Title 6: Department of Consumer Affairs

Chapter 1: License Enforcement

§ 1-01 Fingerprinting.

(a) Applicants for the following licenses and permits must appear in person at the License Issuance Division of the Department and be fingerprinted. This requirement applies to: an individual, if the applicant is an individual; the general partners, if the applicant is a partnership; and the officers, directors and stockholders owning 10 percent or more of the stock of the corporation ("principal stockholder"), if the applicant is a corporation.

   (1) Auctioneer; Night Auctioneer

   (2) Commercial Refuse Removal

   (3) Employment Agency; Employment Agency Manager

   (4) Home Improvement Contractor; Home Improvement Salesman

   (5) Junk Dealer

   (6) Locksmith; Locksmith Apprentice; Keymaker

   (7) Pawnbroker

   (8) Process Server

   (9) Secondhand Dealer

   (10) Television, Radio and Audio Equipment Service Dealer and Service Manager

  1. The Commissioner may, in his or her discretion, waive the fingerprint requirement if a person required to be fingerprinted is unavailable, or for other good cause shown.

§ 1-01.1 Applications.

(a)  No applicant for a license or a renewal thereof shall fail to provide complete and truthful responses to all the information requested on an application for such license or renewal thereof and any documents related thereto.
  1. No applicant for a license or renewal thereof shall conceal any information, make a false statement or falsify or allow to be falsified any certificate, form, signed statement, application or report required to be filed with an application for a license that is to be issued by the department or for a renewal thereof.
  2. Unless otherwise provided by law or rule, no applicant for a license or renewal thereof, or licensee, including the general partners, officers, directors, and principal stockholders of such applicant or licensee, whose application or renewal thereof is denied or whose license is revoked by the Department may submit a new application for the same license for a period of 12 months from the date the initial application or renewal was denied or the license was revoked. This subsection shall only apply if the initial application or renewal was denied, or the license was revoked, because the applicant or licensee concealed information, made a false statement, or falsified or allowed to be falsified any certificate, form, signed statement, application or report required to be filed with an application for a license that is to be issued by the department or for a renewal thereof.

§ 1-02 Term and Expiration Date of Licenses.

(a)  The licenses and permits listed below shall be for a two-year term and shall expire on the dates indicated:

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Amusement Devices, Arcades and Operators January 16 of Even Years
Auctioneer and Night Auction Sales June 15 of Even Years
Billiard Room August 1 of Odd Years
Booting of Motor Vehicles December 31 of Odd Years
Cabaret September 30 of Even Years
Catering Establishment September 30 of Even Years
Debt Collection Agency January 31 of Odd Years
Electronic or Home Appliance Service Dealers June 30 of Even Years
Electronic Stores December 31 of Even Years
Employment Agency May 1 of Even Years
Garage, Parking Lot March 31 of Odd Years
Home Improvement Contractor February 28 of Every Odd Year
Home Improvement Salesperson February 28 of Every Odd Year
Horse Drawn Cab March 31 of Even Years
Horse Drawn Cab Driver May 31 of Even Years
Laundry December 31 of Odd Years
Locksmith; Locksmith Apprentice May 31 of Odd Years
Motion Picture Operators December 31 of Even Years
Process Server February 28 of Even Years
Products-for-the-Disabled Dealer March 15 of Odd Years
Secondhand Dealer July 31 of Odd Years
Sidewalk Stand March 31 of Even Years
Sightseeing Bus March 31 of Even Years
Sightseeing Guide March 31 of Even Years
Storage Warehouse April 1 of Odd Years
Towing Vehicles December 31 of Odd Years

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  1. General vendor licenses are valid for one year. Such licenses shall expire September 30 of each year.
  2. Newsstand licenses are valid for a two year term and shall expire on either March 31 or September 30 and in either odd or even numbered years, depending on the date designated in the license document.
  3. After the effective date of this subdivision, the expiration dates for revocable consents and licenses to operate an unenclosed sidewalk cafe shall be as follows:

   1. The grant of a revocable consent to operate an unenclosed sidewalk cafe shall be for one license period and will be concurrent with such license period that expires in the second calendar year following the calendar year in which such consent and license are granted, and such term shall expire on the day and month in such second calendar year as specified below:

      A. September 15 if the last digit of the license number of the sidewalk cafe ends in a number evenly divisible by three;

      B. December 15 if the last digit of the license number of the sidewalk cafe ends in zero or in an even number that is not evenly divisible by three;

      C. April 15 if the last digit of the license number of the sidewalk cafe ends in an odd number that is not evenly divisible by three;

   2. The grant during the same calendar year of a license to operate an unenclosed sidewalk cafe license as the year in which the revocable consent to operate such unenclosed sidewalk cafe is granted shall be for a term that expires on the same date on which such revocable consent expires in accordance with paragraph 1 of this subdivision.

   3. The licenses that are renewed thereafter shall be for two year terms that expire on the day and month in the second calendar year of such term as specified in paragraph 1 of this subdivision.

   4. Revocable consents that are renewed thereafter will be for two consecutive license periods and shall be concurrent with license periods that expire on the day and month in the last year of the second license period of such term as specified in paragraph 1 of this subdivision.

  1. After the effective date of this subdivision, the expiration dates for revocable consents and licenses to operate an enclosed sidewalk café shall be as follows:

   1.  The grant of a revocable consent to operate an enclosed sidewalk cafe shall be for one license period and will be concurrent with such license period that expires in the second calendar year following the calendar year in which such consent and license are granted, and such term shall expire on the day and month in such second calendar year as specified below:

      A. May 15 of the first even numbered year that is at least two years after the date such revocable consent is issued or renewed if the last digit of the license number of such sidewalk cafe is an even number; or

      B. May 15 of the first odd numbered year that is at least two years after the date such revocable consent is issued or renewed if the last digit of the license number of such sidewalk cafe is an odd number.

   2. The grant during the same calendar year of a license to operate an enclosed sidewalk cafe license as the year in which the revocable consent to operate such enclosed sidewalk cafe is granted shall be for a term that expires in the same year in which such revocable consent expires in accordance with paragraph 1 of this subdivision.

   3. The licenses that are renewed thereafter shall be for two year terms that expire on the day in the month in the second calendar year of such term as specified in paragraph 1 of this subdivision.

   4. Revocable consents that are renewed thereafter will be for two consecutive license periods that expire on the day and month in the last year of the second license period of such term as specified in paragraph 1 of this subdivision.

  1. Pedicab business licenses and pedicab driver licenses are valid for one year. Pedicab business licenses shall expire November 1 of each year and pedicab driver licenses shall expire April 30 of each year.
  2. Car wash licenses are valid for a two year term and shall expire October 31 of odd-numbered years.
  3. In all instances where the license expiration dates differ from those in existence prior to the effective date of this section, or amendments thereto, the License Issuance Division of the Department shall make appropriate adjustments.

§ 1-03 Display of Sign and License Information.

(a)  Every licensee, except for those licensed to operate a sidewalk cafe as described in subdivision (b) of this section, must post conspicuously at his or her place of business a sign provided by the Department that includes the license information, instructions on contacting the Department to file a complaint, and other pertinent information for consumers as the Department deems appropriate. A licensee may post a copy of such sign at the licensee's place of business only if the original is available at such place of business for inspection by any person. A licensee having no fixed place of business must exhibit his or her license upon the request of any person.
  1. Every licensee licensed to operate a sidewalk cafe pursuant to § 20-224 of subchapter 6 of Chapter 2 of Title 20 of the Administrative Code of the City of New York is required to post a sign provided by the Department that includes the license information, instructions on contacting the Department to file a complaint, the maximum number of tables and chairs permitted for the sidewalk cafe, and any other pertinent information for consumers as the Department deems appropriate, at a location from which it must be visible to persons on that portion of the sidewalk adjacent to such licensee’s sidewalk cafe. A licensee may post a copy of such sign at a location as described in this subdivision only if the original is available at the licensee’s place of business for inspection by any person.

§ 1-04 [Reserved]

Any advertisement, letterhead, receipt or other printed matter of a licensee must contain the license number assigned to the licensee by the New York City Department of Consumer Affairs. The license number must be clearly identified as a New York City Department of Consumer Affairs license number and must be disclosed and disseminated in a lawful manner. Any telephone listing consisting solely of the name, address, and telephone number of the licensee need not specify the licensee’s license number. Licensees holding licenses for more than one location must also include their respective license number(s) clearly identified as New York City Department of Consumer Affairs license number(s) on all correspondence and other printed matter which contains or makes reference to one or more of such licensees’ licensed location(s).

§ 1-06 Proof of Surety Bond.

No license or renewal shall be issued unless the licensee or applicant submits proof that every bond required by the Department for the license is in effect and does not expire prior to the end of the licensing period. Except where otherwise provided, all such bonds must allow any person aggrieved by the bondholder’s breach of the conditions of the bond to proceed against the bond.

§ 1-07 Liability Insurance.

Every licensee required to have liability insurance must obtain a liability insurance policy that obligates the insurer to notify the License Issuance Division of the Department if the policy is canceled or if the insured fails to renew 30 days prior to the expiration of the policy.

§ 1-08 Change of Address.

A licensee shall notify the Department in writing of any change of address within 10 days of the change. This requirement applies to the address of the licensed business, and to the residence addresses of: individual licensees; all partners of partnership licensees; and the officers and principal stockholders of corporate licensees.

§ 1-09 Late Renewal.

Any application for a license renewal that is filed sixty days or more after the expiration date of such license shall be treated as a new license application.

§ 1-10 Lost or Mutilated Licenses and License Plates and Lost or Stolen Records.

(a) Lost license or license plate. A licensee shall immediately report, in an affidavit, the loss of a license or license plate issued to him or her by the Department, requesting the issuance of a new license or plate. Replacement licenses and plates are issued at the discretion of the Department.
  1. Mutilated license or license plate. Should a license or license plate issued by the Department to any licensee become mutilated or otherwise illegible, the holder of the license or plate shall promptly surrender it to the Department and request the issuance of a new license or plate. The request shall be made upon a form provided by the Department.
  2. Fee. A fee of fifteen dollars ($15) shall be charged for the issuance of a replacement license, and a fee of twenty-five dollars ($25) shall be charged for the issuance of a replacement license plate. This fee shall be paid when the affidavit for a lost license or plate is filed or when a mutilated or otherwise illegible license or plate is surrendered and a request for the issuance of a new license or plate is filed. This fee will be refunded should the Department decide not to issue the replacement license or plate.
  3. Lost or stolen records. A licensee shall report to the Department, in an affidavit, the loss or theft of any records required to be maintained by it under Chapters 1 and 2 of Title 20 of the New York City Administrative Code, within ten calendar days of such loss or theft.

§ 1-11 Dishonored Check Fee.

Any licensee or license applicant who, in payment of a license fee, renewal fee, fine or other fee or charge assessed by the Department, tenders or causes to be tendered to the Department a check or other item that is subsequently dishonored, shall pay to the Department, in addition to any other fees or penalties provided by law, the amount of any fee for a dishonored check or other item that is charged to the Department for such check or item.

§ 1-12 Compliance with the Consumer Protection Law.

Every licensee and applicant must comply with the Consumer Protection Law of 1969, as amended, and all regulations promulgated under that law.

§ 1-13 Response to Complaints.

A licensee or license applicant must respond in writing to the Department about any complaint sent to the licensee or applicant by the Department. The response must be made within 20 days of the date the complaint is sent to the licensee or applicant and must set forth the licensee’s or applicant’s position regarding the transaction which is the subject of the complaint, including the facts which the licensee or applicant believes justify its position. The licensee or applicant must respond to subsequent communications from the Department concerning the complaint within 10 days after receiving a communication.

§ 1-14 Notice of Hearing and Subpoena Duces Tecum.

A licensee must appear in person at the Department to answer a notice of hearing or a subpoena duces tecum served upon that licensee. If the licensee is an individual, he or she must appear; if a partnership, one of its general partners must appear; and if a corporation, one of its officers must appear. A notice of hearing or subpoena duces tecum may be served by ordinary mail addressed to the licensee’s place of business. They may also be served by ordinary mail addressed to the residence of an individual licensee; the residence of a general partner of a partnership licensee; or the residence of an officer or principal stockholder of a corporate licensee.

§ 1-15 Judgments.

A licensee or license applicant must satisfy any outstanding judgment against him or her that has been obtained by a consumer and that relates to activities for which a license is required:

  1. within thirty (30) days from the date of entry of the judgment; or
  2. if the judgment has been stayed or appealed, within thirty (30) days from the date the stay is lifted or the appeal decided; or
  3. according to a payment schedule the parties agree upon.

§ 1-16 Inspection of Records and Business Premises.

(a) Every licensee shall maintain the records which it is required to maintain under Chapters 1 and 2 of Title 20 of the New York City Administrative Code and the regulations promulgated thereunder, and, except as otherwise set forth in said chapters or regulations, shall retain such records for three years. Licensees shall make such records available for inspection at the offices of the Department of Consumer Affairs, or at licensee's place of business, during business hours.
  1. The Commissioner or authorized representatives of the Commissioner may enter the business premises of a licensee during business hours for the purposes of:

   (1) Inspecting or examining licensee’s place of business in order to verify compliance with the provisions of Chapters 1 and 2 of Title 20 of the New York City Administrative Code and the regulations promulgated thereunder; and

   (2) Inspecting or examining any records or documents licensee is required to maintain pursuant to said chapters and regulations; and

   (3) Inspecting or examining non-public areas of licensee’s place of business for the purposes stated in paragraph (b)(1) above.

  1. Inspections of the type described above will be conducted at least once in every two-year period, and additional inspections will be conducted if an inspection reveals alleged violations of Chapters 1 and 2 of Title 20 of the New York City Administrative Code or the regulations promulgated thereunder. Additional inspections shall also be conducted whenever the Department receives information alleging violation of said chapters or regulations.

§ 1-17 Wearing of Badge Prohibited.

No licensee or employee or agent of such licensee shall purchase, procure, or have made, or shall wear, display, carry, possess or exhibit any badge, insignia, shield, medal, decoration or facsimile thereof that in any way denotes, suggests, implies or could lead anyone to believe it confers or represents its wearer has an official or governmental status, except when required to do so by law or rule, nor shall a licensee in any way permit, authorize, encourage, acquiesce or consent to, any employee or agent doing so.

§ 1-18 Surrender of Identification Documents Issued by the Department.

Whenever any licensee has not renewed a license upon its expiration, such former licensee shall, within not later than 10 business days after the expiration of such license, destroy all license and identification documents that have been issued to such licensee and to any of its employees or agents.

§ 1-19 Presumption of Continued Unlicensed Activity.

(a) Unless otherwise specified in the notice, if the Department, on notice, charges a business or individual with engaging in activity without a license required under Chapter 2 of Title 20 of the New York City Administrative Code or under provisions of state law enforced by the Department, there shall be a rebuttable presumption that the unlicensed activity continued every day, without interruption, from the date specified by the Department in the notice as the first date of unlicensed activity through the hearing date.
  1. The first date of unlicensed activity specified by the Department in the notice may be the date of an inspection at which unlicensed activity is identified or any other date on which unlicensed activity first occurred, such as the date the business or individual entered into a contract to conduct business for which a license was required or the first date a business or individual advertised or offered services for which a license was required.
  2. Regardless of the date specified by the Department in the notice, if the Department presents at the hearing a copy of a decision or order from a prior proceeding finding that the business or individual engaged in the same unlicensed activity, or a copy of a settlement from a prior proceeding resolving a charge of the same unlicensed activity, there shall be a rebuttable presumption that the unlicensed activity continued every day, without interruption, from the date of the decision, order or settlement through the date of the hearing, unless the decision, order or settlement specifically provides otherwise.
  3. A party may present credible evidence at the hearing to rebut the presumption of continued unlicensed activity, such as written proof that the party obtained a license; receipts or other documentation indicating that merchandise was returned to distributors; written termination of leases or agreements; or photographs demonstrating the discontinuance of the unlicensed activity.

§ 1-20 Non-Payment of Civil Penalties.

(a) The Commissioner may deny a new or renewal application for any license, permit or registration, and may revoke, suspend, cancel, or terminate any license, permit or registration, if (i) the applicant, licensee, permittee or registrant has failed to timely pay civil penalties imposed by a tribunal of the New York City Office of Administrative Trials and Hearings (OATH), and (ii) an agency has provided the Commissioner with the following information: the name, address, Department license number and license category, where applicable, and information sufficient to determine the delinquency and monetary amount of the outstanding civil penalties owed by the applicant, licensee, permittee or registrant.
  1. In determining whether to exercise the power granted by paragraph (a) of this section, the Commissioner shall consider the amount of time that has passed since the applicant, licensee, permittee or registrant failed to satisfy a final judgment, order or decision imposing civil penalties from OATH, the amount of the outstanding civil penalties, whether the applicant, licensee, permittee or registrant has committed a series of violations, and any such other matters as justice may require, as follows:

   1. New applications for licenses, permits or registrations may be denied where there is an outstanding final judgment, order, or decision of any amount older than thirty (30) days.

   2. Licenses, permits or registrations may be suspended, and renewal applications denied, where outstanding final judgments, orders, or decisions are:

      A. Older than sixty (60) days; and

      B. Five hundred dollars ($500) or more.

   3. Licenses, permits or registrations may be revoked or cancelled where outstanding final judgments, orders, or decisions are:

      A. Older than ninety (90) days; and

      B. One thousand dollars ($1,000) or more; and

      C. The applicant, licensee, permittee or registrant violated any provision the enforcement of which is within the jurisdiction of the Department in the previous five (5) years.

  1. If the applicant, licensee, permittee or registrant breaches the terms of a settlement agreement or payment plan reached with the City for satisfaction of a final judgment, order or decision imposing civil penalties, time will be calculated from the date of the breach or first missed payment, unless otherwise set forth in the agreement.
  2. For purposes of this subsection, a judgment, order or decision imposing civil penalties from OATH is considered “final” when:

   1. An appeal or motion to vacate challenging the judgment, order, or decision has been resolved;

   2. The entity or legal representative against whom the judgment, order or decision was imposed fails to appeal within the time allotted by OATH; or

   3. The entity or legal representative against whom the judgment, order or decision was entered on default fails to move to vacate the judgment, order or decision within sixty (60) of the date entered.

§ 1-21 Injurious Conduct by Licensees.

(a) No licensee, or employee or agent of a licensee, shall assault, menace, unlawfully imprison, or harass, or attempt to assault, menace, unlawfully imprison, or harass, any employee of the Department engaged in carrying out any duty for the Department.
  1. In addition to any of the powers that may be exercised by the commissioner pursuant to any other provision of law or rule, upon the issuance of a summons alleging a violation of subdivision (a) by a licensee, or employee or agent of a licensee, the commissioner may suspend any license held by the licensee, subject to a prompt post-suspension hearing held no more than 7 business days after the suspension.
  2. At the post-suspension hearing prescribed by subdivision (b) of this section, the Department may request continued suspension or revocation of any license held by the licensee.
  3. As used in this section, the following terms shall be defined as follows:

   (1) “Assault” shall mean to intentionally or recklessly cause physical injury to another person.

   (2) “Menace” shall mean to intentionally place another person in reasonable fear of physical injury.

   (3) “Unlawfully imprison” shall mean to restrict a person’s movements intentionally and unlawfully in such manner as to interfere substantially with his or her liberty by moving him or her from one place to another, or by confining him or her either in the place where the restriction commences or in a place to which he or she has been moved, without consent and with knowledge that the restriction is unlawful. A person is so moved or confined “without consent” when such is accomplished by physical force, intimidation or deception.

   (4) “Harass” shall mean to intentionally and repeatedly harass another person by following such person in or about a public place or places or by engaging in a course of conduct or by repeatedly committing acts which places such person in reasonable fear of physical injury.

Chapter 3: Weights and Measures

Subchapter A: Definitions and Labeling Requirements

§ 3-01 Definitions.

Container. “A container”, as used in these regulations, shall include any carton, box, crate, barrel, half-barrel, hamper, keg, drum, jar, jug, crock, bottle, bag, basket, pail, can, wrapper, parcel or package.

§ 3-02 Prominence and Placement.

All information required by these rules and regulations to appear on a container shall be prominent, definite and plain and shall be conspicuous as to size and style of letters and numbers and as to color of letters and numbers in contrast to color of background. The declaration of identity, if required, and the net quantity statement shall appear on the principal display panel. The name and address of the manufacturer, packer or distributor shall appear either on the principal display panel or on any other appropriate panel. Any required information that is either in hand lettering or hand script shall be entirely clear and equal to printing in legibility.

§ 3-03 Declaration of Identity.

Any commodity sold or offered for sale in a container shall bear on the outside or top thereof a definite, plain and conspicuous declaration of the identity of the commodity unless the same can easily be identified through the container. Such identification shall positively identify the commodity by its common or usual name, description, generic term or the like.

§ 3-04 Declaration of Quantity.

Any commodity sold or offered for sale in a container shall bear on the outside or top thereof a definite, plain and conspicuous declaration of the net quantity of the contents in terms of weight, measure or count except where otherwise provided by law.

§ 3-05 Declaration of Responsibility.

Any commodity sold or offered for sale in a container shall bear on the outside or top thereof a definite, plain and conspicuous declaration of the name and place of business of the manufacturer, packer or distributor.

§ 3-06 Correct Marking in Units of Weight or Measure.

(a) Prescribed units. A declaration of quantity shall be expressed in terms of the largest whole unit of weight or measure (for example, 1 quart liquid shall be expressed as "1 quart liquid" and not as "2 pints liquid" or "32 fluid ounces"). However, when this results in a whole number and a fraction, the fraction may be expressed in its equivalent in the next smaller whole unit (for example, 1 3/4 quarts liquid may be expressed as "1 quart 1 1/2 pints liquid" or "1 quart 1 pint 8 fluid ounces," but not as "1 quart 24 fluid ounces" 1 1/4 pounds may be expressed as "1 pound 4 ounces").
  1. When the commodity is liquid, the markings shall be in terms of liquid measure: when the commodity is solid, semi-solid, viscous, or a mixture of solid and liquid, the markings shall be in terms of weight, (except where otherwise provided by the Commissioner), provided that if the commodity is packaged in an aerosol container, the declaration shall be in terms of net weight (including the propellant).
  2. Where packaged food or food products are sold or offered for sale with quantity representations in decimals, an adequate equivalent weight chart shall be posted at or near the items so sold or offered for sale.
  3. When a food product is packaged in a liquid preservative or is enclosed along with a packing substance, the net quantity of such food product shall be expressed in terms of the drained net weight of the food product when removed from the container, exclusive of the liquid preservative or the packing substance.

§ 3-07 Qualifying Words Prohibited.

When commodities are sold or offered for sale by weight, measure or numerical count, and the containers are so marked, no qualifying word or phrase or clause shall be used. Statements such as “Minimum weight,” “Not less than,” “Average,” “When packed,” or similar qualifying phrases are prohibited nor shall any unit of weight, measure or count be qualified by any term (such as “Jumbo,” “Giant,” “Full” or the like) that tends to exaggerate the amount of commodity.

§ 3-08 Units with Two or More Meanings.

When any unit of weight or measure having two or more distinct meanings is employed in a declaration of quantity, the declaration shall identify the particular meaning of the term as it is employed in the declaration. For example, distinction shall be made between “avoirdupois” and “fluid” ounces and between “liquid” and “dry” quarts and pints. However, such distinction may be omitted when, by association of terms (as in “1 pound 4 ounces” or “1 pint 8 fluid ounces”), the proper meaning is obvious.

§ 3-09 Count to be Supplemented.

A declaration of quantity in terms of count shall be supplemented by a declaration of the weight, measure or size of the individual units of the commodity or of the total weight or measure of the commodity, unless a declaration of count alone is fully informative to the consumer.

§ 3-10 Weight or Measure to be Supplemented.

A declaration of quantity in terms of weight or measure shall be supplemented by a declaration of the count or size of the individual units of the commodity, unless a declaration of weight or measure alone is fully informative to the consumer.

§ 3-11 Metric System.

A declaration of weight or measure in United States customary units may be supplemented by a declaration in units of the metric system.

§ 3-12 Language.

All information required by these rules and regulations to appear on a container shall appear thereon in the English language. A translation in any language other than English of such information may supplement the representations on the container to provide fuller consumer information.

Subchapter B: Weights and Measures In General

§ 3-21 Display of Price by Quantity Required.

Any commodity sold, exposed for sale or offered for sale at retail, shall be plainly marked by stamp, tag, label, or sign at the point of display as follows:

  1. Any commodity, whether edible or inedible, sold by weight, standard measure, or numerical count, shall be marked so as to display its total selling price.
  2. The following commodities, however packaged or contained when offered for retail sale, shall indicate the appropriate price per measure as well as the total selling price: (1) meat and fish

   (2) bread

   (3) cereals

   (4) cooking oils

   (5) carbonated soft drinks and beer

   (6) napkins, facial tissue and toilet tissue

  1. The appropriate price per measure shall be defined as:

   (1) the price per pound for non-liquid items measured by weight

   (2) the price per quart for liquids

   (3) the price per fifty units for non-liquid products sold by numerical count.

§ 3-22 Specifications, Tolerances and Regulations Relating to Weights and Meas- ures.

The specifications, tolerances and regulations, as specified in Handbook #44 and amendments thereto as recommended by the National Bureau of Standards, shall apply to all weights, measures and weighing and measuring devices now or hereafter in the city of New York, or now or hereafter offered for sale, hire or award, sold or used in the city of New York.

§ 3-23 Use of Weighing and Measuring Devices.

No person, firm, or corporation shall, in buying or selling any commodity by weight or measure, use or have in his possession any weight, measure, measuring device, meter, meter systems, scales, patent balances, steel yards or other instruments which shall not conform to the standards prescribed by law, nor shall any person, firm or corporation use, in the weighing or measuring of any commodity, any scale, balance, measure, measuring device, meter, platform scale or other instrument which shall be out of order or incorrect, or is not in balance.

§ 3-24 Use of Scales or Measuring Devices in Stores and Markets in the City of New York.

(a) A hanging scale shall be suspended from a stationary support, so that the face or dial of the scale is in full view of the public.
  1. A hanging spring scale shall be so suspended that the top or inside of the plate, scoop or pan shall be in clear view of the public, no higher than 5 feet 6 inches and no lower than 4 feet 6 inches from the ground or floor.
  2. When the buyer and seller are on opposite sides of the counter, all scales, or other weighing or measuring devices used in the premises shall be so placed that they are between the buyer and seller and the dials or faces of such devices shall be in full view of the buyer.
  3. Counter spring scales, counter patent or counter computing scales shall be so placed or positioned that the dials or weight indicators shall be no more than 5 feet 6 inches and no less than 4 feet 6 inches from the ground or floor.
  4. No commodity, article, or thing shall be set, placed or displayed within 10 inches of all extremities of the scale, weighing or measuring device, and no part of any scale, weighing or measuring device used to weigh or measure any commodity shall be obstructed from the full and complete view of the public.
    1. Wherever food or food products are packaged or wrapped for sale by a retailer in advance of being sold, offered for sale or exposed for sale or wherever meat, poultry or fish in containers are sold, offered for sale or exposed for sale, an accurate computing scale of adequate capacity shall be placed so as to be easily available to customers. This computing scale shall not be placed more than 30 feet from the pre-packaged display counter.

   (2) A prominent and conspicuous sign or poster, legibly imprinted as below, shall be posted on or above the customer scale:

      FOR CUSTOMER USE REWEIGH YOUR PURCHASES HERE

   (3) In any case where the scale is more than 30 feet from the point where any such goods are displayed or offered for sale, a prominent and conspicuous sign or signs shall be posted within 30 feet of such point of display or offer in the following form:

      REWEIGH YOUR PURCHASES AT THE CUSTOMER SCALE LOCATED AT ____________

   (4) “Customer Scales” shall be color-striped in red in such a manner as to permit them to be readily located. The stripes shall be no less than one half inch nor more than two inches in width.

   (5) The actual location of the “customer scale” must be accessible to the consumer.

   (6) The requirements as to correctness, accuracy, location and other restrictions relating to weighing and measuring devices shall also apply to those devices described as “for customer use.”

   (7) A scale designated “for customer use” shall be maintained for the sole use of customers.

    1. Where these prepackaged items are marked in decimals, an adequate equivalency chart shall be posted at the reweighing scale or measuring device in full view of the public.

   (2) All “customer” computing scales required by subdivision (f) above must provide information for a price per pound capacity at least equal to two dollars per pound or to one half the highest price per pound actually charged for products covered by said subdivision (f), whichever is higher. In those cases where the information included on the scale does not meet this requirement, a supplemental cover or chart must be provided to supply this information.

   (3) Equivalency weight charts and covers or charts shall be imprinted with letters and numerals that are easily readable.

§ 3-25 Inspection Certificates.

All owners or users of weighing or measuring devices shall retain, for one year, the inspection certificate issued to them by the Inspector of the Bureau of Weights and Measures as evidence that these devices have been tested and sealed in accordance with law.

§ 3-26 Oscillation of Weighing Devices.

No person selling or offering for sale a commodity by net weight shall quote or state the net weight or the total selling price of such commodity being sold or offered for sale unless the weight indicator of the weighing device on which it is being weighed is at rest.

§ 3-27 Fees for Testing Weighing and Measuring Devices.

Fees for the testing and measuring of weights and measures and weighing and measuring devices shall be paid to the department within ten days of the billing date.

§ 3-28 Inspection Fees for Testing and Sealing Weighing and Measuring Devices.

Every commercial establishment using a weighing or measuring device, weight or measure to determine the quantity of a product sold, offered for sale, purchased or offered for purchase, or to determine a service charge based on weight or measure of any kind shall submit in writing to the department a notice of the installation of any additional new, used, rebuilt or repaired weighing or measuring device or the substitution of a new, used or rebuilt weighing or measuring device subsequent to the last inspection, testing and sealing of the devices on the premises. Such notice shall be submitted within three days of such installation.

Subchapter C: Food Products

§ 3-41 Markings on Prepackaged Foods.

All food and food products which are packaged or wrapped by the retailer in advance of being exposed or offered for sale by the retailer shall be accurately marked with

  1. the net weight or standard measure or numerical count;
  2. the selling price per pound or unit of standard measure, and
  3. the total selling price.

§ 3-42 Notices of Bread Weight.

(a) All wrapped and unwrapped breads, except those specifically exempted by law, shall be labeled clearly, plainly and conspicuously as to net weight, kind of bread and the name and address of the manufacturer or distributor, except that, when bread is sold or offered for sale in the premises of the manufacturer, only the kind of bread and the net weight are required on the loaf and such information may be given on a posted notice in English and, if a different language is spoken, also the language or languages of the neighborhood. Such notice shall be conspicuous, in plain view of the buyer and in close proximity to each size and kind of bread offered for sale in the premises.
  1. Bread cut from a loaf shall be weighed in the presence of the buyer and sold by net weight.

§ 3-43 Cookies and Crackers.

Containers of cookies and crackers, the contents of which weigh over three ounces net weight, must be marked in terms of net weight. Containers, the contents of which weigh three ounces or less net weight, which contain more than six cookies or crackers, shall be marked in terms of net weight or numerical count.

§ 3-44 Candy.

Candy in containers must be marked to show the net weight of the contents.

§ 3-45 Sale, Labeling and Advertising of Milk, Cream and Substitutes Thereof.

(a) Definitions and standards of identity.

   Melloream or a vegetable oil blend. As used in this section, the terms “melloream” or a “vegetable oil blend” mean any substance, mixture or compound regardless of the name by which it is represented, which contains vegetable fats or oils and proteins derived from animal or vegetable sources, and whose appearance, odor and taste is similar to cream, half and half, milk or a mixture of milk and cream, to the point of rendering these products difficult to differentiate from each other.

  1. Labeling of melloream and vegetable oil blends. Whenever the brand name of melloream or a vegetable oil blend, as defined in subdivision (a) appears on the container so conspicuously as to be seen under customary conditions of purchase, there shall immediately and conspicuously precede or follow the brand name or product designation, without intervening written, printed or graphic matter, in letters at least one-third the size of the brand name on a contrasting background, any one of the following statements: “melloream,” “a vegetable oil blend,” “a vegetable oil product,” “not a dairy product,” “contains no milk or milk fat.” There shall also appear on the label an accurate list of ingredients.
  2. Serving melloream, vegetable oil blends and cream in restaurants and other public eating places. Whenever melloream, a vegetable oil blend, cream, half and half, milk or a mixture of milk and cream is served in a restaurant, hotel, boarding house, lunch counter, place of entertainment, public eating place or any establishment where food is sold for consumption on the premises, the name of the product served should be clearly stated by label, sign or menu statement in a manner likely to be read by the customer.

§ 3-46 Sale of Eggs to Retailers.

(a) Any person selling eggs to a re-tailer shall furnish to him an invoice, prior to or accompanying the delivery, specifying the grade and size according to the New York Retail Egg Grades.
  1. Invoice. This shall be understood to mean a statement bearing the name and address of the wholesaler or jobber, the name and address of the retailer, the date of delivery and the grade and size of each lot of eggs.
  2. Each lot of eggs covered by an invoice must be listed separately and the grade and size stated.

§ 3-47 Advertising of Eggs.

An advertisement of eggs for sale at a given price shall plainly and conspicuously indicate the grade and size.

§ 3-48 Sale of Eggs to Consumer.

Any person exposing for sale or offering for sale eggs to a consumer shall give notice of the exact grade and size of the eggs in the following manner:

If the eggs are offered or exposed for sale in cartons or other containers, by plainly and conspicuously printing or writing on each carton or container an exact grade and size.

If the eggs are offered or displayed for sale in bulk, by plainly and conspicuously indicating the exact grade and size by a placard exhibited among or closely adjacent to the eggs.

§ 3-49 Marking of the Grade.

The marking of the grade and size upon any placard as to eggs offered or displayed for sale in bulk, or upon any carton, bag or other container in which eggs are exposed for sale or delivered to the purchaser, shall be in legible printing or writing in letters not less than 3/8 inch in height, and the size designation shall not be abbreviated.

§ 3-50 Use of the Term “Fresh”.

The use of the term “fresh” or any other term of similar import shall not be deemed to be a substitute for grade designation.

§ 3-51 Weights and Size of Eggs.

Terms designating weight and size must be applied to each lot of eggs in connection with a sale, offering for sale or advertisement for sale. The following terms shall be used according to the weights given:

Size or Weight Class Minimum Net Weight Per Dozen Minimum Net Weight Per 30 Dozen Minimum Weight for Individual Eggs at Rate Per Dozen
Jumbo 30 ounces or over 56 pounds 29 ounces
Extra large 27-30 ounces 501/2 pounds 26 ounces
Large 24-27 ounces 45 pounds 23 ounces
Medium 21-24 ounces 391/2 pounds 20 ounces
Small 18-21 ounces 34 pounds 17 ounces
Peewee 15-18 ounces 28 pounds  

~

Any person selling, offering or exposing for sale eggs to a consumer shall post conspicuously a plain, clear and legibly printed sign at the point of display setting forth the denominations of size and related weight range per dozen of each hereinabove described.

§ 3-52 Markings on Standard Containers.

Standard containers for small fruits, berries and vegetables, so designated and defined by Congress and by the New York Agriculture and Markets Law, must be marked with the standard name of such container unless marked in terms of weight, count or other standard of dry measure.

§ 3-53 Sales of Fruits, Vegetables, Grains and Nuts.

Except when sold in the original container, fruit, vegetables, grains and nuts shall be sold at retail by avoirdupois weight or numerical count. The words “original container” as used in this section shall mean any container or integral thereof, which integral is a smaller container, the contents of which have not been removed or repacked by the retailer. Any such original container must be plainly and conspicuously marked to show the net quantity of the contents thereof in terms of net weight, standard measure or numerical count.

§ 3-54 Meat, Poultry and Fish.

Except for immediate consumption on the premises where sold or as one of several elements comprising a ready-to-eat meal sold as a unit for consumption elsewhere than on the premises where sold, all meat, meat food products, poultry (whole or parts) and all seafood, except shellfish, offered or exposed for sale or sold as food shall be offered or exposed for sale by net weight.

§ 3-55 Labeling of Frozen, Defrosted or Thawed, and Refrozen Meat, Poultry, Fish and Products Thereof.

(a) Definitions. Whenever used in this section the following terms mean or include:

Defrosted (Thawed). “Defrosted (thawed)” shall mean the physical state of a food product which, having been frozen, is exposed to a temperature which produces a flexible condition and liquefication of the fluids of the food product.

Frozen. “Frozen” shall mean the physical state of a food product resulting from exposure to a temperature which produces a rigid condition and ice crystallization of the fluids of the food product.

Refrozen. “Refrozen” shall mean the physical state of a food product, which has been frozen, defrosted or thawed, and frozen, in that order, as those terms are hereinabove defined in this subdivision (a).

  1. Labeling for retail sale. Meat, poultry, fish and products thereof in which such meat, poultry or fish is the predominant ingredient of such product, whether packaged or not, which has been manufactured, processed or prepared in a frozen condition and which is sold or offered or exposed for sale at retail, shall be correctly labeled as “frozen,” either “defrosted” or “thawed,” or “refrozen.” Such labeling shall be by poster, sign, tag or other notice at, on or near these foods and food products. Such labeling shall be plain, clear and conspicuous.
  2. Delivery of tickets and invoices.

   (1) All packers, processors, manufacturers, wholesalers, distributors and jobbers of meat, poultry, fish and the products thereof in which such meat, poultry or fish is the predominant ingredient of such product, whether packaged or not, which has been manufactured, processed or prepared in a frozen condition, shall correctly mark all delivery tickets and invoices as “frozen,” either “defrosted” or “thawed,” or “refrozen,” according to the condition of such food or food products at the time of delivery to the retailer.

   (2) All retailers shall keep all delivery tickets and invoices, marked as hereinabove required in paragraph (1) of this subdivision (c), available for inspection on the premises where such food or food products are being sold or offered or exposed for sale at the time of such sale, and at those premises or at another New York City office for a period of two years thereafter.

§ 3-56 Sale of Meat Ground Upon Request by Customer.

All meats purchased in original cuts, whether prepackaged or cut to order and then requested to be ground on the premises, shall be ground in a meat grinder which shall be in open view of the public.

§ 3-57 Colored Lighting of Meats.

There shall be no colored lights or spotlights in, on, near or above the meat display case or show case which make the food products contained therein appear better than they actually are.

§ 3-58 Colored and Misleading Containers.

(a) No food product shall be sold, offered for sale or exposed for sale in a container so made, formed, colored or filled as to be misleading or which makes the food product appear better than it actually is.
  1. Transparent or semitransparent wrappings or coverings for use in packaging of cured, cured and smoked, or cured and cooked sausage products and sliced meat products must provide for at least 50 percent of the total product surface being visible through a wrapper or covering that is free of -color, print or graphic material to ensure that the actual color of the product is easily recognized.
  2. Processed meats and meat products, other than processed sausages and sliced meat products, packaged in wrappings or containers bearing an inspection legend of the United States Department of Agriculture or the New York State Department of Agriculture and Markets, shall be deemed to comply with the requirements of subdivision (a).
  3. Processed meats and meat products, other than processed sausages and sliced meat products, packaged in wrappings or containers of a kind and type permitted by the United States Department of Agriculture or the New York State Department of Agriculture and Markets, shall be deemed to comply with the requirements of sub- division (a).

§ 3-59 Cooked or Smoked Sausages.

(a) Definitions.

Cooked or Smoked Sausage. Whenever used in this section, the term “cooked or smoked sausage” shall mean or include “frankfurter,” “wiener,” “vienna,” “bologna,” “garlic bologna,” “knockwurst” and similar sausages which are comminuted semi-solid meat food products prepared from one or more kinds of meat or meat and meat by-products, poultry products and other ingredients as permitted by this section.

  1. Standard for cooked or smoked sausage. It shall be unlawful for any person to sell or offer for sale cooked or smoked sausages unless such products comply with the following specifications. The cooked or smoked sausage products:

   (1) shall not contain more than 30 percent fat;

   (2) may contain binders or extenders, but individually or collectively they shall not exceed 3 1/2 percent of the total ingredients in the sausage except that 2 percent of isolated soy protein shall be deemed to be the equivalent of 3 1/2 percent of other binders or extenders;

   (3) may not contain more than 10 percent of added water; and

   (4) may contain poultry products which, individually or in combination, are not in excess of 15 percent of the total ingredients, excluding water in cooked or smoked sausage. For purposes of this paragraph (4), poultry products means chicken or turkey, chicken or turkey meat, or chicken or turkey by-products.

  1. Labeling and advertising of cooked or smoked sausages. It shall be unlawful for any person to sell or offer for sale cooked or smoked sausages unless the labeling, advertising and representations made concerning such sausages conform to the following provisions:

   (1) cooked or smoked sausages containing poultry products must state such content in the ingredient statement on the label of the package in which they are sold;

   (2) cooked or smoked sausages labeled, advertised or represented as “all meat” shall contain only beef, pork, veal, mutton, lamb or goat meat, or chicken or turkey meat, or any combination thereof consistent with this section and condiments, curing agents and water as permitted in this article; and

   (3) cooked or smoked sausages labeled, advertised or represented as “all (species),” e.g., “All Beef Franks,” or “All Pork Franks,” shall contain only meat of the specified species, with condiments, curing agents and water as permitted by this section.

§ 3-60 Required Sign for Meats Prepackaged on Premises.

(a)  The sign required to be posted by § 20-682 of the Administrative Code of the City of New York at the point of display of any prepackaged unprocessed or untreated fresh or frozen meat, except ground meat, to inform consumers of the right to a refund or exchange if such product was unsatisfactory shall:

   (i) read substantially as follows:

      “SATISFACTION GUARANTEED” (In capital block letters at least 3/4 inch high bold face type).

      “IF YOU ARE DISSATISFIED WITH A MEAT PURCHASE THAT WAS PREPACKAGED IN THIS STORE, PLEASE RETURN IT WITH PROOF OF PURCHASE AND WE WILL REPLACE IT OR PROVIDE A FULL REFUND AS REQUIRED BY LAW.” (In capital block letters at least 1/2 inch high.)

   (ii) be not less than 11 inches by 17 inches in size.

Subchapter D: All Other Products and Services

§ 3-71 Advertising of Ladders.

(a) All advertisement of ladders in newspapers, magazines or other publications, catalogues, circulars, pamphlets or on other such written notices as signs, placards or posters which state the overall height dimension must also specify the usable height dimension of the ladders so advertised where such dimension differs from the overall height dimension.
  1. All cards, tags, labels or other such written statements on ladders which state the overall height dimension must also specify the usable height dimension of the ladders to which they are attached when this dimension differs from the overall height dimension.

§ 3-72 Weighing Devices in Laundries.

All commercial laundries per forming, selling or offering for sale laundry services on the basis of weight shall have legal scales of approved type and design properly tested and sealed in their premises.

§ 3-73 Paints, Oils and Varnishes.

The labels on containers of paints, oils, varnishes, japans and similar commodities must be marked in one of the following ways:

  1. Weight of the contents in terms of pounds and ounces.
  2. Fluid contents in terms of gallons, quarts, pints, half-pints and gills or fractional parts of these.

§ 3-74 Paper Napkins and Paper Towels.

The declaration of quantity on a package of paper napkins or paper towels shall indicate the numerical count and the dimensions of the individual napkins or towels contained in the package.

§ 3-75 Writing Paper, Notebook Paper, Envelopes.

The declaration of quantity on a package of writing paper, notebook paper or envelopes shall indicate the number of sheets or envelopes, as the case may be, in the package. When envelopes are included in a package of writing paper, the declaration shall indicate both the number of sheets of paper and the number of envelopes. The size of the lettering setting forth the number of sheets shall be equal to or greater than any other quantity representation on the package.

§ 3-76 Tablets and Books of Writing Paper.

The declaration of quantity on a package of tablets or books of writing paper shall indicate the number of tablets or books in the package.

§ 3-77 Wrapping Paper.

The declaration of quantity on a package of wrapping paper in sheet form may be in terms of either numerical count or net weight. If the declaration is in terms of numerical count, it shall indicate both the dimensions of an individual sheet and the number of sheets in the package.

§ 3-78 Facial Tissues.

The declaration of quantity on a package of facial tissues shall indicate the numerical count of usable units (a sheet of two or three ply shall be considered a single usable unit) and the dimensions of the individual unit.

§ 3-79 Toilet Tissues.

