2002-03 Budget - Article 7 Bill s6259: TED
STATE OF NEW YORK
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S. 6259 A. 9761
SENATE - ASSEMBLY
January 28, 2002
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IN SENATE -- A BUDGET BILL, submitted by the Governor pursuant to arti-
cle seven of the Constitution -- read twice and ordered printed, and
when printed to be committed to the Committee on Finance
IN ASSEMBLY -- A BUDGET BILL, submitted by the Governor pursuant to
article seven of the Constitution -- read once and referred to the
Committee on Ways and Means
AN ACT to repeal section 8 of chapter 533 of the laws of 1993 amending
the vehicle and traffic law and the correction law relating to the
suspension and revocation of driver's licenses upon conviction of
certain drug-related offenses, and section 28 of part E of chapter 58
of the laws of 1998 relating to a report of the division of criminal
justice services, in relation to the suspension and revocation of
drivers' licenses upon conviction of certain drug-related offenses,
and to amend section 9 of chapter 533 of the laws of 1993, amending
the vehicle and traffic law and the correction law relating to the
suspension and revocation of driver's licenses upon conviction of
certain drug-related offenses, in relation to the effectiveness there-
of (Part A); to amend the vehicle and traffic law and the penal law,
in relation to reducing the blood alcohol level threshold for determi-
nation of intoxication; and to amend chapter 312 of the laws of 1994
amending the vehicle and traffic law relating to suspension of
licenses pending prosecution of certain alcohol-related charges, and
authorizations for probationary and conditional drivers' licenses, in
relation to extending the expiration of certain provisions of such
chapter (Part B); to amend the vehicle and traffic law, in relation to
repeat offenses for driving while intoxicated and related offenses
(Part C); to amend the vehicle and traffic law, in relation to special
hauling permits and divisible load permits and repealing certain
provisions of such law relating thereto (Part D); to amend the state
finance law, in relation to costs of the department of motor vehicles
(Part E); to provide the annual authorization for the state's CHIPS
and Marchiselli local highway capital assistance plans; to amend chap-
ter 329 of the laws of 1991 amending the state finance law and other
laws relating to the establishment of the dedicated highway and bridge
trust fund; to amend chapter 61 of the laws of 2000 amending the
public authorities law and chapter 329 of the laws of 1991 amending
EXPLANATION--Matter in italics (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD12373-01-2
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the state finance law and other laws relating to the establishment of
the dedicated highway and bridge trust fund, in relation to the
authorization of the state's five-year transportation plan; and to
amend the highway law, in relation to successor governments receiving
no less in consolidated local highway apportionments than predecessor
governments would have received and to repeal certain provisions of
the highway law relating thereto (Part F); to provide for the utiliza-
tion of utility assessment funds (Part G); to provide for the use of
petroleum overcharge restitution funds (Part H); to provide for the
utilization of utility assessment funds (Part I); to authorize the
dormitory authority of the state of New York to provide funding for
the Cornell University theory center (Part J); to authorize the New
York state urban development corporation to forgive a loan made with
respect to the HSBC Arena in the city of Buffalo (Part K); to author-
ize the New York state urban development corporation to forgive a loan
made with respect to the construction of Binghamton municipal stadium
(Part L); to amend chapter 393 of the laws of 1994, amending the New
York state urban development corporation act, in relation to the
effectiveness thereof (Part M); to amend chapter 432 of the laws of
1997, relating to the establishment of the community enhancement
facilities assistance program, in relation to the total authorized
bonding amount for the community enhancement facilities assistance
program (Part N); to authorize the New York State urban development
corporation to issue bonds for the purpose of creating or retaining
technology related jobs (Part O); to amend the state finance law, in
relation to the linked deposit program (Part P); to amend the general
municipal law, in relation to designation of additional empire zones
(Part Q); and to establish the empire opportunity fund and to amend
the state finance law, in relation to creating the empire opportunity
trust fund (Part R)
The People of the State of New York, represented in Senate and Assem-
bly, do enact as follows:
1 Section 1. This act enacts into law major components of legislation
2 relating to issues deemed necessary for the state. Each component is
3 wholly contained within a Part identified as Parts A through R. The
4 effective date for each particular provision contained within such Part
5 is set forth in the last section of such Part. Any provision in any
6 section contained within a Part, including the effective date of the
7 Part, which makes reference to a section "of this act", when used in
8 connection with that particular component, shall be deemed to mean and
9 refer to the corresponding section of the Part in which it is found.
10 Section three of this act sets forth the general effective date of this
11 act.
12 PART A
13 Section 1. Section 8 of chapter 533 of the laws of 1993, amending the
14 vehicle and traffic law and the correction law relating to the suspen-
15 sion and revocation of driver's licenses upon conviction of certain
16 drug-related offenses, is REPEALED.
17 § 2. Section 9 of chapter 533 of the laws of 1993, amending the vehi-
18 cle and traffic law and the correction law relating to the suspension
19 and revocation of driver's licenses upon conviction of certain drug-re-
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1 lated offenses, as amended by chapter 242 of the laws of 2001, is
2 amended to read as follows:
3 § 9. This act shall take effect September 30, 1993 and shall apply to
4 convictions based on offenses which occurred on or after such date [and
5 remain in full force and effect until October 1, 2002 when upon
6 date the provisions of this act shall be deemed repealed and the
7 provisions of law amended by this act shall revert to and be read as if
8 the provisions of this act had not been enacted].
9 § 3. Section 28 of part E of chapter 58 of the laws of 1998, relating
10 to a report of the division of criminal justice services, is REPEALED.
11 § 4. This act shall take effect April 1, 2002; provided, however, if
12 this act shall become a law after such date it shall take effect imme-
13 diately and shall be deemed to have been in full force and effect on and
14 after April 1, 2002.
15 PART B
16 Section 1. Subdivision 2 of section 1192 of the vehicle and traffic
17 law, as added by chapter 47 of the laws of 1988, is amended to read as
18 follows:
19 2. Driving while intoxicated; per se. No person shall operate a motor
20 vehicle while such person has [.10 of one per centum or more by weight
21 of alcohol in the person's blood] .08 grams or more of alcohol per two
22 hundred ten liters of breath or per one hundred milliliters of blood as
23 shown by chemical analysis of such person's blood[,] or breath, [urine
24 or saliva,] made pursuant to the provisions of section eleven hundred
25 ninety-four of this article.
26 § 2. Subdivision 4 of section 1192 of the vehicle and traffic law, as
27 added by chapter 47 of the laws of 1988, is amended to read as follows:
28 4. Driving while ability impaired by drugs and alcohol. (a) No person
29 shall operate a motor vehicle while the person's ability to operate such
30 a motor vehicle is impaired by the use of a drug as defined in this
31 chapter. (b) No person shall operate a motor vehicle while the person's
32 ability to operate such a motor vehicle is impaired by the combined
33 effects of the consumption of alcohol and the use of one or more drugs
34 as defined in this chapter.
35 § 3. Subdivisions 5 and 6 of section 1192 of the vehicle and traffic
36 law, as amended by chapter 196 of the laws of 1996, are amended to read
37 as follows:
38 5. Commercial motor vehicles[:]; per se - level I. Notwithstanding the
39 provisions of section eleven hundred ninety-five of this article, no
40 person shall operate a commercial motor vehicle while such person has
41 .04 [of one per centum or more but not more than .07 of one per centum
42 by weight of alcohol in the person's blood] grams or more but not more
43 than .06 grams of alcohol per two hundred ten liters of breath or per
44 one hundred milliliters of blood as shown by chemical analysis of such
45 person's blood[,] or breath, [urine or saliva,] made pursuant to the
46 provisions of section eleven hundred ninety-four of this article;
47 provided, however, nothing contained in this subdivision shall prohibit
48 the imposition of a charge of a violation of subdivision one of this
49 section, or of section eleven hundred ninety-two-a of this article where
50 a person under the age of twenty-one operates a commercial motor vehicle
51 where a chemical analysis of such person's blood[,] or breath, [urine,
52 or saliva,] made pursuant to the provisions of section eleven hundred
53 ninety-four of this article, indicates that such operator has .02 [of
54 one per centum or more but less than .04 of one per centum by weight of
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1 alcohol] grams or more but less than .04 grams of alcohol per two
2 hundred ten liters of breath or per one hundred milliliters of blood in
3 such operator's blood.
4 6. Commercial motor vehicles; per se - level II. Notwithstanding the
5 provisions of section eleven hundred ninety-five of this article, no
6 person shall operate a commercial motor vehicle while such person has
7 [more than .07 of one per centum but less than .10 of one per centum by
8 weight of alcohol in the person's blood] .06 grams or more but less than
9 .08 grams of alcohol per two hundred ten liters of breath or per one
10 hundred milliliters of blood as shown by chemical analysis of such
11 person's blood[,] or breath, [urine or saliva,] made pursuant to the
12 provisions of section eleven hundred ninety-four of this article;
13 provided, however, nothing contained in this subdivision shall prohibit
14 the imposition of a charge of a violation of subdivision one of this
15 section.
16 § 4. Clause b of subparagraph 1 of paragraph (e) of subdivision 2 of
17 section 1193 of the vehicle and traffic law, as added by chapter 47 of
18 the laws of 1988, is amended to read as follows:
19 b. The suspension under the preceding clause shall occur no later than
20 twenty days after the holder's first appearance before the court on the
21 charges or at the conclusion of all proceedings required for the
22 arraignment. In order for the court to impose such suspension it must
23 find that the accusatory instrument conforms to the requirements of
24 section 100.40 of the criminal procedure law and there exists reasonable
25 cause to believe that the holder operated a motor vehicle in violation
26 of subdivision two, three or four of section eleven hundred ninety-two
27 of this article and either (i) the person had been convicted of any
28 violation under such section eleven hundred ninety-two of this article
29 within the preceding five years; or (ii) that the holder committed a
30 violation of a felony under article one hundred twenty or one hundred
31 twenty-five of the penal law. The original record of the chemical test
32 results included in any accusatory instrument need not be certified
33 pursuant to subdivision (c) of rule forty-five hundred eighteen of the
34 civil practice law and rules to be considered legally sufficient and
35 admissible in evidence. At such time the holder shall be entitled to an
36 opportunity to make a statement regarding the enumerated issues and to
37 present evidence tending to rebut the court's findings. Where such
38 suspension is imposed upon a pending charge of a violation of a felony
39 under article one hundred twenty or one hundred twenty-five of the penal
40 law and the holder has requested a hearing pursuant to article one
41 hundred eighty of the criminal procedure law, the court shall conduct
42 such hearing. If upon completion of the hearing, the court fails to find
43 that there is reasonable cause to believe that the holder committed a
44 felony under article one hundred twenty or one hundred twenty-five of
45 the penal law and the holder has not been previously convicted of any
46 violation of section eleven hundred ninety-two of this article within
47 the preceding five years the court shall promptly notify the commission-
48 er and direct restoration of such license to the license holder unless
49 such license is suspended or revoked pursuant to any other provision of
50 this chapter.
51 § 5. Clauses a and b of subparagraph 7 of paragraph (e) of subdivision
52 2 of section 1193 of the vehicle and traffic law, as added by chapter
53 312 of the laws of 1994, are amended to read as follows:
54 a. A court shall suspend a driver's license, pending prosecution, of
55 any person charged with a violation of subdivision two or three of
56 section eleven hundred ninety-two of this article who, at the time of
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1 arrest, is alleged to have had [.10 of one percent or more by weight of
2 alcohol] .08 grams or more of alcohol per two hundred ten liters of
3 breath or per one hundred milliliters of blood in such driver's breath
4 or blood as shown by chemical analysis of blood[,] or breath, [urine or
5 saliva,] made pursuant to subdivision two or three of section eleven
6 hundred ninety-four of this article.
7 b. The suspension occurring under this subparagraph shall occur no
8 later than at the conclusion of all proceedings required for the
9 arraignment; provided, however, that if the results of any test adminis-
10 tered pursuant to section eleven hundred ninety-four of this article are
11 not available within such time period, the complainant police officer or
12 other public servant shall transmit such results to the court at the
13 time they become available, and the court shall, as soon as practicable
14 following the receipt of such results and in compliance with the
15 requirements of this subparagraph, suspend such license. In order for
16 the court to impose such suspension it must find that the accusatory
17 instrument conforms to the requirements of section 100.40 of the crimi-
18 nal procedure law and there exists reasonable cause to believe that the
19 holder operated a motor vehicle while such holder had [.10 of one
20 percent or more by weight of alcohol] .08 grams or more of alcohol per
21 two hundred ten liters of breath or per one hundred milliliters of blood
22 in his or her breath or blood as was shown by chemical analysis of such
23 person's blood[,] or breath, [urine or saliva,] made pursuant to the
24 provisions of section eleven hundred ninety-four of this article. The
25 original record of the chemical test results included in any accusatory
26 instrument need not be certified pursuant to subdivision (c) of rule
27 forty-five hundred eighteen of the civil practice law and rules to be
28 considered legally sufficient and admissible in evidence. At the time of
29 such license suspension the holder shall be entitled to an opportunity
30 to make a statement regarding these two issues and to present evidence
31 tending to rebut the court's findings.
32 § 6. Subparagraph 2 of paragraph (a) of subdivision 4 of section 1194
33 of the vehicle and traffic law, as added by chapter 47 of the laws of
34 1988, is amended to read as follows:
35 (2) No person entitled to withdraw blood pursuant to subparagraph one
36 of this paragraph or hospital employing such person, and no other
37 employer of such person shall be sued or held liable for any act done or
38 omitted in the course of withdrawing blood at the request of a police
39 officer pursuant to this section, nor shall any person from whom blood
40 is to be drawn be required to sign a waiver or consent form by a person
41 authorized to withdraw blood at the request of a police officer pursuant
42 to this section.
43 § 7. Section 1194 of the vehicle and traffic law is amended by adding
44 a new subdivision 5 to read as follows:
45 5. Hospital records. Notwithstanding section forty-five hundred four
46 of the civil practice law and rules, or any other law to the contrary,
47 blood test results and related records, not otherwise obtained in
48 accordance with this article, shall be provided to a court or adminis-
49 trative hearing tribunal of competent jurisdiction or to a grand jury
50 for use therein pursuant to a subpoena duces tecum issued in accordance
51 with applicable law for the limited purpose of proving intoxication or
52 impairment by alcohol or drugs or both by an operator of a motor vehi-
53 cle.
54 § 8. Paragraph (a) of subdivision 1 of section 1194-a of the vehicle
55 and traffic law, as added by chapter 196 of the laws of 1996, is amended
56 to read as follows:
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1 (a) Whenever a chemical test of the breath[,] or blood[, urine or
2 saliva] of an operator who is under the age of twenty-one indicates that
3 such person has operated a motor vehicle in violation of section eleven
4 hundred ninety-two-a of this article, and such person is not charged
5 with violating any subdivision of section eleven hundred ninety-two
6 arising out of the same incident, the police officer who administered
7 the test shall forward a report of the results of such test to the
8 department within twenty-four hours of the time when such results are
9 available in a manner prescribed by the commissioner, and the operator
10 shall be given a hearing notice as provided in subdivision one-a of this
11 section, to appear before a hearing officer in the county where the
12 chemical test was administered, or in an adjoining county under such
13 circumstances as prescribed by the commissioner, on a date to be estab-
14 lished in accordance with a schedule promulgated by the commissioner.
15 Such hearing shall occur within thirty days of, but not less than
16 forty-eight hours from, the date that the chemical test was adminis-
17 tered, provided, however, where the commissioner determines, based upon
18 the availability of hearing officers and the anticipated volume of hear-
19 ings at a particular location, that the scheduling of such hearing with-
20 in thirty days would impair the timely scheduling or conducting of other
21 hearings pursuant to this chapter, such hearing shall be scheduled at
22 the next hearing date for such particular location. [When providing the
23 operator with such hearing notice, the] The police officer shall also
24 [give to the operator, and shall, prior to the commencement of the hear-
25 ing,] provide to the department, copies of the following reports, docu-
26 ments and materials: any written report or document, or portion thereof,
27 concerning a physical examination, a scientific test or experiment,
28 including the most recent record of inspection, or calibration or repair
29 of machines or instruments utilized to perform such scientific tests or
30 experiments and the certification certificate, if any, held by the oper-
31 ator of the machine or instrument, which tests or examinations were made
32 by or at the request or direction of a public servant engaged in law
33 enforcement activity. Such reports, documents, and materials must also
34 be provided by the officer to the operator by personal service or by
35 mailing to the address provided by the operator within five days prior
36 to the hearing date. The report of the police officer shall be verified
37 by having the report sworn to, or by affixing to such report a form
38 notice that false statements made therein are punishable as a class A
39 misdemeanor pursuant to section 210.45 of the penal law and such form
40 notice together with the subscription of the deponent shall constitute
41 verification of the report.
42 § 9. Subparagraph 4 of paragraph (a) of subdivision 2 of section 1194
43 of the vehicle and traffic law, as amended by chapter 196 of the laws of
44 1996, is amended to read as follows:
45 (4) notwithstanding any other provision of law to the contrary, no
46 person under the age of twenty-one shall be arrested for an alleged
47 violation of section eleven hundred ninety-two-a of this article.
