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Department of Small Business Services
Codified Title: 
Title 66: Department of Small Business Services

Proposed Rules: Closed to Comments

Agency:
Comment By: 
Tuesday, January 31, 2017
Proposed Rules Content: 

 Statement of Basis and Purpose

  During the 2014-15 and 2015-16 school years, the Department of Small Business Services (DSBS) administered a grant program to support the employment of experienced school bus workers who have been impacted by changes in the Department of Education’s (DOE) contracts for school bus transportation.  Pursuant to the authority vested in DSBS by New York City Charter § 1301, DSBS is proposing a rule that would continue the grant program for the 2016-17 school year.

  Since 1979, following a school bus strike, DOE’s school bus contracts included employee protection provisions (EPPs) requiring school transportation contractors, among other things, to give priority in hiring to employees who became unemployed because of their employers’ loss of DOE bus contract work and to pay such employees the same wages and benefits they had received prior to becoming unemployed.

  Following the 2011 decision by the New York State Court of Appeals in L&M Bus Corp., et al., v. the New York City Department of Education, et al. (L&M), DOE did not include EPPs or similar provisions in solicitations for its school bus contracts. After the issuance of the first such post-L&M solicitation, there was a school bus strike in January and February of 2013. 

            DSBS’s grant program, created by Local Law 44 of 2014, was designed to encourage school bus contractors providing transportation services to DOE to maintain the wages and benefits of those employees who had prior experience in the industry.  The 2014-15 and 2015-16 grant programs successfully supported the employment of approximately 1200 school bus workers.  This proposed rule continues the school bus employee grant program for the 2016-17 school year.

 

Subject: 

Extension of School Bus Drivers Grant Program

Location: 
110 William Street (7th Floor)
New York, NY 10038
Download Copy of Proposed Rule (.pdf): 

Adopted Rules: Closed to Comments

Adopted Rules Content: 

 

Statement of Basis and Purpose

The Department of Small Business Services (“DSBS”) supports and administers programs designed to benefit neighborhood commercial streets, industrial areas and other economic centers. Since the late 1970’s, DSBS has administered commercial revitalization grants for nonprofit organizations to carry out neighborhood revitalization and community economic development, planning and capacity building activities and services, such as planning, administration, economic development, public services, non-profit organization capacity building, and public facility improvements.

DSBS is promulgating a rule to establish a new program - the Neighborhood 360 Grant Program - to support the economic vitality of commercial districts across New York City by directly addressing locally identified community development needs.   The Neighborhood 360 program will support the Mayor’s Housing Plan, which calls for a denser city with a better plan for growth through investments in both infrastructure and services that will make neighborhoods more livable.  Specifically, the Neighborhood 360 program would support the Mayor’s Housing Plan by working directly with local stakeholders to assess commercial district needs and providing necessary funding to nonprofit organizations to develop and deliver services that will protect a neighborhood’s small business character while improving the collective commercial climate and quality of life to better serve a growing community.

Neighborhood 360 grants will fund commercial revitalization projects located in geographic areas identified by DSBS and could include: neighborhood beautification projects, supplemental sanitation and public safety services, public space activation/maintenance/management, branding/marketing campaigns, production and coordination of local events, business improvement district planning, merchant organizing, retail recruitment strategy development, minor physical improvements to the public realm, neighborhood planning, organizational development, and general program administration.

“Shall” and “must” denote mandatory requirements and may be used interchangeably in the rules of this department, unless otherwise specified or unless the context clearly indicates otherwise.

Effective Date: 
Mon, 08/29/2016

Proposed Rules: Closed to Comments

Agency:
Comment By: 
Friday, July 15, 2016
Proposed Rules Content: 

 Statement of Basis and Purpose

The Department of Small Business Services (“DSBS”) supports and administers programs designed to benefit neighborhood commercial streets, industrial areas and other economic centers. Since the late 1970’s, DSBS has administered commercial revitalization grants for nonprofit organizations to carry out neighborhood revitalization and community economic development, planning and capacity building activities and services, such as planning, administration, economic development, public services, non-profit organization capacity building, and public facility improvements.

