Title 24: Department of Health and Mental Hygiene

Chapter 1: Required Signs

§ 1-01 Vendors of alcoholic beverages.

(a) Definitions. Words and terms used in this section have the same meaning as in § 17-173(a) of the Administrative Code, except that terms not defined in such § 17-173(a) have the same meaning as terms defined in the Alcoholic Beverage Control Law.
  1. Applicability. This section applies to owners, operators, and other persons in control of any business establishment that, pursuant to the Alcoholic Beverage Control Law, is required to obtain a license for the retail sale of alcoholic beverages for (i) consumption on the premises, or (ii) for consumption off the premises excluding grocery stores or supermarkets where the primary business purpose is the sale of foods, dry goods, household supplies, and beverages other than alcoholic beverages.
  2. Posting. Owners, operators and other persons described in subdivision (b) of this section must post in each applicable business establishment a sign, provided by the Department, in a conspicuous place visible to patrons, with the following text:

WARNING: Drinking alcoholic beverages during pregnancy can cause birth defects.

§ 1-02 Dangerous underwater breathing behaviors.

(a) Definitions. Words and terms used in this section have the same meaning as in 24 RCNY Health Code Article 165.
  1. Applicability. This section applies to persons owning or operating swimming pools who are required to have a permit issued by the Commissioner pursuant to 24 RCNY Health Code Article 165.
  2. Posting. Swimming pool permittees must post a sign, in a location easily seen from the pool deck of each pool in a bathing facility, and in each dressing area, warning swimmers of the dangers of taking deep breaths, one after the other, before swimming underwater, and the prohibition of breath-holding contests.
  3. Sign specifications. Signs must:

   (1) Be constructed of durable, resilient, water resistant metal, plastic or other material acceptable to and approved by the Department;

   (2) Measure at least 17” in width and 22” in height; and

   (3) Bear the pictorial design and text that appears in Appendix 1A of this Chapter that is either downloaded from the Department’s website or otherwise obtained from the Department, and that when reproduced incorporates the language, color, size of type, imagery, and other specifications of the Department’s pictorial design.

  1. Penalties. Swimming pool permittees who are issued notices of violation returnable to the Hearings Division at the Office of Administrative Trials and Hearings must pay a penalty of $200 per violation sustained for (i) failure to post the sign, (ii) posting a sign without the Department’s required pictorial design or text or as otherwise specified in Appendix 1A of this Chapter and subdivision (d) of this section, or (iii) not posting a sign in a location that is easy to see from the pool deck of each pool in a bathing facility, and in each dressing area. If a person issued a notice of violation fails to appear and is found in default for a violation cited under this section, any penalties to be imposed for such sustained violation will be doubled.

Appendix 1A: “NO BREATH-HOLDING CONTESTS” Poster

Chapter 3: Performance Summary Cards and Penalties for Child Care Programs

§ 3-01 Scope and applicability.

This Chapter applies to any child care program holding a permit to operate in New York City, pursuant to 24 RCNY Health Code Article 47.

§ 3-02 Definitions.

When used in this Chapter, the following terms have the following meanings:

Adjudicated violations. “Adjudicated violations” means cited violations sustained, pursuant to a decision by a hearing officer at the Office of Administrative Trials and Hearings (“OATH”), or, pursuant to a settlement agreement between the Department and a child care program, to the extent that such decision or settlement agreement remains in effect. ”Adjudicated violations” also means cited violations for which a hearing has not been held but for which the hearing date has been rescheduled at the request of the child care program more than one time.

Initial inspection. “Initial inspection” means an inspection conducted other than for the purpose of ascertaining whether a prior violation has been abated or of responding to the receipt of a complaint.

Permit. “Permit” means a permit issued by the Department, pursuant to 24 RCNY Health Code Article 47.

Permit suspension. “Permit suspension” means a suspension of a child care program’s permit to operate due to a violation of the Health Code or any rule promulgated by the Department, other than a suspension based on a cited violation that is subsequently dismissed.

Public health hazard. “Public health hazard” has the same meaning as “imminent or public health hazard,” as such term is defined in 24 RCNY Health Code Article 47.

Site. “Site” means the location, specified in a permit, where child care services are provided.

Teaching staff. “Teaching staff” means the educational directors, group teachers, and assistant teachers of a child care program.

§ 3-03 Performance summary cards.

(a) The Department shall issue a performance summary card to each child care program at each site at least once every 12 months.
  1. A performance summary card issued in 2018, or issued at any time to a child care program that has held a permit to operate at a site for less than one year shall include the following information, as known as of the date such card is issued:

   (1) the number of full years the child care program has been permitted to operate at the site, except that for a child care program that has been permitted to operate at a site for more than 10 years, such number shall be indicated by “10+”;

   (2) the number of children permitted to be cared for by the child care program at the site at any time;

   (3) the number of teaching staff employed by the child care program at the site;

   (4) the number of permit suspensions of the child care program’s permit at the site during the previous three years; and

   (5) information on how to find the child care program’s inspection record for the site online.

  1. A performance summary card issued after 2018 to a child care program that has held a permit to operate at a site for at least one year shall include, as of the date such card is issued, the following information, as known as of the date such card is issued:

   (1) the number of full years the child care program has held a permit to operate at that site, except that for a child care program that has been permitted to operate at a site for more than 10 years, such number shall be indicated by “10+”;

   (2) the number of children permitted to be cared for by the child care program at the site at any time;

   (3) the number of teaching staff employed by the child care program at the site;

   (4) the number of permit suspensions of the child care program’s permit at the site during the previous three years;

   (5) the total number of public health hazard violations at the site adjudicated in the previous year;

   (6) the average number of public health hazard violations per inspection at the site adjudicated in the previous year;

   (7) the average number of violations of the Health Code or rules of the Department, other than public health hazard violations, at the site adjudicated in the previous year;

   (8) the Citywide averages for the numbers of violations specified in paragraphs (6) and (7) of this subdivision for all child care programs, as calculated by the Department for the prior calendar year; and

   (9) information on how to find the child care program’s inspection record for the site online.

§ 3-04 Posting.

(a) Upon receipt of a performance summary card, a child care program shall post it in a conspicuous location within two feet of the front door or other main entrance to the site, between four and six feet above the ground or floor. The performance summary card shall not be defaced, marred, camouflaged, or hidden from public view, or posted in a manner that permits it to be damaged by exposure to weather.
  1. A child care program that has a permit suspension reflected on its posted performance summary card shall also conspicuously post any additional document provided by the Department reflecting the reason for such suspension.
  2. Upon receipt of a new performance summary card, a child care program shall post the new card and dispose of the prior performance summary card in a manner that prevents its reuse.
  3. A child care program shall immediately remove a posted performance summary card upon a permit suspension.
  4. Except as provided in subdivision (d), a child care program may not remove or obscure a posted performance summary card except to replace it with an updated card, or as otherwise authorized by the Department.
  5. A child care program site that is permitted to reopen following a permit suspension shall post the applicable performance summary card in accordance with subdivision (a) of this section before reopening.
  6. If a child care program’s performance summary card is damaged or stolen, the child care program shall immediately contact the Department to request a replacement card.

§ 3-05 Updated performance summary cards.

Upon request from a child care child care program, the Department shall provide such program with an updated performance summary card. The Department may also provide an updated performance summary card to reflect a new permit suspension. Updated performance summary cards shall reflect a child care program’s violations adjudicated in the 12 months prior to the date of issuance and permit suspensions imposed in the 36 months years prior to the date of issuance. The issuance of an updated performance summary card shall not require the Department to provide revised Citywide averages for the numbers of violations specified in 24 RCNY § 3-03(c)(5) and (6). Upon receipt of an updated performance summary card, the child care program shall post the updated card and dispose of the prior performance summary card in a manner that prevents its reuse.

§ 3-06 Penalties.

(a) The holder of a permit of a child care program or any other person found to be in violation of any of the following provisions by a hearing officer at OATH or a successor tribunal must pay the following penalties for each such violation sustained:

   (1) For a violation of any provision of 24 RCNY Health Code Article 47 for which a fixed penalty is not established by the Health Code or any other rule of the Department: $200;

   (2) For a violation of 24 RCNY § 3-04(a) for operating without posting the required performance summary card: $1,000; and

   (3) For a violation of any requirement of 24 RCNY § 3-04 not listed in paragraph (2) of this subdivision: $500.

  1. To the extent permitted by law, if a person is found to be in default, the penalty imposed for a violation of 24 RCNY Health Code Article 47 or of this Chapter must be twice the amount set forth in subdivision (a) of this section.

Chapter 4: Health, Safety and Well-being of Rental Horses

§ 4-01 Definitions.

When used in these regulations:

Abuse. “Abuse” means the failure to provide care for a horse in the manner prescribed by these regulations and/or Subchapter 3 of Chapter 3 of Title 17 of the New York City Administrative Code, or any other physical maltreatment of the rental horse.

Adverse weather conditions. “Adverse weather conditions” means any weather conditions which are hazardous to the health and safety of horse, driver, rider or public.

ASPCA. “ASPCA” means the American Society for the Prevention of Cruelty to Animals.

Bureau of Animal Affairs. “Bureau of Animal Affairs” means the Bureau of Animal Affairs Of the Department of Health.

Carriage horse. “Carriage horse” means any horse which is used by its owner or any other person to pull any vehicle, carriage, sled, sleigh or other device in exchange for a fee. A horse rented or leased by its owner to another for any of the foregoing purposes shall be deemed to be a carriage horse for the purposes of this title.

Commissioner. “Commissioner” means the Commissioner of the New York City Department of Health.

Department. “Department” means the New York City Department of Health.

Driver. “Driver” means an individual licensed by the New York City Department of Consumer Affairs to operate a horse drawn carriage for a fee.

Duplicate tag or certificate. “Duplicate tag or certificate” shall include any replacement of the original thereof.

Fee. “Fee” means a monetary or other consideration for the rental of a horse.

Owner. “Owner” means the owner of a horse which is required to be licensed pursuant to these regulations and the owner of a rental horse business in which such horse is used.

Person. “Person” means an individual, partnership, corporation, association or other legal entity.

Rental horse. “Rental horse” means a horse which is used in a rental horse business.

Rental horse business. “Rental horse business” means a business enterprise which provides or offers the use of a horse to the public for a fee for the purpose of riding or drawing a horse drawn vehicle or which operates a horse drawn vehicle for hire such as a horse drawn cab.

Rider. “Rider” means an individual to whom a riding horse is rented for a fee.

Riding horse. “Riding horse” means a horse which is available to the public for a fee for the purpose of riding.

Stable. “Stable” means any place, establishment or facility where one or more rental horses are housed or maintained.

Under tack. “Under tack” means that a horse is equipped for riding or driving.

Veterinarian. “Veterinarian” means a person licensed to practice veterinary medicine in the State of New York.

Work. “Work” means a horse is considered to be at work when it is out of its stable and presented to the public as being available for riding, pulling carriages, vehicles or other devices, or when it is saddled or in harness or when it is being ridden or is pulling a carriage, vehicle or device.

§ 4-02 Administrative Requirements.

(a) License.

   (1) No person shall use or offer the use of a horse in a Rental Horse Business unless such horse is licensed pursuant to the provisions of these regulations. For purposes of these regulations, the use of a horse in a Rental Horse Business means that a horse is used or offered for use for the purposes of riding or is used in the operation of a horse drawn vehicle for hire, such as a horse drawn cab.

   (2) A license shall be issued for a term of one year from the date of issuance thereof and shall be renewed prior to the expiration of such date.

   (3) The annual fee for a license or renewal shall be twenty-five dollars.

   (4) An application for a license or renewal of a license shall be made to the Department. Such application shall contain the name and address of the owner of the horse and rental horse business in which such horse is to be used, the age, sex, color, marks and any other identifying marks such as brands or tattoos of the horse, the location of the stables where the horse is to be kept and any other information which these regulations may require. The application shall be accompanied by the license or renewal fee. No license shall be transferable. Upon the transfer of ownership of any horse, the new owner shall obtain a license for such horse within 15 days of the transfer date.

   (5) The Commissioner shall not issue or renew a horse license unless he is satisfied that the provisions of the New York City Health Code, the Administrative Code and these regulations will be met.

  1. Identification tag and certificate of license.

   (1) Each horse licensed pursuant to the provisions of these regulations shall be assigned an official identification number by the Department. Such identification number must be heat branded on a hoof and shall be re-branded whenever that number is no longer clearly visible. Each number shall be at least 3/4 inch high. Such identification number shall also be inscribed on a metal tag which shall be securely attached to the right cheek strap of each rental horse at all times when the horse is at work. Such tag shall be issued to the owner with the Certificate of License. Duplicate tags and Certificate of Horse License shall be issued only upon surrender of the original or proof of loss, satisfactory to the Department, and payment of a fee of $2.00.

   (2) The Certificate of License shall at all times remain at the stable where the horse is kept and shall be available for inspection by any police officer, agent of the Department and the ASPCA, or to veterinarians employed or retained by the Department or ASPCA, or employees of the Department of Consumer Affairs or any persons designated by the Commissioner to enforce these regulations.

  1. Disposition [upon death or transfer of ownership] of licensed horses.

   (1) If a horse dies while at work or under suspicious circumstances the Bureau of Animal Affairs of the Department must be notified within 12 hours of death. Remains shall not be removed from the City of New York nor disposed of for a minimum of 24 hours of such notice unless prior approval is given by the Bureau. The Bureau may order the delivery of the remains to the ASPCA or other approved veterinary organization for the purpose of performing an autopsy.

   (2) The Bureau shall be notified of the transfer of ownership or other disposition of a licensed horse within 10 days thereafter. Such notice shall include date of disposition and if sold in New York City, the name and address of buyer or other transferee. In the case of death, the notice shall include the date of death. A licensed horse covered by these regulations, shall not be sold or disposed of except in a humane manner.

  1. Inspection and record keeping.

   (1) Stables in which horses used in a rental horse business are kept shall be open for inspection by authorized officers, veterinarians and employees of the Department of Health, and any persons designated by the Commissioner to enforce the provisions of this title, agents of the ASPCA, police officers, and employees of the Department of Consumer Affairs.

   (2) An owner of a Rental Horse Business shall keep such records in the form shown in Appendix A, including but not limited to, a consecutive daily record of the movement of each licensed horse including driver’s name and identification number, if applicable, rider’s name, horse’s identification number, vehicle license plate number, if applicable, time of leaving stable and time of return to stable. Such records shall be kept on the premises of the stable where the horses are kept and shall be available for inspection. A stable where rental horses are kept or maintained shall have a time clock or similar tamper-proof device to record by date and time the movement of a horse covered by these regulations to and from work.

§ 4-03 Housing.

(a) Stable premises.

   (1) Walls and ceilings. Walls and ceilings shall be covered with a smooth, nonabsorbent light-colored finish and shall be maintained clean at all times.

   (2) Floors. Floors shall be level, free of holes and openings and graded for proper drainage to trapped sewer connections.

   (3) Doors. Doors to the exterior shall be properly rodent-proofed.

   (4) Toilets. A sufficient number of toilets and sinks with running water, soap and individual clean towels or mechanical drying devices shall be provided for the use of the employees.

   (5) Storage areas. Storage areas shall be of adequate size, and shall be insect and rodent-proofed so as to provide no harborage and remain vermin free.

   (6) Fire hazards. Premises shall be kept free of fire hazards.

  1. Internal temperature and ventilation. An internal temperature of at least 35 degrees Fahrenheit shall be maintained in stables during the winter months. Adequate ventilation shall be maintained, but rental horses shall not be unnecessarily exposed to drafts in stables during cold weather.
  2. General sanitation. All interior areas of a stable, and all exterior areas surrounding a stable shall be kept clean, properly drained and free of nuisances including, but not limited to, odors and accumulation of refuse or excrement. Each stable where rental horses are kept shall have implements and materials such as brooms, hoses, hose connections, covered metal receptacles, brushes, disinfectants and detergents as may be required to maintain sanitary conditions.
  3. Rodent and insect control. A pest control program acceptable to the Department shall be maintained.
  4. Lighting. All parts of premises shall be adequately lighted by natural or artificial means so as to permit the activity for which the premises are used to be carried on safely and to permit effective inspection and the cleaning of the premises.
  5. Stalls. Stalls in stables shall be a minimum of four feet wide, ten feet long, with a ceiling clearance of at least nine feet. Bedding shall be changed at least once daily, and shall be at least three inches deep.
  6. Other laws. Rental Horse Business stables shall comply with all applicable provisions of the New York City Administrative Code including but not limited to the Building, Fire and Electrical Codes and shall also comply with the applicable provisions of the New York City Health Code.

§ 4-04 Horse Care.

(a) Abuse. No person shall abuse or knowingly permit others to abuse a horse.
  1. Food and water. Rental horses while at work shall be allowed to drink. However, a rental horse shall not be allowed to drink in large quantities unless it is first rested. Troughs shall be cleaned daily. Sufficient nutritional foods* and water shall be provided free of dust, mold, vermin and other contaminants. Rental horses shall be fed at least twice daily with the larger feeding being provided after the horse has completed work.
  2. Medical care. Every horse required to be licensed hereunder shall be examined by a veterinarian prior to its use in a rental horse business and thereafter at intervals of not less than once a year. The horse shall be examined and treated for internal parasites; for its general physical condition, which is to include inspection of teeth, hoofs, and shoes; and for its physical ability to perform the work or duties as required of it. The examination shall also include a record of any injury, disease, or deficiency observed by the veterinarian at the time, together with any prescription or humane correction or disposition of the same. A health certificate provided by the Department and signed by the examining veterinarian shall be maintained at the stable premises at which such horse is located, and shall contain the identification number, age and condition of the horse, as well as the maximum number of hours a day that, in the opinion of the veterinarian said horse should work. A copy of said certificate shall be mailed to the Bureau of Animal Affairs.
  3. Equipment. Saddles, blankets, harnesses, bridles and bits and any other equipment shall be properly fitted and kept in good repair. Blankets, bridles and bits shall not be used by another horse unless it is first disinfected and disinsected.
  4. Grooming. Horses shall be kept clean and in an ectoparasites control program. Horses shall be trimmed or shod at least every three to six weeks or sooner, if necessary.

§ 4-05 Working Conditions.

(a) Control. It shall be the responsibility of owners, drivers, and riders to protect the horse and, when under their control, to ensure that the horse is not left to roam freely and possibly cause harm to the public or itself.
  1. Environment.

   (1) Owners shall not allow a horse to be worked on a public highway, path or street during adverse weather or other conditions which are a threat to the health or safety of the horse and the public. Adverse weather conditions shall include but not be restricted to snow, ice, heavy rain or other slippery conditions. A horse being worked when such conditions develop shall be returned to the stable by the most direct route as soon as practicable.

   (2) Whenever the air temperature is 90 degrees Fahrenheit or above and/or the wet bulb temperature is 85 degrees Fahrenheit or above all rental horses must immediately cease working, be offered shade when available, be rested and cooled off, and then walked to their stable. All horses so ordered to return to their stable must be unbridled and remain at the stable for at least one hour and until both the wet bulb temperature is less than 85 degrees Fahrenheit and the air temperature is less than 90 degrees Fahren- heit.

   (3) During the winter months, horses stationed outdoors while awaiting riders or passengers shall be covered with blankets.

  1. Work and rest periods.

   (1) Carriage horses shall not be at work for more than ten hours in any continuous twenty-four hour period. Riding horses shall not be at work for more than eight hours in any continuous twenty-four hour period.

   (2) There shall be a rest period of the following duration:

      (i) Riding horses – fifteen minutes for every riding hour.

      (ii) Carriage horses – fifteen minutes for every two pulling hours.

  1. Permissible riding paces. Carriage horses shall not be driven at a pace faster than a trot. Riding horses may be ridden at a canter but shall not be galloped.
  2. Physical condition. A horse required to be licensed pursuant to these regulations which is lamed or suffers from a physical condition or illness making it unsuitable for work may be ordered to be removed from work by the Commissioner or his designee or by an agent of the ASPCA or a veterinarian employed or retained by such Commissioner or ASPCA to inspect licensed horses. A horse for which such an order has been issued shall not be returned to work until it has recovered from the condition which caused the issuance of the order or until such condition has improved sufficiently that its return to work will not aggravate the condition or otherwise endanger the health of the horse. In any proceeding, under this section, it shall be presumed that a horse which is found at work within forty-eight hours after the issuance of an order of removal and which is disabled by the same condition which caused such order to be issued has been returned to work in violation of this section. Such presumption may be rebutted by offering a certificate of a veterinarian indicating suitability to return to work prior to the expiration of the forty-eight hour period.

§ 4-06 Owners, Riders and Operators.

(a) Use of alcohol or drugs. No person shall ride a horse or shall operate a horse drawn carriage while under the influence of alcohol or drugs or knowingly permit others to do so.
  1. Age. Owners and drivers of horse drawn carriages shall be of such age and experience as specified in the Department of Consumer Affairs Rules and Regulations.
  2. Provision for mounts for those who hire. Owners of riding horses shall be responsible for providing a suitable mount for persons who hire a horse for riding purposes.
  3. Provision for escorts. No person shall be permitted to take a riding horse off the stable grounds without the escort of a properly experienced rider unless such person has demonstrated sufficient skill in handling of the horse in the presence of stable personnel.
  4. Joint liability of owner and renter. An owner shall be jointly liable with the person to whom a horse is rented for any violation of these regulations committed by such person if the owner had knowledge or notice of such act and did not attempt to prevent it from occurring. Owners, operators, or riders of horses shall be in violation of these regulations and of Subchapter 3 of Chapter 3 of Title 17 of the New York City Administrative Code if a horse is abused during their ownership, care or custody. Joint responsibility for a horse shall exist under circumstances as described in 24 RCNY § 4-06(e).
  5. Civil violations and penalties. Any violation of Subchapter 3 of Chapter 3 of Title 17 of the New York City Administrative Code or of these regulations may be prosecuted as civil violations subject to a civil penalty of a sum not less than twenty-five nor more than five hundred dollars or by the suspension from work of the horse with respect to which the act which caused the violation was committed or by both such civil penalty and suspension. Civil violations, under these regulations shall be adjudicated before the Administrative Tribunal of the Department.
  6. Appeals. An appeal from such prosecution may be had as provided for in 24 RCNY Health Code Article 7.

§ 4-07 Training Program for Drivers of Horse Drawn Cabs; Fees.

Each person registering for the training program offered to drivers of horse drawn cabs shall pay a fee of twenty-five dollars ($25.00). Except where the person has received course materials or has attended any part of the course, said fee shall be refundable upon request made prior to the conclusion of the course.

APPENDIX A

Chapter 5: Pet Shops

§ 5-01 Scope and applicability.

This Chapter applies to any retail sale of a dog or a cat by a pet shop located in New York City that is subject to Chapters 3, 8, and 17 of Title 17 of the Administrative Code. It does not apply to the sale of a cat or dog by a person who breeds and sells directly to consumers fewer than a total of 25 dogs and cats per calendar year where such dogs and cats are born and raised on the breeder’s residential premises. It also does not apply to the sale of any other animal by a pet shop operated in accordance with a permit issued by the Commissioner pursuant to 24 RCNY Health Code §§ 5.07 and 161.09. Nothing in this Chapter exempts a pet shop from also complying with any applicable provisions of the Health Code.

§ 5-02 Definitions.

When used in this Chapter, the following terms have the following meanings:

Class A license. “Class A license” means a license issued to a dog or cat breeder by the USDA under the Federal Animal Welfare Act and USDA regulations (9 C.F.R. Chapter 1, Subchapter A).

Permittee. “Permittee” means a person operating a pet shop in the City of New York where dogs or cats are sold with a permit issued by the Commissioner pursuant to § 17-372 of the Administrative Code.

Pet shop. “Pet shop” has the same meaning as in § 17-371 of the Administrative Code.

§ 5-03 Records.

(a) Form and manner of records required to document information about dogs and cats sold. For each dog or cat sold, a permittee must collect and maintain the information required by §§ 17-804(c), 17-815, and 17-1704 of the Administrative Code on forms provided by the Department. The forms may be kept in hard copy or as an electronic record and must be held for five years, except that the signed purchaser statement must be kept for 10 years. Records must be made available upon request to the Department or New York City Police Department (NYPD) officers authorized to enforce New York humane laws.
  1. Sources of dogs and cats. Any pet shop that displays, offers for sale, delivers, barters, auctions, gives away, transfers, or sells any dog or cat must obtain such dog or cat from a USDA Class A licensed breeder that, as of the date such pet shop receives such animal, has not received any of the citations or orders specified in Administrative Code § 17-1702(a)(2) in connection with its USDA Class A license, to the extent that such information is available from the USDA. In order to satisfy that requirement, such pet shop must, prior to displaying, offering for sale, delivering, bartering, auctioning, giving away, transferring, or selling a dog or cat, diligently check the USDA website for the information and documents specified in Administrative Code § 17-1702(a)(2); obtain such information and documents from such website to the extent that they are available there; and, to the extent that such information and documents are not available on such website,

   (1) prepare a statement, signed and dated by the pet shop on the date it checked the USDA website, listing any of the prior three years for which inspection reports regarding the breeder that was the source of the animal were unavailable on the date checked, and listing any of the prior five years for which USDA administrative law judge decisions were unavailable on the date checked, which statement must be kept on site and available for inspection upon request; and

   (2) obtain an affidavit, sworn to by the USDA Class A licensed breeder that was the source of the animal, attesting that as of the date the pet shop received the animal such breeder has not received any of the citations or orders specified in Administrative Code § 17-1702(a)(2) in connection with its USDA license, which affidavit must be kept on site and available for inspection upon request.

  1. Source affidavit. A permittee must obtain a sworn and notarized affidavit from every USDA Class A licensed breeder supplying a cat or dog to the permittee, stating that as of the date the permittee received such animal:

   (1) the breeder’s USDA Class A license has not received a finally determined order from the USDA during the prior five years, in connection with its USDA class A license, to cease and desist or to pay a civil penalty;

   (2) the breeder’s USDA class A license has not been suspended during the prior five years;

   (3) the breeder has never been convicted in any jurisdiction of an animal abuse crime;

   (4) the breeder has not been convicted in the last five years of a violation of the minimum standards of animal care provided for in New York Agriculture and Markets Law § 401; and

   (5) the breeder has not received any of the citations or orders specified in Administrative Code § 17-1702(a)(2) in connection with its USDA Class A license (if required pursuant to 24 RCNY § 5-03(b)(2)).

  1. Alternative timing of affidavits. An affidavit provided to a pet shop from the source of a dog or cat pursuant to this Chapter may be sworn prior to the date the pet shop receives the animal, although no earlier than the date the animal leaves the possession of the source, if, together with the affidavit, the source provides the pet shop with unredacted copies of all USDA inspection reports it received in the three years prior to the swearing of the affidavit, and the affidavit includes a promise to advise the pet shop immediately if, after the affidavit is sworn but before the pet shop’s receipt of the animal, the source receives any of the citations, orders, or convictions specified in Administrative Code § 17-1702(a)(2).
  2. Statements and documents required to be provided to purchasers of dogs and cats. A pet shop selling a dog or cat must provide to each purchaser, and to any prospective purchaser upon request, the statement and documents required by § 17-1703(a) of the Administrative Code, on forms made available by the Department to the extent applicable. Such pet shop must also provide to every purchaser the information and documents required by Administrative Code § 17-815, on forms made available by the Department to the extent applicable.
  3. Copying charges. When a prospective purchaser requests a paper copy of the USDA inspection report(s) related to the breeder that is the source of a specific dog or cat, a permittee must provide the two most recent USDA inspection reports, to the extent that such reports were available from the USDA when the pet shop received the animal or were provided to the pet shop by the breeder, and may charge the requester up to $.25 per page. A permittee may not charge a purchaser for providing statements or any other document that must be provided to a purchaser or to the Department or the NYPD.
  4. Sign. Every pet shop selling dogs or cats must post conspicuously, in close proximity to the cages of such dogs and cats offered for sale, notices containing the following language in one hundred-point type: “Information on the source of these dogs and cats and the veterinary treatments received by these dogs and cats is available for review by prospective purchasers. United States Department of Agriculture inspection reports are available upon request.”

§ 5-04 Dog licenses.

Before selling any dog, a pet shop must obtain from the prospective purchaser an application and the appropriate fee for a dog license, or a written statement from the purchaser that the dog will live outside of the City of New York and a copy of a document establishing that the purchaser’s residence is outside the City. Such documentation may include a copy of a utility bill, driver’s license, tax bill, or other official government document and must be made available for inspection upon request. The pet shop must send each license application and fee to the Department electronically, in person, or by mail, so long as the Department receives the application and fee within 10 business days of the sale of the dog to the purchaser. Failure to provide such required application and fee to the Department within such 10 business-day period will subject the pet shop to civil penalties pursuant to Administrative Code § 17-1707.

§ 5-05 Adoption promotions at pet shops.

(a) A pet shop that allows an animal shelter or non-profit animal rescue group to use its facilities to offer animals for adoption must obtain a copy of either the permit issued to the animal shelter by the Commissioner pursuant to 24 RCNY Health Code § 161.09, or proof of the animal rescue group’s incorporated not-for-profit status. Whenever the animal shelter or rescue group is offering animals for adoption at the pet shop, the pet shop must have on site, and available for inspection upon request, the shelter permit or animal rescue group’s proof of not-forprofit status, and the shelter or animal rescue group’s registration of such status and exemption, issued by the New York State Department of Agriculture and Markets pursuant to New York State Agriculture and Markets Law Section 408.3, from the definition of “pet dealer” set forth in New York State Agriculture and Markets Law Section 400.4.
  1. A pet shop will not be required to comply with the requirements of 24 RCNY §§ 5-03 and 5-04 regarding any dog or cat offered for adoption by an animal shelter or animal rescue organization using such pet shop’s facilities, provided that such pet shop does not have an ownership interest in such animal.

§ 5-06 Enforcement.

Employees and agents of the Department and officers of the NYPD are authorized to enforce the provisions of this Chapter.

Chapter 6: Mobile Food Vending

§ 6-01 Scope and applicability.

All mobile food vendors and the mobile food vending units operated in the City of New York are subject to and must comply with all applicable provisions of 24 RCNY Health Code Articles 5, 71, 81, 89 and all other applicable provisions of the New York City Health Code (the “Health Code”); Title 17 of the Administrative Code of the City of New York (the “Administrative Code”); Part 14 of the New York State Sanitary Code (the “Sanitary Code”); and the rules of the Department set forth in this Chapter and 24 RCNY Chapters 20, 26 and other applicable provisions of Title 24 of the Rules of the City of New York.

§ 6-02 Definitions.

Words and terms used in this Chapter have the following meanings:

Acceptable to the Department means acceptable under conditions of use and being used in conformance with applicable regulatory, industrial or other safety standards.

Compliance inspection means an inspection conducted within an inspection cycle that is not conducted for the purpose of grading.

Condition level means the value (I, II, III, IV or V) based on the number, magnitude or pervasiveness of occurrences, or the seriousness of risk presented by a violation.

Contaminated has the meaning set forth in 24 RCNY Health Code Article 81.

Critical violations means the violations of the Health Code or other applicable law listed under the classification “critical violation” in Appendices 6-A and 6-B to this Chapter.

Decal has the same meaning as in 24 RCNY Health Code Article 89.

Detergent sanitizer means a solution used to wash and/or sanitize utensils and equipment.

Food has the meaning set forth in 24 RCNY Health Code Article 71.

Food grade material means material certified as meeting the standards of the National Sanitation Foundation (NSF) or other organization utilizing a process approved by the American National Standards Institute (ANSI), or that is otherwise acceptable to the Department in compliance with 24 RCNY Health Code § 81.17 or successor provision. During use with food products such material shall not react with such food products or food contact surfaces; and shall not contaminate or impart any odor, color or taste to such food products. No food additive, food equipment, lubricant or other similar substance used in food processing, preparation, storage or service shall expose food to physical debris, toxic chemicals, harmful substances or other contaminants.

General violations means violations listed under classification “general violations” in the Appendices 6-A and 6-B to this Chapter.

Grade card or card means the document or sticker issued by the Department to a mobile food vending unit indicating the letter grade associated with the score for an inspection of that unit.

Grade pending card means the document or sticker issued by the Department to a mobile food vending unit indicating the unit’s grade for the current inspection cycle is in the process of being determined.

Green cart has the meaning set forth in § 17-306(s) of the Administrative Code or successor provision.

Initial inspection means the first sanitary inspection within an inspection cycle.

Inspection cycle means a series of inspections of a mobile food vending unit that are conducted, pursuant to 24 RCNY §§ 6-17 and 6-18 that begins with each initial inspection.

Location sharing device means an electronic device installed to a mobile food vending unit that transmits the geographic location of the unit with sufficient accuracy to locate such unit on a street or other location.

Mobile food commissary or other facility approved by the Department means either

   (i) A commissary that complies with the requirements of 24 RCNY Health Code Article 81 and 24 RCNY Health Code § 89.27, or

   (ii) Another facility providing storage and/or cleaning of no more than four Class D or Class E mobile food vending units, nor more than one food truck, in accordance with 24 RCNY § 6-08.

Mobile food vending unit (MFVU) or unit has the same meaning as in 24 RCNY Health Code Article 89.

Operate or operation of a mobile food vending unit shall have the same meaning as in 24 RCNY Health Code Article 89.

Potable water means drinking water that meets the drinking water requirements of subpart 5-1 of the State Sanitary Code and is thereby suitable for human consumption or use directly or indirectly in connection with the preparation of food for human consumption, including ice making and cleaning of utensils and equipment.

Potentially hazardous food has the same meaning as “potentially hazardous food or time and temperature controlled for safety (TCS) food” means in 24 RCNY Health Code Article 81.

Pre-permit inspection by the Department means the inspection of a mobile food vending unit in which the Department determines that the unit has been constructed and equipped in accordance with this Chapter. A pre-permit inspection by the Department is required:

   (i) Before the issuance of a new or renewed mobile food vending permit and decal;

   (ii) When a permittee seeks to replace a mobile food vending unit with another unit;

   (iii) When a permittee seeks to amend a permit classification from non-processing to processing or processing to non-processing;

   (iv) When a mobile food vending unit has sustained a material alteration, as defined in 24 RCNY Health Code § 89.03(e); or

   (v) When any permit decal has been removed.

Processing means transforming food into the form in which it is to be served to the mobile food vending unit patron, including, but not limited to, by means of slicing, dicing, grating, portioning, blending, mixing, combining, cooking and reheating, or otherwise treating food in such a way as to create a risk that it may become adulterated if improperly handled. Portioning by butchering is not allowed; food may be processed on a mobile food vending unit only in accordance with 24 RCNY Health Code Article 89. A person who processes food on a mobile food vending unit is not a manufacturer, as that term is defined in Administrative Code § 17-306(p), or successor provision of law.

Public health hazards means critical violations that are known to contribute directly to food-borne illness or disease, identified with an asterisk (*) in Appendix 6-A of this Chapter, and which include but are not limited to, imminent health hazards defined in 24 RCNY Health Code Article 81 and Part 14 of the State Sanitary Code.

Reinspection means a sanitary inspection conducted for the purposes of grading following receipt of a score of 14 or more points on an initial inspection.

Sanitization means effective treatment by heat or chemical means that destroys pathogens on surfaces treated and is acceptable to the Department, as defined in 24 RCNY Health Code § 81.03(ii), or successor provision.

Summons means a civil notice of violation or other document issued by the Department or other City agency to a mobile food vending permit-holder or vendor that charges a violation of the Health Code, or any other law or rule, for which a monetary penalty is sought, and which is adjudicated at the Office of Administrative Trial and Hearings.

Ware washing or multi-compartment sink means a sink, other than a hand wash, dedicated to washing cookware, kitchenware and utensils.

§ 6-03 Mobile food vending unit classifications.

(a) Mobile food vending units shall be classified based on the foods, processing and packaging of foods served. Class A and Class B units are processing units and Class C, Class D and Class E units are non-processing units for the purpose of payment of the permit fees set forth in § 17-308(c) of the Administrative Code, or successor provision, and 24 RCNY Health Code Article 5.

   (1) Class A mobile food vending unit means a processing unit on which raw, pre-cooked and/or manufactured potentially hazardous foods requiring temperature control as specified in 24 RCNY Health Code § 81.09 are stored, prepared and provided for individual service. Such foods include, but are not limited to, grilled or fried meats, sausages, poultry, shish kebab, hamburgers, eggs and gyros.

   (2) Class B mobile food vending unit means a processing unit in or on which pre-cooked and/or manufactured potentially hazardous foods requiring temperature control as specified in 24 RCNY Health Code § 81.09 are stored, prepared and provided for individual service. Such foods include, but are not limited to, sandwiches prepared on the unit, raw fruits, vegetables and salads, breads, bagels and rolls buttered or topped with cream cheese on the unit, smoothies and soft serve ice cream.

   (3) Class C mobile food vending unit means a non-processing unit in or on which only intact, prepackaged potentially hazardous foods requiring temperature control as specified in 24 RCNY Health Code § 81.09 are provided for individual service. Such foods include, but are not be limited to, prepackaged frozen desserts, prepackaged sandwiches, and prepackaged and presliced fruits and vegetables.

   (4) Class D mobile food vending unit means a non-processing unit in or on which non-potentially hazardous packaged or unpackaged foods not requiring temperature control for safety are provided or served. Such foods include, but are not limited to, brewed coffee and tea, donuts, pastries, rolls and bagels buttered or topped with cream cheese at a commissary, popcorn, cotton candy, nuts, candied nuts, soft pretzels, and chestnuts, regardless of whether such foods are heated for aesthetic purposes. However, mobile food vending units that prepare and serve any potentially hazardous foods, including but not limited to, dairy products, pre-cooked or manufactured knishes, boiled frankfurters and sausages are Class D mobile food units that require equipment or other means of holding potentially hazardous foods at the temperatures required by 24 RCNY Health Code Articles 81 and 89.

   (5) Class E mobile food vending unit means a green cart or other non-processing mobile food vending unit in or on which only non-potentially hazardous uncut fruits and vegetables are sold or held for sale or service.

  1. Only food to be served or sold. A permit to distribute or sell food from a mobile food vending unit does not authorize the sale of any other product or merchandise from such unit.
  2. If a vendor serves or prepares foods included in more than one Class of operation, the unit must be equipped in accordance with the classification that reflects the greater degree of food protection.

§ 6-04 Mobile food vending units: construction and equipment requirements for all classes of mobile food vending units.

Mobile food vending units must be constructed and equipped so that they may be maintained and operated in a clean and sanitary manner, in accordance with all applicable law, so as to protect foods from contamination by dust, dirt and toxic and other substances, and the public from risk of injury, and must be equipped in accordance with the requirements set forth in Table 1 in 24 RCNY § 6-05. Units and equipment must be manufactured from easily cleanable, durable, hard, smooth, non-porous, non-absorbent, non-reactive and non-toxic materials. All equipment must be fastened securely to the mobile food vending unit. No mobile food vending unit or truck may be used as a dwelling, or for sleeping or other residential purposes for any period of time.

