§ 20-62 Reporting Requirements for Awardees and Micro-Haulers.
RCNY § 20-62
(a)Awardees. Each awardee must generate and submit the following required reports, notifications or certifications to the Department in a timely manner. Such reports, notifications and certifications must be provided in the form, manner and frequency specified by the Department. Nothing in this section precludes the imposition of additional requirements related to reporting, notification or certification pursuant to Title 16-B of the Administrative Code, other provisions of these rules, or the awardee’s agreement.
(1)Waste generation estimates and waste characterization studies, if any, shall be the subject of a report submitted on August 1 following the final implementation date, and annually thereafter; (2) During the applicable transition period, the following must be reported, in accordance with the requirements of the awardee’s agreement: (i) Customer register, on a daily basis; (ii) Notification of completion of transition period deliverables as required by the agreement; and (iii) Additional reporting as required by the Department.
(3)Following the final implementation date, changes in customer registers must be submitted weekly. In addition, a report showing the rates charged to customers in the previous calendar year, broken down by waste stream, including customer identification number, customer name, and customer address must be submitted on August 1 following the final implementation date, and annually thereafter, and each such report must also discuss general trends and reasons for changes in rates, if rates changed during the calendar year; (4) Following the final implementation date, investments in vehicles, facilities or infrastructure, both sustainable and non-sustainable, shall be the subject of a report submitted on August 1 following the final implementation date, and annually thereafter; and such report must discuss progress made to date toward advancing the city’s zero waste and sustainability goals; (5) Commencing upon the implementation start date, warnings or violations issued by local, state, or federal agencies for violating local, state or federal law must be submitted monthly, except that environmental, health, and safety violations, including but not limited to violations issued by the Department of Environmental Protection (DEP), Department of Environmental Conservation (DEC), Environmental Protection Agency (EPA), Occupational Safety and Health Administration (OSHA), New York City Police Department (NYPD), the Department of Transportation (DOT), and the New York State Police, must be submitted immediately, and the resolution status of each shall be the subject of a report submitted on August 1 following the implementation start date, and annually thereafter, which report must include a description of the steps taken to resolve each such warning or violation, as well as the amount of any penalties imposed by the issuing agency and payment status; (6) Commencing upon the implementation start date, workplace injuries, as well as injuries resulting from activities related to commercial waste removal, whether such injured person is an employee, consultant, customer, member of the public, or other, must be reported immediately. Injuries and accidents shall be the subject of a report submitted on August 1 following the implementation start date, and every six months thereafter. The report must list all injuries and accidents during the applicable period, broken down by the type of incident and the type of injuries, as well as any actions taken by the awardee to prevent future injuries and accidents; (7) Prior to the implementation start date, the names and job descriptions of employees who are subject to the training requirements of § 16-1008 of the Administrative Code, and the dates upon which such training was received, along with a certification that the requirements of § 16-1008 have been met, must be submitted within 180 calendar days after the execution of the agreement, and annually thereafter in accordance with 16 RCNY § 20-57. For employees of designated carters approved after the execution of the agreement, such names and job descriptions of employees, dates upon which training was received, and certification must be provided within 180 calendar days after the date on which the Department approves the designated carter as a subcontractor.
(8)Commencing upon the implementation start date, the names of employees hired from the Department’s displaced employees list and the date of each such hire must be provided within five business days after hire.
(9)Following the final implementation date, the dump ticket, delivery receipt, and final disposition information required to be collected by 16 RCNY § 20-34 must be submitted monthly.
(10)Information regarding customer service issues must be submitted monthly by each awardee commencing on the final implementation date. Such information must include, for all customers, any non-collections and the reasons therefor; any additional fees imposed and the reasons therefor; and a list of customers to which the awardee or any of its designated carters provided notifications of significant designated recyclable material content in refuse.
(11)A preparedness report must be provided prior to the implementation start date in accordance with the requirements of each awardee’s agreement. Such report must demonstrate the awardee’s ability to meet the requirements of all laws, rules and contractual obligations.
