Investigation of Employees and Agents

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

in effect

17 RCNY § 3-01 Employees and Agents Required to Submit Fingerprints and Disclosure.

§ 3-01 Employees and Agents Required to Submit Fingerprints and Disclosure. (a) Each person not otherwise a principal as defined in 17 RCNY § 1-02 who is an employee or agent or prospective employee or agent of an applicant for a license or a licensee and who is in a managerial capacity or in a job category listed in Appendix A to this subchapter, shall: (i) be fingerprinted by a person designated for such purpose by the Commission and pay the fee prescribed by the Division of Criminal Justice Services for the purpose of obtaining criminal history records; and (ii) be photographed by the Commission and provide the disclosure set forth in subparagraphs (b) through (n) of paragraph (ii) of subdivision b of § 16-508 of the Code on the form provided by the Commission and pay the fee of six hundred ($600) dollars for the investigation of such information, except that such employee or agent or prospective employee or agent of an applicant for a micro-hauler license or a micro-hauler licensee shall pay a fee of one hundred dollars ($100) for the investigation of such information. Following receipt of such disclosure, the Commission may require such additional information, including without limitation documents and deposition testimony, as the Commission determines is necessary to render determination. (b) Where, at any time subsequent to an investigation of an employee or agent pursuant to the provisions of subdivision a of this section, the Commission has reasonable cause to believe that such employee or agent lacks good character, honesty and integrity, the Commission may conduct an additional investigation of such employee or agent and may require, if necessary, that such employee or agent provide information updating, supplementing or explaining information previously submitted. (c) Where, following a background investigation required by subdivision a of this section, the official designated by the Commission to review the findings of such investigation concludes that an employee or agent or a prospective employee or agent lacks good character, honesty and integrity, such person shall be provided with notice of such conclusion and the reasons therefor and may contest the conclusion in person or in writing to such official. Such official shall review such response and, in the event that he or she continues to find that such person lacks good character, honesty and integrity, shall submit such final conclusion to the Commission. In the exercise of its discretion, the Commission, considering the information which forms the basis for the conclusion of such official, the nature of the issues raised in connection therewith, and of any response submitted by the employee or agent, may: (i) make a final determination regarding such person; (ii) notify such person that he or she may appear in person to meet with the Commission or a designee of the Commission in order to present oral explanation and respond to questions prior to a final determination being made; or (iii) notify such person that he or she shall be provided the opportunity for a hearing pursuant to the provisions of 17 RCNY § 1-03 prior to a final determination being made. In the event that a subsequent investigation of an employee or agent conducted pursuant to subdivision b of this section results in a conclusion by the reviewing official that such person lacks good character, honesty and integrity, the Commission shall provide such person with notice and the opportunity for a hearing pursuant to the provisions of 17 RCNY § 1-03 to contest such determination before the Commission makes a final determination. (Amended City Record 7/7/2021, eff. 8/6/2021)

