Title 38: Police Department

Chapter 1: Dealers In Rifles and Shotguns

§ 1-01 Introduction.

The following rules and regulations are hereby promulgated for the licensing and regulating of dealers in rifles and shotguns. Licensees are held responsible for the strict enforcement of and adherence to these rules. Any violation thereof is cause for suspension and/or revocation of the subject license.

§ 1-02 Definitions.

Ammunition. The term “ammunition” shall mean any explosives suitable to be fired from a rifle or shotgun.

Certificate of registration. The term “certificate of registration” shall mean the Certificate of Registration of Rifles and Shotguns issued by the New York City Police Department.

Dealer in rifles and shotguns. The term “dealer in rifles and shotguns” shall mean any person, firm, partnership, corporation or company who engages in the business of purchasing, selling, keeping for sale, loaning, leasing, or in any manner disposing of any rifle or shotgun. Dealer in rifles and shotguns shall not include a wholesale dealer.

Dispose of. The term “dispose of” shall mean to dispose of, give away, give, lease, loan, keep for sale, offer, offer for sale, sell, transfer, and otherwise dispose.

Employee. The term “employee” shall mean any person who is employed by a licensed dealer in rifles and shotguns and who has access in any manner to rifles and shotguns.

Fire Commissioner. The term “Fire Commissioner” shall mean the Fire Commissioner of the City of New York.

Police Commissioner. The term “Police Commissioner” shall mean the Police Commissioner of the City of New York.

Police officer, peace officer. The terms “police officer” and “peace officer” shall mean “police officer” and “peace officer” as those terms are defined in §§ 1.20 and 2.10 of the New York State Criminal Procedure Law, respectively.

Principal agent. The term “principal agent” refers to the person who is in active charge of the dealership. Dealer’s licenses are issued to individuals. Every premises in which rifles and shotguns are sold requires an individual dealer’s license. Thus if a company owns several stores each store would require its own individual dealer’s license and the manager of the store would normally be considered the principal agent. Individual owners of stores who do not actively participate in the operation of their store may designate a responsible person as the “principal agent.”

Rifle. The term “rifle” shall mean a “rifle” as defined in § 265.00 of the New York State Penal Law, except that for purposes of this chapter a rifle shall have a barrel length of no less than sixteen inches and an overall length of no less than twenty-six inches.

Rifle/Shotgun Section. The term “Rifle/Shotgun Section” shall mean the Rifle/Shotgun Section of the License Division of the New York City Police Department. The “Rifle/Shotgun Section” was at one time known as the “Firearms Control Section.”

Rifle/shotgun permit. The term “rifle/shotgun permit” shall mean the permit issued by the New York City Police Department for the purchase and possession of rifles or shotguns.

Shotgun. The term “shotgun” shall mean a “shotgun” as defined in § 265.00 of the New York State Penal Law, except that for purposes of this chapter a shotgun shall have a barrel length of no less than eighteen inches and an overall length of no less than twenty-six inches.

Storage permit. The term “storage permit” shall mean the permit for the storage of more than two hundred (200) rounds of ammunition issued by the Fire Commissioner.

§ 1-03 Applications.

(a) A fee of $150 shall accompany the application. All permits expire on the first day of the second January following the date of issuance of the permit and may be renewed thereafter. The renewal fee is also $150. The applicant shall pay the applicable fee with a certified check or money order payable to "N.Y.C. Police Department."
  1. All applications, renewals, inquiries and information concerning licenses for dealers in rifles and shotguns shall be made to the Rifle/Shotgun Section, License Division, New York City Police Department, 120-55 Queens Blvd., Kew Gardens, New York 11424, (718) 520-9300. The Rifle/Shotgun Section shall prescribe the manner by which such license is issued.
  2. A valid license must contain the validation seal of the Rifle/Shotgun Section.
  3. No license shall be issued or renewed pursuant to these Rules except by the Police Commissioner, and then only after investigation of the application including a review of the circumstances relevant to the answers provided in the application, and finding that all statements in a proper application for a license or renewal are true. The application may be disapproved if a false statement is made therein. No license shall be issued or renewed except for an applicant:

   (1) of good moral character;

   (2) who has not been convicted anywhere of a felony or of any serious offense, as defined in § 265.00(17) of the New York State Penal Law, or of a misdemeanor crime of domestic violence as defined in § 921(a) of title 18, United States Code;

   (3) who has stated whether s/he has ever suffered any mental illness or been confined to any hospital or institution, public or private, for mental illness and who is free from any disability or condition that would impair the ability to safely possess or use a rifle or shotgun;

   (4) who has stated whether s/he is or has been the subject or recipient of an order of protection or a temporary order of protection, or the subject of a suspension or ineligibility order issued pursuant to § 530.14 of the New York State Criminal Procedure Law or § 842-a of the New York State Family Court Act; and

   (5) concerning whom no good cause exists for the denial of a license.

  1. An application for a license shall be made to the Rifle/Shotgun Section by submitting two copies of the prescribed form by the applicant, or in the case of a corporation or partnership, by a principal agent thereof. All entries on this official form shall be typewritten.
  2. An applicant, or principal agent, shall certify upon the application that s/he has been issued a rifle/shotgun permit, the identification number thereof, that s/he maintains a regular place of business within New York City, the address of the same, that s/he is over the age of twenty-one, that s/he undertakes to supervise the acts of her/his, or in the case of a corporation or partnership, its employees, and that the applicant has not previously been refused a license as a dealer in rifles and shotguns, and that no such license issued to her/him has been revoked.
  3. The Rifle/Shotgun Section shall reserve the right to require that every applicant for dealership and also any officer, partner, agent or employee of the proposed dealership be fingerprinted in contemplation of issuing a dealer’s license. The Rifle/Shotgun Section shall also reserve the right to require photographs of all applicants and also of any officer, partner, agent, or employee of the proposed dealership.
  4. During the pendency of the application, the applicant shall notify the Rifle/Shotgun Section of any necessary correction to or modification of the information provided in the original application, or any change in her/his status or circumstances, which may be relevant to the application.
  5. If her/his license application is disapproved the applicant shall receive a written “Notice of Application Disapproval” from the Rifle/Shotgun Section indicating the reason(s) for the disapproval. If the applicant wishes to appeal the decision s/he shall submit a sworn written statement, which shall be known as an “Appeal of Application Disapproval,” to the Division Head, License Division, One Police Plaza, Room 110A, New York, New York 10038 within thirty (30) calender days of the date on the “Notice of Application Disapproval” requesting an appeal of the denial, and setting forth the reasons supporting the appeal. The Appeal of Application Disapproval shall become part of the application. It shall state the grounds for the appeal and shall contain the following statement to be signed by the applicant and notarized: “Under penalty of perjury, deponent being duly sworn, says that s/he is familiar with all of the statements contained herein and that each of these statements is true, and no pertinent facts have been omitted.” Appeals that are unsworn by the applicant or submitted by individuals or business entities other than the applicant or her/his New York State licensed attorney shall not be accepted. All timely appeals shall receive a complete review of the applicant’s entire file by the Division Head, License Division, who shall notify the applicant of her/his determination. The Division Head, License Division shall not consider any documentation that was not submitted during the initial background investigation. There shall be no personal interviews to discuss appeals. If the appeal of her/his disapproval is denied, the applicant shall receive a “Notice of Disapproval After Appeal” letter from the Division Head, License Division. This notice concludes the Police Department’s administrative review procedure.

§ 1-04 Licenses and Licensees.

(a) For purposes of this section, all employees of a licensed dealer in rifles and shotguns shall personally be in possession of a valid rifle/shotgun permit to purchase and possess rifles and shotguns issued by the Rifle/Shotgun Section. Applications for dealer in rifles and shotguns and for possession of rifles and/or shotguns shall be processed together if submitted together.
  1. A dealer’s license shall be valid for one year and may be renewed under the same conditions as for original issuance. All licensees shall be held responsible for renewing their licenses upon expiration. Any application to renew a license that has not previously expired, been revoked, suspended or cancelled shall thereby extend the term of the license until disposition is made of the application. Failure to renew a license after expiration shall result in the cancellation of the license.
  2. Federal law requires that dealers in rifles and shotguns shall be licensed by the United States Government Bureau of Alcohol, Tobacco and Firearms (ATF). The New York City Police Department shall notify the ATF of all dealer’s licenses that are issued by the Rifle/Shotgun Section. The Police Department reserves the right to withhold a dealer’s license from any applicant who does not have a federal license.
  3. All licensees shall be required to sign an acknowledgment that they shall be responsible for compliance with all laws, rules, regulations, standards, and procedures promulgated by federal, state, or local jurisdictions, and by federal, state, or local law enforcement agencies, that are applicable to each type of license or permit issued to them. The Rifle/Shotgun Section shall provide the licensee with the acknowledgment statement to be executed. This acknowledgment statement shall be notarized. Failure to execute the acknowledgment statement and to have it notarized shall result in the license application being denied.
  4. The licensee shall immediately notify the Rifle/Shotgun Section by telephone, followed by written notice within ten (10) calendar days, of any incident or violation of law or rules of federal, state, or local jurisdictions regarding her/himself, partners, officers, directors or stockholders of the licensed corporation or entity, or affecting the premises or business operations. For purposes of this subdivision, an incident includes:

   (1) arrest, indictment or conviction in any jurisdiction;

   (2) summons (except traffic infraction);

   (3) suspension or ineligibility order issued pursuant to § 530.14 of the New York State Criminal Procedure Law or § 842-a of the New York State Family Court Act;

   (4) the fact that the individual is or becomes the subject or recipient of an order of protection or a temporary order of protection;

   (5) admission to any psychiatric institution, sanitarium and/or the receipt of psychiatric treatment;

   (6) receipt of treatment for alcoholism or drug abuse;

   (7) the presence or occurrence of a disability or condition that may affect the handling of a rifle/shotgun, including but not limited to epilepsy, diabetes, fainting spells, blackouts, temporary loss of memory, or nervous disorder;

   (8) altered or mutilated license; or

   (9) discharge of a rifle/shotgun on the licensee’s premises.

  1. A dealer’s license may be suspended and/or revoked by the Rifle/Shotgun Section for good cause by the issuance of a Notice of Determination Letter to the licensee, which shall state in brief the grounds for the suspension or revocation and notify the licensee of the opportunity for a hearing. The conviction of a licensee anywhere of a felony or serious offense as defined in § 265.00(17) of the Penal Law of New York State, or of a misdemeanor crime of domestic violence as defined in § 921(a) of title 18, United States Code, shall operate as a revocation of the license.
  2. If her/his license is suspended or revoked, the licensee shall be required to deposit any rifles or shotguns as well as any handgun license and any handguns in her/his possession with her/his local police precinct and forward a copy of the voucher together with her/his permit to the Rifle/Shotgun Section, 120-55 Queens Boulevard, Kew Gardens, N.Y. 11424, Room B-11. Her/his failure to comply within ten (10) calendar days from the date of suspension or revocation may result in the arrest of the licensee.
  3. A license issued shall be valid only for the premises mentioned and described in the license. No license is transferable to another person or location. The license shall be prominently displayed on such premises, and available at all times for inspection by members of the New York City Police Department. Failure of any licensee to so exhibit or display her/his license shall be presumptive evidence that s/he is not duly licensed.
  4. Upon issuance of a written Notice of Determination Letter from the Rifle/Shotgun Section notifying the licensee of suspension or of revocation of the license, a suspended/former licensee shall have thirty (30) calendar days from the date of the notice to submit a written request for a hearing to the Commanding Officer, License Division, One Police Plaza, Room 110A, New York, New York 10038. A licensee whose arrest or summons resulted in suspension or revocation of her/his license may only submit a written request or a hearing within thirty (30) calendar days after the termination of the criminal action, as defined in New York State Criminal Procedure Law § 1.20(16)(c). If the suspension or revocation resulted from the licensee becoming the subject of an order of protection or a temporary order of protection, the licensee may only submit a written request for a hearing within thirty (30) calendar days after the expiration or voiding of the order of protection or temporary order of protection. If the suspension or revocation was related to both a criminal action and an order of protection or temporary order of protection, then the later of the two waiting periods shall apply.
  5. Licensees shall be held responsible for having knowledge of all new laws and/or amendments or regulations that may be enacted through legislation or promulgated by the New York City Police Department affecting dealers in rifles and shotguns.
  6. Licensees shall cooperate with all reasonable requests by the Police Department for information and assistance in matters relating to the license.

§ 1-05 Rifles/Shotguns and Ammunition.

(a) No rifle or shotgun shall be sold, or given away, or disposed of, unless the transferee is authorized by law to possess such rifle or shotgun. Any police officer or peace officer shall produce a shield and proper identification before purchasing a rifle or shotgun. A peace officer whose status does not confer authorization to possess firearms pursuant to § 2.10 of the New York State Criminal Procedure Law shall possess a rifle/shotgun permit in order to be a lawful transferee. Therefore, before delivering a rifle or shotgun to a peace officer without a rifle/shotgun permit, the licensee shall verify that person's status as a peace officer by telephoning the License Division Incident Section at (212) 374-5538 or 5539.
  1. Every dealer in rifles and shotguns shall keep a record book provided by the Rifle/Shotgun Section (P.D. 641-50). This book shall contain a record of all dispositions and registrations of rifles and shotguns purchased and disposed of by the dealer. Such records shall be maintained on the premises stated in the license and permanently preserved thereat. In the event of cancellation and/or revocation of the license, or discontinuance of business by a licensee, such records, as well as rifles and shotguns stored on the premises, shall be surrendered to the New York City Police Department.
  2. In the event of loss or theft of any rifle or shotgun, ammunition, dealer’s license, or record, the licensee is required to report the loss or theft to her/his local precinct, and notify the Rifle/Shotgun Section by telephone on the next business day after discovery of the loss or theft. The licensee shall follow up with a written notification to the Rifle/Shotgun Section within 10 calendar days of discovery of the loss or theft.
  3. In the event that any individual lacking authority to possess such weapon attempts to leave any rifle or shotgun with a licensee for cleaning, repairing, or other processing, the licensee may accept the rifle or shotgun and obtain the name, address, telephone number, etc. of the person leaving the weapon. The licensee shall immediately report the incident to the precinct wherein the premises is located. If the licensee does not accept the rifle or shotgun for cleaning, repairing, or other processing, s/he shall report the incident to the precinct wherein the premises is located as soon as the individual possessing the weapon leaves the premises. In the event that such an individual offers to sell or otherwise dispose of such a weapon to a licensee, the licensee shall attempt to obtain the name, address, and telephone number of said individual and shall notify the precinct wherein the premises is located as soon as said individual leaves the premises.
  4. Any dealer who sells, offers to sell, stores, or otherwise disposes of ammunition in excess of two hundred (200) cartridges shall be required to obtain a storage permit from the Fire Commissioner. Dealer’s licenses issued by the Rifle/Shotgun Section shall not be valid for the sale of ammunition unless the dealership is also in possession of a storage permit from the Fire Department. Upon receipt of an application which indicates an intention to sell or store ammunition, the Rifle/Shotgun Section shall notify the Fire Department and ask them to conduct an inspection of the premises. The sale or storage of ammunition without a valid Fire Department permit shall be deemed sufficient cause to revoke a dealer’s license.
  5. No ammunition shall be stored, exhibited, or displayed in the windows, showcases, or doors of the licensee’s premises.
  6. All other ammunition shall be stored in an area of the premises that can be reasonably secured, and is not in view of the public. Only the licensee and authorized employees shall have access to this storage area.
    1. The quantities of cartridges and other ammunition stored on the premises shall not exceed the amounts fixed by the Fire Commissioner for storage of ammunition. These quantities so fixed shall be stated in the storage permit.

   (2) All ammunition kept on the licensee’s premises shall not be stored in an area where other materials of a highly flammable nature are manufactured, stored, or kept for sale. This restriction shall not apply to any person duly authorized to keep and sell gunpowder.

    1. A record of all ammunition received and dispensed shall be registered in a bound book with pages consecutively numbered. This record book shall be separately maintained from the record book noting all rifle and shotgun transactions. It shall be the responsibility of the licensee or a designated employee to make entries in this record book. This book, together with all invoices received, shall be kept in the ammunition storage area.

   (2) This record shall be arranged in columnar form as outlined below. The first page of this book shall have an inscription bearing the name and address of the premises, license number, name of owner of premises, name of employee designated to make entries, and date of book being opened. Beginning with page 2, each even numbered page shall contain a record of ammunition received, and starting with page 3, each odd numbered page shall contain a record of ammunition dispensed or sold.

  1. In the event of cancellation or revocation of the license or discontinuance of business by a licensee, such records shall be surrendered to the New York City Police Department.
  2. No ammunition suitable for use in a rifle of any calibre, or for a shotgun of any gauge, shall be sold, given away, or otherwise disposed of to any person who has not been issued a rifle/shotgun permit and a certificate of registration, and who does not exhibit the same to the dealer at the time of purchase. Rifle or shotgun ammunition shall not be sold to any such person except for the shotgun or for the specific calibre of rifle for which the certificate of registration has been issued.
  3. The Rifle/Shotgun Section advises all dealers that certain ammunition calibres are considered to be interchangeable between rifles and handguns. Sales of ammunition in these calibres shall be recorded by dealers. The following list includes most of the calibres likely to be sold as pistol, revolver, or interchangeable ammunition; however, it is not necessarily inclusive:

.4mm Rimfire

.17 Bumble Bee and Ackley Bee

.17 Hornet and “K” Hornet

.17 Mach IV

.17-222 and .17-223

5mm Remington Mag. Rimfire

.22, .25 and .32 Rimfire

.22 Rem. Jet Mag. and .22 Win. Mag.

.22 Hornet and .22 “K” Hornet

.221 Remington Fireball

.222 Remington

.223 Remington

.25 (6.35mm) ACP

25-35 Winchester

.256 Winchester Mag.

7.5mm revolver

.30 Luger (7.65mm)

.30 Mauser (7.63mm)

7.62mm Tokarev

7.65mm French Long

.30-30 (.30 WCF)

.30 calibre Carbine

.32 revolver (all types)

.32 (7.65ww) ACP

.32-20 Winchester

.357 Mag.

.357-44 B&D

9mm pistol and revolver (all types)

.38 revolver (all types)

.38 Special pistol and revolver (all types)

.38-40 Winchester

.38-44 special

.38 Super

.38 AMU

.38 ACP

.380 ZACP

.41 revolver (all types)

.41 Mag.

.44 revolver (all types)

.45-38 automatic

.45 pistol and revolver (all types)

.455 pistol and revolver (all types)

Below is a sample outline for a licensee’s book recording ammunition received, dispensed or sold. While slight variations may be permitted to accommodate clarity and page size, all dealers in ammunition shall provide all information indicated below. Any deviations from this form shall be approved by the Rifle/Shotgun Section of the New York City Police Department.

AMMUNITION RECEIVED*
Date- Time Manf. Invoice Calibre/ Gauge Type Quant. Signature Comments
               
               
               

~

AMMUNITION SOLD**

Date- Time Manf. Calibre/ Gauge Quant. Name Address Date of Birth License No.
               
               
               

~

** Records for ammunition received shall be placed on all even numbered pages beginning with page 2. ** Records for ammunition sold and disposed of shall be placed on all odd numbered pages beginning with page 3.
  1. Prospective buyers shall not be allowed to load weapons upon the premises of the licensee. If the sale of one or more rifles and/or shotguns as well as ammunition is consummated, the ammunition box shall be sealed prior to the sale and the buyer shall be instructed that the rifle or shotgun is not to be loaded on the premises.
  2. Pursuant to New York City Administrative Code § 10-312, it shall be a criminal violation for any person who is the lawful owner or lawful custodian of a rifle or shotgun to store or otherwise place or leave such weapon in such a manner or under circumstances that it is out of her/his immediate possession or control, without having rendered such weapon inoperable by employing a safety locking device as defined in subdivision (o) of this section. Such offense shall constitute a misdemeanor if the offender has previously been found guilty of such violation or if the violation is committed under circumstances which create a substantial risk of physical injury to another person. The New York City Police Department recognizes that all licensees have incurred an obligation by being issued a dealer’s license to maintain and dispose of rifles and shotguns in a responsible fashion. In order to assist licensees, the Rifle/Shotgun Section has issued the following safety requirements in response to past incidents involving dealers in rifles and shotguns:

   (1) No weapons shall be stored, exhibited or displayed in windows, showcases, or doors of the premises. Rifle/shotgun storage or inventory areas shall be physically separated from counter and display areas and access to these areas shall be carefully controlled.

   (2) All rifle/shotgun display cases shall be kept locked and secured at all times and not readily accessible to the public. All keys to such display cases shall not leave the control of authorized personnel.

   (3) All rifles and shotguns shall not be readily capable of firing. They shall be temporarily deactivated by removing magazines or bolts; or by securing with bars or chains through the trigger guard; or by using individual trigger locks or other safety locking devices composed primarily of steel or other metal of significant gauge to inhibit breaking.

   (4) All rifles and shotguns within a licensee’s inventory shall be tagged and cross referenced to the appropriate entry in the acquisition records.

  1. Pursuant to New York City Administrative Code § 10-311(a), it shall be unlawful for any person or business enterprise to dispose of any rifle or shotgun which does not contain a safety locking device, defined as a design adaptation or attachable accessory that will prevent the use of the weapon by an unauthorized user. The following types of safety locking devices will be deemed to comply with this provision:

   (1) a trigger lock, which prevents the pulling of the trigger without the use of a key; or

   (2) a combination handle, which prevents the use of the weapon without the alignment of the combination tumblers; or

   (3) a detachable or non-detachable locking device, composed primarily of steel or other metal of significant gauge to inhibit breaking, utilizing a metallic key or combination lock, rendering the weapon inoperable until the locking device is removed by an authorized person.

  1. Pursuant to New York City Administrative Code § 10-311(b), it shall be unlawful for any licensed manufacturer, licensed importer, or licensed dealer to dispose of any rifle or shotgun in New York City unless it is accompanied by the following warning, which shall appear in conspicuous and legible type in capital letters, and which shall be printed on a label affixed to the rifle or shotgun and on a separate sheet of paper included within the packaging enclosing the rifle or shotgun: “THE USE OF A LOCKING DEVICE OR SAFETY LOCK IS ONLY ONE ASPECT OF RESPONSIBLE WEAPON STORAGE. ALL WEAPONS SHOULD BE STORED UNLOADED AND LOCKED IN A LOCATION THAT IS BOTH SEPARATE FROM THEIR AMMUNITION AND INACCESSIBLE TO CHILDREN AND ANY OTHER UNAUTHORIZED PERSONS.”
  2. Pursuant to New York City Administrative Code § 10-311(c), any person who applies for and obtains authorization to purchase, or otherwise lawfully obtains, a rifle or shotgun shall be required to purchase or obtain a safety locking device at the time s/he purchases or obtains the rifle or shotgun.
  3. Pursuant to New York City Administrative Code § 10-311(d), the City of New York and its agencies, officers or employees shall not be liable to any party by reason of any incident involving, or the use or misuse of a safety locking device that may have been purchased in compliance with these rules.

§ 1-06 Security.

A licensee shall take all reasonable precautions to make the premises secure. These precautions shall include but not be limited to all applicable measures as listed below:

  1. Securing windows at or near ground level with expanded metal welded to bolted angle-iron frames.
  2. Securing the front of the premises with a metal folding scissors gate, roll-down door, or another similar device.
  3. Adequately protecting and securing all rear windows and doors, and skylights.
  4. Allowing the interior of the premises to be visible at all times; no drapes or blinds shall be used that would block the view of police or passersby who might observe unusual activity within the premises.
  5. Illuminating fully the exterior and interior of the premises at night, and during the hours when business is not conducted within.
  6. Installing alarms, or other appropriate security/service systems upon the premises.
  7. Posting signs prominently on the premises warning of the presence of electronic or other types of security systems and containing penalties for criminal violations.
  8. Installing high-security cylinder locks in all doors.
  9. In order to properly protect a licensee’s premises and the weapons and ammunition stored within, the New York City Police Department requires that dealers utilize its “Crime Prevention Security Survey.” A member of the New York City Police Department will come to a licensee’s business establishment and inspect the building for security measures. After the inspection, the officer will recommend and suggest various methods in order to better protect the premises. These recommendations may include the choice of locks, gates, and alarm systems suitable for the licensee’s premises. The inspection is free of charge. Licensees shall contact their local police precinct, and request an appointment with the Crime Prevention Officer or the Community Policing Supervisor for a survey of the premises.

Chapter 2: Organizations Possessing Rifles and Shotguns

§ 2-01 Introduction.

The following Rules have been promulgated by the Police Commissioner for the registration and regulation of organizations possessing rifles and shotguns. Such organizations are held responsible for the strict enforcement of and adherence to these Rules. Any violation thereof is cause for suspension or revocation of the privilege to possess rifles and shotguns.

§ 2-02 Definitions.

Ammunition. The term “ammunition” shall mean any explosives suitable to be fired from a rifle or shotgun.

Certificate of registration. The term “certificate of registration” shall mean the Certificate of Registration of Rifles and Shotguns issued by the New York City Police Department.

Custodian. The term “custodian” shall mean an individual personally possessing a rifle/shotgun permit, and designated by an organization to be held responsible for the safeguarding and supervision of any rifle or shotgun owned by the organization.

Alternate custodian. The term “alternate custodian” shall mean an individual personally possessing a rifle/shotgun permit, and designated by an organization to be held responsible for the safeguarding and supervision of any rifle or shotgun owned by the organization when the custodian is unavailable to perform her/his duties.

Fire Commissioner. The term “Fire Commissioner” shall mean the Fire Commissioner of the City of New York.

Organization. The term “organization” shall mean any firm, partnership, corporation, company or other entity, association, educational institution, cultural institution, or paramilitary organization registered by the Rifle/Shotgun Section to possess rifles and/or shotguns for the purpose of holding itself out to the general public as a business providing security or protection services for compensation; or instructing individuals in the use of rifles and/or shotguns; or organizing and supervising a competition or target practice involving the use of rifles and/or shotguns.

Organization registration certificate. The term “organization registration certificate” shall mean the certificate issued by the Rifle/Shotgun Section to approved organizations registered to possess rifles and shotguns.

Rifle. The term “rifle” shall mean a “rifle” as defined in § 265.00 of the New York State Penal Law, except that for purposes of this chapter, a rifle shall have a barrel length of no less than sixteen inches, and an overall length of no less than twenty-six inches.

Rifle/Shotgun Section. The term “Rifle/Shotgun Section” shall mean the Rifle/Shotgun Section of the License Division of the New York City Police Department. The “Rifle/Shotgun Section” was at one time known as the “Firearms Control Section.”

Rifle/shotgun permit. The term “rifle/shotgun permit” shall mean the permit issued by the Rifle/Shotgun Section for the possession and purchase of rifles and shotguns.

Shotgun. The term “shotgun” shall mean a “shotgun” as defined in § 265.00 of the New York State Penal Law, except that for purposes of this chapter, a shotgun shall have a barrel length of no less than eighteen inches and an overall length of no less than twenty-six inches.

Storage permit. The term “storage permit” shall mean the permit for the storage of more than two hundred (200) rounds of ammunition issued by the Fire Commissioner.

§ 2-03 Applicability.

These Rules shall apply to any person, firm, partnership, corporation, company or other entity, association, educational institution, cultural institution, or paramilitary organization possessing rifles and/or shotguns for the purpose of holding itself out to the general public as a business providing security or protection services for compensation; or instructing individuals in the use of rifles and/or shotguns; or engaging in a military drill or parade with rifles and/or shotguns; or organizing and supervising a competition or target practice involving the use of rifles and/or shotguns.

§ 2-04 Original Applications and Renewals.

(a) All applications, renewals, requests for information and inquiries by an organization pursuant to these Regulations shall be made to the Rifle/Shotgun Section, License Division, New York City Police Department, 120-55 Queens Blvd., Kew Gardens, N.Y. 11424, (718) 520-9300. The Rifle/Shotgun Section shall prescribe and enforce the manner in which an organization may be registered to possess rifles and shotguns.
  1. A letter prepared on the letterhead of the organization shall accompany the official application. In addition to a request to be designated an organization to possess rifles and shotguns, this letter shall set forth:

   (1) the names of the custodian and alternate custodian;

   (2) the manner in which the rifles and shotguns shall be secured when not in use. The applicant shall also submit two (2) color photographs each of the designated custodian and alternate custodian, size 11/2 × 11/2 inches, taken within the past thirty (30) days, front view from the chest up, with the application.

  1. During the pendency of the application, the applicant shall notify the Rifle/Shotgun Section of any necessary correction to or modification of the information provided in the original application, or any change in her/his status or circumstances, which may be relevant to the application.
  2. If the application is disapproved the organization shall receive a written “Notice of Application Disapproval” from the Rifle/Shotgun Section indicating the reason(s) for the disapproval. If the organization wishes to appeal the decision it shall submit a sworn written statement, which shall be known as an “Appeal of Application Disapproval,” to the Division Head, License Division, One Police Plaza, Room 110A, New York, New York 10038 within thirty (30) calendar days of the date on the “Notice of Application Disapproval” requesting an appeal of the denial, and setting forth the reasons supporting the appeal. The Appeal of Application Disapproval shall become part of the application. It shall state the grounds for the appeal and shall contain the following statement to be signed by the applicant and notarized: “Under penalty of perjury, deponent being duly sworn, says that s/he is familiar with all of the statements contained herein and that each of these statements is true, and no pertinent facts have been omitted.” Appeals that are unsworn by the applicant or submitted by individuals or business entities other than the organization or its New York State licensed attorney shall not be accepted. All timely appeals shall receive a complete review of the applicant’s entire file by the Division Head, License Division, who shall notify the organization of her/his determination. The Division Head, License Division shall not consider any documentation that was not submitted during the initial background investigation. There shall be no personal interviews to discuss appeals. If the appeal of the disapproval is denied, the organization shall receive a “Notice of Disapproval After Appeal” letter from the Division Head, License Division. This notice concludes the Police Department’s administrative review procedure.
  3. An organization registration certificate shall expire on the last day of the third December after the date of issue and may be renewed every three (3) years thereafter. A renewal application shall be forwarded to the organization at least thirty (30) calendar days prior to the expiration date. If the renewal application is not received in a timely manner, the custodian or alternate custodian shall so notify the Rifle/Shotgun Section by telephone. Certificates may be renewed under the same conditions as original issuance. An application for issuance or renewal of a certificate may be disapproved if a false statement is made therein. All organizations shall be held responsible for renewing a certificate upon expiration. Failure to renew a registration prior to its expiration date shall result in its cancellation.
  4. An organization registration certificate issued shall be valid only for the organization, custodian and alternate custodian mentioned and described in the certificate. A certificate shall not be transferable to another organization. The certificate and all rifles and shotguns possessed by an organization shall be available for inspection by members of the New York City Police Department. Failure by any organization to so exhibit a registration certificate shall be presumptive evidence that it is not duly registered.
  5. All organizations shall abide by the laws, rules, standards, and procedures promulgated by federal, state and local jurisdictions and law enforcement agencies applicable to the organization. A violation thereof is cause for suspension or revocation of a registration certificate issued by the Rifle/Shotgun Section. Upon suspension or revocation of a registration certificate, the custodian or alternate custodian shall deposit all rifles/shotguns in the organization’s possession with her/his local police precinct and forward a copy of the voucher together with the registration certificate to the Rifle/Shotgun Section, 120-55 Queens Boulevard, Kew Gardens, N.Y. 11424, Room B-11. Her/his failure to comply within ten (10) calendar days from the date of suspension or revocation may result in arrest or other action by the Police Department.
  6. An organization registration certificate may be revoked or suspended by the Rifle/Shotgun Section for good cause by the issuance of a Notice of Determination Letter to the organization, which shall state in brief the grounds for the suspension or revocation and notify the organization of the opportunity for a hearing.
  7. Upon issuance of a written Notice of Determination Letter from the Rifle/Shotgun Section notifying the organization of suspension or revocation of a registration certificate by the Rifle/Shotgun Section, the organization shall have thirty (30) calendar days from the date of the notice to submit a written request for a hearing to the Commanding Officer, License Division, One Police Plaza, Room 110A, New York, New York 10038.

§ 2-05 Custodian Appointment and Duties.

(a) Upon application an organization shall appoint two (2) active members or employees of the organization to be personally responsible for all rifles and shotguns possessed by the organization, its employees or members. These individuals shall be known as the custodian and alternate custodian.
  1. It shall be certified upon an application for registration that the custodian and alternate custodian are rifle/shotgun permit holders; the identification numbers thereof; that they are active members or employees of the organization; that they undertake to supervise the acts of the employees and members of the organization while they use any rifles or shotguns possessed by the organization; and that they have not been previously denied or had revoked appointment as a custodian or alternate custodian for the applicant or any other organization. If the organization does not have two active members or employees, the custodian shall be an active member or employee and the alternate custodian shall be a suitable designated individual who possesses a rifle/shotgun permit.
  2. The Rifle/Shotgun Section reserves the right to require the custodian and alternate custodian to be fingerprinted and/or photographed in contemplation of issuing an organization registration certificate.
  3. The custodian and alternate custodian shall ensure that all members or employees using rifles and shotguns registered by the organization are licensed by the Rifle/Shotgun Section to possess rifles and shotguns. The provisions of 38 RCNY § 2-05(d) shall not be applicable to the following organizations:

   (1) An organization actively engaged in the instruction of minors in the use of rifles and/or shotguns or the supervision of a competition or target practice for minors. A custodian and alternate custodian, designated by an organization of this nature, shall closely supervise all minors using rifles and/or shotguns registered by the organization, and ensure that such minors are instructed in the safe use of rifles and/or shotguns.

   (2) A paramilitary organization actively engaged in the presentation of military drill or parade. A custodian and alternate custodian designated by an organization of this nature shall closely supervise all individuals using rifles and/or shotguns during all military drills or parades. The custodian and alternate custodian shall also ensure that such rifles and/or shotguns are not loaded during such events.

  1. The conviction of a custodian or alternate custodian anywhere of a felony or serious offense as defined in § 265.00(17) of the New York State Penal Law, or of a misdemeanor crime of domestic violence as defined in § 921(a) of title 18, United States Code, may require suspension or revocation of an organization’s registration certificate. An organization’s registration certificate may be suspended or revoked if the custodian or alternate custodian is the subject or recipient of an order of protection or a temporary order of protection, or the subject of an ineligibility order issued pursuant to § 530.14 of the New York State Criminal Procedure Law or § 842-a of the New York State Family Court Act.
  2. A custodian or alternate custodian shall immediately notify the Rifle/Shotgun Section by telephone, followed by written notice within ten (10) calendar days, of any incident or violation of law or rules of federal, state, or local jurisdictions regarding the custodian or alternate custodian, or affecting the premises or business operations. For purposes of this subdivision, an incident includes:

   (1) arrest, indictment or conviction in any jurisdiction;

   (2) summons (except traffic infraction);

   (3) suspension or ineligibility order issued pursuant to § 530.14 of the New York State Criminal Procedure Law or § 842-a of the New York State Family Court Act;

   (4) the fact that the custodian or alternate custodian is or becomes the subject or recipient of an order of protection or a temporary order of protection;

   (5) admission to any psychiatric institution, sanitarium and/or the receipt of psychiatric treatment;

   (6) receipt of treatment for alcoholism or drug abuse;

   (7) the presence or occurrence of a disability or condition that may affect the handling of a rifle/shotgun, including but not limited to epilepsy, diabetes, fainting spells, blackouts, temporary loss of memory, or nervous disorder;

   (8) lost, stolen, altered or mutilated certificate of registration or organization registration certificate; or

   (9) unlawful discharge of a rifle/shotgun.

  1. An organization shall inform the Rifle/Shotgun Section in writing of any proposed change of custodianship or any other amendment of its registration. An organization shall not alter a registration certificate without the permission of the Rifle/Shotgun Section.
  2. The custodian and alternate custodian shall each be required to sign an acknowledgment that s/he shall be responsible for compliance with all laws, rules, regulations, standards, and procedures promulgated by federal, state, or local jurisdictions, and by federal, state, or local law enforcement agencies, that are applicable to each type of license or permit issued to her/him and to the organization. The Rifle/Shotgun Section shall provide the custodian and alternate custodian with the acknowledgment statement. These acknowledgment statements shall be affirmed in writing. Failure to affirm the acknowledgment statements shall result in denial of the application for the organization registration certificate. Upon appointment, each successive custodian and alternate custodian shall be required to affirm in writing an acknowledgment statement. Failure to do so shall result in the suspension or revocation of the organization’s registration certificate. Custodians and alternate custodians shall be held responsible for having knowledge of all new laws and rules that may be enacted by local, state, or federal legislatures or promulgated by the New York City Police Department affecting their organization.
  3. The custodian and alternate custodian shall be responsible for securing all rifles and shotguns and all ammunition possessed by the organization at the close of business/activities every day. Failure to do so shall constitute good cause for suspension or revocation of the organization’s registration certificate.
  4. Pursuant to New York City Administrative Code § 10-311(a), it shall be unlawful for any person or business enterprise to dispose of any rifle or shotgun which does not contain a safety locking device, defined as a design adaptation or attachable accessory that will prevent the use of the weapon by an unauthorized user. The following types of safety locking devices will be deemed to comply with this provision:

   (1) a trigger lock, which prevents the pulling of the trigger without the use of a key; or

   (2) a combination handle, which prevents the use of the weapon without the alignment of the combination tumblers; or

   (3) a detachable or non-detachable locking device, composed primarily of steel or other metal of significant gauge to inhibit breaking, utilizing a metallic key or combination lock, rendering the weapon inoperable until the locking device is removed by an authorized person.

