Conduct of Licensee

RCNY tit. 17, ch. 1, subch. E

in effect

17 RCNY § 5-01 Sign or Decal Required; Display of License.

§ 5-01 Sign or Decal Required; Display of License. (a) Every licensee must provide its customers with a sign or decal which the licensee must obtain from the Commission. A licensee must not provide such a sign or decal to a business unless such licensee has entered into an agreement with such business to provide waste removal services. Such sign or decal must conspicuously and legibly display the licensee’s name, address, telephone number, license number and the day and approximate time of waste collection. Any licensee that provides organic waste removal services to a designated covered establishment must also provide the designated covered establishment with a sign or decal that states (i) the name, address, telephone number, number of license and the day and approximate time of organic waste collection from the designated covered establishment; or (ii) the name, address, telephone number, number of license and the day and approximate time of organic waste collection and a statement that the licensee transports its organic waste to an entity that provides for beneficial organic waste reuse; or (iii) the name, address, telephone number, number of license and the day and approximate time of organic waste collection and a statement that the licensee provides for on-site processing of organic waste generated at its premises. (b) Such sign(s) or decal(s) must be conspicuously posted as prescribed in § 16-116(b) of the Code by the owner, lessee or person in control of the commercial establishment which receives the licensee's services. The licensee must provide each sign or decal to the customer and must inform the customer of its obligation to post the sign or decal in accordance with the requirements of § 16-116(b) of the Code. (c) A licensee must not charge a fee to any business for a sign or decal issued by the Commission. (d) A licensee must conspicuously display its license in its place of business. (Amended City Record 7/7/2016, eff. 8/6/2016; amended City Record 3/6/2018, eff. 4/5/2018; amended City Record 7/10/2018, eff. 8/9/2018; amended City Record 8/1/2024, eff. 8/31/2024)

17 RCNY § 5-02 Rates.

§ 5-02 Rates. (a) A trade waste removal business must not demand, charge, exact, or accept rates for the collection, removal, disposal, or recycling of trade waste greater than the following maximum rates: (1) $26.87 per cubic yard. (2) $17.64 per 100 pounds. (3) Exempt Waste. This subdivision does not apply to the removal of construction and demolition debris, infectious medical waste, covered electronic equipment as defined in § 16-421 of the Code, waste from grease interceptors as defined in 15 RCNY § 19-11(a) and paper that is collected for the purpose of shredding or destruction by the licensee. (b) The rates set forth in subdivision a of this section are maximum rates. Nothing in such subdivision shall be construed to prevent customers and trade waste removal businesses from negotiating rates lower than the rates set forth therein, and trade waste removal businesses and customers are encouraged to do so. (c) (1) Surveys. In the event that a written contract or other agreement between a licensee and a customer contemplates a "flat" billing method, whether based on weight or on volume, a customer shall have the right to have such fee determined by a survey provided at no charge by the licensee. The time period over which the survey is to be conducted shall be determined by mutual agreement between the customer and the licensee. The survey must reflect the average amount of waste collected, either in volume or by weight, over the survey period. The cost charged to the customer for waste removal service shall be established by multiplying the negotiated dollar rate per cubic yard or per 100 pounds of waste by the total number of cubic yards or 100-pound increments, generated in the billing the period. For purpose of a "flat" billing method, a licensee may round up the total volume or weight for the billing period to the next highest cubic yard or 100 pounds. Prior to conducting the survey, the licensee shall inform the customer in writing that the survey is to be conducted and of the customer's right to participate in the survey by independently monitoring the waste collected during the survey period and by attempting to reach an agreement with the licensee on the survey information. A copy of the waste survey, in a form prescribed by the commission, must be signed by the owner of the business to be served or the owner's authorized representative and the licensee. The licensee must provide a copy of the waste survey to the customer and a copy must be retained by the licensee as part of the records required pursuant to 17 RCNY § 5-03. In the event the customer utilizes the services of a trade waste broker, the trade waste broker's survey can be used in lieu of a survey conducted by the licensee, provided the trade waste broker is registered with the commission. For customers who are charged on the basis of estimated weight, nothing in this section shall preclude such a customer's right to have its refuse accurately weighed during the survey period. (2) The licensee or customer may require a new survey of the customer's waste stream to be provided by the licensee in the manner described in paragraph (1) of this subdivision at no charge to the customer or to be conducted by a registered trade waste broker, provided that no more than two (2) surveys may be required within any twelve (12) month period. (3) A licensee shall not submit a false or misleading survey to a customer or prospective customer. (d) Scales. Licensees who charge on the basis of the weight of a customer's waste shall use weighing devices, whether owned, rented or borrowed by the licensee, that are accurate to within five (5) percent. Licensees who use the services of a person or entity to weigh a customer's waste have the responsibility of insuring that the weighing devices used by such person or entity are accurate to within five (5) percent. The weight of a customer's waste shall be determined net of the weight of the can, container, dumpster or other rigid container in which it is placed by the customer. (e) Charges by a licensee to a customer shall be based solely on volume or weight, and a licensee shall not charge an additional fee for services, materials or the use of a waste container or receptacle (except for compactors and roll-off boxes) provided by such licensee. (f) No later than October 31 of every odd-numbered year, the Commission will hold a public hearing on the maximum rates charged by a licensee for the collection, removal, disposal, or recycling of trade waste. At least 30 days prior to the public hearing, the Commission will publish the date, time and location of the public hearing in the City Record and on the Commission website. At the hearing, proponents of a change in the maximum rates may submit oral or written testimony. The proponent of the rate change shall bear the burden of demonstrating, on an industry-wide basis, that existing rates are inconsistent with the standards for maximum rates set forth in § 16-519 of the Administrative Code. (g) In determining whether the maximum rates charged by licensees for the collection, removal, disposal, or recycling of trade waste will be adjusted, the Commission shall not be limited to evidence provided by proponents of a rate change pursuant subdivision (f) of this section and may consider any relevant factor affecting the trade waste industry or its customers, including but not limited to: (1) The Producer Price Index (PPI), as published by the United States Department of Labor Bureau of Labor Statistics; (2) Available data on the trade waste industry, including but not limited to: (a) Gross operating revenues (overall revenues); (b) Regulated service operating revenues (revenue generated from waste removal services associated with rate-regulated portion of business); (c) Net operating revenues; (d) Operating expenses; (e) Net regulated operating revenues; (f) Net regulated operating expenses; (g) Total regulated waste tonnage disposed; (3) Any other factor that may be relevant to assessing a fair and reasonable return to licensees and the protection of those using the services of such licensees from excessive or unreasonable charges. (h) Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this section in that particular zone. Licensees who operate in any zones prior to the final implementation date for such zone will continue to be subject to the requirements of this section. (Amended City Record 7/7/2016, eff. 8/6/2016; amended City Record 7/10/2018, eff. 8/9/2018; amended City Record 5/25/2022, eff. 6/24/2022; amended City Record 9/30/2022, eff. 10/30/2022; amended City Record 8/1/2024, eff. 8/31/2024)