  1. Food contact surfaces. Food contact surfaces, as defined in 24 RCNY Health Code § 81.03(p) or successor provision, shall be constructed of easily cleanable, non-toxic commercial food grade materials; kept free of cracks, chips, holes, pits and sharp edges; and maintained in a clean and sanitary condition. Upon request of the Department, a permittee shall provide proof acceptable to the Department that a material used in construction or equipping of a mobile food unit is certified as food grade.

   (1) Lubricants. Equipment for processing foods that contain bearings and gears maintained and operated with non-food grade lubricants must be designed and constructed so that lubricants can not leak, drip, or contaminate food or food contact surfaces.

   (2) Cooking surfaces. Cooking surfaces within a mobile food vending unit shall be placed and configured so as to minimize the risks of food contamination and injury to patrons, vendors, and the public.

  1. Non-food contact surfaces. All non-food contact surfaces must be smooth, easily cleanable, maintained in good repair and kept clean. If solder is used in construction or repairs, it shall be made of non-toxic materials, corrosion resistant, and contain less than 0.2% lead.

   (1) Interior non-food contact surfaces. Interiors of mobile food vending units, including floors, walls and ceilings of food trucks, and non-food contact surfaces of equipment that are exposed to food splash or debris, or that otherwise require frequent cleaning shall be designed and constructed of smooth, non-toxic and washable materials, free of unnecessary ledges, projections, or crevices, readily accessible for cleaning and sanitizing and maintained in a clean and sanitary condition.

   (2) Exterior non-food contact surfaces. Exterior non-food contact surfaces shall be constructed of smooth, durable, non-porous, non-toxic materials, without any open seams and joints.

   (3) Permit decal and grade card to be visible and unobstructed. The permittee shall provide a space on the unit that is a permanent part of the mobile food vending unit for the placement of a permit decal and the posting of a grade card in accordance with this chapter. Such space shall:

      (A) not be readily or easily removable and shall consist of a flat, smooth metal surface;

      (B) be no less than 14 inches in height and 14 inches in width;

      (C) be located on the exterior of the unit directly to the left or right of the primary customer service window or service area;

      (D) be adjacent to the primary customer service window or be located as close to the top of the unit as possible as to be readily visible to the public;

      (E) not be located near any heat-producing equipment or any side of the unit that abuts the curb; and

      (F) not be covered by any material or protective covering that blocks or obscures the permit-decal or grade card, or impedes direct access for physical examination, inspection, and removal by government officials.

   (4) Doors and windows. In a food truck a partition or a partition with a self-closing door shall be installed between the driver’s seat and the food processing and service area. To protect foods from potential contamination in all units, no service window may be installed over or behind cooking or food preparation equipment.

  1. Lighting. A mobile food vending unit shall be equipped with artificial lighting fixtures providing a minimum of 540 lux (50 foot candles) of light at all food contact surfaces and ware washing sinks whenever natural lighting conditions do not meet that standard. When artificial lighting is used, shatter-proof or shatter-guarded lighting shall be installed. Lighting fixtures located over or near food storage, preparation and service equipment shall be shielded to prevent broken glass from falling into food or onto food contact surfaces.
  2. Ventilation. Cooking equipment shall be mechanically ventilated to prevent a nuisance from heat, smoke, odors or fumes. Mechanical ventilation hoods and equipment shall be installed and used to prevent grease, steam, smoke, and odors from collecting on interior surfaces, contaminating food and creating a nuisance. If filters and other grease extracting equipment are not designed to be cleaned in place, they must be readily removable for cleaning and replacement, and must be removed and cleaned to prevent accumulations of grease. Power generators shall be used and vented in accordance with manufacturers’ specifications.
  3. Insect and rodent control. Mobile food vending units shall be maintained so as to be free of insects, rodents, and conditions promoting harborage, as defined in 24 RCNY Article 151, and breeding of insects and rodents.
  4. Potable water supply. Mobile food vending units that are required to maintain a potable water supply in accordance with Table 1 of 24 RCNY § 6-05 shall be equipped with plumbing and plumbing fixtures that provide adequate supplies of potable hot and cold water during all times of operation. Individuals operating mobile food vending units shall maintain sufficient supplies of potable water to allow for hand, ware and food washing and food preparation. Plumbing and fixtures shall be properly connected, vented and drained to prevent contamination of the City water supply or any other potable water supply. Water supply outlets and connections to water supply fixtures or equipment shall be designed and constructed to prevent back-flow into the water supply. Bottled and packaged potable water certified by the New York State Department of Health for sale in New York State may be used to supplement the potable water supply, if handled and stored in a way that protects it from contamination. If used, bottled and packaged potable water shall only be poured into tanks from the original containers. Failure to provide and maintain potable water supplies required by this Chapter is an imminent health hazard requiring immediate cessation of operation of any mobile food vending unit.

   (1) Tank capacity. When a potable water supply is required by Table 1 of 24 RCNY § 6-05, a food truck shall be equipped with a tank or tanks with a total capacity of no less than 40 gallons; other mobile food vending units shall be equipped with a tank or tanks with a total capacity of no less than 10 gallons. All tanks shall be filled to capacity prior to beginning operation or operating. On and after January 1, 2020, all potable water tanks shall be equipped with a mechanical or electronic device indicating the amount of water remaining in the tank. Water levels must be marked on each tank in gallon (or metric equivalent) increments, from zero to the tank’s maximum capacity, that are readily observable and easily readable by the vendor from outside the tank.

   (2) Water tanks and inlet pipes. Water tanks shall be constructed of food grade materials that are corrosion resistant, durable and non-absorbent. Water inlet pipes shall be made of flexible, food-grade material. The fitting for hose connections shall be capped except when tanks are being filled.

  1. Plumbing. Plumbing fixtures shall be constructed of food grade material; piping and distribution piping shall be installed and maintained to protect the water from contamination. All piping shall be easily accessible for inspection and repair.

   (1) Tank drainage. Potable water tanks shall be fitted with a faucet or valve and tilted to allow complete drainage. The entire system shall be constructed to be drained by gravity or other means acceptable to the Department.

      (A) Potable and waste water connections on a mobile food vending unit shall be designed and constructed so as to prevent backflow and/or cross-connection with the water supply.

      (B) Equipment and fixtures used for storage, preparation, or processing of food that are drained into the waste water tanks shall be equipped with a readily accessible vented check valve on the waste line.

      (C) No equipment may be directly attached to the potable water supply unless an approved backflow device is installed.

   (2) Pressure. Potable water, when required by Table 1 of 24 RCNY § 6-05, shall be dispensed at sufficient pressure to provide a constant adequate flow.

  1. Waste water system. Waste water shall be stored and disposed of in accordance with 24 RCNY Health Code § 89.25.

   (1) Waste water storage tanks and pipes shall be designed and maintained so as not to leak or spill on sidewalks or public streets.

   (2) When required by Table 1 of 24 RCNY § 6-05, waste water tanks shall have a minimum capacity that is at least 15% greater than the potable water supply capacity and be clearly and permanently labeled “waste water.”

   (3) Mobile food vending units creating liquid waste, including but not limited to units serving beverages such as coffee or tea or boiling frankfurters or holding melting ice, shall be equipped with a waste water tank with a minimum capacity that is at least 15% greater than the amount of water used for brewing coffee, processing food or for other liquid waste.

   (4) Mechanically refrigerated equipment and containers where ice is used must be equipped with an indirect waste connection, in accordance with 24 RCNY Health Code § 81.20, that drains into the waste tank.

  1. Hand washing, ware washing and food washing.

   (1) Hand wash sink. When required by Table 1 of 24 RCNY § 6-05, mobile food vending units must be equipped with a separate hand wash sink or with one compartment of a multi-compartment sink that is used only for hand washing and no other purpose. The hand wash sink must:

      (A) Be located in the food preparation area, accessible for immediate use at all times, at a convenient height, and not obstructed by or used to store supplies or other equipment;

      (B) Dispense potable running water;

      (C) Have a dispenser valve or faucet which provides a constant flow of water when opened;

      (D) Be supplied by a potable water storage tank constructed of food grade material that holds at least five (5) gallons of water;

      (E) Be equipped with supplies of soap and paper towels or other single-use hand drying device; and

      (F) Be equipped with “Wash Hands” signs in accordance with 24 RCNY Health Code § 81.21(c).

   (2) Ware washing and sanitizing sink.

      (A) All equipment and utensils must be cleaned and sanitized at least once daily at the mobile vending unit commissary in accordance with 24 RCNY Health Code § 89.19(l). When required by Table 1 of 24 RCNY § 6-05, a sink with a swivel faucet must be provided to wash and sanitize utensils and equipment that have become contaminated while the unit is in operation before being re-used.

      (B) Utensils being used to serve or dispense ready to eat foods may be stored in a container of water heated to and maintained at 135 degrees Fahrenheit (57 degrees Celsius) or higher. The container must be cleaned and sanitized at least once every 24 hours at the permittee’s commissary, and be large enough to allow immersion of the largest sized utensils.

      (C) A sink used for ware washing and sanitizing may be used for washing foods, but may not be used for washing hands or as a slop or utility sink.

   (3) Washing foods in a separate food washing sink or food grade container. When required by Table 1 of 24 RCNY § 6-05, a separate dedicated sink, or a food grade container placed in a compartment of a ware washing sink may be used for washing food that requires washing while the unit is in operation.

      (A) The sink and the colander in which food is washed must not contain any other equipment or supplies when food is being washed, and must be cleaned and sanitized before and after washing any food.

      (B) Any sink in which food is washed must be indirectly drained as defined in 24 RCNY Health Code § 81.03(z) or successor provision.

   (4) No sink used for washing hands, wares or food may be used as a slop or utility sink.

  1. Hot and cold storage. When required by Table 1 of 24 RCNY § 6-05, mechanical or other holding equipment shall be provided and used to hold potentially hazardous hot foods at or above 140 degrees Fahrenheit (60 degrees Celsius) and cold foods at or below 41 degrees Fahrenheit (five degrees Celsius).

   (1) Thermometers. Each hot and cold storage unit shall be equipped with a numerically scaled or other indicating thermometer, accurate to plus or minus two degrees Fahrenheit (one degree Celsius).

   (2) Placement of thermometers. Thermometers in cold holding equipment shall be placed in such equipment or cold holding containers to measure air temperature in the warmest part of the unit. Thermometers used to measure the temperature of food in hot holding equipment shall be placed so that they measure the temperature in the coolest part of such equipment.

  1. Compliance with fire safety requirements. In addition to the other requirements of this section, all mobile food vending units and commissaries shall comply with the New York City Fire Code (Title 29 of the Administrative Code) and rules of the Fire Department found in Chapter 38 of Title 3 of the Rules of the City of New York, or successor provisions, regulating the use of any flammable gas, and governing the storage, handling and use of propane and other liquefied petroleum gases (“LPG”). As set forth in Chapter 38 of the Fire Code and Chapter 38 of the Fire Department rules, such provisions prohibit the use of any flammable gas other than LPG for cooking and heating on a mobile food vending unit. The provisions also prohibit the placement of any unit with propane or other LPGs on a subway grate, and among other things regulate:

   (1) Design of the cooking grills and other heating equipment;

   (2) Size, number, location and securing of the LPG containers;

   (3) Securing of container valves; and

   (4) Size, type, location and mounting of required portable fire extinguishers.

  1. Ice cream trucks. No decal may be issued for any food truck to be used to vend ice cream and other frozen desserts unless such truck is equipped with fully operational warning beepers and signage arm as required by the State Vehicle and Traffic law and the rules promulgated under such law.
  2. Overhead structure. Every mobile food vending unit shall be equipped or constructed with an overhead structure such as an overhang, roof, canopy, umbrella or similar device adequate to protect food and equipment from contamination.
  3. Food security. All mobile food vending units shall be equipped with appropriate food grade coverings, tamper-proof locks or other mechanisms. Vendors shall secure such units when it is necessary to leave mobile food vending units unattended on a street for no more than one-half hour. Units left unattended for periods longer than one-half hour shall be deemed abandoned and an imminent health hazard, in accordance with 24 RCNY Health Code § 89.31(c).

§ 6-05 Mobile food vending units: supplies and equipment required for different classes of mobile food vending units.

(a) In addition to the general requirements for construction and design of mobile food vending units and their equipment in 24 RCNY § 6-04, and the location sharing device required by 24 RCNY § 6-21, each class of vending units shall be supplied and equipped in accordance with Table 1 of this section. The minimum equipment required is determined by the class of the unit and the foods that are processed and/or sold on the unit.
  1. Permit subject to revocation; mobile food vending units subject to seizure. Persons who prepare, process or serve foods from a mobile food vending unit that is not equipped in accordance with the requirements specified for the unit’s permit classification as set forth in this section will be deemed to be vending without a permit. Such units and their contents are subject to seizure, removal of the permit decal or insignia, and any other sanctions prescribed by applicable law, including but not limited to, provisions of 24 RCNY Health Code Article 89.

Table 1. Supply and Equipment Requirements for Mobile Food Vending Units

  Potable water Food and ware washing sinks1 Hand wash sink Waste- water tank Overhead structure Ventila- tion Cold holding Hot holding Thermo- meters
Class A:Potentially hazardous raw foods cooked on unit; e.g., fried and grilled sausages, poultry, shish kebab, hamburgers, eggs and gyros Yes Yes Yes Yes Yes Yes Yes Yes Yes
Class B:Potentially hazardous prepared foods combined on the unit; e.g., sandwiches, raw fruits, vegetables and salads, breads, bagels and rolls buttered or topped with cream cheese on the unit, smoothies and soft serve ice cream Yes Yes Yes Yes Yes Yes Yes Yes Yes
Class C:Potentially hazardous prepackaged foods; e.g., prepackaged frozen desserts, prepackaged sandwiches, and prepackaged and presliced fruits and vegetables No No No Yes3 Yes No Yes Yes Yes
Class D:Non-potentially hazardous unpackaged or packaged foods; e.g., boiled frankfurters and sausages, brewed coffee and tea, donuts, pastries, rolls and bagels buttered or topped with cream cheese at a commissary, popcorn, cotton candy, nuts, candied nuts, soft pretzels, chestnuts Yes2 No No Yes3 Yes Yes Yes3 Yes3 Yes3
Class E:Non-potentially hazardous uncut fruit and vegetables (including Green Carts) No No No No Yes No No No No
Notes:1. Food and ware washing sinks may be separate or multi-compartment. A single sink is acceptable for food and ware washing in a food-grade colander.2. Waste water tanks are required when generating liquid waste from brewing coffee or tea, boiling frankfurters, or serving or using ice. See 24 RCNY § 6-04(h)(3).3. Hot and cold holding equipment or methods required for potentially hazardous foods such as hot dogs, sausages and knishes.                  

~

§ 6-06 Size and placement of mobile food vending units.

(a) Non-truck units. No new permit shall be issued for any mobile food vending unit pushcart that exceeds ten (10) feet in length and five (5) feet in width, including wheels, axles and other appurtenances to such wheels. When vending on a sidewalk, the operator must place the unit so that the longer side is adjacent and parallel to the curb abutting the sidewalk.
  1. Food trucks. These size restrictions do not apply to food trucks.

§ 6-07 Green carts.

(a) The Department will permanently affix on each green cart a decal that is easily identifiable and distinguishable from any other decal on the green cart. Such decal shall contain the fresh fruits and vegetables permit number issued to the owner of each such green cart and the borough and police precincts in which the green cart is authorized to operate. A decal may not be removed or transferred to any other mobile food vending unit, except by the Department.
  1. In addition to the above requirements specific to green carts, green carts must comply with all other applicable requirements pertaining to Class E mobile food vending units.
  2. Exemption of police precincts where green carts may vend. Notwithstanding any provision in § 17-307(b)(4)(b) of the Administrative Code, no fresh fruits and vegetables permit may be designated for use within either the 45th or 72nd police precincts of the City of New York.

§ 6-08 Facilities for servicing Class D and Class E mobile food vending units.

(a) Use of a facility that services four or fewer Class D and/or Class E mobile food vending units that are not food trucks, or one Class D or Class E food truck, may be approved by the Department at or prior to the pre-permit inspection of such Class D and/or Class E units.
  1. A person holding a permit for a Class D or Class E mobile food vending unit who requests approval from the Department for use of a facility other than a commissary shall identify the location of such facility, and provide the Department with the individual or business name, address, telephone number(s), and e-mail contact information, if available, for the owner of the facility. The owner of the facility, or the permittee, if the permittee is the owner of the property where the facility is located, shall certify to the Department that the facility complies with all of the following conditions:

   (1) The facility is not used to store or discard food.

   (2) The facility is constructed of materials whose surfaces are easily cleanable, non-toxic, non-absorbent and smooth and designed to protect the mobile food vending unit at all times from environmental contamination.

   (3) The facility is adequately lighted; equipped with potable hot and cold running water and drainage for liquid wastes; provides adequate space and facilities for cleaning and storing the unit; and is located entirely on private property.

   (4) The facility has all required permits other than a commissary permit and its use complies with all applicable fire safety, zoning and building laws. At the request of the Department, the user shall provide copies of any required permits.

   (5) No more than four Class D and/or Class E mobile food vending units are serviced at the facility.

   (6) Any mobile food vending units stored in the facility and the facility must be kept in a sanitary condition.

   (7) No units may be cleaned on public streets or sidewalks.

   (8) No live animals shall be kept or allowed within any storage or cleaning facility.

   (9) Garbage, refuse and other solid and liquid wastes shall be collected and stored at the mobile food vending unit while the unit is in use, and removed from the unit and disposed of at a commissary or other approved facility so as not to create a nuisance in accordance with 24 RCNY Health Code § 89.25.

§ 6-09 Manufacturer or exclusive distributor lease agreements.

(a) "Lease" or "Lease agreement" submitted for Department approval pursuant to Administrative Code § 17-314.1(d)(2), as used in this section, means a written agreement between an exclusive distributor or a manufacturer (lessor) holding more than one temporary mobile food unit permit and a mobile food vendor licensee (lessee). The agreement is for the transfer, for a stated period of time and for a fixed amount as set forth in such written agreement, the possession of a mobile food unit owned by such exclusive distributor or manufacturer with such exclusive distributor's or manufacturer's temporary mobile food unit permit attached to the mobile food unit.
  1. All lease agreements involving the leasing of multiple temporary mobile food unit pushcarts and food trucks by manufacturers and exclusive distributors and licensed mobile food vendors that are submitted to the Department for review and approval pursuant to § 17-314.1(d)(2) of the Administrative Code must contain a rider to such lease agreements, in a form provided or approved by the Department, that is dated and signed by both parties. The department will maintain copies of an approved lease agreement form on its website and make copies available to any person on request.
  2. The provisions of § 17-314.1(d)(2) of the Administrative Code and this section apply to only the manufacturers and exclusive distributors of food products who held multiple temporary or seasonal permits prior to 1995, were authorized to renew up to 60 of those multiple temporary permits, and were exempted from application of Administrative Code § 17-307(b)(2)(f), that provides that a person (an individual or any other entity) may renew or obtain only one permit.

§ 6-10 Violations.

(a) "A" violations defined. For the purposes of mobile vending permit or license renewal, or issuance of a new license or permit, "A" violations are all violations of the Health Code, the State Sanitary Code, these rules and the violations of the Administrative Code listed in subdivision (d) of this section where the licensee, permittee or applicant is found in violation as a result of a hearing on the merits or by default.
  1. “A” violation penalties to be paid. Every person renewing a mobile food vending license or a mobile food unit permit, or applying for a new mobile food vending license or mobile food unit permit shall pay all fines and penalties for all “A” violations as defined by subdivision (b) of this section that have been adjudicated, or for which the licensee, permittee or applicant for a license or permit has been found in default. Proof of payment of all such fines and penalties must be submitted prior to issuance of a new or renewal license or permit, notwithstanding the provisions of New York City Charter § 1049-a(d)(1)(i).
  2. Basis for revocation, suspension, or denial of new or renewal permit or license. The Commissioner may refuse to issue a mobile food vending license or a mobile food unit permit and may, after due notice and an opportunity to be heard, in addition to any other penalties, refuse to renew, suspend or revoke such a license or permit. Such action may be taken when the applicant, licensee, permittee, its officers, directors, shareholders, members, managers or employees (i) have been found to be in violation of four or more of the provisions of subchapter 2 of chapter 3 of Title 17 of the Administrative Code that are classified as “A” violations in subdivision (d) of this section within a two-year period, (ii) have been found to be in violation of any of the provisions of part fourteen of the State Sanitary Code or of the Health Code, or (iii) the applicant, licensee, permittee, its officers, directors, shareholders, members, managers or employees have pending any unanswered summonses for a violation of a provision of subchapter 2 of chapter 3 of Title 17 of the Administrative Code that is classified as an “A” violation in subdivision (d) of this section.
  3. Administrative Code “A” violations. For the purposes of revocation or suspension of mobile food vending permits or licenses, or of determining whether such permits or licenses may be renewed or new licenses and permits issued, “A” violations mean violations of the following provisions of subchapter 2 (“Food Vendors”) of chapter 3 (“Licenses and Permits”) of Title 17 of the Administrative Code or successor provisions, as listed below in 24 RCNY § 6-10 Table 1, where the licensee, permittee or applicant is found in violation as a result of a hearing on the merits or by default:

§ 6-10 Table 1. Administrative Code “A” Violations

Section Description
§ 17-307(a) Unlicensed mobile food vendor.
§ 17-307(b) Unpermitted mobile food unit.
§ 17-307(d) Vending unapproved items.
§ 17-311 Failure to display mobile food vending license, mobile food vending unit permit, or mobile food vending unit decal, plate or insignia.
§ 17-314(a) Failure to permit regular inspections.
§ 17-314(b) Failure to give supplier/depot/commissary information.
§ 17-314(c) Sale of unauthorized foods without written approval.
§ 17-314.1 Sale, loan, lease or transfer of license, permit or decal, plate or insignia.
§ 17-315(a) Vendor on sidewalk that allows less than 12 feet as pedestrian path; or unit not at, or abutting curb.
§ 17-315(e) Vendor within bus stop, within 10 feet of any driveway, any subway entrance or exit, or any crosswalk at any intersection.

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  1. Permittees liable for mobile food vending unit operation; service of notices of violation. In accordance with 24 RCNY Health Code §§ 5.13 and 89.13, permittees are jointly and severally liable for violations of the Health Code, the State Sanitary Code, the Administrative Code and any other applicable law that occur in the course of operation of mobile food vending units bearing their permits. A person operating a mobile food vending unit who is not the permittee shall be deemed an agent of the permittee, and the mobile food vending unit being operated by such person shall be deemed the place of business of the permittee, for the purpose of service of any notice of violation issued to the permittee by the Department. The notice of violation may also be issued by any other agency of the City authorized to issue notices of violation in the course of enforcement of any law applicable to mobile food vending. If, in the course of operation of a mobile food vending unit, a person other than the permittee is served with such notice of violation or order issued to the permittee, the person other than the permittee shall deliver the notice of violation or order to the permittee within two business days of receiving such notice of violation, and the Department or other agency issuing the notice of violation shall mail such notice of violation to the permittee by first class mail, maintaining and submitting a record of the mailing to the Environmental Control Board as proof of service.

§ 6-11 Inspections; permit issuance and renewal.

No unit shall be approved for use and no permit shall be issued unless such unit has passed a pre-permit inspection by the Department and found to be constructed and equipped in compliance with this Chapter and 24 RCNY Health Code Article 81 and Article 89; and the permit-holder or permit applicant has submitted proof acceptable to the Department that the unit is serviced and stored by a commissary or other approved facility.

  1. Renewal applications to be submitted timely. An application for renewal of any permit shall not be accepted unless the applicant submits a complete renewal application, the tax clearance certificates required by § 17-310 of the Administrative Code, and proof of payment of all fines and penalties owing for notices of violation as required by § 17-317(b) and 24 RCNY § 6-10, no later than thirty (30) days before the date of expiration of the permit. The Department may accept a late renewal application only if the applicant submits proof that may be verified by the Department that the delay in submission of the completed application and clearances resulted because of delays in issuing the clearances. In such cases, the permittee must show that applications for tax and penalty clearances were submitted at least sixty (60) days before the date of renewal of the permit.
  2. Inspections to be scheduled timely. In accordance with § 17-307(e) of the Administrative Code, a new or renewal permit shall not be issued if the applicant’s mobile food vending unit fails to pass a pre-permit inspection by the Department within six (6) months after the permit application has been certified or accepted by the Department. The Department may conduct such an inspection more than six (6) months after the application has been submitted only if Department records indicate that the Department caused the delay in scheduling the inspection.
  3. Permit holder photographs. All individual applicants for a new or renewed permit, and persons who require a replacement or substitute permit or decal for a mobile food vending unit, shall personally appear at a location designated by the Department so that a current identifying photograph may be taken.
  4. Pre permit inspections. Permit applicants or permittees must bring the mobile food vending unit in for inspection, at a place designated by the Department, and present (i) a currently valid mobile food vendor’s license, and (ii) another government issued photo identification acceptable to the Department in the following circumstances:

   (1) Before the issuance of a new or renewed mobile food vending permit and decal;

   (2) When a permittee seeks to replace a mobile food vending unit with another unit;

   (3) When a permittee seeks to amend a permit classification from non-processing to processing or processing to non-processing;

   (4) When a mobile food vending unit has sustained a material alteration, as defined in 24 RCNY Health Code § 89.03(e); or

   (5) When any permit decal has been removed.

  1. Applicants other than natural persons. If an entity other than a natural person is an applicant or permittee, such as a corporation or limited liability company, the person who brings a mobile food vending unit in for inspection on behalf of such entity must be a person authorized by law to accept service of process on behalf of such entity pursuant to Article 3 of the New York CPLR. Such persons may include an officer, director or managing agent of a corporation; a partner of a partnership or limited partnership; or a member of a limited liability company. No other person may bring any mobile food vending unit to the Department for the non-operational inspections required by this section.
  2. Identifying operators of mobile food vending units. The applicant for a new or renewal permit must (1) complete a form provided by the Department listing the name(s), address(es), telephone number(s) and the currently valid mobile food vending unit license number(s) of each person who will be operating the mobile food vending unit, and (2) provide a statement describing the legal relationship of such person to the permit holder, in accordance with § 17-309(b)(1) of the Administrative Code. The completed form shall be signed and notarized by the permit applicant.
  3. Service contract or agreement from a commissary or other approved facility. At the pre-permit inspection, the permittee or permit applicant must provide an original agreement or contract signed by a commissary operator, or a person in charge of a facility other than a commissary that provides services to no more than four Class D or Class E units that are not food trucks, or one Class D or Class E food truck, indicating the specific goods and services provided for the permittee’s mobile food vending unit. The permittee must maintain a copy of such agreement on the mobile food vending unit at all times of operation and make it available for inspection by the Department. Such goods and services must include, but are not be limited to:

   (1) Storage of the unit and foods.

   (2) Cleaning and sanitizing of the unit, equipment and utensils.

   (3) Disposing of liquid and solid waste and refuse generated by operation of a unit.

   (4) Amount of potable water supplied.

   (5) Foods provided, including those prepared at the commissary and prepackaged; and name of person preparing foods.

   (6) Non-food supplies provided by the commissary.

  1. Inspection of damaged, repaired or materially altered mobile food vending units. A pre-permit inspection is required when a mobile food vending unit is materially altered as defined by 24 RCNY Health Code Article 89.
  2. Decals. No decal may be placed on any mobile food vending unit unless a Department inspector has determined at a pre-permit inspection that the unit is constructed and equipped in accordance with this Chapter, and that the person renewing or applying for a permit has completed and submitted all forms required by this section.
  3. Units to be photographed. The Department may take photographs of mobile food units at any time, so that the Department may verify that the unit has passed a pre-permit inspection.
  4. Notification of changes in operations. Permittees must notify the Department, in writing, on forms approved or provided by the Department, no later than ten business days after any there has been a change in:

   (1) Persons operating each unit as indicated on the form described in 24 RCNY § 6-12(c), or

   (2) Commissary used. Permittees must provide a copy of an agreement from the new commissary with such notice.

  1. Enforcement. The commissioner may refuse to issue a new or renewal permit for:

   (1) Failing to allow photographs of the permittee or the unit.

   (2) Failing to appear in person for pre-permit inspections of a mobile food vending unit.

   (3) Failing to provide information about the operators of the units or foods sold on the unit, or

   (4) Failing to maintain and submit an agreement with a commissary.

   (5) Failing to bring the mobile food vending unit to a place designated by the Department to post a letter grade or to install, replace or maintain a location sharing device to the unit.

   (6) Removing, disposing, tampering with, or modifying the letter grade posted to a mobile food vending unit or a location sharing device installed to the unit.

§ 6-12 Records of commissaries and other approved facilities.

Commissaries and other approved facilities providing services to four or fewer Class D or Class E units that are not food trucks, or one Class D or Class E food truck, shall keep records in a daily log, in a form provided or approved by the Department, documenting the daily use of commissary services and facilities by mobile food vendors in accordance with 24 RCNY Health Code § 89.27(b). The log must indicate the date and time of day each unit is brought in and leaves the commissary.

§ 6-13 Disabled veteransmobile food unit vending permits.

Disabled veterans who hold currently valid (i) specialized vendor licenses issued pursuant to General Business Law § 35-a, (ii) general vendor licenses issued by the Department of Consumer Affairs and (iii) mobile food vending licenses issued by the Commissioner, may apply for and be issued permits to operate mobile food vending units on sidewalks surrounding parks within the jurisdiction of the New York City Department of Parks and Recreation, or successor City agency, in accordance with the following conditions:

  1. An applicant for such a restricted area permit may not hold any other currently valid mobile food vending unit permit, and only one such permit may be issued to any applicant.
  2. In accordance with General Business Law § 35-a, such permit authorizes vending only on sidewalks surrounding park lands.
  3. Operation of the mobile vending unit is subject to all provisions of General Business Law § 35-a.
  4. During all times that a mobile food vending unit issued a permit under this section is in operation, as the term “operation” is defined in 24 RCNY Health Code § 89.03(j) or successor provision, a disabled veteran shall be present, but may be assisted by an employee who is a licensed mobile food vendor. Department inspection reports which note the absence of a disabled veteran licensee are deemed proof that a disabled veteran is not operating the unit, in violation of General Business Law § 35-a.

§ 6-14 Government agency and charitable organization exemptions.

In accordance with § 17-320 (a) of the Administrative Code, the Commissioner may exempt any area within the control of a government agency or charitable organization from provisions of Title 17 of the Administrative Code that limit the total number of full-term or temporary mobile food vending permits that may be issued, or the number of permits that may be issued to any one person. The Commissioner may make this exemption provided that (i) the request for issuance is made in writing by the agency or organization and (ii) permittees comply with all other applicable provisions, limitations and conditions imposed by the New York City Administrative Code, the Health Code, the State Sanitary Code and these rules.

§ 6-15 Modification.

When the strict applicability of any provision of this Chapter presents practical difficulties or unusual or unreasonable hardships, the Department, in a specific instance, may modify the application of such provision consistent with the general purpose of this Chapter and upon such conditions as are deemed necessary.

§ 6-16 Scoring mobile food vending unit inspections.

The Department shall, when conducting a sanitary inspection, assess points only for those violations, violation conditions and condition levels listed in Appendix 6-A (Self-Inspection Worksheet for Mobile Food Vending Units (MFVU)) and Appendix 6-B (Mobile Food Vending Unit (MFVU) Inspection Scoring Parameters: A Guide to Conditions) to this Chapter. Terms used in these appendices and not otherwise defined in this Chapter shall have the same meaning as defined in 24 RCNY Health Code Articles 81 and 89 of the Health Code.

§ 6-17 Letter grading.

(a) The Department, whenever practicable, shall conduct an inspection at least annually of each mobile food vending unit for the purpose of issuing such unit a letter grade. Based on the results of either the initial inspection or reinspection within an inspection cycle, a mobile food vending unit shall be graded as either “A", “B", or “C” for that inspection cycle, except that a unit shall not receive any grade if the Department orders that it be closed.
  1. The Department shall issue a letter grade of “A” to any unit that receives fewer than 14 points on either the initial inspection or reinspection within an inspection cycle.
  2. The Department shall not issue a letter grade to any mobile food vending unit receiving 14 or more points on an initial inspection but shall schedule a reinspection to occur no sooner than seven days after the initial inspection. The Department shall on the reinspection issue a grade of “B” to any unit receiving 14 - 27 points and a letter grade of “C” to any unit receiving 28 or more points.
  3. In addition to conducting an initial and any reinspection for the purpose of issuing a unit a letter grade, the Department may, in any inspection cycle, also conduct a compliance inspection after any inspection that results in a score of 28 points or more. The score received on any compliance inspection shall not change a unit’s letter grade for that inspection cycle.

§ 6-18 Intervals between inspection cycles.

(a) The time between a completed cycle and the initial inspection in the next inspection cycle for a unit that receives 14 or more points on its initial inspection shall be determined by the higher score from either its initial inspection or its reinspection.

   (1) An initial inspection commencing a new cycle shall be conducted approximately one year after issuance of an “A” grade to a unit that received less than 14 points on its initial inspection in the previous cycle.

   (2) An initial inspection commencing a new inspection cycle shall be conducted 150 - 210 days after the reinspection of any unit that receives a score of 14 - 27 points on an initial inspection or reinspection and does not score 28 or more points on either of these inspections.

   (3) An initial inspection commencing a new inspection cycle shall be conducted 90 to 150 days after the final inspection of the cycle of a unit that receives a score of 28 or more points on its initial inspection or reinspection.

   (4) An initial inspection commencing a new inspection cycle shall be conducted within 60 to 120 days of reopening for a unit that is authorized by the Department to reopen following a Department closure that occurs on an initial or reinspection of that unit.

  1. When there is an increased risk to public health as determined by the Department, nothing in these rules shall prevent the Department from inspecting a unit and treating that inspection as the initial inspection in a new inspection cycle. Such circumstances include, but are not limited to, a unit having a history of Department closure(s), being the subject of complaints of unsanitary conditions, or being compromised following an environmental emergency.
  2. Notwithstanding the provisions of this section, a new inspection cycle shall commence whenever:

   (1) A mobile food vending unit changes from a pushcart to a vehicle or from a vehicle to a pushcart, as such terms are defined in 24 RCNY Health Code Article 89.

   (2) A new decal is issued because there has been a change in the permit classification as described in 24 RCNY § 6-03.

§ 6-19 Posting letter grades.

A mobile food vending unit must have a letter grade posted at all times, as required by these rules.

  1. The Department shall at the time of inspection issue and post a letter grade “A” on a unit that receives a score of less than 14 points on an initial or reinspection.
  2. If a mobile food vending unit receives a score of 14 or more points on an initial inspection, and is not closed by the Department, it shall continue to post its grade from the prior inspection cycle until its reinspection. If the unit has been issued no prior grade card, it shall have no posting until its reinspection.
  3. If a mobile food vending unit receives a score of 14 or more points on the reinspection, and is not closed by the Department, the Department shall post on the unit a “grade pending” card. If the permit-holder elects to have the grade of “B” or “C” earned at the reinspection posted to the unit instead of a “grade pending” card, the permit-holder may contact the Department to arrange for the unit to be brought to a place designated by the Department so the Department may post the preliminary grade.
  4. Grading after adjudication of summonses. Where a unit scores 14 or more points on a reinspection and was issued one or more summons for findings made at that inspection, the following shall apply:

   (1) Except as described in paragraph (2) of this subdivision, within 42 days of the reinspection date that generated the summons, the permit-holder shall contact the Department to arrange for the posting of the final letter grade for that inspection cycle.

   (2) If the permit-holder adjudicates all summonses associated with the reinspection on or before the hearing date listed on those summonses but has not received hearing decisions within 42 days from the time of reinspection, the permit-holder may continue to post a “grade pending” card until hearing decisions are issued. In this instance, the permit-holder shall have five (5) days from the date of decision to contact the Department to arrange for posting of the final letter grade for that inspection cycle.

   (3) It shall be the duty of the permit-holder to check the status of summons and comply with the timeframes of this section for the posting of letter grades.

§ 6-20 Position of grade cards on mobile food vending units; tampering prohibited.

(a) The Department shall post a letter grade or “grade pending” card on the mobile food vending unit on top of the decal or any other place determined by the Department.
  1. A mobile food vending unit shall not dispose of, remove, tamper with, obscure or modify the letter grade card.

§ 6-21 Location sharing.

(a) The Department will provide and install a location sharing device on each mobile food vending unit that is required to be permitted by the Department to vend food. The Department may alter the mobile food vending unit to the extent necessary to install such device on the unit.
  1. A location sharing device shall remain the property of the Department. After the Department installs the device, the mobile food vending unit shall operate with the device installed on the unit at all times.
  2. The Department shall install the initial location sharing device at a pre-permit inspection. No person other than the Department shall attempt to or actually remove, dispose of, obstruct, tamper with, or modify a location sharing device. Removing, disposing of, or tampering with, or in any way interfering with the operation of the location sharing device shall be grounds to revoke a mobile food vending permit or license or both.
  3. In the event the Department determines that the location sharing device on a mobile food vending unit is not functioning, it may issue a written order to the permit holder to bring the unit to a location designated by the Department. Upon receiving such an order, a permit holder must bring the unit to the designated location within five (5) days unless otherwise instructed by the Department.
  4. The Department shall use the data obtained from a location sharing device only to locate a unit for the purposes of enforcing the provisions of this Chapter, the State Sanitary Code, the Health Code, the Administrative Code, Public Health Law, other Rule of the City of New York, or as otherwise required by a lawful order of a court with proper jurisdiction.
  5. The device may not continuously track the location of the unit on which it is installed and may only be used to locate a unit at a specific moment in time.
  6. Each location sharing device that is installed on a mobile food vending unit shall have a unique identifier that shall not be the same number as the mobile food vending unit permit, license or decal.
  7. Only employees or agents of the Department who are authorized to enforce the laws and rules described in subdivision (e) of this section shall have access to the data gathered by a location sharing device, and the Department may not disclose such data to any other person, except as required by a lawful order of a court with proper jurisdiction.
  8. Any data gathered by a location sharing device shall be maintained by the Department for no more than 24 hours and shall be transmitted and maintained as confidential information in a secure manner.

Appendix 6-A: Self-Inspection Worksheet for Mobile Food Vending Units (MFVU).

*Appendix 6-B: Mobile Food Vending Unit (MFVU) Inspection Scoring Parameters: A Guide to Conditions.* ::

Appendix 6-C: Mobile Food Vending Unit (MFVU) Penalty Schedule Scored Violations.

*Appendix 6-C-2: Mobile Food Vending Unit (MFVU) Penalty Schedule Unscored Violations.* ::

Appendix 6-C-3: Mobile Food Vending Unit (MFVU) Penalty Schedule Violations Administrative Code and Multiple Offense Schedule (MOS).

Chapter 7: Adjudicatory Hearings and Violation Fines and Penalties

§ 7-01 Definitions.

