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17 RCNY Chapter 1 Violations
Section | Description | 1st Violation Penalty | Repeat Penalty | Mitigated Penalty (1st Violation) | Mitigated Penalty (Repeat Violation) | Default Penalty |
Section | Description | 1st Violation Penalty | Repeat Penalty | Mitigated Penalty (1st Violation) | Mitigated Penalty (Repeat Violation) | Default Penalty |
17 RCNY § 1-09(a)-(y) | Committed any violation enumerated in 17 RCNY § 1-09 (General Prohibitions) Violated or failed to comply with a provision of this chapter Licensee | $5,000 | $10,000 | N/A | N/A | $10,000 |
17 RCNY § 1-09(a)-(y) | Committed any violation enumerated in 17 RCNY § 1-09 (General Prohibitions) Violated or failed to comply with a provision of this chapter Class 2 Registrant Exempt from License | $5,000 | $10,000 | N/A | N/A | $10,000 |
17 RCNY § 1-09(a)-(y) | Committed any violation enumerated in 17 RCNY § 1-09 (General Prohibitions) Violated or failed to comply with a provision of this chapter Class 2 Broker Registrant | $500 | $1,000 | N/A | N/A | $1,000 |
17 RCNY § 1-09(a)-(y) | Committed any violation enumerated in 17 RCNY § 1-09 (General Prohibitions) Violated or failed to comply with a provision of this chapter Class 1 Registrant | $500 | $1,000 | N/A | N/A | $1,000 |
17 RCNY § 1-12 | Failed to disclose certain adverse determinations by government agencies Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 1-12 | Failed to disclose certain adverse determinations by government agencies Class 2 Registrant Exempt from License | $2500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 1-12 | Failed to disclose certain adverse determinations by government agencies Class 2 Broker Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 1-12 | Failed to disclose certain adverse determinations by government agencies Class 1 Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 2-05(a)(1) | Failed to notify of arrest or criminal conviction of principal/employee Applicant for Licensee or Licensee | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 2-05(a)(2) | Failed to notify of determination by any Federal, State or local agency Applicant for Licensee or Licensee | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 2-05(a)(3) | Failed to notify of crash involving vehicle used in course of business Applicant for Licensee or Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 2-05(a)(4) | Failed to notify of any suspension or revocation of a driver's license Applicant for Licensee or Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 2-05(a)(5) | Failed to notify of vehicle traffic summonses Applicant for Licensee or Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 2-05(a)(6) | Failed to notify any other material change in information submitted Applicant for Licensee or Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 2-05(a)(7) | Failed to notify of change in capital stock or ownership of business Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 2-05(a)(8) | Failed to notify of proposed addition of a new principal Licensee | $5,000 | $10,000 | N/A | N/A | $10,000 |
17 RCNY § 2-05(b)(1)(i) | Failed to notify of addition of a principal Applicant for Class 2 Registration Exempt from License or Class 2 Registrant Exempt from License | $5,000 | $10,000 | N/A | N/A | $10,000 |
17 RCNY § 2-05(b)(1)(i) | Failed to notify of addition of a principal Applicant for Class 2 Broker Registration or Class 2 Broker Registrant | $500 | $1,000 | N/A | N/A | $1,000 |
17 RCNY § 2-05(b)(1)(i) | Failed to notify of addition of a principal Applicant for Class 1 Registration or Class 1 Registrant | $500 | $1,000 | N/A | N/A | $1,000 |
17 RCNY § 2-05(b)(1)(ii) | Failed to notify of arrest or criminal conviction of a principal Applicant for Class 2 Registration Exempt from License or Class 2 Registrant Exempt from License | $5,000 | $10,000 | N/A | N/A | $10,000 |
17 RCNY § 2-05(b)(1)(ii) | Failed to notify of arrest or criminal conviction of a principal Applicant for Class 2 Broker Registration or Class 2 Broker Registrant | $500 | $1,000 | N/A
| N/A | $1,000 |
17 RCNY § 2-05(b)(1)(iii) | Failed to notify of determinations by any Federal, State or local agency Applicant for Class 2 Registration Exempt from License or Class 2 Registrant Exempt from License | $3,500 | $7,000 | N/A
| N/A | $10,000
|
17 RCNY § 2-05(b)(1)(iii) | Failed to notify of determinations by any Federal, State or local agency Applicant for Class 2 Broker Registration or Class 2 Broker Registrant | $350 | $700 | N/A
| N/A | $1,000 |
17 RCNY § 2-05(b)(1)(iii) | Failed to notify of determinations by any Federal, State or local agency Applicant for Class 1 Registration or Class 1 Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 2-05(b)(1)(iv) | Failed to notify of crash involving vehicle used in course of business Applicant for Class 2 Registration Exempt from License or Class 2 Registrant Exempt from License | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 2-05(b)(1)(iv) | Failed to notify of crash involving vehicle used in course of business Applicant for Class 1 Registration or Class 1 Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 2-05(b)(1)(v) | Failed to notify of suspension or revocation of a driver's license Applicant for Class 2 Registration Exempt from License or Class 2 Registrant Exempt from License | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 2-05(b)(1)(v) | Failed to notify of suspension or revocation of a driver's license Applicant