§ 2-04 Registration Application.
RCNY § 2-04
(a)Class 1 Registration. A person or business required, pursuant to Subdivision b of § 16-505 of the Code, to register with the Commission to remove, collect, or dispose of trade waste that is generated in the course of operation of such person's business must submit a registration form, containing the information required by the Commission, including, but not limited to the following: (1) A list of the names, e-mail addresses, and addresses of all principals of the applicant and a description of the position occupied or ownership interest held by each such principal; (2) 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, and in addition: if the applicant is a sole proprietorship, a notarized copy of the Certificate of Business, certified by the County Clerk; if a corporation, a copy of the certificate of incorporation and a list of the names and addresses of all principals; if a partnership, a copy of partnership papers, certified by the County Clerk; (3) 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, and the name of a person of suitable age and discretion who is designated as agent for the service of legal process; (4) A Federal and State tax identification number; (5) A listing of each vehicle that will be operated, pursuant to the registration, and the vehicle identification number and registration number of such vehicle; (6) A listing of the employees who will drive vehicles operated, pursuant to the registration, and the driver's license numbers, the driver's license classes, and the driver's license expiration dates of such employees; and (7) A listing of the locations from which the registrant will remove trade waste and to which the waste is proposed to be removed; and a description of the kinds of waste removed and the methods used to remove such waste. If the applicant transports asbestos or other hazardous materials for which a New York State Department of Environmental Conservation Waste Transporter permit is required, a copy of such permit must be submitted with the application; (8) Evidence of business automobile liability insurance covering every vehicle operated by the registrant that will transport waste, whether or not owned by the applicant, and every such vehicle hired by the registrant, with liability limits of no less than two million dollars ($2,000,000) combined single limit per accident for bodily injury and property damage.
(b)Class 2 Trade Waste Broker Registration. An application for registration required by Subdivision b of § 16-505 of the Code to register as a trade waste broker 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 certified under penalty of criminal prosecution. The principal of such applicant shall be photographed by the Commission, and such application must contain the following information: (1) The names, addresses, and e-mail addresses of all principals of the applicant and a description of the position occupied or ownership interest held by each such principal; (2) If such 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; if a sole proprietorship, a notarized Certificate of Business, certified by the County Clerk; if a corporation, a copy of the certificate of incorporation and a list of the names and addresses of all the principals; if such applicant is a partnership, a copy of partnership papers, certified by the County Clerk.
(3)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, and the name of a person of suitable age and discretion who is designated as agent for the service of legal process; (4) A Federal or State tax identification number; (5) The names, addresses, e-mail addresses, telephone numbers, social security numbers, and dates of birth of all employees or agents, or prospective employees or agents of the applicant, who will perform work related to the trade waste removal industry; (6) Where any principal of the applicant business is, or has been at any time during the past ten (10) years, a principal of a trade waste removal business required to be licensed, pursuant to Title 16-A of the Code, a listing of such trade waste removal business and the nature of the involvement of such principal in such business; (7) A listing of any contractual or other business relationship, at any time during the past ten (10) years, between the applicant business and a trade waste removal business required to be licensed, pursuant to Title 16-A of the Code; (8) A listing of any criminal convictions of the applicant, except where such disclosure is protected by Subdivision 16 of Section 296 of Article 15 of the New York State Executive Law; (9) A listing of any pending civil or criminal actions with respect to the applicant business in any jurisdiction; and (10) A listing of any suspensions or revocations of licenses or permits held by the applicant for the removal or recycling of trade waste in any jurisdiction or any judgments or orders finding liability of the applicant in a civil or administrative action related to the conduct of a business that removes or recycles trade waste, a trade waste broker business, or the operation of a dump, landfill, or transfer station.
(c)(1) Notwithstanding any provision of this chapter, the Commission may, when there is reasonable cause to believe that an applicant for registration as a trade waste broker or an applicant for registration to remove, collect, or dispose of trade waste that is generated in the course of operation of such person's business or any or all of the principals of such applicant does not possess good character, honesty, and integrity, require that such applicant or any or all of the principals of such applicant be fingerprinted by a person designated for such purpose by the Commission and pay the fee prescribed by the Division of Criminal Justice Services for the purpose of obtaining criminal history records and provide to the Commission the disclosure required by the form provided by the Commission. Following receipt of such disclosure, the Commission may require such additional information relating to such disclosure, including without limitation documents and deposition testimony, as the Commission determines is necessary to render a determination. The Commission may, after notice and the opportunity to be heard, refuse to register such applicant for the reasons set forth in Paragraphs (i) through (x) of Subdivision a of § 16-509 of the Code.
