§ 1-06 Supplemental Disclosure.
RCNY § 1-06
(a)In addition to the items set forth in clauses (a) through (m) of Paragraph (ii) of Subdivision b of § 16-508 of the Code, disclosure by the applicant must include the following: (1) information concerning any involvement of applicant in unlawful activities, including without limitation the making, creation, or filing of false statements or records, violations of the Taft-Hartley Act, 29 U.S.C. § 186 or other provisions concerning payments to a labor union official or representative, agreements not to compete with a business, bribery, or participation in other anti-competitive or corrupt business practices, and contacts with members and associates of organized crime; (2) a listing of any criminal or civil investigation by a Federal, State, or Local prosecutorial agency, or investigative agency, in the five (5) year period preceding the filing of an application for a license or registration, pursuant to this chapter, wherein applicant has been granted immunity, or entered into a consent decree, order, or similar agreement, except where such disclosure is protected by Subdivision 16 of Section 296 of Article 15 of the New York State Executive Law; (3) a listing of accounts held by the applicant business, during the five (5) year period preceding the filing of an application for a license or registration, pursuant to this chapter, with banks, credit unions, brokerage firms, and similar entities, and of the amounts held therein in the form of an identification of range of dollar value; (4) a listing of any bankruptcy proceedings in which applicant or any predecessor trade waste business of applicant, as such term is defined in § 16-508 of the Code, was a debtor or any proceedings involving forfeiture, receivership, or independent monitoring, in which applicant or any predecessor trade waste business of applicant was a party or participated in during the ten (10) year period preceding the filing of an application for a license or registration, pursuant to this chapter; (5) information concerning the acquisition, sale, assignment, or loss of routes or customers by the applicant during the ten (10) year period preceding the filing of the application; and (6) information concerning the involvement and participation of the applicant in the activities of trade associations, including but not limited to payment of dues, attendance at meetings, participation in committee work or other decision-making processes, and use of or reliance upon the trade association to facilitate business transactions or resolve business disputes.
(b)In addition to the items set forth in clauses a through m of Paragraph (ii) of Subdivision b of § 16-508 of the Code and in Subdivision a of this section, the applicant business must include in the form submitted by it to the Commission the following information with respect to each of its former principals: (1) The items set forth in clauses g, h, i, j, and l of Paragraph (ii) of Subdivision b of § 16-508 of the Code, pertaining to the period during which the former principal was a principal of the applicant business; and (2) The items set forth in Paragraphs (1), (2), (5), and (6) of Subdivision (a) of this section pertaining to the period during which the former principal was a principal of the applicant business.
(c)With respect to disclosure under Subdivision (b) of this section, the applicant business must supply a certification, sworn and certified under penalty of criminal prosecution, that such information is complete and accurate to the best of its knowledge and belief and has been prepared based upon a diligent search of all business and other records in its possession or control.
(d)Paragraphs a, b, and c of this section do not apply to an applicant for a micro-hauler license. (Amended City Record 3/6/2018, eff. 4/5/2018; amended City Record 7/7/2021, eff. 8/6/2021)
