Procedural Rules for Formal Adjudications

RCNY tit. 52, ch. 11

in effect

52 RCNY § 11-01 Definitions.

§ 11-01 Definitions. Except as otherwise provided, the definitions set forth in 52 RCNY § 1-02 apply in this chapter. In addition, the following terms mean: "Case" means an adjudication pursuant to CAPA, under Section 1046 of the Charter, or an adjudication referred to OATH, pursuant to Section 1048 of the Charter. "Filing" means submitting papers to the hearing officer, whether in person, by mail, or by electronic means, for inclusion in the record of proceedings in a case. "Petition" means a document filed by the Board, analogous to a complaint in a civil action, which states the claims to be adjudicated. "Petitioner" means the Board. "Respondent" means a party against whom claims are asserted by the Board. (Added City Record 8/16/2019, eff. 9/15/2019; amended City Record 1/23/2026, eff. 2/22/2026)

52 RCNY § 11-02 Applicability.

§ 11-02 Applicability. This chapter applies solely to cases that are subject to CAPA, including hearings, pre-hearing and post-hearing matters, brought by the Board pursuant to the Act or the Charter. (Added City Record 8/16/2019, eff. 9/15/2019; amended City Record 1/23/2026, eff. 2/22/2026)

52 RCNY § 11-03 Proceedings Before Designation of Hearing Officer.

§ 11-03 Proceedings Before Designation of Hearing Officer. Proceedings before the case is referred to a hearing officer shall be governed by Section 1046 of the Charter and 52 RCNY Chapters 9 and 10. (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-04 Designation of Hearing Officer.

§ 11-04 Designation of Hearing Officer. The Board shall designate, at its sole discretion, one or more hearing officers to preside over cases pursuant to this chapter. The designated hearing officer(s) shall be: (i) one or more members of the Board; (ii) another person or persons assigned by the Board; or (iii) the chief administrative law judge of OATH or such administrative law judge as the chief administrative law judge may assign. (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-05 Commencement of Proceedings and Pleadings.

§ 11-05 Commencement of Proceedings and Pleadings. (a) The petition. (i) The Board shall institute proceedings pursuant to this chapter by serving a petition, sworn to or affirmed as to the truth thereof, on the respondent(s). The petition shall comply with the requirements in OATH Rules of Practice §§ 1-22 and 1-23 (48 RCNY §§ 1-22 and 1-23). The petition shall set forth the facts which, if proved, constitute violations of the Act or these rules or require repayment of public funds. (ii) The petition shall be accompanied by the following: notice of the respondent's right to file an answer, the deadline to file an answer, and the place(s) to serve and file an answer; notice that failure to serve and file a timely answer shall be deemed an admission of all allegations contained in the petition; notice of the respondent's right to representation by an attorney or other representative; and notice that a person representing the respondent(s) must file a notice of appearance with the hearing officer. (b) Service of the petition. (i) The Board shall serve the petition upon the respondent(s). (ii) Service of the petition may be made by regular first-class mail or electronic means to the respondent's last known residential or business address or last known email address or fax number. (iii) Service of the petition shall be complete upon mailing, if service was by first-class mail, or upon the date of transmission, if service was by electronic means. (c) Answer. (i) The respondent(s) must file an answer to the petition with the hearing officer and serve the same answer on the Board. (ii) If the petition was served on the respondent(s) by regular first-class mail, the answer must be filed and served within 26 calendar days of the date the petition was postmarked. If the petition was served on the respondent(s) by electronic means, the answer must be filed and served within 21 calendar days of the date of the transmission of the petition. (iii) The answer may include affidavits or affirmations, documentary exhibits, or other evidentiary material in rebuttal of the petition. The answer may be accompanied by a memorandum of law. (iv) If the respondent fails to serve and file a timely answer, all allegations of the petition shall be deemed admitted, and the case shall proceed as scheduled. If the answer fails to specifically address any allegation in the petition, such allegation shall be deemed admitted. (v) The time to serve and file an answer may be extended only upon the consent of all parties or upon application to the hearing officer for good cause shown. (d) Amendment of Pleadings. Pleadings shall be amended in accordance with OATH Rules of Practice § 1-25 (48 RCNY § 1-25). (Added City Record 8/16/2019, eff. 9/15/2019; amended City Record 1/23/2026, eff. 2/22/2026)

52 RCNY § 11-06 Filing of Papers.

§ 11-06 Filing of Papers. (a) Generally. The notice accompanying the petition shall notify the parties of the designated hearing officer(s) and of the place to file papers. Papers may be filed with the hearing officer in person, by mail or by electronic means. (b) Headings. If an OATH index number has been assigned pursuant to section 11-07(c), the subject matter heading for each document must indicate the OATH index number. (c) Means of service on adversary. Submission of papers to the hearing officer by electronic means, mail, or personal delivery without providing equivalent method of service to all other parties shall be deemed to be an ex parte communication. (d) Proof of service. Proof of service must be maintained by the parties for all papers filed with the hearing officer. Proof of service must be in the form of an affidavit by the person effecting service, or in the form of a signed acknowledgement of receipt by the person receiving the papers. A written acknowledgment of service by the person served is adequate proof of service. Proof of service for papers served by electronic means, in addition to the foregoing, may be in the form of a record confirming delivery or acknowledging receipt of the electronic transmission. (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-07 Docketing the Case at OATH.

