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a. No person shall conduct a wholesale business or a market business in a public wholesale market unless such person has registered such business with the commissioner and has obtained a registration number for such business from the commissioner. Application for such registration shall be made upon a form prescribed by the commissioner containing such information as the commissioner shall determine appropriately identifies and demonstrates the fitness of the wholesale business or market business. A registration number shall not be transferable. A person conducting a wholesale business or a market business shall not sublease or assign to another person any portion of any premises in the market occupied or utilized by such business unless such proposed sublessee or assignee has registered with and obtained a registration number from the commissioner. The commissioner shall establish by rule a procedure for the preliminary review of registration applications for businesses not previously operating in a market that are considering the purchase of a wholesale business or a market business, and for the expedited completion of registration review upon entry into a purchase and sale agreement. A business required to register pursuant to this section shall inform the commissioner of any change in the ownership composition of the business, the arrest or criminal conviction of any principal of the business, or any other material change in the information submitted on the application for registration within thirty calendar days thereof.
b. (i) Notwithstanding any provision of this chapter, the commissioner may, when there is reasonable cause to believe that any or all of the principals of an applicant for registration lack(s) good character, honesty and integrity, require that such principal(s) be fingerprinted and provide to the commissioner the information set forth in subdivision a of section 22-259 of this chapter, and may, after notice and the opportunity to be heard, refuse to register such applicant for the reasons set forth in subdivision b of such section.
(ii) If at any time subsequent to the registration of a wholesale business or market business, the commissioner has reasonable cause to believe that any or all of the principals of such wholesale business or market business do not possess good character, honesty and integrity, the commissioner may require that such principal(s) be fingerprinted and provide the background information required by subdivision a of section 22-259 of this chapter and may, after notice and the opportunity to be heard, revoke the registration of such wholesale business or market business for the reasons set forth in subdivision b of such section.
(iii) At any time subsequent to the conduct of an investigation of an applicant for registration or a registrant pursuant to paragraph (i) or paragraph (ii) of this subdivision that has produced adverse information, the commissioner may require as a condition of issuance or the continuance of a registration that the wholesale business or market business enter into a contract with an independent auditor approved or selected by the commissioner. Such contract, the cost of which shall be paid by the registrant, shall provide that the auditor investigate the activities of the wholesale business or market business with respect to compliance with the provisions of this chapter, other applicable federal, state and local laws and such other matters as the commissioner shall determine. The contract shall provide further that the auditor report the findings of such monitoring and investigation in a manner to be prescribed by the commissioner to the commissioner on a periodic basis.
(iv) A wholesale business or market business shall provide the commissioner with notice of at least ten business days of the proposed addition of a new principal to such business and shall provide the commissioner with such information concerning such proposed principal as is set forth in the rules promulgated by the commissioner pursuant to section 22-266 of this chapter. The commissioner may waive or shorten such period upon a showing that there exists a bona fide business requirement therefor. Except where the commissioner determines within such period, based on information available to him or her, that the addition of such new principal may have a result inimical to the purposes of this chapter, such wholesaler or market business may add such new principal pending the completion of review by the commissioner. Such wholesale business or market business shall be afforded an opportunity to demonstrate to the commissioner that the addition of such new principal pending completion of such review would not have a result inimical to the purposes of this chapter. If the commissioner determines, following completion of such review, that such principal lacks good character, honesty and integrity, the registration shall cease to be valid if the commissioner determines that such principal has failed to divest his or her interest, or to discontinue his or her involvement in the business of such business or both, as the case may be, within the time period prescribed by the commissioner.
c. The department shall maintain and publish a list of all wholesalers and market businesses that are registered with the commissioner together with the registration numbers of such wholesalers and market businesses. The department shall make such list available to suppliers, shippers, truckers and any member of the public who requests it and shall, upon request, verify to suppliers, shippers and truckers whether a business is currently registered with the commissioner.
Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1997/028.
The commissioner shall establish by rule measures governing the conduct of wholesale businesses and market businesses in the public wholesale markets, including but not limited to:
(i) requirements that wholesale businesses maintain and supply their registration numbers to suppliers, and shippers and truckers;
(ii) requirements for the disposal of waste and other sanitary measures;
(iii) appropriate insurance and bonding requirements;
(iv) provisions requiring the maintenance of financial statements, records, ledgers, receipts, bills and such other written records as the commissioner determines are necessary or useful for carrying out the purposes of this chapter. Such records shall be maintained for a period of time not to exceed five years to be determined by rule by the commissioner, provided, however, that such rule may provide that the commissioner may, in specific instances at his or her discretion, require that records be maintained for a period of time exceeding such five years. Such records shall be made available for inspection and audit at the request of the commissioner at either the registrant's place of business or at the offices of the department; and
(v) such other rules as he or she deems necessary or appropriate to effectuate the provisions of this chapter.
Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1997/028.
The department or a designee of the department shall be authorized to issue a visitor pass as a requirement for any person to enter a public wholesale market including but not limited to: retailers who enter the market to purchase products and their employees and temporary employees; and, subject to the provisions of section 22-264 of this chapter, officers and business agents of labor unions or organizations covered by such section and officers and business agents of the affiliates thereof, including international unions, pension and welfare funds and others. Such pass shall be in a form prescribed by the commissioner, may contain a photograph of such person and shall indicate the reason the person is visiting the market, whether such person visits the market on a regular basis or, in the event that such person does not regularly visit the market, the date for which such pass shall be valid. The commissioner may provide for the issuance of permanent visitor passes to those persons who regularly visit a market, and shall provide for the expeditious issuance of passes at the market entrance to persons wishing to enter the market on a single or occasional basis. A pass shall be in the possession of such person at all times when such person is in the market and shall be worn and visible in compliance with rules promulgated by the commissioner pursuant to section 22-266 of this chapter. The department or, at the direction of the department, a designee of the department, shall be authorized to deny a visitor pass and entry into a market to any person whose presence may constitute a threat to the orderly operation of a market or who has failed to provide the identifying information required by the commissioner or the designee of the commissioner. The provisions of this section shall not apply to any public wholesale market to which access by the public has routinely been permitted without control, restriction or other regulation for no less than a year directly preceding the effective date of this provision; provided, however, that the commissioner may apply such provisions upon a determination that an emergency exists that necessitates the temporary restriction of access to such a market. For the purposes of this section, a "designee of the department" shall mean an agency of the city or, in the discretion of the commissioner, a wholesaler cooperative or similar organization. Nothing in this section shall be construed to permit the denial of a visitor pass to a representative of a labor union or labor organization solely because such person seeks to engage in the lawful exercise within a public wholesale market of an activity protected under the provisions of the National Labor Relations Act, 29 U.S.C. § 141, et seq., including, but not limited to, the lawful picketing of a place of business of a wholesale business or market business in connection with a legitimate labor dispute, except as may otherwise be prohibited by law. However, such person shall not impede any reasonable measure undertaken by a police officer or authorized employee of the department intended to control vehicle and pedestrian traffic within such public wholesale market or upon any street, avenue, parkway, plaza, square or other public place designated as a public market. The commissioner shall consult with the commissioner of labor relations prior to reaching any determination that an activity be a representative of a labor union or organization is not lawful under the National Labor Relations Act.
Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1997/028.
The commissioner shall by rule establish fees for photo identification cards, for registration and the renewal of registration, and for visitor passes issued pursuant to this chapter in amounts sufficient to compensate the city for the administrative expense of issuance of such photo identification cards, of registration and the inspections and other activities related thereto, and of issuance of visitor passes. Such rule may provide that a designee of the department perform administrative functions related to the issuance of photo identification cards or the issuance of visitor passes and that such designee may, with the approval of the commissioner, impose a fee for the performance of such functions. For the purposes of this section "designee of the department" shall mean an agency of the city or, in the discretion of the commissioner, a wholesaler cooperative or similar organization. Registration pursuant to this chapter shall be valid for three years. A wholesale business or a market business shall be responsible for the payment of any fee imposed by this section with respect to an employee of such business or any person seeking to become an employee of such business.
Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1997/028.
a. A wholesale business or market business required by this chapter to be registered with the commissioner shall be liable for a violation committed by any of its officers, employees and/or agents acting within the scope of their employment of any of the provisions of this chapter or any rules promulgated pursuant thereto.
b. In any civil action or administrative proceeding against an employee of a wholesale business or market business for a violation of this chapter or any rules promulgated pursuant thereto, it shall be an affirmative defense that the employee was acting within the scope of his or her employment when the action or actions constituting the alleged violation were committed and that such action or actions were committed pursuant to an instruction given to such employee by such wholesale business or market business or by any principal, officer or agent of such business, provided, however, that this subdivision shall not be applicable to a violation of section 22-252 or section 22-262 of this chapter and any rules promulgated pursuant thereto.
Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1997/028.
a. Except as otherwise provided in subdivision b of this section, any person who violates any provision of this chapter or any of the rules promulgated hereto shall be liable for a civil penalty which shall not exceed ten thousand dollars for each such violation. Such civil penalty may be recovered in a civil action or in a proceeding before the environmental control board or other administrative tribunal of competent jurisdiction.
b. (i) Any person who violates the requirement to obtain a photo identification card or to register a business contained in section 22-252 or section 22-253 of this chapter or who violates section 22-262 of this chapter shall, upon conviction thereof, be subject to a criminal fine for each violation of not more than ten thousand dollars for each day of such violation or by imprisonment not exceeding six months, or both; and any such person shall be subject to a civil penalty of not more than five thousand dollars for each day of such violation to be recovered in a civil action or proceeding before the environmental control board or other administrative tribunal of competent jurisdiction.
