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(a) This section applies to requests for documents, subpoenas, interrogatories, or notices of depositions issued to licensees or applicants pursuant to Section 2203 of the Charter, Title 20 of the New York City Administrative Code, or any other provisions of law or rule within the jurisdiction of the Department.
(b) A licensee must reply to a subpoena, a request for documents or interrogatories within twenty days of the date the request was mailed or otherwise served upon the licensee.
(1) If the licensee fails to respond to a subpoena, a request for documents or interrogatories, the licensee is liable for a separate violation for each day the licensee fails to respond to the requests.
(2) If the licensee provides an incomplete response to a subpoena, a request for documents or interrogatories, the Department may send a deficiency letter to the licensee. If the licensee does not provide a complete response within 14 days of the deficiency letter being sent, the licensee is liable for a separate violation for each day the licensee fails to provide a complete response. If the licensee provides an incomplete response to a subpoena, a request for documents or interrogatories, or to a subsequent deficiency letter, there will be a presumption that the licensee has neglected to respond to each such subpoena, request for documents, interrogatory, or deficiency letter unless the licensee states that the licensee has no responsive documents to that particular request or no information responsive to that particular interrogatory.
(3) Licensees must include a notarized certification that each subpoena, request for documents or interrogatory was answered fully and truthfully, accompanying their response. Responses to a subpoena, request for documents or interrogatories will not be deemed complete until they are accompanied by such certification.
(c) A licensee must appear at a time and place designated by the Department for a deposition. Failure to appear for a noticed deposition will be grounds for revocation of the licensee's license upon notice and opportunity to be heard. If the licensee is an individual, he or she must appear; if a partnership, one of its general partners with relevant knowledge of the partnership must appear; and if a corporation or limited liability company, one of its members or officers with relevant knowledge of the corporation must appear.
(d) The Department may serve subpoenas, interrogatories, requests for documents, and notices of deposition upon an applicant regarding materials related to a license or renewal application. Failure by the applicant to fully respond to a subpoena, interrogatories or a request for documents, or to appear for a deposition, within twenty days of the mailing date of the request or of the date indicated on the notice of deposition will be grounds for denial of the license application.
(e) Subpoenas, interrogatories, requests for documents and notices of deposition pursuant to this section may be served by ordinary mail addressed to the licensee's or applicant's place of business. They may also be served by ordinary mail addressed to the residence of an individual licensee; the residence of a general partner of a partnership licensee; the residence of an officer or principal stockholder of a corporate licensee, or the residence of a member of a limited liability company licensee. They may also be served by email if an email address has been provided by the licensee or applicant.
(f) Upon good cause shown, the Department may extend the time to respond as required under this section.
(Amended City Record 2/24/2020, eff. 3/25/2020)
A licensee must appear at the Office of Administrative Trials and Hearings to answer a notice of hearing served upon that licensee. If the licensee is an individual, he or she must appear; if a partnership, one of its general partners must appear; if a corporation, one of its officers must appear; and if a limited liability company, one of its members must appear. A notice of hearing pursuant to this section may be served by ordinary mail addressed to the licensee's place of business. It may also be served by ordinary mail addressed to the residence of an individual licensee; the residence of a general partner of a partnership licensee; the residence of an officer or principal stockholder of a corporate licensee, or the residence of a member of a limited liability company licensee. It may also be served by email if an email address has been provided by the licensee or applicant. Notices of hearing includes summonses, petitions, and other notices of violation filed by the Department.
(Added City Record 2/24/2020, eff. 3/25/2020)
A licensee or license applicant must satisfy any outstanding judgment against him or her that has been obtained by a consumer and that relates to activities for which a license is required:
(a) within thirty (30) days from the date of entry of the judgment; or
(b) if the judgment has been stayed or appealed, within thirty (30) days from the date the stay is lifted or the appeal decided; or
(c) according to a payment schedule the parties agree upon.
