§ 39-09 Representatives at Parking Violations Bureau Hearings.
(a) Brokers.
(1) Definitions.
Broker. "Broker" means a person who:
(i) is not the owner or operator of the summonsed vehicle;
(ii) represents another person or firm;
(iii) requests a hearing three or more times within any six month period; and
(iv) is not an employee of the respondent (as defined in 19 RCNY § 39-09(b)(1)).
Brokerage Company. "Brokerage Company" means a corporation, company, partnership or entity that:
(i) is not the owner or operator of the summonsed vehicle;
(ii) engages brokers to represent another person or firm; and
(iii) requests a hearing three or more times within any six month period.
(2) Rules and authorization. The rules set forth in paragraph (8) of subdivision (a) of this section apply to brokers appearing before the Department of Finance in any capacity, which include but are not limited to: the Fleet Program, Stipulated Fine Program, Commercial Abatement Program, Car Rental Program, hearings by mail or web, CAU hearings, and scheduling and billing.
A broker must register with the Department of Finance before representing a respondent before the Department of Finance in any capacity by submitting such forms as prescribed by the Department of Finance and receiving approval of such forms by the Department of Finance. For the broker to represent a respondent, the broker must submit a Broker Authorization Form prescribed by the Department of Finance. The Broker Authorization Form must be:
(i) signed by a duly authorized principal, officer or partner of the respondent;
(ii) duly acknowledged before a Notary Public; and
(iii) mailed to PVB by certified mail, return receipt requested, electronically submitted to PVB as prescribed by the Department of Finance, or hand delivered to the Fleet Program Manager, who will issue a receipt. The Broker Authorization Forms will be filed in a central location in the Consolidated Adjudication Unit (CAU). Upon revocation of the authorization of a broker to represent a person or company, it is the joint and several responsibility of the broker and the person or company to notify PVB within seven days by certified mail, return receipt requested.
(3) Hearing location and schedule. All hearings involving brokers shall be conducted by appointment only in CAU. No other location or unit (e.g. business centers) shall schedule or conduct hearings for respondents represented by brokers.
(4) Fleet Program and Car Rental Program. A broker shall not represent a Business Entity unless such Business Entity is registered in the Fleet Program or the Car Rental Program. For vehicles registered in either the Fleet Program or the Car Rental Program, no hearing will be allowed without a PVB computer-generated log.*
(5) Reserved.
(6) Summons copy fees. Respondents represented by brokers are subject to the same summons copy fees as the general public (19 RCNY § 39-02(e)).
(7) Hearing procedures.
(i) Before each hearing, brokers must submit to the CAU reception clerk all of the summonses scheduled to be adjudicated. These summonses will be delivered to the presiding judge before the hearing begins. No additional summonses may be submitted or accepted for adjudication at that hearing session once the hearing begins without the authorization of the CAU manager.
(ii) The hearing shall not be interrupted or stopped by the broker because of a dispute on a ruling. The determination of the presiding judge is final and may be overruled only by an appeal.
(iii) Except for the lunch break, the hearing shall proceed without interruption until the end of the day, unless before then the ALJ adjudicates all of the summonses the broker has submitted or adjourns the hearing.
(iv) Absent such adjournment, if the broker is not present or otherwise fails to proceed at the hearing, the ALJ may render judgment on all of the unadjudicated summonses as if they were submitted for a hearing by mail.
(v) Any summons not adjudicated on the day of the hearing due to an adjournment for further evidence shall be retained by CAU together with documents attached thereto, and shall be adjudicated on the adjourned date by the same ALJ who began the hearing, if possible. On that adjourned date, the ALJ shall not hear any of the broker summonses except those left unadjudicated from the original hearing without special authorization from the CAU manager.
(8) Conduct while at PVB.
(i) Brokers must observe in good faith the laws and regulations governing the adjudication of parking violation summonses and any forms and instructions provided to the broker by the Department of Finance.
(ii) Brokers must exercise due diligence in:
(1) Learning and obeying applicable statutes, rules, and instructions governing the disposition of, or agreements concerning payment of, parking violation summonses, in full, before the CAU;
(2) Complying with scheduling and creating ECFs, and submitting evidence for hearings; and
(3) Ensuring that their oral and written arguments, statements, and evidence submitted to the Department of Finance are correct.
(iii) A broker who knows or has reason to believe that a respondent has made a factual error in or omission from a document submitted at or prior to the hearing must advise the respondent promptly of such error or omission. A broker must urge the applicant to correct the error and promptly submit the corrected information. If the applicant refuses to do so, the broker must withdraw from representation for the summons(es) where continued representation would violate this section.