(12)A certification of accuracy must be provided by each awardee prior to the awardee’s agreement effective date, in accordance with the requirements of each awardee’s agreement.
(13)Notification must be provided of any complaint, investigation or audit by the business integrity commission regarding an awardee’s license or regarding its trade waste collection service operations, proceedings to suspend or terminate such license, material changes to such license or status of such license, and those of its designated carters or subcontractors, if any. Additionally, notification must also be provided to the Department of any complaint, investigation or audit made by any local, state or federal agency. These notifications must be provided to the Department immediately upon such occurrence. Suspension or revocation of a license or registration must be reported immediately.
(14)Notification of any breach or event of default of an awardee’s subcontractor that may impact worker safety or public safety, if any, must be provided immediately, along with a statement of the potential effect on services or the public. The awardee must keep the Department apprised of updates and resolution.
(15)Notification of any non-safety related material breach or event of default of an awardee’s subcontractor, if any, must be provided within two business days, along with a statement of the probable effect on services. The awardee must keep the Department apprised of updates and resolution.
(16)A report related to assignment of additional zones during the term of an awardee’s agreement must be provided, as applicable. Prior to the Department’s offer or assignment of an additional zone to the awardee, where such additional zone has become available after an awardee’s agreement has been executed, a report containing assurances and information regarding customer transition must be submitted promptly upon request of the Department. Upon commencement of service in the new zone, the awardee must provide biweekly updates to the Department on the smooth and orderly transition of the new zone for a period of 90 calendar days unless such update requirements are modified by the Department.
(17)Upon termination or expiration of the agreement, the awardee must provide copies of all books, records, documents and material specifically related to the agreement that the Department requests be turned over, must provide an inventory of all containers and equipment on the property of customers or public property within 10 calendar days, and within 90 calendar days, must provide a final statement and report relating to the agreement in a form prescribed by the Department.
(18)An annual report must be prepared summarizing the status of the awardee’s operations, evaluating the awardee’s compliance with its commercial waste zone plans as provided by the awardee’s agreement, and addressing whether these plans are sufficient or should be modified. The annual report for the prior fiscal year (the period from July 1 through June 30) must be submitted by August 1 of each year.
(19)Notification must be provided to the Department of the name and address of each and every customer within 3 business days of an awardee observing any of the following conditions: (i) Customers not using containers in accordance with 16 RCNY § 1-02.4; or (ii) Customers placing bags of source separated designated recyclable materials in a container with bags containing, but not limited to, non-designated recyclable materials and putrescible solid waste.
(20)Notification must be provided to the Department within 10 calendar days of the suspension or revocation of the driver’s license of any person whose job duties include operating a vehicle on behalf of an awardee or designated carter.
(21)A certification must be provided to the Department on the last day of each calendar quarter on a form prescribed by the Department confirming an awardee’s compliance with federal and state driver licensing requirements, and controlled substance and alcohol use testing and reporting requirements.
(22)Any other reports, notifications or certifications requested by the Department, in accordance with applicable law and upon receipt of appropriate notice.
(b)Micro-hauler reports. On or before February 1, 2025 and each February 1 thereafter, each micro-hauler must submit to the Department and the Business Integrity Commission a report for the previous calendar year in the form and manner specified by the Department. If such micro-hauler’s commercial waste collection is pursuant to an agreement with an awardee, such report must include the amount of source separated organic waste collected from commercial establishments, broken down by quarter; the mode of transport of all source separated organic waste collected from commercial establishments, broken down by quarter year; the disposal location of all source separated organic waste collected from commercial establishments, broken down by quarter year; and a list of commercial establishments from which source separated organic waste was collected, broken down by zone. If such micro-hauler’s commercial waste collection is not pursuant to an agreement with an awardee, such report must include the amount of source separated organic waste collected from commercial establishments, broken down by quarter; the mode of transport of all source separated organic waste collected from commercial establishments, broken down by quarter year; and the disposal location of all source separated organic waste collected from commercial establishments, broken down by quarter year. (Added City Record 6/26/2024, eff. 7/26/2024; amended City Record 10/9/2025, eff. 11/8/2025)