When used in this Chapter, the following terms have the following meanings:

  1. Administrative Code or Admin. Code refers to the Administrative Code of the City of New York.
  2. Charter means the New York City Charter.
  3. Environmental Control Board is the board that exists in the OATH Hearings Division pursuant to Charter §1049-a.
  4. NYCHC or Health Code refers to the New York City Health Code, found in Title 24 of the Rules of the City of New York.
  5. NYSPHL refers to the New York State Public Health Law.
  6. OATH Trials Division is the tribunal of the Office of Administrative Trials and Hearings (OATH), established by Charter § 1048(1) to conduct adjudicatory hearings for all agencies of the City of New York.
  7. OATH Hearings Division includes the tribunal established by the Board of Health pursuant to Charter § 558 and transferred to OATH by Mayoral Executive Order 148 (2011).
  8. Premises refer to real property consisting of a building and land on which it is situated. “Same premises” refers to (i) a specific building, or (ii) a group of buildings co-located in a development owned by the same entity.
  9. RCNY refers to the Rules of the City of New York.

§ 7-02 Adjudications seeking civil fines.

In accordance with Charter §§ 1041 and 1046, adjudicatory hearings commenced by service of a civil summons or notice of violation seeking a civil fine or monetary penalty for violations of State and local law enforced by the Department shall be conducted by the OATH Hearings Division.

§ 7-03 Mandatory fines and penalties.

(a) Fixed penalties. When a monetary fine or penalty for a violation enforced by the Department is specified in the Health Code, a rule of the Department, including in Appendix 7-A of this Chapter, or in any other applicable law, a hearing officer must impose that fine or penalty if the hearing officer sustains the violation.
  1. Other Health Code violations. Fines imposed for Health Code violations that are not specified in Appendix 7-A of this Chapter or in another law or rule must be within the range provided in 24 RCNY Health Code § 3.11 or a successor provision.

§ 7-04 Fines for unspecified violations of 24 RCNY Health Code Articles 43 and 47.

The penalty for a violation of any provision of 24 RNCY Health Code Article 47 (Child Care Programs) or Article 43 (School-Based Programs for Children Ages Three Through Five) that is not listed in Appendix 7-A of this Chapter shall be $200. The penalty must be doubled to $400 if the hearing officer finds the respondent in default.

§ 7-05 Escalation of fines for rodent violations.

Pursuant to Administrative Code § 17-133.1, the standard fine for a violation of 24 RCNY Health Code § 151.02 of the Health Code that pertains to the eradication or elimination of rodents, rodent harborages or other rodent related nuisances must be $300. The fine for each subsequent violation at the same premises and under the same ownership or control within a two-year period must be double the amount of the penalty for the previous violation but may not exceed the maximum fine for any Health Code violation.

§ 7-06 Standing water violations.

The penalty for a violation of 24 RCNY Health Code § 151.03 shall vary depending on whether the accumulation of standing water that is the basis of the violation is determined to be minor, moderate or extensive.

  1. Minor violations consist of small amounts of standing water and decomposing matter in one or more outdoor containers with a diameter of three to 24 inches and a capacity of five or fewer gallons of water. Examples of types of containers include trash cans, buckets, birdbaths, fountains, roof gutters and roof puddles and in accumulations of one to four tires.
  2. Moderate violations consist of larger amounts of standing water and decomposing matter than the amounts stated for minor violations. These include ponded water accumulations of less than 10 square feet. Examples of where this amount of water and decomposing matter may be found include ditches, swimming pool covers, ponds, outdoor containers without lids holding five or more gallons of water and in accumulations of five to 20 tires.
  3. Extensive violations consist of standing water and decomposing matter accumulations covering 10 or more square feet. Examples of where this amount of water and decomposing matter may be found include open foundation construction sites, swimming pools with stagnant untreated or improperly treated water and in accumulations of more than 20 tires.

§ 7-07 Fines for other repeat violations.

(a) Summons issued to the owner or other person in control of premises. For summonses alleging that the owner or person in control of a premises or regulated business has committed a "repeat violation" other than one provided for in 24 RCNY § 7-05, the hearing officer must impose the fine listed in Appendix 7-A of this Chapter for a repeat violation if, within the previous 12 months, the respondent was found to have violated the same provision of law at the same premises.
  1. Summons issued to certain contractors. For any summons alleging that a contractor committed a repeat violation of 24 RCNY Health Code § 173.14 by disturbing lead based paint or paint of unknown lead content while performing work in a premises, the hearing officer must impose the fine specified in Appendix 7-A of this Chapter for a repeat violation if the hearing officer determines that the contractor violated the same provision of law in any premises during the previous 12 months.
  2. Unproved repeat violation to be considered an initial violation. If a hearing officer finds that a respondent committed the violation alleged in the summons, but that the violation is not a repeat violation because the same provision of law was not violated within the previous 12 months, the hearing officer must impose the fine listed in Appendix 7-A of this Chapter for an initial violation of that provision.

§ 7-08 Defaults.

If a respondent fails to appear to answer a summons and is found in default, the penalty imposed for a violation of the Health Code must be twice the amount set forth in Appendix 7-A of this Chapter or $2,000, whichever is lower. Fines imposed when a respondent is found in default for violations of other provisions of law may not exceed the amount stated in Appendix 7-A of this Chapter.

§ 7-09 Other adjudications.

Pursuant to Charter § 1048, the Commissioner delegates to the OATH Trials Division authority to conduct hearings of matters pertaining to the enforcement of State and local law within the jurisdiction of the Department where an OATH administrative law judge shall make and submit recommended findings of fact, decisions, determinations and orders to the Commissioner who shall make final findings, determinations and orders in accordance with 24 RCNY Health Code Article 5 or other applicable law. Such hearings include but are not limited to matters where a respondent must be provided with a hearing or an opportunity to be heard and show cause why the Commissioner should not issue an order or take other action (i) to suspend or revoke a license, permit or registration of a business or activity whose operation or conduct is deemed detrimental to the public health; (ii) to abate nuisances or other detrimental health conditions, including closing, padlocking and sealing premises deemed a public nuisance; (iii) to require an entity to cease and desist from specific acts that endanger public health; or (iv) with respect to Department employee matters pursuant to New York Civil Service Law.

Appendix 7-A: Penalty Schedule.

Chapter 8: Cooling Towers

§ 8-01 Scope and applicability.

This Chapter applies to owners of New York City buildings or other premises in the City that are equipped with a cooling tower system.

§ 8-02 Definitions.

When used in this Chapter, the following terms mean:

“ANSI/ASHRAE 188-2015” means sections 5, 6 and 7.2 of ANSI/ASHRAE Standard 188-2015 Legionellosis: Risk Management for Building Water Systems, a publication issued by the American National Standards Institute (ANSI)/American Society of Heating, Refrigeration and Air-Conditioning Engineers (ASHRAE), final approval date June 26, 2015, at pages 4 - 8.

“Bacteriological indicator” means a biological process control indicator that estimates microbial content in the circulating water of a cooling tower system, such as heterotrophic plate count (HPC) as measured in a water sample or by a dip slide.

“Biocidal indicator” means a direct or indirect measure of the effectiveness of biocide, consisting of free halogen residual concentration or oxidation reduction potential (ORP), as specified in the management program and plan.

“Building” means any structure used or intended for supporting or sheltering any use or occupancy. The term shall be construed as if followed by the phrase “structure, premises, lot or part thereof” unless otherwise indicated by the text.

“Cleaning” means physical, mechanical or other removal of biofilm, scale, debris, rust, other corrosion products, sludge, algae and other potential sources of contamination.

“Cooling tower” means a cooling tower, evaporative condenser or fluid cooler that is part of a recirculated water system incorporated into a building’s cooling, industrial process, refrigeration, or energy production system.

“Cooling tower system” means one or more cooling towers and all of the recirculating water system components, process instruments and appurtenances through which water flows or comes into contact with key parts consisting of biocide, anti-scaling and anti-corrosion chemical applicators, valves, pumps, the tower superstructure, condensers and heat exchangers and other related components. The cooling tower system may comprise multiple cooling towers that share some or all superstructure components.

“Corrective actions” mean disinfection, cleaning, flushing, and other activities to remedy biofilm growth, Legionella proliferation, or other system mechanical problems identified through monitoring, inspections, or other means as may be determined by the Department.

“Compliance inspection” means the inspection, testing and other activities that are required on a regular basis (at least every 90 days) in accordance with the maintenance program and plan and this Chapter, including the completion of a written or electronic checklist, and must be conducted and certified by a qualified person.

“Dead legs” mean lengths of pipe normally closed at one end or ending in a fitting within the cooling tower system that limits water circulation and is likely to result in stagnant water in the system.

“Department” means the New York City Department of Health and Mental Hygiene.

“Dip slide” means a method to test for microorganisms (such as HPC) consisting of a sterile culture medium affixed to a sterile slide, that is dipped directly into the liquid that is to be sampled.

“Disinfection” means using one or more of the biocides registered with the New York State Department of Environmental Conservation at a defined concentration, under specific conditions and for an established period that will kill or inactivate pathogenic microorganisms.

“Drift eliminator” means a system of baffles or cells that cause separation of entrained water designed to remove aerosols from cooling tower exhaust.

“Heterotrophic plate count” or “HPC” means a measure of the concentration of microorganisms that require an external source of organic carbon for growth including bacteria, yeasts and mold in water samples.

“Idling” means turning off or limiting water circulation within the cooling tower system but not draining the system water.

“Immediate” or “immediately” means within 24 hours when used in regards to (i) actions required to be taken under this Chapter, or (ii) incidents or results required to be reported under this Chapter, or (iii) records required to be made available to the Department under this Chapter.

Legionella ” means the genus of bacteria which is ubiquitous in aqueous environments, including the recirculated water of cooling tower systems that are not properly or regularly maintained. There are more than 50 different species of Legionella, all of which are potentially pathogenic.
Legionella sample” means water or other sample to be examined for the presence of viable Legionella bacteria using semiselective culture media and procedures specific to the cultivation and detection of Legionella species, such as those outlined in International Organization for Standardization (ISO) Standards 11731-1:1998 and 11731-2:2004.

“Maintenance program and plan” or “plan” means a written set of measures describing monitoring, cleaning, disinfection and all other activities for the prevention and control of Legionella growth in a cooling tower system, that is in accordance with section 5, 6 and 7.2 of ANSI/ASHRAE 188-2015 and with the manufacturer’s instructions, and is developed by a qualified person.

“Makeup water” means water added to the cooling tower system on a regular basis to replace water lost by evaporation, drift or leakage and to maintain optimal system operation and process control.

“Management and maintenance team” means the individual or individuals designated by a building owner to be responsible for the continued effective and safe operation of a cooling tower system.

“Owner” means any person, agent, firm, partnership, corporation or other legal entity having a legal or equitable interest in, or control of the premises.

“Process control measures” mean actions that must be taken to evaluate internal functioning of the cooling tower system, including monitoring conductivity, pH, biological indicators and other parameters, and observing phenomenon such as scaling, corrosion and biofilm.

“Qualified person” means a New York State licensed and registered professional engineer; a certified industrial hygienist; a certified water technologist with training and experience developing management plans and performing inspections in accordance with current standard industry protocols including, but not limited to ANSI/ASHRAE 188-2015; or an environmental consultant who has at least two (2) years of operational experience in water management planning and operation.

“Responsible person” means a person employed or whose services are retained by an owner, who understands and is capable of performing the required daily water quality measurements, weekly system monitoring and operation and maintenance of a cooling tower system in accordance with the maintenance program and plan, and making recommendations for diagnosing anomalous conditions that require corrective actions, under the guidance of a qualified person. The responsible person should be capable of measuring water pH, temperature and disinfectant residual levels at proper locations/frequencies; checking biocide storage container levels; recording dates, amounts and times of biocide injection; and logging all other relevant data and comments.

“Risk management assessment” means a process for comprehensively identifying, describing and evaluating in detail all aspects of a cooling tower system that may potentially contribute to the growth and dissemination of Legionella bacteria.

“Routine monitoring” means evaluation and other activities that must be completed periodically in accordance with the maintenance program and plan and this Chapter.

“Stagnant water” means water that is confined, standing, experiencing a period of low flow or usage, and not being actively circulated through the cooling tower system.

“Standard methods” means accepted protocols for sampling, recording, laboratory testing, reporting and other procedures related to environmental and water quality sampling, including, but not limited to, those set forth in Standard Methods for the Examination of Water and Wastewater 22nd Edition, 2012, a publication issued jointly by the American Public Health Association, the American Water Works Association and the Water Environment Federation and the Standards Microbiological Methods (TC 147/SC4) published by the International Organization for Standardization, or successor editions.

“System shutdown” means shutting off or closing and draining the cooling tower system when cooling is no longer needed.

“System start-up” means commissioning a new system, or putting the cooling tower system into operation after system shutdown or idling.

“Water quality parameters” means temperature, pH, conductivity, biocidal indicator, bacteriological indicator and other chemical and physical indicators of system process control.

§ 8-03 Maintenance Program and Plan.

For each cooling tower system the owner must have a maintenance program and plan prepared by a qualified person in accordance with sections 5, 6 and 7.2 of ANSI/ASHRAE 188-2015, the manufacturer’s instructions, and the requirements of this Chapter. The plan must be kept current and amended by a responsible or qualified person as needed to reflect any changes in the management and maintenance team, system design, operation or system control requirements for the cooling tower system. The plan must be kept in the building where a cooling tower or cooling tower system is located, or in an adjacent building or structure on the same campus, complex, lot, mall or on-site central engineering division, and must be made available to the Department for inspection upon and at the time of a request. At a minimum, the plan must include and describe:

  1. Management and maintenance team. Identification, including names and contact information (mail and email addresses and telephone numbers) and description of the function of each person on the cooling tower system management and maintenance team, including:

   (1) The owner of the building where each cooling tower system is located and any manager or other person designated by the owner as responsible for compliance with the requirements of Administrative Code § 17-194.1 and this Chapter.

   (2) Any person designated by the owner as a responsible person, as defined in 24 RCNY § 8-02.

   (3) Every consultant, service company and qualified person who cleans, disinfects, delivers chemicals or services the cooling tower system.

  1. Cooling tower system. Identification, specifications and description of each cooling tower system and all components located at a specific address, including:

   (1) The number of cooling towers in the cooling tower system.

   (2) The location of each cooling tower in relation to the building and the building address, block and lot number.

   (3) The dimensions and characteristics of the cooling tower system including total recirculating water volume, cooling tower tonnage, biocide delivery method, flow rate and other key characteristics.

   (4) The purpose of the cooling tower system and seasonal or year-round operation including start and end date, if applicable. For systems with multiple cooling towers, conditional operation, such as cycling or scaling related to cooling demand, must also be noted.

   (5) The New York City Department of Buildings registration number for each cooling tower.

   (6) The cooling tower manufacturer, model number and serial number, if applicable.

   (7) A flow diagram or schematic of the cooling tower system, identifying all of the principal components and appurtenances of the cooling tower system including makeup water and waste stream plumbing locations.

  1. Risk management assessment. The assessment must identify risk factors for Legionella proliferation and specify risk management procedures for all or parts of each cooling tower system, and anticipated conditions including:

   (1) Any dead legs or stagnant water in the recirculation system.

   (2) Operating configurations and conditions that may occur after periods of extended inactivity lasting more than three (3) days, including idling or low circulation while not being fully drained.

   (3) System parts that require continual operation throughout the year making regular, periodic offline cleaning and disinfection difficult.

   (4) Any components that may add additional risk factors for organic material buildup and microbial growth such as strainers and out-of-use filters.

   (5) Sources of elevated organic contamination, including, but not limited to windblown debris, bird waste and plant material.

   (6) Design configurations that present risk of direct sun exposure on basin, deck or fill.

   (7) Ventilation intakes or other routes for human exposure to cooling tower aerosols.

   (8) System components adversely affecting water quality management procedures.

   (9) Other risk or limiting factors or constraints in the cooling tower system’s design and functioning.

  1. Cooling tower operation.

   (1) Control measures, corrective actions, documentation, including a written checklist for routine monitoring, and reporting that comply with 24 RCNY §§ 8-04 through 8-08 and any routine maintenance activities recommended by the manufacturer’s instructions, including performance measures, which may sufficiently demonstrate adequate implementation of the operation requirements described in the maintenance program and plan. Where there is a conflict between the requirements of this Chapter, Part 4 of the State Sanitary Code, section 17-194.1 of the Administrative Code, and the manufacturer’s instructions, the maintenance program and plan must reflect the most stringent requirement.

   (2) Specific, detailed seasonal and temporary shutdown and start-up procedures.

   (3) Notification and communication strategies among management and maintenance team members regarding the required corrective actions in response to process control activities, monitoring, sampling results and other actions taken to maintain the cooling tower system.

§ 8-04 Process Control Measures.

(a) Routine system monitoring. An owner must designate a responsible person as defined in 24 RCNY § 8-02 to monitor each cooling tower system at least weekly while such system is in use.

   (1) The responsible person must enter on a written or electronic checklist provided and maintained by the owner all visual observations of the cooling tower system and associated equipment.

   (2) The responsible person must possess the skills and have the knowledge necessary to be able to monitor the system under the guidance of a qualified person, in accordance with the management program and plan.

   (3) All wetted surfaces visible during cooling tower operation without shutting down the system, tower basins and drift eliminators must be observed during monitoring and the presence of organic material, biofilm, algae, scale, sediment and silt/dust deposits, organics (oil and grease), and other visible contaminants observed must be noted on the checklist.

   (4) The responsible person must observe and note the condition of chemical dosing and control equipment and the bleed-off system, and determine if there is sufficient storage and delivery of treatment chemicals.

   (5) Any system anomalies or problems must be recorded on the checklist and reported to the management and maintenance team for immediate corrective action.

  1. Compliance inspections. An owner must retain a qualified person to conduct a compliance inspection at least once every ninety (90) days while a cooling tower system is in operation. The qualified person must complete and the owner must maintain a written or electronic checklist containing observations and findings with respect to any of the following:

   (1) Presence of organic material, biofilm, algae, and other visible contaminants.

   (2) General condition of the tower, the basin, packing material and drift eliminator.

   (3) Quality of water makeup connections and control.

   (4) Proper functioning of the conductivity control.

   (5) Proper functioning of all dosing equipment (pumps, strain gauges).

   (6) Review of routine maintenance records to ensure proper implementation of required activities and corrective actions as needed.

  1. Maintenance.

   (1) Routine maintenance. Cooling tower systems must be maintained and operated in accordance with the maintenance program and plan. Routine maintenance must address all components and operations, including, but not limited to, general system cleanliness, drift eliminator and fill material condition, overall distribution operation, water treatment system, basin/remote sump cleaning, and purging of stagnant and low-flow zones.

   (2) Replacement in kind. Any replacement part or equipment used in a cooling tower must comply with the manufacturer’s design and performance specifications. As applicable, replacement materials must be corrosion resistant and effectively prevent the penetration of sunlight. Any alteration or replacement of a cooling tower system must comply with the New York City Construction Codes.

  1. Cleaning. The cooling tower system must be cleaned whenever routine monitoring indicates a need for cleaning, but no less than twice a year, in accordance with the maintenance program and plan. Cleaning protocol indicated by the manufacturer’s instructions or industry standards, and worker protective measures, as required by applicable law must be specified in the maintenance program and plan. Water contact areas such as the basin, sump, fill, spray nozzles and fittings, drift eliminators and air intake louvres must be properly accessed or removed to facilitate cleaning.
  2. Aerosol and mist control. The cooling tower system must be operated at all times to minimize the formation and release of aerosols and mist. Owners must install and maintain drift eliminators in accordance with the manufacturer’s specifications and the New York City Construction Codes. The calculated drift loss at maximum design water circulation must not exceed the manufacturer’s tested value for maximum drift loss. Counter-flow cooling towers must achieve a reduction of drift loss to no more than 0.002% percent of the recirculated water volume; cross-flow cooling towers must achieve a reduction of drift loss to no more than 0.005% of the recirculated water volume.

§ 8-05 Water Treatment.

Prior to changing an existing chemical treatment system or introducing a new chemical treatment agent, cooling tower design, installation, operation, and maintenance must be evaluated by a qualified person to ensure compatibility between the chemicals and the cooling tower system’s materials, and to minimize microbial growth and the release of aerosols. The evaluation must describe the optimum level of chemicals to achieve the desired result in a manner which can be used as a system performance measure.

  1. Daily automatic treatment while in operation. Water in a cooling tower system must be treated at least once a day when the system is in operation and such treatment must be automated, unless the maintenance program and plan explicitly states how manual or less frequent biocide additions will provide effective control of Legionella growth.
  2. Recirculating system. A cooling tower system must be operated and programmed to continually recirculate the water irrespective of the building’s cooling demand of the system, unless the maintenance program and plan specifies in detail how the intended water treatment schedule will be carried out, and how effective biofilm and microorganism control will be achieved when the whole or a part of the system is idle during the scheduled chemical injection.
  3. Chemicals and biocides. Chemicals and biocides must be used in quantities and combinations sufficient to control the presence of Legionella, minimize biofilms, and prevent scaling and corrosion that may facilitate microbial growth. Only New York State Department of Environmental Conservation approved oxidizing chemicals may be used as the primary biocide control. For systems where oxidizing chemicals cannot be used as the primary biocide to control the presence of Legionella building owners must submit an alternative plan for effective bacteriological control for approval by the Department.

   (1) Biocide applications. Any person who performs cleaning and disinfection or applies biocides in a cooling tower system must be a commercial pesticide applicator or a pesticide technician certified in accordance with the requirements of Article 33 of the New York State Environmental Conservation Law and 6 NYCRR Part 325, or a pesticide apprentice under the supervision of a certified applicator.

   (2) Registered biocides. Only biocide products registered with the New York State Department of Environmental Conservation may be used to meet the disinfection requirements of this Chapter.

   (3) Records. Water treatment records must be kept for all chemicals and biocides added, noting the purpose of their use, the manufacturer’s name, the brand name, the safety data sheet, the date and time of each addition, and the amount added each week.

   (4) Chemical and biocide additions. Chemicals and biocides must be added in accordance with this section and the procedures described in the maintenance program and plan addressing, as applicable, feeding mechanism, feeding location, frequency, set timer, duration, triggering events, control procedures, and target biocide residuals. Water treatment chemicals and biocides must be used in accordance with the product label and manufacturer’s instructions.

  1. Non-chemical water treatment devices restricted. Only biocide products registered with the New York State Department of Environmental Conservation may be used to meet the disinfection requirements of this Chapter. Non-chemical water treatment devices that employ alternative technologies to control biological growth may not be used in lieu of chemical biocide unless approved by the Department. Nonchemical water treatment devices may be installed as part of a cooling tower system as specified in the management program and plan, provided that the required chemical water treatment also being used adequately controls for Legionella.
  2. Makeup water. Owners using water derived from rainwater capture or recycling water systems as a source of cooling tower system makeup water must install a drift eliminator and test and treat water in accordance with a specific alternative source water plan. This plan is in addition to the maintenance program and plan required by 24 RCNY § 8-03, and must be approved by the Department. The alternative water source plan must include provisions for adequate design of the treatment and control components and on-going evaluation to eliminate any risk to public health.
  3. Water quality monitoring.

   (1) Frequency. Water quality parameters, including but not limited to pH, temperature, conductivity and biocidal indicators, must be measured and recorded as specified in the management program and plan as follows:

      (A) Manual measurements. At least three times each week, provided that no more than two days pass without such measurement when the cooling tower system is operating.

      (B) Continuous, automated and/or remote measurements. When continuous, automated and/or remote measurements and recordings are used, the management program and plan must show how effective measurements of system process control are being monitored. Automated measurements must be properly recorded and results made immediately available to responsible and qualified persons and to Department inspectors when requested.

   (2) Minimum weekly biological process control indicators. A bacteriological indicator to estimate microbial content of recirculating water must be collected and interpreted in accordance with Table 8-2 at least once each week while the cooling tower system is operating. Indicators must be taken at times and from water sampling points, as detailed in the maintenance program and plan, that will be representative of water microbial content. Indicators may be taken at any time from constant chemical treatment systems. Indicators from systems that use intermittent biocide applications must be taken before biocide application and reflect normal cooling tower operating conditions.

   (3) Legionella samples.Legionella culture testing must be conducted no less frequently than every 90 days during cooling tower system operation. A Legionella sample must be analyzed by a U.S. Centers for Disease Control and Prevention ELITE Program certified laboratory, by the New York State Department of Health Wadsworth Center or other laboratory approved by the Department. Test results of all Legionella species at or above the magnitude of level 4 as indicated in Table 8-1 must be reported to the Department within 24 hours of receiving the test results. Additional emergency Legionella sampling must be conducted if any of the following occur:

      (A) Power failure of sufficient duration to allow for growth of bacteria;

      (B) Loss of biocide treatment sufficient to allow for growth of bacteria;

      (C) Failure of conductivity controls to maintain proper cycles of concentration;

      (D) At the request of the Department upon a determination that one or more cases of legionellosis is or may be associated with the cooling tower, based on epidemiological data or laboratory testing,

      (E) Any time two consecutive bacteriological indicator sample results are above Level 4 as indicated in Table 8-2; or

      (F) Any other conditions specified by the Department.

   (4) Monitoring and sampling locations. System monitoring and sampling locations must be representative of the entire cooling tower system. The system must be operating with water circulating in the system for at least one hour prior to water quality measurements or collection of samples.

   (5) Water quality corrective actions. The maintenance program and plan must identify the procedures, responsible parties, required response time(s) and notification protocol for corrective actions and must include, at a minimum, corrective actions that must be implemented according to the result levels in Table 8-1 and Table 8-2.

Table 8-1. Corrective actions required for Legionella culture results.

Level Legionella Culture Result1 Process Triggered by Legionella Culture Results
1 <10 CFU/ml Maintain water chemistry and biocide levels.
2 ≥10 CFU/ml to <100 CFU/ml Initiate immediate disinfection by increasing biocide concentration or using a different biocide within 24 hours; review treatment program; and retest water within 3 - 7 days. Subsequent test results must be interpreted in accordance with this Table until level 1 is reached.
3 ≥ 100 CFU/ml to <1,000 CFU/ml Initiate immediate disinfection by increasing biocide concentration or using a different biocide (within 24 hours), reviewing treatment program, performing visual inspection to evaluate need to perform cleaning and further disinfection. Retest water within 3 - 7 days. Subsequent test results must be interpreted in accordance with this Table until level 1 is reached.
4 ≥ 1,000 CFU/ml Initiate immediate disinfection by increasing biocides within 24 hours. Within 48 hours perform full remediation of the tower by hyperhalogenating2, draining, cleaning, and flushing. Review treatment program, retest water within 3 - 7 days. Subsequent test results must be interpreted in accordance with this Table until level 1 is reached. For Legionella results at this level, notify Department within 24 hours of receiving test result.3

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  1. Performed by a CDC ELITE Laboratory, or NYSDOH Wadsworth Laboratory, or another laboratory approved by the Department. Combine all species of Legionella detected.
  2. At a minimum, dose the cooling water system with 5 to 10 ppm Free Halogen Residual for at least 1 hour; pH 7.0 to 7.6.
  3. In a manner as specified on the Department’s website.

Table 8-2. Corrective actions required for bacteriological indicator results.

Level Heterotrophic Plate Count1 and Dip Slide Result Process Triggered by Test Results
1 <10,000 CFU/ml Maintain water chemistry and biocide levels.
2 ≥10,000 CFU/ml to <100,000 CFU/ml Initiate immediate disinfection by increasing biocide concentration or using a different biocide within 24 hours, review treatment program, retest water within 3 - 7 days. Subsequent test results must be interpreted in accordance with this Table until level 1 is reached.
3 ≥100,000 CFU/ml to <1,000,000 CFU/ml Initiate immediate disinfection by increasing biocide concentration or using a different biocide within 24 hours, reviewing treatment program, performing visual inspection to evaluate need to perform cleaning and further disinfection. Retest water within 3 - 7 days. Subsequent test results must be interpreted in accordance with this Table until level 1 is reached.
4 ≥1,000,000 CFU/ml Initiate immediate disinfection by increasing biocides within 24 hours. Within 48 hours perform remediation of the tower by hyperhalogenating2, cleaning, and flushing. Review treatment program, retest water within 3 - 7 days. Subsequent test results must be interpreted in accordance with this Table until level 1 is reached.

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  1. Performed by an appropriately accredited Laboratory (e.g. NELAP, AALA).
  2. At a minimum, dose the cooling water system with 5 to 10 ppm Free Halogen Residual for at least 1 hour; pH 7.0 to 7.6.

§ 8-06 System shutdown and start-up; commissioning and decommissioning cooling towers.

(a) Full system shutdown. Procedures to shut a cooling tower system must conform to the manufacturers' recommendations. When shut down, the system must be completely drained and protected from offline contamination.
  1. Full system startup. At a minimum, before cooling tower system start-up, an owner must clean and disinfect a cooling tower that has been shut down or idle for more than five days, in accordance with § 17-194.1 of the Administrative Code. Cleaning and disinfection must be done no later than 15 days before the first seasonal use of such tower. The maintenance program and plan must include detailed seasonal and idle period startup procedures that include, at a minimum:

   (1) Either fully clean and disinfect, drain to waste and disinfect, or sufficiently hyperhalogenate the recirculated water before startup; and

   (2) Before the startup of a cooling tower system after an extended shutdown of five or more days, collect samples for Legionella culture and take actions required by Table 8-1 when results are received; and

   (3) Before seasonal startup of a system that has been fully shut down, perform a pre-startup inspection by a qualified person.

  1. Commissioning new cooling towers. Newly installed cooling tower systems must be cleaned and disinfected prior to operation according to this section and the maintenance program and plan, and be registered with the Department of Buildings cooling tower registration system in accordance with § 28-317.3 of the Administrative Code.
  2. Removal or permanently discontinuing use of cooling towers. The owner of a cooling tower must notify the Department of Buildings electronically within 30 days after removing or permanently discontinuing use of a cooling tower in accordance with § 28-317.3.1 of the Administrative Code. Such notice must include a statement that the cooling tower has been drained and sanitized in accordance with this section.

§ 8-07 Records.

(a) Records. An owner must keep for at least three (3) years in the building where a cooling tower is located or in an adjacent building or structure on the same campus, complex, lot, mall or on-site central engineering division a record of any maintenance, inspection, deficiency, corrective action, water treatment, test result, cleaning or disinfection performed on the tower.
  1. Certification. The owner of a cooling tower must file an annual certification each year as specified by the Department of Buildings, indicating that such tower was inspected, tested, cleaned and disinfected in accordance with the maintenance program and plan, as required by § 28-317.5 of the Administrative Code. The certification must document any deviations from compliance with the maintenance program and plan and the corrective actions taken to address any deficiencies.
  2. Posting. The owner must post the Department of Buildings Cooling Tower Registration Number that has been assigned to that cooling tower on each cooling tower. The Registration Number must be posted on a sign or plate that is securely fastened to the cooling tower in a location that is conspicuously visible and must be constructed of a durable, weather resistant material.

§ 8-08 Modification.

The Commissioner or designee may grant a modification when strict application of any provision of this Chapter presents practical difficulties or unusual hardships. The Commissioner in a specific instance may modify the application of such provision consistent with the general purpose of this Chapter and in compliance with Administrative Code § 17-194.1 and upon such conditions as, in his or her opinion, are necessary to protect the health or safety of the public.

§ 8-09 Penalties.

The following penalties shall be imposed for sustained initial and repeat violations. All penalties, except for those alleging a violation of the State Sanitary Code, must be doubled if the respondent fails to appear to answer such violation and is found in default.

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24 RCNY § 8-03 No maintenance program and plan $1,000 $2,000
24 RCNY § 8-03 Maintenance program and plan incomplete or not on premises $500 $1,000
24 RCNY § 8-04(a) Routine monitoring not conducted, documented at least once a week when tower is in use $500 $1,000
24 RCNY § 8-04(b) Compliance inspections not conducted, documented at least once every 90 days when the tower is in use $500 $1,000
24 RCNY § 8-04(c) Routine maintenance according to maintenance program and plan not conducted or documented $500 $1,000
24 RCNY § 8-04(d) Twice yearly or other required cleaning not conducted or documented $500 $1,000
24 RCNY § 8-04(e) Aerosol control do not meet manufacturer’s design specifications or drift loss reduction requirements in new or existing towers when required $1,000 $2,000
24 RCNY § 8-05(a) Daily automatic or approved alternative water treatment plan not provided $500 $1,000
24 RCNY § 8-05(b) Cooling water system not continually recirculated and no acceptable alternative $500 $1,000
24 RCNY § 8-05(c)(1) Use of an unqualified biocide applicator $500 $1,000
24 RCNY § 8-05(c)(2) Use of an unregistered biocide product $500 $1,000
24 RCNY § 8-05(c)(3) No records of all chemicals and biocides added $500 $1,000
24 RCNY § 8-05(c)(4) Sufficient quantities and combinations of chemicals not added as specified in the maintenance program and plan $500 $1,000
24 RCNY § 8-05(d) Using unacceptable alternative nonchemical water treatment device $500 $1,000
24 RCNY § 8-05(e) Use of captured rainwater or recycled water as makeup water not in accordance with approved alternative water source plan $1,000 $2,000
24 RCNY § 8-05(f)(1) Minimum daily water quality measurements not taken or recorded $500 $1,000
24 RCNY § 8-05(f)(2) Failure to collect, analyze or record weekly biological process control indicators $500 $1,000
24 RCNY § 8-05(f)(3) Legionella samples not collected or analyzed, or results not recorded or reported to the Department as required $1,000 $2,000
24 RCNY § 8-05(f)(4) Failure to monitor and sample from representative locations and times $500 $1,000
24 RCNY § 8-05(f)(5) Required corrective actions not taken based on bacteriological results $1,000 $2,000
24 RCNY § 8-06(a) Improper or inadequate shutdown procedures $500 $1,000
24 RCNY § 8-06(b)(1) Improper or inadequate start-up procedures $500 $1,000
24 RCNY § 8-06(b)(2) Legionella samples not collected, analyzed before system start-up $500 $1,000
24 RCNY § 8-06(c) New cooling tower not or inadequately cleaned and disinfected prior to operating $500 $1,000
24 RCNY § 8-07(a) Failure to document all inspections, logs, tests, cleaning, and disinfection in accordance with the maintenance program and plan $500 $1,000
24 RCNY § 8-07(a) Failure to retain records for at least 3 years $500 $1,000
24 RCNY § 8-07(a) Required records not kept at the cooling tower premises $500 $1,000
24 RCNY § 8-07(c) Department of Buildings Cooling Tower Registration Number not posted as required $500 $1,000
24 RCNY § 8-07(d) Records not made immediately available to Department upon request $500 $1,000
State Sanitary Code Part 4 Miscellaneous provisions $250 $250

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Chapter 9: Raw Salt-cured Air-dried Fish

§ 9-01 Definitions.

Food and adulterated. When used in this regulation, the words “food” and “adulterated” shall have the meanings ascribed to them in 24 RCNY Health Code §§ 71.03 and 73.03.

§ 9-02 Determination and Declaration.

Ready-to-eat raw, whole, uneviscerated, salt-cured, air-dried fish, which may or may not be lightly smoked and is commonly sold under the names “kopchonka” “ribeyza” “rostov” and “rybetz” is hereby determined and declared to be “unfit for food” and, accordingly, is “adulterated” as that term is defined in 24 RCNY Health Code § 73.03(4).

§ 9-03 Prohibition.

It is hereby prohibited for any person to produce, pack, possess, sell, offer for sale, deliver or give away this fish product, pursuant to 24 RCNY Health Code § 71.05(a).

Chapter 10: Smoking Under the New York City Smoke-Free Air Act

§ 10-01 Definitions and Construction of Words and Terms.

(a)  Act. "Act" shall mean the Smoke-Free Air Act, as provided in Chapter 5, Title 17 of the New York City Administrative Code (the "Administrative Code"), as amended by Local Law No. 47 of 2002.
  1. Bar. “Bar” shall have the meaning set forth in § 17-502(b) of the Act or subdivision (1) of § 1399-n of the New York State Public Health Law, whichever is more inclusive.
  2. Commissioner. “Commissioner” shall mean the Commissioner of the New York City Department of Health and Mental Hygiene.
  3. Compensation. “Compensation” shall mean any money, gratuities, privileges or benefits received in return for work performed or services rendered.
  4. Department. “Department” shall mean the New York City Department of Health and Mental Hygiene.
  5. Employee. “Employee” shall mean an employee as defined in § 17-502(h) of the Act. There shall be a rebuttable presumption that any person who performs work or renders services for compensation, for any period(s) of time, at the direction of an operator of an entity or facility which is subject to the provisions of the Act, is an employee of such entity.
  6. Enclosed room. “Enclosed room” shall mean a room which is completely enclosed on all sides by solid floor-to-ceiling walls, windows, or solid floor-to-ceiling partitions, and which complies with all applicable Building Code and Fire Code requirements. Any such windows in such room shall remain closed while people are smoking in the room unless the windows open to the exterior. Any doors shall remain closed while people are smoking in the room except to the extent necessary to permit ingress and egress to and from such room. Such room shall be ventilated in a manner that shall prevent emission of smoke to any other interior part of the facility.
  7. Entrance. “Entrance” shall mean every means of entering or exiting a room, facility, or premises ordinarily used by the public and/or employees.
  8. Incidental service and/or sales of food and/or drink. For the purpose of 24 RCNY § 10-04, service of food and/or drink shall be deemed “incidental” to the purpose of promoting and sampling tobacco products, where such food and/or drink is pre-packaged or requires no on-site preparation or monitoring, and there is no service or self-service of potentially hazardous foods, as defined in 24 RCNY Health Code § 81.09, within the enclosed room in which the event is held.
  9. Membership association. “Membership association” shall have the meaning set forth in § 17-502(ff) of the Act.
  10. On-site agent. “On-site agent” shall mean an employee designated by a building operator, owner or manager to inform persons that smoking is prohibited on the building premises.
  11. Open for business. For the purpose of § 23 of Local Law 47 of 2002 and 24 RCNY § 10-02(c), the term “open for business” shall include any time that employees are present in such establishment or any time the establishment is open to the public.
  12. Overhang. “Overhang” shall mean any roof, ceiling or other complete or partial covering of, or over, an outdoor dining area of a restaurant.
  13. Outdoor dining area. “Outdoor dining area” shall mean any patio, courtyard, sidewalk cafe, backyard, rooftop or terrace, or other outdoor area of a restaurant, with or without seating, that is designated for the consumption or service of food or drink.
  14. [Repealed.]
  15. Permittee. “Permittee” shall mean a person who holds a valid permit issued pursuant to 24 RCNY Health Code Articles 5 and 81 to operate a bar, restaurant or other food service establishment or who holds a valid permit issued pursuant to Section 17-513.5 of the New York City Administrative Code to operate a non-tobacco hookah establishment.
  16. Place of employment. “Place of employment” shall have the meaning set forth in § 17-502(m) of the Act.
  17. Principal owner. “Principal owner” shall have the meaning set forth in § 17-502(hh) of the Act.
  18. Rules. “Rules” shall mean Chapter 10 of Title 24 of the Rules of the City of New York.
  19. [Repealed.]
  20. State law. “State law” shall mean Article 13-E of the Public Health Law of the State of New York (“Regulation of Smoking in Certain Public Areas”), as amended.
  21. Tobacco bar. “Tobacco bar” shall have the meaning set forth in § 17-502(jj) of the Act.
  22. Electronic cigarette. “Electronic cigarette” has the meaning described in § 17-502(qq) of the Act.
  23. Restaurant. “Restaurant” has the meaning described in § 17-502(r) of the Act.
  24. Retail tobacco store. “Retail tobacco store” has the meaning described in § 17-502(u) of the Act.
  25. Retail electronic cigarette store. “Retail electronic cigarette store” has the meaning described in § 17-502(rr) of the Act.