  1. Pursuant to New York City Administrative Code § 10-311(b), it shall be unlawful for any licensed manufacturer, licensed importer, or licensed dealer to dispose of any rifle or shotgun in New York City unless it is accompanied by the following warning, which shall appear in conspicuous and legible type in capital letters, and which shall be printed on a label affixed to the rifle or shotgun and on a separate sheet of paper included within the packaging enclosing the rifle or shotgun: “THE USE OF A LOCKING DEVICE OR SAFETY LOCK IS ONLY ONE ASPECT OF RESPONSIBLE WEAPON STORAGE. ALL WEAPONS SHOULD BE STORED UNLOADED AND LOCKED IN A LOCATION THAT IS BOTH SEPARATE FROM THEIR AMMUNITION AND INACCESSIBLE TO CHILDREN AND ANY OTHER UNAUTHORIZED PERSONS.”
  2. Pursuant to New York City Administrative Code § 10-311(c), any person who applies for and obtains authorization to purchase, or otherwise lawfully obtains, a rifle or shotgun shall be required to purchase or obtain a safety locking device at the time s/he purchases or obtains the rifle or shotgun.
  3. Pursuant to New York City Administrative Code § 10-311(d), the City of New York and its agencies, officers or employees shall not be liable to any party by reason of any incident involving, or the use or misuse of a safety locking device that may have been purchased in compliance with these rules.
  4. Organizations, custodians and alternate custodians shall cooperate with all reasonable requests by the Police Department for information and assistance in matters relating to the certificate.

§ 2-06 Storage of Rifles and Shotguns and Ammunition.

(a)  Pursuant to New York City Administrative Code § 10-312, it shall be a criminal violation for any person who is the lawful owner or lawful custodian of a rifle or shotgun to store or otherwise place or leave such weapon in such a manner or under circumstances that it is out of her/his immediate possession or control, without having rendered such weapon inoperable by employing a safety locking device as defined in 38 RCNY § 2-05(j). Such offense shall constitute a misdemeanor if the offender has previously been found guilty of such violation or if the violation is committed under circumstances which create a substantial risk of physical injury to another person. The Rifle/Shotgun Section recognizes that all organizations have incurred an obligation by being registered to maintain and use rifles and shotguns in a responsible fashion. In order to assist organizations, the Rifle/Shotgun Section has issued the following safety guidelines for storing rifles and shotguns on the premises:

   (1) All rifle and shotgun cases shall be kept locked and secured at all times and shall be inaccessible to unauthorized individuals. All keys to such cases shall not leave the control of the custodian or alternate custodian.

   (2) Rifles and shotguns shall be incapable of firing when not in use. Rifles and shotguns may be temporarily deactivated by removing magazines or bolts; by securing with bars or chains through the trigger guard; or by using individual trigger locks or other safety locking devices composed primarily of steel or other metal of significant gauge to inhibit breaking.

   (3) A custodian and alternate custodian shall keep one updated inventory of all rifles and shotguns possessed by the organization in the event of loss or theft. Such inventory shall include a full description of each rifle and shotgun including manufacturer, model, serial number, if applicable, and calibre or gauge. The certificate of registration issued for each rifle and shotgun shall accompany these records.

   (4) In the event of loss or theft of any rifle or shotgun, certificate of registration, ammunition, or organization registration certificate, the custodian or alternate custodian is required to report the loss or theft to her/his local precinct and notify the Rifle/Shotgun Section by telephone on the next business day after discovery of the loss or theft. Follow up with a written notification to the Rifle/Shotgun Section within 10 calendar days of discovery of the loss or theft is also required.

  1. Any organization that stores in excess of two hundred (200) cartridges shall be required to obtain a storage permit from the Fire Commissioner. The storage of ammunition without a valid permit issued by the Fire Commissioner shall be deemed sufficient cause to revoke an organization’s registration certificate.
  2. The quantities of cartridges and other ammunition stored on the premises shall not exceed the amounts fixed by the Fire Commissioner for storage of ammunition. The quantities so fixed shall be stated in the storage permit.
  3. All ammunition kept on the premises shall not be stored in an area where other materials of a highly flammable nature are manufactured or stored.
  4. Ammunition shall be stored in an area of the premises that can be reasonably secured. Only the custodian, alternate custodian, and authorized members or employees shall have access to this storage area.
  5. A custodian and alternate custodian shall take reasonable precautions to make the premises secure. These precautions shall include but not be limited to all applicable measures as listed below:

   (1) Adequately protecting and securing all rear windows, doors and skylights.

   (2) Securing windows at or near ground level with expanded metal welded to belted angle-iron frames.

   (3) Installing alarms or other appropriate security/service systems upon the premises.

   (4) Posting signs prominently on the premises warning of the presence of electronic or other types of security systems and containing penalties for criminal violations.

   (5) Installing high-security cylinder locks in all doors.

   (6) Illuminating fully the exterior and interior of the premises at night, and during the hours when business is not conducted within.

§ 2-07 Security Plan.

In order to properly protect an organization’s premises and the rifles, shotguns and ammunition stored within, the Rifle/Shotgun Section requires that custodians utilize the New York City Police Department’s Crime Prevention Security Survey. A member of the New York City Police Department will come to an organization’s premises and inspect the building for security measures. After the inspection, the officer will recommend and suggest various methods designed to better protect the premises. These recommendations may include the choice of locks, gates, and alarm systems suitable for the premises. The inspection is free of charge. An organization shall contact its local police precinct, and request an appointment with the Crime Prevention Officer or the Community Policing Supervisor for a survey of the premises of the organization.

§ 2-08 Separability.

If any clause, sentence, paragraph, or part of these Rules of the application to any organization, custodian, or circumstances shall be determined to be invalid, such determination shall not affect, impair or invalidate the remainder thereof.

Chapter 3: Rifle/shotgun Permits

§ 3-01 Introduction.

All New York City rifle and shotgun permittees shall be aware of the responsibilities incurred by accepting a permit. The permittee should especially be familiar with the rules applicable to the possession of a rifle or shotgun or both. The following rules for the proper and safe use of rifles and shotguns have been promulgated by the Police Commissioner of the New York City Police Department. A violation of these provisions may be cause for suspension or revocation of a rifle/shotgun permit.

§ 3-02 Application for Permit.

(a) The applicant shall complete the application supplied to her/him by the Police Department.
  1. The minimum age for obtaining a permit is 18 years of age.
    1. If the applicant was ever arrested for any crime or violation s/he shall submit a certificate of disposition indicating the offense and final disposition of the charges. The applicant shall do this even if the case was dismissed, the record sealed or the case nullified by operation of law (e.g., Youthful Offender Status). Any omission of a previous arrest may result in the denial of the application.

   (2) If the applicant was ever convicted in New York State of a felony or a serious offense as defined in § 265.00(17) of the New York State Penal Law, s/he shall get a New York State Certificate of Relief from Disabilities.

   (3) No permit shall be issued or renewed to any applicant who has been convicted of a misdemeanor crime of domestic violence, as defined in § 921(a) of title 18 of the United States Code, or who is the subject of a suspension or ineligibility order issued pursuant to § 530.14 of the New York State Criminal Procedure Law or § 842-a of the New York State Family Court Act.

  1. If the applicant was discharged from the Armed Forces under other than honorable conditions s/he shall submit a copy of her/his separation papers and an affirmed statement explaining the reason for discharge.
  2. If the applicant’s answer to Question 2, 3 or 4 on the application is YES s/he shall submit a letter from a licensed physician stating that s/he has examined the applicant within the last 30 days, that the examination included a review of the applicant’s medical record and all pertinent hospital and institutional records, and shall conclude that the applicant is capable of possessing a rifle or a shotgun without presenting a danger of harm to the applicant or to others. Further evidence may be requested.
  3. Four color photographs, 1-1/2 × 1-1/2 inches, of the applicant, from the chest up, taken within the past thirty (30) days shall accompany the application. The wearing of any article of clothing or other adornment obscuring the identification of the wearer is not acceptable.
  4. Payment of applicable fees shall be made by certified check or money order, made payable to the N.Y.C. Police Department or to the N.Y.S. Division of Criminal Justice Services, respectively.
  5. All permittees shall be required to sign an acknowledgment that they shall be responsible for compliance with all laws, rules, regulations, standards, and procedures promulgated by federal, state, or local jurisdictions, and by federal, state, or local law enforcement agencies, that are applicable to this permit. The Rifle/Shotgun Section shall provide the permittee with the acknowledgment statement in writing. Failure to affirm the acknowledgment statement in writing shall result in denial of the permit application.
  6. During the pendency of the application, the applicant shall notify the Rifle/Shotgun Section of any necessary correction to or modification of the information provided in the original application, or any change in her/his status or circumstances, which may be relevant to the application.

§ 3-03 Grounds for Denial of Permit.

In addition to other bases for disqualification pursuant to federal, state, and local law and this chapter, an application for a rifle/shotgun permit may be denied where it is determined that an applicant lacks good moral character or that other good cause exists for denial, pursuant to § 10-303 of the Administrative Code of the City of New York. Such a determination shall be made based upon consideration of the following factors:

  1. The applicant has been arrested, indicted or convicted for a crime or violation except minor traffic violations, in any federal, state or local jurisdiction.
  2. The applicant has been other than honorably discharged from the Armed Forces of this country.
  3. The applicant has or is reasonably believed to have a disability or condition that may affect the ability to safely possess or use a rifle or shotgun, including but not limited to alcoholism, drug use or mental illness.
  4. The applicant is or has been an unlawful user of, or addicted to, a controlled substance or marijuana.
  5. The applicant made a false statement on her/his application, or failed to disclose her/his complete arrest history, including sealed arrests. Sealed arrests are made available to the License Division pursuant to Article 160 of the Criminal Procedure Law when an application has been made for a permit to possess a gun.
  6. The applicant is the subject of an order of protection or a temporary order of protection.
  7. The applicant has a history of one or more incidents of domestic violence.
  8. The applicant has a poor driving history, has multiple driver license suspensions or has been declared a scofflaw by the New York State Department of Motor Vehicles.
  9. The applicant has failed to comply with federal, state or local law or with Police Department rules governing possession and use of handguns, rifles, shotguns or ammu- nition.
  10. The applicant has been terminated from employment under circumstances that demonstrate lack of good judgment or lack of good moral character.
  11. The applicant has demonstrated an inability to safely store firearms, such as through a history of lost/stolen firearms.
  12. The applicant has failed to pay legally required debts such as child support, taxes, fines or penalties imposed by governmental authorities.
  13. The applicant fails to cooperate with the License Division’s investigation of her/his application or fails to provide information requested by the License Division or required by this chapter.
  14. Other information demonstrates an unwillingness to abide by the law, a lack of candor towards lawful authorities, a lack of concern for the safety of oneself and/or other persons and/or for public safety, and/or other good cause for the denial of the permit. In evaluating incidents or circumstances pursuant to this section, the License Division shall consider all relevant factors, including but not limited to the number, recency and severity of incidents and the outcome of any judicial or administrative proceedings.

§ 3-04 Right to Appeal Following Denial of Permit.

If for any reason her/his application is denied the applicant has the right to an appeal.

  1. If the applicant’s original application is denied, the applicant shall receive a written “Notice of Application Disapproval” from the Rifle/Shotgun Section indicating the reason(s) for the disapproval. If the applicant wishes to appeal the decision s/he shall submit a sworn written statement, which shall be known as an “Appeal of Application Disapproval,” to the Division Head, License Division, One Police Plaza, Room 110A, New York, New York 10038 within thirty (30) calendar days of the date on the “Notice of Application Disapproval” requesting an appeal of the denial, and setting forth the reasons supporting the appeal. The Appeal of Application Disapproval shall become part of the application. It shall state the grounds for the appeal and shall contain the following statement to be signed by the applicant and notarized: “Under penalty of perjury, deponent being duly sworn, says that s/he is familiar with all of the statements contained herein and that each of these statements is true, and no pertinent facts have been omitted.” Appeals that are unsworn by the applicant or submitted by individuals or business entities other than the applicant or her/his New York State licensed attorney shall not be accepted.
  2. All timely appeals shall receive a complete review of the applicant’s entire file by the Division Head, License Division, who shall notify the applicant of her/his determination. The Division Head, License Division shall not consider any documentation that was not submitted during the initial background investigation. There shall be no personal interviews to discuss appeals. If the appeal of her/his disapproval is denied, the applicant shall receive a “Notice of Disapproval After Appeal” letter from the Division Head, License Division. This notice concludes the Police Department’s administrative review procedure.

§ 3-05 Suspension or Revocation of Permit.

(a)  The permittee shall immediately notify the Rifle/Shotgun Section by telephone, followed by written notice within ten (10) calendar days, of any incident or violation of law or rules of federal, state, or local jurisdictions. For purposes of this subdivision, an incident includes:

   (1) arrest, indictment or conviction in any jurisdiction;

   (2) summons (except traffic infraction);

   (3) suspension or ineligibility order issued pursuant to § 530.14 of the New York State Criminal Procedure Law or § 842-a of the New York State Family Court Act;

   (4) the fact that the permittee is or becomes the subject or recipient of an order of protection or a temporary order of protection;

   (5) admission to any psychiatric institution, sanitarium and/or the receipt of psychiatric treatment;

   (6) receipt of treatment for alcoholism or drug abuse; or

   (7) the presence or occurrence of a disability or condition that may affect the handling of a rifle/shotgun, including but not limited to epilepsy, diabetes, fainting spells, blackouts, temporary loss of memory, or nervous disorder; or

   (8) unlawful discharge of a rifle/shotgun.

  1. The permittee’s rifle/shotgun permit may be suspended for a defined period or revoked upon evidence of any disqualification pursuant to subdivision a of § 10-303 of the Administrative Code and 38 RCNY §§ 3-02 and 3-03. A rifle/shotgun permit shall be revoked upon the conviction in this state or elsewhere of a felony or a serious offense, as defined in subdivision seventeen of section 265.00 of the penal law. Evidence of disqualification may be demonstrated by an investigation, by a permittee’s failure to cooperate with such an investigation, or by other evidence.
  2. If her/his permit is suspended or revoked, the permittee shall be required to deposit any rifles or shotguns as well as any handgun license and any handguns in her/his possession with her/his local police precinct and forward a copy of the voucher together with her/his permit to the Rifle/Shotgun Section, 120-55 Queens Boulevard, Kew Gardens, N.Y. 11424, Room B-11. Her/his failure to comply within ten (10) calendar days from the date of suspension or revocation may result in the arrest of the permittee.
  3. If her/his permit is suspended or revoked, the suspended/former permittee shall be issued a Notice of Determination Letter by the Rifle/Shotgun Section, which shall state in brief the grounds for the suspension or revocation and notify the permittee of the opportunity for a hearing. The permittee shall have a right to submit a written request for a hearing within thirty (30) calendar days from the date of the Notice of Determination Letter to the Commanding Officer, License Division, One Police Plaza, Room 110A, New York 10038. Before a hearing is scheduled the permittee shall be required to submit the above documents and any additional documents requested in the suspension or revocation notice. A permittee whose arrest or summons resulted in suspension or revocation of her/his permit may only submit a written request for a hearing within thirty (30) calendar days after the termination of the criminal action, as defined in New York State Criminal Procedure Law § 1.20(16)(c). If the suspension or revocation resulted from the permittee becoming the subject of an order of protection or a temporary order of protection, the permittee may only submit a written request for a hearing within thirty (30) calendar days after the expiration or voiding of the order of protection or temporary order of protection. If the suspension or revocation was related to both a criminal action and an order of protection or temporary order of protection, then the later of the two waiting periods shall apply.
  4. Upon receipt of the permittee’s letter, the License Division shall schedule the permittee for a hearing and notify the permittee by mail. However, requests for hearings shall not be entertained, and a hearing shall not be scheduled, unless the permittee complies with the provisions of subdivision (c) above, and forwards a Certificate of Final Disposition or Certificate of Relief from Disabilities, if applicable, to the License Division.

§ 3-06 Renewal of Permit.

Prior to the expiration of her/his rifle/shotgun permit the permittee shall be sent a renewal notice. The permittee shall answer all questions, comply with all instructions, submit a certified check or money order made payable to the N.Y.C. Police Department as required, sign and date the notice and forward it to the Rifle/Shotgun Section. In the event the permittee does not wish to renew her/his permit, s/he shall surrender her/his permit and all rifles/shotguns to her/his local precinct or otherwise lawfully dispose of the rifles/shotguns in accordance with 38 RCNY § 3-10 or 38 RCNY § 3-12 below. Any delays in renewing the permit may result in confiscation of all the permittee’s rifles/shotguns by the New York City Police Department. Renewal of the permit may be disapproved if the permittee makes a false statement in connection with the renewal.

§ 3-07 Possession and Registration of Permit.

(a) The permit issued to the permittee by the Rifle/Shotgun Section enables the permittee to possess only rifles or shotguns that are properly registered under her/his permit.
  1. The permittee shall have the permit to possess rifles and shotguns in her/his possession at all times when in possession or carrying a rifle and/or shotgun in addition to a separate certificate of registration for that particular rifle and/or shotgun.
  2. Permittees are not permitted to purchase, acquire, sell, transfer or otherwise dispose of any rifle and/or shotgun and ammunition from or to gun dealers or individuals without exhibiting a Rifle/Shotgun Permit.
  3. The permit is not transferable.

§ 3-08 Change of Address.

The permittee shall notify the Rifle/Shotgun Section of any change in address within ten (10) calendar days.

§ 3-09 Lost or Stolen Documents and Rifles/Shotguns.

All lost or stolen documents and rifles/shotguns shall be reported to the precinct in which the permittee resides or the theft or loss was discovered. The permittee shall obtain a complaint number from the precinct and report in person the loss or theft to the Rifle/Shotgun Section within five (5) calendar days of the loss. A fee of two (2) dollars is charged for each document for which a replacement is requested. This fee shall be paid by certified check or money order made payable to the N.Y.C. Police Department and shall accompany the report. The permittee shall not send cash. For lost permits two color photos of permittee, 11/2 × 11/2 inches, from the chest up, taken within the past thirty (30) days shall also be provided. The wearing of any article of clothing or other adornment obscuring the identification of the wearer is not acceptable.

§ 3-10 Request to Cancel Permit.

The permittee shall notify the Rifle/Shotgun Section if s/he wishes to cancel or decline to renew her/his rifle/shotgun permit by forwarding the permit, certificate(s) of registration, and an affirmed letter to the Rifle/Shotgun Section. The letter shall inform the Rifle/Shotgun Section where the rifles/shotguns are located or how they have otherwise been disposed of.

§ 3-11 Purchase of Ammunition.

The certificate of registration shall be presented to a dealer in rifles and shotguns at time of purchase of ammunition to confirm calibre or gauge of said specified rifle or shotgun.

§ 3-12 Disposal of Rifles and Shotguns.

(a)  The permittee may sell or dispose of her/his rifle/shotgun only to a licensed dealer in rifles and shotguns, to the holder of a valid rifle/shotgun permit, or to an individual who is exempt from the permit requirements of the City of New York. When the permittee sells her/his rifle or shotgun, s/he shall complete a certificate of registration. These forms may be obtained from the Rifle/Shotgun Section or the licensed dealer purchasing the rifle/shotgun and shall be forwarded to the Rifle/Shotgun Section within 72 hours of disposition.
  1. Pursuant to New York City Administrative Code § 10-311(a), it shall be unlawful for any person or business enterprise to dispose of any rifle or shotgun which does not contain a safety locking device, defined as a design adaptation or attachable accessory that will prevent the use of the weapon by an unauthorized user. The following types of safety locking devices will be deemed to comply with this provision:

   (1) a trigger lock, which prevents the pulling of the trigger without the use of a key; or

   (2) a combination handle, which prevents the use of the weapon without the alignment of the combination tumblers; or

   (3) a detachable or non-detachable locking device, composed primarily of steel or other metal of significant gauge to inhibit breaking, utilizing a metallic key or combination lock, rendering the weapon inoperable until the locking device is removed by an authorized person.

  1. Pursuant to New York City Administrative Code § 10-311(b), it shall be unlawful for any licensed manufacturer, licensed importer, or licensed dealer to dispose of any rifle or shotgun in New York City unless it is accompanied by the following warning, which shall appear in conspicuous and legible type in capital letters, and which shall be printed on a label affixed to the rifle or shotgun and on a separate sheet of paper included within the packaging enclosing the rifle or shotgun: “THE USE OF A LOCKING DEVICE OR SAFETY LOCK IS ONLY ONE ASPECT OF RESPONSIBLE WEAPON STORAGE. ALL WEAPONS SHOULD BE STORED UNLOADED AND LOCKED IN A LOCATION THAT IS BOTH SEPARATE FROM THEIR AMMUNITION AND INACCESSIBLE TO CHILDREN AND ANY OTHER UNAUTHORIZED PERSONS.”

§ 3-13 Transfer of Rifles/Shotguns from an Estate.

The following procedures shall be followed to dispose of any rifles/shotguns belonging to an estate:

  1. A copy of the death certificate shall be provided.
  2. The legal heir, executor, executrix, administrator or administratrix shall establish her/his claim to be legal heir, executor or administrator. This is done by one of the following means:

   (1) If there is no Will, then any person claiming to be the administrator or administratrix shall submit Letters of Administration from the Surrogate’s Court.

   (2) If there is a Will then the executor or executrix shall submit Letters Testamentary issued by the Surrogate’s Court.

   (3) All requests for transfer of rifles/shotguns shall be made on Police Department Disposition Report.

  1. If any rifles/shotguns are to be transferred to a New York City resident the person receiving the rifles/shotguns shall have a valid New York City rifle/shotgun permit.

§ 3-14 Supplemental Rules.

(a) The permittee's rifle or shotgun shall not be loaded in a public place within New York City at any time except when using it at a licensed rifle and shotgun range.
  1. When the permittee travels to and from a licensed range or hunting area, or transports her/his rifle/shotgun for any reason, it shall be carried unloaded in a locked, non-transparent case, and the ammunition shall be carried separately. If the permittee is transporting her/his rifle/shotgun in a vehicle, it shall be kept locked in the trunk or equivalent space, not in plain view. The permittee shall never leave her/his rifle/shotgun in a vehicle unless s/he is physically present in or in close proximity to the vehicle.
  2. The permittee shall never alter, remove, obliterate or deface any of the following markings that may be on her/his rifle/shotgun:

   (1) name of the manufacturer;

   (2) model;

   (3) serial number. This information identifies the rifle or shotgun in the permittee’s possession.

  1. Pursuant to New York City Administrative Code § 10-311(c), any person who applies for and obtains authorization to purchase, or otherwise lawfully obtains, a rifle or shotgun shall be required to purchase or obtain a safety locking device at the time s/he purchases or obtains the rifle or shotgun. Pursuant to New York City Administrative Code § 10-311(d), the City of New York and its agencies, officers or employees shall not be liable to any party by reason of any incident involving, or the use or misuse of a safety locking device that may have been purchased in compliance with these rules. The permittee shall take proper safety measures at all times to keep her/his rifle/shotgun from unauthorized persons – especially children. The permittee’s rifle or shotgun should be kept unloaded and locked in a secure location in her/his home. Ammunition shall be stored separately from her/his rifle or shotgun.

   Note: Many rifles/shotguns that are stolen in residential burglaries are taken from bedroom closets.

  1. Pursuant to New York City Administrative Code § 10-312, it shall be a criminal violation for any person who is the lawful owner or lawful custodian of a rifle or shotgun to store or otherwise place or leave such weapon in such a manner or under circumstances that it is out of her/his immediate possession or control, without having rendered such weapon inoperable by employing a safety locking device as defined in 38 RCNY § 3-12(b). Such offense shall constitute a misdemeanor if the offender has previously been found guilty of such violation or if the violation is committed under circumstances which create a substantial risk of physical injury to another person.
  2. While there is no limit in the number of rifles or shotguns the permittee may possess, s/he should be advised that permittees who own several rifles/shotguns shall be expected to safeguard and maintain each rifle or shotgun.
  3. Minors under the age of eighteen may carry or use the permittee’s rifle or shotgun only in the permittee’s actual presence. The permittee shall be held responsible for supervising closely any minor using her/his rifle/shotgun. The minor, in turn, shall be expected to abide by the same rules and restrictions as a permittee.
  4. It is recommended that new permittees take advantage of instruction and safety courses in the use of rifles/shotguns that are offered by the rifle ranges and clubs within the New York area. The permittee should consult the local consumer telephone directory to find out more about a course offered in her/his area.
  5. New laws or amendments of existing rules may be enacted by a legislature or promulgated by the Police Department affecting the ownership or use of rifles/shotguns. The permittee shall be held responsible for knowing any modification of rules pertaining to her/his permit.
  6. The permit to possess a rifle or shotgun expires three years after the last day of the month in which the permit was issued. The permittee is held responsible for applying to renew her/his permit when it expires. Failure to apply to renew the permit at such time shall result in cancellation of the permit and confiscation of any rifles/shotguns the permittee may possess.
  7. Permittees shall cooperate with all reasonable requests by the Police Department for information and assistance in matters relating to the permit.

Chapter 4: Gunsmiths and Dealers In Firearms

§ 4-01 Introduction.

The following rules are hereby promulgated for the licensing and regulation of gunsmiths, manufacturers, dealers in firearms and dealers in air pistols, air rifles or similar instruments. Licensees are held responsible for the strict enforcement of and adherence to these rules. Any violation thereof is cause for suspension and/or revocation of the subject license.

§ 4-02 Definitions.

Air pistols, air rifles, or similar instruments. The terms “air pistols,” “air rifles,” or “similar instruments” shall mean any instrument designed or redesigned, made or remade to use the energy of a spring or air to fire a projectile.

Ammunition. The term “ammunition” shall mean any explosives suitable to be fired from a firearm, machine-gun, rifle, shotgun or other dangerous weapon.

Applicant, licensee or license. The terms “applicant,” “licensee” or “license” shall mean and refer to gunsmiths, manufacturers, dealers in firearms and dealers in air pistols, air rifles, or similar instruments unless expressly restricted.

Assault weapon. The term “assault weapon” shall mean an “assault weapon” as defined in § 10-301(16) of the New York City Administrative Code.

Assembler. The term “assembler” shall include any person, firm, partnership, corporation or company who engages in the business of joining or fitting together any firearm or parts thereof.

Commissioner. The term “Commissioner” shall mean the Police Commissioner of the City of New York.

Dealer in air pistols, air rifles or similar instruments. The term “Dealer in air pistols, air rifles or similar instruments” shall mean any person, firm, partnership, corporation or company who engages in the business of purchasing, selling, keeping for sale, loaning, leasing, or in any manner disposing of, any air pistol, air rifle or similar instrument. Dealer in air pistols, air rifles or similar instruments shall not include a wholesale dealer.

Dealer in firearms. The term “dealer in firearms” shall mean any person, firm, partnership, corporation or company who engages in the business of purchasing, selling, keeping for sale, loaning, leasing, or in any manner disposing of, any pistol or revolver. Dealer in firearms shall not include a wholesale dealer.

Employee. The term “employee” shall mean any person who is employed by a licensed gunsmith, manufacturer or dealer in firearms and who has access in any manner to firearms, rifles, shotguns, machine-guns, or assault weapons.

Firearm. The term “firearm” shall mean a “firearm” as defined in § 265.00 of the New York State Penal Law and shall include a pistol, a revolver, and any firearm which may be concealed upon the person.

Gunsmith. The term “gunsmith” shall mean any person, firm, partnership, corporation or company who engages in the business of repairing, altering, assembling, manufacturing, cleaning, polishing, engraving or trueing, or who performs any mechanical operation on any rifle, shotgun, firearm, machine-gun, or assault weapon.

Machine-gun. The term “machine-gun” shall mean a weapon of any description, irrespective of size, by whatever name known, loaded or unloaded, from which a number of shots or bullets may be rapidly or automatically discharged from a magazine with one continuous pull of the trigger and includes a submachine gun.

Manufacturer. The term “manufacturer” shall include any person, firm, partnership, corporation or company who engages in the business of machining, producing, constructing, or making any firearm, rifle, shotgun, machine-gun, assault weapon, firearm frames or receivers. The term “manufacturer” shall include “assembler”.

Rifle. The term “rifle” shall mean a “rifle” as defined in § 265.00 of the New York State Penal Law, except that for purposes of this chapter a rifle shall have a barrel length of no less than sixteen inches and an overall length of no less than twenty-six inches.

Shotgun. The term “shotgun” shall mean a “shotgun” as defined in § 265.00 of the New York State Penal Law, except that for purposes of this chapter a shotgun shall have a barrel length of no less than eighteen inches and an overall length of no less than twenty-six inches.

§ 4-03 Requirements of Applicants.

(a) Applications for dealer in firearms, gunsmith, manufacturer and dealer in air pistols and air rifles shall be filed in the precinct in which the business premises is located.
  1. An applicant shall be over 21 years of age and maintain a place of business in the city, and if the applicant is a partnership, each member shall be over 21 years of age; if the applicant is a corporation each officer shall be over 21 years of age.
  2. Each applicant shall be a citizen of the United States.
  3. Each applicant shall be of good moral character.
  4. Each applicant shall never have been convicted anywhere of a felony or any other “serious offense” as defined in § 265.00(17) of the New York State Penal Law, or of a misdemeanor crime of domestic violence, as defined in § 921(a) of title 18 of the United States Code.
  5. No license shall be issued or renewed to any applicant who has not disclosed whether s/he is or has been the subject or recipient of an order of protection or a temporary order of protection, or the subject of a suspension or ineligibility order issued pursuant to § 530.14 of the New York State Criminal Procedure Law or § 842-a of the New York State Family Court Act.
  6. No license shall be issued or renewed to any applicant unless s/he has stated whether s/he has ever suffered any mental illness or been confined to any hospital or institution, public or private, for mental illness.
  7. Each applicant shall be free from any disability or condition that may affect the ability to safely possess or use a rifle, shotgun, firearm, machine-gun, assault weapon, air pistol or air rifle.
  8. No license shall be transferable to any other person or premises. The license shall mention and describe the premises for which it is issued and shall be valid only for such premises.
  9. A license issued pursuant to this section shall be prominently displayed on the licensed premises. Failure of any licensee to so exhibit or display her/his license shall be presumptive evidence that s/he is not duly licensed.
  10. If applicant has any branch units in the City of New York where any firearms, rifles, shotguns, machine-guns, assault weapons, air pistols, or air rifles are stored or any activities requiring a license are conducted, a separate application shall be filed with the precinct where each branch is located and a separate license secured for each premises.
  11. Each applicant shall be fingerprinted pursuant to the provisions of New York State Penal Law § 400.00.
  12. A corporation shall file a certified copy of its articles of incorporation with application.
  13. If names of current officers do not appear in articles, a certified copy of the minutes of the directors’ meeting at which current officers were elected shall be submitted with application.
  14. If there is a change of officers in a corporation, the corporation shall send to the License Division, One Police Plaza, Room 110A, New York, New York 10038, a certified copy of the minutes showing names of new officers.
  15. If applicant represents a partnership or uses a trade name, a certificate from the county clerk of the county in which the certificate is recorded shall be filed with application.
  16. Change of residence address for any individual licensee, partner, officer, stockholder, or director of a corporation, except those stockholders or directors whose fingerprints are waived, shall be filed with the Commanding Officer of the precinct wherein the premises is located, within 48 hours after change becomes effective.
  17. Applications shall be submitted together with the application fee on forms supplied by the Commissioner and shall be subscribed and sworn to by all individual applicants, partners, stockholders or officers of the corporation as the case may be. The annual fee, to be submitted with the application, by certified check or money order payable to the N.Y.C. Police Department, shall be twenty-five ($25) dollars for a gunsmith or manufacturer, fifty ($50) dollars for a dealer in firearms and ten ($10) dollars for a dealer in air pistols and air rifles.
  18. A false statement on the application shall be grounds for disapproval.
  19. Plans and Permits.

   (1) Applicant shall submit architectural plans of the premises proposed to be licensed and such plans shall be prepared by a registered architect.

   (2) Applicant shall submit a current class (1) Federal Firearms License.

   (3) Applicant shall submit a Certificate of Occupancy (C of O) zoned for gun dealers business. The C of O will state if premises is approved for more or less than 200 rounds of ammunition. If approved for more than 200 rounds a Fire Department permit is required.

   (4) Applicant shall submit a current lease or deed for license location.

   (5) Commanding Officer or designee (crime prevention officer or community policing supervisor) of the local precinct shall inspect premises to ensure that security measures are adequate. A central station alarm shall be in place and operable.

   (6) Applicant shall submit any and all licenses issued to her/him by the License Division, including a New York City Rifle/Shotgun Dealer’s License, handgun license, or rifle/shotgun permit.

   (7) Applicant shall submit a Second-Hand Dealer’s License issued by the Department of Consumer Affairs, if applicable.

  1. During the pendency of the application, the applicant shall notify the License Division of any necessary correction to or modification of the information provided in the original application, or any change in her/his status or circumstances, which may be relevant to the application.
  2. If her/his license application is disapproved the applicant shall receive a written “Notice of Application Disapproval” from the License Division indicating the reason(s) for the disapproval. If the applicant wishes to appeal the decision s/he shall submit a sworn written statement, which shall be known as an “Appeal of Application Disapproval,” to the Division Head, License Division, within thirty (30) calendar days of the date on the “Notice of Application Disapproval” requesting an appeal of the denial, and setting forth the reasons supporting the appeal. The Appeal of Application Disapproval shall become part of the application. It shall state the grounds for the appeal and shall contain the following statement to be signed by the applicant and notarized: “Under penalty of perjury, deponent being duly sworn, says that s/he is familiar with all of the statements contained herein and that each of these statements is true, and no pertinent facts have been omitted.” Appeals that are unsworn by the applicant or submitted by individuals or business entities other than the applicant or her/his New York State licensed attorney shall not be accepted. All timely appeals shall receive a complete review of the applicant’s entire file by the Division Head, License Division, who shall notify the applicant of her/his determination. The Division Head, License Division shall not consider any documentation that was not submitted during the initial background investigation. There shall be no personal interviews to discuss appeals. If the appeal of her/his disapproval is denied, the applicant shall receive a “Notice of Disapproval After Appeal” letter from the Division Head, License Division. This notice concludes the Police Department’s administrative review procedure.

§ 4-04 Licensee Requirements.

(a) For purposes of this section, all employees, as defined in 38 RCNY § 4-02, of a licensed gunsmith or dealer in firearms, shall personally be in possession of the required, valid license(s) or permit(s) issued by the License Division to possess handguns, rifles and/or shotguns. No person shall be employed who has been convicted anywhere of a felony, misdemeanor, serious offense as defined in § 265.00(17) of the New York State Penal Law, or a misdemeanor crime of domestic violence, as defined in § 921(a) of title 18 of the United States Code. No person shall be employed who is the subject of a suspension or ineligibility order issued pursuant to § 530.14 of the New York State Criminal Procedure Law or § 842-a of the New York State Family Court Act. The fitness of any employee for continued employment is subject to review by the Commissioner. The licensee may be directed to terminate such employment if such employment involves access in any manner to firearms, rifles, shotguns, machine-guns, or assault weapons, based upon an arrest for any offense, or upon previous connection with a premises wherein the license was revoked or denied, or on said employee's character or reputation, or upon the employee's being or becoming the recipient or subject of an order of protection or a temporary order of protection. Licensees shall submit a roster of employees in triplicate on a form prescribed by the Commissioner, together with original application and with each renewal application. A report of any change of personnel, or change of residence address of an employee shall be filed in writing with the Commanding Officer of the precinct wherein the premises is located, within 48 hours after such change becomes effective.
  1. No firearms shall be sold, or given away, or otherwise disposed of, except to a person expressly authorized under the provisions of Articles 265 and 400 of the New York State Penal Law and §§ 1.20 and 2.10 of the New York State Criminal Procedure Law to possess and have such firearm. Any police officer or peace officer as defined in the Criminal Procedure Law shall produce her/his shield and proper identification card before purchasing a pistol or revolver. A peace officer whose status does not confer authorization to possess firearms pursuant to § 2.10 of the New York State Criminal Procedure Law shall possess a handgun license or rifle/shotgun permit in order to be a lawful transferee. Therefore, before delivering a firearm, rifle, shotgun, machine-gun or assault weapon to a peace officer, the licensee shall verify that person’s status as a peace officer with the License Division Incident Section at (212) 374-5538 or 5539.
  2. Pursuant to New York City Administrative Code § 10-311(a), it shall be unlawful for any person or business enterprise to dispose of any firearm which does not contain a safety locking device, defined as a design adaptation or attachable accessory that will prevent the use of the weapon by an unauthorized user. The following types of safety locking devices will be deemed to comply with this provision:

   (1) a trigger lock, which prevents the pulling of the trigger without the use of a key; or

   (2) a combination handle, which prevents the use of the weapon without the alignment of the combination tumblers; or

   (3) a detachable or non-detachable locking device, composed primarily of steel or other metal of significant gauge to inhibit breaking, utilizing a metallic key or combination lock, rendering the weapon inoperable until the locking device is removed by an authorized person.