48 However, a person under the age of twenty-one for whom a chemical test
49 is authorized pursuant to this paragraph may be temporarily detained by
50 the police [solely] for the purpose of [requesting or administering such
51 chemical test] carrying out the applicable provisions of this article
52 whenever arrest without a warrant for a petty offense would be author-
53 ized in accordance with the provisions of section 140.10 of the criminal
54 procedure law or paragraph (a) of subdivision one of this section.
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1 § 10. Paragraphs (b) and (c) of subdivision 2 of section 1195 of the
2 vehicle and traffic law, as added by chapter 47 of the laws of 1988, are
3 amended to read as follows:
4 (b) Evidence that there was [more than] .05 [of one per centum but not
5 more than .07 of one per centum by weight of alcohol in] grams or more
6 but less than .07 grams of alcohol per two hundred ten liters of such
7 person's breath or per one hundred milliliters of such person's blood
8 shall be prima facie evidence that such person was not in an intoxicated
9 condition, but such evidence shall be relevant evidence, but shall not
10 be given prima facie effect, in determining whether the ability of such
11 person to operate a motor vehicle was impaired by the consumption of
12 alcohol; and
13 (c) Evidence that there was [more than .07 of one per centum but less
14 than .10 of one per centum by weight of alcohol] .07 grams of alcohol
15 per two hundred ten liters of such person's breath or per one hundred
16 milliliters in such person's blood shall be prima facie evidence that
17 such person was not in an intoxicated condition, but such evidence shall
18 be given prima facie effect in determining whether the ability of such
19 person to operate a motor vehicle was impaired by the consumption of
20 alcohol.
21 § 11. Paragraph (a) of subdivision 3 of section 1197 of the vehicle
22 and traffic law, as added by chapter 47 of the laws of 1988, is amended
23 to read as follows:
24 (a) The program shall provide a plan for coordination of state, coun-
25 ty, town, city and village efforts to reduce alcohol-related traffic
26 injuries and fatalities.
27 § 12. Paragraph (b) of subdivision 5 of section 1197 of the vehicle
28 and traffic law, as added by chapter 47 of the laws of 1988, is amended
29 to read as follows:
30 (b) Receive proposals from state, county, town, city or village agen-
31 cies or non-governmental groups for activities related to alcohol traf-
32 fic safety and to submit them to the county board of legislators or
33 other such governing body, together with a recommendation for funding of
34 the activity if deemed appropriate.
35 § 13. The vehicle and traffic law is amended by adding a new section
36 1102-a to read as follows:
37 § 1102-a. Evasion of police officer. (a) No person, while operating a
38 motor vehicle, shall flee or elude, or attempt to flee or elude, any
39 police officer after having knowingly received a lawful direction, order
40 or signal from said police officer to bring the motor vehicle to a full
41 stop, provided however, that such officer was operating an authorized
42 emergency vehicle conspicuously marked with police decals and the offi-
43 cer activated the emergency lights and siren of the vehicle. Any person
44 violating this subdivision shall be guilty of a misdemeanor.
45 (b) Any person acting in violation of subdivision (a) of this section,
46 whose conduct thereby results in physical injury to a police officer or
47 to a third person, shall be guilty of a class E felony.
48 § 14. Section 120.03 of the penal law, as separately amended by chap-
49 ters 427 and 805 of the laws of 1992 and subdivision 3 as amended by
50 chapter 629 of the laws of 1998, is amended to read as follows:
51 § 120.03 Vehicular assault in the second degree.
52 A person is guilty of vehicular assault in the second degree when he
53 or she:
54 (1) [with criminal negligence he causes serious physical injury to
55 another person, and either
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1 (2)] causes [such] serious physical injury to another person by opera-
2 tion of a vehicle in violation of subdivision two, three or four of
3 section eleven hundred ninety-two of the vehicle and traffic law or by
4 operation of a vessel or public vessel in violation of paragraph (b),
5 (c), (d) or (e) of subdivision two of section forty-nine-a of the navi-
6 gation law, or
7 [(3)] (2) causes [such] serious physical injury to another person by
8 operation of a motor vehicle with a gross vehicle weight rating of more
9 than [eighteen] ten thousand pounds which contains flammable gas, radio-
10 active materials or explosives in violation of subdivision one of
11 section eleven hundred ninety-two of the vehicle and traffic law, and
12 such flammable gas, radioactive materials or explosives is the cause of
13 such serious physical injury, by operation of a snowmobile in violation
14 of paragraph (b), (c) or (d) of subdivision one of section 25.24 of the
15 parks, recreation and historic preservation law or by operation of an
16 all terrain vehicle as defined in paragraph (a) of subdivision one of
17 section twenty-two hundred eighty-one of the vehicle and traffic law and
18 in violation of subdivision two, three, or four of section eleven
19 hundred ninety-two of the vehicle and traffic law.
20 (3) In any prosecution under this section, it shall be an affirmative
21 defense that the primary cause of such serious physical injury was some
22 factor other than either the actor's intoxication or impairment by the
23 use of a drug.
24 Vehicular assault in the second degree is a class E felony.
25 § 15. Section 125.12 of the penal law, as separately amended by chap-
26 ters 427 and 805 of the laws of 1992 and subdivision 3 as amended by
27 chapter 629 of the laws of 1998, is amended to read as follows:
28 § 125.12 Vehicular manslaughter in the second degree.
29 A person is guilty of vehicular manslaughter in the second degree when
30 he or she:
31 (1) [commits the crime of criminally negligent homicide as defined in
32 section 125.10, and either
33 (2)] causes the death of [such other] another person by operation of a
34 vehicle in violation of subdivision two, three or four of section eleven
35 hundred ninety-two of the vehicle and traffic law or by operation of a
36 vessel or public vessel in violation of paragraph (b), (c), (d) or (e)
37 of subdivision two of section forty-nine-a of the navigation law, or
38 [(3)] (2) causes the death of [such other] another person by operation
39 of a motor vehicle with a gross vehicle weight rating of more than
40 [eighteen] ten thousand pounds which contains flammable gas, radioactive
41 materials or explosives in violation of subdivision one of section elev-
42 en hundred ninety-two of the vehicle and traffic law, and such flammable
43 gas, radioactive materials or explosives is the cause of such death, by
44 operation of a snowmobile in violation of paragraph (b), (c) or (d) of
45 subdivision one of section 25.24 of the parks, recreation and historic
46 preservation law or by operation of an all terrain vehicle as defined in
47 paragraph (a) of subdivision one of section twenty-two hundred eighty-
48 one of the vehicle and traffic law in violation of subdivision two,
49 three, or four of section eleven hundred ninety-two of the vehicle and
50 traffic law.
51 (3) In any prosecution under this section, it shall be an affirmative
52 defense that such death was primarily caused by some factor other than
53 either the actor's intoxication or impairment by the use of a drug or
54 the manner in which he or she operated the motor vehicle, vessel, public
55 vessel, snowmobile or all terrain vehicle while so intoxicated or
56 impaired by the use of a drug.
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1 Vehicular manslaughter in the second degree is a class D felony.
2 § 16. The closing paragraph of section 260.20 of the penal law, as
3 amended by chapter 362 of the laws of 1992, is amended to read as
4 follows:
5 Unlawfully dealing with a child in the first degree is a class A
6 misdemeanor; provided, however, that a person who violates the
7 provisions of subdivision two of this section after having been previ-
8 ously convicted twice of a violation of subdivision two of this section
9 within the preceding five years shall be guilty of a class E felony.
10 § 17. Section 7 of chapter 312 of the laws of 1994 amending the vehi-
11 cle and traffic law relating to suspensions of licenses pending prose-
12 cution of certain alcohol-related charges, and authorizations for proba-
13 tionary and conditional drivers' licenses, as amended by chapter 242 of
14 the laws of 2001, is amended to read as follows:
15 § 7. This act shall take effect immediately; provided however that
16 sections three, four, five and six of this act shall take effect on the
17 first day of November next succeeding the date on which it shall have
18 become a law and shall apply to offenses committed on or after such
19 date; provided further, however, that the amendment to paragraph (c) of
20 subdivision 2 of section 1193 of the vehicle and traffic law made by
21 section two of this act shall take effect on the same date as such para-
22 graph takes effect pursuant to section 9 of chapter 533 of the laws of
23 1993, as amended; provided, further, that the provisions of section four
24 of this act shall remain in full force and effect until October 1,
25 [2002] 2003 when upon such date the provisions of such section shall be
26 deemed repealed and the provisions of law amended by such section shall
27 revert to and be read as if the provisions of such section had not been
28 enacted.
29 § 18. This act shall take effect on the first day of November next
30 succeeding the date on which it shall have become a law, provided,
31 however, that sections two and seventeen of this act shall take effect
32 immediately; provided, further, that the amendments to clauses a and b
33 of subparagraph 7 of paragraph (e) of subdivision 2 of section 1193 of
34 the vehicle and traffic law made by section five of this act shall not
35 affect the repeal of such subparagraph and shall be deemed repealed
36 therewith.
37 PART C
38 Section 1. Subparagraph 6 of paragraph (d) of subdivision 1 of section
39 1193 of the vehicle and traffic law, as amended by chapter 26 of the
40 laws of 1996, is renumbered subparagraph 6-a and is amended to read as
41 follows:
42 (6-a) The sentences required to be imposed by subparagraph one, one-a,
43 two, three, four, four-a [or five o], five or six of this paragraph
44 shall be imposed notwithstanding any contrary provision of this chapter
45 or the penal law.
46 § 2. Paragraph (d) of subdivision 1 of section 1193 of the vehicle and
47 traffic law is amended by adding a new subparagraph 6 to read as
48 follows:
49 (6) (i) Except as provided for in clause (ii) of this subparagraph, a
50 person who operates a vehicle in violation of subdivision two, three,
51 four, five or six of section eleven hundred ninety-two of this article
52 after having been convicted of a violation of subdivision two, three,
53 four, five or six of such section within the preceding five years shall,
54 in addition to any other penalties prescribed in this subdivision, be
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1 sentenced to a term of imprisonment of five days, or, as an alternative
2 to imprisonment, shall be required to perform thirty days of service for
3 a public or not-for-profit corporation, association, institution or
4 agency as set forth in paragraph (h) of subdivision two of section 65.10
5 of the penal law as a condition of sentencing for such violation.
6 (ii) Except as provided for in clause (i) of this subparagraph, a
7 person who operates a vehicle in violation of subdivision two, three,
8 four, five or six of section eleven hundred ninety-two of this article
9 after having been convicted on two or more occasions of a violation of
10 subdivision two, three, four, five or six of such section within the
11 preceding five years shall, in addition to any other penalties
12 prescribed in this subdivision, be sentenced to a term of imprisonment
13 of ten days, or, as an alternative to imprisonment, shall be required to
14 perform sixty days of service for a public or not-for-profit corpo-
15 ration, association, institution or agency as set forth in paragraph (h)
16 of subdivision two of section 65.10 of the penal law as a condition of
17 sentencing for such violation.
18 (iii) A court sentencing any person as provided in clause (i) or (ii)
19 of this subparagraph shall order that such person receive an assessment
20 of the degree of such person's alcohol and/or substance abuse and an
21 assessment of appropriate treatment for such alcohol and/or substance
22 abuse.
23 (iv) Upon the sentencing of any person pursuant to clause (i) or (ii)
24 of this subparagraph, the court shall also order that, during any period
25 of license revocation required to be imposed pursuant to paragraph (b)
26 of subdivision two of this section, the registration of each motor vehi-
27 cle owned by such person be revoked; provided, however, that the court
28 may grant relief from such registration revocation if an individual,
29 other than the person sentenced, would be subjected to undue hardship
30 due to such revocation. Notwithstanding any inconsistent provision of
31 section eleven hundred ninety-eight of this article, as an alternative
32 to such registration revocation, the court may order that each motor
33 vehicle owned by the person sentenced be equipped with an ignition
34 interlock device, as defined in section one hundred nineteen-a of this
35 chapter, upon the termination of any period of license revocation.
36 § 3. This act shall take effect on the thirtieth day of September next
37 succeeding the date on which it shall have become a law.
38 PART D
39 Section 1. Paragraph (a) of subdivision 15 of section 385 of the vehi-
40 cle and traffic law, as amended by chapter 659 of the laws of 1995, is
41 amended to read as follows:
42 (a) The commissioner of transportation is hereby authorized to contin-
43 ue to grant permits, and to charge fees therefor, for the operation or
44 movement of a vehicle or combination of vehicles having weights or
45 dimensions which exceed the limitations provided for in this section
46 upon any highway under his or her jurisdiction except in any city not
47 wholly included within one county. Such permits shall be issued in
48 accordance with the terms and conditions contained in rules and regu-
49 lations governing special hauling permits which have been or shall be
50 promulgated by the commissioner of transportation and which may include,
51 but not be limited to, a requirement that a vehicle or combination of
52 vehicles being issued a permit shall be accompanied by one or more
53 escort vehicles which is being operated by an individual having a valid
54 escort certificate issued by the commissioner. The commissioner of
S. 6259 11 A. 9761
1 transportation is authorized to promulgate rules and regulations govern-
2 ing the operation, use and equipment of escort vehicles and the duties
3 and responsibilities of the operator of an escort vehicle. Any finding
4 by the commissioner of transportation that an individual has violated
5 such rules and regulations shall be grounds for the cancellation of an
6 individual's escort certificate and a penalty not to exceed five hundred
7 dollars per occurrence for the first violation and not to exceed one
8 thousand dollars per occurrence for each subsequent violation. Prior to
9 issuing such a finding, the commissioner of transportation shall afford
10 an individual the right to a hearing pursuant to section one hundred
11 forty-five of the transportation law. Such rules and regulations shall
12 take into consideration, but shall not be limited to, the safety of the
13 traveling public and the protection of the highways and the environment.
14 Such rules and regulations shall also contain a schedule of fees to be
15 charged for the issuance of such permits which fees shall cover, but
16 shall not be limited to, the costs to the department of transportation
17 for the administration of the permit program, and shall permit the
18 commissioner of transportation to levy a surcharge of up to twenty
19 dollars for the issuance and distribution of special hauling permits at
20 regional offices of the department of transportation. The annual vehicle
21 fee for a permit issued pursuant to subparagraphs (i), (ii), (ii-a) and
22 (iii) of paragraph (f) of this subdivision shall be three hundred sixty
23 dollars for vehicles with less than five axles [and] , seven hundred
24 fifty dollars for vehicles with five or [more] six axles and nine
25 hundred dollars for vehicles with seven or more axles. The annual vehi-
26 cle fee for a permit issued pursuant to subparagraphs (iv), (v), and
27 (vi) of paragraph (f) of this subdivision shall be four hundred eighty
28 dollars for vehicles with less than five axles and one thousand dollars
29 for vehicles with five or more axles. Additionally, the commissioner
30 shall establish a fee schedule for the permitting of extra non-power
31 combination units that may not exceed twenty-five dollars per vehicle
32 and may offer discounts for multi-trailer registrations. Such fees shall
33 not be charged to municipalities in this state. If the permit has rout-
34 ing requirements, such rules and regulations shall provide that if the
35 routing anticipates the use of highways not under the jurisdiction of
36 the commissioner of transportation, then he or she shall immediately
37 notify the municipality or municipalities, having jurisdiction over such
38 highway that an application for a permit has been received and request
39 comment thereon. Said municipality or municipalities shall not have
40 less than fifteen days to comment. Such rules and regulations shall also
41 contain any other requirements deemed necessary by the commissioner of
42 transportation.
43 § 2. Paragraph (f) of subdivision 15 of section 385 of the vehicle and
44 traffic law, as amended by chapter 656 of the laws of 1993 and the open-
45 ing paragraph as amended by chapter 83 of the laws of 2000, is amended
46 to read as follows:
47 (f) The department of transportation, or other issuing authority, may
48 issue an annual permit for a vehicle designed and constructed to carry
49 loads that are not of one piece or item, which is registered in this
50 state. Motor carriers having apportioned vehicles registered under the
51 international registration plan must either have a currently valid
52 permit at the time this provision becomes effective or shall have desig-
53 nated New York as its base state or one of the eligible jurisdictions of
54 operation under the international registration plan in order to be
55 eligible to receive a permit issued pursuant to subparagraph (i) [or],
56 (ii) or (ii-a) of this paragraph.
S. 6259 12 A. 9761
1 No vehicle or combination of vehicles issued a permit pursuant to this
2 paragraph shall cross a bridge designated as an R-posted bridge by the
3 commissioner of transportation or any other permit issuing authority
4 absent a determination by such commissioner or permit issuing authority
5 that the permit applicant has demonstrated special circumstances
6 warranting the crossing of such bridge or bridges and that such bridge
7 or bridges may be crossed safely, provided, however, that in no event
8 shall a vehicle or combination of vehicles issued a permit under this
9 paragraph be permitted to cross a bridge designated as an R-posted
10 bridge if such vehicle or combination of vehicles has a maximum gross
11 weight exceeding one hundred two thousand pounds.
12 No vehicle having a model year of two thousand four or newer shall be
13 issued a permit pursuant to this paragraph unless each axle of such
14 vehicle or combination of vehicles, other than steerable or trackable
15 axles, is equipped with two tires on each side of the axle, any air
16 pressure controls for lift axles are located outside the cab of the
17 vehicle and are beyond the reach of occupants of the cab while the vehi-
18 cle is in motion, the weight on any grouping of two or more axles is
19 distributed such that no axle in the grouping carries less than eighty
20 percent of any other axle in the grouping and any liftable axle is
21 steerable or trackable; and, further provided, after December thirty-
22 first, two thousand twelve, no permit shall be issued pursuant to this
23 paragraph to a vehicle of any model year that does not meet the require-
24 ments of this provision.