for Class 1 Registration or Class 1 Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 2-05(b)(1)(vi) | Failed to notify of vehicle traffic summons Applicant for Class 2 Registration Exempt from License or Class 2 Registrant Exempt from License | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 2-05(b)(1)(vi) | Failed to notify of vehicle traffic summons Applicant for Class 1 Registration or Class 1 Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 2-05(b)(1)(vii) | Failed to notify of other material change in information submitted Applicant for Class 2 Registration Exempt from License or Class 2 Registrant Exempt from License | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 2-05(b)(1)(vii) | Failed to notify of other material change in information submitted Applicant for Class 2 Broker Registration or Class 2 Broker Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 2-05(b)(1)(vii) | Failed to notify of other material change in information submitted Applicant for Class 1 Registration or Class 1 Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 2-05(b)(2) | Failed to provide MV-104 or any other form required to be filed Applicant for Class 2 Registration Exempt from License or Class 2 Registrant Exempt from License | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 2-05(b)(2) | Failed to provide MV-104 or any other form required to be filed Applicant for Class 1 Registration or Class 1 Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 2-05(c) | Failed to notify BIC of material change by labor union or organization Class 3 Labor Union or Labor Organization | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 2-06 | Improper transfer of license number Licensee | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 2-06 | Improper transfer of registration number Class 2 Registrant Exempt from License | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 2-06 | Improper transfer of registration number Class 2 Broker Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 2-06 | Improper transfer of registration number Class 1 Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 3-02(d) | Employed a person lacking good character, honesty, and integrity Licensee | $5,000 | $10,000 | N/A | N/A | $10,000 |
17 RCNY § 3-03 | Failed to notify BIC of new employee, agent or job listed in Appendix A Licensee | $5,000 | $10,000 | N/A | N/A | $10,000 |
17 RCNY § 4-02(c) | Failed to fully cooperate with independent monitor Licensee | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 5-01(a) | Failed to provide sign/decal with the required information Licensee | $100 per missing decal or sign (maximum $10,000 total penalty) | $300 per missing decal or sign (maximum $10,000 total penalty) | N/A | N/A | $10,000 |
17 RCNY § 5-01(c) | Charged a fee to a business for a sign or decal issued by BIC Licensee | $500 | $1,000 | N/A | N/A | $10,000 |
17 RCNY § 5-01(d) | Failed to conspicuously display license in place of business Licensee | $500 | $1,000 | N/A | N/A | $10,000 |
17 RCNY § 5-02(a) | Demanded or charged customers greater than maximum rates Licensee | $3,500 plus restitution if applicable | $7,000 plus restitution if applicable | N/A
| N/A | $10,000 |
17 RCNY § 5-02(c)(1) | Failed to follow waste survey requirements Licensee | $500 | $1,000 | N/A | N/A | $10,000 |
17 RCNY § 5-02(c)(3) | Submitted a false or misleading survey to a customer Licensee | $5,000 | $10,000 | N/A | N/A | $10,000 |
17 RCNY § 5-03(a) | Failed to maintain records concerning business Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-03(b) | Failed to provide written receipt with the required information for cash payment Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-03(c) | Paid more than $1,000 in cash or check payable to petty cash Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-03(d) | Failed maintain a complete and accurate set of books of account Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-03(e) | Failed to maintain annual financial statements in format prescribed by BIC Licensee | $5,000 | $10,000 | N/A | N/A | $10,000 |
17 RCNY § 5-03(f) | Failed to file annual report within 6 months after end of fiscal year Licensee | $2,500 | $5,000 | $1,000 (if statements submitted on or before hearing date on summons) | $10,000 | |
17 RCNY § 5-03(g) | Failed to maintain Customer Register on prescribed form or computer format Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 5-03(g)(3) | Failed to file Customer Register on prescribed form or computer format Licensee | $5,000 | $10,000 | $1,000 (if register submitted on or before hearing date on summons) | $10,000 | |
17 RCNY § 5-03(h) | Failed to maintain a register of all customer complaints Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 5-03(i) | Failed to maintain written procedures regarding compliance with all laws Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-03(j) | Failed to maintain all reports related to a crash Licensee | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 5-03(k) | Failed to maintain determinations by any governmental agency or authority Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 5-03(l) | Failed to maintain accurate time records for those who handle trade waste Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-03(m) | Failed to maintain copies of inspection and certification of repair forms Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 5-03(n) | Failed to maintain copies of all daily inspection