ADDITIONAL DCA LICENSE YOU MAY NEED: 

• If you solicit, negotiate, or offer to negotiate a home improvement contract with a property owner, you must also obtain a Home Improvement Salesperson license.

Please note that businesses are responsible for knowing and complying with the most current laws, including any City Council amendments. The Department of Consumer Affairs (DCA) is not responsible for errors or omissions in the handout. The information is not legal advice. You can only obtain legal advice from a lawyer.

ADDITIONAL CITY PERMITS YOU MAY NEED: 

• Sidewalk work requires a permit from the NYC Department of Transportation. 
• Home improvements that involve plumbing, electrical work, pointing, or extensions to a residence require a permit from the NYC Department of Buildings (DOB). Only contractors licensed by DCA can apply for DOB permits.
• If you plan to haul or transport waste resulting from your business operations, you must obtain a Class One Self Hauler Registration from the New York City Business Integrity Commission. 

APPLICATION REQUIREMENTS: 

Before You File Your DCA License Application:
You must obtain the following required documents before filing your application. Although DCA does not require submission of these documents in order to process your application in person or online, DCA reserves the right to request and examine the documents under section 20.104 of the New York City Administrative Code.

• Applicable Business Certificates based on your Business's Legal Structure 

Sole Proprietorships operating under a name other than your own must file a Business/Assumed Name Certificate with the clerk of the county in which your business is conducted.

Sole Proprietorships doing business under your own name—and not under a trade or Doing-Business-As (DBA) name—do not need a Business Certificate.

General/Business Partnerships must file your Partnership Certificate with the clerk of the county in which your business is conducted.

Corporations, Limited Partnerships, Limited Liability Companies, or Limited Liability Partnerships must register and remain active with the New York State Department of State. Active status will be verified by DCA prior to license issuance.

Businesses incorporated out of state must obtain a Certificate of Doing Business in Good Standing from your home state’s Secretary of State and file this with an application for Authority to Conduct Business in New York with the New York State Secretary of State.

When You File Your DCA License Application:
Below are requirements when filing your license application:

• Basic License Application   

Applying for the license online does not mean the license is automatically approved. A major credit card is required to submit applications online. Convenience fees apply. After reviewing application requirements, please click the Apply Online link at the bottom of this Web page to submit your application online.

• Sales Tax Identification Number OR Certificate of Authority Application Confirmation Number
  The Sales Tax Identification Number is the 9, 10, or 11-digit number on your New York State Department of Taxation and Finance Certificate of Authority. You must enter this number on the Basic License Application form. If you have not received your Certificate of Authority, please enter the 6-digit confirmation number you received when you successfully submitted the application for a Certificate of Authority.

• Proof of Business Address
  Submit a copy of ONE of the following documents as proof of business address:
  
  • utility bill, dated within the last 90 days (e.g., telephone, gas, electric, cable, or water) OR
  • current lease or deed in the name of either the business or individual listed on license application OR
  • current rent or mortgage bill OR
  • current license or permit issued by New York State or another New York City government agency that shows your business address 
     
• Proof of Home Address
  Each individual listed on the license application must submit a copy of ONE of the following documents as proof of home address:
  
  • utility bill, dated within the last 90 days (e.g., telephone, gas, electric, cable, or water) OR
  • current lease or deed OR
  • current rent or mortgage bill OR
  • driver’s license

  If an individual lives at another person’s address, provide:

  • letter signed by the leaseholder indicating that the individual lives at the address AND
  • ONE proof of home address (per above) with the leaseholder’s name 
     
• Fingerprints and Processing Fee
  All sole proprietors, general partners, directors, corporate officers, and all shareholders owning 10% or more of company stock must be fingerprinted at the Department of Consumer Affairs (DCA) Licensing Center. EXCEPTIONS:Any person who currently has fingerprints on file with DCA does not need to be fingerprinted. DCA has fingerprints on file for anyone who provided fingerprints within the last three years and for those who provided fingerprints for an active DCA license. Each person who must be fingerprinted must visit the DCA Licensing Center, located at 42 Broadway, 5th Floor, in lower Manhattan, with photo identification (ID) and pay a $75 processing fee by check or money order, payable to NYC Department of Consumer Affairs. Acceptable forms of ID include:
  • driver’s license or non-driver’s license identification issued by a State Department of Motor Vehicles
  • license or permit issued by a government agency
  • passport
  • alien card/green card
  • a City, State, or Federal employee ID card

Your fingerprints will be checked for any criminal record that you may have. Note that a conviction will not necessarily prevent you from being granted a license. However, failure to reveal a conviction can constitute grounds for the denial of your application. 

• Workers' Compensation Insurance 
  Provide a copy of ONE of the following documents as proof of workers’ compensation insurance information:
  
  • An Insurance Certificate for workers’ compensation insurance from a private insurance carrier or the New York State Insurance Fund Office. The Insurance Certificate must name the Department of Consumer Affairs as the certificate holder OR
  • A Certificate of Attestation of Exemption from the New York State Workers’ Compensation Board (if you claimed exemption from the requirement to hold workers’ compensation insurance)
    
    Please note: You must provide DCA with proof of Workers’ Compensation Insurance should your business cease to qualify for Workers’ Compensation Exemption.