(iv) Brokers must not file an application, submit a document, or present testimony or other evidence that is obviously false, or that the broker knows or has reason to believe is false, fraudulent, or contains false information.
(v) Brokers must not make any statement or fail to disclose any fact in any situation where such broker knows or has reason to know such statement or failure to disclose information will mislead the ALJ at a hearing.
(vi) Brokers must not present a demand or an opinion of fact or law to the ALJ at a hearing unless the broker holds it in good faith and can support it on reasonable grounds.
(vii) A broker must not sign an application in the name of the applicant. A broker signing an application pursuant to a broker authorization form must sign in the broker's own name.
(viii) Brokers must not attempt to initiate conversations or correspondence about particular cases with the ALJ before or after the hearing. At the hearing brokers must discuss the scheduled matters only. Brokers must not telephone, write, email, or otherwise communicate with the ALJ or other employees of the Department of Finance before or after the hearing with additional arguments.
(ix) Brokers must not attempt to influence any ALJ or employee of the Department of Finance by the use of threats, false accusations, intimidation or coercion; promises of advantage; or the presenting or offer of any gift, favor or thing of value. A broker must report promptly any such acts of which the broker is aware to the New York City Department of Investigation.
(x) Brokers must not engage in disrespectful conduct when communicating with an ALJ regarding Parking Violations Bureau business at any time through means including, but not limited to, using abusive language or disrupting a hearing.
(xi) Brokers must not go into any non-public service area unless accompanied or authorized by a manager or supervisor and they must not operate any PVB terminal or other equipment at any time.
(xii) Brokers must not request any Department of Finance clerical staff to perform non-routine tasks. All such requests must be addressed directly to and approved by the CAU Manager. "Nonroutine" means anything out of the regular processing stream.
(xiii) Every broker must follow the directions provided by their clients to pay or contest parking violation summonses. A broker shall not contest a summons where a client has instructed the broker to plead guilty and pay the summons. A broker shall not plead guilty to a summons where a client has instructed the broker to contest the summons.
(xiv) A broker in receipt of a payment from a client for a parking violation summons must remit in a timely manner a payment to the Department of Finance to pay the applicable summons in accordance with applicable laws and rules.
(9) Penalty for violation of these rules. Any broker or brokerage company who willfully or repeatedly violates these rules may be barred from representing clients at PVB in any capacity. The Commissioner may, after providing notice to the broker and, if the brokerage company is also subject to suspension, the brokerage company, and an opportunity to be heard, suspend the broker for any period up to life from appearing before the Department of Finance in any capacity, except that the broker may appear on parking violations issued in the broker’s name, and/or suspend a brokerage company for any period up to and until the dissolution of the brokerage company from appearing before the Department of Finance in any capacity, except that the brokerage company may appear on parking violations issued in the brokerage company’s name. Such notice(s) will inform the broker and, if the brokerage company is subject to suspension, the brokerage company, of the reasons for the proposed suspension and that the broker and the brokerage company, if the brokerage company is subject to suspension, has the right to present information as to why the broker and/or brokerage company should not be suspended to the Commissioner, or their designee, within 10 business days of delivery of the notice by hand or 15 business days of the posting of notice by mail. Any suspension of a broker will apply solely to the broker unless the Department of Finance has evidence either that the brokerage company which employed the broker had knowledge of the broker’s infractions and did not inform the Department of Finance or that the standard practice of such brokerage company was to commit infractions in its interactions with the Department of Finance regardless of the broker involved. Any suspension of a brokerage company will apply to all brokers employed by the brokerage company for the period during which those brokers remain employed by the brokerage company. Any brokerage company shall be barred from representing clients at PVB in any capacity when a broker subject to a life suspension is employed by, engaged by, is subcontracted to, consults with or has any ownership interest in, such brokerage company.
(b) Employees.
(1) Definitions.
Employee. As used in these regulations, the term "employee" refers to a person who:
(i) is a principal, partner, officer or salaried employee of the respondent; (ii) was not the operator of vehicle at the time it was summonsed; and
(iii) is not a broker (as defined in 19 RCNY § 39-09(a)(1)).
(2) Rules and authorization. The rules set forth in paragraph (8) of subdivision (b) of this section apply to employees appearing before the Department of Finance in any capacity, which include but are not limited to: the Fleet Program, Stipulated Fine Program, Commercial Abatement Program, Car Rental Program, hearings by mail or through a website maintained or controlled by the Department, CAU hearings, and scheduling and billing.