25 A divisible load permit may only be transferred to a replacement vehi-
26 cle by the same registrant or transferred with the permitted vehicle as
27 part of the sale or transfer of the permit holder's business; or, if the
28 divisible load permit is issued pursuant to subparagraph (iv), (v) or
29 (vi) of this paragraph and has been effective for the five years preced-
30 ing a transfer of such permit, the permit may be transferred with the
31 permitted vehicle in the sale of the permitted vehicle to the holder of
32 a permit issued pursuant to subparagraph (iv), (v) or (vi) of this para-
33 graph.
34 If a permit holder operates a vehicle or combination of vehicles in
35 violation of any posted weight restriction, the permit issued to such
36 vehicle or combination of vehicles shall be deemed void as of the next
37 day and shall not be reissued for a period of twelve calendar months.
38 Until June thirtieth, nineteen hundred ninety-four, no more than
39 sixteen thousand power units shall be issued annual permits by the
40 department for any twelve-month period in accordance with this para-
41 graph. After June thirtieth, nineteen hundred ninety-four, no more than
42 sixteen thousand five hundred power units shall be issued annual permits
43 by the department for any twelve-month period. After December thirty-
44 first, nineteen hundred ninety-five, no more than seventeen thousand
45 power units shall be issued annual permits by the department for any
46 twelve-month period. After December thirty-first, two thousand, no more
47 than twenty-one thousand power units shall be issued annual permits by
48 the department for any twelve-month period. After December thirty-first,
49 two thousand three, no more than twenty-two thousand power units shall
50 be issued annual permits by the department for any twelve-month period.
51 After December thirty-first, two thousand four, no more than twenty-
52 three thousand power units shall be issued annual permits by the depart-
53 ment for any twelve-month period. After December thirty-first, two thou-
54 sand five, no more than twenty-four thousand power units shall be issued
55 annual permits by the department for any twelve-month period. After
56 December thirty-first, two thousand six, no more than twenty-five thou-
S. 6259 13 A. 9761
1 sand power units shall be issued annual permits by the department for
2 any twelve-month period.
3 Whenever permit application requests exceed permit availability, the
4 department shall renew annual permits that have been expired for less
5 than four years which meet program requirements, and then shall issue
6 permit applicants having less than three divisible load permits such
7 additional permits as the applicant may request, providing that the
8 total of existing and new permits does not exceed three. Remaining
9 permits shall be allocated by lottery in accordance with procedures
10 established by the commissioner in rules and regulations.
11 The department of transportation may issue a seasonal agricultural
12 permit in accordance with subparagraphs (i), (ii) and (iii) of this
13 paragraph that will be valid for four consecutive months with a fee
14 equal to one-half the annual permit fees established under this subdivi-
15 sion.
16 For a vehicle issued a permit in accordance with subparagraphs (iii),
17 (iv), (v) and (vi) of this paragraph, such a vehicle must have been
18 registered in this state prior to January first, nineteen hundred eight-
19 y-six or be a vehicle or combination of vehicles which replace such type
20 of vehicle which was registered in this state prior to such date
21 provided that the manufacturer's recommended maximum gross weight of the
22 replacement vehicle or combination of vehicles does not exceed the
23 weight for which a permit may be issued and the maximum load to be
24 carried on the replacement vehicle or combination of vehicles does not
25 exceed the maximum load which could have been carried on the vehicle
26 being replaced or the registered weight of such vehicle, whichever is
27 lower, in accordance with the following subparagraphs:
28 (i) A permit may be issued for a vehicle having at least three axles
29 and a wheelbase not less than sixteen feet and for a vehicle with a
30 trailer not exceeding forty-eight feet. The maximum gross weight of such
31 a vehicle shall not exceed forty-two thousand five hundred pounds plus
32 one thousand two hundred fifty pounds for each foot and major fraction
33 of a foot of the distance from the center of the foremost axle to the
34 center of the rearmost axle, or one hundred two thousand pounds, which-
35 ever is more restrictive provided, however, that any four axle group
36 weight shall not exceed sixty-two thousand pounds, any tridem axle group
37 weight shall not exceed fifty-seven thousand pounds, any tandem axle
38 weight does not exceed forty-seven thousand pounds and any single axle
39 weight shall not exceed twenty-five thousand pounds.
40 Any additional special authorizations contained in a currently valid
41 annual permit shall cease upon the expiration of such current annual
42 permit.
43 (ii) A permit may be issued subject to bridge restrictions for a vehi-
44 cle or a combination of vehicles having at least six axles and a wheel
45 base of at least thirty-six and one-half feet. The maximum gross weight
46 of such vehicle or combination of vehicles shall not exceed one hundred
47 seven thousand pounds and any tridem axle group weight shall not exceed
48 fifty-eight thousand pounds and any tandem axle group weight shall not
49 exceed forty-eight thousand pounds.
50 (ii-a) A permit may be issued subject to bridge restrictions for a
51 combination of vehicles having at least seven axles and a wheelbase of
52 at least forty-three feet. The maximum gross weight of such combination
53 of vehicles shall not exceed one hundred seventeen thousand pounds, any
54 four axle group weight shall not exceed sixty-three thousand pounds, any
55 tridem axle group weight shall not exceed fifty-eight thousand pounds,
56 any tandem axle group weight shall not exceed forty-eight thousand
S. 6259 14 A. 9761
1 pounds, and any single axle weight shall not exceed twenty-five thousand
2 pounds.
3 Each axle of such combination of vehicles, other than steerable or
4 trackable axles, shall be equipped with two tires on each side of the
5 axle, any air pressure controls for lift axles shall be located outside
6 the cab of the combination of vehicles and shall be beyond the reach of
7 occupants of the cab while the combination of vehicles is in motion, the
8 weight on any grouping of two or more axles shall be distributed such
9 that no axle in the grouping carries less than eighty percent of any
10 other axle in the grouping, and any liftable axle of such combination of
11 vehicles shall be steerable or trackable.
12 (iii) A permit may be issued for a vehicle having two axles and a
13 wheelbase not less than ten feet, with the maximum gross weight not in
14 excess of one hundred twenty-five percent of the total weight limitation
15 as set forth in subdivision ten of this section. Furthermore, until
16 December thirty-first, nineteen hundred ninety-four, any single rear
17 axle weight shall not exceed twenty-eight thousand pounds. After Decem-
18 ber thirty-first, nineteen hundred ninety-four, any axle weight shall
19 not exceed twenty-seven thousand pounds.
20 (iv) Within a city not wholly included within one county and the coun-
21 ties of Westchester, Rockland, Nassau, Suffolk, Putnam, Orange and
22 Dutchess, a permit may be issued for a vehicle having at least three
23 axles and a wheelbase not exceeding forty-four feet nor less than seven-
24 teen feet or for a vehicle with a trailer not exceeding forty feet.
25 Until December thirty-first, nineteen hundred ninety-four, a permit
26 may only be issued for such a vehicle having a maximum gross weight not
27 exceeding eighty-two thousand pounds and any tandem axle group weight
28 shall not exceed sixty-two thousand pounds.
29 After January first, nineteen hundred ninety-five, the operation of
30 such a vehicle shall be further limited and a permit may only be issued
31 for such a vehicle having a maximum gross weight not exceeding seventy-
32 nine thousand pounds and any tandem axle group weight shall not exceed
33 fifty-nine thousand pounds, and any tridem shall not exceed sixty-four
34 thousand pounds.
35 A permit may be issued only until December thirty-first, nineteen
36 hundred ninety-four for a vehicle having at least three axles and a
37 wheelbase between fifteen and seventeen feet. The maximum gross weight
38 of such a vehicle shall not exceed seventy-three thousand two hundred
39 eighty pounds and any tandem axle group weight shall not exceed fifty-
40 four thousand pounds.
41 No vehicle having a model year of two thousand four or newer shall be
42 issued a permit pursuant to this subparagraph unless it is equipped with
43 at least four axles, and further provided, after December thirty-first,
44 two thousand twelve, no permit shall be issued pursuant to this subpara-
45 graph to a vehicle of any model year unless the vehicle is equipped with
46 at least four axles.
47 (v) Within a city not wholly included within one county and the coun-
48 ties of Westchester, Rockland, Nassau, Suffolk, Putnam, Orange or Dutch-
49 ess, a permit may be issued only until December thirty-first, nineteen
50 hundred ninety-nine for a vehicle or combination of vehicles that has
51 been permitted within the past four years having five axles and a wheel-
52 base of at least thirty-six and one-half feet. The maximum gross weight
53 of such a vehicle or combination of vehicles shall not exceed one
54 hundred five thousand pounds and any tandem axle group weight shall not
55 exceed fifty-one thousand pounds.
S. 6259 15 A. 9761
1 Within a city not wholly included within one county and the counties
2 of Westchester, Rockland, Nassau, Suffolk, Putnam, Orange and Dutchess,
3 a permit may be issued for a vehicle or combination of vehicles having
4 at least five axles and a wheelbase of at least thirty feet. The maximum
5 gross weight of such vehicle or combination of vehicles shall not exceed
6 ninety-three thousand pounds and any tridem axle group weight shall not
7 exceed fifty-seven thousand pounds and any tandem axle group weight
8 shall not exceed forty-five thousand pounds.
9 (vi) Within a city not wholly included within one county and the coun-
10 ties of Westchester, Rockland, Nassau, Suffolk, Putnam, Orange and
11 Dutchess, a permit may be issued for a vehicle or combination of vehi-
12 cles having at least five axles or more and a wheelbase of at least
13 thirty-six and one-half feet, provided such permit contains routing
14 restrictions.
15 Until December thirty-first, nineteen hundred ninety-four, the maximum
16 gross weight of a vehicle or combination of vehicles permitted under
17 this subparagraph shall not exceed one hundred twenty thousand pounds
18 and any tandem or tridem axle group weight shall not exceed sixty-nine
19 thousand pounds, provided, however, that any replacement vehicle or
20 combination of vehicles permitted after the effective date of this
21 subparagraph shall have at least six axles, any tandem axle group shall
22 not exceed fifty thousand pounds and any tridem axle group shall not
23 exceed sixty-nine thousand pounds.
24 After December thirty-first, nineteen hundred ninety-four, the tridem
25 axle group weight of any vehicle or combination of vehicles issued a
26 permit under this subparagraph shall not exceed sixty-seven thousand
27 pounds, any tandem axle group weight shall not exceed fifty thousand
28 pounds and any single axle weight shall not exceed twenty-five thousand
29 seven hundred fifty pounds.
30 After December thirty-first, nineteen hundred ninety-nine, all vehi-
31 cles issued a permit under this subparagraph must have at least six
32 axles.
33 After December thirty-first, two thousand twelve, all combinations of
34 vehicles issued a permit under this subparagraph must have at least
35 seven axles and a wheelbase of at least forty-three feet.
36 After December thirty-first, two thousand four, no permits shall be
37 issued under this subparagraph for a vehicle or combination of vehicles
38 having less than seven axles or having a wheelbase of less than forty-
39 three feet, provided, however, that permits may be issued for vehicles
40 or combinations of vehicles where the permit applicant demonstrates that
41 the applicant acquired the vehicle or combination of vehicles prior to
42 December thirty-first, two thousand four, and that if the vehicle or
43 combination of vehicles was acquired by the applicant after the effec-
44 tive date of this provision, such vehicle or combination of vehicles is
45 less than fifteen years old. In instances where the application is for a
46 combination of vehicles, the applicant shall demonstrate that the power
47 unit of such combination satisfies the conditions of this subparagraph.
48 In no event shall a permit be issued under this subparagraph for a vehi-
49 cle or combination of vehicles having less than seven axles or having a
50 wheelbase of less than forty-three feet after December thirty-first, two
51 thousand twelve.
52 Except as otherwise provided by this subparagraph for the period
53 ending December thirty-first, two thousand twelve, after December thir-
54 ty-first, two thousand, any combination of vehicles issued a permit
55 under this subparagraph shall not exceed one hundred twenty thousand
56 pounds, shall have at least seven axles, shall have a wheelbase of at
S. 6259 16 A. 9761
1 least forty-three feet, and single axle weight shall not exceed twenty-
2 five thousand seven hundred fifty pounds, any tandem axle group weight
3 shall not exceed forty-eight thousand pounds, any tridem axle group
4 weight shall not exceed sixty-three thousand pounds and any four axle
5 group shall not exceed sixty-five thousand pounds.
6 From the date of enactment of this paragraph, permit applications
7 under subparagraphs (i), (ii), (ii-a), (iii), (iv), (v) and (vi) [here-
8 of] of this paragraph for vehicles registered in this state may be
9 honored by the commissioner of transportation or other appropriate
10 authority. The commissioner of transportation and other appropriate
11 authorities may confer and develop a system through rules and regu-
12 lations to assure compliance herewith.
13 § 3. Subdivision 15 of section 385 of the vehicle and traffic law is
14 amended by adding two new paragraphs (j) and (k) to read as follows:
15 (j) The commissioner of transportation is authorized to conduct hear-
16 ings with regard to the issuance or revocation of any permit issued by
17 the commissioner of transportation pursuant to this section and relating
18 to the violation of any condition applicable to such permit as provided
19 in subdivision three of section one hundred forty-five of the transpor-
20 tation law. If a permit issued by the department of transportation is
21 seized and the holder of the permit makes a written request to the
22 department of transportation for a hearing, the commissioner of trans-
23 portation shall schedule a hearing within twenty days of the receipt of
24 such request.
25 (k) Any permit issued pursuant to this section that is seized shall be
26 forwarded to the issuing authority as soon as practicable.
27 § 4. Subdivision 19 of section 385 of the vehicle and traffic law is
28 REPEALED and a new subdivision 19 is added to read as follows:
29 19. (a) (i) A violation of the provisions of subdivision eight, nine,
30 or ten of this section by any vehicle or combination of vehicles whose
31 weight exceeds the weight limitations as set forth in this section, or a
32 violation of such rules and regulations, or a violation of the
33 provisions of the rules or regulations of the city department of trans-
34 portation in a city not wholly included within one county setting forth
35 the maximum allowable gross weight, axle weight, or axle grouping weight
36 for the operation of a vehicle in such city without a permit for such
37 vehicle, by any vehicle or combination of vehicles whose weight exceeds
38 the weight limitations as set forth in this section or such rules and
39 regulations, or a violation of the weight limitations specified by
40 permit issued pursuant to subdivision fifteen of this section shall be
41 punishable by fines levied on the registered owner of the vehicle or
42 vehicles, whether at the time of the violation the vehicle was in the
43 charge of the registered owner, or the owner's agent, or lessee, in
44 accordance with the following schedule:
45 Percent of excess weight Amount of fine
46 (percentage) (dollars)
47 greater than less than or equal to
48 0 2.0 150
49 2.0 4.0 300
50 4.0 6.0 450
51 6.0 7.0 525
52 7.0 8.0 600
53 8.0 10.0 750
54 10.0 12.0 950
55 12.0 14.0 1,150
S. 6259 17 A. 9761
1 14.0 16.0 1,350
2 16.0 18.0 1,550
3 18.0 20.0 1,750
4 20.0 22.0 1,950
5 22.0 24.0 2,150
6 24.0 26.0 2,350
7 26.0 28.0 2,550
8 28.0 30.0 2,750
9 30.0 32.0 2,950
10 32.0 34.0 3,150
11 34.0 36.0 3,350
12 36.0 38.0 3,550
13 38.0 40.0 3,750
14 40.0 3,750
15 or greater plus $125 for
16 each percent
17 over 40 percent
18 (NOTE: Where the total weight or axle or axle grouping weight is greater
19 than four percent including any applicable enforcement scale tolerance
20 in excess of the limits specified by a permit in a city not wholly
21 included in one county or seven percent including any applicable
22 enforcement scale tolerance in excess of the limits specified by a
23 permit in areas outside such a city, the permit shall be deemed voided
24 and then the amount of fine shall be determined in accordance with the
25 maximum weight which would have been in effect for the operation of such
26 vehicle if the permit to exceed such maximum weight had not been
27 issued.)