DSBS is proposing a rule to establish a new program - the Neighborhood 360 Grant Program - to support the economic vitality of commercial districts across New York City by directly addressing locally identified community development needs.   The Neighborhood 360 program will support the Mayor’s Housing Plan, which calls for a denser city with a better plan for growth through investments in both infrastructure and services that will make neighborhoods more livable.  Specifically, the Neighborhood 360 program would support the Mayor’s Housing Plan by working directly with local stakeholders to assess commercial district needs and providing necessary funding to nonprofit organizations to develop and deliver services that will protect a neighborhood’s small business character while improving the collective commercial climate and quality of life to better serve a growing community.

           Neighborhood 360 grants will fund commercial revitalization projects located in geographic areas identified by DSBS and could include: neighborhood beautification projects, supplemental sanitation and public safety services, public space activation/maintenance/management, branding/marketing campaigns, production and coordination of local events, business improvement district planning, merchant organizing, retail recruitment strategy development, minor physical improvements to the public realm, neighborhood planning, organizational development, and general program administration.

          “Shall” and “must” denote mandatory requirements and may be used interchangeably in the rules of this department, unless otherwise specified or unless the context clearly indicates otherwise.

 

Subject: 

Neighborhood 360 Grant Program

Location: 
110 William Street (4th Floor hearing room)
New York, NY 10038
Download Copy of Proposed Rule (.pdf): 

Adopted Rules: Closed to Comments

Adopted Rules Content: 

 

Statement of Basis and Purpose

During the 2014-15 school year, the Department of Small Business Services (DSBS) administered a grant program to support the employment of experienced school bus workers who were impacted by recent changes in the Department of Education’s (DOE) contracts for school bus transportation.  Pursuant to the authority vested in DSBS by New York City Charter § 1301, DSBS is proposing a rule that would continue the grant program for the 2015-16 school year.

For three decades beginning in 1979, following a school bus strike, DOE’s school bus contracts included employee protection provisions (EPPs) requiring school transportation contractors, among other things, to give priority in hiring to employees who became unemployed because of their employers’ loss of DOE bus contract work and to pay such employees the same wages and benefits they had received prior to becoming unemployed.

Following the 2011 decision by the New York State Court of Appeals in L&M Bus Corp., et al., v. the New York City Department of Education, et al., DOE did not include EPPs or similar provisions in solicitations for its school bus contracts, which had included such provisions for over 30 years. After the issuance of the first such post-L&M solicitation, there was a school bus strike in January and February of 2013.

At the end of the 2013-2014 school year, school transportation contracts with 18 vendors providing service on approximately 1,500 routes expired. These contracts were replaced with contracts that did not have EPPs. Faced with the likelihood that the school bus drivers, attendants, mechanics and dispatchers working on the 2013-2014 contracts would become unemployed or would experience significant cuts in wages and benefits, the City enacted local legislation to  encourage school bus contractors providing transportation services to DOE to hire those drivers, attendants, mechanics and dispatchers who had been working in the 2013-2014 school year and to maintain the level of wages and benefits those employees had been receiving.  The grant program established by this legislation, Local Law 44 of 2014, supported the employment of approximately 1200 school bus workers. This program accomplished the important purpose of ensuring employment stability for these workers and continued, efficient service in the 2014-15 school year. 

This grant program had been established as an interim solution. During the legislative session that ended two months ago, the City sought a change to state law that would have provided a long-term solution to potential labor disruption and worker instability, as well as other problems arising out of recent events surrounding the school bus contracts. Unfortunately, the state legislature did not enact the amendments that the City sought. Therefore, the City needs to take steps once again this year to ensure stability for these drivers and attendants, mechanics and dispatchers who face the loss of their jobs or cuts in their wages and benefits. Modeled on Local Law 44 of 2014, this proposed rule would continue the grant program that had been established last year. 