reports Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 5-03(o) | Failed to maintain worker training records Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-03(p) | Failed to maintain records for 5 years unless otherwise directed Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-03(q) | Failed to make records available for inspection Licensee | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 5-04 | Failed to comply with Federal, State, and local laws and regulations Licensee | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 5-05(a) | Failed to meet requirements for customer contracts Licensee | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 5-05(b) | Failed to meet requirements for subcontracting, assigning, mergers Licensee | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 5-05(d) | Failed to follow written contract requirements Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-05(e) | Failed to meet requirements for when customers don't sign a contract Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-05(f) | Contract improperly provides that licensee is exempt from liability Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-05(g) | Failed to provide a written bill, statement, or invoice every month Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-06(b) | Failed to comply with any final order to serve customer Licensee | $7,500 | $10,000 | N/A | N/A | $10,000 |
17 RCNY § 5-07 | Failed to provide employee information within 10 business days Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(a) | Failed to maintain areas with vehicles and machinery in safe and clean condition Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(b) | Failed to load vehicles in a way that prevents dust and spilling Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(c) | Failed to unload materials only where legally permitted Licensee | $7,500 | $10,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(d) | Loaded or filled vehicle over capacity Licensee | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(e) | Failed to prevent unnecessary noise Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(f) | Failed to load open top vehicles from front to rear and secure load Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(g) | Sorted and transferred waste while vehicle is on the streets Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(h) | Failed to carry waste only within the vehicle body or containers Licensee | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(i) | Failed to empty vehicles and containers of loose materials Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(j) | Failed to maintain good appearance of vehicles and containers Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(k) | Dissected dead animals outside permitted premises Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(l) | Failed to close loading hoppers or closures except during loading Licensee | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(m) | Failed to maintain cleanliness of vehicles and control odors and pests Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(n) | Failed to provide off-street parking for vehicles Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(o) | Failed to keep garage doors closed and outdoor perimeter fenced Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(p) | Failed to comply with traffic laws Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(q) | Failed to follow requirements for waste receptacles and containers Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(r) | Failed to meet requirements for organic waste containers Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(s) | Failed to return receptacle to area where waste was removed Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(t) | Failed to keep area next to waste removal site free from debris Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(u) | Failed to comply with federal hours of service requirement Licensee | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 5-08(v) | Engaged in pattern of unsafe practices Licensee | $2,500 | $5000 (if two or more violations in two-year period) $10,000 (if three or more violations in two-year period) | N/A | N/A | $10,000 |
17 RCNY § 5-09 | Held membership or position in prohibited trade associations Licensee | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 5-10(a) | Failed to affix or improperly transferred BIC license plates Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 5-10(b) | Failed to display business name and address on vehicle Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-10(c) | Failed to meet convex mirror requirement Licensee | $2,500 | $5,000 | $500 | $1,000 | $10,000 |
17 RCNY § 5-10(d) | Obstructed operator's vision through windshield or windows Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 5-10(e) | Operated vehicle not in safe operating condition Licensee | $5,000 | $10,000 | $1,000 (if condition is corrected) | $5,000 (if condition is corrected) | $10,000 |
17 RCNY § 5-10(f) | Failed to inspect vehicles and prepare a daily inspection report Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 5-10(h) | Failed to comply with side guard requirements Licensee | $10,000/vehicle in violation (plus separate penalty of $500/vehicle per day for each day beyond 30 days from date of order to correct) | $10,000/vehicle in violation (plus separate penalty of $500/vehicle per day for each day beyond 30 days from date of order to correct) | $0 (if certification of correction is filed within 30 days from date of order to correct) | $0 (if certification of correction is filed within 30 days from date of order to correct) | $10,000 |