The declaration of quantity on a package of toilet tissues in roll or sheet form shall indicate the numerical count of usable units (a sheet of two or three ply shall be considered a single usable unit) and the dimensions of the individual unit.

§ 3-80 Supplementary Quantity Declaration.

Any declaration or statement relating to the quantity of contents of a package of paper product that is in addition to or supplementary to the declaration required by these regulations shall be in juxtaposition with and shall be subordinated to the required declaration; provided, that no supplementary declaration of the number of “single-ply sheets” in a package containing a “multiple-ply” product shall be permitted.

§ 3-81 Purchase of Gold, Silver or Precious Metal.

Any person, firm or corporation engaged in the business of purchasing old or used gold, silver or other precious metal, as defined by the United States Federal Trade Commission, shall, at the time of purchase, inform the seller of the troy weight of the gold, silver or other precious metal offered for purchase, the price per unit weight used to compute the purchase price and the quality of the gold, silver or other precious metal so offered for purchase.

§ 3-82 Cost of Prescriptions.

Any pharmacist must, upon request, indicate to the holder of a prescription the cost of such prescription before it is filled or compounded.

§ 3-83 Woolen Yarn.

Woolen yarn must be sold either by weight or by linear measure. If sold in or by the package such package must be definitely, plainly and conspicuously marked to show the linear measure or net weight of the contents.

§ 3-84 Twine, Cordage, Thread and Yarn.

Each ball, tube, bale, bobbin or spool must be marked with the net weight or linear measure of the twine, cordage, thread or yarn contained therein or with the gross and tare weights thereof. If a number of similar balls, tubes, bales, bobbins or spools are sold in a container and are not sold separately, it will be sufficient either to mark the total length or weight on the container together with the number of units in the container or to mark the length or weight of each unit together with the number of units in the container.

§ 3-85 Textile Products – Retail.

Textile yard goods, when sold at retail, must be sold by linear measure and when put up or packaged in advance of sale shall be definitely, plainly and conspicuously marked to show the linear measure of the contents.

§ 3-86 Textile Products – Wholesale.

Textile yard goods when sold for resale or for industrial use must be sold by linear measure or by net weight and when put up or packaged in advance of sale shall be definitely, plainly and conspicuously marked to show the linear measure or net weight of the contents.

Subchapter E: Method of Sale of Fuel Oil

§ 3-91 Delivery Tickets.

All deliveries of fuel oil to purchasers, in vehicle tanks used as measures, shall be recorded by the seller upon forms known as delivery tickets. At the time of delivery, one copy of the delivery ticket shall be left at the point of the delivery. Delivery tickets shall be consecutively numbered and contain the following: date of delivery, name and address of the seller and purchaser, and grade, price per gallon, quantity and total price of oil delivered; provided, however, that a delivery ticket need not set forth the total price if within five days after delivery the seller provides the purchaser with a written statement setting forth all the foregoing information including the total price.

§ 3-92 Marker Capacity.

No deliveries shall be made in excess of the “marker capacity” of the truck or compartment. Every driver of a vehicle tank used as a measure shall have in his possession, and present to the inspector upon request, the calibration chart for the truck from which he is delivering fuel oil, together with loading tickets and delivery tickets for the current day.

§ 3-93 Temperature of the Oil.

All fuels oils with a temperature greater than 60 degrees Fahrenheit shall be sold, offered for sale or delivered on a basis of a temperature reading of 60 degrees Fahrenheit. A tolerance of 25 degrees Fahrenheit will be permitted for Number 4 and 6 oils. A tolerance of 10 degrees Fahrenheit will be permitted for Number 2 oil.

§ 3-94 Printer Tickets.

All deliveries of fuel oil to purchasers thereof, from vehicle tanks equipped with meters, shall be recorded in terms of gallons and grades of oil by means of the ticket printing device upon forms known as “printer tickets.”

§ 3-95 Contents of Printer Tickets.

Such printer tickets shall be consecutively numbered and shall contain the following: date of delivery, name of the customer and the delivery address, truck number, at least the last six digits of the Vehicle Identification Number, sales number, grade, price per gallon and quantity of the oil delivered and the driver’s signature; except that on those truck meters not equipped to print a sales number, the driver must have the initial totalizer readings recorded in ink or typed on his -daily route sheet, and the original totalizer numbers must be kept in the office; or the printer shall print totalizer readings on the delivery ticket; provided, further, that the price per gallon may be omitted on the copy of the delivery ticket required to be left at the point of delivery if a second copy of the delivery ticket, on which the price per gallon is recorded, is mailed or delivered to the purchaser of the fuel oil within 48 hours of delivery.

§ 3-96 Printer Tickets During Delivery.

Every driver or person in charge of a vehicle tank in which fuel oil is being transported or from which it is being delivered shall, before starting the delivery and at the point of delivery only, place the printer tickets into the printer device for the purpose of recording the quantity of fuel oil to be delivered and shall, upon termination of each delivery, effect the completion of the printer ticket and the removal thereof from the printer.

§ 3-97 Delivery Ticket Upon Delivery.

One copy of the delivery ticket shall be left at the point of delivery.

§ 3-98 Measured Liquid Diversion.

Vehicle tanks equipped with meters shall have no by-pass or other device or mechanism attached thereto by which any measured liquid can be diverted from the measuring chamber of the meter or the discharge line therefrom.

§ 3-99 Mechanical Air Eliminators.

Vehicle tanks equipped with meters shall be provided with a mechanical air eliminator adjacent to the meter inlet and shall be so equipped as to prevent air or an emulsion of air and oil from passing through the meter or being delivered to the consumer. The vent from the air eliminator shall terminate in the nearest compartment not more than one inch below the top of the compartment. The vent shall be of rigid material and shall be of the largest size that can be accommodated in the fitting on the air eliminator housing, as designed by the manufacturer. No device shall be provided or used to shut off or otherwise obstruct such vent.

§ 3-100 Delivery Tickets – Quantity Representations.

No person shall issue, or direct the issuance of, or have in his possession delivery tickets showing different quantities of oil for the same delivery or tickets with preprinted quantity representations for undelivered oil.

§ 3-101 Loading Tickets.

When fuel oil is purchased for resale, or is sold, offered for sale or delivered directly to the public by the dealer or owner of a fuel oil bulk plant, the operator of the vehicle transporting or delivering such oil shall retain in his possession during such transportation or delivery and shall exhibit to an inspector, upon request, a ticket commonly known as a “loading ticket,” which must be issued by the seller or his agent, and which shall indicate the grade of fuel oil as well as the quantity. If the temperature of the oil is above 60 degrees Fahrenheit, a volumetric correction to 60 degrees Fahrenheit must be made. A tolerance of 25 degrees Fahrenheit will be permitted for Number 4 and 6 oils. A tolerance of 10 degrees Fahrenheit will be permitted for Number 2 oil.

§ 3-102 Inspection.

Any person engaged in the business of or owning a vehicle used for the delivery of gasoline, kerosene or petroleum products, other than liquefied petroleum gases, in the City of New York, shall submit for inspection, at least annually, at a location and time designated by the Commissioner, the measuring devices and the vehicle tanks used as measures employed to determine the quantity delivered; provided, further, that measuring devices, which have been repaired or condemned and repaired, or whose security seals have been broken, for any reason whatsoever, shall be submitted for reinspection at a location and time designated by the Commissioner and that such procedure shall be applicable to any change or modification of a tank measure.

§ 3-103 Inspection of Printer Tickets.

Any person engaged in the business of delivering fuel oil to purchasers in the City of New York from vehicle tanks equipped with meters must retain a copy of each printer ticket for a period of two years after the corresponding delivery is made. At the time of inspection by the Department, the person must produce, upon request, a copy of any printer ticket delivered to a consumer within the past two years.

Subchapter F: Open Air Street Markets [Repealed]

§ 3-111 Qualifications for Permit. [Repealed]

*§ 3-112 Procurement of Permit. [Repealed]* ::

§ 3-113 Suspension, Revocation and Reissuance. [Repealed]

*§ 3-114 Identification Photographs. [Repealed]* ::

§ 3-115 License Plates. [Repealed]

*§ 3-116 Weekly Rental Fee. [Repealed]* ::

§ 3-117 Sale, Assignment or Sublease of Stand. [Repealed]

*§ 3-118 Commodities and Stands. [Repealed]* ::

§ 3-119 Loss of Permit or Plate. [Repealed]

*§ 3-120 Compliance with Other Laws and Regulations. [Repealed]* ::

§ 3-121 Disposal of Refuse. [Repealed]

*§ 3-122 Obstruction by Pushcarts and Vehicles. [Repealed]* ::

§ 3-123 Obstruction by Merchandise. [Repealed]

*§ 3-124 Attendance. [Repealed]* ::

§ 3-125 Official Hours. [Repealed]

*§ 3-126 Failure to Operate Stand. [Repealed]* ::

§ 3-127 Assistants. [Repealed]

*§ 3-128 Loitering. [Repealed]* ::

§ 3-129 Advertising Signs. [Repealed]

*§ 3-130 Misrepresentation and Discourtesy. [Repealed]* ::

§ 3-131 Rules to be Furnished to Permittees. [Repealed]

Chapter 4: Market Regulations

Subchapter A: Repairs of Second-hand Weighing Or Measuring Devices

§ 4-01 Removal of New York City Security Seal.

Immediately upon the completion of any repairs, or replacement or servicing of any component parts thereof, the licensed repairman shall replace the New York City security seal affixed to a weighing or measuring device.

§ 4-02 Repairman’s Security Seal.

The licensed repairman shall replace the New York City security seal with a security seal, bearing the name or initials of the licensed repairman (company) and his or its license number. Said security seal shall have such information clearly and legibly imprinted on each side of the security seal on the sides visible to any interested person.

§ 4-03 Use of Initials, Abbreviations, Trademarks and Logos.

Any licensed repairman who elects to use initials, abbreviations, trademarks or logos in lieu of his or its full company name, may only do so by first notifying the Commissioner, in writing, in duplicate, of its intention to do so. Said notification must contain an exact replica of the initials, abbreviations, trademark or logo desired. If approved by the Commissioner, one copy of said notification will be returned by the Commissioner to the licensed repairman. The license number must be used in conjunction with said initials, abbreviation, trademark or logo.

§ 4-04 Employees’ Identification Number or Letter.

Each licensed repairman (company) shall, if he or it employs more than one repairman or serviceman, assign an identification number or letter to each such individual. Said identification number or letter must also be imprinted upon the security seal in addition to the information required in 6 RCNY § 4-02.

§ 4-05 New Repairmen and Servicemen.

Each licensed repairman (company) shall notify the Commissioner, in writing, in duplicate, within three (3) business days of the employment of a new repairman or serviceman, and of the number or letter assigned to said employee. The Commissioner shall acknowledge receipt of said notification by return of the duplicate copy to the licensed repairman. Said receipted copies shall be retained by the licensed repairman for a period of two (2) years.

§ 4-06 Cumulative List of Employees. [Repealed]

The sign required to be posted pursuant to § 10-134.2 of the Administrative Code of the City of New York shall contain only the following notice within a black bordered box, with the names and titles of the current City officials set off in a separate box. The italicized text included below is instructional, and is not intended to be part of the text required to be included in the sign.

WARNING-LASER POINTERS: Selling or giving a laser pointer to anyone 18 years of age or under is PROHIBITED BY LAW and punishable as a MISDEMEANOR [to be in 54-point type].

New York City Administrative Code Sec. 10-134.2 [in 16-point italic type].

[Insert Name], Commissioner [in 16-point bold type] Department of Consumer Affairs [in 16-point type]

[Insert Name], Commissioner [in 16-point bold type] Police Department [in 16-point type]

City of New York [in 16-point bold type] [Insert name], Mayor

§ 4-11 Size of Sign.

The sign containing the information specified in 6 RCNY § 4-10 shall not be smaller than eleven inches in length and eight and one-half inches in height, and the letters shall be printed in the font type identified above in italics.

§ 4-12 Posting of Signs.

The sign required to be posted pursuant to § 10-134.2 of the Administrative Code of the City of New York shall be conspicuously placed within ten feet of a retailer’s cash register(s), and shall be clearly visible to consumers prior to the time they pay for their merchandise.

§ 4-15 Number of Signs.

A retailer shall post a sign at each cash register, except that for cash registers that are placed adjacent to each other, a retailer shall post a sign for every group of four such adjacent cash registers.

§ 4-16 Signs in Foreign Languages.

The signs required to be posted pursuant to § 10-134.2 of the Administrative Code of the City of New York shall be in English and shall also be in any other language which the retailer uses to attract customers or to transact business.

Subchapter B*: Language Assistance Notices At Pharmacies

§ 4-11 Content and Form of Language Assistance Sign.*

(a)  The sign required to be posted at chain pharmacies pursuant to § 20-623 of the administrative code of the City of New York to inform limited English-proficient individuals of their rights to language assistance in the seven languages identified biennially by the Department of City Planning shall include the following statement in English and in each of the languages listed: "Point to your language. Language assistance will be provided at no cost to you."
  1. The statement in each of the required languages shall be in 20 point bold faced, Arial type in a color that sharply contrasts with the background color of the sign. Each such statement shall be enclosed in a box, and there shall be at least a 1/4 inch clear space between adjacent boxes.
  2. The statements in all of the required languages shall be printed on one sign that shall be conspicuously displayed on or at each counter where prescription drug orders are dropped off, where they are picked up, and near every cash register where prescription drugs are paid for. Such signs shall be positioned so that a consumer can easily point to the statement identifying the language in which such person is requesting assistance.

Subchapter D: Hamburger and Chopped Meat

§ 4-41 Custom Meat Grinding.

(a) Custom grinding is defined as a grinding, on the premises, of meat purchased either prepackaged or cut to order and ground at the request of the customer.
  1. Meat grinders used for custom grinding shall be so situated that the customer can have a clear and unobstructed view of the grinding from a position not more than 10 feet from the meat grinder.
  2. No box, carton, package, sign, or other material object shall be so placed as to prevent a meat grinder, used for custom grinding, from being in a clear and unobstructed view of the public.
  3. Where a glass partition or other panel is between the meat-grinder and the customer, such partition or panel must be removed at the time of the custom grinding. If the glass is of the transparent type it need not be removed.
  4. At no time between the purchase of meat and the delivery of the custom ground meat shall the meat be removed from the clear and unobstructed view of the customer.
  5. The location of each meat grinder used for custom grinding shall be inspected by the Commissioner of Consumer Affairs or his representative for conformity to the provisions of § 20-670 of the Administrative Code.
  6. Any person who shall violate any of these rules and regulations shall be liable to forfeit and pay a civil penalty in the sum of not more than one hundred dollars for each violation.

§ 4-42 Sale of Hamburger.

(a) Any product sold, offered, exposed or advertised for sale as hamburger shall conform to the requirements of § 20-668 of the Administrative Code of the City of New York (definition of hamburger).
  1. The term “burger” whether used separately, or in conjunction with another term, shall be applied only to hamburger as defined in § 20-668 of the Administrative Code of the City of New York.
  2. Any sign or poster containing a pictorial representation of a product resembling a hamburger shall be construed to be an offer for sale or advertising for sale of hamburger.
  3. This regulation shall apply only to those products prepared for human consumption which contain meat, or which appear to contain meat.

Subchapter E: Retail Sales of Petroleum Products

§ 4-51 Testing and Approval of Pumps and Measuring Devices.

No person, firm or corporation in the business of selling or offering for sale gasoline or other petroleum products, shall use any pump or measuring device, after installation or repair, unless such device has been tested and approved by the Commissioner of Consumer Affairs or an Inspector of the Department.

§ 4-52 Priming of Pumps.

Every person, firm or corporation in the business of selling or offering for sale gasoline or other petroleum products for use in a motor vehicle, shall prime each pump every day before serving the public, and shall have an approved and sealed five (5) gallon test measure on the premises to test these pumps daily. The name and address of the premises shall be indelibly imprinted on the five (5) gallon test measure and such markings shall be clear, legible and in letters not less than one inch in height.

§ 4-53 Official Seal.

The official seal placed on pumps or other measuring devices by an Inspector of the Department, shall not be removed, defaced, or obscured.

§ 4-54 Security Seal.

The security seal attached to the meter adjustment shall remain unbroken, except that a licensed repairman may break the city seal to make necessary repairs or recalibrations. Immediately upon completion of repair, the licensed repairman shall replace the security seal with his own, bearing proper identification. The repairman shall then notify this Department, in writing, within twenty-four hours, of such repair.

§ 4-55 Out-of-Order Pumps.

A sign printed with red letters of at least one inch in height, shall be placed over the dial face of any pump which is not in proper working order. The delivery hose must be disconnected therefrom. The sign shall read as follows:

“THIS PUMP IS OUT OF ORDER.”

§ 4-56 Dispensing Devices.

No sale or offer for sale of gasoline or diesel motor fuel shall be made, at retail, from a dispensing device which has a broken interlock and which does not have on its face or dial, in red letters, the following statement, “Gallon and Total Price Indicators Must Be At Zero When Delivery Is Begun, Under Penalty Of Law.”

§ 4-57 Bottles and Measures.

All bottles and measures, used in measuring and selling petroleum products, shall conform to the following specifications:

  1. All bottles must be legal type with a line blown in the bottle, denoting capacity of bottle.
  2. Dented or damaged standard liquid measures are prohibited.
  3. Vendors shall not deliver liquid petroleum products in measures larger than necessary, i.e.:

   1 quart of oil in a 1/2 gallon measure.

   3 quarts of oil in a gallon measure.

§ 4-58 Grease Measuring Devices.

Grease measuring devices for transmission and differential lubricants.

  1. Each unit must be primed each time before use.
  2. The unit of measure shall be one pint and multiples thereof. Delivery must be made by liquid measure, not pounds.

§ 4-59 Inspection Certificates.

All owners or users of weighing or measuring devices shall retain, for one year and have available for examination, the inspection certificate issued to them by a Consumer Affairs Inspector, as evidence that these devices have been tested and sealed in accordance with law.

§ 4-60 Yard and Delivery Tickets.

(a) The driver of each truck making a delivery of gasoline shall be supplied with a yard or delivery ticket, to be kept in his possession until completion of the delivery of the entire load.
  1. Each yard or delivery ticket shall be consecutively numbered.
  2. Each yard or delivery ticket shall indicate clearly the type of gasoline in each compartment.
  3. Yard or delivery tickets shall be made available to Inspectors of the Department at any time during delivery.
  4. The yard or delivery ticket shall be shown to a purchaser upon his or her demand during delivery.

§ 4-61 Return and Inspection of Tickets.

Upon completion of delivery, the yard or delivery ticket shall be turned in by the driver to the originating terminal, where it shall be kept on file for six (6) months, and shall be made available during business hours, for inspection.

§ 4-62 Selector Valves.

Selector valves on each truck used for making a delivery of gasoline shall be clearly and indelibly marked and maintained, so that the relationship of the selector valve to the numbered compartment is readily visible.

§ 4-63 Signs.

(a) Pump-signs.

   (1) Each pump which dispenses gasoline or diesel motor fuel for sale at retail shall display a sign in compliance with the requirements of § 20-672 of the Administrative Code (hereinafter referred to as the “Sign”). The Sign shall be composed of two units, one shall contain the total selling price and the other shall contain the price breakdown box.

   (2) The unit of the Sign setting forth the total selling price shall display the selling price per gallon including all applicable taxes and shall be accompanied by the statement “Includes All Taxes.” All numbers used to display the total selling price shall be of uniform size and shall be at least 8 inches in height, and a stroke width of at least 7/8 inch. The statement “Includes All Taxes” shall be in letters of uniform size at least 1/2 inch in height and extending at least 5 1/2 inches.

   (3) The unit of the Sign setting forth the price breakdown box shall be located in the lower right hand corner of the Sign and shall be no less than 6 inches in height and 4 inches in width. The price breakdown box shall include the basic price per gallon, the Federal and State taxes per gallon, the New York City sales tax per gallon, the City lead tax per gallon and the total selling price per gallon. All numbers used in the price breakdown box shall be of uniform size and shall be at least one inch in height with a stroke width of at least 3/16 of an inch.

   (4) Where a tenth of a cent number is used on the Sign, that number must be at least 1/2 the size of the number to which it relates.

   (5) All letters used to explain the information in the price breakdown box of the Sign shall be at least 1/4 inch in height and 1/8 of an inch in width.

   (6) The Sign shall be securely fixed to the pump so that the information may be easily read from the dispensing side of the pump.

   (7) If service of gasoline or diesel motor fuel may be made from more than one side of a pump or dispensing device, the Sign shall be so constructed as to be visible from each side from which dispensing takes place or a Sign shall be posted on each side that dispensing takes place.

   (8) Each pump which dispenses more than two grades of gasoline shall display a sign which shall be not less than 13 inches in height and 26 inches in width and shall contain the total selling price and a price breakdown box for each grade of gasoline dispensed, and shall satisfy the following conditions and paragraphs (4), (6) and (7) of this 6 RCNY § 4-63(a): (i) The width space of the sign shall be equally divided among all of the grades of gasoline dispensed.

      (ii) Each grade subdivision of the sign shall be composed of two units. One shall contain the total selling price and the other shall contain the price breakdown box.

      (iii) The unit of the sign setting forth the total selling price shall display the grades and grade numbers advertised and prices per gallon including all applicable taxes and shall be accompanied by the statement “Includes All Taxes.” All numbers used to display the total selling price shall be of uniform size.

      (iv) For signs containing three or more grades of gasoline, the numbers relating to price shall be at least 7 1/2 inches in height and at least 1 1/2 inches in width and a stroke width of 1/2 inch.

      (v) The price breakdown box for each grade subdivision shall be located directly below the total selling price for each grade and grade number advertised and shall be at least 3 3/8 inches in height and as wide as each grade subdivision. The price breakdown box shall include the basic price per gallon, the Federal and State taxes per gallon, the New York City sales tax per gallon, the City lead tax per gallon and the total selling price per gallon. All numbers in the price breakdown box shall be at least 5/8 inch in height and at least 3/8 inch in width with a stroke width of 1/8 inch.

      (vi) All letters used to explain the information in the price breakdown box of the sign shall be at least 1/4 inch in height and at least 1/8 inch in width.

      (vii) All letters and numbers advertising the grades of gasoline dispensed shall be at least one inch in height and at least 1/2 inch in width with a stroke width of at least 1/8 inch. The statement “Includes All Taxes” shall be in letters of uniform size at least one half inch in height.

  1. Petroleum product signs related to price, not located on dispensing equipment.

   (1) Every sign, poster or placard used to display, advertise, or refer to the price of any petroleum product, including gasoline and diesel motor fuel, other than that used on a dispensing device, must clearly display:

      (i) The name, trade name, brand, mark or symbol, and grade or quality classification, if any, and method of processing, of any displayed, advertised, or referred to products, or, if such products are sold without identification, such sign, placard or other display must refer clearly to such products as unbranded;

         (a) If a product displayed, advertised, or referred to is associated with the same brand as the petroleum station offering such product for sale, the name, trade name, brand, mark or symbol of such product may be placed either adjacent to or directly above the grade or quality classification and the price(s) of such product, and all such information shall be deemed to be displayed on the same sign;

         (b) If a product displayed, advertised, or referred to is unbranded or is associated with a different brand than the petroleum station offering such product for sale, the term “unbranded” or the name, trade name, brand, mark or symbol associated with such product must be displayed adjacent to the grade or quality classification and the price(s) of such product;

      (ii) the price, including all applicable taxes, per unit of measure at which such product is customarily sold at retail, which for gasoline or diesel motor fuel must be by gallon;

      (iii) near the price, the legend “Includes All Taxes;”

      (iv) if gasoline is offered for sale, the price of the lowest grade of gasoline offered for sale; and

      (v) if the price charged for a petroleum product displayed, advertised or referred to on the sign, poster or placard varies based on the form of payment, each price charged for that product along with language identifying the product and form or forms of payment associated with each price.

   (2) The total number of signs, posters, and placards used to display, advertise or refer to the price of petroleum products shall not exceed the number of vehicular traffic streets upon which the service station faces. For the purpose of this section, signs used on dispensing devices shall not be included in the number of signs permitted to be displayed and a sandwich or “A” sign, placard, or poster shall be considered one sign.

   (3) Any sign, poster or placard shall be located within the building line of the service station.

   (4) Size requirements for letters and numbers on signs:

      (i) All numbers referring to price must be the same height, width and thickness except when a tenth of a cent number is used, that number must be at least one half the size of the number to which it relates.

      (ii) All letters must be of a height, width, and thickness that is no greater than the size of the largest number on the sign, poster, or placard referring to price.

      (iii) Identification of the petroleum product offered for sale and any non-numerical language distinguishing the prices charged for different forms of payment must be in letters and numbers not less than one-half of the height, width and thickness of the numbers referring to price.

      (iv) All letters and numbers shall be black on a white background or displayed on an illuminated light-emitting diode sign.

§ 4-64 “Fill” and “Stick” Lines – General.

The covers of “fill” lines and “stick” lines shall be painted with distinctive colors and, city wide, shall be uniform as to trade name, brand, mark or symbol, and grade or quality classification. The colors on the covers of “fill” and “stick” lines pertaining to the same products shall be identical.

§ 4-65 “Fill” and “Stick” Lines – Major Oil Companies.

Major oil companies, whose products are sold or offered for sale in the City of New York, shall notify the Department as to the colors currently being used on the covers of “fill” and “stick” lines on premises dispensing their gasoline and diesel motor fuel.

§ 4-66 Color Samples.

Each company selling gasoline in the City of New York shall supply the Department with one (1) gallon of color sample of each type of gasoline. The color sample may be in either an aqueous solution or in a miscible oil base. Whenever a product is so changed that the color is changed, the company making the change shall supply the Department with a new one (1) gallon sample denoting the new color.

§ 4-67 Gauges.

Gauges installed where “stick” lines have been sealed pursuant to Fire Department regulations, shall be maintained within a tolerance of 3 percent.

§ 4-68 Sale of Petroleum Products Other Than Gasoline and Diesel Motor Fuel.

A petroleum product, other than gasoline and diesel motor fuel, shall be sold or offered for sale only in a sealed container if the container of such product has imprinted thereon a name, trade name, brand, mark or symbol or other identification of the product.

§ 4-69 Water in Gasoline.

(a) Storage tanks on premises from which gasoline or diesel motor fuels are drawn and sold or offered for sale, at retail, for use in motor vehicles shall be checked daily by the operators of the premises for water content. Such test should always be made at a reasonable time after a truck delivery of the product and may be considered as complying with the once-a-day requirement. If one or more inches of water are present in any of the tanks, the operators shall cease dispensing gasoline or diesel oil from those pumps drawing from these storage tanks and shall take immediate steps to remove the water from these storage tanks.
  1. It shall be a violation of these rules and regulations to sell, offer for sale or have available for sale, at retail, for use in a motor vehicle, gasoline or diesel motor fuel from a storage tank, which, on test, is shown to have two or more inches of water.
  2. No operator of service station selling or offering for sale gasoline or diesel motor oil, at retail, for use in a motor vehicle, shall use or allow the use of a dispensing pump which draws gasoline or diesel oil from a storage tank into which a truck is delivering either of these petroleum products.

§ 4-70 Octane Posting.

(a) Retailers must post the octane rating of all gasoline sold to consumers. The posting is fulfilled by putting at least one label on each face of each gasoline dispenser through which the gasoline is sold. If two or more kinds of gasoline are sold with different octane ratings from a single dispenser, then separate labels must be placed for each kind of gasoline on each face of the dispenser.
    1. The label or labels must be placed conspicuously on the dispenser so as to be in full view of consumers as near as reasonably practical to the price per gallon of the gasoline.

   (2) Petitions for an exemption from the placement requirements are to be submitted in writing to the secretary of the United States Federal Trade Commission. The petition must include the reasons for the desired exemption.

    1. If the gasoline is not blended with other gasoline, then the posting must be consistent with the certified octane rating. If the gasoline is blended with other gasoline, then the posting must be consistent with the determination of the average, weighted by volume, of the certified octane ratings for each gasoline in the blend, or consistent with the lowest octane rating certified for any gasoline in the blend. Whether the gasoline is blended or not, a retailer may choose to post the determination of the octane rating according to the method below, which is in accordance with Part 306.4 of the Federal Trade Commission regulations.

   (2) To Determine Octane Rating.

      (i) Refiners, importers or producers must determine the octane rating of all gasoline before it is transferred. This can be done by the refiner, importer, producer, or through a testing lab.

      (ii) (A) To find the octane rating, add the research octane number and the motor octane number and divide by two as explained by the American Society for Testing and Materials (ASTM) in ASTM-D 439-78, entitled “Standard Specifications for Automotive Gasoline.” To determine the research octane number, use ASTM standard test method D 2699-75 and to determine the motor octane number, use ASTM standard test method D 2700-75.

         (B) If ASTM changes these standards, there will be a 30-day comment period, beginning after the Commission publishes the change in the FEDERAL REGISTER. During this time, Commission staff or any person affected by the change may petition the Commission not to adopt the change because it is a change in the procedures for determining octane ratings, or to extend the length of time of the grace period that follows the comment period. If based on comments, the Commission decides to permit incorporation of the change into the rule. The change will become effective 60 days after expiration of the comment period, unless this period is extended by the Commission. If the Commission decides not to permit automatic incorporation, formal procedures may be initiated to evaluate the change.

    1. Retailers must maintain and replace labels as needed to make sure consumers can easily see and read them.

   (2) If the labels are destroyed or are unusable or unreasonable for some unexpected reason, a retailer may post a temporary label as much like the required label as possible. However, the required label must be posted as soon as possible.

   (3) Retailers who receive gasoline from a common carrier, must receive, from the common carrier, a certification of the octane rating of the gasoline, either by letter or on the delivery ticket or other paper.

§ 4-71 Octane Posting Labels.

All labels must meet the following specifications:

  1. Layout. The label is 3” wide × 2 1/2” long. Helvetica type is used throughout except for the octane rating number which is in Franklin gothic type. Spacing of the label is 1/4” between the top border and the first line of text, 1/8” between the first and second line of text, 1/4” between the octane rating and the line of text above it. All text and numerals are centered within the interior borders.
  2. Type size and setting. The Helvetica series is used for all numbers and letters with the exception of the octane rating number. Helvetica is available in a variety of phototype setting systems and by linotype.The line “MINIMUM OCTANE RATING” is set in 12 point Helvetica Bold, all capitals, with letterspace set at 12 1/2 points. The line “(R M)/2 METHOD” is set in 10 point Helvetica Bold, all capitals, with letterspace set 10 1/2 points. The octane number is set in 96 point Frankl];in gothic condensed with 1/8” space between the numbers.
  3. Colors. The basic color on all labels is process yellow. All type is process black. All borders are process black. Both colors must be non-fade.
  4. Contents. The proper octane rating for each gasoline must be shown. No marks or information other than that called for by this rule may appear on the label.

Subchapter F: Moisture Content of Processed Meats and Meat Products

§ 4-81 Definitions.

Container. “Container” shall mean any carton, box, crate, barrel, half-barrel, hamper, keg, drum, jug, jar, crock, bottle, bag, basket, pail, can, wrapper, parcel or package.

Curing solution. “Curing solution” shall mean the moisture content of a solution, exclusive of any other ingredients which constitute part of the solution, used in the processing of meats and meat products.

Labeling. “Labeling” shall mean a printing, lithographing, embossing or other marking on tags, labels, stickers, seals, wrappers, and receptacles, or a branding.

Person. “Person” shall mean any individual, firm, corporation or association.

Processed meats and meat products. “Processed meats and meat products” shall mean pickled, pumped, cured, or otherwise treated meats and meat products.

Route salesman. “Route salesman” shall mean an employee of a packer, wholesaler or distributor who operates a vehicle loaded with processed meats and meat products owned by his employer and sells and delivers such processed meats and meat products directly off such vehicle.

Sausage. “Sausage” shall mean a meat or meat product, such as “frankfurter,” “vienna,” “bologna,” prepared with meat, or meat and meat by-product, seasoned with condimental proportions of condimental substances.

§ 4-82 Labels.

(a) Processed meats and meat products of the kind required to be labeled as to moisture content by the Meat Inspection Regulations of the U.S. Department of Agriculture shall be labeled as to moisture content in the manner required by said regulations or with the statement, "not in excess, by weight, of 10 percent of added curing solution or of any other liquid."
  1. Processed meats and meat products of the kind not required to be labeled as to moisture content by the Meat Inspection Regulations of the U.S. Department of Agriculture either may remain unlabeled as to moisture content or, unless prohibited by the Meat Inspection Division of the U.S. Department of Agriculture, may be labeled with the statement, “not in excess, by weight, of 10 percent of added curing solution or of any other liquid,” except that processed beef briskets may be labeled with the statement, “not in excess, by weight, of 20 percent of added curing solution or of any other liquid.”

§ 4-83 Meat and Cheese Products.

Processed meats and meat products such as knockwurst and other similar products, headcheese, souse, sulze, scrapple, blood pudding, liver pudding, non-specific loaves, chile con carne, and meat and cheese products when prepared with sufficient cheese to give definite characteristics to the finished products shall not be subject to the moisture content limitations of this subchapter. The Commissioner shall have the power to exempt from the maximum moisture content requirements of this subchapter other similar processed meats and meat products which, upon investigation, warrant such exemption.

§ 4-84 Invoices.

Every retailer, wholesaler, distributor or jobber receiving processed meats and meat products for resale shall be furnished, at the time of delivery, an invoice stating the net weight of the processed meats and meat products so delivered and containing the statement, “not in excess, by weight, of 10 percent of added curing solution or of any other liquid,” except that, for processed beef briskets received by such purchaser, the invoice shall state the net weight and contain the statement, “not in excess, by weight, of 20 percent of added curing solution or of any other liquid.” In lieu of said statements as to moisture content, the invoice may contain the statement, “all products comply with applicable maximum moisture requirements of New York City Law.”

§ 4-85 Inspection of Invoices.

Every retailer, wholesaler, distributor or jobber shall have available for inspection by the Commissioner or his authorized representatives all invoices for the processed meats and meat products sold or offered for sale at his establishment at the time of inspection.

§ 4-86 Labeler Identified.

Processed meats and meat products labeled by a person other than the retailer, shall have on the labels the name and address of the person labeling these products or the official inspection or Health Department permit number of the establishment in which said products were labeled. Processed beef briskets, tongues and other similar processed meats and meat products shall be branded or labeled as to the identity of the processor, packer or wholesaler.

§ 4-87 Wholesale Labels.

Containers of processed meats and meat products which are not individually labeled, when sold or offered for sale at wholesale, shall be labeled as to net weight and labeled as to moisture content in accordance with the provisions of 6 RCNY § 4-82. In lieu of such moisture content labeling, said containers may be labeled with the statement, “all products comply with applicable maximum moisture requirements of New York City Law.”

§ 4-88 Delivery Invoices and Inventory Sheets.

Every person transporting or delivering processed meats or meat products shall have available for inspection by the Commissioner or his authorized representatives all purchase and sales invoices of such processed meats or meat products. Every route salesman shall, in lieu of such invoices, have available for such inspection a written inventory of all the processed meats and meat products originally loaded on the vehicle operated by him and all invoices of his sales therefrom. All such invoices and inventory sheets shall contain the statement or statements required by 6 RCNY § 4-84.

§ 4-89 Bulk Parts and Cuts.

Every bulk part or cut of a processed meat and meat product, offered for sale or sold at retail, shall be labeled as to moisture content in accordance with the provisions of 6 RCNY § 4-82 and such labeling as to moisture content shall be identical to the labeling of the whole processed meat or meat product, except that a clear and conspicuous placard or sign stating that “all products comply with applicable maximum moisture requirements of New York City Law,” at or near such meat, shall be sufficient to fulfill the requirements of this rule and regulation.

§ 4-90 Retail Containers.

An individual processed meat or meat product, in a consumer size container, shall be labeled as to net weight and labeled as to moisture content in accordance with the provisions of 6 RCNY § 4-82. The label on such a container shall bear the name and address of the packer, manufacturer, distributor or wholesaler, or the official inspection or Health Department permit number of the establishment in which the product was packaged in such container.

§ 4-91 Variations in Moisture Content.

A variation of plus or minus two percent of added curing solution or of any other liquid from the 10 percent, by weight, allowed by law may be permitted in an individual processed sausage sample, provided, however, that consistent plus one to two percent variations shall be deemed to be violations of §§ 20-677 and 20-678 of the Administrative Code.

§ 4-92 Display and Legibility.

The labeling of processed meats and meat products shall be legible, conspicuous and prominently displayed.

§ 4-93 Punishment.

Any person who shall violate any such rules and regulations shall be liable to forfeit and pay a civil penalty in the sum of not more than one hundred dollars for each violation.

§ 4-94 Violations.

Any person who shall violate any such rules and regulations shall be guilty of an offense triable by a magistrate, and punishable by a fine of not less than twenty-five dollars and not more than two hundred fifty dollars for each offense or by imprisonment not exceeding ten days, or by both.

Subchapter G: Etching Acids

§ 4-100 Valid Photo Identification.

The valid photo identification that a dealer of etching acid shall request from each purchaser of etching acid must:

  1. be issued by a government entity, including a foreign government or a duly accredited educational institution,
  2. be issued as a tamper-proof document, and
  3. include the name, date of birth and photograph of the person it identifies.

§ 4-101 Purchasing Records to be Maintained.

(a)  A dealer of etching acid shall record the following information about each sale of etching acid:

   1. the date of the sale;

   2. the name and age of the purchaser as shown on the valid identification provided by the buyer;

   3. a complete description of the valid identification document that was accepted, including the name of the issuing agency, the type of identification document, the expiration date of the document, and any identification number or code appearing on the document;

   4. the amount of etching acid sold to the purchaser; and

   5. the unit price of the etching acid and the total cost of the purchase.

  1. The above information shall be:

   1. recorded in writing on a separate page for each transaction and kept in chronological order by the date of each sale, either in a bound volume or in a separate file, where only such documents are retained; or

   2. retained in an electronic format and maintained in a data base from which the information can be retrieved by the date of the sale, the identity of the purchaser and the type of identification that was used.

§ 4-102 Posting of Notice.

(a)  The notice of the required information must be conspicuously posted at the point of sale, shall include a statement that reads substantially as follows and shall be printed as indicated in brackets: "NOTICE TO ETCHING ACID PURCHASERS: [To be printed in capital letters in 16-point bold-faced type] You are required by law to furnish us with a valid, government-issued photo identification card, and we are required to record and maintain personal information about you that identifies you. [To be printed in 14-point type]
  1. The sign shall be sufficiently large to contain the statement in the specified print size.

Subchapter H: Perishable Foods

§ 4-111 Definitions.

For the purposes of the application of these 6 RCNY §§ 4-111 through 4-114 (unless the context indicates otherwise) the following definitions apply:

Sell or offer to sell. “Sell” or “offer to sell” shall mean the act of selling, displaying, or offering for sale by a retailer or retail entity to the public for off-premises human consumption.

§ 4-112 Display of Required Information.

(a) On the containers of all foods specified in 6 RCNY § 4-113 there shall be stamped, printed or otherwise plainly and conspicuously marked, a statement indicating recommended conditions and methods of storage.
  1. On the containers of all foods specified in 6 RCNY § 4-113 there shall be stamped, printed or otherwise plainly and conspicuously marked either the last day or date of sale or the last day or date for recommended usage.
  2. The information required in subdivisions (a) and (b) of this 6 RCNY § 4-112 shall be clearly marked on each and every package or item as follows:

   (1) the information shall appear on the top cover or principal panel of its container, or, on a label affixed thereto; or

   (2) a notice shall appear on the top cover or principal panel or on a label affixed thereto indicating the location on the package of such information.

§ 4-113 Perishable Foods Covered.

The following commodities shall be labeled in accordance with the provisions of § 20-685 of the Administrative Code “Perishable foods,” and 6 RCNY § 4-112 governing the labeling of perishable foods:

  1. Eggs – Grade AA, Grade A and Grade B shell eggs.
  2. All pre-packaged, fully or partially prepared baked goods, which have a moisture content exceeding 18 per cent, with or without additives known as:

   (1) Bread, rolls and buns as defined in Title 21, Chapter 1, Part 17 of the Code of Federal Regulations, except those products traditionally known as “fruit-cake”

   (2) Cakes, pastries and cookies, except those that are offered for sale in individual, portionpack, snack type packages;

   (3) English muffins, corn muffins, bran muffins and other similar products.

  1. The following pre-packaged dairy and dairy-type products:

   (1) Those products with or without additives or flavorings, known as cheese, as defined in Title 21, Chapter 1, Part 19, §§ 19.499 through 19.685 of the Code of Federal Regulations, that contain 50 per cent or more moisture in the finished product.

   (2) Low-fat, multi-vitamin, multi-mineral type milk products, which are normally stored at temperatures between 32 degrees Fahrenheit and 40 degrees Fahrenheit;

   (3) Flavored milk;

   (4) Cultured milk, cultured milk products, cultured skim-milk and cultured skim milk products, with or without fruits, vegetables, meats or cheeses, or other additives;

   (5) Milk shake;

   (6) Eggnog;

   (7) Yogurt, made from skim-milk or whole milk, with or without fruits, vegetables, meats or other additives;

   (8) Whipped cream and instant whipped cream;

   (9) Sour cream, cultured cream, salad cream, and non-cultured sour cream, with or without fruits, vegetables, meats or cheese or other additives;

   (10) Sour half and half, cultured half and half, non-cultured sour half and half and non-cultured half and half;

   (11) Dairy dressing, and dairy dip;

   (12) Non-dairy coffee creamers which are normally stored at temperatures between 32 degrees Fahrenheit and 40 degrees Fahrenheit.

  1. All pre-packaged, prepared foods which require refrigeration.

§ 4-114 Exemptions.

(a) This subchapter shall not include any product stored in a retail store at or below a temperature of 32 degrees Fahrenheit, in accordance with the recommendations of the manufacturer or processor.
  1. This subchapter shall not include any product hereinabove designated which is sterilized when hermetically sealed and packaged and is so maintained until the time of sale by a retailer to the public.
  2. This subchapter shall not include products made from products after the date marked where such secondary products are the result of an additional processing stage.
  3. Upon written application to the Commissioner, and upon a showing of exceptional circumstances, a manufacturer or processor may be granted an extension in writing, not to exceed six months, in which to comply, in whole or in part, with the requirements of 6 RCNY § 4-112. In the event that a manufacturer or processor has substantially complied with 6 RCNY § 4-112 during the previously granted extension period, but exceptional circumstances exist which render full compliance during the extension period impossible, impracticable, or create undue financial hardship, a manufacturer or processor may apply in writing to the Commissioner for an additional final extension in order to fully comply with 6 RCNY § 4-112. Any request for an additional final extension must be supported by evidence of exceptional circumstances and substantial compliance during the previously granted extension period. The granting of a further extension, if any, shall be in the discretion of the Commissioner.

Subchapter I: List of All Populations of Endangered Or Threatened Species

§ 4-120 Definitions.

(a)  Terms used in this subchapter shall have the meanings specified in § 20-698 of the New York City Administrative Code.
  1. Whenever used in this subchapter, the term:

   (1) “All populations” means every member of the species identified as an endangered or threatened species wherever such members are found.

   (2) “Endangered or threatened species list” or “list” means the information published by the commissioner on the department’s website that references endangered or threatened species and that specifically identifies which of such species includes all populations.

§ 4-121 Publication of Endangered or Threatened Species List.

(a)  The commissioner shall publish the endangered or threatened species list by April 1, 2005 and annually thereafter on the same date or on the first business day thereafter on the website of the department. Such list shall be published in English and in Chinese.
  1. The endangered or threatened species list shall:

   (1) include a description of the contents of, and a link to, the website of the New York Department of Environmental Conservation that identifies all endangered or threatened species; and

   (2) identify by common name such of the endangered or threatened species that includes all populations.

§ 4-122 Selection of Species Including All Populations.

The commissioner shall, prior to the publication of the endangered or threatened species list, determine which of the threatened and endangered species includes all populations, and shall identify such species by common name in the endangered or threatened species list.

§ 4-123 Identification of Prohibited Products.

(a)  Any product that is labeled, advertised or described as containing any part or ingredient derived from a species identified as including all populations in the endangered or threatened species list shall be subject to the prohibitions specified in § 20-699 of the New York City Administrative Code.
  1. Any member, or any part derived from a member of an endangered or threatened species identified by the common or scientific name that is listed on the website of the New York State Department of Environmental Conservation, which will be linked to the website of the department, shall be subject to the prohibitions specified in § 20-699 of the New York City Administrative Code.