28 (ii) Notwithstanding subparagraph (i) of this paragraph and only for
29 violations by a vehicle having three or fewer axles and issued a permit
30 pursuant to subparagraph (iv) of paragraph (f) of subdivision fifteen of
31 this section or by a vehicle or combination of vehicles having six or
32 fewer axles and issued a permit pursuant to subparagraph (vi) of para-
33 graph (f) of subdivision fifteen of this section, a violation of the
34 provisions of subdivision ten of this section in a city not wholly
35 included within one county or of the provisions of the rules or regu-
36 lations of the city department of transportation of such city setting
37 forth the maximum allowable gross weight for the operation of such vehi-
38 cle or combination of vehicles in such city without a permit for such
39 vehicle or combination of vehicles, by such vehicle or combination of
40 vehicles whose weight exceeds the weight limitations (excluding enforce-
41 ment scale tolerance as certified by the state department of agriculture
42 and markets) as set forth in this section, or such rules and regu-
43 lations, or the weight limitations specified by permit issued pursuant
44 to subdivision fifteen of this section shall be punishable by fines
45 levied on the registered owner of the vehicle or vehicles, whether at
46 the time of the violation the vehicle was in the charge of the regis-
47 tered owner, or his or her agent, or lessee, in accordance with the
48 following schedule:
49 Excess total weight Amount of fine
50 (pounds) (dollars)
51 greater than less than or equal to
52 0 2,000 50
53 2,000 3,000 75
54 3,000 4,000 100
S. 6259 18 A. 9761
1 4,000 5,000 200
2 5,000 6,000 300
3 6,000 7,000 400
4 7,000 8,000 500
5 8,000 9,000 600
6 9,000 10,000 700
7 10,000 15,000 1,200
8 15,000 20,000 1,700
9 20,000 25,000 2,200
10 25,000 30,000 2,700
11 30,000 35,000 3,200
12 35,000 40,000 3,700
13 40,000 45,000 4,200
14 45,000 50,000 or greater 4,700
15 (NOTE: Where the total weight (excluding enforcement scale tolerance
16 as certified by the state department of agriculture and markets) is
17 greater than the limits specified by a permit, the permit shall be
18 deemed voided and then the amount of fine shall be determined in accord-
19 ance with the maximum weight which would have been in effect for the
20 operation of such vehicle if the permit to exceed such maximum weight
21 had not been issued.)
22 (iii) Notwithstanding subparagraph (i) of this paragraph and only for
23 violations by a vehicle having three or fewer axles and issued a permit
24 pursuant to subparagraph (iv) of paragraph (f) of subdivision fifteen of
25 this section or by a vehicle or combination of vehicles having six or
26 fewer axles and issued a permit pursuant to subparagraph (vi) of para-
27 graph (f) of subdivision fifteen of this section, a violation of the
28 provisions of subdivisions eight and nine of this section in a city not
29 wholly included within one county or of the provisions of the rules or
30 regulations of the city department of transportation of such city
31 setting forth the maximum allowable axle or tandem axle weight for the
32 operation of such vehicle or combination of vehicles in such city with-
33 out a permit for such vehicle or combination of vehicles, by such vehi-
34 cle or combination of vehicles whose weight exceeds the weight limita-
35 tions (excluding enforcement scale tolerance as certified by the state
36 department of agriculture and markets) as set forth in this section, or
37 such rules or regulations, or the weight limitations specified by permit
38 issued pursuant to subdivision fifteen of this section shall be punisha-
39 ble by fines levied on the registered owner of the vehicle or vehicles,
40 whether at the time of the violation the vehicle was in the charge of
41 the registered owner, or his or her agent, or lessee, in accordance with
42 the following schedule:
43 Percentage of excess Amount of fine
44 weight (percentage) (dollars)
45 greater than less than or equal to
46 0.0 5.0 100
47 5.0 10.0 200
48 10.0 15.0 350
49 15.0 20.0 600
50 20.0 25.0 1,000
51 25.0 30.0 1,600
52 30.0 35.0 2,450
53 35.0 40.0 3,600
54 40.0 45.0 5,100
S. 6259 19 A. 9761
1 45.0 7,000
2 (NOTE: Where the axle or axles weight (excluding enforcement scale
3 tolerance as certified by the state department of agriculture and
4 markets) is greater than the limits specified by a permit, the permit
5 shall be deemed voided and then the amount of fine shall be determined
6 in accordance with the maximum weight which would have been in effect
7 for the operation of such vehicle if the permit to exceed such maximum
8 weight had not been issued.)
9 (b) In addition to the fines imposed by paragraph (a) of this subdivi-
10 sion, the registration of the vehicle may be suspended for a period not
11 to exceed one year, whether at the time of the violation of this section
12 the vehicle was in charge of the owner or the owner's agent, or lessee.
13 The provisions of section five hundred ten of this chapter shall apply
14 to such suspension, except as otherwise provided herein.
15 (c) If the vehicle is the subject of a permit issued pursuant to para-
16 graph (f) of subdivision fifteen of this section and if the registered
17 owner of a vehicle fails to appear on the return date or subsequent
18 adjourned date of a summons, appearance ticket or notice of violation
19 issued pursuant to this subdivision or fails to pay a fine imposed
20 pursuant to this subdivision, the registration of the vehicle or the
21 privilege of operating the vehicle in this state shall be suspended for
22 a period not to exceed one year. The suspension shall remain in effect
23 until the registered owner's appearance or payment of the fine. The
24 commissioner or the commissioner's agent may deny a registration appli-
25 cation of any other person for the same vehicle where the commissioner
26 has reasonable grounds to believe that such registration will have the
27 effect of defeating the purpose of this paragraph.
28 (d) Except for violations to which the penalties set forth in subpara-
29 graph (ii) or (iii) of paragraph (a) of this subdivision apply, in
30 connection with the weighing of a vehicle or combination of vehicles, if
31 it is found that there is a violation of subdivision ten of this section
32 and also of subdivision eight or nine of this section, or both subdivi-
33 sions eight and nine of this section, there shall be a single fine
34 imposed and the maximum amount of such fine shall not exceed the highest
35 fine that could be imposed under this subdivision.
36 § 5. This act shall take effect April 1, 2002; provided, however, if
37 this act shall become a law after such date it shall take effect imme-
38 diately and shall be deemed to have been in full force and effect on and
39 after April 1, 2002; provided, further, that sections three and four of
40 this act shall take effect 90 days after the date on which this act
41 shall have become a law.
42 PART E
43 Section 1. Paragraph a of subdivision 5 of section 89-b of the state
44 finance law, as amended by section 1 of part D of chapter 151 of the
45 laws of 2001, is amended to read as follows:
46 a. Moneys in the dedicated highway and bridge trust fund shall,
47 following appropriation by the legislature, be utilized for: recon-
48 struction, replacement, reconditioning, restoration, rehabilitation and
49 preservation of state, county, town, city and village roads, highways,
50 parkways, and bridges thereon, to restore such facilities to their
51 intended functions; construction, reconstruction, enhancement and
52 improvement of state, county, town, city, and village roads, highways,
53 parkways, and bridges thereon, to address current and projected capacity
S. 6259 20 A. 9761
1 problems including costs for traffic mitigation activities; aviation
2 projects authorized pursuant to section fourteen-j of the transportation
3 law and for payments to the general debt service fund of amounts equal
4 to amounts required for service contract payments related to aviation
5 projects as provided and authorized by section three hundred eighty-six
6 of the public authorities law; programs to assist small and minority and
7 women-owned firms engaged in transportation construction and recon-
8 struction projects, including a revolving fund for working capital
9 loans, and a bonding guarantee assistance program in accordance with
10 provisions of this chapter; matching federal grants or apportionments to
11 the state for highway, parkway and bridge capital projects; the acquisi-
12 tion of real property and interests therein required or expected to be
13 required in connection with such projects; preventive maintenance activ-
14 ities necessary to ensure that highways, parkways and bridges meet or
15 exceed their optimum useful life; expenses of control of snow and ice on
16 state highways by the department of transportation including but not
17 limited to personal services, nonpersonal services and fringe benefits,
18 payment of emergency aid for control of snow and ice in municipalities
19 pursuant to section fifty-five of the highway law, expenses of control
20 of snow and ice on state highways by municipalities pursuant to section
21 twelve of the highway law, and for expenses of arterial maintenance
22 agreements with cities pursuant to section three hundred forty-nine of
23 the highway law; personal services and fringe benefit costs of the
24 department of transportation for bus safety inspection activities; costs
25 of the department of motor vehicles, including but not limited to
26 personal and nonpersonal services; costs of engineering and administra-
27 tive services of the department of transportation, including but not
28 limited to fringe benefits; the contract services provided by private
29 firms in accordance with section fourteen of the transportation law;
30 personal services and nonpersonal services, for activities including but
31 not limited to the preparation of designs, plans, specifications and
32 estimates; construction management and supervision activities; costs of
33 appraisals, surveys, testing and environmental impact statements for
34 transportation projects; expenses in connection with buildings, equip-
35 ment, materials and facilities used or useful in connection with the
36 maintenance, operation, and repair of highways, parkways and bridges
37 thereon; and project costs for: construction, reconstruction, improve-
38 ment, reconditioning and preservation of rail freight facilities and
39 intercity rail passenger facilities and equipment; construction, recon-
40 struction, improvement, reconditioning and preservation of state, munic-
41 ipal and privately owned ports; construction, reconstruction, improve-
42 ment, reconditioning and preservation of municipal airports; privately
43 owned airports and aviation capital facilities, excluding airports oper-
44 ated by the state or operated by a bi-state municipal corporate instru-
45 mentality for which federal funding is not available provided the
46 project is consistent with an approved airport layout plan; and
47 construction, reconstruction, enhancement, improvement, replacement,
48 reconditioning, restoration, rehabilitation and preservation of state,
49 county, town, city and village roads, highways, parkways and bridges;
50 and construction, reconstruction, improvement, reconditioning and pres-
51 ervation of fixed ferry facilities of municipal and privately owned
52 ferry lines for transportation purposes, and the payment of debt service
53 required on any bonds, notes or other obligations and related expenses
54 for highway, parkway, bridge and project costs for: construction, recon-
55 struction, improvement, reconditioning and preservation of rail freight
56 facilities and intercity rail passenger facilities and equipment;
S. 6259 21 A. 9761
1 construction, reconstruction, improvement, reconditioning and preserva-
2 tion of state, municipal and privately owned ports; construction, recon-
3 struction, improvement, reconditioning and preservation of municipal
4 airports; privately owned airports and aviation capital facilities,
5 excluding airports operated by the state or operated by a bi-state
6 municipal corporate instrumentality for which federal funding is not
7 available provided the project is consistent with an approved airport
8 layout plan; construction, reconstruction, enhancement, improvement,
9 replacement, reconditioning, restoration, rehabilitation and preserva-
10 tion of state, county, town, city and village roads, highways, parkways
11 and bridges; and construction, reconstruction, improvement, recondition-
12 ing and preservation of fixed ferry facilities of municipal and private-
13 ly owned ferry lines for transportation purposes, purposes authorized on
14 or after the effective date of this section. Beginning with disburse-
15 ments made on and after the first day of April, nineteen hundred nine-
16 ty-three, moneys in such fund shall be available to pay such costs or
17 expenses made pursuant to appropriations or reappropriations made during
18 the state fiscal year which began on the first of April, nineteen
19 hundred ninety-two. Beginning the first day of April, nineteen hundred
20 ninety-three, moneys in such fund shall also be used for payments to the
21 general debt service fund of amounts equal to amounts required for
22 service contract payments as provided and authorized by section three
23 hundred eighty of the public authorities law and by section eleven of
24 chapter three hundred twenty-nine of the laws of nineteen hundred nine-
25 ty-one, as amended.
26 § 2. This act shall take effect April 1, 2002; provided, however, if
27 this act shall become a law after such date it shall take effect imme-
28 diately and shall be deemed to have been in full force and effect on and
29 after April 1, 2002.
30 PART F
31 Section 1. The sum of two hundred eighty-one million four hundred
32 eighty-eight thousand dollars ($281,488,000), or so much thereof as
33 shall be necessary, and in addition to amounts previously appropriated
34 by law, is hereby made available, in accordance with subdivision 1 of
35 section 380 of the public authorities law as amended, according to the
36 following schedule. Payments pursuant to subdivision (a) of this
37 section shall be made available as moneys become available for such
38 payments. Payments pursuant to subdivision (b) and (c) of this section
39 shall be made available on the fifteenth day of June, September, Decem-
40 ber and March or as soon thereafter as moneys become available for such
41 payments. No moneys of the state in the state treasury or any of its
42 funds shall be available for payments pursuant to this section:
43 SCHEDULE
44 (a) Thirty-nine million seven hundred thousand dollars ($39,700,000)
45 to municipalities for repayment of eligible costs of federal aid munici-
46 pal street and highway projects pursuant to section 15 of chapter 329 of
47 the laws of 1991, as added by section 9 of chapter 330 of the laws of
48 1991, as amended. The department of transportation shall provide such
49 information to the municipalities as may be necessary to maintain the
50 federal tax exempt status of any bonds, notes, or other obligations
51 issued by such municipalities to provide for the non-federal share of
52 the cost of projects pursuant to chapter 330 of the laws of 1991 or
53 section 80-b of the highway law.
S. 6259 22 A. 9761
1 (b) Two hundred seventeen million nine hundred thousand dollars
2 ($217,900,000) to counties, cities, towns and villages for reimbursement
3 of eligible costs of local highway and bridge projects pursuant to
4 sections 16 and 16-a of chapter 329 of the laws of 1991, as added by
5 section 9 of chapter 330 of the laws of 1991, as amended. For the
6 purposes of computing allocations to municipalities, the amount distrib-
7 uted pursuant to section 16 of chapter 329 of the laws of 1991 shall be
8 deemed to be $114,188,000. The amount distributed pursuant to section
9 16-a of chapter 329 of the laws of 1991 shall be deemed to be
10 $103,712,000. Notwithstanding the provisions of any general or special
11 law, the amounts deemed distributed in accordance with section 16 of
12 chapter 329 of the laws of 1991 shall be adjusted so that such amounts
13 will not be less than 78.750 percent of the "funding level" as defined
14 in subdivision 5 of section 10-c of the highway law for each such muni-
15 cipality. In order to achieve the objectives of section 16 of chapter
16 329 of the laws of 1991, to the extent necessary, the amounts in excess
17 of 78.750 percent of the funding level to be deemed distributed to each
18 municipality under this subdivision shall be reduced in equal propor-
19 tion.
20 (c) Twenty-three million eight hundred eighty-eight thousand dollars
21 ($23,888,000) to municipalities for reimbursement of eligible costs of
22 local highway and bridge projects pursuant to sections 16 and 16-a of
23 chapter 329 of the laws of 1991, as added by section 9 of chapter 330 of
24 the laws of 1991, as amended. For the purposes of computing allocations
25 to municipalities, the amount distributed pursuant to section 16 of
26 chapter 329 of the laws of 1991 shall be deemed to be $30,812,000. The
27 amount distributed pursuant to section 16-a of chapter 329 of the laws
28 of 1991 shall be deemed to be $27,985,000. Notwithstanding the
29 provisions of any general or special law, the amounts deemed distributed
30 in accordance with section 16 of chapter 329 of the laws of 1991 shall
31 be adjusted so that such amounts will not be less than 21.250 percent of
32 the "funding level" as defined in subdivision 5 of section 10-c of the
33 highway law for each such municipality. In order to achieve the objec-
34 tives of section 16 of chapter 329 of the laws of 1991, to the extent
35 necessary, the amounts in excess of 21.250 percent of the funding level
36 to be deemed distributed to each municipality under this paragraph shall
37 be reduced in equal proportion. Finally, amounts deemed distributed
38 under this paragraph shall not be paid to counties or the city of New
39 York. To the extent that the total of remaining payment allocations
40 calculated herein varies from $23,888,000, the payment amounts to each
41 locality shall be adjusted by a uniform percentage so that the total
42 payments equal $23,888,000.
43 § 2. Subdivision (b) of section 11 of chapter 329 of the laws of 1991,
44 amending the state finance law and other laws relating to the establish-
45 ment of the dedicated highway and bridge trust fund, as amended by
46 section 2 of part K of chapter 61 of the laws of 2000, is amended to
47 read as follows:
48 (b) Any service contract or contracts for projects authorized pursuant
49 to sections 10-c, 10-f, 10-g and 80-b of the highway law and section
50 14-k of the transportation law, and entered into pursuant to subdivision
51 (a) of this section, shall provide for state commitments to provide
52 annually to the thruway authority a sum or sums, upon such terms and
53 conditions as shall be deemed appropriate by the director of the budget,
54 to fund, or fund the debt service requirements of any bonds or any obli-
55 gations of the thruway authority issued to fund such projects having a
S. 6259 23 A. 9761
1 cost not in excess of [$3,787.55] $3,811.44 million cumulatively by the
2 end of fiscal year 2004-05.
3 § 3. Section 3 of part K of chapter 61 of the laws of 2000 amending
4 the public authorities law and chapter 329 of the laws of 1991 amending
5 the state finance law and other laws relating to the establishment of
6 the dedicated highway and bridge trust fund, is amended to read as
7 follows:
8 § 3. The sum of two hundred fifty-seven million six hundred thousand
9 dollars ($257,600,000), or so much thereof as shall be necessary, and in
10 addition to amounts previously appropriated by law, is hereby made
11 available, in accordance with subdivision 1 of section 380 of the public
12 authorities law as amended, according to the following schedule.
13 Payments pursuant to subdivision (a) of this section shall be made
14 available as moneys become available for such payments. Payments pursu-
15 ant to subdivision (b) of this section shall be made on the fifteenth
16 day of June, September, December and March or as soon thereafter as
17 moneys become available for such payments. No moneys of the state in the
18 state treasury or any of its funds shall be available for payments
19 pursuant to this section:
20 SCHEDULE
21 (a) Thirty-nine million seven hundred thousand dollars ($39,700,000)
22 to municipalities for repayment of eligible costs of federal aid munici-
23 pal street and highway projects pursuant to section 15 of chapter 329 of
24 the laws of 1991, as added by section 9 of chapter 330 of the laws of
25 1991, as amended. The department of transportation shall provide such
26 information to the municipalities as may be necessary to maintain the
27 federal tax exempt status of any bonds, notes, or other obligations
28 issued by such municipalities to provide for the non-federal share of
29 the cost of projects pursuant to chapter 330 of the laws of 1991 or
30 section 80-b of the highway law.