The continuation of this grant program for the 2015-2016 school year serves the same important purposes that the City had identified last year: securing efficient and reliable bus service for the City’s school children and avoiding layoffs and wage and benefit cuts to the drivers and attendants operating the City’s school buses. In view of the state legislature’s failure to enact amendments, the problems that the grant program addressed last year are of equal significance and urgency this year. This rule will enable DSBS to continue to administer the grant program, and in this way, help secure reliable school bus transportation and labor stability by exercising the power and duty of the Commissioner of Small Business Services under the City Charter to disburse funds for employment programs in the City.

Effective Date: 
Mon, 11/30/2015

Proposed Rules: Closed to Comments

Agency:
Comment By: 
Tuesday, October 20, 2015
Proposed Rules Content: 

 Statement of Basis and Purpose

During the 2014-15 school year, the Department of Small Business Services (DSBS) administered a grant program to support the employment of experienced school bus workers who were impacted by recent changes in the Department of Education’s (DOE) contracts for school bus transportation.  Pursuant to the authority vested in DSBS by New York City Charter § 1301, DSBS is proposing a rule that would continue the grant program for the 2015-16 school year.

For three decades beginning in 1979, following a school bus strike, DOE’s school bus contracts included employee protection provisions (EPPs) requiring school transportation contractors, among other things, to give priority in hiring to employees who became unemployed because of their employers’ loss of DOE bus contract work and to pay such employees the same wages and benefits they had received prior to becoming unemployed.

Following the 2011 decision by the New York State Court of Appeals in L&M Bus Corp., et al., v. the New York City Department of Education, et al., DOE did not include EPPs or similar provisions in solicitations for its school bus contracts, which had included such provisions for over 30 years. After the issuance of the first such post-L&M solicitation, there was a school bus strike in January and February of 2013. 

At the end of the 2013-2014 school year, school transportation contracts with 18 vendors providing service on approximately 1,500 routes expired. These contracts were replaced with contracts that did not have EPPs. Faced with the likelihood that the school bus drivers, attendants, mechanics and dispatchers working on the 2013-2014 contracts would become unemployed or would experience significant cuts in wages and benefits, the City enacted local legislation to  encourage school bus contractors providing transportation services to DOE to hire those drivers, attendants, mechanics and dispatchers who had been working in the 2013-2014 school year and to maintain the level of wages and benefits those employees had been receiving.  The grant program established by this legislation, Local Law 44 of 2014, supported the employment of approximately 1200 school bus workers. This program accomplished the important purpose of ensuring employment stability for these workers and continued, efficient service in the 2014-15 school year.  

This grant program had been established as an interim solution. During the legislative session that ended two months ago, the City sought a change to state law that would have provided a long-term solution to potential labor disruption and worker instability, as well as other problems arising out of recent events surrounding the school bus contracts. Unfortunately, the state legislature did not enact the amendments that the City sought. Therefore, the City needs to take steps once again this year to ensure stability for these drivers and attendants, mechanics and dispatchers who face the loss of their jobs or cuts in their wages and benefits. Modeled on Local Law 44 of 2014, this proposed rule would continue the grant program that had been established last year.  

The continuation of this grant program for the 2015-2016 school year serves the same important purposes that the City had identified last year: securing efficient and reliable bus service for the City’s school children and avoiding layoffs and wage and benefit cuts to the drivers and attendants operating the City’s school buses. In view of the state legislature’s failure to enact amendments, the problems that the grant program addressed last year are of equal significance and urgency this year. This rule will enable DSBS to continue to administer the grant program, and in this way, help secure reliable school bus transportation and labor stability by exercising the power and duty of the Commissioner of Small Business Services under the City Charter to disburse funds for employment programs in the City.