Chapter 5: Unfair Trade Practices

Subchapter A: Consumer Protection Law

§ 5-01 Definitions.

Consumer. “Consumer” means an individual who buys or leases consumer goods or services, and that individual’s co-obligor or surety.

Consumer goods and services. “Consumer goods and services” means goods or services (including credit) that are primarily for personal, household, or family purposes.

Item. “Item” means goods and services.

Legal name. “Legal name” means:

  1. the true corporate name of a corporation; or
  2. the name of at least one partner of a partnership; or
  3. the name of at least one owner of a business that is not a corporation or a partnership.

Seller. “Seller” means any individual or business that offers to sell or lease consumer goods or services. “Seller” includes manufacturers, wholesalers, and others who are responsible for any act or practice regulated by this code.

§ 5-06 The Word “Free” and Similar Representations.

(a) Scope. This section governs the use of the words "free," "gift," "given without charge," "bonus," "1¢ additional," and any other terms which imply that an item, as defined in 6 RCNY § 5-01, is free or offered at a nominal cost in the sale or offering for sale of any consumer goods or services. It governs signs inside stores, storefront advertising, handbills and all other types of written advertisement, but not advertising on packages placed thereon by a person or entity other than the retailer. In this section, the word "free" refers to any word or phrase of similar meaning. A "free offer" is an offer involving the use of any such word or phrase.
  1. Disclosure of conditions on free offers. A seller who imposes a condition on a free offer must describe the condition clearly and conspicuously. The description of every condition on a free offer must be placed near the word “free.” An asterisk or other symbol near the word “free,” which refers the customer to a footnote containing conditions, does not satisfy this section. This condition must be in print at least half as large as the print used for the word “free.”
  2. Free offers conditioned upon another purchase.

   (1) The “regular price” is the price at which an item has been actively and openly sold by the seller for a substantial period of time in the recent past.

   (2) A seller who makes a free offer contingent upon another purchase may not:

      (i) charge more than the regular price for the item; or

      (ii) reduce the item’s quantity or quality; or

      (iii) continuously make such offer or repeat it so frequently that the two items are being sold in combination at one price; or

      (iv) make such offer in connection with the sale of an item that is usually sold at a price negotiated with consumers.

  1. Combination offers. This section permits non-deceptive “combination” offers, in which two or more items (for example, toothpaste and a toothbrush) are offered for sale as a single unit at a single stated price.

§ 5-07 Number Size in Advertised Prices.

(a) Sellers who advertise a price over one dollar must state the number of cents in figures at least one-half as tall and broad as the figures used to state the number of dollars.
  1. This section does not apply when the advertised price is stated in whole dollar amounts. For example, if the price is $6.00, the zeros may be less than half the size of the six.

§ 5-08 Sales Promotions.

Sellers must comply with the provisions of § 369-ee of the New York State General Business Law (“Prize award schemes”).

§ 5-09 Limitations on Offers.

(a) Sellers offering consumer goods or services in print advertising and promotional literature must disclose clearly and conspicuously all material exclusions, reservations, limitations, modifications or conditions. A disclosure made in print at least one-third as large as the largest print used in the advertisement or promotional literature satisfies this section. Examples: If the following facts are true, they must be disclosed:

   (1) In an advertisement for an item sold from more than one location:

      (i) locations which do not have certain items mentioned and

      (ii) locations which charge rates higher than those mentioned in the advertisement. Where such locations are not known and cannot be reasonably ascertained, a seller must include the following statement in the advertisement: “Not available at all locations.” The seller shall also include a statement in the advertisement that indicates how a consumer may obtain information about the availability of an item at a specific location such as: “Check with your local store for availability.”

   (2) That advertised prices are available only during certain days or times.

   (3) That advertised prices are available only if complete sets are purchased.

   (4) That minimum or maximum amounts must be purchased for advertised prices to apply.

   (5) That there are trade-in requirements.

   (6) That there are additional charges for delivery or for mail orders.

  1. Offers in radio or television advertising must include oral statements of any material exclusions, limitations, modifications or conditions.
  2. This section does not apply when another law or regulation specifically provides a different rule for the disclosure of exclusions, reservations, limitations, modifications or conditions.

§ 5-10 Deceptive Classified Ads.

(a) Dealers, brokers, or business entities advertising in the classified section of a newspaper, magazine or other printed media must disclose that they are businesses.
  1. An advertiser can disclose that it is a business by use of the word “dealer,” “broker,” or other similar terms.
  2. Examples: A dealer’s classified ad which reads: “Dodge ‘68 $795, Call OF7-1452” would not satisfy the requirements of this Regulation because it does not disclose that the advertiser is a business. A classified ad which reads: “3 room apt., $160, call Acme Rental, Inc.” sufficiently discloses that the advertiser is a business.

§ 5-11 Limited Editions.

(a) Items offered for sale to consumers may not be described as limited unless their edition, printing, minting, crafting, or production is restricted to either:

   (1) A predetermined maximum quantity; or

   (2) The actual quantity ordered or subscribed to within a specified, reasonably short time. All terms that indicate that production of a product is limited are covered by this section.

  1. Any claim that a product is limited must state the maximum quantity or the specific time period or date by which the product must be ordered. This statement must be made clearly and conspicuously and close to the claim or limitation.

§ 5-12 Prices in Multi-Product and Multi-Service Advertisements.

(a) In any advertisement for two or more similar items or services, when a range of prices is stated, or the existence of a range is implied, the highest price must be stated in figures at least as tall and broad as the figures in the lowest price stated. The existence of a range is implied where words such as, but not limited to, "from," "as low as," "beginning at," "starting at," or "______ and up" are used in an advertisement. This subdivision (a) applies even where an advertisement discloses the price of all items and services.
  1. Any prices stated must relate to specific items or services.
  2. If the price of items or services is unascertainable, any price or prices stated must include the average price for which the goods or services were sold by the advertiser during the previous year or selling season. Such a price must be described as the “average price.”

§ 5-13 Advertisements Claiming to Boost the Immune System.

(a) It is a deceptive trade practice to make a claim or to imply in an advertisement that the use of a product or treatment will boost, enhance, stimulate, assist, cure, strengthen or improve the body's immune system unless such advertisement discloses either:

   (1) the effect of the treatment or use of the product on an HIV-positive person or a person with AIDS (Acquired Immune Deficiency Syndrome) or;

   (2) that use of the products or treatment has not been proven to prevent primary infection with HIV, nor is to be a cure for AIDS, nor to extend the life or improve the health of an HIV-positive person or a person infected with AIDS.

  1. Any claimed effects of the treatment or use of the product on an HIV-positive person or a person with AIDS in an advertisement shall be deemed a deceptive practice unless such claims are capable of being substantiated by scientific documentation including, but not limited to, medical clinical trials, small scale and informal clinical trials, compilations of clinical data from patients or other clinical information. Such documentation must support any claimed effects of the treatment or use of the product on an HIV-positive person or a person with AIDS. All documentation must be made available at the request of a consumer.
  2. All disclosures and words of limitation or qualification as required by this section shall be written or printed in letters at least one third as high and one third as broad as the largest words or numbers appearing in the advertisement, but in no event in less than ten point type./n radio announcements, the disclosure or words of limitation or qualification shall be clearly spoken, and in television announcements they shall be part of the audio track and not merely part of the picture.

§ 5-21 Compliance with Federal, State and Local Laws Regarding the Extension of Credit.

(a) Scope. This section applies to all persons and businesses engaging in activities relating to consumer credit. In this section, such persons and businesses are called creditors.
  1. Creditors must comply with all applicable federal, state and local laws relating to consumer credit.

§ 5-22 [Reserved]

Merchants who accept payment from a consumer that will be applied to the purchase of merchandise on a “layaway plan,” as such term is defined in § 396-t of the New York General Business Law, must comply with all the requirements of that section.

§ 5-24 Credit Card Limitations.

(a) A seller who accepts credit cards must conspicuously disclose every limitation the seller imposes on their use.
  1. Disclosures required by this section must appear at or near every entrance to the seller’s business premises and in all advertising that indicates credit cards are accepted.

§ 5-31 Future Services Contracts.

(a) Definition. A contract for consumer services that will be provided on a continuing basis is a "contract for future consumer services." However, this section does not apply to:

   (1) boarding accommodations;

   (2) travel arrangements made less than a year in advance;

   (3) the sale of goods which include warranties of service and repair;

   (4) services by non-profit educational institutions.

  1. Liability for cancellation. A consumer who cancels a contract for future services cannot be charged more than the full contract price. However, up to the amount of the full contract price, the consumer may be charged the total of the following amounts:

   (1) 5 percent of the cash price, or $50, whichever is less;

   (2) the cost to the seller for any goods the consumer used or the consumer is keeping; (3) the portion of the full contract price representing services received by the consumer (if a consumer cancels a contract for lessons by missing consecutive lessons that represent at least 25 percent of the lessons in the entire course, those missed lessons up to 25 percent can be treated as services received by the consumer).

  1. Prompt refunds. If a buyer has paid a seller more money than this section allows a seller to keep, the seller must refund the extra payment, or make a refund available, within ten days of cancellation.
  2. Cancellation. Cancellation occurs when:

   (1) the consumer mails the seller notice of intent to cancel; or

   (2) the seller actually knows the consumer intends to cancel; or

   (3) the consumer misses consecutive lessons that represent at least 25 percent of an entire course, and the consumer does not inform the seller in writing that he or she intends to remain enrolled.

  1. Notice. The seller’s contract form must conspicuously disclose the seller’s refund policy, and must contain the following notice in a prominent place: IF YOU CANCEL THIS CONTRACT (THE SELLER) MAY KEEP ONLY 5% OF THE CASH PRICE UP TO A MAXIMUM OF $50, PLUS A PORTION OF THE CONTRACT PRICE BASED UPON THE LESSONS OR SERVICES YOU HAVE USED. YOU MAY NOTIFY (THE SELLER) OF YOUR INTENT TO CANCEL BY MAIL, ADDRESSED TO (THE SELLER) AT (SELLER’S ADDRESS).

§ 5-32 Documentation of Transactions.

(a) Definitions.

   Audio equipment. “Audio equipment” means any apparatus or equipment that is used for sound reproduction, including but not limited to amplifiers, phonographs, radios, receivers, speakers, tape players, tape recorders and turntables. Audio equipment does not include prerecorded or blank audio recording tape or records.

   Photographic equipment. “Photographic equipment” means any apparatus or equipment used for the taking of photographs, including but not limited to cameras, camera cases, lenses and tripods. “Photographic equipment” does not include film, photograph albums or apparatus or equipment used to develop or enlarge photographs.

   Video equipment. “Video equipment” means televisions and any apparatus or equipment that is used in the process of producing images on a television set, including but not limited to video disk players, video game units and cartridges, video tape players and video tape recorders. “Video equipment” does not include prerecorded video discs and tapes or blank video tapes.

  1. Receipts. A seller must:

   (1) offer a consumer a receipt for any retail purchase if the amount of the purchase is twenty dollars or more; and

   (2) provide a consumer with a receipt upon request for any retail purchase if the amount of the purchase is between five and twenty dollars.

  1. Contents of receipts. The receipt must contain:

   (1) the amount of money paid for each item;

   (2) the total amount of money paid including a separate statement of tax;

   (3) the date of the purchase;

   (4) the legal name and address of the seller in accordance with Section “Legal Name” (5) where the cost of any item of “audio equipment,” “photographic equipment” or “video equipment” exceeds one hundred dollars, any make and model number.

  1. Exemptions. This section applies to the retail sale of all consumer goods and services except:

   (1) food or drink intended for on-premises consumption; or

   (2) oil, gasoline or parking fees paid for in cash. Sellers of these goods and services must provide consumers with receipts upon request if the amount of a purchase is more than five dollars.

  1. Register tapes. A seller of food or drink for off-premises consumption may give the consumer a register tape containing the seller’s name, the date, and the individual prices of items bought instead of giving a receipt.
  2. Other documents. Upon request, a seller must provide a consumer with a copy of any document related to the sale which was signed by the consumer.

§ 5-33 Transactions Negotiated in Spanish.

(a) Scope. This section applies to the purchase or lease of consumer goods and services by means of an agreement to pay in installments.
  1. When essential parts of a consumer agreement are negotiated in Spanish, the consumer must be given a Spanish translation of any documents related to the agreement. This requirement includes:

   (1) any document which the consumer signs;

   (2) any document containing the merchant’s policy on refunds, cancellations or exchanges;

   (3) any document containing terms and conditions of the agreement;

   (4) any guarantees or warranties given by the merchant;

   (5) any exclusion or modification of express or implied warranties. The consumer need not be given a Spanish translation of any document which the consumer will receive at a later date, such as monthly bills and sales slips for charge account purchases.

§ 5-34 Contract Cancellations.

(a) A contract for consumer goods or services may not be described as non-cancellable, unless the seller has performed all its obligations at the time the consumer signs the contract.
  1. A contract that complies with 6 RCNY § 5-34(a) may describe the fee or penalty that will be imposed if the consumer cancels, or may state that the consumer who does not perform his or her obligations under the contract will be responsible to the seller for damages.

§ 5-35 Pricing of Items with Manufacturer’s Suggested Prices.

(a) Definition.

   Manufacturer’s suggested retail price. “Manufacturer’s suggested retail price” means the list price, catalog price or any other retail price recommended by the manufacturer.

  1. A seller who sells or offers to sell any new item for more than the manufacturer’s suggested retail price must:

   (1) disclose the selling price;

   (2) disclose the manufacturer’s suggested retail price; and

   (3) identify the manufacturer’s suggested retail price as the price recommended by the manufacturer.

  1. The required information must be printed clearly and conspicuously on the item’s price tag or label, and in any advertisement that states the item’s selling price.

§ 5-36 Sale of Used Items.

(a) A seller of a used item must disclose clearly that the item is used, in any advertisement or sales transaction concerning the used item.
  1. Words such as “used,” “antique,” “demonstrator,” “floor model,” “rebuilt,” “renovated,” “restyled,” or “remodeled” may be used to indicate that an item is used.

§ 5-37 Disclosure of Refund Policy.

Sellers of consumer goods and services must comply with all provisions of New York General Business Law § 218-a. This regulation does not limit a consumer’s right to receive a refund, credit, exchange, or anything else permitted by law.

§ 5-38 Goods Temporarily in Short Supply.

(a) Scope. This section governs the sale of items which are temporarily in short supply because of extraordinary circumstances. Extraordinary circumstances can include fuel shortages, weather conditions, power failures, and strikes which result in limited deliveries of items to New York City consumers.
  1. Declaration of temporary shortage. The Commissioner of the Department of Consumer Affairs shall make declarations about items temporarily in short supply by:

   (1) filing a declaration as soon as possible with the City Clerk; and

   (2) publishing the declaration as soon as possible in The City Record; and

   (3) sending the declaration to the media specified in § 1043 of the New York City Charter. A declaration of temporary shortage shall expire in 30 days, unless it is terminated sooner by declaration. The Commissioner may issue a renewed declaration of temporary shortage upon expiration of the original declaration.

  1. Unconscionable sales practices. A seller of items the Commissioner has declared in short supply may not:

   (1) increase prices in excess of an amount reflecting normal market fluctuations, except in accordance with the exemption rules in 6 RCNY § 5-38(e);

   (2) require consumers to purchase another item in order to get the item in short supply, if no additional purchase was required before the shortage;

   (3) require the purchase of a minimum quantity of the item in short supply;

   (4) fail to give all consumers an equal opportunity to purchase the item in short supply (to the extent that such opportunity existed before the temporary shortage). A seller may, however, give preference to a category of consumers having a special health- or safety-related need for the item in short supply.

  1. Deceptive sales practices prohibited. A seller of items the Commissioner has declared temporarily in short supply:

   (1) may not represent falsely that an item is not available;

   (2) must disclose any limitation or condition on sale of an item conspicuously in a sign at the point of sale.

  1. Exemption.

   (1) A seller of items the Commissioner has declared temporarily in short supply may increase prices in excess of an amount reflecting normal market fluctuations if he or she can show that additional costs have been incurred in providing the item, through no fault of the seller or as a result of the seller’s attempt to give consumers additional opportunities to purchase the item (for example, by increasing the hours during which an item can be purchased). This exemption only applies to the increased cost incurred by the seller.

   (2) This exemption does not apply when another law or regulation prohibits a price increase.

   (3) A seller using this exemption must keep records, for one year, of the increased costs incurred. The records shall be made available upon demand to the Department of Consumer Affairs.

  1. Failure to comply with this section within two days of an original declaration will not result in any penalty if the seller proves that he or she did not know of the declaration.

§ 5-39 Cancellation of Home Appointments.

(a) Cancellation of home appointments.

   (1) When a seller makes an appointment with a consumer to pick up, deliver, inspect or repair goods at the consumer’s home, the seller must keep the appointment or give the consumer written or verbal notice of cancellation. The notice must be received before the end of the business day before the day of the appointment. If it is impossible for the seller to give notice by the end of the day before the appointment day, the seller must give notice as soon as possible.

   (2) When verbal notice is given, the seller must mail a notice of the cancellation the next day. This need not be done, however, if the seller and consumer reschedule the appointment for a date within three days of the date the seller cancelled.

   (3) A seller may cancel an appointment without notice only if the cancellation is caused by the consumer, by natural disaster, or by strike. Employee illness and mechanical breakdown do not relieve the seller of the obligation to give notice.

  1. Record keeping. A seller who cancels an appointment must prepare, and keep for one year, a record with the following information:

   (1) seller’s name;

   (2) consumer’s name and address;

   (3) description of the goods;

   (4) date of appointment which was cancelled;

   (5) date appointment has been postponed to, if any;

   (6) date that notice of cancellation was given.

§ 5-40 Liability for Negligence.

A seller may not state that it is not liable for damages caused by negligence, if such a statement is invalid according to a statute, regulation or ordinance. For example:

  1. lessors may not disclaim liability for negligent operation or maintenance of leased premises;
  2. caterers may not disclaim liability for negligence at catered affairs;
  3. contractors may not disclaim liability for negligent construction, maintenance or repair;
  4. architects, engineers and surveyors may not disclaim liability for negligence;
  5. garagekeepers, parkers, or servicers of motor vehicles may not disclaim liability for negligence;
  6. operators of pools, gymnasiums and places of public amusement or recreation may not disclaim liability for negligence.

§ 5-41 Unlawful Sales Tax.

It is a deceptive trade practice for any seller to collect sales tax on the sale of any good or service that is not subject to such tax under Article 28 of the New York State Tax Law or the rules and regulations promulgated thereunder.

§ 5-46 Car Rental.

(a) Reservations. A motor vehicle rental business which reserves vehicles for consumers must make available either the vehicles reserved, or one which seats at least as many passengers as the one reserved and is suitable for the consumer's purposes, within one-half hour of the reserved time, either at the reserved location or at another location to which the consumer is transported without charge. This subdivision (a) does not apply if the consumer is told when the reservation is made that the reservation is not guaranteed. The business must fulfill all other terms of the reservation.
  1. Deceptive advertising. A motor vehicle rental business which rents to consumers may not advertise or represent that reservations can be made, unless it maintains procedures to comply with this Regulation.
  2. Records. A business which reserves vehicles for consumers must maintain procedures reasonably calculated to fulfill those reservations. This includes maintaining records of all reservations, and of the scheduled return times of all rented vehicles. These records must be preserved for at least 6 months, and shall be made available for inspection and copying by the Department of Consumer Affairs.
  3. Required sign. A motor vehicle rental business which rents vehicles to consumers must conspicuously display on the business premises a sign or notice entitled “Department of Consumer Affairs Consumer Protection Law Rule.” The sign shall be not less than twelve (12) inches by eighteen (18) inches in dimension, with letters thereon to be not less than one (1) inch high. The sign must inform consumers of their rights under 6 RCNY § 5-46(a) and it must contain the following words: “To report complaints, contact the New York City Department of Consumer Affairs, (Insert the Department’s current address), Complaint Phone: (Insert the Department’s current complaint telephone number).” The following statement complies with this requirement:

   If you have made a reservation for a car (or truck), that reservation must be honored at the price originally promised, within one-half hour of the time originally promised, unless you are told when you make the reservation that it is not guaranteed. To report complaints, contact the New York City Department of Consumer Affairs, (Insert the Department’s current address), Complaint Phone: (Insert the Department’s current complaint telephone number).

§ 5-47 Jewelry Sellers and Appraisers.

(a) Definitions.

   Jewelry. “Jewelry” means unset rare gems, precious stones and semi-precious stones, and articles for personal wear which contain rare gems, precious stones or semi-precious stones.

   Standard of monetary value. “Standard of monetary value” means the basis for measurement such as retail replacement value, wholesale value, or resale value.

  1. Jewelry appraisals – requirements.

   (1) Every written appraisal must state the standard of monetary value used, clearly and on the same side of the paper that contains the appraised value. If the standard used is the retail replacement value, the appraisal form must contain a notice which states clearly and conspicuously:

      (i) that the appraisal value is the approximate price at which retail jewelry stores would sell the item;

      (ii) that the consumer should not expect to be able to sell the item at the appraised value;

      (iii) that appraisers’ opinions as to the value of jewelry vary by as much as 25 percent; and

      (iv) that the appraiser does not guarantee that it will buy the item from the consumer if the consumer desires to resell it in the future. (If the appraiser is willing to make such a guarantee, then it must state the price at which it will buy the item.) This disclosure need not be made if the appraiser never buys jewelry from members of the public.

   (2) Example: The following notice would satisfy the requirements of 6 RCNY § 5-47(b), in the case of an appraiser who also buys from the public and who is not willing to make any guarantees concerning purchase:

      Notice – This appraisal tells you the approximate price at which you could replace this article with comparable merchandise at a retail jewelry store which normally sells jewelry of like quality. You should not expect to be able to sell the article for this amount. The opinions of appraisers concerning value vary by up to 25 percent. This company does not promise to buy the article from you at the appraised value or at any fraction of the appraised value.

  1. Jewelry sales – requirements. A seller who offers to sell an article of jewelry for more than $75.00 must give to the buyer, at or before the time of sale, a written sales slip which conspicuously contains:

   (1) the price;

   (2) in the case of a diamond or any article containing a diamond, the weight of the diamond(s) stated in the manner and within the limits of tolerance established by the Federal Trade Commission; and

   (3) a description of the article, stating all materials of which it is composed. [;If a synthetic gem’s composition is a trade secret, its trade name may be disclosed instead of its actual composition; in such a case, the words “imitation” or “synthetic” must be placed immediately before or after the trade name.];

  1. Sales and appraisals – prohibited practices. A seller may not mislead the consumer about any characteristic of the jewelry, including its type, kind, name, grade, quality, quantity, size, weight, cut, color, character, substance, durability, origin, prior ownership, price or value.

§ 5-48 Mail Orders.

(a) Mail order sellers who conduct business in New York City or who advertise a New York City mailing address must, within 30 days of receiving an order:

   (1) deliver or mail the ordered merchandise; or

   (2) make a full refund; or

   (3) inform the consumer in writing of the time delivery is anticipated, and offer to send a refund within one week if the consumer wishes to cancel the order; or

   (4) inform the consumer in writing of the intent to substitute an equal or better item if the consumer wishes to cancel the order (the seller must describe in detail how the substituted item differs from the one ordered); or

   (5) send the consumer a substitute item of equal or better quality together with:

      (i) a written notice offering, without condition, to accept the return of the item, at the seller’s expense, within 14 days of delivery; and

      (ii) a business reply label, and an explanation that the consumer may return the item by resealing it, affixing the label, and mailing it to the seller without postage; and

      (iii) a postage-paid letter or card on which the consumer may indicate whether the consumer wishes the purchase price to be refunded or credited to his account. The consumer’s request entered on this card or letter must be honored within two weeks of the time the seller receives the items.

  1. In this section, substitute items of “equal or better” quality means items that are substantially similar to the items ordered, that fit the purposes for which the ordered items were intended; and that are not normally offered by the seller at a lower price than the price of the ordered items.
  2. 6 RCNY § 5-48(a) does not apply to:

   (1) items ordered under an open-end credit plan (as defined in the federal Truth-in-Lending law) or under any other credit plan which was opened prior to the mail order in question and which permits the consumer to make future purchases; or

   (2) items, such as quarterly magazines, which by their nature are not produced until a future date, and so cannot be stocked at the time of the order; or

   (3) installments, other than the first, of items ordered for serial delivery, such as magazine subscriptions. The 30-day period of 6 RCNY § 5-48(a) does not apply when all advertising for the item conspicuously specifies a different time period by which delivery may be expected. One week after this specified time elapses, the requirements of 6 RCNY § 5-48(a) must be met.

  1. Any mail order seller using a Post Office Box address or Private Mail Service Box in its advertisements or promotional material (including order blanks and forms) must conspicuously disclose both the legal name of the company in accordance with 6 RCNY § 5-01 “Legal Name” and the complete street address from which the business is actually conducted on all advertisements and promotional material.

§ 5-49 Door-to-Door Sales.

"Door-to-door sales" means the offering for sale, lease or rental of consumer goods or services at a location other than the seller's place of business. A seller engaging or planning to engage in a door-to-door sale must, during the initial contact, including telephone contact, with a prospective buyer, clearly state that the purpose of the seller's visit will be to make a sale.

§ 5-50 Delivery of Furniture and Major Appliances.

(a) Scope. This section applies to the sale of furniture and major appliances for use in a home. Furniture includes chairs, tables, cabinets, desks, sofas, carpets, beds and chests. This section does not apply to furniture which is in substantial part custom-made. Major appliances include air conditioners, audio and video equipment, clothes dryers and washing machines, dishwashers, freezers, refrigerators, stoves, ranges, ovens, sewing machines, and televisions. This section does not apply to sales of major appliances which have a purchase price of two hundred dollars or less.
  1. Disclosure.

   (1) When a consumer orders furniture or a major appliance, the seller must disclose an estimated delivery date or range of delivery dates, conspicuously on the consumer’s copy of the order.

   (2) When a seller will not be able to deliver furniture or a major appliance by the latest estimated delivery date disclosed on the order, the seller must immediately notify the consumer in writing of:

      (i) the delay;

      (ii) a new estimated delivery date or range of delivery dates; and

      (iii) the consumer’s options, as set forth in 6 RCNY § 5-50(d), if delivery is not made by the latest estimated delivery date on the order. The seller does not need to notify the consumer of a delay in delivery if the delay is caused entirely by the consumer.

  1. Seller’s extension of time due to strike. When a delay in a delivery is caused by a strike, the seller is entitled to an additional amount of time equal to the duration of the strike to make the delivery.
  2. Consumer options if a seller fails to deliver.

   (1) When a seller does not deliver furniture or a major appliance by the latest estimated delivery date on the order, unless the seller’s time has been extended because of a strike, the consumer can:

      (i) cancel the order and request a refund; or

      (ii) cancel the order and request a credit for the full amount paid; or

      (iii) negotiate a new delivery date; or

      (iv) select new furniture or another major appliance.

   (2) If the consumer cancels the order and requests a full refund or a credit for the full amount paid, the seller must give the consumer the full refund or credit for the full amount paid within two weeks of the consumer’s request.

   (3) If the consumer negotiates a new delivery date, the new date chosen shall replace the latest delivery date stated on the original order. The consumer shall have the same rights with respect to the new date as if it were the latest delivery date disclosed on the original order.

   (4) This subdivision (d) does not apply if the delay or failure to deliver is caused entirely by the consumer.

§ 5-51 Retail Sale of Gasoline.

A retail seller of motor vehicle gasoline:

  1. must afford all persons the opportunity to purchase gasoline on the same terms and conditions, except as otherwise provided by law;
  2. may not represent falsely that gasoline is unavailable for sale;
  3. may not require the purchase of any other service or product as a condition to the purchase of gasoline;
  4. may not require membership in any group as a condition to the purchase of gasoline; and
  5. may not sell gasoline only to prior customers, or represent that sales are so restricted.

§ 5-52 [Reserved]

Retail food stores shall obey the Federal Trade Commission Trade Regulations entitled “Retail Food Store Advertising and Marketing Practices.”

§ 5-54 Repair of Consumer Goods.

(a) Scope. This section applies to all repairs of consumer goods except for repairs:

   (1) performed at no charge; or

   (2) made under an agreement with a fixed fee and specified time of at least one year that entitles a consumer to have all repairs made without additional charge; or

   (3) performed by persons required to be licensed as television, radio or audio equipment repairers under the Administrative Code of the City of New York.

  1. Repairs under $15. When a repairer says repairs will cost $15 or less (including all charges), the repairer’s final bill may not exceed that estimate by more than 20 percent. 6 RCNY §§ 5-54(c) and 5-54(d) do not apply to these repairs.
  2. Repairs made outside the home.

   (1) Requirements upon taking possession.

      (i) A repairer who takes possession of a consumer’s property must immediately give the consumer a receipt and a written estimate. The receipt must contain:

         (A) the legal name and the address of the repairer, disclosed in accordance with 6 RCNY § 5-01 “Legal Name”

         (B) the name and signature of the person who actually takes the item;

         (C) a description of the item, including make and model number, or such other features as will reasonably identify the item.

      (ii) The written estimate must be signed by the repairer and must contain:

         (A) a list of each part to be replaced and its replacement cost;

         (B) a general description of the labor required for the repair and its cost;

         (C) a statement of every additional charge such as charges for estimates or service calls;

         (D) the promised date of completion (this need not be given if the repair is made the same day the item is first examined);

         (E) a statement that the final cost, excluding tax, will not exceed the estimate by more than 20 percent. This statement need not appear if the repairer guarantees that the final cost will not be more than the estimate.

      (iii) If it is impossible for the repairer to know what the repair problem is, the repairer may postpone giving the estimate, but must then add to the receipt the statement of:

         (A) the charge (if any) for giving an estimate;

         (B) the charge (if any) for pick-up and delivery; and

         (C) every charge which will be imposed if the consumer does not authorize repairs.

   (2) Requirements after taking possession.

      (i) Before commencing repair work outside the home, a repairer must:

         (A) give the consumer a written estimate (if one has not already been given); and

         (B) get the consumer’s signed authorization to do the repairs at the estimated price.

      (ii) The written estimate must be as described in the preceding paragraph (1) of this subdivision (c). Time or distance problems may make it impractical to deliver a written estimate and to get a signed authorization before the date agreed upon for repair work to begin. If this is the case, the repairer may begin work after:

         (A) giving the consumer an oral estimate of the cost of repairs; and

         (B) getting the consumer’s oral authorization to proceed; and

         (C) putting a written estimate to the consumer in the mail.

      (iii) Return of parts. After repair work is done, the repairer must give the consumer every part replaced, except for parts which were visibly defective when the consumer first sought the repair, such as torn auto upholstery, shattered auto glass or a broken watch crystal. A waiver of the right to receive replaced parts shall be effective if it is in the consumer’s own handwriting, and states clearly that the consumer is entitled to the parts but does not want them. For parts in any of the following categories, the repairer may simply show and offer them to the consumer:

         (A) parts too large to be easily moved;

         (B) parts which must be returned to the manufacturer if the consumer wishes to take advantage of a warranty; and

         (C) parts which the repairer buys from the consumer to rebuild.

      (iv) Completion date. The repaired item shall be available on the promised completion date. If a delay is expected, the consumer must be notified and given a new completion date. When complete repairs are delayed for an unreasonable period of time, the consumer has the right to immediate return of the property.

      (v) Final bill. When the consumer gets the repaired item back, the repairer must give the consumer a written final bill which:

         (A) itemizes each part replaced, clearly identifying it (for example, by make, model, or serial number) and indicating the price of its replacement;

         (B) indicates the labor required for repair, and the charge for that labor;

         (C) clearly itemizes any other charges;

      (D) is signed by the repair person. The final bill may not exceed the written estimate by more than 20 percent.

  1. Repairs made in the home.

   (1) When repairs are done in the consumer’s home, the repairer must give the consumer an estimate (in writing if the consumer wishes) and get his or her permission to proceed, before starting repairs. The estimate must include parts, labor and all other charges which the consumer will have to pay.

   (2) The repairer must give the consumer a written final bill that itemizes all charges, in the manner prescribed in 6 RCNY § 5-54(c)(2)(v), and discloses the legal name of the repairer in accordance with 6 RCNY § 5-01 “Legal Name”. In addition, the bill must legibly state the name of the person who actually did the repair. The bill may not exceed the estimate by more than 20 percent.

   (3) The repairer must give to the consumer all replaced parts, except the repairer may simply show and offer to the consumer parts in the following categories:

      (i) parts which must be returned to the manufacturer if the consumer wishes to take advantage of a warranty;

      (ii) parts which the repairer buys from the consumer to rebuild.

§ 5-55 Meat and Poultry Advertising.

(a) A seller who advertises meat or poultry by using a private brand designation or any language which implies that the meat or poultry is of a particular grade or quality must disclose the U.S. Department of Agriculture grade for the food. If the meat or poultry sold by private brand designation has not been graded by the U.S. Department of Agriculture, that fact must be disclosed. Examples of grade or quality representations are "A-1," "Best Yet," "All Rite," "Oven Rite," "Top Grade," "U.S. Finest," "Top Quality," "Super Fine," and "Buyer's Choice."
  1. Disclosures shall be next to and in print the same size as the seller’s grade or quality representation.
  2. This section does not apply to:

   (1) meat or poultry for which the U.S. Department of Agriculture does not provide a retail grading service;

   (2) labels attached to meat or poultry packages.

§ 5-56 Window Gates.

(a) If a window gate, grille, bar or similar device has not been approved by the Board of Standards and Appeals of the City of New York for use on fire escape windows the seller must place a tag or label on it, stating that:

   (1) it is illegal to use the device on a fire escape window;

   (2) use of the device on a fire escape window is a serious safety hazard;

   (3) use of the device on a fire escape window may subject the user to a fine by the Department of Buildings.

  1. The tag or label required by this section must bear the word “WARNING” in boldface upper-case type at least one-quarter inch tall. The following warning complies with this regulation:

~

§ 5-57 Utility Bill Payments.

(a) A person or business that accepts a consumer's utility bill payment without authorization from the utility must:

   (1) stamp the consumer’s bill upon presentation with the current date; and

   (2) give the consumer a signed receipt containing the date, the amount paid, the name and address of the individual accepting the payment and the name and address of the person or entity for whom the individual accepted the payment, if different; and

   (3) send the payment by regular mail to the utility within 24 hours of its receipt.

  1. If a payment was not received by an authorized office of the utility within five days of the date stamped on the bill, it shall be presumed that the payment has been held for more than 24 hours.

§ 5-58 Food in Damaged Containers.

(a) Definitions.

   Container. “Container” means an item which contains food or a food product, including cans, bottles, cartons, bags, boxes, wrappers and tubes.

   Food or food product. “Food or food product” means food, drink, confectionery or condiment, used or intended for use by humans or animals, including all substances or ingredients to be added to food for any purpose.

  1. No food product may be offered for sale if contained in:

   (1) a can with a body seam dent, a top or bottom rim dent, or a sharp body dent;

   (2) a can with any bulge other than small bulges due solely to small, smooth body dents;

   (3) a can which has leaked or is rusted;

   (4) a vacuum-sealed container of any sort on which the vacuum has been broken;

   (5) a container whose outer surface is punctured in any manner, whether or not the puncture has been repaired (except where the food or food product is contained in an inner, sealed container or containers, and the innermost container has not in any way been punctured or the food contents been in any other way exposed to the air).

§ 5-59 Restaurant Surcharges.

(a) A seller serving food or beverages for consumption on the premises may not add surcharges to listed prices. For example, a restaurant may not state at the bottom of its menu that a 10 percent charge or a $1.00 charge will be added to all menu prices.
  1. A seller may impose a bona fide service charge (such as an added charge for two persons splitting one meal, or a per person minimum charge), if the charge is conspicuously disclosed to the consumer before the food is ordered.
  2. In this section, the term “surcharge” does not include tax.

§ 5-60 Franchises.

(a) Definitions.

   Franchise. “Franchise” means a right to use the franchisor’s trademark, tradename, brand name, or other mark of identity to suggest a substantial association with the franchisor.

   Franchisee. “Franchisee” means a person receiving a franchise.

   Franchisor. “Franchisor” means a person giving a franchise.

   Subfranchisee. “Subfranchisee” means a person to whom a franchisee gives the right to use a franchise.

  1. Required disclosures.

   (1) A franchisee or subfranchisee must conspicuously disclose on a sign and on each sales slip, receipt and contract for more than $50:

      (i) that the franchisor, franchisee or subfranchisee are separate business entities; and

      (ii) the legal name and address of the party given* the franchise, and the legal name of the franchisee and subfranchisee, if any, disclosed in accordance with 6 RCNY § 5-01 “Legal Name.” These disclosures need not be made on credit card receipts if there is a sign conspicuously disclosing them at all cash registers or at the place where credit card transactions occur.

   (2) A franchisor, franchisee or subfranchisee must conspicuously disclose:

      (i) that advertised sales, discounts, or other special offers are available only at participating franchise outlets, if such is the case;

      (ii) wherever a warranty or guarantee appears, that the terms of the guarantee or warranty apply only to certain franchise outlets, if such is the case;

      (iii) that there has been a change in ownership of the franchise outlet, if such is the case, unless upon the change of ownership the name of the franchise was substantially altered. The disclosure required by 6 RCNY § 5-60(b)(2)(iii) need only be made during the first ninety days after the transfer of ownership.

  1. Partial exemption. A franchisee or subfranchisee need not make the disclosures otherwise required by 6 RCNY §§ 5-60(b)(1) and 5-60(b)(2)(iii) if the franchisor is liable to customers of the franchisee or subfranchisee for items sold by the franchisee or subfranchisee.

§ 5-61 Public Performance Seats.

(a) Sellers of seats to performances at any place of public amusement or sport must conspicuously display a diagram of reserved seat locations by row and seat number, or must conspicuously display a sign stating that such a diagram is available upon request. The diagram must also show every area designated on any ticket.
  1. The ticket for any seat which does not allow complete view of all action must state that the view is obstructed or impaired.
  2. The following requirements apply to places of public amusement or sport with seating capacities of between 900 and 2,000 (“Theatres”):

   (1) The seating level located immediately above the orchestra level may be designated “mezzanine.” However, if no crossover or structural division exists in such level, then no part of it may be designated as “front mezzanine” or “rear mezzanine”

   (2) If a crossover or structural division exists in such level, then either:

      (i) the area in front of the crossover or structural division shall be designated “front mezzanine” and the area behind the crossover or structural division shall be designated “rear mezzanine”

      (ii) the entire level shall be designated “mezzanine.”

   (3) The lettering of rows in each seating area designated as “mezzanine,” “front mezzanine” or “rear mezzanine” shall be alphabetically consecutive, beginning with row “A.”

   (4) A Theatre shall cause the seating diagram referred to in subdivision (a) of this section to be conspicuously posted at all locations where tickets to a performance at such theatre are offered for sale, including but not limited to the Times Square Theatre Centre and The Lower Manhattan Theatre Centre.

   (5) Before a sale of tickets over the telephone is completed, a Theatre shall cause the following information to be orally communicated to the consumer;

      (i) the number of seating levels in the theatre; and

      (ii) the seating level on which the ticket(s) offered are located.

§ 5-62 Home Heating Oil Credit. [Repealed]

*§ 5-63 Catering Contracts.* ::
  1. Definition.

   Caterer. “Caterer” means any person or business engaged in serving food or beverages for private functions in New York City.

  1. Cancellation.

   (1) If a consumer cancels a catering contract and the caterer can re-book the date, the caterer’s cancellation fee may not exceed 5 percent of the total contract price or $100, whichever is less, plus actual expenses reasonably incurred.

   (2) If a consumer cancels a catering contract and the caterer cannot re-book the date, the caterer’s cancellation fee may not exceed the difference between the total contract price and the cost of performance, plus actual expenses reasonably incurred. The caterer must be able to show diligent efforts to re-book and must fairly calculate the cost of performance.

   (3) It will be presumed that a caterer who receives notice of cancellation six months or more before the scheduled date of the function will be able to re-book.

   (4) Cancellation occurs:

      (i) when the consumer mails the caterer a notice of intent to cancel; or

      (ii) when the caterer has actual notice of the consumer’s intent to cancel.

  1. Refunds. As soon as reasonably practicable after cancellation (and never later than 30 days after re-booking) the caterer must return to the consumer any sum received which exceeds the permissible cancellation fee.
  2. Contract forms. Contract forms must conspicuously disclose the caterer’s cancellation fee.
  3. Delegation of performance. A caterer may not delegate performance of any contract to another caterer without the consumer’s consent. This consent may be obtained only after the caterer advises the consumer of its inability to perform under the contract.

§ 5-64 Vocational Training.

(a) If a vocational school or a paid provider of vocational instruction advertises or states that people in particular jobs have certain incomes, or that people who are instructed will earn a stated salary or income "up to" a stated amount:

   (1) either the salary or income must be equal to or less than the average salary or income of persons employed less than five years in the indicated position in the New York metropolitan area, and the representation must state the basis for calculation of the average salary or income; or the representation must state the basis for calculation of the salary stated and disclose the average salary or income of persons employed less than five years in the indicated position in New York metropolitan area; and

   (2) the representation must state any conditions or other requirements such as union membership or service of an apprenticeship, which must be met to earn the stated salary or income; and

   (3) the representation must state that no guarantee is made that a person will earn the stated salary or income, unless the seller makes such a guarantee.

  1. In a written or printed advertisement, the information required by 6 RCNY §§ 5-64(a)(1), (2) and (3) must be disclosed in lettering as large as the numerals of the stated salary or income.
  2. The words “EARN $ …. ” or “EARN UP TO $ ….” or words of similar meaning represent that a person who attends the training course will earn the stated salary or income within the meaning of 6 RCNY § 5-64(a).
  3. If a vocational school or a paid provider of vocational instruction advertises or states that a training course includes job placement service:

   (1) the job placement service must be available to all persons who pay a fee, regardless of whether they complete the course, unless the advertisement or representation states that it is available only to those who successfully complete the course and discloses any other conditions or limitations on the placement service; and

   (2) the advertisement or representation must state whether job placement is guaranteed and, where no guarantee is given, the advertiser must make bona fide attempts to seek potential employers for its students.

  1. In a written or printed advertisement, the information required by 6 RCNY § 5-64(d)(1) and (2) must be disclosed in lettering as large as the lettering indicating the existence of the placement service.
  2. Any advertisement or representation that a school or course has been approved by any government agency must indicate the terms of that approval, particularly as the approval applies to the quality of instruction and the truth of the statements contained in the advertisement or representation. For example, an advertisement or representation shall not state “V.A. Approved,” but must state, if such is the case: “V.A. education loans may be used for tuition. V.A. does not review nor guarantee the quality of instruction, nor does it guarantee the truth of the statements in this advertisement.”
  3. For purposes of this section, “vocational training school” includes any business entity offering vocational instruction through a home study or correspondence plan.

§ 5-65 Out-of-Context Quotes.

(a) This section applies to all consumer goods and services which are reviewed or commented upon, such as movies, books, and theater performances.
  1. A seller who uses language from the review or comments of a critic in an advertisement, including those on theater marquees and billboards, may not rearrange or abstract the quoted language in a way that alters the critic’s meaning. The seller must disclose that the word or phrase refers only to a limited aspect of the work, if such is the case.

   Examples: “Beautiful scenery” or “John Jones performs outstandingly” comply with this section as these statements indicate clearly that they refer to limited aspects of the reviews. The word “beautiful” taken from a review which says “the scenery is beautiful” would not comply with this section.

§ 5-66 Tax Preparation.

(a) Definitions.

   Certified public accountant and public accountant. “Certified Public Accountant” and “Public Accountant” mean any individual who fits within the definitions set forth in Article 149 of the Education Law.

   Income tax return or tax return. “Income tax return” or “tax return” means a federal, state or city tax return of a natural person, including joint returns and all related schedules.

   Tax preparer. “Tax Preparer” means any individual or business that prepares any income tax return, for a fee, to obtain or retain clients, or in connection with the sale of items or services. It does not include an individual employed to prepare tax returns by another individual or business entity if that individual makes clear that he or she is only an employee and that his or her employer will sign the taxpayer’s return.