An employee must register with the Department of Finance before representing a respondent before the Department of Finance in any capacity by submitting an Authorization for Employee to Act as Representative at Special/Commercial Adjudication Hearings, which is prescribed by the Department of Finance and receiving approval of such Authorization by the Department of Finance. The Authorization for Employee to Act as Representative at Special/Commercial Adjudication Hearings must be:
(i) signed by a duly authorized principal, officer or partner of the respondent; and
(ii) duly acknowledged before a Notary Public. Such Authorizations must be received by CAU before an employee may act on behalf of their company. They will be kept on file at CAU.
(3) Hearing location and schedule. All hearings in which employees act as representatives shall be conducted by appointment only in CAU. No other location or unit (e.g. Business Centers) shall schedule or conduct hearings for respondents represented by employees.
(4) Fleet Program and Car Rental Program. An employee shall not represent a respondent unless such respondent is registered in the Fleet Program or the Car Rental Program. For vehicles registered in either the Fleet Program or the Car Rental Program, no hearing will be allowed without a computer-generated log.*
(5) Reserved.
(6) Summons copy fees. Companies represented by employees are subject to the same summons copy fees as the general public (19 RCNY § 39-02(e)).
(7) Hearing procedures.
(i) Before each hearing, employees must submit to the CAU reception clerk all of the summonses scheduled to be adjudicated. These summonses will be delivered to the presiding judge before the hearing begins. No additional summonses may be submitted/accepted for adjudication at that hearing session once the hearing begins without the authorization of the CAU manager.
(ii) The hearing shall not be interrupted or stopped by the employee because of a dispute on a ruling. The determination of the presiding judge is final and may be overruled only by an appeal.
(iii) Except for the lunch break, the hearing shall proceed without interruption until the end of the day, unless before then the ALJ adjudicates all the summonses the employee has submitted or adjourns the hearing.
(iv) Absent such adjournment, if the employee is not present or otherwise fails to proceed at the hearing, the ALJ may render judgment on all of the unadjudicated summonses as if they were submitted for a hearing by mail.
(v) Any summons not adjudicated on the day of the hearing due to an adjournment for further evidence shall be retained by CAU together with documents attached thereto, and shall be adjudicated on the adjourned date by the same ALJ who began the hearing, if possible. On that adjourned date, the ALJ shall not hear any summonses except those left unadjudicated from the original hearing without special authorization from the CAU manager.
(8) Conduct while at PVB.
(i) Employees must observe in good faith the laws and regulations governing the adjudication of parking violation summonses and any forms and instructions provided to the employee by the Department of Finance.
(ii) Employees must exercise due diligence in:
(1) Learning and obeying applicable statutes, rules, and instructions governing the disposition of, or agreements concerning payment of parking violation summonses, in full, before the CAU;
(2) Complying with, scheduling and creating ECFs, and submitting evidence for hearings; and
(3) Ensuring that their oral and written arguments, statements, and evidence submitted to the Department of Finance are correct.
(iii) An employee who knows or has reason to believe that a respondent has made a factual error in or omission from a document submitted at or prior to the hearing must advise the respondent promptly of such error or omission. An employee must urge the applicant to correct the error and promptly submit the corrected information.
(iv) Employees must not file an application, submit a document, or present testimony or other evidence that is obviously false, or that the employee knows or has reason to believe is false, fraudulent, or contains false information.
(v) Employees must not make any statement or fail to disclose any fact in any situation where such employee knows or has reason to know such statement or failure to disclose information will mislead the ALJ at a hearing.
(vi) Employees must not present a demand or an opinion of fact or law to the ALJ at a hearing unless the employee holds it in good faith and can support it on reasonable grounds.
(vii) An employee must not sign an application in the name of the applicant. An employee signing an application pursuant to an employee authorization form must sign in the employee's own name.
(viii) Employees must not attempt to initiate conversations or correspondence about particular cases with the ALJ before or after the hearing. At the hearing employees must discuss the scheduled matters only. Employees must not telephone, write, email, or otherwise communicate with the ALJ or other employees of the Department of Finance before or after the hearing with additional arguments.
(ix) Employees must not attempt to influence any ALJ or employee of the Department of Finance by the use of threats, false accusations, intimidation or coercion; promises of advantage; or the presenting or offer of any gift, favor or thing of value. An employee must report promptly any such acts of which the employee is aware to the New York City Department of Investigation.
(x) Employees must not engage in disrespectful conduct when communicating with an ALJ regarding Parking Violations Bureau business at any time through means including, but not limited to, using abusive language or disrupting a hearing.
(xi) Employees must not go into any non-public service area unless accompanied or authorized by a manager or supervisor and they must not operate any PVB terminal or other equipment at any time.
