative law judge.

   (2) In the absence of an agreement by the parties, the number of interrogatories, including subparts, is limited to fifteen. The administrative law judge may permit additional interrogatories upon application for good cause shown.

   (3) Any party may take the deposition of any other party as of right. Other depositions may be taken only upon leave of the administrative law judge for good cause shown. No person may be deposed by the party conducting the examination for a period aggregating more than seven hours except upon consent of all parties or leave of the administrative law judge for good cause shown. Deposition testimony may be recorded by a stenographer or by videotape or audiotape recording, at the option of the party conducting the deposition. The cost of the recording and transcription of deposition testimony must be borne by the party conducting the deposition.

  1. Sanctions. Failure to comply with or object to a discovery request in a timely fashion as provided by 48 RCNY § 1-33 may result in the imposition of sanctions as appropriate, including those specified in 48 RCNY § 1-33(e).

§ 2-30 Interlocutory Review.

(a) Within five days after issuance of any interlocutory order or decision, a party may move for certification by the administrative law judge that such order or decision may be submitted, in whole or in specified part, for review by the chair of the Commission. If the party moving for certification seeks a stay of proceedings, in whole or in part, pending completion of the interlocutory review, the motion for certification must include a statement as to why the failure to grant the requested stay would materially prejudice the party. Certification may also be made, and a stay may be ordered, by the administrative law judge on his or her own motion.
  1. As provided by the Commission’s rules (47 RCNY § 1-74), failure of a party to seek interlocutory review of a decision or order does not preclude that party from making such challenge to the Commission in connection with the Commission’s review of a report and recommendation in a case, provided that the party timely made its objection known to the administrative law judge and that the grounds for such challenge must be limited to those set forth to the administrative law judge.

§ 2-31 Proceedings After Issuance of Report and Recommendation.

Proceedings following issuance by the administrative law judge of the report and recommendation in the case are governed by the Commission’s rules (47 RCNY §§ 1-75, 1-76).

Subchapter D: Rules For Post-seizure Review of Impoundment of Vehicles

§ 2-41 Applicability.

This subchapter applies solely to cases brought to determine the validity of post-seizure retention of vehicles by the Police Department as evidence or for prospective or pending actions to forfeit such vehicles pursuant to § 14-140 of the New York City Administrative Code. Chapter 1 of this title also applies to such cases except to the extent that it is inconsistent with this subchapter or with Krimstock v. Kelly, 99 Civ. 12041 (MBM), order and judgment , and any amendments, modifications and revisions thereof.

§ 2-42 Parties.

For purposes of this subchapter, the Police Department will be the petitioner, and the claimant to the vehicle will be the respondent, as defined in 48 RCNY § 1-01.

§ 2-43 Pleadings.

(a) The time provided in 48 RCNY § 1-26(d) for service of the notice of trial does not apply.
  1. Notwithstanding 48 RCNY § 1-24, the respondent may serve and file an answer at any time until the commencement of the hearing.

§ 2-44 Trial Continuances.

A motion by the petitioner, after the conclusion of the respondent’s evidence, for a continuance of trial to present rebuttal evidence in the form of testimony from witnesses not called on the petitioner’s case-in-chief, may be granted for good cause shown.

§ 2-45 Default by Vehicle Owner.

Pursuant to 48 RCNY § 1-45, where an owner of a vehicle fails to appear for trial, having been properly served with required notices, the petitioner need not prove that such owner “permitted or suffered” the allegedly illegal use of the seized vehicle.

§ 2-46 Transcription of Trials.

Notwithstanding 48 RCNY § 1-51, the recording of the trial or of other proceedings in the case, whether electronic or stenographic, may not be transcribed except (i) upon request and payment of reasonable transcription costs, (ii) upon direction of the administrative law judge, in his or her discretion, or (iii) as otherwise required by law.

Chapter 3: Rules of Practice Applicable to Proceedings Brought Before the Environmental Control Board Pursuant to

Subchapter A: General Rules

§ 3-11 Definitions.

Definitions in 48 RCNY § 6-01 apply to terms used in this chapter. In addition, as used in this chapter:

“Board” means the Environmental Control Board of the City of New York.

“Executive Director” means the executive director of the Board.

§ 3-12 Scope of Rules.

This chapter applies to the adjudications of summonses conducted by the Tribunal as authorized by the Board and to other Board proceedings pursuant to § 1049-a of the New York City Charter and provisions of the New York City Administrative Code, any rules and regulations made thereunder, or provisions of New York State law, and special hearings conducted by the Board pursuant to Title 24 of the New York City Administrative Code.

All such adjudications, special hearings and enforcement proceedings will be conducted pursuant to the rules set forth in Chapter 6 of this Title. Where there is a conflict between this chapter and Chapter 6, this chapter takes precedence.

§ 3-13 Computation of Time for Emergency Action.

Any emergency action taken by the Board that requires action within a 24-hour period will be taken regardless of whether the 24-hour period includes a Saturday, Sunday or legal holiday.

§ 3-14 Claims of Prior Adjudication.

Whenever a party claims that a summons was previously adjudicated, the hearing officer must allow both parties to present all relevant evidence on all the issues in the case, including the claim of prior adjudication. If a party has raised a claim of prior adjudication, the hearing officer must not decide such claim, but must preserve the claim for the purposes of subsequent appeal to the Appeals Unit, a panel of Board members, or the Board pursuant to 48 RCNY § 3-15. If, on appeal, a party properly raises and preserves a claim of prior adjudication, the Appeals Unit will review the records of the first and any subsequent hearings in order to assist the panel or Board in determining the claim of prior adjudication. In deciding the claim, the panel or the Board will consider the interests of justice and public safety.

§ 3-15 Panel or Board Review of Appeals.

(a) The Board will establish panels from among its members to review recommended decisions prepared by the Appeals Unit, pursuant to 48 RCNY § 6-19(e), and to issue appeals decisions. A panel may refer a case to the Board for review if the panel is unable to reach a decision. Such case will be considered by the Board and the Board will issue an appeals decision. Unless a party files a request pursuant to Subdivision (b) of this section, the appeals decision of the panel or the Board will be deemed to have been issued by, and become the final determination of the Board, which is also a final determination of the Tribunal. Judicial review of such determination may be sought pursuant to article 78 of the New York Civil Practice Law and Rules (CPLR).
  1. Superseding appeals decisions. Within 10 days of the mailing of the Board’s appeals decision, a party may apply to the Board for a superseding appeals decision to correct ministerial errors or errors due to mistake of fact or law. The request for a superseding appeals decision must be served upon the non-requesting party. A decision denying a request for a superseding appeal incorporates by reference the initial appeals decision. A decision granting a request for a superseding appeal vacates the initial appeals decision. This superseding appeals decision will become the final determination of the Board, which is also the final determination of the Tribunal. Judicial review of such determination may be sought pursuant to article 78 of the CPLR.

§ 3-16 Judicial Review When Board Decision is Delayed.

(a) If the Board has not issued an appeals decision within 180 days from the filing of the appeal, or if the Board has not issued a superseding appeals decision within 180 days from the request for superseding appeal, the Respondent may at any time file a petition seeking judicial review of the Hearing Officer's recommended decision pursuant to article 78 of the New York Civil Practice Law and Rules (CPLR). Such Respondent may rely on the recommended decision of the Hearing Officer as the final determination of the Board, provided that the following three conditions are met:

   (1) at least forty-five days before the filing of such petition, the Respondent files with the Board written notice of the Respondent’s intention to file the Article 78 petition;

   (2) the Respondent serves and files the article 78 petition on the Board pursuant to the CPLR; and

   (3) the Board has not issued an appeals decision or, if applicable, a superseding appeals decision at the time of filing the petition.

  1. The Board may issue a final determination after a Respondent files with the Board written notice of intention to file a petition for judicial review under Subdivision (a) and before the Respondent has filed the petition.

§ 3-17 Admission After Default.

Where the Board issues a default decision, in accordance with 48 RCNY § 6-20, permitting Respondent to admit the charge and pay by mail, Respondent may enter a late admission and payment by mail within thirty days of the mailing date of the default decision. OATH may impose a fee of $30 for the processing of such late admission.

§ 3-18 Stipulation in Lieu of Hearing.

(a) At any time before the Hearing Officer issues a recommended decision, the Petitioner may offer the Respondent a settlement of the summons by stipulation in lieu of further hearing. The stipulation must contain an admission of the violation, the further facts stipulated to, if any, the amount of the penalty to be imposed, and the compliance ordered, if any.
  1. If entered into by Respondent and filed with the Tribunal prior to the first scheduled hearing date, the stipulation will be reviewed by the Executive Director or his or her designee. The Tribunal as authorized by the Board will, after receiving such stipulation, issue a final decision incorporating the terms of the stipulation. If the stipulation is not acceptable to the Tribunal, the matter will be rescheduled for further hearing.
  2. If entered into during the course of a hearing and approved by the Hearing Officer, the stipulation will be incorporated into the Hearing Officer’s recommended decision.
  3. Decisions based upon stipulations may not be appealed.

§ 3-19 Post Judgment Amendment of Records.

(a) Upon the written motion of any party, the Board may amend any judgment to designate a judgment debtor by the correct legal name.
  1. The movant must file the written motion with the Executive Director. The movant must also file an affidavit setting forth the facts and evidence relied on and an affidavit of service, by certified or registered mail and regular mail, of the motion on the judgment debtor at the last known address and at the address or addresses at which the summons was or summonses were served. Such motion must be served on the judgment debtor and any other party. The motion must set forth the date and time of the hearing in accordance with the direction of the Executive Director, provided that such date and time will not be sooner than ten (10) days after the service of such motion on the judgment debtor. At such hearing, any party may appear, in person or otherwise, with or without an attorney, cross-examine witnesses, present evidence and testify. If the judgment debtor does not appear at the hearing, the Hearing Officer may proceed to determine the evidence presented by the movant in support of the motion.
  2. If the Hearing Officer finds that the movant has established, by a preponderance of evidence, (i) the correct legal name of the judgment debtor, (ii) that such name is the same party designated on the summons or summonses as responsible for the alleged violation or violations and (iii) that service of the summons or summonses and of all other papers in the proceeding or proceedings was or were properly made upon such judgment debtor, the Hearing Officer will grant such motion and issue a recommended decision directing the amendment of the judgment to reflect the correct legal name of the judgment debtor and of all records relating to the proceedings commenced by the service of the summons or summonses, including the records of judgments filed with the civil court and in the office of the county clerk.
  3. The Hearing Officer will file the recommended decision with the Board and OATH will serve the recommended decision on all parties. Any party who appeared at the hearing, in person or otherwise, may file an appeal of such recommended decision in the manner provided in 48 RCNY § 6-19 and the Board will render a final decision on the appeal. Such final decision is the final decision of the Board for purposes of review pursuant to article 78 of the CPLR.
  4. If an appeal is not filed within the time provided for in 48 RCNY § 6-19, the Hearing Officer’s recommended decision will become the final decision of the Board and is not subject to review pursuant to article 78 of the CPLR.
  5. An order correcting a judgment does not affect the duration of a judgment. The judgment will remain in full force and effect for eight (8) years from the date that the judgment was originally entered.

Subchapter B: Special Hearings

§ 3-21 Cease and Desist Actions.

(a) Scope. This section governs cease and desist actions brought by the Board pursuant to Administrative Code §§ 24-178, 24-257, or 24-524, after Respondent has had notice and an opportunity for a hearing on the violations alleged pursuant to the provisions of §§ 24-184, 24-263, or 24-524 as appropriate, and has failed to comply with orders issued by the Board in such proceedings.
  1. Issuance of Order and Notice. Cease and desist actions are commenced by the Board issuing an order to cease and desist and a notice of special hearing. The order and notice will identify the particular compliance order, previously issued after an adjudicatory hearing or finding of default, which Respondent is alleged to have disregarded, and the activity, equipment, device and/or process involved. The order will direct Respondent to show cause at a special hearing why the equipment, device or process should not be sealed and additional penalties should not be imposed, and will notify Respondent that, if Respondent does not appear as directed, the Board’s order will be implemented.
  2. Service. The order to cease and desist and notice of special hearing will be served personally and by regular mail.

§ 3-22 Special Hearing.

(a) Pre-Sealing Hearing. The special hearing will be presided over by a Hearing Officer who has all of the powers and duties in subchapter C of Chapter 6 of these rules, except as specifically provided in this section. The Hearing Officer may receive evidence presented by the Petitioner who requested the Board to issue the cease and desist order, any intervenor, and the Respondent.
  1. Motions to Intervene.

   (1) A person may intervene as of right in a special hearing if such person may be directly and adversely affected by a cease and desist order of the Board. An order imposing a monetary penalty is not an order directly or adversely affecting any person other than a Respondent.

   (2) Such person intervening as of right must file a written application with the Tribunal and serve it upon each party to the proceeding not less than five (5) days before the special hearing. Such written application must set forth in detail the reasons why the person seeks to intervene. When such written application is made by any person, the matter will be assigned to a Hearing Officer for disposition. Within three (3) days of being served with such written application, any party may file a response and any supporting documents with the Tribunal. Such response and documents, if any, must be served upon the applicant and all other parties.

   (3) An intervenor as of right will have all the rights of an original party, except that the Hearing Officer may provide that the intervenor will be bound by orders previously entered or evidence previously received and that the intervenor will not raise issues or seek to add parties which might have been raised or added more properly at an earlier stage of the proceeding.

  1. Report. In lieu of a recommended hearing decision, the Hearing Officer will prepare a report summarizing the evidence and arguments and including the Hearing Officer’s findings of fact and recommendation as to whether the sealing should proceed and additional penalties should be imposed. The Hearing Officer will promptly file the report with the Board.
  2. Board Order. Upon receipt of the Hearing Officer’s report, the Board may adopt, reject or modify the findings and recommendation, and direct such further hearings or issue such further orders to Respondent as are appropriate under the circumstances to assure correction of the violations. In any case in which the Board issues an order requiring the Respondent to take affirmative action, such order may also require the Respondent to file with the Board a report or reports attesting under oath that the Respondent has complied with the order. Failure to file a required report within the time limit set forth in the order may, in the Board’s discretion, constitute a violation of the order regardless of whether the Respondent has otherwise complied with the provisions of the order.
  3. Post-Sealing Hearing. At any time after a sealing has taken place, a Respondent may request a special hearing to present evidence as to why the seal should be removed or sealing order modified. The Respondent must make the request by letter addressed to the Board or the Executive Director or his or her designee. A special post-sealing hearing will then be scheduled and presided over by a Hearing Officer and conducted in accordance with the provisions of subparagraphs (a), (b) and (c) of this section.

§ 3-23 Application for a Temporary or Limited Unsealing or Stay.

If it appears that remediation undertaken by a Respondent cannot proceed or its effectiveness cannot be tested while a seal remains in place, the Respondent may, by written application addressed to the Executive Director or his or her designee, request that a seal be temporarily removed or stayed for a limited period. The Executive Director or his or her designee may authorize a temporary unsealing or stay of sealing for the above specified reasons for such limited period and subject to such conditions as the Executive Director or his or her designee deems appropriate.

§ 3-24 Hearings after Emergency Cease and Desist Orders.

When the Board has issued an emergency cease and desist order, without hearing, due to an imminent peril to public health or safety, pursuant to Administrative Code §§ 24-178(f), 24-346(a) and (e) or 24-523(a) and (b), any person affected by such emergency order may, by written notice to the Board, request a hearing or an accelerated hearing in accordance with those provisions. The hearing held pursuant to the request will be held by the Board and not referred to a Hearing Officer. The hearing will otherwise be conducted in accordance with the relevant provisions of law and the applicable Board rules for adjudicatory hearings.

Subchapter C: Adjudications – Hearing Procedures [Repealed]

Subchapter D: Adjudications – Appeal Procedures [Repealed]

Subchapter E: Miscellaneous [Repealed]

Subchapter F: Special Hearings and Enforcement Proceedings [Repealed]

Subchapter G: Penalties

§ 3-100 General.

Whenever a respondent is found in violation of any provision of the New York City Administrative Code, Rules of the City of New York, New York City Health Code, New York State Public Health Law, New York Codes, Rules and Regulations, New York City Zoning Resolution, New York State Vehicle and Traffic Law, or New York State Environmental Conservation Law, and the summons (as defined in 48 RCNY § 6-01) for such violation is returnable to the Environmental Control Board, any civil penalty recommended by a Hearing Officer pursuant to 48 RCNY § 3-57(a), any default penalty imposed pursuant to 48 RCNY § 3-81(a) and in accordance with § 1049-a(d)(1)(d) of the Charter, and any civil penalty imposed for admissions of violation(s) pursuant to 48 RCNY § 3-32 or late admissions pursuant to 48 RCNY § 3-81(b) will be imposed pursuant to the Penalty Schedules set forth below. If no Penalty Schedule is contained in these rules, any such civil penalty and default penalty will be imposed pursuant to the Penalty Schedule contained in the rules of the agency with primary jurisdiction to enforce the provisions of law related to the violation alleged in the summons.

§ 3-101 Air Asbestos Penalty Schedule. [Repealed]

*§ 3-102 Air Code Penalty Schedule. [Repealed]* ::

§ 3-103 Buildings Penalty Schedule. [Repealed]

*§ 3-104 Community Right-To-Know Law Penalty Schedule. [Repealed]* ::

§ 3-105 Environmental Conservation Law Penalty Schedule.

*§ 3-107 Food Vendor Administrative Code Penalty Schedule. [Repealed]* ::

§ 3-108 Fulton Fish Market/Other Seafood Markets/Public Wholesale Markets Violations. [Repealed]

*§ 3-109 General Vendor Penalty Schedule. [Repealed]* ::

§ 3-110 Health Code and Miscellaneous Food Vendor Violations Penalty Schedule. [Repealed]

*§ 3-111 Hazardous Materials Penalty Schedule.* ::

HAZARDOUS SUBSTANCES EMERGENCY RESPONSE LAW PENALTY SCHEDULE

All citations, unless otherwise indicated are to the NYC Administrative Code. A second violation is a violation by the same respondent of the same section of law with a date of occurrence within three (3) years of the date of occurrence of the previous violation.

* The following shall be considered environmentally sensitive areas: wetlands and wetland buffer areas; National and State parks; critical habitats for endangered and threatened plant and animal species; wilderness and natural areas; marine sanctuaries; conservation areas; preserves; wildlife areas; scenic, wild or recreational rivers; seashore and lakeshore recreational areas; critical biological resource areas; National and State protected and critical environmental areas (CEAS) as defined in 6 NYCRR Section 617.2(i).

Section/Offense/Penalty Mitigating Factors (Cumulative) Aggravating Factor(Cumulative, up to a Total Penalty of $10,000) Default
Admin. Code § 24-609(b) 1st offenseFailed to comply with notification requirements upon release of hazardous substance $4,000 1.  Subtract $500, if telephone within 24 hours. Telephone notification shall be found where respondent provided DEP with all of the telephone notification requirements as provided in 15 RCNY § 11-03(b) within 24 hours of when respondent knows or has reason to know of a release.2.  Subtract $500, if respondent did provide written notification. Written notification shall be found where respondent provided DEP with all of the written notification requirements as provided in 15 RCNY § 11-03(c).3.  Subtract $1,000, if began abating release within 3 hours of when respondent knew or had reason to know of a release. 1.  Add $2,500, if release occurred within 1,000 feet of any of the following: residence district as defined by the New York City Zoning Resolution; school, highway, parkway or any other three lane roadway; environmentally sensitive area*; hazardous/toxic substance(s) industry/facility required to file under the New York City Community Right-to-know Law, Title 24 Chapter 7 of the New York Administrative Code.2.  Add $2,500, if amount of release was equal to or greater than twice the Reportable Quantity.3.  Add $2,500, if release caused actual injury to wildlife and/or human health.4.  Add $2,500 if willful or intentional release of the listed hazardous substance. $10,000
Admin. Code § 24-609(b)2nd Offense$9,000 SAME AS ABOVE SAME AS ABOVE $10,000
Admin Code § 24-610(c) 1st Offense willfully violated or failed or refused to comply with Commissioner’s Order $3,000 1.  Subtract $1,000, if complied with that portion of Scope of Work Order relating to securing of premises/building.2.  Subtract $500, if complied with that portion of Scope of Work Order relating to identification of all hazardous substances. 1.  Add $1,500, if failed to comply with that portion of Scope of Work Order relating to Bills of Lading and Hazardous Waste Manifests.2.  Add $1,500, if total non-compliance, i.e. failed to comply with any part of Commissioner’s Order. (In such cases, there could be no mitigating factors.) $10,000
Admin. Code § 24-610(c) 2nd Offense $4,500 SAME AS ABOVE SAME AS ABOVE $10,000

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§ 3-112 Health Code Lead Abatement Penalty Schedule. [Repealed]

*§ 3-113 Hudson River Park Rules Penalty Schedule.* ::

HUDSON RIVER PARK RULES PENALTY SCHEDULE

Pursuant to 48 RCNY § 3-81(b), a late admit fee of $30.00 will be added to all the below listed penalties for a failure to submit a payment by mail, as per 48 RCNY § 3-32, within 30 days of the mailing date of the default order issued against respondent. All citations are to 21 NYCRR Part 751.

