Investigatory Procedures

RCNY tit. 47, ch. 1, subch. D

in effect

47 RCNY § 1-31 Policy.

§ 1-31 Policy. The Law Enforcement Bureau has discretion to use investigatory procedures that it determines will best facilitate accurate, orderly, and thorough fact-finding. (Added City Record 8/6/2019, eff. 9/5/2019)

47 RCNY § 1-32 Pre-complaint Investigations.

§ 1-32 Pre-complaint Investigations. In addition to conducting investigations of allegations contained in complaints filed pursuant to 47 RCNY § 1-11 and 47 RCNY § 1-12, the Law Enforcement Bureau may investigate on its own initiative possible violations of the NYCHRL. (Added City Record 8/6/2019, eff. 9/5/2019)

47 RCNY § 1-33 Investigatory Demands.

§ 1-33 Investigatory Demands. (a) General. Except as otherwise limited by law, the Law Enforcement Bureau may (i) demand from any person or party the production of materials relevant to a Commission investigation, including but not limited to documents, electronically stored information, or other materials; (ii) conduct interviews or depositions of any person; and (iii) undertake testing and such other investigatory tasks as the Law Enforcement Bureau deems appropriate. (b) Demands for preservation of records. The Law Enforcement Bureau is authorized to make demands for the preservation of records and for the continuation of the practice of making and keeping records as permitted by § 8-114(b) of the Code. Such demand for preservation of records is effective immediately at the time of service of the demand and will remain in effect until the termination of all proceedings relating to any complaint or civil action commenced, including after the time for appeal has expired, or if no complaint or civil action is filed, will expire two years after the date of service of the preservation demand. A demand for preservation must require that records preserved pursuant to the demand be made available for inspection by the Law Enforcement Bureau and/or be filed with the Law Enforcement Bureau. For purposes of this provision, the term "records" means any form of recorded information, regardless of form or characteristics, including but not limited to books, papers, electronically-stored information, photographs, spreadsheets, graphs, maps, charts, drawings, audio recordings, video recordings, and machine-readable materials. (Added City Record 8/6/2019, eff. 9/5/2019)

47 RCNY § 1-34 Subpoenas.

§ 1-34 Subpoenas. (a) General. The Law Enforcement Bureau may issue and serve subpoenas ad testificandum and subpoenas duces tecum on any person. Subpoenas must be served in a manner prescribed by the CPLR. (b) Contents of a subpoena. A subpoena must state with specificity (i) the form of evidence to be produced, including but not limited to testimony, documents, electronically stored information, or other materials; (ii) where applicable, the date ranges for which such evidence is sought; (iii) the deadline for production, which should be no less than 20 days from the date of service; (iv) where applicable, the format and manner in which evidence should be produced; and (v) information concerning whom to contact in the Law Enforcement Bureau with requests for extensions, inquiries, objections to a subpoena, and related matters. Where a subpoena demands the production of testimony, it must state the name of the subpoenaed person and the date, time, and location at which the person must appear. (Added City Record 8/6/2019, eff. 9/5/2019)

47 RCNY § 1-35 Objections to Investigatory Demands and Subpoenas.

§ 1-35 Objections to Investigatory Demands and Subpoenas. (a) Effect of Failing to Object. Objections to an investigatory demand or subpoena that are not raised in accordance with this section, including by first raising objections with the Law Enforcement Bureau, may be deemed waived, absent a showing of good cause. (b) Initial Application to the Law Enforcement Bureau. A person objecting to an investigatory demand or subpoena must confer in good faith with the Law Enforcement Bureau as soon as practicable and no later than 30 days after service of the investigatory demand or subpoena. The Law Enforcement Bureau may, in its discretion, extend the deadline for such objections. (c) Motion to the Office of the Chair. If a conference with the Law Enforcement Bureau pursuant to 47 RCNY § 1-35(b) does not resolve a person's objections to an investigatory demand or subpoena, the person may file a letter motion with the Office of the Chair for a protective order within 14 days after the Law Enforcement Bureau provides notice of its decision on the movant's objections. Applications for an extension of the deadline for a motion for a protective order must be submitted to the Office of the Chair in writing and may be granted for good cause. A motion for protective order must be served simultaneously on the Office of the Chair and the Law Enforcement Bureau and must include (i) a copy of the full investigatory demand or subpoena, (ii) confirmation that the movant conferred in good faith with the Law Enforcement Bureau pursuant to 47 RCNY § 1-35(b); and (iii) a statement of the specific portion or portions of the investigatory demand or subpoena to which the movant objects and the grounds for objection. The filing of a motion with the Office of the Chair will stay the deadline for production of only those materials that are the subject of the motion for a protective order, until the motion is decided. The Law Enforcement Bureau has 14 days from service of the motion to file and serve its opposition on the movant and the Office of the Chair. The movant may file a reply within 7 days after the Law Enforcement Bureau's opposition is filed. The Chair must promptly issue an order on the motion. A protective order may deny, limit, or condition the use of any disclosure device and should be designed to prevent unreasonable annoyance, expense, embarrassment, disadvantage, or other prejudice to any person. (d) Judicial review of subpoenas. Consistent with CPLR § 2304, after the Chair issues an order deciding a motion challenging a subpoena, the movant may seek review in state Supreme Court. (Added City Record 8/6/2019, eff. 9/5/2019)