17 RCNY § 5-03 Record Keeping; Customer, Financial and Other Reporting Requirements.

§ 5-03 Record Keeping; Customer, Financial and Other Reporting Requirements. (a) Except as provided in subdivision a-1, a licensee must maintain records concerning its business including but not limited to: (i) bills and purchase invoices (with notations identifying whether the bill or invoice was paid and, if so, the check number and date), (ii) deposit slips, (iii) copies of checks received from payors, (iv) bank statements, (v) cancelled checks, (vi) tax returns (copies of Federal, State, and Local returns with all supporting schedules), (vii) copies of accountants' workpapers, (viii) insurance policies, (ix) drivers' route trip sheets, (x) collective bargaining agreements, (xi) petty cash disbursement records, (xii) IRS W-2 forms, (xiii) IRS W-4 forms, (xiv) IRS 1099 forms, (xv) I-9 forms, (xvi) internal memoranda concerning the licensee's finances or one (1) or more customers or prospective customers of the licensee, (xvii) customer contracts and invoices, (xviii) documents concerning route sales and contract assignments, (xix) waste surveys, (xx) rate schedules, (xxi) discount rate lists, (xxii) documents concerning mergers, acquisitions, subcontracts, and asset sales, (xxiii) copies of cash receipts, (xxiv) documents reflecting electronic fund transfers, (xxv) written correspondence, (xxvi) lists of collection routes and schedules, (xxvii) submissions to and notices from the Commission, (xxviii) a schedule of contributions, gifts, and grants received by the licensee, (xxix) dump tickets, scale tickets, invoices, and receipts from transfer stations, material recovery facilities, and compost facilities, and (xxx) all documents supporting, evidencing, or used to create the reports, books, journals, registers, and ledgers that the licensee is required to maintain, pursuant to this section. (a-1) A micro-hauler licensee must maintain only the records set forth in paragraphs (i) - (vi), (viii), (xvii), (xix), and (xxviii) - (xxx) of subdivision a. (b) A licensee must provide each payor with a written receipt for all cash payments setting forth the name and address of the licensee, the license number of the licensee, the date of the payment, the amount of the payment, and the identity of the payor. Each such receipt must be signed by the licensee or the licensee's authorized agent. A duplicate copy of the receipt must be kept by the licensee as part of its books and records. For the purposes of this section, the term "payor" means any person who remunerates the licensee for any purpose. (c) A licensee must not make any payment in excess of one thousand dollars ($1,000) in cash or by check made payable to "Petty Cash." A licensee must not make any check payable to "Cash." (d) A licensee must maintain a complete and accurate set of books of account reflecting the operation of the licensee's business. Such books may be maintained on a computerized accounting system and must be kept on either a cash or an accrual basis of accounting in accordance with Generally Accepted Accounting Principles. The books must be kept on a quarterly or monthly basis and must be brought up to date no later than thirty (30) days after the end of each preceding quarter or month. The books must include the following journals and ledgers: (1) Cash Receipts Journal showing for each payment received: (A) the date payment was received; (B) the identity of the payor; (C) the amount of the payment; (D) the check number; and (E) a brief explanation of the purpose of the payment. Payments for routes or contracts sold must be described in detail. (2) Cash Disbursements Journal showing for each payment made: (A) the date payment was made; (B) the identity of the payee; (C) the amount of the payment; (D) the check number; and (E) a brief explanation of the purpose of the payment. Payments for routes or contracts purchased must be described in detail. (3) Disposal Expense Subsidiary Journal showing: (A) details of all expenses incurred; (B) credits (including cash) obtained in connection with disposing or recycling collected waste including: (C) the name of the disposal facility or vehicle or recycling facility, (D) the type of disposal or recycling facilities used (e.g., landfill, transfer station, or recycling center), (E) the complete address of each disposal facility or vehicle or recycling facility, (F) the date on which the disposal or recycling occurred, (G) the date on which payment was made, (H) the check number, (I) the invoice number, (J) the type of collected waste, (K) the amount of collected waste that was delivered to such disposal or recycling facility or facilities (in compacted cubic yards and tons), (L) the rate charged per cubic yard or ton, (M) the total amount billed by the vehicle or facility, and (N) the amount paid. The monthly or quarterly closing must include a total of the amount of collected waste that was delivered to each disposal or recycling facility or vehicle (in compacted cubic yards and tons), a total of the amount billed by each disposal or recycling vehicle and facility, and the amount paid and must also include a total for each of these categories for all of the vehicles and facilities; (4) Payroll Journal showing: (A) the name of the employee; (B) job title and position of the employee; (C) the home address of the employee; (D) the social security number of the employee; (E) gross pay; (F) deductions; (G) net pay. (5) General Journal showing all non-cash transactions including adjusting entries, reversing entries, correcting entries, and reclassifying entries with explanations. (6) General Ledger maintaining an account for each kind of asset, liability, capital, income, and expense accounts. Each posting to an account must include date, folio page, and amount. Balances of each account must be updated on a monthly basis. (7) Customer Subsidiary Ledger must include a separate account for each customer, arranged alphabetically, showing: (A) the name of the customer; (B) the address(es) where the waste is collected; (C) the customer's billing address; (D) telephone number; (E) the current negotiated rate per cubic yard or per one hundred (100) pounds charged; (F) the actual weekly or monthly charges; and (G) the date, check number, and amount of payments. (8) Fixed Assets Subsidiary Ledger must include an account or record for each kind of fixed asset, including trucks, containers, and other waste removal equipment, showing: (A) the date the asset was acquired; (B) the amount paid for the asset; (C) a description of the asset including the serial number, VIN number if applicable, make, year of manufacture, capacity, and type; (D) estimated life of each asset; (E) estimated salvage value of each asset; and (F) method of depreciation, additions and disposals, invoice number, and check number. (9) Accounts Payable Subsidiary Ledger must show the following for each account: (A) the date of purchase; (B) the name of the vendor or supplier; (C) the amount payable; and (D) a brief explanation. (10) Other Subsidiary Ledgers must be kept for accounts that are not maintained elsewhere, including subsidiary ledgers for Loans and Notes Payable and Loans and Notes Receivable (which must include details of each loan and note including the date of the payment, the identity of the debtor or creditor, the form of the payment, and the check number, if applicable). (e) A licensee must maintain annual financial statements in a form or computer format prescribed by the Commission. The Commission may require that such financial statements be audited by an independent certified public accountant who is not employed by or related to the licensee or any principal of the licensee and has no financial interest in the licensee or any principal of the licensee. The financial statements must include a balance sheet, an income statement, a statement of cash flows, and a statement of retained earnings or (if the licensee is a sole proprietorship or partnership) capital. The auditor shall render an opinion as to whether the financial statements accurately reflect the financial position of the licensee as of the balance sheet date and the results of its operations and cash flows for the year ended, except that the auditor need not opine on Paragraphs (3) and (4) of this Subdivision. The auditor shall also issue a supplemental opinion on the licensee's compliance with the financial record-keeping and reporting requirements of the Commission. Such supplemental opinion shall detail each and every variance or deviation from the Commission's requirements noted during the auditor's examination of the licensee's financial books and records. The licensee must certify, and the principal responsible for the licensee's financial affairs must swear under oath upon penalty of perjury, that the financial statement accurately reflects the licensee's accounts and financial operations. At the completion of the audit, the licensee must obtain from the auditor copies of the accountant's work papers and must retain such papers with the licensee's records. Except that a micro-hauler licensee may satisfy the requirements of this subdivision by maintaining tax returns prepared by a certified public accountant. The Commission is not precluded from requiring a micro-hauler licensee to prepare a financial statement required by this subdivision upon the Commission's request. (1) The balance sheet must include the balance for each group or type of asset, liability, and capital amount at the end of the accounting period. (2) The income statement must include the balance of each group or type of income and expense for the accounting period. Income and expenses related to waste removal, collection, disposal, and recycling must be shown in such a manner as to be traceable from the income statement to the General Ledger, Customer Ledger, Cash Receipts Journal, Cash