17 RCNY § 5-11(a) | Failed to display volume capacity on container Licensee | $500 | $1,000 | N/A | N/A | $10,000 |
17 RCNY § 5-11(b) | Failed to display name and license/registration number on container Licensee | $500 | $1,000 | N/A | N/A | $10,000 |
17 RCNY § 5-11(c) | Failed to label container to indicate that only organic waste may be placed in container Licensee | $500 | $1,000 | N/A | N/A | $10,000 |
17 RCNY § 5-11(d) | Failed to report containers missing volume capacity within 3 days Licensee | $500 | $1,000 | N/A | N/A | $10,000 |
17 RCNY § 5-11(e) | Failed to report organic waste containers missing label within 3 days Licensee | $500 | $1,000 | N/A | N/A | $10,000 |
17 RCNY § 5-12(b) | Failed to meet requirements for recyclables Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 5-12(c)(1) | Failed to follow restrictions for source-separated waste Licensee | $2,500 | $5,000 | N/A | N/A | $10,000
|
17 RCNY § 5-12(c)(2) | Commingled designated recyclable materials when ineligible Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 5-12(c)(3) | Failed to follow requirements for source-separated organic waste Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 5-12(d) | Failed to follow customer contract and bill requirements Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 5-13 | Failed to meet heavy duty trade waste vehicle decal requirements Licensee | $200 | $200 | $0 (if DEP decal is affixed on or before hearing date on Summons) | $0 (if DEP decal affixed on or before hearing date on Summons) | $200 |
17 RCNY § 5-14(a) | Failed to provide annual safety training Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 5-14(b) | Driver failed to complete a defensive driving course every 3 years Licensee | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 6-01 | Failed to present registration to customer before conducting duties Class 2 Broker Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 6-02(a) | Failed to give disclosure prior to collecting fees for waste analysis Class 2 Broker Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 6-02(b) | Collected fees from trade waste business for brokered matter Class 2 Broker Registrant | $500 | $1,000 | N/A | N/A | $1,000 |
17 RCNY § 6-02(c) | Failed to provide statement that broker examined rate schedules Class 2 Broker Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 6-03(a) | Collected fees for waste removal without meeting requirements Class 2 Broker Registrant | $500 | $1,000 | N/A | N/A | $1,000 |
17 RCNY § 6-03(b) | Failed to submit contracts for collection of waste removal fees Class 2 Broker Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 6-03(c) | Contract for brokering services exceeded 2 years in duration Class 2 Broker Registrant | $750 | $1,000 | N/A | N/A | $1,000 |
17 RCNY § 6-04(b) | Failed to maintain listed business records Class 2 Broker Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 6-04(c) | Failed to provide each payor with a written receipt for cash payments Class 2 Broker Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 6-04(d) | Paid more than $1,000 in cash or check payable to petty cash Class 2 Broker Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 6-04(e) | Failed to maintain complete books of account reflecting operations Class 2 Broker Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 6-04(f) | Failed to maintain annual financial statement in correct format Class 2 Broker Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 6-04(g) | Failed to file annual report within 6 months after end of fiscal year Class 2 Broker Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 6-04(h) | Failed to submit amended annual report if revisions required by BIC Class 2 Broker Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 6-04(i) | Failed to make financial statements available for audit Class 2 Broker Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 6-04(j) | Failed to maintain and file a complete Customer Register Class 2 Broker Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 6-04(k) | Failed to maintain a register of all complaints Class 2 Broker Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 6-04(l) | Failed to maintain records for 5 years unless directed otherwise Class 2 Broker Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 6-04(m) | Failed to make records available for inspection and audit by BIC Class 2 Broker Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 6-05 | Failed to comply with Federal, State, and local laws and regulations Class 2 Broker Registrant | $500 | $1,000 | N/A | N/A | $1,000 |
17 RCNY § 6-06(a) | Arranged waste removal by unlicensed/unregistered haulers Class 2 Broker Registrant | $500 | $1,000 | N/A | N/A | $1,000 |