(ii) The corporation counsel is authorized to commence a civil action on behalf of the city for injunctive relief to restrain or enjoin any violation of this chapter and for civil penalties.
Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1997/028.
a. Where the commissioner has reasonable cause to believe that an applicant for registration pursuant to section 22-253 of this chapter or an applicant for a photo identification card lacks good character, honesty and integrity, the commissioner may require that such applicant shall:
(i) be fingerprinted by a person designated for such purpose by the commissioner or the department of investigation and a fee shall be paid which shall be submitted to the division of criminal justice services and/or the federal bureau of investigation for the purposes of obtaining criminal history records;
(ii) provide to the commissioner, upon a form prescribed by the commissioner and subject to such minimum dollar thresholds and other reporting limitations as the commissioner may establish by rule therein any of the following items that the commissioner determines are necessary and appropriate to evaluate the application of such applicant for registration or the application of such person for a photo identification card, including but not limited to:
(a) a listing of the names and addresses of any persons having a beneficial interest in the applicant for registration, the amount and nature of such interest and the acquisition cost;
(b) a listing of the names and addresses of all officers, directors, partners and stockholders holding more than ten percent of the outstanding shares of the business, and of the names and addresses of any manager or other person who has policy or financial decision-making authority in the business of an applicant for registration;
(c) a listing of the amounts in which such applicant is indebted, including mortgages on real property, and the names and addresses of all persons to whom such debts are owed;
(d) a listing of such applicant's real property holdings or mortgage or other interest in real property held by such applicant other than a primary residence and the names and addresses of all co-owners of such interest;
(e) a listing of mortgages, loans, and instruments of indebtedness held by such applicant, the amount of such debt, and the names and addresses of all such debtors;
(f) the name and address of any business in which such applicant holds an equity or debt interest, excluding any interest in publicly traded stocks or bonds;
(g) the names and addresses of all persons or entities from whom such applicant has received gifts valued at more than one thousand dollars in any of the past three years, and the names of all persons or entities excluding any organization recognized by the Internal Revenue Service under section 501(c)(3) of the Internal Revenue Code to whom such applicant has given such gifts in any of the past three years;
(h) a listing of all criminal convictions, in any jurisdiction, of the applicant;
(i) a listing of all pending civil or criminal actions to which such applicant is a party;
(j) a listing of any determination by a federal, state or city regulatory agency of a violation by such applicant of laws or regulations relating to the conduct of the applicant's business;
(k) a listing of any criminal or civil investigation by a federal, state, or local prosecutorial agency, investigative agency or regulatory agency of which the applicant has or should have knowledge, in the five year period preceding the application, wherein such applicant has:
(A) been the subject of such investigation, or
(B) received a subpoena requiring the production of documents or information in connection with such investigation;
(l) where applicable, a certification that the applicant has paid all federal, state, and local income taxes related to the applicant's business for which the applicant is responsible for the three tax years preceding the date of the application or documentation that the applicant is contesting such taxes in a pending judicial or administrative proceeding;
(m) a statement authorizing the department to verify with federal, state and local taxing authorities, to the maximum extent permitted by law, the facts contained in the certification submitted pursuant to subparagraph (l) of this paragraph;
(n) where applicable, the names and addresses of the principals of any predecessor wholesale business or market business of the applicant; and
(o) such additional information concerning good character, honesty and integrity that the commissioner may deem appropriate and reasonable; and
(iii) appear to be interviewed by the department of investigation or the department. The commissioner may require that fees be paid by or on behalf of such applicants to cover the expenses of fingerprinting and background investigations provided for in this subdivision as are set forth in the rules promulgated pursuant to section 22-266 of this code. A wholesale business or a market business shall be responsible for the payment of any fee imposed by this section with respect to an employee of such business or any person seeking to become an employee of such business.