31 The program authorized pursuant to section 15 of chapter 329 of the
32 laws of 1991, as added by section 9 of chapter 330 of the laws of 1991,
33 as amended, shall additionally make payments for reimbursement according
34 to the following schedule:
35 State Fiscal Year Amount
36 2001-02 $39,700,000
37 2002-03 $39,700,000
38 2003-04 $39,700,000
39 2004-05 $39,700,000
40 (b) Two hundred seventeen million nine hundred thousand dollars
41 ($217,900,000) to counties, cities, towns and villages for reimbursement
42 of eligible costs of local highway and bridge projects pursuant to
43 sections 16 and 16-a of chapter 329 of the laws of 1991, as added by
44 section 9 of chapter 330 of the laws of 1991, as amended. For the
45 purposes of computing allocations to municipalities, the amount distrib-
46 uted pursuant to section 16 of chapter 329 of the laws of 1991 shall be
47 deemed to be $114,188,000. The amount distributed pursuant to section
48 16-a of chapter 329 of the laws of 1991 shall be deemed to be
49 $103,712,000. Notwithstanding the provisions of any general or special
50 law, the amounts deemed distributed in accordance with section 16 of
51 chapter 329 of the laws of 1991 shall be adjusted so that such amounts
52 will not be less than 78.750 percent of the "funding level" as defined
53 in subdivision 5 of section 10-c of the highway law for each such muni-
54 cipality. In order to achieve the objectives of section 16 of chapter
55 329 of the laws of 1991, to the extent necessary, the amounts in excess
S. 6259 24 A. 9761
1 of 78.750 percent of the funding level to be deemed distributed to each
2 municipality under this paragraph shall be reduced in equal proportion.
3 The program authorized pursuant to sections 16 and 16-a of chapter 329
4 of the laws of 1991, as added by section 9 of chapter 330 of the laws of
5 1991, as amended, shall additionally make payments for reimbursement
6 according to the following schedule:
7 State Fiscal Year Amount
8 2001-02 $217,900,000
9 2002-03 [$217,900,000] $241,788,000
10 2003-04 $217,900,000
11 2004-05 $217,900,000
12 § 4. Subdivision (a) of section 16-a of chapter 329 of the laws of
13 1991, amending the state finance law and other laws relating to the
14 establishment of the dedicated highway and bridge trust fund, as added
15 by chapter 330 of the laws of 1991, is amended to read as follows:
16 (a) Counties, cities, towns, and villages shall be eligible for
17 reimbursement for the costs of local highway and bridge projects deter-
18 mined in accordance with subdivision 4 of section 10-c of the highway
19 law and with the percentums established in subdivision 5 of section 232
20 of the transportation law. For the purposes of this section and such
21 section 10-c, local highway and bridge projects may also include the
22 following work types where the service life of such work type is at
23 least ten years: replacement of public utilities impacted by a
24 highway/bridge reconstruction project (to the extent of in-kind replace-
25 ment costs); bus shelters within the highway right of way; mass trans-
26 portation commuter parking facilities; stand-alone bridge removals;
27 intelligent transportation systems; transportation storage or mainte-
28 nance buildings and equipment; traffic signal coordination; and traffic
29 calming installations.
30 § 5. Subdivision 7 of section 10-c of the highway law is REPEALED and
31 a new subdivision 7 is added to read as follows:
32 7. For any city, town, or village which consolidates or merges with
33 another municipality, the resulting successor government shall file with
34 the office of the state comptroller a certificate of any such consol-
35 idation, merger and any accompanying dissolution. In the event that the
36 amount which would otherwise be apportioned to the individual govern-
37 ments exceeds the amount which is payable to the successor government
38 pursuant to this section, such successor government shall receive no
39 less in consolidated local highway apportionments than the predecessor
40 governments would have received in the aggregate had the merger or
41 consolidation not occurred.
42 § 6. This act shall take effect April 1, 2002; provided, however, if
43 this act shall become a law after such date it shall take effect imme-
44 diately and shall be deemed to have been in full force and effect on and
45 after April 1, 2002.
46 PART G
47 Section 1. Expenditures of moneys appropriated in a chapter of laws of
48 2002 to the energy research and development authority from the special
49 revenue funds - other/state operations, miscellaneous special revenue
50 fund-339, energy research and planning account under the research,
51 development and demonstration and policy and planning programs for
52 services and expenses for the research, development and demonstration
53 and policy and planning programs shall be subject to the provisions of
54 this section. Notwithstanding the provisions of subdivision 4-a of
S. 6259 25 A. 9761
1 section 18-a of the public service law all moneys committed or expended
2 shall be reimbursed by assessment against gas corporations and electric
3 corporations as defined in section 2 of the public service law, and the
4 total amount which may be charged to any gas corporation and any elec-
5 tric corporation shall not exceed one cent per one thousand cubic feet
6 of gas sold and .010 cent per kilowatt-hour of electricity sold by such
7 corporations in their intrastate utility operations in calendar year
8 2000. Such amounts shall be excluded from the general assessment
9 provisions of subdivision 2 of section 18-a of the public service law,
10 but shall be billed and paid in the manner set forth in such subdivision
11 and upon receipt shall be paid to the state comptroller for deposit in
12 the state treasury for credit to the miscellaneous special revenue fund.
13 The director of the budget shall not issue a certificate of approval
14 with respect to the commitment and expenditure of moneys hereby appro-
15 priated until the chair of the authority shall have submitted, and the
16 director of the budget shall have approved, a comprehensive financial
17 plan encompassing all moneys available to and all anticipated commit-
18 ments and expenditures by the authority from any source for the oper-
19 ations of the authority. Copies of the approved comprehensive financial
20 plan shall be immediately submitted by the director of the budget to the
21 chairs and secretaries of the legislative fiscal committees.
22 § 2. This act shall take effect April 1, 2002; provided, however, if
23 this act shall become a law after such date it shall take effect imme-
24 diately and shall be deemed to have been in full force and effect on and
25 after April 1, 2002.
26 PART H
27 Section 1. Funds appropriated from the statewide energy improvement
28 account, special revenue fund - other, for services and expenses of the
29 power authority of the state of New York, shall be available for energy
30 efficiency projects. The use of these funds is not intended to limit the
31 right or obligation of the power authority of the state of New York to
32 comply with the provisions of any contract, including any existing
33 contract with or for the benefit of the holders of any obligations of
34 the power authority.
35 § 2. The power authority of the state of New York shall transfer
36 $2,500,000 to New York state on or before March 31, 2003.
37 § 3. Notwithstanding section 1010-a of the public authorities law, the
38 comptroller is hereby authorized and directed to transfer to the power
39 authority of the state of New York $2,500,000, constituting moneys
40 appropriated to the statewide energy improvement account for the power
41 authority of the state of New York pursuant to a chapter of the laws of
42 2002 enacting the transportation and economic development budget bill,
43 and the power authority of the state of New York is authorized to hold
44 such monies for the purposes specified in a chapter of the laws of 2002.
45 § 4. In accordance with section 4 of the state finance law, the comp-
46 troller is hereby authorized and directed to transfer, upon request of
47 the director of the budget, up to $2,500,000 from the federal operating
48 grants fund - 290 to the miscellaneous special revenue fund - 339,
49 statewide energy improvement account, on or before March 31, 2003.
50 § 5. This act shall take effect April 1, 2002; provided, however, if
51 this act shall become a law after such date it shall take effect imme-
52 diately and shall be deemed to have been in full force and effect on and
53 after April 1, 2002.
S. 6259 26 A. 9761
1 PART I
2 Section 1. Notwithstanding any other law, rule or regulation to the
3 contrary, expenses of the department of health public service education
4 program incurred pursuant to appropriations from the cable television
5 account of the state miscellaneous special revenue funds shall be deemed
6 expenses of the department of public service.
7 § 2. Expenditures of moneys appropriated in a chapter of the laws of
8 2002 to the department of agriculture and markets from the special
9 revenue funds-other/state operations, miscellaneous special revenue
10 fund-339, public service account for the agricultural business services
11 program shall be subject to the provisions of this section. Notwith-
12 standing any law to the contrary, expenditures from the miscellaneous
13 special revenue fund appropriation, and indirect costs under the comp-
14 troller's statewide cost allocation plan, shall be deemed expenses of
15 the department of public service within the meaning of section 18-a of
16 the public service law and assessed accordingly. Expenditures subject
17 to assessment shall include those for direct and indirect participation
18 in certification proceedings pursuant to article 7 of the public service
19 law.
20 § 3. Expenditures of moneys appropriated in a chapter of the laws of
21 2002 to the department of economic development from the special revenue
22 funds-other/state operations, miscellaneous special revenue fund-339,
23 public service account for the administration program shall be subject
24 to the provisions of this section. Notwithstanding any law to the
25 contrary, expenditures from the miscellaneous special revenue fund
26 appropriations and indirect costs under the comptroller's statewide cost
27 allocation plan, shall be deemed expenses of the department of public
28 service within the meaning of section 18-a of the public service law and
29 assessed accordingly. Expenditures subject to assessment shall include
30 those for direct and indirect participation in certification proceedings
31 pursuant to article 7 of the public service law.
32 § 4. Expenditures of moneys appropriated in a chapter of the laws of
33 2002 to the office of parks, recreation and historic preservation from
34 the special revenue funds - other/state operations, miscellaneous
35 special revenue fund - 339, public service account under the historic
36 preservation program shall be subject to the provisions of this section.
37 Notwithstanding any law to the contrary, expenditures from the miscella-
38 neous special revenue fund appropriations, and indirect costs under the
39 comptroller's statewide cost allocation plan, shall be deemed expenses
40 of the department of public service within the meaning of section 18-a
41 of the public service law and assessed accordingly. Expenditures
42 subject to assessment shall include those for direct and indirect
43 participation in certification proceedings pursuant to article 7 of the
44 public service law.
45 § 5. Expenditures of moneys appropriated in a chapter of the laws of
46 2002 to the consumer protection board from the special revenue funds -
47 other/state operations, miscellaneous special revenue fund - 339, public
48 service account for the consumer protection program for services and
49 expenses related to consumer protection activities, including travel
50 outside the state, shall be subject to the provisions of this section.
51 Notwithstanding any provision of law to the contrary, such expenditures
52 shall be deemed an expense of the department of public service within
53 the meaning of section 18-a of the public service law.
54 § 6. Expenditures of moneys appropriated in a chapter of the laws of
55 2002 to the department of environmental conservation from the special
S. 6259 27 A. 9761
1 revenue funds - other/state operations, environmental conservation
2 special revenue fund - 301, utility environmental regulation account
3 shall be subject to the provisions of this section. Notwithstanding any
4 law to the contrary, expenditures from the miscellaneous special revenue
5 fund and indirect costs under the comptroller's statewide cost allo-
6 cation plan, shall be deemed expenses of the department of public
7 service within the meaning of section 18-a of the public service law and
8 assessed accordingly. Expenditures subject to assessment shall include
9 those for direct and indirect participation in certification proceedings
10 pursuant to article 7 of the public service law; oil and gas, coal and
11 nuclear regulatory and planning activities; and small hydropower, cogen-
12 eration, alternate energy and electric generation facility sitings.
13 § 7. This act shall take effect April 1, 2002; provided, however, if
14 this act shall become a law after such date it shall take effect imme-
15 diately and shall be deemed to have been in full force and effect on and
16 after April 1, 2002.
17 PART J
18 Section 1. The dormitory authority of the state of New York is author-
19 ized to enter into an agreement with Cornell University for the support
20 of operation of the parallel computing supercomputers at the theory
21 center for supercomputers in connection with the business of the dormi-
22 tory authority in an amount not to exceed $1,200,000 over amounts previ-
23 ously authorized.
24 § 2. This act shall take effect April 1, 2002; provided, however, if
25 this act shall become a law after such date it shall take effect imme-
26 diately and shall be deemed to have been in full force and effect on and
27 after April 1, 2002.
28 PART K
29 Section 1. Statement of legislative findings and purposes. The legis-
30 lature hereby finds that the loan of $25,000,000 from the New York state
31 urban development corporation to Crossroads Arena LLC, made in 1995
32 pursuant to the New York state sports facility assistance program
33 enacted in chapter 258 of the laws of 1993 for the development of a
34 sports and entertainment center in the city of Buffalo, may be forgiven
35 and any contractual obligations of the New York state urban development
36 corporation to repay this loan to the New York state division of the
37 budget may be cancelled. It is further found and declared that forgive-
38 ness of the loan will facilitate the continued viability of the HSBC
39 arena that is owned by the city of Buffalo urban renewal agency and
40 leased to the county of Erie and will promote additional economic devel-
41 opment by affiliates of Crossroads Arena LLC thereby creating and
42 retaining jobs and enhancing the quality of life in the city of Buffalo.
43 It is further found and declared that forgiveness of the loan will have
44 limited impact on state revenues in that, under the terms of the loan,
45 future repayment is contingent upon available net cash flow, which is
46 unlikely to occur under the existing financing arrangement.
47 § 2. Notwithstanding any inconsistent general, specific or local law
48 to the contrary, the New York state urban development corporation is
49 hereby authorized to forgive the 1995 loan to Crossroads Arena LLC for
50 development of HSBC arena in Buffalo in the amount of $25,000,000 plus
51 any interest, fees or accrued payments.
S. 6259 28 A. 9761
1 § 3. Notwithstanding any inconsistent general, specific or local law
2 to the contrary, in the event the New York state urban development
3 corporation entered into any agreements with the New York state division
4 of the budget to repay the loan, such obligation shall be cancelled if
5 the New York state urban development corporation forgives a $25,000,000
6 loan for development of a sports and entertainment center in the city of
7 Buffalo pursuant to chapter 258 of the laws of 1993.
8 § 4. This act shall take effect April 1, 2002; provided, however, if
9 this act shall become a law after such date it shall take effect imme-
10 diately and shall be deemed to have been in full force and effect on and
11 after April 1, 2002.
12 PART L
13 Section 1. Statement of legislative findings and purposes. The legis-
14 lature hereby finds that the loan of $1,400,000 from the New York state
15 urban development corporation to the city of Binghamton, made pursuant
16 to chapter 41 of the laws of 1985 for the construction and development
17 of Binghamton municipal stadium in the city of Binghamton, may be
18 forgiven and any contractual obligations of the New York state urban
19 development corporation to repay this loan to the New York state divi-
20 sion of budget may be cancelled. It is further found and declared that
21 forgiveness of the loan will facilitate the continued viability of the
22 Binghamton municipal stadium and will foster additional growth in Bing-
23 hamton and enhance the quality of life in the city of Binghamton.
24 § 2. Notwithstanding any inconsistent general, specific or local law
25 to the contrary, the New York state urban development corporation is
26 hereby authorized to forgive the loan to the city of Binghamton author-
27 ized pursuant to chapter 41 of the laws of 1985 for development of the
28 Binghamton municipal stadium in the amount of $1,400,000 plus any inter-
29 est, fees or accrued payments.
30 § 3. Notwithstanding any inconsistent general, specific or local law
31 to the contrary, in the event the New York state urban development
32 corporation entered into any agreements with the New York state division
33 of the budget to repay the loan, such obligation shall be cancelled if
34 the New York state urban development corporation forgives a $1,400,000
35 loan for construction of the Binghamton municipal stadium made pursuant
36 to chapter 41 of the laws of 1985.
37 § 4. This act shall take effect April 1, 2002; provided, however, if
38 this act shall become a law after such date it shall take effect imme-
39 diately and shall be deemed to have been in full force and effect on and
40 after April 1, 2002.
41 PART M
42 Section 1. Section 2 of chapter 393 of the laws of 1994, amending the
43 New York state urban development corporation act, as amended by chapter
44 79 of the laws of 2000, is amended to read as follows:
45 § 2. This act shall take effect immediately [provided, however, that
46 section one of this act shall expire on July 1, 2002, at which time the
47 provisions of subdivision 26 of section 5 of the New York state urban
48 development corporation act shall be deemed repealed; provided, however,
49 that neither the expiration nor the repeal of such subdivision as
50 provided for herein shall be deemed to affect or impair in any manner
51 any loan made pursuant to the authority of such subdivision prior to
52 such expiration and repeal].
S. 6259 29 A. 9761
1 § 2. This act shall take effect April 1, 2002; provided, however, if
2 this act shall become a law after such date it shall take effect imme-
3 diately and shall be deemed to have been in full force and effect on and
4 after April 1, 2002.
5 PART N
6 Section 1. Section 21-e of chapter 432 of the laws of 1997, relating
7 to the establishment of the community enhancement facilities assistance
8 program, is amended to read as follows:
9 § 21-e. Notwithstanding the provisions of any other law to the
10 contrary, the authority is hereby authorized to issue bonds or notes in
11 one or more series for the purpose of funding project costs or making
12 grants, loans or combinations thereof for community enhancement facili-
13 ties projects. The aggregate principal amount of bonds authorized to be
14 issued pursuant to this section shall not exceed [four hundred twenty-
15 five] three hundred thirty-six million seven hundred fifty-five thousand
16 dollars total for all issuing authorities, excluding bonds issued to
17 fund one or more debt service reserve funds, to pay costs of issuance of
18 such bonds, and bonds or notes issued to refund or otherwise repay such
19 bonds or notes previously issued. Such bonds and notes of the authority
20 shall not be a debt of the state, and the state shall not be liable
21 thereon, nor shall they be payable out of any funds other than those
22 appropriated by the state to the authority for debt service and related
23 expenses pursuant to a service contract and such bonds and notes shall
24 contain on the face thereof a statement to such effect. Except for
25 purposes of complying with the internal revenue code, any interest
26 income earned on bond proceeds shall only be used to pay debt service on
27 such bonds.