  1. Pursuant to New York City Administrative Code § 10-311(b), it shall be unlawful for any licensed manufacturer, licensed importer, or licensed dealer to dispose of any firearm in New York City unless it is accompanied by the following warning, which shall appear in conspicuous and legible type in capital letters, and which shall be printed on a label affixed to the firearm and on a separate sheet of paper included within the packaging enclosing the firearm: “THE USE OF A LOCKING DEVICE OR SAFETY LOCK IS ONLY ONE ASPECT OF RESPONSIBLE WEAPON STORAGE. ALL WEAPONS SHOULD BE STORED UNLOADED AND LOCKED IN A LOCATION THAT IS BOTH SEPARATE FROM THEIR AMMUNITION AND INACCESSIBLE TO CHILDREN AND ANY OTHER UNAUTHORIZED PERSONS.”
  2. Pursuant to New York City Administrative Code § 10-311(c), any person who applies for and obtains authorization to purchase, or otherwise lawfully obtains, a firearm shall be required to purchase or obtain a safety locking device at the time s/he purchases or obtains the firearm.
  3. Pursuant to New York City Administrative Code § 10-311(d), the City of New York and its agencies, officers or employees shall not be liable to any party by reason of any incident involving, or the use or misuse of a safety locking device that may have been purchased in compliance with these rules.
  4. In the event that any individual lacking authority to possess a firearm, rifle, shotgun, machine-gun or assault weapon attempts to leave such weapon with a licensee for cleaning, repairing or other processing, the licensee may accept the firearm, rifle, shotgun, machine-gun or assault weapon and obtain the name, address, telephone number, etc. of the person leaving the weapon. The licensee shall immediately report the incident to the precinct wherein the premises is located. If the licensee does not accept the firearm, rifle, shotgun, machine-gun or assault weapon for cleaning, repairing, or other processing, s/he shall report the incident to the precinct wherein the premises is located as soon as the individual possessing the weapon leaves the premises. In the event that any individual lacking authority to possess a firearm, rifle, shotgun, machine-gun or assault weapon offers to sell or otherwise dispose of such weapon to a licensee, the licensee shall attempt to obtain the name, address, and telephone number of said individual and shall notify the precinct wherein the premises is located as soon as said individual leaves the premises.
  5. The licensee and all stockholders, officers, directors, applicants, agents and employees shall at all times comply with all laws, rules, regulations and requirements of all federal, state and local jurisdictions and agencies having authority with respect to the premises and conduct and operation of the licensed business, now in effect or hereafter adopted.
  6. The licensee shall immediately make a telephone notification to the Division Head, License Division and the Commanding Officer of the precinct wherein the premises is located, followed by written notice to both within ten (10) calendar days, of any incident or violations of law or rules of federal, state or local jurisdictions regarding her/himself, partners, officers, directors, stockholders, agents or employees of the licensed corporation affecting the premises or business operations. For purposes of this subdivision, an incident includes:

   (1) arrest, indictment or conviction in any jurisdiction;

   (2) summons (except traffic infraction);

   (3) suspension or ineligibility order issued pursuant to § 530.14 of the New York State Criminal Procedure Law or § 842-a of the New York State Family Court Act;

   (4) the fact that the individual is or becomes the subject or recipient of an order of protection or a temporary order of protection;

   (5) admission to any psychiatric institution, sanitarium and/or the receipt of psychiatric treatment;

   (6) receipt of treatment for alcoholism or drug abuse;

   (7) the presence or occurrence of a disability or condition that may affect the handling of a firearm, rifle, shotgun, machine-gun or assault weapon including but not limited to epilepsy, diabetes, fainting spells, blackouts, temporary loss of memory, or nervous disorder;

   (8) lost, stolen, altered or mutilated license; or

   (9) unauthorized discharge of a firearm, rifle, shotgun, machine-gun or assault weapon on the licensee’s premises.

  1. The conviction of a licensee anywhere of a felony or any other “Serious Offense” as defined in § 265.00(17) of the New York State Penal Law, or of a misdemeanor crime of domestic violence, as defined in § 921(a) of Title 18 of the United States Code, shall operate as a revocation of the license. A license may also be revoked or suspended by a court pursuant to § 530.14 of the New York State Criminal Procedure Law or § 842-a of the New York State Family Court Act.
  2. If her/his license is suspended or revoked, the licensee shall be required to deposit any firearms, rifles, shotguns, machine-guns and assault weapons as well as any handgun license or rifle/shotgun permit in her/his possession with her/his local police precinct and forward a copy of the voucher together with her/his license to the License Division. Her/his failure to comply within ten (10) calendar days from the date of suspension or revocation may result in the arrest of the licensee.
  3. A license may be suspended and/or revoked by the License Division for good cause by the issuance of a Notice of Determination Letter to the licensee, which shall state in brief the grounds for the suspension or revocation and notify the licensee of the opportunity for a hearing. Upon issuance of a written Notice of Determination Letter notifying the licensee of suspension or revocation of the license, a suspended/former licensee shall have thirty (30) calendar days from the date of the notice of determination to submit a written request for a hearing to the Commanding Officer, License Division, One Police Plaza, Room 110A, New York, New York 10038. A licensee whose arrest or summons resulted in suspension or revocation of her/his license may only submit a written request for a hearing within thirty (30) calendar days after the termination of the criminal action, as defined in New York State Criminal Procedure Law § 1.20(16)(c). If the suspension or revocation resulted from the licensee becoming the subject of an order of protection or a temporary order of protection, the licensee may only submit a written request for a hearing within thirty (30) calendar days after the expiration or voiding of the order of protection or temporary order of protection. If the suspension or revocation was related to both a criminal action and an order of protection or temporary order of protection, then the later of the two waiting periods shall apply.
  4. A license issued shall be valid only for the premises mentioned and described in the license and shall be prominently displayed on such premises.
  5. Pursuant to New York City Administrative Code § 10-312, it shall be a criminal violation for any person who is the lawful owner or lawful custodian of a firearm to store or otherwise place or leave such weapon in such a manner or under circumstances that it is out of her/his immediate possession or control, without having rendered such weapon inoperable by employing a safety locking device as defined in subdivision (c) of this section. Such offense shall constitute a misdemeanor if the offender has previously been found guilty of such violation or if the violation is committed under circumstances which create a substantial risk of physical injury to another person. Firearms may be displayed so long as the firearms are enclosed in a glass case within the premises and are removed and adequately safeguarded during the hours the business is closed. Firearms dealers may not display firearms or ammunition in the store windows or doors. Licensees are responsible for the safeguarding of their firearm inventory and the loss of firearm(s) may result in the revocation of the firearms dealer’s license. All firearms shall be locked in an enclosed security room or safe, when not properly displayed.
  6. Each licensee shall cause a physical inventory to be taken prior to making application for renewal of her/his license, which shall include a listing of each firearm by make, calibre and serial number and shall be prepared in triplicate. The original copy of the inventory shall be maintained on the premises, the duplicate forwarded to the License Division and the triplicate filed in the precinct. In addition to the annual inventory, the licensee shall maintain a perpetual inventory and establish an internal security system acceptable to the Commissioner.
  7. Ammunition shall not be displayed in any area. Any ammunition required in the selling area shall be kept in a locked container not visible to the public. All other ammunition shall be stored in an area of the premises that can be secured and is not in view of the public. Only the licensee and authorized employees shall have access to this area.
  8. A record of all ammunition received and dispensed shall be maintained in a bound book with pages consecutively numbered. It shall be the responsibility of the licensee or a designated employee to make entries in this record. This book together with all invoices received shall be kept in the ammunition storage area.
  9. This record shall be arranged in columnar form as outlined below. The first page of this book shall have an inscription bearing the name and address of the premises, license number, name of the owner of the premises, name of employee designated to make entries, and the date of the book being opened. Beginning on page 2, each even numbered page shall contain a record of ammunition received and starting with page 3, each odd numbered page shall contain a record of ammunition dispersed.

AMMUNITION RECEIVED

Date Time Transporter/ Manufacturer Invoice Gauge/ Calibre Type Quantity Signature Comments
                 
                 
                 
                 
                 

~

AMMUNITION SOLD

Date Time Manufacturer Gauge/ Calibre Quantity Name Address Date of Birth Identification
                (how determined)
                 
                 
                 
                 

~

  1. Permission to deviate from the above indicated procedure shall be requested from the Division Head, License Division, through the Commanding Officer of the precinct in which the licensed premises is located.
  2. Licensees shall cooperate with all reasonable requests by the Police Department for information and assistance in matters relating to the license.

§ 4-05 Rules Affecting Gunsmiths Only.

(a) Every gunsmith shall keep a bound record book with pages numbered consecutively, in which the following information shall be entered:

   (1) The name, address, age and occupation of every person for whom any work is performed on a rifle, shotgun, firearm, machine-gun, or assault weapon.

   (2) Make, model, calibre, serial number of the rifle, shotgun, firearm, machine-gun, or assault weapon, and time, date and nature of the work performed.

   (3) The authority to carry or possess such rifle, shotgun, firearm, machine-gun, or assault weapon; enter date and number of license or permit, if any. If the owner is a police officer or a peace officer as defined in the New York State Criminal Procedure Law, enter rank, shield number, agency, unit assigned, identification number, and license/permit number or License Division notification reference in addition to other captioned information as required.

  1. Such records shall be maintained at the premises stated in the license and permanently preserved thereat. Such records, as well as the premises and all rifles, shotguns, firearms, machine-guns, and assault weapons thereat, shall be subject to inspection at all times by members of the New York City Police Department.
  2. In the event of cancellation, suspension or revocation of the license or discontinuance of the business by a licensee, such records shall be delivered to the precinct through which the license was issued and the license forwarded to the License Division.
  3. A gunsmith shall not engage in the licensed activities of a dealer in firearms, unless s/he has first obtained a license as a dealer in firearms.

§ 4-06 Rules Affecting Dealers in Firearms Only.

(a) Every dealer in firearms shall keep a bound record book with pages numbered consecutively, in which the following information shall be entered:

   (1) The date, time, name, address, age, occupation, and authority to possess, of every person or firm from whom a firearm is received, together with the make, calibre and serial number of each such firearm and the name of the employee of the dealer making the purchase. If the owner is a police officer or a peace officer as defined in the New York State Criminal Procedure Law, enter rank, shield number, agency, unit assigned, identification number, and license/permit number or License Division notification reference, in addition to other captioned information as required.

   (2) When a firearm is sold, exchanged, or in any manner disposed of by the dealer, the name, age, occupation and address of the person accepting same, her/his authority to purchase, carry or possess, enter date, name of issuing officer and number of license, if any, the make, model, calibre and serial number, time and name of the dealer or person in her/his employ effecting the transaction. If the purchaser is a police officer or a peace officer, as defined in the New York State Criminal Procedure Law, rank, shield number, agency, unit assigned, identification number and license/permit number or License Division notification reference, shall be entered in addition to other required information.

   (3) Such records shall be maintained on the premises stated in the license and permanently preserved thereat. Such records, as well as the premises and firearms, shall be subject to inspection at all times by members of the Police Department.

   (4) In the event of cancellation, suspension or revocation of the license, or discontinuance of business by a licensee, such records as well as the permanent inventory records, shall be delivered to the precinct through which license was issued and the license shall be forwarded to the Division Head, License Division.

  1. Every licensed dealer who sells, gives or otherwise provides any authorized person with a firearm shall prepare and forward to Stolen Property Inquiry Section, Pistol Index, One Police Plaza, New York, New York 10038 within 72 hours, Form P.D. 524-101 (Pistol Index Card).
  2. Every acquisition of a second-hand firearm by a licensed dealer, by trade-in or otherwise, shall be reported and forwarded to Stolen Property Inquiry Section, Pistol Index, One Police Plaza, New York, New York 10038, within 72 hours on Form P.D. 524-151, Dealer’s Report on Second-Hand Guns. Each report shall give the date, hour, name and address of each person from whom a firearm is received, the authority to possess and dispose of same, and the make, model, calibre and serial number of each such firearm. No second-hand firearm shall be sold or disposed of until the expiration of fifteen (15) days after its acquisition. The date and hour of transmission of each report required hereunder shall be entered in the permanent record book which each licensed dealer is required to maintain under these Rules.

§ 4-07 Rules Affecting Air Pistol and Air Rifle Dealers Only.

Every dealer shall keep a record of the name and address of each person purchasing air pistols, air rifles, or similar instruments, together with place of delivery and said record shall be open to inspection during regular business hours by a member of the New York City Police Department.

§ 4-08 Validity of Licenses.

(a) A license issued to a dealer in firearms, gunsmith or manufacturer shall be valid until the 1st day of the second January after date of issuance, and may be renewed annually thereafter.
  1. A license for dealers in air pistols/air rifles is an annual license which may be renewed thereafter.

§ 4-09 Familiarity with Rules and Law.

All licensees shall be required to sign an acknowledgment that they shall be responsible for compliance with all laws, rules, regulations, standards, and procedures promulgated by federal, state, or local jurisdictions, and by federal, state, or local law enforcement agencies, that are applicable to each type of license or permit issued to them. Licensees are specifically reminded of the prohibitions against possession of assault weapons in New York City pursuant to New York City Administrative Code, Title 10, Chapter 3. The License Division shall provide the licensee with the acknowledgment statement to be executed. This acknowledgment statement shall be notarized. Failure to execute the acknowledgment statement and to have it notarized shall result in the license application being denied.

Chapter 5: Handgun Licenses

Subchapter A: Issuance of Handgun Licenses

§ 5-01 Types of Handgun Licenses.

As used in this chapter, the term “handgun” shall mean a pistol or revolver. This section contains a description of the various types of handgun licenses issued by the Police Department. 38 RCNY § 5-09 contains a description of the procedure for obtaining an exemption from New York State Penal Law Article 265, allowing pre-license possession of a handgun for the purpose of possessing and using a handgun for instructional purposes with a certified instructor in small arms at an authorized small arms range/shooting club.

  1. Premises License – Residence or Business. This is a restricted handgun license, issued for a specific business or residence location. The handgun shall be safeguarded at the specific address indicated on the license, except when the licensee transports or possesses such handgun consistent with these Rules.
  2. Carry Business License. This is an unrestricted class of license which permits the carrying of a handgun concealed on the person. In the event that an applicant is not found by the License Division to be qualified for a Carry Business License, the License Division, based on its investigation of the applicant, may offer a Limited Carry Business License or a Business Premises License to an applicant.
  3. Limited Carry Business License. This is a restricted handgun license which permits the licensee to carry the handgun listed on the license concealed on the person to and from specific locations during the specific days and times set forth on the license. Proper cause, as defined in 38 RCNY § 5-03, shall need to be shown only for that specific time frame that the applicant needs to carry a handgun concealed on her/his person. At all other times the handgun shall be safeguarded at the specific address indicated on the license, and secured unloaded in a locked container.
  4. Carry Guard License/Gun Custodian License. These are restricted types of carry licenses, valid when the holder is actually engaged in a work assignment as a security guard or gun custodian.
  5. Special Licenses. Special licenses are issued according to the provisions of § 400.00 of the New York State Penal Law, to persons in possession of a valid New York State County License. The revocation, cancellation, suspension or surrender of such person’s County License automatically renders her/his New York City license void. The holder of a Special License shall carry her/his County License at all times when possessing a handgun pursuant to such Special License.

   (1) Special Carry Business License. This is a special license, permitting the carrying of a concealed handgun on the person while the licensee is in New York City.

   (2) Special Carry Guard License/Gun Custodian License. These are restricted types of special licenses that permit the carrying of a concealed handgun on the person only when the licensee is actually engaged in the performance of her/his duties as a security guard or gun custodian.

§ 5-02 Premises Licenses.

The requirements for the issuance of a Premises License are listed below. The license application shall be investigated, including a review of the circumstances relevant to the information provided in the application. During the pendency of the application, the applicant shall notify the License Division of any necessary correction to or modification of the information provided in the original application, or any change in her/his status or circumstances, which may be relevant to the application. The applicant shall:

  1. Be of good moral character;
  2. Have no prior conviction for a felony or other serious offense, as defined in § 265.00(17) of the New York State Penal Law, or of a misdemeanor crime of domestic violence, as defined in § 921(a) of title 18 of the United States Code;
  3. Disclose whether s/he is or has been the subject or recipient of an order of protection or a temporary order of protection;
  4. Have no prior revocation of a license nor be the subject of a suspension or ineligibility order issued pursuant to § 530.14 of the New York State Criminal Procedure Law or § 842-a of the New York State Family Court Act;
  5. Disclose any history of mental illness;
  6. Be free from any disability or condition that may affect the ability to safely possess or use a handgun;
  7. Reside or maintain a principal place of business within the confines of New York City;
  8. Be an applicant concerning whom no good cause exists for the denial of such license;
  9. Be at least 21 years of age.

§ 5-03 Carry and Special Handgun Licenses.

In addition to the requirements in 38 RCNY § 5-02, an applicant seeking a carry or special handgun license shall be required to show “proper cause” pursuant to § 400.00(2)(f) of the New York State Penal Law. “Proper cause” is determined by a review of all relevant information bearing on the claimed need of the applicant for the license. The following are examples of factors which will shall be considered in such a review.

  1. Exposure of the applicant by reason of employment or business necessity to extraordinary personal danger requiring authorization to carry a handgun.

   Example: Employment in a position in which the applicant routinely engages in transactions involving substantial amounts of cash, jewelry or other valuables or negotiable items. In these instances, the applicant shall furnish documentary proof that her/his employment actually requires that s/he be authorized to carry a handgun, and that s/he routinely engages in such transactions.

  1. Exposure of the applicant to extraordinary personal danger, documented by proof of recurrent threats to life or safety requiring authorization to carry a handgun.

   Example: Instances in which Police Department records demonstrate that the life and well-being of an individual is endangered, and that s/he should, therefore, be authorized to carry a handgun. The factors listed above are not all inclusive, and the License Division will consider any proof, including New York City Police Department records, which document the need for a handgun license. It should be noted, however, that the mere fact that an applicant has been the victim of a crime or resides in or is employed in a “high crime area,” does not establish “proper cause” for the issuance of a carry or special handgun license.

§ 5-04 Carry Guard License/Gun Custodian License and Special Carry Guard License/Gun Custodian License.

(a) In addition to the requirements in 38 RCNY § 5-02 an applicant shall demonstrate the employer's need to employ armed security guards/gun custodians.
  1. Such need may be shown and documented by memorandum, letters or contract(s) for the hiring of said employer to provide armed security personnel or otherwise require the services of gun custodians.
  2. Additionally, such need may be shown by other documentation or acceptable form as required by the License Division.
  3. If applicable, an applicant shall show satisfactory evidence that such business possesses a professional license, relevant to the need for a handgun, issued by the State of New York.
  4. In addition to the requirements in 38 RCNY § 5-06 an applicant shall show proof of current employment which requires the need for a handgun license.
  5. If applicable, an applicant shall show satisfactory evidence of having a professional license, relevant to the need for a handgun issued by the State of New York.

§ 5-05 Application Form.

(a) An application form shall be distributed, one per person, at the License Division during normal business hours. Assistance in completing the form shall be made available at the License Division. The application form shall be completely filled out and submitted in person at the License Division, and only an original application form shall be accepted. Special license applicants should also specifically refer to paragraph (9) of subdivision (b) of this section for application requirements.
  1. The applicant shall furnish the items listed below which are applicable, either at the time s/he completes and submits her/his application in person, or no later than fourteen (14) calendar days after the date of submission of the application, either in person or by mail. All documents, certificates, licenses, etc., shall be submitted in the original. A copy certified by the issuing agency as true and complete is also acceptable. In addition, a legible photocopy of each item submitted shall accompany the original or certified copy. Originals and certified copies shall be returned. The application shall not be accepted or processed without the required fee payments described in paragraph (10) of this subdivision.

   (1) Photographs. Two (2) color photographs of the applicant taken within the past thirty (30) days. They should measure 11/2 × 11/2 inches and show applicant from the chest up. The wearing of any article of clothing or adornment that obscures identification is not acceptable. Special license applicants should refer to paragraph (9) of this subdivision.

   (2) Birth certificate. If there is no record of the applicant’s birth on file with the New York City Department of Health Office of Vital Statistics, some other proof of applicant’s birth date, e.g., a military record, U.S. passport or baptismal certificate, shall be sub- mitted.

   (3) Proof of citizenship/alien registration. If the applicant was born outside the United States, s/he shall submit her/his naturalization papers or evidence of citizenship if derived from her/his parents. All other applicants born outside the United States shall submit their Alien Registration Card. Additionally, applicants who are aliens and have resided in the United States for less than seven (7) years shall submit a good conduct certificate, or the equivalent thereof, from their country of origin and two (2) letters of reference which identify the writer’s relationship to the applicant and which certify to the good character of the applicant. Inability to provide the documents mentioned in this paragraph shall not operate as an absolute bar to issuance of a handgun license.

   (4) Military discharge. If the applicant served in the armed forces of the United States, s/he shall submit her/his separation papers (DD 214) and her/his discharge papers.

   (5) Proof of residence. The applicant shall submit proof of her/his present address. Proof may consist of one of the following, but is not limited to: a real estate tax bill, a copy of a lease indicating ownership shares in a cooperative or condominium or a current residential lease. The License Division may request further documentation, e.g., a New York State Driver’s License, a New York State Income Tax Return, a current utility bill, etc.

   (6) Arrest information. If the applicant was ever arrested for any reason s/he shall submit a Certificate of Disposition showing the offense and disposition of the charges. Also, the applicant shall submit a detailed statement describing the circumstances surrounding each arrest. This statement shall be affirmed in writing. The applicant shall do this even if the case was dismissed, the record sealed or the case nullified by operation of law. The New York State Division of Criminal Justice Services shall report to the Police Department every instance involving the arrest of an applicant. The applicant shall not rely on anyone’s representation that s/he need not list a previous arrest. If the applicant was ever convicted or pleaded guilty to a felony or a serious offense, as defined in New York State Penal Law § 265.00(17), an original, signed Certificate of Relief from Disabilities shall be submitted.

   (7) Proof of business ownership. If the applicant is making application for a license in connection with a business, s/he shall submit proof of ownership for that business. Such proof shall clearly state the name(s) of the owner(s), or, if a corporation, the name(s) of the corporate officer(s). A corporation shall submit its corporate book to include Filing Receipt, Certificate of Incorporation and minutes of the corporate meeting reflecting current corporate officers; others shall provide their business certificate or partnership agreement, whichever is applicable. If the business requires a license or permit from any government agency, e.g., alcohol or firearms sales, gunsmith, private investigation and guard agencies, the applicant shall submit the license or permit or a certified copy thereof.

   (8) Letter of necessity.

      (i) A letter of necessity explains the need for the license. It shall be typewritten on current letterhead stationery; signed by a corporate officer, partner, or in the case of a sole proprietorship, the owner of the business. Self-employed applicants may submit such letter under their own signature. The letter of necessity shall be affirmed. A letter of necessity shall be submitted by the following applicants:

         (A) All applicants except applicants for a Premises Residence License.

         (B) All employees seeking a Premises Business License for use in connection with their employment shall submit a letter of authorization signed by the owner of the business.

      (ii) Regardless of whether a handgun license was previously issued by the New York City Police Department or any other issuing authority, the letter of necessity shall contain the following information:

         (A) A detailed description of the applicant’s employment and an explanation of why the employment requires the carrying of a concealed handgun.

         (B) A statement acknowledging that the handgun shall only be carried during the course of and strictly in connection with the applicant’s job, business or occupational requirements, as described herein.

         (C) A statement explaining the manner in which the handgun shall be safeguarded by the employer and/or applicant when not being carried.

         (D) A statement indicating that the applicant has been trained or shall receive training in the use and safety of a handgun.

         (E) A statement acknowledging that the applicant’s employer or, if self-employed, the applicant, is aware of its or her/his responsibility to properly dispose of the handgun and return the license to the License Division upon the termination of the applicant’s employment or the cessation of business.

         (F) A statement indicating that the applicant, and if other than self-employed, a corporate officer, general partner or proprietor, has read and is familiar with the provisions of New York State Penal Law Articles 35 (use of deadly force), 265 (criminal possession and use of a firearm), and 400 (responsibilities of a handgun licensee).

         (G) At the time of the applicant’s interview, the applicant shall be advised whether any additional forms or documents are required. Failure to provide the information requested may result in the disapproval of the applicant’s application.

   (9) Special license applicants shall submit the items listed below:

      (i) All applicants shall submit two (2) application forms, to be filled out completely and presented by the applicant in person. The applicant shall not mail the application forms.

      (ii) All applicants shall submit three (3) 11/2 × 11/2 inch color photographs showing the applicant from the chest up, taken within the past 30 days. The wearing of any article of clothing or adornment that obscures identification is not permitted.

      (iii) The applicant shall bring her/his current County Handgun License with her/him to have her/his application processed.

   (10) Upon application, required fees are payable to the New York City Police Department and the New York State Division of Criminal Justice Services. Fees to the New York City Police Department shall be paid by certified check or money order made payable to the N.Y.C. Police Department.

      Note: The fee payable to N.Y.S. Division of Criminal Justice Services applies to all applicants. These fees shall be paid separately. Only U.S. Postal or bank drawn money orders shall be accepted. If the applicant has any questions concerning her/his application, s/he may call (212) 374-5553. Applications shall be submitted in person at the License Division, Room 110A, Monday through Friday, 8:30 A.M. to 4:00 P.M. The License Division is closed on all legal holidays. All fees are non-refundable.

§ 5-06 Gun Custodian, Carry Guard and Special Licenses. Establishing Company Need for Handgun Licensing.

(a) An applicant shall initially submit a typed license application, which shall be affirmed in writing, in accordance with general handgun license rules, including all personal and business documentation requested. Examples of business documentation would be a company's corporate book, including filing receipt; certificate of incorporation; minutes of the corporate meeting reflecting current corporate officers; business certificate or partnership agreement, whichever is applicable.
  1. Where the applicant for a handgun license is an owner of a security guard, courier or private investigation company, or a company providing similar services, and desires the license in connection with such business, the applicant shall:

   (1) present satisfactory evidence that such business is licensed by the State of New York, and;

   (2) present satisfactory evidence of contracts for armed services to be performed within the City of New York.

  1. Where an applicant for a handgun license is an owner of a check cashing business and desires the license for use in connection with such business, the applicant shall: present satisfactory evidence that such business is licensed by the State of New York Banking Department.
  2. Carry Guards.

   (1) Once a gun custodian’s license has been issued in connection with a particular employer, applications for individual security guards/personnel for the same employer may be submitted.

   (2) In addition to the handgun license application required of all license applicants, carry guard/personnel applicants shall submit the form Handgun License Application Company and a specific letter of necessity following the format supplied by the License Division.

§ 5-07 License Approval/Disapproval Procedures.

(a) It takes approximately six months to process an application. If her/his application is approved the applicant shall receive a "Notice of Application Approval" in the mail. If the applicant moves during the time her/his application is being processed, the applicant shall immediately notify the License Division's Handgun License Application Section, Room 110A, One Police Plaza, New York, New York 10038, (212) 374-5553, and be guided by their instructions. Failure to make timely notification may result in the disapproval/cancellation of the applicant's application.
  1. To receive her/his license the applicant shall report in person with her/his “Notice of Application Approval” letter, to the Issuing Unit – Room 152, One Police Plaza, New York, New York 10038 – within thirty (30) calendar days of the date on the “Notice of Application Approval” letter. Licenses shall only be issued between the hours of 9 a.m. and 12 p.m., Monday through Thursday. The applicant should note that the Issuing Unit is closed on all legal holidays.
  2. If the applicant does not appear to pick up her/his license within thirty (30) calendar days of the date on the “Notice of Application Approval,” her/his license and application shall be cancelled.
  3. With her/his license the applicant shall receive a copy of the “New York City Handgun License Rules” [;Subchapter B of this chapter];. The applicant shall become knowledgeable regarding these handgun rules, as any violation of these rules may result in the suspension or revocation of her/his handgun license.
  4. If her/his license application is disapproved the applicant shall receive a written “Notice of Application Disapproval” from the License Division indicating the reason(s) for the disapproval. If the applicant wishes to appeal the decision s/he shall submit a sworn written statement, which shall be known as an “Appeal of Application Disapproval,” to the Division Head, License Division, within thirty (30) calendar days of the date on the “Notice of Application Disapproval” requesting an appeal of the denial, and setting forth the reasons supporting the appeal. The Appeal of Application Disapproval shall become part of the application. It shall state the grounds for the appeal and shall contain the following statement to be signed by the applicant and notarized: “Under penalty of perjury, deponent being duly sworn, says that s/he is familiar with all of the statements contained herein and that each of these statements is true, and no pertinent facts have been omitted.” Appeals that are unsworn by the applicant or submitted by individuals or business entities other than the applicant or her/his New York State licensed attorney shall not be accepted.
  5. All timely appeals shall receive a complete review of the applicant’s entire file by the Division Head, License Division, who shall notify the applicant of her/his determination. The Division Head, License Division shall not consider any documentation that was not submitted during the initial background investigation. There shall be no personal interviews to discuss appeals. If the appeal of her/his disapproval is denied, the applicant shall receive a “Notice of Disapproval After Appeal” letter from the Division Head, License Division. This notice concludes the Police Department’s administrative review procedure.

§ 5-08 Limitations.

Applicants issued licenses pursuant to this subchapter shall be subject to such conditions and limitations as established by the Police Commissioner regarding, but not necessarily limited to the permissible number, type, transportation and safeguarding of handguns.

§ 5-09 Application for Pre-License Exemption.

Each applicant desiring to obtain the exemption set forth in New York State Penal Law § 265.20(a)(7-b), allowing pre-license possession of a handgun for the purpose of possessing and using a handgun for instructional purposes with a certified instructor in small arms at an authorized small arms range/shooting club, shall make such request in writing to the Division Head, License Division at the time the application for a handgun license is filed. Such request shall include a signed and verified statement by the person authorized to instruct and supervise the applicant, that s/he has met with the applicant and s/he has determined that, in her/his judgment, said applicant does not appear to be or pose a threat to be a danger to her/himself or others. S/he shall include a copy of her/his certificate as an instructor in small arms, if s/he is required to be certified, and state her/his address and telephone number. S/he shall specify the exact location by name, address and telephone number where such instruction shall take place. The Division Head, License Division shall, no later than ten (10) business days after such filing, commence an investigation and ascertain whether the applicant has a criminal record. The Division Head, License Division shall no later than ten (10) business days after the completion of such investigation determine if the applicant has been previously denied a license, been convicted of a felony, been convicted of a serious offense as defined in Penal Law § 265.00(17), been convicted of a misdemeanor crime of domestic violence, as defined in § 921(a) of Title 18 of the United States Code, been the subject or recipient of an order of protection or a temporary order of protection, been the subject of a suspension or ineligibility order issued pursuant to § 530.14 of the New York State Criminal Procedure Law or § 842-a of the New York State Family Court Act, or appears to be, or poses a threat to be, a danger to her/himself or others, and either approve or disapprove the applicant for exemption purposes based upon such determinations. If the applicant is approved for the exemption, the Division Head, License Division shall notify the applicant. Such exemption shall terminate if the application for the license is denied, or at any earlier time based upon any information obtained by the Division Head, License Division which would cause the application to be rejected. The applicant shall be notified of any such rejection.

§ 5-10 Grounds for Denial of Handgun License.

In addition to other bases for disqualification pursuant to federal, state, and local law and this chapter, an application for a handgun license may be denied where it is determined that an applicant lacks good moral character or that other good cause exists for denial, pursuant to New York State Penal Law § 400.00 (1). Such a determination shall be made based upon consideration of the following factors:

  1. The applicant has been arrested, indicted or convicted for a crime or violation except minor traffic violations, in any federal, state or local jurisdiction.
  2. The applicant has been other than honorably discharged from the Armed Forces of this country.
  3. The applicant has or is reasonably believed to have a disability or condition that may affect the ability to safely possess or use a handgun, including but not limited to alcoholism, drug use or mental illness.
  4. The applicant is or has been an unlawful user of, or addicted to, a controlled substance or marijuana.
  5. The applicant made a false statement on her/his application, or failed to disclose her/his complete arrest history, including sealed arrests. Sealed arrests are made available to the License Division pursuant to Article 160 of the Criminal Procedure Law when an application has been made for a license to possess a gun.
  6. The applicant is the subject of an order of protection or a temporary order of protection.
  7. The applicant has a history of one or more incidents of domestic violence.
  8. The applicant has a poor driving history, has multiple driver license suspensions or has been declared a scofflaw by the New York State Department of Motor Vehicles.
  9. The applicant has failed to comply with federal, state or local law or with Police Department rules governing possession and use of firearms, rifles, shotguns or ammu- nition.
  10. The applicant has been terminated from employment under circumstances that demonstrate lack of good judgment or lack of good moral character.
  11. The applicant has demonstrated an inability to safely store firearms, such as through a history of lost/stolen firearms.
  12. The applicant has failed to pay legally required debts such as child support, taxes, fines or penalties imposed by governmental authorities.
  13. The applicant fails to cooperate with the License Division’s investigation of her/his application or fails to provide information requested by the License Division or required by this chapter.
  14. Other information demonstrates an unwillingness to abide by the law, a lack of candor towards lawful authorities, a lack of concern for the safety of oneself and/or other persons and/or for public safety, and/or other good cause for the denial of the license. In evaluating incidents or circumstances pursuant to this section, the License Division shall consider all relevant factors, including but not limited to the number, recency and severity of incidents and the outcome of any judicial or administrative proceedings.

§ 5-11 Grounds for Suspension for Defined Period or Revocation of Handgun License.

A handgun license may be suspended for a defined period or revoked upon evidence of any disqualification pursuant to this chapter. A handgun license shall be revoked upon the conviction in this state or elsewhere of a felony or a serious offense, as defined in subdivision seventeen of section 265.00 of the penal law. Evidence of disqualification may be demonstrated by an investigation, by a licensee’s failure to cooperate with such an investigation, or by other evidence.

Subchapter B: Licensee Responsibilities

§ 5-21 Introduction.

Any violation of this subchapter and/or the restrictions of the license, if any, may result in the suspension and/or revocation of the license.

§ 5-22 Conditions of Issuance.

(a) A handgun license is issued under the following conditions:

   (1) It is revocable at any time.

   (2) It is not transferable to any other person or location.

   (3) Any mutilation, alteration, or lamination of the license shall render it void. The licensee may not make any additions, deletions, or other changes on her/his license. Only License Division personnel may make changes on the license.

   (4) If the license is mutilated, altered, laminated, lost, or destroyed an additional fee shall be required for replacement. If any of these circumstances occur, the licensee shall notify the License Division.

   (5) When the license expires, and if the licensee has not renewed it, or if it is suspended, or revoked, the licensee shall immediately surrender the license with the handgun(s) to the precinct of her/his place of business or residence.

   (6) The licensee shall be in possession of her/his license at all times while carrying, transporting, possessing at residence, business, or authorized small arms range/shooting club, the handgun(s) indicated on said license.

   (7) If the licensee has a “Carry” or “Special Carry” type license only one (1) handgun may be carried on her/his person at any time.

   (8) The licensee is authorized to own only the handgun(s) that are listed on her/his license.

   (9) The licensee shall not purchase or replace a handgun prior to obtaining written permission from the Division Head, License Division (see Handgun Purchase Authorizations).

   (10) A handgun may be replaced or purchased only by requesting permission in writing from the Division Head, License Division.

   (11) The licensee shall not draw, expose or display handgun(s) unnecessarily.

   (12) The licensee shall not leave handgun(s) in an auto, or in any place where an unauthorized person may readily obtain them.

   (13) To assure maximum safety, proper safeguards shall be taken at all times to keep handguns away from unauthorized persons, especially children. Pursuant to New York City Administrative Code § 10-312, it shall be a criminal violation for any person who is the lawful owner or lawful custodian of a handgun to store or otherwise place or leave such weapon in such a manner or under circumstances that it is out of her/his immediate possession or control, without having rendered such weapon inoperable by employing a safety locking device as defined in 38 RCNY § 5-25(a)(2). Such offense shall constitute a misdemeanor if the offender has previously been found guilty of such violation or if the violation is committed under circumstances which create a substantial risk of physical injury to another person.

   (14) The licensee should endeavor to engage in periodic handgun practice at an authorized small arms range/shooting club.

   (15) Any misuse of the purpose for which the license was issued, or any action or misconduct on the part of the licensee which may constitute just cause, shall result in the suspension or revocation of the license.

   (16) Except for licensees with unrestricted Carry Business licenses or Special Carry Business Licenses, a licensee wishing to transport her/his handgun to a gunsmith or a dealer in firearms shall request permission in writing from the Division Head, License Division. Authorization shall be provided in writing. The licensee shall carry this authorization with her/him when transporting the handgun to the gunsmith or the dealer in firearms, and shall transport the handgun directly to and from the gunsmith or the dealer in firearms. The handgun shall be secured unloaded in a locked container during transport.

   (17) Licensees shall cooperate with all reasonable requests by the Police Department for information and assistance in matters relating to the license.

  1. In the following instances the licensee shall make an immediate report to the License Division – Incident Section, telephone #(212) 374-5538, 5539, and to the precinct where the incident occurred. (See additional requirements under “Incident Section” – 38 RCNY § 5-30).

   (1) Theft/loss of handgun.

   (2) Discharge of handgun other than during practice at an authorized small arms range/shooting club.

   (3) Theft/loss of handgun license.

   (4) Improper use/safeguarding of handgun(s).

   (5) Public display of an unholstered handgun.

  1. In the following instances, the licensee shall make an immediate report to the License Division – Incident Section (see Incident Section – 38 RCNY § 5-30).

   (1) Arrest, indictment, or conviction in any jurisdiction; summons other than traffic infraction; suspension or ineligibility order issued pursuant to § 530.14 of the New York State Criminal Procedure Law or § 842-a of the New York State Family Court Act.

   (2) Change of business or residence address (see Address Changes – 38 RCNY § 5-29).

   (3) Change of business, occupation or employment (see Name Changes – 38 RCNY § 5-29).

   (4) Any change in the circumstances for which the licensee received the license. The licensee shall immediately notify the License Division and shall then be instructed on how to proceed. The licensee may be required to report to the License Division with required documentation to have the change reviewed and effected by License Division personnel.

   (5) Alteration, mutilation, destruction of handgun license.