(aa) Hookah. “Hookah” shall mean a type of water pipe with a long flexible tube for drawing smoke through water and cooling it.

(bb) Non-tobacco hookah establishment. “Non-tobacco hookah establishment” shall mean an establishment that, as of October 17, 2017, generated fifty percent or more of its total annual gross sales during the preceding calendar year from the on-site sale of non-tobacco smoking products, continues to meet that fifty percent threshold for gross annual sales annually, and that has a permit issued by the Department.

  1. Non-tobacco smoking product. “Non-tobacco smoking product” shall mean any product that does not contain tobacco or nicotine and that is designed for human use or consumption by the inhalation of smoke, including but not limited to (i) pipes, water pipes, rolling papers, and any other component part, or accessory of such product and (ii) shisha, as defined in subdivision z of Section 17-702 of the Administrative Code.

(dd) Shisha. “Shisha” shall mean any product made primarily of tobacco or other leaf, or any combination thereof, smoked or intended to be smoked in a hookah or water pipe as set forth in subdivision z of Section 17-702 of the Administrative Code.

(ee) Smoking. “Smoking” means inhaling, exhaling, burning, or carrying any lit or heated cigar, cigarette, little cigar, pipe, water pipe, herbal cigarette, non-tobacco smoking product, or any similar form of lighted object or device designed for human use or consumption by the inhalation of smoke.

§ 10-02 Smoking, and Using Electronic Cigarettes, Prohibited.

(a)  Except as otherwise specifically provided in the Act, in these rules, or in other applicable law, smoking shall be prohibited in all indoor areas of all public places and places of employment, and certain outdoor areas in accordance with §§ 17-503(a) and 17-504 of the Act, and other applicable law, and all enclosed areas regulated by the State law, the Act and these rules, including areas which have any full or partial overhead ceiling, roof or other covering. Except as otherwise specifically provided in the Act, in these rules, or in other applicable law, using electronic cigarettes shall be prohibited in all indoor areas of all public places and places of employment, and certain outdoor areas in accordance with §§ 17-503(a) and 17-504 of the Act, and other applicable law, and all enclosed areas regulated by the Act and these rules, including areas that have any full or partial overhead ceiling, roof or other covering.
  1. Smoking shall be prohibited in a tobacco business, as defined by § 17-502(aa) of the Act; except that smoking shall be permitted on no more than two floors of a building occupied by such tobacco business, and only within areas of such floors which are designated by such business for the purpose of testing or development of tobacco or tobacco products and only if such tobacco business has applied for and has been issued a waiver of the State law prohibition on smoking in such premises, in accordance with § 1399-u of the State law and 24 RCNY § 10-15.

§ 10-03 Smoking, and Using Electronic Cigarettes, Not Regulated.

Smoking, and using electronic cigarettes, are not regulated in:

  1. Private residences, provided, however, that smoking, and using electronic cigarettes, are prohibited in private residences housing child day care centers, as defined in § 17-502(d) of the Act, or health care facilities, in accordance with § 17-505 of the Act;
  2. Hotel and motel guest rooms;
  3. Private automobiles;
  4. Registered retail tobacco stores, as defined in 24 RCNY § 10-01(y); and
  5. Registered retail electronic cigarette stores, as defined in 24 RCNY § 10-01(z), provided however, that only the use of electronic cigarettes is not regulated in such stores.

§ 10-04 Tobacco, and Electronic Cigarette, Promotion Public Events.

Smoking, and using electronic cigarettes, may be permitted in an enclosed room, as defined in 24 RCNY § 10-01(g), in a restaurant, bar, cabaret, catering hall, convention hall, hotel or motel conference room, or other such similar facility, where smoking is otherwise prohibited, when the public is invited to attend a specific event held for the primary purpose of promoting and sampling tobacco products or electronic cigarettes, provided that:

  1. Notice of the public event shall be provided to the Department on forms furnished by the Department. Completed forms shall be received by the Department no later than two (2) weeks prior to the event.

   (i) The Department may charge a fee not to exceed $100.00 per notice.

   (ii) Signs shall be posted in accordance with 24 RCNY § 10-12 and shall contain one of the following messages:

      (A) “SMOKING PERMITTED AT THIS EVENT. NOTICE OF THIS EVENT HAS BEEN FILED WITH THE NEW YORK CITY DEPARTMENT OF HEALTH AND MENTAL HYGIENE IN ACCORDANCE WITH THE NEW YORK CITY SMOKE-FREE AIR ACT.”

      (B) “ELECTRONIC CIGARETTE USE PERMITTED AT THIS EVENT. NOTICE OF THIS EVENT HAS BEEN FILED WITH THE NEW YORK CITY DEPARTMENT OF HEALTH AND MENTAL HYGIENE IN ACCORDANCE WITH THE NEW YORK CITY SMOKE-FREE AIR ACT.”

      (C) “SMOKING AND ELECTRONIC CIGARETTE USE PERMITTED AT THIS EVENT. NOTICE OF THIS EVENT HAS BEEN FILED WITH THE NEW YORK CITY DEPARTMENT OF HEALTH AND MENTAL HYGIENE IN ACCORDANCE WITH THE NEW YORK CITY SMOKE-FREE AIR ACT.”

  1. Service of food and drink shall be incidental to the promotion and sampling of tobacco products or electronic cigarettes.
  2. If tobacco products are to be distributed at the event for sampling, such distribution shall be in compliance with all laws and rules relating to the distribution of tobacco products, including but not limited to §§ 17-176 [17-618]; and 20-202 of the Administrative Code and § 1399-bb of the Public Health Law.
    1. No such facility shall be authorized to permit smoking pursuant to this section on more than two (2) days in any calendar year unless such facility has applied for and has been issued a waiver of the State law, in accordance with § 1399-u of the State law and 24 RCNY § 10-15, allowing such events to be held in any facility on no more than five (5) days in any calendar year.

   (ii) No such facility will be authorized to permit electronic cigarette use on more than five (5) days in any calendar year.

§ 10-05 Enclosed Rooms for Patients of Certain Residential Health Care Facilities and Day Treatment Programs.

Smoking, and using electronic cigarettes, may be permitted in an enclosed room, as defined in 24 RCNY § 10-01(g), in certain residential health care facilities offering health related services, as defined in § 17-502(q) and (dd) of the Act, and facilities providing day treatment programs, as defined in § 17-502(cc) of the Act, which room has been designated for smoking, and using electronic cigarettes, by patients, in accordance with the following terms and conditions:

  1. Smoking, and electronic cigarette use, rooms shall comply with all applicable Building Code and Fire Code requirements.
  2. Smoking rooms shall have the prior approval of the New York City Fire Department and, on request of any person authorized to enforce the Act, the operator or person in charge of the facility shall make available for inspection the most recent inspection report from the Fire Department showing such approval.
  3. No persons other than patients of such facilities shall be allowed to smoke or use electronic cigarettes in such rooms.
  4. Signs shall be posted in accordance with 24 RCNY § 10-12 and shall contain one of the following messages:

   (i) “SMOKING PERMITTED. IN ACCORDANCE WITH THE NEW YORK CITY SMOKE-FREE AIR ACT, ONLY PATIENTS OF THIS FACILITY MAY SMOKE IN THIS ROOM.”

   (ii) “ELECTRONIC CIGARETTE USE PERMITTED, IN ACCORDANCE WITH THE NEW YORK CITY SMOKE-FREE AIR ACT, ONLY PATIENTS OF THIS FACILITY MAY USE ELECTRONIC CIGARETTES IN THIS ROOM.”

   (iii) “SMOKING AND ELECTRONIC CIGARETTE USE PERMITTED. IN ACCORDANCE WITH THE NEW YORK CITY SMOKE-FREE AIR ACT, ONLY PATIENTS OF THIS FACILITY MAY SMOKE OR USE ELECTRONIC CIGARETTES IN THIS ROOM.”

  1. In addition, operators of residential health care facilities defined in § 17-502(q) of the Act, which are prohibited by the State law from allowing smoking on premises under their management or control, may apply to the Department for a waiver of the State law pursuant to 24 RCNY § 10-15. If a waiver of the State law is granted, such rooms shall be constructed and operated in accordance with subdivisions (a), (b), (c), and (d) of this section.

§ 10-06 Owner Operated Bars. [Repealed]

Smoking shall be permitted in tobacco bars, as defined in § 17-502(jj) of the Act and 24 RCNY § 10-01, which were in existence in the calendar year ending December 31, 2001, and in which ten (10) or more percent of the bar’s total gross annual income was derived from the on-site sale of tobacco products and rental of humidors, in accordance with the following terms and conditions:

  1. The applicant for registration shall show that the tobacco bar has been operated pursuant to a permit issued by the Commissioner in accordance with 24 RCNY Health Code Articles 5 and 81 by the current and any prior owner since the calendar year ending December 31, 2001.
  2. Applications to register shall be submitted on forms provided by the Department with such supporting documentation as the Department may require, including but not limited to, copies of tax returns filed with the state and federal governments for such periods of time as the Department may require; copies of tax returns, reports, or other proof submitted to demonstrate compliance with all applicable federal, State and local laws governing the taxation, sale and distribution of tobacco products; and a current retail license to sell tobacco products issued pursuant to § 20-202 of the Administrative Code by the Department of Consumer Affairs; other documentation demonstrating that ten (10) or more percent of the bar’s total gross annual income was derived from the on-site sale of tobacco products and rental of humidors; architectural or engineering plans showing the size of the premises occupied by the bar on the date of application for registration; and copies of leases in effect at the time of the initial and annual registration. The Department shall afford such documents such confidentiality as may be provided by applicable law.
  3. Any change in permittee shall require notice to the Department, in writing, no later than ten (10) business days prior to any change in permittee.
  4. Any change in location or increase in the size of an existing tobacco bar shall be a violation of these rules and grounds for revocation of the registration of the bar. The permittee shall notify the Department, in writing, no later than ten (10) business days prior to any change in location or increase in the size of an existing tobacco bar.
  5. Registrations shall not be transferable.
  6. Registrations shall expire one (1) year from the date the Department issues its approval of such registration. Applications for annual re-registration shall be received by the Department no later than forty-five (45) days prior to their expiration date.

   (i) The Department may charge a fee not to exceed $100.00 for each application.

   (ii) Signs shall be posted in accordance with 24 RCNY § 10-12 and shall state: “SMOKING PERMITTED. THIS IS A TOBACCO BAR REGISTERED WITH THE NEW YORK CITY DEPARTMENT OF HEALTH AND MENTAL HYGIENE IN ACCORDANCE WITH THE NEW YORK CITY SMOKE-FREE AIR ACT.”

  1. Smoking shall be prohibited in any entity alleging eligibility to register as a tobacco bar until an application for registration has been submitted and the Department has notified the applicant that the Department has approved such application. The Department shall review the application submitted and shall notify the applicant within forty-five (45) days as to whether such application has been approved or has been denied, provided all information requested has been submitted. If the Department determines, upon review of the documents submitted, and/or upon investigation, that such applicant does not qualify for registration in accordance with the definitions of the Act and these rules, it shall notify the applicant of this determination.
  2. A copy of the current registration shall, on request, be made available to any person authorized to enforce the Act.
  3. The Department’s determination about the application for registration of any tobacco bar shall be a “final agency determination.”

§ 10-08 Membership Associations.

Smoking may be permitted in not-for-profit membership associations, as defined in § 17-502(ff) of the Act and 24 RCNY § 10-01, in accordance with the following terms and conditions:

  1. An entity which believes itself to be a not-for-profit membership association shall apply to the Department to register to allow smoking on its premises by its members and their guests.
  2. The application to register shall be submitted to the Department on such forms as the Department provides, and shall include such documentation as the Department may require to demonstrate the eligibility of the entity for such registration. Such submissions shall include, but not be limited to, copies of the entity’s by-laws, copies of tax returns filed with the state and federal governments for such periods of time as the Department may require; copies of all insurance policies covering the premises occupied by the entity; copies of documents filed with the Secretary of State and the Attorney General, if applicable, to demonstrate its status as a not-for-profit entity and purpose. The Department shall afford such documents such confidentiality as may be provided by applicable law.
  3. Registrations shall expire two (2) years from the date the Department issues its approval of such registration. Applications for re-registration shall be received by the Department no later than forty-five (45) days prior to their expiration date.

   (i) The Department may charge a fee not to exceed $100.00 for each application.

   (ii) Signs shall be posted in accordance with 24 RCNY § 10-12 and shall state: “SMOKING PERMITTED. THIS IS A MEMBERSHIP ASSOCIATION WHICH IS REGISTERED WITH THE NEW YORK CITY DEPARTMENT OF HEALTH AND MENTAL HYGIENE IN ACCORDANCE WITH THE NEW YORK CITY SMOKE-FREE AIR ACT.”

  1. The entity shall notify the Department, in writing, no later than ten (10) business days after any change in the employee information entered on the application for registration, or if any persons are engaged as “employees” to perform work or render any services on any premises controlled by the entity. It is a violation of these rules and grounds for revocation of the registration if the entity engages any employees to perform work or render any services on such premises.
  2. Smoking shall be prohibited in any entity alleging eligibility to register as a not-for-profit membership association until an application for registration has been submitted and the Department has notified the entity that the Department has approved such application. The Department shall review the application submitted and shall notify the entity within forty-five (45) days as to whether such application has been approved or has been denied, provided all information requested has been submitted. If the Department determines, upon review of the documents submitted, and/or upon investigation, that such entity does not qualify for registration in accordance with the definitions of the Act and these rules, it shall notify the entity of this determination.
  3. A copy of the current registration shall, on request, be made available to any person authorized to enforce the Act.
  4. The Department’s decision about whether an entity qualifies for registration shall be a “final agency determination.”
  5. Smoking in any indoor premises owned or operated by a membership association shall be limited to times when the association’s premises are being used only by its members and guests. “Members’ guests” shall not include members of the public invited to attend events open to the public, including, but not limited to, bingo games, theatrical productions, carnivals, rummage sales, or similar events.
  6. The Commissioner may rescind the registration of a membership association which has been found in violation of subdivision (h) of this section more than three (3) times in any two-year period.

§ 10-09 Separate Smoking Rooms in Bars. [Repealed]

Smoking, and using electronic cigarettes, may be allowed in contiguous “outdoor dining areas,” pursuant to § 17-503(c) of the Act and as defined in 24 RCNY § 10-01 provided that each such area:

  1. Represents a separate and discrete area of a restaurant, as defined in § 17-502(r) of the Act, in which all tables and/or chairs in the outdoor smoking and electronic cigarette use area are located three (3) or more feet apart from all tables and/or chairs in the indoor and outdoor non-smoking and non-electronic cigarettes use areas, measured from the closest leading edges of all tables in the non-smoking and non-electronic cigarette use areas to the closest leading edges of all tables in the area where smoking, and using electronic cigarettes, is permitted and seating, if provided, is arranged so that no chairs in the smoking and electronic cigarette use area may be deliberately or inadvertently placed within the three (3) foot separation area;
  2. Constitutes no more than twenty-five (25) percent of the total outdoor seating or standing capacity of each outdoor area designated for food or drink consumption;
  3. Has no roof, ceiling, overhead structure, or other overhang as defined in 24 RCNY § 10-01 which either fully or partially covers any part of an outdoor dining area where smoking, and using electronic cigarettes, is permitted; and
  4. Is clearly designated by signage as an area where smoking, and using electronic cigarettes, is permitted.
  5. Staff of the establishment shall ask patrons and prospective patrons, prior to seating, whether they prefer seating in a smoking and electronic cigarette use, or no-smoking and no electronic cigarette use, part of an outdoor dining area, or in an area where smoking is not permitted but electronic cigarette use is permitted, if the restaurant has established such an area.

§ 10-11 Ashtrays.

(a)  Ashtrays offered for sale. Ashtrays shall not be used or provided for use in any smoke-free area. Ashtrays which are offered for sale in a smoke-free area other than a retail store shall be kept within a display case or in an area visible but not otherwise accessible to a customer (such as a shelf behind a cash register).
  1. Ashtrays in hotels and motels. Ashtrays are prohibited in all smoke-free areas of hotels and motels, except that ashtrays may be placed immediately adjacent to hotel and motel public entrances and elevators. The following signs shall be posted at every location in a hotel or motel where ashtrays are permitted: NO SMOKING SMOKING IS PROHIBITED IN ALL AREAS OF THIS HOTEL (MOTEL) EXCEPT IN GUEST ROOMS DESIGNATED AS SMOKING ROOMS PLEASE EXTINGUISH YOUR CIGARETTE, CIGAR OR PIPE

§ 10-12 Signs.

(a)  "NO SMOKING" and "NO ELECTRONIC CIGARETTE USE" signs or "NO SMOKING OR ELECTRONIC CIGARETTE USE" signs indicating that smoking, and using electronic cigarettes, are prohibited shall be conspicuously posted so that they are clearly visible in lobbies and other appropriate locations of buildings and structures where smoking, and using electronic cigarettes, are prohibited by the Act and these rules.
  1. “SMOKING PERMITTED” or “ELECTRONIC CIGARETTE USE PERMITTED” signs or “SMOKING AND ELECTRONIC CIGARETTE USE PERMITTED” signs shall be posted outside the entrances to and within [;separate smoking rooms and]; enclosed rooms for smoking and electronic cigarette use. Such signs shall also be posted within tobacco and electronic cigarette promotion public events, as defined in the Act and these rules. “SMOKING PERMITTED” signs must also be posted within registered tobacco bars and registered membership associations, as defined in the Act and these rules.
  2. All signs required to be posted pursuant to the Act shall conform to the following specifications:

   (i) Lettering and symbols shall be at least one-half (1/2) inch in height and shall be color contrasted so that all information is clear, conspicuous, and easily readable.

   (ii) The size of lettering or symbols on “SMOKING PERMITTED” and “ELECTRONIC CIGARETTE USE PERMITTED” and “SMOKING AND ELECTRONIC CIGARETTE USE PERMITTED” signs shall not exceed the size of lettering or symbols on “NO SMOKING” and “NO ELECTRONIC CIGARETTE USE” and “NO SMOKING OR USING ELECTRONIC CIGARETTES” signs in the same establishment.

   (iii) Signs shall be printed on durable material.

   (iv) Wording and symbols listed below are Department-approved. However, except for the Warning set forth in subparagraph (c)(iv)(D) of this section, other similar wording may be used.

      (A) No smoking signs:

         (1) International symbol or

         (2) “NO SMOKING”

      (B) Smoking permitted sign, including the warning in subparagraph (D) of this paragraph:

         (1) “SMOKING PERMITTED IN THIS ROOM” or

         (2) “SMOKING PERMITTED”

      (C) No smoking except in enclosed room for smoking sign, to be posted within establishments where smoking is permitted by the Act and these rules: “NO SMOKING EXCEPT IN ENCLOSED ROOM”

      (D) All “SMOKING PERMITTED” and “SMOKING AND ELECTRONIC CIGARETTE USE PERMITTED” signs shall include the following warning: “WARNING: TOBACCO SMOKE CAUSES CANCER, HEART DISEASE, AND LUNG DISEASE, AND CAN HARM YOUR BABY.”

      (E) No electronic cigarette use signs: “NO ELECTRONIC CIGARETTE USE”

      (F) Electronic cigarette use permitted sign:

         (1) “ELECTRONIC CIGARETTE USE PERMITTED IN THIS ROOM” or

         (2) “ELECTRONIC CIGARETTE USE PERMITTED” or

      (G) No using electronic cigarettes except in enclosed room for electronic cigarette use sign, to be posted within establishments where electronic cigarette use is permitted by the Act and these rules: “NO ELECTRONIC CIGARETTE USE EXCEPT IN ENCLOSED ROOM”

      (H) No smoking and electronic cigarette use signs: “NO SMOKING OR ELECTRONIC CIGARETTE USE”

      (I) Smoking and electronic cigarette use permitted signs, including the warning in subparagraph (D) of this paragraph:

         (1) “SMOKING AND ELECTRONIC CIGARETTE USE PERMITTED IN THIS ROOM” or

         (2) “SMOKING AND ELECTRONIC CIGARETTE USE PERMITTED”

      (J) No smoking and using electronic cigarettes except in enclosed room for smoking and electronic cigarette use sign, to be posted within establishments where smoking and electronic cigarette use is permitted by the Act and these rules: “NO SMOKING OR USING ELECTRONIC CIGARETTES EXCEPT IN ENCLOSED ROOM”

  1. Signs shall not be required to be posted in areas not regulated by the Act or these rules.

§ 10-13 Enforcement.

(a)  Every owner, operator, employer, manager, or other person in control of a building, public place, or place of employment, or on-site agent shall comply with the applicable information and notification provisions of § 17-507 of the Act.
  1. Every employer shall establish and/or update a written smoking policy that conforms with the Act and these rules. Every employer must establish and/or update a written electronic cigarette use policy that conforms with the Act and these rules.
  2. Any certification of correction required pursuant to § 17-508(g) of the Act shall be filed with the Department within twenty (20) days of the date the order to correct was issued.

   (i) The certification shall include the name and address of the premises and the docket number of the notice of violation and attach a copy of the order to correct and the Department’s inspection report; shall be typed or clearly printed in ink; shall list and state for each violation that such violation has been corrected and briefly describe how the correction was accomplished, and shall indicate how respondent plans to prevent such violation(s) from recurring.

   (ii) Such supporting documentation as the Department may require shall be submitted with the certification.

   (iii) The certification shall be signed and dated by the permittee, owner, director, officer, partner, manager, operator or other person having control, and shall be sworn to before a notary public.

   (iv) The certification shall be mailed or delivered to the Department at the address specified on the order to correct.

  1. Violations of the Act shall be punishable as provided in the Act. Violations of these rules which are not also violations of the Act shall be subject to a penalty not to exceed one thousand dollars ($1,000), in accordance with § 555(b)(2) of the New York City Charter.
  2. Where the Commissioner has issued a license or permit pursuant to 24 RCNY Health Code Articles 5 and 81, he or she may suspend or revoke such permit for such reasons as she or he determines is sufficient grounds for suspension or revocation, in accordance with 24 RCNY Health Code § 5.17(b). Such reasons may include, but not be limited to, willful or continuous violations of the Smoke-Free Air Act and these rules.

§ 10-14 Construction.

(a)  The provisions of these rules shall not be interpreted or construed to permit smoking or electronic cigarette use where it is prohibited or otherwise restricted by other applicable laws, rules or regulations.
  1. If any provision of this Chapter is adjudged invalid by any court of competent jurisdiction, such judgment shall not affect or impair the validity of the remainder of this Chapter.

§ 10-15 Waiver of State law. [Repealed]

*§ 10-16 Retail Tobacco Store Registration.* ::
  1. Smoking, and using electronic cigarettes, are permitted in retail tobacco stores that have registered with the Department in accordance with the following terms and conditions.

   (i) Applications to register must be submitted on paper or electronically in a form approved or provided by the Department. Applications must include:

      (A) the name and address of the store;

      (B) name, address, phone number and email address of the store’s owner; and

      (C) an affirmation from the store’s owner that on-site tobacco product sales generate more than fifty (50) percent of the store’s total annual gross sales, or, for stores that have been in operation for less than one (1) year, that based on the store’s inventory and business plan, tobacco sales will likely generate more than fifty (50) percent of the store’s total annual gross sales.

   (ii) Applicants must submit to the Department, within five (5) days of demand, supporting documentation, including but not limited to:

      (A) a current retail license to sell cigarettes issued by the Department of Consumer Affairs pursuant to § 20-202 of the Administrative Code;

      (B) copies of tax returns filed with the local, state and federal governments;

      (C) reports or other documents that demonstrate compliance with all applicable federal, state and local laws governing the taxation, sale and distribution of tobacco products; and

      (D) documentation, including sales records, internal accounting reports, or analyses of inventory, sales and wholesale purchases, demonstrating that more than fifty (50) percent of the store’s total gross annual income was derived from the on-site sale of tobacco products.

  1. Registered retail tobacco stores must update their application to reflect any change in the information entered on the application for registration no later than ten (10) business days after any such change.
  2. Registered retail tobacco stores must maintain written or electronic records of inventory, annual sales and purchases, for each product offered for sale, and submit such records to the Department within five (5) days of a demand for such records. The Department may review such records to verify the total annual gross sales of registered retail tobacco stores.
  3. Maintaining a retail tobacco store registration while failing to derive more than fifty (50) percent of total gross annual income from the on-site sale of tobacco products is a violation of these rules and grounds for revocation of the store’s registration.

§ 10-17 Retail Electronic Cigarette Store Registration.

(a) Electronic cigarette use is permitted in retail electronic cigarette stores that have registered with the Department in accordance with the following terms and conditions.

   (i) Applications to register must be submitted on paper or electronically and in a form approved or provided by the Department. Applications must include:

      (A) the name and address of the store;

      (B) the name, address, phone number and email address of the store’s owner; and

      (C) an affirmation from the store’s owner that on-site electronic cigarette sales generate more than fifty (50) percent of the store’s total annual gross sales, or, for stores that have been in operation for less than one (1) year, that based on the store’s inventory and business plan, electronic cigarette sales will likely generate more than fifty (50) percent of the store’s total annual gross sales.

   (ii) Applicants must submit to the Department, within five (5) days of demand, supporting documentation, including but not limited to:

      (A) copies of tax returns filed with the local, state and federal governments; and

      (B) documentation, including sales records, internal accounting reports, or analyses of inventory, sales and wholesale purchases, demonstrating that more than fifty (50) percent of the store’s total gross annual income was derived from the on-site sale of electronic cigarettes.

  1. Registered retail electronic cigarette stores must update their application to reflect any change in the information entered on the application for registration no later than ten (10) business days after any such change.
  2. Registered retail electronic cigarette stores must maintain written or electronic records of inventory, annual sales and purchases, for each product offered for sale, and submit such records to the Department within five (5) days of a demand for such records. The Department may review such records to verify the total annual gross sales of registered retail electronic cigarette stores.
  3. Maintaining a retail electronic cigarette store registration while failing to derive more than fifty (50) percent of total gross annual income from the on-site sale of electronic cigarettes is a violation of these rules and grounds for revocation of the store’s registration.

§ 10-18 Requirements for an Owner of an Establishment to Operate a Non-Tobacco Hookah Establishment.

(a) The owner of an establishment that, as of October 17, 2017, generated 50% or more of its total annual gross sales from the on-site sale of non-tobacco smoking products during the same calendar year may apply for a permit to operate a non-tobacco hookah establishment. Such application must be submitted to the Department no later than October 11, 2018. The applicant for a permit may be an individual proprietor of the establishment or any corporate entity that owns the establishment.
  1. In addition to other information, the application may require an audited financial statement or other certification prepared by a certified public accountant and signed by both the accountant and the owner, attesting to the accuracy of the information provided by the owner.
  2. Upon request by the Department, the owner must provide documents supporting the financial statement or other certification required by the Department.
  3. Upon receipt of a permit from the Department, the owner of a non-tobacco hookah establishment must post the permit in the establishment in a manner that is visible to the public.
  4. A permit to operate a non-tobacco hookah establishment shall be valid for one year from the date it is granted and may be renewed for additional one year periods.
  5. In addition to other information, the application for a renewal of such permit may require that the owner of a non-tobacco hookah establishment show that:

   (1) Such establishment generated 50% or more of its total annual gross sales during the preceding calendar year from the on-site sale of non-tobacco smoking products;

   (2) Such establishment has been operating as a non-tobacco hookah establishment since at least October 17, 2017, and has not expanded its size or changed its location on or after such date;

   (3) Such establishment has not been found to have served shisha containing tobacco or nicotine, in violation of subdivision a of Section 17-508 or subdivision 1 of Section 1399-s of the Public Health Law, after April 16, 2018;

   (4) Such establishment does not owe a civil penalty for a violation of any provision of this chapter or of Chapter 7 of Title 17; and

   (5) The permit issued pursuant to Section 17-513.5 has not been revoked pursuant to subdivision l of Section 17-508.

  1. A complete application to renew a permit, including supporting documentation showing that the establishment generated at least 50% of its total annual gross sales during the calendar year preceding the renewal application from the on-site sale of non-tobacco smoking products, must be submitted to the Department no later than thirty (30) calendar days before the expiration date of the permit. Failure to timely submit a complete renewal application to the Department by the date on which the permit expires shall authorize the Department to reject submission of the renewal application after such date.

§ 10-19 Age Limit of Patrons Allowed to Enter a Non-Tobacco Hookah Establishment.

A non-tobacco hookah establishment must not allow a person to enter such establishment unless the person demonstrates, through a valid driver’s license or other photographic identification issued by a governmental entity or an educational institution, that the person is at least 21 years of age. Such identification need not be required of any individual who reasonably appears to be at least 30 years of age, provided, however, that such appearance shall not constitute a defense in any proceeding alleging the granting of permission to a person under the age of 21 to enter the establishment.

§ 10-20 Sanitization, Cleaning, and Handling of Hookah Equipment.

(a) Hookah pipe. All hookah pipes served to patrons must be cleaned and sanitized to the extent practicable prior to service to remove any contaminants that may pose a health risk to patrons.
  1. Mouthpiece. Individually wrapped mouthpiece tips must be provided to each patron at time of service for use only by that individual patron and must be discarded after use.

§ 10-21 Warning Signs for Non-Tobacco Hookah Establishments.

(a) Warning signs provided by the Department regarding the risks associated with non-tobacco hookah use must be posted and maintained by the owner, operator, manager or other person having control of the non-tobacco hookah establishment and must be posted in locations that are conspicuous and prominent to patrons.
  1. In addition to the text required by the Department, warning signs may include information and pictorial images regarding the hazards of non-tobacco hookah products, such as information and images relating to the hazards from their emissions and the adverse health effects associated with non-tobacco hookah use.
  2. A warning sign provided by the Department shall include, at a minimum, any two of the following statements:

   (1) One hour of hookah smoking can expose you to more carbon monoxide and tar than smoking 10 cigarettes.

   (2) Hookah smoke contains cancer-causing chemicals.

   (3) Hookah smoke has chemicals that can increase risk of heart attack and cancer.

   (4) Secondhand hookah smoke is hazardous.

  1. One warning sign must be posted above, adjacent to, or on each entrance doorway and must be at least 144 square inches.
  2. At least one sign shall be posted in each room or area where non-tobacco hookah smoking is allowed and must be at least 576 square inches.
  3. The Department may order the removal or change in placement of a sign that is in violation of these regulations.
  4. An operator of a non-tobacco hookah smoking establishment must post a sign on the entrance to the establishment stating that “NYC Administrative Code § 17-719(a) prohibits entry to this establishment to any person under 21 years of age.”

§ 10-22 Original Labels, Labeling and Packaging of Out-of-Package Sales Required.

Every owner, operator, manager or other person in control of a non-tobacco hookah establishment that sells, or offers for sale, non-tobacco smoking products must maintain on site the original labels, labeling and packaging provided by the manufacturer of any product currently sold or offered for sale in the establishment.

§ 10-23 Revocations of Permits to Operate Non-Tobacco Hookah Establishments.

(a) Revocation. Where the Commissioner has issued a permit to operate a non-tobacco hookah establishment, he or she shall revoke the permit if:

   (1) The establishment is found to have violated subdivision a of Section 17-508 of the Administrative Code or subdivision 1 of Section 1399-s of the Public Health Law; or

   (2) The establishment is found on two or more occasions to have violated subdivision a of Section 17-719 of the Administrative Code; or

   (3) The owner has submitted any false, untrue or misleading financial statement to the Department, or has made any other misrepresentation or error either in such statement or other certification.

  1. Expert costs. If the Department proves at a hearing that a non-tobacco hookah establishment sold, offered for sale, or allowed tobacco-containing products to be smoked on its premises in violation of subdivision a of Section 17-508 of the Administrative Code or subdivision 1 of Section 1399-s of the Public Health Law, the permittee of such establishment shall be responsible for the costs incurred by the Department for any expert testimony given at the hearing that relate to proving such violation. Such costs may include, but are not limited to, the travel and lodging of the expert and trial preparation. In the event the permit holder refuses to pay such costs, the Department shall commence a proceeding at a court of competent jurisdiction for the collection of such costs.
  2. Inspections and Investigations. During an inspection or investigation of a public space in a non-tobacco hookah establishment, the owner and employees of the establishment must comply with all Department requests, including but not limited to, requests for reasonable amounts of shisha samples found in any public space in the non-tobacco hookah establishment, such as those that have been served to patrons, for the purpose of testing for tobacco. Failure to allow a Department inspector to obtain shisha samples found in any public space of the non-tobacco hookah establishment or to otherwise comply with a Department request for inspection of any public space shall be presumed to be a violation of subdivision a of Section 17-508 or subdivision 1 of Section 1399-s of the Public Health Law. A Department inspector may request entry into, or ask for samples of shisha found, in any non-public space in a non-tobacco hookah establishment.

§ 10-24 Severability.

The unenforceability of any provision in these rules shall not affect the enforceability of any other provisions which shall remain in full force and effect unless a court orders otherwise.

APPENDIX A: SPECIFICATIONS FOR SEPARATE SMOKING ROOMS [Repealed]

Chapter 11: Conservation of Water [Repealed]

§ 11-01 Definitions. [Repealed]

*§ 11-02 Order. [Repealed]* ::

§ 11-03 Penalties. [Repealed]

Chapter 12: Window Guards

§ 12-01 Definitions.

When used in these regulations, the following words or terms shall have the following meaning:

Child or children. “Child or children” shall mean any person 10 years of age or younger.

Department. “Department” shall mean the New York City Department of Health.

Installation of window guard. “Installation of window guard” shall mean proper installation and maintenance of window guards in a manner approved by the Department.

Landlord. “Landlord” shall mean owner, lessee, agent, or other person who manages or controls a multiple dwelling or dwelling unit.

Tenant. “Tenant” shall mean lessee or other occupant regularly residing within a dwelling unit, regardless of whether said occupant is a party to a lease agreement.

§ 12-02 Lease Notice.

(a) All leases offered to tenants in multiple dwellings shall contain, as a rider to the lease, a notice the form and content of which shall be as specified in Appendix A hereto.
  1. Said notice shall be printed in not less than ten (10) point type, and shall bear the title “Window Guard Required” underlined and in bold face.
  2. Said notice shall be separately signed and dated by the tenant who signed the lease indicating clearly whether a child ten years of age or under is, or will be, residing in the leased premises.

§ 12-03 Annual Notice.

(a) Each year the landlord shall deliver to each dwelling unit, a notice, the form and content of which shall be in English and Spanish as specified in Appendix B, no earlier than January 1 and no later than January 16 of the year for which the notice is delivered. The foregoing notwithstanding, if such notice is delivered to the tenant by enclosure with the rent bill pursuant to 24 RCNY § 12-03(b)(3) below, then the notice may be delivered by the landlord at such time as the rent bill for the month of January is delivered. In addition said notice shall be so delivered within thirty (30) days of a change in occupancy not involving a written lease. This provision shall be effective January 1, 1987.
  1. The landlord shall deliver said notice by any one of the following methods:

   (1) by first class mail addressed to the tenant at the dwelling unit;

   (2) by hand delivery to the tenant at the dwelling unit;

   (3) by enclosure with the rent bill.

  1. If by February 15th of the year for which the notice was sent a landlord does not have a written communication signed by the tenant, and does not otherwise have actual knowledge of the need or desire for window guards, then the landlord or his agent shall at reasonable times inspect the dwelling unit to ascertain whether a child 10 years of age or younger resides in the dwelling and if so, whether approved window guards are properly installed and maintained.
  2. If by March 1 a landlord who has fully complied with subdivisions (b) and (c) of this section has been unable to ascertain the need or desire for window guards in any dwelling unit or units, then he shall write to the Department’s Window Falls Prevention Program, 125 Worth Street, New York, New York 10013, fully describing what efforts have been made to comply with 24 RCNY Health Code § 131.15 and these regulations, for the purpose of requesting assistance in regard to his further compliance. Such request shall include the name and telephone number of the landlord or his representative.

§ 12-04 Variation in Form of Notices Prohibited.

The wording and form of notices specified in this regulation shall not be altered or varied in any manner, except as permitted after an application made to the Commissioner under 24 RCNY § 12-08.

§ 12-05 Notice that Installation is Optional or That There is a Tie-in between Installation and Tenant Payment Prohibited.

(a) No communication from a landlord to a tenant shall indicate that the installation of window guards is optional or in any manner dependent upon payments by the tenant.
  1. Landlords shall not impose any type of pre-condition such as fees or any other psychological deterrant, preliminary to the installation of window guards.

§ 12-06 Tenant Obligation to Provide Information and Access.

(a) No tenant in a dwelling unit shall refuse or unreasonably fail to provide accurate and truthful information regarding the residency of children therein, or refuse, prevent or obstruct any inspection required by 24 RCNY § 12-03(c) above.
  1. A landlord who has been denied access to a dwelling unit for the purpose of installing window guards required by 24 RCNY Health Code § 131.15(a), shall write to the Department’s Window Falls Prevention Program, 125 Worth Street, New York, New York 10013. Said statement shall specify the landlord’s efforts to gain access and the circumstances of the denial thereof.
  2. Tenants or occupants must respond to mandated inquiries by landlord as to their window guard needs or desires. It is a violation of the law to fail to do this. Tenants or occupants must also provide access and permit installation of guards and stops, where required.

§ 12-07 Selective Window Guard Installation Prohibited.

Window guards may not be installed selectively. They must be installed in all windows except fire escape access windows and a secondary egress window in a first floor apartment, where there are fire escapes on the upper floors. Choice of unguarded window is optional, in the latter cases.

§ 12-08 Procedures for Manufacturers Applying for Approval of Window Guards.

(a) A window guard application, available from Window Falls Prevention, must be completed and submitted with:

   (1) a sample or prototype of the smallest and the largest of each model being submitted.

   (2) a schematic drawing of the guard indicating adherence to the specifications of the Health Department, and indicating the range of sizes for which approval is being sought.

   (3) installation hardware and stopping devices for each model.

   (4) a Professional Engineer’s certification of the testing results for the largest and smallest guards, the test having been administered simulating the installation conditions and weight stress applied as recommended by the manufacturer in compliance with the specifications. Testing certifications shall include information relative to the temporary and permanent deflection of the guards under 150 lb. weights.

   (5) a letter from the paint manufacturer attesting to the lead content of the paint.