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751.4(a) Unauthorized presence in park when closed to public $50 $200
751.4(b)(1) Failure to comply with directives of Police officer/Park employee $250 $500
751.4(b)(2) Failure to comply with directions/prohibitions on signs $50 $200
751.4(c) Failure to comply with orders of HRPT $250 $500
751.5(h) Failure to have/ display/ comply with required permit $50 $200
751.6(a) Injury/ defacement/ abuse of property or equipment $500 $500
751.6(b)(1) Intentional destruction/ removal/ permanent damage to tree(s) $500 $500
751.6(b)(1) Destruction/defacement/abuse of park vegetation $250 $500
751.6(b)(2) Walking/permitting animal /child to walk on newly seeded grass $50 $200
751.6(b)(3) Unauthorized entry/allowing entry into fenced/restricted area $50 $200
751.6(b)(4) Unauthorized possession of gardening tool/plant $50 $200
751.6(b)(5) Unauthorized use of metal detector $50 $200
751.6(c) Littering or unlawful use of park waste receptacle $100 $300
751.6(c)(2) Illegal discharge into park waters $250 $500
751.6(c)(3) Unlawful dumping $500 $500
751.6(c)(4) Storing/leaving unattended personal belongings $50 $200
751.6(d) Possession of glass container in restricted area $50 $200
751.6(e) Failure to comply with restrictions re: aviation $100 $400
751.6(g)(1) Molest/kill/remove/ possess animal/ nest egg. etc. $500 $500
751.6(g)(2) Unlawful feeding of animals $50 $200
751.6(i) Unleashed or uncontrolled animals in park $100 $200
751.6(i) Unleashed or uncontrolled animals in park – 2nd Offense $200 $400
751.6(i) Unleashed or uncontrolled animals in park – 3rd Offense $400 $500
751.6(i) Unleashed or uncontrolled animals in park – 4th and Subsequent Offenses $500 $500
751.6(j) Failure to comply with horseback riding restrictions $50 $200
751.6(k) Failure to remove animal waste $250 $250
751.6(l) Unlawful urination/ defecation in park $50 $300
751.6(m)(1) Disorderly behavior involving entrance/exit onto park property $50 $200
751.6(m)(2) Unlawful climbing on park property $50 $200
751.6(m)(3) Failure to pay a fee/charge $50 $200
751.6(p) Obstruction of benches, sitting areas $50 $200
751.6(q) Unauthorized camping/ erection of tent or shelter $250 $500
751.6(r) Spitting on park building/ monument/ structure or in the water $100 $200
751.6(s) Unlawful use of fountain/pool/water/ for personal/ animal hygiene $50 $200
751.6(u) Use of prohibited vessels,i.e. jet skis, cigarette boats, etc. $100 $400
751.6(v) Failure to comply with smoking restrictions $$50 $50
751.7(a)(1) Unauthorized special event/ demonstration without permit $250 $500
751.7(a)(2) Unlawful erection of structure/stand/booth/platform/exhibit/artwork $250 $500
751.7(b) Unauthorized vending $250 $500
751.7(c) Unauthorized posting/ display of notices/ signs/ banners, etc. $50 $200
751.7(d)(1) Unreasonable noise $350 $500
751.7(d)(2) Unauthorized/un-permitted use of sound reproduction device $140 $350
751.7(d)(3) Playing instrument/radio, etc. during unauthorized hours $140 $350
751.7(d)(4) Unauthorized noise for advertising/ commercial purposes $500 $500
751.7(e) Commercial/ Photo production without permit/ restricting access $250 $500
751.7(f)(1) Unauthorized consumption/possession of alcoholic beverage $25 $100
751.7(g) Failure to comply with bathing restrictions $50 $200
751.7(h) Failure to comply with fishing restrictions $50 $200
751.7(i) Failure to comply with bicycle riding restrictions $50 $200
751.7(j) Planting/pruning/interfering with tree/vegetation without permit $100 $400
751.7(k)(1) Failure to comply with restriction re:fires $50 $200
751.7(k)(2) Unlawful disposal of flammable materials $50 $200
751.7(m) Unauthorized construction/storage of materials $500 $500
751.7(n) Unauthorized excavation $500 $500
751.7(o) Failure to comply with area use restrictions $50 $200
751.7(q) Unauthorized distribution or demonstration of products $100 $400
751.7(r) Failure to comply with rollerblading/skating etc. Restrictions $50 $100
751.7(s) Geocaching/treasure-hunting without a permit $25 $50
751.8(a)(1) Operating/anchoring/mooring etc. boat in unauthorized area $500 $500
751.8(b) Failure to operate a vessel in a safe/non-reckless manner $100 $400
751.8(c) Operating a vessel without muffler that muffles noise in a reasonable manner $350 $500
751.8(d) Prohibited use of vessels in an authorized swimming or wading area $100 $400
751.8(e) Unlawful use of vessel $500 $500
751.8(f) Use of excessive speed by vessel $500 $500
751.8(g) Failure to remove sunken/disabled vessel $500 $500
751.8(h) Unauthorized overnight occupancy of vessels $50 $200
751.8(i) Interference with emergency vessel boarding $100 $400
751.8(j)(1) Use of unauthorized toilets on vessel $250 $500
751.8(j)(2) Unauthorized and non-emergency repair of vessels $50 $200
751.8(j)(3) Failure to deposit garbage in designated receptacles $50 $200
751.8(j)(4) Prohibited use /storage of welding machinery $50 $250
751.8(l)(1) Failure to meet docking requirements/ altering docks $50 $200
751.8(l)(2)(i) Mooring of a vessel in an unauthorized area $50 $200
751.8(l)(2)(ii) Mooring of a vessel with improper/inadequate ties $50 $200
751.8(m)(1) Improper maintenance of vessel or equipment $50 $200
751.8(m)(2) Unauthorized structural modification on vessel $500 $500
751.8(n) Failure to possess proper safety equipment on vessel $50 $200
751.8(o) Unauthorized storage of dinghies, kayaks & canoes $50 $250
751.8(p) Unauthorized boat launching $50 $250
751.8(q) Use of non-motorized vessels in restricted areas $50 $200

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§ 3-114 Landmarks Preservation Penalty Schedule. [Repealed]

*§ 3-115 Noise Code Penalty Schedule. [Repealed]* ::

§ 3-116 Parks Rules Penalty Schedule. [Repealed]

*§ 3-117 Public Health Law Penalty Schedule.* ::

§ 3-118 Public Pay Telephones Penalty Schedule.

PUBLIC PAY TELEPHONES PENALTY SCHEDULE

Unless otherwise indicated all citations are to the New York City Administrative Code.

* Pursuant to 48 RCNY § 3-81(b), a late admit fee of $30.00 will be added to the penalties for these charges for a failure to submit a payment by mail, as per 48 RCNY § 3-32, within 30 days of the mailing date of the default order issued against respondent.

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Admin. Code § 23-402 Install/Operate/Maintain Public Pay Telephone without permit $900 $1,000
Admin. Code § 23-402 Install/Operate/Maintain Public Pay Telephone in violation of permit terms $500 $1,000
Admin. Code § 23-405 Impermissible advertising on Public Pay Telephone $900 $1,000
Admin. Code § 23-408(b) Repeated failure to provide services for a sustained period $2,000 $2,500
Admin. Code § 23-408(b) Failure to provide coinless 911 service $2,000 $2,500
67 RCNY § 6-24(c) False statement/info in a certification/registry $900 $1,000
67 RCNY § 6-26(a) Failure to remove Public Pay Telephone after failure to submit registry $900 $1,000
67 RCNY § 6-26(b) Failure to remove Public Pay Telephone per requirements of subsection $500 $1,000
67 RCNY § 6-41 Failure to adhere to siting/clearance/pedestrian passage requirements as per subsection $500 $1,000
67 RCNY § 6-05(a)* Failure to provide coinless access to 911 on a twenty-four hour daily basis $2,000 $2,500
67 RCNY § 6-05(b)* Failure to provide working Public Pay Telephone and operator services $2,000 $2,500
67 RCNY § 6-05(c)* Failure to clean/maintain Public Pay Telephone as per requirements of subsection $250 $1,000
67 RCNY § 6-05(d) Failure to correct, repair or restore broken, fractured, detached or displaced PPT within 72 hours period $900 $1,000
67 RCNY § 6-06* Impermissible display of advertising on Public Pay Telephone installation $900 $1,000
67 RCNY § 6-36(b)(1),(d)* Failure to remove Public Pay Telephone as per Commissioner’s Order $500 $1,000
67 RCNY § 6-42* Required sign missing/impermissible as per requirements of subsection $250 $1,000
67 RCNY § 6-43* Failure to comply with installation/maintenance standards as per requirements of subsection $500 $1,000
67 RCNY Chapter 6* Miscellaneous violation of rules pertaining to Public Pay Telephones $250 $1,000
Admin. Code Title 23, Ch.4* Miscellaneous violation of code pertaining to Public Pay Telephones $250 $1,000

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§ 3-119 Public Safety Graffiti Penalty Schedule.

PUBLIC SAFETY GRAFFITI PENALTY SCHEDULE

The following citations are to the NYC Administrative Code. Pursuant to 48 RCNY § 3-81(b), a late admit fee of $30.00 will be added to all the below listed penalties for a failure to submit a payment by mail, as per 48 RCNY § 3-32, within 30 days of the mailing date of the default order issued against respondent.

Section/Rule Description Penalty Default
Admin. Code § 10-117(a) Unlawful defacement of property by graffiti (except with stickers or decals) $100 $500
Admin. Code § 10-117(b) Unlawful possession of aerosol spray paint can/indelible marker $100 $500
Admin. Code § 10-117(c) Offer/sale of aerosol spray paint can/indelible marker to minor $100 $500
Admin. Code § 10-117(d) Unlawful display of aerosol spray paint can/indelible marker $100 $500
Admin. Code § 10-117.3(b) Failure to remove graffiti $150 $300
Admin. Code § 29-109.2.4 Use or discharge of fireworks without permit $750 $750

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§ 3-120 Recycling – Sanitation Collection Rules Penalty Schedule.

RECYCLING – SANITATION COLLECTION RULES PENALTY SCHEDULE

A repeat violation is a violation by the same respondent, at the same place of occurrence, of any of the recycling rules or provisions, having a date of occurrence within 12 months of the date of occurrence of the previous violation. Persistent violator: As is set forth in § 16-324 of the Administrative Code, a person committing a fourth and any subsequent violation within a period of six months shall be classified as a persistent violator. Such person shall be liable for a civil penalty of four hundred dollars for each violation. A persistent violation may only be found where such violation occurs at a building of nine or more dwelling units. Each container or bag containing solid waste that has not been source separated or placed out for collection in a manner consistent with the regulations promulgated by the commissioner pursuant to this chapter shall be deemed a separate violation. However, no more than twenty separate violations may be issued on a per bag or per container basis during any twenty-four hour period.

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  Residential Premises    
16 RCNY § 1-08(e)(1),(2) Improper/misused curbside recycling container (One to eight dwelling units) 1st Violation2nd Violation3rd Violation $25$50$100
16 RCNY § 1-08(e)(3) Improper/misused mechanized recycling container (One to eight dwelling units) 1st Violation2nd Violation3rd Violation $25$50$100
16 RCNY § 1-08(f)(1) Failure to post notices/inform about recycling (Four to eight dwelling units) 1st Violation2nd Violation3rd Violation $25$50$100
16 RCNY § 1-08(f)(2)(i) No accessible recycling storage area (Four to eight dwelling units) 1st Violation2nd Violation3rd Violation $25$50$100
16 RCNY § 1-08(f)(2)(iii) Inadequate recycling containers in storage area (Four to eight dwelling units) 1st Violation2nd Violation3rd Violation $25$50$100
16 RCNY § 1-08(g)(1) Improper disposal of recyclables/misuse of container (One to eight dwelling units) 1st Violation2nd Violation3rd Violation $25$50$100
16 RCNY § 1-08(g)(3) Failure to clean recyclables (One to eight dwelling units) 1st Violation2nd Violation3rd Violation $25$50$100
16 RCNY § 1-08(g)(3) Failure to bundle newspapers/magazines/cardboard (One to eight dwelling units) 1st Violation2nd Violation3rd Violation $25$50$100
16 RCNY § 1-08(h)(1),(2) Failure to properly put recyclables out for collection (One to eight dwelling units) 1st Violation2nd Violation3rd Violation $25$50$100
16 RCNY § 1-08(h)(4) Non-recyclables left in recycling container for Collection (One to eight dwelling units) 1st Violation2nd Violation3rd Violation $25$50$100
16 RCNY § 1-08(h)(5) Recyclables placed for collection with non-recyclables (One to eight dwelling units) 1st Violation2nd Violation3rd Violation $25$50$100
16 RCNY § 1-08(i) Failure to comply with Comm.Order mandating use of clear plastic bags for disposal of refuse & recycling (Four to eight dwelling units) 1st violation2nd violation3rd violation $25$50$100
16 RCNY § 1-08(e)(1),(2) Improper/misused curbside recycling container (Nine or more dwelling units) 1st Violation2nd Violation3rd Violation $100$200$400
    PersistentViolator (fourth or subsequent violation within six months) $400
16 RCNY § 1-08(e)(3) Improper/misused mechanized recycling container (Nine or more dwelling units) 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-08(f)(1) Failure to post notices/inform about recycling (Nine or more dwelling units) 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-08(f)(2)(i) No accessible recycling storage area (Nine or more dwelling units) 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-08(f)(2)(iii) Inadequate recycling containers in storage area (Nine or more dwelling units) 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-08(g)(1) Improper disposal of recyclables/misuse of container (Nine or more dwelling units) 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-08(g)(2) Failure to clean recyclables (Nine or more dwelling units) 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-08(g)(3) Failure to bundle newspapers/magazines/cardboard (Nine or more dwelling units) 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-08(h)(1),(2) Failure to properly put recyclables out for collection (Nine or more dwelling units) 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-08(h)(4) Non-recyclables left in recycling container for Collection (Nine or more dwelling units) 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-08(h)(5) Recyclables placed for collection with non-recyclables (Nine or more dwelling units) 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-08(i) Failure to comply with Comm. Order mandating use of clear plastic bags for disposal of refuse & recycling (Nine or more dwelling units) 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
  Institutions/Agencies    
16 RCNY § 1-09(d) Failure to establish recycling program 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-09(g)(1)(i) Failure to notify employees about recycling program 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-09(g)(1)(iii) Recycling containers not provided/not labeled 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-09(h),(i),(j) Failure to source separate designated recyclables 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
  Private Carter Collected Waste    
16 RCNY § 1-10(c)(1) Failure to source separate non-food/beverage recyclables 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-10(c)(2) Failure to source separate food/beverage recyclables 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-10(c)(3) Failure to source separate residential recyclables (One to eight dwelling units) 1st Violation2nd Violation3rd Violation $25$50$100
16 RCNY § 1-10(c)(3) Failure to source separate residential recyclables (Nine or more dwelling units) 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-10(d)(2) No agreement with carter for mixed materials 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-10(d)(3) Failure to post commingling notice 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-10(e) Failure to maintain source separation 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-10(f)(1)(i) No written recycling agreement 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-10(f)(1)(ii) No written recycling notice to tenants/employees 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-10(f)(1)(iii) Recycling notices not posted in maintenance area 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-10(f)(1)(iv) Recycling containers missing 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-10(f)(2)(i) Failure to source separate recyclables 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-10(f)(2)(ii),(iv) Failure to notify employees/post notices/label Containers 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-10(g)(1) Failure by Transfer Station to recycle 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-10(g)(2) Failure to maintain separation of paper(transfer stations) 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-10(g)(3) Failure to separate commingled metal, glass plastic(transfer stations) 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-10(g)(5) Failure to separate components of construction waste(transfer station) 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
16 RCNY § 1-10(g)(6),(7) Improper disposal of recyclables or commingled materials(transfer station) 1st Violation2nd Violation3rd Violation $100$200$400
    Persistent Violator (fourth or subsequent violation within six months) $400
Admin. Code § 16-324(a) Persistent Violator, recycling   $400

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§ 3-121 Sanitation Asbestos Rules Penalty Schedule.

SANITATION ASBESTOS RULES PENALTY SCHEDULE

Worker Penalty: Where the Hearing Officer finds that the respondent is a worker (defined as an individual employee working under the direction of another whose job duties permit no exercise of judgment or discretion), the penalty will be $500.00. Second offense is defined as a violation by the same respondent of any provision of the rules found in 16 RCNY Chapter 8, or of § 16-117.1 of the NYC Administrative Code, where the date of occurrence of the current violation is within two years of the date of the prior violation. All citations are to 16 RCNY Chapter 8.

Rules Description Penalty BasicPenalty Aggravating Circumstances   Mitigation  
Visible Emission or Adult Exposure Child Exposure No Knowledge Small Quantity        
PRESENT FOR STORAGE OF ASBESTOS WASTE:              
16 RCNY § 8-03(a)(1) Not Wet 1st $4,000 $8,000 $9,000 -$1,000 -$500
    2nd $5,000 $10,000 $11,000 N/A -$1,000
16 RCNY § 8-03(a)(2) Uncontained, unsealed 1st $7,000 $14,000 $15,000 -$2,000 N/A
    2nd $8,000 $16,000 $18,000 N/A N/A
16 RCNY § 8-03(a)(2) Not 6 mil 1st $5,000 $10,000 $11,000 -$2,000 -$1,000
    2nd $6,000 $12,000 $14,000 N/A -$1,000
16 RCNY § 8-03(a)(2) No Warning Label 1st $1,000 N/A N/A -$500 -$200
    2nd $1,500 N/A N/A N/A -$500
16 RCNY § 8-03(a)(3) Mixed w/ other waste 1st $5,000 $10,000 $11,000 -$2,000 -$1,000
    2nd $6,000 $12,000 $14,000 N/A -$1,000
STORAGE OF ASBESTOS WASTE:              
16 RCNY § 8-04(a)(1) Uncontained, unsealed 1st $12,000 $24,000 $25,000 -$4,000 N/A
    2nd $14,000 $25,000 $25,000 N/A N/A
16 RCNY § 8-04(a)(1) Not wet, not 6 mil 1st $10,000 $20,000 $22,000 -$4,000 -$2,000
    2nd $11,000 $22,000 $24,000 N/A -$2,000
16 RCNY § 8-04(a)(1) No warning label 1st $2,000 N/A N/A -$1,000 -$500
    2nd $3,000 N/A N/A N/A -$500
16 RCNY § 8-04(a)(2) No 24 hour inspection 1st $2,000 $4,000 N/A -$1,000 -$500
    2nd $3,000 $6,000 N/A N/A -$500
16 RCNY § 8-04(a)(3) Inadequate spare leak-tight containers 1st2nd $3,000$4,000 N/AN/A N/AN/A -$1,000N/A -$500-$500
16 RCNY § 8-04(a)(4) Inadequate water supply 1st2nd $3,000$4,000 N/AN/A N/AN/A -$1,000N/A -$500-$500
16 RCNY § 8-04(a)(5) Mixed with other waste 1st $7,000 $14,000 $15,000 -$2,000 -$1,000
    2nd $8,000 $16,000 $18,000 N/A -$1,000
16 RCNY § 8-04(a)(6) Unsecured area 1st $6,000 N/A N/A -$2,000 -$1,000
    2nd $7,000 N/A N/A N/A -$1,000
16 RCNY § 8-04(b) 50 cu. yds/no authorization 1st2nd $3,000$4,000 N/AN/A N/AN/A -$1,000N/A N/AN/A
16 RCNY § 8-04(b)(1)(i) 50 cu. yds/ noinspection records 1st2nd $2,000$3,000 $5,000$6,000 N/AN/A -$1,000N/A N/AN/A
PRESENT FOR TRANSPORT ASBESTOS WASTE:              
16 RCNY § 8-05(a) Uncontained, unsealed 1st $14,000 $25,000 $25,000 -$4,000 N/A
    2nd $16,000 $25,000 $25,000 N/A N/A
16 RCNY § 8-05(a) Not wet, not 6 mil 1st $12,000 $24,000 $25,000 -$4,000 -$2,000
    2nd $14,000 $25,000 $20,000 N/A -$2,000
16 RCNY § 8-05(a) No warning label 1st $3,000 N/A N/A -$1,000 -$500
    2nd $4,000 N/A N/A N/A -$500
16 RCNY § 8-05(b) Without inspection 1st $3,000 $6,000 $7,000 -$1,000 -$500
    2nd $4,000 $8,000 $9,000 N/A -$500
16 RCNY § 8-05(c) Mixed with other waste 1st $8,000 $16,000 $18,000 -$2,000 -$1,000
    2nd $9,000 $18,000 $20,000 N/A -$2,000
16 RCNY § 8-05(d)(1) Transporter w/o DEC permit 1st2nd $3,000$4,000 N/AN/A N/AN/A N/AN/A N/AN/A
16 RCNY § 8-05(d)(2) Transporter w/o DCA permit 1st2nd $3,000$4,000 N/AN/A N/AN/A N/AN/A N/AN/A
TRANSPORT ASBESTOS WASTE:              
16 RCNY § 8-06(a) Uncontained, unsealed 1st $16,000 $25,000 $25,000 -$5,000 N/A
    2nd $18,000 $25,000 $25,000 N/A N/A
16 RCNY § 8-06(a) Not wet, not 6 mil 1st $12,000 $24,000 $25,000 -$4,000 -$2,000
    2nd $14,000 $25,000 $25,000 N/A -$2,000
16 RCNY § 8-06(a) No warning label 1st $4,000 N/A N/A -$1,000 -$500
    2nd $5,000 N/A N/A N/A -$1,000
16 RCNY § 8-06(b) No examination, unsafe packaging 1st2nd $4,000$5,000 $8,000$10,000 $9,000$11,000 -$1,000N/A -$500-$1,000
16 RCNY § 8-06(c) Inadequate spare leak-tight containers 1st2nd $4,000$5,000 N/AN/A N/AN/A -$1,000N/A -$500-$1,000
16 RCNY § 8-06(d) Inadequate water supply 1st2nd $4,000$5,000 N/AN/A N/AN/A -$1,000N/A -$500-$1,000
16 RCNY § 8-06(e) Mixed with other waste 1st $9,000 $18,000 $20,000 -$4,000 -$2,000
    2nd $10,000 $20,000 $22,000 N/A -$2,000
16 RCNY § 8-06(f) Unprotected container 1st $9,000 $18,000 $20,000 -$4,000 -$2,000
    2nd $10,000 $20,000 $22,000 N/A -$2,000
16 RCNY § 8-06(g) Lacking DEC permit 1st $4,000 N/A N/A N/A N/A
    2nd $5,000 N/A N/A N/A N/A
16 RCNY § 8-06(h) Lacking DCA permit 1st $4,000 N/A N/A N/A N/A
    2nd $5,000 N/A N/A N/A N/A
PRESENT FOR DISPOSAL ASBESTOS WASTE              
16 RCNY § 8-07(a) Unapproved site 1st $10,000 $20,000 $22,000 -$4,000 -$2,000
    2nd $12,000 $24,000 $25,000 N/A -$2,000
16 RCNY § 8-07(b) Non-compliance w/ order 1st2nd $9,000$10,000 $18,000$20,000 $20,000$22,000 N/AN/A N/AN/A
16 RCNY § 8-07(c) Uncontained, unsealed 1st $18,000 $25,000 $25,000 -$6,000 N/A
    2nd $20,000 $25,000 $25,000 N/A N/A
16 RCNY § 8-07(c) Not wet, not 6 mil 1st $16,000 $25,000 $25,000 -$5,000 -$3,000
    2nd $18,000 $25,000 $25,000 N/A -$3,000
16 RCNY § 8-07(c) No warning label 1st $5,000 N/A N/A -$2,000 -$1,000
    2nd $6,000 N/A N/A N/A -$1,000
16 RCNY § 8-07(d) No examination, unsafe repackaging 1st2nd $5,000$6,000 $10,000$12,000 $11,000$14,000 -$2,000N/A -$1,000-$1,000
16 RCNY § 8-07(e) Mixed with other waste 1st $10,000 $20,000 $22,000 -$4,000 -$2,000
    2nd $12,000 $24,000 $25,000 N/A -$2,000
ABANDONMENT:              
16 RCNY § 8-08 Abandonment of Asbestos waste 1st2nd $20,000$22,000 $25,000$25,000 $25,000$25,000 -$6,000N/A -$4,000-$4,000

~

§ 3-122 Sanitation Penalty Schedule.