Subject: 

Grants to Companies that Provide School Bus Transportation

Location: 
110 William Street (4th Floor Hearing room)
New York, NY 10038
Download Copy of Proposed Rule (.pdf): 

Adopted Rules: Closed to Comments

Adopted Rules Content: 

 

Statement of Basis and Purpose

Local Law 142 (2013), which amended section 16-324 and added section 16-329 of the New York City Administrative Code (Ad. Code), establishes a prohibition on the use of expanded polystyrene single service articles and expanded polystyrene loose fill packaging in New York City and establishes violations and penalties for businesses that continue to use these items in contravention of the law.  Local Law 142 also provides that any not-for-profit corporation, regardless of its income, and any food service establishment, mobile food commissary, or store that had a gross income under five hundred thousand dollars per location on their annual income tax filing for the most recent tax year and is not part of a chain food service establishment or a chain store may request from the Commissioner of DSBS, in a manner and form established by the DSBS Commissioner, a financial hardship waiver of the requirements of section 16-329 of the Ad. Code.  Such waiver request may apply to one or more single service articles possessed, sold, or offered for use by any such not-for-profit corporation, food service establishment, mobile food commissary, or store.  The DSBS Commissioner shall, after consultation with the New York City Department of Sanitation (DSNY) Commissioner, grant such waiver if such not-for-profit corporation, food service establishment, mobile food commissary, or store proves: (1) that there is no comparable alternative product not composed of expanded polystyrene that would cost the same as or less than the single service article composed of expanded polystyrene, and (2) that the purchase or use of an alternative product not composed of expanded polystyrene would create an undue financial hardship. Such fi-nancial hardship waiver shall be valid for twelve months and shall be renewable upon application to the DSBS Commissioner.  A pending application for such financial hardship waiver shall be a de-fense to any notice of violation issued pursuant to Section 16-329 of the Ad. Code to which such pending application relates and such notice of violation shall be dismissed.

The rules establish the manner and form for the submission of waiver applications.

Effective Date: 
Thu, 07/23/2015

Proposed Rules: Closed to Comments (View Public Comments Received:4)

Agency:
Comment By: 
Friday, May 29, 2015
Proposed Rules Content: 

Statement of Basis and Purpose

 

The Commissioner of the New York City Department of Small Business Services (“DSBS”) intends to promulgate rules within Title 66 of the Rules of the City of New York implementing § 16-329 of the New York City Administrative Code. 

 

Local Law 142 (2013), which amended section 16-324 and added section 16-329of the New York City Administrative Code (Ad. Code), establishes a prohibition on the use of polystyrene single service articles and polystyrene loose fill packaging in New York City and establishes violations and penalties for businesses that continue to use these items in contravention of the law.  Local Law 142 also provides that any not-for-profit corporation, regardless of its income, and any food service establishment, mobile food commissary, or store that had a gross income under five hundred thousand dollars per location on their annual income tax filing for the most recent tax year and is not part of a chain food service establishment or a chain store may request from the Commissioner of DSBS, in a manner and form established by the DSBS Commissioner, a financial hardship waiver of the requirements of this section.  Such waiver request may apply to one or more single service articles possessed, sold, or offered for use by any such not-for-profit corporation, food service establishment, mobile food commissary, or store.  The DSBS Commissioner shall, after consultation with the New York City Department of Sanitation (DSNY) Commissioner, grant such waiver if such not-for-profit corporation, food service establishment, mobile food commissary, or store proves: (1) that there is no comparable alternative product not composed of expanded polystyrene that would cost the same as or less than the single service article composed of expanded polystyrene, and (2) that the purchase or use of an alternative product not composed of expanded polystyrene would create an undue financial hardship. Such financial hardship waiver shall be valid for twelve months and shall be renewable upon application to the DSBS Commissioner.  A pending application for such financial hardship waiver shall be a defense to any notice of violation issued pursuant to Section 16-329 of the Ad. Code to which such pending application relates and such notice of violation shall be dismissed.

The proposed rules seek to establish the manner and form for the submission of waiver applications.