§ 11-07 Docketing the Case at OATH. (a) Only cases referred to OATH must be docketed, and only the Board may docket a case at OATH. (b) Following service of the petition upon the respondent, the Board shall docket a case by delivering to OATH a completed intake sheet, with a petition and appropriate proof of service of the petition. (c) When a case is docketed, OATH shall place it on the trial calendar, the conference calendar, or on open status. Cases involving the same respondent(s) shall be scheduled for joint hearings or conferences. The case shall be given an index number and assigned to a hearing officer pursuant to OATH Rules of Practice § 1-26(b) (48 RCNY § 1-26(b)). (d) After docketing the case at OATH and selecting a hearing or conference date, the Board shall serve a notice of hearing or notice of conference on the respondent within five business days. The notice shall be served by first class mail or electronic means, and appropriate proof of service shall be maintained by the Board. (e) A conference or hearing shall be scheduled for a date that is at least two weeks after the date the answer must be served and filed. (f) The administrative law judge may determine that the case is not ready for a conference or hearing and may adjourn the conference or hearing, or may remove the case from the conference or hearing calendar and place it on open status. (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-08 Disqualification of Hearing Officers.

§ 11-08 Disqualification of Hearing Officers. Motions for disqualification of administrative law judges serving as hearing officers must be filed in accordance with OATH Rules of Practice § 1-27 (48 RCNY § 1-27). (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-09 Conferences.

§ 11-09 Conferences. (a) Only cases referred to OATH are eligible for conferences. (b) Conferences may be held for the formulation and simplification of issues, the possibility of obtaining admissions or stipulations of fact and of admissibility and authenticity of documents, the order of proof and of witnesses, discovery issues, legal issues, pre-hearing applications, scheduling, and settlement of the case. (c) Conferences may be scheduled at the discretion of the administrative law judge, whether or not a case has been placed on the OATH conference calendar, on the application of either party or sua sponte. At the discretion of the administrative law judge, conferences may be conducted by telephone. (d) All parties are required to attend conferences as scheduled unless timely application for additional time is made to the administrative law judge. (e) Settlement conferences and agreements must be conducted in accordance with OATH Rules of Practice § 1-31 (48 RCNY § 1-31). (f) If the case is not settled at the conference, outstanding pre-hearing matters, including discovery issues, must be raised during the conference. If the case is not settled at the conference, a hearing date may be set. The parties must know their availability and the availability of their witnesses for a hearing. (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-10 Notice of Conference or Hearing.

§ 11-10 Notice of Conference or Hearing. (a) When a case is placed on either the conference calendar or the trial calendar, the Board shall serve the respondent(s) with notice in accordance with OATH Rules of Practice § 1-28 (48 RCNY § 1-28). (b) The notice of conference or hearing shall be served by first class mail, or, upon consent of the parties, by electronic means, and appropriate proof of service shall 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. (Added City Record 8/16/2019, eff. 9/15/2019; amended City Record 1/23/2026, eff. 2/22/2026)

52 RCNY § 11-11 Adjournments.

§ 11-11 Adjournments. Applications for adjournments of conferences or hearings before OATH shall be governed by OATH Rules of Practice § 1-32 (48 RCNY § 1-32). (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-12 Discovery.

§ 11-12 Discovery. Discovery in OATH proceedings shall be conducted in accordance with OATH Rules of Practice § 1-33 (48 RCNY § 1-33). (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-13 Pre-Hearing Motions.

§ 11-13 Pre-Hearing Motions. Pre-hearing motions pursuant to OATH proceedings shall be filed in accordance with OATH Rules of Practice § 1-34 (48 RCNY § 1-34). (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-14 Appearances at OATH.

§ 11-14 Appearances at OATH. Appearances at OATH shall comply with the requirements set forth in OATH Rules of Practice § 1-11 (48 RCNY § 1-11). (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-15 Ex-parte Communications.

§ 11-15 Ex-parte Communications. No ex parte communications, other than those related to ministerial matters regarding a conference or hearing, shall be made to a hearing officer. (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-16 Role of the Hearing Officer.

§ 11-16 Role of the Hearing Officer. In the conduct of an adjudication, a hearing officer may: (a) administer oaths and affirmations, examine witnesses, rule upon offers of proof, receive written and oral testimony, and oversee and regulate discovery procedures; (b) upon the request of any party, or subject to the hearing officer's discretion, subpoena the attendance of witnesses and the production of books, records, or other information; (c) regulate the course of the hearing in accordance with 52 RCNY § 11-20; (d) dispose of procedural requests or similar matters; (e) make findings of fact or decisions, determinations or orders, as authorized by law; and (f) take any other action authorized by law or agency rule consistent therewith. (Added City Record 8/16/2019, eff. 9/15/2019; amended City Record 1/23/2026, eff. 2/22/2026)

52 RCNY § 11-17 Consolidation; Separate Hearings.

§ 11-17 Consolidation; Separate Hearings. All or portions of separate cases may be consolidated for the hearing, or portions of a single case may be severed for separate hearings, in accordance with OATH Rules of Practice § 1-41 (48 RCNY § 1-41). (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-18 Witnesses and Documents.