SANITATION PENALTY SCHEDULE

Unless otherwise indicated, all citations are to the New York City Administrative Code.

Repeat Violations

**For sections:

•   16-120(a), (b), (c), (d), (e)•   16-123

a second or third violation is:

•   a violation by the same respondent•   of the same section of law as the previous violation(s)•   with a date of occurrence within 12 months of the date of occurrence of the previous violations

***For sections:

•   10-119 and 10-120•   16-308(e) and 16-308(f)•   16-404•   16-405(a) and 16-405(b)

a repeat violation is:

•   a violation by the same respondent•   of the same section of law as the previous violation•   with a date of occurrence within 12 months of the date of occurrence of the previous violations

****For section 16-119 and 10-169, a repeat violation is:

•   a violation by the same respondent•   of the same section of law as the previous violation•   with a date of occurrence within 18 months of the date of occurrence of the previous violation

*****For these transfer-station related sections, a repeat violation is:

•   a violation by the same respondent•   of the same subdivision of a section of law or rule as the previous violation•   with a date of occurrence within 3 years of the date of occurrence of the previous violation

******For these medical-waste related sections, a repeat violation is:

•   a violation by the same respondent•   with a date of occurrence within 18 months of the date of occurrence of the previous violation

*******Daily penalties start on the date of the occurrence stated on the Notice of Violation. Daily penalties continue to be added until:

•   the respondent proves that the violation was corrected on a certain date before the first scheduled hearing date or•   the first scheduled hearing date.

The first scheduled hearing date will be sixty days from the date of occurrence. For each Notice of Violation, no more than sixty days of daily penalties will be charged.

For all charges except §§ 10-119 and 16-119:

********For § 16-130(b) and 16 RCNY § 4-44, a repeat violation is:

•   a violation by an owner or any person•   using or operating a premises, equipment, vehicle(s) or other personal property•   with a date of occurrence within 3 years of the date of occurrence of the previous violation•   in the business of such owner or otherwise•   with the express or implied permission of such owner

*********Except as otherwise provided in this head note, for violations of §§ 16-461(a)(1), 16-461(b), and 16-461(c), a second or subsequent offense is:

•   a violation by the same respondent•   of the same paragraph or subdivision, as applicable, of a section of law•   with a different date of occurrence within 18 months of the date of occurrence of the previous violation

For violations issued to owners of motor vehicles used to violate subdivision a or b of § 16-461, a second or subsequent offense is:

•   a violation by same respondent•   of either subdivision a or b of § 16-461•   with a date of occurrence within 18 months of the date of occurrence of a previous violation of either subdivision a or b of § 16-461•   regardless of whether the same vehicle was used in the subsequent offense

For violations issued to owners of motor vehicles used to violate § 16-461(c), a subsequent offense is:

•   a violation by same respondent•   of § 16-461(c)•   with a date of occurrence within 18 months of the date of occurrence of a previous violation of § 16-461(c)•   regardless of whether the same vehicle was used in the subsequent offense

For violations of §§ 16-463(b), 16-463(c), and 16-463(d), a subsequent offense is:

•   a violation by the same respondent•   of the same subdivision of a section of law•   within 18 months of the date of occurrence of the previous violation

“Owner” defined

For § 16-130(b) and 16 RCNY § 4-44 repeat violations, “owner” means:

•   a person who is entitled to use or keep   •   a premises   •   equipment   •   vehicle(s) or   •   other personal property or•   a person who leases property (called a lessee) or•   a person who is holding the property, equipment, vehicles or other personal property of another and is the only person allowed to use it (called a bailee)

A person is an “owner” even if another person has a security interest in the premises, equipment, vehicles or other personal property. A security interest is an interest in property. It allows the person with the security interest to take property if the owner does not meet an obligation such as payment on a debt. The term “owner” in this section does not include a person who holds a security interest.

Default

A respondent who does not appear or pay the Notice of Violation by mail before the scheduled hearing date is in default. For all charges in this penalty schedule, except for the charges listed under “Exceptions” below, the person or business charged on the Notice of Violation will have thirty days from the mailing date of the default order to pay the mail-in penalty indicated on the notice of violation penalty plus a late admit fee. The late admit fee is $30.00. At the end of thirty days, the full default penalty will be charged. For the charges listed under “Exceptions,” the full amount of the default penalty will be imposed immediately upon default.

Exceptions:

•   Any charge that has a mail-in penalty equal to the maximum penalty allowed by law•   16-119•   All charges of § 16-120.1 except   •   16-120.1 (d), “Improper disposal of regulated household waste”   •   16-120.1(e) or (f), “Late filing of medical waste plans or reports within 30 days as per § 16-120.1(i)(6)”•   16-117.1•   16-130(b)•   16 RCNY §§ 4-04 et seq.•   16 RCNY §§ 4-11 et seq.•   16 RCNY §§ 3-02 et seq.•   16 RCNY §§ 4-32, 4-33, 4-34•   16 RCNY § 4-44•   All charges of section 16 RCNY § 11-02 except   •   16 RCNY § 11-02(a)(b), “Late filing of medical waste plans or reports within 30 days as per 16 RCNY § 11-02(c)”

(Mitigation: 01) For a first-time violator, such penalty to be mitigated to $0 if proof is submitted that such condition has been cured prior to initial return date of the notice of violation.

~

Admin. Code § 16-116(a) Removal of commercial waste   $100 $100
Admin. Code § 16-116(b) Posting of sign/permit 1st (Mitigation: 01) $100
Admin. Code § 16-119**** Illegal dumping (Operator of vehicle) 1st $1,500 $10,000
Admin. Code § 16-119**** Illegal dumping (Operator of vehicle) 2nd $5,000 $10,000
Admin. Code § 16-119**** Illegal dumping (Operator of vehicle) 3rd $10,000 $20,000
Admin. Code § 16-119**** Illegal dumping (Operator of vehicle) 4th $15,000 $20,000
Admin. Code § 16-119**** Illegal dumping (Operator of vehicle) 5th $20,000 $20,000
Admin. Code § 16-119**** Illegal dumping (Owner of vehicle) 1st $1,500 $10,000
Admin. Code § 16-119**** Illegal dumping (Owner of vehicle) 2nd $5,000 $10,000
Admin. Code § 16-119**** Illegal dumping (Owner of vehicle) 3rd $10,000 $20,000
Admin. Code § 16-119**** Illegal dumping (Owner of vehicle) 4th $15,000 $20,000
Admin. Code § 16-119**** Illegal dumping (Owner of vehicle) 5th $20,000 $20,000
Admin. Code § 16-120(a)** Improper Disposal 1st $100 $300
    2nd $100 $300
    3rd $200 $300
Admin. Code § 16-120(a)** Broken Receptacles 1st $100 $300
    2nd $100 $300
    3rd $200 $300
Admin. Code § 16-120(a)** Uncovered Receptacles 1st $100 $300
    2nd $100 $300
    3rd $200 $300
Admin. Code § 16-120(a)** Insufficient Receptacles 1st $100 $300
    2nd $100 $300
    3rd $200 $300
Admin. Code § 16-120(a)** Improper Disposal – Bedding 1st $100 $300
    2nd $100 $300
    3rd $200 $300
Admin. Code § 16-120(a)** Improper Receptacles 1st $100 $300
    2nd $100 $300
    3rd $200 $300
Admin. Code § 16-120(b)** Separation and weight 1st $100 $300
    2nd $100 $300
    3rd $200 $300
Admin. Code § 16-120(c)** Storage of receptacles 1st $100 $300
    2nd $100 $300
    3rd $200 $300
Admin. Code § 16-120(d)** Loose rubbish 1st $100 $300
    2nd $100 $300
    3rd $200 $300
Admin. Code § 16-120(e)** Improper use of DSNY litter basket 1st $100 $300
    2nd $250 $350
    3rd $350 $400
Admin. Code § 16-123** Snow, ice & dirt removal 1st $100 $350
    2nd $150 $350
    3rd $250 $350
Admin. Code § 16-127(a) Earth, rocks and rubbish   $100 $150
Admin. Code § 16-122(b)* Street obstruction   $100 $150
Admin. Code § 16-122(c) Disabled vehicle   $100 $150
Admin. Code § 16-118(2)* Failure to sweep 18”from curb   $100 $300
Admin. Code § 16-120.1****** Improper disposal of infectious/medical waste 1st $2,500 $10,000
    2nd $5,000 $10,000
    3rd $10,000 $10,000
Admin. Code § 16-117.1 Improper transport/storage/ disposal of asbestos waste   $1,000 $10,000
Admin. Code § 16-117.1 Hazardous transportation/storage disposal of asbestos waste   $10,000 $10,000
Admin. Code § 10-119*** Illegal posting of handbill/notice 1st $75 $200
    2nd $150 $200
Admin. Code § 10-120*** Defacement of City handbill/notice 1st $75 $200
    2nd $150 $200
Admin. Code § 10-169(b)(1)**** Failure to display owner information on publicly accessible collection bin 1st2nd $50$100 $50$100
Admin. Code § 10-169(b)(2)**** Placement of publicly accessible collection bin on city property, property maintained by the city or public sidewalk or roadway 1st2nd $250$500 $250$500
Admin. Code § 10-169(b)(2)**** Attaching or enclosing publicly accessible collection bin to city property, property maintained by the city or on public sidewalk or roadway 1st2nd $500$1,000 $500$1,000
Admin. Code § 10-169(b)(4)**** Failure to maintain publicly accessible collection bin in a clean and neat condition (Property owner) 1st2nd $50$100 $50$100
Admin. Code § 10-169(b)(4)**** Failure to maintain publicly accessible collection bin in a clean and neat condition (Bin Owner) 1st2nd $50$100 $50$100
Admin. Code § 10-169(b)(5)**** Failure to register publicly accessible collection bin with DSNY 1st2nd $50$100 $50$100
Admin. Code § 10-169(b)(5)**** Submitting an annual report with false or misleading information or failure to submit an annual report to DSNY 1st2nd $50$100 $50$100
Admin. Code § 10-119/120*** Illegal posting/defacement of handbill (2nd offense)   $150 $300
Admin. Code § 10-117(a) Illegal placement of stickers or decals on public or private property   $150 $500
Admin. Code § 10-119*** Posting on tree 1st $150 $200
    2nd $300 $550
Admin. Code § 16-130(b)***** Operating a nonputrescible solid waste transfer station without a permit 1st2nd3rd $2,500$5,000$10,000 $10,000$10,000$10,000
16 RCNY §§ 4-04 et seq.***** Comm.’s transfer station Rule Re: nonputrescible waste 1st2nd3rd $2,500$5,000$10,000 $10,000$10,000$10,000
Admin. Code § 16-130(b)***** Operating a putrescible waste transfer station without a permit. 1st2nd3rd $2,500$5,000$10,000 $10,000$10,000$10,000
16 RCNY §§ 4-11 et seq.***** Comm.’s transfer station Rule Re: putrescible waste 1st2nd3rd $2,500$5,000$10,000 $10,000$10,000$10,000
Admin. Code § 16-130(b)***** Operating dump/fill without a permit 1st $2,500 $10,000
    2nd $5,000 $10,000
    3rd $10,000 $10,000
16 RCNY §§ 3-02 et seq.***** Comm’s Rule Re: Dump/fill operation 1st2nd3rd $2,500$5,000$10,000 $10,000$10,000$10,000
16 RCNY §§ 4-32, 4-33, 4-34***** Violation of transfer station Rules re: siting/hours/reports/plans 1st2nd3rd $2,500$5,000$10,000 $10,000$10,000410,000
Admin. Code § 16-130(b)******** Operating an intermodal solid waste containerfacility without a registration 1st2nd3rd $2,500$5,000$10,000 $10,000$10,000$10,000
16 RCNY § 4-44(c)******** Failure to handle intermodal containers in a safe and sanitary manner. 1st2nd3rd $2,500$5,000$10,000 $10,000$10,000$10,000
16 RCNY § 4-44(g)******** Failure to maintain solid waste received at the facility for transports in intermodal containers. 1st2nd3rd $2,500$5,000$10,000 $10,000$10,000$10,000
16 RCNY § 4-44(h)******** Failure of intermodal containers to meet the specification requirements set forth in 16 RCNY § 4-43. 1st2nd3rd $2,500$5,000$10,000 $10,000$10,000$10,000
16 RCNY § 4-44(i)******** Failure to maintain and/or provide records. 1st2nd3rd $2,500$5,000$10,000 $10,000$10,000$10,000
16 RCNY § 4-44(j)******** Failure to remove intermodal containers containing putrescible waste within 72 hours of receipt. 1st2nd3rd $2,500$5,000$10,000 $10,000$10,000$10,000
16 RCNY § 4-44(l)******** Failure to store equipment within the property lines. 1st2nd3rd $2,500$5,000$10,000 $10,000$10,000$10,000
16 RCNY § 1-04 Improper disposal of regulated household waste   $100 $250
16 RCNY § 1-04.2 Improper disposal of electronic waste   $100 $100
16 RCNY § 5-06(a)(3) Vehicle Body – Improper color   $250 $500
16 RCNY § 5-06 Misc. Violation of vehicle body specifications   $250 $500
Admin. Code § 16-120.1(d) Improper disposal of regulated household waste   $50 $250
Admin. Code § 16-120.1(e)****** Failure to file DEC medical waste plans 1st $2,500 $10,000
    2nd $5,000 $10,000
    3rd $10,000 $10,000
Admin. Code § 16-120.1(f))****** Failure to file DEC medical waste plans/amended plans 1st2nd3rd $2,500$5,000$10,000 $10,000$10,000$10,000
Admin. Code § 16-120.1(e) or(f) Late filing of medical waste plans or reports within 30 days as per Admin. Code § 16-120.1(i)(6)   $100 $250
16 RCNY § 11-02(a)****** Failure to file DEC Medical Waste Plans 1st2nd3rd $2,500$5,000$10,000 $10,000$10,000$10,000
16 RCNY § 11-02(b)****** Failure to File Medical Waste Plans/Amended Plans 1st2nd3rd $2,500$5,000$10,000 $10,000$10,000$10,000
Admin. Code § 16-122(b)* Repeat violation   $100 $150
Admin. Code § 16-118(2)* Repeat violation   $250 $300
16 RCNY § 11-02(a),(b) Late Filing of Medical Waste Plans or Reports Within 30 days as per 16 RCNY § 11-02(c)   $100 $250
16 RCNY § 17-06(a) Failure to submit a registration or annual report   $250 $250
16 RCNY § 17-06(b) Responsible party failed to comply with Federal regulations when recovering refrigerants   $500 $500
16 RCNY § 17-06(c) Improper disposal of an appliance by a responsible party without arranging for the lawful recovery of refrigerants   $500 $500
NYS General Business Law § 397-a Placement of unsolicited advertisements on private property in a manner contrary to sign authorized by General Business Law § 397-a.   $250 $250
Admin. Code § 16-308(f) Improper receptacle for yard waste (Resident – One to eight dwelling units) 1st2nd3rd $25$50$100 $25$50$100
Admin. Code § 16-308(f) Improper receptacle for yard waste (Resident – Nine or more dwelling units) 1st2nd3rd $100$200$400 $100$200$400
    Persistent Violator (fourth and any subsequent violation within a period of six months from the issuance of the first violation) $400 $400
Admin. Code § 16-308(g) Improper dispersal of yard waste (Business Generating Yard Waste) 1st2nd3rd $250$1,000$2,500 $250$1,000$2,500
Admin. Code § 16-308(g) Improper disposal of yard waste (Business Generating Yard Waste) 1st2nd3rd $250$1,000$2,500 $250$1,000$2,500
Admin. Code § 16-327(a) Failure to dispose of solid waste and recyclable materials properly   $100 per violationMaximum: Up to $500 per day or $2,000 per street event. $100 per violationMaximum: Up to $500 per day or $2,000 per street event.
Admin. Code § 16-327(b)(1) Failure to provide sufficient number of refuse and recycling receptacles for street event   $100 per violationMaximum: Up to $500 per day or $2,000 per street event. $100 per violationMaximum: Up to $500 per day or $2,000 per street event.
Admin. Code § 16-327(b)(2) Spillage condition from overflowing receptacle   $100 per violationMaximum: Up to $500 per day or $2,000 per street event. $100 per violationMaximum: Up to $500 per day or $2,000 per street event.
Admin. Code § 16-327(b)(3) Failure to properly bag and/or bundle refuse and recyclables   $100 per violationMaximum: Up to $500 per day or $2,000 per street event. $100 per violationMaximum: Up to $500 per day or $2,000 per street event.
Admin. Code § 16-327(b)(4) Failure to place bagged and/or bundled refuse and recyclables at predetermined location   $100 per violationMaximum: Up to $500 per day or $2,000 per street event. $100 per violationMaximum: Up to $500 per day or $2,000 per street event.
Admin. Code § 16-404*** Improper Disposal of Rechargeable Battery 1st2nd3rd $50$100$200 $50$100$200
Admin. Code § 16-405(a)*** Failure to Comply with Rechargeable Battery Recycling Program Requirements (Retailer) 1st2nd3rd $200$400$500 $200$400$500
Admin. Code § 16-405(b)*** Failure to Comply with Rechargeable Battery Recycling Program Requirements (Battery Manufacturer) 1st2nd3rd $2,000$4,000$5,000 $2,000$4,000$5,000
Admin. Code § 16-461(a)(1)********* Unlawful removal and transport of recyclable material from residential building, city-occupied building, vacant lot (vehicle owner) 1st $$500 $500
    2nd $750 $750
    3rd $1,000 $1,000
Admin. Code § 16-461(a)(1)********* Unlawful removal and transport of recyclable material from residential building, city-occupied building, vacant lot (vehicle owner) – Affidavit 1st $500 $500
    2nd $750 $750
    3rd $1,000 $1,000
Admin. Code § 16-461(a)(1)********* Unlawful removal and transport of recyclable material from residential building, city-occupied building, vacant lot (vehicle operator) 1st $500 $500
    2nd $750 $750
    3rd $1,000 $1,000
Admin. Code § 16-461(a)(2)(i) Entering into agreement for supplemental collection of recyclable material without requesting supplemental collection from DSNY or otherwise meeting requirements of Admin. Code § 16-461(2)(i)   $1,000 $1,000
Admin. Code § 16-461(a)(2)(iii) Failure to contain all necessary elements within collection agreement   $100 $100
Admin. Code § 16-461(a)(2)(iv) Agreement in place exceeds two year limit   $100 $100
Admin. Code § 16-461(a)(2)(v) Failure to have valid proof of agreement   $100 $100
Admin. Code § 16-461(a)(3) Failure to submit report   $500 $500
Admin. Code § 16-461(b)********* Unlawful removal and transport of Department-marked item from residential building, city-occupied building, vacant lot (vehicle operator) 1st $750 $750
    2nd $1,000 $1,000
    3rd $1,500 $1,500
Admin. Code § 16-461(b)********* Unlawful removal and transport of Department-marked item from residential building, city-occupied building, vacant lot (vehicle owner) 1st $500 $500
    2nd $750 $750
    3rd $1,000 $1,000
Admin. Code § 16-461(b)********* Unlawful removal and transport of refrigerant-containing item from residential building, city-occupied building, vacant lot (vehicle operator) 1st $750 $750
    2nd $1,000 $1,000
    3rd $1,500 $1,500
Admin. Code § 16-461(b)********* Unlawful removal and transport of refrigerant-containing item from residential building, city-occupied building, vacant lot (vehicle owner) 1st $500 $500
    2nd $750 $750
    3rd $1,000 $1,000
Admin. Code § 16-461(c)********* Unlawful removal and transport of recyclable material from commercial building (vehicle operator) 1st $1,000 $1,000
    2nd $2,000 $2,000
Admin. Code § 16-461(c)********* Unlawful removal and transport of recyclable material from commercial building (vehicle owner) 1st $1,000 $1,000
    2nd $2,000 $2,000
Admin. Code § 16-461(c)********* Unlawful removal and transport of recyclable material from commercial building (vehicle owner) – Affidavit 1st $1,000 $1,000
    2nd $2,000 $2,000
Admin. Code § 16-463(b)********* Unlawful receipt of recyclable material 1st $1,000 $1,000
    2nd $2,000 $2,000
Admin. Code § 16-463(c)********* Unlawful receipt of Department-marked item 1st $1,500 $1,500
    2nd $3,000 $3,000
Admin. Code § 16-463(d)********* Unlawful receipt of refrigerant-containing item 1st $1,500 $1,500
    2nd $3,000 $3,000
Admin. Code § 16-471(a) Use of motor vehicle to unlawfully accept, receive, or collect recyclable containers in bulk from more than one person on or in any street (Vehicle Operator)   $1,000 $1,000
Admin. Code § 16-471 Use of motor vehicle to unlawfully accept, receive, or collect recyclable containers in bulk from more than one person on or in any street (Vehicle Owner)   $1,000 $1,000
Admin. Code § 16-471 Unlawful transfer of recyclable containers in bulk from one vehicle to another on or in any street where one or more of the vehicles has a commercial license plate (Vehicle Owner)   $1,000 $1,000
Admin. Code § 16-471(b) Unlawful transfer of recyclable containers in bulk from one vehicle to another on or in any street where one or more of the vehicles has a commercial license plate (Vehicle Operator)   $1,000 $1,000
Admin. Code § 16-472 Failure to register with the Department of Sanitation   $500 $500
Admin. Code § 16-473 Failure to file an annual report to the Department of Sanitation   $250 $250
Admin. Code § 16-474 Operating at a location other than that specified in registration   $250 $250
Admin. Code § 16-474 Failure to keep location specified in registration in a safe and sanitary manner   $250 $250

