2006 New York Code - License Application.

 
    §  16-508  License application. a. An applicant for a license pursuant
  to this chapter shall submit an application in the form  and  containing
  the  information  prescribed  by  the  commission.  An application shall
  include, without limitation: (i) a list of the names  and  addresses  of
  all principals of the applicant business, including any manager or other
  person  who  has  policy  or  financial decision-making authority in the
  business; and (ii) a list of the names and job titles of  all  employees
  and  prospective  employees of the applicant business who are or will be
  engaged in the operation of the trade waste  business;  and  (iii)  such
  other  information  as  the  commission  shall  determine  by  rule will
  properly identify such employees and prospective employees.
    b. An applicant shall: (i) be fingerprinted by a person designated for
  such purpose by the commission and pay a fee  to  be  submitted  by  the
  commission to the division of criminal justice services for the purposes
  of   obtaining  criminal  history  records;  and  (ii)  provide  to  the
  commission, upon a form prescribed by the commission and subject to such
  minimum dollar thresholds and other reporting  requirements  established
  on  such form, information for the purpose of enabling the commission to
  determine the good character, honesty and integrity  of  the  applicant,
  including  but  not limited to: (a) a listing of the names and addresses
  of any person having a beneficial interest in  the  applicant,  and  the
  amount  and  nature  of  such  interest; (b) a listing of the amounts in
  which such applicant is indebted, including mortgages on real  property,
  and  the names and addresses of all persons to whom such debts are owed;
  (c) a listing of such applicant's real property holdings or mortgage  or
  other  interest  in  real  property  held by such applicant other than a
  primary residence and the names and addresses of all co-owners  of  such
  interest;  (d)  a  listing  of  mortgages,  loans,  and  instruments  of
  indebtedness held by such applicant, the amount of such  debt,  and  the
  names and addresses of all such debtors; (e) the name and address of any
  business  in  which  such  applicant  holds  an equity or debt interest,
  excluding any interest in publicly traded stocks or bonds; (f) the names
  and addresses of all persons or entities from whom  such  applicant  has
  received  gifts  valued  at more than one thousand dollars in any of the
  past three years, and the name of all persons or entities (excluding any
  organization recognized by the Internal Revenue  Service  under  section
  501(c)(3) of the Internal Revenue Code) to whom such applicant has given
  such   gifts;  (g)  a  listing  of  all  criminal  convictions,  in  any
  jurisdiction, of the applicant; (h) a listing of all  pending  civil  or
  criminal  actions  to  which such applicant is a party; (i) a listing of
  any determination by a federal, state or city  regulatory  agency  of  a
  violation  by  such  applicant  of  laws  or regulations relating to the
  conduct of the applicant's business where such violation has resulted in
  the suspension or revocation of a permit, license  or  other  permission
  required in connection with the operation of such business or in a civil
  fine,  penalty,  settlement  or injunctive relief in excess of threshold
  amounts or of a type set forth in the rules of  the  commission;  (j)  a
  listing  of  any criminal or civil investigation by a federal, state, or
  local prosecutorial agency, investigative agency or  regulatory  agency,
  in  the  five  year  period  preceding  the  application,  wherein  such
  applicant has: (A) been  the  subject  of  such  investigation,  or  (B)
  received a subpoena requiring the production of documents or information
  in  connection  with  such  investigation;  (k) a certification that the
  applicant has paid all federal, state, and local income taxes related to
  the applicant's business for which the applicant is responsible for  the
  three  tax  years preceding the date of the application or documentation
  that the applicant is contesting such taxes in  a  pending  judicial  or
  administrative  proceeding;  (l)  the  name  of any trade association in