  1. Prohibited practices. Tax preparers may not:

   (1) ask a taxpayer to sign a blank or incomplete tax return;

   (2) misrepresent their qualifications;

   (3) reveal any information appearing on a tax return or any information gathered for its preparation, including the fact of preparation and the content of solicitation lists, to any person or business other than:

      (i) the taxpayer;

      (ii) a person designated in writing by the taxpayer; or

      (iii) anyone authorized to receive such information by court order or by law;

   (4) make any deceptive statement designed to persuade taxpayers to use, or not to use, a tax preparer;

   (5) induce or attempt to induce a taxpayer to violate any governmental law, rule or regulation;

   (6) use the word “accountant” in any advertisement unless at least one Certified Public Accountant or Public Accountant is present at each tax preparing location during all business hours, or unless the tax preparer immediately follows the word “accountant” with a conspicuous and prominent disclaimer that the tax preparer is not licensed by the state as a Certified Public Accountant or Public Accountant. If a tax preparer uses the word “accountant” without the disclaimer, then a Certified Public Accountant or Public Accountant employed at the tax preparing location must exercise control over all tax returns prepared at that location;

   (7) use the term “expert,” “master,” “consultant,” “specialist” or any similar terms in an advertisement unless the tax preparer’s relevant education or experience is also disclosed in the advertisement. There must be a reasonable basis for any claims of expertise;

   (8) alter a tax return after it has been signed by the taxpayer, without the taxpayer’s written consent;

   (9) charge a fee based upon the amount of tax owed or refund due.

  1. Required practices.

   (1) Tax preparers that advertise their tax preparation services in a manner designed to reach the general public must post; in English, prominently and conspicuously at the public entrance to the tax preparer’s business premises or in the immediate area where consumers arrive and are met for business by the tax preparer:

      (i) a price list sign stating exactly how their fees are computed. The price list must contain:

         (a) a list of services offered by the tax preparer;

         (b) the minimum fee charged for each service, including but not limited to the fee charged for each type of Federal or New York State return;

         (c) factors which may cause the fee to be higher than the minimum fee and, for each factor listed, the additional fee and/or the range of possible additional fees charged when the factor applies.

      (ii) a disclosure sign or signs stating that:

         (a) the taxpayer is entitled to receive a written estimate of all fees before receiving services for which the tax preparer is charging a fee;

         (b) the taxpayer is entitled to receive a copy of every tax return prepared, at the time the original is given to the taxpayer for filing;

         (c) that both the tax preparer and the taxpayer must sign every tax return;

         (d) that the tax preparer is not licensed by the State Board for Public Accounting, or is not a member of the Bar of the State of New York, or both, if such is true;

         (e) that the tax preparer or an agent will not represent the taxpayer at any audit, if such is true. (“Represent” means to appear before any government tax administering authority as attorney, Certified Public Accountant or enrolled agent. Failure to make this disclosure shall mean that the tax preparer, if lawfully authorized, agrees to represent the taxpayer or to provide representation.)

   (2) The price list sign required by subparagraph (i) of paragraph (1) of this subdivision shall also be posted prominently and conspicuously at each point at which orders are placed and/or payment is made, including at each counter or desk, except where a tax preparer is doing business at a consumer’s home or business, in which case the tax preparer must give each consumer a hard copy of the price list prior to any discussion with the consumer. Compliance by a tax preparer with this requirement shall be deemed to satisfy the requirements of § 20-750(a) of the Administrative Code and 6 RCNY § 5-70(a).

   (3) Tax preparers must:

      (i) sign every tax return prepared;

      (ii) give a copy of every tax return prepared to the taxpayer, at the time the original tax return is given to the taxpayer for filing;

      (iii) provide the taxpayer with a statement of the charges for each tax return or schedule prepared;

      (iv) return any of the taxpayer’s personal papers upon request, when the original tax return is given to the taxpayer for filing, unless specifically permitted to retain such papers under State law.

  1. Refunds. Tax preparers may not:

   (1) guarantee a tax refund, or guarantee that the taxpayer will not be audited by any government tax agency;

   (2) request a taxpayer to assign to the preparer any portion of the refund due;

   (3) use their addresses on a tax return as the place to which a refund should be mailed, unless the taxpayer has signed a power of attorney containing such authorization. A fiduciary with authority to handle a taxpayer’s financial matters is not required to obtain this power of attorney;

   (4) claim to give taxpayers an “instant tax refund” that is actually an interest-bearing loan unless that fact is disclosed to the taxpayer in accordance with Federal and State law.

  1. Records. Each tax preparer shall retain a copy of every tax return prepared for a period of at least three years from the preparation date or the due date of the return, whichever is later.
  2. Disclosure in foreign languages.

   (1) In addition to English, all disclosures required by this section must be made in any other language which the tax preparer uses to attract customers.

   (2) For purposes of this section, failure to post each separately enumerated notice requirement constitutes a separate violation for which a penalty will be assessed.

  1. Exemption. Any individual or business which prepares income tax returns as an adjunct service to year-round fiduciary activities provided in the regular course of business for its customers is exempt from this section. If the business also offers individual tax return preparation services which are not related to such fiduciary activities, this section applies to those services.

   Example: A bank trust department offers its services for a fee as trustee on personal trust accounts. The bank advertises that preparation of the beneficiaries’ personal income tax returns is available to the beneficiaries of any trust for which it is trustee. This section does not apply to this tax preparation service. If, however, the bank has an agreement with a tax preparation service, under which the service would supply tax preparation services to the public at various branches of the bank, the bank is subject to this section. If the bank provides the service by its own employees, it is subject to this section.

§ 5-67 Item Pricing in Food Stores.

Food stores included within the scope of New York Agriculture and Markets Law Section 214-i must comply with all the provisions of that law.

§ 5-68 Dealers at Flea Markets.

(a) Definition.

Dealer at a flea market. A “dealer at a flea market” means a person or business entity that sells or offers for sale or displays new or used merchandise at a flea market, craft show, antique show, fair, bazaar or any like exhibition that is open to the general public.

  1. Receipts. A dealer at a flea market must provide consumers with serialized receipts. These receipts must contain:

   (1) the amount of money paid for each item;

   (2) the total amount of money paid including a separate statement of tax;

   (3) the date of the purchase;

   (4) the legal name and address of the seller in accordance with 6 RCNY § 5-01 “Legal Name.”

  1. Recordkeeping. A dealer at a flea market must retain exact copies of all receipts issued to consumers for a period of three years after the time a receipt was issued. Copies of such receipts issued during the previous calendar month and during the current calendar month must be made available to the Commissioner or his authorized representative upon request. All other receipts required to be retained by this subdivision (c) must be produced upon ten days notice.

§ 5-69 Blood Pressure Reading Services.

(a) In addition to the general vendors license required by § 20-453 of the Administrative Code of the City of New York for persons who sell services in a public space, any person who charges a fee or accepts donations and, while in a public space or within a retail mercantile establishment, ascertains, or attempts to ascertain, the blood pressure reading of another, must conspicuously display a sign containing the following language:

   BLOOD PRESSURE READINGS VARY, DEPENDING UPON THE SKILL AND EXPERIENCE OF THE OPERATOR, THE CONDITIONS UNDER WHICH THE READING IS OBTAINED, ANY MEDICATION TAKEN BY THE INDIVIDUAL, AND OTHER FACTORS SUCH AS AGE, WEIGHT, AND PHYSICAL CONDITION.

   I AM NOT A LICENSED OR CERTIFIED HEALTH PROFESSIONAL TRAINED TO TAKE BLOOD PRESSURE READINGS. IF YOU HAVE ANY QUESTIONS ABOUT YOUR BLOOD PRESSURE, SEE YOUR DOCTOR.

  1. The sign must be at least 12” x 18”, and each of the letters must be at least 1” high, and 1/4” wide. Each letter of the second and third sentences must be in upper case lettering.
  2. Public space means all publicly owned property between the property lines on a street as such property lines are shown on the city records, including but not limited to a park, plaza, roadway, shoulder, tree space, sidewalk or parking space between such property lines. It shall also include, but not be limited to, publicly owned or leased lands, buildings, piers, wharfs, stadiums. and terminals.
  3. Retail mercantile establishment means any building, or portion thereof, in which one or more merchants offers goods or services for sale to consumers.
  4. The disclosures required by this section shall not apply to the following persons:

   (1) Any person who holds a current license issued by any agency of the State of New York or by the City of New York, if instruction as to the operation of a sphygomanometer is part of the training required by such state or city agency as a condition of the issuance of such license;

   (2) Any person who holds a current certificate issued by a corporation incorporated as a not-for-profit corporation and exempt from federal taxation pursuant to § 501(c)(3) of the Internal Revenue Code, if a condition for the granting of such certificate is instruction in the operation of a sphygomanometer;

   (3) Any person who is either employed by an in-patient hospital facility, or employed by a person currently licensed to practice medicine in the state of New York, and who is acting within the course of his or her employment.

  1. Any persons claiming an exemption under 6 RCNY § 5-69(e) must possess on their persons documentation supporting their claimed exemption at all times while offering blood pressure reading services.

§ 5-70 Retail Service Establishments.

(a) A retail service establishment shall display a price list conspicuously in a place readily visible to customers at the point at which orders are placed and/or payment is made. The price list shall include the following information:

   (1) a list of the types of services performed;

   (2) the minimum price charged for each service;

   (3) a description of the conditions or variations of service that alter the minimum price charged;

   (4) the range of additional charges caused by such variations;

   (5) if the price is directly derived from an hourly labor rate then the labor rate must appear in a ratio of dollars per hour.

  1. Information required by this rule or by §§ 20-749 through 20-753 of the Administrative Code must be prominently placed and conspicuously written in comparison with all other words, statements, or designs displayed by the retail service establishment, and stated in such terms as to render the information likely to be read and understood by the ordinary individual under customary conditions of purchase.

§ 5-71 Food Store Cash Register; Item Cost Indicator.

(a) A Food store shall not have on its premises any cash register without an item cost indicator unless a seal, issued by the department indicating that such cash register was purchased prior to December 20, 1989, the effective date of Local Law 94 of 1989, which added §§ 20-691 through 20-693 of the Administrative Code, appears on the machine.

§ 5-72 Commercial Weight Loss Center Practices.

(a) A "weight loss provider" is defined as any person or business entity who or which is primarily engaged in the business of offering services to consumers to assist them in losing weight.
  1. It is a deceptive trade practice for a weight loss provider to quote to a consumer a fixed or estimated cost for a weight loss program that is being recommended for the particular consumer without separately stating any additional charges the consumer may have to pay to purchase products, services, supplements or laboratory tests which are part of such program.
  2. It is a deceptive trade practice for a weight loss provider to recommend a weight loss program to a particular consumer without also disclosing the actual or estimated duration of the program.
  3. It is a deceptive trade practice for a weight loss provider to make any oral or written statement, visual description or other representation of any kind, including in any advertisement, which statement, description or representation has the capacity, tendency or effect of leading consumers to believe that the use of a product or treatment, or participation in a program, will result in weight loss unless the weight loss provider conspicuously posts the following statement in each of its weight loss establishments:

   (1) WARNING: Rapid weight loss may cause serious health problems. (Rapid weight loss is weight loss of more than 1 1/2 pounds to 2 pounds per week or weight loss of more than 1% of body weight per week after the second week of participation in a weight loss program.)

   (2) Consult your personal physician before starting any weight loss program.

   (3) Only permanent lifestyle changes – such as making healthful food choices and increasing physical activity – promote long-term weight loss.

   (4) Qualifications of this provider’s staff are available on request.

   (5) You have a right to:

      (i) ask questions about the potential health risks of this program, its nutritional content, and its psychological-support and educational components;

      (ii) know the price of treatment, including the price of any extra products, services, supplements and laboratory tests; and

      (iii) know the program duration that is being recommended for you.

  1. The above statement must be posted in a notice to the public at every temporary or permanent location of the weight loss provider. The notice must be conspicuously posted in every room in which a presentation is made, or in which a product or treatment is offered for sale, by the weight loss provider. The notice must be printed in letters at least as large as 36 point bold face type on a sign at least 22 1/2 inches wide by 17 1/2 inches long. The sign shall be entitled “Weight Loss Consumer Bill of Rights” which shall be printed in letters of 60 point bold face type.
  2. All the educational and professional experience of the weight loss provider’s staff must be made available upon the request of any person.
  3. Every weight loss provider shall produce and distribute to all consumers who inquire about its weight loss program, a palm-sized card entitled “Weight Loss Consumer Bill of Rights”, which shall contain the same information contained in the poster described in subdivision (d) above.
  4. Every weight loss provider shall post the sign described in subdivision (d) which shall be provided by the Department of Consumer Affairs, and shall reproduce and distribute the palm-sized card described in subdivision (g), in every location in which its program or product is promoted, presented or sold, and the weight loss provider must cause the posting of such sign and the distribution of such card by every agent, representative, franchisee and independent contractor at every location in which such agent, representative, franchisee or independent contractor promotes, presents or sells the weight loss provider’s program or product.
  5. The sign described in subdivision d of this section and the palm-sized card described in subdivision g of this section must contain the name, address and telephone number of the Department of Consumer Affairs and the name of the Commissioner. The weight loss provider may include on the sign and the palm-sized card its name, address and telephone number, provided such information is printed in letters which are no larger than the smallest letters on the rest of the sign or palm-sized card, respectively. The sign shall not contain any information other than the information required or permitted by the provisions of this section.

§ 5-73 Sale of Box Cutters.

(a)  Definitions.

   Box cutter. “Box cutter” means any knife consisting of a razor blade, retractable, nonretractable, or detachable in segments, attached to or contained within a plastic or metal housing, including utility knives, snap-off knives, and box cart cutters.

  1. It is an unconscionable practice for any person to engage in the illegal conduct of:

   (1) selling or offering to sell, or causing any person to sell or offer to sell, a box cutter to any individual under eighteen years of age; or

   (2) placing box cutters which are being sold or offered for sale on open display so that such implements are accessible to the public without the assistance of the seller, or his or her employee or other agent; provided, however, that the restrictions of this paragraph shall not apply to those box cutters on open display (i) which are clearly and fully visible from a place of payment for goods or services or customer information at which such seller or an employee or other agent of the seller is usually present during hours when the public is invited, or (ii) which are in a package, box or other container provided by the manufacturer, importer or packager that is larger than 41 square inches.

§ 5-74 Illegal Sale to Minors.

It shall be an unconscionable trade practice for any person to sell or offer to sell any goods or services to minors which by law are prohibited from being sold to minors.

§ 5-75 Used Car Buyer’s Guide.

It shall be a deceptive trade practice for purposes of section 20-701 of the administrative code for any seller to sell or offer to sell any used automobile without posting a Buyer’s Guide as required under section 455.2 of title 16 of the code of federal regulations.

§ 5-76 Debt Collection.

Definitions. As used in this part:

Communication. The term “communication” means the conveying of information regarding a debt directly or indirectly to any person through any medium.

Consumer. The term “consumer” means any natural person obligated or allegedly obligated to pay any debt.

Creditor. The term “creditor” means any person, firm, corporation or organization to whom a debt is owed or due or alleged to be owed or due or any assignee for value of said person, firm, corporation or organization.

Debt. The term “debt” means any obligation or alleged obligation of a consumer to pay money arising out of a transaction in which the money, property, insurance, or services which are the subject of the transaction are primarily for personal, family, or household purposes, whether or not such obligation has been reduced to judgment.

Debt collection procedures. The term “debt collection procedures” means any attempt by a debt collector to collect a debt after:

   (1) with respect to accounts for which creditors are required to send periodic statements, the creditor has ceased sending those statements, or taken or threatened to take legal action against the consumer;

   (2) with respect to 30-day accounts for which periodic statements are not required, the creditor has ceased sending bills for the debt or taken or threatened to take legal action against the consumer; and

   (3) with respect to all other types of credit, the creditor has accelerated the unpaid balance of the debt or demanded the full balance due.

Debt collector. The term “debt collector” means an individual who, as part of his or her job, regularly collects or seeks to collect a debt owed or due or alleged to be owed or due. The term does not include:

   (1) any officer or employee of the United States, any State or any political subdivision of any State to the extent that collecting or attempting to collect any debt owed is in the performance of his or her official duties;

   (2) any person while engaged in performing an action required by law or regulation, or required by law or regulation in order to institute or pursue a legal remedy;

   (3) any individual employed by a nonprofit organization which, at the request of consumers, performs bona fide consumer credit counseling and assists consumers in the liquidation of their debts by receiving payments from such consumers and distributing such amounts to creditors; or

   (4) any individual employed by a utility regulated under the provisions of the Public Service Law, to the extent that New York Public Service Law or any regulation promulgated thereunder is inconsistent with this part. Where a provision of this part limits the number of times an action may be taken by the debt collector, or establishes as a prerequisite to taking an action that the debt collector has received or done something, or prohibits an action if the debt collector has knowledge of or reason to know something, the term “debt collector” includes any debt collector employed by the same employer.

Location information. The term “location information” means a consumer’s place of abode and his telephone number at such place, or his place of employment.

Periodic statement. The term “periodic statement” means the statement of account certain creditors are required by 12 C.F.R. § 226.7(b) [Regulation Z] to send at the end of each billing cycle for which there is an outstanding disputed debit or credit balance in excess of $1 in the account or with respect to which a finance charge is imposed.

Reasonable period of time. The term “reasonable period of time” means in the absence of knowledge of circumstances to the contrary, ten business days.

30-day account. The term “30-day account” means an account on which the outstanding balance at the end of a billing period is to be paid in full within a stated period of time without imposition of any finance charge.

§ 5-77 Unconscionable and Deceptive Trade Practices.

It is an unconscionable and deceptive trade practice for a debt collector to attempt to collect a debt owed, due, or asserted to be owed or due except in accordance with the following rules:

  1. Acquisition of location information. Any debt collector communicating with any person other than the consumer for the purpose of acquiring location information about the consumer in order to collect a debt, after the institution of debt collection procedures shall:

   (1) identify himself or herself, state that he or she is confirming or correcting location information about the consumer and identify his or her employer when that identification connotes debt collection only if expressly requested;

   (2) not state or imply that such consumer owes any debt;

   (3) not communicate more than once, unless requested to do so by such person or unless the debt collector reasonably believes that the earlier response of such person is erroneous or incomplete and that such person now has correct or complete location information; for the purposes of this paragraph (3), the debt collector need not count as a communication returned unopened mail or a message left with a party other than the person the debt collector is attempting to reach in order to acquire location information about the consumer, as long as the message is limited to a telephone number, the name of the debt collector and a request that the person sought telephone the debt collector;

   (4) not use any language or symbol on any envelope or in the contents of any communication effected by the mails or telegram that indicates that the debt collector is in the debt collection business or that the communication relates to the collection of a debt; provided that a debt collector may use his or her business name or the name of a department within his or her organization as long as any name used does not connote debt collection; and

   (5) if the debt collector knows the consumer is represented by an attorney with regard to the subject debt and if the debt collector has knowledge of the attorney’s name and address or can readily ascertain such attorney’s name and address, not communicate with any person other than that attorney for the purpose of acquiring location information about the consumer unless the attorney fails to provide the consumer’s location within a reasonable period of time after a request for the consumer’s location from the debt collector and:

      (i) informs the debt collector that he or she is not authorized to accept process for the consumer; or

      (ii) fails to respond to the debt collector’s inquiry about the attorney’s authority to accept process within a reasonable period of time after the inquiry. The employer of a debt collector may not be held liable in any action brought under 6 RCNY § 5-77(a)(3) or (5) if the employer shows by a preponderance of the evidence that the violation was not intentional and resulted despite the maintenance or procedures reasonably adapted to avoid any such violation.

  1. Communication in connection with debt collection. A debt collector, in connection with the collection of a debt, shall not:

   (1) After institution of debt collection procedures, without the prior written consent of the consumer given directly to the debt collector after the institution of debt collection procedures, or without permission of a court of competent jurisdiction, communicate with the consumer in connection with the collection of any debt;

      (i) at any unusual time or place known, or which should be known, to be inconvenient to the consumer. In the absence of knowledge of circumstances to the contrary, a debt collector shall assume that the convenient time for communicating with a consumer is after 8 o’clock ante meridian and before 9 o’clock post meridian time at the consumer’s location;

      (ii) if the debt collector knows the consumer is represented by an attorney with respect to such debt and if the debt collector has knowledge of the attorney’s name and address or can readily ascertain such attorney’s name and address, unless the attorney fails to respond within a reasonable period of time to a communication from the debt collector or unless the attorney consents to direct communication with the consumer, except any communication which is required by law or chosen from among alternatives of which one is required by law is not hereby prohibited;

      (iii) at the consumer’s place of employment if the debt collector knows or has reason to know that the consumer’s employer or supervisor prohibits the consumer from receiving such a communication; or

      (iv) with excessive frequency. In the absence of knowledge of circumstances to the contrary, a debt collector shall assume that more than twice during a seven-calendar-day period is excessively frequent. In making its calculation, the debt collector need not include any communication between a consumer and the debt collector which is in response to an oral or written communication from the consumer, or returned unopened mail, or a message left with a party other than one who is responsible for the debt as long as the message is limited to a telephone number, the name of the debt collector and a request that one who is responsible for the debt telephone the debt collector; or any communication which is required by law or chosen from among alternatives of which one is required by law. The employer of a debt collector may not be held liable in any action brought under 6 RCNY § 5-77(b)(1)(ii)-(iv) if the employer shows by a preponderance of the evidence that the violation was not intentional and resulted despite maintenance of procedures reasonably adapted to avoid any such violation.

   (2) In order to collect a debt, and except as provided by 6 RCNY § 5-77(a), communicate with any person other than the consumer, his or her attorney, a consumer reporting agency if otherwise permitted by law, the creditor, the attorney of the creditor, a debt collector to whom or to whose employer the debt has been assigned for collection, a creditor who assigned the debt for collection, the attorney of that debt collector, or the attorney for that debt collector’s employer, without the prior written consent of the consumer given directly to the debt collector after the institution of debt collection procedures, or without the prior written consent of the consumer’s attorney or without the express permission of a court of competent jurisdiction, or as reasonably necessary to effectuate a postjudgment judicial remedy.

   (3) Communicate with any person other than the consumer’s attorney, a consumer reporting agency if otherwise permitted by law, the creditor, the attorney of the creditor, a debt collector to whom or to whose employer the debt has been assigned for collection, a creditor who assigned the debt for collection, or the attorney of that debt collector or the attorney for that debt collector’s employer in a manner which would violate any provision of this part if such person were a consumer.

   (4) After institution of debt collection procedures, communicate with a consumer with respect to a debt if the consumer has notified the debt collector in writing that the consumer wishes the debt collector to cease further communication with the consumer with respect to that debt, except that any communication which is required by law or chosen from among alternatives of which one is required by law is not hereby prohibited. The debt collector shall have a reasonable period of time following receipt by the debt collector of the notification to comply with a consumer’s request, except that any debt collector who knows or has reason to know of the consumer’s notification and who causes further communication shall have violated this provision. The debt collector may, however:

      (i) communicate with the consumer once in writing:

         (A) to advise the consumer that the debt collector’s further efforts are being terminated or;

         (B) to notify the consumer that the debt collector or creditor may invoke specified remedies which are ordinarily invoked by such debt collector or;

         (C) where applicable, to notify the consumer that the debt collector or creditor intends to invoke a specific remedy if that is a remedy he is legally entitled to invoke and if he actually intends to invoke it; and

      (ii) respond to each subsequent oral or written communication from the consumer.

   (5) For the purpose of 6 RCNY § 5-77(b)(1)-(4), the term “consumer” includes the consumer’s parent (if the consumer is a minor), guardian, executor, administrator, spouse (unless the debt collector knows or has reason to know that the consumer is legally separated from or no longer living with his or her spouse), or an individual authorized by the consumer to make purchases against the account which is the subject of the collection efforts. A request that the debt collector cease further communication, provided for under 6 RCNY § 5-77(b)(4), if made by the consumer’s spouse or an individual authorized by the consumer to make purchases against the account, only affects the debt collector’s ability to communicate further with the person making the request.

  1. Harassment or abuse. A debt collector, in connection with the collection of a debt, shall not engage in conduct the natural consequence of which is to harass, oppress or abuse any person in connection with a debt. Such conduct includes:

   (1) the use or threat of use of violence or other criminal means to harm the physical person, reputation, or property of any person;

   (2) the use of obscene or profane language or language the natural consequence of which is to abuse the hearer or reader;

   (3) the advertisement for sale of any debt to coerce payment of the debt;

   (4) causing a telephone to ring or engaging any person in telephone conversation repeatedly or continuously with intent to annoy, abuse, or harass any person at the called number;

   (5) the publication of a list of consumers who allegedly refuse to pay debts, except to another employee of the debt collector’s employer or to a consumer reporting agency or to persons meeting the requirements of 15 U.S.C. § 1681a(f) or 15 U.S.C. § 1681b(3); or

   (6) except as provided by 6 RCNY § 5-77(a), the placement of telephone calls without meaningful disclosure of the caller’s identity.

  1. False or misleading representations. A debt collector, in connection with the collection of a debt, shall not make any false, deceptive, or misleading representation. Such representations include:

   (1) the false representation or implication that the debt collector is vouched for, bonded by, or affiliated with the United States or any State, including the use of any badge, uniform or facsimile thereof;

   (2) the false representation or implication that any individual is an attorney or any communication is from an attorney;

   (3) the representation or implication that nonpayment of any debt will result in the arrest or imprisonment of any person or the seizure, garnishment, attachment, or sale of any property or wages of any person unless such action is lawful and the debt collector or creditor intends to pursue such action;

   (4) the threat to take any action that cannot legally be taken or that is not intended to be taken;

   (5) the false representation or implication that a sale, referral, or other transfer of any interest in a debt shall cause the consumer to:

      (i) lose any claim or defense to payment of the debt; or

      (ii) become subject to any practice prohibited by this part;

   (6) the false representation of implication made in order to disgrace the consumer that the consumer committed any crime or other conduct;

   (7) the false representation or implication that accounts have been turned over to innocent purchasers for value;

   (8) the false representation or implication that documents are legal process;

   (9) the false representation or implication that documents are not legal process forms or do not require action by the consumer;

   (10) the false representation or implication that a debt collector operates or is employed by a consumer reporting agency as defined by 15 U.S.C. § 1681a(f);

   (11) the use of distribution of any written communication which simulates or is falsely represented to be a document authorized, issued, or approved by any court, official, or agency of the United States or any State, or which creates a false impression as to its source, authorization, or approval;

   (12) the use of any false representation or deceptive means to collect or attempt to collect any debt or to obtain information concerning a consumer;

   (13) the use of any business, company, or organization name other than the true name of the debt collector’s business, company, or organization, unless the general public knows the debt collector’s business, company or organization by another name and to use the true name would be confusing;

   (14) after institution of debt collection procedures, the false representation of the character, amount or legal status of any debt, or any services rendered or compensation which may be lawfully received by any debt collector for the collection of a debt, except that the employer of a debt collector may not be held liable in any action brought under this provision if the employer shows by a preponderance of the evidence that the violation was not intentional and occurred despite the maintenance of procedures reasonably adapted to avoid any such violation;

   (15) except as otherwise provided under 6 RCNY § 5-77(a) and except for any communication which is required by law or chosen from among alternatives of which one is required by law, the failure to disclose clearly in all communications made to collect a debt or to obtain information about a consumer, that the debt collector is attempting to collect a debt and that any information obtained will be used for that purpose;

   (16) the use of any name that is not the debt collector’s actual name; provided that a debt collector may use a name other than his actual name if he or she uses only that name in communications with respect to a debt and if the debt collector’s employer has the name on file so that the true identity of the debt collector can be ascertained; or

   (17) any conduct proscribed by New York General Business Law §§ 601(1), (3), (5), (7), (8), or (9).

  1. Unfair practices. A debt collector may not use any unfair or unconscionable means to collect or attempt to collect a debt. Such conduct includes:

   (1) the collection of any amount (including any interest, fee, charge, or expense incidental to the principal obligation) unless such amount is expressly authorized by the agreement creating the debt or permitted by law;

   (2) the solicitation or use by a debt collector of any postdated check or other postdated payment instrument for the purpose of threatening or instituting criminal prosecution;

   (3) causing charges to be made to any person for communications by misrepresentation of the true purpose of the communication. Such charges include collect telephone calls and telegram fees;

   (4) taking or threatening to take any nonjudicial action to effect dispossession or disablement of property if:

      (i) there is no present right to possession of the property claimed as collateral;

      (ii) there is no present intention to take possession of the property; or

      (iii) the property is exempt by law from such dispossession or disablement;

   (5) after institution of debt collection procedures, when communicating with a consumer by use of the mails or telegram, using any language or symbol other than the debt collector’s address on any envelope, or using any language or symbol that indicates the debt collector is in the debt collection business or that the communication relates to the collection of a debt on a postcard, except that a debt collector may use his or her business name or the name of a department within his or her organization as long as any name used does not connote debt collection;

   (6) after institution of debt collection procedures, communicating with a consumer regarding a debt without identifying himself or herself and his or her employer or communicating in writing with a consumer regarding a debt without identifying himself or herself by name and address and in accordance with 6 RCNY § 5-77(e)(5); or

   (7) after institution of debt collection procedures, if a consumer owes multiple debts of which any one or portion of one is disputed, and the consumer makes a single payment with respect to such debts:

      (i) applying a payment to a disputed portion of any debt; or

      (ii) unless otherwise provided by law or contract, failing to apply such payments in accordance with the consumer’s instructions accompanying payment. If payment is made by mail, the consumer’s instructions must be written. Any communication by a creditor made pursuant to 6 RCNY § 5-77(e)(7)(ii) shall not be deemed communication for the purpose of 6 RCNY § 5-77(b)(1)(iv). The employer of a debt collector may not be held liable in any action brought under 6 RCNY § 5-77(e)(7) if the employer shows by a preponderance of the evidence that the violation was not intentional and resulted despite maintenance of procedures reasonably adapted to avoid any such violation; or

   (8) engaging in any conduct prohibited by New York General Business Law §§ 601(2) or (4).

  1. Validation of debts.

   (1) Upon acceleration of the unpaid balance of the debt or demand for the full balance due, the following validation procedures shall be followed by debt collectors who are creditors or who are employed by creditors as defined by 15 U.S.C. § 1602(f) [Truth in Lending Act]; but who are not required to comply with 15 U.S.C. § 1637(a)(8) [;Fair Credit Billing Act];, and who do not provide consumers with an opportunity to dispute the debt which is substantially the same as that outlined in 15 U.S.C. § 1637(a)(8) and regulations promulgated thereunder: Within five days of any further attempt by the creditor itself to collect the debt, it shall send the customer a written notice containing:

      (i) the amount of the debt;

      (ii) a statement that unless the consumer, within thirty days after receipt of the notice, disputes the validity of the debt, or any portion thereof, the debt will be assumed valid by the debt collector;

      (iii) a statement that, if the consumer notifies the debt collector in writing within the thirty-day period at the address designated by the debt collector in the notice, that the debt, or any portion thereof is disputed, the debt collector shall either:

         (A) make appropriate corrections in the account and transmit to the consumer notification of such corrections and an explanation of any change and, if the consumer so requests, copies of documentary evidence of the consumer’s indebtedness; or

         (B) send a written explanation or clarification to the consumer, after having conducted an investigation, setting forth to the extent applicable the reason why the creditor believes the account of the consumer was correctly shown in the written notice required by 6 RCNY § 5-77(f)(1) and, upon the consumer’s request, provide copies of documentary evidence of the consumer’s indebtedness. In the case of a billing error where the consumer alleges that the creditor’s billing statement reflects goods not delivered in accordance with the agreement made at the time of the transaction, a creditor may not construe such amount to be correctly shown unless it determines that such goods were actually delivered, mailed, or otherwise sent to the consumer and provides the consumer with a statement of such determination.

      (iv) if the debt collector is not the original creditor, a statement that, upon the consumer’s written request within the thirty-day period, sent to the address designated by the debt collector in the notice, the debt collector will provide the consumer with the name and address of the original creditor;

      (v) an address to which the consumer should send any writing which disputes the validity of the debt or any portion thereof or any writing requesting the name and address of the original creditor.

   (2) Within five days after the initial communication with a consumer in connection with the collection of any debt, a debt collector who is not a creditor and not employed by a creditor shall, unless the following information is contained in an initial written communication, or the consumer has paid the debt, send the consumer a written notice containing:

      (i) the amount of the debt;

      (ii) the name of the creditor to whom the debt is owed;

      (iii) a statement that unless the consumer, within thirty days after receipt of the notice, disputes the validity of the debt, or any portion thereof, the debt will be assumed to be valid by the debt collector;

      (iv) a statement that if the consumer notifies the debt collector in writing within the thirty-day period at the address designated by the debt collector in the notice that the debt, or any portion thereof, is disputed, the debt collector will obtain verification of the debt or a copy of a judgment against the consumer and a copy of such verification or judgment will be mailed to the consumer by the debt collector;

      (v) a statement that, upon the consumer’s written request within the thirty-day period sent to the address designated by the debt collector in the notice, the debt collector will provide the consumer with the name and address of the original creditor, if different from the current creditor; and

      (vi) an address to which the consumer should send any writing which disputes the validity of the debt or any portion thereof or any writing requesting the name and address of the original creditor.

   (3) If, pursuant to 6 RCNY §§ 5-77(f)(1) or 5-77(f)(2) of this Regulation the consumer notifies the debt collector in writing within the thirty-day period that the debt, or any portion thereof, is disputed, or that the consumer requests the name and address of the original creditor, the debt collector shall not attempt to collect the amount in dispute until the debt collector obtains and mails to the consumer verification of the debt or a copy of the judgment or the name and address of the original creditor. The debt collector shall maintain for one year from the date the notice was mailed, records containing documentation of the date such notice was mailed, the date the response, if any, was received and any action taken following such response.

   (4) The failure of a consumer to dispute the validity of a debt under 6 RCNY § 5-77(f) shall not be construed by any court as an admission of liability by the consumer.

  1. Liability. The employer of a debt collector is liable for the debt collector’s violation of 6 RCNY § 5-77. A debt collector who is employed by another to collect or attempt to collect debts shall not be held liable for violation of 6 RCNY § 5-77.

§ 5-78 Deceptive Forms.

It is a deceptive and unconscionable trade practice for any person to design, compile and furnish any form knowing that such form would be used to create the false belief in a consumer that a person other than the creditor of such consumer is participating in the collection of or in an attempt to collect a debt such consumer allegedly owes such creditor, when in fact such person is not so participating.

§ 5-79 Severability.

If any provision of this part or the application of such provision to any person or circumstances shall be held unconstitutional or invalid, the constitutionality of the remainder of the part and the applicability of such provision to other persons or circumstances shall not be affected thereby.

§ 5-80 Citation Form.

This part may be cited as Consumer Protection Law Regulations Part 6.

§ 5-86 Definitions.

Advertiser. Where the “advertiser” is a chain store, the requirements of this part shall apply to each branch as if it were a separate store.

Advertiser’s bona fide selling price. “Advertiser’s bona fide selling price” shall mean the immediately preceding price at which the same item or service was actually offered for sale to the public by the advertiser for a reasonably substantial period of time in the recent regular course of the advertiser’s business, unless an earlier time period is clearly specified, and not a price charged for the purpose of establishing a fictitious higher price on which a deceptive comparison might be based.

  1. “Recent regular course of business” shall mean the current selling season on seasonal goods; or, on services or non-seasonal goods, the period of the current model or twelve months, whichever is shorter.
  2. It is prima facie evidence that a selling price for a service or an item is bona fide if:

   (i) the item was offered for a reasonably substantial period of time and a substantial quantity of sales were made at that price, or

   (ii) if a substantial number of sales was not made at such price, that the item was openly offered for sale to the public for a reasonably substantial period of time and that such offering price was reasonable based upon the manner in which such items were displayed or offered for sale, and such other factors as the mark-up reflected in such price and the price of comparable items.

Genuine. “Genuine,” when used in this part with such phrases as “open stock price,” “list price,” “suggested retail price,” and “catalog price” shall mean that the price is one at which substantial quantities of the identical merchandise have actually been sold to the public within the recent regular course of business, by the advertiser or principal retail outlets within the New York City trading area, or, if identical merchandise is not available in the New York City trading area, in principal retail outlets in other similar trading areas provided that the fact is disclosed. During the first two weeks after a new model or item has been introduced, a “list price,” “suggested retail price” or “catalog price” may be considered “genuine” only if:

  1. the list price, suggested retail price or catalog price for the last previous model was genuine, or,
  2. where no previous model existed, the list price, suggested retail price or catalog price for other similar goods, produced by the same manufacturer and sold in the preceding selling season or twelve month period, was genuine. Where no previous model or similar goods existed or where the manufacturer has not previously made use of list price or suggested retail price, the list price, suggested retail price or catalog price may be used for up to thirty days after introduction of the new model or item after which time, the advertiser must be able to demonstrate that the price is genuine.

In-store. “In-store” representation shall mean any written statement, visual description, advertisement, or other written representation of any kind, or any oral statement by a demonstrator which is made inside the interior premises of the merchant.

Models and types. “Models” and “types” refer to models and types exclusive of differentiations attributable only to sizes or colors except where sizes or colors are material, e.g. mattresses, paint.

Out-of-store. “Out-of-store” representations shall mean any oral or written statement, visual description, advertisement or other representation of any kind made outside the interior premises of the advertiser, including representations made in newspapers, magazines, handbills, billboards, direct mailings, on radio and television and in store windows, storefronts, and other similar places where the representations can be perceived by the public not yet inside the premises of the merchant.

Retail market price. “Retail market price” shall mean:

  1. the price at which substantial sales of the same article or service are presently being made in principal retail outlets in the New York City trading area, or
  2. where no substantial sales have been made, the bona fide, usual and customary selling price of the item or service as offered in principal retail outlets in the New York City trading area.

§ 5-87 Prohibited Conduct.

It is a deceptive practice in the sale or offering for sale of consumer goods or services for a person (including any business entity) having a store, place of business for sales or mailing address for sales in the City of New York, or otherwise selling in the City of New York to advertise or represent in connection with sales made in the City of New York or offerings for sales to be made in the City of New York that such goods or services are being or will be offered or sold to New York City consumers at a reduction, discount, or savings in a manner in violation of this part.

§ 5-88 Identification of Merchandise and Services (Out-of-Store Representations).

An out-of-store representation or advertisement containing words or numbers indicating a savings, reduction, discount or sale price, must include limiting language which permits the consumer to identify the merchandise or services being offered at savings, reductions, discounts or sale price. Identification simply by former price is not sufficient unless the items so identified constitute a percentage of the advertised brands, styles, types, models, classes, or categories of merchandise or services sufficiently large to meet reasonable consumer expectations created by the advertisement.

  1. Such limiting language should be sufficiently precise to permit consumers to distinguish the applicable merchandise or services. This can be accomplished only by setting forth the brand, price, style, type, model, class or category, as appropriate in the context of the out-of-store representation or advertisement. Vague language such as “percentage off some merchandise” does not comply with this requirement. An advertisement shall be construed to apply to every piece of merchandise (or every service) within that category, type, make, model, (etc.).

Examples:

   (1) “Brand X aluminum tennis rackets.” Acceptable.

   (2) “Steel belted radial tires.” Acceptable if all steel belted radial tires are now on sale.

   (3) “Famous manufacturer’s single lens reflex cameras.” Acceptable if all of the particular manufacturer’s single lens reflex cameras are on sale.

   (4) “Men’s cashmere sweaters, formerly $40, now $30.” This is acceptable if all men’s cashmere sweaters that were formerly $40 are now on sale, and these sweaters constitute a percentage of the store’s total supply of cashmere sweaters sufficiently large to meet reason able consumer expectations created by the advertisement.

    1. If the merchandise or services referred to in the out-of-store representation or advertisement as being offered at a savings, reduction, discount or sale price cannot be specified with precision because the sale involves:

      (i) less than all of the brands, styles, types, models, classes or categories of merchandise or services identified;

      (ii) a storewide sale in a broad cross-section of departments; or

      (iii) one or more established departments, but less than all of the merchandise or services in such departments, the terms “selected,” “many,” “representative,” “assorted,” or terms of similar import, may be used as limiting language to comply with identification requirement of this section, provided that a meaningful percentage of such merchandise or services is so offered. “Meaningful percentage” shall mean an amount of merchandise that will meet reasonable consumer expectations created by the advertisement. For 5 RCNY § 5-88(b)(1)(i), it shall be prima facie evidence of a violation of the meaningful percentage requirement if at least 15 percent of such brands, styles, types, models, classes or categories identified are not on sale, provided however, that the advertiser shall be permitted to show that under the particular circumstances involved the amount on sale was not deceptive.

   (2) In the absence of words of limitation, an advertisement shall be construed to apply to every piece of merchandise or every service within that category, type, make, model, etc.

   Examples:

      (i) “Numerous pottery vases” complies if at least 15 percent of the pottery vases are on sale, unless the advertiser can demonstrate that under the particular circumstances involved the amount on sale, in light of the advertisement itself, is not deceptive.

      (ii) “Assistant Managers’ birthday sale – storewide savings on selected merchandise” complies if the amount of merchandise on sale meets reasonable consumer expectations created by the advertisement.

      (iii) “Representative low-cut tennis sneakers” complies provided 15 per cent of the types of brands, makes or etc., are on sale, unless the advertiser can demonstrate that under the particular circumstances involved the amount on sale in light of the advertisement itself was not deceptive.

      (iv) “Special grouping of Misses’ slacks, regularly $20 now $15” complies if at least 15 percent of all Misses’ slacks regularly $20 are now $15 unless the advertiser can demonstrate that under the particular circumstances involved the amount on sale, in light of the advertisement itself, was not deceptive.

      (v) “Reduction on many items in the Sporting Goods and Luggage Department” complies if the amount of merchandise on sale in each department meets reasonable consumer expectations created by the advertisement.

  1. An out-of-store representation or advertisement concerning a storewide sale or a sale in a broad cross-section of departments which displays, pictures, or mentions specific items which are on sale must also disclose whether the items displayed, pictured or mentioned are the only ones on sale. If they are not the only ones on sale, the advertisement must disclose the extent to which items not displayed, pictured or mentioned are on sale.

Example: “Semi-annual White Sale – These and many other savings” complies if the complete supply of all pictured items is on sale and a meaningful percentage of the ether sale items is offered at a savings.

§ 5-89 “Wholesale Price,” “Manufacturer’s Price,” “Factory Price,” and Similar Terms.

If an advertiser states or implies that goods are offered at or below “list,” “wholesale,” “wholesale price,” “original wholesale,” or other similar terms, these terms must pertain to the price currently and generally paid for such goods by retailers in the New York City trading area. If the advertiser states or implies that goods are offered at or below “manufacturer’s wholesale,” “manufacturer’s price,” “factory price,” or other similar terms indicating purchase directly from a manufacturer, these terms must pertain to the price currently and generally paid for such goods by retailers in the New York City trading area who purchase the category of merchandise directly from the manufacturer. It is presumptive evidence of compliance with this section if the advertiser can show that the goods are offered below the price paid by the advertiser.

§ 5-90 “Less Than Cost,” “At a Loss,” and Similar Terms.

If the advertiser uses the words:

“less than cost” “at a loss” “below retailer’s cost”

or other similar terms implying that the purchaser is paying a lower price than the advertiser, the price to the consumer must actually be less than the price paid by the advertiser.

§ 5-91 Reductions Based on Advertiser’s Own Price; “Formerly,” “Regularly,” “Reduced,” “Percent Off,” “Save,” and Similar Terms.

(a) Immediately preceding price. If an advertiser uses the words:

   “percent off” “formerly …, now …” “reduced” “reduced to” “regularly…, now …” “now only” “save $ …” “was …, now …, “item now $ …”

   or any similar term implying a reduction from a prior price charged by the advertiser, the price to which the reduced offering price is being compared must be the advertiser’s bona fide selling price for that item or service unless the advertiser clearly discloses another basis of comparison or qualification.

  1. Intermediate reductions. If the term “originally,” or any similar term, is used in any advertisement, the price stated as the “original” price must be the advertiser’s bona fide selling price for the same article or service prior to intermediate reductions, and the price immediately prior to the current reduction must be disclosed, unless intermediate reductions are clearly indicated by the language used.

   Example: “Originally $75; then $68; now $65” “Earlier this year $75; now $65” “Further reduced to $50.”

  1. Comparison not recent. If a claim is based on a past bona fide selling price of the advertiser prior to the recent, regular course of business, the advertiser must clearly disclose that fact.

   Example: “Last year $40, now $20.”

§ 5-92 Comparisons Based on Price of Identical Merchandise or Services Sold Elsewhere: “Value,” “Nationally Advertised at,” “Usually,” “List,” and Similar Terms.