Disbursements Journal, Disposal Expense Subsidiary Journal, invoices, cancelled checks, cash receipts, bank statements, and deposit slips. (3) The following schedules must be included in the financial statement in support of the balance sheet and income statement: (A) a truck and container analysis; (B) a schedule of investments; (C) allowances for doubtful accounts; (D) prepaid expenses; (E) miscellaneous current and other assets; (F) fixed assets, depreciation, and accumulated depreciation; (G) route purchases; (H) notes payable and receivable; (I) taxes prepaid and accrued; (J) miscellaneous current and accrued liabilities; (K) capital stock; (L) additional paid-in capital; (M) retained earnings; (N) intangible assets and accumulated amortization; and (O) waste collection analysis. (4) Operating, administrative, and general expenses must be summarized and must include schedules as follows: (A) a payroll analysis with details of drivers' and helpers' wages, mechanics' wages, workers' compensation insurance, disability insurance, payroll taxes, and pension and welfare fund payments; (B) a truck and container analysis with details of garage, rent, gas, oil, tolls, truck insurance, repairs, maintenance, truck rental, license plates, license fees, truck mileage taxes, depreciation, and other related expenses; (C) a disposal analysis with details of all expenses incurred, and credits (including cash) obtained in connection with disposing or recycling collected waste including the name of the disposal facility or vehicle or recycling facility, the type of disposal or recycling facilities used (e.g., landfill, transfer station, or recycling center), the complete address of each disposal facility or vehicle or recycling facility, the amount of collected waste that was delivered to such disposal or recycling facility or facilities (in compacted cubic yards and tons), the rate charged per cubic yard or ton, the total amount billed by the vehicle or facility, and the amount paid; (D) a compensation schedule for officers, directors, and owners; (E) a revenue analysis; (F) an analysis of interest paid and received; and (G) an amortization expense analysis. (f) On or before June 30 of each year but not later than six (6) months following the end of the licensee's fiscal year, all licensees must file a report on a form or computer format prescribed by the Commission, provided, however, that a micro-hauler licensee may satisfy this requirement by submitting such licensee's tax returns prepared by a certified public accountant. If the Commission requires a revision of the report after review by an auditor on the Commission's staff, an amended report must be submitted to the Commission no later than the date specified by the Commission. The Commission may require that the annual report include the financial statement described in Subdivision (e) of this section and other information and documents concerning the licensee's operations, including but not limited to: financial information reported on a calendar year basis, the management letter issued by the licensee's auditor to the licensee, and information concerning: affiliations with other licensees; organization and control of the licensee, corporate control over the licensee; corporations controlled by the licensee; officers and directors of the licensee; allocation of recyclables and non-recyclables; security holders of and voting powers within the licensee; subcontracting, management, engineering, and contracts of the licensee. (g) A licensee must maintain a complete and accurate Customer Register on a form or in a computer format approved by the Commission. (1) The Customer Register must contain a list of all customers currently served by the licensee and include the customer's name and the name of an authorized representative of the customer, any trade name, the address or addresses of service, the billing address, the telephone number, the date on which services commenced, the total charge per month, and such other information as may be specified by Commission directives. (2) The Customer Register must state the name of each putrescible solid waste transfer station, nonputrescible solid waste transfer station, or other facility used during the period for which the report is submitted. Such report must also state the total volume or weight and type of designated recyclable materials collected and transported and/or the total combined volume or weight and type of designated recyclable materials and non-designated materials collected and transported to putrescible solid waste transfer stations, non-putrescible solid waste transfer stations, or other facilities during the period for which the report is submitted. (3) A complete and up-to-date Customer Register must be filed on January 31 for the period October 1 to December 31; on April 30 for the period January 1 to March 31; on July 31 for the period April 1 to June 30; and on October 31 for the period July 1 to September 30, or as often as ordered by the Commission. In the event that the Commission grants a new license, the newly licensed company must file its first Customer Register with the Commission no later than ninety (90) days after the granting of its license, unless otherwise directed by the Commission. This subdivision applies to companies operating with temporary permission of the Commission, pending decision on their license application. (4) Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this subdivision in such zone. Licensees who operate in any zones prior to the final implementation date for such zone will continue to be subject to the requirements of this subdivision. (h) A licensee must maintain a register of all complaints that such licensee receives from customers or prospective customers. (i) A licensee must maintain written policies and procedures regarding compliance with all of the laws, rules and regulations of Federal, State and Local government authorities having jurisdiction over any of the licensees' activities concerning vehicle specifications, sanitary requirements, handling, transport, receipt, transfer or disposal of trade waste, regulated medical waste or waste containing asbestos or other hazardous, toxic or dangerous material. (j) A licensee must maintain all Report of Motor Vehicle Accident (MV-104) forms and any other forms that the licensee is required to file with the New York State Department of Motor Vehicles related to a crash. Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this subdivision in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this subdivision. (k) A licensee must maintain all determinations by any Federal, State, or Local governmental agency or authority against such licensee, including but not limited to any judgment, decree, order, finding by or settlement agreement with such governmental agency or authority. (l) A licensee must maintain accurate time records for each vehicle operator and worker who handles trade waste. Such time records must identify the worker by name and job title, and for each day reflect the time the worker reported to work; the route, truck number or other information used to identify the worker's daily work assignment; any off-duty breaks; the time the worker was released from duty; and the total number of hours worked per week. (m) A licensee must maintain copies of all inspection and certification of repair forms required by 17 RCNY § 5-10(e) for at least five (5) years, and copies of such forms (paper or electronic) must be available in the corresponding vehicles at all times for six (6) months. Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this subdivision in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this subdivision. (n) A licensee must maintain copies of all daily inspection reports required by 17 RCNY § 5-10(f) for at least five (5) years, and copies of such reports (paper or electronic) must be available in the corresponding vehicles at all times for fourteen (14) days. Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this subdivision in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this subdivision. (o) A licensee must maintain records demonstrating compliance with 17 RCNY § 5-14 that include, at a minimum, the date training was provided, the names of each employee that received the training, and each employee's job duties. Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this subdivision in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this subdivision. (p) All records, receipts, documents, journals, ledgers, registers, and books that must be maintained, pursuant to this section must be maintained for five (5) years unless the Commission directs otherwise. This period for record keeping shall only be reduced if the Commission so directs in a specific case in writing. The Commission may in specific instances, in its discretion, require more or less detailed and/or frequent record-keeping and reporting requirements and may require the retention of identified records for more than five (5) years. (q) All records, receipts, documents, journals, ledgers, registers, and books that must be maintained, pursuant to this section be made available for inspection and audit by the Commission. The Commission may conduct such an inspection or audit at the licensee's place of business or, at the Commission's discretion, at the offices of the Commission. The licensee must cooperate with the representatives of the Commission conducting any such inspection or audit. (r) If any due date under this section falls on a weekend or City holiday, the due date shall be deemed to be the first business day following such weekend or holiday. (Amended City Record 7/7/2016, eff. 8/6/2016; amended City Record 3/6/2018, eff. 4/5/2018; amended City Record 10/17/2018, eff. 11/16/2018; amended City Record 7/7/2021, eff. 8/6/2021; amended City Record 8/1/2024, eff. 8/31/2024)