• DCA Trust Fund Enrollment OR Copy of Surety Bond (or Third Party Bond), properly signed
  • If you want to enroll your business in the Trust Fund, complete the Trust Fund Enrollment Form. The fee for joining the Trust Fund is $200 OR
  • If you do not enroll your business in the Trust Fund, you must submit a copy of a $20,000 Surety Bond (or Third Party Bond), properly signed. The copy of the bond must name the Department of Consumer Affairs as the Certificate Holder. Your corporate name, Doing-Business-As (DBA) name (if any), and premises address must be exactly the same on all documents. You must also submit a copy of the bond receipt showing that the bond has been paid in full and does not expire before the end of the licensing period.

    
    The companies listed have provided bonds for licensees, or have communicated to the Department of Consumer Affairs an interest in doing so. The list must not be considered a recommendation of any company, or a complete listing. All applicants are advised to investigate and compare these and other bonding companies. Some companies may provide only certain types of bonds. Companies are listed in alphabetical order.

• Home Improvement Contractor Exam and Exam Fee 
  A sole proprietor, general partner, director, corporate officer, or shareholder owning 10% or more of company stock must visit the DCA Licensing Center, located at 42 Broadway, 5th Floor, in lower Manhattan, to take the Home Improvement Contractor Exam. EXCEPTION: The exam requirement is waived if a sole proprietor, general partner, director, corporate officer, or shareholder owning 10% or more of company stock currently holds a Home Improvement Salesperson License. The exam consists of 30 questions. The test taker must answer a minimum of 21 questions correctly to pass. The exam is given between 9:00 a.m. and 3:00 p.m. Monday through Friday at the DCA Licensing Center. The fee is $50. The exam fee is separate from the license fee and is non-refundable. If you fail the exam twice, you must pay the exam fee again in order to retake the exam. 
   
  You can take the exam in English or Spanish on computer. A paper exam is available in Chinese, Hindi, and Korean. Download the Home Improvement Business Examination Guide to help prepare for the exam. 
   
  IMPORTANT: Only one person (specified above) needs to pass the Home Improvement Contractor Exam. Applicants are only required to pass the exam once, even when applying for a Home Improvement Salesperson license which also has the exam requirement. 
   
• Roster of Employees 
  Please indicate if you are applying for a Home Improvement Contractor License and a Home Improvement Salesperson License and provide employee information on the Roster of Employees. Note: If you are not applying for both licenses, at least one person in your business must hold a current and valid Home Improvement Salesperson license issued by the Department of Consumer Affairs (e.g., sole proprietor, general partner, director, corporate officer, shareholder owning 10% or more of company stock, or employee).   
   
• Contractual Compliance Agreement
  Review the Contractual Compliance Checklist to make sure your contracts meet legal requirements and complete the Contractual Compliance Agreement.  
    
• Child Support Certification Form 
  If your business is a SOLE PROPRIETORSHIP or GENERAL or LIMITED PARTNERSHIP, the proprietor or each individual general partner must submit a Child Support Certification Form. 
   
• Granting Authority to Act Affirmation 
  If this application will be filed by someone other than the license applicant, the license applicant must submit a Granting Authority to Act Affirmation. 
   
• License Fee
  The License Fee must be paid by credit card, money order, or check. Cards accepted at the DCA Licensing Center include MasterCard, American Express, and Discover Card. Credit card payments are subject to a 2.49% convenience fee. Checks or money orders must be payable to NYC Department of Consumer Affairs. The chart below lists the amount due depending upon when your license application is filed. Note: An odd year is any year ending in an odd digit; for example, 2013, 2015, etc. An even year is any year ending in an even digit; for example, 2012, 2014, etc. 
  

  FOR IMMEDIATE RELEASE Thursday, August 9, 2007 Dina Roskin / Beth Seibold, NYC Department of Consumer Affairs, (212) 487-4283 Eric Phillips, Nassau DA, (516) 571-2994 James W. Reed, Nassau Office of Consumer Affairs, (516) 571-3284 Robert Clifford, Suffolk DA, (631) 853-4118 John P. Gaccione, Westchester Office of Consumer Affairs, (914) 995-2160