§ 11-18 Witnesses and Documents. The parties must have all of their witnesses available on the hearing date. A party intending to introduce documents into evidence must bring to the hearing copies of those documents for the hearing officer, the witness, and the other parties. Repeated failure to comply with this section may be cause for sanctions, as set forth in OATH Rules of Practice § 1-13(e) (48 RCNY § 1-13(e)). (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-19 Subpoenas.

§ 11-19 Subpoenas. Subpoenas may be issued in accordance with OATH Rules of Practice § 1-43 (48 RCNY § 1-43). (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-20 Order of Proceedings.

§ 11-20 Order of Proceedings. Testimony and argument on the law and facts shall be presented in the following order: petitioner; witnesses called by the petitioner, if any; cross-examination; the respondent(s); witnesses called by the respondent(s); cross-examination; and closing statements. Each party shall be afforded an opportunity to present rebuttal testimony, if deemed appropriate by the hearing officer. Closing statements, if any, shall be made first by petitioner. The order of proceedings may be modified at the discretion of the hearing officer. (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-21 Interpreters.

§ 11-21 Interpreters. (a) OATH will provide language assistance services to a party or their witnesses 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. (b) A request for language assistance by telephone may be made at any time before the trial or conference. (c) A request for in-person interpretation must be made at least five (5) business days before the trial or conference. (d) A request for sign language interpretation must be made at least three (3) calendar days before the trial or conference. (Added City Record 8/16/2019, eff. 9/15/2019; amended City Record 1/23/2026, eff. 2/22/2026)

52 RCNY § 11-22 Failure to Appear.

§ 11-22 Failure to Appear. All parties, counsel and other representatives are required to be present at the hearing and prepared to proceed at the time scheduled for commencement of the hearing, subject to the requirements set forth in OATH Rules of Practice § 1-45 (48 RCNY § 1-45). (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-23 Evidence at the hearing.

§ 11-23 Evidence at the hearing. Evidence shall be governed by OATH Rules of Practice §§ 1-46 and 1-47 (48 RCNY §§ 1-46 and 1-47). (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-24 Official Notice.

§ 11-24 Official Notice. (a) In reaching a decision, the hearing officer 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, pursuant to OATH Rules of Practice § 1-48(a) (48 RCNY § 1-48(a)). (b) Official notice may be taken, without notice to the parties, of rules published in the Rules of the City of New York or in The City Record, pursuant to OATH Rules of Practice § 1-48(b) (48 RCNY § 1-48(b)). (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-25 Public Access to Proceedings.

§ 11-25 Public Access to Proceedings. Other than settlement conferences, all proceedings shall be open to the public, in accordance with OATH Rules of Practice § 1-49 (48 RCNY § 1-49). (Added City Record 8/16/2019, eff. 9/15/2019; amended City Record 1/23/2026, eff. 2/22/2026)

52 RCNY § 11-26 Hearing Motions.

§ 11-26 Hearing Motions. Motions may be made during the hearing orally or in writing, in accordance with OATH Rules of Practice § 1-50 (48 RCNY § 1-50). (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-27 Transcript.

§ 11-27 Transcript. Hearings shall be stenographically or electronically recorded, and the recordings shall be transcribed, in accordance with OATH Rules of Practice § 1-51 (48 RCNY § 1-51). (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-28 Decision Made on the Record.

§ 11-28 Decision Made on the Record. The hearing officer may conclude a case by making a report and recommendation on the record. (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-29 Written Comments.

§ 11-29 Written Comments. Once the hearing officer has issued a recommended final determination, each party shall have 20 days from issuance of the recommendation to submit written comments to the Board. The comments should raise any objections to the recommended determination, and objections not raised in the comments will be deemed waived in any further proceedings. Comments shall be limited to the record of the adjudicatory proceeding. Comments shall be served upon all other parties. Upon application filed with the Board's General Counsel, the General Counsel may shorten or extend the time for comments for good cause shown. No personal appearances shall be made before the Board unless the Board specifically requests that the parties appear. (Added City Record 8/16/2019, eff. 9/15/2019)

52 RCNY § 11-30 Final Determination.

§ 11-30 Final Determination. The Board shall provide a final determination affirming, rejecting, or modifying the hearing officer's recommended final determination within 30 days of the conclusion of the written comments period, or as soon thereafter as is practicable. The final determination shall notify the candidate of the commencement of the four-month period during which a special proceeding may be brought to challenge the Board's determination pursuant to Article 78 of the Civil Practice Law and Rules. If the Board rejects or modifies the hearing officer's recommended final determination, the Board shall provide a written determination stating the basis for any assessed penalty or public funds determination, including any findings of fact and conclusions of law. Determinations made by the Board pursuant to this chapter may not be appealed to the Board unless the Board specifically provides otherwise in its determination. (Added City Record 8/16/2019, eff. 9/15/2019)

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/0-0-0-122459Fetched: 10/24/2026