   (6) Intent to dispose of handgun. Failure to notify in writing the Division Head, License Division prior to disposing of handgun is a Class A Misdemeanor pursuant to New York State Penal Law § 265.10(7).

   (7) Receipt of psychiatric treatment or treatment for alcoholism or drug abuse, or the presence or occurrence of any disability or condition that may affect the ability to safely possess or use a handgun.

   (8) Licensee is or becomes the subject or recipient of an order of protection or a temporary order of protection.

§ 5-23 Types of Handgun Licenses.

(a) Premises License – Residence or Business. This is a restricted handgun license, issued for the protection of a business or residence premises.

   (1) The handguns listed on this license may not be removed from the address specified on the license except as otherwise provided in this chapter.

   (2) The possession of the handgun is restricted to the inside of the premises which address is specified on the license or to any other location to which the licensee is authorized to transport such handgun in accordance with these Rules.

   (3) The licensee may transport the handgun(s) listed on her/his license, unloaded, in a locked container, the ammunition to be carried separately, directly to and from the following locations:

      (i) Another residence, or place of business, of the licensee where the licensee is authorized to possess such handgun. Such residence or place of business may be within or outside New York City.

      (ii) A lawful small arms range/shooting club or lawful shooting competition. Such range, club, or competition may be within or outside New York City.

   (4) A licensee may transport her/his handgun(s) directly to and from an authorized area designated by the New York State Fish and Wildlife Law and in compliance with all pertinent hunting regulations, unloaded, in a locked container, the ammunition to be carried separately, after the licensee has requested and received a “Police Department – City of New York Hunting Authorization” Amendment attached to her/his license.

   (5) A licensee may transport her/his handgun(s), unloaded, in a locked container, without ammunition, to or from the offices of the License Division, or the licensee’s local police precinct, as authorized by these Rules.

   (6) When purchasing a handgun in accordance with 38 RCNY § 5-25, a licensee may transport the handgun, unloaded, in a locked container, the ammunition to be carried separately, directly from the place of purchase to the address specified on the license.

   (7) Transport within New York City pursuant to Paragraph (3), (4), (5), or (6) of this subdivision shall be continuous and uninterrupted.

  1. Carry Business License. This is an unrestricted class of license which permits the carrying of a handgun concealed on the person.
  2. Limited Carry Business License. This is a restricted handgun license which permits the licensee to carry a handgun listed on the license concealed on the person to and from specific locations during the specific days and times set forth on the license. Proper cause, as defined in 38 RCNY § 5-03, shall need to be shown only for that specific time frame that the applicant needs to carry a handgun concealed on her/his person. At all other times the handgun shall be safeguarded at the specific address indicated on the license and secured unloaded in a locked container.
  3. Carry Guard License/Gun Custodian License. These are restricted types of carry licenses, valid when the holder is actually engaged in a work assignment as a security guard or gun custodian.
  4. Special Licenses. Special licenses are issued according to the provisions of § 400.00 of the New York State Penal Law, to persons in possession of a valid County License. The revocation, cancellation, suspension or surrender of her/his County License automatically renders her/his New York City license void. The holder of a Special License shall carry her/his County License at all times when possessing a handgun pursuant to such Special License.

   (1) Special Carry Business. This is a class of special license permitting the carrying of a concealed handgun on the person while the licensee is in New York City.

   (2) Special Carry Guard License/Gun Custodian License. These are restricted types of Special Carry Licenses. The handgun listed on the license may only be carried concealed on the licensee’s person while the licensee is actively on duty and engaged in the work assignment which formed the basis for the issuance of the license. The licensee may only transport the handgun concealed on her/his person when travelling directly to and from home to a work assignment.

§ 5-24 Gun Custodians and Carry Guards.

(a) Gun Custodian.

   (1) Once a company employs and intends to arm additional employees, a gun custodian and alternate custodian shall be designated by the company.

   (2) Each designee shall submit to the License Division an additional handgun license application for gun custodian, which shall be typed and affirmed in writing, along with two (2) color photos, 11/2 × 11/2 inches, taken within the past thirty (30) days, showing the applicant from the chest up, and the necessary fees.

   (3) The responsibilities of the gun custodian and alternate custodian are as follows:

      (i) To insure that an applicant works a minimum of twenty (20) hours per week for the company.

      (ii) To insure that an applicant commences work within fifteen (15) days of issuance of license.

      (iii) On a semiannual basis, the gun custodian or alternate custodian shall be required to submit the following reports to the License Division:

         (A) Employment Report – indicating hours worked by each licensee per month.

         (B) Employee Termination Report.

         (C) Annual Handgun Inventory Report.

      (iv) The gun custodian or alternate custodian or an authorized designee of the company shall be required to permit properly identified representatives of the New York City Police Department to examine company records pertaining to handgun licensees.

      (v) During those periods that a security guard will not be reporting to work due to illness or vacation, the gun custodian or alternate custodian shall be responsible for the security of the handgun.

      (vi) In the event of termination of employment, the custodian or alternate custodian shall see to the immediate surrender of the licensee’s handgun license to the New York City Police Department License Division and return of the handgun to the company.

      (vii) In the event of a licensee’s death, the gun custodian or alternate custodian is responsible for the security of the handgun and for the immediate notification, in writing, to the New York City Police Department License Division.

      (viii) Where a licensee becomes involved in an incident or suffers a condition which shall be reported to the License Division and/or the precinct of occurrence pursuant to subdivision (b) of this section, the gun custodian or alternate custodian shall ensure that such report is made immediately.

   (4) When appearing at the License Division to pick up a license, an applicant shall present a handgun assignment letter from the gun custodian or alternate custodian. If no handgun is available from the company handgun inventory, the gun custodian or alternate custodian shall request, in writing, a purchase order by following the rules set forth in 38 RCNY § 5-25, “Handgun Purchase Authorizations,” to obtain a new handgun.

   (5) The purchase order shall be valid for only thirty (30) calendar days from the date of issuance.

   (6) After the gun custodian or alternate custodian has purchased the handgun, s/he shall return to the License Division within 72 hours to have the handgun inspected. This handgun shall be unloaded in a locked container and accompanied by the purchase order authorization and a photocopy of the bill of sale. This handgun may not be carried or transported except as indicated in this paragraph before it has been inspected.

   (7) If the gun custodian or alternate custodian makes her/his purchase from other than an authorized dealer, the seller shall be either a New York City or New York State licensee, Police Officer or a Peace Officer.

   (8) A handgun may be replaced by requesting permission, in writing, from the Division Head, License Division.

  1. Carry Guard Licensee.

   (1) This license is restricted to the days and hours that the licensee is actually engaged in employment, or when a licensee is travelling from her/his residence to employment, or from employment to her/his residence. These restrictions shall be strictly interpreted by the New York City Police Department and violation of these rules shall result in the immediate suspension of the pistol license. This means that the handgun may be carried only when the licensee is actually engaged in employment by the security company the name of which appears on the face of the license. This does not permit “freelancing” on the licensee’s day off. The handgun may only be carried from the licensee’s residence as listed on the application, to the licensee’s place of employment or assignment for that particular day. The licensee may carry her/his handgun from employment back to her/his residence. This means that there shall be no unreasonable delay in returning to the licensee’s residence where the handgun shall be secured.

      Example: If the licensee does not intend to stay at her/his residence the evening prior to working at her/his place of assignment, s/he will be obligated to return home to pick up her/his handgun just prior to going to work. Carrying her/his handgun with her/him the entire evening preceding her/his next work day is a distinct violation of license restrictions. Example: If the licensee finishes a 4 p.m. to midnight shift and takes action involving the handgun at 3:30 a.m. in a local tavern, s/he is in violation of license restrictions and the New York State Penal Law.

   (2) A licensee has the responsibility of making an immediate report to the Division Head, License Division, the precinct where the incident occurred, and the gun custodian or alternate custodian in the following instances:

      (i) Loss or theft of handgun.

      (ii) Discharge of handgun (other than practice at an authorized small arms range/shooting club).

      (iii) Loss or theft of handgun license.

      (iv) Improper use/safeguarding of handgun(s).

      (v) Public display of an unholstered handgun.

   (3) An immediate report shall be made in the following instances to the Division Head, License Division and the gun custodian or alternate custodian:

      (i) Change of residence.

      (ii) Mutilation, alteration or destruction of handgun license.

      (iii) Arrest, indictment, summons other than a traffic summons, or conviction in any jurisdiction; suspension or ineligibility order issued pursuant to § 530.14 of the New York State Criminal Procedure Law or § 842-a of the New York State Family Court Act.

      (iv) Receipt of psychiatric treatment or treatment for alcoholism or drug abuse, or the presence or occurrence of any disability or condition that may affect the ability to safely possess or use a handgun.

      (v) Licensee is or becomes the subject or recipient of an order of protection or a temporary order of protection.

   (4) The license shall be in the possession of the licensee at all times while the licensee is carrying the handgun.

   (5) Misconduct or misuse of the purpose for which this license is issued may result in the suspension or revocation of the license.

   (6) A handgun licensee is authorized to use only the handgun that is endorsed on her/his license.

  1. Failure to comply with all of the above conditions set forth herein may result in the suspension, revocation, or cancellation of any/or all handgun licenses issued to employees of the subject company.

§ 5-25 Handgun Purchase Authorizations.

(a) The licensee may not obtain a handgun without prior written authorization from the Division Head, License Division. This authorization shall be provided in the nature of a "Handgun Purchase Authorization" form. The following are the rules concerning handgun acquisition:

   (1) The “Handgun Purchase Authorization” form is valid only for thirty (30) calendar days from the issuance date.

   (2) Pursuant to New York City Administrative Code § 10-311(a), it shall be unlawful for any person or business enterprise to dispose of any handgun which does not contain a safety locking device, defined as a design adaptation or attachable accessory that will prevent the use of the weapon by an unauthorized user. The following types of safety locking devices will be deemed to comply with this provision:

      (i) a trigger lock, which prevents the pulling of the trigger without the use of a key; or

      (ii) a combination handle, which prevents the use of the weapon without the alignment of the combination tumblers; or

      (iii) a detachable or non-detachable locking device, composed primarily of steel or other metal of significant gauge to inhibit breaking, utilizing a metallic key or combination lock, rendering the weapon inoperable until the locking device is removed by an authorized person.

   (3) Pursuant to New York City Administrative Code § 10-311(b), it shall be unlawful for any licensed manufacturer, licensed importer, or licensed dealer to dispose of any handgun in New York City unless it is accompanied by the following warning, which shall appear in conspicuous and legible type in capital letters, and which shall be printed on a label affixed to the handgun and on a separate sheet of paper included within the packaging enclosing the handgun: “THE USE OF A LOCKING DEVICE OR SAFETY LOCK IS ONLY ONE ASPECT OF RESPONSIBLE WEAPON STORAGE. ALL WEAPONS SHOULD BE STORED UNLOADED AND LOCKED IN A LOCATION THAT IS BOTH SEPARATE FROM THEIR AMMUNITION AND INACCESSIBLE TO CHILDREN AND ANY OTHER UNAUTHORIZED PERSONS.”

   (4) Pursuant to New York City Administrative Code § 10-311(c), any person who applies for and obtains authorization to purchase, or otherwise lawfully obtains, a handgun shall be required to purchase or obtain a safety locking device at the time s/he purchases or obtains the handgun.

   (5) Pursuant to New York City Administrative Code § 10-311(d), the City of New York and its agencies, officers or employees shall not be liable to any party by reason of any incident involving, or the use or misuse of a safety locking device that may have been purchased in compliance with these rules.

   (6) Once the licensee has purchased the handgun, s/he shall return to the License Division – Room 152, One Police Plaza, New York, New York 10038, within 72 hours to have the handgun and safety locking device inspected. The handgun may not be utilized before it has been inspected by License Division personnel and entered on the license.

   (7) Handgun inspections are conducted only between the hours of 12 to 2 p.m., Monday through Friday.

      Note: The License Division is closed on all legal holidays.

   (8) The licensee may only purchase a handgun from the following:

      (i) A licensed New York State Firearms Dealer.

      (ii) The holder of a current, valid, New York State, or New York City Handgun License.

      (iii) A New York State or New York City Police Officer or Peace Officer, as defined under the New York State Criminal Procedure Law.

      (iv) Estate of deceased New York City/New York State handgun licensee.

   (9) If the licensee purchases a handgun from a licensed New York State Firearms Dealer, s/he shall submit the following documents when s/he presents the handgun for inspection:

      (i) Completed “Handgun Purchase Authorization” form.

      (ii) Original Bill of Sale and a clear carbon copy or photocopy of same.

   (10) If the licensee purchases a handgun from the holder of a valid New York State or New York City handgun license, s/he shall also submit the following documents when s/he presents the handgun for inspection:

      (i) Completed “Handgun Purchase Authorization” form.

      (ii) A signed and notarized Bill of Sale and a clear photocopy by the seller which includes the following information: make, model, calibre, and serial number of handgun sold; Seller’s: name, address, license number; Buyer’s: name, address, license number, date of sale.

      (iii) Clear photocopy of the seller’s valid, current Handgun License, listing the handgun to be purchased thereon. The front and back of the license shall be photocopied.

   (11) If the licensee purchases a handgun from a New York State or New York City Police Officer or Peace Officer, s/he shall submit the following documents when s/he presents the handgun for inspection:

      (i) Completed “Handgun Purchase Authorization” form.

      (ii) A signed and notarized Original Bill of Sale and a clear photocopy. Bill of Sale shall include: date of sale; Seller’s: name, address, agency, including command, and shield number; Buyer’s: name, address, license number; make, model, calibre and serial number of handgun.

   (12) The aforementioned transaction shall not be permitted if the seller is a New York City Police Officer who has not complied with Police Department guidelines regarding the sale of firearms to a handgun licensee.

   (13) If the seller is a Police Officer or Peace Officer from a jurisdiction other than New York City, the License Division requires prior written notification as to the seller, so that verification of employment, etc., can be obtained. This information shall be listed in the “Handgun Purchase Authorization” request submitted by licensee.

   (14) If the licensee wishes to purchase a handgun from the Estate of a deceased New York State/New York City licensee, s/he shall provide the below specified documents prior to obtaining a “Handgun Purchase Authorization” form. This transaction shall be conducted in person at the License Division, Room 152, between the hours of 9 a.m. and 12 noon, Monday through Thursday only.

      (i) A written request for purchase authorization for the desired handgun(s) including make, model, calibre and reason for request; the licensee’s name, address, and license number.

      (ii) The license is required for this transaction.

      (iii) A copy of the voucher for the handgun(s).

      (iv) The decedent’s license, if not previously surrendered, showing registration of the handgun(s) in question.

      (v) A copy of the death certificate.

      (vi) If there is a Will: The License Division requires a short certificate of Letters Testamentary, that gives the Executor or Executrix the authority to dispose of the property. Letters can be obtained from the Surrogate’s Court, of the borough in which the deceased lived.

      (vii) If there is no Will: The License Division requires a short certificate of Letters of Administration that gives the administrator the authority to dispose of the property. Letters can be obtained from the Surrogate’s Court, of the borough in which the deceased lived.

      (viii) A notarized Bill of Sale from the Executor or Administrator of the decedent’s estate, indicating the weapon, make, model, calibre and serial number, and stating that they are being sold to: the licensee’s name, address and license number.

      (ix) Once purchased, the handgun shall be presented for inspection within seventy-two (72) hours; Monday through Friday 12 to 2 p.m.

  1. New licensees. A “Handgun Purchase Authorization” form shall be issued to the licensee with her/his new handgun license. As indicated previously this form is only valid for thirty (30) calendar days from the date of issuance.

   (1) If the licensee does not purchase a handgun within the specified period of time, s/he shall within ten (10) calendar days of the expiration date of the “Handgun Purchase Authorization” form, surrender said form and her/his handgun license to the License Division Issuing Unit.

   (2) The license is only valid if there is a handgun listed thereon.

   (3) Requests for extensions for Handgun Purchase Authorizations shall be made by written request to the Division Head, License Division.

  1. Purchasing an additional handgun.

   (1) Requests for the purchase of an additional handgun shall be made in writing to the License Division – Issuing Unit – One Police Plaza, Room 152, New York, New York 10038. Pre-printed request forms are available at the Reception Desk in Room 152.

   (2) The written request shall include: the licensee’s name, address and license number, and the make, model and calibre of the handgun s/he wishes to purchase.

   (3) The licensee shall be notified in writing of the approval or disapproval of her/his request for an additional handgun. If the request has been approved, the licensee shall receive by mail, a “Notice of Handgun Purchase Authorization Approval.” To receive the purchase document the licensee shall appear at the License Division, Room 152, by the date indicated on the notice. The licensee shall bring the approval notice and her/his license with her/him to receive her/his purchase document.

   (4) Purchase documents are issued only between the hours of 9 a.m. to 12 noon, Monday through Thursday.

      Note: The License Division is closed on all legal holidays.

   (5) “Handgun Purchase Authorizations” shall be returned to the License Division within ten (10) calendar days of their expiration date. Failure to return the document within the specified time shall result in the suspension and/or revocation of the handgun license(s).

   (6) All purchasers of handguns shall also be required to prepare a “Handgun Index Card,” at the License Division.

  1. Number of handguns allowed on a handgun license.

   (1) When the total number of handguns possessed by licensee(s) residing in or located in the same household/business exceeds four, the licensee(s) shall utilize a safe when handguns are stored at the premises.

   (2) Requests for handguns in excess of four shall not be entertained without proof of the ownership of a safe in which the handguns shall be safeguarded when not in use. Proof of ownership consists of a Bill of Sale for the safe and two color photos of the safe, one with the door open and one with the door closed.

   (3) The Division Head, License Division reserves the right to accept or reject the type of safe proposed for safeguarding the handguns.

   (4) The number of handguns allowed under each type of handgun license is listed below. Requests for additional handguns shall be reviewed on an individual basis. More than four handguns requires satisfactory evidence of safeguarding to prevent theft, as approved by the Division Head, License Division – see above.

      (i) Carry Business and Special Carry Business – Two handguns. The Division Head of the License Division may in her/his discretion limit to one the number of handguns that appear on the carry handgun license when the licensee’s needs do not require possession of two handguns.

      (ii) Limited Carry Business – One handgun.

      (iii) Carry Guard and Special Carry Guard – One handgun.

      (iv) Gun Custodian – Number of handguns shall be determined by the Division Head, License Division, consistent with the demonstrated needs of the applicant.

      (v) Premises Business – One handgun.

      (vi) Premises Residence – One handgun.

  1. Requests for additional handguns for “Special Handgun Licenses.”

   (1) Holders of “Special Handgun Licenses” shall comply with the purchase authorization request guidelines of the county in which they hold their basic handgun license. Once the addition has been made to their basic County License, a request to add the handgun to their New York City Special License may be made in writing to the Division Head, License Division. If the Division Head, License Division approves the request, the licensee shall be notified when to report to the License Division to effect the addition. The following documents shall be required at that time:

      (i) The basic County License.

      (ii) A copy of the county Handgun Purchase Authorization form.

      (iii) A copy of the Bill of Sale.

      (iv) The New York City Special Handgun License.

   (2) Inquiries concerning this type of transaction may be made to the Issuing Unit at telephone numbers (212) 374-5522 or 5523.

§ 5-26 Disposal of a Handgun Listed on the License.

(a)  Any person lawfully in possession of a handgun who disposes of the same without first notifying the License Division in writing shall be guilty of a Class A Misdemeanor in accordance with the provisions of New York State Penal Law § 265.10(7). Pursuant to New York City Administrative Code § 10-311(a), it shall be unlawful for any person or business enterprise to dispose of any handgun which does not contain a safety locking device, defined as a design adaptation or attachable accessory that will prevent the use of the weapon by an unauthorized user. The following types of safety locking devices will be deemed to comply with this provision:

   (1) a trigger lock, which prevents the pulling of the trigger without the use of a key; or

   (2) a combination handle, which prevents the use of the weapon without the alignment of the combination tumblers; or

   (3) a detachable or non-detachable locking device, composed primarily of steel or other metal of significant gauge to inhibit breaking, utilizing a metallic key or combination lock, rendering the weapon inoperable until the locking device is removed by an authorized person.

      Note: The license becomes invalid if the licensee sells the one and only handgun on her/his license. Should the licensee wish to sell it without cancelling her/his license, s/he shall first follow the instructions to add a handgun.

  1. Pursuant to New York City Administrative Code § 10-311(b), it shall be unlawful for any licensed manufacturer, licensed importer, or licensed dealer to dispose of any handgun in New York City unless it is accompanied by the following warning, which shall appear in conspicuous and legible type in capital letters, and which shall be printed on a label affixed to the handgun and on a separate sheet of paper included within the packaging enclosing the handgun: “THE USE OF A LOCKING DEVICE OR SAFETY LOCK IS ONLY ONE ASPECT OF RESPONSIBLE WEAPON STORAGE. ALL WEAPONS SHOULD BE STORED UNLOADED AND LOCKED IN A LOCATION THAT IS BOTH SEPARATE FROM THEIR AMMUNITION AND INACCESSIBLE TO CHILDREN AND ANY OTHER UNAUTHORIZED PERSONS.”
  2. Pursuant to New York City Administrative Code § 10-311(c), any person who applies for and obtains authorization to purchase, or otherwise lawfully obtains, a handgun shall be required to purchase or obtain a safety locking device at the time s/he purchases or obtains the handgun.
  3. Pursuant to New York City Administrative Code § 10-311(d), the City of New York and its agencies, officers or employees shall not be liable to any party by reason of any incident involving, or the use or misuse of a safety locking device that may have been purchased in compliance with these rules.
  4. The buyer may only be a:

   (1) Licensed New York State Firearms Dealer.

   (2) A New York State/New York City Handgun License Holder.

   (3) A New York State/New York City Police Officer or Peace Officer.

  1. If the licensee sells to a licensed New York State Firearms Dealer the following documentation shall be required to process the transaction:

   (1) The “Original Bill of Sale” from the dealer and photocopy.

   (2) The “Bill of Sale” shall show the Dealer’s License number, name, address; the make, model, calibre and serial number of the handgun sold; the licensee’s name, address, license number and expiration date of the license; the date of sale; the bill shall clearly indicate that the Dealer purchased the handgun(s).

   (3) The licensee shall appear at the License Division, Room 152, with her/his license to process this transaction.

  1. If the licensee sells to a New York State/New York City Handgun license holder, the following documentation shall be required to process the transaction:

   (1) An “Original Bill of Sale,” signed by the seller and the purchaser, with both signatures notarized.

   (2) The “Bill of Sale” shall include: the seller’s name, address and license number, expiration date of license; the purchaser’s name, address, license number and expiration date; the make, model, calibre, and serial number of the handgun(s) sold, the date of sale.

   (3) A copy of the purchaser’s handgun license, front and back.

   (4) A copy of the buyer’s “Handgun Purchase Authorization form.”

   (5) The licensee shall be required to appear at the License Division – Room 152, with her/his license, to process this transaction.

  1. Once the licensee has sold her/his handgun(s), s/he shall appear in person to delete them from her/his license within ten (10) calendar days of the transaction.
  2. If the licensee wishes to sell her/his handgun to a New York State/New York City Police Officer or Peace Officer the following documentation shall be required to process the transaction:

   (1) A notarized “Bill of Sale” showing the make, model, calibre and serial number of the handgun sold; the name, address, shield number, Agency and Command of the Police Officer/Peace Officer. The bill of sale shall be signed by both the seller and the purchaser, dated, and each signature shall be notarized.

   (2) If the purchaser is a New York City Police Officer or Peace Officer, the License Division requires prior written notification relative to the purchaser so that verification of employment, etc., can be obtained.

   (3) Once the licensee has sold her/his handgun s/he shall appear at the License Division, Room 152, with her/his license and the aforementioned documentation to process this transaction.

  1. If the licensee wants to transfer her/his handgun(s) to another New York State/New York City license s/he also possesses s/he shall make a written request to the Division Head, License Division. The request shall include the following information:

   (1) The licensee’s name, address and telephone number.

   (2) The license number; make, model, calibre, and serial number of the handgun the licensee wishes transferred; and the number of the license to which the licensee wants to transfer the handgun.

   (3) The licensee shall enclose copies of both licenses front and back.

   (4) The licensee shall receive a written response. If the request is approved, the licensee shall have to appear at the License Division with both licenses to process the transaction.

  1. If the licensee wishes to sell all of her/his handguns and cancel her/his license, s/he may do so by submitting the applicable documentation and her/his handgun license, by mail. (See Cancellation Procedures below.)

§ 5-27 Cancellation of the Handgun License.

(a) Anyone cancelling a New York City Handgun License shall:

   (1) Legally dispose of handgun(s). To legally dispose of her/his handgun(s) the licensee shall either:

      (i) Voucher the handgun at her/his local precinct, or

      (ii) Sell to a licensed Firearms Dealer, or

      (iii) Sell to a Police Officer or Peace Officer, or

      (iv) Transfer handgun(s) to another license s/he may possess, if authorized to do so, or

      (v) Sell to a licensee, if the licensee is authorized to purchase.

   (2) Return license to the License Division and attach a copy of voucher or Bill of Sale.

   (3) Attach letter briefly giving reason for cancellation.

  1. If the licensee intends to relocate out of State, the License Division requests verification from the local authorities of that particular jurisdiction that the licensee has notified them that s/he is in possession of the handgun listed on her/his N.Y. license.
  2. To document proper disposal of the handgun, follow the rules listed in 38 RCNY § 5-26 concerning “Disposal of a Handgun Listed on the License.”
  3. All documents and the license shall be returned to the License Division – Cancellation Unit – One Police Plaza, Room 152, New York, New York 10038, within ten (10) calendar days of the disposal of handguns, relocation, etc. If the licensee has any questions concerning these procedures s/he may call telephone number (212) 374-5531 or 5532.

   Note: If the licensee relocates out of New York City or New York State, s/he shall immediately contact her/his new local Police Department and receive instructions on how to legally possess her/his handgun(s) in their jurisdiction.

§ 5-28 Renewal of the Handgun License.

The licensee is required to renew her/his handgun license every three (3) years. The license expires on the licensee’s birthday.

  1. The renewal process generally begins sixty (60) calendar days prior to the licensee’s month of birth. The licensee shall receive her/his renewal application, instructions, and other required forms and her/his invalidated license in the mail. As part of the renewal process, the License Division may require that the licensee produce all licensed handguns for inspection, either using a random selection procedure or when a review of the renewal package discloses the need for such an inspection, as directed by the Commanding Officer, License Division. The licensee shall receive appropriate instructions and a form Affidavit of Handgun Possession, to be completed and affirmed in writing as part of the renewal package. If so directed, the licensee shall transport all licensed handguns to the License Division, One Police Plaza, Room 152, New York, New York or otherwise make the handguns available for inspection, in the manner directed by the instructions. The licensee shall examine the license, complete all required forms including providing color photos, forwarding fees (payable by certified check or money order only), etc., and return the renewal package to the License Division by mail, as soon as possible. Upon receipt of the renewal material, the License Division shall process the renewal and return the validated license to the licensee by mail.
  2. The license is not valid unless stamped and sealed by the License Division. The licensee shall sign her/his license in the designated area on the back of the license.
  3. The renewal application and related documents shall be mailed to the address on the license. If the licensee has moved and has not notified the License Division, the renewal documents shall be returned to the License Division and her/his license shall be cancelled for failure to notify the License Division of an address change (see Address Change – 38 RCNY § 5-29).
  4. If the licensee has not received her/his renewal documents thirty (30) calendar days prior to her/his birth date, s/he shall contact the Renewal Unit at telephone number (212) 374-5531, or 5532, for instructions.
  5. If the licensee has extenuating circumstances which prevent her/him from renewing prior to her/his birth date, s/he shall submit a notarized letter to the Renewal Unit explaining the circumstances. The License Division shall contact the licensee and advise her/him on how to proceed. However, if the licensee is not notified by the License Division by her/his birth date, s/he shall voucher her/his handgun(s) at her/his local precinct until the matter is resolved.
  6. Licensees shall carefully read and comply with the instructions on their renewal documents.
  7. Incomplete or incorrectly prepared renewal documents shall not be processed, and shall be returned to the licensee for completion/correction, with a letter indicating the problem, information omitted, etc. Consequently, if as a result of the licensee’s error, the licensee fails to submit the required material, fees, etc., by her/his birthday, s/he shall be required to voucher her/his handgun(s) at her/his local precinct until the renewal process is completed.
  8. If the licensee’s birthday has passed and s/he has not yet renewed, s/he shall immediately voucher her/his handgun(s) at her/his local precinct. The License Division shall not process any late renewals unless a copy of the voucher is attached to the complete renewal application which is to be submitted by mail.
  9. Failure to renew the license on time is cause for cancellation of the license.
  10. Possession of any unlicensed handgun is a violation of Article 265 of the New York State Penal Law, and may subject the licensee to arrest.
  11. Renewal fees shall be in the form of a money order or a certified check made payable to the N.Y.C. Police Department. Cash and personal checks shall not be accepted.

§ 5-29 License Amendments.

(a) Originals of all verifying documents shall be presented along with photocopies. After the original documents have been reviewed, they shall be returned to the licensee.

   (1) Premises Residence License – address changes.

      (i) If the licensee has moved, s/he shall change the address listed on her/his license. To do so the licensee shall come to the License Division no later than ten (10) calendar days after her/his change becomes effective. S/he shall bring her/his license and verifying documents such as current utility bills. Any and all verifying documents shall include the licensee’s name and the licensee’s new address.

      (ii) If the licensee has relocated outside of New York City, s/he shall follow the instructions for “Cancellation.”

   (2) All Carry/Premises Business Licenses – address changes. If the licensee’s business name, principals, corporate officers (if a corporation), and the nature of her/his business remain the same, but s/he has changed her/his business location, the licensee shall within ten (10) calendar days, provide the License Division with a copy of a current utility bill verifying the name and new address of the business, and other verifying documents substantiating the move. This transaction shall be conducted in person. If the nature of the licensee’s business has changed, s/he shall follow the instructions for “Cancellation.”

   (3) Premises/business name changes.

      (i) If the licensee has a Premises Business License and changes her/his business name, but her/his business is of the same nature and at the same location, s/he shall provide the License Division with Amended Business Certificate, verifying documents, etc., within ten (10) calendar days.

      (ii) If the licensee is an employee of a company, in addition to the documentation required in subparagraph (i) above, the licensee shall submit a letter on company stationery signed by the company president or owner, which states that the licensee is still employed by them in the same capacity for which the license was issued, and that the licensee still requires the handgun license for her/his employment.

      (iii) If the nature of the licensee’s business has changed s/he shall follow the instructions for Cancellation.

   (4) Carry Business License name changes. If the licensee has a Carry Business License and s/he changes her/his business name – but not the nature of the business, the corporate officers, or the location, s/he shall contact the License Division immediately at telephone #(212) 374-5531 or 5532 for instructions on how to proceed.

   (5) “Special” Carry Handgun License Changes. Licensees shall call telephone number (212) 374-5531 or 5532, for specific instructions. However, the licensee’s basic County Handgun License shall be amended prior to requesting any amendment of her/his New York City “Special Handgun License.”

   (6) Individual name changes.

      (i) If the licensee has changed her/his name because of marriage, registration of a domestic partnership, or for other reasons, s/he shall provide the License Division with a Marriage Certificate, affidavit or legal court documents verifying the change. Where an affidavit is provided, the Department may require additional evidence that the affiant has changed her/his name, including but not limited to a certificate of domestic partnership registration, credit cards issued to the affiant, or bills addressed to the affiant. For purposes of this subparagraph, “domestic partnership” shall mean a domestic partnership registered in accordance with applicable law with the City Clerk, or a domestic partnership registered with the former City Department of Personnel pursuant to Executive Order 123 during the period August 7, 1989 through January 7, 1993. (The records of domestic partnerships registered at the former City Department of Personnel have been transferred to the City Clerk.)

      (ii) The aforementioned document(s) shall be submitted in the original, with a copy attached. The License Division shall return the original document to the licensee.

      (iii) The licensee shall appear in person at the License Division – Room 152, with the required documents and her/his license to effect this change.

  1. New business.

   (1) If the licensee has changed her/his business from the one for which s/he was originally licensed, or her/his current business has had a change of name and/or corporate officers, owners, etc., or the nature of her/his business or responsibilities have changed; or if s/he has ended her/his association with the business, i.e., retired, terminated, resigned, the licensee shall within ten (10) calendar days of the change surrender her/his handgun(s) and license to her/his local precinct for safekeeping. Her/his license may be subject to cancellation. (See 38 RCNY § 5-27 – Cancellation of the Handgun License.) Questions may be directed to the Incident Section (212) 374-5538 or 5539.

   (2) Handgun licenses are not transferable to new businesses. The licensee shall re-apply for a new handgun license for her/his new business.

   (3) New applications shall not be accepted without proof of the surrender of the old license and proof of the proper disposal or surrender of the handgun(s).

   (4) Failure to make proper notification of any of the above changes to the License Division shall result in immediate cancellation of the license.

§ 5-30 Incidents Involving Suspension.

(a) Whenever a handgun licensee is involved in an "Incident," the licensee shall immediately report said incident to the License Division's Incident Section – Telephone number (212) 374-5538 or 5539. Certain "Incidents" shall also be reported to the "Precinct of Occurrence" (where the incident took place).
  1. The following “Incidents” shall be immediately reported to the “Precinct of Occurrence” and the License Division Incident Section:

   (1) Lost handgun(s).

   (2) Stolen handgun(s).

   (3) Discharge of handgun – other than at an authorize small arms range/shooting club.

   (4) Lost handgun license (see lost/stolen license).

   (5) Stolen handgun license (see lost/stolen license).

   (6) Improper use/safeguarding of handgun(s).

   (7) Public display of an unholstered handgun.

  1. The following “Incidents” shall be immediately reported to the License Division’s Incident Section:

   (1) Arrest, summons (except traffic infractions), indictment, or conviction of licensee, in any jurisdiction, federal, state, local, etc.; suspension or ineligibility order issued pursuant to § 530.14 of the New York State Criminal Procedure Law or § 842-a of the New York State Family Court Act.

   (2) Admission of licensee to any psychiatric institution, sanitarium, and/or the receipt of psychiatric treatment by licensee.

   (3) The receipt of treatment for alcoholism or drug abuse by licensee.

   (4) The presence or occurrence of a disability or condition that may affect the handling of a handgun, including but not limited to epilepsy, diabetes, fainting spells, blackouts, temporary loss of memory, or nervous disorder.

   (5) Licensee is or becomes the subject or recipient of an order of protection or a temporary order of protection.

   (6) Alteration, mutilation or destruction of handgun license.

      Note: The above “Incidents” shall be reported if they were not previously disclosed by licensee to the License Division, or if previously disclosed, circumstances have changed.

  1. In addition to the aforementioned “Incidents,” whenever the holder of a handgun license becomes involved in a situation which comes to the attention of any police department, or other law enforcement agency, the licensee shall immediately notify the License Division’s Incident Section of the details.
  2. All “Incidents” shall be reviewed and evaluated by License Division investigators. If, as a result of the “Incident” the License Division finds it necessary to suspend or revoke the license, the licensee shall receive notification by mail. Said notification shall advise the licensee of the status of her/his license and the reason for the suspension/revocation.
  3. The licensee shall be directed to immediately voucher for safekeeping all handguns, rifles and/or shotguns listed on any license and any rifle/shotgun permit s/he possesses. After the handguns, rifles and/or shotguns have been vouchered, the licensee shall immediately send her/his handgun license and any rifle/shotgun permit s/he possesses and a copy of the “Voucher” to the License Division’s Incident Section.
  4. Failure to comply with these directions is a violation of the New York State Penal Law, and shall result in summary action by the Police Department. Possession of an unlicensed handgun is a crime. If a license is suspended or revoked, the handgun(s) listed thereon are no longer considered licensed. Failure to comply with the License Division’s directions may result in the permanent revocation of the licensee’s handgun license.
  5. If her/his license is suspended or revoked, the licensee shall be issued a written Notice of Determination Letter, which shall state in brief the grounds for the suspension or revocation of the license and notify the licensee of the opportunity for a hearing. The suspended/former licensee has the right to submit a written request for a hearing to appeal the decision. This request shall be made within thirty (30) calendar days of the date of the Notice of Determination Letter. The written request shall be submitted to the Commanding Officer, License Division, One Police Plaza, Room 110A, New York, New York 10038. A licensee whose arrest or summons resulted in suspension or revocation of her/his license may only submit a written request for a hearing within thirty (30) calendar days after the termination of the criminal action, as defined in New York State Criminal Procedure Law § 1.20(16)(c). If the suspension or revocation resulted from the licensee becoming the subject of an order of protection or a temporary order of protection, the licensee may only submit a written request for a hearing within thirty (30) calendar days after the expiration or voiding of the order of protection or temporary order of protection. If the suspension or revocation was related to both a criminal action and an order of protection or temporary order of protection, then the later of the two waiting periods shall apply. However, requests for hearings shall not be entertained, nor shall a hearing be scheduled until the licensee:

   (1) Complies with the provisions of subdivision (f) above; and

   (2) Provides a Certificate of Final Disposition, if applicable; and

   (3) Provides a Certificate of Relief from Disabilities, if applicable, to the License Division.

  1. The written request for a hearing shall include:

   (1) License number.

   (2) Reason(s) for the request.

   (3) Disposition of license(s) and handgun(s).

  1. Upon receipt of the licensee’s letter, the License Division shall schedule the licensee for a hearing and notify the licensee by mail.

§ 5-31 Mutilated, Lost or Stolen Licenses.

(a) If her/his license was lost or stolen, the licensee shall report the loss/theft to the "Precinct of Occurrence" and obtain a "Complaint Report Number."