   (6) installation instructions for each type of window guard.

   (7) manufacturer’s identification number and/or coding symbol.

   (8) manufacturer’s dating code.

  1. When approved, the Health Department Approval Number, i.e., HDWG 06-88-99, must be indelibly imprinted on a flat surface of one vertical stile of each window guard fabricated. This imprint must be so located as to be readily visible from the inside of a room when the guard has been installed.
  2. A packet containing the approved hardware/screws, and the stopping devices for installation, must be attached or accompany each window guard sold.

§ 12-09 Procedures for Requesting Window Guard Variances.

(a) All requests for variances must be submitted in writing for review by the Window Guard Policy and Acceptance Board.
  1. When necessary, the presence of the submitter at a meeting of the Board may be required to amplify or respond to questions.
  2. Requests for variances will be entertained only if submitted by the owner or management of a building or by his authorized representative.
  3. Requests for variances will be entertained when the installation of an approved Health Department window guard proves to be impossible for structural reasons or infeasible.
  4. A letter of application shall be submitted to the Window Guard Policy & Acceptance Board of the N.Y.C. Department of Health, Box 43, 125 Worth Street, New York, N.Y. 10013.

   (1) Letters of application shall include the following:

      (i) Name, address, and phone number of applicant.

      (ii) Address of premise or premises for which variance is being requested, and the type and number of windows involved.

      (iii) Reason for the request.

      (iv) Description of condition or conditions warranting the request including a photo and/or mechanical drawing of the windows in question, depicting the particular structural idiosyncracy or aberration making the request necessary.

      (v) The alternative device presented for consideration must meet the same criteria and standards of safety as the prescribed window guards.

      (vi) If requesting consideration of a limiting device, the submission must include: a sample of the alternative device with hardware for installation; namely: one-way screws or a viable approved equivalent tamper-proof mechanism.

      (vii) Application statement must commit to scheduled regular inspections and monitoring of the alternative installation by management, to ensure the ongoing integrity of the device.

  1. All variances will be granted on a time limited basis, and will be subject to review, renewal or retraction at the expiration of the prescribed period or before should abuse of the procedural requirements be identified.

§ 12-10 Specifications for Window Guards for Double Hung Windows.

(a) Guards shall be constructed of rigid metal, free of sharp projections, edges, or rough surfaces.
  1. Guards shall be so constructed as to reject the passage of a solid five (5) inch sphere at every space and interval.
  2. Guards shall bear a one hundred and fifty pound (150 lb.) load at centerspan when extended to maximum width. A test with the guard attached in accordance with the manufacturer’s instructions for installation must be performed, and the results, including information as to temporary or permanent distortion, certified by a Professional Engineer, or independent testing laboratory.
    1. On guards utilizing non-telescoping bars, there shall be a permanent spot weld on at least two of the horizontal bars so as to provide a minimum of two (2) inches overlap when the guard is fully extended.

   (2) On telescoping bars, when the guard is extended to the maximum allowable width, there shall be a minimum overlap of five (5) inches or 1/3 of the length of the bar, whichever is greater.

   (3) A permanent label shall be affixed on at least one horizontal bar, on each facing surface. Said label shall read: WARNING! EXTENSION OF THIS GUARD BEYOND ____ INCHES IS DANGEROUS AND ILLEGAL. * (Insert the number of inches appropriate to the particular model in the space.)

   (4) On telescoping guards, there shall be an additional stile or other approved support(s), at the telescopic opening of the outer tubing of the bars, that shall prevent any spreading of the bars.

  1. Guards shall be a minimum of 15 inches high measured along the vertical stiles.
  2. The channel stiles shall each have at least two (2) holes for permanent window mounting. If guards are more than 15” in height, additional mounting holes are required to provide a maximum interval of 18” between mounting holes.
  3. Stops.

   (1) Rigid metal “L” shaped stops, to be a minimum of one half the width of the window track and each leg of which shall measure at least two (2) inches, shall be installed securely with two (2) screws in the upper tracks of each side of the bottom window to prevent the lower window from being raised more than 4 1/2 inches above the lowest section of the top horizontal bar of the window guard.

   (2) Where “L” shaped stops cannot be placed in the window track without interfering with the normal operation of the window, a rigid metal strip may be securely fastened* across the track of the bottom window to prevent the lower window from being raised more than 4 1/2 inches above the lowest section of the top horizontal bar of the window guard. Strips shall be mounted on each of the windows and shall be secured by (2) screws on each side of the window track.

   (3) In situations where the stops described in (1) and (2) above cannot be used, such as in ballast windows, rigid metal “L” shaped stops may be securely fastened to the frame of the window to prevent the lower window from being raised more than 4 1/2 inches above the lowest section of the top horizontal bar of the window guard. A stop shall be securely mounted on each side of the exterior lower window frame and shall be secured by two (2) approved screws in each stop.

   (4) In special situations where the stops described in (1), (2) and (3) above cannot be used, application may be made to the Window Guard Policy and Acceptance Board for approval of an alternative stopping device.

   (5) Stops are not required where approved window guards are installed that are of sufficient height to prevent an opening of more than 4 1/2 inches above the lowest section of the top horizontal bar of the window guard when the lower window is raised to its maximum open position.

  1. Screws. Screws used to mount window guards and stopping devices shall be one-way sheet metal screws or metal tamper resistant screws. Tamper resistant screws are defined as screws requiring special tools for their installation and/or removal, which tools are not readily available in retail hardware stores. All tamper resistant screws must be counter sunk flush with the stile or stopping device. Appropriate screws shall be:

   (1) minimum size #10 and long enough to penetrate one (1) inch into a wooden window frame or

   (2) of an adequate type, size and length to be securely fastened to a metal window frame. Manufacturer shall supply all required screws with guards.

  1. The coating of guards shall be unleaded. A statement from the paint manufacturer attesting to this fact must accompany application for window guard approval.
  1. Coded manufacturer’s identification symbol (guard model), Health Department Approval number, and fabrication date symbols, (month and year) shall be imprinted indelibly (die stamped), on one of the end stiles, so located as to be readily visible when viewed from within the room where the guard has been installed.
  2. Each guard sold by a manufacturer shall be sold with a self-contained envelope or plastic bag containing:

   (1) approved installation instructions

   (2) “L” shaped or other approved stops, and

   (3) specified screws for installation of guard and stops. If wood screws are supplied by the manufacturer, a warning label should be included stating that for metal installations, appropriate type, size, and length screws must be substituted. This warning shall be imprinted on the packaging container.

  1. Instructions for safe installation shall be provided with each guard by manu- facturer.

   (1) Instructions shall specify maximum window width for which the guard is intended, and shall contain the following prominently printed wording: WARNING: USE OF THIS GUARD BEYOND SPECIFIED MAXIMUM WIDTH IS DANGEROUS AND ILLEGAL.

   (2) Instructions shall prominently warn that guards and stops must be installed only in sound (non-rotting) window tracks.

   (3) Instructions shall prominently specify: WINDOW GUARDS MAY NOT BE INSTALLED IN WINDOWS PROVIDING ACCESS TO FIRE ESCAPES.

   (4) Instructions shall specify that guards be installed so that the bottom horizontal members are mounted a maximum of 4 1/2 inches above the window sill.

   (5) Instructions shall specify the use of the supplied “L” shaped stops to be installed with screws provided, or alternative approved stopping devices also provided with prescribed screws, to limit the opening above the lowest section of the top horizontal bar to 4 1/2 inches when the bottom sash is raised.

§ 12-11 Specifications for Window Guards for Other Than Double Hung Windows.

(a) Applications for approval of window guards for use in other than double hung windows shall specify the window type(s) for which the guard submitted is intended. Mounting materials and instructions for installation for each specific type of window must be included with the application and must be provided to the consumer with the guards.
  1. Guards shall be constructed so as to reject the passage of a solid five (5) inch sphere at every space and interval.
  2. Guards intended for casements, sliders, and other types or combinations of windows in which the height of the openings are not subject to limitation, must be of such size as to fill the entire aperture, and must reject passage of a solid five (5) inch sphere at every space and interval.

   (1) When approved limiting devices are utilized in lieu of window guards the size of any unguarded opening may not exceed 4 1/2 inches so as to reject passage of a solid 5 inch sphere at every space or interval.

   (2) On guards utilizing non-telescoping bars, there shall be a permanent spot weld on at least two of the horizontal bars so as to provide a minimum of two (2) inches overlap when the guard is fully extended.

   (3) On telescoping bars, when the guard is extended to the maximum allowable width, there shall be a minimum overlap of five (5) inches or 1/3 of the length of the bar, whichever is greater.

   (4) A permanent label shall be affixed on at least one horizontal bar on each facing surface. Said label shall read: WARNING! EXTENSION OF THIS GUARD BEYOND ____ INCHES IS DANGEROUS AND ILLEGAL. * (insert the number of inches appropriate to the particular model in this space.)

   (5) On telescoping guards, there shall be an additional stile or other approved support(s), at the telescopic opening of the outer tubing of the bars, that shall prevent any spreading of the bars.

  1. Guards shall bear a one hundred and fifty pound (150 lb.) load at its centerspan when extended to its maximum width. A test with guards attached in accordance with the manufacturer’s instructions for installation must be performed and results certified by a Professional Engineer or independent testing laboratory. The information shall include any finding of a temporary or permanent distortion.
  2. Each channel stile shall have at least two (2) mounting holes. If guard is more than 15 inches high, additional mounting holes are required to provide a maximum of 18 inches between mounting holes.
  3. Coating of guards shall be unleaded. Statement from paint manufacturer attesting to this fact must accompany the application for window guard approval.
  4. Coded manufacturer’s identification symbol (guard model), Health Department Approval number, and fabrication date symbols, (month and year), shall be imprinted on one of the end stiles so located as to be readily visible when viewed from within the room where the guard has been installed.
  5. Sliding windows and vertical pivoting windows may use stopping devices in lieu of window guards as follows:

   (1) Sliding windows. A solid metal block, measuring at least one half the depth of the window track and one half the width, shall be securely fastened by two (2) screws into the bottom window track, and a solid metal block or an “L” shaped metal stop shall be securely fastened* by two (2) screws into the upper window track, to prevent the window from opening more than 4 1/2 inches.

   (2) Vertical pivoting windows. Metal stopping devices shall be securely fastened to the upper and lower window frames by two (2) screws so as to prevent the window from pivoting open more than 4 1/2 inches. The height of the stopping devices shall extend no less than one inch nor more than two inches beyond the window frame as needed to stop the window. The protruding edge of the stopping device shall be smooth and rounded.

  1. For types of non-double hung windows, other than those described in subdivision (h), and in special situations where the stops described in subdivisions (h)(1) and (h)(2) cannot be used, application may be made to the Window Guard Policy & Acceptance Board for approval of an alternative stopping device.
  1. Screws used to mount window guards and stopping devices shall be one-way metal screws or metal tamper resistant screws. Tamper resistant screws are defined as screws requiring special tools for their installation and/or removal, which tools are not readily available in retail hardware stores. All tamper resistant screws shall be counter-sunk flush with the stile or stopping device.

   (1) Appropriate screws shall be a minimum size #10 and shall be long enough to penetrate one inch into a wooden window frame, or;

   (2) shall be of adequate type, size and length to be securely fastened to a metal window frame. Manufacturers shall supply all required screws.

  1. Each guard sold shall be sold with a self-contained envelope or plastic bag containing:

   (1) approved installation instructions,

   (2) approved stopping devices, and

   (3) specified screws needed for installation of the window guard and/or stopping devices. If wood screws are supplied by a manufacturer, a warning label or message imprinted on the packaging container shall warn that for metal installations, appropriate type, size, and length screws must be substituted. This warning shall be imprinted on the packaging container.

  1. Instructions for safe installation of window guards shall be provided by the manufacturer for each specific type of window for which they are intended.

   (1) Instructions shall specify that window guards may not be installed on windows providing access to fire escapes.

   (2) Instructions shall specify maximum window width and height for which guard is intended, and shall contain the following prominently printed wording: WARNING! USE OF THIS GUARD BEYOND SPECIFIED MAXIMUM WIDTH IS DANGEROUS AND ILLEGAL!

   (3) Instructions shall prominently warn that guards must be installed only in sound (non-rotting) mountings or tracks.

§ 12-12 Modification by Commissioner.

When the strict application of any provision of this regulation presents practical difficulties or unusual hardships, the Commissioner, in a specific instance, may modify the application of such provision consistent with the general purpose of this regulation and upon such condition as, in his opinion, are necessary to protect life and health.

§ 12-13 Penalties.

Penalties for violation of these regulations shall be as provided for in § 17-123 of the Administrative Code of the City of New York.

APPENDIX A LEASE NOTICE TO TENANT

APPENDIX B NOTICE TO TENANT OR OCCUPANT [ENGLISH]

APPENDIX B NOTICE TO TENANT OR OCCUPANT [SPANISH]

Chapter 13: Cigarette and Tobacco Product Sales

§ 13-01 Scope and applicability.

This chapter applies to sales of cigarettes and tobacco products in the City of New York pursuant to § 17-176.1 and Chapter 7 of Title 17 of the Administrative Code of the City of New York (“Administrative Code”).

§ 13-02 Definitions.

(a) “Cigar,” “little cigar,” “loose tobacco,” “non-tobacco shisha,” “shisha,” “smokeless tobacco,” “snus,” and “tobacco product” are defined in the same manner as those terms are defined in § 17-176.1 of the Administrative Code.
  1. “Price floor” means the price floor described in subdivision (d) of § 17-176.1 of the Administrative Code.

§ 13-03 Price floor for other tobacco products.

(a) No person may sell or offer for sale to a consumer a package of 20 little cigars, for less than the little cigar price floor of $10.95, excluding OTP tax and sales tax.
  1. No person may sell or offer for sale to a consumer a package of cigars for less than the cigar price floor, excluding OTP tax and sales tax.

   (1) The cigar price floor is $8.00 for the first cigar, plus $1.75 for each additional cigar.

   (2) The table below shows the price floors for some cigar package sizes. Price floors for package sizes not listed below must be calculated according to paragraph one of this subdivision.

~

Single cigar $8.00
2-pack $9.75
3-pack $11.50
4-pack $13.25
5-pack $15.00
8-pack $20.25
10-pack $23.75
20-pack $41.25

~

  1. No person may sell or offer for sale to a consumer a package of smokeless tobacco for less than the smokeless tobacco price floor, excluding OTP tax and sales tax.

   (1) The smokeless tobacco price floor is $8.00 for the first 1.2 ounces, plus $2.00 for each additional 0.3 ounces or any fraction thereof.

   (2) The table below shows the price floors for some smokeless tobacco package sizes. Price floors for package sizes not listed below must be calculated according to paragraph one of this subdivision.

~

1.2 ounces (minimum size) $8.00
Greater than 1.2 ounces but less than or equal to 1.5 ounces $10.00
Greater than 1.5 ounces but less than or equal to 1.8 ounces $12.00
Greater than 1.8 ounces but less than or equal to 2.1 ounces $14.00
Greater than 2.1 ounces but less than or equal to 2.4 ounces $16.00
Greater than 2.4 ounces but less than or equal to 2.7 ounces $18.00
Greater than 2.7 ounces but less than or equal to 3.0 ounces $20.00

~

  1. No person may sell or offer for sale to a consumer a package of snus for less than the snus price floor, excluding OTP tax and sales tax.

   (1) The snus price floor is $8.00 for the first 0.32 ounces, plus $2.00 for each additional 0.08 ounces or any fraction thereof.

   (2) The below table shows the price floors, for some snus package sizes. Price floors for package sizes not listed below shall be calculated in accordance with paragraph one of this subdivision.

Snus Pack Size Price Floor
0.32 ounces (minimum size) $8.00
Greater than 0.32 ounces but less than or equal to 0.40 ounces $10.00
Greater than 0.40 ounces but less than or equal to 0.48 ounces $12.00
Greater than 0.48 ounces but less than or equal to 0.56 ounces $14.00
Greater than 0.56 ounces but less than or equal to 0.64 ounces $16.00

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  1. No person may sell or offer for sale to a consumer a package of shisha for less than the shisha price floor, excluding OTP tax and sales tax.

   (1) The price floor for a package of shisha is $17.00 for 3.5 ounces, plus $3.40 for each 0.7 ounces or any fraction thereof in excess of 3.5 ounces.

   (2) The table below shows the price floors for some shisha package sizes. Price floors shall be calculated in accordance with paragraph one of this subdivision.

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3.5 ounces (minimum size) $17.00
Greater than 3.5 ounces but less than or equal to 4.2 ounces $20.40
Greater than 4.2 ounces but less than or equal to 4.9 ounces $23.80
Greater than 4.9 ounces but less than or equal to 5.6 ounces $27.20
Greater than 5.6 ounces but less than or equal to 6.3 ounces $30.60
Greater than 6.3 ounces but less than or equal to 7 ounces $34.00
Greater than 7 ounces but less than or equal to 7.7 ounces $37.40
Greater than 17.7 ounces but less than or equal to 8.4 ounces $40.80
Greater than 8.4 ounces but less than or equal to 9.1 $44.20
35 ounces $170.00

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  1. No person may sell or offer for sale to a consumer a package of non-tobacco shisha for less than the non-tobacco shisha price floor. The non-tobacco shisha price floor is the same as the shisha price floor.
  2. No person may sell or offer for sale to a consumer a package of loose tobacco for less than the loose tobacco price floor, excluding OTP tax and sales tax.

   (1) The price floor for a package of loose tobacco is $2.55 for 1.5 ounces, plus $0.51 for each 0.3 ounces or any fraction thereof in excess of 1.5 ounces.

   (2) The table below shows the price floors for some loose tobacco package sizes. Price floors for package sizes not listed below must be calculated according to the paragraph one of this subdivision.

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1.5 ounces (minimum size) $2.55
Greater than 1.5 ounces but less than or equal to 1.8 ounces $3.06
Greater than 1.8 ounces but less than or equal to 2.1 ounces $3.57
Greater than 2.1 ounces but less than or equal to 2.4 ounces $4.08
Greater than 2.4 ounces but less than or equal to 2.7 ounces $4.59
Greater than 2.7 ounces but less than or equal to 3 ounces $5.10
Greater than 3 ounces but less than or equal to 3.3 ounces $5.61
Greater than 3.3 ounces but less than or equal to 3.6 ounces $6.12
Greater than 3.6 ounces but less than or equal to 3.9 ounces $6.63
Greater than 3.9 ounces but less than or equal to 4.2 ounces $7.14
Greater than 4.2 ounces but less than or equal to 4.5 ounces $7.65
Greater than 4.5 ounces but less than or equal to 4.8 ounces $8.16
Greater than 4.8 ounces but less than or equal to 5.1 ounces $8.67
Greater than 5.1 ounces but less than or equal to 5.4 ounces $9.18
Greater than 5.4 ounces but less than or equal to 5.7 ounces $9.69
Greater than 5.7 ounces but less than or equal to 6 ounces $10.20
Greater than 6 ounces but less than or equal to 6.3 ounces $10.71
Greater than 6.3 ounces but less than or equal to 6.6 ounces $11.22
Greater than 6.6 ounces but less than or equal to 6.9 ounces $11.73
Greater than 6.9 ounces but less than or equal to 7.2 ounces $12.24
Greater than 7.2 ounces but less than or equal to 7.5 ounces $12.75
Greater than 7.5 ounces but less than or equal to 7.8 ounces $13.26
Greater than 7.8 ounces but less than or equal to 8.1 ounces $13.77
Greater than 8.1 ounces but less than or equal to 8.4 ounces $14.28
Greater than 8.4 ounces but less than or equal to 8.7 ounces $14.79
Greater than 8.7 ounces but less than or equal to 9 ounces $15.30
Greater than 9 ounces but less than or equal to 9.3 ounces $15.81
Greater than 9.3 ounces but less than or equal to 9.6 ounces $16.32
Greater than 9.6 ounces but less than or equal to 9.9 ounces $16.83
Greater than 9.9 ounces but less than or equal to 10.2 ounces $17.34

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§ 13-04 Signage.

(a) Age restriction sign. Pursuant to subdivision (c) of § 17-706 of the Administrative Code, any person operating a place of business where cigarettes, tobacco products, liquid nicotine, electronic cigarettes, or non-tobacco smoking products are sold or offered for sale must post in a conspicuous place a sign, printed on a white card in bold red letters that are at least one-half inch in height and capitalized as indicated below, which states:

“PROHIBITED for SALE to persons UNDER 21:Cigarettes, cigars, smokeless tobacco, other tobacco products, electronic cigarettes and component parts, liquid nicotine, non-tobacco shisha, herbal cigarettes, pipes, rolling papers, or smoking paraphernalia”

  1. Cigarette tax stamp sign. Pursuant to § 17-703.1 of the Administrative Code, a retail dealer must post, in a conspicuous place at the point of sale of cigarettes or at the place where cigarettes are displayed or offered for sale, a sign that complies with the requirements of this subdivision. The sign must be printed on a white card in bold red letters that are at least one-half inch in height and capitalized as indicated below. The sign must include images of the current New York City and New York State tax stamp and a pack of cigarettes with a New York City and New York State tax stamp on the bottom of the pack, and must state:

“ALL CIGARETTES MUST HAVE A NEW YORK CITY AND NEW YORK STATE TAX STAMP”

The sign must also include the contact number for the Sheriff’s hotline for reporting potential violations, available on the New York City Department of Consumer Affairs website.

§ 13-05 Sale of cigarettes, tobacco products, or electronic cigarettes to minors and young adults prohibited. [Repealed]

Chapter 14: Cleaning Park Playground Equipment

§ 14-01 Scope and applicability.

This Chapter applies to park playground equipment that is located within a playground operated by or under the jurisdiction of the New York City Department of Parks and Recreation (hereinafter referred to as “Department of Parks”).

§ 14-02 Definitions.

When used in this Chapter, the following terms have the following meanings:

“Minimum distance from the application of pesticide” means how near park playground equipment can be to the spraying of a pesticide without requiring the park playground equipment to be cleaned, pursuant to § 18-148 of the Administrative Code.

“No observed adverse effect level” means the highest exposure level of a chemical at which no harmful effects have been seen in research and scientific studies, and which represents the common benchmark used by the Federal environmental protection agency and the food and drug administration for risk classification and assessment of chemicals, including pesticides.

“Playground” means an outdoor area open to the public where children play, which contains play equipment such as a sliding board, swing, jungle gym, or see-saw, or which is designated as a play area.

“Park playground equipment” means playground equipment which is located within a playground operated by or under the jurisdiction of the department of parks, including those for which the department of parks has an agreement with a conservancy or other not-for-profit organization with respect to operation of any aspect of a playground.

“Pesticide” means:

   (a) any substance or mixture of substances intended for preventing, destroying, repelling or mitigating any pest; and/or

   (b) any substance or mixture of substances intended for use as a plant regulator, defoliant or desiccant.

§ 14-03 Minimum distance from application of pesticides.

Park playground equipment located less than a minimum distance of 30 feet from the application of pesticides using standard ground spraying equipment or 80 feet from the application of pesticides using ultra low volume spraying must be cleaned, except that such cleaning is not necessary if the pesticide is applied in an amount that could not reasonably exceed any “no observed adverse effect levels” associated with its chemical ingredients.

Chapter 16: Criteria For Issuing Special Vehicle Identification Permits To Disabled Persons

§ 16-01 Introduction.

This rule establishes criteria for the issuing of Special Vehicle Identification Parking Permits (SVIPP), also known as Parking Permits for People with Disabilities (PPPD), pursuant to § 2903(a)(15)(a) of the New York City Charter, to or on behalf of disabled persons who have a permanent disability seriously impairing mobility and authorizes the use of physicians designated by the Department, including New York City Health & Hospitals Corporation employed physicians so designated pursuant to a contract entered into by the Department with the Health & Hospitals Corporation and the Department of Transportation, to make the decisions as to the eligibility of such persons for these special permits.

§ 16-02 Permanent Disabilities Seriously Impairing Mobility.

For the purposes of § 2903(a)(15)(a) of the New York City Charter the following conditions constitute permanent disabilities that seriously impair mobility:

  1. Complete monoplegia or paraplegia of lower extremities.
  2. Above ankle amputation of lower extremities, at the discretion of the examining physician. Well-fitted below the knee prosthesis with normal ambulatory gait should not routinely be regarded as mobility impaired.
  3. Arthritis of two major weight bearing joints of the lower extremities with clearly substantial X-rays changes and/or MRI changes, such as loss of joint space, severe degenerative changes plus one or more of the following:

   (1) Objective finding of sizable effusion of joint(s) detected by clinical examination

   (2) Gross instability or valgus/varus deformities of joint(s) detected by clinical examination

   (3) Ankylosis or contracture of major joint(s) to such a degree as to preclude stair climbing. Joint replacement does not qualify by itself unless accompanied by one or more of the above criteria.

  1. Severe atrophy of one or both lower extremities (or discrepancy in leg lengths greater than three inches) which clearly and seriously impairs mobility.
  2. Spinal column abnormalities of severe degree with unequivocal motor involvement not amenable to bracing or surgery which would seriously and permanently impair mobility. X-ray evidence of arthritis of the spine with or without pain is insufficient reason for approval. CT Scan, MRI and/or EMG results must be available for review prior to a decision.
  3. Neurological conditions, such as multiple sclerosis, myasthenia gravis, myopathies, Parkinsonism and Alzheimer’s Disease, affecting both lower extremities that would seriously impair mobility. Objective documentation (i.e., MRI, EMG, nerve conduction studies, et al.) must be submitted, where appropriate, by the applicant.
  4. Cardiovascular and peripheral vascular disease of severe degree resulting in mobility impairment. Cardiovascular disease must meet ADA Class III or IV criteria; stress test, echocardiogram, Doppler or other diagnostic studies must support evidence of significant pathology and/or disability.
  5. Pulmonary disease with documented evidence of severe obstructive or restrictive disease on pulmonary function testing. Evidence of use of supplemental oxygen for more than twelve hours per day may also be acceptable evidence of impairment.
  6. Renal insufficiency requiring frequent renal dialysis with significant objective finding of neural or hemic abnormalities.
  7. Malignancies of any category that require chemotherapy and/or radiation therapy or other medical interventions which continuously and seriously impair mobility.
  8. Post-Polio syndrome that on examination clearly and seriously impairs mobility.
  9. AIDS related conditions, including peripheral neuropathy, wasting syndrome, dementia, which clearly seriously impair mobility on physical examination.
  10. Mental conditions resulting in mental retardation of a severe nature documented by appropriate psychological evaluation, which permanently and seriously impair mobility.
  11. Congenital diseases of any type that clearly result in permanent serious mobility impairment, including cerebral palsy, spina bifida and Down syndrome.
  12. Any other permanent disability that in the specific circumstances, would seriously impair the mobility of the applicant.

§ 16-03 Physicians Employed by Health & Hospitals Corporation Designated to Perform Special Vehicle Identification Parking Permit Certifications.

The Department may use physicians, made available for this purpose by the Health & Hospitals Corporation pursuant to a contract entered into by the Department with the Health & Hospitals Corporation and the Department of Transportation, to perform medical certifications of Special Vehicle Identification Parking Permit applications submitted to the Department of Transportation. Such physicians, employed by the Health & Hospitals Corporation, shall be qualified to certify persons for a Special Vehicle Identification Parking Permit as possessing a “permanent disability seriously impairing mobility” in accordance with § 2903(15)(a) of the Charter and the criteria specified in 24 RCNY § 16-02 above. A practitioner in an appropriate field of specialization may be used to perform a medical certification when deemed necessary by the non-specialist/physician assessing the person’s medical eligibility for a SVIPP.

§ 16-04 Certification.

(a)  Certification Form. The Physician Certification Form shall state that, after a review of the SVIPP application and any accompanying documentation furnished by the applicant's personal physician, it has been determined that the applicant does or does not have a "permanent disability seriously impairing mobility". Where certification has been denied, the Form shall indicate whether that determination was based upon the fact that the medical documentation presented does not support a finding of a "permanent disability seriously impairing mobility" or because the clinical findings are inconsistent with the applicant's medical history or otherwise does not support the finding of a "permanent disability seriously impairing mobility". Except as otherwise provided in 24 RCNY § 16-05, such determination shall be final when it is adopted by the Department.
  1. Post-Certification Reevaluation. In certain cases where certification has been granted, an applicant may be required to submit, at some future time designated by the physician/provider at the time of certification, to a reevaluation/reassessment of his (her) medical condition in order to determine whether the applicant continues to have a “permanent disability seriously impairing mobility”. The decision to require a reevaluation of the applicant shall not be subject to appeal pursuant to 24 RCNY § 16-05.

§ 16-05 Appeals.

Where certification has been denied, an applicant for a Special Vehicle Identification Parking Permit may appeal such determination. Such request for appeal must be made within thirty business days of service of the decision denying the certification upon the applicant on a form received with the decision. Where the denial of certification was based upon a determination/finding that the medical history of the person does not support a finding of a “permanent disability seriously impairing mobility”, the Department shall provide for a review of the file by a physician other than the physician who denied such certification. Where such denial was based upon clinical findings, or where the clinical findings were inconsistent with the medical history of the person, the Department shall provide a second assessment, which may include a physical examination by a physician selected by the Department other than the physician who denied certification. The applicant/appellant shall not be precluded from engaging an outside medical expert or specialist for purposes of his or her appeal. The results of any examination performed by such specialist and his or her conclusions shall be made part of the appeal record. The Department, or provider designated by the Department, may also provide a second assessment by a specialist when deemed necessary by the physician/provider. The results of the examination by this specialist shall also be made part of the appeal record. The determination of such appeal shall be final when it is adopted by the Department. A final determination denying certification shall preclude the filing of a Special Vehicle Identification Parking Permit application for the same condition by or on behalf of such person unless such person demonstrates that the condition has significantly worsened.

Chapter 17: Tripartite General Orders

Subchapter A: Tripartite General Order No. 1: Approval of Specifications for Paper Bags Used for Containing Uncompacted Refuse and Incinerator Residue; Approval of Specifications for Plastic Bags Used for Containing Uncompacted Refuse; and Approval of Specifications for Containers Used for Containing Compacted Refuse

§ 17-01 Statement of Policy and Intent.

To improve the environment and to improve refuse containment and collection operations, the use of paper bags for containing uncompacted refuse and incinerator residue should be permitted; the use of plastic bags for containing uncompacted refuse should be permitted and the use of containers for containing compacted refuse should be permitted. Accordingly pursuant to Local Law 11 of the Laws of 1971 and to 24 RCNY Health Code § 13-1.11, the Department of Sanitation and the Department of Housing Preservation and Development, and the Department of Health hereby approve the specifications set forth in 24 RCNY § 17-02 below for paper bags for containing uncompacted refuse and incinerator residue; hereby approve the specifications set forth in 24 RCNY § 17-03 below for plastic bags for containing uncompacted refuse; and hereby approve the specifications set forth in 24 RCNY § 17-04 below for containers for containing compacted refuse.

§ 17-02 Specifications For Paper Bags Used For Containing Uncompacted Refuse and Incinerator Residue.

(a) Substance: Paper bags shall be fabricated from wet-strength* kraft paper, wholly extensible or wholly non-extensible or equivalent.
  1. Strength: The non-extensible paper used to construct single-ply or multi-ply bags must have a nominal basis weight of 100 pounds per 500 sheets, each 24 inches by 36 inches, and a minimum basis weight of 95 pounds per 500 sheets, each 24 inches by 36 inches. The extensible or equivalent paper used to construct single-ply or multi-ply bags must have a nominal basis weight of 90 pounds per 500 sheets, each 24 inches by 36 inches, and a minimum basis weight of 85.5 pounds per 500 sheets, each 24 inches by 36 inches. Minimum tensile energy absorptions for dry and wet extensible or equivalent paper used in single and multi-ply bags are set forth in Table I.

Table I Minimum Tensile Energy Absorption – Extensible

  Dry Wet
Cross Direction of Paper(Single-ply or Multi-ply) 9.3 ft.lb./sq.ft. 2.7 ft. lb./sq.ft.
Cross Direction Plus Machine Direction of Paper(Single-ply or Multi-ply) 30.8 ft. lb./sq.ft. Not specified

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Table II Minimum Tensile Breaking Strengths – Non-Extensible

  Dry Wet
Cross Direction of Paper(Single-ply or Multi-ply) 34.0 lbs./in. width 9.0 lbs./in. width
Cross Direction Plus Machine Direction of Paper(Single-ply or Multi-ply) 95.0 lbs./in. width Not specified

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The method of testing for nominal and minimum basis weight shall be the Tappi Standard Method T-410 which shall be conducted in accordance with Section 4 of Federal Specification UU-S-48-E. Tensile breaking strength and tensile energy absorption tests shall be performed according to Tappi Standard Methods T-404, T-456, and T-494. Wet tensile breaking strength and tensile energy absorption are to be determined by using one inch width specimens that have been immersed in water for two hours at 73 degrees Fahrenheit +3.5 degrees Fahrenheit.

  1. Adhesives: Any Adhesive used for seams and closures must meet the water resistant requirements for Federal Specification UU-S-48-E.
  2. Any tape used on sewn ends of bags shall be 2 1/8 inches wide (1/8 inch minus tolerance unlimited plus tolerance) and shall be made from kraft paper having a nominal basis weight of not less than 70 pounds per 500 sheets each 24 inches by 36 inches.
  3. Thread: The strength of any stitching on the ends of sewn bags shall be not less than that of 12/5 cotton needle and 12/4 cotton looper thread or equivalent.
  4. Capacity: The usable capacity of bags shall not exceed four cubic feet. Measurement of capacity will be determined by the application of the following formula, applying the prescribed measurements of the unfilled bag.

   Cubic Foot Capacity = [T-0.4 (F+G)] [F+G)]               5425

Where:   T = Inside Tube Length of Bag (in inches)    F = Inside Face Width of Bag (in inches)    G = Inside Gusset Width of Bag (in inches)

No restrictions are made on bag dimensions provided that they do not deviate from the prescribed dimensions by more than the following tolerances:

   Width: ±3/16 inch    Bottom: ±3/16 inch    Length: ±1/4 inch

  1. Labeling: On and after January 1, 1971, but prior to April 1, 1971, all bag packaging shall be labeled with an approved logo imprinted or pasted onto the principal panel of all such packaging. On or after April 1, 1971, each bag and all bag packaging shall be labeled with an approved logo marked and imprinted visibly, respectively, along the center of the face of such bag and on the principal display panel of all bag packaging. Such logo shall not be less than one square inch in size. Display of such logo on bags and all bag packaging shall be deemed the manufacturer’s certification that such bags and all bags contained in such packages conform to these specifications and testing procedures. Each bag and all bag packaging shall have marked thereon the name and address of the principal place of business of the manufacturer or distributor of the same and a code identifying the date and location of bag manufacture. Each bag and retail package of bags shall be prominently marked with the words, “NOT LAWFUL FOR COMPACTED WASTE IN NEW YORK CITY”, in block letters not less than 1/4 inch high.

§ 17-03 Specifications for Plastic Bags Used for Containing Uncompacted Refuse.

(a) Substance: The film from which plastic bags are constructed shall be manufactured from polyethylene or ethylene copolymer resin.
  1. Film Strength: The film used to fabricate plastic bags shall have a dart impact strength at folds and seals not less than 40 grams per 1.0 mil when tested in accordance with ASTM D-1709, Method A.
  2. Film Thickness: The gauge of the film used to fabricate plastic bags shall have an average of no less than 1.5 mils with a point-to-point variation not exceeding 20 percent.
  3. Film Flammability: The film used to construct plastic bags shall be capable of incineration under normal municipal incinerator practices.
  4. Bag Dimensions: From inside or seals, plastic bags shall have a minimum inside circumference of 40 inches and a minimum inside length of 22 inches and a maximum inside circumference of 60 1/2 inches and a maximum length of 37 1/2 inches.
  5. Heat Seal Strength: Any heat seal shall withstand a ten-minute tensile loading of 1 lb. inch of seal without failure in accordance with ASTM F-88-68.*
  6. Slip Coefficient: Plastic bags shall be readily opened by hand and shall have a slip coefficient between 0.1 and 0.25 when tested in accordance with ASTM D-1894.
  7. Closures: Each package of plastic bags shall contain a number of tie closures (at least five inches in length) equal to the number of bags.
  8. Drop Resistance: Plastic bags shall be capable of withstanding a drop of five feet onto smooth concrete when filled with a material having weight density of twenty pounds per cubic foot, and when securely closed with a twist tie and when tested in accordance with the National Sanitation Foundation test method.**
  9. Labeling: On and after January 1, 1971, but prior to April 1, 1971, all bag packaging shall be labeled with an approved logo imprinted or pasted onto the principal panel of all such packaging. On or after April 1, 1971, each bag and all bag packaging shall be labeled with an approved logo marked and imprinted visibly respectively, along the center of the face of such bag and on the principal display panel of all bag packaging. Such logo shall not be less than one square inch in size. Display of such logo on bags and all bag packaging shall be deemed the manufacturer’s certification that such bags and all bags contained in such packages conform to these specifications and testing procedures. Each bag and all bag packaging shall have marked thereon the name and address of the principal place of business of the manufacturer or distributor of the same and a code identifying the date and location of bag manufacture. Each bag and retail package of bags shall be prominently marked with the words, “NOT LAWFUL FOR COMPACTED WASTE IN NEW YORK CITY”, in block letters not less than 1/4 inch high.
  10. Plastic bags larger than the sizes specified in subdivision (e) above shall have an average of no less than 3.0 mils gauge with a point-to-point variation not exceeding ±20 percent and shall not exceed an inside circumference of 66 inches and an inside length of 48 inches. The bags exclusive of packaging and ties shall have a minimum weight of 210 pounds per 1,000 bags.
  11. Bag opacity: Plastic refuse bags shall be of high opacity with a minimum reading of 65% as determined by a hazemeter or recording spectrophotometer when tested in accordance with ASTM D-1003.

§ 17-04 Specifications for Containers Used for Containing Compacted Refuse.

(a) As used herein the term "container" shall mean any container used for the storage of compacted refuse, including, but not limited to any such bag, sack, box, bin, barrel, tub, or tube.
  1. Containers shall have been evaluated and approved by the Department of Sanitation pursuant to the performance standards and specifications of the Department for the approval of refuse compactor systems. The manufacturer or distributor of such containers shall submit a certification with his request for container approval listing detailed specifications of such containers attesting to the container’s compliance with the performance standards and specifications of the Department and setting out any conditions relevant to the use of such container, including a list of compactor systems with which the container is compatible. Such performance standards shall include without limitation the following:

   (1) Containers shall be capable of containing refuse with an output density range of from 450 pounds to 700 pounds per cubic yard (16.7 pounds to 25.9 pounds per cubic foot) unless specific approval of an alternate capability is made by the Department of Sanitation.

   (2) Containers shall during filling in the course of evaluation not allow tears or punctures in excess of one (1) inch in more than ten (10) percent of observed samples, and shall during handling in the course of evaluation not allow tears or punctures in excess of one (1) inch in more than ten (10) percent of samples.