(a) "Value," "nationally advertised at," "sold nationally at," "made to sell for," "woven to sell for," "usually." If the terms:

   “value” “nationally advertised at” “sold nationally at” “made to sell for” “woven to sell for” “elsewhere”

   or other similar terms implying a generally accepted value or price are used with regard to any item or service, then the price to which the reduced offering price is being compared must be the retail market price of the item or service. Furthermore, the terms “value,” “nationally advertised at,” or “sold nationally at” or any similar terms implying a generally accepted value or price in a national market may be used only

   (1) in relation to articles or services whose prices have been nationally advertised to the consuming public and

   (2) i) in relation to prices which are retail market prices, or,

      (ii) if the advertised item or service is not available elsewhere in the New York City trading area, the prices for which the article or service is currently selling in principal retail outlets in a substantial number of other representative communities in the United States.

  1. If the term “usually” is used with regard to any item or service, then the price to which the reduced offering price is being compared must be either

   (1) the advertiser’s own bona fide price for the item or service, or

   (2) the retail market price.

  1. “list,” “catalog,” “suggested,” “manufacturer’s suggested,” prices. Any “list” price, “catalog” price, “suggested” price, “manufacturer’s suggested” price, “retailer’s suggested” price or a preticketed price displayed by the advertiser must be genuine, unless, in the case of a price printed by a supplier of the advertiser, the advertiser has made every reasonable effort to remove or obliterate totally the printed price, or if removal or obliteration is impracticable taking into account the cost thereof, has conspicuously disclaimed that it is genuine. The display of any list price or printed price accompanied by a lower price constitutes a representation that such price is genuine and that the merchandise is being offered at a discount from such genuine price unless in the case of a price printed by a supplier of the advertiser, the advertiser has made every reasonable effort to remove or obliterate totally the printed price, or if removal or obliteration is impracticable taking into account the cost thereof, has conspicuously disclaimed that it is genuine.

§ 5-93 Claims Based on Price of Comparable Merchandise or Services:”Comparable Value” and Similar Terms.

If the term:

“comparable value” “compare with” “equal to”

or other similar term implying comparison with non-identical merchandise is used

  1. the advertisement must not imply that the comparison is with the former or usual price of the advertised merchandise or service itself; and
  2. the compared merchandise or service must be of essentially similar quality in those material respects which affect consumer preferences and marketability; and
  3. the price to which the advertiser’s price is compared must be the retail market price or the genuine list, suggested or catalog price of the comparable article or service; and
  4. the comparable article or service must be generally available in New York City at the price stated; and
  5. the advertisement must clearly and conspicuously disclose that “comparable value” pertains to similar but not identical merchandise or services. If an aggregate “open stock” price is used as a comparative price for an advertised set, the advertisement must disclose this fact and indicate that the advertised saving is based upon the difference between the price for the set and the total open stock price for items comprising the set.

§ 5-94 Range Discounts: “% to % Off,” “Up to % Off Selected” and Similar Terms.

(a) If an advertiser uses terms such as:

   “Savings of ____ % to ____ %” “____ % to ____ % off”

   or other similar terms to indicate a price range, then:

   (1) the minimum percentage reduction must be stated as conspicuously as the maximum percentage reduction; and

   (2) the price from which the discount or reduction is taken must be either a genuine list, suggested or catalog price, the retail market price or the advertiser’s bona fide selling price, for the same articles or services, unless another basis is clearly stated; and

   (3) “out-of-store” advertisements must disclose which of the above standards was or were used (if a single advertisement relates to merchandise or services offered at reductions according to different standards, it must disclose which standards apply to which types of merchandise or services);

      Example: “____ % to ____ % off the manufacturer’s price” “____ % to ____ % off last year’s price.”

   (4) at least 15 percent of all types, models, or categories of items or services on sale in the advertised category must in fact be reduced by the maximum percentage reduction and a representative number of other models or types or services must be offered at various points in the range significantly separated and representatively scattered.

      Example: “PORTABLE RADIOS AND TELEVISIONS 10%-50% off our former prices”

      Complies if at least 15 percent of all models of portable radios and televisions available are selling at 50 percent off, and a representative number of the remaining models are offered at various points between 10 and 50 percent representatively scattered throughout that range.

  1. If the terms:

   “discounts from ….. %” “up to …… % off” “as high as” “save up to ….. %”

   or other similar terms are used to advertise a range of reductions with no specified minimum reduction,

   (1) the prices used for comparison must be the advertiser’s bona fide selling price, the retail market price, or a genuine list, suggested price for the same articles or services, unless another basis or a qualification is clearly stated;

   (2) “out-of-store” advertisements must disclose which of the above standards was or were used;

   (3) at least 15 percent of all the types, models, or services on sale in the advertised categories must be offered for sale at the stated maximum percentage reduction; and

   (4) a representative number of the remaining models or types or services must be offered at various points representatively scattered throughout the range from the stated maximum percentage reduction to the bottom of the range, or the majority of such other models or types or services must be offered at points in the higher portion of the range.

      Example: “BRAND Y CASSETTE TAPE RECORDERS” “Up to 30 percent off”

      Complies if at least 15 percent of all models of Brand Y Cassette tape recorders available are selling at 30 percent off and the remaining models are offered at various points representatively scattered throughout the range below 30 percent or the majority of the remaining models are offered at points in the higher portion of the range. If the range is 0-30 percent, the majority of the remaining models would have to be offered above 15 percent; if the range is 10-30 percent, the majority would have to be offered above 20 percent.

  1. If terms such as “formerly $ ….. to $ …..; now $ …..” are used, the maximum price in the range of advertised former prices must represent the advertiser’s bona fide selling price for at least 15 percent of all the types, models or services advertised. Bona fide selling prices for the other items or services must have been at levels representatively scattered through the range of advertised former prices.

§ 5-95 “Advance Sale” or “Introductory Offer.”

(a) If an advertiser uses the words "advance sale" or "introductory offer" or statements such as "if there are any left they will be marked $ .....," or any other words or statements implying that the goods or services are offered for sale at a reduced price in relation to a future mark-up, he must also

   (1) have, in fact, in the case of goods, either a reasonable quantity of merchandise in stock, or an order to be marked up; or demonstrate his intention to order such merchandise for future mark-up; and

   (2) mark up the goods or services within a reasonable period of time and maintain the mark-up for a reasonable period of time not less than 30 days, unless he can show that competitive circumstances occurring subsequent to the advertisement required him to maintain or lower the price in order to maintain a competitive position.

  1. If the words “introductory offer” or words of similar meaning are used, they must pertain only to merchandise or services not previously sold by the advertiser nor sold by him for more than six weeks prior to the advertisement.

§ 5-96 Combination Offers.

(a) If the advertiser uses "combination offers," in which he offers his product in combination with one or more additional articles or services at a stated price, and claims that the combined articles or services have a "value" greater than the total advertised selling price of the individual items, the total "value" claimed must not be greater than the total of the retail market prices of the articles and services as sold separately.
  1. If none of the combination articles is being sold in the New York City trading area and the comparison is based on comparable merchandise, the phrase “comparable value” may be used only if it complies with 6 RCNY § 5-93.
  2. If one or more of the articles offered in combination is in general retail distribution, but one or more is not, comparative prices for the articles may be stated separately, according to the facts.

§ 5-97 “Discount,” “Outlet,” “Bargain” and “Warehouse” Operations.

If a retailer includes in the name of his store, or in any other “out-of-store” manner represents the regular retail operation of his entire store by use of the words “discount,” “outlet,” “bargain,” “warehouse,” or any other term implying that all goods and services are regularly sold at less than genuine list, catalog, suggested or retail market prices, then 75 percent of the retailer’s dollar volume in the last selling season exclusive of fair-traded items must have been from items which were in fact sold for at least 5 percent less than genuine list, catalog, suggested or retail market price.

§ 5-98 Discount Departments.

A retailer may not use the words “discount,” “bargain,” “warehouse,” “bargain basement,” or other similar terms in characterizing a particular department or section within his regular retail operation unless

  1. a substantial percentage of the dollar volume of the last previous selling season within that department or section was derived from items sold for less than genuine list, catalogue, suggested or retail market prices. It shall be presumptive evidence of violation of this section if the advertiser cannot show that at least 35 percent of the dollar volume in the last previous selling season within that department or section was derived from items selling for less than genuine list, catalog, suggested or retail market prices for such items; or
  2. all items not presently being sold for at least 5 percent less than genuine catalog, list, suggested or retail market price, are clearly and conspicuously designated as non-discount items. This requirement of designation may be satisfied by segregation of identified non-discount items, shelf labels, or other prominent signs, a listing of non-discount items clearly and conspicuously displayed in the relevant department, or a standardized sticker or tag with a clear and conspicuous explanation that the item to which it is affixed is a non-discount item.

   Example: A shoe department in a retail store sells brands X, Y, and Z shoes. Brand X is sold at less than retail market price, and brands Y and Z are sold at retail market price. In the last previous selling season, 35 percent of all shoe sales came from the sale of brand X shoes. The store is in compliance with this article. But if less than 35 percent of all sales came from sales of brand X shoes, brands Y and Z must be conspicuously designated as nondiscount items in order for the department to be called “discount shoe department.”

§ 5-99 Meaningful Reductions.

All discounts, sales, reductions or savings must be meaningful, and not merely nominal or insignificant. All articles and services so advertised must be offered at a reduction or savings of at least 5 percent from the price to which the advertiser’s is being compared, unless [in the case of items retailing for over $100] the advertisement clearly sets forth the actual percentage of reduction or the dollar amount of the reduction.

§ 5-100 Sufficient Quantities.

The retailer either must have in stock or on order, or be prepared to supply within a reasonable time sufficient quantities of each advertised item or service to fulfill reasonably anticipated public demand, or clearly conspicuously disclose in the advertisement any items or services of genuinely limited availability. A retailer is not “prepared to supply” merchandise unless he has communicated with suppliers and ascertained, prior to advertising, that the merchandise is available to him.

§ 5-101 Inherently Misleading Terms.

The following inherently misleading terms are prohibited in retail advertising: “our list price” below “manufacturer’s wholesale cost” “manufacturer’s cost”

§ 5-102 Adequacy of Disclosure.

All disclosures and words of limitation or qualification required by this part shall be written or printed in letters at least one third as high and one third as broad as the largest words or numbers appearing in the advertisement which relate to or describe the reduction, discount or savings, but in no event in less than ten point type. In radio announcements, the disclosure or words of limitation or qualification shall be clearly spoken, and in television announcements they shall be part of the radio track and not merely part of the picture.

§ 5-103 Records Required.

(a) Each person who advertises or represents the existence of a discount, reduction or savings shall for three months maintain records demonstrating compliance with this part at his principal place of business within the City of New York or at a location where such records are normally maintained by such person.

Example: An advertiser who advertises “20 percent off Brand X cameras” must maintain records demonstrating that the reduction is from the bona fide selling price. If the cameras were last sold at such lower price eleven months ago, the advertiser must retain the records indicating the earlier price. These records must be kept for a period of three months after the sale is over.

  1. Where the Commissioner of Consumer Affairs or her delegate requests a person to produce by mail information or records to demonstrate compliance with this part, and the information, or original, carbon, photographic or electrostatic copies of the records are available in the company’s files, the person shall mail a copy of such information to the person requesting it within seven business days after receipt of the request unless such time period is extended by the Chief of the Law Enforcement Division. Where the information is available to the person but not in his possession, or where the record must be reconstructed (e.g., where they have been stored in the memory bank of a computer), the person shall mail a copy of such information to the person requesting it within a reasonable period of time, not to exceed sixty business days, after receipt of the request unless such time period is extended by the Chief of the Law Enforcement Division. In lieu of mailing requested information or records to the Commissioner, a person may grant access to the files for purpose of examination and to copy documentary evidence by advising the Commissioner in writing within 5 business days after receipt of the request that such access will be granted provided the information or records are kept in New York City.
  2. No action shall be maintained by the Commissioner under Administrative Code, § 20-703(c) merely for failure to maintain or produce records required by this section. However, all of the other penalties provided by § 20-703 shall apply.

§ 5-104 Regulations 6 RCNY §§ 5-06 and 5-12 Not Affected.

Nothing in this part repeals or modifies 6 RCNY §§ 5-06 and 5-12 or any portion thereof. In the event of any inconsistency, the advertiser should comply with the requirements of 6 RCNY §§ 5-06 or 5-12, as the case may be.

§ 5-105 Exemptions.

(a) Except as provided in 6 RCNY § 5-92, this part does not apply to advertisements printed or packaging material prepared by a manufacturer outside of the City of New York unless such advertisements were requested or ordered by the advertiser located within the City of New York.
  1. This part does not apply to advertising placed prior to its effective date, nor, until four months after its effective date, to non-periodical advertising displays in existence and used by the advertiser prior to the effective date.

§ 5-106 Citation Form.

This regulation may be cited as Consumer Protection Law Regulations, Part 7.

Subchapter B: Truth-in-pricing Law

§ 5-111 Definitions.

As used in the following 6 RCNY §§ 5-111 - 5-114:

Retail entity. “Retail entity” shall mean any person, partnership, corporation or other organization engaged in the sale, display or offering for sale of consumer commodities at retail from one or more retail establishments. For the purposes of these regulations, retail establishments owned or controlled by different persons, partnerships, corporations or other organizations, but associated together for the purpose of sharing a trade name or advertising expenses or for joint or cooperative purchase of merchandise or services, shall not constitute a single retail entity.

Retail establishment. “Retail establishment” shall mean a single geographical location in which consumer commodities are sold, displayed or offered for sale at retail.

Self service. “Self service” shall mean the offering or display of consumer commodities for retail sale in such a manner that the consumer may examine and select commodities for purchase without the assistance of sales personnel.

§ 5-112 Exemptions.

(a) § 20-709 of the Administrative Code, "Display of Price per Measure," shall apply only to consumer commodities sold, displayed or offered for sale by self service.
  1. § 20-709 of the Administrative Code, “Display of Price per Measure,” shall not apply to any consumer commodity packaged without a declaration of volume, weight, quantity or other appropriate size declaration.
  2. § 20-709 of the Administrative Code, “Display of Price per Measure,” shall not apply to any consumer commodity sold in one, two, five, or ten units of the applicable standard measure designated in 6 RCNY § 5-113(b).
  3. § 20-709 of the Administrative Code, “Display of Price per Measure,” shall not apply to any consumer commodity whose method of sale is governed by § 191, § 193, or § 193-d of the New York Agriculture and Markets Law.
  4. § 20-709 of the Administrative Code, “Display of Price per Measure,” shall not apply to any retail establishment in which the total dollar volume sales of consumer commodities constitutes 20 percent or less of the total dollar volume of sales from such retail establishment.
  5. § 20-709 of the Administrative Code, “Display of Price per Measure,” shall not apply to any retail entity whose gross receipts from retail sales of merchandise of any sort for the preceding tax year of such retail entity were less than two million dollars.

§ 5-113 Calculation and Display of Price Per Measure.

(a) Price or measure shall be expressed in terms of dollars or cents, as applicable, carried to three digits. If the price is $1.00 or over, it is to be stated to the nearest full cent, provided that said price is rounded off from one-half cent or over to the next higher cent; and, if less than one-half cent, reduced to the next lower cent.

   Example: “$1.35 per pound.” If the price is less than $1.00, it should be stated to the nearest tenth of a cent.

   Example: “24.8¢ per pound.”

  1. Price per measure shall be expressed as follows:

   (1) price per pound for commodities whose net quantity is stated in units of pounds or ounces or both;

   (2) price per 100 units for commodities whose net quantity is stated by numerical count;

   (3) price per pint or quart for commodities whose net quantity is stated in fluid ounces, pints, quarts or gallons or a combination thereof; provided that the same unit of measure is used for the same commodity in all sizes sold in the retail establishment;

   (4) price per 50 feet or per 50 square feet, as appropriate, for commodities whose net quantity is stated in units of inches, feet, yards, square inches, square feet or square yards, or whose net quantities are stated in units of length or area and the “ply” count, if any.

  1. All price information required by §§ 20-708 and 20-709 of the Administrative Code shall be clear and conspicuous and shall be on a stamp, tag, label or sign directly above, below, adjacent to, or on the consumer commodity to which it relates. Such stamp, tag, label or sign shall:

   (1) state the total selling price;

   (2) state the price per measure;

   (3) identify sufficiently the consumer commodity to which the price information relates, if not affixed to the consumer commodity;

   (4) indicate the total selling price on the right side of a horizontal label or on the upper part of a vertical label;

   (5) indicate the price per measure on the left side of a horizontal label or on the lower part of a vertical label;

   (6) contain the words “Unit Price” above or below the price per measure;

   (7) indicate the price per measure and unit of measure on an orange background, except that packages which are pre-priced by the manufacturer shall not be required to use an orange background on a label affixed to the consumer commodity;

   (8) indicate price per measure in type no smaller than that used for the total selling price, but in no event smaller than pica type;

   (9) be submitted to the commissioner for approval prior to its use in any retail establishment.

  1. Every retail establishment required to post price per measure by the regulations governing Truth-in-Pricing, in those cases where shelf labels are used, shall conspicuously post a sign for every two thousand square feet of sales area, but in no event less than two signs nor more than five signs in any retail establishment, which explains the use of price per measure information to the consumer. The price per measure, as used in examples on these signs, shall appear on an orange background in type no smaller than that used for the selling price.
  2. Upon written application to the commissioner, and upon a showing of exceptional circumstances, a retail establishment or retail entity may be granted an extension in writing, not to extend beyond December 31, 1972, in which to comply, in whole or in part, with the requirements of section c above.

§ 5-114 Consumer Commodities Regulated.

The following commodities shall be labelled in accordance with the provisions of § 20-709 of the Administrative Code, “Display of Price per Measure,” and of the regulations governing Truth-in-Pricing.

  1. Canned and bottled vegetables which do not require refrigerated storage.
  2. Canned and bottled fruits which do not require refrigerated storage.
  3. Canned and bottled real and imitation vegetable and fruit juices which do not require refrigerated storage.
  4. Canned and bottled tomatoes, tomato sauce, tomato paste, tomato puree and other related tomato products which do not require refrigerated storage.
  5. Canned and bottled baby foods which do not require refrigerated storage.
  6. Cooking and salad oils.
  7. Canned and bottled salmon, tuna and sardines which do not require refrigerated storage.
  8. Jams, jellies and preserves.
  9. Peanut butter.
  10. Carbonated beverages.
  11. Coffee, instant and regular.
  12. Dog and cat foods.
  13. Breakfast cereals (does not include corn meal, rice, maize).
  14. Cake, pie crust and other pastry mixes.
  15. Macaroni, spaghetti and other dry pasta products (does not include pre-prepared or pre-flavored convenience pasta foods).
  16. Paper towels, napkins, facial tissues, plates, cups and toilet paper.
  17. Dishwashing and laundry soaps and detergents.
  18. Scouting powders. The above regulations shall be known as Truth-in-Pricing Regulations 6 RCNY § 5-111 to § 5-114.

§ 5-115 Guidelines on Multiple Pricing.

(a) Definitions. Whenever used in these guidelines, the following terms shall be deemed to mean and include:

   Commissioner. The Commissioner of the Department of Consumer Affairs of the City of New York.

   Consumer Protection Law. New York City Local Law 83 of 1969, as the same has, or may hereafter be, amended.

   Department. The Department of Consumer Affairs of the City of New York.

   Identical items of merchandise. “Identical items of merchandise” shall ” mean a single unit of merchandise available for purchase that is of the same brand and is the same as another unit of merchandise in every other way. For the purpose of these guidelines, items of merchandise that have different prices but have no other differences shall be deemed identical.

   Item of merchandise. “Item of merchandise” shall mean a single unit of merchandise available for purchase.

   Multiple pricing. “Multiple pricing” shall mean the practice of having identical items of merchandise, as above defined, available for sale at a particular time for more than one price. For purposes of these guidelines, a difference in price achieved by the use of discount coupons, quantity purchases or the like shall not be deemed an instance of multiple pricing.

   Retail food store. “Retail food store” shall mean a store which has as its principal line of business the sale at retail of a broad range of food items.

   Truth-In-Pricing Law. “Truth-In-Pricing Law” shall mean New York City Local Law 14 of 1971, as the same has, or may hereafter be, amended.

  1. Consumer Protection Law. It is the enforcement policy of the Department of Consumer Affairs in interpreting the Consumer Protection Law that Multiple Pricing is a deceptive trade practice except where each of the following conditions are complied with:

   (1) Applicability. The practice is maintained by a retail food store.

   (2) Information program. The terms of the Multiple Pricing program are communicated to the retail food store’s employees who are to implement the program and those terms are also clearly explained to its customers m New York City. The means by which the program is explained to customers shall include the conspicuous posting of the terms of the retail food store’s Multiple Pricing program which terms shall include a list of any items excluded from the operation of the Multiple Pricing program and, where applicable, any method of identifying the location of multiple priced merchandise. Each sign shall cover an area of not less than 18 inches by 18 inches and shall be printed in legible type in a manner that shall make it easily readable. There shall be at least one sign for each two thousand (2,000) square feet of selling area. One such sign shall be placed near each door through which consumers enter, in such a place and positioned in such a way as to be readily seen by a consumer upon entering. No retail food store shall be required to have more signs than the greater of:

      (i) the number of consumer entrances to such store, or

      (ii) five signs. In addition, a smaller sign shall be placed at each cash register clearly visible to the consumer advising the consumer of the store’s program of Multiple Pricing. At least two (2) weeks prior to termination of Multiple Pricing, a retail store shall so notify its customers in New York City. Such notification shall include the conspicuous posting of signs indicating such intended termination in compliance with the second paragraph of this 6 RCNY § 5-115(b).

   (3) Retail food store internal operations.

      (i) Identical items of merchandise are not offered for sale at more than two prices, except that where a store has a policy of not remarking items marked for sale after the termination of the sale, identical items of merchandise may be offered for sale at three prices until the items that were marked for the sale are sold.

      (ii) Any item of merchandise sold in a retail food store that bears more than one price, shall be sold at the lowest price shown. Having more than one price visible on any item of merchandise is a violation of the regulations of the Department and selling such merchandise at the lowest price appearing on such merchandise shall not cure any such violation.

      (iii) Where an item of merchandise is offered for sale at a price based on a multiple purchase, as for example “2 cans for 35 cents,” and an identical item of merchandise is offered for sale at a different price that is higher per item than the group price, or at a higher group price, a consumer who purchases the items of merchandise in the quantity necessary for the group price, shall be entitled to purchase said quantity at the lowest group price. By way of illustration, item X was originally priced at 2 cans for 40 cents, however the new cans of X placed on the shelf are priced at 21 cents each. A consumer purchasing 2 cans of X, one bearing the old markings and one the new would pay a total of 40 cents for the two cans.

      (iv) In any retail food store where Multiple Pricing is in effect all items sold shall be subject to it and the only products not multiply priced may be

         (A) items which prior to the initiation of the program were not individually marked with a price and price was disclosed by such means as a price sign at the point of sale,

         (B) items where the retailer cannot vary the price by the requirement of any law or regulation of any governmental authority or the requirements of any fair trade agreement, and

         (C) items for which the retailer has received the Department’s prior approval to remove them from Multiple Pricing.

      (v) Multiple priced merchandise shall be placed in such a way that

         (A) lower priced items are grouped together and

         (B) lower priced items are placed nearest to the consumer. On a surface which is parallel to the store floor, such as shelf merchandise, such lower priced items will be placed towards the front edge of the shelf with higher priced items behind. Where items are stacked vertically, as in freezer cabinets, the lower priced items will be stacked on top of the higher priced items and grouped at the front of the vertical space allocated to such items. If any type of physical separation of multiple priced merchandise is instituted this must be applied uniformly throughout the store and must be disclosed on the store signs referred to in 6 RCNY § 5-115(b)(2) and also at each point of sale of the item. As an example, if items at a lower price are placed on a different shelf such sign shall be placed where the higher priced item is and where the lower priced item is.

      (vi) In all places where multiple priced items are offered for sale some clear identifying symbol shall be conspicuously displayed at the point of sale to indicate the availability of merchandise at a lower price. This requirement shall apply whether or not the retail food store is subject to the requirements of the Truth-In-Pricing Law. The symbol and the fact that the symbol designates the presence of lower priced merchandise shall be disclosed in the signs referred to in 6 RCNY § 5-115(b)(2).

   (4) Advertising.

      (i) The fact that any item may be available at a lower price shall not be advertised where such lower price is due to Multiple Pricing. Advertising material may contain a general statement concerning any Multiple Pricing policy in effect in any store or group of stores.

      (ii) When a sale is advertised the sale price shall be lower than the lowest price at which items of the merchandise are then available for sale in any quantity.

      (iii) Where, in advertising material, a potential savings to the consumer is described in such terms as “save 3 cents off regular price by purchasing X at 75 cents a can” the saving shown must be based on the lower price of the merchandise.

      (iv) All advertising material relating to Multiple Pricing shall contain a list of any items excluded from the operation of multiple pricing.

      (v) When retail food stores are subject to a common ownership, as in a chain, or though not commonly owned, participate in an advertising program under some common name covering more than one store, if one or more stores in the group is not utilizing Multiple Pricing, each store not using Multiple Pricing shall be specifically identified. Such statements as “… not available in certain stores” will not be permissible.

      (vi) If merchandise is available at a price lower than the advertised price, it shall be sold at the price shown on the item of merchandise. Having merchandise available for sale at a price lower than the sale price is a violation of 6 RCNY § 5-115(b)(4)(ii) hereof and selling such merchandise at such lower price shall not cure any such violation.

  1. Unit pricing. In stores subject to the requirement of the Truth-In-Pricing Law, unit pricing stickers will be prepared which indicate in all instances either

   (1) unit pricing data at each price at which an item is being sold, or

   (2) unit pricing information at the highest price that an item of merchandise is being sold and some method of clearly identifying at each place, where any merchandise is being sold at multiple prices that some of the same merchandise is available at a lower price. That method of disclosure shall be set out and explained in the signs referred to in 6 RCNY § 5-115(b)(2).

  1. Notification of the department. Any retail food store intending to use Multiple Pricing shall advise the Department in writing sent certified mail addressed to the Commissioner at 42 Broadway, New York, N.Y. 10004. Such notice shall be mailed at least one (1) business day prior to initiating such program. Such notice shall be accompanied by copies of all instructions given to store employees concerning procedures which affect Multiple Pricing together with copies of any and all advertising materials discussing Multiple Pricing to be used by any retail food store or group of retail food stores. Retail food stores shall have the duty to notify the Commissioner when they intend to use any instructions or advertising materials not previously submitted to the Department. Notification of the Department pursuant to this paragraph shall not imply review of, or consent to the use of, such material by the Department. Any retail food store intending to terminate Multiple Pricing shall advise the Department in writing sent certified mail addressed to the Commissioner at 42 Broadway, New York, N.Y. 10004. Such notice shall be mailed at least two (2) weeks prior to terminating such program.
  2. Powers of the Commissioner.

   (1) The Commissioner has the power to require such information as he or she may reasonably require to determine the ad];ministration and effect of any program of Multiple Pricing and such materials shall be supplied promptly and at no cost and expense to the Department of Consumer Affairs.

   (2) The Commissioner has the power to require additional steps to be taken by a retail food store to comply with the intent of these guidelines as she, in her discretion, may deem appropriate including the further publicizing of Multiple Pricing.

   (3) If these guidelines or directions of the Commissioner issued pursuant to these guidelines are not complied with after passage of sufficient time to allow for compliance, such failure shall be deemed a violation of the Consumer Protection Law or the Truth-In-Pricing Law, or both, as the case may be, and the Commissioner shall thereupon take such steps as shall be necessary to assure compliance or she may deny the retail food store the opportunity of operating a Multiple Pricing program. Each violation of a provision of these guidelines shall be treated as a separate violation under the appropriate law.

  1. Amendment. The Commissioner reserves the right at any time and from time to time to revise, amend, revoke or to otherwise modify or annul the effect of these guidelines.
  2. Other laws. Nothing herein contained shall be deemed to interpret, waive or modify the requirements of any law, rule or regulation of the City of New York, the State of New York or the Federal Government other than the Consumer Protection Law and the Truth-In-Pricing Law.

Subchapter C: Posting of Prescription Drug Prices

§ 5-121 Posting of Prescription Drug Prices.

(a) Sign to be displayed. In accordance with the provisions of § 20-713 of the Administrative Code of the City of New York, every pharmacy is required to display the most recent prescription price list prepared and provided by the State Board of Pharmacy, New York State Education Department, as required by § 6826 of the New York State Education Law.
  1. Adjustment of current selling prices. Nothing in this rule shall prohibit a pharmacy from changing the current selling price of a drug provided the pharmacy shall simultaneously adjust the price on the posted sign.

§ 5-122 Display of Information Relating to Emergency Contraception.

(a) As used in this section:

   (1) “Not sell” shall mean not to have available for usual and customary dispensing at any time, except that this shall not include circumstances where the pharmacy customarily dispenses such drug or drugs that are temporarily not in stock and such pharmacy will be able to fill prescription within 12 hours after a customer requests that a prescription for such drug be filled.

   (2) “Emergency contraception prescription drug” shall mean the named drugs, Plan B and Preven, and any other drug expressly approved by the U.S. Food and Drug Administration (FDA) for use as emergency contraception drug with a physician’s prescription or when and as specifically authorized by law to be dispensed for emergency contraception without a prescription.

  1. Any pharmacy that does not sell an emergency contraception prescription drug shall conspicuously post a sign adjacent to each counter where prescription drugs are sold on which is displayed either the name of each such drug that is not sold and identified as the “morning after pill,” or that states that “no morning after pills” are sold if all such drugs are not sold at such pharmacy.
  2. Any pharmacy that does not have an emergency contraception prescription drug available for immediate dispensing, and stocks such drug or drugs, shall conspicuously post a sign adjacent to each counter where prescription drugs are sold on which is displayed either the name of such drug or drugs not immediately available and identified as the “morning after pill” stating that such drug or drugs are not currently in stock but will be available within 12 hours after a customer requests that a prescription for such drug be filled. A pharmacy that cannot fill such prescription within 12 hours from original request shall post the sign identified in subsection (b).
  3. The signs required to be posted shall be not less than 8.5 by 14 inches, with letters sufficiently large to fill the entire space with appropriate borders and spacing between lines.

Subchapter G: Information With Respect To Funeral Costs

§ 5-161 Casket and Outer Interment Receptacle Information.

The retail price, which is required to be prominently displayed on caskets and outer interment receptacles pursuant to § 20-731 of the Administrative Code, must be clearly visible regardless of whether such casket or receptacle is open or closed.

§ 5-162 General Price List to be Furnished by Provider of Funeral Services.

(a)  Size of print. The presentation sheet required to be furnished by providers of funeral services pursuant to § 20-732 of the New York City Administrative Code shall be printed clearly and conspicuously.
  1. Form and content.

   (1) Except as specifically provided otherwise in this subchapter, the presentation sheet required pursuant to § 20-732 of the New York City Administrative Code shall conform to and shall contain the information required to be included in the General Price List as prescribed by the New York State Sanitary Code (10 NYCRR § 79.4) and the Federal Trade Commission Funeral Industry Trade Practices Rule (16 C.F.R. Part 453), as such may be amended from time to time, and shall be known hereinafter as the “General Price List.”

   (2) The following disclosures shall be placed on the General Price List in addition to and immediately after such disclosures that are required to be placed immediately above the price information required pursuant to State and federal law or regulations promulgated pursuant thereto specifying the form and content of the General Price List:

      (i) Your authorization is required for a funeral home to obtain custody of a body, and a body must be released promptly upon your request.

      (ii) The provider of funeral services is required to give price information in person and over the telephone.

      (iii) A provider of funeral services is prohibited from representing that the deterioration of human remains can be prevented for more than a limited time by embalming, caskets, vaults or outer interment receptacles.

   (3) The following statement shall be inserted in the General Price List in a box immediately after the listing of prices for caskets or the listing of the price range for caskets: “The Federal Trade Commission prohibits the provider of funeral services from imposing any additional fee or surcharge to consumers who obtain a casket elsewhere.”

  1. Availability and display.

   (1) The provider of funeral services shall immediately offer a General Price List to any person who inquires about funeral services at the funeral service establishment.

   (2) Copies of the General Price List shall be clearly visible and easily accessible in all areas of the funeral service establishment where sales or potential sales of funeral services are discussed and in the area within the funeral service establishment that is in the immediate vicinity of the main public entrance to such establishment.

§ 5-163 Display of Merchandise.

(a)  Caskets must be displayed in the same general manner as required by § 20-734 of the New York City Administrative Code, both in printed material supplied by a provider of funeral services and in all exhibits shown to customers and prospective customers. Standards for the same general manner of display include, but are not limited to, lighting, visibility, accessibility, and overall condition of caskets, as well as to any representations made about them.
  1. For purposes of § 20-734(b)(2) of the New York City Administrative Code, defacement shall include, but not be limited to, the failure to provide the same care and maintenance for all merchandise which results in some merchandise becoming soiled or damaged.

§ 5-164 Price Information Over Telephone.

(a)  When a telephone caller makes an inquiry regarding the cost of funerals, the provider of funeral services shall, during the course of that telephone conversation, give the caller a price range including:

   (1) the cost of all items that such provider requires must be purchased as part of all arrangements for burial or cremation, depending upon which alternative the caller inquires about; and

   (2) the average cost of a funeral or the cost of a customarily provided funeral. The caller shall be informed of which items of service are included in all prices given.

  1. When a telephone caller makes a specific inquiry regarding a category of item or service which is contained in the General Price List, the caller shall, during the course of the telephone conversation, be given the price and description of the most expensive and the least expensive item or service in that category.

   Example: A caller inquiring about caskets may be told by the provider of funeral services: “We have caskets ranging in price from $(price) for a (description, model, brand) to $(price) for a (description, model, brand).”

   If there is no variation in price for an item or service, then the provider of funeral services must give the caller a specific price.

  1. A provider of funeral services need not provide to a telephone caller price information for items and services on the General Price List under the heading of “CASH ADVANCES.”

§ 5-165 Display of Ownership Information.

(a)  Every provider of funeral services shall display all of the following ownership information on a sign that is either located immediately outside the main entrance to its funeral services establishment or that is located immediately inside the main entrance to its funeral services establishment. If such sign is located immediately inside the main entrance to such funeral establishment, it must be clearly visible to someone standing inside such entrance and shall not be placed on the back of the door to such main entrance or in any other location where it would be hidden from view.

   (1) The name of every licensed funeral director who holds at least a ten percent ownership interest in the corporation, limited liability company, partnership, limited liability partnership, association, organization, or other business entity which operates such funeral services establishment.

   (2) The names of any and all corporations, limited liability companies, partnerships, limited liability partnerships, associations, organizations, or other business entities which directly or indirectly hold an ownership interest of ten percent or more in the corporation, limited liability company, partnership, limited liability partnership, association, organization, or other business entity which operates such funeral services establishment.

   (3) The lettering on such sign shall be at least one inch high.

  1. When an ownership interest of ten percent or more in a funeral services establishment is held, either directly or indirectly, by one or more corporations, limited liability companies, partnerships, limited liability partnerships, associations, organizations, or other business entities, the name, complete headquarters address and telephone number of each such corporation, limited liability company, partnership, limited liability partnership, association, organization, or other business entity shall also be listed on all advertising material used by such funeral services establishment and on the “General Price List.”

§ 5-166 Sale of Monuments.

(a)  As used in this section:

   (1) “Monument” means any memorial, headstone, footstone, plaque, ledger stone or other marker that is designed or intended to be erected or installed in or on any cemetery, grave, mausoleum or other appropriate place of burial or memorialization.

   (2) “Foundation” means a poured concrete or other permanent base intended to support the monument and installed at the gravesite in the appropriate location.

  1. Whenever a provider of funeral services sells or offers for sale a monument as part of or in connection with any funeral arrangements, such provider shall:

   (1) Make available to customers a price list of all monuments offered for sale as part of or in connection with funeral arrangements. Such price list shall be captioned at the top of the page as a “MONUMENT PRICE LIST” in capital bold face letters. Such price list shall only contain price information about monuments.

   (2) The following statement shall be clearly and conspicuously included in at least 10 point type on the Monument Price List inside a box set immediately below the caption for such price list:

      “The purchase of a monument is not required as part of your funeral arrangements. The cost and arrangements for the purchase of a monument must be accounted for and set out in a document that is separate from the one under which you agree to the other funeral arrangements you make.”

  1. In addition to the disclosures about a monument sale that are required to be included in the written statement required to be furnished showing the price of the funeral and including an itemized list of funeral services and funeral merchandise to be supplied at the listed prices, such sale shall also be evidenced by a separate written contract which shall be signed by all the parties to the contract. Such contract shall be captioned at the top of the page as a “MONUMENT CONTRACT” in capital bold face letters, a full and completed copy shall be furnished to the consumer by the funeral service provider at the time of the purchase of such monument, and such contracts shall be retained by the funeral service provider for at least three years from the date of the sale. Such contract shall include the following information:

   (1) the name, address and telephone number of the funeral service provider and of the purchaser;

   (2) the full name of the individual to be memorialized and, if known, the date of such individual’s death;

   (3) a full description of the monument, including the material to be provided, the dimensions of the finished monument, a sketch or drawing of the proposed monument, the wording of any inscription on such monument, including the approximate layout thereof, and the method of engraving of such inscription;

   (4) the approximate date when the monument is expected to be completed;

   (5) the name of the cemetery in which the monument is to be placed, together with the location of the plot or grave, if known; and

   (6) a full disclosure of the following: the price of the monument; applicable sales tax, if any; the charge made by the cemetery for the foundation; any charges for additional work, provided that such additional work is clearly described in the contract and such charges are itemized; the total price as contracted; and the schedule for payment, if any.

Subchapter H: Income Tax Preparers

§ 5-171 Location.

Each tax preparer shall prominently and conspicuously post the statement required by § 20-740 of the Administrative Code at the public entrance to the tax preparer’s business premises or in the immediate area where consumers arrive and are met for business purposes by the tax preparer.

§ 5-172 Form and Content.

(a) Except as provided in subdivision (b) of this section, the sign shall be composed of proportionately spaced, upper-case black characters, "sans-serif," at least one-half inch (1/2") high on a white background. The lines on the sign shall be spaced at least one-half inch (1/2") apart.
  1. The heading “IDENTIFICATION AND QUALIFICATIONS OF TAX PREPARER” shall appear at the top and center of the sign. Subsequent lines shall begin at the left-hand margin of the sign. The first line beneath the heading shall state the full name of the tax preparer. The second and third lines shall state the address at which the tax preparer may be contacted throughout the year. The fourth line shall state the telephone number at which the tax preparer may generally be contacted throughout the year during business hours. The fifth line shall begin with the caption
    “QUALIFICATIONS:”
    and be followed by a statement of the tax preparer’s relevant training and/or experience. Such statement may consist of characters one-quarter inch (1/4”) high. (See Specimens No. I and II appearing below for sample signs.)
  2. A partnership, corporation or other business entity operating as a tax preparer may satisfy the disclosure requirements of § 20-740 of the Administrative Code by posting one sign, containing its name, address and phone number as set forth above, and a statement of the minimum qualifications possessed by all individuals who prepare or assist in the preparation of tax returns as an agent or employee of the partnership, corporation or other business entity. (See Specimen No. II.)
  3. The sign shall not contain language which falsely indicates that a tax preparer is licensed or in any manner approved or authorized to do business by the City of New York

   Specimen No. I   IDENTIFICATION AND QUALIFICATIONS OF TAX PREPARER    JANE DOE    1 MAIN ST.    BRONX, NY 11111    212-555-5555    QUALIFICATIONS: DEGREE IN TAX PREPARATION FROM ABC COLLEGE AND FOUR YEARS EXPERIENCE IN PREPARING TAX RETURNS AT DEF TAX SERVICES.

   Specimen No. II   IDENTIFICATION AND QUALIFICATIONS OF TAX PREPARER    XYZ TAX PREPARERS, INC.    1 MAIN ST.    NEW YORK, NY 10000    212-555-0000    QUALIFICATIONS: EACH INDIVIDUAL WHO PREPARES TAX RETURNS FOR XYZ TAX PREPARERS, INC. HAS AT LEAST SIXTY HOURS OF CLASSROOM TRAINING CONDUCTED BY XYZ TAX PREPARERS, INC.

§ 5-173 Consumer Bill of Rights Regarding Tax Preparers.

(a) Each tax preparer must post a sign provided by the Department stating: “By law, tax preparers must give you a free, current, and legible copy of the Consumer Bill of Rights Regarding Tax Preparers before beginning any discussions about tax preparation services. The tax preparer must let you review that document and answer any questions you have. To file a complaint about this business, contact 311 or visit DCA’s website.”

   (1) The sign must measure at least 17 inches wide by 11 inches tall.

   (2) The sign must be:

      (i) posted prominently and conspicuously at the public entrance to the tax preparer’s business premises or in the immediate area where consumers arrive and are met for business by the tax preparer; and

      (ii) in English and in any other language which the tax preparer uses to attract customers, provided that the Department has made available a translation of such sign into that language.

  1. Prior to any discussion with the consumer, each tax preparer must give to each consumer a free, current, and legible copy of the consumer bill of rights regarding tax preparers in English and in the primary language spoken by the consumer, if the Department has made available a translation of such consumer bill of rights in such language.

Subchapter J: Information Regarding Redemption of Beverage Containers

§ 5-191 Size of Sign.

The sign required to be posted pursuant to § 20-746 of the Administrative Code shall not be smaller than eleven inches in width and seventeen inches in length.

§ 5-192 Content of Sign.

(a)  Except as otherwise provided in subdivision b of this section, every dealer shall be required to post a sign which contains the following language:

   BOTTLE BILL OF RIGHTS    IF you buy beer, soda or mineral water in New York State, you pay a deposit on each can or bottle. That gives you certain rights …    THE RIGHT to return your empties for refund to any dealer who sells the same brand, type and size, whether you bought the beverage from that dealer or not.    THE RIGHT to get your deposit refund in cash, without proof of purchase.    THE RIGHT to return your empties any day, any hour, except the first and last half-hour of the dealers’ business day.    THE RIGHT to return your containers if they are empty and intact. Washing containers is not required by law, but it is strongly recommended to maintain sanitary conditions.    The regulations of the New York State Returnable Beverage Container Act are enforced by the New York State Department of Environmental Conservation. Report any violation to the NYS Department of Environmental Conservation, (insert current address of Department)    THE CITY OF NEW YORK, (insert name of current mayor), MAYOR Department of Sanitation, (insert name of current commissioner), Com- missioner Department of Consumer Affairs, (insert name of current commissioner), Commissioner

This notice is required to be posted pursuant to Local Law 25 of the Laws of 1985, enacted by the NYC Council.

  1. A sign shall be in compliance with this section if it contains the language specified in subdivision a except that it still includes the name of a former mayor or commissioner in lieu of the current mayor or commissioner.

§ 5-193 Signs Provided by the Department.

The Department of Consumer Affairs shall make available to all dealers signs which comply with the Department’s regulations as to size and content. Dealers may request such signs by contacting the Department.

§ 5-194 Substitute Signs.

Any dealer who wishes to post a sign other than the one supplied by the Department may do so, provided that the sign so substituted is approved by the Commissioner prior to its posting. To be approved, substitute signs shall be at least eleven inches by seventeen inches in size and shall contain language that is similar in import to that required by 6 RCNY § 5-192. Dealers may expand upon, but may not omit, any of the language required by 6 RCNY § 5-192. To obtain prior approval for a substitute sign, a dealer shall submit to the Department a true representation of the sign for which approval is being sought. The type for the heading on substitute signs shall not be smaller than three quarters (3/4) of an inch in size. The type for the text on substitute signs shall not be smaller than one half (l/2) of an inch in size.

§ 5-195 Posting of Signs.

The sign required to be posted pursuant to § 20-745 of the Administrative Code shall be conspicuously placed within ten feet of the dealer’s cash register(s) and shall be visible to consumers prior to the time they pay for their merchandise.

§ 5-196 Number of Signs.

Dealers whose stores contain four (4) or less cash registers shall be required to post at least one (1) sign. Dealers whose stores contain between five (5) and ten (10) cash registers shall be required to post at least two (2) signs. Dealers whose stores contain more than ten (10) cash registers shall be required to post at least three (3) signs.