   (1) If the licensee’s license was lost, s/he shall:

      (i) Obtain a “Complaint Report Number” from the precinct of occurrence.

      (ii) Report in person to the License Division – Room 152.

      (iii) Bring a ten ($10) dollar money order or certified check. Cash and personal checks shall not be accepted. Make instrument payable to “N.Y.C. Police Department.”

      (iv) Bring two current color photos – 11/2 × 11/2 inches, front view, from the chest up, taken within the past thirty (30) days. S/he shall not wear anything which would obstruct identification, e.g., hats, sunglasses, etc.

      (v) Bring the “Complaint Report Number.”

      (vi) Bring personal identification – driver’s license, credit card, old Handgun License.

      (vii) The licensee shall be required to prepare a duplicate application and have it notarized.

   (2) If her/his license was stolen, the licensee shall:

      (i) Obtain a Complaint Report Number from the precinct of occurrence.

      (ii) Report in person to the License Division – Room 152.

      (iii) Bring two color photos – 11/2 × 11/2 inches, front view, from the chest up, taken within the past thirty (30) days. S/he shall not wear anything which would obstruct identification, e.g., hats, sunglasses, etc.

      (iv) Bring the “Complaint Report Number.”

      (v) Bring personal identification – driver’s license, credit card, old Handgun License.

      (vi) S/he shall be required to prepare a duplicate application and have it notarized.

  1. If her/his license was altered, laminated or mutilated, the licensee shall: Report in person to the License Division – Room 152 with the following:

   (1) A ten ($10) dollar money order or certified check. Cash and personal checks shall not be accepted. Make instrument payable to “N.Y.C. Police Department.”

   (2) Two color photos – 11/2 × 11/2 inches, front view, from the chest up, taken within the past thirty (30) days. S/he shall not wear anything which would obstruct identification, e.g., hats, sunglasses, etc.

   (3) S/he shall be required to prepare a duplicate application and have it notarized.

   (4) S/he shall bring with her/him the remnants of her/his license.

§ 5-32 Transfer of Records.

New York City handgun licensees who have moved out of New York City may request a transfer of their records to their new licensing jurisdiction, in accordance with § 400.00, Subdivision 5, of the New York State Penal Law.

  1. This request shall be made in writing by the new licensing agency and accompanied by a five ($5.00) dollar money order, made payable to the N.Y.C. Police Department.
  2. The request shall not be processed unless the License Division has received the licensee’s New York City handgun license; documentation of the legal disposition of her/his handgun(s), i.e., Bill Of Sale or Voucher (see Cancellation and Disposal of Handgun(s) – 38 RCNY §§ 5-26 and 5-27), her/his new address, and the name and address of her/his new licensing authority.
  3. Requests for a records transfer may be mailed to the New York City Police Department License Division – Records Unit, One Police Plaza, Room 152, New York, New York 10038. The License Division shall process her/his request as expeditiously as possible once the License Division has received the necessary information, documentation, fee, etc. If the licensee has any questions concerning this matter contact (212) 374-5522 or 5523.

§ 5-33 Familiarity with Rules and Law.

All licensees shall be required to sign an acknowledgment that they shall be responsible for compliance with all laws, rules, regulations, standards, and procedures promulgated by federal, state, or local jurisdictions, and by federal, state, or local law enforcement agencies, that are applicable to this license. The License Division shall provide the licensee with the acknowledgment statement. This acknowledgment statement shall be affirmed in writing. Failure to affirm the acknowledgment statement shall result in denial of the license application.

Chapter 6: Use of Amber Lights By Volunteer Civilian Patrol Members

§ 6-01 Possession and Use of Amber Lights by Volunteer Civilian Patrol Members.

(a) Only a member of a Civilian Observation Patrol sponsored by the New York City Police Department shall be eligible for a permit to possess and use an amber light pursuant to these Regulations.
  1. The Deputy Commissioner in charge of Community Affairs is responsible for the administration of the amber light program.
  2. Applications to obtain amber light permits will be available at and processed through the precinct in which the patrol is located.
  3. The permit to possess and use an amber light will be an authorization stamped on a civilian observation patrol identification card.
  4. The only type of amber light that is permitted is one that is portable with a subdued yellow light either placed on the dashboard or roof of a civilian observation patrol car by suction cups or magnets. Permit holders may possess only one such amber light.
  5. The permit to possess and use an amber light on a vehicle is non-transferable and automatically expires when the holder ceases to be a member of the Civilian Observation Patrol Group listed on his application.
  6. Only a steady non-revolving amber light will be operated while the volunteer is involved in patrol observation duty except a rotating or revolving amber light may be used under the following circumstances:

   (1) At the scene of accidents.

   (2) At the scene of any incident when the light is necessary to alert oncoming vehicle or to summon assistance.

   (3) When necessary to alert persons of the imminent danger of a criminal act.

  1. Permittees will obey all traffic regulations at all times while on patrol and all directions of a police officer with respect to the use of amber lights. A permit must be produced when requested by a police officer.
  2. Failure to abide by these Rules and Regulations may result in the suspension or revocation of a permit to possess an amber light.

Chapter 7: Radio Receiving Set Permits

§ 7-01 Introduction.

Radio receiving set permits are issued pursuant to § 397 of the New York State Vehicle and Traffic Law and § 10-102 of the New York City Administrative Code. Violation of these statutes may result in the arrest and/or summons of the violator.

§ 7-02 Permit Requirement.

It shall be unlawful for any person to equip an automobile with a radio receiving set capable of receiving signals on the frequencies allocated for police use, or use or possess an automobile so equipped, without a permit issued by the Police Commissioner, or designee in his or her discretion, and in accordance with such rules as the Commissioner may prescribe (Administrative Code § 10-102).

§ 7-03 Application Process.

(a) Basic procedure. To have his application for a radio receiving set permit processed, an applicant must comply with the following instructions:

   (1) Complete application for radio receiving set permit; comply with instructions therein.

   (2) Applications must be typed.

   (3) Applications must be notarized.

   (4) Applications which are incorrectly prepared or incomplete will not be accepted.

   (5) Applicants must submit a “Letter of Necessity” with their application.

      (i) This letter must be from the applicant’s employer, on business stationery and contain a description of the applicant’s duties as relates to his need for the permit.

      (ii) The letter must also contain a statement indicating that the applicant is familiar with the provisions of § 10-102 of the Administrative Code; with § 397 of the Vehicle and Traffic Law; and with the NYC Police Department’s rules for “Radio Receiving Set Permits.”

      (iii) The letter must also state that the applicant’s employer will ensure the immediate removal of the receiving set in the event of the termination of the applicant’s employment; or upon the occurrence of any aggravating events, “incidents.” (See Terms and Conditions – 38 RCNY § 7-04.)

   (6) Photos. Two recent passport size photos 1 1/2” × 1 1/2”, front view, from the chest up are required. No facial obscurences are permitted, i.e., sunglasses, hats, etc.

   (7) Fees. A twenty-five dollar application fee must be in the form of a money order or certified check made payable to the NYC Police Department. Cash and uncertified checks will not be accepted. A twenty-nine dollar fingerprint fee must be in the form of a money order made payable to the N.Y.S. Division of Criminal Justice Services. All fees are non-refundable.

  1. Documentation and fingerprinting. Once the applicant has completed steps (1) through (7) above, he must contact the License Division (212) 374-5536 or 5537, for an appointment to submit his application and to be fingerprinted. When the applicant appears to submit his application, he must also bring the items listed below. These documents must be submitted in the original, or a copy certified by issuing agency. In addition, the applicant must submit photocopies of items (2) through (8); the Police Department will keep photocopies and return the originals to the applicant.

   (1) Completed application, requisite fees, photos, letter of necessity, etc.

   (2) Current employee identification card.

   (3) Current working press card, if applicable, issued by the N.Y.C. Police Department.

   (4) Driver’s license with photo.

   (5) Vehicle registration and insurance card for vehicle in which the “set” is to be installed.

   (6) Proof of birth. Birth certificate, U.S. passport, or baptismal certificate.

   (7) Proof of residence. Current gas, electric or telephone bill, in the name of applicant showing the applicant’s address.

   (8) Corporate filing receipt if business is corporation; if business is a sole proprietorship, or a partnership, the applicant must submit the business certificate from the Office of the County Clerk.

   (9) If the applicant responded “Yes” on the application to the question regarding arrest history, he must explain the circumstances on a separate paper, sign and have his statement notarized. In addition, the applicant must submit a “Certificate of Disposition” for each arrest.

  1. Vehicle inspection and interview. The applicant will be contacted by his precinct, business location, for an inspection of his vehicle, and for an interview to evaluate his need for the permit. The applicant may be required to submit additional documentation to the License Division such as:

   (1) Residential utility bill.

   (2) Corporate papers, employer, including list of corporate officers and corporate filing receipt.

   (3) Federal, state or city license for business, if applicable.

   (4) Any other documentation as required.

  1. Action following notification of approval. The applicant will be notified in writing of the approval or disapproval of his application. If the application is approved the applicant must:

   (1) Contact the License Division (212) 374-5536 or 5537 for an appointment to pick up his permit.

   (2) The applicant must bring the following items with him in the original:

      (i) Approval letter.

      (ii) Current employee identification card.

      (iii) Current working press card issued by the N.Y.C. Police Department, if applicable.

      (iv) Current N.Y.S. Driver’s License.

      (v) Current residential utility bill – gas, electric, telephone.

      (vi) Bill of sale for radio receiving set listing serial number, model, and make of radio.

      (vii) Auto registration.

  1. Procedure for appeal following Notification of Disapproval. If the applicant’s application is disapproved, he may appeal the decision as follows:

   (1) Appeals must be made in writing by applicant’s employer.

   (2) Appeals must be made within thirty days of the date on the “Notice of Disapproval” letter.

   (3) Appeals from media representatives shall be made to the Deputy Commissioner for Public Information; all other appeals shall be made to the Commanding Officer, License Division.

  1. Grounds for disapproval. A material false statement on an application shall be grounds for disapproval. Applicants may be disapproved for failure to meet character requirements after a background investigation is conducted.

§ 7-04 Permit Conditions.

The radio receiving set permit is issued subject to the following conditions/terms:

  1. It is not transferable to any other person, vehicle, or place/type of employment.
  2. It is subject to suspension, revocation or cancellation for violation of the terms of the permit.
  3. The permittee may not alter or laminate his permit.
  4. The permit is valid for one year from the issuance date and will expire on the date indicated on the permit, unless otherwise rendered void.
  5. The permit is valid for the receiving set indicated thereon, and only when said “set” is installed in the vehicle indicated on the permit.
  6. The permittee must have his valid permit in his possession when operating the radio receiving set indicated thereon.
  7. The permittee may only operate the receiving set while actively engaged in employment/work assignment. It is not to be used for recreational or other non-authorized purposes.
  8. The receiving set may not be monitored by any other driver or passengers in the permittee’s vehicle unless the permittee is present, in possession of his valid permit, and is actively engaged in work assignment.
  9. If the permittee’s employment is terminated, or his permit expired, revoked, suspended or cancelled, the permittee must immediately remove the receiving set and surrender his permit to the License Division, with proof that the set has been removed from the vehicle, or that it has been rendered incapable of receiving police frequencies. A receipt from a licensed installer indicating removal or disabling of set will be accepted as “proof” of same.
  10. The radio receiving set must be permanently installed in the vehicle listed on the permit. If it is removed or the permittee wishes to replace it, the permittee must contact the License Division for instructions.
  11. If the permittee becomes involved in any of the situations, to be henceforth known as “incidents,” indicated below, he must immediately notify the License Division’s Incident Unit at telephone number (212) 374-5538 or 374-5539 for instructions. Failure to comply as indicated may result in the suspension and/or revocation of his permit.

   (1) An arrest in any jurisdiction.

   (2) Summons in any jurisdiction except parking or moving violations. However, if permittee’s driver’s license is suspended or revoked, he must notify the License Division.

   (3) Scofflaw certification of the vehicle in which the “set” is installed.

   (4) Suspension/revocation of the registration for the vehicle in which the “set” is installed; and/or cancellation/suspension of auto insurance for same.

   (5) Termination of employment; change of assignment.

   (6) Change of business, name, address, or corporate offices.

   (7) Change of residence.

   (8) Lamination, mutilation, or alteration of permit.

  1. The permittee must notify the precinct of occurrence and obtain a “Complaint Report Number” and also immediately notify the License Division – Incident Unit, if any of the below listed incidents occur:

   (1) Theft/loss of permit.

   (2) Theft/loss of radio receiving set.

  1. There will be a ten dollar replacement fee if the permittee alters, laminates, mutilates, or loses his permit. This fee must be in the form of money order made payable to the NYC Police Department. To replace his permit, the permittee must call for an appointment – (212) 374-5537 (after he has made other appropriate notifications and reports). When the permittee appears for a replacement permit, he must bring the items listed below with him:

   (1) A current photo (see photo instructions).

   (2) His current employee identification card.

   (3) His current working press card, if applicable.

   (4) The complaint report number, if applicable.

   (5) If his permit was laminated or mutilated, he must also bring the remnants of the permit with him.

   (6) If the permittee has sold/replaced the vehicle or the receiving set, or if he requires a change on his permit for another reason, he will be required to remit a replacement fee and to follow the procedures delineated above. When the permittee calls for an appointment, he should make sure that he explains the reason for the change, as he may be required to submit additional documentation.

§ 7-05 Radio Receiving Set Permit Renewals.

(a) Renewal process. The permit must be renewed on an annual basis. It is the permittee's responsibility to ensure that he begins the renewal process at least one month prior to the expiration of his permit.

   (1) To process the renewal, the permittee must contact the License Division for the renewal application form.

   (2) The completed renewal application form together with appropriate fee and documents shall be forwarded to the License Division.

   (3) The permittee will also be required to submit the following items with his renewal form:

      (i) Two recent passport size photos.

      (ii) His current employee identification card.

      (iii) His current working press card, if applicable.

      (iv) Current vehicle registration.

      (v) Current N.Y.S. Driver’s License.

      (vi) Updated “Letter of Necessity” (see 38 RCNY § 7-03(a)(5)).

   (4) The permittee will be reinterviewed and his vehicle reinspected by the Commanding Officer of the precinct in which his business is located. He will be contacted for an appointment. However, if he is not contacted by two weeks prior to the expiration of his permit, he must contact the License Division and inform them of this fact.

   (5) The permittee will be notified by mail of when to appear to complete the renewal process.

  1. Failure to renew. If the permittee fails to renew his permit by its expiration date, he must have the radio receiving set removed from his vehicle (or made inoperable) and present proof of same, prior to being allowed to renew or reapply.

Chapter 8: Sound Device Permits

§ 8-01 Definition.

Sound device. “Sound device” shall mean any radio or device or apparatus for the amplification of any sound from any radio, phonograph or other sound making or sound producing device, or any device or apparatus for the reproduction or amplification of the human voice.

§ 8-02 Applications.

(a) An application for a permit will be made at least five days prior to date upon which the sound device or apparatus is to be used or operated, except in a case of a sudden event of great public interest where applicant was unable, through no fault of his or her own, to file the application within the required time.
  1. An application must be obtained from the precinct in which the device is to be used to the greatest extent, if more than one location is involved.

   (1) Form P.D. 656-041 (Rev. 9-86-31). Sound Device Application and Permit must be completed – clearly printed or typewritten. Incomplete, incorrectly prepared, or illegible applications will not be accepted.

   (2) If sound device or apparatus is to be used at more than two locations, a typewritten letter in duplicate containing locations and time scheduled at each location, will be attached to application by applicant.

   (3) The application must also contain:

      (i) The name, address and telephone number of the applicant.

      (ii) If the application is made in behalf of a corporation, organization or association, it must be signed by an officer of the corporation, organization, or association; giving full name and title of office held.

      (iii) In addition, the applicant must provide a certified copy of the articles of incorporation, or if not incorporated, a sworn list of names and resident addresses of officers of said organization will be filed with application, unless one has already been filed with previous application and is on file at License Division.

      (iv) Applicant will describe or specify in application the volume of sound intended to be used, measured by decibels or by any other efficient method for measuring sound.

§ 8-03 Fees.

The fee for use of each sound device or apparatus is five dollars for each day, regardless of number of locations specified in application. No fee is required for a permit issued to any agency of the United States Government, State or City of New York. The fee will be required upon approval of application and be paid to the precinct of application.

§ 8-04 Approval/Disapproval Procedures.

(a) The permittee will be notified by the precinct if his application for a permit is approved. If the permit is approved the permittee will be directed to pay the fee and to pick up the permit on the morning of the event. The permittee will be given a receipt for his application fee.
  1. If his application is disapproved, the applicant will be notified. If his application is disapproved because it is for a prohibited location, or to prevent an overlapping of permits, the applicant may be offered an alternate location in the vicinity, if available.

§ 8-05 Permit Conditions.

Sound device permits are issued under the following conditions:

  1. Permit automatically expires upon termination of occasion for which it was issued and should be returned, if possible, to Commanding Officer of precinct where it was issued, for forwarding to License Division for cancellation.
  2. A permit to operate a sound device or apparatus is valid only at the location and dates designated and during the hours specified on said permit.
  3. A sound device or apparatus will be so operated as not to unnecessarily interfere with the peace and comfort of residents at or near location.
  4. A sound device or apparatus may not be used in any vehicle or other device, while it is in transit.
  5. A sound device or apparatus may not be used between the hours of 10 p.m. and 9 a.m.
  6. The permit is revocable at any time.

§ 8-06 Prohibitions.

A sound device permit will not be issued for:

  1. Any location within 500 feet of a school, courthouse or church during hours of school, court or worship, or within 500 feet of a hospital or similar institution;
  2. Any location where the Department, upon investigation, determines that conditions of vehicular or pedestrian traffic, or both, are such that use of such a device or apparatus will constitute a threat to the safety of pedestrians or vehicle operators;
  3. Any location where the Department, upon investigation, determines that conditions of overcrowding or street repair, or other physical conditions are such that use of a sound device or apparatus will deprive the public of the right to safe, comfortable, convenient and peaceful enjoyment of any public street, park or place, or constitute a threat to the safety of pedestrians or vehicle operators;
  4. Use in any vehicle or other device while it is in transit;
  5. Between the hours of 10 p.m. to 9 a.m.
  6. A permit to use a sound device or apparatus for commercial or business advertising purposes.

   Note: These Regulations do not apply to use or operation of any sound device or apparatus by any church or synagogue on or within its own premises in connection with religious rites or ceremonies.

Chapter 9: Certificate of Conduct

§ 9-01 Instructions for Obtaining a Certificate of Conduct.

An applicant for a Certificate of Conduct must apply in person at the Public Inquiry & Request Section, located at One Police Plaza, New York, New York, Room 152-A, Monday through Friday, from 9:00 A.M. to 3:00 P.M. except for legal holidays.

An applicant will be fingerprinted only at the Public Inquiry & Request Section and will be required to present a fifty ($50.00) dollar Money Order or Certified Check payable to the New York City Police Department, or a valid credit card. This fee covers fingerprinting and application processing costs. Processing takes approximately ten working days. A Certificate of Conduct may not be issued without the taking of fingerprints.

In cases where the taking of fingerprints is an impossibility due to the applicant’s physical condition, where the applicant is aged or infirm, or where other conditions exist as determined by the Commissioner that would render the taking of fingerprints a physical hardship, the Department may issue a Police Clearance Letter. Police Clearance Letters will be issued for immigration purposes only and will be issued based solely on a criminal record search using the applicant’s name and date of birth. Police Clearance Letters will not be provided directly to the applicant; instead, the Department will deliver the Police Clearance Letter to the United States Department of Homeland Security. Applicants requiring a Police Clearance Letter must pay the same fee that Certificate of Conduct applicants pay.

§ 9-02 Required Documentation.

(a) United States Citizens. A United States citizen is required to bring the following as proof of citizenship:

   (1) Valid U.S. Passport, OR

   (2) Birth Certificate AND either a valid Driver’s License or a DMV-issued Identification Card, OR

   (3) Voter’s Registration Card AND either a valid Driver’s License or a DMV-issued Identification Card, OR

   (4) Naturalization Certificate.

  1. Non-citizens. A Non-citizen is required to bring the following when making application:

   (1) Valid Passport or Alien Registration Card or Employment Authorization Card, OR

   (2) Letter from the Department of Homeland Security (United States Citizenship and Immigration Services) indicating applicant’s name, address, alien registration number and current status in this Country AND a valid U.S. government photo identification, OR

   (3) Letter from applicant’s Consulate or Attorney which contains applicant’s physical description and date of birth AND a valid U.S. government photo identification.

Chapter 10: Padlock Hearings

§ 10-01 Notice of Violation.

The owner or managing agent of a building, erection or place shall be given written notice of arrests occurring thereat for offenses which constitute a public nuisance as defined in § 10-155, Administrative Code of the City of New York. The notice shall set forth the section of law violated, the date of violation, the address and location therein at which the violation occurred, and the court, county and docket number pertaining thereto. The notice shall further state that in the event that such arrests and/or future arrests result in two or more convictions for such public nuisance violations within a twelve month period, proceedings to close the building, erection or place may be commenced.

§ 10-02 Commencement of Proceedings.

All Public Nuisance hearings shall be commenced by service of a Notice of Hearing on the owner, lessor, lessee and mortgagee (hereinafter called “respondent(s)”) of a building, erection or place wherein the public nuisance is being conducted, maintained or permitted.

  1. Service.

   (1) Service of a Notice of Hearing may be made to owners and lessors by delivering such notice to the owner or lessor or to an agent of the owner or lessor or to a person of suitable age and discretion at the residence or place of business of the owner or lessor or, if upon reasonable application such delivery cannot be completed, by affixing such notice in a conspicuous place at the owner’s or lessor’s place of business or residence or by placing it under the entrance door at either of such locations or by delivering such notice to a person employed by the owner or lessor on the premises at which the nuisance is located and, in all instances except personal delivery upon such owner or lessor by mailing the Notice of Hearing as follows:

      (i) to the person registered with the Department of Housing Preservation and Development as the owner or agent of the premises, at the address filed with such department in compliance with Article two of Subchapter four of Chapter two of Title twenty-seven of the Administrative Code; or

      (ii) to the person designated as owner of the building or designated to receive real property tax or water bills for the building at the address for such person contained in one of the files compiled by the Department of Finance for the purpose of the assessment or collection of real property taxes and water charges or in the file compiled by the Department of Finance from real property transfer forms filed with the city register upon the sale or transfer of real property; or

      (iii) to the person in whose name the real estate affected by the order of the Police Commissioner or such Commissioner’s designee is recorded in the office of the City Register or the County Clerk, as the case may be.

   (2) service of a Notice of Hearing may be made to an owner or lessor which is a corporation pursuant to section three hundred six of the Business Corporation Law.

   (3) service of a Notice of Hearing may be made to lessees (i) by delivering such notice to the lessee or to a person employed by the lessee on the premises at which the nuisance is located; or (ii) by affixing such notice in a conspicuous place to the premises at which the nuisance is located or placing a copy under the entrance door of such premises and mailing a copy of such notice to the lessee at such premises.

   (4) service of a Notice of Hearing may be made to mortgagees by mailing such notice to the mortgagee at the last known residence or place of business or employment of the mortgagee.

   (5) proof of service pursuant to subparagraphs (a), (b), (c) and (d) of this paragraph shall be filed with the Commissioner or the Commissioner’s designee.

  1. Notice of Hearing. A Notice of Hearing shall contain the name and address of the owner, lessor, lessee and mortgagee, the address of the building, erection or place where the public nuisance is being conducted, and a scheduled time and place for the hearing. The Notice shall cite the subsection of § 10-155 being violated and contain a short and plain statement of the violation. It shall also list the dates of arrest and dates of the prior criminal convictions and cite the specific section of the law upon which they were predicated. The Notice shall also indicate the possible penalties and sanctions for violation and a warning that failure to appear may result in an order closing the building, erection or place. The Notice shall also include a statement that the respondent has a right to be represented by counsel.

§ 10-03 Hearing Officials.

(a) Public hearing. Hearings are generally open to the public except that if good cause is shown by either party, the Hearing Officer may exclude the public from a particular hearing or portion of a hearing.
  1. Presiding officer. The hearing shall be presided over by an employee of the New York City Police Department who shall be known as the Hearing Officer. The Hearing Officer serves both as impartial examiner and impartial judge and has the duty to conduct fair and impartial hearings, to take all necessary action to avoid delay in the disposition of the proceedings, and to maintain order. Hearing Officers shall be assigned solely to adjudicative and related duties. It is the duty of each Hearing Officer to inquire fully into all matters in issue and to obtain a full and complete record which shall constitute a recommendation to the Commissioner. The Commissioner shall make the final decision. The Hearing Officer has all powers necessary to this end, including:

   (1) To administer oaths and affirmations;

   (2) To rule upon offers of proof and to receive evidence;

   (3) To regulate the course of hearings and the conduct of the parties and their counsel;

   (4) To hold conferences, both on and off the record, for settlements, simplification of issues, or any other proper purpose.

  1. Trial attorney. An individual designated by the Police Commissioner shall present the evidence supporting the existence of a public nuisance.

§ 10-04 Proceedings Upon Default.

(a) Inquest. Upon the respondent's failure to appear at the hearing or any adjournment thereof, respondent may be deemed to have pleaded "no contest" and an order closing the building, erection or place may be issued. In such event, a closing order shall not be issued unless the Hearing Officer is satisfied that a Notice of Hearing was duly served and that the evidence offered in support of the closing constitutes a public nuisance as defined in § 10-155 of the Administrative Code of the City of New York. For the purpose of making this determination, the Hearing Officer shall convene the proceeding and receive all evidence in support of the closing as prescribed herein.
  1. Application to vacate default. An application for a hearing and stay of a default may be made within twenty (20) days of the posting of a closing order on the affected building, erection or place, or mailing of a copy of the Hearing Officer’s decision, whichever is later. Such application is to be made to the License Division and shall be granted upon a showing of good cause.

§ 10-05 Conduct of Hearings.

(a) General provisions. The Hearing Officer shall rule upon matters of procedure and introduction of evidence and shall conduct the hearing in such manner as will best serve the attainment of justice.

   (1) Any person who is entitled to notice pursuant to these Regulations may appear and be heard in person or by a duly appointed representative and may produce, under oath, evidence relevant and material to the matter under consideration.

   (2) Any such person may be represented by an attorney who is a member in good standing of the Bar of the State of New York.

   (3) Any person desiring to subpoena a witness, document or other evidence may do so in the manner provided for in the New York Civil Practice Law and Rules. In appropriate instances the Hearing Officer can request the issuance of an administrative subpoena pursuant to § 14-137 of the Administrative Code of the City of New York.

   (4) Record. A record of all proceedings shall be made by either stenographic transcription or electronic recording device. Typewritten copies thereof may be ordered by the parties at their own cost.

   (5) No ex parte communications relating to other than ministerial matters regarding a proceeding shall be received by a Hearing Officer.

  1. Evidence/proof. All parties have the right to call witnesses, to conduct examinations, including cross-examination, to present evidence, and to make objections, motions and arguments.

   (1) Burden of proof. No public nuisance may be established except upon proof by a preponderance of the credible evidence. The Trial Attorney has the burden of proof in establishing that a public nuisance exists at the cited premises, but the proponent of any factual proposition will be required to sustain the burden of proof with respect thereto.

   (2) Order of proof. The order of proof shall be as follows:

      (i) testimony by the witness or witnesses in support of the existence of a public nuisance.

      (ii) cross-examination of such witnesses;

      (iii) testimony by the respondent(s) or their witnesses in defense and explanation; and

      (iv) cross-examination of the respondent(s) and witnesses. The Hearing Officer may, in his discretion, change the order of proof where the circumstances so warrant.

   (3) Objections to rulings of Hearing Officers. Objections may be taken to the rulings of the Hearing Officer by stating the reasons for such objections, but will not be deemed to have been made unless duly noted in the record.

   (4) (i) Informality of rules of evidence. The rules of evidence governing proceedings in the courts of this State shall not be rigidly enforced in hearings before the Department. Unless objection is made and duly noted in the record, all evidence appearing in the record shall be deemed to have been validly introduced.

      (ii) Cumulative evidence. The introduction of cumulative evidence shall be avoided and the Hearing Officer may curtail the testimony of any witness which is judged to be merely cumulative.

      (iii) Reopening of hearing for presentation of new or additional evidence. Upon due application prior to the final determination, the hearing may be reopened for the presentation of new or additional evidence. The Department may, on its own motion, reopen a hearing for the presentation of additional evidence.

   (5) Stipulations. Parties may, by agreement, stipulate as to any facts involved in the proceedings, provided that such stipulation is duly noted in the record.

   (6) Oral arguments only before Hearing Officer. Oral argument may be made only before the Hearing Officer. Such oral argument may be curtailed or limited in the Hearing Officer’s discretion and is to be included in the record.

  1. Motions and adjournment.

   (1) Motion to dismiss. Motions to dismiss may be made at the option of the respondent or respondent’s attorney, but are not required and will not be deemed to be necessary to protect any right of the respondent.

   (2) Applications to adjourn. No application for adjournment of a hearing shall be granted except for good cause shown. If such adjournment is sought on the grounds that respondent’s attorney is actually engaged in a court of record, an affidavit of actual engagement by such attorney must be presented.

   (3) Imposition of penalty following application to adjourn. Upon granting any adjournment, the Hearing Officer may direct that the matter be set down peremptory against the respondent, in which event the respondent shall be notified that there shall be no further entitlement to any adjournment.

§ 10-06 Decisions and Orders.

(a) Hearing Officer's recommendation. After the conclusion of the hearing, the Hearing Officer prepares a recommendation in a written report and forwards it, with all other materials necessary for reaching a decision, to the Commissioner. The report includes a statement of (1) a recommended decision which shall consist of findings (with specific references to principal supporting items in the record) and conclusions, as well as the reasons or basis therefor, upon all the material issues of fact and law presented on the record, and (2) an appropriate recommended ruling or order. Upon request made at or before the date of the hearing, the respondent shall be given a reasonable opportunity to review the Hearing Officer's report and submit in writing any objections thereto. Respondent's objections shall be forwarded to the Commissioner with the Hearing Officer's written report.
  1. Final order. The Commissioner shall approve, modify or reject (1) the recommended decision and/or (2) the recommended ruling or order. Parties are notified promptly by regular mail of the final decision and order not later than one business day subsequent to the posting described below. Orders of the Commissioner shall be posted at the building, erection or place where the public nuisance exists. The posted order shall state that the building, erection or place has been found to be a public nuisance by the Police Commissioner and that on the fifth business day after the posting, officers of the Police Department are authorized to discontinue such activity and/or close the building, erection or place. The posted order shall include a notice that it shall be a misdemeanor for any person to use or occupy or to permit any other person to use or occupy any building, erection or place or portion thereof ordered closed by the Commissioner. The posted order shall also contain a notice that mutilation or removal of a posted order of the Commissioner shall be punishable by a fine of not more than $250 or by imprisonment not exceeding 15 days, or both.

§ 10-07 Consent Judgments.

Any respondent wishing to settle the charges on or before the date set for a hearing may do so by entering into a consent judgment/order which shall have the effect of a decision and order. The judgment/order shall contain such terms and conditions as in the discretion of the Hearing Officer are necessary to attain the purposes of § 10-155 and § 10-156 of the Administrative Code of the City of New York.

§ 10-08 Vacation of Order.

Where the Commissioner issues an order closing a building, erection or place, the order may be vacated on such terms and conditions as shall satisfy the Commissioner that the nuisance shall be abated and will not be created, maintained or permitted for such period of time as the building, erection or place has been directed to be closed by the order of the Commissioner. Such terms and conditions may include but are not limited to a posting of a bond or cash security.

§ 10-09 Bond.

Any bond filed with the Department pursuant to these Regulations shall be delivered to the Hearing Officer for safekeeping until such time as its terms have been fulfilled or violated, as the case may be, or as otherwise directed by the Commissioner. In the event that the terms of the bond have been violated, such bond shall be forfeited and the proceeds thereof shall be paid into the general fund of the City.

§ 10-10 Construction.

As used herein, terms in the singular shall include the plural.

Chapter 11: Press Credentials

Subchapter A: Press Card Issuance

§ 11-01 Press Card.

(a)  The bearer of a Press Card is entitled to (i) subject to safety and evidence preservation concerns, cross police, fire lines or other restrictions, limitations or barriers established by the City of New York at emergency, spot, or breaking news events and public events of a non-emergency nature where police, fire lines or other restrictions, limitations or barriers established by the City of New York have been set up for security or crowd control purposes, within the City of New York; and (ii) subject to space limitations, attend events sponsored by the City of New York which are open to members of the press. When the bearer's ability to cross police, fire lines or other restrictions, limitations or barriers established by the City of New York or attend events sponsored by the City of New York is denied, such denial must come from a supervising officer or a member of the Office of the Deputy Commissioner, Public Information of the New York City Police Department.
  1. To be eligible to receive the Press Card an individual must be a member of the press who:

   (i) Covers, in person, emergency, spot or breaking news events and/or public events of a non-emergency nature, where police, fire lines or other restrictions, limitations, or barriers established by the City of New York have been set up for security or crowd control purposes, within the City of New York; or

   (ii) Covers, in person, events sponsored by the City of New York which are open to members of the press.

  1. An individual under subdivision (b) of this section must submit one or more articles, commentaries, books, photographs, videos, films or audios published or broadcast within the twenty-four (24) months immediately preceding the Press Card application, sufficient to show that the applicant covered in person six (6) or more events occurring on separate days described in subdivision (b) of this section.
  2. Members of the press are employees of news gathering organizations and self-employed newspersons and other individuals who gather and report the news, by publishing or broadcasting articles, commentaries, books, photographs, video, film or audio by electronic, print, or digital media such as radio, television, newspapers, magazines, wire, books, and the Internet.
  3. Emergency, spot or breaking news events include, but are not limited to, crime scenes, fires, train wrecks, bombings, and plane crashes.
  4. Public events of a non-emergency nature, include, but are not limited to, parades, demonstrations and other events occurring in public places.
  5. Events sponsored by the City of New York which are open to members of the press include, but are not limited to, local press conferences.
  6. Events sponsored by the City of New York open to members of the press do not include meetings of City officials with individual members of the press.
  7. Supervisory or managerial personnel of a news gathering organization may be issued the Press Card if their responsibilities require that they cover the events specified in paragraphs (i) or (ii) of subdivision (b) of this section in person.
  8. The Press Card is issued every two (2) years and bears the name, photograph, and news organization, if appropriate, of the person to whom it is issued.
  9. An application for a Press Card shall be granted or denied no later than thirty (30) days after the applicant submits a complete application for the Press Card. In the event the application for a Press Card is denied, the applicant shall be advised in writing of the basis for denial.

§ 11-02 Reserve Press Card.

(a)  The bearer of a Reserve Press Card has the same rights and privileges as a bearer of a Press Card under subdivision (a) of 38 RCNY § 11-01.
  1. A Reserve Press Card is only issued to a news organization that retains and directs individual(s) to:

      (i) cover, in person, emergency, spot or breaking news events and/or public events of a non-emergency nature, where police, fire lines or other restrictions, limitations, or barriers established by the City of New York have been set up for security or crowd control purposes, within the City of New York; or

      (ii) cover, in person, events sponsored by the City of New York which are open to members of the press.

  1. A news organization under subdivision (b) of this section must submit six (6) articles, commentaries, books, photographs, videos, films or audios published or broadcast on separate days within the twenty-four (24) months immediately preceding the Reserve Press Card application that demonstrate the news organization complies with paragraphs (i) or (ii) of subdivision (b) of this section.
  2. Any editor or supervising employee of a news organization holding Reserve Press Card(s) may provide a Reserve Press Card to an individual retained by the news organization if:

      (i) the individual does not have a Press Card under 38 RCNY § 11-01; and

      (ii) the news organization directs the individual to complete a specific assignment that requires the individual to:

  1. cover, in person, emergency, spot or breaking news events and/or public events of a non-emergency nature, where police, fire lines or other restrictions, limitations, or barriers established by the City of New York have been set up for security or crowd control purposes, within the City of New York; or
  2. cover, in person, events sponsored by the City of New York which are open to members of the press.
  1. Subdivisions (e) through (k) of 38 RCNY § 11-01 apply equally to this section.
  2. A news organization is any organization or entity that gathers and reports the news by publishing or broadcasting articles, commentaries, books, photographs, video, film or audio by electronic, print, or digital media such as radio, television, newspapers, magazines, wire, books, and the Internet.
  3. The individual provided a Reserve Press Card under subdivision (d) of this section must return the Reserve Press Card back to the editor or supervising employee of the news organization once the editor or supervising employee has determined that the individual has completed the specific assignment for which it was issued.
  4. The Reserve Press Card is issued every two (2) years and bears the name of the news organization to which it is issued.

§ 11-03 Single Event Press Card.

(a)  The bearer of a Single Event Press Card has the same rights and privileges as a bearer of a Press Card under subdivision (a) of 38 RCNY § 11-01 for only a Single Event.
  1. To be eligible to receive a Single Event Press Card for a Single Event an individual must be a member of the press, as defined in subdivision (d) of 38 RCNY § 11-01, who:

   (1) follows the preregistration process set forth in subdivision (c) of 38 RCNY § 11-03; and

   (2) applies for said Single Event Press Card in person, by fax or by e-mail:

      (i) no less than two (2) weeks before the Single Event if the Single Event was announced to the public at least two (2) weeks in advance of the Single Event; or

      (ii) no later than two (2) days after the Single Event was announced to the public for a Single Event scheduled less than two (2) weeks in advance, with the exception that in case of exigent circumstances, such as a natural disaster, terrorist attack or other public emergency, the application should be submitted as soon as practicable.

