1.4 Guard Standards of Conduct, Ethics & License Maintenance

1.3 Guard Standards of Conduct, Ethics & License Maintenance

Quick Reference: Maintaining a security guard registration in New York State requires adherence to strict administrative rules and ethical standards. Guards must carry their registration card while on duty, notify the Department of State (DOS) within 10 days of address or employer changes, and avoid conduct that triggers license revocation under General Business Law (GBL) § 89-l.

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Card Carrying & Duty Display Mandates

Under GBL § 89-g, a registered security guard has specific physical duties regarding their registration card whenever performing security functions:

• Physical Possession: Guards must physically carry their official DOS Security Guard Registration Card (or temporary employee statement receipt) on their person while performing security duties.
• Presentation on Demand: A guard must immediately produce their registration card for inspection when requested by:
  • Law enforcement officers (e.g., NYSP, NYPD, County Sheriff, local police).
  • DOS Division of Licensing Services investigators or compliance inspectors.
  • Representatives of the guard's employer.
• Improper Use: Possessing or displaying another person's guard card, or allowing someone else to use one's registration card, is a misdemeanor criminal offense.

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Mandatory 10-Day Administrative Notifications

To ensure the DOS central registry maintains accurate records, guards are required by statute to report life and employment changes promptly.

What Must Be Reported

1. Change of Residence Address: Any change in home address.
2. Change of Legal Name: Due to marriage, court order, or legal name change.
3. Change of Employment Status: Hiring by a new security company or termination from an existing employer.

Notification Mechanism

• Reporting Period: Written notification must be submitted within 10 calendar days of the change.
• Form DOS-1424 (Change of Status / Name / Address): The guard or employer must complete and mail Form DOS-1424 to the DOS Division of Licensing Services.
• Consequences of Non-Compliance: Failure to report changes within 10 days can result in administrative reprimands, fines up to $1,000, or suspension of registration.

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Grounds for Administrative Discipline & Revocation (GBL § 89-l)

Under General Business Law § 89-l, the Department of State possesses explicit administrative authority to reprimand, fine, suspend, or revoke a security guard's registration. Grounds for disciplinary action include:

1. Conviction of Disqualifying Crimes

• Being convicted of any felony anywhere in the United States.
• Being convicted of any serious misdemeanor involving violence, weapons, dishonesty, narcotics, or moral turpitude.

2. Fraud & Misrepresentation

• Making false statements, omitting criminal records, or submitting fraudulent training certificates on a registration application.
• Cheating on DCJS training examinations.

3. Incompetence, Negligence, or Misconduct

• Demonstrating gross negligence or incompetence while performing security duties.
• Abandoning a post without authorization, placing client assets or public safety at risk.
• Working while impaired by alcohol, illegal drugs, or controlled substances.

4. Excessive or Unauthorized Use of Force

• Utilizing physical force beyond what is legally permissible for a private citizen under NY Penal Law Article 35.
• Unauthorized use of weapons, restraints, or chemical spray without employer authorization and required DCJS training.

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Ethical Obligations & Professional Integrity

Beyond statutory compliance, security guards are held to high ethical standards to safeguard client assets and public trust.

Core Ethical Principles

• Client Confidentiality: Protecting sensitive information regarding client floor plans, executive schedules, alarm codes, safe combinations, and security vulnerabilities. Unauthorized disclosure is grounds for immediate termination and civil liability.
• Avoidance of Conflicts of Interest: Refraining from engaging in personal business, moonlighting, or side arrangements that conflict with the guard's primary duty to protect the client's premises.
• Prohibition of Bribes & Gratuities: Strictly refusing any payments, gifts, tips, or favors offered to overlook security breaches, grant unauthorized access, or falsify logbooks.
• Non-Discriminatory Treatment: Treating all property occupants, visitors, and members of the public with dignity and respect, free from bias based on race, ethnicity, gender, religion, sexual orientation, or disability.
• Duty to Report: Promptly reporting all suspicious activities, safety hazards, crimes, and co-worker misconduct to supervisors or law enforcement.

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Legal Authority & Law Enforcement Impersonation

Security guards in New York State are private security employees, not police officers or peace officers (unless specifically commissioned under separate statutory provisions).

Legal Boundaries

• Citizen's Arrest Authority: Security guards possess only the legal authority of private citizens under NY Criminal Procedure Law (CPL) § 140.30. A guard may detain a person for a crime committed in their presence, but must turn the suspect over to law enforcement without unnecessary delay.
• Prohibition of Police Impersonation: Guards must never represent themselves as police officers, detectives, or federal agents.
• Uniform & Badge Restrictions (GBL § 89-g): Guard uniforms must clearly display the security company name and security patches. Badges must differ distinctly in design from local municipal police badges. Using terms like "Police" or "NYS Officer" on security uniforms is strictly illegal.

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Regulatory Enforcement & Penalty Overview