(xii) Employees must not request any Department of Finance clerical staff to perform non-routine tasks. All such requests must be addressed directly to and approved by the CAU Manager. "Non-routine" means anything out of the regular processing stream.
(9) Penalty for violation of these rules. Any employee who willfully or repeatedly violates these rules may be barred from representing their employer at PVB in any capacity. The Commissioner may, after providing notice to the employee and an opportunity to be heard, suspend the employee for any period up to life from appearing before the Department of Finance in any capacity, except that the employee may appear on parking violations issued in the employee’s name. Such notice will inform the employee of the reasons for the proposed suspension and that the employee has the right to present information as to why the employee should not be suspended to the Commissioner, or their designee, within 10 business days of delivery of notice by hand or 15 business days of the posting of notice by mail. Any suspension will apply solely to the employee unless the Department of Finance has evidence either that the standard practice of the employer was to commit infractions in its interactions with the Department of Finance regardless of the employee involved or that the employer had knowledge of the employee’s infractions and did not inform the Department of Finance.
(c) Unpaid representatives.
(1) Definitions.
Unpaid representative. An "unpaid representative" is a person who:
(i) is not the owner or operator of the summonsed vehicle;
(ii) represents another person or firm;
(iii) is not a broker (as defined in 19 RCNY § 39-09(a)(1)) or employee (as defined in 19 RCNY § 39-09(b)(1)); (iv) is not representing the respondent as an attorney; and
(v) receives no fee or other payment for representing respondents at PVB.
(2) Authorization for summonses not in judgment. Prior to any hearing involving summonses not in judgment, an unpaid representative must file with the Department of Finance a signed and notarized designation from the respondent that the representative is authorized to represent the respondent.
(3) Authorization for summonses in judgment. An unpaid representative may not have a hearing on summonses in judgment unless they submit to the Department of Finance a notarized Request for Hearing After Judgment, signed by the registrant of the summonsed vehicle and duly acknowledged before a Notary Public.
(d) Additional CAU procedures.
(1) In addition to any other procedures set forth in this subchapter, the following procedures shall apply to hearings at which respondents, employees, brokers, unpaid representatives, or any other representatives appear before CAU:
(i) All decisions rendered by ALJs at CAU hearings shall be expressed in the form of an alpha numeric reason code from a list of alpha numeric reason codes as determined and maintained by PVB. Each alpha numeric reason code shall consist of an alpha numeric prefix constituting the defenses to a summons provided by a respondent and an alpha numeric suffix constituting the determination rendered by the ALJ. Notwithstanding the foregoing, an ALJ may provide additional information establishing the basis of the ALJ’s decision.
(ii) Except as otherwise provided by law, all evidence submitted in any form at CAU hearings will be retained by CAU. CAU is not required to produce copies or certified true copies of any evidence submitted at CAU hearings.
(2) Respondents, Brokers, unpaid representatives, and any other representatives who appear before CAU must consolidate at least the minimum number of summonses authorized by the Director into one ECF for hearing or appeal. Such minimum number of summonses shall be determined by the Director based on the needs of the Bureau, and shall include a consideration of due process, efficiency, workload, staffing, volume of outstanding ECFs and other resources. Where the total number of outstanding summonses pending hearing or appeal against a respondent is less than such minimum number, such minimum number will be deemed to be the total number of summonses pending hearing or appeal, as applicable.
(3) For the purpose of this subdivision:
(i) The term “broker” has the meaning set forth in paragraph (1) of subdivision (a) of this section.
(ii) The term “employee” has the meaning set forth in paragraph (1) of subdivision (b) of this section.
(iii) The term “unpaid representative” has the meaning set forth in paragraph (1) of subdivision (c) of this section.
(Amended City Record 8/19/2015, eff. 9/18/2015; amended City Record 8/3/2018, eff. 9/2/2018; amended City Record 3/13/2024, eff. 4/12/2024*)
* Editor's note: Section 38 of the rule adopted on March 13, 2024, provides:
This rule takes effect on the earliest effective date authorized by subdivision f of section 1043 the Charter, provided that:
(a) For respondents who have at least 10,000 summonses against them that have not been adjudicated or otherwise satisfied, application of the amendments to 19 RCNY § 39-09(a)(4) made by section 15 of this rule and the amendments to 19 RCNY § 39-09(b)(4) made by section 22 of this rule shall be delayed two additional months for each such set of 10,000 unadjudicated or otherwise unsatisfied summonses; and
(b) Any such delay authorized pursuant to subdivision a of this section shall not exceed a total of twelve months.