    1. An individual must preregister by completing an application that includes personal identifying information, the name of the news organization that employs or retains the individual, if any, and a description of six (6) of the individual’s most recent news publications; and

   (ii) each preregistration will be valid for two (2) years.

  1. An application for a Single Event Press Card shall be granted or denied no later than two (2) business days before the scheduled event, except that in the case of applications submitted less than two (2) weeks before the scheduled event, the application shall be granted or denied as soon as practicable. In the event the application for a Single Event Press Card is denied, the individual shall be advised in writing of the basis for the denial.
  2. An individual must appear in person to obtain a Single Event Press Card if his or her application is granted.
  3. A Single Event must be an event within the category of events described in 38 RCNY § 11-01.

§ 11-04 Press Identification Card. [Repealed]

(a)  Any person who is denied any of the above-described press credentials may appeal and request a hearing with respect to such decision, in writing, to the Commanding Officer, Public Information Division, within twenty (20) days from the date of the denial. The applicant will be notified of a hearing date which shall be no more than thirty (30) days from receipt of the request for a hearing, unless there is a mutual agreement to another date. Any person denied a Single Event Press Card may request that the hearing be waived.
  1. In those instances where any of the above-described press credentials are summarily suspended, a hearing may be requested by the holder of the press credential and such hearing shall be provided no later than five (5) business days from the request.
  2. Whenever the revocation of the above-described press credentials is sought, a hearing shall be provided before such revocation shall take effect. However, if there has been a summary suspension of the press credential which is the subject of the revocation, the hearing for the suspension can also serve as the hearing required herein.
  3. At all such hearings the applicant will have the right to be represented by counsel.
  4. The Commanding Officer, Public Information Division, shall hold the above-described hearings and issue a written decision within forty-five (45) days of the conclusion of the hearing. In the event that the appeal is denied, the applicant shall be advised in writing of the basis for the denial. In the event that an applicant for a Single Event Press Card waives the hearing, the appeal will be decided by the Commanding Officer, Public Information Division as soon as practicable after the receipt of the appeal.

§ 11-12 Review by the Deputy Commissioner, Public Information.

If, after a hearing, the decision to deny the applicant’s request for a press credential is upheld, the applicant will be advised in writing of the basis for denial of the application. An appeal of this decision may be made, in writing, to the Deputy Commissioner, Public Information, within twenty (20) days of the date contained in the “Notice of Hearing Result.” Any documentation in support of the appeal should be submitted with the request to the Deputy Commissioner, Public Information. The Deputy Commissioner, Public Information shall issue a written decision, setting forth the basis for denial in the event the denial is upheld, within thirty (30) days of the date when the appeal is received.

Chapter 12: Return of Property from Property Clerk Division

Subchapter A: Procedures For Claiming Property

§ 12-01 Introduction.

The Property Clerk Division has established procedures regarding the return of property when claimed by the public. The classification of the property, arrest evidence, decedent’s property, found property, etc., determines the documentation the claimant must provide in order to gain possession. In all cases, in addition to the necessary documentation, proper identification of the claimant is required. This can be in the form of licenses, credit cards, passports, bankbooks and utility bills (see appendix A of this chapter). In cases where the owner of property sends another person to pick up that property, the owner must provide such person a notarized letter authorizing such person to act on the owner’s behalf, to be presented to the Property Clerk Division. Listed below in this subchapter are categories and general procedures for claimants to follow, in order to obtain property in our custody. Subchapter A of this chapter contains general provisions. Subchapter B of this chapter sets forth special procedures, which are followed by the Property Clerk and the District Attorneys with respect to claims for the return of property taken or obtained in connection with an arrest. Subchapter C of this chapter sets forth special procedures that shall be followed by the Property Clerk with respect to items of jewelry recovered in the vicinity of the World Trade Center site subsequent to the terrorist attack of September 11, 2001. The claim submission procedures contained within this subchapter will be applicable until May 31, 2005.

§ 12-02 Arrest Evidence – Crime Victim is the Owner.

Released to owner upon presentation of a court order which directs the return of specified property on a specified voucher to a specifically named individual. In other cases, upon presentation of a letter from the Property Clerk, which is sent to identifiable owners, 90 days after the termination of criminal proceedings.

§ 12-03 Arrest Evidence – Prisoner is the Owner. [Repealed]

Property vouchered for investigation will require the claimant to obtain a release from the investigating officer, in writing, usually on department letterhead. (Police Department Patrol Guide, procedure 113-22.)

§ 12-07 Decedent’s Property.

Claimants must produce letters testamentary or of Administration, naming the executor of the estate, when a will is involved. If there is no will, the claimant must obtain a written release from the Public Administrator of the county in which the property is held. In either case, if assets exceed $30,000.00 or if a safe deposit box key is in the Property Clerk’s custody, the claimant must obtain a notice of waiver issued by the New York State Tax Commission.

§ 12-08 Safekeeping.

This category covers property casesremoved from aided and prisoner’s personal property not required as evidence. The claimant generally produces the pink copy of the voucher or, if not issued, obtains the voucher number from the Precinct in which the property was taken. If the claimant is listed as the owner on the Property Clerk’s copy, the property is returned immediately. If ownership cannot be determined, the claimant is referred to the vouchering command to obtain a letter identifying the claimant as the owner (in a limited number of cases the Property Clerk can do this by telephone).

§ 12-09 Found Property – Owner Known.

Returned to owners upon demand or upon presentation of a letter of notification from Stolen Property Inquiry Section or the Property Clerk, informing them that their property has been found.

§ 12-10 Found Property – Finder.

When a person turns in property and the owner cannot be determined, it must be held by the Property Clerk for specific time periods as listed below:

Property having a value of less than $100.00 – 3 months.

Property having a value of $100.00 or more – less than $500.00 – 6 months.

Property having a value of $500.00 or more – less than $5,000.00 – 1 year.

Property having a value of $5,000.00 or more – 3 years.

The Property Clerk notifies finders by mail that property is ready for release. Finder should produce pink copy of voucher and letter from Property Clerk to obtain property.

§ 12-11 Peddlers Property – Unlicensed General Vendor and Food Vendor.

This property is forfeited and will not be returned unless forfeiture is waived, in writing, by the Corporation Counsel. The Corporation Counsel also specifies whether any or all storage and removal fees are waived.

§ 12-12 Peddler’s Property – Licensed General Vendor.

Property is delivered on demand – no removal and storage fees are collected. Claimant must produce pink copy of voucher and/or be listed as the owner on Property Clerk’s copy.

§ 12-13 Peddler’s Property – Licensed Food Vendor.

Deliver property on demand and collect appropriate removal and storage fees. Claimant must provide pink copy of voucher and/or be listed as the owner on Property Clerk’s copy.

§ 12-14 Claiming Vehicle at Whitestone Auto Pound.

To claim a vehicle that is being stored at the Whitestone Auto Pound, the owner must appear at the auto pound with documents authorizing release, showing proof of ownership and proof that driver of vehicle is licensed.

§ 12-15 Proof of Ownership.

Present title for all vehicles 1973 and newer. For older vehicles, registration certificate is acceptable. Additional proof of identity of owner is also required, i.e., Driver’s License, Employee Identification Card, etc.

§ 12-16 Evidence Vehicle.

If vehicle is being held as evidence, a District Attorneys release, Court Order or Court Disposition is required in addition; If vehicle is not currently registered and/or insured this vehicle will not be driven from the pound. It must be towed by either a tow truck or tow chain by another properly registered vehicle. If vehicle is allowed to be driven from the pound a current driver’s license must be produced by the person removing the vehicle.

§ 12-17 Owner’s Representative Claiming Vehicle.

Whenever a vehicle owner sends a representative to claim his vehicle, a notarized letter of authorization must be presented in addition to all other documents that the owner is required to present. Any towing and storage charge accrued to this vehicle must be paid in U.S. currency or certified check before vehicle will be released.

§ 12-18 Vehicles Being Claimed by Insurance Company.

(a) Insurance company representative present at pound need only to present identification and a notarized "Receipt for Release of Vehicle" (referred to as a 167E letter). Payment of accrued towing and storage charges, if any, is also required.
  1. Tow operators present to remove vehicle after Insurance company representative was present and signed for vehicle must have a notarized “167E letter” in name of towing company and identification for themselves.
  2. Tow operator is present and has notarized “167E letter” authorizing him as company representative, can identify self, pay any accrued charges and remove vehicle.

§ 12-19 Vehicles Being Claimed by Lienholder.

Lienholders must present a copy of sales agreement which was signed by owner and a notarized statement on company letterhead stating said person is in arrears in payment. All other regulations pertaining to payment of towing and storage charges, proof of identity, District Attorney’s release, Court Disposition, Court Orders and the driving or towing of vehicles from the pound are applicable for all vehicles being released.

Subchapter B: Procedures Relating To Property Taken Or Obtained In Connection With An Arrest

§ 12-31 Definitions.

Arrest Evidence. The term “arrest evidence” shall mean property taken from the person or possession of an individual prior to, simultaneous with, or subsequent to an arrest because of its relation to the matter for which the person has been arrested. No property shall be deemed arrest evidence prior to the person’s arrest. No property taken from a person and held by the Police Property Clerk merely for safekeeping shall be deemed arrest evidence.

Claimant. The term “claimant” shall mean the person from whose person or possession property, other than contraband, was taken or obtained, who is seeking from the police property clerk the return of such property in the police property clerk’s possession or property that has been transferred by the police property clerk to the district attorney of any of the five counties of the city.

Contraband. The term “contraband” shall mean property the mere possession of which is prohibited under federal, state or local law. Property shall not be deemed to be contraband merely because it has been held as evidence or for custodial safe-keeping, or because it may be suspected or believed to be unlawfully obtained, stolen or the proceeds or instrumentality of a crime.

Days. The term “days” shall mean calendar days unless otherwise indicated.

District attorney’s release. The term “district attorney’s release” shall mean a statement from the appropriate district attorney’s office that the subject property is no longer needed as evidence. A district attorney’s release is not to be construed as a statement by the district attorney as to the possessory rights to the property of any person, including the claimant.

District attorney supervisor. The term “district attorney supervisor” shall mean an assistant district attorney with authority to review the denial of an application for a district attorney’s release.

Proper identification. The term “proper identification” shall mean identification deemed acceptable and sufficient by the department of motor vehicles for the purpose of obtaining a driver’s license. A list of such identification is contained in appendix A of this chapter.

Property. The term “property” shall mean and include all property, whether it is real property, personal property, money, negotiable instruments, securities, or any other thing of value or any interest in a thing of value.

Termination of criminal proceedings. The term “termination of criminal proceedings” shall mean the earliest of (i) thirty-one days following the imposition of sentence, (ii) the date of acquittal of a person arrested for an offense, (iii) where leave to file new charges or to resubmit the case to a new grand jury is required and has not been granted, thirty-one days following the dismissal of the last accusatory instrument filed in the case, or, if applicable, upon expiration of the time granted by the court or permitted by statute for filing new charges or resubmitting the case to a new grand jury, (iv) where leave to file new charges or to resubmit the case to a new grand jury is not required, thirty-one days following the dismissal of the last accusatory instrument filed in the case, or, if applicable, upon expiration of the time granted by the court or permitted by statute for filing new charges or resubmitting the case to a new grand jury, (v) six months from the issuance of an “Adjournment in Contemplation of Dismissal” order pursuant to C.P.L. § 170.55, or twelve months from the issuance of such an order pursuant to C.P.L. § 170.56, where the case is not restored to the court’s calendar within the applicable six-month or twelve-month period, and (vi) the date when, prior to the filing of an accusatory instrument against a person arrested for an offense, the district attorney elects not to prosecute such person.

§ 12-32 Vouchering Procedures.

The police department and the district attorney, where applicable, of each of the five counties of the city have implemented the following procedures governing the taking or obtaining of non-contraband property from a person’s possession at the time of arrest:

  1. The police shall make an inventory of such property and shall issue a voucher, which shall be given to the person as a receipt for items taken. The voucher shall contain the name of the person, a complete itemized list of all non-contraband property taken, and a brief description thereof.
  2. The person shall be given an opportunity to examine the voucher, and if such person finds the itemized list to be correct, such person may sign the voucher to acknowledge that it contains a complete list of property taken. Failure to sign the voucher shall not preclude a lawful claim being made for the property.
  3. The person must be informed that if he or she believes any additional non-contraband property was taken from his or her person or from his or her possession, or if he or she believes that property was erroneously vouchered to him or her, he or she may so indicate on the voucher. The arresting officer may sign the voucher indicating his or her concurrence with the list of items or any disagreement.
  4. A person is entitled to receive a voucher at the time of his or her arrest for property taken or obtained from his or her person or possession, and the other procedures set forth in these rules shall apply, regardless of whether the property has been denominated by the police department as “arrest evidence” or otherwise, and regardless of whether the arrest is prior to, simultaneous with, or subsequent to the taking or obtaining of the property.
  5. In bold letters on the back of the voucher, or on a separate sheet attached to the voucher, notice shall be given in plain English and Spanish setting forth the following procedures:

      (i) The person from whose possession the property was taken should retain and safeguard the voucher;

      (ii) In order to obtain the return of the property, the claimant or a representative authorized by a notarized writing to claim the property will be required to submit, in person or by mail, the voucher and proper identification to the office of the police property clerk located at a central location in each borough. The property may be disposed of by the police property clerk according to law unless the claimant demands the property no later than 120 days after the termination of criminal proceedings.

      (iii) A claimant demanding the return of property other than arrest evidence does not require a district attorney’s release and may make such a demand whether or not criminal proceedings have been instituted and, if instituted, whether or not such proceedings have been terminated. As used herein, “property other than arrest evidence” refers to non-contraband property taken from an arrestee merely for safekeeping or taken from the person or possession of an individual prior to, simultaneous with or subsequent to an arrest which is unrelated to the matter for which the individual was arrested. Following receipt of a demand for such property, the property clerk may return the property or otherwise proceed pursuant to the provisions of 38 RCNY §§ 12-36 and 12-37.

      (iv) A claimant demanding the return of arrest evidence from the property clerk should obtain prior to the demand either a district attorney’s release or a supervising district attorney’s statement refusing to grant a release, although presentation of either or both of these documents to the property clerk is not required for making a timely demand. If demand for the property is made without a district attorney’s release, or a supervising district attorney’s statement, the claimant shall have 270 days from such demand to obtain a district attorney’s release or a supervising district attorney’s statement refusing to grant a release. If a release or statement refusing to grant a release is not provided to the property clerk within such period, the property may be disposed of according to law.

      (v) If a claimant timely provides the property clerk with a district attorney’s statement refusing to grant a release, the claimant must thereafter obtain a district attorney’s release to obtain the return of the property.

  1. In addition to the notice provided by the police property clerk, the district attorney shall, unless prohibited by the local arraigning court, provide the notice described in subdivision e of 38 RCNY § 12-32 to each person from whose person or possession property was taken or obtained when those persons initially appear at arraignment. The notice also shall set forth the procedures by which a claimant may obtain a district attorney’s release and the procedures by which a claimant may seek review in the event that a release is denied. It is not required that the district attorney provide a copy of the voucher at arraignment.

§ 12-33 Distribution and Posting of Notices Setting Forth the Procedures to be Followed to Obtain the Return of Property.

The police department shall make available to any person requesting information about property in the possession of the police property clerk copies of the notice described in subdivision e of 38 RCNY § 12-32 at each station house and at each facility maintained by the property clerk. The police department shall post such notices, in no smaller than 24-point type, in the holding areas of all station houses, in all central booking facilities within the city and in each courthouse holding area within the city, that is within the control of the police department.

§ 12-34 District Attorney’s Release.

The district attorney of each of the five counties of the city have implemented the following procedures governing the giving of releases for property that is arrest evidence:

  1. A request for a district attorney’s release may be made, in person or by mail, by the claimant or by a representative authorized by a notarized writing by the claimant.
  2. The request must be accompanied by a copy of the voucher or, if the voucher is lost or absent, an explanation for its loss or absence, proper identification and suitable case identification. In his or her discretion, the district attorney may waive any or all of these requirements.
  3. If the request for a release is accompanied by the documents specified in subdivision b hereof, the district attorney shall, if the property is no longer needed as evidence, grant a release no more than fifteen days after receipt of the request. If the property is or may be needed as evidence, the district attorney shall follow the procedures hereinafter set forth.
  4. Before the termination of criminal proceedings, the district attorney shall provide a release to a claimant upon request unless the district attorney determines that the property is or may be needed as evidence. After the termination of criminal proceedings, the district attorney shall provide a release to a claimant upon request unless the district attorney determines that the property needs to be retained as evidence due to (i) a pending appeal; (ii) a collateral attack or notice that a collateral attack will be commenced; (iii) another specifically identified criminal proceeding or (iv) an ongoing identifiable criminal investigation. In all cases, a district attorney’s determination not to provide a release to a claimant because the property is or may be needed as evidence shall be made in good faith. The district attorney’s release shall be personally delivered to the claimant or mailed to the claimant at the address provided by the claimant on the form making the request for release.
  5. Whenever a release is denied to a claimant either before or following the termination of criminal proceedings, the district attorney must provide in writing the reason for the refusal no more than fifteen days after receipt of the request. The claimant also must then be informed that he or she may obtain review by a supervising assistant district attorney, who shall not be the individual who made the initial determination, which review must be provided to the claimant within ten days of the request for review. A supervising assistant district attorney’s refusal to provide a claimant a release must be in writing stating the particularized reason(s) for the refusal, which reasons must be in conformity with subdivisions c and d, above. The notices provided by the district attorney shall be personally delivered to the claimant or mailed to the claimant at the address provided by the claimant on the form making the request for release.
  6. The claimant may reapply to the district attorney for a release at any time after the date of issuance of the statement upholding the denial.
  7. The district attorney may utilize standard forms, uniform throughout the five boroughs, consistent with these rules, for

   (i) Claimant’s request for a district attorney’s release, which shall also serve as an acknowledgement of receipt;

   (ii) Claimant’s request for a review of a denial of a district attorney’s release, a copy which shall also serve as an acknowledgement of receipt;

   (iii) District attorney supervisor’s statement of reasons for upholding a denial of a release; and

   (iv) District attorney’s release.

§ 12-35 Disposition of Property by the Police Property Clerk Where There Has Been an Arrest.

Where there has been an arrest prior to, simultaneous with, or subsequent to the taking or obtaining of the property, the property clerk shall take the following steps with regard to all vouchered property, subject to a different disposition required by other applicable federal, state or local law:

  1. Subject to the provisions of 38 RCNY §§ 12-36 and 12-37, the police property clerk shall return all non-contraband property other than arrest evidence to a claimant who produces proper identification and the voucher issued to him or her for the property. The property clerk shall not require such claimant to submit a district attorney’s release covering such property, and such claimant may make a demand whether or not criminal proceedings have been instituted and, if instituted, whether or not such proceedings have been terminated.
  2. Subject to the provisions of 38 RCNY §§ 12-36 and 12-37, the police property clerk shall return all non-contraband arrest evidence, which is or shall hereinafter come into his or her possession or custody, upon timely demand, to a claimant who produces proper identification and who submits a written district attorney’s release covering such property and the voucher issued at the time of arrest. Failure to produce the voucher shall not preclude a lawful claim being made for property, although the property clerk may require the claimant to explain the loss or absence of the voucher.
  3. A demand for the return of property shall be timely if made within 120 days after the termination of criminal proceedings, whether or not the demand is accompanied by a district attorney’s release or a statement upholding a denial of the release. A demand may be made in person or by mail by the claimant or by a representative authorized in writing to claim the property on behalf of the claimant.
  4. If a timely demand is made without a district attorney’s release, the property clerk may treat such a demand as an inquiry and require a claimant to provide, within 270 days of the inquiry, the property clerk with a district attorney’s release or a supervising district attorney’s statement upholding the denial of the release. If the claimant fails within such 270 days to provide the property clerk with a district attorney’s release or a supervising district attorney’s statement upholding the denial of the release, the property clerk may dispose of the property according to law.
  5. If the claimant provides the property clerk with a district attorney’s release within the time period set forth in subdivision c, the property clerk shall return the property as required by subdivision b above. If the claimant provides the property clerk with a copy of the supervising district attorney’s statement upholding the denial of the release, the property clerk must retain the property and shall either (i) return the property to the claimant when the claimant thereafter provides the property clerk with a district attorney’s release, or (ii) when the property clerk learns that the property is not needed as evidence, give written notice to the claimant or the claimant’s representative, at his or her last known address, which may be the address of a correctional facility, that the property will be returned forthwith to that person. Property that remains unclaimed for a period of 120 days after the date of the notice specified in (ii), or the remainder of the time provided to a claimant to obtain a release under subdivision d, whichever is greater, may be disposed of by the property clerk according to law.
  6. In no event shall a claimant be required to obtain any additional documentation or evidence relating to the property or be required to submit any proof of ownership of the property other than the voucher, except if the vouchered property is a motor vehicle, then title (or a reasonable explanation for its absence) may be required.
  7. The police property clerk must provide each claimant with a written “acknowledgement of demand or inquiry,” indicating the date the demand or inquiry was made and a description of the property demanded.
  8. In any situation where the property clerk has returned property to the person from whom it was taken or obtained in accordance with this subchapter, the property clerk shall not be liable to any subsequent claimant for the same property.

§ 12-36 Property Clerk Forfeiture Proceedings.

Where the property clerk has reasonable cause to believe that property was unlawfully obtained or was the proceeds or instrumentality of a crime or otherwise may be subject to forfeiture under any applicable provision of law, the property clerk may refuse to return the property and may cause a civil forfeiture proceeding or other similar civil proceeding to be initiated in accordance with the following:

  1. Such proceeding may, subject to the time limitation below, be instituted either before or after a claimant makes a demand to the property clerk for the return of the property. If such proceeding is instituted before the termination of criminal proceedings against the claimant, this subchapter shall not be construed to effect any right of a party to the forfeiture proceeding to have the forfeiture proceeding stayed for such period as the court may determine. If a timely demand is made for the return of the property before the forfeiture proceeding is instituted, such proceeding shall be brought no later than (i) in the case of arrest evidence, 25 days after the claimant provides the property clerk with a district attorney’s release, and (ii) in all other cases, as a district attorney’s release is not required, within 25 days after the date of demand. If such proceeding is not commenced within this time period, the property clerk shall give written notice to the claimant or the claimant’s representative, at his or her last known address, which may be the address of a correctional facility, that the property will be returned forthwith to that person. Property that remains unclaimed for a period of 120 days after the date of such notice may be disposed of by the property clerk according to law.
  2. Notice of commencement of a forfeiture proceeding by the property clerk shall include a statement of the grounds upon which the property clerk seeks to justify the continued retention of the property. Any such proceeding shall provide the claimant and any other interested persons with an adequate opportunity to be heard within a reasonable period of time. In any such proceeding the property clerk shall bear the burden of proving by a preponderance of the evidence that the property clerk is legally justified to continue to retain the property.

§ 12-37 Property Not Subject to Forfeiture but Subject to More Than One Claim.

When property is not subject to forfeiture under 38 RCNY § 12-36, but is, or may be, subject to more than one claim, the police property clerk shall take the following action:

  1. Where the person from whom the property was taken makes a timely demand to the police property clerk for the return of the property, the property clerk shall return the property to the claimant unless an additional claim is made in writing or in person within 25 days of the claimant’s demand, in which case the property clerk shall within five days of the date of the additional claim provide each interested person (including the original claimant) with the name and address of all such interested persons, and shall retain the property pending a disposition of the matter between the persons who claim it. If within 30 days thereafter no settlement is reached between the persons who claim it, and the police property clerk has received no court order regarding the property or any notice of any action pending between the persons who claim it regarding the property, the police property clerk shall release the property to the claimant from whom the property was taken.
  2. When acting as a stakeholder pursuant to the provisions of this section, the police property clerk will not be liable for costs, interest or damages arising out of the continued detention of such property or money. Nothing contained in this subchapter shall be deemed to either require or prohibit the police property clerk from initiating a stakeholder proceeding in accordance with the civil practice law and rules.

§ 12-38 Investigatory Property.

Investigatory property unconnected to an arrest (as distinguished from property seized at the time of an arrest or property seized in a case in which an arrest is later made) is not within the scope of this subchapter.

Chapter 12: Procedures Relating To Property Recovered In the Vicinity of the World Trade Center Site Subsequent To the Terrorist Attack of September 11, 2001

§ 12-51 Introduction.

Following the attack of September 11, 2001, the City of New York undertook extraordinary efforts to locate and preserve items of personal property recovered in the vicinity of the World Trade Center site. Property was found and vouchered at three major locations: Ground Zero itself, the Office of the Chief Medical Examiner, and a special facility at Fresh Kills landfill where police officers sorted through tons of material recovered from the disaster site. The Property Clerk has cleansed, sorted, collated, and categorized all property that came into the custody of the Police Department following the terrorist attack. The Property Clerk has conducted and continues to conduct comprehensive investigations, utilizing available technology, with the goal of determining ownership of each piece of property, regardless of the property’s value. Where the Police Department has been able to establish the ownership of specific items that were recovered, those items have been returned to their owners. Thus far, property from approximately 72% of the 26,779 vouchers containing items recovered, has been returned. Ownership of the remaining vouchered property has yet to be determined. The Police Department recognizes that, whatever the monetary value of an individual piece of property may be, it may have great value to the survivors and family members of those whose lives were lost. As demonstrated by numerous requests from family members, this is particularly so as to jewelry that has been recovered. Therefore, the Police Department has committed special resources to examine and classify lost jewelry and has created a special questionnaire to assist individuals who may wish to make a claim for such items. Out of respect and concern for those who were killed and their family members, and the survivors of the attack, the City is establishing special procedures for individuals to provide the Property Clerk with information needed to determine the ownership of unclaimed jewelry remaining in the custody of the Property Clerk. The Police Department will also continue to process requests for the return of property other than jewelry made pursuant to the regular procedures of the Property Clerk. Because of the volume of items and the number of possible claims, it may be some time before ownership of claimed items can be determined. In many cases, claims may be made for items that have never been recovered. In many other cases, claims may be made for items with respect to which it is not possible to make a determination of ownership. For example, it may ultimately prove virtually impossible to ascertain ownership of certain property because of its generic nature or its condition when recovered. The ultimate disposition of items which are not claimed, or of items ownership of which cannot be determined, will be decided at a future time after people have had the opportunity to file claims as provided in this subchapter.

§ 12-52 Property Covered by This Subchapter.

This subchapter applies to claims for personal property recovered in the vicinity of the World Trade Center site following the attack of September 11, 2001, and within the custody of the Property Clerk as of no later than May 30, 2002.

§ 12-53 Time for Making Claims.

(a)  All claims pursuant to this subchapter shall be submitted on or before Tuesday, May 31, 2005. If the claim is mailed, it shall be deemed to have been submitted on the date the envelope is postmarked.
  1. Claims for jewelry. Claims for jewelry may be submitted electronically by selecting the WTC Property Claims link of the NYPD homepage at http://www.nyc.gov/nypd and utilizing the form provided on the site. Claims for jewelry may also be made on paper forms – the NYPD’s WTC Jewelry Claim Form – which may be obtained in person from any police precinct, transit district, or housing bureau facility (“PSA”); by calling (888) 622-2545; or by mail from the Property Clerk Division’s Manhattan Office, located at One Police Plaza, Room S-20, New York, New York 10038. Completed paper forms shall be submitted in person or by mail to the Property Clerk Division’s Manhattan Office, World Trade Center Project, located at One Police Plaza, Room S-20, New York, New York 10038.
  2. Nothing in this subchapter shall limit the rights of persons to claim property under any other provision of law.

§ 12-54 Review of Claims.

(a)  The Property Clerk shall review the claims submitted pursuant to this subchapter and may require additional information, including but not limited to evidence of identity, ownership and letters testamentary or letters of administration.
  1. The Property Clerk may retain any item of personal property for a reasonable time to allow for the review of all claims filed in a timely manner under this rule or other applicable provision of law. However, the Property Clerk will continue with its procedure of returning property where in its discretion it determines that conclusive evidence of ownership has been provided.
  2. Nothing contained in this subchapter shall be deemed to either require or prohibit the Property Clerk from initiating an interpleader action in accordance with the civil practice law and rules.

Chapter 14: Fees

§ 14-01 Vehicle Accident Photograph Request.

The fee for provision of authorized persons with motor vehicle accident photographs shall be fifteen dollars ($15) for each set of photographs requested.

§ 14-02 Vehicles or Boats in Police Custody.

(a) Definition. Vehicle or boat in police custody. A motor vehicle or boat abandoned, involved in an accident, or an unoccupied boat found adrift which has been taken to a department facility. (Does not include motor vehicles or boats impounded as evidence.)
  1. Collection of fees. When the owner or person lawfully entitled to possession appears at a Police Department facility to claim a vehicle or boat; the following fees will be collected:

   (1) A fee of $25.00 if department tow or launch removes a vehicle or boat in police custody.

   (2) A storage fee of $5.00 per day or part of day for an abandoned vehicle or boat or a vehicle or boat involved in accident. (No storage fee will be imposed for the day a vehicle or boat is delivered to a department facility.)

   (3) A $5.00 charge per day or part of day commencing three (3) days after notice to owner by registered mail for an unoccupied boat found adrift or a stolen vehicle or boat.

§ 14-03 Removal and Storage Fees for Licensed Vendors Equipment and Goods.

When the owner or person lawfully entitled to possession of a peddler’s vehicle, cart, stand or goods appears at a Police Department facility to claim property, the following fees shall be collected:

    1. Vehicle, cart, stand removed by Department vehicle – $65.00

   (2) Vehicle, cart, stand not removed by Department vehicle – $20.00

   (3) Goods taken into custody with vendor’s vehicle, cart, stand – $10.00

   (4) Goods only seized – $20.00.

  1. If goods/food and vehicle, carts, stand, etc., are stored separately, a separate storage fee will be charged for each: a storage fee of $5.00 per day or part of day.
  2. Storage fee will not be imposed for the day the vehicle, cart, stand or goods/food are initially delivered to the station house.
  3. Return of seized property.

   (1) A vehicle, cart, stand, or goods will not be released to an owner or his representative who alleges it was stolen and refuses to pay removal/storage charges.

   (2) The seized property of a licensed general vendor will be returned upon demand and without the payment of any fee, when the vendor produces a valid general vendors license. An appropriate entry will be made in the “Remarks” section of the Property Clerk’s Invoice.

  1. Retention of seized property. Pushcarts, stands, and/or merchandise removed from an unlicensed peddler will not be returned to the claimant upon payment of removal and storage fees, but will become the subject of forfeiture proceedings per Patrol Guide procedure 113-41, “Unlicensed Peddler Forfeiture Program.”

§ 14-04 Fees For Non-Criminal Fingerprinting.

When a person requests a member of the Department to take his or her fingerprints for purposes not related to criminal proceedings, the following fees shall be collected:

  1. Twenty-five ($25.00) dollars for first set of fingerprints.
  2. One ($1.00) dollar for each additional set of prints taken at the time the first set of fingerprints is taken.
  3. The above fees shall be tendered at the time of fingerprinting by Money Order or Certified Check made payable to the New York City Police Department, or a valid credit card.

Chapter 13: Special Patrolmen

§ 13-01 Appointment.

(a)  Pursuant to New York City Administrative Code § 14-106, the Police Commissioner may appoint Special Patrolmen upon application by individuals whose employers demonstrate need for such appointment.
  1. Applications for appointment as Special Patrolman from employees, properly endorsed by the following agencies or institutions, shall be given consideration:

   (1) City and state governmental agencies.

   (2) Housing complexes.

   (3) Hospitals, cemeteries and social welfare agencies.

   (4) Educational and cultural institutions, schools, libraries, museums, etc.

   (5) Financial institutions and business entities.

   (6) As deemed appropriate by the Police Commissioner.

  1. Special Patrolmen are appointed in connection with special duties of employment, and such designation confers limited Peace Officer powers upon the employee pursuant to New York State Criminal Procedure Law § 2.10(27). The exercise of these powers is limited to the employee’s geographical area of employment and only while such employee is actually on duty. Such duties of employment may include:

   (1) Issuing of summonses; or

   (2) Making arrests and issuing desk appearance tickets; or

   (3) Controlling crowds and maintaining order in governmental or public buildings.

  1. Special Patrolman designations shall be renewed every two years upon a showing, to the satisfaction of the Police Commissioner, of continuing fitness of the employee, continuing necessity by the employer, i.e., that the duties and responsibilities of the positions require the special powers conferred by the New York City Administrative Code and New York State Criminal Procedure Law.
  2. To be eligible for appointment as a Special Patrolman, an applicant shall be of good character, as more specifically defined in these rules, cooperate in a background investigation by the License Division of the Police Department and possess the following qualifications:

   (1) A citizen of the United States and resident of the City of New York unless exempted by law.

   (2) Presently employed or about to be employed for the purpose of performing duties as specified in 38 RCNY § 13-01(b) above, within the City of New York for an employer approved by the Police Department. Appointments are made for the benefit of the employing agency, institution or business entity, at whose request the appointment is made, and the duration of the appointment shall be coterminous with such employment.

   (3) No record of convictions for any felony or serious offense as enumerated in § 265.00(17) of the New York State Penal Law. If an applicant presents a Certificate of Relief from Disabilities for a conviction as aforesaid, consideration shall be given to the circumstances of the underlying arrest, the age of the applicant when arrested, the time elapsed since the occurrence of the act which led to the arrest and conviction, and the subsequent conduct of the applicant.

   (4) Be at least 21 years of age at the time of appointment.

   (5) If discharged from the military service, it shall not have been dishonorably.

   (6) Not possess a condition or disability which, even with reasonable accommodations, would prevent the performance of the essential functions of Special Patrolman.

  1. In addition to the above, applicants for Special Patrolman designation may be disapproved by failure to meet character requirements as disclosed by a background investigation. This determination shall be based upon a review of the circumstances of previous arrests, employment records, mental history, reports of misconduct reflecting on character as referred to above, and any other pertinent records or information.
  2. An applicant may be disapproved if a false statement is made on the application.
  3. All applicants shall be fingerprinted upon the filing of the application on forms provided by the License Division. A processing fee, required by the New York State Division of Criminal Justice Services, shall be paid at the time the applicant is fingerprinted, by a money order payable to the N.Y.S. Division of Criminal Justice Services. An application fee shall also be paid at that time, by certified check or money order made payable to the N.Y.C. Police Department. The following items of information shall be provided by applicants: Court disposition of any arrest in which Police Department records do not indicate a final determination; two color photos 11/2 × 11/2 inches, front view, taken within the past thirty (30) days; certified copy of birth certificate; certified copy of DD214 and military discharge; proof of residence; if foreign born, naturalization certificate; handgun license or rifle/shotgun permit if applicable; driver’s license or New York State Department of Motor Vehicles identification card. All application forms shall be typed and notarized, and co-signed by the employer’s Chief of Security. The Special Patrolman Section shall be notified at least three (3) business days prior to any scheduled appointments if the applicant is unable to appear.
  4. During the pendency of the application, the applicant shall notify the License Division of any necessary correction to or modification of the information provided in the original application, or any change in her/his status or circumstances, which may be relevant to the application.
  5. An employer seeking approval to employ one or more Special Patrolmen shall be evaluated utilizing the following criteria:

   (1) Demonstrated need for Special Patrolman services.

   (2) Financial ability to support adequate compensation, uniform, training, and supervision expenses.

   (3) Establishment of training program and sufficient management supervision.

   (4) Character and reputation of employer including any criminal activity associated with employer’s operations.

   (5) Prior experiences with Special Patrolmen engaged by employer.

   (6) Compliance with the rules and requirements of this chapter.

  1. Once an application for Special Patrolman appointment has been disapproved, or appointment once granted has been revoked, the disqualified individual shall be ineligible to file a new application for at least two (2) years, unless reinstated earlier after a suspension or revocation hearing.
  2. Each Special Patrolman shall be required to sign an acknowledgment that s/he shall be responsible for compliance with all laws, rules, regulations, standards, and procedures promulgated by federal, state, or local jurisdictions, and by federal, state, or local law enforcement agencies, that are applicable to her/his appointment. The License Division shall provide the Special Patrolman with the acknowledgment statement. This acknowledgment statement shall be notarized. Failure to execute the acknowledgment statement and to have it notarized shall result in disapproval of the application.
  3. Special Patrolmen shall cooperate with all reasonable requests by the Police Department for information and assistance in matters relating to their designation.
  4. If her/his application for special patrolman appointment is disapproved the applicant shall receive a written “Notice of Application Disapproval” from the License Division indicating the reason(s) for the disapproval. If the applicant wishes to appeal the decision s/he shall submit a sworn written statement, which shall be known as an “Appeal of Application Disapproval,” to the Division Head, License Division, within thirty (30) calendar days of the date on the “Notice of Application Disapproval” requesting an appeal of the denial, and setting forth the reasons supporting the appeal. The Appeal of Application Disapproval shall become part of the application. It shall state the grounds for the appeal and shall contain the following statement to be signed by the applicant and notarized: “Under penalty of perjury, deponent being duly sworn, says that s/he is familiar with all of the statements contained herein and that each of these statements is true, and no pertinent facts have been omitted.” Appeals that are unsworn by the applicant or submitted by individuals or business entities other than the applicant or her/his New York State licensed attorney shall not be accepted. All timely appeals shall receive a complete review of the applicant’s entire file by the Division Head, License Division, who shall notify the applicant of her/his determination. The Division Head, License Division shall not consider any documentation that was not submitted during the initial background investigation. There shall be no personal interviews to discuss appeals. If the appeal of her/his disapproval is denied, the applicant shall receive a “Notice of Disapproval After Appeal” letter from the Division Head, License Division. This notice concludes the Police Department’s administrative review procedure.