28 § 2. This act shall take effect April 1, 2002.
29 PART O
30 Section 1. (a) Notwithstanding the provisions of section 18 of the New
31 York state urban development corporation act, the urban development
32 corporation is hereby authorized to issue bonds or notes in one or more
33 series in an aggregate principal amount not to exceed $250,000,000,
34 excluding bonds issued to fund one or more debt service reserve funds,
35 to pay costs of issuance of such bonds, and bonds or notes issued to
36 refund or otherwise repay such bonds or notes previously issued, for the
37 purpose of making grants, loans or combinations thereof in accordance
38 with a programmatic and financial plan to be approved by the director of
39 the budget for capital projects which will support the creation or
40 retention of technology related jobs pursuant to guidelines promulgated
41 by the urban development corporation, in conjunction with the New York
42 state office of science, technology and academic research; and to reim-
43 burse the state capital projects fund for disbursements made therefor.
44 Eligible project costs may include, but not be limited to the costs of
45 construction and rehabilitation of research facilities, acquisition of
46 equipment, and the development of business incubators and business
47 parks. Such bonds and notes of the corporation shall not be a debt of
48 the state and the state shall not be liable thereon, nor shall they be
49 payable out of any funds other than those appropriated by the state to
50 the corporation for debt service and related expenses pursuant to any
51 service contract executed pursuant to subdivision (b) of this section,
52 and such bonds and notes shall contain on the face thereof a statement
S. 6259 30 A. 9761
1 to such effect. Except for purposes of complying with the internal
2 revenue code, any interest income earned on bond proceeds shall only be
3 used to pay debt service on such bonds.
4 (b) Notwithstanding any other law, rule or regulation to the contrary,
5 in order to assist the corporation in undertaking the administration and
6 financing of projects authorized pursuant to subdivision (a) of this
7 section, the director of the budget is hereby authorized to enter into
8 one or more service contracts with the corporation, none of which shall
9 exceed more than 20 years in duration, upon such terms and conditions as
10 the director of the budget and the corporation agree, so as to annually
11 provide to the corporation, in the aggregate, a sum not to exceed the
12 annual debt service payments and related expenses required for the bonds
13 and notes issued pursuant to this section. Any service contract entered
14 into pursuant to this subdivision shall provide that the obligation of
15 the state to pay the amount therein provided shall not constitute a debt
16 of the state within the meaning of any constitutional or statutory
17 provision and shall be deemed executory only to the extent of monies
18 available and that no liability shall be incurred by the state beyond
19 the monies available for such purposes, subject to annual appropriation
20 by the legislature. Any such contract or any payments made or to be
21 made thereunder may be assigned or pledged by the corporation as securi-
22 ty for its bonds and notes, as authorized by this section.
23 § 2. This act shall take effect April 1, 2002; provided, however, if
24 this act shall become a law after such date it shall take effect imme-
25 diately and shall be deemed to have been in full force and effect on and
26 after April 1, 2002.
27 PART P
28 Section 1. Section 214 of the state finance law, as amended by chapter
29 553 of the laws of 1999, is amended to read as follows:
30 § 214. Establishment and purpose; linked deposit program authori-
31 zation. The excelsior linked deposit program is hereby created. The
32 purpose of the program is to encourage and assist eligible businesses
33 within the state to undertake eligible projects that will materially
34 contribute to improving their performance and competitiveness. The comp-
35 troller is hereby authorized to use any moneys of the state the comp-
36 troller is authorized to invest pursuant to section ninety-eight-a of
37 this chapter as linked deposits for the program. Not more than [one] two
38 hundred fifty million dollars of such moneys shall be on deposit pursu-
39 ant to the program at any given time. The commissioner of taxation and
40 finance is hereby authorized to use funds in the linked deposit program
41 fund established pursuant to section ninety-two-v of this chapter as
42 linked deposits for the program. Not more than fifty million dollars
43 from the linked deposit program fund shall be on deposit pursuant to the
44 program at any given time.
45 § 2. This act shall take effect April 1, 2002; provided, however, if
46 this act shall become a law after such date it shall take effect imme-
47 diately and shall be deemed to have been in full force and effect on and
48 after April 1, 2002.
49 PART Q
50 Section 1. Paragraph (vi) of subdivision (b) of section 960 of the
51 general municipal law, as amended by section 1 of part L of chapter 383
52 of the laws of 2001, is amended to read as follows:
S. 6259 31 A. 9761
1 (vi) In the period commencing thirteen years after the effective date
2 of this article, not more than fourteen additional empire zones, not
3 less than three of which shall be designated pursuant to the criteria
4 set forth in subdivision (d) of section nine hundred fifty-eight of this
5 article[, not more than ten of which may be designated prior to enact-
6 ment of additional statutory authority pursuant to a chapter of law].
7 § 2. This act shall take effect immediately.
8 PART R
9 Section 1. Legislative findings and declaration. The legislature here-
10 by finds and declares that:
11 The national economic recession, combined with the terrorist attacks
12 upon the World Trade Center in New York city, have resulted in the need
13 for additional economic development programs to ensure that New York is
14 at the forefront of the national recovery. While significant resources
15 have been secured from the federal government to aid in the economic
16 recovery of the city of New York, no such resources are currently avail-
17 able to support the revitalization of other regions of the state.
18 Accordingly, the state legislature finds that the state has a signif-
19 icant interest in providing resources to support the comprehensive rede-
20 velopment of the upstate and Long Island regions, including provision of
21 funding, in conjunction with local governments and other interested
22 parties, for major capital and other infrastructure projects that will
23 create and retain jobs and improve the capacity of these regions to
24 sustain such job growth. The state legislature further finds that
25 certain revenues which will accrue to the state from Indian gaming
26 facilities authorized pursuant to chapter 383 of the laws of 2001 are
27 appropriate to dedicate for the sole purpose of economic revitalization
28 of the upstate and Long Island regions.
29 § 2. Definitions. The following terms, whenever used or referred to
30 in sections one through seventeen of this act, shall have the following
31 meanings unless the context clearly indicates or requires another or
32 different meaning or intent:
33 (a) "Board" or "empire opportunity fund board" means the board of
34 directors of the empire opportunity fund as determined by resolution of
35 the corporation.
36 (b) "Bond purchase agreement" means a contractual agreement executed
37 between the empire opportunity fund and a sponsor, or a special purpose
38 trust authorized by the empire opportunity fund and a sponsor, or both,
39 whereby the empire opportunity fund or special purpose trust authorized
40 by the empire opportunity fund agrees to purchase bonds of the sponsor
41 for retention or sale.
42 (c) "Bonds" means bonds, including structured, senior, and subordi-
43 nated bonds or other securities; loans; notes, including revenue, or
44 grant anticipation notes; commercial paper; floating rate, and variable
45 maturity securities; and any other evidences of indebtedness or owner-
46 ship, including asset backed certificates, or lease-purchase or install-
47 ment purchase agreements, whether taxable or excludable from gross
48 income for federal income taxation purposes.
49 (d) "Corporation" means the New York state urban development corpo-
50 ration, a public benefit corporation created by chapter 174 of the laws
51 of 1968.
52 (e) "Cost," as applied to a project or portion thereof financed under
53 this act, means all or any part of the cost of construction, renovation,
54 and acquisition of all lands, structures, real or personal property,
S. 6259 32 A. 9761
1 rights, rights-of-way, franchises, licenses, easements, and interests
2 acquired or used for a project; the cost of demolishing or removing any
3 buildings or structures on land so acquired, including the cost of
4 acquiring any lands to which the buildings or structures may be moved;
5 the cost of all machinery, equipment, and financing charges; interest
6 prior to, during, and for a period after, completion of construction,
7 renovation, or acquisition, as determined by the empire opportunity
8 fund; for working capital; reserves for principal and interest and for
9 extensions, enlargements, additions, replacements, renovations, and
10 improvements; the cost of architectural, engineering, financial and
11 legal services, any financial instruments relating to obligations
12 incurred by the empire opportunity fund or by the corporation at the
13 request of the empire opportunity fund, plans, specifications, esti-
14 mates, administrative expenses, and other expenses necessary or inci-
15 dental to determining the feasibility of any project or incidental to
16 the construction, acquisition, financing of, or provision of working
17 capital for, any project, and any other project costs as such term is
18 defined in section 3 of the udc act.
19 (f) "Empire opportunity fund" means the empire opportunity fund to be
20 established by resolution of the corporation pursuant to this act.
21 (g) "Executive director" means the executive director of the empire
22 opportunity fund appointed in accordance with a resolution of the corpo-
23 ration.
24 (h) "Facilities" or "economic development facilities" means real and
25 personal property, structures, conveyances, equipment, thoroughfares,
26 buildings, and supporting components thereof located in the state, other
27 than in the city of New York, that are directly related to the acquisi-
28 tion, construction, reconstruction, rehabilitation, or improvement of a
29 project which will achieve the purposes of facilitating the creation or
30 retention of jobs or increasing business activity within a municipality
31 or region of the state.
32 (i) "Financial assistance" in connection with a project, includes, but
33 is not limited to, any of the following or combinations thereof: grants,
34 loans, equity investments, the proceeds of bonds issued by the corpo-
35 ration on behalf of the empire opportunity fund or special purpose
36 trust, insurance, other credit enhancements or liquidity facilities, and
37 contributions of money, property, labor, or other things of value, as
38 may be approved by resolution of the corporation, the board or the spon-
39 sor, or both; the purchase or retention of empire opportunity fund bonds
40 issued by the corporation, the bonds of a sponsor for their retention or
41 for sale by the empire opportunity fund, or the issuance of empire
42 opportunity fund bonds issued by the corporation or the bonds of a
43 special purpose trust used to fund the cost of a project for which a
44 sponsor is directly or indirectly liable, including, but not limited to,
45 bonds, the security for which is provided in whole or in part pursuant
46 to the powers granted by section twelve of this act; bonds for which the
47 corporation or the empire opportunity fund has provided a guarantee or
48 enhancement, including, but not limited to, the purchase of the subordi-
49 nated bonds of the sponsor, the subordinated bonds of a special purpose
50 trust, or the retention of the subordinated bonds of the corporation
51 issued on behalf of the empire opportunity fund pursuant to section
52 twelve of this act; or any other type of assistance deemed appropriate
53 by the empire opportunity fund or the sponsor;
54 For purposes of this subdivision, "grant" does not include grants made
55 by the empire opportunity fund except when acting as an agent or inter-
S. 6259 33 A. 9761
1 mediary for the distribution or packaging of financing available from
2 federal, private, or other public sources.
3 (j) "Empire opportunity fund account" means the empire opportunity
4 fund account established and maintained by the empire opportunity fund
5 and utilized as determined by the empire opportunity fund to provide for
6 the payments of costs and any form of financial assistance consistent
7 with this act.
8 (k) "Empire opportunity fund trust fund" means the empire opportunity
9 fund trust fund established pursuant to section 99-i of the state
10 finance law.
11 (l) "Financial assistance agreement" means a contractual agreement
12 executed between the empire opportunity fund or a special purpose trust
13 and a sponsor that provides that the empire opportunity fund or special
14 purpose trust will provide financial assistance to the sponsor and the
15 terms of such assistance, including any repayments or other obligations
16 of the sponsor.
17 (m) "Municipality" means any county, city, town, or village with a
18 population of less than one million within New York state.
19 (n) "Participating party" means any person, company, corporation,
20 partnership, firm, or other entity or group of entities engaged in busi-
21 ness within the state and that applies for financing from the empire
22 opportunity fund in conjunction with a sponsor for the purpose of imple-
23 menting a project.
24 (o) "Project" shall include but not be limited to designing, acquir-
25 ing, planning, permitting, entitling, constructing, improving, extend-
26 ing, restoring, financing, and generally developing facilities.
27 (p) "Revenues" may include all receipts, purchase payments, loan
28 repayments, lease payments, and all other income or receipts derived by
29 the empire opportunity fund or a sponsor from the sale, lease, or other
30 financing arrangement undertaken by the empire opportunity fund, a spon-
31 sor or a participating party, including, but not limited to, any
32 receipts from a bond purchase agreement, and any income or revenue
33 derived from the investment of any money in any fund or account of the
34 empire opportunity fund or a sponsor. Revenues shall not include moneys
35 in the general fund of the state.
36 (q) "Special purpose trust" means a trust, partnership, limited part-
37 nership, association, corporation, nonprofit corporation, or other
38 single purpose entity, authorized under the laws of the state, to accom-
39 plish public purposes and authorized by the empire opportunity fund to
40 acquire, by purchase or otherwise, for retention or sale, the bonds of a
41 sponsor or of the corporation on behalf of the empire opportunity fund
42 made or entered into pursuant to this act and to issue special purpose
43 trust bonds or other obligations secured by these bonds or other sources
44 of public or private revenues.
45 (r) "Sponsor" or "project sponsor" shall be the state or a munici-
46 pality, or any subdivision of the state or a municipality, including but
47 not limited to any departments, agencies, public benefit corporations,
48 or commissions. In addition, a sponsor or project sponsor may include
49 nonprofit corporations formed on behalf of a sponsor, special districts,
50 assessment districts, business improvement districts, regional and
51 community development organizations, nonprofit organizations or busi-
52 nesses organized to do business under the laws of, or doing business
53 within, the state, or any combination of the aforementioned entities
54 that makes application to the empire opportunity fund for financial
55 assistance in connection with a project in a manner prescribed by the
S. 6259 34 A. 9761
1 empire opportunity fund. This definition shall not be construed to
2 require that an applicant have an ownership interest in the project.
3 (s) "State" means the state of New York.
4 (t) "Udc act" means the New York state urban development corporation
5 act, enacted in chapter 174 of the laws of 1968, as amended.
6 § 3. Creation and powers. (a) The corporation by resolution in
7 accordance with the udc act shall create a subsidiary corporation to be
8 designated the empire opportunity fund for the purposes of this act.
9 (b) The empire opportunity fund may do or delegate the following to
10 the executive director named by the empire opportunity fund board:
11 (1) Sue and be sued in its own name.
12 (2) As provided in section twelve of this act, or as otherwise author-
13 ized in this act, request the corporation to issue bonds and authorize
14 special purpose trusts to issue bonds, including, at the option of the
15 empire opportunity fund or the corporation, bonds bearing interest that
16 is taxable for the purpose of federal income taxation, or borrow money
17 to pay all or any part of the cost of any project, or to otherwise carry
18 out the purposes of this act.
19 (3) Establish, create, or otherwise form and control one or more
20 special purpose trusts to facilitate the financing of facilities and
21 other purposes of this act.
22 (4) Engage the services of private consultants to render professional
23 and technical assistance and advice in carrying out the purposes of this
24 act, employ attorneys, financial consultants, and other advisers as may,
25 in the empire opportunity fund's judgment, be necessary in connection
26 with the issuance and sale, or authorization of special purpose trusts
27 for the issuance and sale, of any bonds, contract for engineering,
28 architectural, accounting, or other such services of appropriate state
29 agencies as may, in its judgment, be necessary for the successful devel-
30 opment of a project, and pay the reasonable costs of consulting engi-
31 neers, architects, accountants, and construction, land use, recreation,
32 and environmental experts employed by any sponsor or participating party
33 if, in the empire opportunity fund's judgment, those services are neces-
34 sary for the successful development of a project.
35 (5) Acquire, take title to, and sell by installment sale or otherwise,
36 lands, structures, real or personal property, rights, rights-of-way,
37 franchises, easements, and other interests in lands that are located
38 within the state as the empire opportunity fund may deem necessary or
39 convenient for the financing of the project, upon terms and conditions
40 that it considers to be reasonable.
41 (6) Receive and accept from any source including, but not limited to,
42 the federal government, the state, or any agency thereof, loans,
43 contributions, or grants, in money, property, labor, or other things of
44 value, for, or in aid of, a project, or any portion thereof.
45 (7) Provide financial assistance to facilitate the completion of
46 projects as authorized by this act.
47 (8) Make loans to any sponsor or participating party, either directly
48 or by making a loan to a lending institution, in connection with the
49 financing of a project in accordance with an agreement between the
50 empire opportunity fund and the sponsor or a participating party, either
51 as a sole lender or in participation with other lenders. However, no
52 loan shall exceed the total cost of the project as determined by the
53 sponsor or the participating party and approved by the empire opportu-
54 nity fund.
55 (9) Make loans to any sponsor or participating party, either directly
56 or by making a loan to a lending institution, in accordance with an
S. 6259 35 A. 9761
1 agreement between the empire opportunity fund and the sponsor or partic-
2 ipating party to refinance indebtedness incurred by the sponsor or
3 participating party in connection with projects undertaken and completed
4 prior to any agreement with the empire opportunity fund or expectation
5 that the empire opportunity fund would provide financing, either as a
6 sole lender or in participation with other lenders.