   (3) Containers shall not allow their contents to spill from tears or punctures.

   (4) Returnable containers shall be capable of easily discharging their contents by gravity.

   (5) Containers shall be of unit construction when supplied to users and shall not require additional components to be considered ready for use, unless specific exception to this requirement is given by the Department of Sanitation pursuant to 24 RCNY § 17-04(b) above.

  1. Containers shall not exceed four (4) cubic feet in capacity unless specific approval of a larger capacity is made by the Department of Sanitation pursuant to 24 RCNY § 17-04(b) above.
  2. Containers shall be free of jagged or sharp edges.
  3. Containers shall be of high opacity and not transparent.
  4. Labeling: On or after January 1, 1974, each approved disposable container or sealable separate section shall be marked with an approved logo along the center of its widest side and the applicable identifying model number registered with the Department of Sanitation. If enclosed in an outer wrapping, said wrapping shall be similarly marked. Such logo shall be no less than 1 percent of the area on which it is marked, but not be less than one square inch in size. Display of such logo on disposable containers and wrappings or sealable separate sections shall be deemed the manufacturer’s or distributor’s certification that such disposable containers and wrappings or sealable separate sections conform in detail to the specifications of the prototypes evaluated and approved by the Department of Sanitation and to the specification set forth in the certification submitted pursuant to 24 RCNY § 17-04(b) above.
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Each disposable container and wrapping or sealable separate section shall have marked thereon the name and address of the principal place of business of the manufacturer or distributor of the same and a code identifying the date and location of container manufacture. From and after the respective dates of the foregoing amendments, the approved logo for bags and retail packages of bags which meet the specifications set forth in 24 RCNY § 17-02 or 24 RCNY § 17-03 of the said Tripartite General Order No. 1 shall be as illustrated in Box A below, and the approved logo for disposable containers, wrappings and sealable separate sections which meet the specifications set forth in 24 RCNY § 17-04 of the said Tripartite General Order No. 1 shall be as illustrated in Box B below.

§ 17-05 Requirements for Employment of Bags and Containers Meeting Specifications Set Out in 24 RCNY §§ 17-02, 17-03 and 17-04.

(a) Bags and containers which meet the specifications approved under this order:

   (1) shall not be filled so as to prevent the effective closure thereof;

   (2) shall not weigh more than 100 pounds when filled;

   (3) shall be in such condition as to hold their contents without leakage;

   (4) shall be effectively closed;

   (5) when stored in the building shall be kept in a metal receptacle or rat-proof and fire-proof room;

   (6) when awaiting collection outside the building, shall be removed from any metal receptacle and shall be neatly stacked in front of such building.

  1. Containers which meet the specifications approved under this order shall not contain compacted refuse bound with non-combustible ties.
  2. The Commissioners of the Department of Sanitation or Housing Preservation and Development or Health may conduct or order the manufacturer or distributor of any product displaying a logo as provided in 24 RCNY § 17-04(f) to conduct in an independent testing laboratory selected by any such administrator or commissioner, such tests as are necessary to determine whether such product is in conformity with the provisions of this order. The expenses for all such tests shall be borne by the aforementioned manufacturer or distributor. Such Commissioner may require such appearance of any manufacturer, distributor, retailer or user of any product displaying a logo as provided in 24 RCNY § 17-04(f) as are necessary to determine if a violation of any of the provisions of this order has occurred.

§ 17-06 Amendment and Repeal.

This order may be amended or repealed only upon joint order of the Departments of Sanitation, Housing Preservation and Development and Health pursuant to § 1043 of the City Charter of the City of New York.

Subchapter B: Tripartite General Order No. 2: Approval of Specifications For Waste Containerization Systems

§ 17-11 Purpose and Scope.

The Departments of Sanitation, Housing Preservation and Development and Health find that the use of systems for the disposal of waste that utilize large containers which are mechanically lifted and emptied into, loaded onto or attached to collection vehicles (hereinafter “waste containerization systems”) will tend to improve waste containment and increase the efficiency of waste collection operations, and accordingly approve as to specifications, pursuant to § 27-2021 of the Housing Maintenance [Administrative] Code, any waste containerization system that meets the specifications set forth below. Nothing contained in this order shall constitute an agreement by the Department of Sanitation to provide hoist compactor, hoist-fitted chassis, roll-on roll-off or any other specialized service to any person using containers covered by this order. Such service shall continue to be available only by contract with the Department of Sanitation and subject to such conditions as the Department of Sanitation may impose.

§ 17-12 Specifications for Waste Containerization Systems.

(a) The owner or other person in charge of the premise served by a waste containerization system (hereinafter the "premises") shall maintain in a safe, clean, odor-free and properly operating condition all containers and other equipment kept on such premises in connection with the operation of such system and shall keep the place of storage for the containers safe, clean and odor-free at all times. There shall be kept on the premises a hose and brush or a steam cleaner and all other necessary equipment to properly clean the containers, unless such containers are regularly cleaned at a location off the premises and such equipment is not required by any other law or regulation. Each container shall be cleaned on a concrete or other paved surface properly drained into the sewer or a septic system. Such surface and drainage system shall be maintained in a safe, clean, odor-free and properly operating condition.
  1. A waste containerization system shall be of sufficient capacity to permit the safe and sanitary storage of 150 percent of all waste normally accumulated on or generated within the premises between any regularly scheduled collections, unless otherwise agreed by the Commissioner of the Department of Sanitation. Notwithstanding the foregoing, unless a waste containerization system is sufficient to permit the safe and sanitary storage of all waste normally accumulated on or generated within the premises during a period of 72 hours, the owner or person in charge of the premises shall keep on hand sufficient additional lawful waste receptacles to permit such storage.
  2. Except when in the process of being collected or emptied, all containers shall be kept and stored on the premises at all times, in rooms or compartments which comply with § 27-837 of the Building [Administrative] Code or in any other location not prohibited by law. If the place of storage is outside the premises, the containers shall be kept in location where they will not be unsightly and will not cause a nuisance to residents of the premises or of neighboring premises. If possible they should be screened from view by an attractive enclosure. The place of storage of the containers shall be one from which the containers may be safely moved to the location where they are emptied or collected. Such location shall be one to which collection vehicles have safe and convenient access and which shall be suitably equipped, adequately lit and of sufficient size for the safe loading or emptying of the containers. The place of storage of the containers and the location where the containers are emptied or loaded shall be subject to the approval of the Department of Sanitation on behalf of itself, the Department of Housing Preservation and Development and the Department of Health.
  3. Containers shall be compatible in all respects, including without limitation dimensions and loading mechanisms, with the collection vehicles which service them.
  4. Containers in which tenants are required or permitted to deposit waste shall be of types which can safely, easily, and conveniently be opened and closed by all tenants using them and while available for tenant use shall be kept in a place which provides safe and convenient access for tenants.
  5. Containers shall:

   (1) be made of continuously welded steel with all welds and edges ground smooth;

   (2) be capable of holding 700 pounds of waste per cubic yard of capacity, when at rest and during loading and unloading, without permanent distortion;

   (3) have adequate provision for reinforcement, stiffening and protection at points of high stress or wear;

   (4) hold liquids without leaking and be equipped with a drain plug at the bottom on one end; and

   (5) have heavy duty skids or rollers or other devices to keep the bottom of the container off the ground and reduce wear when it is moved.

  1. Containers shall have tight-fitting doors and/or lids which shall

   (1) be attached by means of heavy duty hinges;

   (2) be equipped with counterbalance springs whenever necessary to prevent destructive or dangerous overswinging;

   (3) be reinforced to prevent bending and warping; and

   (4) completely seal the containers to prevent rodents, insects and other pests from entering.

  1. The Department of Sanitation shall keep and make available to the public a list of containers which in the opinion of such Department, the Department of Housing Preservation and Development and the Department of Health meet the physical specifications of subdivisions (f) and (g) of this section.
  2. Unless made of stainless steel or another material not subject to corrosion or wear, containers shall be completely primed and painted inside and out with corrosion-resisting primer and paint. They shall be repainted whenever the metal shows through the paint and whenever necessary to prevent them from becoming unsightly. Containers shall have painted in block letters on one vertical side (and in the case of a container that is loaded onto or attached to a collection vehicle, in a position where it is easily visible when loaded or attached) the name and principal business address of the owner of the container, the capacity of the container in cubic yards and the gross allowed weight of the container (calculated on the basis of 700 pounds per cubic yard of capacity plus the tare weight of the container). The words “STAND CLEAR WHEN CONTAINER IS BEING SERVICED” shall be painted in a prominent position on all four vertical sides in block letters at least four inches high.

§ 17-13 Amendment or Repeal.

This order may be amended or repealed only upon joint order of the Department of Health, the Department of Housing Preservation and Development and the Department of Sanitation pursuant to § 1043 of the New York City Charter. Section 51-66 effective August 29, 1973.

Chapter 18: Resuscitation Equipment In Public Places

§ 18-01 Definitions.

(a) Words and terms used in these regulations, other than those specified in subsection (b) of this section, shall have the same meaning as specified in Section 17-178 of the New York City Administrative Code.
  1. When used in these regulations, the following words or terms shall have the following meaning:

   Department. “Department” shall mean the New York City Department of Health.

   Informational Handout. “Informational Handout” shall mean a menu, playbill, program, or other written material.

   Package. “Package” shall mean the sealed manufacturer-provided packaging containing each exhaled air resuscitation mask required hereunder.

   Public Area. “Public Area” shall mean any area which can be easily identified by, and is readily accessible to, patrons. These areas may include but are not limited to the following: bar area, service counter area, host/hostess station, registration desk, concession stand.

   Suitable Location. “Suitable Location” shall mean any location where the resuscitation equipment is readily available to the public for use at all times.

§ 18-02 Quantity of Resuscitation Equipment.

The owner or operator of a public place shall maintain each exhaled air resuscitation mask in its “package”. Resuscitation equipment shall be placed so that patrons can obtain equipment in a timely manner, and at no time be required to travel more than one floor to obtain equipment. Resuscitation equipment shall be enclosed in an envelope or container and placed in a suitable location(s) within a public area in a manner which allows any person to immediately remove it for use. A “package”, as defined in these regulations, shall not be placed or stored in any location which may subject the contents of the package to extremes of temperature, mechanical stress, or other potentially damaging conditions. Exhaled air resuscitation mask and latex gloves shall be discarded after a single use.

§ 18-03 Labelling Requirements.

(a) The following written statement shall be affixed to the outside of each envelope or container:

IN THE EVENT OF AN EMERGENCY, REQUEST ASSISTANCE BY DIALING 911 DO NOT ATTEMPT TO USE UNLESS TRAINED IN CARDIOPULMONARY RESUSCITATION (CPR) AND IN THE USE OF EXHALED AIR RESUSCITATION MASKS RESUSCITATION EQUIPMENT CONTENTS INCLUDE: ONE ADULT EXHALED AIR RESUSCITATION MASK ONE CHILD EXHALED AIR RESUSCITATION MASK TWO PAIRS, LATEX GLOVES DISCARD MASK AND GLOVES AFTER ONE USE

  1. The written statement shall be presented in a manner which is readily visible, and lettering shall not be less than 1/2 inch in height.

§ 18-04 Required Notice.

(a) The owner or operator of a public place shall provide clear and conspicuous notice to all patrons which indicates that resuscitation equipment for emergency use is available, its location, and information on how to receive CPR training. This notice shall be in the form of a sign, or shall be included as part of an informational handout, as long as the owner or operator provides the opportunity for all patrons to read the notice upon entering or shortly after being seated, and to do so without incurring a monetary charge.
  1. The notice shall include the following statement:

   (1) Resuscitation masks and latex gloves are available at – (insert name of location(s) where resuscitation equipment is provided).

   (2) Learn CPR. For information contact – (insert name(s) of organization(s) qualified to offer CPR training, which may include but is not limited to the American Red Cross and the American Heart Association).

§ 18-05 Lettering and Graphics.

The lettering on signs or informational handouts shall be of sufficient size so that all information is clear, conspicuous, and easily read. Signs and informational handouts shall be printed on durable material with a light-colored background. The required information on signs and informational handouts shall be a highly visible color, with lettering on signs a minimum of 5/16 inches in height, and the lettering on informational handouts a minimum of 1/16 inch in height.

Chapter 19: Waiting List Rules For Full-term and Temporary Mobile Food Unit Permits and Full-term Mobile Food Unit Permits Designated Exclusively For Use In Specific Boroughs

§ 19-01 Definitions.

(a)  Words and terms used in these rules shall have the meanings specified in Section 17-306 of the Administrative Code.
  1. “Establishment”, “establish” or “established” shall refer to the initial creation of the waiting lists for full-term and temporary mobile food unit permits and the four additional separate waiting lists for full-term borough specific permits as well as all subsequent supplementations and re-establishments of any of these lists as necessary for filling both vacancies from the lists and waiting list positions for these permits.

§ 19-02 Direction to Establish Waiting Lists.

The Department shall establish separate waiting lists for full-term and temporary mobile food unit permits as well as four additional separate waiting lists for full-term permits that are designated exclusively for use in the boroughs of the Bronx, Brooklyn, Queens and Staten Island. The waiting lists shall consist of the names of natural persons, corporations, partnerships or limited liability companies authorized to hold a permit, who are selected for placement on these waiting lists in accordance with these rules. Any listing purporting to be a waiting list for mobile food unit permits, except for a listing authorized by Local Law 34 of 1993, in existence prior to the effective date of this rule shall be deemed void and of no force or effect.

§ 19-03 Eligibility for Place on Waiting Lists.

To be eligible for a position on any of the waiting lists established pursuant to these rules, a person (or in the case of a corporation, partnership or limited liability company, an officer, member, manager or partner thereof authorized to act for such person) shall hold a valid mobile food vendor license at least ten days prior to the date that the Department establishes such waiting lists.

§ 19-04 Notice of the Establishment of Waiting Lists.

At least 45 days prior to the establishment of waiting lists notice of the Department’s intention to establish such waiting lists shall be published in the City Record. Such notice shall also be mailed to persons holding mobile food vendor licenses at the time of such publication, as well as to other interested parties known to the Department. Such Notice shall advise that only those persons in possession of valid mobile food vendor licenses at least ten days prior to the establishment of such waiting lists shall be eligible for inclusion on any such waiting list.

§ 19-05 Procedure for Requesting a Place on Any of the Waiting Lists.

The Division of Permits shall use a mail-in procedure for establishing all waiting lists. Such procedure shall allow persons requesting a place on any of the six waiting lists to submit a waiting list application, which shall contain their license number and the type of permit they seek, by mail postmarked during a period of time to be determined by the Division of Permits, which shall be specified in the Notice published pursuant to 24 RCNY § 19-04. A person’s eligibility for inclusion on the waiting lists authorized to be created pursuant to these rules shall be limited. Persons shall be eligible for inclusion on the full-term waiting list, the temporary permit waiting list and one borough-specific full-term permit waiting list of the applicant’s choice at any one time. Pursuant to § 17-307(b)(2)(c) a person shall be issued no more than one permit, whether full-term, borough-specific full-term, or temporary.

§ 19-06 Procedure for Establishment of Permit Waiting Lists.

Not less than 45 days after the Notice required by 24 RCNY § 19-04 is published in the City Record, the Department shall create a full-term permit waiting list, a temporary permit waiting list and four separate borough-specific full-term permit waiting lists pursuant to a random selection procedure. Persons holding valid mobile food vendor licenses, or in the case of a corporation, limited liability company or partnership, persons on whose behalf such licenses are held on the date such lists are created and who have mailed in an application pursuant to 24 RCNY § 19-05 shall be included in this random selection. Persons who, as a result of this random selection procedure, hold position numbers greater than the maximum number specified in 24 RCNY § 19-07 for the particular list shall not be placed on that waiting list. The Department shall notify persons assigned a position on a waiting list by mailing a notice to the address provided by the applicant in such applicant’s waiting list application.

§ 19-07 Number of Positions on the Waiting Lists.

The maximum number of positions on the full-term permit waiting list shall be determined by the Department’s Permits Division so as to provide a reasonable number of potential applicants to fill vacancies as they arise, but in no event shall such list exceed two thousand five hundred (2,500) positions. The maximum number of positions on the temporary permit waiting list shall be determined by the Department’s Permits Division so as to provide a reasonable number of potential applicants to fill vacancies as they arise, but in no event shall such waiting list exceed one thousand (1,000) positions. When the number of potential applicants on either the full-term or temporary permit waiting lists falls below two hundred (200), the Permits Division shall supplement such waiting lists with additional names pursuant to the procedure specified in 24 RCNY §§ 19-03 through 19-05. The maximum number of positions on each of the four waiting lists for full-term permits to be used exclusively for vending in the specified boroughs of the Bronx, Brooklyn, Queens and Staten Island shall also be determined by the Department’s Permits Division so as to provide a reasonable number of potential applicants to fill future vacancies as they arise. In no event shall any of these borough-specific permit waiting lists exceed one hundred (100) positions or four hundred (400) for all borough-specific list positions combined. When the number of potential applicants on any of the borough-specific permit waiting lists falls below twenty-five (25), the Permits Division shall seek to supplement such waiting list with additional names pursuant to the procedure specified in 24 RCNY §§ 19-03 through 19-05.

§ 19-08 Responsibility of Those on Waiting Lists to Notify the Department of Change of Address.

The names of persons selected for a waiting list created pursuant to these rules shall be entered on each list with their address of record as known to the Department through mobile food vendor license records, in the case of a corporation, partnership or limited liability company, the address of such corporation, partnership or limited liability company and the residence and business address of the officer, partner, manager, or member holding a mobile food vendor license who is authorized to act on behalf of such corporation, partnership, or limited liability company shall be entered. Thereafter, it shall be the responsibility of each person placed on a waiting list to provide written notification to the Department of any change of address. The Department shall provide written confirmation of its receipt of such address change notification. The failure to provide change of address information may result in the loss of a person’s waiting list position(s). Any person who does not respond to any notice of the Department mailed to his or her address of record as known to the Department through mobile food vendor license records because change of address information was not provided to the Department in a timely manner shall be deemed to have abandoned his or her place on a waiting list and shall not be reinstated to any list unless such person participates in a process of list establishment pursuant to 24 RCNY §§ 19-03 through 19-06. The Department’s written confirmation of its receipt of a change of address notification shall constitute proof that such notification was provided to the Department.

§ 19-09 Multiple Waiting List Positions on Any Single List Prohibited.

A person may submit waiting list applications for positions on the following specific lists: the full-term permit waiting list, the temporary permit waiting list and one of the four borough-specific permit waiting lists that are to be created pursuant to these rules. A person may not, under any circumstances, occupy more than one waiting list position on any of the three waiting lists selected by the applicant and no person shall be eligible to obtain more than one permit. Before the creation of any of these lists through the random selection process, the Department shall ensure that a mobile food vendor licensee is represented only once in the pool of licensees from which the random listing or selection to each list is made. For purposes of the waiting lists only, officers, members, managers and partners who represent corporations, limited liability companies and partnerships that are current mobile food unit permit holders shall not be excluded from the pool from which the randomized waiting lists are to be created solely on the basis that such officer, member, manager or partner is a licensee acting on behalf of a corporation, limited liability company or partnership, provided each such individual possesses a valid mobile food vendor license in accordance with these rules. Such officers, members, managers and partners, will be deemed to be representing themselves as individuals, and not the corporation, limited liability company or partnership with which they are associated, when placed on any waiting list, and shall be placed on any such waiting list in their individual capacities. Where such individual is acting on behalf of a corporation, limited liability company or partnership, the name of the corporation, limited liability company or partnership shall be placed on a waiting list with the name of the individual who is acting on its behalf. No partner, member or manager of a limited liability company or director, shareholder or officer of a corporation shall appear on the same waiting list as the partnership, limited liability company or corporation which he or she represents and/or has an interest in unless he or she holds the waiting list position in his or her individual capacity. Should the Department receive more than one request for a waiting list position from any person, requests subsequent to the first shall be deemed invalid. A person who submits more than one request for a position on any single waiting list will be disqualified and denied a position on the list if such multiple requests are deemed, in the sole discretion of the Department, to adversely affect the fairness or orderly establishment of a list. Nothing herein, which allows a person the right to hold a waiting list position in an individual capacity shall be deemed to give such person the right to obtain a mobile food unit permit in violation of § 17-307(b), (f) and (g) of the New York City Administrative Code.

§ 19-10 Selection of Applicants From a Waiting List.

When the number of outstanding full-term mobile food unit permits falls below two thousand eight hundred (2,800), the statutory maximum of three thousand (3,000) imposed by § 17-307(b)(2)(a) of the New York City Administrative Code less the two hundred (200) designated exclusively for use in specified boroughs by § 17-307(b)(2)(b)(i), and at such time as the Department in its discretion may determine based upon a consideration of the number of vacancies, a number of persons on the waiting list equal to the number of vacancies shall be notified by the Department, in waiting list order, of their eligibility to apply for a full-term mobile food unit permit and shall form a pool of prospective applicants. When the number of temporary mobile food unit permits outstanding falls below the statutory maximum of one thousand (1,000) imposed by § 17-307(f)(3)(a) of the Administrative Code, and at such time as the Department in its discretion may determine based upon a consideration of the number of vacancies, a sufficient number of persons on the waiting list equal to the number of vacancies shall be notified by the Department, in waiting list order, of their eligibility to apply for a temporary mobile food unit permit and shall form a pool of prospective applicants. When the number of borough-specific full-term mobile food unit permits outstanding for a particular borough falls below the statutory maximum of fifty (50) imposed by § 17-307(b)(2)(b)(i) of the Administrative Code and at such time as the Department in its discretion may determine based upon a consideration of the number of vacancies, a sufficient number of persons on the waiting list for that borough equal to the number of vacancies shall be notified in waiting list order of their eligibility to apply for a permit to be used exclusively in the specific borough and shall form a pool of prospective applicants. Only one permit shall be issued for each eligible waiting list position or applicant.

§ 19-11 Eligibility to Apply for a Mobile Food Vending Unit Permit.

Only those persons who have been notified that their waiting list number has been reached shall be eligible to submit an application for a mobile food unit permit. A person whose waiting list number is reached and who holds a full-term, temporary or full-term borough-specific mobile food unit permit including a person who is deemed to hold such a permit pursuant to subdivision g of § 17-307 of the Administrative Code, shall not be eligible for a permit with respect to such waiting list position unless such previously held permit is surrendered or expires before a permit with respect to such waiting list position is issued. Positions on a waiting list shall not be transferable.

§ 19-12 Notification of Eligibility to Apply for Permit.

Within ninety (90) days of the date that notification of eligibility to apply for a permit authorized to be issued by § 17-307 of the Administrative Code is mailed, a person desiring to obtain such permit shall submit an application, completed in accordance with 24 RCNY Health Code § 5.05, together with the requisite fees therefor. The permit application shall be postmarked on or before the ninetieth day.

§ 19-13 Failure to Make Application for Permit.

The failure of any person on a waiting list who is notified of eligibility to apply for a permit, to complete the permit application process within ninety (90) days of being so notified, shall result in the forfeiture of such person’s waiting list position.

§ 19-14 Abandonment of Waiting List Position.

A person who does not respond within ninety (90) days to a Departmental inquiry concerning a waiting list position held by such person, mailed by ordinary mail to the address provided by such person, shall be deemed to have abandoned such waiting list position. A person who holds a waiting list position may withdraw his or her name at any time by providing written notice to the Division of Permits with verifying documentation satisfactory to the Division.

Chapter 20: Preference And/or Waiting List Rule For Full-term Mobile Food Unit Permits

§ 20-01 Definitions.

(a)  Words and terms used in this rule shall have the meanings specified in § 17-306 of the Administrative Code.
  1. “Establishment”, “establish” or “established” shall refere to the initial creation of the preference and/or waiting list required by § 17-307(b)(3) as well as all subsequent supplementations and re-establishments of such list as necessary for filling both vacancies to the list and waiting list positions for these permits.

§ 20-02 Direction to Establish Preference and/or Waiting Lists.

The Department shall establish, as required, separate preference and/or waiting lists for full-term mobile food unit permits for the preference categories specified in § 17-307(b)(3)(b) of the Administrative Code. With regard to the first preference category specified in § 17-307(b)(3)(i), the Department may create an alternative waiting list based upon a random selection of one-hundred (100) candidates from the defined class of disabled veterans formerly holding general vendor licenses.

§ 20-03 Eligibility for Place on Preference and/or Waiting Lists.

To be eligible for inclusion on a preference and/or waiting list established pursuant to this rule an applicant must be a natural person holding a valid mobile food vendor license at least ten days prior to the date that the Department establishes such list. In addition, he or she must belong to a preference category established by § 17-307(b)(3), must not already hold a full-term mobile food unit permit and/or have had such a permit previously revoked or suspended.

§ 20-04 Notice of the Establishment of Preference and/or Waiting Lists.

Notice of the Department’s establishment of a preference and/or waiting list, shall be made by publication in the City Record specifying the preference category for which such list is being established, at least forty-five days prior to the establishment of the waiting list, and by mail, also at least forty-five days prior to the establishment of the list, to all eligible persons holding mobile food vendor licenses, as well as other interested parties known to the Department, including persons known to the Department who are in superior preference categories. Such notice shall advise that only those natural persons in possession of valid mobile food vendor licenses at least ten days prior to the establishment of a preference and/or waiting list shall be eligible for inclusion on such list.

§ 20-05 Procedure for Requesting a Place on a Preference and/or Waiting List.

The Division of Permits shall use a mail-in procedure for establishing preference and/or waiting lists. Such procedure shall allow persons requesting a place on a preference and/or waiting list to submit a preference and/or waiting list application. Each such application shall contain the applicant’s license number and preference category. The application shall be submitted by mail, postmarked during a period of time to be determined by the Division of Permits as specified in the notice published pursuant to 24 RCNY § 20-04 above.

§ 20-06 Procedure for Establishment of Preference and/or Waiting List.

Not less than forty-five days after the Notice required by 24 RCNY § 20-04 is published in the City Record, the Department shall create a preference and/or waiting list pursuant to a random selection procedure. Persons holding valid mobile food vendor licenses at least ten days prior to the date such preference and/or waiting list is created and who have mailed in an application pursuant to 24 RCNY § 20-05 shall be included in the random selection. Persons who, as a result of this random selection procedure, hold position numbers greater than the maximum number specified in 24 RCNY § 20-07 shall not be placed on the preference and/or waiting list. Each qualified applicant for a preference and/or waiting list position shall be eligible for one permit and one position on the preference and/or waiting list. The person’s position on a preference and/or waiting list shall be determined by his or her preference category and the order in which his or her name is randomly selected within such preference category. The Department shall notify persons assigned a position on the preference and/or waiting list by mailing a notice to the address provided by the applicant in the applicant’s preference and/or waiting list application.

§ 20-07 Number of Positions on a Preference and/or Waiting List.

The maximum number of positions on a preference and/or waiting list shall be determined by the Department’s Permit Division so as to provide a reasonable number of potential applicants for the permits currently available as well as to fill future vacancies as they arise. In no event shall a preference and/or waiting list exceed one hundred (100) positions. After the initial issuance of the one hundred permits authorized by § 17-307(b)(3), the Permits Division may supplement a preference and/or waiting list with additional names pursuant to the procedures specified in 24 RCNY §§ 20-04 through 20-06. Prior to supplementing a preference and/or waiting list by giving notice and an opportunity to apply for a waiting list position to a particular preference group, in accordance with the procedures outlined in 24 RCNY §§ 20-04 through 20-06, the Permits Division shall first notify and solicit applications for a preference and/or waiting list from all persons known to the Department who are in all superior preference categories. Those in a superior preference category will be given priority over those in a lower preference category in the filling of any vacancy.

§ 20-08 Responsibility of Those on Preference and/or Waiting List to Notify the Department of Change of Address.

The names of persons selected for a position on a preference and/or waiting list created pursuant to these rules shall be entered on this list with their address of record as known to the Department through mobile food vendor license records. Thereafter, it shall be the responsibility of each person placed on a preference and/or waiting list to provide written notification to the Department of any change of address. The Department shall provide written confirmation of its receipt of such address change notification. The failure to provide change of address information or, when requested, proof of the Department’s confirmation of receipt of such written notification, may result in the loss of a person’s preference and/or waiting list position and such person’s eligibility to apply for a mobile food unit permit issued pursuant to § 17-307(b)(3) of the Administrative Code. Such person shall be deemed to have abandoned his or her place on the preference and/or waiting list and will not be reinstated to the list unless such person participates in the process of list establishment pursuant to 24 RCNY §§ 20-03 through 20-06. The Department’s written confirmation of its receipt of a change of address notification shall constitute proof that such notification was provided to the Department.

§ 20-09 Multiple Requests for Preference and/or Waiting List Position Prohibited.

No more than one preference and/or waiting list position shall be granted to any person, who shall be eligible to obtain only one permit. Before the creation of the preference and/or waiting list through the random selection process, the Department shall ensure that a mobile food vendor licensee is represented only once in the pool of licensees from which the random listing and selection is to be made. Should the Department receive more than one request from any person, requests subsequent to the first shall be deemed invalid. A person who submits more than one request for a position on the preference and/or waiting list may be disqualified and denied a position on the list if such multiple requests are deemed, in the sole discretion of the Department, to adversely affect the fairness or orderly establishment of a list.

§ 20-10 Selection of Applicants From Preference and/or Waiting List.

When the number of permits outstanding falls below the statutory maximum of one-hundred (100) and at such time as the Department in its discretion may determine based upon a consideration of the number of vacancies, a number of persons on the preference and/or waiting list equal to the number of vacancies shall be notified by the Department, in preference and waiting list order, of their eligibility to apply for a full-term mobile food unit permit and shall form a pool of prospective applicants. Vacancies shall be filled from the highest preference category for which an applicant exists either on a waiting list or who may be identified as the result of the published notice specified in 24 RCNY § 20-04.

§ 20-11 Eligibility to Apply for a Mobile Food Unit Permit.

Only those persons who have been notified that their preference and/or waiting list number has been reached shall be eligible to submit an application for a mobile food unit permit. A person whose preference and/or waiting list number is reached and who holds a full-term, temporary or full-term borough-specific mobile food unit permit pursuant to subdivision g of § 17-307 of the Administrative Code, shall not be eligible for a permit pursuant to this preference and/or waiting list rule unless such previously held permit is surrendered or expires before a permit with respect to such waiting list position is issued. Positions on a preference and/or waiting list shall not be transferable.

§ 20-12 Notification of Eligibility to Apply for Permit.

Within ninety (90) days of mailing notification of eligibility to apply for a full-term mobile food unit permit issued pursuant to § 17-307(b)(3) of the Administrative Code, a person desiring to obtain such permit shall submit an application, completed in accordance with 24 RCNY Health Code § 5.05, together with the requisite fees therefor. The permit application shall be submitted on or before the ninetieth day.

§ 20-13 Failure to Make Application for Permit.

The failure of any person on the preference and/or waiting list who is notified of eligibility to apply for a permit, to complete the permit application process within ninety (90) days of being so notified, shall result in the forfeiture of such person’s eligibility to apply for a permit and such person’s preference and/or waiting list position.

§ 20-14 Abandonment of Preference and/or Waiting List Position.

A person who does not respond within ninety (90) days to a Departmental inquiry concerning a preference and/or waiting list position held by such person, mailed by ordinary mail to the address provided by such person, shall be deemed to have abandoned such list position. A person who holds a preference and/or waiting list position may withdraw his or her name at any time by providing written notice to the Division of Permits with verifying documentation satisfactory to the Division.

Chapter 21: Health Academy Courses and Department Fees

§ 21-01 Scope and applicability.

This Chapter describes the courses offered by the Department of Health and Mental Hygiene (the “Department”) Health Academy and fees authorized to be charged by the Department.

§ 21-02 Food protection courses and fees.

(a) Attending Department classes or taking an on-line course. In accordance with 24 RCNY Health Code § 81.15, or successor provision, the Department's food protection course provides training and instruction to supervisors of food service operations in food service establishments in subject matter and principles deemed necessary by the Department to promote compliance with the requirements of the Health Code, the State Sanitary Code and other applicable law. Persons taking the course may attend the course in person, or may take the course on-line.

   (1) The fee payable to the Department by persons attending the course in person, including the costs of issuance of a food protection certificate, shall be one hundred fourteen dollars ($114.00).

   (2) The fee payable to the Department by persons taking the course on line, including the examination and costs of issuance of a food protection certificate, shall be twenty- four dollars ($24.00).

  1. Certificates for other approved food protection courses and fee.

   (1) In accordance with 24 RCNY Health Code § 81.15(c), or successor rule, persons completing Department-approved food protection courses offered at other institutions shall attend a class and receive training in requirements of the Health Code, State Sanitary Code, and other applicable law, and shall take the examination required by the Department prior to issuance of a Department food protection certificate.

   (2) The fee payable to the Department for the costs of administering such examination and issuance of a food protection certificate, shall be thirty-four dollars ($34.00).

  1. Quality improvement food protection course and fee.

   (1) To train food service establishment supervisors in applying active managerial approaches to food safety, through development of quality improvement plans, implementing Hazard Analysis Critical Control Point (HACCP) plans, employee training, self-inspection, and food safety record keeping, with the objective of improving sanitary conditions and eliminating practices and procedures contributing to food-borne illnesses. Persons fulfilling course requirements shall receive a certificate of successful completion.

   (2) The fee payable to the Department by persons taking the course, including the costs of issuing a certificate of completion shall be ninety-eight dollars ($98.00).

  1. Mobile food vendor food protection course and fee.

   (1) In accordance with 24 RCNY Health Code §§ 81.15(a)(1) and 89.07(b), or successor provisions, all persons applying for a new mobile food vending license shall submit proof of successful completion of the Department’s, or a Department approved equivalent, mobile food vendor food protection course, providing basic information on food safety deemed essential for compliance with requirements of the Health Code, State Sanitary Code and other applicable law.

   (2) The fee payable to the Department for this course, including the costs of issuance of a mobile food vendor food protection certificate, shall be fifty-three dollars ($53.00).

§ 21-03 Swimming pool technology course and fee. [Repealed]

(a) In accordance with 24 RCNY Health Code § 161.09(h) and (k), or successor rule, the Department's animal care and handling techniques course shall provide instruction/training deemed essential by the Department to promote compliance with the Health Code, and other applicable law.
  1. The fee payable to the Department for the animal care and handling techniques course shall be thirty-nine dollars ($39.00).

§ 21-05 Tattooist infection control course and fee.

(a) In accordance with 24 RCNY § 22-05, or successor rule, the Department's course in infection control practices for persons applying tattoos provides information about infection risks, and required infection control practices and techniques in applying tattoos. When the applicant passes the examination, the Department shall notify and provide a photograph of the applicant to the permit director and a license shall be issued to the applicant.
  1. The fee payable to the Department for the tattooist infection control course and examination shall be twenty-six dollars ($26.00).

§ 21-06 Course completion certificates; replacement fees.

(a) A person successfully completing a Health Academy course shall receive a certificate containing such person's photograph.
  1. When a certificate is reported lost, damaged or stolen, the Department shall verify that the requestor successfully completed the applicable course and issue a replacement certificate. The fee payable to the Department for issuance of a replacement certificate shall be sixteen dollars ($16.00).

§ 21-07 Food service establishment consultative inspections and fees.

(a) Consultative inspections.

   (1) Voluntary consultation. In accordance with New York City Administrative Code § 17-1504, the Department will provide a consultative inspection to a person operating or applying for a permit to operate a food service establishment, as defined in 24 RCNY Health Code § 81.03, on how to operate the establishment in compliance with the Health Code and other applicable law.

   (2) Priority and scheduling of consultative inspections.

      (i) The Department will give priority to conducting consultative inspections at establishments that have a history of two or more inspections with a score of 28 or more points per inspection during the preceding 12 months, and at establishments whose operators request a consultative inspection when they are applying for their first permit, if they have not already been inspected and cited for operating without a permit.

      (ii) For permitted establishments, consultative inspections will be scheduled so that they do not occur during the establishment’s inspection cycle.

      (iii) All consultative inspections are contingent on the availability of Department resources,

  1. Fees. The fee for a permittee requesting a consultative inspection at an existing establishment is four hundred dollars ($400). The fee for an applicant for a new permit requesting a consultative inspection prior to the establishment’s first inspection by the Department is one hundred dollars ($100).

Chapter 22: Tattooists and Applying Tattoos

§ 22-01 License.

No person shall engage in tattooing without having obtained a license pursuant to subchapter 7 of chapter 3 of title 17 of the New York City Administrative Code.

§ 22-02 Photograph Required.

Two (2) full-face photographs of an applicant shall be taken by the Department or by others approved by the Department when such an applicant applies for a license. One photograph shall be affixed to the license and the other maintained in the records of the Department.

§ 22-03 Posting License.

A current and valid license issued pursuant to subchapter 7 of chapter 3 of title 17 of the New York City Administrative Code shall be conspicuously posted by the person who holds the license at any place and whenever customers are on the premises where the licensee is applying a tattoo.

§ 22-04 Advertising.

Advertising by a tattooist, except for alphabetical listings in telephone directories, shall include the statement “Licensed by the New York City Department of Health” and shall include the tattooist’s license number.

§ 22-05 Examination Required.

No person shall be issued a tattooist license without first having attended a course and passed an examination administered immediately thereafter by the Department in infection control practices required for safe application of tattoos.

§ 22-06 Disposable Equipment.

No tattoo shall be applied using other than sterile, disposable, single use, shaving razors, needles, and ink cups. Only single use paper stencils may be used. Such disposable equipment and tattoo dyes or pigments shall be discarded after each use.

§ 22-07 Application to Clean Skin.

No tattoo shall be applied to skin that is not clean and free from infection, rashes, sores, wounds, boils or other abnormalities of the skin tissue.

§ 22-08 Equipment Cleaning.

All non-disposable and reusable instruments and equipment shall be thoroughly cleaned with a detergent prior to sterilization by autoclaving after each use.

§ 22-09 Facilities.

The premises where tattoos are applied, and all work areas and work surfaces therein shall be kept clean and sanitary and shall have adequate facilities for hand washing and separate facilities for washing equipment and instruments.

§ 22-10 Tattooist Hygiene.

Before applying a tattoo, the tattooist shall wash his or her hands and forearms thoroughly with soap or detergent and warm water and shall wear a new pair of disposable, single-use latex examination gloves.

§ 22-11 Written Consent.

A signed written consent shall be obtained for each tattoo customer listing such customer’s name, age, date of birth, address, telephone number, the date tattooed and body site tattooed. Consents shall be maintained by the licensee for a period of two years after the date of tattoo application and be available for inspection by the Department upon request.

§ 22-12 Tattoo Care Instructions.

The licensee shall provide the customer with written instructions regarding care of the tattooed area to prevent infection. Sample instructions shall be included in the licensees’ informational publication issued by the Department pursuant to subchapter 7 of chapter 3 of title 17 of the New York City Administrative Code.

§ 22-13 Complaint Information.

A sign indicating that customers may register complaints at the New York City Department of Health, 125 Worth Street, New York, New York 10013, shall be conspicuously posted by the licensee at any place where the licensee is applying a tattoo.