Subject: 

Waiver of Polystyrene Prohibition

Location: 
Department of Small Business Services
110 William Street Public Hearing Room - 4th Floor
New York, NY 10038
Contact: 
Download Copy of Proposed Rule (.pdf): 

Proposed Rules: Closed to Comments

Agency:
Comment By: 
Tuesday, November 12, 2013
Proposed Rules Content: 

 

 

Statement of Basis and Purpose

 

The Commissioner of the New York City Department of Small Business Services (“DSBS”) intends to promulgate an amendment to Section 11-61 of Chapter 11 of Title 66 of the Rules of the City of New York pursuant to §1304 of the New York City Charter and § 6-129(d)(4) of the New York City Administrative Code. The City’s MWBE Program, originally enacted by Local Law 129 (2005), and codified in section 1304 of the New York City Charter and section 6-129 of the Administrative Code (Ad. Code), establishes goals for participation by minority-owned business enterprises (MBEs) and women-owned business enterprises (WBE’s) as contractors and subcontractors in the categories of construction, standard services, professional services and goods valued under $1 million.

 

Local Law 1 of 2013 amends these provisions by, among other things:

  • changing the participation goals for each of the four procurement categories
  • removing the million dollar cap on construction, professional services, and standard services procurements for which goals may be established, and
  • lowering the cap from $1 million dollars to $100,000 for goods contracts for which goals may be established.

The proposed rule implements the above provisions of Local Law 1; other rules will be proposed to implement other changes made by Local Law 1.

 

The new goals were established based on a Disparity Data Analysis conducted by the Mayor’s Office of Contracts Services, and incorporated as Appendix A in the Committee Report of the City Council’s Government Affairs Division and Committee on Contracts, dated December 17, 2012 (Local Law 1 Committee Report). That analysis compared the availability of MBEs and WBEs in the four procurement categories to their utilization as contractors and subcontractors in City procurements.

 

This proposed rule amends all the goals in Section 11-61 of Chapter 11 of Title 66 of the Rules of the City of New York to match with the new goals established by Local Law (except for the goal enacted in error, as explained below, for WBEs in the professional services category).

 

When Local Law 1 was drafted, it was intended that for each category where a significant disparity between availability and utilization was identified in the Disparity Data Analysis, a goal would be set corresponding to the availability of MBEs or WBEs in the category. The goal identified by the Analysis for WBEs in the professional services category was 17%; however, due to a drafting error, the goal enacted in Local Law 1 was incorrectly listed as 37%.

 

To reflect the correct goal of 17% for WBEs in the professional services category, the Commissioner is exercising his authority under Ad. Code § 6-129(d)(4) periodically to review the availability and utilization rates for MBEs and WBEs and, where appropriate, to revise the Citywide participation goals set forth in that section. This is being done in consultation with the City’s Chief Procurement Officer, as required by §6-129(d)(4). The section also provides that results of the review and any proposed revision to the goals are to be submitted to the Speaker of the City Council at least 60 days prior to publishing a rule that would revise the goals. The results of the review have already been provided to the Council, and, as noted above, the Council has included them in the Local Law 1 Committee Report.

 

 

Subject: 

Opportunity to comment on proposed amendments to rules concerning participation by minority-owned and women-owned business enterprises in City procurement, including a correction of the goal for participation by women-owned business enterprises in procurements for professional services.