17 RCNY § 5-04 Compliance with Applicable Law and Regulation.

§ 5-04 Compliance with Applicable Law and Regulation. All licensees shall at all times comply with all the laws, rules and regulations of Federal, State and local governmental authorities having jurisdiction over any of the licensees' activities, including, but not limited to, rules and regulations of the Department of Environmental Protection, the Department of Health, the Department of Sanitation and the Department of Transportation concerning environmental, safety and health standards, including but not limited to traffic safety, or relating to the collection, removal, transportation or disposal of trade waste in a safe manner, vehicle specifications, sanitary requirements, or the handling, transport, receipt, transfer or disposal of trade waste, regulated medical waste or waste containing asbestos or other hazardous, toxic or dangerous material. Failure to comply with these laws, rules or regulations shall be grounds for suspension and/or revocation of the license pursuant to § 16-513 of the Code or refusal to issue a license pursuant to § 16-509 of the Code and, in addition to any other penalty provided by law, the imposition of penalties pursuant to 17 RCNY § 1-04. (Amended City Record 7/7/2021, eff. 8/6/2021)

17 RCNY § 5-05 Agreements and Contracts with Customers; Service to Customers.

§ 5-05 Agreements and Contracts with Customers; Service to Customers. (a) Term and form of contract; requirements; service and discontinuation of service; increase of rates. (1) An oral agreement for the collection, removal, or disposal of trade waste shall be terminable at will by the customer and upon fourteen (14) days' written notice by the licensee. A contract for the collection, removal, or disposal of trade waste shall not exceed two (2) years in duration. A written contract for the removal, collection, or disposal of trade waste that contains no provision regarding duration shall be terminable at will by the customer and upon fourteen (14) days' written notice by the licensee. A written contract must provide that the licensee must remove the customer's waste from the location designated by the customer. A sample standard contract form must be submitted to the Commission when an application for a license is submitted, and a licensee must submit any subsequent changes in the standard form to the Commission thirty (30) days' prior to implementing such change. Nothing in this provision shall be construed to prevent a licensee from negotiating terms at variance with the standard form contract, except that a licensee must not vary such contract in any manner identified by the Commission as inconsistent with the purposes of Chapter 1 of Title 16-A of the Code by the Commission after review of such standard form. Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this paragraph in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this paragraph. (2) A licensee must comply with the service and other terms set forth in the written contract or oral agreement with the customer, including the agreed-upon frequency and schedule for the collection of waste. A schedule agreed to in writing must not be altered without the written agreement of the customer's owner or authorized representative. When a licensee offers to provide a commercial establishment with trade waste services, the licensee must provide such customer with a copy of the Commission's informational notice to customers. The licensee must provide the customer with such additional informational notices as the Commission shall require throughout the term of service to the customer by the licensee. Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this paragraph in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this paragraph. (3) A licensee must not discontinue service to any customer, or raise the rates charged to such customer, unless at least fourteen (14) days' written notice to the customer is given. No contract for the removal, collection, or disposal of waste shall provide that a licensee may discontinue service upon shorter notice. Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this paragraph in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this paragraph. (4) A written contract that does not meet the requirements of Federal, State, or Local Law is voidable by either party. (b) Subcontracting, assignment of contracts, Mergers, and Acquisitions. (1) A licensee must apply for review by the Commission before subcontracting or assigning a contract and must seek such review by the Commission thirty (30) days before such subcontract or assignment is proposed to take effect. The Commission may issue any order with respect to the transaction consistent with the purposes of Local Law 42. An assignee or subcontractor of contracts for the removal, collection, or disposal of trade waste notify, within fifteen (15) days of the effective date of such assignment or subcontract, each party to a contract so assigned of such assignment or subcontract and of the right of such party to terminate such contract upon thirty (30) days' notice during the three (3) months after receiving notice of such assignment or subcontract. Such notification must be by certified mail with the receipt of delivery retained by the assignee or subcontractor and must be upon a form approved by the Commission. Where no written contract exists with a customer for the removal, collection, or disposal of trade waste, a company that assumes such trade waste removal from another company must provide such customer with notification within fifteen (15) days of such assignment or subcontract, on a form approved by the Commission by certified mail with the receipt for delivery retained by the assignee or subcontractor, that a new company will be providing such trade waste removal, and that the customer has the right to terminate such service. A licensee must not enter into a subcontract before receiving express approval for the subcontracting arrangement from the Commission. Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this paragraph in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this paragraph. (2) A licensee must apply for review by the Commission before acquiring, selling, or merging with another trade waste removal, collection, or disposal business and must seek such review by the Commission no later than thirty (30) days before such acquisition, sale, or merger is to take effect. The Commission may issue any order with respect to the intended transaction consistent with the purposes of Local Law 42. The Commission may, in its discretion, require that either the purchaser or seller post a bond or place money in escrow with the Commission in an amount that the Commission believes, in its discretion, is needed to cover any outstanding or potential fines or penalties owed or that may be owed to the Commission, any customer complaints that have been heard, pursuant to 17 RCNY § 1-03 in regard to which a final determination has not been rendered, and any restitution ordered by the Commission which the selling or dissolving licensee has failed to make to the customer. If the seller fails to post such bond or place money in escrow as set forth in this paragraph, the Commission may seek from the purchaser any and all outstanding fines or penalties for violations of Chapter 1 of Title 16-A of the Code and this chapter and any outstanding ordered customer restitution. (3) Investigation, inspection, and evaluation fee. The fee for investigation and review of any proposed transaction described in Paragraphs (1) and (2) of this subdivision shall be four thousand and five hundred dollars ($4,500) per entity involved and one thousand and two hundred dollars ($1,200) per principal involved. After submission to the Commission of an appropriate request for review of such a transaction, the Commission shall notify the parties to the transaction of the total fee amount due and owing, which must be paid in full within ten (10) days after such notification. The Commission, in its discretion, may waive or reduce fees upon written request in light of one (1) or more of the following reason(s): (i) specified persons or entities have recently undergone completed background investigations by the Commission; (ii) the value of the transaction under review is minimal; (iii) specified persons or entities need not undergo background investigations because of their attenuated connection to the transaction; (iv) the transaction does not involve the sale, assignment, or other transfer of any accounts or customer contracts (e.g., trucks or other non-customer assets); (v) the transaction involves less than five (5) customers; (vi) the transaction involves unique characteristics or other mitigating factors that would warrant a reduction or waiver of fees. (4) Requests for authorization of subcontracting, assignment, and other such arrangements. All trade waste subcontracting, assignment, and similar arrangements must be submitted to the Commission for authorization. Requests for approval of such an arrangement must be submitted in writing to the Commission, and the arrangement must not go forward unless and until it has been approved in advance by the Commission. The request must identify the customer(s) involved (including name, address, contact person, and contract terms), state the requested length of the arrangement, and describe the business justification for the arrangement. Copies of all affected contracts or proposed contracts must be submitted with the request. (5) Customer's thirty (30) day termination right during ninety (90) day post-assignment period. During the ninety (90) day period following the assignment or other transfer of a customer contract to another trade waste removal business, the customer has the right to terminate its carting contract on thirty (30) days' notice. All contracts signed by affected customers during the ninety (90) day period subsequent to contract assignment or transfer remain terminable on thirty (30) days' notice throughout the ninety (90) day period, and any such contract signed during that ninety (90) day period must contain prominent notice of this fact. (c) Customer's contract termination right after denial of license application or revocation of license. During the ninety (90) day period following the effective date of the denial of the license application of a trade waste removal business or the revocation of the license of such a business, the customers of that business have the right to terminate any contracts for trade waste removal entered into during that period, on thirty (30) days' written notice to the other contracting party. Any contract for trade waste removal entered into by any such customer during the ninety (90) day post-denial period shall be terminable at will by the customer throughout that period on said written notice. Any such contract must contain prominent notice of the customer's right to terminate the contract at any time within such period upon such notice. (d) Written contract. When service to a customer is commenced, the licensee must take all steps necessary to attempt to reach an agreement with the customer on the terms and conditions of the service to be provided and within forty (40) days of the commencement of service, must prepare a written contract that clearly and legibly sets forth the terms and conditions of the agreement negotiated by the licensee and the customer and deliver such contract to the customer. Such contract must provide that it shall be effective only upon being dated and signed by the licensee and the customer's owner or authorized representative and that a change of any term or condition of such contract must be made in writing, dated, and signed by both the licensee and the customer's owner or authorized representative before such term or condition takes effect. The proposed contract offered by the licensee be accompanied by a notice stating: "You are not required to sign this contract. If you have any questions or complaints, call the Business Integrity Commission at (212) 437-0600." One (1) copy of such signed and dated contract and a copy of any signed and dated amendments must be provided to the customer's owner or authorized representative by the licensee. Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this subdivision in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this subdivision. (e) Customer's decision not to sign a contract. A customer is not required to sign a contract. If a customer fails or refuses to sign a contract that has been tendered to the customer, pursuant to Subdivision (d) of this section, a licensee will be deemed to have complied with such subdivision if the licensee complies with the requirements in Paragraphs (1) through (3) of this subdivision provided, however, that a licensee must not discontinue service to such a customer, or raise the rates charged such a customer, unless at least fourteen (14) days' written notice of such discontinuance or rate increase was given to such customer. Where a written contract with a customer has not been obtained by the licensee, the licensee must: (1) demonstrate that a contract has been tendered to the customer in accordance with Subdivision (d) of this section, within forty (40) days of the commencement of service; and (2) keep a copy of the contract tendered on file along with the signed returned postal receipt for a period of one (1) year after the eventual discontinuance of service to the customer; and (3) make available to the Commission upon its request a copy of the contract and the return receipt. Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this subdivision in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this subdivision. (f) Liability for negligence. No contract or contract amendment shall provide that the licensee is exempt from liability for damage caused by its negligence or the negligence of any of its agents. (g) Standard bills, statements, invoices. A licensee must provide a written bill, statement, or invoice at least once every month to each and every customer to which such licensee provides services. Such bill, statement, or invoice must conspicuously contain all of the following: (1) the licensee's name, address, telephone number, license number; (2) the customer's name and complete address; (3) a notice to customers as follows: NOTICE TO CUSTOMERS – The maximum rate that may be charged by your trade waste removal business is regulated by the New York City Business Integrity Commission. If you should have a question or a complaint concerning waste removal, contact the New York City Business Integrity Commission; and (4) the maximum rates in effect with a statement indicating that the rates so identified are maximum legal rates and that lower rates may be lawfully charged; (5) the negotiated rate per cubic yard or per one hundred (100) pounds on which the invoice is based; (6) an itemized list of charges detailing the cubic yards or weight of putrescible waste removed, recyclables removed, and any additional charges; (7) where the customer is being charged on a "flat" or "average" billing basis, a. the total charges for waste removal for the billing period; b. an itemized statement of the estimated volume or weight of the putrescible waste removed and the charge for the removal of such waste; c. an itemized statement of the estimated volume or weight, if any, of the recyclable waste removed and the charge for the removal of such waste; d. a statement as to the method by which the estimated volume or weight was determined; and (8) a separate statement of sales tax collected. Such bill must be on a form approved by the Commission. Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this subdivision in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this subdivision. (Amended City Record 3/6/2018, eff. 4/5/2018; amended City Record 8/1/2024, eff. 8/31/2024)