17 RCNY § 6-06(b) | Failed to follow requirements for customer contracts and service Class 2 Broker Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 6-06(c) | Failed to follow written contract requirements Class 2 Broker Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 6-06(d) | Failed to meet requirements for when customers don't sign a contract Class 2 Broker Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 6-06(e) | Contract improperly provides that broker is exempt from liability Class 2 Broker Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 6-06(f) | Failed to follow requirements for bills, statements and invoices Class 2 Broker Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 6-07 | Failed to provide employee information in registration application Class 2 Broker Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 7-01 | Failed to conspicuously display registration in place of business Class 2 Registrant Exempt from License | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 7-01 | Failed to conspicuously display registration in place of business Class 1 Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 7-02 | Failed to comply with Federal, State and local laws and regulations Class 2 Registrant Exempt from License | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 7-02 | Failed to comply with Federal, State and local laws and regulations Class 1 Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 7-03(a) | Failed to affix or improperly transferred BIC license plates Class 2 Registrant Exempt from License | $2,500 | $5,000 | N/A | N/A | |
17 RCNY § 7-03(a) | Failed to affix or improperly transferred BIC license plates Class 1 Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 7-03(b) | Failed to display business name and address on vehicle Class 2 Registrant Exempt from License | $1,500 | $3,000 | N/A | N/A | $5,000 |
17 RCNY § 7-03(b) | Failed to display business name and address on vehicle Class 1 Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 7-03(c) | Failed to meet convex mirror requirement Class 2 Registrant Exempt from License | $2,500 | $5,000 | $500 | $1,000 | $10,000 |
17 RCNY § 7-03(c) | Failed to meet convex mirror requirement Class 1 Registrant | $500 | $750 (if two or more violations in two-year period) $1,000 (if three or more violations in two-year period) | $100 | $250 | $1,000 |
17 RCNY § 7-03(d) | Obstructed operator's vision through windshield or windows Class 2 Registrant Exempt from License | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 7-03(d) | Obstructed operator's vision through windshield or windows Class 1 Registrant | $500 | $750 (if two or more violations in two-year period) $1,000 (if three or more violations in two-year period) | N/A | N/A | $1,000 |
17 RCNY § 7-03(e) | Operated vehicle not in safe operating condition Class 2 Registrant Exempt from License | $5,000 | $10,000 | $1,000 | $5,000 | $10,000 |
17 RCNY § 7-03(e) | Operated vehicle not in safe operating condition Class 1 Registrant | $500 | $1,000 | $250 | $500 | $1,000 |
17 RCNY § 7-03(f) | Failed to inspect vehicles and prepare a daily inspection report Class 2 Registrant Exempt from License | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 7-03(f) | Failed to inspect vehicles and prepare a daily inspection report Class 1 Registrant | $500 | $750 (if two or more violations in two-year period) $1,000 (if three or more violations in two-year period) | N/A | N/A | $1,000 |
17 RCNY § 7-03(h) | Failed to comply with side guard requirements Class 1 Registrant and Class 2 Registrant Exempt from License | $10,000/vehicle in violation (plus separate penalty of $500/vehicle per day for each day beyond 30 days from date of order to correct) | $10,000/vehicle in violation (plus separate penalty of $500/vehicle per day for each day beyond 30 days from date of order to correct) | $0 (if certification of correction is filed within 30 days from date of order to correct) | $0 (if certification of correction is filed within 30 days from date of order to correct) | $10,000 |
17 RCNY § 7-04(a) | Failed to meet requirements for recyclables Class 2 Registrant Exempt from License | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 7-04(a) | Failed to meet requirements for recyclables Class 1 Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 7-04(b) | Failed to provide source-separation of recyclable materials Class 2 Registrant Exempt from License | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 7-04(b) | Failed to provide source-separation of recyclable materials Class 1 Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 7-04(c) | Failed to comply with requirements under 17 RCNY § 5-12(a)-(c) Class 2 Registrant Exempt from License | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 7-04(c) | Failed to comply with requirements under 17 RCNY § 5-12(a)-(c) Class 1 Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 7-04(d) | Failed to follow written agreement rules for organic waste delivery Class 2 Registrant Exempt from License | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 7-04(d) | Failed to follow written agreement rules for organic waste delivery Class 1 Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 7-04(e) | Failed to submit quarterly reports on listed due dates Class 2 Registrant Exempt from License | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 7-04(e) | Failed to submit quarterly reports on listed due dates Class 1 Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 7-05 | Class 2 Registrant Exempt from License | N/A | N/A | $10,000 | ||
17 RCNY § 7-05 | Class 1 Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 7-05 | Failed to comply with 17 RCNY § 5-08(u) Class 1 Registrant | $500 | $750 (if two or more violations in two-year period) $1,000 (if three or more violations in two-year period) | N/A | N/A | $1,000 |
17 RCNY § 7-05 | Failed to comply with 17 RCNY § 5-08(v) Class 1 Registrant | $500 | $750 (if two or more violations in two-year period) $1,000 (if three or more violations in two-year period) | N/A | N/A | $1,000 |