17 RCNY § 3-02 Investigation of Other Employees or Agents.

§ 3-02 Investigation of Other Employees or Agents. (a) Where the Commission has reasonable cause to believe that an employee or agent or prospective employee or agent of a licensee or an applicant for a license not subject to the provisions of 17 RCNY § 3-01 lacks good character, honesty and integrity, the Commission shall notify such employee or agent or prospective employee or agent that he or she shall: (i) be fingerprinted by a person designated for such purpose by the Commission and pay the fee prescribed by the Division of Criminal Justice Services for the purpose of obtaining criminal history records; and (ii) provide the disclosure required in subparagraphs (b) through (n) of paragraph (ii) of subdivision b of § 16-508 of the Code on the form provided by the Commission and pay the fee of six hundred ($600) dollars for the investigation of such information, except that such employee or agent or prospective employee or agent of an applicant for a micro-hauler license or a micro-hauler licensee shall pay a fee of one hundred dollars ($100) for the investigation of such information. Following receipt of such disclosure, the Commission may require such additional information related to such disclosure including without limitation documents and deposition testimony, as the Commission determines is necessary to render determination. (b) Where, in conjunction with the application for a license for trade waste removal pursuant to § 16-508 of the Code and following a background investigation conducted pursuant to this section, the official designated by the Commission to review the findings of such investigation concludes that an employee or agent or prospective employee or agent not subject to the provisions of 17 RCNY § 3-01 and identified on a list submitted by such applicant pursuant to 17 RCNY § 2-02 lacks good character, honesty and integrity, such person shall be provided with notice of such conclusion and the reasons therefore and may contest the conclusion in person or in writing to such official. Such official shall review such response and, in the event that he or she continues to find that such person lacks good character, honesty and integrity, shall submit such final conclusion to the Commission. In the exercise of its discretion, the Commission considering the information which forms the basis for the conclusion of such official, the nature of the issues raised in connection therewith, and of any response submitted by the employee or agent, may: (i) make a final determination regarding such person; (ii) notify such person that he or she may appear in person to meet with the Commission or a designee of the Commission in order to present oral explanation and respond to questions prior to a final determination being made; or (iii) notify such person that he or she shall be provided the opportunity for a hearing pursuant to the provisions of 17 RCNY § 1-03 prior to a final determination being made. Where, at any time subsequent to the issuance of the license and following an investigation conducted pursuant to the provisions of this subdivision of any such employee or agent identified on the list submitted by such applicant pursuant to 17 RCNY § 2-02, the reviewing official concludes that such employee or agent lacks good character, honesty and integrity, such person shall be provided with notice of such conclusion and the reasons therefor and the opportunity for a hearing pursuant to the provisions of 17 RCNY § 1-03 in order to contest such conclusion before the Commission makes a final determination. (c) Where, within sixty days following notification by a licensee pursuant to § 16-520 of the Code that the licensee proposes to hire or retain or has hired or retained an additional employee or agent who is not subject to the provisions of 17 RCNY § 3-01, the Commission requires such person to be fingerprinted and submit the information required pursuant to this section and at any time thereafter the official designated by the Commission to review the findings of such investigation concludes that such person lacks good character, honesty and integrity, such person shall be provided with notice of such conclusion and the reasons therefor and the opportunity to respond in writing to the Commission before the Commission makes a final determination. Where, following such sixty day period, the Commission requires a background investigation pursuant to this subdivision and the reviewing official makes such a conclusion, the Commission shall provide such person with notice and an opportunity for a hearing pursuant to the provisions of 17 RCNY § 1-03 in order to contest such conclusion before the Commission makes a final determination. (d) A licensee shall not employ or engage as an agent any person with respect to whom the Commission has made a final determination, following a background investigation conducted pursuant to this subdivision, that such person lacks good character, honesty and integrity. (Amended City Record 7/7/2021, eff. 8/6/2021)

17 RCNY § 3-03 Notification by Licensee of Additional Employee or Agent.

§ 3-03 Notification by Licensee of Additional Employee or Agent. A licensee shall provide the Commission with notice of at least ten business days of the proposed addition of a new employee or agent in a managerial capacity or in a job category listed in Appendix A to this subchapter to the business of such licensee. The Commission may waive or shorten such period upon a showing that there exists a bona fide business requirement therefor. Except where the Commission determines within such period, based upon information available to it, that the addition of such new employee or agent may have a result inimical to the purposes of Local Law 42 and this chapter, the licensee may add such new employee or agent pending the completion of review by the Commission. The licensee shall be afforded an opportunity to demonstrate to the Commission that the addition of such new employee or agent pending completion of such review would not have a result inimical to the purposes of this chapter. If upon the completion of such review, the Commission determines that such employee or agent lacks good character, honesty and integrity, the license shall cease to be valid unless such employee or agent leaves the employ of such licensee within the time period prescribed by the Commission.

17 RCNY § 3-04 Displaced Employee List.

§ 3-04 Displaced Employee List. (a) The Commission shall maintain a displaced employee list containing the names and contact addresses and telephone numbers of persons formerly employed by a business engaged in the collection, removal or disposal of trade waste whose employment ended following the denial or revocation of a license by the Commission. (b) Upon the denial or revocation of a license by the Commission, a person who was employed by the business whose license has been refused or revoked and who wishes his or her name to be on the displaced employee list shall so notify the Commission in writing and provide his or her name, contact address or telephone number to the Commission. The Commission shall remove an employee's name from the list forthwith upon receipt of a written request for such removal from the employee. (c) The addition or deletion of information regarding a former employee shall be made only at the written request of such former employee. (d) The Commission shall make the displaced employee list available to an applicant for a license pursuant to this chapter upon the request of such applicant, and may notify applicants, licensees and registrants of the availability of such list. The provision of such list shall in no way be construed as a recommendation by the City regarding the employment of any person on such list, nor shall the City be responsible for the accuracy of the information on the list.

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/0-0-0-33039Fetched: 10/24/2026