~

§ 3-123 Sewer Control Rules Penalty Schedule. [Repealed]

*§ 3-124 Department of Transportation Penalty Schedule. [Repealed]* ::

§ 3-125 Vehicle and Traffic Law Penalty Schedule.

VEHICLE AND TRAFFIC LAW PENALTY SCHEDULE

All Citations are to the NY State Vehicle and Traffic Law.

* Pursuant to 48 RCNY § 3-81(b), a late admit fee of $30.00 will be added to the penalty for this charge for a failure to submit a payment by mail, as per 48 RCNY § 3-32, within 30 days of the mailing of the default order issued against respondent. A repeat violation is a violation by the same respondent occurring within 18 months of the date of occurrence of the previous violation. The previous violation may have been for the placement of a handbill on any motor vehicle.

Section/Rule Description Penalty Default
1224(7)* Abandoning a vehicle $250 $1,000
375(1)(b) Illegal placement of handbills on windshields or under windshield wipers of motor vehicles. $75 $100
  2nd Offense $150 $200

~

§ 3-126 Water Penalty Schedule.

WATER PENALTY SCHEDULE

All citations preceded by “A.C.” are to the New York City Administrative Code. All other citations are to Title 15 of the Rules of the City of New York.

* If a respondent charged with a violation of 15 RCNY § 20-04(e) submits the annual test report by the first hearing date, the penalty shall be mitigated from $500 to $50. For 15 RCNY § 20-04(e), the possibility of such mitigation exists only in connection with the first NOV issued to a given respondent.

Pursuant to 48 RCNY § 3-81(b), a late admit fee of $30.00 will be added to all the below listed penalties for a failure to submit a payment by mail, as per 48 RCNY § 3-32, within 30 days of the mailing date of the default order issued against respondent.

~

  Stage I Drought Emergency    
Admin. Code § 24-337 Waste of city water (commercial or industrial) $400 $1,000
Admin. Code § 24-337 Waste of city water (residential) $250 $1,000
15 RCNY § 21-06 Failure to post”Save Water”signs $100 $1,000
15 RCNY § 21-07 Failure to post Water-Conserving Irrigation System sign $100 $1,000
15 RCNY § 21-08 Improper use of well water $250 $1,000
15 RCNY § 21-09(a) Allowing leak or waste of water from faucets, valves, pipes etc. $250 $1,000
15 RCNY § 21-09(b) Using public water to wash vehicles. $250 $1,000
15 RCNY § 21-09(c) Using water to spray or wash sidewalk, street $250 $1,000
15 RCNY § 21-09(d) Using any water for ornamental purposes $250 $1,000
15 RCNY § 21-09(e) Using water for lawns, golf course, plants, trees $250 $1,000
15 RCNY § 21-09(f) Illegal use of fire hydrants $750 $1,000
15 RCNY § 21-09(g) Serving water without request $250 $1,000
15 RCNY § 21-09(h) Use of public water for pools $250 $1,000
15 RCNY § 21-09(i) Use of noncompliant showerhead $250 $1,000
  Stage II Drought Emergency    
Admin. Code § 24-337 Waste of city water (commercial or industrial) $500 $1,000
Admin. Code § 24-337 Waste of city water (residential) $350 $1,000
15 RCNY § 21-06 Failure to post”Save Water”signs $200 $1,000
15 RCNY § 21-07 Failure to post Water-Conserving Irrigation System sign $200 $1,000
15 RCNY § 21-08 Improper use of well water $350 $1,000
15 RCNY § 21-10(a) Allowing leak or waste of water from faucets, valves, pipes etc. $350 $1,000
15 RCNY § 21-10(b) Using public water to wash vehicles $350 $1,000
15 RCNY § 21-10(c) Using water to spray or wash sidewalk, street $350 $1,000
15 RCNY § 21-10(d) Using any water for ornamental purposes $350 $1,000
15 RCNY § 21-10(e) Using water for lawns, golf course, plants, trees $350 $1,000
15 RCNY § 21-10(f) Illegal use of fire hydrants $750 $1,000
15 RCNY § 21-10(g) Serving water without request $350 $1,000
15 RCNY § 21-10(h) Use of public water for pools $350 $1,000
15 RCNY § 21-10(i) Use of noncompliant showerhead $350 $1,000
  Stage III Drought Emergency    
Admin. Code § 24-337 Waste of city water (commercial or industrial) $600 $1,000
Admin. Code § 24-337 Waste of city water (residential) $450 $1,000
15 RCNY § 21-06 Failure to post”Save Water”signs $300 $1,000
15 RCNY § 21-07 Failure to post Water-Conserving Irrigation System sign $400 $1,000
15 RCNY § 21-08 Improper use of well water $550 $1,000
15 RCNY § 21-11(a) Allowing leak or waste of water from faucets, valves, pipes etc. $550 $1,000
15 RCNY § 21-11(b) Using public water to wash vehicles $550 $1,000
15 RCNY § 21-11(c) Using water to spray or wash sidewalk, street $550 $1,000
15 RCNY § 21-11(d) Using any water for ornamental purposes $550 $1,000
15 RCNY § 21-11(e) Using water for lawns, golf course, plants, trees $550 $1,000
15 RCNY § 21-11(f) Illegal use of fire hydrants $750 $1,000
15 RCNY § 21-11(g) Serving water without request $550 $1,000
15 RCNY § 21-11(h) Use of public water for pools $950 $1,000
15 RCNY § 21-11(i) Use of noncompliant showerhead $450 $1,000
15 RCNY § 21-11(j) Use of non-air cooled air conditioning system using public water with temperature below 79 F. $550 $1,000
  Other Water Regulations    
Admin. Code § 24-308 Illegal Use of Hydrant(s) $750 $1,000
Admin. Code § 24-337 Illegal waste of water (Residential) $250 $1,000
Admin. Code § 24-339 Distribution/Sale/Import/Installation of water wasting plumbing fixtures $475 $1,000
Admin. Code § 24-346(b) Failed to comply with Commissioner’s Order $750 $1,000
15 RCNY § 20-01(b)(1) Plumbing work w/o permit $250 $1,000
15 RCNY § 20-01(e) Failed to produce permit on demand $150 $1,000
15 RCNY § 20-01(f) Failed to obtain/return emergency permit $250 $1,000
15 RCNY § 20-02(b) Unlawful connection to City main $700 $1,000
15 RCNY § 20-03(k)(4) Failed to protect curb valve/box from damage $250 $1,000
15 RCNY § 20-03(w) Failed to replace old service pipes upon establishment of new water service $250 $1,000
15 RCNY § 20-03(x) Failed to install meter on unmetered property when service pipe is replaced/repaired/relaid/installed $350 $1,000
15 RCNY § 20-04(d) Failed to install a backflow preventer $700 $1,000
15 RCNY § 20-04(e) Failed to submit an annual test report for a backflow preventer $500 or mitigation penalty of $50* $1,000
15 RCNY § 20-05(a) No meter in place $250 $1,000
15 RCNY § 20-05(b)(1) Meter repair/removal w/o permit $350 $1,000
15 RCNY § 20-05(b)(2) Failed to return meter permit $350 $1,000
15 RCNY § 20-05(d)(5) No reading receptacle for remote pad $250 $1,000
15 RCNY § 20-05(g) Improper size/type of meter $250 $1,000
15 RCNY § 20-05(i)(1) Meter not readily accessible $250 $1,000
15 RCNY § 20-05(i)(2) - (12) Improper setting of meter $250 $1,000
15 RCNY § 20-05(i)(12) Failed to design meter setting to ensure electrical continuity $150 $1,000
15 RCNY § 20-05(j) Prohibited meter bypass $500 $1,000
15 RCNY § 20-05(k) Improper meter pit/box/vault construction $350 $1,000
15 RCNY § 20-05(m)(1) Failed to install new meter after unpermitted disconnection of old meter $750 $1,000
15 RCNY § 20-05(n) Breaking seal on equipment w/o permit $500 $1,000
15 RCNY § 20-05(p) Inadequate protection of meter/remote receptacle/AMR Transmitter/wiring $250 $1,000
15 RCNY § 20-05(p)(2) Relocated remote receptacle or AMR transmitter without permit $250 $1,000
15 RCNY § 20-06 A.C./refrigeration violation $350 $1,000
15 RCNY § 20-07(c) Failed to submit self-certification of domestic water service pipe installation $250 $1,000
15 RCNY § 20-08(a)(6) Lawn/garden watering prohibited time/manner $150 $1,000
15 RCNY § 20-08(a)(7) Sidewalk flushing prohibited time/manner $150 $1,000
15 RCNY § 20-08(a)(9) Prohibited use of water for car washing $150 $1,000
15 RCNY Chapter 20 Violation of miscellaneous rules regarding use and supply of water $150 $1,000

~

§ 3-127 Small Business Services Penalty Schedule.

SMALL BUSINESS SERVICES PENALTY SCHEDULE

*For these sections, a repeat violation is a violation by the same respondent of the same section of law as the previous violation with a date of occurrence within 18 months of the date of occurrence of the previous violation.

Section/Rule Description Penalty Default
Admin. Code § 22-112(a)(1)* Placement, discharge or deposit of refuse, sludge, acid or any other refuse into the Port of New York 1st offense: $1,5002nd offense: $5,0003rd offense: $10,0004th offense: $15,0005th and any subsequent offense:$20,000 1st offense: $10,0002nd offense: $20,0003rd offense: $20,0004th offense: $20,0005th and any subsequent offense:$20,000
Admin. Code § 22-112(a)(2)* Discharging, causing or permitting oil, oil refuse or other inflammable matter from any ship or vessel into the Port of New York 1st offense: $1,5002nd offense: $5,0003rd offense: $10,0004th offense: $15,0005th and any subsequent offense:$20,000 1st offense: $10,0002nd offense: $20,0003rd offense: $20,0004th offense: $20,0005th and any subsequent offense:$20,000

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Chapter 4: Fitness and Discipline Hearings For OATH Employees

§ 4-01 Fitness and Discipline of Employees of the Office of Administrative Trials and Hearings.

The chief administrative law judge or, upon his or her designation, an administrative law judge, shall conduct administrative hearings regarding OATH employees’ fitness and discipline pursuant to N.Y. Civil Service Law, § 71-75, and pursuant to Charter, § 1049(1). If such a hearing is conducted by an administrative law judge other than the chief administrative law judge, the administrative law judge shall make written proposed findings of fact and a recommended decision. The chief administrative law judge shall review the proposed findings and recommendations of the administrative law judge and shall make the final findings of fact and decision in the matter being adjudicated.

Chapter 5: Rules Applicable to Violations of Laws or Regulations Enforced by the Taxi and Limousine Commission

§ 5-01 Scope of this Chapter.

This chapter applies to all charges of violations of any laws, rules and regulations enforced by the Taxi and Limousine Commission (TLC). Adjudications of such charges are conducted pursuant to the rules in Chapter 6 of this Title. Where there is a conflict between this chapter and Chapter 6, this chapter takes precedence. Definitions in 48 RCNY § 6-01 apply to terms used in this chapter.

§ 5-01a Appearances

(a) Appearances by Respondent. A Respondent’s appearance at a hearing is timely if the Respondent appears and is ready to proceed no more than ninety (90) minutes after the scheduled hearing time.
  1. Appearances by Petitioner. If the Petitioner fails to appear within thirty (30) minutes of the timely appearance of the Respondent and does not make a timely request to reschedule the hearing pursuant to 48 RCNY § 6-05, the Tribunal will dismiss the summons.
  2. If the hearing does not begin within three (3) hours of the timely appearance of both the Respondent and the Petitioner, the Tribunal will dismiss the summons without prejudice.

§ 5-02 Respondent’s Right to Confront Complaining Witness

(a) Pursuant to Administrative Code § 19-506.1, the TLC must produce the complaining witness in person where such witness's credibility is relevant to the summons being adjudicated. If the TLC is unable to produce such witness in person, the TLC must make reasonable efforts to make the witness available during the hearing by videoconferencing or teleconferencing.
  1. If the TLC is unable to produce the witness in person or by videoconference or teleconference, it must provide the Hearing Officer with a statement outlining its efforts to produce the witness. If the Hearing Officer determines that the TLC’s efforts were inadequate, the Hearing Officer will dismiss the summons.
  2. If the Respondent previously requested an adjournment to obtain the testimony of the complaining witness, the non-attendance of the complaining witness will be considered a failure by the TLC to produce a complaining witness under paragraph (b) and may be grounds for the Hearing Officer to dismiss the summons.

§ 5-03 Respondent’s Right to Challenge a Default Decision

Pursuant to Administrative Code § 19-506.1, a Respondent may move to vacate a default decision by filing a written motion to vacate within two (2) years from the date of entry of the default decision.

§ 5-04 Appeals

(a) If a Hearing Officer issues a decision imposing a reduced penalty pursuant to 48 RCNY § 5-06(c), the party seeking to appeal the Hearing Officer’s underlying decision must file an appeal with the Tribunal within fifty (50) days of the date of the decision.
  1. Pursuant to Administrative Code § 19-506.1(c), a Respondent will not be required to pay the fines, penalties, or restitution imposed in the decision in order to file a timely appeal.
  2. Expedited appeals. Either party may appeal a decision pursuant to 48 RCNY § 6-19. Where the appeal involves the suspension or revocation of a TLC-issued license, the Appeals Unit will issue an expedited decision.
  3. A party responding to a request for appeal where the appeal involves the suspension or revocation of a TLC-issued license must file the response with the Tribunal within seven (7) days after being served with the appeal. The responding party must also serve a copy of the response on the appealing party, and file proof of such service with the Tribunal.
  4. Requests for hearing recording. Pursuant to Administrative Code § 19-506.1(d), if a Respondent appealing a decision requests in writing a copy of the hearing recording, the recording will be produced to the Respondent within thirty (30) days after receipt of the request. If the recording cannot be produced within the thirty (30) day period, the determination being appealed will be dismissed without prejudice.
  1. Finality. A decision of the Appeals Unit becomes the final determination in the case, unless either party petitions the TLC Chairperson in accordance with § 35 RCNY 68-12(c).

§ 5-05 Chairperson Review

(a) Scope of review of appeals unit decisions. The TLC Chairperson or, if designated by the TLC Chairperson, the General Counsel for the TLC, may review any determination of the Appeals Unit that interprets any of the following:

   (1) A rule in Title 35 of the RCNY;

   (2) A provision of law in Chapter 5 of Title 19 of the Administrative Code;

   (3) A provision of law in Chapter 65 of the Charter.

  1. Decision. Upon review, the TLC Chairperson or General Counsel may issue a decision adopting, rejecting or modifying the Appeals Unit decision. The TLC Chairperson or General Counsel will be bound by the findings of fact in the record and will set forth his or her decision in a written order. The TLC Chairperson or General Counsel’s interpretation of the TLC’s rules and the laws it administers will be considered agency policy and must be applied by the Tribunal in future adjudications involving the same rules or statutes.

§ 5-06 Special Procedures

(a) Summary suspension based on a failure to be timely tested for drug use. When the TLC submits to the Tribunal written documentation pursuant to 35 RCNY § 68-16(d) submitted by a Licensee, as defined in 35 RCNY § 51-03, refuting summary suspension based on a failure to be timely tested for drug use, the Tribunal will issue a decision based on the written documentation. The decision will include findings of fact and conclusions of law. The decision may be appealed in accordance with the process established in 48 RCNY § 6-19.
  1. Unlicensed activity. Pursuant to § 19-529.2 of the Administrative Code, a decision on unlicensed activity with a commuter van will be issued within one (1) business day of the conclusion of the hearing or the default.
  2. Discretion of Hearing Officers to reduce penalties.

   (1) A Hearing Officer may, in the interest of justice, impose a reduced penalty for a violation, except for a violation of § 19-507 of the Administrative Code, after determining that such reduction in penalty is appropriate on the ground that one or more compelling considerations or circumstances clearly demonstrates that imposing such penalty would constitute or result in injustice. In determining whether such compelling consideration or circumstance exists, the Hearing Officer must, to the extent applicable, consider, individually and collectively, the following factors:

      (i) The seriousness and circumstances of the violation;

      (ii) The extent of harm caused by the violation;

      (iii) The evidence supporting or refuting the violation charged, whether admissible or inadmissible at a hearing;

      (iv) The history, character, and condition of the Respondent;

      (v) The effect of imposing upon the Respondent the penalty set by the TLC;

      (vi) The impact of a penalty reduction on the safety or welfare of the community;

      (vii) The impact of a penalty reduction on public confidence in the TLC, the Tribunal, and the implementation of laws by the City;

      (viii) The position of the Petitioner regarding the proposed fine reduction with reference to the specific circumstances of the Respondent and the violation charged; and

      (ix) Any other relevant fact indicating whether a decision to impose the penalty set by the TLC on the Respondent would serve a useful purpose.

   (2) Upon determining that a penalty should be reduced, the Hearing Officer will set forth in the decision the monetary penalty, if any, to be imposed on the Respondent, the amount of the reduction, and the reasons for such reduction.

   (3) Within twenty (20) business days of receipt of the Hearing Officer’s decision, the TLC Chairperson or the Chairperson’s designee may, upon determining that such decision is not in the interest of justice, pursuant to the factors set forth in Paragraph (1) of this subdivision, re-impose the full penalty demanded by the TLC or increase the penalty imposed by the Hearing Officer.

Chapter 6: OATH Hearings Division - Rules of Practice

Subchapter A: General

§ 6-01 Definitions Specific to this Chapter.

As used in this chapter:

“Adjournment” means a request made to a Hearing Officer during a hearing to postpone the hearing to a later date.

“Appeals Unit” means the unit authorized under 48 RCNY § 6-19 to review hearing officer decisions.

“Appearance” means a communication with the Tribunal that is made by a party or the representative of a party in connection with a summons that is or was pending before the Tribunal. An appearance may be made in person, online or by other remote methods approved by the Tribunal.

“Board” means the Environmental Control Board of the City of New York.

“Charter” means the New York City Charter.

“Chief Administrative Law Judge” means the director and chief executive officer of OATH appointed by the Mayor pursuant to New York City Charter § 1048.

“Hearing Officer” means a person designated by the Chief Administrative Law Judge of OATH, or his or her designee, to carry out the adjudicatory powers, duties and responsibilities of the Tribunal.

“Inspector” means the inspector, public health sanitarian, or other person who conducted the inspection or investigation that resulted in the issuance of a summons.

