N.Y. Comp. Codes R. & Regs. tit. 21 § 1.21

Current through Register Vol. 46, No. 50, December 11, 2024

Section 1.21 - Probationary registrations and licenses

(a) Any person whose application for a license has been denied or whose license has been revoked, or any person whose application for registration has been denied or whose registration has been revoked and who has never before submitted an application or petition to the commission seeking inclusion in the register after the final order of denial or revocation of registration by the commission, may, upon application to the commission, be granted leave to apply for a probationary registration or license. Any such person whose application for registration has been denied or whose registration has been revoked must file his application for a probationary registration within one year of the commission's final order of denial or revocation. (For the purposes of this section, petitions for rehearing or reconsideration made substantially contemporaneously with the commission's order of denial or revocation of registration shall not be considered as constituting a prior application or petition to the commission which seeks inclusion in the register.) Any person who is ineligible to apply for probationary registration pursuant to the foregoing provisions of this section may apply to the commission for the removal of his ineligibility so that such person would not be disqualified, because of his previous denial or revocation, from applying for registration upon the next occasion that the commission opens the register pursuant to section 5-p of the Act.

(b)

(1) Any person who has been granted such leave to apply for a probationary registration or license shall provide all the information required in the application for such status and shall complete said application pursuant to the instructions therein.

(2) Where any such applicant is recommended for probationary status by another person who is willing to act as his sponsor, such sponsor shall certify in the aforesaid application that he desires to sponsor the applicant, that he agrees to undertake the supervision of the applicant during such probationary period and that he shall use his best efforts to insure the applicant's compliance with the Waterfront Commission Act, the terms and conditions of the probation and all other laws.

(c)

(1) Upon receipt of a completed and properly executed application, the staff member designated by the commission to supervise the probationary case shall, if appropriate, forward said application to the division of police of the commission for a preliminary report on said applicant.

(2) After receipt of the preliminary report, the said staff supervisor shall determine whether or not a permit or registration on a probationary status should be granted or denied, and shall submit his recommendation with respect thereto to the commission. If the staff supervisor recommends that a probationary status be granted, he shall also recommend the terms and conditions which he deems appropriate to impose on the probationer, which may include, among others, the following:

(i) That the waterfront employment of the probationer shall be confined to a designated area of the waterfront.

(ii) That the business associations of the probationer shall not include certain individuals, associations and/or groups.

(iii) That the personal associations of the probationer shall not include certain individuals or groups of individuals.

(iv) That the probationer and/or his sponsor shall periodically report to the staff supervisor who shall review the conduct and activity of the probationer.

(d)

(1) If, in the commission's opinion, granting of probation is warranted, the commission shall grant such probation for a period not exceeding six months upon such appropriate terms and conditions.

(2) The staff supervisor shall inform the applicant and the applicant's sponsor, if any, of the commission's action and of the terms and conditions imposed upon the applicant during the period of probationary status. To grant probationary status, the order denying the probationer's application or revoking his registration or license shall then be amended so as not to be effective until further order of the commission.

(3) If the prospective probationer accepts the terms and conditions imposed, the probationer shall report personally at a time designated to the staff supervisor. In addition to such periodic reports by the applicant, the sponsor of the applicant, if any, shall make periodic reports at times designated to the staff supervisor.

(e) If during the six-month period of probation the commission does not receive any information indicating that the probationer has violated any of the provisions of the Act or any of the terms and conditions imposed or any other laws, the staff supervisor assigned to review the conduct of the probationer shall, immediately prior to the expiration of the six-month probationary period, determine and recommend to the commission whether to terminate the probationary status or whether to continue it for an additional six-month period. The same procedure shall be followed upon the expiration of any additional probationary periods.

(f) If the staff supervisor shall receive information indicating that the terms and conditions of probation have been violated by the probationer, or that the probationer has violated any of the provisions of the Waterfront Commission Act or any other laws, the staff supervisor shall, upon receipt of appropriate evidence of such violation, recommend that a hearing be held to determine whether the probationary terms and conditions, or whether any of the provisions of the Waterfront Commission Act or any other laws, have been violated by the probationer.

(g) If the staff supervisor's recommendation for a hearing is approved, he shall give the probationer sufficient notice of the time and place of said hearing and of the issues to be considered at such hearing. The hearing shall be conducted by a person designated by the commission, who shall have the authority and powers of an administrative judge under section 6.9 of this Title. The probationer shall have an opportunity to appear at such hearing and may be assisted or represented by counsel or any qualified person, including the probationer's sponsor, and shall be so advised in the notice of hearing. At the hearing, the probationer may testify in his own behalf and may present witnesses in his own behalf. If the alleged violations to be heard are of such a nature that the commission is of the opinion that the continuance of the probationary status pending the outcome of the hearing is inimical to the public peace or safety, the commission may order the immediate suspension of the probationary registration or license pending final determination of the hearing.

(h) After the conclusion of the hearing, the person conducting the hearing shall make such findings as he deems appropriate upon the issues contained in the notice of hearing, and shall submit such findings to the commission, together with his recommendation for revocation or continuance of the probationary status upon any additional terms or conditions as he may deem appropriate.

(i) The commission shall determine, upon consideration of the findings and recommendations and any other pertinent information that may be submitted or received, whether the probationary status shall be revoked or continued, and, if continued, whether any additional terms and conditions of probation shall be imposed.

N.Y. Comp. Codes R. & Regs. Tit. 21 § 1.21