17 RCNY § 5-06 Acceptance of Customers.

§ 5-06 Acceptance of Customers. (a) Whenever a prospective or actual customer has been unable to obtain a licensee to remove his or her waste upon terms and conditions satisfactory to both the prospective or actual customer and licensee, the Commission may require a licensee collecting trade waste in or near the area in which the customer conducts business, to collect and remove such waste at a rate designated by the Commission. (b) A licensee who has been ordered to serve a customer pursuant to subdivision (a) of this section may, within five days of such directive, object to the Commission, setting forth the reasons why such licensee should not be compelled to serve such customer, but must comply with any final order to serve. Failure to comply with such an order shall be a violation of this section. (c) Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this section in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this section. (Amended City Record 8/1/2024, eff. 8/31/2024)

17 RCNY § 5-07 Employee Information.

§ 5-07 Employee Information. Within 10 business days of hiring an employee or extending an offer of employment to a prospective employee, a licensee or an applicant for a license must provide the Commission with the name of such employee or prospective employee and the information required, pursuant to 17 RCNY § 2-02. (Amended City Record 3/6/2018, eff. 4/5/2018)

17 RCNY § 5-08 Operations.

§ 5-08 Operations. (a) A licensee shall maintain any premises where trade waste removal vehicles and machinery are kept in a safe and sanitary condition. (b) All vehicles operated pursuant to a license shall be loaded at all times in such a manner and by such methods as to prevent the release or discharge of dust and to prevent spilling of materials upon sidewalks or streets and every operator of a vehicle shall remove immediately from sidewalks or streets all materials spilled, littered, or thrown thereon in loading operations or in the handling and return of receptacles or while traveling. (c) Materials loaded into vehicles shall be dumped or unloaded and disposed of only at points where disposal of the particular material may be made lawfully. (d) Vehicles with open top box type bodies and containers on or in platform or panel type body vehicles shall not be filled or loaded over their capacity. In no case shall such vehicles be filled or loaded above water level of body or container. (e) Trade waste vehicle operators of all types of vehicles shall exercise care at all times to prevent the making of unnecessary or avoidable noise in the course of operating such vehicles or loading trade waste. (f) Each open top box type vehicle body shall be loaded only from front to rear and the partial load kept securely and fully covered at all times. Each such vehicle shall have a heavy tarpaulin cover which shall be secured over the vehicle body at all times other than when the vehicle body is being loaded or unloaded or is empty. (g) Materials loaded in or upon vehicles shall not be re-worked, re-sorted, picked over, or rehandled while vehicle is on the streets and material shall not be transferred nor reloaded from a vehicle while on the streets to or into any other vehicle, except that operators of vehicles of the totally enclosed walk-in door type may sort materials only within and inside the body, during which periods the door or doors may be kept open. (h) Materials shall not be carried at any time upon any vehicle other than solely within the vehicle body or solely within containers on or in the vehicle body when such materials are to be removed in containers. (i) After materials are dumped for disposal the vehicle body and each container used, shall be emptied thoroughly and cleared of all loose materials. (j) Vehicles and containers shall be thoroughly cleaned inside and outside frequently so that they shall present a good appearance and be maintained free of dirt and offensive odors at all times. (k) Bodies of dead animals shall not be dissected outside of the premises from which removed, in the loading process or in the vehicle. (l) All loading hoppers, doors, covers, or other closures of loading openings of all vehicles shall be kept closed and secured at all times excepting during actual loading through the particular opening. (m) A licensee shall provide for the general cleanliness of, and the control of odors and extermination of pests and rodents on and around, the vehicles used to transport trade waste and the locations where such vehicles are stored when not in use. (n) A licensee shall provide for off-street parking for vehicles used to transport waste, and shall not permit such vehicles to be parked on the street during the hours when they are not in use. (o) A licensee shall keep closed the doors of any garage, or the gate to any outdoor premises, from which vehicles used in the transport of waste are dispatched except when such vehicles are entering or leaving such premises. The perimeter of any outdoor location used to store vehicles shall be surrounded by an opaque fence which shall be at least eight (8) feet high. (p) A vehicle used to transport waste shall operate in compliance with all traffic laws, rules and regulations and shall not be permitted to stand with the motor idling in violation of § 24-163 of the Code. (q) Any waste receptacle provided by a licensee to a customer shall be made of metal or other material or grade and type acceptable to the Department of Sanitation, the Department of Health and the Department of Housing Preservation and Development, as provided in § 16-120 of the Code. Receptacles used for liquid waste provided by the licensee shall be constructed, and maintained by the licensee, so as to hold their contents without leakage. All containers provided by the licensee shall be provided and maintained with tight fitting covers. (r) Any container provided by a licensee to a customer for the collection of trade waste must: (1) meet the labeling requirements set forth in 17 RCNY § 5-11; (2) have a lid and a latch, lock, or other fastening or sealing mechanism or cord that keeps the lid closed and is resistant to tampering by rodents or other wildlife; and (3) have the capacity to meet the disposal needs of the customer. (s) A licensee shall, after removing the waste of a customer, return the receptacle from which such waste was removed to a place inside or in the rear of the premises from which such waste was removed. If this is not feasible, the licensee shall place such receptacle against the building line. (t) A licensee that removes, collects or disposes of trade waste shall keep the sidewalk, flagging, curbstone and roadway abutting any area from which waste is removed free from obstruction, garbage, litter, debris and other offensive material resulting from the removal by the licensee of such trade waste. (u) A licensee must not permit or require any vehicle operator to drive the licensee's vehicles unless the vehicle operator complies with the hours of service requirements set forth in Part 395.3 of Title 49 of the Code of Federal Regulations. (v) A licensee must ensure that the trade waste vehicles operated on behalf of the licensee are not engaging in a pattern of unsafe practices. Each such pattern of unsafe practices is a violation of this subdivision. For purposes of this subdivision, "a pattern of unsafe practices" means four instances of prohibited conduct set forth in paragraphs (1) through (6) of this subdivision within a six-month period by the licensee's vehicle operators and helpers, in the aggregate: (1) A trade waste vehicle must not back up unless such movement can be made safely and without interfering with traffic for the minimum distance to allow for the safe collection of trade waste. (2) A trade waste vehicle must not make a U turn, except where legally permitted at marked center lines and from designated lanes. (3) A trade waste vehicle must stop at all steady red lights until such light turns green. A trade waste vehicle must stop at all flashing red lights and stop signs before entering an intersection. (4) A trade waste vehicle must be driven only in the direction designated for the roadway. (5) A trade waste vehicle must not obstruct a bike lane, bus stop, sidewalk, crosswalk, or intersection. (6) Under no circumstances shall an individual ride on or cling to the outside of a trade waste vehicle while the vehicle is operating on a roadway. (w) Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this section in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this section. (Amended City Record 7/7/2016, eff. 8/6/2016; amended City Record 7/10/2018, eff. 8/9/2018; amended City Record 7/7/2021, eff. 8/6/2021; amended City Record 8/1/2024, eff. 8/31/2024)