  which the applicant is or has been a member or held a position  and  the
  time  period  during which such membership or position was held; (m) the
  names and addresses of the principals of  any  predecessor  trade  waste
  business   of   the  applicant;  and  (n)  such  additional  information
  concerning good character, honesty and integrity that the commission may
  deem  appropriate  and  reasonable.  An  applicant  may  submit  to  the
  commission  any  material  or  explanation  which the applicant believes
  demonstrates that any information submitted  pursuant  to  subparagraphs
  (g),  (h), (i), or (j) of this paragraph does not reflect adversely upon
  the applicant's good character, honesty and  integrity.  The  commission
  may  require that such applicants pay such fees to cover the expenses of
  fingerprinting  and  background  investigations  provided  for  in  this
  subdivision  as  are  set  forth  in  the  rules promulgated pursuant to
  section 16-504 of this chapter. Notwithstanding any other  provision  of
  this  chapter,  for  purposes  of  this  section:  (A) in the case of an
  applicant which is a regional subsidiary of or otherwise owned,  managed
  by  or  affiliated  with  a  business that has national or international
  operations: (aa) (i) fingerprinting and disclosure  under  this  section
  shall  also be required of any persons not employed by the applicant who
  has direct management supervisory responsibility for the  operations  or
  performance  of  the  applicant;  and  (ii) the chief executive officer,
  chief operating officer and  chief  financial  officer,  or  any  person
  exercising  comparable  responsibilities  and functions, of any regional
  subsidiary or similar entity of such  business  over  which  any  person
  subject  to  fingerprinting and disclosure under item (i) of this clause
  exercises similar responsibilities  shall  be  fingerprinted  and  shall
  submit the information required pursuant to subparagraphs (g) and (h) of
  this  paragraph, as well as such additional information pursuant to this
  paragraph as the commission may find necessary;  and  (bb)  the  listing
  specified  under  subparagraph  (j)  of  this  paragraph  shall  also be
  provided for any regional subsidiary or similar entity of  the  national
  or  international  business  for  which fingerprinting and disclosure by
  principals thereof is made pursuant to (aa) of this paragraph;  and  (B)
  "predecessor  trade  waste  business" shall mean any business engaged in
  the removal, collection or disposal of trade waste in which one or  more
  principals  of  the  applicant  were  principals in the five year period
  preceding  the  application.  For  purposes  of  determining  the   good
  character, honesty and integrity of a business that removes, collects or
  disposes  of  trade  waste,  a trade waste broker or a business issued a
  registration by reason of the grant pursuant to section 16-505  of  this
  chapter  of  an  exemption  from the requirement for a license, the term
  "applicant" shall apply to the business of such  trade  waste  business,
  trade  waste  broker  or exempt business and, except as specified by the
  commission, all the principals thereof; for purposes  of  investigations
  of  employees  or agents pursuant to section 16-510 of this chapter, the
  term "applicant" as used herein shall be deemed to apply  to  employees,
  agents  or prospective employees or agents of an applicant for a license
  or a licensee. Notwithstanding any provision of  this  subdivision,  the
  commission  may accept, in lieu of submissions required pursuant to this
  subdivision, information, such as copies of submissions to any  federal,
  state  or  local  regulatory  entity,  where  and to the extent that the
  commission finds that the contents of such submissions are sufficient or
  comparable to that required by this subdivision.
    c. A licensee shall, in  accordance  with  rules  promulgated  by  the
  commission  pursuant  to  section  16-504  of  this  chapter, inform the
  commission of any changes in the ownership composition of the  licensee,
  the  addition or deletion of any principal at any time subsequent to the
  issuance of the license, membership in a trade association  in  addition


  to  an  association  identified in the application submitted pursuant to
  this section, the arrest or criminal conviction of any principal of  the
  business,  or  any other material change in the information submitted on
  the  application  for a license. A licensee shall provide the commission
  with notice of at least ten business days of the proposed addition of  a
  new principal 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  principal  may  have  a  result  inimical  to  the
  purposes  of  this  chapter,  the  licensee  may  add such new principal
  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 principal 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 principal
  lacks good character, honesty and integrity, the license shall cease  to
  be  valid  unless  such  principal  divests  his  or  her  interest,  or
  discontinues his or her involvement in the business of such license,  as
  the case may be, within the time period prescribed by the commission.
    d. Each applicant shall provide the commission with a business address
  in  New  York  city  where  notices  may  be delivered and legal process
  served.