7 (10) Mortgage all or any portion of the empire opportunity fund's
8 interest in a project and the property on which any project is located,
9 whether owned or thereafter acquired, including the granting of a secu-
10 rity interest in any property, tangible or intangible.
11 (11) Make, receive, or serve as a conduit for the making of, or other-
12 wise provide for, grants, contributions, guarantees, insurance, credit
13 enhancements, or liquidity facilities, or other financial enhancements
14 to a sponsor or a participating party as financial assistance for a
15 project.
16 (12) Lease the project being financed to a sponsor or a participating
17 party, upon terms and conditions that the empire opportunity fund deems
18 proper, but shall not be leased at a loss; charge and collect rents
19 therefor; terminate any lease upon the failure of the lessee to comply
20 with any of the obligations thereof; include in any lease, if desired,
21 provisions that the lessee shall have options to renew the lease for a
22 period or periods, and at rents determined by the empire opportunity
23 fund; purchase any or all of the project; or, upon payment of all the
24 indebtedness incurred by the empire opportunity fund for the financing
25 of the project, the empire opportunity fund may convey any or all of the
26 project to the lessee or lessees.
27 (13) Charge and equitably apportion among sponsors and participating
28 parties the empire opportunity fund's administrative costs and expenses
29 incurred in the exercise of the powers and duties conferred by this act.
30 (14) Obtain, or aid in obtaining, from any department or agency of the
31 United States, from other agencies of the state, or from any private
32 company, any insurance or other credit enhancement to, or for, the
33 payment or repayment of interest or principal, or both, or any part
34 thereof, on any loan, lease, or obligation or any instrument evidencing
35 or securing the same, made or entered into pursuant to this act.
36 (15) Notwithstanding any other provision of this act, enter into any
37 agreement, contract, or any other instrument with respect to any insur-
38 ance or other credit enhancement; accept payment in the manner and form
39 as provided therein in the event of default by a sponsor or a partic-
40 ipating party; and assign any insurance or other credit enhancement as
41 security for the corporation's bonds.
42 (16) Enter into any agreement or contract, execute any instrument, and
43 perform any act or thing necessary or convenient to, directly or indi-
44 rectly, secure the corporation's bonds, the bonds issued by a special
45 purpose trust, or a sponsor's obligations to the empire opportunity fund
46 or to a special purpose trust, including, but not limited to, bonds of a
47 sponsor purchased by the empire opportunity fund or a special purpose
48 trust for retention or sale, with funds or moneys that are legally
49 available and that are due or payable to the sponsor by reason of any
50 grant, allocation, apportionment, or appropriation of the state or agen-
51 cies thereof, to the extent that the state comptroller shall be the
52 custodian at any time of these funds or moneys, or with funds or moneys
53 that are or will be legally available to the sponsor, the empire oppor-
54 tunity fund, the corporation, or the state or any agencies thereof by
55 reason of any grant, allocation, apportionment, or appropriation of the
56 federal government or agencies thereof; and in the event of written
S. 6259 36 A. 9761
1 notice that the sponsor has not paid or is in default on its obligations
2 to the empire opportunity fund or a special purpose trust, direct the
3 state comptroller to withhold payment of those funds or moneys from the
4 sponsor over which it is or will be custodian and to pay the same to the
5 empire opportunity fund or special purpose trust or their assignee, or
6 direct the state or any agencies thereof to which any grant, allocation,
7 apportionment, or appropriation of the federal government or agencies
8 thereof is or will be legally available to pay the same upon receipt by
9 the empire opportunity fund or special purpose trust or their assignee,
10 until the default has been cured and the amounts then due and unpaid
11 have been paid to the empire opportunity fund or special purpose trust
12 or their assignee, or until arrangements satisfactory to the empire
13 opportunity fund or special purpose trust have been made to cure the
14 default.
15 (17) Enter into any agreement or contract, execute any instrument, and
16 perform any act or thing necessary, convenient, or appropriate to carry
17 out any power expressly given to the empire opportunity fund by this
18 act.
19 (18) Purchase, with the proceeds of the corporation's bonds, bonds
20 issued by, or for the benefit of, any sponsor in connection with a
21 project, pursuant to a bond purchase agreement or otherwise. Bonds
22 purchased pursuant to this act may be held by the empire opportunity
23 fund, pledged or assigned by the empire opportunity fund, or (except in
24 the case of bonds of a municipality) sold to public or private purchas-
25 ers at public or negotiated sale, in whole or in part, separately or
26 together with other bonds issued by the empire opportunity fund, and
27 notwithstanding any other provision of law, may be bought by the empire
28 opportunity fund at private sale.
29 (19) Enter into purchase and sale agreements with all entities, public
30 and private, including state pension funds, with respect to the sale or
31 purchase of bonds.
32 (20) Invest any moneys held in reserve or sinking funds, or any moneys
33 not required for immediate use or disbursement, at the discretion of the
34 empire opportunity fund in the manner provided for the corporation in
35 subdivision 22 of section 5 of the udc act.
36 (21) Authorize a special purpose trust or trusts to purchase or
37 retain, with the proceeds of the bonds of a special purpose trust, bonds
38 issued by, or for the benefit of, any sponsor in connection with a
39 project or issued by the corporation or a special purpose trust, pursu-
40 ant to a bond purchase agreement or otherwise. Bonds purchased pursuant
41 to this act may be held by a special purpose entity, pledged or assigned
42 by a special purpose entity, or sold to public or private purchasers at
43 public or negotiated sale, in whole or in part, with or without struc-
44 turing, subordination, or credit enhancement, separately or together
45 with other bonds issued by a special purpose trust, and notwithstanding
46 any other provision of law, may be purchased by the empire opportunity
47 fund, the corporation or by a special purpose trust at private sale.
48 (22) Apply for and accept grants, loans, advances, and contributions
49 from any source of money, property, labor, or other things of value. The
50 sources may include but not be limited to bond proceeds, dedicated
51 taxes, state appropriations, federal appropriations, federal grant and
52 loan funds, and public and private sector retirement system funds.
53 (23) Do all things necessary and convenient to carry out its purposes
54 and exercise its powers, including exercising any powers of the corpo-
55 ration contained in the udc act and so authorized by resolution of the
56 corporation. Further, the empire opportunity fund shall not be organized
S. 6259 37 A. 9761
1 to accept deposits of money for time or demand deposits or to constitute
2 a bank or trust company.
3 § 4. Guidelines for selection of projects. Following consultation
4 with appropriate state and local agencies and other organizations, the
5 empire opportunity fund shall establish guidelines for the selection of
6 projects to receive assistance from the empire opportunity fund;
7 provided, however, that such guidelines shall generally require that
8 project funding provided pursuant to the issuance of bonds authorized
9 pursuant to section twelve of this act or directly appropriated for by
10 the state for project costs represent no more than twenty-five percent
11 of the total project costs as then estimated by the empire opportunity
12 fund. In the event that a project sponsor requests funding in excess of
13 such twenty-five percent limit, upon the recommendation of the empire
14 opportunity fund, the director of the budget may authorize the provision
15 of empire opportunity fund financial assistance pursuant to the authori-
16 ty established in section twelve of this act or directly appropriated by
17 the state in excess of twenty-five percent of total project costs.
18 Projects shall comply with the guidelines adopted by the empire opportu-
19 nity fund. For projects initiated by municipalities, the resolution
20 required in section five of this act shall have been adopted prior to
21 the project's selection by the empire opportunity fund.
22 § 5. Submission of projects by municipalities for consideration by
23 empire opportunity fund; requirements of municipal project sponsors.
24 (a) Prior to a municipality's submitting a project to the empire oppor-
25 tunity fund for consideration, the legislative body or bodies of the
26 sponsor or sponsors shall find, by resolution, each of the following:
27 (1) The proposed financing is appropriate for the specific project.
28 (2) The project facilitates effective and efficient use of existing
29 and future public resources so as to promote both economic development
30 and conservation of natural resources. The project develops and enhances
31 infrastructure or other facilities in a manner that will attract,
32 create, and sustain long-term employment opportunities.
33 (3) The project is consistent with the criteria for the selection of
34 projects established pursuant to section eight of this act.
35 (b) Upon the adoption of the resolution required in subdivision (a) of
36 this section by the legislative body, the legislative body shall trans-
37 mit the resolution to the executive director of the empire opportunity
38 fund.
39 § 6. Application for financing of economic development facilities.
40 The empire opportunity fund shall consider a project for financial
41 assistance for economic development facilities upon filing of an appli-
42 cation with the empire opportunity fund by an appropriate project spon-
43 sor, on the terms and conditions the empire opportunity fund shall
44 determine. The empire opportunity fund shall establish procedures for
45 the expeditious review of applications for the issuance or approval of
46 bonds to finance economic development facilities.
47 § 7. Bonds for financing of economic development facilities. Subject
48 to any limitations established pursuant to sections eleven and twelve of
49 this act, in order to provide or arrange for the financing of economic
50 development facilities, the empire opportunity fund may request the
51 corporation to:
52 (a) Issue taxable bonds as provided in this act to provide financing
53 for purposes authorized pursuant to this act.
54 (b) Issue tax-exempt bonds as provided in this act to provide financ-
55 ing for purposes authorized pursuant to this act.
S. 6259 38 A. 9761
1 (c) Any bonds of the corporation issued pursuant to section eleven of
2 this act, or of any sponsor including any municipality, authorized by
3 this act shall not be a debt of the state and the state shall not be
4 liable thereon, nor shall they be payable out of any funds other than
5 those of the corporation, the empire opportunity fund or the sponsor
6 pledged therefor; and such bonds shall contain on the face thereof a
7 statement to such effect.
8 § 8. Criteria for financial assistance. No financing shall be made by
9 the empire opportunity fund or the corporation under this act unless the
10 empire opportunity fund shall have first determined that the financing
11 or assistance meets the following public interest criteria:
12 (a) The financing, loan, grant, equity investment, or other assistance
13 is for a project or a use in the state (other than in cities with a
14 population of more than one million).
15 (b) Those seeking funds or other assistance have demonstrated capacity
16 to meet obligations incurred under relevant agreements.
17 (c) In the case of loans or bonds, those seeking financial assistance
18 shall have demonstrated that (1) payments to be made under applicable
19 financing documents are adequate to pay the expenses of the empire
20 opportunity fund in connection with the financing and to make payments
21 on the loans or bonds, and (2) the ability to meet all other obligations
22 contained in any resolution, indenture, covenant, or other financing
23 documents.
24 (d) The proposed financing is appropriate for the specific project.
25 § 9. Penalties; financing priorities; contractor license certif-
26 ication; local or regional comprehensive plan; job displacement; iden-
27 tification of projects. (a) Any loan entered into pursuant to this act
28 may contain provisions for payment of a penalty if any recipient of
29 funds under this act leaves this state prior to the completion of the
30 full term of the loan.
31 (b) Projects that the board determines will produce long-term employ-
32 ment creation or retention shall receive first priority for financing.
33 (c) Any recipient of funds under this act that utilizes the funds for
34 construction purposes shall certify that the contractors are properly
35 licensed by the applicable state or local licensing entity.
36 (d) The empire opportunity fund shall require that the proposed
37 economic development facilities be consistent with any existing local or
38 regional comprehensive plan.
39 (e) The empire opportunity fund shall develop a policy regarding
40 financing companies that move within the state so as to minimize any
41 displacement of jobs.
42 § 10. Proceeds of bonds issued; the transfer of moneys among funds;
43 creation of reserves. (a) Moneys in the empire opportunity fund account
44 received from the proceeds of bonds issued pursuant to this act may not
45 be transferred to any other fund or account except as necessary to pay
46 the expenses of operating the program authorized by this act, nor shall
47 the empire opportunity fund utilize any moneys, other than moneys in the
48 empire opportunity fund account to satisfy liabilities arising from
49 projects authorized by this act.
50 (b) The empire opportunity fund account, on behalf of the empire
51 opportunity fund, may borrow or receive moneys from the empire opportu-
52 nity fund or from any federal, state, or local agency or private entity,
53 for purposes authorized pursuant to this act and as authorized by resol-
54 ution of the board.
55 § 11. Issuance of bonds by sponsor for purchase by Empire Opportunity
56 Fund; bonds issued by municipalities pursuant to local finance law. (a)
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1 Notwithstanding any other provision of law, a sponsor, other than the
2 state, or a subdivision thereof, including any department, agency, or
3 public benefit corporation, may issue bonds for purchase by the empire
4 opportunity fund pursuant to a bond purchase agreement or other agree-
5 ment (whether subject to appropriation or otherwise). The empire oppor-
6 tunity fund may request the corporation to issue bonds or authorize a
7 special purpose trust to issue bonds to finance a facility hereunder.
8 (b) Any bonds issued by a municipality shall conform with the local
9 finance law, subject to the following provisions:
10 (1) With the prior approval of the empire opportunity fund, the muni-
11 cipality may sell these bonds in any manner as it may determine, either
12 by private sale or by means of competitive bid.
13 (2) Notwithstanding any general or special law to the contrary,
14 including section 57.00 of the local finance law respecting sale of
15 bonds and section 62.00 of the local finance law respecting limitation
16 on amount, the municipality shall authorize the delivery of such bonds
17 in the form of a statutory installment bond or note pursuant to section
18 62.00 of the local finance law to the bank or the corporation upon
19 receipt of any proceeds of the bonds of the corporation in an amount
20 specified by the bond purchase agreement or other agreement; such bonds
21 so delivered to the bank or the corporation shall be deemed outstanding
22 in the amount of the aggregate of unpaid installments for purposes of
23 the local finance law and the state constitution.
24 (3) The bonds shall bear interest at any rate or rates and be payable
25 at any time as the municipality shall determine with the consent of the
26 empire opportunity fund.
27 (c) In lieu of bonds, subject to approval by the empire opportunity
28 fund and the corporation, the corporation may issue its bonds to accom-
29 plish its purposes of this act on behalf of a municipality or munici-
30 palities in exchange for the agreement by the municipality or munici-
31 palities to repay such amounts in annual installments subject to annual
32 appropriation of such installments by such municipality or munici-
33 palities, and each municipality or municipalities may enter into such
34 agreements with the empire opportunity fund or the corporation for such
35 purpose. Such bonds shall not constitute debt of the state, and the
36 state shall have no obligation or pledge thereunder, nor shall they be
37 considered empire opportunity fund bonds as defined in section twelve of
38 this act.
39 § 12. Additional powers of the corporation to issue special empire
40 opportunity fund trust fund bonds. (a) (1) The corporation is hereby
41 authorized on behalf of the empire opportunity fund, as an additional
42 corporate purpose thereof: to enter into empire opportunity fund trust
43 fund service agreement or agreements with the director of the budget for
44 the financing by the corporation of disbursements made by the state, the
45 empire opportunity fund or a project sponsor for any of the activities
46 authorized pursuant to the provisions of section three of this act and
47 section 99-i of the state finance law in any case where the expense
48 thereof is paid in whole or in part by the state or project sponsor.
49 (2) The corporation, on behalf of the empire opportunity fund, is
50 hereby authorized, as additional corporate purposes thereof: (i) to
51 issue special empire opportunity fund trust fund bonds, notes, or other
52 obligations for a term not to exceed thirty years and to incur obli-
53 gations secured by the moneys appropriated from the empire opportunity
54 fund trust fund established in section 99-i of the state finance law;
55 (ii) to make available the proceeds from the sale of such special empire
56 opportunity fund trust fund bonds, notes, or other obligations, net of
S. 6259 40 A. 9761
1 all costs to the corporation and the empire opportunity fund in
2 connection therewith, for the purposes of financing all or a portion of
3 the costs of activities for which moneys in the empire opportunity fund
4 trust fund established in section 99-i of the state finance law are
5 authorized to be utilized or for the financing of activities authorized
6 pursuant to section three of this act and section 99-i of the state
7 finance law; and (iii) to enter into service contracts, contracts, and
8 agreements, with the director of the budget, and as determined by the
9 corporation or the empire opportunity fund with project sponsors and
10 others, to provide for the financing by the corporation on behalf of the
11 empire opportunity fund of activities authorized pursuant to section
12 three of this act and section 99-i of the state finance law, and the
13 director of the budget is hereby authorized to enter into service
14 contracts, contracts, and agreements with the corporation on behalf of
15 the empire opportunity fund, project sponsors, or others to provide for
16 such financing. The corporation shall not issue any bonds or notes under
17 this section in an amount in excess of seven hundred fifty million
18 dollars, plus a principal amount of bonds or notes: (A) to fund capital
19 reserve funds; (B) to fund any costs of issuance, including underwrit-
20 er's compensation; and (C) to provide for original issue discount on
21 obligations issued by the corporation at the request of the empire
22 opportunity fund. In computing for the purposes of this subdivision the
23 aggregate amount of indebtedness evidenced by bonds and notes of the
24 corporation issued pursuant to this section, there shall be excluded the
25 amount of bonds or notes constituting interest (whether payable current-
26 ly or accreting) and the amount of indebtedness to refund or otherwise
27 repay bonds or notes.