17 RCNY § 5-09 Membership in Trade Associations.

§ 5-09 Membership in Trade Associations. (a) No licensee or principal thereof shall be a member or hold a position in any trade association: (i) where such association, or a predecessor thereof as determined by the Commission has violated state or federal antitrust statutes or regulations, or has been convicted of a racketeering activity or similar crime, including but not limited to the offenses listed in subdivision one of section nineteen hundred sixty-one of the Racketeer Influenced and Corrupt Organizations 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; (ii) where a person holding a position in such trade association, or a predecessor thereof as determined by the Commission, has violated state or federal antitrust statutes or regulations, or has been convicted of a racketeering activity or similar crime, including but not limited to the offenses listed in subdivision one of section nineteen hundred sixty-one of the Racketeer Influenced and Corrupt Organizations 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; (iii) where a person holding a position in such trade association, or a predecessor thereof as determined by the Commission, is a member or associate of an organized crime group as identified by a federal, state or city law enforcement or investigative agency; or (iv) where the trade association has failed to cooperate fully with the Commission in connection with any investigation conducted pursuant to this chapter. The Commission may determine, for purposes of this subdivision, that a trade association is a predecessor of another such trade association by finding that transfers of assets have been made between them or that all or substantially all of the persons holding positions in the two associations are the same. (b) Notwithstanding the provisions of subdivision a of this section, the Commission may permit a licensee to be a member of a trade association where such membership would be prohibited by such subdivision upon a determination that such association no longer operates in a manner inconsistent with the purposes of this chapter.