§ 13-02 Cancellations, Suspensions and Revocations.

(a) A Special Patrolman and her/his employer shall immediately notify the License Division of the Police Department, Special Patrolman Section, whenever an employee, appointed as Special Patrolman is:

   (1) Arrested.

   (2) Suspended from employment.

   (3) Terminated from employment.

   (4) Disabled or subject to a condition which prevents the Special Patrolman from being able to perform the duties of a Special Patrolman.

   (5) Transferred to a position not requiring such appointment.

   (6) Involved in an incident which demonstrates conduct which is contrary to the purpose of appointment as a Special Patrolman, i.e., the protection of property, or the safety of specific individuals or the public at large, and to her/his continued designation as a Special Patrolman.

  1. Upon receipt of this notice from the Special Patrolman, her/his employer, or otherwise, the License Division shall immediately notify the Special Patrolman and the employer that the appointment is cancelled, suspended or revoked.
  2. A Special Patrolman and her/his employer shall immediately notify the License Division of the Police Department, Special Patrolman Section, whenever said employee changes her/his address. The failure of a Special Patrolman and/or her/his employer to report a Special Patrolman’s change of address to the Special Patrolman Section may result in the immediate revocation of the appointment.
  3. The appointment of a Special Patrolman may also be cancelled, suspended or revoked by the Police Commissioner on her/his own initiative for any of the reasons enumerated in 38 RCNY § 13-02(a) above, or upon a finding that a condition exists, which would be cause for a disapproval of an application, or revocation, as aforesaid. In appropriate circumstances, the approval for an employer to participate in the Special Patrolman program may be revoked.
  4. When a cancellation, suspension or revocation is initiated by the Police Department, written notice shall be given to the employer and the employee whose designation has been cancelled, suspended or revoked, advising them of the reasons for the action taken.

§ 13-03 Appeal from Written Notice of Determination of Suspension or Revocation.

(a) An employer or suspended/former Special Patrolman may within thirty (30) calendar days from the date of the Notice of Determination Letter notifying the employer or Special Patrolman of suspension or revocation make a written request for a hearing to the Commanding Officer, License Division, One Police Plaza, Room 110A, New York, New York 10038.
  1. A Special Patrolman whose arrest or summons resulted in suspension or revocation of her/his appointment may only submit a written request for a hearing within thirty (30) calendar days after the termination of the criminal action, as defined in New York State Criminal Procedure Law § 1.20(16)(c). If the suspension or revocation resulted from the Special Patrolman becoming the subject of an order of protection or a temporary order of protection, the Special Patrolman may only submit a written request for a hearing within thirty (30) calendar days after the expiration or voiding of the order of protection or temporary order of protection. If the suspension or revocation was related to both a criminal action and an order of protection or temporary order of protection, then the later of the two waiting periods shall apply.

§ 13-04 Uniform and Equipment.

(a) The shield of a Special Patrolman shall be of a design and color approved by the Police Commissioner. The Special Patrolman's uniform shall be prescribed by the employer, shall not resemble in any way the uniform of a New York City Police Officer, and shall be worn at all times while the Special Patrolman is on duty unless the Special Patrolman's identification card authorizes the wearing of civilian clothes or s/he is otherwise excused by the Police Commissioner. A Special Patrolman shall not wear her/his uniform while off-duty. (New York City Administrative Code § 14-107.)
  1. When appointed, a Special Patrolman shall be provided with a shield and identification card. To insure the return of the shield, a $25 deposit shall be required for each shield issued. The deposit shall be refunded upon the return of the shield. The theft or loss of a shield or identification card shall be reported without delay to the precinct of occurrence and in writing to the License Division.
  2. Identification cards bearing the raised seal of the License Division, including an expiration date, shall be issued to Special Patrolmen who are in compliance with all applicable standards.
  3. Upon the death, resignation, termination of employment, cancellation, suspension or revocation of the appointment of a Special Patrolman, the employer shall cause the Special Patrolman’s shield, identification card and pistol or revolver, if any, to be delivered to Police Department custody immediately, if this has not already been done.
  4. If handguns are required, applications for a handgun license authorizing the possession of a handgun in connection with Special Patrolman duties should be made to the License Division’s Handgun License Application Section. A determination shall be made as to whether sufficient need exists for approval. It is a crime for a Special Patrolman to possess a handgun without having a valid handgun license therefor, and grounds for revocation of the Special Patrolman designation.
  5. If handcuffs are required, Special Patrolmen are restricted to possession while on duty or while traveling to and from their assigned place of duty. Unlawful possession of handcuffs is a criminal violation (New York City Administrative Code § 10-147(b)).

§ 13-05 Conduct.

(a) It is a crime for a Special Patrolman to represent her/himself as a Police Officer (§ 190.25 of the New York State Penal Law).
  1. Unlawful use and possession of a police uniform, shields or emblems, as prescribed by § 14-107 of the New York City Administrative Code, shall be cause for revocation of a Special Patrolman designation.
  2. A Special Patrolman shall be subject to the orders and regulations of the Police Commissioner, and shall cooperate in the performance of duty with members of the Police Department.
  3. Upon making an arrest, a Special Patrolman shall, without delay, bring the prisoner before the Desk Officer at the precinct in which the arrest is made, or directly to the Central Booking facility as appropriate.
  4. A Special Patrolman employed by a city or state governmental agency other than the New York City Police Department, which has a formalized procedure for the issuing, recording, and forwarding of summonses for personnel of the agency concerned, shall comply with the regulations of that agency. Any other Special Patrolman who serves a summons shall deliver the necessary papers to the Desk Officer of the precinct in which it was served, without delay.
  5. A Special Patrolman shall promptly notify the Special Patrolman Section of a change in residence, telephone number or employment status.
  6. If a Special Patrolman is arrested, s/he shall immediately notify her/his employer and the Special Patrolman Section of that occurrence.
  7. Non-compliance with any provision of these rules by a Special Patrolman may result in suspension or revocation of her/his designation. Non-compliance with any of these rules by an employer may result in revocation of its approval to participate in the Special Patrolman program.

§ 13-06 Training.

(a) Persons appointed as Special Patrolmen by the Police Commissioner are mandated to have received training pursuant to New York State Criminal Procedure Law § 2.30(1), within 12 months of their designation. Employers are solely responsible for providing such training.
  1. Employers of Special Patrolmen shall be responsible for certifying to the Division Head, License Division that their designated personnel have completed the required training and shall submit copies of completion certificates to the License Division within 30 days of such training.
  2. Non-compliance with these mandated training provisions by employers or their designated Special Patrolmen shall be cause for revocation of their designations and revocation of approval for the employer to participate in the Special Patrolman program.

§ 13-07 Required Reports.

(a) Agencies, institutions, et al., employing persons appointed as Special Patrolmen are solely responsible for compliance with mandatory reporting requirements as established by the New York State Division of Criminal Justice Services. Tel: (518) 457-6101.
  1. Failure to comply with New York State Division of Criminal Justice Services mandated reporting requirements may be grounds for removal from the Special Patrolman program.

Chapter 16: Transport Or Delivery of Weapons

§ 16-01 Definitions.

License Division. The term “License Division” shall mean the License Division of the New York City Police Department.

Person. The term “person” shall mean an individual, firm, partnership, corporation, company or other business entity, and shall include any common or contract carrier, shipper, transport company, weapons manufacturer, distributor or dealer.

Police Commissioner. The term “Police Commissioner” shall mean the Police Commissioner of the City of New York or her/his designee(s).

Transitory Shipment. For purposes of this chapter, the term “transitory shipment” shall mean a shipment which begins outside of the City of New York, and moves continuously and without interruption through the City of New York to a final destination outside of the City of New York. A shipment which is within the City of New York and involves any off-loading of the weapons from one means of transportation, followed by subsequent on-loading of the weapons to another means of transportation, shall not be considered a transitory shipment.

Unanticipated Delay. For purposes of this chapter, the term “unanticipated delay” is an event involving the operator of a vehicle who intended to make a transitory shipment of weapons when s/he entered the City of New York with a shipment of weapons, and having done so, has experienced an unexpected mechanical problem, or other unexpected condition or set of circumstances which causes the operator to remain within the City, and off of a limited access highway, for a period of greater than one hour.

Weapon. For purposes of this chapter, the term “weapon” shall mean a “firearm,” “rifle,” “shotgun,” or “machine-gun,” as those terms are defined in § 265.00 of the New York State Penal Law and shall also include anything that is defined as an “assault weapon” in § 10-301 of the New York City Administrative Code.

Weapons Dealer. For purposes of this chapter, the term “weapons dealer” shall mean any person, firm, partnership, corporation or company who engages in the business of purchasing, selling, keeping for sale, loaning, leasing, or in any manner disposing of any weapon as defined in this chapter and who is licensed by the Police Commissioner pursuant to Article 400 of the New York State Penal Law and/or § 10-302 of the New York City Administrative Code.

§ 16-02 Applicability.

This chapter shall apply to all persons who transport or deliver one or more weapons into or within any location in the City of New York, except that it shall not apply to:

  1. the transitory shipment of weapons through New York City to a final destination outside of New York City. However, if the operator of the vehicle containing a transitory shipment of weapons experiences an unanticipated delay as that term is defined in 38 RCNY § 16-01, such operator shall immediately report to the nearest Police Department facility the following information:

   (1) her/his current location;

   (2) the location of the transporting vehicle;

   (3) the cause of the unanticipated delay;

   (4) the expected duration of the shipment’s presence in the City; and

   (5) how the shipment shall be secured during its stay in the City. In the case of such delay, the officer receiving such notice may direct the vehicle operator to take reasonably necessary measures to secure the weapons shipment, or the officer may seize and secure the weapons until such time that the shipper makes alternative arrangements which are acceptable to the officer.

  1. the shipment or delivery of five (5) or fewer weapons from one licensed weapons dealer located in New York City directly to another licensed weapons dealer located in New York City. However, the manner of storage of such weapons during their transportation shall be in compliance with 38 RCNY § 16-05.
  2. transport pursuant to 38 RCNY § 5-23(a)(3), (4), (5), or (6)

§ 16-03 Authorization to Transport or Deliver Firearms.

(a) No person shall transport or deliver, or cause to be transported or delivered, weapons into or within the City of New York where s/he knows or has reasonable means of ascertaining what s/he is transporting, without first obtaining written authorization to do so from the Police Commissioner.
  1. A request by any person for authorization to transport or deliver weapons shall be made in writing to the Commanding Officer, License Division, New York City Police Department, One Police Plaza, Room 110A, New York, New York 10038, or by Facsimile transmission (212) 374-2828, so as to be received by the License Division at least ten (10) calendar days prior to the transportation within the City of New York. Such request shall include the following information:

   (1) The name and address of the source of the shipment of weapons. If the source is a corporation, the name of the president or authorized representative of such corporation shall be included.

   (2) The number of weapons, including the manufacturer’s name, caliber, and model identification, for each type of weapon being transported.

   (3) The name of the shipping company, if different from the source of the shipment, including the address and telephone number of the company’s headquarters.

   (4) The day, date, and the estimated time and place of arrival of the shipment into New York City.

   (5) The name, address, and weapons dealer’s or gunsmith’s license number of the person authorized to receive the shipment in New York City.

   (6) The type of vehicle to be used by the source of the shipment, or the shipping company, including any distinctive company logos or markings on the vehicle.

   (7) A photocopy of the driver’s license of the person scheduled to make the delivery, and a photocopy of the driver’s license of an alternate driver who may be required by the source of the shipment, or the shipping company, to substitute for the principally scheduled delivery person.

   (8) The application for permission to transport weapons shall contain the following statement, subscribed and sworn to by the applicant before a notary public, commissioner of deeds, or other comparable official: “I, __________, the applicant for permission to transport weapons within or through the City of New York, state that such weapons shall be transported in an unloaded condition, and in a manner that conforms with 38 RCNY § 16-05, and if upon inspection of the contents of the transporting vehicle it is discovered that such weapons are not secured in a manner conforming with said section, then any permission issued by virtue of this application shall be void and deemed to have never been granted, and it is understood that I and any of my agents, employees, or assignees, may be prosecuted for transporting weapons without permission pursuant to the New York State Penal Law and the New York City Administrative Code, and that the property being transported as well as the means of transport may be seized and forfeited pursuant to law.”

  1. If a person seeking permission to transport a weapon pursuant to this section is utilizing a shipping company or other delivery service and is unable to provide information relevant to paragraphs (4), (6) or (7) of subdivision (b) of this section, a separate request for permission to transport shall be submitted by the shipping company or delivery service, which shall include the required information.
  2. Upon receiving a request for authorization to transport or deliver weapons, the Police Commissioner shall cause to be conducted a review of Police Department records to ascertain whether the intended recipient of the weapons shipment or delivery is an authorized person, and whether there exists any information which would otherwise provide a basis for denying authorization to receive such weapons shipment. The Police Commissioner or her/his designee shall then notify the requesting person that such authorization has or has not been granted.
  3. In addition to any other applicable penalties, the Police Commissioner may deny an application submitted pursuant to this chapter if the applicant has previously failed to comply with the provisions of this chapter.

§ 16-04 Surrender of Firearms Not Authorized for Transportation or Delivery.

Any person who transports or delivers weapons without obtaining authorization pursuant to the requirements of this chapter shall be liable for the penalties set forth in Article 265 of the New York State Penal Law and the New York City Administrative Code, and shall further be directed by any member of the Police Department to surrender the weapons to the Police Department. In addition, the property being transported, as well as the means of transport, may be seized and forfeited pursuant to law.

§ 16-05 Required Security Measures for Weapons Shipments in Transit.

Any person, corporation, partnership, or other business entity using a vehicle to transport weapons within or through the City of New York shall, at a minimum, employ the following security measures while such weapons are in transit:

  1. All weapons shall be transported unloaded.
  2. All weapons shall be placed in one or more containers located within the vehicle used for transportation of the weapons. Such containers shall be constructed of materials of such a sturdy character that when the container is closed and locked, it cannot be forced open by hands alone, or sliced open with a common tool such as a knife or box cutter.
  3. The above referenced container(s) shall be securely fastened, with a combination or key locking device, to the interior body structure of the transporting vehicle, in such a manner that the containers cannot be manually removed without releasing the locks.
  4. Such containers, while in transit and carrying weapons, shall be closed and locked with a heavy-duty combination or key-type lock.
  5. Ammunition shall not be stored in the same container as weapons.
  6. At all times other than loading and unloading, the cargo area of the transporting vehicle in which all of the above referenced containers shall be stored shall be closed and locked with a heavy-duty combination or key-type lock.
  7. The driver of the transporting vehicle shall carry a manifest which declares the numbers and types of weapons being transported, and the intended point of delivery. Such manifest shall not be considered valid unless it shall have written upon it the permission serial number issued by the New York City Police Department License Division.
    1. The Police Commissioner may require, as a condition of the authorization to transport or deliver weapons, that shipments of weapons which will be off-loaded from one means of transportation and subsequently on-loaded to the same means or another means of transportation within the city of New York, be escorted by a uniformed member of the New York City Police Department, from the time of on-loading until such point that the shipment has left the jurisdictional boundaries of the City of New York.

   (2) If the Police Commissioner elects to impose the escort requirement as a condition of the authorization to transport or deliver weapons, the applicant shall notify the Commanding Officer, License Division, of the day, date, estimated time and place of on-loading of the shipment to the second means of transportation. The escort requirement shall be deemed waived if the escort is not present at the place within the City of New York where the weapons will be on-loaded within thirty minutes of the shipment’s estimated time of on-loading and departure.

§ 16-06 Requirement to Report Theft, Loss or Misdelivery.

(a)  Any person, firm, corporation, or other business entity who has received permission to transport weapons pursuant to the provisions of this chapter, and who suffers a loss or theft of any part of her/his weapons shipment while it is located within New York City, shall forthwith report such loss or theft to the nearest Police Department facility and shall comply with all reasonable requests for assistance by police officers who investigate the circumstances of the loss or theft.
  1. Any person, firm, corporation or other business entity who has received permission to transport weapons pursuant to the provisions of this chapter, and who knows or reasonably should know that any part of her/his weapons shipment was delivered to a person other than the person designated in 38 RCNY § 16-03(b)(5), shall forthwith report such misdelivery to the Police Department’s Operations Unit, at (212) 374-5580.

Chapter 15: Adjudications

Subchapter A: Disciplinary Proceedings Against Civilian and Uniform Members Before the Deputy Commissioner of Trials

§ 15-01 Definitions.

Advocate. “Advocate” means the Department Advocate or Assistant Advocates of the New York City Police Department and also means an attorney designated by the Commissioner to prosecute a disciplinary proceeding before the Deputy Commissioner of Trials, including an attorney conducting such prosecution on behalf of the Civilian Complaint Review Board in accordance with a Memorandum of Understanding executed on April 2, 2012 by the CCRB and the Department during the period that such MOU is applicable.

Charges and Specifications. “Charges and Specifications” means a written accusation or accusations of misconduct against a civilian or uniform member of the Department, specifying the activity or conduct at issue, along with the date, time and place of occurrence.

Civilian Complaint Review Board. “Civilian Complaint Review Board” or “CCRB” means the New York City Civilian Complaint Review Board.

Department. “Department” means the New York City Police Department.

Deputy Commissioner of Trials. “Deputy Commissioner of Trials” means the Deputy Commissioner or Assistant Deputy Commissioners in charge of New York City Police Department disciplinary hearings.

Respondent. “Respondent” means a uniform or civilian member of the Department against whom Charges and Specifications have been preferred.

§ 15-02 Jurisdiction.

The Deputy Commissioner of Trials shall have jurisdiction over disciplinary matters adjudicated by the Department. This jurisdiction shall include the authority to render any ruling or order necessary and appropriate for the efficient adjudication of disciplinary proceedings instituted against civilian and uniform members of the Department.

  1. Applicability. These Rules shall apply to the conduct of all proceedings heard before the Deputy Commissioner of Trials including pre-hearing, hearing and post-hearing proceedings.
  2. Construction, Modification and Waiver. These Rules shall be liberally construed in order to promote just and efficient adjudication of disciplinary proceedings. Upon notice to all parties, the Deputy Commissioner of Trials shall have the authority to modify or waive these Rules where no undue hardship or prejudice to any party shall result from such modification.

§ 15-03 Pre-Hearing Proceeding.

(a) Charges and Specifications. Charges and specifications shall be served upon the respondent and shall include a brief statement of the disciplinary matters to be adjudicated, including the activity, behavior or incident which is the subject of the disciplinary action and, where appropriate, the date, time and place of occurrence. Additionally, the Charges and Specifications shall identify the contract provision, law, policy, regulation or rule that was allegedly violated. Charges and Specifications may be amended upon notice to all parties.
  1. Service of Charges and Specifications.

   (1) The Department shall be responsible for serving the respondent with Charges and Specifications. The Charges and Specifications shall be accompanied by notice of the respondent’s right to reply and the time limits within which to do so pursuant to subdivision (c) of this section, and the requirement that the individual representing the respondent shall file a Notice of Appearance with the Deputy Commissioner of Trials, prior to engaging in any act of representation.

   (2) Service of the Charges and Specifications shall be made pursuant to statute, rule, contract, or other provision of law applicable to the proceeding being initiated. Absent any such applicable law, service of the Charges and Specifications shall be made in a manner reasonably calculated to achieve actual notice to the respondent. Service by certified mail, return receipt requested, contemporaneously with service by regular first-class mail, to the respondent’s last address known to the Department, shall be presumed to be reasonably calculated to achieve actual notice. Appropriate proof of service shall be required.

  1. Response to Charges and Specifications. If Charges and Specifications are served personally, the respondent shall have the opportunity to reply to them within eight days of service. If Charges and Specifications are served by mail, the respondent shall have the opportunity to reply to them within thirteen days of their mailing date. Upon good cause shown, the Deputy Commissioner of Trials may fix different time periods within which to reply.
  2. Notice of Scheduling Conference or Hearing.

   (1) The Department shall serve the respondent with notice of the date, time and place of the Scheduling Conference or Hearing. The Scheduling Conference shall be conducted for purposes of setting a timetable within which to proceed with the Hearing. A Hearing shall be afforded to the respondent within a reasonable time. A Notice of Hearing shall contain a statement of the authority and jurisdiction under which the Hearing is being conducted, notice of the respondent’s right to be represented by an attorney or other representative, the requirement that the respondent’s representative file a Notice of Appearance with the Deputy Commissioner of Trials prior to engaging in any act of representation and notice that failure of the respondent or the respondent’s representative to appear may result in an adverse decision and waiver of the right to a Hearing or other disposition as against the respondent.

   (2) The Notice of Hearing or Scheduling Conference shall be served personally or by mail. Appropriate proof of service shall be required. If the respondent is served personally, there shall be at least eight days notice provided. If respondent is served by mail at least thirteen days notice shall be provided, from the time of mailing. The Deputy Commissioner of Trials may modify these time periods.

  1. Adjournments.

   (1) Hearing dates are firm commitments and will not be adjourned absent extraordinary circumstances. Scheduling Conferences and Hearings will begin promptly at 10 a.m. and continue until 5 p.m., if necessary. All Hearings shall be continued on consecutive days until concluded absent special circumstances. Where appropriate, Hearings may be conducted on weekends and holidays.

   (2) Applications for adjournments shall be made to the Deputy Commissioner of Trials upon sufficient notice to other parties. Adjournments will be granted or denied by the Deputy Commissioner of Trials upon good cause shown. The Deputy Commissioner of Trials shall have authority to set an adjourned date. If an adjournment is granted, and it is not noted on the record, the requesting party shall confirm the adjournment, in writing, with other interested parties.

   (3) A party requesting an adjournment because of a conflicting engagement shall file an Affirmation of Actual Engagement with the Deputy Commissioner of Trials, prior to a ruling sought on that basis. A copy of such Affirmation shall be served on the adverse party. The Affirmation shall state the name and nature of the conflicting matter, the court or tribunal hearing the matter, the judge before whom it is scheduled, the date when the conflicting engagement became known to counsel, and the date, time, place and approximate duration of the other engagement.

   (4) The Deputy Commissioner of Trials may determine that a case will proceed on an expedited basis and direct shortened pre-trial and post-trial proceedings including expedited notice periods and calendaring.

  1. Discovery.

   (1) Informal discovery and the exchange of information is encouraged. Department disciplinary proceedings are not bound by formal discovery techniques or rules of civil procedure. Requests for production of relevant documents, identification of trial witnesses and inspection of real evidence to be introduced at the Hearing may be directed between the parties without leave of the Deputy Commissioner of Trials. Privileged and confidential matters shall not be subject to disclosure.

   (2) Any discovery dispute shall be presented to the Deputy Commissioner of Trials sufficiently in advance of the Hearing to allow for a timely determination. Discovery motions are subject to the discretion of the Deputy Commissioner of Trials. The timeliness of discovery requests and responses, and of discovery related motions, the complexity of the case, the need for the requested discovery, and the relative resources of the parties will be among the factors within the Deputy Commissioner of Trial’s exercise of discretion.

  1. Pre-Hearing motions. Pre-Hearing motions and other preliminary matters shall be consolidated and addressed to the Deputy Commissioner of Trials as promptly as possible and sufficiently in advance of the Hearing to permit the rendering of a timely decision.

§ 15-04 Hearings.

(a) Consolidation and severance of Hearings. In the furtherance of justice, efficiency or convenience, all or portions of separate cases may be consolidated for Hearing. Additionally, portions of a single case may be severed for separate Hearing. Cases may be consolidated or severed at the discretion of the Deputy Commissioner of Trials.
  1. Witnesses and documents. Attorneys for parties to the proceedings shall have the right to subpoena witnesses. Pro Se parties shall have the right to request that the Deputy Commissioner of Trials issue a subpoena on their behalf. The parties are responsible for having their witnesses available on the Hearing date. Parties intending to introduce documents into evidence shall provide sufficient copies to the Deputy Commissioner of Trials and other parties.
  2. Interpreters. A party in need of an interpreter at a Scheduling Conference or Hearing shall advise the Deputy Commissioner of Trials of such need as soon as possible. The Deputy Commissioner of Trials may, within discretion, accept as an interpreter any person who can provide a fair and accurate translation.
  3. Failure to appear. If the respondent fails to appear at the Hearing personally or by authorized representative, without good cause, the Deputy Commissioner of Trials may conduct a Hearing in the respondent’s absence. If the respondent does not appear, the Deputy Commissioner of Trials shall determine whether to hold an Inquest Hearing or proceed upon written submissions of the parties. Additionally, the Deputy Commissioner of Trials may determine that no further proceedings shall be necessary.
  4. Hearing evidence.

   (1) Compliance with the technical rules of evidence shall not be required. Hearsay shall be admissible and may form the sole basis for making findings of fact, when consistent with existing law. Additionally, principles of civil practice and the rules of evidence may be applied, where necessary, to insure an orderly proceeding, an accurate record and to aid in the formulation of Findings of Fact. Hearing sequence may be altered by the Deputy Commissioner of Trials for the convenience of the attorneys, parties, witnesses and Deputy Commissioner of Trials. Substantial prejudice shall not result to any party as a result of change in Hearing sequence. Findings of Fact shall be made exclusively on the record as a whole.

   (2) The Deputy Commissioner of Trials may limit examination, the presentation of testimonial, documentary or other evidence, and submission of rebuttal evidence. Objections to evidence offered or to other matters will be noted in the transcript. Exceptions need not be taken to rulings made over objections. The Deputy Commissioner of Trials may call or question witnesses directly.

   (3) Parties shall be entitled to make opening statements. Closing statements may be made orally or in writing at the discretion of the Deputy Commissioner of Trials. On motion of the Deputy Commissioner or the parties, the Deputy Commissioner of Trials may permit written post-hearing submissions including legal briefs, proposed findings of fact, conclusions of law or any other relevant documents.

   (4) Except for ministerial matters, and except on consent, or in an emergency, communications with the Deputy Commissioner of Trials concerning a case shall only occur with all parties present. If the Deputy Commissioner of Trials receives an “ex parte” communication concerning the merits of a case to which he or she is assigned, then he or she shall promptly disclose the communication by placing it on the record, in detail, including all written and oral communications and identifying all individuals with whom he or she has communicated. A party desiring to rebut the “ex parte” communication shall be allowed to do so upon request.

  1. Official notice. The Deputy Commissioner of Trials may take official notice of any fact which may be judicially noticed by the courts of New York State. Notice may be taken before or after submission of a case for decision on request of a party or “sua sponte”.
  2. Public access to hearings. Hearings shall be open to the public unless the Deputy Commissioner of Trials finds a legally recognizable ground for closure of all or a portion of the Hearing. The Deputy Commissioner of Trials may also exclude witnesses from the Hearing room during proceedings other than their own testimony.
  3. Disposition by settlement. Unless precluded by law, informal disposition may be made of any matter which is the subject of an adjudication by methods of alternative dispute resolution, stipulation, agreed settlement, or consent order.
  4. Transcripts. Hearings shall be stenographically recorded. A copy of the transcript or record, or any part thereof, shall be made available to any party to the Hearing for a reasonable cost upon request.

§ 15-05 Rules of Conduct.

(a) Conduct. Individuals appearing before the Deputy Commissioner of Trials shall conduct themselves in a dignified and orderly manner at all times. Disruptive conduct, including failure to comply with the orders and directives of the Deputy Commissioner of Trials, will not be tolerated. The Deputy Commissioner of Trials may bar a disruptive individual from the proceedings.
  1. Withdrawal and substitution of representatives. A representative who has filed a Notice of Appearance, in accordance with paragraph (1) of subdivision (d) of 38 RCNY § 15-03, may not withdraw from representation of a party without the permission of the Deputy Commissioner of Trials. Withdrawal shall be granted upon sufficient showing of good cause and, where an attorney is the respondent’s representative, consistent with the Code of Professional Responsibility.
  2. Hearing Officers. The Deputy Commissioner of Trials and Assistant Deputy Commissioners shall be assigned solely to adjudicative and related duties.

§ 15-06 Report to Police Commissioner.

(a) (1) After the Hearing is concluded the Deputy Commissioner of Trials will review the testimony and evidence adduced and prepare a Draft Report and Recommendation.

   (2) The Draft Report and Recommendation shall consist of a summary and analysis of the testimony, recommended findings of fact and conclusions of law, and recommendations for the disposition of the Charges and Specifications.

  1. All parties, and their counsel or other representative shall be sent a copy of the Draft Report and Recommendation in order to afford them an opportunity to comment thereon. It is the party’s or the party’s representative’s responsibility to submit written comments timely or a final determination may be made without such comments having been considered.
  2. The parties will be allowed a specified period of time from the receipt of the Draft Report and Recommendation to submit comments. Such comments must be in writing and confined to the evidence in the record. The parties shall provide copies of such comments to the Deputy Commissioner of Trials who will, upon receipt of all such comments, forward them to the adverse parties. Upon receipt of such comments, the Deputy Commissioner of Trials will finalize the Report and Recommendation. The Report and Recommendation will then be forwarded to the Police Commissioner along with the transcript of the proceeding, unless waived, all exhibits received in evidence, and any comments submitted by the parties pursuant to this section.
  3. If the Deputy Commissioner of Trials finds the respondent guilty of any charges, the respondent’s employment record will be reviewed prior to determining a recommended penalty. The respondent may review his or her employment record prior to its submission to the Deputy Commissioner of Trials.

§ 15-07 Penalties.

(a) The penalty imposed upon a respondent should take into account the respondent's employment history as well as the nature of the proven misconduct.
  1. Penalties shall be imposed upon a respondent consistent with applicable provisions of the Civil Service Law and Administrative Code of the City of New York.
  2. An alternative penalty may be agreed upon by the parties, pursuant to subdivision (h) of 38 RCNY § 15-04, outside the scope of applicable statutes.

§ 15-08 Final Review.

(a) After reviewing the record of the proceeding and the Report and Recommendation of the Trial Commissioner, the Police Commissioner will make a final determination. The Police Commissioner may approve the recommendation or modify the findings or the penalty consistent with the record.
  1. In the event a respondent enters a plea of guilty in return for a specific recommended sanction by the Trial Commissioner, and the Commissioner upon review imposes a greater sanction, the respondent will be allowed to accept the Commissioner’s penalty or withdraw his or her guilty plea and proceed to a Hearing.
  2. The written final determination shall be served on the respondent, his or her attorney or representative if one appeared at the Hearing, and the Advocate.

Subchapter B: Substantiated Civilian Complaints Against Uniform Members

§ 15-11 Definitions.

Chair. “Chair” means the Chair of the New York City Civilian Complaint Review Board.

Charges and Specifications. “Charges and Specifications” means a written accusation or accusations of misconduct against a uniform member of the Department, specifying the activity or conduct at issue, along with the date, time and place of occurrence.

Civilian Complaint Review Board. “Civilian Complaint Review Board” or “CCRB” means the New York City Civilian Complaint Review Board.

Department. “Department” means the New York City Police Department.

Department Advocate. “Department Advocate” or “DAO” means the Department Advocate or Assistant Advocates of the New York City Police Department.

Deputy Commissioner of Trials. “Deputy Commissioner of Trials” means the Deputy Commissioner or Assistant Deputy Commissioners in charge of New York City Police Department disciplinary hearings.

Executive Director. “Executive Director” means the Executive Director of the New York City Civilian Complaint Review Board.

FADO. “FADO” means allegations of excessive force, abuse of authority, discourtesy or offensive language contained in civilian complaints falling within the jurisdiction of the Civilian Complaint Review Board.

Police Commissioner. “Police Commissioner” or “Commissioner” means the Police Commissioner of the City of New York.

§ 15-12 Prosecution of Charges and Specifications.

(a) Upon substantiation by the Civilian Complaint Review Board (CCRB) of one or more FADO allegations contained in a civilian complaint against a uniformed member of the NYPD, CCRB shall notify the Police Commissioner of the substantiation and CCRB's disciplinary recommendation. Subject to the provisions of subdivision (b) of this section, civilian complaints found to be substantiated by the CCRB in which CCRB has recommended that Charges and Specifications be preferred shall be prosecuted by the CCRB pursuant to a Memorandum of Understanding (MOU) executed on April 2, 2012 by the CCRB and the Department during the period that such MOU is applicable.
  1. In those limited circumstances where the Commissioner determines that CCRB’s prosecution of Charges and Specifications in a substantiated case would be detrimental to the Department’s disciplinary process, the Commissioner shall notify CCRB of this determination. These instances shall be limited to cases in which 1) there are parallel or related criminal investigations, or 2) when, in the case of an officer with no disciplinary history or prior substantiated CCRB complaints, and based on such officer’s record and disciplinary history, the interests of justice would not be served.

Any request by the Commissioner for the CCRB to refrain from prosecution of Charges and Specifications in accordance with this section shall be made in writing to the CCRB, include a detailed explanation for such request and a statement detailing what discipline if any the Police Commissioner would pursue on such uniformed officer.

The CCRB may reject such request to refrain from prosecution within five business days of receipt of such request. Such rejection shall be made in writing and include a statement rebutting the Commissioner’s explanation for his or her request.

The Commissioner may deny such rejection within five business days of receipt of such rejection. Such denial shall be made in writing to CCRB and include a detailed response to CCRB’s rebuttal. Upon receipt of such denial the CCRB shall refrain from further prosecution of the case.

§ 15-13 Expedited Cases.

Upon receipt of notification that a complaint has been found to be substantiated by the CCRB accompanied by a recommendation that Charges and Specifications be preferred, the DAO shall inquire as to whether the nature of the substantiated allegation and the status of the subject officer requires expedited prosecution of the substantiated case. In such cases, or in similar cases where the need for such expedited prosecution arises while the prosecution is pending, the DAO shall advise CCRB’s Chair and Executive Director of the need for expedited prosecution. CCRB shall make every reasonable effort to conclude the prosecution within the required time frame. If CCRB determines that it will not be able to conclude the prosecution within the required time frame, CCRB will decline to prosecute the case and request that the DAO undertake the prosecution of such case.

§ 15-14 Other Misconduct.

If during the course of its prosecution of a substantiated civilian complaint, CCRB becomes aware of possible misconduct falling outside its FADO jurisdiction (such as the making of a false statement), which is alleged to have been committed by the subject officer, CCRB shall immediately refer the allegation of such other misconduct to NYPD for investigation. CCRB shall not itself undertake the prosecution of such other misconduct. CCRB shall provide assistance to NYPD as requested for purposes of investigation or prosecution of the alleged misconduct. If necessary, CCRB and the Department Advocate shall coordinate their prosecutions of such related cases.

§ 15-15 Assistance by Department and Application of Department Procedures and Disciplinary Policies.

CCRB personnel conducting administrative prosecutions pursuant to the MOU executed on April 2, 2012 shall familiarize themselves with and apply Department disciplinary policies and standards to the extent practicable and relevant. Attorneys and support staff shall be trained in all aspects of Department procedures and policies as they affect such administrative prosecution, including the provisions of Subchapter A of this Chapter. The Department shall provide all reasonable assistance requested by CCRB in the creation of a unit of attorneys and support staff responsible for conducting administrative prosecutions, including training and guidance in both legal and administrative matters. During the course of its administrative prosecution, CCRB’s prosecutorial staff may contact the DAO to request the assistance of Department personnel as needed to effectively evaluate, prepare, and prosecute the case. The DAO shall arrange for Department personnel to provide reasonable assistance to CCRB.

§ 15-16 Conclusion of Administrative Prosecution.

At the conclusion of the administrative prosecution, in all instances other than cases culminating in a report and recommendation by the Deputy Commissioner of Trials, the CCRB shall forward to the Commissioner a final recommendation reflecting the results of its prosecution of the case. The CCRB shall include all relevant forms, memoranda and background information to assist the Commissioner in making a final disciplinary determination. If the case culminated in a hearing before the Deputy Commissioner of Trials, the provisions of Subchapter A of this Chapter shall apply, subject to the provisions of 38 RCNY § 15-19.

§ 15-17 Police Commissioner’s Determination.

(a)  In all instances other than cases culminating in a report and recommendation by the Deputy Commissioner of Trials, upon receiving the final recommendation of CCRB with accompanying documents, the Commissioner may accept, reject, or modify the recommendation presented, or may ask CCRB for additional investigative or background information in its possession. He or she may also request further investigation or development of the record in the case to enable him or her to make a final determination in the case. If CCRB's recommendation is rejected or modified, CCRB will then be responsible for taking any appropriate follow-up action, such as proceeding with prosecution of the subject officer, engaging in additional investigation, or further developing the record in the case.
  1. The Department shall notify CCRB of the final disciplinary result and specific penalty in each case within thirty calendar days of the Commissioner’s final determination.

§ 15-18 Correspondence Following Final Determination of Substantiated Civilian Complaints.

In any case substantiated by the CCRB in which the Police Commissioner intends to impose discipline that is of a lower level than that recommended by CCRB or by the Deputy Commissioner of Trials, the Commissioner shall notify the CCRB, with notice to the subject officer, at least ten business days prior to the imposition of such discipline. Such notification shall be in writing and include a detailed explanation of the reasons for deviating from CCRB’s recommendation including but not limited to each factor the Commissioner considered in making his or her decision. The CCRB and the subject officer may respond to such a notification within five business days of its receipt, after which the Commissioner shall make a final determination.

§ 15-19 Confidentiality.