“OATH” means the New York City Office of Administrative Trials and Hearings, including the OATH Trials Division and the OATH Hearings Division (see 48 RCNY § 6-02).

“OATH Hearings Division” means the Health Tribunal, the Environmental Control Board as defined in Charter § 1049-a, and the Administrative Tribunal referenced in Title 19 of the Administrative Code of the City of New York.

“OATH Trials Division” means the adjudicatory body authorized to conduct proceedings pursuant to 48 RCNY Chapters 1 and 2.

“Party” means the Petitioner or the person named as Respondent in a proceeding before the Tribunal.

“Person” means any individual, partnership, unincorporated association, corporation, limited liability company or governmental agency.

“Petitioner” means the governmental agency or individual who issued a summons.

“Reschedule” means a request made to the Tribunal prior to the scheduled hearing for a later hearing date.

“Respondent” means the person against whom the charges alleged in a summons have been filed.

“Summons” means the document, including a notice of violation, issued by Petitioner to Respondent, which specifies the charges forming the basis of an adjudicatory proceeding before the Tribunal.

“Tribunal” means the OATH Hearings Division.

§ 6-02 Jurisdiction, Powers and Duties.

(a) Jurisdiction. Pursuant to Charter § 1048, the Tribunal has jurisdiction to hear and determine summonses issued by a City agency or, when permitted by law, an individual, consistent with the following applicable laws, rules and regulations:

   (1) In accordance with the delegations of the Commissioner of the Department of Health and Mental Hygiene and the Board of Health, the Tribunal has jurisdiction to hear and determine summonses alleging non-compliance with the provisions of the Health Code codified within Title 24 of the Rules of the City of New York, the New York State Sanitary Code, those sections of the New York City Administrative Code relating to or affecting health within the City and any other laws or regulations that the Department of Health and Mental Hygiene has the duty or authority to enforce.

   (2) The Tribunal has jurisdiction to hear and determine summonses returnable to the Board pursuant to § 1049-a of the New York City Charter and provisions of the New York City Administrative Code, any rules and regulations made thereunder, or provisions of New York State law, and to conduct special hearings and enforcement proceedings before the Board pursuant to Title 24 of the New York City Administrative Code.

   (3) In accordance with Mayoral Executive Order No. 148, dated June 8, 2011, and pursuant to Charter § 1048(2), the Tribunal has jurisdiction to hear and determine summonses charging violations of any laws or regulations that the Taxi and Limousine Commission has the duty or authority to enforce, and to impose penalties in accordance with applicable laws, rules and regulations.

  1. General Powers and Duties. The Tribunal, including the Hearing Officers, has the following general powers and duties:

   (1) To conduct fair and impartial hearings;

   (2) To take all necessary action to avoid delay in the disposition of proceedings;

   (3) To maintain order in the functioning of the Tribunal, including the conduct of hearings;

   (4) To decide cases and, if applicable, impose fines and other penalties in accordance with law; and

   (5) To compile and maintain complete and accurate records relating to the proceedings of the Tribunal, including copies of all summonses served, responses, appeals and briefs filed and decisions rendered by Hearing Officers.

§ 6-03 Language Assistance Services.

Appropriate language assistance services will be afforded to respondents whose primary language is not English to assist such respondents in communicating meaningfully. Such language assistance services will include interpretation of hearings conducted by Hearing Officers, where interpretation is necessary to assist the respondent in communicating meaningfully with the Hearing Officer and others at the hearing.

§ 6-04 Computation of Time.

(a) In computing any period of time prescribed or allowed by this chapter, the day of the act or default from which the designated period of time begins to run will not be included, but the last day of the period will be included unless it is a Saturday, Sunday or legal holiday, in which case the period will be extended to the next day which is not a Saturday, Sunday or legal holiday. Unless otherwise specified in this rule, "days" means calendar days.
  1. Unless otherwise specified, whenever a party has the right or is required to do some act within a prescribed period of time after the date of a Tribunal decision, five days will be added to such prescribed period of time if the decision is mailed to the party.

Subchapter B: Pre-hearing Procedures

§ 6-05 Pre-Hearing Requests to Reschedule.

The Petitioner or Respondent may request that a hearing be rescheduled to a later date. A request by a Respondent to reschedule must be received by the Tribunal prior to the time of the scheduled hearing. If a Petitioner requests to reschedule, the Petitioner must notify the Respondent at least three (3) days prior to the originally-scheduled hearing date and file proof of that notification with the Tribunal. Respondent may, on a form provided by the Tribunal, waive its right to such notice of the Petitioner’s request to reschedule. If a Petitioner fails to provide such proof of notification or waiver, the request will be denied and the hearing will proceed as originally scheduled. Good cause is not necessary for a request to reschedule. No more than one (1) request to reschedule will be granted for each party for each summons.

§ 6-06 Pre-Hearing Requests for Inspectors. [Repealed]

*§ 6-07 Pre-Hearing Discovery.* ::

Discovery may be obtained in the following manner:

  1. Upon written request received by the opposing party at least five business days prior to the scheduled hearing date, any party is entitled to receive from the opposing party a list of the names of witnesses who may be called and copies of documents intended to be submitted into evidence.
  2. Pre-hearing discovery shall be limited to the matters enumerated above. All other applications or motions for discovery shall be made to a Hearing Officer at the commencement of the hearing and the Hearing Officer may order such further discovery as is deemed appropriate in his or her discretion.
  3. Upon the failure of any party to properly respond to a lawful discovery order or request or such party’s wrongful refusal to answer questions or produce documents, the Hearing Officer may take whatever action he or she deems appropriate including but not limited to preclusion of evidence or witnesses. It shall not be necessary for a party to have been subpoenaed to appear or produce documents at any properly ordered discovery proceeding for such sanctions to be applicable.

Subchapter C: Hearings

§ 6-08 Proceedings before the OATH Hearings Division.

(a) Issuance and Filing of Summons.

   (1) The petitioner must file an original or a copy of the summons, together with proof of service, with the Tribunal prior to the first scheduled hearing date. Electronic filing of the summons and proof of service is required unless the Tribunal grants an exception. Failure to timely file all proofs of service shall not divest the Tribunal of jurisdiction to proceed with a hearing or to issue a default order.

   (2) Notwithstanding paragraph one of this subdivision, where property has been seized, the Tribunal may adjudicate a summons after it is served and before it is filed.

  1. Service of the Summons. There must be service of the summons.

   (1) Service of a summons in the following manner will be considered sufficient:

      (i) The summons may be served in person upon:

         (A) the person alleged to have committed the violation,

         (B) the permittee, licensee or registrant,

         (C) the person who was required to hold the permit, license or to register,

         (D) a member of the partnership or other group concerned,

         (E) an officer of the corporation,

         (F) a member of a limited liability company,

         (G) a managing or general agent, or

         (H) any other person of suitable age and discretion as may be appropriate, depending on the organization or character of the person, business or institution charged.

      (ii) Alternatively, the summons may be served by mail deposited with the U.S. Postal Service, or other mailing service, to any such person at the address of the premises that is the subject of the summons or, as may be appropriate, at the residence or business address of:

         (A) the alleged violator,

         (B) the individual who is listed as the permittee, licensee or applicant in the permit or license or in the application for a permit or license,

         (C) the registrant listed in the registration form, or

         (D) the person filing a notification of an entity’s existence with the applicable governmental agency where no permit, license or registration is required.

         If the summons is served by mail, documentation of mailing will be accepted as proof of service of the summons.

   (2) A summons may be served pursuant to the requirements of § 1049-a(d)(2) of the New York City Charter, 35 RCNY Chapter 68, or as provided by the statute, rule, or other provision of law governing the violation alleged. For the purpose of serving a summons pursuant to New York City Charter § 1049-a(d)(2)(a)(i) and (ii), the term “reasonable attempt” as used in New York City Charter § 1049-a(d)(2)(b) may be satisfied by a single attempt to effectuate service upon the Respondent, or another person upon whom service may be made, in accordance with Article 3 of the Civil Practice Law and Rules or Article 3 of the Business Corporation Law.

   (3) The Tribunal’s decision may be automatically docketed in Civil Court where the summons has been served in accordance with § 1049-a(d)(2) of the New York City Charter or the statute or rule providing for such docketing. Where a summons is lawfully served in a manner other than that provided in § 1049-a(d)(2) or such other provision of law, the Tribunal may hear and determine such summons but the decision will not be automatically docketed in Civil Court or any other place provided for entry of civil judgments without further court proceedings.

  1. Contents of Summons. The summons must contain, at a minimum:

   (1) The name and address, when known, of a Respondent;

   (2) A clear and concise statement sufficient to inform the Respondent with reasonable certainty and clarity of the essential facts alleged to constitute the violation or the violations charged, including the date, time where applicable, and place when and where such facts were observed;

   (3) Information adequate to provide specific notification of the section or sections of the law, rule or regulation alleged to have been violated;

   (4) Information adequate for the Respondent to calculate the maximum penalty authorized to be imposed if the facts constituting the violation are found to be as alleged;

   (5) Notification of the date, time and place when and where a hearing will be held by the Tribunal or instructions to the Respondent on how to schedule a hearing date. Such date must be at least fifteen (15) calendar days after the summons was served, unless another date is required by applicable law. Where Respondent waives the fifteen (15) day notice and requests an expedited hearing, the Tribunal may assign the case for immediate hearing, upon appropriate notice to Petitioner and opportunity for Petitioner to appear.

   (6) Notification that failure to appear at the place, date and time designated for the hearing will be deemed a waiver of the right to a hearing, thereby authorizing the rendering of a default decision; and

   (7) Information adequate to inform the Respondent of his or her rights under 48 RCNY § 6-09.

  1. In the interest of convenient, expeditious and complete determination of cases involving the same or similar issues or the same parties, the Tribunal may consolidate two (2) or more summonses for adjudication at one (1) hearing.
  2. Where a Petitioner withdraws a summons, even if it has been adjudicated, is open or has been decided by the Tribunal, the Petitioner must promptly notify the Tribunal and the Respondent in writing. Thereafter the Tribunal will issue a decision indicating the summons has been withdrawn.

§ 6-09 Appearances.

(a) A Respondent may appear for a hearing personally or be represented by:

   (1) an attorney admitted to practice law in New York State, or

   (2) a representative registered to appear before the Tribunal pursuant to 48 RCNY § 6-23, or

   (3) any other person authorized by a Respondent to appear at or before the Tribunal on behalf of the Respondent, as set forth in 48 RCNY § 6-23(a).

  1. A Respondent may appear for a hearing by:

   (1) Appearing in person or by representative at the place, date, and time scheduled for the hearing. Respondent’s appearance is timely if Respondent or Respondent’s representative appears at the scheduled hearing location and is ready to proceed within three (3) hours of the scheduled hearing time for a summons. However, a representative or attorney appearing on fifteen (15) or more summonses on a given hearing date must comply with the requirements set forth in 48 RCNY § 6-24 to be considered timely; or

   (2) Appearing by remote method pursuant to 48 RCNY § 6-10, only where the summons indicates that such opportunity is available to a Respondent. Where the summons requires personal appearance, a Respondent must appear pursuant to subsection (1) of this subdivision.

  1. Where the terms of a summons authorize a Respondent to do so, a Respondent may also appear by admitting the violation charged on the summons and paying the penalty for the cited violation in the manner and by the time directed in the summons. Payment in full is deemed an admission of liability and no further hearing or appeal will be allowed.
  2. Current Owner of a Property.

   (1) Notwithstanding the foregoing, if a prior owner of a property is named on the summons, the current owner of a property may appear on behalf of the prior owner if the summons:

      (A) involves a premises-related violation, and

      (B) was issued after title to the property was transferred to the current owner.

   (2) The current property owner may appear for purposes of presenting a deed and indicating when title passed.

   (3) The current owner of the property may also present a defense on the merits of the charge only if the current owner agrees to substitute him or herself for the prior owner and waives all defenses based on service.

  1. Failure to Appear by Respondent. A Respondent’s failure to appear timely pursuant to subsection (1) of subdivision (b) of this section, or to make a timely request to reschedule pursuant to 48 RCNY § 6-05, constitutes a default and subjects the Respondent to penalties in accordance with 48 RCNY § 6-20.
  2. Notwithstanding any other provision of this section, attorneys or registered representatives who appear on fifteen (15) or more summonses on a given hearing date must comply with the requirements set forth in 48 RCNY § 6-24. Failure to do so constitutes a default and subjects the Respondent to penalties in accordance with 48 RCNY § 6-20.
  3. A Petitioner may appear for a hearing through an authorized representative at the place, date and time scheduled for the hearing or by remote methods when the opportunity to do so is offered by the Tribunal. If Petitioner elects to appear at the Tribunal, Petitioner’s appearance for a hearing is considered timely if Petitioner is ready to proceed within thirty (30) minutes of the timely appearance by Respondent.
  4. Failure to Appear by Petitioner. If Petitioner fails timely to appear at the scheduled place, date and time, pursuant to subdivision (g) of this section, the hearing may proceed without the Petitioner.

§ 6-10 Remote Adjudications.

(a) When the opportunity to do so is offered by the Tribunal, a Respondent may contest a violation by mail, online, by telephone or by other remote methods.
  1. Adjudication by Mail.

   (1) A written submission in an adjudication by mail must be received by the Tribunal before the scheduled hearing date or bear a postmark or other proof of mailing indicating that it was mailed to the Tribunal before the scheduled hearing date. If a request bearing such a postmark or proof of mailing is received by the Tribunal after a first default decision has been issued on that summons, such default will be vacated.

   (2) The written submission must contain any denials, admissions and explanations related to the individual violations charged, and documents, exhibits or witness statements, if any, to be considered as evidence in support of Respondent’s defense. Violations that are not denied or explained will be deemed to have been admitted; defenses not specifically raised will be deemed to have been waived.

   (3) After a review by a Hearing Officer of the written submission, the Tribunal will:

      (i) issue a written decision and send the decision to the parties; or

      (ii) require the submission of additional documentary evidence; or

      (iii) require an in-person hearing or hearing by telephone, in which case the parties will be notified.

  1. Adjudication Online.

   (1) Submissions in an adjudication online must be received by the Tribunal before or on the scheduled hearing date.

   (2) The submission must contain any denials, admissions and explanations related to the individual violations charged, and documents, exhibits or witness statements, if any, to be considered as evidence in support of Respondent’s defense. Violations that are not denied or explained will be deemed to have been admitted; defenses not specifically raised will be deemed to have been waived.

   (3) After a review by a Hearing Officer of the submission, the Tribunal will:

      (i) issue a written decision and send the decision to the parties; or

      (ii) require the submission of additional documentary evidence; or

      (iii) require an in-person hearing or hearing by telephone, in which case the parties will be notified.

  1. Adjudication by Telephone. Before or on the scheduled hearing date, a respondent may request a hearing by telephone by contacting the Tribunal.

§ 6-11 Hearing Procedures.

(a) A hearing will be presided over by a Hearing Officer, proceed with reasonable expedition and order and, to the extent practicable, not be postponed or adjourned.
  1. Language assistance services at the hearing.

   (1) At the beginning of any hearing, the Hearing Officer will advise the Respondent of the availability of language assistance services. In determining whether language assistance services are necessary to assist the Respondent in communicating meaningfully with the Hearing Officer and others at the hearing, the Hearing Officer will consider all relevant factors, including but not limited to the following:

      (i) information from Tribunal administrative personnel identifying a Respondent as requiring language assistance services to communicate meaningfully with a Hearing Officer;

      (ii) a request by the Respondent for language assistance services; and

      (iii) even if language assistance services were not requested by the Respondent, the Hearing Officer’s own assessment whether language assistance services are necessary to enable meaningful communication with the Respondent.

      If the Respondent requests an interpreter and the Hearing Officer determines that an interpreter is not needed, that determination and the basis for the determination will be made on the record.

   (2) When required, language assistance services will be provided at hearings by a professional interpretation service that is made available by the Tribunal. If the professional interpretation service is not available for that language, the Respondent may request the use of another interpreter, in which case the Hearing Officer in his or her discretion may use the Respondent’s requested interpreter. In exercising that discretion, the Hearing Officer will take into account all relevant factors, including but not limited to the following:

      (i) the apparent skills of the Respondent’s requested interpreter;

      (ii) whether the Respondent’s requested interpreter is a child under the age of eighteen (18);

      (iii) minimization of delay in the hearing process;

      (iv) maintenance of a clear and usable hearing record; and

      (v) whether the Respondent’s requested interpreter is a potential witness who may testify at the hearing.

      The Hearing Officer’s determination and the basis for this determination will be made on the record.

  1. When a party appears on more than one (1) summons on a single hearing day, the Tribunal has the discretion to determine the order in which the summonses will be heard.
  2. Each party has the right to present evidence, to examine and cross-examine witnesses, to make factual or legal arguments and to have other rights essential for due process and a fair and impartial hearing. Witnesses may be excluded from the hearing room, except while they are actually testifying.
  3. Oaths. All persons giving testimony as witnesses at a hearing must be placed under oath or affirmation.
  4. All adjudicatory hearings will proceed in the following order, subject to modification by the Hearing Officer:

   (1) Presentation and argument of motions preliminary to a hearing on the merits;

   (2) Petitioner’s opening statement, if any;

   (3) Respondent’s opening statement, if any;

   (4) Petitioner’s case in chief;

   (5) Respondent’s case in chief;

   (6) Petitioner’s case in rebuttal;

   (7) Respondent’s case in rebuttal;

   (8) Respondent’s closing argument;

   (9) Petitioner’s closing argument.

  1. A record will be made of all summonses filed, proceedings held, written evidence admitted and rulings rendered, and such record will be kept in the regular course of business for a period of time in accordance with applicable laws and regulations. Hearings will be mechanically, electronically or otherwise recorded by the Tribunal under the supervision of the Hearing Officer, and the original recording will be part of the record and will constitute the sole official record of the hearing. No other recording or photograph of the hearing may be made without prior written permission of the Tribunal. A copy of the recording will be provided upon request to the Tribunal. The Tribunal may charge a reasonable fee in accordance with Article 6 of the New York State Public Officers Law.
  2. Unless permitted or ordered by the Hearing Officer, parties are prohibited from submitting additional material or argument after the hearing has been completed.

§ 6-12 Evidence.

(a) Burden of Proof. The Petitioner has the burden of proving the factual allegations contained in the summons by a preponderance of the evidence. The Respondent has the burden of proving an affirmative defense, if any, by a preponderance of the evidence.
  1. Admissibility of Summons. If the summons is sworn to under oath or affirmed under penalty of perjury, the summons will be admitted as prima facie evidence of the facts stated therein. The summons may include the report of the inspector, public health sanitarian or other person who conducted the inspection or investigation that resulted in the summons. When such report is served with the summons, such report will also be prima facie evidence of the factual allegations contained in the report.
  2. Admissibility of Evidence. Relevant and reliable evidence may be admitted without regard to technical or formal rules or laws of evidence applicable in the courts of the State of New York. Irrelevant, immaterial, unreliable or unduly repetitious evidence will be excluded. Immaterial or irrelevant parts of an admissible document must be segregated and excluded to the extent practicable.
  3. Types of Evidence. Evidence at a hearing may include, but is not limited to, witness testimony, documents and objects. Documents may include, but are not limited to, affidavits or affirmations, business records or government records, photographs and other documents.
  4. Official Notice. Official notice may be taken of all facts of which judicial notice may be taken and other facts within the specialized knowledge and experience of the Tribunal or the Hearing Officer. Opportunity to disprove such noticed fact will be granted to any party making a timely motion.
  5. Objections. Objections to evidence must be timely and must briefly state the grounds relied upon. Rulings on all objections must appear on the record.

§ 6-13 Hearing Officers.

Hearing Officers may:

  1. Administer oaths and affirmations, examine witnesses, rule upon offers of proof or other motions and requests, admit or exclude evidence, grant adjournments and continuances, and oversee and regulate other matters relating to the conduct of a hearing;
  2. Upon request of a party, issue subpoenas or adjourn a hearing for the appearance of individuals or the production of documents or other types of information when the Hearing Officer determines that necessary and material evidence will result;
  3. Bar from participation in a hearing any person, including a party, representative or attorney, witness or observer who engages in disorderly, disruptive or obstructionist conduct that disrupts or interrupts the proceedings of the Tribunal, and continue the hearing without that person’s presence;
  4. Carry out adjudicatory powers of:

   (i) the hearing examiner set forth in Title 17 of the New York City Administrative Code and associated rules and regulations and the New York City Health Code as codified within Title 24 of the Rules of the City of New York, and

   (ii) an administrative law judge set forth in Title 19 of the New York City Administrative Code;

  1. Allow an amendment to a summons only upon a motion at any time if:

   (1) the subject of the amendment is reasonably within the scope of the original summons;

   (2) such amendment does not allege any additional violations based on an act not specified in the original summons;

   (3) such amendment does not allege an act that occurred after the original summons was served; and

   (4) such amendment does not affect the Respondent’s right to have adequate notice of the allegations made against him or her.

  1. Request further evidence to be submitted by the Petitioner or Respondent;
  2. Make final or recommended decisions pursuant to applicable law, rule or regulation; and
  3. Take any other action authorized by applicable law, rule or regulation, or that is delegated by the Chief Administrative Law Judge.

§ 6-14 Requests for Adjournment.

