§ 4-02 Responsibilities of Monitors.
RCNY § 4-02
Where the Commission requires, pursuant to Subdivision b of § 16-511 of the Code, that an applicant for a license or a licensee enter into a contract with an independent monitor, the applicant or licensee must cooperate with the monitor in the exercise of his or her responsibilities set forth in such contract and this section. Where an applicant or licensee is subject to a receivership, the applicant or licensee must furnish the monitor with the relevant orders of the court regarding such receivership.
(a)A monitor shall: (1) Investigate the activities of the applicant or licensee with respect to: (i) compliance with the provisions of any court order to which the applicant or licensee is subject; (ii) the provisions of Local Law Number 42 for the Year 1996 and the provisions of this chapter; (iii) compliance with all Federal, State, and local laws applicable to trade waste removal and any rules or regulations promulgated thereunder; (iv) any transfer of ownership interest in the business of the applicant or licensee; (v) any litigation entered into by the applicant or licensee against a customer or another applicant or licensee or its customer or a trade waste broker; (vi) any sales, assignments, or purchases of contracts; (vii) any activity of the applicant or licensee that may violate laws or regulations prohibiting anti-competitive activities or unfair trade practices; and (viii) any membership in a trade association; (2) audit the books and records of the licensee; (3) have authority to verify employees and capital equipment of the applicant or licensee; (4) accompany trucks operated by the applicant or licensee in order to verify amounts of trade waste collected and the disposal of such waste; (5) verify the costs and revenues relating to business arrangements of the applicant or licensee with truckers, transfer stations, landfills, recycleries, trade waste brokers, and manufacturers, including paper processors and printing establishments; and (6) have such additional duties and responsibilities as the Commission determines are necessary in the case of the applicant or licensee in order to ensure that such applicant or licensee performs in a manner consistent with the purposes of Local Law Number 42 for the Year 1996.
(b)A monitor shall have authority to approve or disapprove: (i) the involvement in the conduct of the business of a principal who is a defendant in the criminal action for which the applicant or licensee has been indicted in any particular aspect of the business of the licensee, where the monitor has reasonable cause to believe that such involvement would be inconsistent with the purposes of Local Law Number 42 for the Year 1996; (ii) the assignment of contracts by the applicant or licensee; (iii) the transfer of ownership interest or assets of the applicant or licensee business of ten thousand dollars ($10,000) and more; (iv) cash expenditures and contracts, with the exception of collective bargaining agreements, for services of ten thousand dollars ($10,000) and more; (v) membership in a trade association; (vi) litigation against a customer, another applicant or licensee or a customer of such business or a trade waste broker; and (vii) the hiring or firing of personnel when the monitor has reasonable cause to believe that such actions are inconsistent with the purposes of Local Law Number 42 for the Year 1996. The monitor may, in addition, prohibit persons from the premises of the applicant or licensee or from involvement in the business of the applicant or licensee, when the monitor determines that such prohibition is necessary to effectuate the purposes of Local Law Number 42 for the Year 1996.
(c)A monitor must report the findings of investigations conducted, pursuant to this section to the Commission on a monthly basis, except that a monitor must report immediately to the Commission any decisions by the applicant or licensee to assign contracts for the removal, collection, or disposal of trade waste, decisions to transfer ownership interest or assets in excess of ten thousand dollars ($10,000) to another person or entity, or the initiation of litigation against a customer, another trade waste removal business or its customer, or a trade waste broker. The licensee must fully cooperate with the monitor, and the monitor must immediately report to the Commission any failure of the licensee to cooperate. (Amended City Record 3/6/2018, eff. 4/5/2018)