§ 5-197 Signs in Foreign Languages.

The sign required to be posted pursuant to § 20-745 of the Administrative Code must be in English and shall also be in any other language which the dealer uses to attract customers.

Subchapter K: Theatre Tickets [Repealed]

§ 5-211 Definitions. [Repealed]

*§ 5-212 Conduct of Ticket Selling Business. [Repealed]* ::

§ 5-213 Financial Records. [Repealed]

*§ 5-214 Group Ticket Sales and Theatre Parties. [Repealed]* ::

§ 5-215 Public Posting of Statutory and Regulatory Information. [Repealed]

*§ 5-216 License Suspension or Revocation. [Repealed]* ::

Subchapter L: Collateral Loan Brokers

§ 5-221 Fees.

No collateral loan broker shall charge or exact a fee other than that permitted by § 44 of the General Business Law, except that the collateral loan broker may charge a reasonable fee for:

  1. insuring the articles from injury, fire, theft, burglary, robbery and other contingencies; and
  2. extra care actually given when specifically requested by the customer and only if such fee does not exceed the following amounts:

   (i) Storage of furs, fur coats, fragile, delicate or bulky items: $25.00.

   (ii) Storage of art objects including paintings, sculptures and all works in any other medium for sizes not to exceed 36 inches by 36 inches: $25.00 plus any costs actually incurred for special crating and packaging; and for sizes exceeding the foregoing: an amount separately agreed to by the parties.

   (iii) Vault storage for stamp or coin collection: $20.00.

   (iv) Vault storage for jewelry: 2 percent of the amount of the loan not to exceed $20.00; if the loan exceeds $1,000: an amount separately agreed to by the parties.

   (v) Transportation of pledged items to and from the vault either by courier(s) or vehicle(s), together with security therefore: one percent of the amount loaned.

   (vi) Special handling or wrapping of cameras and photographic equipment: $5.00.

   (vii) Special handling of musical instruments: $5.00 for standard size; instruments exceeding standard size: by separate agreement of the parties.

   (viii) Special handling of radios, hi-fi’s, VCR’s, stereos and television equipment: $10.00.

   (ix) Special handling for other electrical apparatus, including computers: $10.00.

§ 5-222 Caveats on Pawn Tickets.

(a) Every ticket issued by a collateral loan broker shall include a notation in either of the following forms: "Not accountable for loss of goods by fire or theft" or "Protected against loss by fire or theft." Words having practically the same meaning as the foregoing may be used.
  1. Every collateral loan broker shall, in every possible way, call attention to the contents of the pawn ticket, including the placing in a prominent position in his place of business of a sign reading: “Read your ticket.”
  2. In every case where a charge is made or a fee exacted for extra care, the collateral loan broker shall specifically call the pledgor’s attention to the said charge at the time the loan is made, and no such charge or fee shall be allowed unless the pledgor shall sign an agreement to pay such extra charge and the fee for such extra charge, as agreed upon, shall be plainly written on the face of the pawn ticket.
  3. Every collateral loan broker shall place in a prominent position in his or her place of business a reproduction of the application for the pawn ticket and the front of the pawn ticket which have been enlarged to twice their normal size, and a reproduction of the back of the pawn ticket which has been enlarged to three times its normal size.

§ 5-223 Pledgor’s Identity Required for Precious Metals. [Repealed]

Upon mailing a notice to the pledgor of an intention to sell for failure to redeem, the pledgee shall obtain from the postal authorities a receipt for the letter. This receipt, or in case of failure by the postal authorities to deliver such notice, the return letter, shall be retained as proof of compliance with the law.

§ 5-225 Proof of Notice of Surplus Realized for Sale of Pledged Property and Arrangement for Payment to Pledgor. [Repealed]

(a) It shall be the duty of every collateral loan broker to verify the identity of every person from whom he accepts any article as a pledge for a loan and to make and keep a written record of the nature of the evidence submitted by such person to prove his identity. Only the following shall be deemed acceptable evidence of identity:

   (1) Any official document issued by the United States government, any state, county, municipality or subdivision thereof, any public agency or department thereof, or any public or private employer, which requires and bears signature of person to whom issued.

   (2) Police, fire department and postal department badges containing numbers.

   (3) A passport.

  1. In addition, and in every case, it shall be the duty of every collateral loan broker, to require that every person from whom he accepts an article as a pledge for a loan, sign his name in the presence of the collateral loan broker, compare the signature with the signature on the identifying document and retain on his premises the person’s signature together with the number and description of the identifying document.

§ 5-227 Papers in Which Collateral Loan Brokers Can Advertise Auction Sales.

The following is a list of all newspapers published in the City of New York in which collateral loan brokers may advertise the sale of all unredeemed pawns or pledges which remain in their possession in excess of the period prescribed by § 48 of the General Business Law. To the extent required by § 48 of the General Business Law, such sale shall be at public auction by a licensed auctioneer, so long as auctioneers are required to be licensed pursuant to the New York City Administrative Code.

American Banker

Brooklyn Daily Bulletin

China Daily News

The China Post

China Tribune

Daily News

El Diario – La Prensa

Jewish Daily Forward

National Herald

New York Daily Challenge

The New York Evening Express

New York Post

The New York Times

The News World

Novoye Russkoye Slovo

Nowy-Dziennik

The Peimer News

Il Progresso Italo-Americano

Queens Evening News

Staten Island Advance

Svoboda Ukrainian Daily

United Journal

The Wall Street Journal

Women’s Wear Daily

World Journal

Yiddish Zeitung

Subchapter M: Employment Agencies

§ 5-241 Records.

It shall be the duty of each licensed agency to keep its financial records on a monthly or quarterly basis and such records shall be brought up to date not later than thirty(30) days after the expiration of such period. All such records shall be kept at the principal place of business for a period of three (3) years and shall be made available for inspection during normal business hours to the Commissioner of Consumer Affairs of the City of New York, or his duly authorized representatives.

§ 5-242 Applications for License – Corporation.

(a) A corporate applicant for a license shall list on the original application, or a renewal application, the names and addresses of all its officers and all stockholders holding ten percent (10%) or more of the stock of said corporation. A true and certified copy of the minutes electing such officers shall be attached to the application.
  1. The licensee shall notify the Department of Consumer Affairs within thirty (30) days in writing of any change of its officers or principal stockholders. In the event of a change of officers a true and certified copy of the minutes shall be attached to such notification.

§ 5-243 Trade Name and Partnership Certificates.

(a) If the applicant conducts business under a trade name or if the applicant is a partnership, then the application for a license must be accompanied by a copy of the trade name or partnership certificate duly certified by the Clerk of the County in whose office said certificate is filed.
  1. Such trade name shall not be similar or identical to that of any existing licensed agency.

§ 5-244 Fingerprinting.

(a) Every applicant for a license, if he is a natural person, shall be fingerprinted in the office of the Department and the fingerprints shall be filed with and made part of the original application.
  1. If the applicant is a partnership each member thereof shall be fingerprinted and the fingerprints shall be filed with and made a part of the original application. In the event of a change in the members of a partnership, each new member shall appear at the office of the Department within thirty (30) days after such change, be fingerprinted, and the fingerprints shall be filed with and made a part of the application.
  2. If the applicant is a corporation, all the officers and all stockholders holding ten percent (10%) or more of the stock of the corporation shall be fingerprinted, and the fingerprints shall be filed with and made part of the original application. In the event of any change of officers or stockholders of any corporate licensee, such new officers or stockholders shall appear at the office of the Department within thirty (30) days after such change, be fingerprinted, and the fingerprints shall be filed and be made part of the licensee’s application.
  3. Whenever an applicant for a license does not have the required two years’ experience, then the manager so designated shall be fingerprinted and the fingerprints shall be filed with and made a part of the original application.

§ 5-245 Premises.

(a) An agency may share premises, provided that the sharing is with an unrelated entity or with an entity permitted by New York General Business Law § 187(8). The agency shall not directly or indirectly suggest to an applicant that he or she purchase the services or products of the entity sharing the premises. For purposes of this section, "unrelated" shall mean that no exchange of the proceeds or sharing of profits in any form takes place between the agency and the entity, and that they do not have any officers, directors, partners, shareholders, principals, managers, executives, administrators, salespersons, or job-placement counselors in common.
  1. Every room of an employment agency shall be properly and adequately lighted and ventilated.
  2. The premises of every licensed agency shall be kept in a suitable and sanitary condition.
  3. Every employment agency shall be provided with running water and suitable and adequate washing facilities. Where both males and females are employed or dealt with in such agency, separate facilities shall be provided for each sex.

§ 5-246 Referral Cards.

(a) Whenever a licensed agency refers an applicant for a position to an employer where it reasonably knows or should have known that a labor dispute is in progress, then it shall be the duty of the licensee to deliver to the applicant a statement in large and bold lettering, to the effect that the employees in such place of employment are engaged or involved in a labor dispute.
  1. Whenever a licensed agency shall refer an applicant for employment to an employer who has agreed to pay to the agency the fee for the employee, or where the agency has agreed not to charge said applicant a fee for such referral, then the referral card shall clearly set forth the terms under which the employer has agreed to pay the fee for the applicant or the terms under which the applicant shall not be required to pay the fee.

§ 5-247 Recruitment of Domestic or Household Employees from Without the State.

(a) No employment agency shall recruit domestic or household employees outside the State of New York as provided in § 184 of the General Business Law without notifying the Commissioner of Consumer Affairs of the City of New York in writing.
  1. Every employment agency engaged in such recruitment shall keep on file in its principal place of business for a period of three (3) years a written record indicating or setting forth the name and address of the premises where such applicant is lodged and a receipt, signed by the applicant, setting forth the number of meals and the date and place where such meals were served to the applicant.

§ 5-248 Prohibited Practices.

(a) No employment agency shall discriminate against any individual because of his age, race, creed, color, national origin, religion, sexual orientation, or sex, in receiving, classifying, disposing or otherwise acting upon applications for its services, in referring an applicant or applicants to an employer or employers or with respect to any guidance, training or apprenticeship program.
  1. No employment agency shall:

   (1) print or circulate or cause to be printed or circulated any statement, advertisement or publication, or

   (2) use any form of application for employment, or

   (3) use any business name, trade name or display name, or

   (4) make any inquiry in connection with prospective employment, which expresses, directly or indirectly, any limitation, specification or discrimination as to age, race, creed, color, national origin, religion, sexual orientation, or sex, or any intent to make any such limitation, specification or discrimination, unless based upon a bona fide occupational qualification.

  1. No employment agency engaged in securing or obtaining positions for applicants in the modeling field shall directly or indirectly refer any applicant to a particular school or course for modeling, nor induce, suggest, or encourage choice of such school or course.

§ 5-249 Definitions of GBL § 171 Terms.

As used in § 171 of GBL Art. 11, the following terms shall have the meanings indicated:

Applicant. “Applicant” means a person seeking employment.

Employment agency.

   (1) “Employment agency” shall include all persons who, for a fee, render vocational guidance or counseling services, and who directly or indirectly represent, by any means, that:

      (i) they obtain or attempt to obtain employment for an applicant; or

      (ii) they will or may arrange interviews with employers for an applicant; or

      (iii) they have or may make contacts with employers which may improve an applicant’s chances to obtain employment; or

      (iv) they have knowledge of job openings or positions which is not available to the public; or

      (v) they have knowledge of job openings or positions which cannot be obtained with reasonable effort from other sources; or

      (vi) they maintain or sell a list or lists of job openings or positions unless all of the information contained in the list or lists appears in, and is part of, a newspaper or other publication in general circulation, and this fact is disclosed to consumers.

   (2) “Employment agency” also shall include all persons who, for a fee, render vocational guidance or counseling services, and who directly or indirectly represent, by any means, that:

      (i) they provide information about job search techniques or job search strategies; or

      (ii) they assist an applicant in any attempt to present to employers the availability or qualifications, or both, of the applicant for a position or class of positions. Such representations include, but are not limited to, representations that they “market” or “promote” applicants.

Person. “Person” means any individual, company, society, association, corporation, manager, contractor, subcontractor, partnership, bureau, agency, service, office, or the agent or employee of the foregoing.

Vocational guidance or counseling services. “Vocational guidance or counseling services” means services which consist of one or more oral presentations and which:

   (1) provide information concerning the qualifications generally required for one or more positions or class of positions; or

   (2) assess, or attempt to assess, the suitability of a person seeking employment for one or more positions or class of positions; or

   (3) provide information concerning the availability of one or more positions or class of positions.

§ 5-250 Display of Sign.

(a) Every licensed employment agency must post conspicuously at his or her place of business a sign, at least 12 inches by 18 inches in dimension with letters at least 1-inch high, which includes the name that appears on his or her license(s), the license number(s), and instructions on contacting the Department to file a complaint.
  1. Every licensed employment agency must post conspicuously in the main room of his or her place of business a sign, at least 12 inches by 18 inches in dimension, containing sections one hundred seventy-eight, one hundred eighty-one, one hundred eighty-five, and one hundred eighty-six, of Article 11 of the general business law. The sign must be posted in all languages in which the employment agency does business, provided the commissioner has made signs available in such language(s).
  2. Every licensed employment agency must post conspicuously in the main room of his or her place of business a sign, at least 8.5 inches by 11 inches in dimension, containing the rights of job seekers. The sign must be posted in all languages in which the employment agency does business, provided the commissioner has made signs available in such language(s).
  3. For the purposes of this section, “main room” means the main reception or waiting area or, where no reception or waiting area exists, the main entrance to the agency.

§ 5-251 Display of License.

Every licensee must post conspicuously his or her license at the licensee’s place of business. A licensee may post a copy of the license at the licensee’s place of business only if the original is available at such place of business for inspection by any person.

§ 5-252 Notice of Hearing and Subpoena Duces Tecum.

A licensee must appear in person at the Department to answer a notice of hearing or a subpoena duces tecum served upon that licensee. If the licensee is an individual, he or she must appear; if a partnership, one of its general partners must appear; and if a corporation, one of its officers must appear. A notice of hearing or subpoena duces tecum may be served by ordinary mail addressed to the licensee’s place of business. They may also be served by ordinary mail addressed to the residence of an individual licensee; the residence of a general partner of a partnership licensee; or the residence of an officer or principal stockholder of a corporate licensee.

§ 5-253 Change of Address.

A licensee shall notify the Department in writing of any change of address within 10 days of the change. This requirement applies to the address of the licensed business, and to the resident addresses of: individual licensees; all partners of partnership licensees; and the officers and principal stockholders of corporate licensees.

§ 5-254 Judgments.

A licensee or license applicant must satisfy any outstanding judgment against him or her that has been obtained by a consumer and that relates to activities for which a license is required:

  1. within thirty (30) days from the date of entry of the judgment; or
  2. if the judgment has been stayed or appealed, within thirty (30) days from the date the stay is lifted or the appeal decided; or
  3. according to a payment schedule the parties agree upon.

§ 5-255 Response to Consumer Complaints.

A licensee or license applicant must respond in writing to the Department about any consumer complaint sent to the licensee or applicant by the Department. The response must be made within 20 days of the date the complaint is sent to the licensee or applicant and must set forth the licensee’s or applicant’s position regarding the transaction which is the subject of the complaint, including the facts which the licensee or applicant believes justify its position. The licensee or applicant must respond to subsequent communications from the Department concerning the complaint within 10 days after receiving a communication.

§ 5-256 Proof of Surety Bond.

No license or renewal shall be issued unless the licensee or applicant submits proof that every bond required by the Department for the license is in effect and does not expire prior to the end of the licensing period. Except where otherwise provided, all such bonds must allow any person aggrieved by the bondholder’s breach of the conditions of the bond to proceed against the bond.

§ 5-257 Lost or Mutilated Licenses.

(a) Lost license. A licensee shall immediately report, in an affidavit, the loss of a license issued to him or her by the Department, requesting the issuance of a new license. Replacement licenses are issued at the discretion of the Department.
  1. Mutilated license. Should a license issued by the Department to any licensee become mutilated or otherwise illegible, the holder of the license shall promptly surrender it to the Department and request the issuance of a new license. The request shall be made upon a form provided by the Department.
  2. Fee. A fee of fifteen dollars ($15) shall be charged for the issuance of a replacement license. This fee shall be paid when the affidavit for a lost license is filed or when a mutilated or otherwise illegible license is surrendered and a request for the issuance of a new license is filed. This fee will be refunded should the Department decide not to issue the replacement license.

§ 5-258 Late Renewal Fee.

Any licensee who files for a license renewal more than one (1) month, but less than three (3) months, after the expiration date of the license must pay to the Department, in addition to any other fees or penalties provided by law, the sum of $20 or 20 percent of the license fee, whichever is greater. Any licensee who files for a license renewal more than three (3) months after the expiration date of the license must pay to the Department, in addition to any other fees or penalties provided by law, the sum of $50 or 30 percent of the license fee, whichever is greater.

§ 5-259 Statement of Terms and Conditions.

(a) All employment agencies must provide to each applicant a document accompanying each contract entitled “Terms and Conditions,” except when offering an applicant a contract for Class “C” theatrical employment.
  1. Each “Terms and Conditions” document provided to an applicant must conform to the template made available by the commissioner.
  2. The “Terms and Conditions” document must be provided to each applicant in the language in which their contract was negotiated, provided the commissioner has made a template available in such language.

[Click here to open a PDF copy of the terms and conditions form]

Subchapter N: Immigration Consultants

§ 5-260 Location and Availability of Records.

All records required to be retained shall be kept at the provider’s principal place of business and shall be made available for inspection during normal business hours to the Commissioner or his or her duly authorized representative.

§ 5-261 Requirements for Written Agreements.

The statements required to be included in written agreements pursuant to subdivisions one through seven and nine through twelve of § 20-777 of the New York City Administrative Code shall all be included together in a box that is set off from the rest of the text of the written agreement. The text of the required statements shall be in at least twelve (12) point font. The box containing the required statements shall appear immediately above the place for the consumer’s signature.

§ 5-262 Completing Form Preparation Declaration.

Every immigration assistance service provider shall complete and sign the form preparation declaration contained on any form that was directly or indirectly prepared by such provider as part of the service for which the consumer is charged a fee under the written agreement required by § 20-777.

§ 5-263 Exemption Obtained by Fraud or Misrepresentation.

Any person or organization that obtained by fraud or misrepresentation any status set forth in § 20-775(b)(1) - (7) of the New York City Administrative Code, which otherwise would have entitled such person or organization to an exemption from regulation as a provider of immigration assistance services pursuant to Subchapter 14-a of Chapter 5 of Title 20 of the New York City Administrative Code, shall be deemed to have been a provider of immigration services and never exempt from such regulation.

§ 5-264 Disclosure of Surety Maintained by Provider.

(a)  Every immigration assistance service provider shall post a sign that shall be not less than eleven (11) inches by seventeen (17) inches in dimension stating that the provider is by law required to maintain in full force and effect, for the entire period during which the provider provides immigration assistance service and for one year after the provider ceases to do business as an immigration assistance service provider, a surety bond, contract of indemnity, or irrevocable letter of credit, payable to the people of the City of New York, in the principal amount of $50,000.00. The sign must also include the name, address and telephone number where a claim against such surety bond, contract of indemnity, or irrevocable letter of credit is required to be filed. Such sign shall be conspicuously displayed in the area where it will be clearly visible to consumers entering and leaving the premises.
  1. Every immigration assistance service provider shall also furnish to each consumer, upon signing a contract, the same information required to be posted on such sign. The information shall be furnished to each consumer on a separate sheet of paper in at least twelve (12) point bold faced font and in a color that contrasts sharply with the color of the paper.

Subchapter O: Tenant Screening Report Signs

§ 5-265 Requirements Concerning the Posting of Signs About Tenant Screening Reports.

(a)  The sign required to be posted pursuant to § 20-809 of the Administrative Code of the City of New York at any location at which the principal purpose is to conduct business transactions pertaining to the rental of residential real estate properties shall include text printed in the specified size type and shall contain the required information in the order listed below, except that italicized text included below is not part of the text for the sign:

   (1) The words “NOTICE ABOUT TENANT SCREENING REPORTS” shall be printed at the top of the sign in one and one half-inch high capital letters.

   (2) If application information is or may be used to screen tenants through a report from a consumer reporting agency, the sign shall state in 24-point type as follows: “Tenant screening reports from consumer reporting agencies are sometimes used to assist landlords in making rental decisions. In regard to such reports (Check the applicable box):

      ____ We do not use such reports.

      ____ We may use such reports by contacting the following:

      •     (Insert name and address of each consumer reporting agency that may be contacted, and identify any that are a nationwide specialty consumer reporting agency).

      •     (Use additional lines for each listed agency).

      “The law requires us to notify you if we do not lease or rent to you based on information in that report. You also have the right to dispute the accuracy of the information in the report directly with the reporting agency and to obtain a free report from such agency if we do not lease or rent to you based on such report.

      “You also are entitled to receive one free report every 12 months from any nationwide specialty consumer reporting agency used by us, as well as a free credit report every 12 months from each of the nationwide consumer credit reporting companies: Equifax, Experian and TransUnion. You can request this free credit report through the website www.annualcreditreport.com. You may dispute the accuracy of any information about you that is contained in such report directly with the credit reporting agency.”

  1. The color of the text of the notice required in paragraph (1) of subdivision (a) shall contrast sharply with the color of the remaining text, and the colors of the printed text shall contrast sharply with the background color of the sign.
  2. All the required information shall be included on one sign that shall be posted at the location at a place where it is conspicuously visible to a consumer who is seated while the transaction is conducted at such location.

Subchapter P: Pregnancy Services Centers

§ 5-266. Definitions.

As used in this chapter, the following terms have the following meanings:

Directly provide. The term “directly provide” means that the licensed medical provider provides the service.

Directly supervise. The term “directly supervise” means that the licensed medical provider is on site and directly overseeing the provision of the service from beginning to end.

Services. The term “services” means abortion, emergency contraception, obstetric ultrasounds, obstetric sonograms, prenatal care, pregnancy testing, pregnancy diagnosis, and other medical and/or pharmaceutical services.

Social media site or social network site. The term “social media site” or “social network site” means a form of electronic communication, such as a website for social networking or microblogging, which allows users to interact or through which users create online communities to share information, ideas, personal messages, and other content, and includes, but is not limited to, Facebook, Twitter, YouTube, Flickr, LinkedIn, Tumblr and Myspace.

§ 5-267. Exemption.

A pregnancy services center shall not include a facility:

  1. that is licensed by the state of New York or the United States government to provide medical or pharmaceutical services; or
  2. where a licensed medical provider is present to directly provide or directly supervise the provision of all services defined in 6 RCNY § 5-266 that are provided at the facility.

§ 5-268. Display of Sign for Required Disclosure.

(a) Every pregnancy services center must display at its facility, including a mobile facility, a sign provided by the Department stating in English and Spanish: "This facility does not have a licensed medical provider on site to provide or supervise all services." The Department will provide both signs on its website for downloading by pregnancy services centers. The sign will measure eleven (11) inches by seventeen (17) inches and the lettering will be one inch high.
  1. Every pregnancy services center must post the sign at every public entrance. If the pregnancy services center is located in an office building or other structure containing two or more independent units, the sign must be posted at each entrance used exclusively for entry to the pregnancy services center. The sign must be: (1) posted on the outside of the entrance door and so that the distance from the top of the sign to the floor is between sixty-six (66) and seventy (70) inches and the distance between the frame of the door and the closest edge of the sign is not more than twelve (12) inches; (2) clearly and conspicuously visible to the client as she or he enters the pregnancy services center; and (3) laminated or protected by a clear sheeting or other suitable material so that the text will not be destroyed, soiled, distorted, or rendered illegible.
  2. Every pregnancy services center must post at least one sign in every area where clients wait to receive services. If the waiting area contains a reception desk, the sign must be posted on the reception desk or on a wall at a location not greater than 12 inches from the reception desk. If the sign is posted on a wall, it must be posted so that the distance from the top of the sign to the floor is between sixty-six (66) and seventy (70) inches.

§ 5-269. Disclosures in Advertising.

(a) "Advertisement promoting the services of a pregnancy services center" includes all promotional materials, statements, visual descriptions, or other visual representations of any kind disseminated in print or electronically, including, but not limited to, mailings, postcards, signs, business cards, flyers, hand-outs, brochures, banners, billboards, subway or bus signs, window signs, store-front signs, newspaper print advertisements and listings, telephone directory listings, television advertisements, internet advertisements, social media or social network sites and radio advertisements. "Advertisement promoting the services of a pregnancy services center" does not include communications or statements made by a center in the course of its operations that do not promote the center's services to clients or the general public, and that are directed exclusively to the center's non-client directors, employees, past financial donors, and interns.
  1. Every advertisement promoting the services of a pregnancy services center must include in English and Spanish the statement: “This facility does not have a licensed medical provider on site to provide or supervise all services.” The lettering of such statements in printed materials must be clear, legible, and in the same color and darkness, and in a type size at least one-third as high and one-third as broad, as the largest print in the advertisement. The lettering of such statement in television and internet advertisements must be clear and legible and in close proximity to the description of services provided at the pregnancy services center. The lettering of such statement on business cards may be printed on the back of the cards.
  2. Every pregnancy services center must also post the statement provided in Subsection (b) of this Section on its website and social media or social network sites. The lettering of such statement must be clear, legible, in the same color and darkness, and in a type size at least one-third as high and one-third as broad, as the largest print on the website or on the social media or social network site. The statement must be posted on every page of the website and social media or social network site. Where a page of the website or social media or social network site contains the description of services provided by such pregnancy services center, the statement must also be contained on that page, in close proximity to the services description.
  3. In addition to the disclosure requirements provided in subsection (c), the statement provided in subsection (b) must be included in the text of each post made on a social media or social network site. In the event a social media or social network site, such as Twitter, limits the number of characters that may be used in a post, the statement may be attached as a photo image to each post rather than included in the text of each post. Where the statement is included in a photo image, the lettering of such statement shall be consistent with the requirements described in subsection (c). Where a post contains the description of services provided by such pregnancy services center, the statement must also be in close proximity to the services description. Each post that does not comply with this requirement shall constitute a single violation, except that for the purpose of imposing a sealing order pursuant to section 20-818(b)(1) of the administrative code, each day of noncompliance shall be treated as a separate occasion.

§ 5-270. Oral Disclosure.

Upon a client or prospective client request for an abortion, emergency contraception and/or prenatal care service, a pregnancy services center shall orally disclose in English and Spanish the statement: “This facility does not have a licensed medical provider on site to provide or supervise all services.”

§ 5-271. Evidence.

(a) It shall be prima facie evidence that a facility has the appearance of a licensed medical facility if it has two or more of the factors listed in subparagraphs (a) through (f) of Title 20, Subchapter 17, Section 20-815(g)(2) of the New York City Administrative Code.
  1. A facility’s distribution of a pregnancy test kit shall not, by itself, be sufficient to establish that it has the “appearance of a licensed medical facility,” provided that the test is self-administered, self-diagnosed, and self-interpreted. Notwithstanding, a facility’s distribution of a pregnancy test kit – even if the pregnancy test kit was exclusively self-administered, self-interpreted, and self-diagnosed – may be relied upon, in combination with another legally permissible factor, to establish the “appearance of a licensed medical facility.”

Subchapter Q: Bail Bond Agents

§ 5-272. Definitions.

As used in this chapter, the following terms have the following meanings:

Bail bond agent. The term “bail bond agent” has the same definition as that term is defined in Section 20-830 of the Administrative Code.

Designated citywide language. The term “designated citywide language” has the same definition as that term is defined in Section 20-830 of the Administrative Code.

§ 5-273. Disclosures.

(a) To comply with Section 20-831(b) of the Administrative Code, a bail bond agent must post in a conspicuous manner at its business and where transactions are executed a sign, produced and made available by the Department, no less than 8.5 inches by 11 inches in dimension that contains the following information:

   (1) The name of the bail bond agent as registered with the New York State Department of Financial Services;

   (2) The New York State Department of Financial Services license number of the bail bond agent;

   (3) All addresses and phone numbers registered under the license; and

   (4) The name of any sublicensee registered under the license.

  1. To comply with Section 20-831(c) of the Administrative Code, before entering into a contract with a consumer, a bail bond agent must produce and distribute to every consumer a flier no less than 8.5 inches by 11 inches in dimension, containing the information described in Subdivision (a) of this section.
  2. To comply with Section 20-831(c) of the Administrative Code, before entering into a contract with a consumer, a bail bond agent must produce and distribute to every consumer, the consumer bill of rights shown below on paper no less than 8.5 by 11 inches in dimension. The consumer must sign and date a copy of the consumer bill of rights produced and distributed by the bail bond agent. The bail bond agent must produce the consumer bill of rights in English and in a designated citywide language if the consumer is a limited English proficient individual who speaks a designated citywide language and the bail bond agent knows or reasonably should know that the consumer is such an individual.

Bail Bond Consumer Bill of Rights

By law, bail bond agents must give you a copy of this document before you sign a contract. It outlines your rights, how the process works, and maximum fees that a bail bond agent can charge. Take the time to read and understand it before you sign it. The bail bond agent must give you a copy of any signed document, including a contract, to keep.

Know Your Rights

It’s illegal for a bail bond agent to:

•   Charge a fee (also called a premium) for the bail bond that is more than the maximum fee allowed by law. See the Maximum Fees Chart. The fees charged by the bail bond agent are not refundable, which means you will not get back your money.

•   Charge extra for services if the charges, combined with other fees, exceed the maximum fees allowed. Services might have names like “courier fee” or “check-in fee.”

•   Require someone to pay more fees for a bail bond if the maximum fees have been paid already.

You have the right to:

•   Know the name and license number of the bail bond agent and receive this information in writing.

•   Negotiate the contract with the bail bond agent.

•   Take documents off the premises to review them before signing them.

•   Get a contract that tells you when the bail bond agent will return your collateral and under what conditions. Collateral can be cash, property, such as the deed to a home, or something with value that the bail bond agent keeps until a case is over. Collateral is refundable, so you get it back when the case is over. However, the bail bond agent may be able to keep the collateral if the defendant violates the court’s orders; for example, if the defendant does not show up for a scheduled court appearance.

•   Get back the collateral you provided if the judge decides that the defendant followed all of the court’s directions. It does not matter if the defendant is convicted or acquitted.

How the Process Works

Someone close to you is arrested and charged with a crime.

The court sets bail. If you cannot pay cash bail directly to the court, you can go to a bail bond agent to arrange a bail bond. Know your rights when using a bail bond agent! See Know Your Rights.

You pay the bail bond agent, possibly provide collateral, and sign a contract. The bail bond agent secures the bail bond.

The defendant is released from jail.

While the case is open, the defendant must obey all court orders and attend all scheduled court appearances. If not, the court may revoke bail, which means the bond is forfeited and you lose your collateral.

If the judge “exonerates” the bond (either at the end of the case or while the case is still open), then the bail bond agent must return the collateral. The court has exoneration paperwork, often called the “disposition,” which says whether the bail was exonerated, and you can take this to the bail bond agent as proof.

The bail bond agent either gives you the collateral immediately or mails it to you.

Maximum Fees Chart

The formula to determine the maximum fees that a bail bond agent can charge for a bail bond is:

•   If the bond is $200 or less, the maximum fee is $10.

•   If the bond is more than $200, the maximum fee is:

   o   10% of the amount up to $3,000

   o   An additional 8% for any amount between $3,000 and $10,000

   o   An additional 6% for any amount above $10,000

The maximum fees are set based on the size of the bond, not the number of people signing for it. If the maximum fee for a bond is $100 and two or more people sign for the bond, the bail bond agent may still only charge $100 total.

~

$1 to $200 $10 $10
$1,000 10% of $1,000 $100
$5,000 10% of $3,000 + 8% of $2,000 $460
$7,500 10% of $3,000 + 8% of $4,500 $660
$10,000 10% of $3,000 + 8% of $7,000 $860
$20,000 10% of $3,000 + 8% of $7,000 + 6% of $10,000 $1,460
$50,000 10% of $3,000 + 8% of $7,000 + 6% of $40,000 $3,260

~

An online tool to calculate maximum fees is available at: https://nybondcalculator.org/

What to Do if a Bail Bond Agent Breaks the Law

To report an unlicensed bail bond agent, or a bail bond agent charging illegal fees or failing to return or refund collateral, contact the New York State Department of Financial Services (DFS) at (800) 342-3736 or dfs.ny.gov.

To report other illegal business practices, contact the New York City Department of Consumer Affairs (DCA) by calling 311 or visiting nyc.gov/dca. Illegal business practices may include refusing to provide copies of documents; failing to provide a complete receipt or providing an illegal receipt; or false advertising.

For Consumer to Complete:

The bail bond agent must give you this document in your preferred language if it is one of the six designated citywide languages (Spanish, Bengali, Chinese, Haitian Creole, Korean, Russian).

___________________         ___________________Signature            Date

___________________Print Name_______________________________________________________________________________________

  1. To comply with Section 20-832 of the Administrative Code, a bail bond agent must post a copy of the sign shown below on a paper no less than 17 inches by 28 inches in a conspicuous manner at the location where transactions are executed.

Bail Bond Fees

The formula to determine the maximum fees that a bail bond agent can charge for a bail bond is:

•   If the bond is $200 or less, the maximum fee is $10.

•   If the bond is more than $200, the maximum fee is:

   o   10% of the amount up to $3,000

   o   An additional 8% for any amount between $3,000 and $10,000

   o   An additional 6% for any amount above $10,000

The maximum fees are set based on the size of the bond, not the number of people signing for it. If the maximum fee for a bond is $100 and two or more people sign for the bond, the bail bond agent may still only charge $100 total.

~

$1 to $200 $10 $10
$1,000 10% of $1,000 $100
$5,000 10% of $3,000 + 8% of $2,000 $460
$7,500 10% of $3,000 + 8% of $4,500 $660
$10,000 10% of $3,000 + 8% of $7,000 $860
$20,000 10% of $3,000 + 8% of $7,000 + 6% of $10,000 $1,460
$50,000 10% of $3,000 + 8% of $7,000 + 6% of $40,000 $3,260

~

An online tool to calculate maximum fees is available at: https://nybondcalculator.org/

Consumer Bill of Rights

You are entitled to receive a Consumer Bill of Rights and you must sign it before entering into a contract with the bail bond agent.

File a Complaint

If you think the bail bond agent broke the law by charging excessive fees, you should file a complaint.

To report an unlicensed bail bond agent, or a bail bond agent charging illegal fees or failing to return or refund collateral, contact the New York State Department of Financial Services (DFS) at (800) 342-3736 or dfs.ny.gov.

To report other illegal business practices, contact the New York City Department of Consumer Affairs (DCA) by calling 311 or visiting nyc.gov/dca. Illegal business practices may include refusing to provide copies of documents; failing to provide a complete receipt or providing an illegal receipt; or false advertising.


Chapter 7: Office of Labor Policy and Standards

Subchapter A: Office of Labor Policy and Standards

7-101 Definitions.

(a) As used in this subchapter, the following terms have the following meanings:

   “Employee” means any person who meets the definition of “employee,” as defined by Section 20-912 of the Code, “eligible grocery employee,” as defined by Section 22-507 of the Code, “fast food employee,” as defined by Section 20-1201 or 20-1301 of the Code, or “retail employee,” as defined by Section 20-1201 of the Code.

   “Employer” means any person who meets the definition of “employer,” as defined by Section 20-912 of the Code, “successor grocery employer” or “incumbent grocery employer,” as defined by Section 22-507 of the Code, “fast food employer,” as defined by Section 20-1201 or 20-1301 of the Code, or “retail employer,” as defined by Section 20-1201 of the Code.

   “Freelancers Law and rules” means Chapter 10 of Title 20 of the Code and Subchapter E of this chapter.

   “OLPS laws and rules” means Chapters 8, 12, and 13 of Title 20 and Section 22-507 of the Code and Subchapters A, B, D, F, and G of this chapter.

   “Transportation Benefits Law and rules” means Chapter 9 of Title 20 of the Code and Subchapter C of this chapter.

  1. As used in the OLPS laws and rules, the following terms have the following meanings:

   “Code” means the Administrative Code of the City of New York.

   “Department” means the New York City Department of Consumer Affairs.

   “Director” means the director of the office of labor standards established, pursuant to Section 20-a of the charter.

   “Joint employer” means each of two or more employers who has some control over the work or working conditions of an employee or employees. Joint employers may be separate and distinct individuals or entities with separate owners, managers and facilities. A determination of whether or not a joint employment relationship exists will not often be decided by the application of any single criterion; rather the entire relationship shall be viewed in its totality.

   “Office” means the office of labor standards established, pursuant to Section 20-a of the New York City Charter and referred to as the Office of Labor Policy and Standards.

   “Supplements” means all remuneration for employment paid in any medium other than cash, or reimbursement for expenses, or any payments which are not ‘wages’ within the meaning of the New York State Labor Law, including, but not limited to, health, welfare, non-occupational disability, retirement, vacation benefits, holiday pay, life insurance, and apprenticeship training.

   “Temporary help firm” means an employer that recruits and hires its own employees and assigns those employees to perform work or services for another organization to: (i) support or supplement the other organization’s workforce; (ii) provide assistance in special work situations including, but not limited to, employee absences, skill shortages, or seasonal workloads; or (iii) perform special assignments or projects.

   “Work week” means a fixed and regularly recurring period of 168 hours or seven consecutive 24 hour periods; it may begin on any day of the week and any hour of the day, and need not coincide with a calendar week.

   “Written” or “writing” means a hand-written or machine-printed or printable communication in physical or electronic format, including a communication that is maintained or transmitted electronically, such as a text message.

§ 7-102 Construction.

This chapter shall be liberally construed to permit the Office to accomplish the purposes contained in Section 20-a of the New York City Charter. The provisions of this subchapter shall not be construed to supersede any other provision of the OLPS laws and rules, the Freelancers Law and rules, or the Transportation Benefits Law and rules.

§ 7-103 Severability.

The rules contained in this chapter shall be separate and severable. If any word, clause, sentence, paragraph, subdivision, section, or portion of these rules or the application thereof to any person, employer, employee, or circumstance is contrary to a Local, State or Federal law or held to be invalid, it shall not affect the validity of the remainder of the rules or the validity of the application of the rules to other persons or circumstances.

§ 7-104 Complainants and Witnesses.

(a) All people, regardless of immigration status, may access resources provided by the Office.
  1. Any person who meets the definition of employee in 6 RCNY § 7-101 is entitled to the rights and protections provided by this Subchapter to employees and any applicable provision of the OLPS laws and rules, regardless of immigration status.
  2. The Office shall conduct its work without inquiring into the immigration status of complainants and witnesses.
  3. The Office shall maintain confidential the identity of a complainant or natural person providing information relevant to enforcement of the OLPS laws and rules and the Transportation Benefits Law and rules, unless disclosure is necessary for resolution of the investigation or matter, or otherwise required by law, and the Office, to the extent practicable, notifies such complainant or natural person that the Office will be disclosing such person’s identity before such disclosure.
  4. For purposes of effectuating subdivision (d) of this section, the Office shall keep confidential any information that may be used to identify, contact, or locate a single person, or to identify an individual in context.

§ 7-105 Joint Employers.

(a) Joint employers are individually and jointly liable for violations of all applicable OLPS laws and rules and satisfaction of any penalties or restitution imposed on a joint employer for any violation thereof, regardless of any agreement among joint employers to the contrary.
  1. A joint employer must count every employee it employs for hire or permits to work, whether joint or not, in determining the number of employees employed for hire or permitted to work for the employer. For example, a joint employer who employs three workers from a temporary help firm and also has three permanent employees under its sole control has six employees for purposes of the OLPS laws and rules.

§ 7-106 Determining Damages Based on Lost Earnings.

(a) The following provisions apply to the extent necessary in circumstances described in paragraphs (1) and (2) below for the calculation of damages based on lost earnings in an administrative enforcement action:

   (1) When an employer pays a flat rate of pay for work performed, regardless of the number of hours actually worked, an employee’s hourly rate of pay shall be based on the most recent hourly rate paid to the employee for the applicable pay period, calculated by adding together the employee’s total earnings, including tips, commissions, and supplements, for the most recent work week in which no sick time or other leave was taken and dividing that sum by the number of hours spent performing work during such work week or forty hours, whichever amount of hours is less.

   (2) If an employee performs more than one job for the same employer or the employee’s rate of pay fluctuates for a single job, the hourly rate of pay shall be the rate of pay that the employee would have been paid during the time that employee would have been performing work but for the employee’s absence.

  1. If the methods for calculating the hourly rate described in subdivision (a) produce an hourly rate that is below the full hourly minimum wage, then the employee’s lost earnings shall be based on the full hourly minimum wage.

§ 7-107 Required Notices and Postings.

(a) For any notice created by the Office that is made available on the City's website and that is then required by a provision of the OLPS laws and rules to be provided to an employee or posted in the workplace, an employer must provide and/or post such notice in English and in any language spoken as a primary language by at least five percent of employees at the employer's location, provided that the Director has made the notice available in such language. Employers covered by the Earned Safe and Sick Time Act, Chapter 8 of Title 20 of the Code, are required to comply with this subdivision in addition to the requirement, pursuant to Section 20-919 of the Code that an employer provide the notice of rights in an employee's primary language.
    1. For any notice that is not created by the Office and made available on the City’s website, that is required to be provided to an employee and/or posted in the workplace by a provision of the OLPS laws and rules, an employer must provide and/or post such notice in English and in any language that the employer customarily uses to communicate with the employee.

   (2) For any notice that is not created by the Office and made available on the City’s website, that is required to be posted in the workplace by a provision of the OLPS laws and rules, an employer must post such notice in English and in any language that the employer customarily uses to communicate with any of the employees at that location.

  1. Any notice, policy, or other writing that is required by a provision of the OLPS laws and rules to be personally provided to an employee must be provided by a method that reasonably ensures personal receipt by the employee and that is consistent with any other applicable law or rule that specifically addresses a method of delivery.
  2. Any notice, policy or, other writing that is required to be posted, pursuant to a provision of the OLPS laws and rules must be posted in a printed format in a conspicuous place accessible to employees where notices to employees are customarily posted, pursuant to State and Federal laws and, except for notices created by the Office, in a form customarily used by the employer to communicate with employees.
  3. An employer that places employees to perform work off-site or at dispersed job-sites, such as in private homes, building security posts, or on delivery routes, must comply with any applicable requirement to post a notice, policy or other writing contained in the OLPS laws and rules by providing employees with the required notice personally upon commencement of employment, within fourteen (14) days of the effective date of any changes to the required posting, and upon request by the employee, in addition to the requirements in subdivision (c) of this section.

§ 7-108 Retaliation.

(a) No person shall take any adverse action against an employee that penalizes an employee for, or is reasonably likely to deter an employee from, exercising or attempting to exercise rights under the OLPS laws and rules or interfere with an employee's exercise of rights under the OLPS laws and rules.
  1. Taking an adverse action includes, but is not limited to threatening, intimidating, disciplining, discharging, demoting, suspending, or harassing an employee, reducing the hours of pay of an employee, informing another employer than an employee has engaged in activities protected by the OLPS laws and rules, discriminating against the employee, including actions related to perceived immigration status or work authorization, and maintenance or application of an absence control policy that counts protected leave as an absence that may lead to or result in an adverse action.
  2. An employee need not explicitly refer to a provision of the OLPS laws and rules to be protected from an adverse action.
  3. The Office may establish a causal connection between the exercise, attempted exercise, or anticipated exercise of rights protected by the OLPS laws and rules and an employer’s adverse action against an employee or a group of employees by indirect or direct evidence.
  4. For purposes of this section, retaliation is established when the Office shows that a protected activity was a motivating factor for an adverse action, whether or not other factors motivated the adverse action.

§ 7-109 Enforcement and Penalties.

(a) The Office may open an investigation to determine compliance with laws enforced by the Office on its own initiative or based on a complaint, except as otherwise provided by Section 20-1309 of Chapter 13 of Title 20 of the Code.
  1. Whether it was issued in person, via mail, or, on written consent of the employer, email, an employer must respond to a written request for information or records by providing the Office with true, accurate, and contemporaneously-made records or information within the following timeframes, except as provided in subdivision (c) of this section, subdivision (c) of Section 20-924 of the Code, 6 RCNY § 7-213 or other applicable law:

   (1) For an initial request for information or records, the employer shall

      i. Within ten (10) days of the date that the request for information was received by the employer provide the following information, if applicable:

         A. the employer’s correct legal name and business form;

         B. the employer’s trade name or DBA;

         C. the names and addresses of other businesses associated with the employer;

         D. the employer’s Federal Employer Identification Number;

         E. the employer’s addresses where business is conducted;

         F. the employer’s headquarters and principal place of business addresses;

         G. the name, phone number, email address, and mailing address of the owners, officers, directors, principals, members, partners and/or stockholders of more than 10 percent of the outstanding stock of the employer business and their titles;

         H. the name, phone number, email address, and mailing address of the individuals who have operational control over the business;

         I. the name, phone number, email address, and mailing address of the individuals who supervise employees;

         J. the name and contact information of the individual who the office should contact regarding an investigation of the business and an affirmation granting authority to act; and

      ii. Within fourteen (14) days of the date of that the initial request for information or records was received, provide the remaining information or records requested in that initial request.