(a) Every licensee shall maintain the records which it is required to maintain under Chapters 1 and 2 of Title 20 of the New York City Administrative Code and the regulations promulgated thereunder, and, except as otherwise set forth in said chapters or regulations, shall retain such records for three years. Licensees shall make such records available for inspection at the offices of the Department of Consumer Affairs, or at licensee's place of business, during business hours.
(b) The Commissioner or authorized representatives of the Commissioner may enter the business premises of a licensee during business hours for the purposes of:
(1) Inspecting or examining licensee's place of business in order to verify compliance with the provisions of Chapters 1 and 2 of Title 20 of the New York City Administrative Code and the regulations promulgated thereunder; and
(2) Inspecting or examining any records or documents licensee is required to maintain pursuant to said chapters and regulations; and
(3) Inspecting or examining non-public areas of licensee's place of business for the purposes stated in paragraph (b)(1) above.
(c) Inspections of the type described above will be conducted at least once in every two-year period, and additional inspections will be conducted if an inspection reveals alleged violations of Chapters 1 and 2 of Title 20 of the New York City Administrative Code or the regulations promulgated thereunder. Additional inspections shall also be conducted whenever the Department receives information alleging violation of said chapters or regulations.
No licensee or employee or agent of such licensee shall purchase, procure, or have made, or shall wear, display, carry, possess or exhibit any badge, insignia, shield, medal, decoration or facsimile thereof that in any way denotes, suggests, implies or could lead anyone to believe it confers or represents its wearer has an official or governmental status, except when required to do so by law or rule, nor shall a licensee in any way permit, authorize, encourage, acquiesce or consent to, any employee or agent doing so.
Whenever any licensee has not renewed a license upon its expiration, such former licensee must, not later than 10 business days after the expiration of such license, destroy all license and identification documents that have been issued to such licensee and to any of its employees or agents.
(Amended City Record 2/24/2020, eff. 3/25/2020)
(a) Unless otherwise specified in the notice, if the Department, on notice, charges a business or individual with engaging in activity without a license required under Chapter 2 of Title 20 of the New York City Administrative Code or under provisions of state law enforced by the Department, there shall be a rebuttable presumption that the unlicensed activity continued every day, without interruption, from the date specified by the Department in the notice as the first date of unlicensed activity through the hearing date.
(b) The first date of unlicensed activity specified by the Department in the notice may be the date of an inspection at which unlicensed activity is identified, the date on which a previously-held license expired, was suspended or revoked, or became void by operation of law, or any other date on which unlicensed activity first occurred, such as the date the business or individual entered into a contract to conduct business for which a license was required or the first date a business or individual advertised or offered services for which a license was required.
(c) Regardless of the date specified by the Department in the notice, if the Department presents at the hearing a copy of a decision or order from a prior proceeding finding that the business or individual engaged in the same unlicensed activity, or a copy of a settlement from a prior proceeding resolving a charge of the same unlicensed activity, there shall be a rebuttable presumption that the unlicensed activity continued every day, without interruption, from the date of the decision, order or settlement through the date of the hearing, unless the decision, order or settlement specifically provides otherwise.
(d) Regardless of the date specified by the Department in the notice, if the Department presents at the hearing a copy of a decision or order from a prior proceeding revoking or suspending the license to engage in the same activity forming the basis of the charge of unlicensed activity, or a copy of a settlement from a prior proceeding that includes such license revocation or suspension, there shall be a rebuttable presumption that the unlicensed activity continued every day, without interruption, from the date following the decision, order or settlement through the date of the hearing.
(e) A party may present credible evidence at the hearing to rebut the presumption of continued unlicensed activity, such as written proof that the party obtained a license; receipts or other documentation indicating that merchandise was returned to distributors; written termination of leases or agreements; or photographs demonstrating the discontinuance of the unlicensed activity.
(Added City Record 9/18/2015, eff. 10/18/2015; amended City Record 2/24/2020, eff. 3/25/2020)
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