28 (3) Such obligations shall be issued or incurred with the approval of
29 the director of the budget and shall be special obligations of the
30 corporation secured by and payable solely out of amounts appropriated by
31 the legislature as authorized pursuant to section 99-i of the state
32 finance law without recourse against any other assets, revenues, or
33 funds of or other payments due to the corporation or the empire opportu-
34 nity fund. Upon payments of such appropriate amounts from the fund
35 established pursuant to section 99-i of the state finance law to the
36 account of the corporation or the empire opportunity fund, such funds
37 may be pledged by the corporation or the empire opportunity fund to
38 secure its bonds, notes, and other obligations authorized by paragraph
39 two of this subdivision and shall be held free and clear of any claim by
40 any person arising out of or in chapter 383 of the laws of 2001. Without
41 limiting the generality of the foregoing, no taxpayer, or any other
42 person or entity, including the state, shall have any right or claim
43 against the corporation or the empire opportunity fund or any of its
44 bondholders to any moneys appropriated and transferred from the empire
45 opportunity fund trust fund established by section 99-i of the state
46 finance law for or in respect of a refund, rebate, credit, reimburse-
47 ment, or other repayment.
48 (4) The notes, bonds or other obligations of the corporation author-
49 ized by this section shall not be a debt of the state and the state
50 shall not be liable thereon, nor shall they be payable out of any funds
51 other than those of the corporation or the empire opportunity fund
52 pledged therefor; and such bonds and notes shall contain on the face
53 thereof a statement to such effect. In addition, any agreements entered
54 into by the director of the budget or any other entity on behalf of the
55 state to effect the implementation of any of the activities financed in
56 whole or in part with proceeds of the obligations of the corporation or
S. 6259 41 A. 9761
1 the empire opportunity fund authorized in this section do not constitute
2 or create a debt of the state, nor a contractual obligation in excess of
3 the amounts appropriated therefor, and the state has no continuing legal
4 or moral obligation to appropriate money for payments due under such
5 contracts.
6 (5) All of the provisions of the udc act relating to bonds and notes
7 which are not inconsistent with the provisions of this section shall
8 apply to obligations authorized by this section, including but not
9 limited to the power to establish adequate reserves therefor and to
10 issue renewal notes or refunding bonds thereof.
11 (6) Except for the purpose of complying with the internal revenue
12 code, any interest income earned on bond proceeds shall only be used to
13 pay debt service on such bonds.
14 (b) Not less than one hundred twenty days before the beginning of each
15 state fiscal year, the chairperson of the corporation, or other official
16 of the corporation or the empire opportunity fund to whom such responsi-
17 bility may be delegated by the chairperson or by resolution of the
18 corporation, shall certify to the comptroller and to the director of the
19 budget a schedule of anticipated cash requirements for such fiscal year
20 pursuant to any agreements entered into by the corporation with the
21 director of the budget pursuant to this section. The amounts so certi-
22 fied shall constitute required empire opportunity fund trust fund
23 service agreement payments due pursuant to such agreements under this
24 section. The total amounts so certified for such fiscal year shall be
25 equal to the total amount of the debt service due or expected to be due
26 during such fiscal year on obligations of the corporation issued on
27 behalf of the empire opportunity fund pursuant to subdivision one of
28 this section, including payment of interest and principal (including
29 sinking fund payments), together with:
30 (1) the amount, if any, due to any provider of any insurance policy,
31 letter of credit, or other credit enhancement, liquidity facility, or
32 any other financial instruments relating to such obligations, represent-
33 ing payments made by it as provided in the applicable obligations,
34 representing payments made by it as provided in the applicable resol-
35 ution or trust indenture as a result of any previous failure of the
36 state to make any payment provided for in this section, including any
37 related reasonable interest, fees, or charges so provided;
38 (2) the amount, if any, required to restore any applicable reserve
39 fund to the applicable reserve fund requirement to the extent any defi-
40 ciency therein has resulted directly or indirectly from failure by the
41 state to make any payment provided for in this section;
42 (3) the amount, if any, required to be rebated to the United States to
43 provide for continued exclusion from federal income taxation of interest
44 on obligations of the corporation; and
45 (4) the expenses of the establishment and continued operation expenses
46 of the empire opportunity fund, or the corporation related to the empire
47 opportunity fund, including, but not limited to, trustees' fees, fees
48 payable to providers of credit and liquidity facilities, fees for issu-
49 ing and paying agents, remarketing agents, and dealers, legal counsel,
50 financial or other advisors or consultants, independent auditors, rating
51 agencies, transfer or information agents, the publication of advertise-
52 ments and notices, surety arrangements, and printers' fees or charges
53 incurred by the authority to comply with applicable federal and state
54 securities and tax laws; and any other costs of issuance in excess of
55 the amount provided therefor from the proceeds of the sale of such obli-
56 gations, to the extent that any of the foregoing amounts or expenses are
S. 6259 42 A. 9761
1 not to be paid from other resources available to the corporation or the
2 empire opportunity fund for such purpose.
3 (c) The chairperson of the corporation or such chairperson's delegate,
4 may revise such certification at such times as shall be determined by
5 such person; provided, however, that such certification shall be revised
6 not later than thirty days after the issuance of any obligations author-
7 ized pursuant to subdivision (a) of this section, including refunding
8 bonds, and affecting the cash requirements of the corporation or the
9 empire opportunity fund with respect to the obligations incurred pursu-
10 ant to this section.
11 (d) Such certification shall provide for payments on such dates as the
12 corporation or the empire opportunity fund and the director of the budg-
13 et deems appropriate to insure that sufficient funds will be available
14 from the sources identified in this section to enable it to meet its
15 current obligations with respect to those obligations incurred pursuant
16 to this section as they become due.
17 (e) Upon receipt of such certification, or any revision thereof, the
18 comptroller shall pay such empire opportunity fund trust fund cooper-
19 ative agreement payments to the corporation or the empire opportunity
20 fund in accordance with such certification from the empire opportunity
21 fund trust fund established by section 99-i of the state finance law.
22 Such payments shall be made on or before the date specified in each
23 certificate or within thirty days after such receipt, whichever is
24 later, provided that all such amounts shall have been first appropriated
25 by the state.
26 (f) The agreement of the state contained in this section shall be
27 deemed executory only to the extent of appropriations available for
28 payments under this section, and no liability on account of any such
29 payment shall be incurred by the state beyond such appropriations. The
30 state, acting through the director of budget, and the corporation or the
31 empire opportunity fund may enter into, amend, modify, or rescind one or
32 more agreements providing for the specific manner, timing, and amount of
33 payments to be made under this section, but only in conformity with this
34 section.
35 (g) The authorization, sale, and issuance of bonds, notes, or other
36 obligations pursuant to this section shall not be deemed an action as
37 such term is defined in article 8 of the environmental conservation law
38 for the purposes of such article. Such exemption shall be strictly
39 limited in its application to such financing activities of the corpo-
40 ration and the empire opportunity fund and does not exempt the project
41 sponsor or any other entity from compliance with such article.
42 (8) Nothing contained in this section shall be deemed to restrict the
43 right of the state to amend, repeal, modify or otherwise alter statutes
44 imposing or relating to any taxes, assessments, payments pursuant to
45 negotiated agreements or fees from which the revenues in the empire
46 opportunity fund trust fund derive. Neither the corporation nor the
47 empire opportunity fund shall include within any resolution, contract,
48 or agreement with holders of the bonds, notes, and other obligation
49 issued under this title any provision which provides that a default
50 occurs as a result of the state's exercising its right to amend, repeal,
51 modify, or otherwise alter any such taxes, assessments, or fees.
52 (i) Any resolution authorizing bonds, notes, or other obligation shall
53 reserve the right of the state, upon amendment of the New York state
54 constitution allowing the issuance, or assumption, of bonds, notes, or
55 other obligations secured by revenues, which may include the revenues
56 securing bonds, notes, or other obligations of the corporation on behalf
S. 6259 43 A. 9761
1 of the empire opportunity fund, (1) to assume, in whole or in part, such
2 bonds, notes or other obligations of the corporation on behalf of the
3 empire opportunity fund, (2) to extinguish the existing lien of such
4 resolution, and (3) to substitute security for the bonds, notes, or
5 other obligations of the corporation on behalf of the empire opportunity
6 fund, in each case only so long as such assumption, extinguishment or
7 substitution is done in accordance with such resolution.
8 § 13. Security of bond issuances through financial instruments. Any
9 issue of bonds by the corporation on behalf of the empire opportunity
10 fund may be secured and made more attractive to capital markets through
11 financial instruments, including, but not limited to:
12 (a) Any revenues, property rights, or interests of the empire opportu-
13 nity fund or the sponsor.
14 (b) Payments arising in connection with the financial assistance.
15 (c) Deeds of trust on the resources, facilities, assets, and revenues
16 of the projects.
17 (d) Credit enhancements, including, but not limited to, letters of
18 credit, bond insurance, and surety bonds provided by private financial
19 institutions.
20 (e) Insurance and guarantees provided by the empire opportunity fund
21 itself.
22 § 14. The state finance law is amended by adding a new section 99-i to
23 read as follows:
24 § 99-i. Empire opportunity fund trust fund. For the purposes of this
25 section, terms shall have the same meaning as defined in the chapter of
26 the laws of two thousand two which added this section. 1. There is
27 hereby established in the joint custody of the state comptroller and the
28 commissioner of taxation and finance a special fund to be known as the
29 "empire opportunity fund trust fund".
30 2. The empire opportunity fund trust fund shall consist of two
31 accounts: (a) the special obligation reserve and payment account; and
32 (b) the project account. Moneys in each account shall be kept separate
33 and not commingled with any other moneys in the custody of the comp-
34 troller.
35 3. (a) The special obligation reserve and payment account shall
36 consist of (i) an amount of moneys equal to the amount available to be
37 transferred to the general fund from time to time from the tribal-state
38 compact revenue account pursuant to section ninety-nine-h of this arti-
39 cle as established by section three of part B of chapter three hundred
40 eighty-three of the laws of two thousand one, and (ii) any other moneys
41 collected therefor or credited or transferred thereto from any other
42 source including, subject to appropriation, amounts transferred from the
43 general fund consistent with paragraph (f) of this subdivision.
44 (b) Moneys in the special obligation reserve and payment account
45 shall, following appropriation by the legislature, be used to pay
46 amounts due to the corporation or the empire opportunity fund as empire
47 opportunity fund trust fund service agreement payments pursuant to the
48 provisions of empire opportunity fund service agreements entered into
49 between the empire opportunity fund and/or the corporation and the divi-
50 sion of the budget pursuant to section twelve of the chapter of the laws
51 of two thousand two which added this section, and pursuant to the
52 provisions of this section.
53 (c) The comptroller is hereby authorized and directed to transfer
54 monthly, no later than the last day of each month, any moneys, if any,
55 in excess of the aggregate amounts required to be set aside in order to
56 meet the requirements established in paragraph (d) of this subdivision,
S. 6259 44 A. 9761
1 to the project account, provided however that in no event shall such
2 transfers occur unless and until the aggregate of all empire opportunity
3 fund service agreement payments certified to the comptroller for such
4 fiscal year shall have been appropriated in accordance with the
5 provisions of this section. Additionally, in no event shall the comp-
6 troller pay over and distribute any revenues of the fund to any person
7 other than the empire opportunity fund if any payment required to be set
8 aside pursuant to paragraph (b) of this subdivision has not been made to
9 the empire opportunity fund on the date by which it was required to have
10 been made pursuant to such schedule; provided, however, that no person,
11 including such empire opportunity fund or the holders of its bonds or
12 notes shall have any lien on such revenues, and such agreement shall be
13 executory only to the extent of such revenues, and such agreement shall
14 be executory only to the extent of such revenues available to the state
15 in such fund.
16 (d) Upon receipt by the comptroller of a certificate or certificates
17 from the chairperson of the corporation or other authorized person
18 submitted pursuant to section twelve of the chapter of the laws of two
19 thousand two which added this section, that such corporation or empire
20 opportunity fund requires a payment or payments, from the empire oppor-
21 tunity fund trust fund, the comptroller shall pay from such fund pursu-
22 ant to an appropriation the payment as the chairperson or other author-
23 ized person thereof may direct in any such certificate, the amount or
24 amounts so certified. The chairperson or other authorized person shall
25 furnish the commissioner of taxation and finance with copies of such
26 certificates. In order to set aside the moneys necessary to meet the
27 amounts required on the payment date or dates herein, the comptroller
28 shall comply with the provisions of this subdivision.
29 (e) Except for the purpose of meeting an empire opportunity fund trust
30 fund service agreement payment required pursuant to section twelve of
31 the chapter of the laws of two thousand two which added this section
32 that is due on a monthly basis or more frequently, prior to transferring
33 any moneys from the account pursuant to paragraph (c) of this subdivi-
34 sion, the comptroller shall set aside on a monthly basis all revenues
35 deposited pursuant to this subdivision as received until the amount set
36 aside is equal to, twenty percent of the interest due on such obli-
37 gations on the next succeeding interest payment date multiplied by the
38 number of months from the date of the last such payment and ten percent
39 of the next principal installment due on such obligations multiplied by
40 the number of months from the date of the last such principal install-
41 ment where principal is due on an annual basis or twenty percent of the
42 next principal installment due on such obligations multiplied by the
43 number of months from the date of the last such principal installment
44 where principal is due on a semiannual basis. For the purpose of meeting
45 a required empire opportunity fund trust fund service agreement payment
46 that is due on a monthly basis or more frequently, the comptroller shall
47 set aside all revenues deposited pursuant to subdivision two of this
48 section as received until the amount so set aside is, in the reasonable
49 judgment of the comptroller, sufficient to pay the required empire
50 opportunity fund trust fund service agreement payment on or before such
51 payment date. In no event shall the comptroller be held liable for the
52 failure to set aside an amount sufficient to pay the required infras-
53 tructure and economic development empire opportunity fund trust fund
54 service agreement payment to the corporation or the empire opportunity
55 fund.
S. 6259 45 A. 9761
1 (f) In the event that the amount set aside by the comptroller pursuant
2 to paragraph (e) of this subdivision is not sufficient to meet the
3 empire opportunity fund trust fund service agreement payments required
4 pursuant to a certificate or certificates submitted by the chairperson
5 or other authorized person pursuant to paragraph (d) of this subdivi-
6 sion, the comptroller shall immediately transfer first from the project
7 account, to the special obligation reserve and payment account and then,
8 if necessary, from the general fund to the special obligation reserve
9 and payment account, an amount which, when combined with the amount set
10 aside pursuant to paragraph (e) of this subdivision, shall be sufficient
11 to make the empire opportunity fund trust fund service agreement
12 payments required pursuant to such certificate or certificates. Follow-
13 ing such an event, the comptroller shall, immediately set aside the
14 amounts required pursuant to paragraph (e) of this subdivision, and set
15 aside and pay the next moneys received by the special obligation reserve
16 and payment account to reimburse the general fund for moneys which were
17 transferred to the special obligation reserve and payment account pursu-
18 ant to this paragraph. Such amounts shall be set aside until the full
19 amount of moneys transferred from the general fund shall have been set
20 aside and any such moneys set aside shall be transferred to the general
21 fund no later than the last day of each month.
22 4. The project account shall consist of all moneys transferred from
23 the special obligation reserve and payment account and any other moneys
24 credited or transferred thereto from any other source. Funds contained
25 in such account shall be available pursuant to appropriation by the
26 legislature, for purposes authorized and pursuant to this section.
27 5. Moneys in the empire opportunity fund trust fund shall, following
28 appropriation by the legislature, be utilized for costs associated with
29 any empire opportunity fund trust fund service agreement payments or
30 costs of projects as such term is defined in section two of the chapter
31 of the laws of two thousand two which added this section.
32 The comptroller shall, at the request of the director of the budget,
33 reimburse funds previously disbursed from the general fund or any other
34 fund of the state for the purposes of the empire opportunity fund as
35 authorized by this section, in such amounts and at such times as shall
36 be determined by the director of the budget.
37 6. All payments of moneys from the empire opportunity fund trust fund
38 shall be made on the audit and warrant of the comptroller.
39 § 15. If any section, part or provision of this act shall be adjudged
40 unconstitutional or invalid or ineffective by any court of this state,
41 any party in interest shall have a direct appeal as of right to the
42 court of appeals of the state of New York, and such appeal shall have
43 preference over all other causes. Service upon the adverse party of a
44 notice of appeal shall stay the effect of the judgment or order appealed
45 from pending the hearing and determination of the appeal.
46 § 16. Separability. If any clause, sentence, paragraph, section, or
47 part of this act be adjudged by any court of competent jurisdiction to
48 be unconstitutional, invalid, or ineffective, such judgment shall not
49 affect, impair, or invalidate the remainder thereof, but shall be
50 confined in its operation to the clause, sentence, paragraph, section,
51 or part thereof directly involved in the controversy in which such judg-
52 ment shall have been rendered.
53 § 17. This act shall take effect immediately.
54 § 2. Severability clause. If any clause, sentence, paragraph, subdivi-
55 sion, section or part of this act shall be adjudged by any court of
56 competent jurisdiction to be invalid, such judgment shall not affect,
S. 6259 46 A. 9761
1 impair, or invalidate the remainder thereof, but shall be confined in
2 its operation to the clause, sentence, paragraph, subdivision, section
3 or part thereof directly involved in the controversy in which such judg-
4 ment shall have been rendered. It is hereby declared to be the intent of
5 the legislature that this act would have been enacted even if such
6 invalid provisions had not been included herein.
7 § 3. This act shall take effect immediately provided, however, that
8 the applicable effective date of Parts A through R of this act shall be
9 as specifically set forth in the last section of such Parts.
Memorandum in Support