   (2) For all requests for information or records after the initial request, an employer must respond within the timeframe prescribed by the Office in the request, which shall not exceed fourteen (14) days from the date that the request was received by the employer, unless a longer timeframe has been agreed to by the Office.

   (3) Upon good cause shown, the Director may extend response timeframes required, pursuant to this subdivision.

  1. An employer shall respond to a written request for information or records by providing the Office with true, accurate, and contemporaneously-made records or information in a lesser amount of time than provided in paragraphs 2 and 3 of subdivision b of this section if agreed to by the parties or the Office has reason to believe that:

   (1) The employer will destroy or falsify records;

   (2) The employer is closing, selling, or transferring its business, disposing of assets or is about to declare bankruptcy;

   (3) The employer is the subject of a government investigation or enforcement action or proceeding related to wages and hours, unemployment insurance, workers’ compensation, discrimination, OLPS laws and rules, the Freelancers Law and rules, or the Transportation Benefits Law and rules; or

   (4) More immediate access to records is necessary to prevent or remedy retaliation against employees.

  1. In accordance with applicable law, the Office may resolve or attempt to resolve an investigation at any point through settlement upon terms that are satisfactory to the Office.
  2. The Office may issue a notice of violation to an employer who fails to provide true and accurate information or records requested by the Office in connection with an investigation.
  3. An employer who fails to timely and fully respond to the request for information or records that is the subject of a notice of violation issued under subdivision (e) of this section on or before the first scheduled appearance date is subject to a penalty of five hundred dollars, in addition to any penalties or remedies imposed as a result of the Office’s investigation.
  4. The employer may cure a notice of violation issued in accordance with subdivision (e) of this section without the penalty imposed in connection with subdivision (f) by:

   (1) producing the requested information or records on or before the first scheduled appearance date; or

   (2) resolving, to the satisfaction of the Office on or before the first scheduled appearance date, the investigation that is the basis for the request for information or records.

  1. A finding that an employer has an official or unofficial policy or practice that denies a right established or protected by the OLPS laws and rules shall constitute a violation of the applicable provision of the OLPS laws and rules for each and every employee subject to such policy or practice.

§ 7-110 Service.

Service of documents issued by the Office to employers, including written requests for information or records and notices of violation, shall be made in a manner reasonably calculated to achieve actual notice to the employer. The following are presumed to be reasonably calculated to achieve actual notice: (i) personal service on the employer; (ii) personal service on the employer by regular first-class mail, certified mail, return receipt requested, or private mail delivery services, such as UPS, to an employer’s last known business address; or (iii) if an employer has so consented, facsimile, email, including an attachment to an email.

§ 7-111 Recordkeeping.

(a) An employer's failure to maintain, retain, or produce a record that is required to be maintained under the OLPS laws and rules that is relevant to a material fact alleged by the Office in a notice of violation issued, pursuant to a provision of the OLPS laws and rules creates a reasonable inference that such fact is true, unless a rebuttable presumption or other adverse inference is provided by applicable law.
  1. An employer that produces records to the department or Office in response to a request for information affirms that the records produced are true and accurate.

Subchapter B: Earned Safe and Sick Time

§ 7-201 Definitions.

(a) As used in this chapter, the terms "calendar year," "employee," "employer," "health care provider," "paid safe/sick time," "safe time," and "sick time" shall have the same meanings as set forth in Section 20-912 of the Administrative Code.
  1. As used in the Earned Safe and Sick Time Act and in this subchapter, the term “domestic worker” means a person who provides care for a child, companionship for a sick, convalescing or elderly person, housekeeping, or any other domestic service in a home or residence whenever such person is directly and solely employed to provide such service by an individual or private household. The term “domestic worker” does not include any person who is employed by an agency whenever such person provides services as an employee of such agency, regardless of whether such person is jointly employed by an individual or private household in the provision of such services.

§ 7-202 Business Size.

(a) Business size for an employer that has operated for less than one year shall be determined by counting the number of employees performing work for an employer for compensation per week, provided that if the number of employees fluctuates between less than five employees and five or more employees per week, business size may be determined for the current calendar year based on the average number of employees per week who worked for compensation for each week during the 80 days immediately preceding the date the employee used safe time or sick time.
  1. Business size for an employer that has operated for one year or more is determined by counting the number of employees working for the employer per week at the time the employee uses safe time or sick time, unless the number of employees fluctuates, in which case business size may be determined for the current calendar year based on the average number of employees per week during the previous calendar year. For purposes of this section, “fluctuates” means that at least three times in the most recent calendar quarter the number of employees working for an employer fluctuated between less than five employees and five or more employees.

§ 7-203 Employees.

An individual is “employed for hire within the City of New York for more than eighty hours in a calendar year” for purposes of Section 20-912(f) of the Administrative Code if the individual performs work, including work performed by telecommuting, for more than eighty hours while the individual is physically located in New York City, regardless of where the employer is located.

  1. Example: An individual who only performs work while physically located outside of New York City, even if the employer is based in New York City, is not “employed for hire within the City of New York” for purposes of Section 20-912(f) for hours worked outside New York City.
  2. Example: An individual performs twenty hours of work in New Jersey and sixty hours of work in New York City in a calendar year. The twenty hours of work performed by the employee in New Jersey do not count towards the employee’s eighty hours of work for purposes of Section 20-912(f).

§ 7-204 Minimum Increments and Fixed Intervals for the Use of Safe Time and Sick Time.

(a) Unless otherwise in conflict with State or Federal law or regulations, an employee may decide how much earned safe time or sick time to use, provided however, that an employer may set a minimum increment for the use of safe time and sick time, not to exceed four hours per day, provided such minimum increment is reasonable under the circumstances.

   (i) Example: An employee has worked eighty hours and more than one hundred twenty calendar days have passed since the employee’s first day of work for the employer. The employer has set a minimum increment of four hours per day for use of safe time and sick time. The employee has not yet accrued four hours of time, but is entitled to use the time he or she has already accrued. Under these circumstances, it would not be “reasonable under the circumstances” for the employer to require the employee to use a minimum of four hours of safe time or sick time as the minimum increment.

   (ii) Example: An employee is scheduled to work from 8:00 A.M. to 4:00 P.M. Mondays. She schedules a doctor’s appointment for 9:00 A.M. on a Monday and notifies her employer of her intent to use sick time and return to work the same day. The employer’s written sick time policies require a four hour minimum increment of sick time used per day. If she does not go to work before her appointment, she should appear for work by 12:00 P.M.

  1. An employer may set fixed periods of thirty minutes or any smaller amount of time for the use of accrued safe time or sick time beyond the minimum increment described in subdivision (a) of this section and may require fixed start times for such intervals.

   Example: The employee in Example (ii) of subdivision (a) of this section arrives to work at 12:17 P.M. Under her employer’s written sick time policies, employees must use sick time in half-hour intervals that start on the hour or half-hour. The employer can require the employee to use four-and-a-half hours of her accrued sick time and require her to begin work at 12:30 P.M. Similarly, if the employee wanted to leave work at 8:40 A.M. to go to her 9:00 A.M. doctor’s appointment, the employer could require the employee to stop work at 8:30 A.M.

§ 7-205 Employee Notification of Use of Safe Time or Sick Time.

(a) An employer may require an employee to provide reasonable notice of the need to use safe time or sick time.
  1. An employer that requires notice of the need to use safe time or sick time where the need is not foreseeable shall provide a written policy that contains procedures for the employee to provide notice as soon as practicable. Examples of such procedures may include, but are not limited to, instructing the employee to: (1) call a designated phone number at which an employee can leave a message; (2) follow a uniform call-in procedure; or (3) use another reasonable and accessible means of communication identified by the employer. Such procedures for employees to give notice of the need to use safe time or sick time when the need is not foreseeable may not include any requirement that an employee appear in person at a worksite or deliver any document to the employer prior to using safe time or sick time.
  2. In determining when notice is practicable in a given situation, an employer must consider the individual facts and circumstances of the situation.
  3. An employer that requires notice of the need to use safe time or sick time where the need is foreseeable shall have a written policy for the employee to provide reasonable notice. Such policy shall not require more than seven days’ notice prior to the date such safe time or sick time is to begin. The employer may require that such notice be in writing.

§ 7-206 Documentation from Licensed Health Care Provider.

(a) When an employee’s use of sick time results in an absence of more than three consecutive work days, an employer may require reasonable written documentation that the use of sick time was for a purpose authorized under Section 20-914(a) of the Administrative Code. Written documentation signed by a licensed health care provider indicating the need for the amount of sick time taken shall be considered reasonable documentation. “Work days” as used in this subdivision and in Section 20-914(a)(2) of the Administrative Code means the days or parts of days the employee would have worked had the employee not used sick time.
  1. If an employer requires an employee to provide written documentation from a licensed health care provider when the employee’s use of sick time resulted in an absence of more than three consecutive work days, the employee shall be allowed a minimum of seven days from the date he or she returns to work to obtain such documentation. The employee is responsible for the cost of such documentation not covered by insurance or any other benefit plan.
  2. If an employee provides written documentation from a licensed health care provider in accordance with subdivision (a) of this section, an employer may not require an employee to obtain documentation from a second licensed health care provider indicating the need for sick time in the amount used by the employee.

§ 7-207 Domestic Workers.

(a) Domestic workers who have worked for the same employer for at least one year and who work more than 80 hours in a calendar year will be entitled to two days of paid safe/sick time per year, as provided in this section.
  1. The two days of paid safe/sick time must be calculated in the manner that paid days of rest for domestic workers are calculated, pursuant to New York State Labor Law Section 161(1).
  2. A domestic worker described in subdivision (a) of this section is entitled to two days of paid safe/sick time on the next date that such domestic worker is entitled to a paid day or days of rest under New York State Labor Law Section 161(1), and annually thereafter.
  3. Safe time and sick time accrued by a domestic worker will carry over to the next calendar year.

§ 7-208 Rate of Pay for Safe Time and Sick Time.

(a) Except as provided in subdivision (b) of this section, when using paid safe/sick time, an employee shall be compensated at the same hourly rate that the employee would have earned at the time the paid safe/sick time is taken.
  1. If the employee uses paid safe/sick time during hours that would have been designated as overtime, the employer is not required to pay the overtime rate of pay.
  2. An employee is not entitled to compensation for lost tips or gratuities, provided, however, that an employer must pay an employee whose hourly rate of pay or salary is based in whole or in part on tips or gratuities at least the full minimum wage.
  3. For employees who are paid on a commission (whether base wage plus commission or commission only), the hourly rate of pay shall be the base wage or minimum wage, whichever is greater.
  4. When an employer pays a flat rate of pay for work performed, regardless of the number of hours actually worked, an employee’s hourly rate of pay shall be based on the most recent hourly rate paid to the employee for the applicable pay period, calculated by adding together the employee’s total earnings, including tips, commissions, and supplements, for the most recent work week in which no safe time or sick time or other leave was taken and dividing that sum by the number of hours spent performing work during such work week or forty hours, whichever amount of hours is less.
  5. If an employee performs more than one job for the same employer or the employee’s rate of pay fluctuates for a single job, the rate of pay shall be the rate of pay that the employee would have been paid during the time the employee used the safe time or sick time.
  6. An employer is not required to pay cash in lieu of supplements for safe time or sick time used if remuneration for employment includes supplements. The fact that an employer pays cash in lieu of supplements to an employee does not relieve the employer of the requirements of the Earned Safe and Sick Time Act.
  7. Under no circumstance can the employer pay the employee less than the minimum wage for paid safe/sick time.

§ 7-209 Payment of Safe/Sick Time.

(a) Safe time and sick time must be paid no later than the payday for the next regular payroll period beginning after the safe time or sick time was used by the employee.
  1. If the employer has asked for written documentation or verification of use of safe time or sick time, pursuant to Section 20-914(a), 20-914(b) or 20-914(d) of the Administrative Code, the employer is not required to pay safe time or sick time until the employee has provided such documentation or verification.

§ 7-210 Employer’s Sale of Business.

(a) If an employer sells its business or the business is otherwise acquired by another business, an employee will retain and may use all accrued safe time and sick time if the employee continues to perform work within the City of New York for the successor employer.
  1. If the successor employer has fewer than five employees, and the former employer had more than five employees, the employee is entitled to use and be compensated for unused safe time and sick time accrued while working for the former employer, until such safe time and sick time is exhausted.
  2. A successor employer must provide employees with its written safe time and sick time policies at the time of sale or acquisition, or as soon as practicable thereafter, which shall include a policy that complies with this section.

§ 7-211 Employer’s Written Safe Time and Sick Time Policies.

(a) Every employer shall maintain written safe time and sick time policies in a single writing and follow such written safe time and sick time policies except as allowed in subdivision (d) of this section.
  1. Every employer must distribute its written safe time and sick time policies personally upon commencement of employment, within 14 days of the effective date of any changes to the policy, and upon request by the employee.
  2. An employer’s written safe time and sick time policies must meet or exceed all of the requirements of the Earned Safe and Sick Time Act and this chapter and state at a minimum:

   (1) The employer’s method of calculating safe time and sick time as follows:

      (i) If an employer provides employees with an amount of safe time and sick time that meets or exceeds the requirements of the Earned Safe and Sick Time Act on or before the employee’s 120th day of employment and on the first day of each new calendar year, which for the purposes of this section is defined as “frontloaded safe time and sick time,” then the employer’s written safe time and sick time policy must specify the amount of frontloaded safe time and sick time to be provided;

      (ii) If the employer does not apply frontloaded safe time and sick time, then the employer’s written safe time and sick time policy must specify when accrual of safe time and sick time starts, the rate at which an employee accrues safe time and sick time and the maximum number of hours an employee may accrue in a calendar year;

   (2) The employer’s policies regarding the use of safe time and sick time, including any limitations or conditions the employer places on the use of safe time and sick time, such as:

      (i) Any requirement that an employee provide notice of a need to use safe time and sick time and the procedures for doing so in accordance with 6 RCNY § 7-205;

      (ii) Any requirement for written documentation or verification of the use of safe time and sick time in accordance with Sections 20-914(a)(2), 20-914(b)(2), or 20-914(d) of the Administrative Code, and the employer’s policy regarding any consequences of an employee’s failure or delay in providing such documentation or verification;

      (iii) Any reasonable minimum increment or fixed period for the use of accrued safe time and sick time;

      (iv) Any policy on discipline for employee misuse of safe time and sick time under 6 RCNC § 7-215; and

      (v) A description of the confidentiality requirements of Section 20-921 of the Administrative Code.

   (3) The employer’s policy regarding carry-over of unused safe time and sick time at the end of an employer’s calendar year in accordance with Section 20-913(h) of the Administrative Code; and,

   (4) If an employer uses a term other than “safe/sick time” or “safe and sick time” to describe leave provided by the employer to meet the requirements of the Earned Safe and Sick Time Act, the employer’s policy must state that such leave may be used by an employee for any of the purposes set forth in the Earned Safe and Sick Time Act without any condition prohibited by the Earned Safe and Sick Time Act. Terms used to describe such leave may include, but are not necessarily limited to, “paid time off” (“PTO”), vacation time, personal days, or days of rest.

  1. Nothing in this chapter shall prevent an employer from making exceptions to its written safe time and sick time policy for individual employees that are more generous to the employee than the terms of the employer’s written policy.
  2. Requirements relating to an employer’s additional and separate obligation to provide employees with a Notice of Rights under the Earned Safe and Sick Time Act are set forth in Section 20-919 of the Administrative Code. An employer may not distribute the Notice of Rights required by Section 20-919 of the Administrative Code or any other department writing in lieu of distributing or posting its own written safe time and sick time policies as required by this section.
  3. An employer that has not provided to the employee a copy of its written safe time and sick time policies along with any forms or procedures required by the employer related to the use of safe time and sick time shall not deny safe time or sick time or payment of safe time or sick time to the employee based on non-compliance with such a policy.

§ 7-212 Employer Records.

(a) Employers must retain records demonstrating compliance with the requirements of the Earned Safe and Sick Time Act, including records of any policies required, pursuant to this Chapter, for a period of three years unless otherwise required by any other law, rule or regulation.
  1. An employer must maintain, in an accessible format, contemporaneous, true, and accurate records that show, for each employee:

   (1) The employee’s name, address, phone number, date(s) of start of employment, date(s) of end of employment (if any), rate of pay, and whether the employee is exempt from the overtime requirements of New York State labor laws and regulations;

   (2) The hours worked each week by the employee, unless the employee is exempt from the overtime requirements of New York State labor laws and regulations and has a regular work week of forty hours or more;

   (3) The date and time of each instance of safe time or sick time used by the employee and the amount paid for each instance;

   (4) Any change in the material terms of employment specific to the employee; and

   (5) The date that the Notice of Rights as set forth in Section 20-919 of the Administrative Code was provided to the employee and proof that the Notice of Rights was received by the employee.

  1. If the office issues a written request for information or records, an employer shall provide the office with such information or records, upon appropriate notice, at the department’s office. Alternately, an employer shall provide the office with access to such information or records upon appropriate notice and at a mutually agreeable time of day at the employer’s place of business.
  2. “Appropriate notice” shall mean 30 days’ written notice, unless the employer agrees to a lesser amount of time, the office’s request for the information or records is a second or subsequent request made to the same employer during the same investigation or case as the first request, or the office has reason to believe that:

   (1) the employer will destroy or falsify records;

   (2) the employer is closing, selling or transferring its business, disposing of assets or is about to declare bankruptcy;

   (3) the employer is the subject of a government investigation or enforcement action or proceeding related to wages and hours, unemployment insurance, workers’ compensation, discrimination, or an OLPS law or rule; or

   (4) more immediate access to records is necessary to prevent retaliation against employees.

  1. The office will make two attempts by letter, email or telephone to arrange a mutually agreeable time of day for the employer to provide access to its records in accordance with subdivision (d) of this section. If these attempts are not successful, the office may set a time to access records at the employer’s place of business during regular business hours, upon two days’ notice.

§ 7-213 Enforcement and Penalties.

(a) A finding that an employer has an official or unofficial policy or practice of not providing or refusing to allow the use of safe time or sick time as required under the Earned Safe and Sick Time Act constitutes a violation of Section 20-913 of the Administrative Code for each and every employee affected by the policy and will be subject to penalties as provided in Section 20-924(e) of the Code.
  1. For purposes of Section 20-924(e) of the Administrative Code, penalties shall be imposed on a per employee basis.
  2. If an employer, as a matter of policy or practice, does not allow accrual of safe time and sick time as required under the Earned Safe and Sick Time Act, the relief granted to each and every employee affected by the policy or practice must include either application of 40 hours of safe time and sick time to the employee’s safe time and sick time balance or, where such information is known, application of the number of hours of safe time and sick time the employee should have accrued to the employee’s safe time and sick time balance, provided that such balance does not exceed 80 hours.

§ 7-214 Accrual, Hours Worked and Carry Over.

(a) If an employee is scheduled and available to work for an on-call shift and is compensated for the scheduled time regardless of whether the employee works, the scheduled time constitutes hours worked for the purposes of accrual under the Earned Safe and Sick Time Act.
  1. For employees who are paid on a piecework basis, accrual of safe time and sick time is measured by the actual length of time spent performing work.
  2. For employees who are paid on a commission basis, accrual of safe time and sick time is measured by the actual length of time spent performing work.
  3. For employees with indeterminate shift lengths (e.g. a shift defined by business needs), an employer shall base the hours of safe time or sick time used upon the hours worked by the replacement employee for the same shift. If this method is not possible, the hours of safe time or sick time must be based on the hours worked by the employee when the employee most recently worked the same shift in the past.
  4. If an employee is rehired within six months of separation from employment and had not reached the required 120 days to begin using accrued safe time and sick time under Section 20-913(d)(1) of the Administrative Code at the time the employee separated from employment, upon resumption of employment, the employee shall be credited at least his or her previous calendar days towards the 120 day waiting period. For the purposes of this subdivision, “waiting period” shall mean the time period described in Section 20-913(d)(1) of the Administrative Code between the start of employment and the 120th calendar day following the start of employment or July 30, 2014, whichever is later, except for that an employer is not required to allow an employee to begin to use safe time before May 5, 2018.
  5. An employee may carry over up to 40 hours of unused safe and sick time from one calendar year to the next, unless the employer has a policy of paying employees for unused safe time and sick time at the end of the calendar year in which such time is accrued and providing the employee with an amount of paid safe time and sick time that meets or exceeds the requirements of the Earned Safe and Sick Time Act for such employee for the immediately subsequent calendar year on the first day of such year in accordance with Section 20-913(h) of the Administrative Code. Regardless of the number of hours an employee carried over from the previous calendar year, an employer is only required to allow employees to accrue up to 40 hours of safe time and sick time in a calendar year. If an employee’s safe time and sick time balance exceeds 40 hours in a single calendar year, an employer is only required to allow the employee to use up to 40 hours in such calendar year.

   Example: An employee accrues 40 hours of safe time and sick time in calendar year one and uses 20 hours of safe time and sick time in calendar year one. She carries over 20 hours from calendar year one to calendar year two, accrues 40 hours in calendar year two, and does not use any hours in calendar year two. Her safe time and sick leave balance at the end of calendar year two is 60 hours (20 hours from calendar year two plus 40 hours from calendar year two). She may carry over 40 of those 60 hours into calendar year three and accrue another 40 hours in calendar year three.

§ 7-215 Employee Abuse of Safe Time and Sick Time.

An employer may take disciplinary action, up to and including termination, against an employee who uses safe time or sick time provided under the Earned Safe and Sick Time Act for purposes other than those described in Sections 20-914(a) and Section 20-914(b) of the Administrative Code. Indications of abuse of safe time and sick time may include, but are not limited to a pattern of: (1) use of unscheduled safe time and sick time on or adjacent to weekends, regularly scheduled days off, holidays, vacation or pay day, (2) taking scheduled safe time and sick time on days when other leave has been denied, and (3) taking safe time and sick time on days when the employee is scheduled to work a shift or perform duties perceived as undesirable.

Subchapter C: Transportation Benefits

§ 7-301 Definitions.

As used in this chapter and, where applicable, in the Transportation Benefits Law, the following terms have the following meanings:

“Chain business” means a group of establishments that share a common owner or principal who owns a majority of each establishment where such establishments (i) engage in the same business or (ii) operate pursuant to franchise agreements with the same franchisor as defined in general business law section 681.

“Commuter highway vehicle” means a “commuter highway vehicle” as such term is defined in Section 132(f)(5)(B) of the Internal Revenue Code.

“Cure period” means the ninety-day period immediately following a finding of a first violation.

“Department” means the Department of Consumer Affairs of the City of New York.

“Employee” means an “employee,” “manual worker,” “railroad worker,” “commission salesman,” or “clerical or other worker” as such terms are defined in § 190 of the New York State Labor Law. “Employee” does not include partners, sole proprietors, independent contractors, or two-percent shareholders of S-corporations.

“Employer” means an “employer” as such term is defined in § 190 of the New York State Labor Law and that employs twenty or more full-time employees in New York City. The common owner or principal of a chain business shall be considered the employer of the full-time employees of such chain business.

“First violation” means the first finding by the administrative tribunal that a particular employer has violated the Transportation Benefits Law since July 1, 2016.

“Full-time employee” means an employee who has worked an average of 30 hours or more per week in the most recent four weeks as of any date of counting, any portion of which was in New York City, for a single employer.

“Earnings” shall have the same meaning as the term “gross income” as used in § 132 of the Internal Revenue Code.

“Month” means an employer’s regularly established fiscal month.

“Recidivist violation” means any new finding by the administrative tribunal that a particular employer has violated the Transportation Benefits Law, after the first finding by the administrative tribunal that the employer had violated the Transportation Benefits Law since July 1, 2016.

“Subsequent violation” means each continuous thirty-day period after the expiration of the cure period, or after the finding of a recidivist violation by the administrative tribunal, in which the employer has not demonstrated to the department’s satisfaction that it is complying with the Transportation Benefits Law.

“Temporary help firm” means an employer that recruits, hires and supplies employees to perform work or services for another organization to: (i) support or supplement the other organization’s workforce; (ii) provide assistance in special work situations including, but not limited to, employee absences, skill shortages or seasonal workloads; or (iii) perform special assignments or projects.

“Transportation Benefits Law” means Chapter 9 of Title 20 of the Administrative Code of the City of New York.

“Transportation fringe benefits” means qualified transportation fringe benefits, other than qualified parking, that may be purchased using pre-tax earnings in accordance with § 132 of the Internal Revenue Code.

“Week” means an employer’s regularly established payroll week.

§ 7-302 Determination of Size of Employer.

(a) An employer's number of full-time employees is determined by calculating the average number of full-time employees for the most recent consecutive three- month period, provided that for an employer that has operated for less than three months, the number of full-time employees is determined by calculating the average number of full-time employees per week for the period of time in which the employer has been in operation.
  1. Full-time employees at all of an employer’s or a chain business’s locations in New York City shall be counted in determining the number of full-time employees of the employer.

§ 7-303 Temporary Help Firms.

(a) Where a temporary help firm supplies a full-time employee to another organization, the temporary help firm shall be the employer of the full-time employee for purposes of the Transportation Benefits Law and must comply with its provisions, regardless of the size of the other organization.
  1. To determine the number of hours worked each week by an employee working for a temporary help firm, the employer must aggregate the number of hours worked by the employee in the most recent four weeks at all placements.

§ 7-304 Employee Eligibility.

(a) An employer must offer its full-time employees the opportunity to use pre-tax earnings to purchase transportation fringe benefits by January 1, 2016, or four weeks after such employee's commencement of employment as a full-time employee of the employer, whichever is later.
  1. If an employer’s work force is reduced to fewer than 20 full-time employees, the employer must continue to offer the opportunity to use pre-tax earnings to purchase transportation fringe benefits to full-time employees who were employer’s full-time employees before the work force was reduced.

§ 7-305 Maximum Deductions.

Employers must offer full-time employees the opportunity to use the maximum amount of pre-tax earnings permitted under federal law for the purchase of transportation fringe benefits.

§ 7-306 Recordkeeping Requirements.

Employers must retain records for two years sufficient to demonstrate (i) that each full-time employee eligible for transportation fringe benefits pursuant to the Transportation Benefits Law and this chapter was offered the opportunity to use pre-tax earnings to purchase transportation fringe benefits in accordance with this chapter; or (ii) records sufficient to demonstrate that the employer provides, at the employer’s expense, a transit pass or similar form of payment for transportation on public or privately-owned mass transit or in a commuter highway vehicle at the maximum federal transportation fringe benefit amount that may be excluded from pre-tax earnings. Employers may use the form provided by the department and available on the department’s website to document compliance.

§ 7-307 Employer-Funded Transportation Benefits.

(a) As an alternative to offering the opportunity to use pre-tax earnings to purchase transportation fringe benefits, an employer may provide at the employer's expense a transit pass or similar form of payment for transportation on public or privately-owned mass transit or in a commuter highway vehicle.
  1. If the employer-provided transit pass or similar form of payment is less than the maximum transportation fringe benefit that may be excluded from pre-tax earnings under federal law, then the employer must offer employees the opportunity to use pre-tax earnings to purchase transportation fringe benefits for an amount equal to the difference between the value of the employer-provided transit pass or similar form of payment and the maximum amount that may be excluded from gross earnings under federal law.

§ 7-308 Financial Hardship Exemption.

(a) The department may waive the requirements of the Transportation Benefits Law for an employer if such employer demonstrates to the department's satisfaction that offering the opportunity to use pre-tax earnings to purchase transportation fringe benefits would be a financial hardship for such employer.
  1. To qualify for a waiver, an employer must present compelling evidence that complying with the Transportation Benefits Law would be impracticable and create a severe financial hardship.

§ 7-309 Enforcement and Penalties.

(a) The department may issue a notice of violation pursuant to section 20-926(b) of the Administrative Code.
  1. Any employer found to be in violation of the Transportation Benefits Law will be liable for a civil penalty of two-hundred fifty dollars payable to the city of New York for the first violation, for any and each subsequent violation, and for any and each recidivist violation.
  2. A civil penalty will not be imposed on an employer for the first violation if the employer demonstrates to the satisfaction of the department within the cure period that it is complying with the Transportation Benefits Law.
  3. For the purposes of this section, “satisfaction of the department” with reference to an employer’s compliance with the Transportation Benefits Law means proof that the employer has offered its full time employees the opportunity to use pre-tax earnings to purchase transportation fringe benefits or that the employer provides, at the employer’s expense, a transit pass, or similar form of payment, for transportation on public or privately-owned mass transit or in a commuter highway vehicle at the maximum federal transportation benefit amount that may be excluded from pre-tax earnings.
  4. An employer seeking to demonstrate that it is complying with the Transportation Benefits Law may do so by submitting the compliance form provided by the department and available on the department’s website. The department may require submission of additional information, including documentary evidence, reasonably necessary to prove that a first violation was cured within the cure period.

Subchapter D: Displaced Grocery Workers

§ 7-401 Definitions.

(a) As used in this chapter, the following terms have the same meanings as set forth in section 22-507 of the Administrative Code: "change in control," "city," "department," "eligible grocery employee," "grocery establishment," "incumbent grocery employer," "person," "successor grocery employer," and "transitional employment period."
  1. As used in this chapter, the following terms shall have the following meanings:

   “Continuous employment” means uninterrupted employment. Separations from employment six months or less in duration for any reason, including, but not limited to, transfer from a grocery establishment that is subject to a change in control to a grocery establishment with the same incumbent grocery employer, paid or unpaid leaves of absence, paid or unpaid time off, and work schedule changes, shall not constitute interruptions in employment.

   “Grocery employer” means incumbent grocery employers and successor grocery employers.

   “Grocery Worker Retention Act” means section 22-507 of the Administrative Code.

§ 7-402 Eligible Grocery Employees.

(a) For purposes of the definition of "eligible grocery employee" in section 22-507(a) of the Administrative Code, "a period" means "a period of continuous employment."
  1. For purposes of section 22-507(a) of the Administrative Code, “confidential employee” means “confidential employee” as defined in the federal Labor Management Relations Act, 22 U.S.C. § 4102(6).
  2. An employee’s length of continuous employment at a grocery establishment with the same incumbent grocery employer as the grocery establishment subject to a change in control preceding an employee’s transfer to the grocery establishment subject to a change in control shall count towards that employee’s continuous employment at the grocery establishment subject to the change in control.

§ 7-403 Determining Seniority.

For purposes of section 22-507(b)(3) of the Administrative Code, an employee attains seniority as a result of that employee’s length of continuous employment in the grocery establishment subject to a change in control, regardless of job position and regardless of full-time or part-time status, or, in the case of an employee transferred to a grocery establishment subject to a change in control, that employee’s total length of continuous employment in any of the incumbent grocery employer’s grocery establishments.

§ 7-404 Recordkeeping.

(a) Grocery employers must retain records demonstrating compliance with the requirements of the Grocery Worker Retention Act for a period of three years unless otherwise required by any other law, rule, or regulation.
  1. Incumbent grocery employers must maintain, in an accessible format, contemporaneous, true, and accurate records that document:

   (1) The list of eligible grocery employees required under section 22-507(b)(1)(A) of the Administrative Code, the date the list was provided to the successor grocery employer, and written proof that the list was provided to the successor grocery employer; and

   (2) The notice of change in control required under section 22-507(b)(1)(B) of the Administrative Code, the date it was posted, and proof of posting.

  1. Successor grocery employers must maintain, in an accessible format, contemporaneous, true, and accurate records that document:

   (1) The list of eligible grocery employees received by the successor grocery employer pursuant to section 22-507(b)(1)(A) of the Administrative Code and the date it was received, and the names of those eligible employees retained for the transitional employment period pursuant to section 22-507(b)(2) of the Administrative Code;

   (2) The preferential hiring list required under section 22-507(b)(3) of the Administrative Code, the date eligible employees on the preferential hiring list were given the right of first refusal to jobs that become available during the transitional employment period, and proof that the right of first refusal was given; and

   (3) The written performance evaluations as required under section 22-507(b)(5) of the Administrative Code.

§ 7-405 Enforcement.

(a) If the grocery employer fails to timely respond to, written request for information or records from the department, a grocery employer must provide the department with access to records and at a mutually agreeable time of day at the employer's place of business.
  1. The department will make two attempts by any combination of letter, email, or telephone to arrange a mutually agreeable time of day for the grocery employer to provide access to its records in accordance with subdivision (b) of this section. If these attempts are not successful, the department may set a time to access records at the grocery employer’s place of business during regular business hours, upon two days’ notice to the grocery employer.
  2. The grocery employer may cure a notice of violation issued to a grocery employer for failure to provide requested information, records or access to records as required by 6 RCNY § 7-405 without penalty by producing the requested information or records on or before the first scheduled hearing date.
  3. The department may settle a complaint at any time prior to the conclusion of an adjudication. Prior to settling any complaint filed by an eligible grocery employee, pursuant to Section 22-507(d)(1), the department shall provide each complainant with notice of the proposed settlement.
  4. A complainant who intends to opt out of a settlement, pursuant to Section 22-507(d)(1)(E) of the Administrative Code must do so in writing to the department. A complainant who intends to withdraw his or her complaint with the department, pursuant to Section 22-507(d)(2) of the Administrative Code must do so in writing to the department prior to bringing a civil action.

Subchapter E: Freelance Workers

§ 7-501 Definitions.

(a) As used in this chapter, the terms “director,” “freelance worker,” and “hiring party” shall have the same meanings as set forth in Section 20-927 of the Administrative Code.
  1. As used in this chapter, the term “adverse action” means any action by a hiring party, their actual or apparent agent, or any other person acting directly or indirectly on behalf of a hiring party, that would constitute a threat, intimidation, discipline, harassment, denial of a work opportunity, or discrimination, or any other act that penalizes a freelance worker for, or is reasonably likely to deter a freelance worker from, exercising or attempting to exercise any right guaranteed under Chapter 10 of Title 20 of the Administrative Code (“the Freelance Isn’t Free Act”).

§ 7-502 Coverage.

A freelance worker is entitled to the protections of the Freelance Isn’t Free Act regardless of immigration status.

§ 7-503 Contract Value.

(a) For purposes of Section 20-928(a) of the Administrative Code, the value of a contract between a freelance worker and hiring party, either by itself or when aggregated with all other agreements for services between the same hiring party and freelance worker during the 120 days immediately preceding the agreement that constitutes the contract, shall include the reasonable value of all actual or anticipated services, costs for supplies, and any other expenses under the contract.
  1. For purposes of Section 20-933(b) of the Administrative Code, the value of the underlying contract between a freelance worker and hiring party shall include the reasonable value of all services performed and/or anticipated, and reasonable costs for supplies and any other expenses reasonably incurred by the freelance worker.

§ 7-504 Retaliation.

(a) Retaliation shall include but is not limited to any adverse action relating to perceived immigration status or work authorization.
  1. A freelance worker may establish a causal connection between the exercise of rights guaranteed under the Freelance Isn’t Free Act and a hiring party’s adverse action either circumstantially, such as with evidence that the protected activity was followed closely by the adverse action, or directly, with evidence of an intention by a hiring party to retaliate against a freelance worker. For purposes of Section 20-930 of the Administrative Code, retaliation may be established when a freelance worker shows that the exercise or attempt to exercise any right under the Freelance Isn’t Free Act was a motivating factor for an adverse action, even if other factors also motivated the adverse action.
  2. Any person who denies a work opportunity to a freelance worker who exercises or attempts to exercise any right guaranteed under the Freelance Isn’t Free Act, or that takes any action reasonably likely to deter a freelance worker from exercising or attempting to exercise any such right, shall be liable for retaliation regardless of whether that person previously has been a party to a contract with the freelance worker or has been the subject of a complaint by the freelance worker.

§ 7-505 Waivers of Rights.

(a) Any contract entered into by a hiring party and freelance worker shall not include any prospective waiver or limitation of rights under the Freelance Isn’t Free Act. Any such waiver or limitation shall be invalid as a matter of law.
  1. If a contract includes language that waives or limits a freelance worker’s right to participate in or receive money or any other relief from any class, collective, or representative proceeding, said waiver or limitation is void.
  2. Wherever a hiring party asks a freelance worker to waive or limit, via contract, any other procedural right normally afforded to a party in a civil or administrative action, any such contractual waivers and limitations are void under Section 20-935 of the Administrative Code. Such rights include but are not limited to procedural rights of parties to a civil action established by the New York Civil Practice Law and Rules, the Federal Rules of Evidence, and the Federal Rules of Civil Procedure.
  3. A freelance worker has the right to disclose the terms of a contract with a hiring party to the director. Any private contractual agreement that purports to waive or limit a freelance worker’s right to communicate the terms of such a contract to the director is void as against public policy

Subchapter F: Fair Workweek

§ 7-601 Definitions

(a) As used in Title 20, Chapter 12 of the New York City Administrative Code and this subchapter, the following terms have the following meanings, except as otherwise provided:

   “Actual hours worked” means the number, dates, times and locations of hours worked by an employee for an employer, whether or not such hours differ from the work schedule provided in advance.

   “Additional shift” is a shift not previously scheduled that would be offered to a new fast food employee but for the requirements of Section 20-1241 of the Fair Workweek Law.

   “Clopening” means two shifts with fewer than 11 hours between the end of the first shift and the beginning of the second shift when the first shift ends the previous calendar day or spans two calendar days.

   “Current fast food employee” as that term is used in Section 20-1241 of the Fair Workweek Law and these rules means a fast food employee who has worked at least eight hours in the preceding 30 days or is otherwise currently on the fast food employer’s payroll.

   “Dates” as that term is used in subdivision (a) of Section 20-1221 of the Fair Workweek Law means days of the week.

   “Directly notify” as that term is used in subdivision (b) of Section 20-1252 of the Fair Workweek Law means to deliver to an individual employee.

   “Engaged primarily in the sale of consumer goods” as that term is used in the definition of “retail employer” in Section 20-1201 of the Fair Workweek Law means greater than fifty percent of sale transactions in a calendar year at one or more locations in the City are to retail consumers.

   “Fair Workweek Law” means Chapter 12 of Title 20 of the Administrative Code of the City of New York.

   “Good faith estimate” means the number of hours a fast food employee can expect to work per week for the duration of the employee’s employment and the expected days, times, and locations of those hours.

   “New fast food employee” means an employee who has not worked at least eight hours in the preceding 30 days for the fast food employer.

   “Overtime pay” means payment (i) at a rate not less than one and one-half times the fast food employee’s regular rate of pay under subsection (a) of Section 207 of Title 29 of the United States Code; or (ii) at a rate governed by the overtime requirements of the labor law or the overtime requirements of any minimum wage order promulgated by the New York commissioner of labor, pursuant to labor law article 19 or 19-A.

   “Premium pay” means a schedule change premium required, pursuant to Section 20-1222 of the Fair Workweek Law or the payment a fast food employer is required to pay to a fast food employee who works a “clopening”, pursuant to Section 20-1231 of the Fair Workweek Law.

   “Retail consumer” means an individual who buys or leases consumer goods and that individual’s co-obligor or surety. Retail consumer shall not include manufacturers, wholesalers, or others who purchase or lease consumer goods for resale as new to others.

   “Salaried” means not covered by the overtime requirements of New York state law or regulations.

   “Shift” means an on-call shift or a regular shift.

   “Shift increment” means a portion of a shift.

   “Subset of shifts” means one or more shifts or shift increments.

   “Time” as that term is used in Section 20-1221(a) of the Fair Workweek Law regarding good faith estimate means start and end times of shifts.

  1. As used in this subchapter, the following terms have the same meanings as set forth in Section 20-1201* of the Fair Workweek Law: “fast food employee,” “fast food employer,” “fast food establishment,” “on-call shift,” “regular shift,” “retail employee,” “retail employer,” “schedule change premium,” “work schedule.”

*Editor’s note: The original rule cited Section 12-1201 of the Fair Workweek Law; cite corrected at the discretion of the editor.

§ 7-602 Notice of rights

The notice of rights required to be posted, pursuant to Section 20-1205 of the Fair Workweek Law shall be printed on and scaled to fill an 11x17 inch sheet of paper.

§ 7-603 Good faith estimate

(a) If a fast food employer makes a long-term or indefinite change to the good faith estimate that has been provided to a fast food employee, the fast food employer shall provide an updated good faith estimate to the fast food employee as soon as possible and before the fast food employee receives the first work schedule following the change.
  1. For purposes of this Section and Section 20-1221 of the Fair Workweek Law, “long-term or indefinite change” includes, but is not limited to:

   i. Three work weeks out of six consecutive work weeks in which the number of actual hours worked differs by twenty percent from the good faith estimate during each of the three weeks;

   ii. Three work weeks out of six consecutive work weeks in which the days differ from the good faith estimate at least once per week;

   iii. Three work weeks out of six consecutive work weeks in which the start and end times of at least one shift per week differs from the good faith estimate by at least one hour and the total number of hours changed for the six week period is at least six hours; or

   iv. Three work weeks out of six consecutive work weeks in which the locations differ from the good faith estimate at least once per week.

  1. Each occurrence of a long-term or indefinite change for which a fast food employer fails to provide an updated good faith estimate before such employee receives the first work schedule following the change constitutes a violation of Section 20-1221(a) of the Fair Workweek Law.

§ 7-604 Work schedules

(a) On or before a fast food employee’s first day of work, a fast food employer must provide such fast food employee with written notice of an initial work schedule containing all regular shifts and all on-call shifts the fast food employee will work until the start of the first shift of the next subsequent work schedule. The fast food employer must also issue an updated work schedule as required in paragraph (2) of subdivision (c) of Section 20-1221* of the Fair Workweek Law.

*Editor’s note: The original rule cited Section 1221 of the Fair Workweek Law; cite corrected at the discretion of the editor.

  1. A work schedule provided, pursuant to Section 20-1252 of the Fair Workweek Law must span a period of no less than seven days.

§ 7-605 Posted notice of schedules

A fast food or retail employer may not post or otherwise disclose to other fast food or retail employees the work schedule of a fast food or retail employee who has been granted an accommodation based on the employee’s status as a survivor of domestic violence, stalking, or sexual assault, where such disclosure would conflict with such accommodation.

§ 7-606 Employee consent and minimal changes to shifts

(a) Where a fast food employee’s written consent is required to work additional hours, pursuant to subdivision (d) of Section 20-1221 of the Fair Workweek Law or where a retail employee’s written consent is required to work an additional shift with less than 72 hours’ notice, pursuant to paragraph (3) of subdivision (d) of Section 20-1251 of the Fair Workweek Law, such written consent must be provided in reference to a specific schedule change; general or ongoing consent is insufficient to meet such requirements.
  1. A fast food employer may change a previously scheduled regular shift by 15 minutes or less without being obligated to pay the fast food employee a schedule change premium. A fast food employer will be obligated to pay the fast food employee a schedule change premium if total changes made to one shift exceed 15 minutes.

Example: A fast food employer provides a fast food employee with a schedule that includes a shift on Tuesday from 12:00 P.M. to 5:00 P.M. At approximately 5:00 P.M. on Tuesday, the fast food employer asks the fast food employee to work a few minutes more to assist with a large tour group that just came to the fast food establishment. She agrees in writing and finishes the work at 5:12 P.M. The fast food employer need not pay her the schedule change premium.

§ 7-607 Notice and offer of additional shifts

(a) A fast food employer must notify a fast food employee in writing of the method by which additional shifts will be posted in accordance with Section 20-1241 of the Fair Workweek Law upon commencement of a fast food employee’s employment with the fast food employer and within 24 hours of any change to or adoption of a method.
  1. The fast food employer must post notice of additional shifts for three consecutive calendar days. When a fast food employer has less than three days’ notice of a need to fill an additional shift, the fast food employer shall post notice of the additional shift for three consecutive calendar days as soon as practicable and not more than 24 hours after finding out about the need to fill the shift. Where there is less than three days’ notice, any existing fast food employee may be offered, on a temporary basis, additional shifts that take place prior to the conclusion of the three-day notice period.