(a) At the request of either party during a hearing, a Hearing Officer may adjourn the hearing upon a showing of good cause as determined by the Hearing Officer in his or her discretion.
  1. In deciding whether there is good cause for an adjournment, the Hearing Officer will consider:

   (1) Whether granting the adjournment is necessary for the party requesting the adjournment to effectively present the case;

   (2) Whether granting the adjournment is unfair to the other party;

   (3) Whether granting the adjournment will cause inconvenience to any witness;

   (4) The age of the case and the number of adjournments previously granted;

   (5) Whether the party requesting the adjournment had a reasonable opportunity to prepare for the scheduled hearing;

   (6) Whether the need for the adjournment is due to facts that are beyond the requesting party’s control;

   (7) The balance of the need for efficient and expeditious adjudication of the case and the need for full and fair consideration of the issues relevant to the case; and

   (8) Any other fact that the Hearing Officer considers to be relevant to the request for an adjournment.

  1. Once a hearing has been adjourned, neither party may request a reschedule pursuant to 48 RCNY § 6-05. A denial of an adjournment request is not subject to interim review or appeal.

§ 6-15 Adjournments for Inspector Testimony.

(a) Upon request of either party, a Hearing Officer may grant an adjournment for the testimony of an Inspector if the Hearing Officer finds that the Inspector’s testimony is likely to be necessary to a fair hearing on the violation(s) charged and/or the defense(s) asserted.
  1. If a Hearing Officer has adjourned a hearing solely for the purpose of obtaining the Inspector’s testimony, and the Respondent timely appears on the adjourned hearing date but the Inspector fails timely to appear, the hearing shall not be further adjourned solely to obtain the testimony of such Inspector, unless the Respondent consents to the second adjournment or the Hearing Officer finds that extraordinary circumstances warrant the second adjournment. “Extraordinary circumstances” are circumstances that could not have been reasonably foreseen by the Petitioner.
  2. A Hearing Officer may not adjourn a hearing on more than two (2) occasions for the appearance of the Inspector.

§ 6-16 Representation.

(a) Each party has the right to be represented by an attorney or another authorized representative, as set forth in 48 RCNY §§ 6-09 and 6-23.
  1. An attorney or representative appearing at the Tribunal must provide staffing sufficient to ensure completion of his or her hearings. The failure of a representative or attorney to provide sufficient staffing may be considered misconduct under 48 RCNY § 6-25. The Tribunal may consider the following factors in determining whether sufficient staffing has been provided:

   (1) the number of cases the representative or attorney had scheduled on the hearing date;

   (2) the number of representatives or attorneys sent to handle the cases;

   (3) the timeliness of the arrival of the representatives or attorneys;

   (4) the timeliness of the arrival of any witnesses; and

   (5) any unforeseeable or extraordinary circumstances.

  1. When any attorney or representative appears on more than one (1) summons on a single hearing day, the Tribunal has the discretion to determine the order in which such summonses will be heard.

§ 6-17 Decisions.

(a) Decisions. After a hearing, the Hearing Officer who presided over the hearing will promptly write a decision sustaining or dismissing each charge in the summons. The Tribunal will promptly serve the decision on all parties. Each decision will contain findings of fact and conclusions of law. Where a violation is sustained, the Hearing Officer will impose the applicable penalty, which may include a fine, penalty points, a suspension or revocation of the respondent's license or any other penalty authorized by applicable laws, rules and regulations.
  1. Except as provided in subdivision (c), the decision of the Hearing Officer is the final decision unless an appeal is filed pursuant to 48 RCNY § 6-19.
  2. Recommended Decisions.

   (1) For all violations of Article 13-E of the New York State Public Health Law, the Hearing Officer will issue a recommended decision and order, which the Commissioner of the Department of Health and Mental Hygiene may adopt, reject or modify, in whole or in part.

   (2) For all violations of Article 13-F of the New York State Public Health Law:

      (i) where the Department of Consumer Affairs is the petitioner, the Hearing Officer will issue a recommended decision and order, which the Commissioner of such department may adopt, reject or modify, in whole or in part.

      (ii) where the Department of Health and Mental Hygiene is the petitioner, the Hearing Officer will issue a recommended decision and order, which the Commissioner of such department may adopt, reject or modify, in whole or in part.

   (3) For all violations in which summonses are returnable to the Tribunal as authorized by the Board under § 1049-a of the New York City Charter and provisions of the New York City Administrative Code, any rules and regulations made thereunder, or provisions of New York State law, the Hearing Officer’s decision is a recommended decision to the Board. If an appeal is not filed pursuant to 48 RCNY § 6-19, the Hearing Officer’s recommended decision will be automatically adopted by the Board and will constitute the Board’s final decision in the matter. The Board’s final decision is also the final decision of the Tribunal.

   (4) For all violations of Section 194 of Article 11 of the New York State General Business Law, Article 5 of the New York State General Business Law, and Sections 192, 192-a, 192-b, and 192-c of Article 16 of the New York State Agriculture and Markets Law, and of any rules and regulations promulgated thereto, the Hearing Officer will issue a recommended decision and order, which the Commissioner of the Department of Consumer Affairs may adopt, reject or modify, in whole or in part.

  1. The Tribunal may, due to Tribunal needs or the unavailability of the Hearing Officer who heard the case, designate another Hearing Officer to write the recommended decision. The decision will state the reason for the designation and will be based on the record, which includes (i) the summons, (ii) all briefs filed and all exhibits received in evidence, and (iii) a complete audio recording of the hearing or, if a complete audio recording is unavailable for any reason, a complete transcript of the hearing.

§ 6-18 Payment of Penalty.

A copy of the decision, other than a default decision mailed or otherwise provided in accordance with 48 RCNY § 6-20, will be served immediately on the Respondent or on the Respondent’s authorized representative, either personally or by mail. Any fines, penalties or restitution imposed must be paid within thirty (30) days of the date of the decision, or thirty-five (35) days if the decision was mailed, unless the agency responsible for collecting payment of the fines and penalties imposed enters into a payment plan with the Respondent.

Subchapter D: Appeals

§ 6-19 Appeals.

(a) Filing an appeal.

   (1) A party may appeal a decision of a Hearing Officer in whole or in part. An appeal will be considered by the Tribunal only upon timely completion of the following requirements:

      (i) The party seeking to appeal the decision of a Hearing Officer must file the appeal with the Tribunal within thirty (30) days of the date of the Hearing Officer’s decision, or within thirty-five (35) days if the decision was mailed, and the filing must contain proof that the appealing party served a copy of the appeal on the nonappealing party;

      (ii) The appeal must be in writing and contain a concise statement of the issues, which must include specific objections to the findings of fact and conclusions of law in the Hearing Officer’s decision, and the points of law and facts that support each objection. The appeal may be on a form prescribed by the Tribunal.

      (iii) Where a respondent appeals, that respondent must indicate in writing that payment of any fines, penalties or restitution imposed by the decision has been made in full, unless:

         (A) Respondent is granted a waiver of prior payment of fines or penalties due to financial hardship, as provided in subdivision (b) of this section;

         (B) Respondent received a waiver of prior payment of fines or penalties as otherwise provided in law, rules or regulations;

         (C) Respondent opted for community service in lieu of a monetary penalty at the hearing; or

         (D) The agency responsible for collecting payment of the fines or penalties imposed enters into a payment plan with the Respondent prior to or at the time of the filing of the appeal.

   (2) A party may not appeal a decision rendered on default, a denial of a request for new hearing after default (motion to vacate a default), or a plea admitting the violations charged.

  1. Financial hardship.

   (1) An application to the Tribunal for a waiver of prior payment due to financial hardship must be made before or at the time of the filing of the appeal and must be supported by evidence of financial hardship. The Chief Administrative Law Judge or his or her designee has sole discretion to grant or deny a waiver due to financial hardship. Application for a waiver does not extend the time to appeal.

   (2) Notwithstanding the provisions set forth in subdivision (a)(iii), above, payment of restitution is not subject to waiver due to financial hardship. If a Hearing Officer has ordered payment of restitution, the Respondent must, prior to or at the time of filing the appeal, submit proof that the Respondent has deposited the amount of restitution with the agency responsible for collecting payment, pending determination of the appeal.

  1. Responding to an appeal. Except as provided in 48 RCNY § 5-04, the non-appealing party may file a response to the appeal within thirty (30) days of being served with the appeal, or thirty-five (35) days if served by mail. The response must be in writing, served on the appealing party, and filed with the Tribunal with proof of such service within the time allotted. The response may be on a form prescribed by the Tribunal.
  2. Requests for Extensions of time.

   (1) A party who requests an extension of time to file an appeal or respond to an appeal will receive one automatic extension of thirty (30) days from the date the Appeals Unit grants the request. Any further requests for an extension will be granted for good cause shown.

   (2) All parties are entitled to request a copy of the hearing recording from the Appeals Unit. Any requests for hearing recordings will not further extend the party’s time to appeal as set forth in Subsection (1) of this subdivision.

   (3) Requests under Subsection (1) of this subdivision must be made in writing within the time allotted to file an appeal or a response, served on all parties, and timely filed with the Tribunal with proof of service. Requests for an extension may be on a form prescribed by the Tribunal.

   (4) Unless one of the exceptions in Subdivision (a)(1)(iii) of this section applies, a request for an extension of time to file an appeal does not extend the time by which the Respondent must pay the penalty pursuant to 48 RCNY § 6-18.

  1. Further filings on an appeal with the Tribunal by either party will not be considered unless requested by the Appeals Unit.
  2. Review of an Appeal.

   (1) Appeals decisions are made upon the record of the hearing. The record of the hearing includes all items enumerated in 48 RCNY § 6-11(g).

   (2) The Appeals Unit will only consider evidence that was offered to the Hearing Officer at the hearing; provided however, upon good cause shown, the Appeals Unit may consider dispositive government records, such as a death certificate or deed, that establish a material fact or defense.

   (3) In all cases other than those subject to 48 RCNY § 5-04, the Tribunal will decide an appeal even if there is no hearing recording.

  1. Appeals Decision.

   (1) When an appeal is filed, the Appeals Unit will determine whether the facts contained in the findings of the Hearing Officer are supported by a preponderance of the evidence in the record, and whether the determinations of the Hearing Officer, as well as the penalties imposed, are supported by law. Except as provided in 48 RCNY §§ 3-15, 5-04 and 5-05, the Appeals Unit has the power to affirm, reverse, remand or modify the decision appealed from.

   (2) Except as provided in 48 RCNY §§ 3-15, 5-04 and 5-05, the Appeals Unit will promptly issue a written decision. Such decision is the final determination of the Tribunal, and judicial review of such decision may be sought pursuant to Article 78 of the New York Civil Practice Law and Rules. A copy of the decision will be delivered to the Petitioner and served on the Respondent by mail, stating the grounds upon which the decision is based. Where appropriate, the decision will order the repayment to the Respondent of any penalty that has been paid.

   (3) For summonses returnable to the Tribunal as authorized by the Board pursuant to § 1049-a of the New York City Charter and provisions of the New York City Administrative Code, any rules and regulations made thereunder, or provisions of New York State law, any decision of the Appeals Unit is a recommended decision to the Board. The Board or a panel consisting of members thereof will review the recommended decision and issue a final determination pursuant to 48 RCNY § 3-15.

Subchapter E: Defaults

§ 6-20 Defaults.

(a) A Respondent who fails to appear or to make a request to reschedule as required by these rules will be deemed to have defaulted.
  1. Upon such default, without further notice to the Respondent and without a hearing being held, all facts alleged in the summons will be deemed admitted, the Respondent will be found in violation and the penalties authorized by applicable laws, rules and regulations will be applied.
  2. Decisions rendered because of a default will take effect immediately.
  3. The Tribunal will notify the Respondent of the issuance of a default decision by mailing a copy of the decision or by providing a copy to the Respondent or the Respondent’s representative who appears personally at the Tribunal and requests a copy.
  4. The Respondent may make a motion in writing requesting that a default be vacated pursuant to 48 RCNY § 6-21.

§ 6-21 Request for a New Hearing after a Failure to Appear (Motion to Vacate a Default).

(a) Form of Request. A request for a new hearing after default (motion to vacate a default) is a motion by a Respondent for a new hearing after the Respondent did not appear and a default decision was issued. The Respondent must make the request by application to the Tribunal on a form approved by the Tribunal. The request must be dated, contain a current mailing address for the Respondent; explain how and when the Respondent learned of the violation and be certified to under the penalties of perjury. If the request is made by an attorney or other representative, the request must explain the relationship between the Respondent and the person making the request
  1. A first request for a new hearing after default by a Respondent that is submitted within sixty (60) days of the mailing or hand delivery date of the default decision will be granted. A request for a new hearing after default that is submitted by mail must be postmarked within sixty (60) days of the mailing or hand delivery date of the default decision.
  2. A request for a new hearing after default that is submitted after sixty (60) days of the date of the mailing or hand delivery date of the default decision must be filed within one (1) year of the date of the default decision and be accompanied by a statement setting forth a reasonable excuse for the Respondent’s failure to appear and any documents to support the request. The Hearing Officer will determine whether a new hearing will be granted.
  3. Reasons for Failing to Appear. In determining whether a Respondent has shown a reasonable excuse for failing to appear at a hearing, the Hearing Officer will consider:

   (1) Whether the summons was properly served pursuant to applicable law.

   (2) Whether the Respondent was properly named, including but not limited to:

      (i) Whether the Respondent was cited generally as “Owner” or “Agent” on all copies of the summons served on the Respondent; or

      (ii) Whether the Respondent was an improper party when the summons was issued, such as:

         (A) An individual who was deceased or legally incompetent on the hearing date upon which the Respondent did not appear; or

         (B) For a premises-related violation, the Respondent was not the owner, agent, lessee, tenant occupant or person in charge of or in control of the place of occurrence on the date of the offense.

   (3) Whether circumstances that could not be reasonably foreseen prevented the Respondent from attending the hearing.

   (4) Whether the Respondent had an emergency or condition requiring immediate medical attention.

   (5) Whether the matter had been previously adjourned by the Respondent.

   (6) Whether the Respondent attempted to attend the hearing with reasonable diligence.

   (7) Whether the Respondent’s inability to attend the hearing was due to facts that were beyond the Respondent’s control.

   (8) Whether the Respondent’s failure to appear at the hearing can be attributed to the Respondent’s failure to maintain current contact information on file with the applicable licensing agency.

   (9) Whether the Respondent has previously failed to appear in relation to the same summons.

   (10) Any other fact that the Tribunal considers to be relevant to the motion to vacate.

  1. Defaulting twice on the same summons.

   (1) If, after a request for a new hearing has been previously granted, a Respondent defaults on the same summons, the second default shall not be eligible for a request for a new hearing. The second default decision is the Tribunal’s final determination and is not subject to review or appeal at the Tribunal. Judicial review of the decision may be sought pursuant to Article 78 of the New York Civil Practice Law and Rules.

   (2) Notwithstanding the forgoing, upon application, the Chief Administrative Law Judge or his or her designee may grant a new hearing after default upon a showing of exceptional circumstances and in order to avoid injustice.

  1. Except as otherwise stated in 48 RCNY § 5-03, the Chief Administrative Law Judge or his or her designee will have the discretion, in exceptional circumstances and in order to avoid injustice, to consider a Respondent’s first request for a new hearing after default made more than one (1) year from the date of the default decision.
  2. If a request for a new hearing after default is granted, the Tribunal will send a notice to the Respondent at the Respondent’s address provided on the motion. If the Respondent is deceased or legally incompetent, a notice will be sent to Respondent’s representative at the address provided by the representative on the motion. Notice will also be sent to the Petitioner upon request. If the Respondent is unable to appear on the hearing date scheduled after such motion is granted, the Respondent may request that the hearing be rescheduled one (1) final time.
  3. If a request for a new hearing after default is granted and the Respondent has already made a full or partial payment, no request of a refund will be considered until after the hearing is completed and a decision issued.
  4. A decision to grant a request for a new hearing after default is not a final decision on the issues of whether the Respondent was properly served or a proper party on the date of the offense.
  5. A denial of a request for a new hearing after default is the Tribunal’s final determination and is not subject to review or appeal at the Tribunal. Judicial review of the denial may be sought pursuant to Article 78 of the New York Civil Practice Law and Rules.

Subchapter F: Miscellaneous

§ 6-22 Disqualification of Hearing Officers.

(a) Grounds for Disqualification. A Hearing Officer will not preside over a hearing under the circumstances set forth in subdivisions (D) and (E) of § 103 of Appendix A of this title. When a Hearing Officer deems himself or herself disqualified to preside in a particular proceeding, the Hearing Officer will withdraw from the proceeding by notice on the record and will notify the Chief Administrative Law Judge or his or her designee of such withdrawal.
  1. Motion to Disqualify. A party may, for good cause shown, request that the Hearing Officer disqualify himself or herself. The Hearing Officer in the proceeding will rule on such motion.

   (1) If the Hearing Officer denies the motion, the party may obtain a brief adjournment in order to promptly apply for review by the Chief Administrative Law Judge or his or her designee.

   (2) If the Chief Administrative Law Judge or his or her designee determines that the Hearing Officer should be disqualified, the Chief Administrative Law Judge or his or her designee will appoint another Hearing Officer to continue the case. If a Hearing Officer’s denial of the motion to disqualify is upheld by the Chief Administrative Law Judge or his or her designee, the party may raise the issue again on appeal.

§ 6-23 Registered Representatives

Requirements. A representative, other than a family member or an attorney admitted to practice in New York State, who represents two or more Respondents before the Tribunal within a calendar year must:

  1. Be at least eighteen (18) years of age;
  2. Register with the Tribunal by completing and submitting a form provided by the Tribunal. The form must include proof acceptable to the Tribunal that identifies the representative, and must also include any other information that the Tribunal may require. Registration must be renewed annually. Failure to register with the Tribunal may result in the Tribunal declining registration in the future;
  3. Notify the Tribunal within ten (10) business days of any change in the information required on the registration form;
  4. Not misrepresent his or her qualifications or service so as to mislead people into believing the representative is an attorney at law or a governmental employee if the representative is not. A representative who is not an attorney admitted to practice must refer to him or herself as “representative” when appearing before the Tribunal;
  5. Exercise due diligence in learning and observing Tribunal rules and preparing paperwork; and
  6. Be subject to discipline, including but not limited to suspension or revocation of the representative’s right to appear before the Tribunal, for failing to follow the provisions of this subdivision and any other rules of the Tribunal. A list of representatives who have been suspended or barred from appearing may be made public.

§ 6-24 Pre-hearing Notification of Schedule for Attorneys and Registered Representatives.

(a) No attorney or registered representative may appear on fifteen (15) or more summonses on a given hearing date unless:

   (1) No later than noon two (2) business days before the scheduled hearing date, the Tribunal office in the borough where the cases are scheduled to be heard receives from the attorney or registered representative by email a written list of all scheduled cases;

   (2) Notices of Appearance are submitted in advance of the scheduled hearing, as directed by the Tribunal, to the Tribunal office in the borough where cases are scheduled to be heard; and

   (3) The attorney or registered representative appears at or before the scheduled hearing time, at the place and date for the scheduled hearing. The timeliness requirements set forth in 48 RCNY § 6-09(b)(1), which allows a Respondent or a Respondent’s representative to appear within three (3) hours of the scheduled hearing time, does not apply when an attorney or representative is appearing on fifteen (15) or more summonses on a given hearing date.

  1. Cases may be added to this list on the day of the hearing at the discretion of the Tribunal.

§ 6-25 Misconduct.

(a) Prohibited Conduct. A party, witness, representative or attorney must not:

   (1) Engage in abusive, disorderly or delaying behavior, a breach of the peace or any other disturbance which directly or indirectly tends to disrupt, obstruct or interrupt the proceedings at the Tribunal;

   (2) Engage in any disruptive verbal conduct, action or gesture that a reasonable person would believe shows contempt or disrespect for the proceedings or that a reasonable person would believe to be intimidating;

   (3) Willfully disregard the authority of the Hearing Officer or other Tribunal employee. This may include refusing to comply with the Hearing Officer’s directions or behaving in a disorderly, delaying or obstructionist manner;

   (4) Leave a hearing in progress without the permission of the Hearing Officer;

   (5) Attempt to influence or offer or agree to attempt to influence any Hearing Officer or employee of the Tribunal by the use of threats, accusations, duress or coercion, a promise of advantage, or the bestowing or offer of any gift, favor or thing of value;

   (6) Enter any area other than a public waiting area unless accompanied or authorized by a Tribunal employee. Upon conclusion of a hearing, a party, witness, representative or attorney must promptly exit non-public areas;

   (7) Request any Tribunal clerical staff to perform tasks that are illegal, unreasonable or outside the scope of the employee’s job duties;

   (8) Operate any Tribunal computer terminal or other equipment at any time unless given express authorization or the equipment has been designated for use by the public;

   (9) Submit a document, or present testimony or other evidence to the Tribunal which he or she knows, or reasonably should have known, to be false, fraudulent or misleading;

   (10) Induce or encourage anyone to make a false statement to the Tribunal;

   (11) Solicit clients, or cause the solicitation of client by another person on Tribunal premises;

   (12) Make or cause to be made a stenographic, electronic, audio, audio-visual or other verbatim or photographic reproduction of any hearing or other proceeding, whether such hearing or other proceeding is conducted in person, by telephone, or other remote methods, except upon application to the Hearing Officer. This does not include copies of documents submitted to the Tribunal during a hearing including written or electronic statements and exhibits. Except as otherwise provided by law, such application must be addressed to the Hearing Officer, who may deny the application or grant it in full, in part, or upon such conditions as the Hearing Officer deems necessary to preserve the decorum of the proceedings and to protect the interests of the parties, witnesses and any other concerned persons.

