Chapter I Subchapter A

Rules of Practice Applicable to Cases at the OATH Trials Division

§ 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.

Appearance. “Appearance” means a communication with the OATH Trials Division or any other participation in a proceeding before the OATH Trials Division by a party, the attorney or representative of a party, or another individual in connection with a petition that is or was pending before the OATH Trials Division. An appearance may be made in person or, at the discretion of the OATH Trials Division, by remote means.

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 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 section 6-02).

OATH Trials Division. "OATH Trials Division" means the adjudicatory body authorized to conduct proceedings pursuant to Chapters 1 and 2 of this Title.

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.

Remote means. “Remote means” refers to any means of communication or attendance, as applicable, that does not require the physical presence of a party, representative, or other individual and that has been approved by the OATH Trials Division. At the discretion of the OATH Trials Division, remote means may include, but are not limited to, telephonic communication, postal mail and online communication, including e-mail and videoconferencing.

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. Such proceedings may either be conducted in person or, at the discretion of the OATH Trials Division, by remote means.

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§ 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.
Go Here for Annotation 1-02

§ 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.
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§ 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.
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§ 1-05 Effective Date.

This chapter is effective on the first day permitted by CAPA, § 1043(e),
and applies to all cases brought to 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.
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§ 1-07 Filing of Papers.

(a) Generally. Papers may be filed at OATH in person, by mail or by electronic means.

(b) Headings. The subject matter heading for each paper sent by personal service, mail or electronic means must indicate the OATH index number where one has been assigned pursuant to § 1-26(b).

(c) Means of service on adversary. Submission of papers by a party in a case to the administrative law judge by electronic means mail or personal delivery without providing equivalent method of service to all other parties will be deemed to be an ex parte communication.

(d) Proof of service. Proof of service must be maintained by the parties for all papers filed at OATH. Proof of service must be in the form of an affidavit by the person effecting service, or in the form of a signed acknowledgement of receipt of papers by the person receiving the papers. A writing admitting service by the person to be served is adequate proof of service. Proof of service for papers served by electronic means, in addition to the foregoing, may also be in the form of a record confirming delivery or acknowledging receipt of the electronic transmission.
Go Here for Annotation 1-07

§ 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.

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