Example: On Wednesday at 9:00 A.M., a fast food employer receives a call from a fast food employee who tells her that she is quitting and she will not report for her regularly scheduled shift on Friday at 9:00 A.M. The fast food employer knew of the need to fill the shift 48 hours (or two days) in advance. The fast food employer may offer another existing fast food employee the shift on the first Friday, but must post the available shift with three days’ notice to its employees and assign subsequent Friday 9:00 A.M. shifts to its existing fast food employees in accordance with its criteria in accordance with Section 20-1241 of the Fair Workweek Law and this subchapter before hiring a new employee.

  1. A fast food employer that owns 50 or more fast food establishments in New York City may offer additional shifts, in accordance with subdivisions (a), (b), (f) and (g) of Section 20-1241 of the Fair Workweek Law and in compliance with subdivision (b) of this section, to: (1) fast food employees who work at all locations in New York City, or (2) only to its fast food employees who work at its fast food establishments located in the same borough as the location where the shifts will be worked.
  2. As soon as possible after a fast food employer has filled an additional shift, and using the same method compliant with Section 20-1241 of the Fair Workweek Law by which the fast food employer communicated the offer of additional shifts, the fast food employer must notify all accepting fast food employees when the offered shift has been filled.

§ 7-608 Accepting and awarding additional shifts

(a) A fast food employee may accept a subset of additional shifts offered by a fast food employer, pursuant to Section 20-1241 of the Fair Workweek Law.
  1. A fast food employer must first award shifts or shift increments to current fast food employees at the location where the shifts will be worked, regardless of the employer’s other criteria prescribed, pursuant to subdivision (b) of Section 20-1241 of the Fair Workweek Law.
  2. A fast food employee may accept an entire shift offered by a fast food employer or any shift increment. A fast food employer is not required to award a fast food employee a shift increment accepted by the fast food employee when the remaining portion of the shift is three hours or less and was not accepted by another fast food employee or other fast food employees.

Example: A fast food employer notified employees of an additional shift on Saturdays from 1:00 P.M. to 9:00 P.M., an eight-hour shift. A fast food employee informs the employer that she can work from 3:00 P.M. to 9:00 P.M., a six-hour shift increment. Two hours remain in the additional shift and no other employee accepted the remaining two hours. Therefore, the employer need not award the six-hour increment to the employee.

  1. When a fast food employee accepts a shift that was offered by a fast food employer, pursuant to Section 20-1241 of the Fair Workweek Law that overlaps with the fast food employee’s existing shift, before hiring a new fast food employee for the offered shift, the fast food employer must award the fast food employee the offered shift in lieu of the fast food employee’s scheduled shift. The fast food employer may not condition the award of the offered shift on a fast food employee’s willingness to work both the non-overlapping hours of the existing shift and the offered shift.

Example: A fast food employee’s work schedule includes a shift on Mondays from 7 am to 3 pm. The fast food employer notifies employees of an additional shift on Mondays from 9:00 A.M. to 5:00 P.M., a shift that overlaps with the fast food employee’s existing shift. The fast food employee accepts the shift because it will allow the employee to drop the employee’s child off at school in the morning without reducing the employee’s overall hours. The fast food employer must award the additional shift to the fast food employee before hiring a new fast food employee for the additional shift, provided the fast food employee otherwise meets the employer’s criteria for distribution of the shift.

  1. When a fast food employee accepts a shift that was offered by a fast food employer, pursuant to Section 20-1241 of the Fair Workweek Law that, if awarded to and worked by the fast food employee, would entitle the fast food employee to overtime pay, the fast food employer is not required to award the fast food employee the entire shift but, before hiring a new fast food employee for the entire offered shift, must award the fast food employee the largest shift increment possible that would not trigger overtime pay, provided that the remaining portion of the shift was accepted by another fast food employee or is three hours or more.

Example: A fast food employer offers a shift on Wednesday from 12:00 A.M. to 6:00 A.M. to its employees. A fast food employee who is scheduled to work 37 hours during the week accepts the additional shift. The employer must award at least three hours to the fast food employee but is not required to award the entire six-hour shift to the employee because working more than forty hours would result in the employee becoming eligible for overtime pay.

§ 7-609 Employer records

(a) Fast food and retail employers must maintain and retain, in an electronically accessible format, contemporaneous, true, and accurate records documenting compliance with the requirements of the Fair Workweek Law for a period of three years.

   1. Such records shall include documents that show:

      i. Actual hours worked by each employee each week;

      ii. An employee’s written consent to any schedule changes, where required; and

      iii. Each written schedule provided to an employee.

   2. Additionally, fast food employers must also maintain records in accordance with this subdivision that include documents that show:

      i. Good faith estimates provided to employees, pursuant to Section 20-1221(a) of the Fair Workweek Law; and

      ii. Premium pay to individual fast food employees and the dates and amounts of the payments, whether noted on an employee’s wage stub or other form of written documentation.

  1. Upon request, a fast food or retail employer must provide a fast food or retail employee with such employee’s work schedule for any previous week worked for the past three years within 14 days of the employee’s request.
  2. Upon request, a fast food or retail employer must provide a fast food or retail employee with the most current version of the complete work schedule for all employees who work at the same location within one week of the employee’s request, provided that an employer not disclose the work schedule of any employee who has been granted an accommodation based on the employee’s status as a survivor of domestic violence, stalking, or sexual assault, where such disclosure would conflict with such accommodation.

§ 7-610 Private right of action

(a) A person who filed a complaint with the office, pursuant to the Fair Workweek Law and who intends to withdraw the complaint to pursue a civil action shall withdraw the complaint in writing to the office prior to commencing a civil action that includes claims based on the Fair Workweek Law in accordance with paragraph (2) of subdivision (d) of Section 20-1211 of the Fair Workweek Law.
  1. A person who filed a civil action that includes any claims based on the Fair Workweek Law may file a complaint with the office upon a showing that the Fair Workweek Law claims in the civil action have been withdrawn or dismissed without prejudice to further action.
  2. The withdrawal of a complaint filed with the office or the commencement of a civil action by a person does not preclude the office from investigating the fast food or retail employer, or commencing, prosecuting, or settling a case against the employer based on some or all of the same violations.

§ 7-611 Waiver of rights

Any agreement by an employee with the intent to prospectively waive or limit the employee’s rights, pursuant to the Fair Workweek Law shall be invalid as a matter of law.

Subchapter G: Pay Deductions

§ 7-701 Definitions

(a) As used in Title 20, Chapter 13 of the New York City Administrative Code and this subchapter, the following terms have the following meanings:

   “Contact” means “contact person” as defined by this subchapter.

   “Signature” means an original, handwritten signature or an electronic signature.

  1. As used in this subchapter, the following terms have the following meanings:

   “Contact person” means the not-for-profit employee or agent responsible for processing authorizations and requests to revoke authorizations.

   “Electronic signature” means a computer data compilation of any symbol or series of symbols executed, adopted, or authorized by a natural person attached to or logically associated with an electronic record and executed or adopted by a natural person with the intent to sign the record. An electronic signature is considered to be “attached to or logically associated with an electronic record” if the electronic signature is linked to the record during transmission and storage.

   “Pay Deductions Law” means Title 20, Chapter 13 of the New York City Administrative Code.

   “Valid authorization” means a written authorization from a fast food employee to deduct wages from the fast food employee’s paycheck for remittance to a not-for-profit that complies with Section 20-1302 of the New York City Administrative Code and 6 RCNY §§ 7-702 and 7-703.

  1. As used in this subchapter, the following terms have the same meaning as set forth in Section 20-1301 of the Pay Deductions Law: “fast food employee,” “fast food employer,” “fast food establishment,” “not-for-profit,” and “office.”

§ 7-702 Valid authorization

(a)  A valid authorization must contain the following: (i) the relevant fast food employee’s signature and date that the authorization was signed by the fast food employee; (ii) the fast food employee’s name and physical address; (iii) the amount, frequency, and start date of the contribution; (iv) the name, physical address, email address, web address, if any, and phone number of the not-for-profit; (v) the contact person’s title, telephone number, and email address; and (vi) a statement notifying the fast food employee that contributions are voluntary and that the authorization to deduct wages is revocable at any time by submitting a written revocation to the not-for-profit or contact person.
  1. The statement that an employee may revoke an authorization at any time must be immediately followed by the contact person’s title and not-for-profit’s email address.
  2. Valid authorizations shall be effective with respect to any fast food employer that succeeds another fast food employer in ownership or control of a fast food establishment, whether through merger, pledge, transfer, sale, assignment, operation of law, or otherwise.
  3. A valid authorization may be transmitted to a not-for-profit or a fast food employer by personal delivery, mail, facsimile, email, or other means of electronic transmission.

§ 7-703 Electronic authorization to deduct and remit wages

(a) The use of an electronic signature shall have the same validity and effect as the use of a handwritten signature. Each electronic signature shall be unique to one individual.
  1. Each individual shall have a single electronic signature.
  2. Submission of an electronic signature must include verification that the individual is a natural person.
  3. Before a not-for-profit establishes, assigns, certifies or otherwise sanctions an individual’s electronic signature, or any element of such electronic signature, the not-for-profit must send the individual a confirmation of receipt of the authorization by email. Such confirmation must include a copy of the valid authorization electronically signed by the fast food employee.

§ 7-704 Authorization to deduct and remit wages

(a) A fast food employer must begin to deduct wages from a fast food employee’s pay check no later than the first pay period after 15 days following receipt of the valid authorization, and remit the deductions to the not-for-profit no later than 15 days after the deduction is made, provided that the not-for-profit has registered with the office and either the fast food employee or not-for-profit has provided a registration letter from the office to the fast food employer.
  1. A valid authorization or registration letter is presumed to have been received by the fast food employer upon the earlier of (i) the date the document is personally delivered to a managerial or supervisory employee or agent of the fast food employer, or (ii) 10 days following service on a managerial or supervisory employee or agent of the fast food employer by mail, email, or facsimile.
  2. A fast food employer must not begin deductions earlier than the start date of contribution a fast food employee indicates on an authorization.
  3. A not-for-profit that has not transmitted the valid authorization and registration to the fast food employer within 180 days of receiving a fast food employee’s valid authorization must, at least 10 days prior to transmitting the authorization and its registration to the fast food employer, send the fast food employee a letter by mail to the address indicated on the authorization or by email, if the not-for-profit has solicited the fast food employee’s email address, that includes (i) the date the not-for-profit plans to transmit the authorization and registration letter to the fast food employer, which must be no earlier than 10 days after the date that the letter to the fast food employee is mailed, (ii) the anticipated date by which deductions will begin, and (iii) the contact person’s title, telephone number, and email address.

§ 7-705 Required disclosures by not-for-profits to fast food employees

(a) The not-for-profit must provide a fast food employee with disclosures required by Section 20-1304(a) of the Pay Deductions Law no later than the time at which the fast food employee authorizes remittance of deductions to the not-for-profit.
  1. Required disclosures, pursuant to Section 20-1304(a) of the Pay Deductions Law must include a list of individuals who performed work for the not-for-profit within the 5 years preceding the date that the fast food employee signed the authorization and who also either (i) are or were trustees of the not-for-profit, or (ii) receive(d) more than $100,000 in compensation from the not-for-profit or a related organization in any single fiscal year. Such list must include the names and titles of such individuals.
  2. A not-for-profit may satisfy the requirements of Section 20-1304(a)(5) of the Pay Deductions Law by submitting the not-for-profit’s form 990 of the Internal Revenue Service of the United States Department of the Treasury or, if the not-for-profit did not file a form 990, another equivalent tax filing that reflects the not-for-profit’s funding, budget, and expenditures, for the three most recent tax years for which such form was filed.
  3. If a not-for-profit chooses to post its required disclosures on a single webpage, pursuant to Section 20-1304(b) of the Pay Deductions Law:

   i. The text on the webpage must be a sans serif font and in a minimum size of 12 point font; and

   ii. The URL for the webpage containing the required disclosures must be no more than 50 characters in length.

  1. A not-for-profit must not intentionally make materially false or misleading disclosures to fast food employees.

   i. A disclosure is “materially false” when it is both untrue and would have made a reasonable person more likely to contribute funds to the not-for-profit.

   ii. A disclosure is “misleading” when it is formatted, organized, arranged, or worded in such a way as to neutralize, conceal, or omit information that, if known by the fast food employee, would make a reasonable person less likely to contribute funds to the not-for-profit.

   iii. Disclosure of materially false or misleading information is “intentional” when the not-for-profit was aware that the information was materially false or misleading at the time of disclosure.

   iv. A not-for-profit must cure a materially false or misleading disclosure for each fast food employee who received the false or misleading disclosure within 30 days of being found in violation of this section or Section 20-1307(d) of the Pay Deductions Law by the office of administrative trials and hearings.

§ 7-706 Not-for-profit registration

(a) A not-for-profit must register with the office by providing the information required under Section 20-1303(a) of the Pay Deductions Law to the office by email or by personally delivering or mailing one or more CD-Rs or DVD-Rs to the office.
  1. Authorizations submitted, pursuant to Section 20-1303(a)(3) of the Pay Deductions Law must be signed no earlier than 270 days before the date the not-for-profit submits its registration to the office, pursuant to subdivision (a).
  2. Any of the following will constitute acceptable proof of status as an active not-for-profit for purposes of Section 20-1303(a)(2) of the Pay Deductions Law:

   i. A copy of an Internal Revenue Service affirmation or determination letter confirming the not-for-profit’s tax-exempt status issued to the not-for-profit within the 120 days preceding the letter’s submission to the office;

   ii. A letter from a state taxing body or a state attorney general certifying that the organization is a not-for-profit organization operating within the State and no part of its net earnings may lawfully benefit any private shareholder or individual, which is issued to the not-for-profit within the 120 days preceding the letter’s submission to the office for purposes of registration;

   iii. A certified copy of the not-for-profit’s certificate of incorporation or similar document if such document explicitly identifies the organization as an active not-for-profit, and such document was issued within the 120 days preceding its submission to the office for purposes of registration; or

   iv. Proof that the not-for-profit was listed in the Internal Revenue Service’s online database of organizations eligible to receive tax-deductible charitable contributions within the 120 days preceding submission to the office for purposes of registration.

  1. Either of the following will constitute acceptable proof that a not-for-profit has provided the required disclosures to a fast food employee, pursuant to Section 20-1304(a) of the Pay Deductions Law:

   i. Valid authorizations containing the URL of the webpage containing the required disclosures and screenshot(s) depicting each version of the webpage associated with the URL that is written on the authorization during the range of signature dates of the valid authorizations; or

   ii. A written acknowledgement of receipt of the required disclosures signed and dated by each fast food employee who signed the authorizations not covered by item (i) of this clause, submitted, pursuant to Section 20-1303(a)(3) of the Pay Deductions Law along with a copy of the writing containing the required disclosures or screenshot(s) depicting each version of the webpage provided to the fast food employees containing the required disclosures over the period covering the dates on the written acknowledgement of receipt.

  1. The office shall issue a registration letter to the not-for-profit confirming that it has met the conditions required for registration as soon as practicable and in no case more than 14 days after the office has determined that the requirements for registration have been met. A not-for-profit shall be considered registered upon the date of the registration letter from the office.

§ 7-707 Method of and costs associated with remitting deductions

(a) A not-for-profit must notify a fast food employer in writing of the method by which deductions authorized by fast food employees shall be remitted to the not-for-profit. Such method and its associated costs must be reasonable and consistent with standard deductions remittance practices for fast food employers, and, where possible, should be compatible with the fast food employer’s existing processes for remitting deductions. Subject to subdivision (b), the maximum amount per transaction per fast food employee that a fast food employer may charge a not-for-profit is $0.30. “Transaction” for purposes of this subsection means the act of both deducting and remitting wages.
  1. A fast food employer may seek an exemption from the maximum amount set forth in subdivision (a) by demonstrating to the office that the employer’s actual costs exceed that maximum amount.
  2. A fast food employer’s request to be reimbursed by the not-for-profit, pursuant to Section 20-1302(g) of the Pay Deductions Law must be made in writing and include the cost calculations prescribed in subdivision (d) of this section.
  3. Costs associated with deductions and remittances shall be calculated based on the actual costs to a fast food employer of making deductions from a fast food employee’s paycheck and remitting those deductions to the not-for-profit the fast food employee designated.
  4. Upon a not-for-profit’s request, a fast food employer remitting deductions to that not-for-profit organization, pursuant to this subchapter must simultaneously with the remittance provide the following information:

   1. Name of the fast food employer;

   2. For each fast food employee for whom the fast food employer is remitting:

      (i) name

      (ii) fast food establishment address

      (iii) home address

      (iv) phone number

      (v) an unique identifier that is distinct from the employee’s social security number or other personally identifiable information, and that is generated by the fast food employer, such as an employee identification number, if any

      (vi) email address, if any

      (vii) amount of deduction and

      (viii) date and payroll period of deduction;

   3. Name of any fast food employee who separated from employment with the fast food employer in the preceding payroll period who had authorized deductions, pursuant to this subchapter.

  1. Pursuant to Section 20-1302(g) of the Pay Deductions Law, a not-for-profit must reimburse a fast food employer as frequently as the fast food employer requests, provided that a not-for-profit need not honor a fast food employer’s request(s) to be reimbursed more frequently than every two weeks.

§ 7-708 Revocations

(a) A fast food employee’s revocation by mail, facsimile, email, or web submission to the not-for-profit or contact person will constitute a revocation in writing.
  1. If a fast food employee submits a revocation to a fast food employer instead of to the not-for-profit, the fast food employer must provide a copy of the revocation to the not-for-profit within five business days of receipt.
  2. For purposes of Section 20-1302(e) of the Pay Deductions Law, a revocation is presumed received by the fast food employer upon the earlier of (i) the date of delivery from the not-for-profit to the fast food employer, or, (ii) in the event that a fast food employee delivers the revocation to the fast food employer, the date the revocation is received by the not-for-profit.
  3. A not-for-profit must not submit an authorization that has been revoked in support of an application for a registration letter.

§ 7-709 Petition to re-examine or revoke a not-for-profit’s registration

(a) The term “interested party” as used in Section 20-1307(e) of the Pay Deductions Law shall include: any current or former fast food employee, any authorized representative of a current or former fast food employee, any fast food employer required to make deductions, pursuant to the Pay Deductions Law, any not-for-profit, any labor organization or employee organization as those terms are defined in Section 20-1310(b) of the Pay Deductions Law, and the New York State Attorney General.
  1. Petitions to re-examine or revoke a not-for-profit’s registration must be in writing, in the form of a letter addressed to the director, and sent to the office by mail, email, or facsimile.
  2. The office shall not register and shall revoke any previously issued registrations of not-for-profits that collect authorization cards or other documents related to membership in a labor organization or with respect to a showing of interest or vote for certification, decertification, or deauthorization of a labor organization, upon receiving proof that the not-for-profit is engaging in such activities.

§ 7-710 Retaliation

For purposes of Section 20-1306 of the Pay Deductions Law, the phrases “any right protected under this chapter” and “activities protected by this chapter” include, but are not limited to, the right to: sign an authorization, submit an authorization, revoke an authorization, file a complaint with the office, file and maintain a civil action based on the Pay Deductions Law, and communicate with any person regarding the above activities.

§ 7-711 Enforcement and penalties

(a) A fast food employee or a not-for-profit may file a complaint with the office alleging violations of the Pay Deductions Law by a fast food employer.
  1. A not-for-profit that files a complaint with the office must submit with its complaint a copy of the not-for-profit’s registration letter. The office shall dismiss a complaint filed by a not-for-profit if the not-for-profit’s complaint does not include a copy of its registration letter.
  2. Notwithstanding subdivision (b), the office shall investigate any complaint that alleges retaliation in violation of the Pay Deductions Law, regardless of whether the relevant not-for-profit has registered with the office.
  3. If, as a result of an investigation, the office determines that a fast food employee’s wages were deducted without a valid authorization or after such time as deductions should have ended, pursuant to a revocation, the fast food employer or not-for-profit that retains the deductions shall be liable for the reimbursement and interest prescribed, pursuant to Section 20-1307(c) of the Pay Deductions Law.
  4. A fast food employer found to be in violation of the Pay Deductions Law shall be liable for the civil penalties due, pursuant to Section 20-1307(b)(2)(b) of the Pay Deductions Law. Such civil penalties shall be imposed on a per fast food employee basis.

§ 7-712 Civil actions

(a) A fast food employee or not-for-profit who has filed a complaint with the office, pursuant to the Pay Deductions Law must withdraw the complaint in writing to the office prior to commencing a civil action that includes claims based on the Pay Deductions Law.
  1. A fast food employee or not-for-profit who has filed a civil action that includes any claims based on the Pay Deductions Law may file a complaint with the office upon a showing that the Pay Deductions Law claims in the civil action have been withdrawn or dismissed without prejudice to further action.
  2. The withdrawal of a complaint or the commencement of a civil action by a fast food employee or not-for-profit does not preclude the office from investigating a fast food employer, or commencing, prosecuting, or settling a case against a fast food employer.

§ 7-713 Pattern of violations

The phrase “pattern of such violations” in Section 20-1309 of the Pay Deductions Law shall include a failure to deduct or remit deductions for a particular fast food employee or group of fast food employees, or a failure to honor the revocation(s) of a particular fast food employee or group of fast food employees more than twice in a six month period.

§ 7-714 Recordkeeping

(a) Fast food employers must retain for at least two years copies of fast food employees’ wage statements issued, pursuant to state law requiring the notation of deductions.
  1. A written acknowledgement of receipt of the notice required, pursuant to Section 20-1302(h) of the Pay Deductions Law signed and dated by each fast food employee along with a copy of the distributed notice shall constitute adequate proof of distribution for purposes of Section 20-1305(a)(5) of the Pay Deductions Law.

§ 7-715 Waiver of Rights

Any agreement by a fast food employee with the intent to prospectively waive or limit the fast food employee’s rights, pursuant to the Pay Deductions Law shall be invalid as a matter of law.

Chapter 9: Prevailing Wage Law

Subchapter A: General

§ 9-01 Definitions.

(a) For purposes of this chapter, the following terms mean:

   Building Service Contractor. The term “Building Service Contractor” means any partnership, association, joint venture, limited liability company, corporation or any other form of doing business providing Building Service Work for a Covered Lessor or Covered Developer.

   Building Service Employee. The term “Building Service Employee” has the same meaning as set forth in the Prevailing Wage Law.

   Building Service Work. The term “Building Service Work” has the same meaning as set forth in the Prevailing Wage Law.

   Case. The term “Case” means an enforcement proceeding commenced by the Department before OATH based upon an alleged violation of the Prevailing Wage Law.

   City. The term “City” means the City of New York or any City Economic Development Entity.

   City Economic Development Entity. The term “City Economic Development Entity” has the same meaning as set forth in the Prevailing Wage Law.

   City Development Project. The term “City Development Project” has the same meaning as set forth in the Prevailing Wage Law.

   Commissioner. The term “Commissioner” means the Commissioner of the Department or his or her designee.

   Comptroller. The term “Comptroller” means the Office of the Comptroller of the City of New York.

   Covered Employer. The term “Covered Employer” means any Covered Lessor or Covered Developer.

   Covered Developer. The term “Covered Developer” has the same meaning as set forth in the Prevailing Wage Law.

   Covered Lessor. The term “Covered Lessor” has the same meaning as set forth in the Prevailing Wage Law.

   Department. The term “Department” means the New York City Department of Consumer Affairs.

   Financial Assistance. The term “Financial Assistance” has the same meaning as set forth in the Prevailing Wage Law.

   Lease. The term “Lease” has the same meaning as set forth in the Prevailing Wage Law.

   Payroll Records. The term “Payroll Records” means all time cards, cancelled checks, cash receipts, books, documents, schedules, forms, reports, receipts or other evidence that reflect job assignments, work schedules by days and hours, and the disbursement of funds to an employee by cash, check, or in any other form or manner.

   Person. The term “Person” means any individual, sole proprietorship, partnership, association, joint venture, limited liability company, corporation or any other form of doing business.

   Prevailing Wage. The term “Prevailing Wage” has the same meaning as set forth in the Prevailing Wage Law.

   Prevailing Wage Law. The term “Prevailing Wage Law” means Section 6-130 of Chapter 1 of Title 6 of the New York City Administrative Code, entitled “Prevailing Wage for Building Service Employees in City Leased or Financially Assisted Facilities.”

  1. Other Terms. The terms “Administrative Law Judge,” “OATH,” “Petition,” “Petitioner,” and “Respondent” have the same meanings as set forth in 48 RCNY § 1-01.

§ 9-02 Compliance by Building Service Contractors.

Every Covered Employer must require that all Building Service Contractors pay no less than the prevailing wage to all such Building Service Contractors’ employees performing Building Service Work at the premises to which a lease pertains or in connection with a City Development Project.

§ 9-03 Employee Notices.

(a) Within 15 days after the City provides copies of the adjusted employee notices required by the Prevailing Wage Law, Covered Employers must post the notices in a prominent and accessible location and deliver the notices to all Building Service Employees at each work location. Prominent and accessible locations for posting of the notice include areas frequented by employees such as break rooms, pantries and employee lounges. Covered Employers must promptly replace any posted notice that is damaged, defaced, illegible or removed for any reason.
  1. The notices must be delivered to employees in a manner that reasonably ensures that employees receive the notice, including delivery by the Covered Employer by hand, electronic mail or certified mail, return receipt requested.
  2. Covered Employers must post and deliver versions of the notices in English, Spanish and any other languages that are spoken by Building Service Employees at each work location if the City has prepared forms of the notice in those languages and provided them to the Covered Employer. The City may make copies of the notice available to Covered Employers on one or more websites maintained by the City.

§ 9-04 Records.

(a) Employee Notices. Covered Employers must maintain written records of their delivery of the employee notices required by the Prevailing Wage Law. Acceptable records include logs with signed employee acknowledgments, and/or email receipts reflecting delivery of the notices. Failure to maintain these records shall create a rebuttable presumption that the Covered Employer did not deliver the required notices to the Building Service Employees.
  1. Building Service Contracts. Covered Employers must maintain copies of all agreements with Building Service Contractors.
  2. Employee Claims. Covered Employers must maintain all records related to any complaint or any pending, threatened, or resolved legal action or grievance by or from any employee concerning the Prevailing Wage Law.
  3. Termination or Adverse Employment Action. Covered Employers must maintain all records related to the discharge, demotion, suspension, reduction of hours, or other adverse employment action against any employee subject to the Prevailing Wage Law. Failure to maintain these records shall create a rebuttable presumption that any adverse employment action was in retaliation for the applicable employee exercising his or her rights under the Prevailing Wage Law.
  4. Obligation to Produce on Demand. Covered Employers must furnish copies of any of the records specified in this section to the City within 15 days of a request by the City.
  5. Retention Period. Covered Employers must retain all records specified in this section for six years after the applicable Building Service Work is performed.

§ 9-05 Employee Addresses.

Covered Employers must provide the Department with the name and last known address of all employees subject to the Prevailing Wage Law within 15 days of a request by the Department.

Subchapter B: Construction

§ 9-10 Successors and Assignees.

The definition of the term “Covered Developer” set forth in section 8 of subdivision a of the Prevailing Wage Law shall be construed to include any successor in interest, whether through merger, pledge, transfer, assignment, operation of law or otherwise, of any Covered Developer.

§ 9-11 Building Service Work.

For purposes of the Prevailing Wage Law, “Building Service Work” shall be construed to include occupations relating to the collection of garbage or refuse, the transportation of office furniture and equipment, and the delivery of fossil fuel.

Subchapter C: Enforcement

§ 9-20 Cure Notice.

(a) Prior to commencing a Case, the Department shall deliver a written notice to the applicable Covered Employer informing the Covered Employer that the Department may commence a Case unless the Covered Employer demonstrates, to the reasonable satisfaction of the Department, within 30 days, that the Covered Employer has cured its violations of the Prevailing Wage Law. The notice shall indicate that the Covered Employer may contact the Department if it wishes to settle the alleged violation(s) of the Prevailing Wage Law, and note that any settlement is at the discretion of the Department.
  1. Cure may be in the form of (1) payment of back wages or the monetary value of health benefits withheld, including interest from the date of the underpayment to the Building Service Employee; (2) payment of civil penalties pursuant to the Prevailing Wage Law; (3) filing or disclosure of any records that were not filed or made available to the public; (4) reinstatement or other appropriate relief for any employee subjected to retaliation or discrimination in violation of the Prevailing Wage Law; or (5) any other relief reasonably calculated to remedy the violation of the Wage Laws. The Department may, in its discretion, extend the time for the Covered Employer to cure.

§ 9-21 Petition.

(a) Charges in Petition. The Department shall commence Cases by service and filing of a Petition in accordance with 48 RCNY § 1-23. The Department shall concurrently serve a copy of the Petition on any employee complainants.
  1. Delivery of Complaint. Concurrent with service of a Petition, the Department shall deliver copies to the Respondent of any employee complaints concerning the Respondent’s alleged non-compliance with the Prevailing Wage Law.

§ 9-22 Settlements.

(a) General. The Department may settle a complaint at any time after it is referred to the Department. The Department is authorized to determine the terms of settlement, taking into account (1) the facts of the complaint, (2) the interests of the City in ensuring compliance with the Prevailing Wage Law, (3) the interests of the complainant(s), (4) the Covered Employer's history of compliance with the Prevailing Wage Law, (5) the size of the Covered Employer, (6) the good faith of the Covered Employer, (7) the Covered Employer's compliance with record-keeping and notice requirements, and (8) any other factors relevant to achieving a fair and reasonable settlement. Prior to settling any complaint, the Department shall provide each complainant with notice of the proposed settlement.
  1. Filing of Settlement Agreements. Every agreement settling a Case, complaint or investigation shall be in writing and shall be deemed an “order” for purposes section 7 of subdivision d of the Prevailing Wage Law.
  2. Complainants. The Department may settle a complaint or Case with a Covered Employer with or without the consent of the applicable complainant(s). The Department may dismiss a Case in the event the complainant refuses to accept the relief in a proposed settlement, but such dismissal shall not preclude a complainant from commencing a civil action.
  3. Private Settlements. A complainant and a Covered Employer may resolve a complaint through a private settlement without authorization from the Department, but the settlement shall not preclude (1) the Department from commencing, prosecuting or settling a Case concerning the complaint or other potential violations by the Covered Employer of the Prevailing Wage Law, or (2) the City or City Economic Development Entity from enforcing its remedies under any agreement or lease with the Covered Employer.

§ 9-23 Order and Determination.

(a) Decision on the Record. Notwithstanding any provision to the contrary in 48 RCNY § 1-51.1, Administrative Law Judges shall issue a decision on the record in all Cases. Provided that no party has commenced a challenge to the decision pursuant to Article 78 of the Civil Practice Law and Rules of New York, and the time to commence such a challenge shall have expired, the decision shall constitute an "order" for purposes of this chapter and section 7 of subdivision d of the Prevailing Wage Law.
  1. Judicial Challenge. If a party commences a timely challenge to a decision on the record, then the final, non-appealable disposition of the appeal, whether by order of a court of competent jurisdiction or settlement, shall constitute an “order” for purposes of this chapter and section 7 of subdivision d of the Prevailing Wage Law.
  2. Entry of Order. If an order (including any settlement deemed to be an order for purposes of this chapter) sustains some or all of the charges in the Petition, and provided that (1) the Person found violating the Prevailing Wage Law has failed to comply with the payment or other terms of the order, and (2) no proceeding for judicial review is pending and the time for initiation of such proceeding has expired, the Department shall, as soon as is practicable, file a copy of the order with the clerk of the county of residence or place of business of the Respondent.

§ 9-24 Calculation of Back Wages.

If a Covered Employer has failed to maintain original Payroll Records as required by the Prevailing Wage Law, an Administrative Law Judge may determine the amount of the unpaid wages and benefits based on the Payroll Records and other evidence that are available, making reasonable inferences based upon the customary staffing practices of, and wages and benefits paid by, the Covered Employer.

§ 9-25 Private Right of Action.

The commencement or pendency of a civil action by one or more employees of a Covered Employer for violation the Prevailing Wage Law shall not preclude the Department from commencing, prosecuting or settling a Case against the Covered Employer based upon some or all of the same violations.

§ 9-26 Other Appropriate Relief.

For purposes of section 4 of subdivision d of the Prevailing Wage Law, “other appropriate relief” shall include an order to (i) reinstate an employee or offer the employee a position comparable to their former position, (ii) reverse any adverse employment action, including demotion, reassignment or reduction in hours, (iii) cease retaliatory practices and institute measures to prevent such conduct in the future, (iv) pay the wages and, if applicable, the monetary equivalent of the benefits that the employee subjected to retaliation or discrimination would have been granted or paid but for the adverse employment actions by the Covered Employer, or (v) pay additional amounts to the extent necessary to compensate employees for additional tax liability resulting from a lump sum payment of back wages in a single year.

Chapter 11: Living Wage Law

Subchapter A: General

§ 11-01 Definitions.

(a) For purposes of this chapter, the following terms mean:

   Additional Covered Employer. The term “Additional Covered Employer” has the same meaning as set forth in the Living Wage Executive Order.

   Case. The term “Case” means an enforcement proceeding commenced by the Department before OATH based upon an alleged violation of the Living Wage Law and the Living Wage Executive Order.

   City. The term “City” means the City of New York or any City Economic Development Entity.

   City Economic Development Entity. The term “City Economic Development Entity” has the same meaning as set forth in the Living Wage Law.

   Commissioner. The term “Commissioner” means the Commissioner of the Department or his or her designee.

   Comptroller. The term “Comptroller” means the Office of the Comptroller of the City of New York.

   Covered Employer. The term “Covered Employer” has the same meaning as set forth in the Living Wage Law.

   Department. The term “Department” means the New York City Department of Consumer Affairs.

   Employee. The term “Employee” means any person employed by a Covered Employer or an Additional Covered Employer. This definition includes persons performing work on a full-time, part-time, temporary or seasonal basis, and includes employees, independent contractors, and contingent or contracted workers, including persons made available to work through the services of a temporary services, staffing or employment agency or similar entity. Provided, however, that if the financial assistance is targeted to particular real property, then only persons employed at the real property to which the financial assistance pertains shall be deemed employees.

   Financial Assistance. The term “Financial Assistance” has the same meaning as set forth in the Living Wage Law.

   Living Wage. The term “Living Wage” has the same meaning as set forth in the Living Wage Law.

   Living Wage Executive Order. The term “Living Wage Executive Order” means Executive Order No. 7 of 2014, dated September 30, 2014, entitled “Living Wage for City Economic Development Projects.”

   Living Wage Law. The term “Living Wage Law” means Section 6-134 of Chapter 1 of Title 6 of the New York City Administrative Code, entitled “Living Wage for Employees in City Financially Assisted Facilities.”

   Payroll Records. The term “Payroll Records” means all time cards, cancelled checks, cash receipts, books, documents, schedules, forms, reports, receipts or other evidence that reflect job assignments, work schedules by days and hours, and the disbursement of funds to an employee by cash, check, or in any other form or manner.

  1. Other Terms. The terms “Administrative Law Judge,” “OATH,” “Petition,” “Petitioner,” and “Respondent” have the same meanings as set forth in 48 RCNY § 1-01.

§ 11-02 Compliance by Covered Employers and Additional Covered Employers.

Every Covered Employer and Additional Covered Employer must pay their Employees no less than the Living Wage.

§ 11-03 Employee Notices.

(a) Covered Employers and Additional Covered Employers must post the notices required by the Living Wage Law in a prominent and accessible location and deliver the notices to all Employees at each work location. Prominent and accessible locations for posting of the notice include areas frequented by Employees such as break rooms, pantries and employee lounges. Covered Employers and Additional Covered Employers must promptly replace any posted notice that is damaged, defaced, illegible or removed for any reason.
  1. The notices must be delivered to Employees in a manner that reasonably ensures that Employees receive the notice, including delivery by the Covered Employer or Additional Covered Employer by hand, electronic mail or certified mail, return receipt requested.
  2. Covered Employers and Additional Covered Employers must post and deliver versions of the notices in English, Spanish and any other languages that are spoken by Employees at each work location if the City has prepared forms of the notice in those languages and provided them to the Covered Employer or Additional Covered Employer. The City may make copies of the notice available to Covered Employers and Additional Covered Employers on one or more websites maintained by the City.

§ 11-04 Records.

(a) Employee Notices. Covered Employers and Additional Covered Employers must maintain written records of their delivery of the employee notices required by the Living Wage Law. Acceptable records include logs with signed employee acknowledgments, and/or email receipts reflecting delivery of the notices. Failure to maintain these records creates a rebuttable presumption that the Covered Employer or Additional Covered Employer did not deliver the required notices to the Employees.
  1. Employee Claims. Covered Employers and Additional Covered Employers must maintain all records related to any complaint or any pending, threatened, or resolved legal action or grievance by or from any Employee concerning the Living Wage Law.
  2. Termination or Adverse Employment Action. Covered Employers and Additional Covered Employers must maintain all records related to the discharge, demotion, suspension, reduction of hours, or other adverse employment action against any Employee subject to the Living Wage Law. Failure to maintain these records creates a rebuttable presumption that any adverse employment action was in retaliation for the applicable Employee exercising his or her rights under the Living Wage Law.
  3. Obligation to Produce on Demand. Covered Employers and Additional Covered Employers must furnish copies of any of the records specified in this section to the City within 15 days of a request by the City.
  4. Retention Period. Covered Employers and Additional Covered Employers must retain all records specified in this section for six years after the applicable work is performed.

§ 11-05 Employee Addresses.

Covered Employers and Additional Covered Employers must provide the Department with the name and last known address of all Employees subject to the Living Wage Law within 15 days of a request by the Department.

Subchapter B: Construction

§ 11-10 Successors and Assignees.

The definition of the term “Financial Assistance Recipient” as set forth in the Living Wage Law and the definition of the term “Subsidy Recipient” as set forth in the Living Wage Executive Order shall be construed to include any successor in interest, whether through merger, pledge, transfer, assignment, operation of law or otherwise, of any Financial Assistance Recipient or Subsidy Recipient.

Subchapter C: Enforcement

§ 11-20 Cure Notice.

(a) Prior to commencing a Case, the Department shall deliver a written notice to the applicable Covered Employer or Additional Covered Employer informing the Covered Employer or Additional Covered Employer that the Department may commence a Case unless the Covered Employer or Additional Covered Employers demonstrates, to the reasonable satisfaction of the Department, within 30 days, that the Covered Employer or Additional Covered Employers has cured its violations of the Living Wage Law. The notice shall indicate that the Covered Employer or Additional Covered Employer may contact the Department to settle the alleged violation(s) of the Living Wage Law, and note that any settlement is at the discretion of the Department.
  1. Cure may be in the form of:

   (1) payment of wages and/or the monetary equivalent of benefits wrongly denied to the Employee(s), including interest from the date of underpayment to the Employee(s), based on the interest rate then in effect as prescribed by the superintendent of banks pursuant to section 14-a of the state banking law, but in any event at a rate no less than six percent per year;

   (2) payment of a further sum as a civil penalty to the City in an amount not exceeding two hundred percent of the total amount found to be due in violation of this section;

   (3) the filing or disclosure of any records that were not filed or made available to the public as required by this section;

   (4) the reinstatement of, or other appropriate relief for, any person found to have been subjected to retaliation or discrimination in violation of the Living Wage Law;

   (5) payment of the sums withheld from the financial assistance recipient by the City pursuant to Section 6-134(g)(1) of the Living Wage Law at the commencement of the investigation and the interest that has accrued thereon to the Employee(s); or

   (6) any other relief reasonably calculated to remedy the violation of the Living Wage Laws.

  1. The Department may, in its discretion, extend the time for the Covered Employer or Additional Covered Employer to cure.

§ 11-21 Petition.

(a) Charges in Petition. The Department shall commence Cases by service and filing of a Petition in accordance with 48 RCNY § 1-23. The Department shall concurrently serve a copy of the Petition on any Employee complainants.
  1. Delivery of Complaint. Concurrent with service of a Petition, the Department shall deliver copies to the Respondent of any Employee complaints concerning the Respondent’s alleged non-compliance with the Living Wage Law.

§ 11-22 Settlements.

(a) General. The Department may settle a complaint at any time after it is referred to the Department. The Department is authorized to determine the terms of settlement, taking into account:

   (1) the facts of the complaint,

   (2) the interests of the City in ensuring compliance with the Living Wage Law,

   (3) the interests of the complainant(s),

   (4) the Covered Employer or Additional Covered Employer’s history of compliance with the Living Wage Law,

   (5) the size of the Covered Employer or Additional Covered Employer,

   (6) the good faith of the Covered Employer or Additional Covered Employer,

   (7) the Covered Employer or Additional Covered Employer’s compliance with record-keeping and notice requirements, and,

   (8) any other factors relevant to achieving a fair and reasonable settlement.

Prior to settling any complaint, the Department shall provide each complainant with notice of the proposed settlement.

  1. Filing of Settlement Agreements. Every agreement settling a Case, complaint or investigation shall be in writing and shall be deemed an “order” for purposes section 5 of subdivision g of the Living Wage Law.
  2. Complainants. The Department may settle a complaint or Case with a Covered Employer or Additional Covered Employer with or without the consent of the applicable complainant(s). The Department may dismiss a Case in the event the complainant refuses to accept the relief in a proposed settlement, but such dismissal shall not preclude a complainant from commencing a civil action.
  3. Private Settlements. A complainant and a Covered Employer or Additional Covered Employer may resolve a complaint through a private settlement without authorization from the Department, but the settlement shall not preclude (1) the Department from commencing, prosecuting or settling a Case concerning the complaint or other potential violations by the Covered Employer or Additional Covered Employer of the Living Wage Law, or (2) the City or City Economic Development Entity from enforcing its remedies under any contract with the Covered Employer.

§ 11-23 Order and Determination.

(a) Decision on the Record. Notwithstanding any provision to the contrary in 48 RCNY § 1-51.1, Administrative Law Judges shall issue a decision on the record in all Cases. Provided that no party has commenced a challenge to the decision pursuant to Article 78 of the Civil Practice Law and Rules of New York, and the time to commence such a challenge shall have expired, the decision shall constitute an "order" for purposes of this chapter and section 5 of subdivision g of the Living Wage Law.
  1. Judicial Challenge. If a party commences a timely challenge to a decision on the record, then the final, non-appealable disposition of the appeal, whether by order of a court of competent jurisdiction or settlement, shall constitute an “order” for purposes of this chapter and section 5 of subdivision g of the Living Wage Law.
  2. Entry of Order. If an order (including any settlement deemed to be an order for purposes of this chapter) sustains some or all of the charges in the Petition, and provided that (1) the Respondent found violating the Living Wage Law has failed to comply with the payment or other terms of the order, and (2) no proceeding for judicial review is pending and the time for initiation of such proceeding has expired, the Department shall, as soon as is practicable, file a copy of the order with the clerk of the county of residence or place of business of the Respondent.

§ 11-24 Calculation of Back Wages.

If a Covered Employer or Additional Covered Employer has failed to maintain original Payroll Records as required by the Living Wage Law, an Administrative Law Judge may determine the amount of the unpaid wages and benefits based on the available Payroll Records and other available evidence, making reasonable inferences based upon the customary staffing practices of, and wages and benefits paid by, the Covered Employer or Additional Covered Employer.

§ 11-25 Private Right of Action.

The commencement or pendency of a civil action by one or more Employees of a Covered Employer or Additional Covered Employer for violation the Living Wage Law shall not preclude the Department from commencing, prosecuting or settling a Case against the Covered Employer or Additional Covered Employer based upon some or all of the same violations.

§ 11-26 Other Appropriate Relief.

For purposes of section 2 of subdivision g of the Living Wage Law, “other appropriate relief” may include an order to:

  1. reinstate an Employee or offer the Employee a position comparable to their former position,
  2. reverse any adverse employment action, including demotion, reassignment or reduction in hours,
  3. cease retaliatory practices and institute measures to prevent such conduct in the future,
  4. pay the wages and, if applicable, the monetary equivalent of the benefits that the Employee subjected to retaliation or discrimination would have been granted or paid but for the adverse employment actions by the Covered Employer or Additional Covered Employer, or
  5. pay additional amounts to the extent necessary to compensate Employees for additional tax liability resulting from a lump sum payment of back wages in a single year.