  1. Prohibited Communication.

   (1) All parties must be present when communications with Tribunal personnel, including a Hearing Officer, occur, except as necessary for case processing and unless otherwise permitted by these rules, on consent or in an emergency.

   (2) All persons are prohibited from initiating communication with a Hearing Officer or other employee before or after a hearing or before or after a decision on motion, in order to attempt to influence the outcome of a hearing or decision on motion.

  1. Penalties for Misconduct.

   (1) Failure to abide by these rules constitutes misconduct. The Chief Administrative Law Judge or his or her designee may, for good cause, suspend or bar from appearing before the Tribunal an attorney or representative who fails to abide by these rules. The suspension may be either for a specified period of time or indefinitely until the attorney or representative demonstrates to the satisfaction of the Chief Administrative Law Judge or his or her designee that the basis for the suspension no longer exists.

   (2) However, the Chief Administrative Law Judge or his or her designee may not act until after the attorney or representative is given notice and a reasonable opportunity to appear before the Chief Administrative Law Judge or his or her designee to rebut the claims against him or her. The Chief Administrative Law Judge or his or her designee, depending upon the nature of the conduct, will determine whether said appearance will be in person or by a remote method.

   This section in no way limits the powers of a Hearing Officer as set out in 48 RCNY § 6-13.

  1. Discipline on Other Grounds.

   (1) Notwithstanding the provisions of subdivision (c) of this section, the Chief Administrative Law Judge may summarily suspend or bar a representative upon a determination that the representative lacks honesty and integrity and that the lack of honesty and integrity will adversely affect his or her practice before the Tribunal.

   (2) Any action pursuant to this subdivision will be on notice to the representative. After the summary suspension or bar, the representative will be given an opportunity to be heard in a proceeding prescribed by the Chief Administrative Law Judge or his or her designee. Factors to be considered in determining whether a representative lacks honesty and integrity include, but are not limited to, considering whether the representative has made false, misleading or inappropriate statements to parties or Tribunal staff.

  1. Judicial Review. The decision of the Chief Administrative Law Judge or his or her designee under subdivision (c) or (d) of this section constitutes a final determination. Judicial review of the decision may be sought pursuant to Article 78 of the New York Civil Practice Law and Rules.

§ 6-26 Request for a New Hearing Due to Unauthorized Representation.

Notwithstanding any other provision of these rules, a party may, within three (3) years after a decision pursuant to a hearing has become final, move to vacate the decision on the grounds that the person who appeared on the party’s behalf at the hearing was not authorized to do so. Upon a determination that the person who appeared was not authorized to represent the party, the Tribunal may vacate the decision and schedule a new hearing. In exceptional circumstances and in order to avoid injustice, the Tribunal will have the discretion to grant a motion to vacate a decision after the three (3) year period has lapsed.

§ 6-27 Defense Based on Sovereign or Diplomatic Immunity.

(a) A Respondent may present a defense based on sovereign or diplomatic immunity:

   (1) in a written submission received no later than seven (7) business days before the hearing date stated on the summons, in which the Respondent may admit or deny the violation charged and the Tribunal will assign the matter to a Hearing Officer; or

   (2) at a hearing orally or in writing, but only if an attorney or authorized representative of the Petitioner is present at the hearing or if the Respondent at that time consents to an adjournment of the hearing; or

   (3) in a response submitted in any case in which adjudication by remote method is allowed pursuant to 48 RCNY § 6-10.

  1. Upon presentation of a defense based on sovereign or diplomatic immunity, the Hearing Officer must issue an order:

   (1) adjourning the hearing for no less than thirty (30) and no more than sixty (60) days;

   (2) setting forth in detail the violations alleged in the summons; and

   (3) giving notice to the City entity charged with serving as the official liaison with foreign governments (“liaison”) that the Respondent has presented a defense based on sovereign or diplomatic immunity, in which event the Tribunal will promptly serve such order to such liaison.

  1. After an adjournment is granted under subdivision (b), either party may request to extend the time period of the adjournment. The Hearing Officer must grant such request if it is accompanied by a written submission from the liaison indicating more time is necessary for the parties to resolve the matter.
    1. At a hearing held following an adjournment granted pursuant to subdivision (b), the Hearing Officer must issue a determination whether or not the Respondent is entitled to sovereign or diplomatic immunity.

   (2) If the Hearing Officer determines that the Respondent is entitled to sovereign or diplomatic immunity, he or she must dismiss the summons without a determination of the Respondent’s liability.

   (3) If the Hearing Officer rejects the defense of sovereign or diplomatic immunity, a hearing on the violation must be conducted pursuant to the rules governing hearings in this Chapter.

§ 6-28 Application to File a Post-Hearing Agreement.

A written application to file a post-hearing agreement must be made jointly and with the consent of all the parties to a matter. Such applications must be made to the designated Deputy Commissioner of OATH, or his or her designee as approved by the Chief Administrative Law Judge. The post-hearing agreement will not amend the Hearing Officer’s final written decision and when filed, will become part of the record.

APPENDIX A: RULES OF CONDUCT FOR ADMINISTRATIVE LAW JUDGES AND HEARING OFFICERS OF THE CITY OF NEW YORK

§ 100 Terminology.

Terms used in these Rules are defined as follows:

  1. A “candidate” is a person seeking selection for or retention in public office by any public election, including primary and general elections and including partisan and nonpartisan elections. A person becomes a candidate for public office as soon as he or she makes a public announcement of candidacy or authorizes solicitation or acceptance of contributions.
  2. A “City administrative law judge” is an administrative law judge, hearing examiner, hearing officer or any other person who conducts or participates in the decision of adjudicative proceedings within a City tribunal. The term “City administrative law judge” does not include members of boards or commissions. The term “City administrative law judge” also does not include the head of an agency, unless the agency is a City tribunal.
  3. A “City tribunal” is any City agency or any unit within a City agency that is authorized or charged by law with responsibility for conducting adjudicative proceedings. “City tribunals” to which these Rules are applicable include the tribunals constituting or within the Department of Consumer Affairs, the Department of Finance, the Department of Health and Mental Hygiene, the Environmental Control Board, the Office of Administrative Trials and Hearings, the Police Department, the Tax Appeals Tribunal, the Taxi and Limousine Commission and any similar agencies or units.
  4. “Closely related” means that the relationship between one person and another is that of parent and child; siblings; grandparent and grandchild; great-grandparent and great-grandchild; first cousins; or aunt/uncle and niece/nephew.
  5. A “domestic partner” is a member of a domestic partnership registered pursuant to Administrative Code § 3-240 or in accordance with Executive Order 123 of 1989 or Executive Order 48 of 1993 or a member of a marriage that is not recognized by the State of New York or of any domestic partnership or civil union entered into in another jurisdiction.
  6. “Economic interest” means ownership of a more than de minimis legal or equitable interest, or a relationship as officer, director, advisor or other active participant in the affairs of a party, provided that:

   (1) ownership of an interest in a mutual or common investment fund that holds securities is not an economic interest in such securities or in the manager of such fund unless the City administrative law judge participates in the management of the fund or a proceeding pending or impending before the City administrative law judge could substantially affect the value of the interest;

   (2) service as an officer, director, advisor or other active participant in an educational, religious, charitable, cultural, fraternal or civic organization, or service by a spouse, domestic partner or child as an officer, director, advisor or other active participant in any such organization does not create an economic interest in securities held by that organization;

   (3) a deposit in a financial institution, the proprietary interest of a policyholder in a mutual insurance company, of a depositor in a mutual savings association or of a member in a credit union, or a similar proprietary interest, is not an economic interest in the organization, unless a proceeding pending or impending before the City administrative law judge could substantially affect the value of the interest;

   (4) ownership of government securities is not an economic interest in the issuer unless a proceeding pending or impending before the City administrative law judge could substantially affect the value of the securities;

   (5) a “de minimis” interest is one so insignificant that it could not raise reasonable questions as to a City administrative law judge’s impartiality.

  1. An “ex parte communication” is a communication that concerns a pending or impending proceeding before a City administrative law judge and occurs between the City administrative law judge and a party, or a representative of a party, to the proceeding without notice to and outside the presence of one or more other parties to the proceeding.
  2. “Fiduciary” includes such relationships as executor, administrator, trustee and guardian.
  3. “Impartial” means without bias or prejudice in favor of, or against, particular parties or classes of parties, and with an open mind in considering issues that may come before the City administrative law judge.
  4. An “impending proceeding” is one that has not yet been commenced but is reasonably foreseeable and not merely hypothetical.
  5. “Integrity” denotes probity, fairness, honesty, uprightness and soundness of character; it also denotes a firm adherence to these Rules and their standard of values.
  6. To “know” is to have actual knowledge of the fact in question. A person’s knowledge may be inferred from circumstances.
  7. A “member of the City administrative law judge’s family” is a spouse, domestic partner, child, grandchild, parent, grandparent, sibling or any other person with whom the City administrative law judge maintains a comparable relationship.
  8. “Nonpublic information” is confidential information of which a City administrative law judge becomes aware as a result of his or her judicial duties and which is not otherwise available to the public.
  9. A “pending proceeding” is one that has begun but not yet reached its final disposition.
  10. A “political organization” is a political party, political club or other group, the principal purpose of which is to further the election or appointment of candidates to political office.
  11. “Primarily employed by the City” means employed on a full-time basis or the equivalent or regularly scheduled to work the equivalent of 20 hours per week at one or more City tribunals.
  12. “Require.” Where these Rules prescribe that a City administrative law judge “require” certain conduct of others, the term “require” means that a City administrative law judge is to exercise reasonable direction and control over the conduct of those persons subject to his or her direction and control.

§ 101  A City Administrative Law Judge Shall Uphold the Integrity of the Tribunal on Which He or She Serves.

The administration of justice in our City depends on tribunals that adjudicate fairly, without partiality, prejudgment or impropriety. A City administrative law judge should participate in establishing, maintaining and enforcing high standards of conduct, and shall personally observe those standards so that the integrity of the tribunal on which he or she serves will be preserved. The provisions of these Rules are to be construed and applied to further that objective. Persons covered by these Rules remain subject to Chapter 68 of the City Charter and the rules and opinions issued by the Conflicts of Interest Board interpreting those provisions. To the extent that these Rules conflict with the provisions of Chapter 68 or the rules or opinions of the Conflicts of Interest Board, the provisions of Chapter 68 and the rules and opinions of the Conflicts of Interest Board shall take precedence unless these Rules are more restrictive. Persons covered by these Rules remain subject to Executive Order 16 of 1978 and amendments thereto, and to all other applicable City rules and executive orders. Nothing in these Rules shall limit the duty of City administrative law judges to comply with Chapter 68, the rules and opinions of the Conflicts of Interest Board, Executive Order 16 of 1978 and amendments thereto, and any additional obligations imposed by rules, guidelines or directives issued by agencies or tribunals, or the duty of administrative law judges in the Office of Administrative Trials and Hearings (“OATH”) to comply with the Code of Judicial Conduct as set forth in the Rules of the Chief Administrative Judge of the Courts for the State of New York, 22 NYCRR §§ 100 et seq.

§ 102  A City Administrative Law Judge Shall Avoid Impropriety and the Appearance of Impropriety in All of His or Her Activities.

(A) A City administrative law judge shall respect and comply with the law and shall act at all times in a manner that promotes public confidence in the integrity and impartiality of City tribunals.
  1. A City administrative law judge shall not allow family, social, political or other relationships to influence his or her judicial conduct or judgment.
  2. A City administrative law judge shall not lend the prestige of judicial office to advance the private interests of the City administrative law judge or others; nor shall a City administrative law judge convey to others, or permit others to convey, the impression that they are in a special position to influence him or her.
  3. A City administrative law judge shall not testify voluntarily as a character witness before a City tribunal on which he or she serves.
  4. A City administrative law judge shall not hold membership in any organization that practices invidious discrimination on the basis of actual or perceived age, race, creed, color, gender (including gender identity), sexual orientation, religion, national origin, disability, marital status, domestic partnership status, alienage or citizenship status, military status, or any other protected status enumerated in the City Human Rights Law, Administrative Code § 8-101, or the State Human Rights Law, Executive Law § 291. This provision does not prohibit a City administrative law judge from holding membership in an organization that is dedicated to the preservation of religious, ethnic, cultural or other values of legitimate common interest to its members.

§ 103  A City Administrative Law Judge Shall Perform His or Her Judicial Duties Impartially and Diligently.

(A)  Adjudicative responsibilities.

   (1) A City administrative law judge shall be faithful to the law and maintain professional competence in it. A City administrative law judge shall not be swayed by partisan interests, public clamor or fear of public criticism.

   (2) A City administrative law judge shall require order and decorum in proceedings before him or her.

   (3) A City administrative law judge shall be patient, dignified and courteous to the parties, representatives, witnesses and others with whom the City administrative law judge deals in an official capacity and shall require similar conduct of others subject to his or her direction and control.

   (4) A City administrative law judge shall accord to every party to a proceeding, or to that party’s representative, the right to be heard according to law.

   (5) A City administrative law judge shall perform judicial duties with impartiality. A City administrative law judge in the performance of judicial duties shall not, by words or conduct, manifest bias or prejudice, including but not limited to bias or prejudice based upon actual or perceived age, race, creed, color, gender (including gender identity), sexual orientation, religion, national origin, disability, marital status, domestic partnership status, alienage or citizenship status, military status or any other protected status enumerated in the City Human Rights Law, Administrative Code § 8-101, or the State Human Rights Law, Executive Law § 291, or socioeconomic status, and shall require City tribunal staff and others subject to the City administrative law judge’s direction and control to refrain from such words or conduct.

   (6) A City administrative law judge shall require the parties and their representatives in proceedings before him or her to refrain from manifesting, by words or conduct, bias or prejudice against parties, witnesses, counsel or others based upon actual or perceived age, race, creed, color, gender (including gender identity), sexual orientation, religion, national origin, disability, marital status, domestic partnership status, alienage or citizenship status, military status or any other protected status enumerated in the City Human Rights Law, Administrative Code § 8-101, or the State Human Rights Law, Executive Law § 291, or socioeconomic status. This provision does not preclude legitimate advocacy when age, race, creed, color, gender, sexual orientation, religion, national origin, disability, marital status, domestic partnership status, alienage or citizenship status, military status, socioeconomic status or any other similar factor is an issue in the proceeding.

   (7) A City administrative law judge shall not initiate, permit or consider ex parte communications, except:

      (a) Ex parte communications that are made for scheduling or administrative purposes and that do not affect a substantial right of any party are authorized, if the City administrative law judge (i) reasonably believes that no party will gain a procedural or tactical advantage as a result of the ex parte communication, and (ii) insofar as practical and appropriate, provides for prompt notification of other parties or their representatives of the substance of the ex parte communication and allows an opportunity to respond.

      (b) A City administrative law judge, with the consent of the parties, may confer separately with the parties and their representatives on agreed-upon matters.

      (c) A City administrative law judge may initiate or consider any ex parte communications when authorized by law to do so.

   (8) A City administrative law judge shall take appropriate steps to ensure that any party not represented by an attorney or other relevant professional has the opportunity to have his or her case fully heard on all relevant points.

      (a) Among the practices that a City administrative law judge may appropriately follow and may find helpful in advancing the ability of a litigant not represented by an attorney or other relevant professional to be fully heard are the following: (i) liberally construing and allowing amendment of papers that a party not represented by an attorney has prepared; (ii) providing brief information about the nature of the hearing, who else is participating in the hearing and how the hearing will be conducted; (iii) providing brief information about what types of evidence may be presented; (iv) being attentive to language barriers that may affect parties or witnesses; (v) questioning witnesses to elicit general information and to obtain clarification; (vi) modifying the traditional order of taking evidence; (vii) minimizing the use of complex legal terms; (viii) explaining the basis for a ruling when made during the hearing or when made after the hearing in writing; (ix) making referrals to resources that may be available to assist the party in the preparation of the case.

      (b) A City administrative law judge shall ensure that any steps taken in fulfillment of the obligations of this paragraph are reflected in the record of the proceeding. A communication between a City administrative law judge and a litigant made in fulfillment of the obligations of this paragraph remains subject to the restrictions on ex parte communications contained in the preceding paragraph.

   (9) A City administrative law judge shall dispose of all judicial matters promptly, efficiently and fairly.

   (10) A City administrative law judge shall not make any public comment about a pending or impending proceeding in any City tribunal. This paragraph does not prohibit a City administrative law judge from making authorized public statements in the course of his or her official duties or from explaining for public information the procedures of the tribunal. This paragraph does not apply to proceedings in which the City administrative law judge is a litigant or a representative of a litigant.

   (11) A City administrative law judge shall not:

      (a) make pledges or promises of conduct in office that are inconsistent with the impartial performance of the adjudicative duties of the office;

      (b) with respect to cases, controversies or issues that are likely to come before the tribunal, make commitments that are inconsistent with the impartial performance of the adjudicative duties of the office.

   (12) A City administrative law judge shall not disclose, or use for any purpose unrelated to judicial duties, nonpublic information acquired in a judicial capacity.

  1. Administrative responsibilities.

   (1) A City administrative law judge shall diligently discharge his or her administrative responsibilities without bias or prejudice, maintain professional competence in judicial administration and cooperate with other City administrative law judges and tribunal staff in the administration of judicial business.

   (2) A City administrative law judge shall require tribunal staff subject to his or her direction and control to observe the standards of fidelity and diligence that apply to the City administrative law judge and to refrain from manifesting bias or prejudice in the performance of their official duties.

  1. Disciplinary responsibilities.

   (1) A City administrative law judge who receives information indicating a substantial likelihood that another City administrative law judge has committed a substantial violation of these Rules shall promptly report such information to the head of the tribunal, the Administrative Justice Coordinator in the Office of the Mayor or the Chief Judge of OATH, or, as applicable, to the official occupying any successor position. In addition, a City administrative law judge must comply with any agency rules requiring the reporting of such information within the agency or tribunal.

   (2) If, in the course of performing judicial duties, a City administrative law judge receives information indicating a substantial likelihood that a lawyer appearing before him or her has committed a substantial violation of the Code of Professional Responsibility the City administrative law judge shall take appropriate action.

   (3) Acts of a City administrative law judge in the discharge of disciplinary responsibilities are part of his or her judicial duties.

  1. Disqualification.

   (1) A City administrative law judge shall disqualify himself or herself in a proceeding in which the City administrative law judge’s impartiality might reasonably be questioned, including but not limited to instances where:

      (a) (i)  the City administrative law judge has a personal bias or prejudice concerning a party; or (ii) the City administrative law judge has personal knowledge of disputed evidentiary facts concerning the proceeding;

      (b) (i)  the City administrative law judge, while in private practice, is serving or has served as a lawyer in the matter in controversy; (ii) the City administrative law judge knows that a lawyer with whom he or she was associated in private practice served during that association as a lawyer in the matter in controversy; (iii) the City administrative law judge knows that a lawyer with whom he or she is associated in private practice is serving as a lawyer in the matter in controversy; or (iv) the City administrative law judge knows that he or she or a lawyer with whom he or she was or is associated in private practice has been or will be a material witness in the matter in controversy;

      (c) the City administrative law judge has served in governmental employment and in such capacity participated as counsel, advisor or material witness in the matter in controversy;

      (d) the City administrative law judge knows that he or she, individually or as a fiduciary, or the City administrative law judge’s spouse or domestic partner, or a person known by the City administrative law judge to be closely related to either of them, or the spouse of such person: (i) is a party to the proceeding; (ii) is an officer, director or trustee of a party; (iii) has an economic interest in the subject matter in controversy; or (iv) has any other interest that could be substantially affected by the proceeding;

      (e) the City administrative law judge knows that the City administrative law judge or his or her spouse, domestic partner or a person known by the City administrative law judge to be closely related to either of them, or the spouse or domestic partner of such a person, is acting as a lawyer in the proceeding or is likely to be a material witness in the proceeding;

      (f) the City administrative law judge has made a pledge or promise of conduct in office that is inconsistent with the impartial performance of the adjudicative duties of the office or has made a public statement not in the City administrative law judge’s adjudicative capacity that commits the City administrative law judge with respect to (i) an issue in the proceeding, or (ii) the parties or controversy in the proceeding;

      (g) notwithstanding the provisions of subparagraph (d) above, if a City administrative law judge would be disqualified because of the appearance or discovery, after the matter was assigned to the City administrative law judge, that the City administrative law judge, individually or as fiduciary, or the City administrative law judge’s spouse or domestic partner or a person known by the City administrative law judge to be closely related to either of them, or the spouse of such person, has an economic interest in the subject matter in controversy, disqualification is not required if the City administrative law judge, spouse, domestic partner or other relevant person, as the case may be, divests himself or herself of the interest that provides the grounds for the disqualification.

   (2) A City administrative law judge shall keep informed about his or her personal and fiduciary economic interests and make a reasonable effort to keep informed about the personal economic interests of his or her spouse or domestic partner and minor children residing in the City administrative law judge’s household.

  1. Remittal of disqualification.

   (1) A City administrative law judge disqualified by the terms of subdivision (D) above may disclose on the record the basis for his or her disqualification. Thereafter, subject to paragraph (2) below, if the parties who have appeared and not defaulted and their representatives, without participation by the City administrative law judge, all agree that the City administrative law judge should not be disqualified, and the City administrative law judge believes that he or she will be impartial and is willing to participate, the City administrative law judge may participate in the proceeding. The agreement shall be incorporated in the record of the proceeding.