(2)If at any time after the registration of a trade waste broker or the registration of an entity that removes, collects, or disposes of trade waste that is generated in the course of operation of such person's business, the Commission has reasonable cause to believe that any or all of the principals of such business do not possess good character, honesty, and integrity, the Commission may require that such principal(s) be fingerprinted by a person designated for such purpose by the Commission and pay the fee prescribed by the Division of Criminal Justice Services for the purpose of obtaining criminal history records and provide the disclosure required by the form provided by the Commission; provided that the Commission may consider a written statement from an applicant setting forth any special facts with respect to a principal in the applicant's business that the applicant believes should allow exemption of such principal from fingerprinting and disclosure. Notwithstanding the fingerprinting and disclosure requirements of this paragraph, 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 where it finds that it has not received sufficient information or information that is comparable to Commission requirements. Following receipt of disclosure required by the forms provided by the Commission, the Commission may require additional information related to such disclosure, including without limitation documents and deposition testimony, as the Commission determines is necessary to render determination. The Commission may, after notice and the opportunity to be heard, revoke the registration of such business for the reasons set forth in Paragraphs (i) through (x) of Subdivision a of § 16-509 of the Code.
(d)Class 3 Labor Union and Labor Organization Registration Application.
(1)An application for a labor union or labor organization registration pursuant to § 16-505 of the Code, or for a renewal of such registration, shall be made on a form prescribed by the Commission. The application shall be certified under penalty of perjury and signed by all officers of the applicant. The application shall include, but not be limited to, the following information: (i) the names of all officers and agents and the names of all individuals who were officers and agents within the previous five years; (ii) 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; (iii) a listing of any collective bargaining agreement to which the applicant and a trade waste licensee or registrant are signatories; (iv) a Federal or State tax identification number; (v) a listing of any civil or criminal actions pending against such union or labor organization in any jurisdiction, except where such disclosure is protected by Subdivision 16 of Section 296 of Article 15 of the New York State Executive Law; (vi) all criminal convictions, in any jurisdiction, of such labor union or labor organization, except where such disclosure is protected by Subdivision 16 of Section 296 of Article 15 of the New York State Executive Law; (vii) any criminal or civil investigation of such labor union or labor organization by a federal, state or local prosecutorial, investigative or regulatory agency; (viii) all civil or administrative proceedings to which such labor union or labor organization has been a party involving allegations of racketeering, including but not limited to offenses listed in subdivision nineteen hundred sixty-one of the Racketeer Influenced and Corrupt Organization statute (18 U.S.C. §§ 1961 et seq.) or of an offense listed in subdivision one of section 460.10 of the penal law, as such statutes may be amended from time to time; (ix) any judicial or administrative consent decrees entered into by such labor union or labor organization in the five-year period preceding the date of the application; and (x) the appointment of any independent auditor, monitor, receiver, administrator or trustee to oversee any activities of such labor union or labor organization in the five-year period preceding the date of the application. Notwithstanding the foregoing, no labor union or labor organization shall be required to furnish information pursuant to this subdivision which is already included in a report filed by the labor union or labor organization with the Secretary of Labor pursuant to 29 U.S.C. §§ 431 et seq. or 29 U.S.C. §§ 1001 et seq. if a copy of such report, or of the portion thereof containing such information, is furnished to the Commission.
(4)Notwithstanding any provision of this subchapter, where there is reasonable cause for the Commission to believe that an officer of a labor union or labor organization does not possess good character, honesty and integrity, the Commission may require that such officer be fingerprinted by a person designated for such purpose by the Commission, pay the fee prescribed by the Division of Criminal Justice Services and/or the Federal Bureau of Investigation for the purpose of obtaining criminal history records, and provide to the Commission any additional information the Commission may require.
(5)After providing notice and opportunity to be heard, the Commission may disqualify an officer of a labor union or labor organization from holding office based on the grounds set forth in § 16-509(g) of the Code.
(6)Nothing in this subdivision shall be construed to require registration with the Commission of a: (i) labor union or labor organization representing or seeking to represent clerical or other office workers; or (ii) an affiliated national or international labor union of local labor unions required to register pursuant to § 16-505 of the Code. (Amended City Record 3/6/2018, eff. 4/5/2018; amended City Record 10/17/2018, eff. 11/16/2018; amended City Record 7/23/2019, eff. 7/23/2019)