Location: 
110 William Street, 4th Floor
New York, NY 10038
Contact: 

Anne Rascon
Deputy Commissioner, Division of Financial and Economic Opportunity
Department of Small Business Services
110 William Street, 2nd Floor
New York, New York 10038

Download Copy of Proposed Rule (.pdf): 

Proposed Rules: Closed to Comments

Agency:
Comment By: 
Tuesday, November 12, 2013
Proposed Rules Content: 

 

 

Statement of Basis and Purpose

 

The City’s M/WBE Program, originally enacted by Local Law 129 (2005), and codified in section 1304 of the New York City Charter and section 6-129 of the Administrative Code (Ad. Code), establishes goals for participation by minority-owned business enterprises (MBEs), women-owned business enterprises (WBEs), and emerging business enterprises (EBEs) as contractors and subcontractors in the categories of construction, standard services, professional services, and goods valued under $1 million. Local Law 129 (2005) also requires the Commissioner to establish and operate, on behalf of the City, a centralized program for the certification of MBEs, WBEs and EBEs for the purposes of establishing the eligibility of such businesses for participation in the programs and processes established pursuant to local law to ensure their meaningful participation in City procurement.

 

Local Law 1 of 2013 amends these provisions by, among other things:

 

  • changing the participation goals for each of the four procurement categories (construction, standard services, professional services, and goods);

 

  • removing the million dollar cap on construction, professional services, and standard services procurements for which a City agency may establish goals;

 

  • lowering the cap from $1 million dollars to $100,000 for goods contracts for which a City agency may establish goals;

 

  • modifying defined terms and adding new defined terms;

 

  • changing the definition of “Graduate MBE and/or WBE” and “Graduate EBE” as well as adding new requirements that during the certification and recertification process, SBS determine whether a firm qualifies as a Graduate MBE, Graduate WBE or Graduate EBE and that SBS implement a process for applicable business entities to challenge such a determination as well as a process for having such a designation lifted;

 

  • adding new division requirements regarding oversight of the M/WBE Program, the provision of technical assistance and the promotion of joint ventures;

 

  • adding a new requirement that SBS perform site visits for at least 5% of new MBE and/or WBE as well as EBE certification applications in a given fiscal year; and

 

  • modifying the criteria and procedures for SBS to utilize in determining whether firms certified as MBEs and/or WBEs by other governmental entities can be recognized as certified business enterprises by the City.

 

The proposed rule amendments to Subchapters B, D and E of Chapter 11 of Title 66 of the Rules implement the above provisions of Local Law 1 of 2013 and conform to the new requirements established by Local Law.

 

In a separate, simultaneously published proposed rule, DSBS is amending the goals in Section 11-61 of Chapter 11 of Title 66 of the Rules of the City of New York to match the new goals established by Local Law 1. The intent of Local Law 1 was to set goals corresponding to the availability of MBEs or WBEs in categories where a significant disparity between availability and utilization was identified in the Disparity Data Analysis. The goal identified by the Analysis for WBEs in the professional services category was 17 percent; however, due to a legislative drafting error, the goal enacted in Local Law 1 was incorrectly listed as 37 percent. To reflect the correct goal of 17 percent for WBEs in the professional services category, the Commissioner will be exercising the authority provided under Ad. Code § 6-129(d)(4) periodically to review the availability and utilization rates for MBEs and WBEs and, where appropriate, to revise the Citywide participation goals set forth in that section. Section 6-129(d)(4) also provides that DSBS submit the results of the review and any proposed revision to the goals to the Speaker of the City Council at least 60 days prior to publishing a rule that would revise the goals. DSBS has already provided the results of the review to the Council, and, as noted above, the Council has included them in the Local Law 1 Committee Report. DSBS has notified the Speaker of the proposed rulemaking and the 60 day period has since elapsed.

 

 

Subject: 

Opportunity to comment on proposed amendments to rules concerning participation by and opportunities for minority-owned, women-owned and emerging business enterprises in City procurement.

Location: 
110 William Street, 4th Floor
New York, NY 10038
Contact: 

Anne Rascon
Deputy Commissioner, Division of Financial and Economic Opportunity
Department of Small Business Services
110 William Street, 2nd Floor
New York, New York 10038

Download Copy of Proposed Rule (.pdf): 

Adopted Rules: Closed to Comments

Adopted Rules Content: 



 Click here (.pdf) for the complete text of the adopted rule.



Effective Date: 
Sun, 02/05/2012

Pages