   (2) Notwithstanding paragraph (1) above, disqualification of a City administrative law judge shall not be remitted if participation in the proceeding by the City administrative law judge would violate Chapter 68 of the Charter or if the basis for disqualification is that:

      (a) the City administrative law judge has a personal bias or prejudice concerning a party;

      (b) the City administrative law judge, while in private practice, served as a lawyer in the matter in controversy;

      (c) the City administrative law judge has been or will be a material witness concerning the matter in controversy; or

      (d) the City administrative law judge or his or her spouse or domestic partner is a party to the proceeding or is an officer, director or trustee of a party to the proceeding.

§ 104  A City Administrative Law Judge Shall Conduct His or Her Extra-Judicial Activities so as to Minimize the Risk of Conflict with Judicial Obligations.

(A)  Extra-judicial activities in general. A City administrative law judge shall conduct all of his or her extra-judicial activities so that they:

   (1) do not cast reasonable doubt on the City administrative law judge’s capacity to act impartially as a City administrative law judge;

   (2) do not detract from the dignity of judicial office;

   (3) do not interfere with the proper performance of judicial duties; and

   (4) are not incompatible with judicial office.

  1. Governmental, civic or charitable activities.

   (1) A City administrative law judge shall not appear at a public hearing before an executive or legislative body or official if doing so would cast doubt on his or her ability to decide impartially regarding any issue or party that with reasonable foreseeability might come before him or her unless the issue or party is one with respect to which the City administrative law judge would in any event be disqualified under these Rules or any other provision of law.

   (2) In connection with civic or charitable activities, a City administrative law judge may participate in fund-raising or solicitation for membership if:

      (a) the City administrative law judge does not use or permit use of the prestige of judicial office for fund-raising or solicitation for membership;

      (b) the fund-raising or solicitation for membership is not directed at persons who have appeared, are appearing or are foreseeably likely to appear before the City administrative law judge;

      (c) the City administrative law judge’s participation in the fund-raising or solicitation for membership would not detract from the dignity of judicial office or interfere with the proper performance of judicial duties or be incompatible with judicial office;

      (d) the fund-raising or solicitation for membership is not prohibited by Chapter 68 of the City Charter or any other provision of law.

   (3) A City administrative law judge shall not accept:

      (a) appointment to a governmental committee or commission or other governmental position if his or her activity in such capacity would cast doubt on his or her ability to decide impartially regarding any issue or party that with reasonable foreseeability might come before him or her; or

      (b) appointment or employment as a peace officer or police officer, as those terms are defined in Criminal Procedure Law § 1.20, unless he or she is a member of the uniformed force of the police department exercising adjudicative duties.

   (4) If not otherwise prohibited by Chapter 68 of the Charter or any other provision of law, a City administrative law judge may be a member or serve as an officer, director, trustee or advisor of an organization or governmental agency devoted to the improvement of the law, the legal system or the administration of justice or of an educational, religious, charitable, cultural, fraternal or civic organization not conducted for profit, subject to the following limitations and the other requirements of these rules.

      (a) A City administrative law judge shall not serve as an officer, director, trustee or advisor if it is likely that (i) the organization will be engaged in proceedings that ordinarily would come before the City administrative law judge or (ii) such service will involve the City administrative law judge in frequent transactions or continuing business relationships with lawyers or other persons likely to come before the City tribunal on which the City administrative law judge serves.

      (b) A City administrative law judge may be listed as an officer, director, trustee or advisor of such an organization, provided that such listing on letterhead or elsewhere does not include the City administrative law judge’s judicial designation unless comparable designations are listed for other persons.

  1. Financial activities.

   (1) A City administrative law judge shall not engage in financial and business dealings that:

      (a) may reasonably be perceived to reflect adversely on the City administrative law judge’s impartiality or exploit his or her judicial position;

      (b) involve the City administrative law judge with any business, organization or activity that ordinarily would come before him or her; or

      (c) involve the City administrative law judge in frequent transactions or continuing business relationships with those lawyers or other persons who regularly come before the tribunal on which the City administrative law judge serves.

   (2) A City administrative law judge shall manage his or her investments and other financial interests to minimize the number of cases in which he or she is disqualified. As soon as he or she can do so without serious financial detriment, the City administrative law judge shall divest himself or herself of investments and other financial interests that might require frequent disqualification.

   (3) A City administrative law judge shall not accept, and shall urge members of his or her family residing in the City administrative law judge’s household not to accept, a gift, bequest, favor or loan from anyone, unless such gift, bequest, favor or loan is permitted by Chapter 68 of the Charter and any other applicable provision of law and is:

      (a) a gift incident to a public testimonial, books, tapes and other resource materials supplied by publishers on a complimentary basis for official use, or an invitation to the City administrative law judge and his or her guest to attend a bar-related function or an activity devoted to the improvement of the law, the legal system or the administration of justice;

      (b) a gift, award or benefit incident to the business, profession or other separate activity of a spouse, domestic partner or other family member of a City administrative law judge residing in the City administrative law judge’s household, including gifts, awards and benefits for the use of both the spouse or other family member and the City administrative law judge (as spouse or family member), provided the gift, award or benefit could not reasonably be perceived as intended to influence the City administrative law judge in the performance of judicial duties;

      (c) a gift which is customary on family and social occasions;

      (d) a gift from a relative or friend, for a special occasion such as a wedding, anniversary or birthday, if the gift is fairly commensurate with the occasion and the relationship;

      (e) a gift, bequest, favor or loan from a relative or friend whose appearance or interest in a case would in any event require disqualification under § 103(D) of these Rules;

      (f) a loan from a lending institution in its regular course of business on the same terms generally available to persons who are not City administrative law judges;

      (g) a scholarship or fellowship awarded on the same terms and based on the same criteria applied to any other applicants; or

      (h) any other gift, bequest, favor or loan, unless the donor is a party or other person who has come or is likely to come before the City administrative law judge or the City administrative law judge knows the donor is or intends to become engaged in business dealings with the City. Any gift received under this subparagraph that exceeds $1,000.00 must be reported to the Administrative Justice Coordinator in the Office of the Mayor or, as applicable, to the official occupying any successor position.

  1. Fiduciary activities. The same restrictions on financial activities that apply to a City administrative law judge personally also apply to the City administrative law judge while acting in a fiduciary capacity.
  2. Service as arbitrator or mediator. A City administrative law judge may act as an arbitrator or mediator, consistent with Chapter 68 of the Charter and the rules and opinions issued by the Conflicts of Interest Board interpreting those provisions and any applicable agency or tribunal rules, as long as such activity affects neither the independent professional judgment of the City administrative law judge nor the conduct of his or her official duties.
  3. Practice of law.

   (1) Consistent with all other provisions of these Rules, with Chapter 68 of the Charter and the rules and opinions of the Conflicts of Interest Board, any applicable agency or tribunal rules and with all other provisions of law, a City administrative law judge may practice law, as long as such activity affects neither the independent professional judgment of the City administrative law judge nor the conduct of his or her official duties.

   (2) A City administrative law judge shall not represent or appear on behalf of private interests before the City tribunal on which he or she serves.

   (3) A City administrative law judge primarily employed by the City shall not represent or appear on behalf of private interests before any City tribunal or agency.

   (4) A City administrative law judge shall not be associated or affiliated with any firm, company or organization that regularly represents or appears on behalf of private interests before the City tribunal on which he or she serves.

  1. Compensation and reimbursement. A City administrative law judge may receive compensation and reimbursement of expenses for the extra-judicial activities permitted by these Rules, if the source of such payments does not give the appearance of influencing the City administrative law judge’s performance of judicial duties or otherwise give the appearance of impropriety, subject to the following restrictions:

   (1) Compensation shall not exceed a reasonable amount nor shall it exceed what a person who is not a City administrative law judge would receive for the same activity.

   (2) Expense reimbursement shall be limited to the actual cost of travel, food and lodging reasonably incurred by the City administrative law judge and, where appropriate to the occasion, by the City administrative law judge’s spouse, domestic partner or guest. Any payment in excess of such an amount is compensation.

§ 105  A City Administrative Law Judge Shall Refrain From Inappropriate Political Activity.

(A) A City administrative law judge shall not act as a leader or hold an office in a political organization.
  1. A City administrative law judge shall not solicit funds for a political organization or candidate.
  2. A City administrative law judge shall resign from office and withdraw his or her name from any roster for assignment or employment as a City administrative law judge upon becoming a candidate for elective non-judicial office, except that he or she may continue to hold office while being a candidate for election to or serving as a delegate in a State constitutional convention, if otherwise permitted by law to do so.
  3. A City administrative law judge who is a candidate for elective judicial office shall comply with the Rules of the Chief Administrator of the Courts for the State of New York governing the conduct of such candidates, 22 NYCRR § 100.5. A determination by the State Commission on Judicial Conduct, a court of the State of New York or any other authorized entity that a City administrative law judge has violated those Rules shall constitute misconduct and may subject a City administrative law judge to discipline hereunder.
  4. A City administrative law judge who engages in any other partisan political activity should be mindful that such activity not detract from, or reduce public confidence in, the fairness, impartiality or dignity of his or her office or the tribunal he or she serves nor be in violation of Chapter 68 of the City Charter or any other applicable law.

§ 106  Misconduct.

(A)  A violation of these Rules may constitute misconduct and may subject a City administrative law judge to discipline.
  1. A complaint alleging that a City administrative law judge has violated these Rules may be made to the head of the City tribunal on which the City administrative law judge serves or served or to the Administrative Justice Coordinator in the Office of the Mayor or the Chief Judge of OATH or, as applicable, to the official occupying any successor position. For purposes of this and the succeeding paragraphs of this section, a “complaint” shall include a report made pursuant to § 103(C)(1) of these Rules.
  2. If the head of a City tribunal receives a complaint, he or she shall so advise the Administrative Justice Coordinator in the Office of the Mayor and the Chief Judge of OATH or, as applicable, the official occupying any successor position.
  3. A complaint received by the Administrative Justice Coordinator in the Office of the Mayor or the Chief Judge of OATH or, as applicable, the official occupying any successor position, shall be referred, after consultation and as appropriate, to the head of the City tribunal on which the City administrative law judge serves or served, to the Conflicts of Interest Board and/or to the Department of Investigation. A complaint concerning the head of a tribunal located within a City agency may also be referred, after consultation and as appropriate, to the head of such agency. A complaint concerning the head of a tribunal not located within a City agency may be referred by the Administrative Justice Coordinator in the Office of the Mayor or the official occupying any successor position, to the Mayor or the Mayor’s designee.
  4. The head of each City tribunal shall report to the Administrative Justice Coordinator in the Office of the Mayor and the Chief Judge of OATH or, as applicable, to the official occupying any successor position, the disposition of each complaint alleging a violation of these Rules that has been received by or referred to the head of the tribunal.
  5. The Chief Judge of OATH or, as applicable, the official occupying any successor position, shall maintain a record of every complaint of a violation of these Rules made under this section and of the disposition of each complaint, which record shall be confidential consistent with applicable law. The Chief Judge of OATH or, as applicable, the official occupying any successor position, shall maintain an index of all City administrative law judges found to have violated these Rules and of the discipline imposed in each such case, which index shall be made available for public inspection and copying.
  6. Notwithstanding the foregoing, with respect to a tribunal in any City agency having an internal investigation division, a complaint alleging that an administrative law judge serving on such a tribunal has violated these Rules shall be made to the head of that agency.
  7. Nothing contained herein shall prohibit the head of a tribunal or other officer responsible for employing or appointing a City administrative law judge from refusing further employment to, terminating the employment of or otherwise disciplining the City administrative law judge, if the head of the tribunal or other officer is otherwise authorized to do so.

§ 107  Advisory Opinions; Advisory Committee.

(A) Advisory opinions. Advisory opinions with respect to these Rules may be issued jointly by the Administrative Justice Coordinator in the Office of the Mayor and the Chief Judge of OATH or, as applicable, by the official occupying any successor position, after consultation with each other. A request for an advisory opinion may be made by a City administrative law judge, including the supervisor of a City administrative law judge or the head of a City tribunal, or by the head of a City agency. A request may be addressed to the Chief Judge of OATH, or, as applicable, to the official occupying any successor position, who shall provide a copy of it to the Administrative Justice Coordinator in the Office of the Mayor, or, as applicable, to the official occupying any successor position, and who shall maintain a record of all such requests for advisory opinions and of all opinions issued in response thereto. An advisory opinion issued under these Rules shall be based on such facts as are presented in the request or subsequently submitted in a written, signed document. Advisory opinions shall be issued only with respect to proposed future conduct or action by a City administrative law judge. A City administrative law judge whose conduct or action is the subject of an advisory opinion shall not be subject to sanction by virtue of acting or failing to act due to a reasonable reliance on the opinion unless material facts were omitted or misstated in the request. A previously issued opinion may be amended, upon notice to the subject City administrative law judge, but the amendment shall apply only to future conduct or action by the City administrative law judge. Advisory opinions shall be made public with such deletions as may be necessary to prevent disclosure of the identity of the subject City administrative law judge or any other involved party.
  1. Advisory committee. The Administrative Justice Coordinator in the Office of the Mayor and the Chief Judge of OATH or, as applicable, the official occupying any successor position may jointly appoint an advisory committee and may consult that committee in the preparation of advisory opinions. Advisory committee members shall be members of the bar especially knowledgeable about matters of ethics, administrative law or the operations of City tribunals. Upon request, the committee shall advise the Administrative Justice Coordinator in the Office of the Mayor and the Chief Judge of OATH or, as applicable, the official occupying any successor position, with respect to any question concerning application of these Rules as to which the committee’s advice is sought.

Chapter 7: [Community Service Program]

§ 7-01 Definitions.

As used in this chapter:

“Community Service” means the performance of a service for a public entity or not-for-profit corporation, association, institution, or agency, in place of payment of a monetary civil penalty. Performance of a service may include attendance at a program, either in person or web-based, authorized by OATH that is designed to benefit, improve, or educate either the community or the Respondent. Community Service includes OATH’s online community service course, which may be completed to satisfy a one- or two-hour Community Service requirement.

“Decision” is a decision of a Hearing Officer sustaining or dismissing a charge and containing findings of fact and conclusions of law.

“Hearing Officer” means a person designated by the Chief Administrative Law Judge of OATH, or his or her designee, to carry out the adjudicatory powers, duties and responsibilities of OATH.

“Respondent” means a person against whom charges are alleged in a summons.

“Specified Violations” are the violations specified in New York City Charter Section 1049(4)(b), and set forth in 48 RCNY § 7-02(a) below.

§ 7-02 Eligibility for Community Service.

(a) Except as provided in subdivision (c), a Respondent who admits the charge on or before a hearing date or is found responsible after a hearing for any Specified Violation can perform Community Service instead of paying a monetary civil penalty. The Specified Violations, monetary civil penalties, and corresponding Community Service hour requirements are found below:

~

~

  1. A Respondent is eligible for Community Service if the Respondent admits to a Specified Violation alleged in a summons before a hearing date, or if the Specified Violation is sustained after a hearing. A Respondent may admit to a Specified Violation at a hearing, in which case the Specified Violation will be sustained against the Respondent.
  2. A Respondent is not eligible for Community Service if the Specified Violation arose during the conduct of commercial activity or activity carried out for a commercial purpose, except when the commercial activity alleged is a violation of Administrative Code § 18-146(c)(15).

§ 7-03 Choosing Community Service.

(a) Community Service After a Hearing.

   (1) If a Respondent is eligible for Community Service because the Specified Violation is sustained after a hearing as described in 48 RCNY § 7-02, the Respondent will receive a Decision that gives the Respondent the option either to complete Community Service or to pay the applicable monetary civil penalty by a specified date. If the Respondent wants to complete Community Service, the Respondent may contact OATH’s Help Center to schedule Community Service. If the Decision gives the option to complete one or two-hours of Community Service, the Respondent may complete OATH’s online Community Service course.

   (2) If a Respondent fails to complete the Community Service as set forth in 48 RCNY §§ 7-04 and 7-05, the applicable monetary civil penalty will be reinstated. The monetary civil penalty will be due and owing thirty (30) days from the date of the Decision, or thirty-five (35) days if the Decision is mailed.

  1. Admitting by Completing OATH’s Online Community Service Course on or Before a Hearing Date.

   (1) A Respondent who wants to admit to a Specified Violation that has a one- or two-hour community service requirement in accordance with 48 RCNY § 7-02 will have the option of admitting to the Specified Violation by completing OATH’s online Community Service course on or before the hearing date. The completion of the online Community Service course constitutes an admission to the violation.

   (2) If a Respondent fails on or before the hearing date to complete OATH’s online Community Service course or pay the applicable monetary penalty, and does not appear at the hearing, the Respondent will be in default pursuant to 48 RCNY § 6-20.

§ 7-04 Amount of Community Service in Place of a Monetary Civil Penalty.

The number of hours of Community Service imposed will correspond to the amount of the monetary civil penalty imposed for a Specified Violation, consistent with New York City Charter Section 1049(4)(e). The number of hours of Community Service for each Specified Violation is in the chart set forth in 48 RCNY § 7-02(a).

§ 7-05 Completion of Community Service.

(a) A Respondent must complete either the Community Service assigned by OATH's Help Center or, if applicable, OATH's online Community Service course.
  1. Deadline to Complete Community Service.

   (1) If a Respondent is completing Community Service after a hearing was held, the Community Service must be completed by the date specified in the Decision, unless otherwise specified in a notice granting an extension, or an order issued, pursuant to 48 RCNY § 7-07.

   (2) If a Respondent is admitting by completing OATH’s online Community Service course, the online Community Service course must be completed on or before the hearing date.

  1. Certificate of Completion.

   (1) Within two (2) days after the specified date of completion in a Decision, a notice granting an extension, or an order issued, pursuant to 48 RCNY § 7-07, the Help Center must provide to Respondent either:

      (A) a Certificate of Completion indicating that the Community Service was completed by the specified date; or

      (B) a Certificate of Non-Completion indicating that the Community Service was not completed by the specified date.

   (2) If a Respondent completes OATH’s online Community Service course, the Respondent will receive immediate confirmation that the online Community Service course was completed.

  1. If a Respondent who either receives a Certificate of Non-Completion, or does not receive immediate confirmation that the online Community Service course was completed, believes that they have timely completed Community Service, they may contact OATH’s Clerk’s Office. The Clerk’s Office will review any information or documentation submitted in support of Respondent’s claim that Community Service was completed on time. The burden of proof is on the Respondent to show timely completion of the Community Service. If the Clerk’s Office finds that Community Service was completed on time, Respondent will not have to pay the monetary civil penalty.

§ 7-06 Extension to Complete Community Service.

(a) A Respondent may request an extension of time to complete the Community Service through the Help Center prior to the deadline to complete the Community Service specified in the Decision.
  1. Extensions of time to complete Community Service are not available for Respondents who wish to admit to the Specified Violation by completing OATH’s online Community Service course on or before the hearing date.
    1. OATH’s Help Center may grant a request for an extension to complete Community Service for good cause shown. In determining whether there is good cause for an extension, the Help Center will consider factors such as the following:

      (A) The length of extension requested;

      (B) The number of hours of Community Service to be completed and the amount of the monetary civil penalty that would be due;

      (C) The number of prior extensions requested;

      (D) Whether the need for the extension is due to factors beyond Respondent’s control or due to extraordinary circumstances; and

      (E) Whether a portion of the Community Service has been completed.

   (2) A denial of a request for an extension is not subject to appeal at OATH.

   (3) A request for extension of time to complete Community Service will not extend the date by which a Respondent must pay the monetary civil penalty. If a request for an extension is denied, the Respondent must either complete the Community Service by the date specified in the Decision, or pay the applicable monetary civil penalty thirty (30) days from the date of the Decision or thirty-five (35) days if the Decision is mailed.

§ 7-07 Respondent Appeal of a Decision After Requesting Community Service.

(a) If a Respondent who has chosen to perform Community Service instead of paying a monetary civil penalty timely appeals the Decision sustaining the Specified Violation, pursuant to 48 RCNY § 6-19, the part of the Decision ordering completion of Community Service will be stayed until a decision on the appeal is issued. A Respondent will not be required to complete the Community Service or pay the applicable monetary civil penalty in order to file an appeal.
  1. If a Respondent’s appeal is denied, the Respondent must either complete the Community Service within twenty (20) days of the date of the appeal decision, or pay the monetary civil penalty, unless otherwise specified in a notice granting an extension.

§ 7-08 Choosing Community Service After a Specified Violation is Sustained on Agency’s Appeal.

(a) If a decision on an appeal sustains a Specified Violation, reversing a Hearing Officer’s Decision to dismiss that violation, a Respondent may choose to perform Community Service instead of paying the monetary civil penalty. Within ten (10) days of the date of the appeal decision, the Respondent must inform OATH of his or her decision to perform Community Service by filing a request, on a form provided by OATH, with the Clerk’s Office. If the Respondent fails to do so within ten (10) days of the date of the decision on the appeal, the monetary civil penalty will be due and owing immediately.
  1. If the Respondent chooses to perform community service, Respondent will receive an order granting a timely request and imposing a deadline to complete the Community Service. The monetary civil penalty will be due and owing if the Respondent fails to perform the Community Service by the deadline in the order.