§ 22-14 Disposal of Equipment.

Used tattoo needles and other sharp objects shall be disposed of in sharps containers approved for disposal of medical waste sharps. Dyes or pigments shall be disposed of in a manner that complies with all applicable federal, state and local laws, rules and regulations regarding disposal of such materials.

§ 22-15 Temporary License Fee.

The fee for a temporary license issued pursuant to subchapter 7 of chapter 3 of title 17 of the New York City Administrative Code shall be $50.

§ 22-16 License Denial, Suspension or Revocation.

An application for a license or a license shall be subject to denial, suspension or revocation pursuant to the rules of the Department (24 RCNY Chapter 7).

Chapter 23: Food Service Establishment Sanitary Inspection Procedures and Letter Grading

§ 23-01 Definitions and construction of words and terms.

Compliance inspection shall mean an inspection not for the purposes of grading conducted within a cycle.

Condition level shall mean the value (I, II, III, IV or V) based on the number, magnitude or pervasiveness of occurrences, or the seriousness of risk presented by a violation.

Critical violations shall mean the violations of the Health Code or other applicable law listed under the classification critical violations in Appendix 23-A of these rules.

Food service establishment or

establishment shall have the same meaning as the definition in 24 RCNY Health Code § 81.03, except that it shall not include mobile food vending units.

General violations shall mean violations listed under the classification “general violations” in Appendix A and Appendix B of this Chapter.

Grade card shall mean the card containing the letter grade associated with the score for an inspection.

Grade pending card shall mean the card issued by the Department to an establishment indicating that an establishment’s grade for the current cycle is in the process of being determined.

Health Tribunal means the Health Tribunal at OATH, the adjudicatory body established by § 558 of the New York City Charter, formerly known as the Department’s Administrative Tribunal, whose operation was transferred to OATH by Executive Order No. 148, effective July 3, 2011.

Initial inspection shall mean the first sanitary inspection within an inspection cycle.

Inspection cycle shall mean a series of related inspections consisting of at least an initial inspection and including, if triggered by the initial or any subsequent inspections within that cycle, a reinspection and any compliance inspections conducted by the Department because of a previous inspection score in that cycle.

Notice of violation means the document issued by the Department to a respondent that specifies the charges forming the basis of an adjudicatory proceeding at the Health Tribunal and seeks a monetary penalty.

OATH shall mean the Office of Administrative Trials and Hearings of the City of New York.

Operating or in operation shall mean that a food service establishment is receiving, preparing, storing or serving food or that the establishment is open to the public.

Pre-permit inspection shall mean a sanitary inspection conducted prior to permit approval to determine compliance of a food service establishment with the Health Code and other applicable law, regardless of whether the establishment is in operation.

Pre-permit serious item is a violation, identified in Appendix 23-A of this Chapter by a plus (+) sign that shall be corrected prior to approval of the permit.

Public health hazards are critical violations or conditions that are known to contribute directly to food-borne illness or disease, identified with an asterisk (*) in Appendix 23-A of this Chapter, and which include, but are not limited to, imminent health hazards defined in 24 RCNY Health Code Article 81 and Part 14 of the State Sanitary Code.

Reinspection shall mean a sanitary inspection conducted for the purpose of grading following receipt of a score of 14 or more points on an initial inspection.

Re-opening inspection shall mean the pre-operational inspection conducted after the Department closes an establishment to determine whether conditions leading to the closing have been corrected.

Sanitary inspection shall mean any on-site review by the Department of a food service establishment’s physical facilities, food handling operations, equipment, sanitary condition, maintenance and worker hygiene practices. The term may but shall not be limited to include initial, reinspection, compliance and pre-permit inspections.

§ 23-02 Scoring of sanitary inspections.

The Department shall when conducting a sanitary inspection assess points only for those violations, violation conditions and condition levels listed in Appendix 23-A (Food Service Establishment Sanitary Inspection Scoring Worksheet) and Appendix 23-B (Food Service Establishment Sanitary Inspection Scoring Parameters–A Guide to Conditions) to this Chapter. Terms used in these appendices shall have the same meaning as their definitions in 24 RCNY Health Code Article 81.

§ 23-03 Letter grading.

(a)  The Department, whenever practicable and subject to 24 RCNY § 23-04, shall conduct an inspection cycle at least annually at each food service establishment required by 24 RCNY Health Code § 81.51 to post a letter grade for the purpose of issuing such establishment a grade that identifies and represents that establishment's compliance with those laws and regulations that require it to operate in a sanitary manner so as to protect public health. Based on the results of either the initial inspection or reinspection in a cycle, an establishment shall in accordance with these rules be issued a letter grade of either "A," "B," or "C" for that cycle, except that an establishment shall not receive any grade if the Department orders that it be closed.
  1. The Department shall issue a letter grade of “A” to any establishment that receives fewer than 14 points on either the initial inspection or reinspection in a cycle.
  2. The Department shall not issue a letter grade to any establishment receiving 14 or more points on an initial inspection, but shall schedule a reinspection to occur no sooner than 7 days after the initial inspection. The Department shall on the reinspection issue a letter grade of “B” to any establishment receiving 14 - 27 points and a letter grade of “C” to any establishment receiving 28 or more points.
  3. The Department in any cycle may, in addition to conducting an initial and any reinspection for the purpose of issuing an establishment a letter grade, also conduct a compliance inspection after any inspection that results in a score of 28 points or more. The score received on any compliance inspection shall not change an establishment’s letter grade for that cycle.

§ 23-04 Intervals between inspection cycles.

(a)  A food service establishment shall post its letter grade until the Department issues it a new letter grade card or until a "grade pending" card is required to be posted in the establishment's next inspection cycle. The Department shall not wait one year to schedule the next inspection cycle for any establishment that receives 14 or more points on its initial inspection, but instead the interval of time between the final inspection in such cycle and the initial inspection in the establishment's next cycle shall be determined by the higher score from either its initial inspection or its reinspection:

   (1) An initial inspection commencing a new cycle shall be conducted 150 to 210 days after the reinspection at an establishment that receives a score of 14 to 27 points on an initial inspection or reinspection and does not score 28 or more points on either of these inspections.

   (2) An initial inspection commencing a new cycle shall be conducted 90 to 150 days after the final inspection of the cycle at an establishment that receives a score of 28 or more points on its initial inspection or reinspection.

   (3) An initial inspection commencing a new cycle shall be conducted within 60 to 120 days of reopening for an establishment that is authorized by the Department to reopen following a Department closure that occurs on an initial or reinspection of that establishment.

  1. Notwithstanding any other provision of this Chapter to the contrary, in circumstances when the Department believes there is an increased risk to public health, nothing in this section shall prohibit the Department from inspecting an establishment and treating that inspection as the initial inspection in a new cycle. Such circumstances include, but are not limited to, an establishment having a history of Department closure(s), being the subject of complaints of unsanitary conditions, or being compromised following an environmental emergency.

§ 23-05 Notices of violation and penalties for sustained violations.

(a)  The Department shall issue a notice of violation whenever a food service establishment is cited on any sanitary inspection for one or more critical violations or accumulates 14 or more points, regardless of whether any critical violations are cited on such inspection.
  1. All violations shall be recorded and/or cited individually on inspection reports and notices of violation.
  2. A Health Tribunal hearing examiner must impose the penalty set forth in Appendix C of this Chapter for any sustained violation.

§ 23-06 Revocation or suspension of permits.

(a)  Findings of serious and persistent violations or uncorrected public health hazards on any sanitary inspection may provide the basis for commencement of a proceeding to revoke or suspend a permit pursuant to 24 RCNY Health Code Article 5.
  1. The Department shall post signs on any establishment that it orders closed indicating that such establishment is not open to the public and shall remove any posted grade-related card.
  2. Prior to authorizing any closed establishment being allowed to re-open, the Department shall conduct a re-opening inspection. The Department may conduct as many inspections as it deems necessary to determine whether the establishment is in compliance with applicable law and may be reopened for operation.
  3. If an establishment that is required by 24 RCNY Health Code § 81.51 to post a letter grade is closed and then allowed to re-open, upon re-opening, the grade card that had been posted by the establishment before the closure will be posted again, except that where the closure occurred on the establishment’s initial inspection, a “grade pending” card shall be posted, and any grade card previously posted shall be removed, and where the closure occurred on a reinspection a “grade pending” card or the letter grade card corresponding to the score on the reinspection shall be posted.

§ 23-07 Posting letter grades.

(a)  The Department shall at the time of inspection provide any establishment required by 24 RCNY Health Code § 81.51 to post a letter grade that receives a score of 13 or less on an initial or reinspection with a grade card displaying the letter grade "A," which shall be posted immediately by the establishment.
  1. If an establishment required by 24 RCNY Health Code § 81.51 to post a letter grade receives a score of 14 or more points on an initial inspection, and is not closed by the Department, it shall continue to post its grade card from the prior cycle until its reinspection. If the establishment has been issued no prior grade card, it shall have no posting until its reinspection.
  2. If an establishment required by 24 RCNY Health Code § 81.51 to post a letter grade receives a score of 14 or more points on the reinspection, and is not closed by the Department, the Department shall provide the establishment with a “grade pending” card and a grade card displaying the letter grade that corresponds with its inspection score at the reinspection. The establishment shall immediately post either the grade card or the “grade pending” card. If the establishment elects to post the “grade pending” card, it may only do so until it has had an opportunity to be heard at the Health Tribunal pursuant to subdivision (d) of this section and 24 RCNY Health Code § 81.51.
  3. Effect of adjudication at the Health Tribunal on grading of establishments required by 24 RCNY Health Code § 81.51 to post letter grades:

   (1) If the establishment appears personally at the Health Tribunal and as a result of such proceeding the score received on a reinspection does not change the grade, the establishment shall immediately upon receipt of the notice of decision remove any posted “grade pending” card and post the grade card provided by the Department at such inspection.

   (2) Subject to the provisions of paragraph (3) of this subdivision, if the establishment does not appear at the Health Tribunal on or before the scheduled hearing date, the establishment shall, on the date of the hearing, post the letter grade card provided by the Department at the reinspection.

   (3) If the establishment appears at the Health Tribunal on the scheduled date but is unable to proceed, or if the establishment makes a timely request for an adjournment and such adjournment is granted, the establishment may continue to post the “grade pending” card and defer posting the letter grade card until the adjourned hearing date. In no event shall an establishment fail to post the grade card after the adjourned hearing date if the establishment is not able to proceed on such date.

   (4) If the establishment appears at the Health Tribunal and as a result of such proceeding the score received for the reinspection changes in a way that results in a change of grade, the Department shall provide the establishment with a new letter grade card that shall be promptly posted by the establishment in place of any other letter grade card or “grade pending” card.

   (5) If the establishment receives notice of decision by mail, the establishment shall immediately upon receipt of the notice of decision remove any grade pending card and post the grade card provided with the notice of decision, if any. If no new grade card is issued with the notice of decision, the establishment shall immediately post the grade card issued by the Department at the reinspection.

   (6) When an establishment settles the notice of violation issued at the reinspection by mail, online, or in person, the establishment shall immediately upon settlement post the grade card issued by the Department at such reinspection.

   (7) The disposition of any notice of violation at the Health Tribunal shall not affect any provision of this Chapter or other applicable law other than the issuance of a grade.

  1. An establishment required by 24 RCNY Health Code § 81.51 to post a letter grade shall shred or otherwise dispose of all non-current letter grade cards and “grade pending” cards in a manner that prevents reuse of the cards.
  2. The “grade pending” or letter grade card shall be posted in a conspicuous place where it is visible to passersby. The card shall be placed on the front window, door or exterior wall of an establishment required by 24 RCNY Health Code § 81.51 to post a letter grade. The card shall be within five feet of the front door or other opening to the establishment where customers enter from the street, at a vertical height no less than four feet and no more than six feet from the ground or floor. An establishment without a direct entrance from the street shall post the grade card or “grade pending” card at a place designated by the Department at its immediate point of entry so that it is clearly visible to passersby.
  3. Letter grade cards shall not be removed except when authorized by the Department.

§ 23-08 Effect of other laws and construction.

(a)  These rules shall be read and enforced in accordance with all applicable provisions of law, including, but not limited to, the State Public Health Law and Sanitary Code, the New York City Health Code, and Title 17 of the Administrative Code of the City of New York.
  1. No provision herein shall limit the authority of the Department to conduct such other inspections or take any other action it deems necessary, to enforce any provision of law within the jurisdiction of the Department.
  2. If any provision of this Chapter is adjudged invalid by any court of competent jurisdiction, such judgment shall not affect or impair the validity of the remainder of this Chapter.

APPENDIX 23-A FOOD SERVICE ESTABLISHMENT INSPECTION WORKSHEET

APPENDIX 23-B FOOD SERVICE ESTABLISHMENT INSPECTION SCORING PARAMETERS – A GUIDE TO CONDITIONS

APPENDIX 23-C FOOD SERVICE ESTABLISHMENT AND NON-RETAIL FOOD SERVICE ESTABLISHMENT PENALTY SCHEDULE

Chapter 24: Automated External Defibrillators In Certain Public Places

§ 24-01 Definitions.

(a)  Words and terms used in this chapter, other than those specified in subsection (b) of this section, shall have the same meaning as specified in § 17-188 of the New York City Administrative Code.
  1. When used in this chapter, the following words or terms shall have the following meaning:

   (1) Department. “Department” means the New York City Department of Health and Mental Hygiene.

   (2) Code. Code means the Administrative Code of the City of New York.

   (3) Publicly Accessible Areas. Publicly accessible areas of buildings operated by the Division of Facilities Management and Construction of the Department of Citywide Administrative Services means the areas within a “public place”, as that term is defined in § 17-188(a)(3) of the Code, to which members of the public are regularly invited or permitted on most business days and which do not require an appointment or special authorization or permission in order to gain admission.

   (4) Prominent Location. Prominent location shall mean any central location in a public place where the automated external defibrillators can be located and are readily available at all times for use by persons trained in their operation.

   (5) Public access defibrillation provider. Public access defibrillation provider means a person, firm, organization or other entity having control of a public place and possessing or operating an automated external defibrillator pursuant to a collaborative agreement, as that term is defined in § 3000-b of the New York State Public Health Law.

   (6) Trained Responder(s). Employees/volunteers recruited by or, if necessary, designated by the owner/management of those public places specified in § 17-188(a)(3) of the Code, to operate automated external defibrillators. Such employees shall have received appropriate training in the use and operation of automated external defibrillators, as evidenced by the successful completion of a combination cardio-pulmonary resuscitation/automated external defibrillator (CPR/AED) training class.

   (7) On A Regular Basis. As used in § 17-188(a)(3)(iv) of the Code, refers to those senior centers offering services, including lunch, to senior citizens as least three days per week.

   (8) Advanced Life Support. As used in § 17-188(j) of the Code and 24 RCNY § 24-06, advanced life support must include, although is not limited to, the availability of manual defibrillation.

§ 24-02 Compliance with State Law.

Any automated external defibrillator required pursuant to § 17-188 of the Code shall be acquired, possessed and operated in accordance with the requirements of § 3000-b of the New York State Public Health Law.

§ 24-03 Quantity and Location of Automated External Defibrillators.

(a)  The owner or operator of a public place, as defined in § 17-188(a)(3) of the Code and limited by § 17-188(e), shall place at least one automated external defibrillator(s) in a prominent location in that public place. In those public places maintained by the Division of Facilities Management and Construction of the Department of Citywide Administrative Services, this placement shall be within a "publicly accessible area", as defined in 24 RCNY § 24-01(b)(3).
  1. Automated external defibrillator(s) shall be located or placed so that this equipment can be obtained in a timely manner. For those buildings operated by the Division of Facilities Management and Construction of the Department of Citywide Administrative Services having publicly accessible areas located more than five (5) floors apart, no such publicly accessible area shall be more than five floors from where an automated external defibrillator is located.
  2. Storage conditions for the automated external defibrillators shall be in compliance with the manufacturer’s specifications.

§ 24-04 Required Notice: Signage Information.

(a)  The owner or operator of a public place shall provide written notice to all persons using a public place, as that term is defined in § 17-188(a)(3) of the Code, in the form of a clear and conspicuous wall sign placed at a height between five and seven feet above the floor and which is also in close proximity to the automated external defibrillator unit storage location.
  1. The sign shall contain the following language in lettering and representation (symbol) in the size indicated:

•     “DEFIBRILLATOR” or “AED” (minimum height – two (2) inches)

•     Automated External Defibrillator (minimum height – five eighths (5/8) inch)

•     Heart and lightening bolt logo (minimum height – two (2) inches)

  1. A second wall sign either similarly placed as the one required in subsection (a) of this section or located on the storage cabinet containing the automated external defibrillator must contain the following information in the size indicated:

•     In event of emergency call 911 (minimum height – three eighths (3/8) inch)

•     and

•     Contact this facility’s trained responder(s) at: (Give contact information for trained responder(s) (minimum height – three eighths (3/8) inch)

  1. In addition to the signs required in subsections (a) and (b) of this section, a wall sign containing the information specified in subsection (c) of this section shall be placed in a prominent location on all publicly accessible floors of a public place. Such sign shall also state that more information on CPR/AED training may be obtained by calling 311.
  2. Exception. The wall signs required by subsections (c) and (d) of this section shall not be required in nursing homes.
  3. Signs in conformity with the requirements specified in 24 RCNY § 24-03(b) and (c) shall be made available by the Department, at no cost to the owner or operator of a public place required to have an automated external defibrillator. An owner or operator shall use either the sign provided by the Department or its own sign provided that the sign used meets the requirements specified in this section.
  4. All automated external defibrillators shall be stored with clear concise written or pictorial instructions for their use.

§ 24-05 Site-Specific Response Plan.

(a)  The owner or operator of a public place, as defined in § 17-188 of the Code, must have a site response and maintenance plan as part of the written practice protocols included in the collaborative agreement required by § 3000-b of New York State Public Health Law. This plan must be made available to the Department upon its request.
  1. The Site-Specific Plan must specify the following:

   (1) A list of the trained responders, the specific training they received, how they can be contacted, the locations of the trained responders at the site.

   (2) The provider of the AED/CPR training received by each trained responder, the date that training was received as well as the due dates for training recertification of each trained responder.

   (3) The specific location(s) of the automated external defibrillator(s) at the public place. The automated external defibrillator(s) shall be in a location(s) accessible to the trained responder(s).

   (4) The party responsible for verifying that the automated external defibrillator(s) is in operable condition and for ensuring that the equipment is maintained in conformity with the manufacturer’s recommendations.

   (5) The placement and exact location of the signs required by 24 RCNY § 24-04(a), (b) and (c) along with the information on how to contact the site’s trained responder(s).

   (6) Instructions on how to identify an on-site medical emergency and a listing of procedures to be followed to notify trained responders of the existence of that emergency.

   (7) Procedures to be followed to notify the emergency medical services system as to the existence of an on-site medical emergency.

   (8) How the trained responder(s) at a site will be dispatched to the location of the medical emergency.

   (9) The procedures to be followed by the trained responder(s) at the location upon their response to the location of a medical emergency.

   (10) Procedures to be followed by trained responders upon their transfer of care of an emergency to the emergency medical services system.

   (11) Instructions on how to document each use of an automated external defibrillator and immediately report such usage in accordance with Public Health Law § 3000-b.

  1. The number of trained responders in each public place shall be commensurate with the size and configuration of the facility to permit rapid response during regular business hours. The number of trained responders in nursing homes required to make on-site automated external defibrillators available pursuant to § 17-188(b) of the Code shall be as specified in 24 RCNY § 24-06.

§ 24-06 Nursing Homes.

(a)  Nursing homes not making available advanced life support, as that term is defined in 24 RCNY § 24-01(b)(8), by a physician, registered nurse or emergency medical technician present on-site twenty-four hours a day, seven days a week or not making available automated external defibrillators to be used by a trained physician, registered nurse or emergency medical technician present on-site twenty-four hours a day, seven days a week, shall provide on-site automated external defibrillators, as required by § 17-188(b) of the Code in the number specified in 24 RCNY § 24-03(a). Such nursing homes must acquire, possess and operate their automated external defibrillators in accordance with the requirements of § 3000-b of the Public Health Law, as specified in § 24-02.
  1. A minimum of two trained responders, as defined in 24 RCNY § 24-01(b)(6), shall be present at all times in those nursing homes required to make automated external defibrillators available.

Chapter 25: Service of Final Orders In Assisted Outpatient Treatment

§ 25-01 Introduction and Scope.

These rules apply to the service of final orders in the assisted outpatient treatment program within the City of New York.

§ 25-02 Definitions and Construction of Words and Terms.

(a)  Act. "Act" shall mean the New York State Mental Hygiene Law § 9.60, as amended, entitled "assisted outpatient treatment."
  1. Inpatient Hospital Petitioner. “Inpatient Hospital Petitioner” shall mean the director of a hospital, or a designee of such director, who files a petition under the Act applying for a court order directing an individual who is hospitalized in such hospital at the time of the filing in court of such petition to receive assisted outpatient treatment under the Act.
  2. Subject of the Petition. “Subject of the Petition” shall have the meaning set forth in § 9.60(a)(6) of the Act.

§ 25-03 Service of Orders on a Subject of the Petition under the Act by Inpatient Hospital Petitioners.

(a)  An Inpatient Hospital Petitioner shall promptly serve personally upon any individual who is the Subject of a Petition by such Petitioner any court orders issued under the Act pursuant to such petition.
  1. Such Inpatient Hospital Petitioner shall promptly provide to the Department, in such form as the Department requires, an affidavit that the requirements of subdivision (a) of this section have been met, with a copy of the court order so served.

§ 25-04 Effect of Other Laws and Construction.

(a)  These rules shall be read and enforced in accordance with all applicable provisions of law, including, but not limited to, the New York State Mental Hygiene Law.
  1. No provision herein shall limit the authority of the Department to take any other action it deems necessary, to enforce any provision of law within the jurisdiction of the Department.
  2. If any provision of this Chapter is adjudged invalid by any court of competent jurisdiction, such judgment shall not affect or impair the validity of the remainder of this Chapter.

Chapter 26: Establishment and Maintenance of Separate Borough Specific Waiting Lists For Those Seeking Fresh Fruits and Vegetables Permits

§ 26-01 Definitions.

(a)  Words and terms used in this Chapter shall have the meanings specified in § 17-306 of the Administrative Code.
  1. “Establishment”, “establish”, “establishing” or “established” shall refer to the initial creation of the five separate borough specific waiting lists for fresh fruits and vegetables mobile food unit permits as well as all subsequent supplementations and re-establishments of any of these lists as necessary for filling both permit vacancies and waiting list positions for these permits.

§ 26-02 Direction to Establish Waiting Lists.

The Department shall establish five separate waiting lists for fresh fruits and vegetables permits that are designated for use exclusively in the boroughs of Brooklyn, Bronx, Queens, Manhattan and Staten Island. The waiting lists shall take into account the four preference categories listed in § 17-307(b)(4)(e) of the Administrative Code, including the additional preferences described in § 17-307(b)(4)(e)(i) of such Code.

§ 26-03 Preferences on Waiting Lists.

Establishment of the five borough specific waiting lists in accordance with this Chapter shall be in accordance with the preference categories and any additional preferences within a preference category as listed in § 17-307(b)(4)(e) of the Administrative Code. No person shall be placed on a borough specific fruits and vegetables waiting list pursuant to this Chapter in a higher position than any person who is given a greater preference pursuant to § 17-307(b)(4)(e). Persons with a higher preference shall be given a higher weighted value in the selection process used to establish the borough specific fruits and vegetables waiting lists created pursuant to this Chapter. Persons who appear on any existing mobile food unit permit waiting list on the effective date of Local Law No. 9 of 2008 and who also classify themselves as disabled veterans shall receive a weighted value of 8. Persons who appear on any existing mobile food unit permit waiting list on the effective date of Local Law No. 9 of 2008 and who also classify themselves as disabled persons shall receive a weighted value of 7. Persons who appear on any existing mobile food unit permit waiting list on the effective date of Local Law No. 9 of 2008 and who also classify themselves as non-disabled veterans shall receive a weighted value of 6. Any other persons who appear on any existing mobile food unit permit waiting lists on the effective date of Local Law No. 9 of 2008 shall receive a weighted value of 5. Persons not appearing on any existing mobile food unit permit waiting lists on the effective date of Local Law No. 9 of 2008 but who classify themselves as disabled veterans shall receive a weighted value of 4. Persons not appearing on any existing mobile food unit permit waiting lists on the effective date of Local Law No. 9 of 2008 but who classify themselves as disabled persons shall receive a weighted value of 3. Persons not appearing on any existing mobile food unit permit waiting list on the effective date of Local Law No. 9 of 2008 but who classify themselves as non-disabled veterans shall receive a weighted value 2. All other persons shall receive a weighted value of 1. Persons of the same weighted value shall be placed on borough specific fruits and vegetables waiting lists in order pursuant to the borough rankings indicated by such persons in their applications.

§ 26-04 Eligibility for Placement on Borough Specific Waiting Lists for Fresh Fruits and Vegetables Permits.

To be eligible for inclusion on any of the waiting lists established pursuant to this Chapter, applicants shall be natural persons holding a valid mobile food vendor license at least ten (10) days prior to the Department’s establishment of the borough specific fresh fruits and vegetables permit waiting lists created pursuant to this Chapter.

§ 26-05 Notice of the Establishment of Borough Specific Waiting Lists for Fresh Fruits and Vegetables Permits.

Notice of the Department’s intention to establish fresh fruits and vegetables borough specific waiting lists shall be made by publication in the City Record at least fourteen days prior to the establishment of such lists.

§ 26-06 Procedure for Requesting a Place on Waiting Lists.

(a)  The Division of Permits shall use a mail-in procedure for establishing all waiting lists. Such procedure shall allow persons requesting placement on one or more of the five waiting lists established pursuant to this Chapter to submit a Department-issued waiting list application form, which shall contain their license number, their preference category, if applicable, and their choice(s) of borough specific fresh fruits and vegetables permit(s) they seek, by mail postmarked during a period of time to be determined by the Department, as specified in the Notice published pursuant to 24 RCNY § 26-05.
  1. The Notice shall advise those persons requesting placement on one or more of these five borough specific waiting list(s) to rank the waiting list(s) they select by order of borough choice. Applicants shall be directed to apply only for waiting list(s) for boroughs in which they would be willing to vend should they obtain such borough specific permit.
  2. Persons in the first preference category, as provided in § 17-307(b)(4)(e), shall not lose their position on any pre-existing waiting list as a result of their submission of an application for a fresh fruits and vegetables permit waiting list position or any resulting placement on any such list. A person on any existing waiting list who is issued a fresh fruits and vegetables permit also need not relinquish his or her place on any previously existing waiting list. Pursuant to § 17-307(b)(4)(b), however, a person shall be issued no more than one permit, whether full-term citywide, borough-specific full-term, temporary citywide or exclusively fresh fruits and vegetables.

§ 26-07 Procedure for Establishment of Borough Specific Fresh Fruits and Vegetables Waiting Lists.

Not less than fourteen days after the Notice required by 24 RCNY § 26-05 is published in the City Record, the Department shall create five separate borough specific full-term fresh fruits and vegetables waiting lists. Applicants holding valid mobile food vendor licenses at least ten (10) days prior to the Department’s establishment of the fresh fruits and vegetables borough specific waiting lists created pursuant to this Chapter shall be included in the selection process, subject to the preferences and weighted values described in 24 RCNY § 26-03. Each applicant eligible for a position on any of these borough specific fresh fruits and vegetables waiting lists shall be able to obtain only one waiting list position per list. An applicant’s position on a fresh fruits and vegetables borough specific waiting list shall be determined by his or her preference category, including the additional preferences within the category specified in § 17-307(b)(4)(e)(i) of the Administrative Code. Within each preference category, including the additional preferences within the category specified in § 17-307(b)(4)(e)(i) of the Administrative Code, those applicants specifying a borough as a preferred choice in which to operate shall be given preference on that borough’s waiting list over those identifying that borough as a lesser choice. For each borough specific waiting list, applicants in identical preference categories, including the additional preferences within the category specified in § 17-307(b)(4)(e)(i) of the Administrative Code, who rank the applicable borough equally shall be placed on such borough specific waiting list in random order. The Department shall notify persons assigned a position on any of these waiting lists by mailing a notice to the address provided by the applicant on the applicant’s waiting list application form.

§ 26-08 Number of Positions on the Waiting Lists.

The Department shall not impose a pre-set limit or maximum on the number of waiting list positions on each of the five borough specific fresh fruits and vegetables waiting lists. Those applicants eligible for a waiting list position on any of the five borough specific waiting lists during the permit waiting list application period set by the Department shall be included on the waiting lists for which they applied. When it deems it necessary, the Department in its discretion may seek to supplement any specific borough waiting list or all waiting lists with additional names, pursuant to the procedure specified in 24 RCNY §§ 26-03 through 26-07, except that 24 RCNY § 26-06(b) shall not apply.

§ 26-09 Responsibility of Those on Waiting Lists to Notify the Department of Change of Address.

(a)  The names of persons selected for a waiting list created pursuant to this rule shall be entered on each list for which they apply with their address of record as known to the Department through mobile food vendor license records, or with any updated address provided to the Department on the waiting list application form. Thereafter, it shall be the responsibility of each person placed on a waiting list to provide written notification to the Department of any change of address. The Department shall provide written confirmation of its receipt of such address change notification. The Department's written confirmation of its receipt of a change of address notification shall constitute proof that such notification was provided to the Department.
  1. Failure to provide change of address information or, when requested, proof of the Department’s confirmation of receipt of such written notification, may result in the loss of a person’s waiting list position(s) and such person’s eligibility to apply for a fresh fruits and vegetables permit pursuant to § 17-307(b)(4) of the Administrative Code. Such person shall be deemed to have abandoned his or her place(s) on any of these borough specific fresh fruits and vegetables waiting list(s) and shall not be eligible for a fresh fruits and vegetables permit unless such person participates in the process of list establishment pursuant to 24 RCNY §§ 26-03 through 26-07, except that 24 RCNY § 26-06(b) shall not apply.

§ 26-10 Multiple Requests for Waiting List Position on any One Borough Specific Fruits and Vegetables Waiting List Prohibited.

An applicant may apply for and obtain no more than one waiting list position on each of the borough specific waiting lists established pursuant to this Chapter and shall be eligible to obtain and possess only one permit. Before the creation of the borough specific fresh fruits and vegetables waiting lists, the Department shall attempt to ascertain that a mobile food vendor licensee is represented only once in the pool of licensees from which the selection is to be made in producing each of the five borough specific fresh fruits and vegetables lists pursuant to 24 RCNY § 26-07. Should the Department receive more than one request for a waiting list position on any one borough list from any person, requests subsequent to the first shall be deemed invalid. A person who submits more than one request for a position on any one borough specific fresh fruits and vegetables waiting list created pursuant to these rules may be disqualified and denied a position on that borough specific fresh fruits and vegetables waiting list if such multiple requests are deemed, in the sole discretion of the Department, to adversely affect the fairness or orderly establishment of that specific borough list.

§ 26-11 Selection of Applicants From a Waiting List.

When the number of fresh fruits and vegetables permits outstanding for a particular borough falls below the statutory maximum for that borough and at such time as the Department in its discretion may determine based upon a consideration of the number of permit vacancies, a number of persons on such waiting list sufficient to fill the number of permit vacancies shall be notified by the Department, by waiting list order, of their eligibility to apply for a fresh fruits and vegetables permit to be used exclusively in a specific borough and shall form a pool of prospective applicants. Only one permit shall be issued for each eligible waiting list position or applicant.

§ 26-12 Eligibility to Apply for a Fresh Fruits and Vegetables Permit.

Only those persons who have been notified that their waiting list number has been reached shall be eligible to submit an application for a fresh fruits and vegetables borough specific permit. A person whose waiting list number is reached and who holds another mobile food unit permit issued by the Department to vend on public space, shall not be eligible for a fresh fruits and vegetables permit pursuant to this rule unless such previously held permit is surrendered or expires before a permit with respect to such fresh fruits and vegetables waiting list is issued. Positions on a waiting list shall not be transferable.

§ 26-13 Notification of Eligibility to Apply For Permit.

Within thirty (30) days of mailing notification of eligibility to apply for a fresh fruits and vegetables permit issued pursuant to § 17-307(b)(4) of the Administrative Code, a person desiring to obtain such permit shall submit an application, completed in accordance with 24 RCNY Health Code § 5.05, together with the requisite fees and requested supporting documentation therefore. The permit application shall be submitted on or before the thirtieth day.

§ 26-14 Failure to Make Application for Permit or Complete Inspection Process, Declination of Permit.

(a)  A person on a borough specific fresh fruits and vegetables waiting list who is notified of his or her eligibility to apply for a permit and who fails to submit a completed permit application to the Department within thirty (30) days of being notified by the Department, or who otherwise communicates to the Department his or her lack of interest in the permit offered, shall result in the forfeiture of such person's waiting list position and the permit shall be offered to the next person on that borough specific fresh fruits and vegetables waiting list.
  1. A person notified of his or her eligibility to apply for a fresh fruits and vegetables permit to vend in a borough not his or her first choice, as that choice was specified on that person’s waiting list application, who applies for a permit for such borough and who presents documentation supporting his or her claim of eligibility in one of the preference categories listed in § 17-307(b)(4)(e) of the Administrative Code, if applicable, and whose mobile food unit passes the Department’s required inspection pursuant to § 17-307(b)(2)(d) of the Administrative Code, shall not lose his or her waiting list positions(s) on any other borough specific fresh fruits and vegetables waiting lists of higher choice, as stated on the same waiting list application form. Such fresh fruits and vegetables permittee, however, shall forfeit his or her position(s) on existing borough specific fresh fruits and vegetables waiting lists of lesser choice as stated on his or her waiting list application form.
  2. Any person notified that their waiting list number on a selected borough specific fresh fruits and vegetables waiting list has been reached and who is eligible to apply for this permit but who declines such borough specific permit offer shall be required to forfeit all waiting list positions on any other existing fresh fruits and vegetables waiting lists.
  3. Any person who fails to submit documentation satisfactory to the Department demonstrating that such person belongs to a preference category listed in § 17-307(b)(4)(e) or whose mobile food unit does not pass the Department’s required inspection, in accordance with § 17-307(b)(2)(d) of the Administrative Code, shall be required to forfeit all such person’s waiting list positions on all existing borough specific fresh fruits and vegetables waiting lists.
  4. The failure of any person to timely apply for a permit offered as specified in this section, complete the Department’s inspection process or a person’s declination of a specific borough permit offered pursuant to this Chapter, shall not affect that person’s standing on any non-fresh fruits and vegetables mobile food unit permit waiting list.

§ 26-15 Abandonment of Waiting List Position.

(a)  A person who does not respond within thirty (30) days to a Departmental inquiry concerning a waiting list position held by such person, mailed by ordinary mail to the address provided by such person, shall be deemed to have abandoned such waiting list position. That person shall also be deemed to have abandoned or forfeited his or her standing on any other existing fresh fruits and vegetables waiting list on which he or she may appear.
  1. A person who holds a waiting list position may withdraw his or her name at any time by providing written notice to the Department with verifying documentation satisfactory to the Department.

Chapter 28: Restriction On the Sale of Certain Flavored Tobacco Products

§ 28-01 Definitions and Construction of Words and Terms.

(a) Act. "Act" shall mean the Regulation of the Sale of Herbal Cigarettes and Flavored Tobacco Products, as provided in Chapter 7, Title 17 of the New York City Administrative Code ("the Administrative Code"), as amended by Local Law 69 of 2009.
  1. Aroma. “Aroma” shall mean a quality that can be perceived by the sense of smell.
  2. ASTM. “ASTM” shall mean the American Society for Testing and Materials: www.astm.org
  3. Characterizing Flavor. “Characterizing Flavor” shall have the meaning set forth in § 17-713(b) of the Act.
  4. Commissioner. “Commissioner” shall mean the Commissioner of the New York City Department of Health and Mental Hygiene.
  5. Department. “Department” shall mean the New York City Department of Health and Mental Hygiene.
  6. Department of Consumer Affairs. “Department of Consumer Affairs” shall mean the New York City Department of Consumer Affairs.
  7. Distinguishable. “Distinguishable” shall mean clearly perceivable by either the sense of smell or taste.
  8. Flavored tobacco product. “Flavored tobacco product” shall have the meaning set forth in § 17-713(e)  of the Act.
  9. Label. “Label” shall mean a display of written, printed, or graphic matter upon the immediate container of any tobacco product.
  10. Labeling. “Labeling” shall mean all labels and other written, printed, or graphic matter upon any tobacco product or any of its packaging, or accompanying such tobacco product.
  11. Manufacturer. “Manufacturer” shall mean any person, including any repacker or relabeler, who manufactures, fabricates, assembles, processes, or labels a tobacco product; or imports a finished tobacco product for sale or distribution into the United States.
  12. Packaging. “Packaging” shall mean a pack, box, carton, or container of any kind or, if no other container, any wrapping (including cellophane) in which a product is offered for sale, sold, or otherwise distributed to consumers.
  13. Rules. “Rules” shall mean Chapter 28 of Title 24 of the Rules of the City of New York.
  14. Tobacco bar. “Tobacco bar” shall have the meaning set forth in subdivision jj of § 17-502 of the Administrative Code.
  15. Tobacco products. “Tobacco product” shall have the meaning set forth in § 17-713(j) of the Act. Tobacco products shall include, but not be limited to: cigars, pipe tobacco, smokeless tobacco, dissolvable tobacco, snuff, shisha, blunts, and blunt wraps. For purposes of this chapter, tobacco products shall not include cigarettes.

§ 28-02 Sale or Offer for Sale of Flavored Tobacco Products Restricted.

(a)  Only the following entities may sell or offer for sale flavored tobacco products:

   (1) Tobacco bars; and

   (2) Tobacco wholesalers, but only where the sale or offer of sale is made to a tobacco bar or to an entity located outside the City of New York.

  1. Tobacco products that impart a distinguishable taste or aroma of menthol, mint, wintergreen or tobacco, and do not also impart a characterizing flavor, are not subject to the restriction on sale set forth in § 17-715 of the Administrative Code or these rules, and may lawfully be sold by any retail dealer or wholesale dealer licensed to sell tobacco products, regardless of whether such sale occurs to or in a tobacco bar.

§ 28-03 Presumptively Flavored Tobacco Products.

(a)  A tobacco product is presumed to be flavored if its manufacturer, or any person authorized or permitted by its manufacturer to make or disseminate public statements or claims concerning such tobacco product, has made a statement or claim on the tobacco product's label, labeling or packaging that such tobacco product has or produces a characterizing flavor.
  1. As used in § 17-713(e) of the Act and these rules, a “public statement or claim” includes text and/or images used to communicate information about the flavor, taste or aroma of a tobacco product.
  2. Any tobacco product for which the label, labeling, or packaging of such product includes a public statement or claim that such product has or produces a taste or aroma relating to any fruit, chocolate, vanilla, honey, candy, cocoa, dessert, alcoholic beverage, herb or spice, or any other flavor other than menthol, mint, wintergreen or tobacco, shall be presumed to be a flavored tobacco product subject to the restrictions on sale set forth in § 17-715 of the Act.

