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.
§ 1-08 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.
§ 1-12 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.
§ 1-13 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.
§ 1-14 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.
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.
§ 1-24 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.
§ 1-27 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.
§ 1-28 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.
§ 1-29 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.
§ 1-31 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.
§ 1-32 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.
§ 1-33 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.
(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.
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.
§ 1-44 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.
§ 1-45 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.
§ 1-47 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.
§ 1-48 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.
§ 1-49 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.
§ 1-50 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.
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.
§ 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.
§ 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).
§ 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.
§ 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.
§ 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) 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.
§ 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.
§ 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.
§ 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.
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).
§ 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.
§ 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.
§ 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.
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.
§ 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) 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.
§ 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. [Repealed]* ::
§ 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 |
~
§ 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
• 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 |
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§ 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 |
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§ 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.
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| 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 |
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§ 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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§ 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.
§ 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.
§ 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.
§ 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.
§ 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.
§ 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) 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.
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) 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.
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:
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 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) 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.
§ 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) 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) 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.
§ 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) 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) 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.
§ 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) 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) 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.
§ 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.
§ 6-13 Hearing Officers.
Hearing Officers may:
(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) 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.
§ 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) 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.
§ 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.
§ 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) 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.
§ 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) 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.
§ 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) 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) 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) 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) 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.
§ 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) 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) 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.
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) 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:
§ 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.
§ 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) 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) 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) 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.
§ 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) 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.
(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) 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.
§ 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.
§ 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) 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) 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) 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) 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) 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) 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) 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 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.
§ 106 Misconduct.
(A) A violation of these Rules may constitute misconduct and may subject a City administrative law judge to discipline.
§ 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.
§ 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:
~
~
§ 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) 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) 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) 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.
§ 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.
(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.
§ 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.
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