Chapter 1: Subchapter A-General Matters

Rules of Practice Applicable to Cases at OATH Generally, Other Than Environmental Control Board Cases

§ 1-01 Definitions. As used in this chapter:

Administrative law judge.  "Administrative law judge" shall mean 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" shall mean 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" shall mean the City Administrative Procedure Act, §§ 1041 to 1047 of the New York City Charter (“Charter”).

Case. "Case" shall mean an adjudication pursuant to CAPA, § 1046, referred to OATH pursuant to Charter, § 1048.

Chief administrative law judge. "Chief administrative law judge" shall mean the director of OATH appointed by the mayor pursuant to Charter, § 1048

Electronic means. "Electronic means" shall mean 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" shall mean 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" shall mean 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" shall mean the Office of Administrative Trials and Hearings.

Petition. "Petition" shall mean a document, analogous to a complaint in a civil action, which states the claims to be adjudicated.

Petitioner. "Petitioner" shall mean a party asserting claims.

Respondent. "Respondent" shall mean a party against whom claims are asserted.

§ 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 hearings, pre-hearing
and post-hearing matters, except to the extent that this chapter may be
superseded by CAPA or other provision of law.
Go Here for Annotation 1-03 

§ 1-04 Construction and Waiver.

This title shall 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.
Go Here for Annotation 1-04

§ 1-05 Effective Date.

This chapter shall be effective on the first day permitted by CAPA, § 1043(e),
and shall apply to all cases. 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 shall be calculated in calendar days, except that when a period of days expires on a Saturday, Sunday or legal holiday, the period shall 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 shall be deemed to be personal service, solely for purposes of calculating the applicable period of time.
Go Here for Annotation 1-06

§ 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 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 at OATH. Proof of service shall 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.

§ 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, shall 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 shall be submitted to OATH's office manager.


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