§ 28-04 Restricted Flavored Tobacco Product List.

(a)  A tobacco product that is not presumed to be flavored because of a statement or claim on its product label, labeling or packaging may nevertheless be a flavored tobacco product if it has or imparts a characterizing flavor. The Department shall establish a list of such tobacco products, entitled the "Restricted Flavored Tobacco Product List," set forth as Appendix A of these rules. The Restricted Flavored Tobacco Product List shall also be posted on the Department's website. Determinations about whether tobacco products are flavored within the meaning of the Act and subject to inclusion on the Restricted Flavored Tobacco List shall be made by the Department following the testing of such products by a panel of trained sensory testers consistent with ASTM standards. Products on the Restricted Flavored Tobacco Product List shall only be sold or offered for sale to a tobacco bar or in a tobacco bar, or by tobacco wholesalers to entities located outside the city of New York.
  1. The Department shall develop the Restricted Flavored Tobacco Product List as follows:

   (1) If the Department determines that a tobacco product has or imparts a characterizing flavor, it shall in writing notify the tobacco product’s manufacturer of such determination and of its intent to include the product on the Restricted Flavored Tobacco Product List. The Department’s notification shall include: (i) a description of the testing protocol used to determine whether the tobacco product has a characterizing flavor within the meaning of the Act; (ii) the identity of the entity that tested the product to determine if it has or produces a characterizing flavor; and (iii) any findings of fact developed by the testing entity.

   (2) A manufacturer may within sixty (60) days of service of the notification described in 24 RCNY § 28-04(b)(1) object to the inclusion of its product on the Restricted Flavored Tobacco Product List. An objection shall be in writing, and shall include all information and evidence a manufacturer deems relevant to a determination of whether the tobacco product has or imparts a characterizing flavor. Manufacturers that fail to submit an objection within sixty (60) days of service of the notification described in 24 RCNY § 28-04(b)(1) shall be deemed to have waived their right to do so and the Department may immediately commence rule making to add the tobacco product(s) to the Restricted Flavored Tobacco Product List.

   (3) Upon notice by a manufacturer that the Department intends to include a tobacco product on the Restricted Flavored Tobacco Product List, any third party may submit to the Department information relevant to a determination of whether the tobacco product has or imparts a characterizing flavor. Such submissions shall be subject to the deadlines set forth in 24 RCNY § 28-04(a)(2).

   (4) Subject to the provisions of the Freedom of Information Law, N.Y. Pub. Off. Law § 87, a manufacturer or other party may request that any information it submits to the Department pursuant to 24 RCNY § 28-04(b)(2) or (b)(3) be designated as exempt from disclosure because it includes trade secrets, or for any other applicable reason set forth in the Freedom of Information Law. Any portion of a submission for which a privilege is asserted shall be treated as confidential until such times as a request is made for that information. If a request is made for information under the Freedom of Information Law and such information is designated as confidential pursuant to such law, the Department shall promptly notify the entity that submitted the information of the request.

   (5) Within sixty (60) days of receipt of a manufacturer’s submission pursuant to 24 RCNY § 28-04(b)(2) or (b)(3), the Department shall either grant or deny the manufacturer’s objection making findings of fact in support of its determination. If the Department denies the objection, it shall commence rule making to add the product(s)  to the Restricted Flavored Tobacco Product List.

§ 28-05 Enforcement.

(a)  The Department and the Department of Consumer Affairs shall enforce the provisions of the Act and these rules.
  1. Violations of this Act shall be punishable as provided by the Act. Violations of these rules which are not also violations of the Act shall be subject to a penalty not to exceed one thousand dollars ($1,000), in accordance with § 555(b)(2)  of the New York City Charter.
  2. Where a person is found to have violated the Act or these rules, the Department or the Department of Consumer Affairs shall commence a proceeding to recover any civil penalty authorized pursuant to § 17-716 of the Act by the service of a notice of violation returnable to the Administrative Tribunal established by the Board of Health where the Department issues such a notice or to the adjudication division of the Department of Consumer Affairs where such department issues such notice.
  3. In any administrative hearing conducted pursuant to § 17-716 of the Act, a manufacturer shall be permitted to intervene in order to present evidence relevant to the adjudication of the notice of violation.

§ 28-06 Original Labels, Labeling and Packaging of Out-of-Package Sales Required.

Every owner, operator, manager or other person in control of an establishment that sells or offers for sale tobacco products, or non-tobacco products designed for consumption through the inhalation of smoke, shall maintain on site the original labels, labeling and packaging provided by the manufacturer for all such products that are sold or offered for sale by the establishment separately from its original packaging. The original labels, labeling and packaging from which the contents are sold separately shall be maintained during such time as the contents of the package are offered for sale, and may be disposed of upon the sale of the entire contents of such package.

§ 28-07 Construction.

If any provision of this Chapter is adjudged invalid by any court of competent jurisdiction, such judgment shall not affect or impair the validity of the remainder of this chapter.

Appendix A: Restricted Flavored Tobacco Products List [Reserved]

Chapter 27: Food Allergy Information

§ 27-01 Scope and applicability.

This Chapter implements Local Law 17 of 2009 (adding Administrative Code of the City of New York § 17-195) requiring that signs with food allergen information be posted in certain food service establishments where food is sold and seating areas are provided for patrons. This Chapter does not apply to: food service establishments that are mobile food vending units and mobile food vending commissaries, as defined in 24 RCNY Health Code Article 89; temporary food service establishments, as defined in 24 RCNY Health Code Article 88; or food service programs for children, the elderly and institutionalized populations operated by government agencies or health care, educational, religious, charitable or fraternal organizations.

§ 27-02 Definitions.

When used in this Chapter, the following terms shall have the following meanings.

  1. Food means any raw, cooked or processed edible substance, beverage, ingredient, ice or water used or intended for use or for sale, in whole or in part, for human consumption.
  2. Food allergen means a food that triggers an allergic response when ingested by a sensitized person. The symptoms in an allergic response to a food allergen may include: hives, itching, swelling of the eyelids, face, lips, and tongue, runny nose, abdominal cramps, nausea, vomiting, diarrhea, hoarse voice, difficulty breathing, anaphylaxis, and death. The most common food allergens include: peanuts, tree nuts (such as cashews, hazelnuts and walnuts), fish, shellfish or crustacea (such as shrimp, crab, lobster and clams), eggs, milk or milk products, wheat (gluten) and soy.
  3. Food worker means a food worker or food handler as defined in 24 RCNY Health Code Article 81, except that it shall not mean a person who delivers food prepared in a food service establishment to patrons’ homes, offices or other locations.
  4. [Reserved.]
  5. Patron or customer means a person who orders from or is served food at a food service establishment.
  6. Poster or posting. Poster or posting means a placard, paper or other poster, or a magnetized or other display, that contains information about food allergens and that is provided or approved by the Department pursuant to this Chapter.

§ 27-03 Posting and placement of food allergy information.

(a) Posting of information. Food allergy information provided or approved by the Department shall be posted in a food service establishment.
  1. Languages and texts. Information shall be posted in languages that are understood by all food workers in an establishment. The Department shall provide posters with texts in English, Spanish, Chinese, Korean and Russian, shall maintain the texts of posters on its web site, may approve texts of posters in other languages upon request, and, as it deems necessary, may change and provide approved texts if new or different information about food allergens becomes known.
  2. Placement. Information shall be posted in conspicuous locations where it will be visible to all food workers including, but not limited to, food preparation areas and kitchens where food orders and raw ingredients are processed or prepared and places where food orders are placed and retrieved.

§ 27-04 Disclosure.

Food service establishment operators shall disclose to a patron, on request, whether an ingredient containing a specific food allergen is used in the preparation of any menu item.

§ 27-05 No limitations on voluntary actions.

Nothing in this Chapter shall prohibit a food service establishment operator from taking any other measures to provide information to patrons or employees of the establishment to assist in avoiding patron contact with food allergens, including but not limited to providing additional information to patrons about food allergens in any format or soliciting patron allergen information.

§ 27-06 No third party beneficiary.

Nothing in this Chapter is intended to create any benefit or support a cause of action for any third persons, including individuals with food allergens.

§ 27-07 Violations.

(a) It shall be a violation of this Chapter for an operator of a food service establishment:

   (1) To fail to post the information required by this Chapter in a conspicuous place or places in the establishment;

   (2) To fail to post the information in areas where it is visible to food workers;

   (3) To fail to post the information in languages understood by food workers; or

   (4) To post texts that are not provided or approved by the Department.

  1. Violations shall not be scored as sanitary inspection violations pursuant to Chapter 23 of Title 24 of these Rules.

Chapter 30: Volatile Organic Compounds In Carpet and Carpet Cushion

§ 30-01 Scope and applicability.

This chapter applies to the sale and installation of carpet and carpet cushion in the City of New York and should be read in conjunction with Chapter 14 of Title 17 of the Administrative Code of the City of New York.

§ 30-02 Definitions.

When used in this Chapter, terms that are defined in Administrative Code § 17-1401 have the same meanings as they do in Administrative Code § 17-1401.

§ 30-03 Recordkeeping and receipts.

Labels and documentation must be maintained by carpet businesses.

  1. Documentation required. Carpet businesses must obtain documentation from the manufacturer of any carpet or carpet cushion sold, offered for sale, or installed in New York City showing that it complies with the volatile organic compound (VOC) emissions limits in Administrative Code § 17-1404 or has Green Label or Green Label Plus certification. The documentation must also include: (i) the name and address of the manufacturer; (ii) the brand name; (iii) style name or number; and (iv) the model name or number for the carpet or carpet cushion, as well as product information provided by the manufacturer in any form to show compliance. Green Label or Green Label Plus product information may consist of, but not be limited to, labels from rolls of carpet cushion and carpet products; roll bags or wrappers, sample bags or boards, displays, brochures, product literature, bulletins, specification sheets, corporate website printouts, print ads, stationery. Information for products with no Green Label or Green Label Plus certification must include results of testing samples using ASTM standard D5116-10 showing compliance with Tables 1 and 2 of Chapter 14 of Title 17 of the Administrative Code.
  2. Documentation to be kept for six months. A carpet business must keep the manufacturer’s documentation required in subdivision (a) above for at least six months after sale or installation of carpet or carpet cushion.
  3. Documentation to be provided on request. A carpet business must provide the manufacturer’s documentation required in subdivision (a) above for any carpet or carpet cushion to the consumer or to a representative of the Department or the Department of Consumer Affairs within three business days of receiving a request.
  4. Consumer receipts. The consumer must be given a receipt at the time of purchase which includes the (i) date of purchase, (ii) the name of the manufacturer, (iii) brand name, (iv) style name or number, and (v) model name or number of the carpet or carpet cushion purchased.

§ 30-04 Notice.

(a) Form of notice.

   (1) New York City sales. In New York City, the notice required by Administrative Code § 17-1407 must be posted conspicuously at the point of sale where carpet or carpet cushion is sold or offered for sale. When posted at the point of sale, the sign must be at least 8 1/2” by 14” in size with letters at least one-half inch high.

   (2) Sales outside New York City. If carpet or carpet cushion is purchased outside New York City for installation in New York City, instead of posting, a paper copy of the notice must be given to the consumer by the installer prior to installation.

   (3) Internet sales. The notice must also be provided electronically if a carpet business sells carpet or carpet cushion on a website and the carpet or carpet cushion will be installed in New York City.

  1. Text of notice. The notice must read as follows:

NOTICE NEW YORK CITY CARPET EMISSION LIMITS

After July 1, 2013, carpet sellers may only sell carpet or carpet cushion that complies with New York City laws for volatile organic compound (“VOC”) emission limits. Carpet installers and building owners and occupants may only install VOC-compliant carpet or carpet cushion in any building. A carpet business must provide documentation showing VOC compliance upon customer request. Call 311 if the carpet seller or installer does not give you this information. Keep your receipt to help track product information.

Chapter 29: Animal Population Control Program

§ 29-01 Authority to establish a program and expend funds.

In accordance with this Chapter, the Department is authorized to expend funds maintained in the Animal Population Control Fund established pursuant to §§ 17-811 and 17-812 of the Administrative Code of the City of New York, to the extent such funds are available, by subsidizing provision of free or low cost spay and neuter services directly to owners of cats and dogs who would otherwise be unable to pay for such services, and by establishing and supporting programs for the education of owners of dogs and cats regarding the benefits of having their dogs and cats spayed or neutered.

§ 29-02 Definitions.

When used in this Chapter, the following terms shall have the following meanings.

Animal shelter or shelter for homeless animals. Animal shelter or shelter for homeless animals means a not-for-profit facility holding a permit in accordance with 24 RCNY Health Code § 161.09, or successor provision, where homeless, lost, stray, abandoned, seized, surrendered or unwanted animals are received, harbored, maintained and made available for adoption to the general public, redemption by their owners or other lawful disposition, and which is owned, operated, or maintained by a duly incorporated humane society, animal welfare society, society for the prevention of cruelty to animals, or other organization devoted to the welfare, protection or humane treatment of animals.

Cat. Cat means a domesticated animal of the species Felis catus kept as a pet, but does not mean any animal that is a hybrid or cross-breed of such species whose possession is prohibited in New York City pursuant to 24 RCNY Health Code § 161.01, or successor provision.

Dog. Dog means a domesticated animal of the species Canis familiaris kept as a pet, but does not mean any other animal that is a hybrid or cross-breed of such species whose possession is prohibited in New York City pursuant to 24 RCNY Health Code § 161.01 or successor provision.

Owner. Owner shall mean any individual who resides in the City of New York who possesses, harbors or cares for one or more dogs or cats.

Spay/neuter services. Spay/neuter services shall mean services provided by a veterinarian licensed to practice veterinary medicine in the State of New York to alter dogs and cats by surgical methods, or by other methods approved by the U.S. Food and Drug Administration or U.S. Department of Agriculture and acceptable to the Department, to prevent such animals from reproducing, and shall include all accessory or supportive veterinary services deemed necessary by the veterinarian, including, but not limited to, rabies and other vaccinations, and an assessment of the general health of the animal receiving such service.

§ 29-03 Eligibility requirements.

(a) Service providers. The Department may enter into contracts with or award grants or otherwise reimburse for spay and neuter services New York City animal shelters or animal protective associations, and to the extent that funds are or become available, to private veterinarians practicing in New York City, for the purpose of providing free or low cost spay/neuter services. Service providers receiving such contracts or grants shall provide free or low cost spay/neuter services to eligible persons, including, but not limited to, persons receiving Medicaid or other government subsidized health insurance, Medicare, Social Security, Social Security Disability, other disability benefits, food stamps, public assistance; seniors and disabled persons holding reduced fare MetroCards; and residents of public housing or recipients of Section 8 or successor federal housing program subsidies or vouchers.
  1. Owners. To receive spay/neuter services for their dogs or cats, owners of animals shall be residents of New York City, and shall submit proof to the provider of spay/neuter services to demonstrate the owners’ eligibility for free or low cost spay/neuter services. Such proof may include, but shall not be limited to originals or copies of documents showing that the owner is a recipient or beneficiary of a program providing a subsidy or benefit listed in subdivision (a) of this section. An owner with a complaint about services provided or denied pursuant to a contract authorized by this Chapter may contact the Department via 311.

Chapter 31: Drinking Water Tank Inspections

§ 31-01  Authority.

As required by § 17-194 of the Administrative Code and 24 RCNY Health Code § 141.07, this Chapter establishes rules for the manner and timeframe that building owners or their agents must report the results of their annual drinking water tank inspections to the Department. All definitions and terms used in this Chapter must have the same meaning as specified in § 17-194 of the Administrative Code, or if not defined therein, as specified in 24 RCNY Health Code Article 141.

§ 31-02  Reporting.

(a) A building owner with one or more drinking water tanks used to store potable water must, by January 15 of each year, report to the Department the results of the annual inspections conducted for each such drinking water tank during the previous calendar year. Inspection outcomes must be filed either through an online, interactive electronic submission system on the DOHMH website, or by submitting either a Drinking Water Storage Tank Inspection Reporting form, or a Multiple Drinking Water Storage Tanks Inspection Reporting form, as provided in subdivision (b) of this section.
    1. The Department will make an online, interactive electronic submission system, as well as a Drinking Water Storage Tank Inspection Reporting form and a Multiple Drinking Water Storage Tanks Inspection Reporting form, available on its website. Both forms will also be available on request by calling 311.

   (2) Inspection results submitted on a Drinking Water Storage Tank Inspection Reporting form and a Multiple Drinking Water Storage Tanks Inspection Reporting form must conform to the following:

      (A) Inspection results for a building containing only one drinking water tank must be submitted using the Drinking Water Storage Tank Inspection Reporting form. Inspection results for a building containing two (2) or more drinking water tanks must be submitted using the Multiple Drinking Water Storage Tanks Inspection Reporting form.

      (B) Such reporting forms must be completed using either a digitally or mechanically typed font.

      (C) Building premises information submitted on such reporting forms must be in conformance with the New York City Department of Buildings (DOB) Building Information System (BIS). The required Building Identification Number (BIN) and standardized building address can be obtained by using the DOB BIS website (www.nyc.gov/bis). Paper reporting forms that do not contain such required standardized building information will not be accepted as valid documentation of an annual inspection.

      (D) The appropriate form must be delivered or mailed to the Department’s Office of Public Health Engineering at:

         NYC Department of Health and Mental Hygiene          Office of Public Health Engineering          Drinking Water Storage Tank Inspection Reporting Program          42-09 28th Street, 14th Floor          Long Island City, NY 11101-4132

      (E) Any paper reporting form deemed incomplete, erroneous or otherwise unacceptable will be returned to the sender and will not be considered as documentation of the required annual inspections.

  1. All inspection results filed with the Department pursuant to this section will be publicly available.

§ 31-03 Penalties.

Owners or operators of buildings with drinking water tanks or other persons found to be in violation of any of the following provisions of law by a hearing officer at the Office of Administrative Trials and Hearings or successor tribunal must pay the penalties set forth in Appendix 31-A of this Chapter for each such violation sustained with respect to each building drinking water tank for each year to which such violation pertains.

APPENDIX 31-A BUILDING DRINKING WATER TANK PENALTIES [ALP S-002]

Chapter 32: Dogs in Outdoor Dining Areas

§ 32-01 Definitions.

When used in this Chapter, the following terms have the following meanings:

  1. Animal nuisance. Animal nuisances include, but are not limited to, animal feces, urine, blood, body parts, carcasses, vomitus and pervasive odors; animals carrying, or ill with, diseases communicable to persons or other animals; and dangerous dogs.
  2. Food has the same meaning as in 24 RCNY Health Code Article 71).
  3. Food service establishment means an establishment with outdoor dining areas that is permitted by the Department pursuant to 24 RCNY Health Code § 81.05.
  4. Licensed means that the dog’s owner has obtained the dog license required by Chapter 115 of the Laws of 1894, as amended, or that the owner, if not a resident of New York City, has obtained a license to own or harbor the dog as required by the laws of the jurisdiction in which the owner resides.
  5. Outdoor dining area means an area operated and controlled by a food service establishment that is located outdoors and is used by patrons of the establishment to dine. Such areas include, but are not limited to, (i) a licensed unenclosed sidewalk café as defined in the § 20-223(c) of the Administrative Code of the City of New York (Administrative Code) or successor provision, and (ii) an outdoor dining area not located on a sidewalk that is accessed directly from the street or through a passage of the establishment, if such passage is completely separated from any dining, food preparation or food, equipment or utensil storage areas of the establishment. An enclosed sidewalk café, as defined in § 20-223(b) of the Administrative Code, is not an outdoor dining area.
  6. Permittee means the person or entity holding a permit issued pursuant to 24 RCNY Health Code § 81.05 to operate a food service establishment that has a designated outdoor dining area.
  7. Service dog means a dog that is individually trained to do work or perform tasks for the benefit of an individual with a disability.
  8. Under control of the dog’s owner means that the dog is on the floor of the outdoor dining area, within arm’s length reach of the owner, and is (i) on a leash securely held by the owner, (ii) a leash tied to a table or chair leg, or (iii) in a crate.

§ 32-02 Permittee policies and procedures; required control measures.

(a) Permittee's discretion. A permittee may choose to allow dogs that are not service dogs to accompany their owners in the outdoor dining areas of the permittee's establishment, in accordance with § 1352-e of the New York State Public Health Law and this Chapter. A permittee is not obligated to allow dogs, other than service dogs, to be in outdoor dining areas of an establishment and nothing in these rules shall give a dog owner the right to bring a dog into any establishment where dogs are prohibited by the owner or this Chapter.
  1. Required control measures. Permittees who choose to allow dogs other than service dogs to be with their owners in outdoor dining areas must comply with this Chapter, and may impose any restrictions or additional control measures that they deem necessary for controlling dogs in their outdoor dining areas.

   (1) Removal of dogs. The permittee must request that a dog owner remove from the establishment any dog that menaces, threatens or bites any person or other dog. The permittee shall not serve a dog owner who refuses to comply with a request to remove such a dog.

   (2) Injury reports. A permittee must report to the Department any bite or other injury to a person caused by a dog within 24 hours of the injury. The report must be submitted to “311” by telephone or electronically. The report must include the name, address and phone number of the dog’s owner, the dog’s license number, and the name, address and phone number of the person bitten. Permittees must call “911” immediately following an injury to a person when the owner of a dog that bites or causes other injury refuses to provide the owner’s contact information.

   (3) Access limited to outdoor dining areas. Dogs other than service dogs are not allowed in any area of a food service establishment that is not an outdoor dining area as defined in 24 RCNY § 32-01.

   (4) Aisle space. Dogs may not obstruct the 36-inch aisle space between tables in unenclosed sidewalk cafés, as required by 6 RCNY § 2-55(a), or successor provision.

§ 32-03 Signage.

A permittee who allows dogs that are not service dogs to accompany their owners in outdoor dining areas must post a sign at or near the entrance to the food service establishment with the following statement:

Companion dogs are only allowed in certain outdoor dining area(s) of this establishment.

Only service dogs are allowed in other parts of this establishment.

Your companion dog must be licensed and currently vaccinated against rabies to remain in the outdoor dining area with you.

You are responsible for controlling your dog at all times.

An establishment that chooses not to allow dogs, other than service dogs, to accompany their owners is not required to post any signage regarding its policy toward dogs.

§ 32-04 Physical facilities and sanitation.

(a) Facilities to be clean, sanitary. In accordance with 24 RCNY Health Code Article 81, the New York State Agriculture and Markets Law and rules of the Commissioner of the State Department of Agriculture and Markets, permittees must maintain outdoor dining areas in a clean and sanitary condition at all times. Dogs must not be allowed to touch any dining table surfaces.
  1. Animal nuisances to be removed immediately. Animal nuisances must be removed immediately by establishment employees who do not also prepare or serve food. Areas contaminated with such nuisances must be cleaned and sanitized immediately upon the removal of the nuisance. Animal nuisances must be disposed of in accordance with applicable law.
  2. Barriers. If an outdoor dining area where dogs other than service dogs are permitted abuts a sidewalk, the permittee must create a physical barrier or use other means to effectively limit contact between dogs in the outdoor dining area and dogs and people on the sidewalk.

§ 32-05 Penalties.

Violations of this Chapter shall be cited and shall have the same penalties imposed as other violations of 24 RCNY Health Code § 81.25, or successor provision, listed in 24 RCNY Chapter 23, Appendix 23-C.

Chapter 33: Operation of Body Scanners in Correctional Facilities

§ 33-01 Applicability and communications.

This chapter applies to body scanners used by the New York City Department of Correction at any correctional facility and must be read in conjunction with New York State Public Health Law section 3502(6) and 24 RCNY Health Code Article 175.

§ 33-02 Definitions.

(a) Terms that are defined in 24 RCNY Health Code Article 175 have the same meaning when used in this Chapter unless defined otherwise.
  1. In addition, the following definitions apply:

   “ANSI Standard 42.47” means the American National Standards Institute American National Standard for Measuring the Imaging Performance of X-ray and Gamma Ray Systems for Security Screening of Humans N42.47-2010 or any successor to such standard.

   “ANSI Standard 43.17” means the American National Standards Institute American National Standard Radiation Safety for Personnel Security Screening Systems Using X-Ray or Gamma Radiation, ANSI/HSP N43.17-2009 or any successor to such standard.

   “Body scanner” means a limited-use system or equipment that utilizes a low dose of ionizing radiation to create an anatomical image capable of detecting objects placed on, attached to, or secreted within a person’s body.

   “Department” means the New York City Department of Health and Mental Hygiene.

   “Detainee” means an individual in the custody of the New York City Department of Correction.

   “DOC” means the New York City Department of Correction.

   “Health Code” means the New York City Health Code.

   “Minor” means an individual under the age of 18.

   “Occupational dose” means the dose received by an individual in the course of employment in which the individual’s assigned duties involve exposure to radiation or to radioactive material from licensed and unlicensed sources of radiation, whether in the possession of the licensee, registrant, or another person. “Occupational dose” does not include a dose received from background radiation, from any medical administration the individual has received, from exposure to individuals administered radioactive material as part of medical treatment, from voluntary participation in medical research programs, or as a member of the public.

   “Public” means any person other than a worker or a subject.

   “Qualified Physicist” means a medical physicist certified by the American Board of Radiology, a New York State-licensed Medical Physicist, or a health physicist certified by the American Board of Health Physics and/or licensed by New York State in medical health physics, all with demonstrated relevant experience in diagnostic subspecialties involving human imaging equipment.

   “Radiation safety manual” means a manual for each body scanner maintained by DOC and available to the Department at any time that contains all documents related to the administration and operational aspects of DOC’s radiation safety program, including the documents submitted to register each piece of scanning equipment and any mandated reports and test results.

   “Radiation Safety Officer” means the individual responsible for administrating the radiation protection program for the body scanner described in 24 RCNY § 33-04, the qualifications for which position are the same as for the Qualified Physicist.

   “Reference effective dose” means a quantity based on measureable parameters used by ANSI Standard 43.17 for setting dose limits. It is obtained from air kerma (or exposure) and HVL measurements as described in Section 6.1.3 of ANSI Standard 43.17.

   “Scan” means the operation necessary to produce one image (e.g., front view) from one radiation source. One radiation source simultaneously producing multiple images also constitutes one scan. Two sources simultaneously producing two images constitute two scans. In some cases, several scans may be required for a single screening of a subject.

   “Screening” means the sum of radiation exposures or scans necessary to image objects concealed on all sides of the body as intended by the system design under normal conditions.

   “Subject” means a person being scanned by a body scanner.

   “Technique factors” means the conditions of operating radiation equipment, including the following: (1) the peak kilovoltage applied to the x-ray tube, (2) the electric current passing through the x-ray tube, and (3) the scan time.

   “Worker” means any DOC employee or contracted person whose responsibilities include at least one of the following: initiating or stopping a scan; verifying that body scanner equipment is operating correctly; providing information and instructions to individuals being screened; controlling access to the inspection zone; and interpreting results of scans.

§ 33-03 Registration and Inspections.

(a) Registration. Prior to being maintained or operated in a correctional facility, a body scanner must be registered with the Department. A body scanner may be installed at a correctional facility prior to registration solely for the purpose of conducting the testing required for registration. Registrations are valid for two years and may be renewed upon expiration.
  1. Application for registration or renewal. An application to register or renew any body scanner must be made to, and in a manner prescribed by, the Department and must include:

   (1) The name, model number, body scanner technique factors and any other identifying information about the particular piece of body imaging scanning equipment;

   (2) The building and location where the body scanner will be used;

   (3) The security conditions under which the body scanner will be used to ensure that individuals other than the subject are not exposed to radiation; and

   (4) Submission of results of the following tests performed by a qualified physicist:

      (A) A protection survey to demonstrate the radiation level in the immediate surrounding areas including the operators’ position. These measurements along with the projected maximum workload, occupancy and other factors must be used to demonstrate compliance with 24 RCNY Health Code § 175.03(c), (d), and (f) standards for protection against ionizing radiation, or any successor regulation. The radiation protection survey must be conducted from different locations in all directions from the body scanner to a location of the point where the radiation level rate is equal or greater than 0.05 mrem in any hour under maximum workload conditions. The radiation protection survey report must be signed by the Qualified Physicist and the individual conducting the survey, and must have an attached calibration report for all instruments used to conduct the radiation survey.

      (B) The estimate of the reference effective dose must be determined according to the relevant sections of Section 6.1.3 of ANSI Standard 43.17 and must demonstrate that during a single scan, an individual will not receive a total reference effective dose greater than 10 uSv.

      (C) All imaging tests conducted by a Qualified Physicist as mandated in 24 RCNY § 33-04 and, if such tests indicate compliance limits are exceeded, then service reports indicating any corrective action conducted on the body scanner and the results of retesting conducted by a Qualified Physicist must be also submitted.

      (D) Any additional documentation requested by the Department.

  1. Inspections.

   (1) Any body scanner subject to the registration requirements of this Chapter will be inspected by the Department to monitor compliance with the provisions of this Chapter. Inspections will be conducted at least annually.

   (2) Re-inspections or other appropriate follow-up activities will be conducted at a frequency determined by the Department to monitor correction of any violation found during an initial inspection and remaining uncorrected at the conclusion thereof.

  1. Orders. The Department may order that a body scanner be immediately shutdown if its operation threatens public health or puts anyone’s safety at risk.

§ 33-04 Radiation protection program.

DOC must develop, document and implement a radiation protection program commensurate with the scope and extent of operations and sufficient to ensure compliance with the provisions of this Chapter and applicable sections of 24 RCNY Health Code Article 175, or any successor regulation. DOC must follow ANSI Standard 43.17, ANSI Standard 42.47, and the requirements of this section to develop and implement an appropriate safety program for the use of body scanners in a correctional environment. DOC’s radiation safety program must address and document each of the following aspects of such program:

  1. Designate a Radiation Safety Officer (RSO) who must be a Qualified Physicist and who has the authority to ensure the implementation of the radiation protection program. The Radiation Safety Officer must report directly to the Radiation Safety Committee as defined in section (b) below.
  2. Provide for a Radiation Safety Committee to administer the radiation protection program. The radiation safety committee must include the DOC facility commander or a person with the authority to act on behalf of the facility commander, the Radiation Safety Officer, representation from all relevant DOC personnel within the facility where radiation sources are used, and a representative of the Qualified Physicist. The committee shall oversee all uses of body scanning equipment within the facility, review the activities of the Radiation Safety Officer, and review the radiation safety program at least annually and the administration of the required quality control testing described in subdivision (e) of this section. The report of DOC’s annual review of the radiation safety program shall be retained in DOC’s radiation safety manual.
  3. All documents pertaining to the Radiation Protection Program must be placed in the radiation safety manual, which must be made available for the Department to inspect at any time. Information in the radiation safety manual must include but not be limited to:

   (1) The radiation safety committee names along with all minutes of the meetings of this committee;

   (2) Name and contact information for the RSO, including appropriate information to contact the RSO immediately in case of an emergency;

   (3) Copies of all documents that were submitted to obtain a certificate of registration including all technical documents such as acceptance testing and commissioning report prepared by the Qualified Physicist;

   (4) All information as supplied by the body scanner manufacturer and all documents relating to either routine preventive maintenance and repair of the body scanner;

   (5) Documents pertaining to training of DOC personnel who operate the body scanners including the outline of the training, attendance sheet with date and signatures of attendees; and

   (6) The results of the decision to address individual monitoring needs for operators of body scanners pursuant to 24 RCNY Health Code § 175.03, or any successor regulation. If DOC decides not to procure individual monitoring badges for body scanner operators, DOC must obtain a report from DOC’s qualified physicist to provide evidence that the requirements of 24 RCNY Health Code § 175.03, or any successor regulation, are satisfied and this report must be maintained in the radiation safety manual.

   (7) Copies of all relevant ANSI standards and location of 24 RCNY Health Code Article 175, or any successor regulation.

  1. DOC must utilize ANSI Standard 42.47 to establish imaging tests to measure and assess the image resolution of the body scanner over time, which scanners are defined by ANSI Standard 42.47 as “whole body field of view”. To do this, DOC must:

   (1) Utilize a phantom, as described in Section 5.4 et seq. of ANSI Standard 42.47, or an alternate imaging device approved by the Department, to conduct the following imaging tests as described in the following sections of that Standard:

      (A) the spatial resolution test as described in Section 5.5;

      (B) the wire detection test as described in Section 5.6;

      (C) the material detection on body test as described in Section 5.7; and

      (D) the penetration tests as described in Section 5.9.

   (2) DOC must adopt the tolerances for the imaging tests described in paragraph (1) above as stated in ANSI Standard 42.47 Table 4 under the heading for “whole body field of view.”

   (3) The imaging tests as described in paragraph (1) above must be conducted with the following frequency:

      (A) To assess image degradation with body mass, the penetration tests must be conducted quarterly for each body scanner;

      (B) The spatial resolution test, wire detection test, and material detection on body test must be conducted semiannually; and

      (C) All imaging tests must be evaluated after any software upgrade to the body scanner and after any repairs on the imaging chain, e.g., repairs done on the detector.

   (4) The following documents must be maintained in the radiation safety manual:

      (A) The imaging tests, the frequency of such tests, and the title of the individual who will conduct the imaging tests; and

      (B) The results of all imaging tests conducted.

  1. A Qualified Physicist must conduct an annual evaluation and prepare a report on the body scanners to determine the reference effective dose for a typical scan. Any significant variations from manufacturer’s specification or from previous reports must be investigated and a report of the discrepancy must be documented within 30 days. All reports created pursuant to this subdivision must be placed in the radiation safety manual.
  2. Radiation surveys must be conducted by a Qualified Physicist to determine radiation levels to workers, subjects, and the public in all areas around the body scanner to any location that the radiation level rate is equal or greater than 0.05 mrem in any hour under maximum workload conditions as defined in the radiation protection manual. A radiation protection survey must be conducted prior to initiating scanning of any individuals in the areas around a body scanner and:

   (1) After any maintenance that affects the radiation shielding, shutter mechanism, or x-ray production components;

   (2) After any incident that may have damaged the system in such a way that unintended radiation emission occurs; and

   (3) Upon installation of any new body scanner.

  1. DOC must follow the manufacturer’s recommended preventive maintenance schedule and all service records of preventive maintenance must be documented and maintained in the radiation safety manual.

§ 33-05 Annual scanning limitations.

(a) For males and non-pregnant women age 18 and over: A maximum annual exposure must be half the limit set by ANSI Standard 43.17.
  1. For males and non-pregnant women under the age of 18: DOC must engage a medical physicist to conduct an analysis to determine the effective dose for this non-adult population and, using the results of that analysis, the annual exposure may not be more than five percent of ANSI Standard 43.17.
  2. Pregnant women must not be scanned.
  3. Reduced annual dose limits must be established on a case-by-case basis when scanning conducted pursuant to this Chapter is contraindicated for a particular individual for any medical or mental health reason.

§ 33-06 Training and instruction of personnel.

(a) In accordance with Public Health Law section 3502(6), DOC must develop and implement a documented in-service training program for workers operating a body scanning system.
  1. The training must be provided before any DOC employee, subcontractor, or agent begins to act as a worker, as defined in this Chapter, and must receive additional training annually thereafter.
  2. The training must be designed by a Qualified Physicist and may be presented through lectures or any presentation media. The training must address quality of imaging and radiation safety procedures, including but not limited to:

   (1) The basics on the types and sources of radiation, units of measurement, biological effects of radiation, measurement of radiation, radiation protection principles including methods of radiation dose reduction with time, distance and shielding, and using survey instruments.

   (2) The operation of the body scan system and emergency procedures to demonstrate familiarity with precautions and procedures to minimize exposure.

   (3) Relevant regulatory requirements on dose limits, rights of pregnant women and minors.

  1. DOC must instruct workers to:

   (1) Observe all safety rules pertaining to radiation and other hazards;

   (2) Promptly report any condition which may lead to the violation of this rule or any unnecessary exposure to radiation;

   (3) Appropriately respond to warnings or malfunctions; and

   (4) Obtain radiation exposure reports compiled by DOC when requested.

§ 33-07 Recordkeeping and reporting.

(a) Any complaint made to DOC pertaining to the performance and operation of the system must be reported to the Department within seven (7) days.
  1. DOC must maintain the following records electronically, if possible, or in hard copy:

   (1) The name, date of birth, and New York State Identification (NYSID) number of the person scanned;

   (2) The time and date that each individual is scanned;

   (3) The reason each scan is conducted if not upon intake;

   (4) Documentation of the number of scans of each individual subjected to scanning that allows the tracking of inmates across different periods of incarceration during a 365-day period in order to certify compliance with annual scanning limits for each individual;

   (5) Any investigation into complaints about body scanner operations; and

   (6) The daily number of scans conducted by each piece of equipment.

  1. DOC must maintain records of training and make available the records to the Department during inspection including training materials, syllabus, attendance list and other documented information.
  2. DOC must maintain records of safety instructions including but not limited to:

   (1) Pertinent regulations, written radiation safety program, and any other relevant non-radiological safety instructions;

   (2) Radiation monitoring reports of workers obtained through methods chosen by DOC and approved by the Department;

   (3) Documents related to installation, maintenance, adjustment, testing, repair and preventive maintenance of the body scan system;

   (4) Periodic area radiation surveys;

   (5) Calibration of radiation survey instruments;

   (6) Periodic image quality tests described in this Chapter; and

   (7) Any other information required by NYS Public Health Law Section 3602(6).

  1. All records must be maintained for at least seven (7) years.
  2. All records must be available for the Department when requested or for review during inspections by the Department.
  3. Information obtained from body scanners and records maintained under this Chapter in relation to the identities of detainees scanned shall only be used for the purposes of this Chapter and as permitted and authorized by applicable law, regulation, and policy.

§ 33-08 Signage and information to be provided to screened individuals.

(a) Signage.

   (1) Signs indicating that radiation is being applied must be conspicuously posted and must indicate that all members of the public must stand behind designated locations during scanning operation.

   (2) DOC must post conspicuous signage indicating where individuals should stand in areas adjacent to body scanner usage, e.g., signs indicating that detainees should not proceed beyond “this point” while scanners are in use.

   (3) A sign must be posted in an area visible to an individual immediately prior to being screened that compares the dose of a commonly known source of radiation to the dose to be delivered.

   (4) A sign must be posted that advises pregnant and potentially pregnant females that they should not be screened and that they should inform DOC personnel of such status.

   (5) Signs required by paragraphs (2) - (4) must be in English and Spanish, and any other languages deemed by DOC to be appropriate or necessary. For all detainees unable to read these languages, a written copy in their native language must be made available to them and/or explained to them by persons who speak their native language.

  1. Information to be provided to screened individuals. Each detainee upon release from a DOC facility has the right to be provided by DOC on request the total accumulated radiation exposure from all body scans so conducted during that individual’s incarceration. DOC must apprise each detainee of this right.