(a) Documents or verbal information provided to CCRB by the Department or created by CCRB pursuant to the MOU executed on April 2, 2012 shall be considered confidential to the extent provided by New York State Civil Rights Law § 50-a or any other applicable law. CCRB shall not disclose any such document or verbal information to any person, organization or agency without first notifying the Department's Deputy Commissioner, Legal Matters and providing the Deputy Commissioner, Legal Matters a reasonable opportunity to review the proposed disclosure. This restriction on disclosure shall not apply to disclosures to the Deputy Commissioner of Trials, DAO, or the Department's Internal Affairs Bureau.
  1. Notwithstanding the provisions of subdivision (a) of this section, the CCRB and Department may also exchange information pursuant to subdivision (b) of 38 RCNY § 15-12 and 38 RCNY § 15-18 to the extent that the disclosure of such information does not tend to reveal the identity of a party or witness involved in the investigation or prosecution of the substantiated civilian complaint which is the subject matter of the correspondence.

Subchapter C: Hearing Rules Governing Suspension and Revocation of Handgun Licenses, Rifle/shotgun Permits, Dealer’s, Gunsmith’s and Manufacturer’s Licenses, Organization Registration Certificates and Special Patrolman Designations

§ 15-21 Definitions.

Department. The term “Department” shall mean the New York City Police Department.

Handgun. The term “handgun” shall mean a pistol or revolver.

Hearing Officer. The term “Hearing Officer” shall mean an individual designated by the Police Commissioner to preside over hearings pertaining to suspension and revocation of handgun licenses, rifle/shotgun permits, dealer’s, gunsmith’s and manufacturer’s licenses, organization registration certificates and special patrolman designa- tions.

License. The term “License” shall mean a license or permit to possess handguns or rifles/shotguns, or to conduct business as a dealer, gunsmith or manufacturer, or the registration certificate allowing organizations to possess rifles or shotguns, or the granting of special patrolman designation.

License Division. The term “License Division” shall mean the New York City Police Department License Division.

Licensee. The term “Licensee” shall mean any person, business, organization or governmental agency which is requesting a hearing to contest a decision made by the Department regarding an individual license, permit or certificate.

Party. The term “Party” shall mean the Department or any licensee involved in a hearing.

Revocation. The term “Revocation” shall mean removal of a license and privilege to possess a handgun or rifle/shotgun and/or be designated a special patrolman, or to conduct business as a dealer, gunsmith, or manufacturer, or to possess rifles or shotguns as an organization.

Special Patrolman. The term “Special Patrolman” shall mean an individual who has been granted a designation as Special Patrolman by the Police Commissioner pursuant to New York City Administrative Code § 14-106.

Suspension. The term “Suspension” shall mean temporary removal of a license and privilege to possess a handgun or rifle/shotgun and/or be designated a Special Patrolman, or to conduct business as a dealer, gunsmith, or manufacturer, or to possess rifles or shotguns as an organization.

§ 15-22 Commencement of Proceedings.

(a) Entitlement to a Hearing. A licensee shall be entitled to submit a written request for a hearing following issuance of a Notice of Determination Letter notifying the licensee of suspension or revocation of a license and the opportunity for a hearing.
  1. Scheduling of Hearings. A licensee who wishes to request a hearing relating to a suspension or revocation shall submit a written request to the Commanding Officer, License Division, following the issuance of a Notice of Determination Letter, within 30 calendar days of the date on the Notice of Determination Letter. A licensee whose arrest or summons resulted in suspension or revocation of her/his license may only submit a written request for a hearing within thirty (30) calendar days after the termination of the criminal action, as defined in New York State Criminal Procedure Law § 1.20(16)(c). If the suspension or revocation resulted from the licensee becoming the subject of an order of protection or a temporary order of protection, the licensee may only submit a written request for a hearing within thirty (30) calendar days after the expiration or voiding of the order of protection or temporary order of protection. If the suspension or revocation was related to both a criminal action and an order of protection or temporary order of protection, then the later of the two waiting periods shall apply. The License Division shall schedule a hearing within a reasonable time of receipt of the request.
  2. Notice of Hearing. A licensee shall receive notification of the date, time and place of the hearing by regular mail addressed to the licensee’s last known address. Additionally, a licensee’s New York State licensed attorney shall receive notification, if the attorney has filed an appearance with the Department.

§ 15-23 Proceedings upon Default.

(a) Failure to Appear.

   (1) Upon a licensee’s failure to appear at a license suspension or revocation hearing, or any adjournment thereof, without good cause, it shall be deemed that the licensee does not contest the issues underlying the suspension or revocation of the license. The Hearing Officer may recommend the suspension or revocation of the license and/or may proceed to take testimony with regard to the merits of the case.

   (2) Notice of Default. The parties shall be notified of the Hearing Officer’s declaration of default.

   (3) Application to Vacate Default. An application for a rehearing and stay of default may be made within 20 calendar days of the date of the notification of default/hearing results. Such application shall be made to the Hearing Officer and may be granted upon a showing of good cause.

§ 15-24 Adjournments.

(a) A request for an adjournment shall be made at least 72 hours prior to the date of the hearing. An adjournment shall not be granted except for good cause shown.
    1. If an adjournment is granted, the adjourned hearing date may be marked final against the licensee requesting the adjournment.

   (2) Attorneys requesting an adjournment because of a conflicting engagement shall submit an Affirmation of Actual Engagement, setting forth the name of the court, case, and date and time of the proceedings.

§ 15-25 Evidence.

(a) Evidence.

   (1) Parties shall have the right to call witnesses, conduct examinations and cross-examinations, to present evidence, and make objections, motions and arguments.

   (2) The rules of evidence governing proceedings in the courts of this State shall not be strictly enforced at hearings. Objections shall be timely and the basis for the objection shall be clearly stated.

   (3) The introduction of cumulative or irrelevant evidence shall be avoided. The Hearing Officer may curtail the testimony of any witness which is deemed to be cumulative or irrelevant.

   (4) Parties may stipulate to facts involved in the proceedings. Stipulations shall be noted on the record and shall be approved by the Hearing Officer.

  1. Requests for Records. Licensees or their New York State licensed attorneys may request copies of records at least three weeks in advance of the date of the hearing. Documents shall not be provided in response to such request where: (1) the documents are privileged or confidential pursuant to law or rule, or (2) where disclosure of the documents would reveal investigative techniques, would impair active investigations or judicial proceedings, would constitute an unwarranted invasion of privacy, or would endanger the life or safety of any person.
  2. Oral Argument. Oral argument may be curtailed or limited, in the Hearing Officer’s discretion, and shall be included in the record.

§ 15-26 Hearing Officers and Representation of Parties.

(a) Hearing Officer.

   (1) The Hearing Officer shall serve both as impartial examiner and impartial judge and shall have the duty to conduct fair and impartial hearings, to take all necessary action to avoid delay in the disposition of the proceedings, and to maintain order. It shall be the duty of a Hearing Officer to inquire fully into all matters at issue and to obtain a full and complete record. The Hearing Officer shall write a Hearing Report which includes a recommended disposition. A Hearing Officer’s duties shall be restricted to adjudication and related matters.

   (2) The Hearing Officer shall have all powers necessary to conduct a hearing, including the power to administer oaths and affirmations, rule upon offers of proof, receive evidence, regulate the course of hearings and the conduct of the parties and their counsel and to hold conferences, both on and off the record, for settlements, simplification of issues, or any other proper purposes.

  1. Prosecuting Attorney. An attorney designated by the Department’s Legal Bureau may act as prosecutor to present the Department’s case.
  2. Representation of Licensees. Licensees may be represented by an attorney who is a member in good standing of the Bar of the State of New York.

§ 15-27 Conduct of Hearings.

(a) Public Access to Hearings. Hearings are generally open to the public. If good cause is shown by either party, the Hearing Officer may exclude the public from a particular hearing or portion of a hearing. Additionally, the public may be excluded at the Hearing Officer's discretion.
  1. General Provisions.

   (1) The Hearing Officer shall rule upon matters of procedure and introduction of evidence and shall conduct the hearing in such manner as will best serve the attainment of justice.

   (2) Licensees shall appear and testify at the hearing. They may submit evidence relevant to the matter under consideration. If a licensee fails to testify an adverse inference may be drawn against him or her by the Hearing Officer.

   (3) Any licensee desiring to subpoena a witness, document or other evidence may do so in the manner provided for in the New York Civil Practice Law and Rules. The Hearing Officer shall issue administrative subpoenas to necessary individuals and may issue administrative subpoenas upon request by a party.

   (4) No ex parte communications relating to other than ministerial matters regarding a proceeding shall be received by a Hearing Officer, including internal agency directives not published as rules.

  1. Disposition by Settlement. Informal disposition may be made of any matter which is the subject of an adjudication by means of stipulation, agreed settlement or consent order.
  2. Transcripts. All hearings shall be recorded on a tape recorder. A transcript of the hearing may be ordered by any party to the hearing. The transcript shall be provided upon payment of reasonable transcription costs.

§ 15-28 Hearing Officer’s Report and Recommendation.

(a) After the conclusion of the hearing, the Hearing Officer shall prepare a written hearing report and recommended disposition. The report shall include a statement of the issues, findings of fact, and conclusions of law, as well as the reasons and basis therefor. Findings of fact shall be based exclusively upon all the material issues of fact and law presented in the record. The Division Head, License Division shall review the report and recommendation and make a final determination. S/he may approve the recommendation or modify the findings or the penalty consistent with the record. The Division Head's determination is the final administrative determination.
  1. Licensees shall receive a copy of the Hearing Officer’s report and the Division Head’s final determination, by regular mail, within a reasonable time after the conclusion of the hearing.

§ 15-29 Penalties.

Appropriate penalties may be imposed upon a licensee including suspension or revocation of the license.

Chapter 17: Prohibited Assault Weapons

§ 17-01 Assault Weapons Designated.

(a) Pursuant to Subparagraph 7 of Paragraph a of Subdivision 16 of § 10-301 of the New York City Administrative Code, the following makes and models of weapons are determined to be particularly suitable for military and not sporting purposes and are determined to be within the statutory definition of assault weapon as set forth in § 10-301 (16) of the New York City Administrative Code:

   (1) Models CALICO M-900 CARBINE, CALICO M-100 CARBINE manufactured by AMERICAN INDUSTRIES,

   (2) Models LIGHTNING 25-22, AP-74 manufactured by AMT,

   (3) Model AR-180 manufactured by ARMALITE,

   (4) Model .223 SAC manufactured by AUSTRALIAN AUTOMATIC ARMS,

   (5) Models M-1-SA, 1927-A1-SA manufactured by AUTO ORDINANCE,

   (6) Model LIGHT 50 82-AL manufactured by BARRETT FIREARMS,

   (7) Models AR70, BM 59 manufacutured by BERETTA,

   (8) Model ASSAULT RIFLE manufactured by BUSHMASTER FIREARMS,

   (9) Model SR-88 manufactured by CHARTERED FIREARMS INDUSTRIES,

   (10) Models AR-15 manufactured by COLT,

   (11) Models MAX-1, MAX-2, K1A1, K2, USAS-12 SHOTGUN manufactured by DAEWOO INDUSTRIES,

   (12) Models C90, C100, C450 manufactured by DMAX INDUSTRIES,

   (13) Model MK-IV CARBINE manufactured by ENCOM,

   (14) Models FN-FAL, FN-LAR, FN-FNC manufactured by FABRIQUE NATION- ALE,

   (15) Model MAS 223 manufactured by FAMAS,

   (16) Models AT-9 CARBINE, AT-22 CARBINE manufatured by FEATHER INDUS- TRIES,

   (17) Models XC-450 AUTO OCARBINE, XC-220, XC-900 manufactured by FEDERAL ENGINEERING CORPORATION,

   (18) Models SPAS-12, LAW-12 PUMP AUTO SHOTGUNS manufactured by FRANCHI,

   (19) Model GC HIGH TECH CARBINE manufactured by GONCZ COMPANY,

   (20) Models HK-91, HK-93, HK-94, PSG-1, G3-SA manufactured by HECKLER & KOCH,

   (21) Models UZI-CARBINE, MINI-UZI CARBINE, GALIL-ARM, GALIL-AR, GALIL-SAR, GALIL-SNIPER manufactured by ISRAELI MILITARY INDUSTRIES,

   (22) Model PM-30 PARATROOPER manufactured by IVER JOHNSON,

   (23) Models AP-74, AP-84, AP-80, AP-85, SPECTRE AUTO CARBINE manufactured by MITCHELL ARMS,

   (24) Models of the KALASHNIKOV type SEMIAUTOMATIC, including those manufactured by NORINCO (China) and HUNGARIAN ARMS,

   (25) Models NDM-86 SNIPER RIFLE manufactured by NORINCO,

   (26) Model M-14S manufactured by POLYTECH INDUSTRIES,

   (27) Model MINI-14/5F manufactured by RUGER,

   (28) Models 57-AMT, PE-57, SG550SP, SG551SP manufactured by SIGARMS,

   (29) Model L1A1A manufactured by SMALL ARMS FACTORY, AUSTRALIA,

   (30) Models BM-59, SAR-48, SAR-58, SAR-3, M-1A manufactured by SPRINGFIELD ARMORY,

   (31) Model MK-6 manufactured by STERLING,

   (32) Model AUG-SA manufactured by STEYR DAIMLER-PUSCH,

   (33) Models M-76-SA, M-78-SA manufactured by VALMET CORPORATION, and

   (34) Model NIGHTHAWK manufactured by WEAVER ARMS CORPORATION

§ 17-02 Disposition of Assault Weapons by Permittees, Licensees and Previously Exempt Persons.

(a) Permittees, licensees and previously exempt persons, as described in Subdivision d of § 10-303.1 of the New York City Administrative Code, shall, within ninety days of the effective date of these Rules, dispose of their assault weapons pursuant to such subdivision. All assault weapons possessed by such permittees, licensees and previously exempt persons shall be subject to the provisions of such subdivision, whether defined as assault weapons in subdivision 16 of § 10-301 or in these Rules.

§ 17-03 Effective Date.

(a) These Rules shall take effect in accordance with the provisions of Section 1043 of the New York City Charter, provided, however, that these Rules shall not take effect prior to the effective date of Local Law 78 of 1991.

Chapter 18: Seizure of Bicycles Pursuant To Administrative Code § 19-176

§ 18-01 Seizure of Bicycles.

Pursuant to Administrative Code § 19-176(c) a bicycle operated on a sidewalk under circumstances which create a substantial risk of physical injury to another person may be seized and impounded by a police officer or designated employee of the Department of Transportation, Department of Parks and Recreation or the Department of Sanitation.

§ 18-02 Notice.

At the time of such seizure the operator shall be given a written notice explaining the procedures for obtaining release of the bicycle. The notice shall include a brief description of the bicycle, the location where the bicycle may be claimed, the applicable charges for removal and storage, and instructions on the steps necessary to request an Environmental Control Board hearing. The notice shall also include a conspicuous notification to the operator and/or owner that he or she is required to contact the agency in possession of the bicycle to inform that agency if and when a hearing is scheduled on the matter. If the operator is not the owner of the bicycle notice to the operator is deemed to be notice to the owner. If the operator is less than eighteen years old, the notice shall either be personally delivered to the operator’s parent or guardian or shall be mailed to the parent, guardian, or, where applicable, employer if the name and address of that person is reasonably ascertainable.

§ 18-03 Procedure for Obtaining Release of Bicycles.

(a)  A bicycle seized pursuant to Administrative Code § 19-176 shall not be released to the owner or other person lawfully entitled to possession unless:

      (i) the owner or operator submits documentation that he or she paid all applicable fines or penalties imposed for the violation, and pays all removal and storage fees as set forth below, or

      (ii) if there is a proceeding pending before the Environmental Control Board of the City of New York (ECB), the owner or operator posts a bond or other form of security in the amount of one hundred and fifty dollars ($150.00) which will secure the payment of such fines, penalties or charges, or

      (iii) a court or the ECB adjudicates the violation and finds in favor of the operator or owner. If there is such a finding in favor of the operator or owner, any amount previously paid for release of the bicycle shall be refunded.

  1. The operator or owner of a bicycle seized pursuant to Administrative Code § 19-176 will be given the opportunity to receive a hearing before the ECB with respect to the seizure within five business days of the request for such a hearing in accordance with the rules and procedures of the ECB.
  2. The owner or operator may request release of the bicycle by appearing during regular business hours at the location where the bicycle may be claimed, and presenting all of the following documentation:

      (i) satisfactory identification of the person requesting release of the bicycle; and

      (ii) if a representative of the owner is requesting the release, a notarized letter signed by the owner expressly authorizing their representative to claim the bicycle; and

      (iii) satisfactory documentation as required by subdivision a of this section of one of the following: the payment of all fines, penalties and charges, or the posting of a bond, or an adjudication in favor of the operator by a court or the ECB.

§ 18-04 Abandoned Bicycles.

Any bicycle seized pursuant to Administrative Code § 19-176, which is not released and removed from City property pursuant to 38 RCNY § 18-3 of these rules within 10 days following the making of a request by a representative of the Police Commissioner or of the Commissioner of Transportation or Parks and Recreation, or Sanitation to remove it, shall be deemed to be abandoned. Such request shall be mailed to the operator of the bicycle, or to the owner of the bicycle if the owner’s identity is reasonably ascertainable. If the operator is less than 18 years old, the notice shall be mailed to the operator’s parent or guardian, if the name and address of that person is reasonably ascertainable, in lieu of a mailing to the operator. A bicycle will not be deemed abandoned while a respondent is awaiting a hearing or adjudication in reference to such bicycle provided the respondent complies with all sections of this chapter. A respondent awaiting a hearing regarding a seized bicycle is required to notify the agency in possession of the bicycle of the date(s) of all hearings to be held in reference to such bicycle. If a bicycle is deemed abandoned pursuant to this section it may be disposed of in the same manner that the Department disposes of other abandoned property.

§ 18-05 Removal and Storage Charges.

The charge for removal of a bicycle pursuant to this section shall be twenty-five dollars ($25.00). The storage fee for storing a bicycle pursuant to this section shall be five dollars ($5.00) per day or fraction thereof computed from the day the bicycle arrives at the storage facility. All charges must be paid in cash, by certified check or by money order payable to the City of New York.

Chapter 19: Rules For Processions and Parades

§ 19-01 [Definitions of Disorderly Parade and Occasions of Extraordinary Public Interest.]

(a)  For purposes of § 10-110(a)(1) of the administrative code of the city of New York, a parade or procession that is "disorderly in character or tends to disturb the public peace" is one that violates subdivisions 1, 4, 5, 6 or 7 of § 240.20 of the Penal Law, and would otherwise present an unreasonable danger to the health or safety of the applicant, parade participants or other members of the public, or cause damage to public or private property.
  1. For purposes of § 10-110(a)(4) of the administrative code of the city of New York, “occasions of extraordinary public interest” are celebrations organized by the City honoring the armed forces; sports achievements or championships; world leaders and extraordinary achievements of historic significance.

§ 19-02 Definitions.

For purposes of these rules, the following terms shall have the following meanings:

  1. A “parade” is any procession or race which consists of a recognizable group of 50 or more pedestrians, vehicles, bicycles or other devices moved by human power, or ridden or herded animals proceeding together upon any public street or roadway.
  2. “Same date or time” shall mean the same actual time period or hours.
  3. “Same location” shall mean the location identified in the permit application.
  4. “Demonstration” shall mean a group activity including, but not limited to, a meeting, assembly, protest, rally or vigil, moving or otherwise, which involves the expression of views or grievances, involving more than 20 people.
  5. “Fifth Avenue” shall mean Fifth Avenue in the borough of Manhattan south of 114th Street and north of 15th Street.
  6. “Applicant” shall mean the person or entity that applies for a permit authorizing a parade. Any person or entity responsible for organizing a parade, or any person or entity that publicizes a parade through advertisements or other means of mass communication, is authorized to act as the applicant.
  7. “Charitable Athletic Parade” shall mean an athletic parade which is open to the public, the organizers of the event charge no fee or only an administrative fee for participation in the event and the proceeds of the event must be donated to a not-for-profit/charitable organization.
  8. “Non-Charitable Athletic Parade” shall mean an athletic parade designed for public participation for which a fee is paid to the organizers by individual members of the public to participate. Payments required from participants to participate in the event by organizers shall be considered a fee. Non-Charitable Athletic Parades shall be subject to fees pursuant to 38 RCNY § 19-05(c).
  9. “Administrative Fee” shall mean a fee collected by the organizers of a Charitable Athletic Parade which is intended solely to defray the administrative costs of the event.

§ 19-03 Applications.

(a)  An application for a permit will be made at least thirty-six hours prior to the date upon which the parade is to occur.
  1. An application in a form prescribed by the Department must be filed with the precinct in which the parade formation area is located; provided, however, that applications for parade routes including any portion of Fifth Avenue in the borough of Manhattan or for parades with 1,000 or more participants must be filed with the office of the Chief of Department.

   (1) Applications must be completed by clearly typing or printing the information requested. The original application must be signed, notarized and filed with the appropriate precinct or the office of the Chief of Department.

   (2) The application must contain the following information:

      (i) the name, address and telephone number of the applicant;

      (ii) if the application is made on behalf of a corporation, organization or association, it must be signed by a representative of the corporation, organization or association giving the full name and relationship to the corporation, organization or association, if any, and a statement as to the source of the representative’s authority to sign the application, if any;

      (iii) the nature or purpose of the parade;

      (iv) the date, time and route of the parade;

      (v) the locations and approximate times for formation and dismissal of the parade;

      (vi) the number of participants, animals and/or vehicles which will constitute the parade and a description of such vehicles and animals;

      (vii) the width of the roadway to be occupied by the parade;

      (viii) the location of any reviewing stands;

      (ix) whether rifles or shotguns will be carried by parade participants;

      (x) the identity of any grand marshal or chief officer of the parade, his or her name, address and telephone number; and

      (xi) any additional information that the Department shall reasonably require to make a fair determination as to whether a permit should issue under 38 RCNY § 19-04 below.

§ 19-04 Approval/Disapproval Procedures.

(a)  The permittee will be notified by the precinct, relevant patrol borough or office of the Chief of Department if his or her application for a permit is approved or disapproved.
  1. If the application is disapproved, the applicant will be notified in writing of the basis for such disapproval.
  2. Permits shall be approved or disapproved as follows:

      (i) for applications filed 90 or more days prior to the date for which the permit is sought, such permit shall be approved or disapproved no later than 45 days prior to the date for which such permit is sought.

      (ii) for applications filed less than 90 days but more than 30 days prior to the date for which such permit is sought, such permit shall be approved or disapproved no later than 10 days prior to the date for which such permit is sought.

      (iii) for applications filed less than 30 days but more than 10 days prior to the date for which such permit is sought, such permit shall be approved or disapproved no later than 5 days prior to the date for which such permit is sought.

      (iv) for applications filed less than 10 days but at least thirty-six hours prior to the date for which such permit is sought, such permit shall be approved or disapproved as soon as reasonably practicable.

      (v) for applications filed less than thirty-six hours prior to the date for which such permit is sought only where exigent circumstances exist which prevented the applicant from earlier seeking a permit, such permit shall be approved or disapproved pursuant to subdivision (d) of the section as soon as reasonably practicable, but may also be disapproved where the size or nature of the parade reasonably requires an additional police presence and there is insufficient time to make such presence available.

  1. Permits will be disapproved under § 10-110 of the administrative code under the following circumstances:

      (i) The application, including any required attachments and submissions, is not fully completed and executed.

      (ii) The application contains a material falsehood or misrepresentation.

      (iii) A permit or other authorization has been granted to another person or group in conjunction with a parade, street fair, demonstration or other event for the same date or time and the same location requested, or permits or other authorizations have traditionally, on an annual basis, been granted to another person or group for a parade, street fair, demonstration or other event for the same date or time and the same location.

      (iv) The proposed activity and surrounding events will substantially or unreasonably interfere with traffic in the area contiguous to the parade route.

      (v) The concentration of persons, animals, vehicles or things at the formation and dismissal areas, along the parade route and in nearby areas will prevent proper fire and police protection or ambulance service.

      (vi) The application proposes activities which would violate subdivisions 1, 4, 5, 6 or 7 of § 240.20 of the Penal Law, and would otherwise present an unreasonable danger to the health or safety of the applicant, parade participants or other members of the public, or cause damage to public or private property.

      (vii) The application proposes activities which would be in violation of law, rule or regulation.

      (viii) The application seeks to hold a parade on Fifth Avenue in the borough of Manhattan, unless the parade was held at that location prior to the promulgation of these rules. If a permit is disapproved under paragraphs (iii), (iv), (v) or (viii) of this subdivision, the Department shall employ reasonable efforts to offer the applicant a suitable alternative location, date and/or time for the parade.

  1. If an application is disapproved, the applicant may appeal the determination by written request filed with a designated appeals officer who may reverse, affirm or modify the original determination and will provide a written explanation of his or her finding.

      (i) If a permit application is disapproved 45 days or more prior to the proposed parade, the applicant shall have 10 days from the date that such disapproval is mailed to the applicant to appeal such disapproval. The Department shall render a decision on such appeal within 10 days of its receipt of such appeal.

      (ii) If a permit application is disapproved less than 45 days but more than 10 days prior to the proposed parade, the applicant shall have 5 days from the date such disapproval is mailed to the applicant to appeal such disapproval. The Department shall render a decision on such appeal within 5 days of its receipt of such appeal.

      (iii) If a permit application is disapproved 10 days or less prior to the proposed parade, the applicant shall have 3 days from the date such disapproval is mailed to the applicant to appeal such disapproval. The Department shall render a decision on such appeal as soon as is reasonably practicable.

§ 19-05 Fees for Non-Charitable Athletic Parades.

(a) The Chief of Department shall assess the fees set forth in subdivision c of this section for non-charitable athletic parades occurring on or after January 1, 2012.
  1. The Chief of Department shall charge an applicant a fee in accordance with the following schedule, which shall be in addition to any fee requirement imposed by the Department of Sanitation or any other fee imposed by any city agency.
  2. Application may be submitted no sooner than 180 days before the event and no later than ten days before the event.

   (i) Applications submitted between 180 days and 120 days before the event shall receive the fee assessment associated with the event no later than 90 days before the event.

   (ii) Applications submitted less than 120 days but 90 days or more before the event shall receive the fee assessment associated with the event no later than 45 days before the event.

   (iii) Applications submitted less than 90 days but 30 or more days before the event shall receive the fee assessment associated with the event no later than 10 days before the event.

   (iv) Applications submitted less than 30 days but 10 or more days before the event shall receive the fee assessment as soon as reasonably practical.

  1. Fees assessed must be paid prior to the event.
  2. The fee shall be calculated as 100% of the Police Department’s traffic control costs based upon number of police department personnel (“MOS”) in the ranks of traffic enforcement agent and associate traffic agents, police officer, detective, sergeant and lieutenant, needed to safely perform traffic control functions as determined by the Office of the Chief of Department. However, for events which occur between January 1, 2012 and December 31, 2012 the fee assessed shall be 70% of the calculated fee.
Size of Event Number of MOS Performing Traffic Control Functions Traffic Control Cost*
Extra Small 0 - 99 up to $100,000
Small 100 - 499 up to $500,000
Medium 500 - 999 up to $1,000,000
Large 1,000 - 1,999 up to $2,000,000
Extra Large 2,000 or more $2,000,000 or more

~

* The fee amount shall be calculated based upon the salary, overtime and benefit costs of police department personnel at the rate in effect on the date the assessment is issued.

   (i) Event plans will be developed and events staffed at the sole discretion of the Police Department, based upon the projected attendance numbers, type of event, traffic/pedestrian volume, geographic location, along with other relevant public safety factors.

   (ii) In no event will organizers be charged an additional post-event fee.

   (iii) Upon written request made within 30 days after the event, organizers shall be provided with an accounting of the actual traffic control costs for the event. Such accounting will be provided within sixty days of the request.

   (iv) Fees paid in excess of the actual traffic control costs shall be refunded.

  1. This fee does not apply to the following:

   (i) City-sponsored events;

   (ii) “Occasions of extraordinary public interest” as defined in 38 RCNY § 19-01(b);

   (iii) Demonstrations, as defined in 38 RCNY § 19-02(d);

   (iv) Charitable Athletic Parades; or

   (v) Non-athletic Parades.

Chapter 23: Requesting Declarations for T Nonimmigrant Status (T Declarations)

§ 23-01 Introduction.

In 2000, Congress passed the Victims of Trafficking and Violence Protection Act to encourage victims, regardless of immigration status, to report crimes, and to support law enforcement efforts to investigate and prosecute human trafficking, such as sex or labor trafficking as defined by federal law. The law authorized T nonimmigrant status (commonly referred to as “T visa”), which can be sought by immigrants who are victims of a severe form of human trafficking and who assist law enforcement in the investigation or prosecution of human trafficking. T nonimmigrant status is issued by the United States Citizenship and Immigration Services (“USCIS”), and once granted it provides these victims with temporary nonimmigrant status so that they can remain in the United States.

Immigrant victims must satisfy several federal statutory requirements to apply for T nonimmigrant status, which include demonstrating that he or she has been a victim of a severe form of human trafficking and has complied with any request from a law enforcement agency for assistance in the investigation or prosecution of human trafficking. A primary way that victims can demonstrate this is to submit a law enforcement declaration. Although this declaration is not required for the T nonimmigrant status application, USCIS considers the signed law enforcement declaration as primary evidence that the victim has been the victim of a severe form of human trafficking and is assisting or has assisted in the investigation or prosecution of human trafficking.

Victims may apply for declarations on their own, and the assistance of an attorney is not required. Under the law, law enforcement agencies, such as the New York City Police Department (“Department”), have the discretion to approve or deny a declaration. The Department is committed to serving all communities in the City of New York, especially those vulnerable to victimization, and recognizes the value of completing declarations and supporting immigrant victims of human trafficking who are helpful in investigations or prosecutions.

§ 23-02 Definitions.

"Applicant" means a victim of human trafficking who is petitioning USCIS for T nonimmigrant status, or a person or organization who requests a T declaration on behalf of such a victim of human trafficking.

“Department” means the New York City Police Department.

“Derivative T nonimmigrant status” means a temporary nonimmigrant status of four years or less granted to one or more qualifying family members, as prescribed in 8 U.S.C. § 1101(a)(15)(T)(ii), of a victim of human trafficking who has been granted T nonimmigrant status.

“Human trafficking” means severe forms of trafficking in persons, including labor or sex trafficking, as defined by 22 U.S.C. § 7102(9) and 8 C.F.R. § 214.11(a).

“T declaration” means USCIS Form I-914, Supplement B, Declaration of Law Enforcement Officer for Victim of Trafficking in Persons, a document that the Department may, at its discretion, review free of charge for eligible victims of human trafficking who are petitioning USCIS for T nonimmigrant status.

“T nonimmigrant status” means a temporary nonimmigrant status granted by USCIS to certain victims of human trafficking.

§ 23-03 Request for T Declaration.

(a) Letter or electronic mail (e-mail) submission required. An applicant requesting a T declaration from the Department must send a letter or e-mail in accordance with the requirements of this section. The applicant must type or clearly print the letter or type the e-mail. The letter or e-mail may be typed or printed in the applicant's preferred language.
  1. Required information. The letter or e-mail must:

   (1) Provide the victim’s full name (including any middle names and other names, such as maiden names or nicknames), date of birth, gender, phone number, and address;

   (2) Describe the nature of the human trafficking, including the date(s) and location(s) of the occurrence(s);

   (3) Specify how the victim has complied with the Department’s requests for assistance in the investigation or prosecution of human trafficking;

   (4) Designate a return mailing address and, if available, an e-mail address directing where, and to whom, the Department may send written correspondence related to the request; and

   (5) If applicable, specify any of the following circumstances:

      i. The victim is in U.S. Immigration and Customs Enforcement (ICE) custody,

      ii. The victim is in immigration proceedings for removal or deportation from the United States, and/or

      iii. One or more qualifying family members of the victim will become, within 3 months of the date of the letter, ineligible for derivative T nonimmigrant status, based on the victim’s or the qualifying family member’s age.

  1. Submission. The applicant must submit the letter or e-mail to the Department’s designated T declaration office, as prescribed on the Department’s website.

§ 23-04 Department Response and Appeals.

(a) Department response. Within 45 days of receiving a request for T declaration, the Department will notify the applicant, either in a letter or e-mail sent to the applicant's designated return mailing address or e-mail address, that: (1) the request is approved or denied, or (2) the request requires more than 45 days of review. If the request is denied, the Department will also notify the applicant of the basis for the denial and the process for appealing the denial ("Department denial letter or e-mail"). If the request requires more than 45 days of review, the Department will also provide a reasonable estimate of when a determination will be made.
  1. Appeals.

   (1) Within 90 days of the date of the Department denial letter or e-mail, an applicant appealing a denial of a request for a T declaration must mail a typed or clearly printed letter to the Department’s designated T declaration appeals office as specified by the Department denial letter or e-mail. The applicant’s letter must state the basis for appeal and include with the letter a copy of the Department denial letter or e-mail.

   (2) Within 60 days of receiving an applicant’s letter appealing a denial, the Department will send a letter to the applicant’s designated return mailing address notifying the applicant that the appeal:

      (i) is rejected and the initial denial is upheld; or

      (ii) is granted and the Department will issue a T declaration; or

      (iii) requires more than 60 days to review, in which case the Department will also provide a reasonable estimate of when a determination will be made.

Chapter 22: Requesting Certifications for U Nonimmigrant Status (U Certifications)

§ 22-01 Introduction.

In 2000, Congress passed the Victims of Trafficking and Violence Prevention Act to encourage victims regardless of immigration status to report crimes and contribute to investigations and prosecutions and to support law enforcement efforts to investigate and prosecute crimes committed against immigrant victims. The law authorized U nonimmigrant status, which can be sought by immigrant victims of certain crimes who previously assisted, are currently assisting, or are likely to be helpful to law enforcement in the investigation or prosecution of the crime. U nonimmigrant status is issued by the United States Citizenship and Immigration Services (“USCIS”), and once granted it provides these victims with temporary nonimmigrant status so that they can remain in the United States while assisting law enforcement.

To be eligible for U nonimmigrant status, immigrant victims must satisfy several federal statutory requirements, which include a completed law enforcement certification. Immigrant victims may apply for certifications on their own, and the assistance of an attorney is not required. Under the law, local law enforcement agencies, such as the New York City Police Department (“NYPD”), have the discretion to approve or deny a request for certification. Certifications issued by the NYPD are free of charge. The NYPD is committed to serving all communities in the City of New York, especially those vulnerable to victimization, and recognizes the value of completing certifications and supporting immigrant victims of crime who are helpful in investigations or prosecutions.

§ 22-02 Definitions.

"Applicant" means a victim of a qualifying crime who requests U certification, or a person or organization who requests a U certification on behalf of a victim of a qualifying crime.

“Department” means the New York City Police Department.

“Derivative U nonimmigrant status” means a temporary nonimmigrant status of four years or less granted to one or more qualifying family members, as prescribed in 8 U.S.C. § 1101(a)(15)(U)(ii), of a victim who has been granted U nonimmigrant status.

“Qualifying crime” means the categories of crimes prescribed by 8 U.S.C. § 1101(a)(15)(U)(iii) and 8 C.F.R. § 214.14(a)(9).

“U nonimmigrant status” means a four year temporary nonimmigrant status granted to certain victims of qualifying criminal activity, as designated by U.S. Citizenship and Immigration Services (USCIS).

“U certification” means USCIS Form I-918, Supplement B, U Nonimmigrant Status Certification, a document that the Department may, at its discretion, complete free of charge for an eligible victim of a qualifying crime who is petitioning USCIS for U nonimmigrant status.

§ 22-03 Request for U Certification.

(a) Letter required. An applicant requesting a U certification from the Department must submit a letter in accordance with the requirements of this section. The applicant must type or clearly print the letter. The letter may be printed in the applicant's preferred language.
  1. Required information. The letter must:

   (1) Provide the victim’s full name (including any middle names and other names, such as maiden names or nicknames), date of birth, gender, phone number, and address;

   (2) Describe the qualifying crime(s), including the date(s) and location(s) of the occurrence(s);

   (3) Specify how the victim has assisted, is assisting, or is likely to be helpful to the Department in the investigation or prosecution of the qualifying crime(s);

   (4) Designate a return mailing address directing where, and to whom, the Department may send written correspondence related to the request; and

   (5) If applicable, specify any of the following circumstances:

      i. The victim is in U.S. Immigration and Custom Enforcement (ICE) custody.

      ii. The victim is in immigration proceedings for removal or deportation from the United States, and/or

      iii. One or more qualifying family members of the victim will become, within 3 months of the date of the letter, ineligible for derivative U nonimmigrant status, based on the victim’s or the qualifying family member’s age.

  1. Submission. The applicant must submit the letter by mail to the Department’s designated U certification office, as prescribed on the Department’s website.

§ 22-04 Department Response and Appeals.

(a) Department response. Within 45 days of receiving a request for U certification, the Department will notify the applicant, in a letter sent to the applicant's designated return mailing address, that: (1) the request is approved or denied, or (2) the request requires more than 45 days of review. If the request is denied, the Department will also notify the applicant of the basis for the denial and the process for appealing the denial ("Department denial letter"). If the request requires more than 45 days of review, the Department will also provide a reasonable estimate of when a determination will be made.
  1. Appeals.

   (1) Within 90 days of the date of the Department denial letter, an applicant appealing a denial of a request for a U certification must mail a typed or clearly printed letter to the Department’s designated U certification appeals office as specified by the Department denial letter. The applicant’s letter must state the basis for appeal and include a copy of the Department denial letter.

   (2) Within 90 days of receiving an applicant’s letter appealing a denial, the Department will send a letter to the applicant’s designated return mailing address notifying the applicant that the appeal:

      (i) is rejected and the initial denial is upheld; or

      (ii) is granted and the Department will issue a U certification; or

      (iii) requires more than 90 days to review, in which case the Department will also provide a reasonable estimate of when a determination will be made.