b. The commissioner may, after notice and the opportunity to be heard, refuse to register an applicant or issue a photo identification card to a person who lacks good character, honesty and integrity. Such notice shall specify the reasons for such refusal. In making such determination, the commissioner may consider, but not be limited to:
(i) failure by such applicant or person to provide truthful information in connection with the application;
(ii) a pending indictment or criminal action against such applicant or person for a crime which under this subdivision would provide a basis for the refusal of such registration, or a pending civil or administrative action to which such applicant or person is a party and which directly relates to the fitness to conduct the business or perform the work for which the registration or photo identification card is sought, in which cases the commissioner may defer consideration of an application until a decision has been reached by the court or administrative tribunal before which such action is pending;
(iii) conviction of such applicant or person for a crime which, under article 23-A of the correction law, bears a relationship to the fitness of such applicant or person to conduct a business or work in a market;
(iv) commission of a racketeering activity or association with a person who has been convicted for a racketeering activity when the applicant knew or should have known of such activity, including, but not limited to, an offense listed in subdivision one of section nineteen hundred sixty-one of the Racketeer Influenced and Corrupt Organizations statute (18 U.S.C. § 1961, et seq.) or for an offense listed in subdivision one of section 460.10 of the penal law, as such statutes may be amended from time to time, or the equivalent offense under the laws of any other jurisdiction;
(v) association with any member or associate of an organized crime group as identified by a federal, state or city law enforcement or investigative agency when the applicant for registration or photo identification card knew or should have known of the organized crime associations of such person;
(vi) a principal of the applicant was a principal in a predecessor wholesale business or market business where the commissioner would be authorized to deny registration to such predecessor business pursuant to this subdivision; or
(vii) in the case of an applicant business, failure to pay any tax, fine, penalty or fee related to the applicant's business for which liability has been admitted by the person liable therefor, or for which judgment has been entered by a court or administrative tribunal of competent jurisdiction and such judgment has not been stayed. An applicant may submit to the commissioner any material or explanation which such applicant believes demonstrates that information submitted pursuant to this subdivision does not reflect adversely upon the applicant's good character, honesty and integrity.
c. The commissioner may require that an applicant business shall submit such information as the commissioner deems necessary to demonstrate the financial responsibility of such applicant to conduct the activity for which such registration is required, and may refuse to register any applicant who has not, in the commissioner's determination, demonstrated such financial responsibility.
d. The commissioner may refuse to register or to issue a photo identification card to a person when such applicant has knowingly failed to provide the information and/or documentation required by the commissioner pursuant to this chapter or any rules promulgated pursuant thereto or who has otherwise failed to demonstrate eligibility for such registration or photo identification card under this chapter or any rules promulgated pursuant thereto.
e. The commissioner may refuse to register or to issue a photo identification card to a person when such applicant:
(i) was previously issued a registration or a photo identification card under this chapter and such registration or card was revoked or not renewed pursuant to the provisions of this chapter or any rules promulgated hereto; or
(ii) has been determined to have committed any of the acts which would be a basis for the suspension or revocation of registration or a photo identification card pursuant to this chapter or any rules promulgated hereto.
f. For the purposes of this section: "predecessor wholesale business or market business" shall mean a wholesale business or market business in which one or more principals of the applicant were principals in the five year period preceding the application; and, in relation to investigations of employees pursuant to section 22-252 of this chapter, the term "applicant" shall be deemed to apply to employees or agents of an applicant for registration.
Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1997/028.
In addition to the penalties provided in section 22-258 of this code, the commissioner may revoke a temporary photo identification card, and after notice and hearing revoke or suspend a registration issued pursuant to section 22-253 of this chapter or a photo identification card when the registrant or its officers, employees or agents or a person to whom such photo identification card has been issued:
(i) has been found to be in violation of this chapter or any rules promulgated pursuant thereto;
(ii) has repeatedly failed to obey lawful orders of representatives of the department;
(iii) in the case of a person who works in the market and holds an office in a labor union or labor organization, or in a wholesale trade association, has failed to obey a commissioner's order of disqualification from holding such office pursuant to subdivision c of section 22-264 or subdivision c of section 22-265 of this chapter;
(iv) has continued to employ a person who has failed to obey a commissioner's order of disqualification from holding office in a labor organization or labor union or a trade association;
(v) has failed to pay any fines or civil penalties imposed pursuant to this chapter or the rules promulgated pursuant hereto;
(vi) has been found in persistent or substantial violation of any city, state or federal laws, rules or regulations regarding the improper handling of food, or any laws prohibiting deceptive, unfair, or unconscionable trade practices;
(vii) has been found by the commissioner, after consideration of the factors set forth in subdivision b of section 22-259 of this chapter to lack good character, honesty and integrity;
(viii) has been found to have made any false statement or any misrepresentation as to a material fact in the application or accompanying papers upon which the issuance or renewal of the registration or photo identification card was based; or
(ix) has failed to notify the commissioner as required by subdivision b of section 22-252 or subdivision a of section 22-253 of this code of any change in the ownership interest of the business or other material change in the information required on the application for such registration or photo identification card, or of the arrest or criminal conviction of the registrant or any of his or her officers, employees or agents of which the registrant had knowledge or should have known. Nothing in this section shall be construed to permit the revocation of a photo identification card of an employee who is a member of a labor union or labor organization solely for the reason that such person has sought to engage in the lawful exercise within a public wholesale market of an activity protected under the provisions of the National Labor Relations Act, 29 U.S.C. § 141, et seq. The commissioner shall consult with the commissioner of labor relations prior to reaching any determination that an activity by a representative of a labor union or labor organization is not lawful under the National Labor Relations Act.
Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1997/028.
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