47 RCNY § 1-36 Extensions of the Time to Comply With an Investigatory Demand or Subpoena.

§ 1-36 Extensions of the Time to Comply With an Investigatory Demand or Subpoena. A person seeking an extension of the time to comply with an investigatory demand or subpoena may, as soon as reasonably practicable prior to the expiration of the deadline to comply, submit a written request to the Law Enforcement Bureau stating the reasons that an extension is sought and the length of extension that is being requested. The Law Enforcement Bureau must promptly advise the person seeking an extension of its determination. (Added City Record 8/6/2019, eff. 9/5/2019)

47 RCNY § 1-37 Enforcement of Investigatory Demands and Subpoenas.

§ 1-37 Enforcement of Investigatory Demands and Subpoenas. (a) Investigatory Demands. The Law Enforcement Bureau may file a letter motion to compel compliance with an investigatory demand with the Office of the Chair. Such motion must include a copy of the full investigatory demand and an affirmation stating efforts taken by the Law Enforcement Bureau to procure compliance with the demand, including efforts to confer with the subject of the demand. Opposition to a motion to compel compliance with an investigatory demand must be filed and served on the Law Enforcement Bureau and the Office of the Chair within 14 days of service of the motion. The Law Enforcement Bureau may file and serve a reply within 7 days of service after the opposition is filed. The Chair must promptly issue an order on the motion to compel. In the event that a person fails to comply with an order compelling testimony or the production of evidence pursuant to an investigatory demand, the Chair may, on its own motion or at the request of the Law Enforcement Bureau, issue such order as may be just with regard to the non-compliance, including but not limited to: (i) holding that the issues to which the testimony or evidence are relevant will be resolved against the non-compliant person; (ii) prohibiting the non-compliant person from supporting or opposing designated claims or defenses or from introducing designated evidence or testimony into the record; or (iii) striking out claims, affirmative defenses, or pleadings or parts thereof. (b) Subpoena enforcement. Proceedings to enforce subpoenas are governed by article 23 of the CPLR. The Law Enforcement Bureau may, in its discretion, file a letter motion to compel compliance with a subpoena with the Office of the Chair, or in state Supreme Court pursuant to CPLR § 2308(b). A motion to the Office of the Chair to compel compliance with a subpoena are governed by 47 RCNY § 1-37(a). (Added City Record 8/6/2019, eff. 9/5/2019)

47 RCNY § 1-38 Injunctions and Temporary Restraining Orders.

§ 1-38 Injunctions and Temporary Restraining Orders. Consistent with § 8-122 of the Code, if the Law Enforcement Bureau finds that a respondent or a person acting in concert with a respondent is acting in a manner tending to render ineffectual relief that the Commission could order after a hearing, the Commission may commence a special proceeding in state Supreme Court for an order to show cause to enjoin such conduct pursuant to CPLR article 63. (Added City Record 8/6/2019, eff. 9/5/2019)

47 RCNY § 1-39 Redactions.

§ 1-39 Redactions. In response to an investigatory demand or subpoena, unless otherwise ordered by the Law Enforcement Bureau, all documents produced in connection with an investigation or case at the Commission that contain an individual's social-security number, taxpayer-identification number, or birth date, the name of an individual known to be a minor, a financial-account number, immigration status, or employer ID number, must be redacted to include only (i) the last four digits of the social-security number, taxpayer-identification number, financial-account number, or employer ID number; (ii) the year of the individual's birth; and (iii) the minor's initials. (Added City Record 8/6/2019, eff. 9/5/2019)

47 RCNY § 1-40 Availability of Investigatory Materials Following Dismissal of the Complaint.

§ 1-40 Availability of Investigatory Materials Following Dismissal of the Complaint. Within 30 days of the issuance of an order of the Law Enforcement Bureau dismissing the complaint, the complainant and respondent may examine certain materials and documentation from the Law Enforcement Bureau's investigation of the complaint. Such materials and documentation are limited to the factual information uncovered during the investigation that led to the determination and may include, among other things: (i) intake forms and documents submitted by a complainant during intake of a case; (ii) complaints, answers, position statements, and rebuttals filed by the parties; (iii) motions and other administrative case filings; (iv) requests for information, investigatory demands, document requests, and subpoenas, unless prohibited by law or an order of the Commission or a court; (v) responses to requests for information, investigatory demands, document requests, and subpoenas, unless prohibited by law or an order of the Chair or a court; (vi) notes and recordings of interviews with witnesses; (vii) notes pertaining to investigative work such as site visits; (viii) correspondence pre-dating a finding of probable cause (see 48 RCNY § 2-29(b)(1)); (ix) call logs; (x) the results of electronic and internet searches; (xi) photographs, audio recordings, and video recordings; and (xii) documents pertaining to proceedings in other administrative or court proceedings involving any party to the case. Notwithstanding the foregoing, the following materials are not subject to disclosure absent an order from a court or tribunal of competent jurisdiction: (i) materials that are protected by privilege under the CPLR, including attorney work product and attorney-client communications; (ii) any information about witnesses who request anonymity, unless the Law Enforcement Bureau relies on such witnesses in issuing a finding of probable cause or in prosecuting a case before OATH; (iii) materials that are not material or necessary, within the meaning of CPLR article 31; (iv) correspondence post-dating a finding of probable cause (see 48 RCNY § 2-29(b)(1)); and (v) notes and correspondence related to settlement negotiations. The Law Enforcement Bureau assesses whether production of sensitive information is appropriate, including production of financial information, medical information, and correspondence with treatment providers. Redactions are made where required by law and to prevent harassment. (Added City Record 8/6/2019, eff. 9/5/2019)

Source: City of New York, Charter, Administrative Code and Rules (American Legal Publishing XML export, codelibrary.amlegal.com)URL: https://codelibrary.amlegal.com/codes/newyorkcity/latest/NYCrules/0-0-0-121395Fetched: 10/24/2026