17 RCNY § 7-06(a) | Failed to maintain written procedures regarding compliance with all laws Class 2 Registrant Exempt from License | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 7-06(a) | Failed to maintain written procedures regarding compliance with all laws Class 1 Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 7-06(b) | Failed to maintain all reports related to a crash Class 2 Registrant Exempt from License | $3,500 | $7,000 | N/A | N/A | $10,000 |
17 RCNY § 7-06(b) | Failed to maintain all reports related to a crash Class 1 Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 7-06(c) | Failed to maintain determinations by any governmental agency or authority Class 2 Registrant Exempt from License | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 7-06(c) | Failed to maintain determinations by any governmental agency or authority Class 1 Registrant | $350 | $700 | N/A | N/A | $1,000 |
17 RCNY § 7-06(d) | Failed to maintain accurate time records for those who handle trade waste Class 2 Registrant Exempt from License | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 7-06(d) | Failed to maintain accurate time records for those who handle trade waste Class 1 Registrant | $500 | $750 (if two or more violations in two-year period) $1,000 (if three or more violations in two-year period) | N/A | N/A | $1,000 |
17 RCNY § 7-06(e) | Failed to maintain copies of inspection and certification of repair forms Class 2 Registrant Exempt from License | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 7-06(e) | Failed to maintain copies of inspection and certification of repair forms Class 1 Registrant | $500 | $750 (if two violations in two-year period) $1,000 (if three or more violations in two-year period) | N/A | N/A | $1,000 |
17 RCNY § 7-06(f) | Failed to maintain copies of all daily inspection reports Class 2 Registrant Exempt from License | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 7-06(f) | Failed to maintain copies of all daily inspection reports Class 1 Registrant | $350 | $750 (if two violations in two-year period) $1,000 (if three or more violations in two-year period) | N/A | N/A | $1,000 |
17 RCNY § 7-06(g) | Failed to maintain worker training records Class 2 Registrant Exempt from License | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 7-06(g) | Failed to maintain worker training records Class 1 Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 7-06(h) | Failed to maintain records for 5 years unless otherwise directed Class 2 Registrant Exempt from License | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 7-06(h) | Failed to maintain records for 5 years unless otherwise directed Class 1 Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 7-07 | Failed to meet heavy duty trade waste vehicle decal requirements Class 2 Registrant Exempt from License | $200 | $200 | $0 (if DEP decal is affixed on or before hearing date on Summons) | $0 (if DEP decal is affixed on or before hearing date on Summons) | $200 |
17 RCNY § 7-07 | Failed to meet heavy duty trade waste vehicle decal requirements Class 1 Registrant | $200 | $200 | $0 (if DEP decal affixed on or before hearing date on Summons) | $0 (if DEP decal affixed on or before hearing date on Summons) | $200 |
17 RCNY § 7-08(a) | Failed to provide annual safety training Class 2 Registrant Exempt from License | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 7-08(a) | Failed to provide annual safety training Class 1 Registrant | $500 | $750 (if two violations in two-year period) $1,000 (if three or more violations in two-year period) | N/A | N/A | $1,000 |
17 RCNY § 7-08(b) | Driver failed to complete a defensive driving course every 3 years Class 2 Registrant Exempt from License | $2,500 | $5,000 | N/A | N/A | $10,000 |
17 RCNY § 7-08(b) | Driver failed to complete a defensive driving course every 3 years Class 1 Registrant | $500 | $750 (if two violations in two-year period) $1,000 (if three or more violations in two-year period) | N/A | N/A | $1,000 |
17 RCNY § 8-01(a) | Failed to post BIC notice containing workers' rights information Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 8-01(a) | Failed to post BIC notice containing workers' rights information Class 2 Registrant Exempt from License | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 8-01(a) | Failed to post BIC notice containing workers' rights information Class 1 Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 8-01(b) | Failed to post BIC notice in each office, garage or lot Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 8-01(b) | Failed to post BIC notice in each office, garage or lot Class 2 Registrant Exempt from License | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 8-01(b) | Failed to post BIC notice in each office, garage or lot Class 1 Registrant | $250 | $500 | N/A | N/A | $1,000 |
17 RCNY § 8-01(c) | Failed to distribute BIC notice Licensee | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 8-01(c) | Failed to distribute BIC notice Class 2 Registrant Exempt from License | $1,500 | $3,000 | N/A | N/A | $10,000 |
17 RCNY § 8-01(c) | Failed to distribute BIC notice Class 1 Registrant | $250 | $500 | N/A | N/A | $1,000 |
(Added City Record 3/27/2023, eff. 4/26/2023)
Subchapter B: Licensing and Registration
(a) Except as provided in Subdivision b of this section, an applicant business required by § 16-505 of the Code to obtain a license for the removal, collection, or disposal of trade waste must submit the information contained in the license application form provided by the Commission and the disclosure required by the forms provided by the Commission. In addition, each principal of the applicant business must:
(i) be fingerprinted by a person designated for such purpose by the Commission and pay the fee prescribed by the Division of Criminal Justices Services for the purpose of obtaining criminal history records; and
(ii) be photographed by the Commission and submit the disclosure required by the forms provided by the Commission. Notwithstanding Paragraphs (i) and (ii) of this subdivision, an applicant may submit, in lieu of such fingerprints and disclosure, copies of submissions to any Federal, State, or local regulatory entity containing information comparable to that required by the Commission, provided that the Commission may require fingerprinting and disclosure, pursuant to such paragraphs where it finds that it has not received sufficient information or information that is comparable to Commission requirements. The Commission may compel attendance, examine, take testimony, and require the production of evidence, pursuant to the provisions of Subdivision c of § 16-504 of the Code as the Commission deems necessary to investigate the truth and accuracy of the information submitted. A fee of six hundred dollars ($600) per applicant business and six hundred dollars ($600) per principal thereof must be paid by the applicant for such investigation.
(b) (1) An application submitted by an applicant business that is a regional subsidiary of or otherwise owned, managed by, or affiliated with a business that has national or international operations must identify and provide fingerprints and disclosure for those principals for whom such fingerprints and disclosure are required pursuant to Subdivision b of § 16-508 of the Code. In addition, such application must be accompanied by:
(i) an organizational chart that clearly identifies relationships between the "parent" company and all affiliates and subsidiaries; and
(ii) a list, in chart or other form, of all persons not employed by the applicant who have managerial responsibilities for the New York operations of the applicant – i.e., employees of a parent company or an affiliate – and a description of the nature of such responsibilities.
(2) Upon review of the materials submitted pursuant to Subparagraphs (i) and (ii) of Paragraph (1) of this subdivision, the Commission shall require fingerprints and disclosure from additional persons whom it identifies as having "direct management supervisory responsibility for the operations or performance of the applicant" within the meaning of Subdivision b of § 16-508 of the Code. Where the Commission requires fingerprints and disclosure with respect to such persons, it shall notify the applicant, identifying such person and specifying the date by which such information must be submitted.
(c) Following receipt of the license application and the disclosure required by the forms provided by the Commission, the Commission may require such additional information related to such application and disclosure, including without limitation documents and deposition testimony, as the Commission determines is necessary to make a licensing determination.
(Amended City Record 3/6/2018, eff. 4/5/2018)
An application for a license must be signed by all persons participating directly or indirectly in the control of the applicant business and by: the proprietor of an applicant if the applicant is a sole proprietorship; every officer and director and stockholder holding ten (10) percent or more of the outstanding shares of a corporation, if the applicant is a corporation; all the partners, if the applicant is a partnership; the chief operating officer or chief executive officer, irrespective of organizational title and all persons or entities having an ownership interest of ten (10) percent or more, if the applicant is any other type of business entity. The application must be sworn and certified under penalty of criminal prosecution. The application for a license must include, but not be limited to, the following information:
(a) (i) the name, address, email address designated for communications with the business that will be checked regularly, website (if any), and telephone number(s) of the business submitting such application;
(ii) the names, addresses, email address(es), telephone number(s), and, if natural persons, the social security numbers of the principals of the applicant business and a description of the positions occupied or ownership interest held by each such principal;
(iii) the names, job titles, social security numbers, email addresses, and addresses of all other employees or agents, or prospective employees or agents of the applicant, who will perform work directly or indirectly related to trade waste removal; driver's license numbers, with the class and expiration date, or other required operators' licenses, of all employees or agents who will operate vehicles in the business;
(iv) if the applicant is doing business under an assumed name, a Certificate of Assumed Name, certified by the County Clerk if a sole proprietorship or partnership, or by the Secretary of State if a corporation;
(v) if the applicant is a sole proprietorship, a notarized copy of the business certificate certified by the County Clerk;
(vi) if the applicant is a corporation, a copy of the certificate of incorporation; and
(vii) if the applicant is a partnership, a copy of partnership papers, certified by the County Clerk.