17 RCNY § 5-10 Vehicle Specifications and Inspections.

§ 5-10 Vehicle Specifications and Inspections. (a) Upon issuance of a license, the Commission shall issue to the licensee two (2) license plates for each vehicle that will transport trade waste, pursuant to such license and for which a fee has been paid, pursuant to 17 RCNY § 2-07. Beginning on January 1, 2020, the Commission will not issue license plates for any vehicle that does not comply with the requirements set forth in § 24-163.11(b) of the Administrative Code. Beginning on January 1, 2023, the Commission will not issue license plates for any vehicle that does not comply with the requirements set forth in § 16-526 of the Administrative Code. License plates issued by the Commission must at all times be affixed as prescribed by the Commission to a visible and conspicuous part of each such vehicle. A licensee must not permit a vehicle to be used in the course of collecting, removing, or disposing of waste that has not been identified and covered by the license and for which a fee has not been paid. A license plate issued by the Commission for such a covered and identified vehicle must not be transferred to any other vehicle. Upon the sale or dissolution of the business of a licensee, or upon the suspension, revocation, or expiration of a Commission-issued license, such plates must be immediately surrendered to the Commission. Upon the disposition of a vehicle that has been issued license plates by the Commission, such license plates must be immediately surrendered to the Commission. All license plates issued by the Commission are the property of the Commission, and the Commission reserves the right to reclaim such plates at any time. (b) Each vehicle must have the name and business address of the licensee lettered legibly in letters and figures not less than eight (8) inches in height, and in a color that contrasts with the color of the vehicle, on each side of the vehicle body or upon each door of the vehicle cab at all times. (c) Each vehicle having a gross vehicle weight rating of twenty-six thousand pounds or more and a conventional cab configuration in which the engine is mounted in front of the operator must be equipped with a convex mirror positioned on the front of such vehicle. When such vehicle is being operated, such mirror shall be adjusted so as to enable the operator thereof to see all points on an imaginary horizontal line which is three feet above the road, is one foot directly forward from the midpoint of the front of such motor vehicle, and extends the full width of the front of such vehicle or combination of vehicles. Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this subdivision in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this subdivision. (d) Nothing may be placed or suspended in or on the vehicle or windshield so as to obstruct the operator's vision through the windshield or other windows. Nothing in this subdivision shall be construed to prohibit the placement or suspension of an object in or on the vehicle or windshield in order to comply with or as expressly permitted by federal, state or local law. Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this subdivision in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this subdivision. (e) A trade waste vehicle must not be operated unless such vehicle is in safe operating condition and has passed an inspection conducted by a qualified inspector demonstrating compliance with the terms of this section at least once during the preceding six months. Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this subdivision in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this subdivision. (1) Each such inspection must be recorded on an inspection report form prescribed by the Commission. Such inspection report must identify any safety defects discovered during the inspection and cover at a minimum, the following parts and accessories: service and parking brakes, steering mechanism, tires, wheels and rims, side guards, coupling devices, mirrors, lighting devices and reflectors, horn, windshield wipers, and emergency equipment. (2) Following an inspection, such vehicle may not be operated unless a qualified inspector certifies on the inspection report that all necessary repairs have been made and that such vehicle has passed the inspection. (3) Copies of such inspection reports must be kept in the corresponding vehicle in accordance with the requirements of subdivision (m) of 17 RCNY § 5-03. (f) A trade waste vehicle must not be operated unless the operator of such vehicle is satisfied such vehicle is in safe operating condition. A licensee must require the operator of such vehicle to inspect such vehicle following each day's work and to prepare a daily inspection report that identifies such vehicle and any defect that would affect the safety of operation of such vehicle. Such daily inspection report must cover at a minimum the following parts and accessories: service and parking brakes, steering mechanism, tires, wheels and rims, side guards, coupling devices, mirrors, lighting devices and reflectors, horn, windshield wipers, and emergency equipment. Copies of such daily inspection reports must be kept in the corresponding vehicle in accordance with the requirements of subdivision (n) of 17 RCNY § 5-03. The operator of such vehicle must review the most recent daily inspection report and determine whether required repairs have been made when evaluating the condition of such vehicle. Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this subdivision in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this subdivision. (g) The Commission or a person designated by the Commission may inspect trade waste vehicles, equipment, licenses, registrations, inspection reports, and fleet records of each licensee at any time at its own discretion. Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this subdivision in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this subdivision. (1) The Commission or a person designated by the Commission may order the licensee to immediately remove any trade waste vehicle or equipment from service and, where appropriate, to take corrective action within a prescribed period of time if the Commission or such person designated by the Commission determines the vehicle or equipment presents an imminent threat to public health or safety or to the environment due to an issue that may include, but need not be limited to, defective brakes, tires or lighting devices, or leaking or spilling of fluids and escaping of trade waste. The licensee shall comply with the order within the time prescribed in the order and shall notify the Commission when compliance has been achieved. (2) Within the time specified for compliance in an order issued pursuant to this section or as otherwise specified in such order, the licensee may submit a written statement appealing the order to the Chair in the manner specified in the order. (3) Submission of an appeal pursuant to paragraph (2) of this subdivision shall relieve the licensee's obligation to take any corrective action within the time prescribed in the order pending a final determination pursuant to paragraph (4) of this subdivision, provided, however, that in the event the Chair determines that failure to take corrective action within the time prescribed in the order poses a significant risk of imminent harm to public health or safety or to the environment, the licensee will be notified and will be required to take such corrective action within the specified time, or within an alternative time specified by the Chair. Notwithstanding the foregoing, submission of such an appeal shall not relieve the licensee's obligation to remove a trade waste vehicle or equipment from service during the pendency of an appeal. (4) The Chair must review appeals and make a final written determination regarding the appeal within a reasonable period of time. The Commission will serve final determinations on the licensee as provided in 17 RCNY § 1-02. (5) If the Chair sustains an appeal in whole or in part, then the stated terms of the final determination on appeal will replace the original requirements of the order. (6) If an appeal is denied, the final determination will specify a reasonable period of time for compliance with the order based on the circumstances, except in the case of an order where taking corrective action is required within an earlier time pursuant to paragraph (3) of this subdivision. The final determination by the Chair is subject to review pursuant to article 78 of the New York Civil Practice Laws and Rules. (h) No later than January 1, 2023, every trade waste hauling vehicle must have side guards, except where the Commission has granted a waiver in accordance with paragraph (3) of this subdivision. (1) At the time a licensee discloses a trade waste hauling vehicle to the Commission, such licensee must submit proof in the form and manner determined by the Commission that side guards are installed on such trade waste hauling vehicle. For all trade waste hauling vehicles disclosed to the Commission prior to January 1, 2023, such proof must be submitted to the Commission no later than January 1, 2023. (2) A trade waste hauling vehicle will be considered equipped with side guards as required by § 16-526 of the Administrative Code if one or more of the following three situations is present: (i) The trade waste hauling vehicle is equipped with side guards that allow for a maximum 13.8 inch ground clearance, maximum 13.8 inch top clearance up to four feet in height, and a minimum 440 pound impact strength that achieves a smooth and continuous longitudinal (forward to backward) impact surface flush with the vehicle sidewall, known as the "NYC Side Guard Standard." Side guards may include rail style guards, provided that such rails be no less than four inches tall and no more than 11.8 inches apart. Side guards may incorporate other vehicle features such as toolboxes and ladders, or the function of a side guard may be performed by those features, subject to the Commission's approval. (ii) The trade waste hauling vehicle cannot maintain a side guard due to the design or operations of the vehicle, subject to the licensee's application to the Commission for, and the grant of, a waiver in accordance with paragraph (3) of this subdivision (iii) The trade waste hauling vehicle is designed or equipped on each side of the unit such that, by virtue of its shape and characteristics, its component parts can be regarded as replacing or functioning as side guards in accordance with the Volpe Side Guard Standard or will perform the function of side guards with modifications separate from installation of Volpe Standard side guards, subject to the Commission's approval. (3) A licensee may apply to the Chair of the Commission for a waiver of the requirements of this subdivision where the licensee can demonstrate that installation of side guards is impractical, in accordance with Administrative Code § 16-526(a) and (c)(3). Such request must be submitted in writing to the Commission in a form and manner determined by the Commission. Such request must be submitted at the time the trade waste hauling vehicle is disclosed to the Commission or, if such trade waste hauling vehicle was disclosed to the Commission prior to the effective date of this paragraph, such request must be submitted to the Commission no later than November 1, 2022. A waiver from the side guard requirement shall be valid for up to two (2) years. (i) The Chair of the Commission or their designee will evaluate a waiver request and make a determination within 90 days of receipt whether to approve or deny such request. (ii) A licensee may apply for renewal of a waiver of the requirements of this subdivision for additional periods of up to two (2) years, where the licensee can demonstrate that installation of side guards continues to be impractical, in accordance with Administrative Code § 16-526(a) and (c)(3). Such request must be submitted in writing to the Commission, in a form and manner determined by the Commission, at least 30 days before the expiration of the previous waiver period. (iii) If the Commission denies a licensee's waiver application or denies a licensee's request to renew a waiver, the licensee may apply for reconsideration of the denial in writing, in a form and manner determined by the Commission, within 30 days of the denial determination. The Chair of the Commission or their designee shall review the application for reconsideration and, within 90 days after receipt of the application for reconsideration, shall issue a written notification affirming or reversing the denial of the licensee's waiver application or renewal request. (Amended City Record 3/6/2018, eff. 4/5/2018; amended City Record 3/3/2020, eff. 4/2/2020; amended City Record 7/7/2021, eff. 8/6/2021; amended City Record 9/30/2022, eff. 10/30/2022; amended City Record 8/1/2024, eff. 8/31/2024)

17 RCNY § 5-11 Labeling of Containers.

§ 5-11 Labeling of Containers. (a) All containers or receptacles from which trade waste is collected by any licensee shall have the volume capacity of each container or receptacle painted on the front of the container or receptacle in Arabic numerals at least 4 inches in height and followed by the indication "cu. yd." when the volume of the container or receptacle is measured in cubic yards or "GAL." when the volume of the container or receptacle is measured in gallons. (b) If a container is provided by a licensee, it shall be the responsibility of that licensee to imprint and maintain the licensee's name and license number along with the accurate true measurement of the volume of the container. A licensee shall, at no charge, mark each unmarked container provided by a customer with the name of the owner of the container and the accurate true measurement of the volume of the container. (c) If trade waste is collected from any container that does not have the volume capacity imprinted, the licensee collecting waste from such container shall report the exact location of such container to the Commission within three (3) business days of the time it had actual or constructive knowledge of the improper labeling. (Amended City Record 7/7/2016, eff. 8/6/2016; amended City Record 7/7/2021, eff. 8/6/2021; amended City Record 8/1/2024, eff. 8/31/2024)