  	NY OFFICIALS ANNOUNCE RESULTS OF COORDINATED ENFORCEMENT TARGETING UNLICENSED HOME IMPROVEMENT CONTRACTORS Regional Counties Seize More Than 70 Vehicles Owned by Unlicensed Home Improvement Contractors, Issue Fines and Criminal Summonses in July Sting; Officials Cite High Volume of Complaints and Offer Tips for Homeowners
  	Home improvement contractors who operate illegally without a license and often fail to meet industry standards can cause damage to homeowners' property and wallets. To step up enforcement efforts and better protect homeowners, New York regional consumer affairs and law enforcement agencies today announced the results of a coordinated, multi-county enforcement initiative targeting unlicensed home improvement contractors operating in the five boroughs and beyond. The New York City Department of Consumer Affairs, Nassau, Suffolk, and Westchester counties collectively reported issuing more than 200 violations, 200 criminal summonses or arrests, and seizing more than 70 vehicles owned by unlicensed home improvement contractors during the month of July. Officials also announced efforts to expand education for homeowners and more strategic initiatives. DCA Commissioner Jonathan Mintz was joined by Nassau County District Attorney Kathleen Rice, Nassau County Office of Consumer Affairs Commissioner Roger Bogsted, Suffolk County District Attorney Thomas J. Spota, and representatives from the Westchester County Department of Consumer Protection at DCA offices in lower Manhattan for the announcement. "By coordinating partners across the region, this enforcement sweep against illegal unlicensed contractors sends an unmistakable message of zero tolerance. Simply put: if you're a home improvement contractor, you must be licensed and do right by homeowners or face large fines, vehicle seizures, and more," said Commissioner Mintz. During July, the New York City Department of Consumer Affairs (DCA) conducted undercover and routine inspections throughout the five boroughs resulting in the seizure of 51 vehicles owned by unlicensed home improvement contractors, as well as nearly 100 additional violations issued based upon consumer complaints and monitoring advertisements. Fielding more than 1,100 consumer complaints, DCA has secured approximately $900,000 in restitution for homeowners over the past year, implemented more stringent compliance agreements including a Homeowner Bill of Rights, and increased public education with on-site community licensing forums, training for industry professionals, and bi-lingual tip cards for homeowners. As part of a targeted initiative, DCA has also secured approximately $200,000 in total fines over the last three months from settlements stemming from deceptive home improvement advertising touting unlicensed contractors and illegal loan offers. Currently there are more than 10,800 home improvement contractors licensed to work in New York City – a record number up approximately 70% from four years ago. "In Nassau County, we will not tolerate rip-off contractors who prey on our communities financially and often put innocent families in serious physical danger," said Nassau County District Attorney Kathleen Rice. "My administration will continue to work with Consumer Affairs to wipe out the dishonest businesses in our communities and provide valuable information to families renovating or building their homes." "The results of this investigation should serve to alert homeowners," Nassau County Consumer Affairs Commissioner Roger Bogsted said. "If you're shopping for a home improvement contractor in the state of New York, check with Consumer Affairs and only do business with licensed contractors that have a solid reputation. We have zero tolerance for unscrupulous contractors defrauding home owners and those contractors that skirt the law will receive prompt appropriate penalties." During July, Nassau County officials from the District Attorney's Office and Office of Consumer Affairs conducted undercover and field inspections resulting in the seizure of 15 vehicles owned by unlicensed home improvement contractors, as well as more than 100 additional violations. Efforts also included use of a sting house where 29 individuals were arrested for fraud and operating without a license. Over the past year, Nassau has assisted consumers with refunds of more then $525,000, with an estimated $125,000 for the month of July alone. "The fact that we nabbed over 150 unlicensed home improvement and appliance repair contractors in just one month shows consumers that they must do their homework – get personal references and check to see that the contractor has a valid license – before they hire anyone to work on their home," said Thomas J. Spota, Suffolk County District Attorney. During July, the Suffolk County District Attorney's Office coordinated a multi-pronged enforcement strategy with the help of the Suffolk County Office of Consumer Affairs and the Suffolk County Police Department. The police checked over 1,000 contractors' licenses and issued 150 criminal summonses to unlicensed contractors. In addition, an undercover sting house operation caught 35 illegal and unlicensed contractors – including numbers one and two on Consumer Affairs "Worst Offender" list – and resulted in the seizure of six of the offenders' vehicles. "Westchester County Executive Andy Spano's administration has had a long record of cracking down on illegal home improvement contractors. During this latest regional effort, Westchester County Consumer Protection inspectors took a two-prong approach in enforcing the county's home improvement law, including hundreds of field inspections and monitoring local ads," said John P. Gaccione, Deputy Director, Westchester County Department of Consumer Protection. During July, Westchester County Department of Consumer Protection deployed three teams of field inspectors conducting more than 460 inspections of home improvement contractors and finding 80 companies working without a license. Inspectors stopped at work sites, interviewed homeowners and participated with local police departments in vehicle and traffic stops. The department also monitored local newspaper ads checking for unlicensed activity, which resulted in an additional 16 violations. "Sadly, too many contractors carry a bag of tricks instead of a tool box, and the proof can be found in the successful stings carried out by the New York City, Westchester and Nassau county departments of Consumer Affairs, along with their law-enforcement partners," said Mindy A. Bockstein, Chairperson and Executive Director of the New York State Consumer Protection Board. To file a complaint, check if a home improvement contractor is licensed, request free consumer and business publications, or license application requirements, please contact the following consumer protection agencies: New York City Department of Consumer Affairs (Dial 311 or www.nyc.gov/consumers) Nassau County Office of Consumer Affairs (www.nassaucountyny.gov/agencies/oca) Suffolk County Department of Consumer Affairs (www.co.suffolk.ny.us or 631-853-4600) Westchester County Department of Consumer Protection (www.westchester.gov/consumer) New York State Consumer Protection Board (www.consumer.state.ny.us) Homeowner Tips Are Attached

  Copyright 2012 The City of New York

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