(b) Disclosure forms completed by all of the principals of the business as provided in 17 RCNY § 2-01, and disclosure forms completed by employees and agents or prospective employees or agents in the categories specified in Appendix A to this chapter.
(c) A business telephone number and a business address within the City of New York where notices may be delivered and legal process may be served, and where records required by these rules must be maintained.
(d) A Federal or State tax identification number.
(e) A listing of each vehicle that will be operated pursuant to the license, and the vehicle identification number and registration number of such vehicle and a copy of the insurance card for each such vehicle.
(f) Before a license is issued, an applicant must submit proof that the following insurance policies have been secured:
(1) The required Workers' Compensation and Disability Benefits Coverage, or proof that the applicant is exempt from the Workers' Compensation Law, Section 57, and Subdivision 8 of Section 220 of the Disability Benefits Law. Proof of coverage can be established by submitting the following Workers' Compensation Board forms:
(i) C-105.2 Application for Certificate of Workers' Compensation Insurance;
(ii) DB-120.1 Employer's Application for Certificate of Compliance with Disability Benefits Law;
(iii) S1-12 Affidavit certifying that compensation has been secured.
(2) Proof that no coverage is required can be provided by submitting the following Workers' Compensation Board form:
(i) C-105.21 Statement that applicant does not require Workers' Compensation or Disability Benefits Coverage.
(3) Liability insurance against claims for injuries to persons or damages to property which may arise from or in connection with the licensee's business pursuant to the license. The licensee may purchase such policies in connection with one (1) or more other licensees, provided that the coverages described in this subdivision are maintained.
(4) Commercial General Liability Insurance with liability limits of no less than five million dollars ($5,000,000) combined single limit per occurrence for bodily injury and property damage. The maximum deductible for such insurance shall be no more than fifty thousand dollars ($50,000). Except that a micro-hauler licensee must submit proof of a policy with liability limits of no less than one million dollars ($1,000,000) combined single limit per occurrence for bodily injury and property damage. The maximum deductible shall be no more than ten thousand dollars ($10,000).
(5) Business Automobile Liability Insurance covering every vehicle operated by the licensee in his or her business, whether or not owned by the applicant, and every vehicle hired by the licensee with liability limits of no less than two million dollars ($2,000,000) combined single limit per accident for bodily injury and property damage. Except that a micro-hauler licensee must submit proof of a policy with liability limits of no less than five hundred thousand dollars ($500,000) combined single limit per accident for bodily injury and property damage covering every zero emissions vehicle operated by the micro-hauler licensee in his or her business, whether or not owned by the applicant, and every zero emissions vehicle hired by the micro-hauler licensee.
(6) Employers' Liability Insurance in accordance with the laws of the state of New York, provided that a licensee that is not a micro-hauler licensee must maintain such insurance with limits of no less than one million five hundred thousand dollars ($1,500,000) per accident.
(7) The policy or policies of insurance required by these rules must name the Commission as Certificate Holder and additional insured, where applicable. Failure to maintain continuous insurance coverage meeting the requirements of these rules will result in revocation of the license. Such policy or policies of insurance must be obtained from a company, or companies, duly authorized to do business in the State of New York with an A.M. Best's rating of at least A-/VII, a Standard & Poor's rating of at least A, a Moody's Investors Service rating of at least A3, a Fitch Ratings rating of at least A, or a similar rating by any other nationally recognized statistical rating organization acceptable to the Commission, unless specific approval has been granted by the Mayor's Office of Operations to accept a company with a lower rating. Two (2) certificates of insurance effecting the required coverage and signed by a person authorized by the insurer to bind coverage on its behalf, must be delivered to the Commission prior to the effective date of the license. A licensee must demonstrate that he or she has secured the insurance coverage required pursuant to this section and must maintain such required insurance coverage throughout the term of the license.
(g) If applicant transports or proposes to transport medical waste, asbestos, or other hazardous materials for which a New York State Waste Transporter permit is required, a copy of such permit must be submitted with the application.
(Amended City Record 3/6/2018, eff. 4/5/2018; amended City Record 10/17/2018, eff. 11/16/2018; amended City Record 7/7/2021, eff. 8/6/2021)
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