17 RCNY § 5-12 Recycling Requirements for Licensees.

§ 5-12 Recycling Requirements for Licensees. (a) Designated recyclable materials. For purposes of this section, the term "designated recyclable materials" means materials that have been designated for recycling by the Department of Sanitation in 16 RCNY § 1-10(a). (b) Licensees required to recycle. A licensee that collects or transports designated recyclable materials that have been source-separated as required in 16 RCNY § 1-10(b) or materials that have been commingled pursuant to 16 RCNY § 1-10(c) and paragraph (2) of subdivision (c) of this section shall transport such materials to putrescible or non-putrescible transfer stations or other facilities that accept such materials for recycling, reuse or sale for reuse. Such licensee shall not bring such materials for disposal, or cause such materials to be brought for disposal to any solid waste disposal facility, whether or not such disposal facility is operated by the Department of Sanitation, in an amount that should have been detected through reasonable inspection efforts by the licensee. (c) Collection restrictions for designated recyclable materials. (1) Waste that has been source-separated for recycling by the customer. (i) A licensee collecting materials that have been source-separated by the customer may not commingle in the same vehicle compartment any of the following: (1) designated recyclable paper, (2) designated recyclable metal, glass, and plastic, (3) yard waste, (4) textiles, (5) construction and demolition debris, (6) organic waste, (7) any other materials that have special collection requirements pursuant to applicable local, state or federal law, or (8) other solid waste. Each of these terms is defined in 16 RCNY § 1-01. (ii) Designated recyclable metal, glass and plastic may be commingled together, but may not be commingled in the same vehicle compartment with designated recyclable paper unless such materials are collected pursuant to single stream collection and recycling as allowed by paragraph (2) of subdivision (c) of this section. (2) Commingling of certain designated recyclable materials. A licensee may collect waste consisting of designated metal, glass, and plastic commingled with designated recyclable paper if: (i) it has furnished information to the Commission demonstrating its ability to use either (a) single stream collection and recycling, or (b) co-collection of recyclables; or (ii) it will transport its own designated recyclable materials to a central holding location under its control from which such designated recyclable materials will be delivered by the licensee directly to a recycler or collected by a licensee that has furnished information to the Commission demonstrating its ability to use either single stream collection and recycling or co-collection of recyclables. (3) Collection of organic waste that has been source-separated. (i) Organic waste shall not be commingled with any trade waste or designated recyclable material. No trade waste or designated recyclable material shall be collected in the same truck compartment as organic waste. (ii) A licensee that collects or transports organic waste that has been separated as required by the Department of Sanitation under 16 RCNY § 1-11(b)(1) shall transport such organic waste either: A) directly to an organic waste processing facility for purposes of composting, aerobic digestion or anaerobic digestion; or B) to a putrescible transfer station permitted or licensed by the State and the Department of Sanitation to handle source separated organic waste, and that has represented to the licensee that it will deliver such organic waste to an organic waste processing facility. (iii) Except as otherwise provided under subparagraph (ii)(B) of this section, any licensee that delivers organic waste directly to an organic waste processing facility shall enter into a written agreement with such facility for the delivery of organic waste that identifies the name and contact information of the organic waste processing facility owner and its location. Such agreement shall be signed by both the licensee and the facility owner, and identify the quantity of estimated organic waste to be delivered on a monthly or quarterly basis. The licensee shall also furnish to the designated covered establishment, upon its request, a copy of such written agreement it has entered into with an organic waste processing facility for the delivery of the organic waste generated by such covered establishment. A copy of such written agreement shall also be provided to the Commissioner upon request. (d) Contract and bill requirements. (1) Contracts entered into with customers in accordance with 17 RCNY § 5-05 shall state the estimated volume or weight of designated recyclable materials to be collected and transported pursuant to subdivision (c) of this section. (2) Contracts entered into with customers on or after July 19, 2016, shall specify that the licensee will not commingle source-separated organic waste with any trade waste or recyclable material, and such contracts may specify both the estimated volume or weight of organic waste collected and transported (that is separate from the estimated volume or weight of designated recyclable materials). (3) The written bill, statement or invoice provided to customers pursuant to 17 RCNY § 5-05 shall include an itemized list of charges detailing the cost per cubic yard or per 100 pounds and the volume or weight of designated recyclable materials collected and transported pursuant to paragraphs (1) and (2) of subdivision (c) of this section; or the cost per cubic yard or per 100 pounds and the volume or weight of designated recyclable materials collected and transported pursuant to paragraphs (1) and (2) of subdivision (c) of this section; or the cost and volume or weight of organic materials transported pursuant to paragraph (3) of subdivision (c) of this section. (e) Upon the final implementation date for a particular commercial waste zone, licensees who are designated carters will not be subject to the requirements of this section in such zone. Licensees who operate in any zones that have not been implemented will continue to be subject to the requirements of this section. (Amended City Record 7/7/2016, eff. 8/6/2016; amended City Record 8/1/2024, eff. 8/31/2024)

17 RCNY § 5-13 Heavy Duty Trade Waste Vehicle Decal Requirement for Licensees.

§ 5-13 Heavy Duty Trade Waste Vehicle Decal Requirement for Licensees. (a) Every licensee that owns or operates a heavy duty trade waste hauling vehicle that has a pre-2007 engine and utilizes "best available retrofit technology" or "BART" as defined in § 24-163.11(a) of the Administrative Code shall notify the New York City Department of Environmental Protection (DEP) of the best available retrofit technology installation by completing a Trade Waste Compliance Reporting form. If DEP approves the best available retrofit technology, DEP will issue a decal to the licensee for each vehicle that has a pre-2007 engine and utilizes BART. (b) A valid DEP decal must at all times be affixed to a visible part of the driver's or passenger's side door of the vehicle cab. (Added City Record 3/3/2020, eff. 4/2/2020; amended City Record 3/27/2023, eff. 4/26/2023)

17 RCNY § 5-14 Worker Training.

§ 5-14 Worker Training. (a) Training. A licensee must provide annual safety training to all vehicle operators and laborers or helpers who are directly assigned to the collection, removal, transport or disposal of trade waste on the public right-of-way. Such training must include, at a minimum: (1) educating workers on workplace safety requirements; (2) operational instruction on each specific type of equipment used by the employee; and (3) training to address specific public safety hazards associated with collecting, transporting, removing and disposing of trade waste, including but not limited to, training, as applicable, regarding: (a) collision avoidance, including defensive driving and best practices to avoid collisions with pedestrians, cyclists and other vulnerable road users; (b) pre-trip and post-trip vehicle and equipment inspections; (c) state and local traffic laws, including speed limits, yielding, and bus and bicycle lane restrictions; (d) preventing distracted driving; (e) navigating intersections and turns; (f) backing up a trade waste vehicle; (g) best practices for safe collection stops; (h) container management; (i) hopper operation; (j) fire prevention and response; and (k) transporting and disposing of specialized waste or hazardous materials. Such training must be provided within 90 days after the start of employment or prior to the initial assignment of a worker to a job or task, whichever is earlier. (b) Additional Driver Training. A licensee must not permit or require any vehicle operator to drive the licensee's vehicles unless, within the past three years, the vehicle operator has completed a defensive driving course approved by the Commission or a state agency that issues driver licenses. (c) Provided that if a licensee is a designated carter pursuant to an agreement with the Department of Sanitation, compliance with Section 16-1008 satisfies the requirements of subdivisions (a) and (b) of this section. (Added City Record 7/7/2021, eff. 8/6/2021)

Source: City of New York, Charter, Administrative Code and Rules (American Legal Publishing XML export, codelibrary.amlegal.com)URL: https://codelibrary.amlegal.com/codes/newyorkcity/latest/NYCrules/0-0-0-33093Fetched: 10/24/2026